Compliance and Ethics

This section of the Compliance & Policy Office website is focused on legislative compliance obligations and activities that the Colorado School of Mines must fulfill. Also included are several ethics-related resources.  For a complete list of institutional compliance and regulatory requirements, contact the Office of  Compliance Policy and Risk Management at



Conflict of Interest

For more information and directions for Training, Disclosure Form, and Process  please visit the Conflict of Interest web page.


Fair Campaign Practices Act

Colorado Fair Campaign Practices Act (C.R.S. § 1-45-117)
The Colorado Fair Campaign Practices Act (FCPA) prohibits state government and its officials from expending public money from any source or making contributions to influence the outcome of a political campaign, ballot issue or referendum. As a state institution of higher education, the Colorado School of Mines, its employees and students are required to abide by FCPA regulations.


FAQ on campaign-related activities



Higher Education Opportunity Act (Public Law 110-135)
The Higher Education Opportunity Act (HEOA) was passed by Congress in 2008 as a re-authorization of the Higher Education Act of 1965. The 2008 law requires that the University publishes this notice of the availability of institutional as well as financial aid information, and includes a variety of other disclosure and reporting requirements with which the Colorado School of Mines must comply. Looking for more information? Please visit the Higher Education Opportunity Act website.


Student Consumer Information

Title IX (34 C.F.R. Part 106)
Title IX is commonly thought of as pertaining to varsity sports. However, the law is actually much broader. Title IX prohibits gender discrimination in all programs and activities of a university such as the Colorado School of Mines. Although two of the most common applications of the law are athletics and sexual harassment, Title IX also applies to admissions, financial aid, academic matters, career services, counseling and medical services, and all other programs and activities available to students at Mines.


Mines is sensitive to all of the communities with which we interact and that is especially true for children or “minors”.  All Mines employees should report cases of known or reasonably suspected child abuse or neglect to appropriate authorities. For information regarding hosting an activity or program on or off of campus that is for minors, please see the Mines Policy for the Protection of Minors. Information and training for the Mines community are available from the Office of Compliance, Policy and Risk Management.

  • The Mines community reports crime under C.R.S. § 18-8-115 and several policies.
  • Reports must be made by a mandated reporter where he/she has reasonable cause to know or suspect child abuse or neglect, or a reporter has observed a child being subjected to circumstances or conditions that would reasonably result in abuse or neglect.
Records Retention Schedule

General Records Retention Schedule (Colorado Schedule 8)
As a University, Mines follows the State of Colorado Records Management Manual, Schedule 8, General Records Retention Schedule.  The Mines’ individual schedule is currently being updated.  Please check back with the Compliance & Policy Office for further information.




Code of Ethics

The Colorado School of Mines expects faculty and staff to exhibit the highest standards of personal integrity and professional responsibility. The Code of Ethics contains general guidelines for conducting business with the highest ethical standards. Please see the Code of Ethics for more information.



The SpeakUP@Mines program provides reporting options for when serious violations of policies or standards are suspected and speaking directly with a member of the management or leadership team of the institution is uncomfortable. This hotline provides an anonymous option to use the phone or email to share a concern or report matters of significant departure from business norms or legal requirements, both of which would have serious consequences to Mines as a whole. Once a report is submitted, the information will be sent to Mines by a third party provider on a confidential basis. SpeakUP@Mines may be reached by dialing toll-free 1-800-461-9330 or by submitting an online report through the Mines’ SpeakUP Button or directly through the provider web page.


Independent Ethics Commission

The State of Colorado Independent Ethics Commission (IEC) is a constitutionally created independent commission.  Its purpose is to give advice and guidance on ethics issues arising under Article 29 of the Colorado Constitution and any other standards of conduct or reporting requirements as provided by law and to hear complaints, issue findings and assess penalties and sanctions where appropriate. Ethics Commission rulings, position statements and advisory opinions, like University policies, are intended to guide behavior. They are different from University policies in that they are written by an independent commission that reports to the state. For more information, please visit the Independent Ethics Commission.