Accountability Matrix

The Compliance Accountability Matrix provides information on compliance requirements and their handling at Mines. By expanding a compliance area, the user will see a brief description of the area, the general requirements included in that area, and the primary office responsible for compliance. If you have a question about compliance in an area that is not listed on this page, please contact the Internal Audit and Compliance Office.

ACADEMIC AFFAIRS

Compliance Area Academic Affairs
Area Description Issues relating to University academic programs.
Compliance Topics
  • Academic Accreditation
  • Colorado Constitution Day
  • Copyright Act of 1976 /Technology Education And Copyright Harmonization Act (TEACH Act) of 2002
  • Copyright Royalty Board / Library of Congress and Webcaster Settlement Act of 2009
Responsible Office Provost (Interim)
Responsible Person Dr. Tom Boyd
Contact Phone 303-273-3020
Contact Email tboyd@mines.edu

 

ADMISSIONS (GRADUATE)

Compliance Area Admissions (Graduate)
Area Description Issues relating to application and admission to University graduate and professional schools and programs.
Compliance Topics
  • Academic Accreditation
  • Colorado Constitution Day
  • Copyright Act of 1976 /Technology Education And Copyright Harmonization Act (TEACH Act) of 2002
  • Copyright Royalty Board / Library of Congress and Webcaster Settlement Act of 2009
Responsible Office Graduate Studies (Interim Dean)
Responsible Person Dr.  Wendy Zhou
Contact Phone 303-384-2181
Contact Email wzhou@mines.edu

 

ADMISSIONS (UNDERGRADUATE)

Compliance Area Admissions (Undergraduate)
Area Description Issues relating to application and admission to University undergraduate schools and programs.
Compliance Topics
  • Academic Accreditation
  • Colorado Constitution Day
  • Copyright Act of 1976 /Technology Education And Copyright Harmonization Act (TEACH Act) of 2002
  • Copyright Royalty Board / Library of Congress and Webcaster Settlement Act of 2009
Responsible Office Enrollment Management/Admissions
Responsible Person Heather Boyd; Kim Medina
Contact Phone

Heather Boyd: 303-273-3221
Kim Medina: 303-273-3225

Contact Email Heather Boyd: hboyd@mines.edu
Kim Medina: kmedina@mines.edu

 

ATHLETICS

Compliance Area Athletics
Area Description Issues relating to University intercollegiate athletics programs, including the rules and policies of the National Collegiate Athletic Association (NCAA) and the athletic conferences in which school teams participate.
Compliance Topics
  • NCAA Athletic Audit Bylaw 22.2.1.2
  • NCAA/Conference Rules
Responsible Office Student Life/Athletics
Responsible Person David Hansburg; Dixie Cirillo
Contact Phone

David Hansburg: 303-273-3300
Dixie Cirillo: 303-273-3206

Contact Email David Hansburg: dhansburg@mines.edu;
Dixie Cirillo: dcirillo@mines.edu;

BUSINESS OPERATIONS

Compliance Area Business Operations
Area Description Issues relating to compliance with University policies and procedures regarding the procurement of goods and services used in University business.
Compliance Topics
  • Business Utilization
  • Colorado Revised Statutes – Fair
    Competition with Private Industry (24-113, 23-41-116, C.R.S.)
  • Colorado Revised Statutes – Private Use of State Property/Protection of University Assets (5 C.F.R. 2635.101)
  • Confidential Information – Guidance on Mitigating Risk Posed by Information Stored on Photocopiers, Fax Machines and Printers
  • Contracts – Revenue
  • Executive Order 1289 (E-Verify)
Responsible Office Financial Planning and Business Operations
Responsible Person Vicki Nichol
Contact Phone 303-273-3763
Contact Email vnichol@mines.edu

Capital Planning and Construction

Compliance Area Capital Planning and Construction
Area Description Issues relating to the planning, design, construction, and space management of University land and buildings.
Compliance Topics
  • Building Permits
  • Colorado Building Codes – Construction
  • Colorado Revised Statutes – State Buildings
  • Contractor Compliance
  • Davis Bacon Act
  • Executive Order 11246/Office of Federal Contract
  • Compliance Programs
  • The Contract Work Hours and Safety Standards Act (CWHSSA)
  • City of Golden – Water Tap Permits
Responsible Office Office of Design and Construction
Responsible Person Chris Cocallas
Contact Phone 303-273-3920
Contact Email cocallas@mines.edu

 

Conflict of Interest

Compliance Area Conflict of Interest
Area Description Issues relating to actual or apparent financial conflicts of interests, including the University’s financial disclosure policies and procedures, and concerns about how such conflicts could affect objectivity.
Compliance Topics
  • NHS Grants Manual
  • NFS Grants Manual
  • Uniform Guidance @ 2 CFR 200
Responsible Office Compliance & Policy
Responsible Person Jackson Rozeske
Contact Phone 303-384-2546
Contact Email compliance@mines.edu
Compliance Area Environmental Health & Safety
Area Description Issues relating to building safety, laboratory safety, hazardous materials, and fire safety.
Compliance Topics
  • Centers for Disease Control
  • Chemical Facility Anti-Terrorism Standards (CFATS)
  • Colorado Department of Public Health and Environment (CDPHE)
  • Comprehensive Environmental Response Compensation and Liability Act of 1980 (CERCLA)
  • Emergency Planning and Community Right to Know Act of 1986 (EPCRA)
  • Environmental Protection Agency Laws
  • City of Golden – Fire Codes
  • Hazardous Materials Transportation Act of 1994
  • Industrial Alcohol User Permits and Special Tax
  • Mandatory Reporting of Greenhouse Gases Rule
  • Occupational Health & Safety Act (OSHA)
  • Public Health Security and Bioterrorism Preparedness and Response Act of 2002
  • Radiation Safety Regulations (10 CFR 20)
  • Radioactive Material Regulations
  • Residential Lead-Based Paint Hazard Reduction Act of 1992
  • Resource Conservation and Recovery Act (RCRA) of 1976
  • Toxic Substances Control Act (TSCA)
  • Water Pollution Control Act (Clean Water Act)
  • Asbestos
Responsible Office Environmental Health & Safety
Responsible Person Barb O’Kane
Contact Phone 303-384-2561
Contact Email bokane@mines.edu

 

Export Controls

Compliance Area Export Controls
Area Description Issues relating to the University’s compliance with laws and regulations relating to the export of goods and technology.
Compliance Topics
  • Export Administration Regulations
  • Import, Export and Transport of Nuclear Equipment and Material
  • International Traffic in Arms Regulations (ITAR)
Responsible Office Office of Research Administration
Responsible Person Johanna Eagan
Contact Phone 303-384-2589
Contact Email jeagan@mines.edu

 

External Contracts

Compliance Area External Contracts (research); Purchasing
Area Description Issues relating to the disclosure, approval, and management of contracts signed by the University’s faculty, students, and staff.
Compliance Topics
  • Procurement Rules
Responsible Office Office Of Research Administration; Purchasing Office
Responsible Person Natalie Vega
Contact Phone 303-273-3569
Contact Email nvega@mines.edu
Compliance Area Financial Aid
Area Description Issues relating to the provision of financial aid to include grants and scholarships, student loans, and student employment.
Compliance Topics
  • Donor Scholarships
  • Free Application for Federal Student Aid
  • McKinney-Vento Act
  • Title IV Federal Aid – Pell Grants
  • Taxability of Scholarships and Fellowships
  • Title IV Federal Aid – Work Study
  • National Student Loan Data System Reporting
Responsible Office Financial Aid
Responsible Person Jill Robertson
Contact Phone 303-273-3207
Contact Email jirobert@mines.edu

 

Financial Reporting

Compliance Area Financial Reporting
Area Description Issues relating to reporting of revenues and expenditures and tracking of investments.
Compliance Topics
  • Colorado Revised Statutes – Student Activity Fees
  • Donor Terms and Conditions
  • External Consulting Contracts
  • Fair Credit Reporting Act
  • Fly America Act
  • Gramm-Leach-Bliley Act
  • Investment Laws & Regulations
  • Non-Delinquency on Federal Debt
  • Pension Protection Act of 2006
  • Fair and Accurate Credit Transactions Act of 2003 (FACTA, Red Flag Rules)
  • Bond Covenants
Responsible Office Controller’s Office
Responsible Person  Tressa Constantineau Ries
Contact Phone 303-273-3262
Contact Email tries@mines.edu
Compliance Area Government Relations & Lobbying
Area Description Issues relating to the University’s interactions with the federal and state governments, including advocacy of the University’s interests.
Compliance Topics
  • Foreign Corrupt Practices Act of 1977
  • Lobbying and Disclosure Act
  • Political Activity Prohibition
Responsible Office Chief of Staff to President
Responsible Person Peter Han
Contact Phone 303-273-3130
Contact Email phan@mines.edu
Compliance Area Human Resources
Area Description Issues relating to labor laws including salary/compensation, accommodation for person’s with disabilities, workplace conduct, worker’s compensation, discrimination or harassment, employee benefits, or other laws regulated by the US Department of Labor.
Compliance Topics
  • Age Discrimination in Employment Act of 1967 (ADEA)
  • Americans with Disabilities Act (ADA)
  • Cafeteria Plans
  • Colorado Revised Statutes – State Notification Laws (6-1-716, C.R.S.)
  • Consolidated Omnibus Budget Reconciliation Act (COBRA)
  • Consumer Credit Protection Act, Title II (CCPA)
  • Controlled Substances Act of 1970
  • Department of Labor Postering Requirements (see citations at right)
  • Drug and Alcohol Abuse Prevention Regulations (Education Department General Administrative Regulations [EDGAR])
  • Drug-Free Schools and Communities Act of 1989
  • Drug-Free Workplace Act of 1988 [41 USC §701]
  • Employee Polygraph Protection Act of 1988
  • Employee Retirement Income Security Act of 1974 (ERISA)
  • Employee vs. Independent Contractor
  • Equal Employment Opportunity Act
  • Equal Pay Act of 1963 (EPA)
  • Fair Labor Standards Act (FLSA)
  • Family and Medical Leave Act (FMLA)
  • Genetic Information Nondiscrimination Act (GINA)
  • Immigration Reform and Control Act of 1986
  • Insurance policies, Key Man
  • National Labor Relations Act of 1935
  • Omnibus Transportation Testing Act – Drug & Alcohol Testing of Transportation Employees
  • Privacy Act of 1974
  • The Veterans’ Readjustment Benefits Act, amended by the Vietnam Era Veterans’ Readjustment Assistance Act of 1974, and the Veterans Employment Opportunities Act of 1998
  • U.S. Citizenship and Immigration Services (USCIS) Form I 129 Deemed Export Certification
  • Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA)
  • Worker Adjustment and Retraining Notification Act (WARN)
  • Workers Compensation
Responsible Office Human Resources/Organizational Strategy

Responsible Person

Michelle Darveau
Contact Email & Phone mdarveau@mines.edu
303-384-2305
Compliance Area Immigration/Visas
Area Description Issues relating to compliance with laws and regulations relating to international students and faculty and the visa requirements for studying or working in the United States.
Compliance Topics
  • Enhanced Border Security and Visa Entry Reform Act of 2002
  • Immigration and Nationality Act
  • Student and Exchange Visitor Program
  • Immigration and Customs Enforcement (ICE)
Responsible Office International Student and Scholar Services
Responsible Person Please contact the office to learn more
Contact Phone 303-273-3210
Contact Email isss@mines.edu

 

Information Technology

Compliance Area Information Technology
Area Description Issues relating to the protection and security of university information and the computer systems used to manage it.
Compliance Topics
  • Children’s Online Privacy Protection Act of 1998 (COPPA)
  • Colorado Revised Statutes – Security Breach Notification Laws
  • Computer Security Act
  • Digital Millennium Copyright Act
  • Electronic Communications Privacy Act (ECPA, or “Wire Tap Act”)
  • Payment Card Industry (PCI) Standards
  • Telephone Operator Consumer Services Improvement Act of 1990 (TOCSIA)
  • Intellectual Property Laws – Software Licensing
Responsible Office Campus Computing, Communications, and Information Technologies (CCIT)
Responsible Person Mike Erickson
Contact Phone 303-273-3866
Contact Email erickson@mines.edu

Legal

Compliance Area Legal
Area Description Issues relating to matters on which legal advice is sought or required, including communications with lawyers who contact the University on behalf of their clients, response to legal documents, and litigation in which the University is or may be involved.
Compliance Topics
  • Colorado Revised Statutes – Colorado Open Records Act (24-72-201, C.R.S.)
  • Federal Rules of Civil Procedure
  • Freedom of Information Act (FOIA)
Responsible Office Legal Services
Responsible Person Anne Walker
Contact Phone 303-384-2321
Contact Email aswalker@mines.edu
Compliance Area Plant Operations
Area Description Issues relating to the maintenance and repair of University buildings and other facilities.
Compliance Topics
  • City of Golden – Clearing of Snow and Ice
  • City of Golden – Water System Maintenance
  • Colorado Revised Statutes – Swimming Pools (Title 25)
  • Colorado Department of Public Health and Environment – Elevators & Lifts
  • Plant Operations Equipment Safety Including Vehicles
  • Executive Order 13513 – Cell Phones in Vehicles
  • Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
  • Tax reporting of personal use of University-owned Autos
  • Colorado Building Codes – Boilers
Responsible Office Facilities Management
Responsible Person Gary Bowersock
Contact Phone 303-273-3535
Contact Email gbowerso@mines.edu

Property

Compliance Area Property
Area Description Issues relating to the use of University-owned real property, to the University’s purchase or leasing of real property and to interactions with other owners of real property.
Compliance Topics Property and equipment
Responsible Office CPC-real property; Legal Services; Controller
Responsible Person Tressa Constantineau-Ries
Contact Phone 303-273-3262
Contact Email tries@mines.edu

Research Financial Administration

Compliance Area Research Financial Administration
Area Description Issues relating to the administration of sponsored research agreements, including the appropriate charging of and accounting for costs, expenses and effort to grants.
Compliance Topics
  • America Competes Act
  • American Recovery and Reinvestment Act of 2009 (ARRA)
  • Federal Acquisition Regulations
  • Federal Funding Accountability and Transparency Act of 2006 (FFATA)
  • National Science Foundation (NSF) Requirements
  • Non-Disclosure Agreements
  • Office of Management and Budget (OMB) Circulard A-110, A-133, A-21
  • Uniform Guidance 2 CFR 200
  • Office of Management and Budget (OMB) Circular A-21
  • Central Contractor Registration
Responsible Office Office of Research Administration
Responsible Person Ralph Brown
Contact Phone 303-273-3538
Contact Email rabrown@mines.edu

  

Research Regulatory

Compliance Area Research Regulatory
Area Description Issues relating to the federal and other regulations applicable to the design, conduct and reporting of research, including the protection of human and animal research subjects, the use of hazardous materials in research, and research misconduct.
Compliance Topics
  • Department of Health and Human Services
  • Intergovernmental Review of Federal Programs – Coordinated Proposal Review
  • National Institutes of Health Requirements
  • National Science Foundation – Data Requirements
Responsible Office VPRTT; Office of Research Administration
Responsible Person Ryan Richards; John Spear; Ralph Brown
Contact Phone Ryan Richards: 303-273-3612
John Spear: 303-273-3497
Ralph Brown: 303-273-3538
Contact Email

Ryan Richards: rrichard@mines.edu
John Spear: jspear@mines.edu
Ralph Brown: rabrown@mines.edu

Student Health

Compliance Area Student Health
Area Description Issues relating to the medical and mental health treatment of students and the provision of health-related information to students.
Compliance Topics
  • Colorado Health Insurance Provider Laws
  • Colorado Health Services Licensing
  • Colorado Revised Statutes – Professional Counseling Confidentiality (Title 12)
  • Health Insurance Portability and Accountability (HIPAA)
  • Medical Waste Tracking Act
  • Medicare Secondary Payer Reporting
  • Patient Protection and Affordable Care Act
Responsible Office Student Health
Responsible Person Deb Roberge; Derek Morgan
Contact Phone Deb Roberge: 303-273-3318
Derek Morgan: 303-273-3288
Contact Email Deb Roberge: droberge@mines.edu
Derek Morgan: dmorgan@mines.edu

 

Student Information and Enrollment

Compliance Area Student Information and Enrollment
Area Description Issues relating to student enrollment including student confidential information, student information reporting, laws regarding veteran enrollment, and transfer credit.
Compliance Topics
  • College Opportunity Fund
  • Colorado Revised Statutes – Student Residency (23-7-101, CRS)
  • Department of Veteran Affairs Laws
  • Family Educational Rights and Privacy Act (FERPA)
  • Post 911/GI Bill
  • Solomon Act
  • Student Right to Know
  • Colorado Revised Statutes – Restriction of Public Benefits (CRS 24-76-101)
  • Colorado Revised Statutes – Transfer Policies (23-1-108)
  • Department of Defense – Tuition Assistance MOU
Responsible Office Registrar
Responsible Person TBD – Registrar
Contact Phone 303-273-3200
Contact Email registrar@mines.edu

 

Student Life

Compliance Area Student Life
Area Description Issues relating to student life and services.
Compliance Topics
  • Colorado Revised Statutes – Fair Housing Statutes (Title 38)
  • Credit Card Accountability Responsibility and Disclosure Act of 2009 (Credit CARD Act)
  • Fair Housing Act of 1968
Responsible Office Student Life
Responsible Person Dr. Dan Fox
Contact Phone 303-273-3231
Contact Email dfox@mines.edu
Compliance Area Tax Matters
Area Description Issues relating to the University’s federal and state tax status, the compilation and filing of tax returns, and other matters with tax implications.
Compliance Topics
  • Accountable Business Expense Plan
  • Automobile Mileage Rates
  • Benefits Plans – IRS Requirements
  • Bond Covenants
  • Deferred Compensation Plans
  • Donations – Substantiation and Disclosure Provisions
  • Educational Assistance Programs
  • Exempt Organization Tax Returns
  • Federal and State Payroll Tax Withholding and Reporting
  • Lobbying Restrictions and Disclosure Requirements
  • Non-qualified Deferred Compensation
  • Non-Resident Alien Taxes, and Filing and Information Return
  • Prizes and Awards to Employees
  • Property Transferred to Employee as Compensation
  • Quid Pro Quo Rules for Donations
  • Reporting Receipt of Cash Greater than $10,000
  • Reporting Tuition Payment Credit
  • Retention period for employment tax records
  • Retirement Plans
  • Sales Tax Exempt Purchases
  • Sales Taxes – Collection and Payment
  • Student Loan Interest Reporting
  • Tax Laws for Exempt Entities
  • Taxability of Meals and Lodging Furnished to an Employee
  • Tuition/Educational Assistance Program
  • Unrelated Business Income Taxes
  • W-9 Collection and 1099 Reporting
Responsible Office Controller
Responsible Person Tressa Constantineau Ries
Contact Phone 303-273-3262
Contact Email tries@mines.edu

 

Technology Development and Patents

Compliance Area Technology Transfer
Area Description Issues relating to the development and licensing of discoveries, inventions and technology, including the securing of patents for such inventions, the protection of intellectual property rights, and the commercialization of intellectual property.
Compliance Topics
  • Animal Welfare Act
  • Bayh-Dole Act
  • Cooperative Research and Technology Enhancement Act of 2004 (CREATE Act)
  • Human Subjects Research
  • Intellectual Property Laws – Research data
  • Leahy-Smith America Invents Act (AIA)
  • Patent Accounting
Responsible Office Vice President of Research and Technology Transfer (VPRTT)
Responsible Person Dr. Tony Dean; William Vaughan
Contact Phone Dr. Tony Dean: 303-273-3643
William Vaughan: 303-384-2555
Contact Email Dr. Tony Dean: amdean@mines.edu
William Vaughan: wvaughan@mines.edu

University Administration

Compliance Area University Administration
Area Description Issues relating to University policy and planning.
Compliance Topics
  • Civil Rights Act of 1964
  • Education Amendments of 1972, Title IX
  • Higher Education Act
  • Higher Education Reconciliation Act of 2005
  • Higher Education Act – Integrated Post-Secondary Education Data System (IPEDS) – Surveys
  • Smoking
  • Higher Education Opportunity Act (HEOA)
  • Higher Learning Commission – Pathways Response
Responsible Office Compliance & Policy
Responsible Person Jackson Rozeske
Contact Phone 303-384-2546
Contact Email compliance@mines.edu

 

University Endowment

Compliance Area University Endowment
Area Description Issues relating to the solicitation, negotiation, receipt, management and stewardship of donations and gifts to the University.
Compliance Topics
  • Uniform Prudent Management of Institutional Funds Act of 2006
Responsible Office Foundation
Responsible Person Brian Winkelbauer
Contact Phone 303-273-3140
Contact Email bwinkelb@mines.edu
Compliance Area Compliance & Policy
Area Description Please contact responsible person for more information.
Compliance Topics
  • Controlling the Assault of Non-Solicited Pornography and Marketing Act of 2003 (CAN-SPAM Act)
  • Executive Order 13166 – Limited English Proficiency
Responsible Office Compliance & Policy
Responsible Person Jackson Rozeske
Contact Phone 303-384-2546
Contact Email compliance@mines.edu