University Centers
[Code of Federal Regulations]
[Title 45, Volume 4, Parts 1200 to end]
[Revised as of October 1, 1997]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR1388]
TITLE 45--PUBLIC WELFARE
CHAPTER XIII--OFFICE OF HUMAN DEVELOPMENT SERVICES,
DEPARTMENT OF HEALTH AND HUMAN SERVICE
PART 1388--THE UNIVERSITY AFFILIATED PROGRAMS
Section
1388.1 Definitions.
1388.2 Program criteria--purpose.
1388.3 Program criteria--mission.
1388.4 Program criteria--governance and administration.
1388.5 Program criteria--preparation of personnel.
1388.6 Program criteria--services and supports.
1388.7 Program criteria--dissemination.
1388.8 [Reserved]
1388.9 Peer review.
Authority: 42 U.S.C. 6063 et. seq.
Source: 61 FR 51163, Sept. 30, 1996, unless otherwise noted.
Editorial Note: For nomenclature changes to this part, see 54 FR 47985, Nov. 20, 1989.
Sec. 1388.1 Definitions.
For purposes of this part: Accessible means UAPs are characterized by their program and physical accommodation and their demonstrated commitment to the goals of the Americans with Disabilities Act. Capacity Building means that UAPs utilize a variety of approaches to strengthen their university and their local, State, regional and National communities. These approaches include, but are not limited to such activities as:
(1) Enriching program depth and breadth, for example, recruiting individuals with developmental disabilities and their families, local community leaders, additional faculty and students to participate in the UAP;
(2) Acquiring additional resources, for example, grants, space, and volunteer manpower; and
(3) Carrying out systems changes, for example, promoting inclusive programming for persons with developmental disabilities across all ages. Collaboration means that the UAP cooperates with a wide range of persons, systems, and agencies, whether they utilize services of the UAP or are involved in UAP planning and programs. These entities include individuals with developmental disabilities and family members, as well as the State Developmental Disabilities Councils, the Protection and Advocacy agencies, other advocacy and disability groups, university components, generic and specialized human service agencies, State agencies and citizen and community groups. An example of this cooperation is the Consumer Advisory Committee, a required element in each UAP. Cultural Diversity means that UAPs are characterized by their commitment to involve individuals with disabilities, family members and trainees from diverse cultural backgrounds in all levels of their activities. This commitment to cultural diversity means that each UAP must assure that individuals from racial and ethnic minority background are fully included; that efforts are made to recruit individuals from minority backgrounds into the field of developmental disabilities; that specific efforts must be made to ensure that individuals from minority backgrounds have effective and meaningful opportunities for full participation in the developmental disabilities service system; and that recruitment efforts at the levels of preservice training, community training, practice, administration and policymaking must focus on bringing large numbers of racial ethnic minorities into the field in order to provide appropriate skills, knowledge, role models, and sufficient personnel to address the growing needs of an increasingly diverse population.
Culturally competent means provision of services, supports, or other assistance in a manner that is responsive to the beliefs, interpersonal styles, attitudes, language and behaviors of individuals who are receiving services, and that has the greatest likelihood of ensuring their maximum participation in the program. Diverse Network means that although each UAP has the same mandates under the Act, the expression of these common mandates differs across programs. Each UAP must implement these mandates within the context of their host university, their location within the university, the needs of the local and State community, the cultural composition of their State, their resources and funding sources, and their institutional history.
These factors converge to create a network of unique and distinct programs, bound together by common mandates but enriched by diverse composition. Interdisciplinary Training means the use of individuals from different professional specialties for UAP training and service delivery. Lifespan Approach means that UAP activities address the needs of individuals with disabilities who are of all ages. Mandated Core Functions means the UAP must perform:
(1) Interdisciplinary preservice preparation;
(2) Community service activities (community training and technical assistance); and
(3) Activities related to dissemination of information and research findings. Program Criteria means a statement of the Department's expectation regarding the direction and desired outcome of the University Affiliated Program's operation. Research and evaluation means that the UAP refines its activities on the basis of evaluation results. As members of the university community, involvement in program-relevant research and development of new knowledge are important components of UAPs. State-of-the-art means that UAP activities are of high quality (using the latest technology), worthy of replication (consistent with available resources), and systemically evaluated.
Sec. 1388.2 Program criteria--purpose.
The program criteria will be used to assess the quality of the University Affiliated Programs (UAP). The overall purpose of the program criteria is to assure the promotion of independence, productivity, integration and inclusion of individuals with developmental disabilities. Compliance with the program criteria is a prerequisite for a UAP to receive the minimum funding level of a UAP. However, compliance with the program criteria does not, by itself, assure funding. The Program Criteria are one part of the Quality Enhancement System (QES), and provide a structure for self-assessment and peer review of each UAP. (The QES is a holistic approach to enable persons with developmental disabilities and their families to achieve maximum potential. All UAPs use the QES.)
Sec. 1388.3 Program criteria--mission.
(a) Introduction to mission: The UAP is guided by values of independence, productivity, integration and inclusion of individuals with developmental disabilities and their families. The purpose and scope of the activities must be consistent with the Act as amended and include the provision of training, service, research and evaluation, technical assistance and dissemination of information in a culturally competent manner, including the meaningful participation of individuals from diverse racial and ethnic backgrounds. (The concept of ``diverse network'' as defined in Sec. 1388.1 of this part applies to paragraphs (b), (f), (g), and (h) of this section.)
(b) The UAP must develop a written mission statement that reflects its values and promotes the goals of the university in which it is located, including training, the development of new knowledge and service. The UAP's goals, objectives and activities must be consistent with the mission statement.
(c) The UAP's mission and programs must reflect a life span approach, incorporate an interdisciplinary approach and include the active participation of individuals with developmental disabilities and their families.
(d) The UAP programs must address the needs of individuals with developmental disabilities, including individuals with developmental disabilities who are unserved or underserved, in institutions, and on waiting lists.
(e) The UAP's mission must reflect a commitment to culturally competent attitudes and practices, which are in response to local culture and needs.
(f) The UAP's mission must reflect its unique role as a bridge between university programs, individuals with developmental disabilities and their families, service agencies and the larger community.
(g) The UAP's goals, objectives, and activities must be consistent with the mission statement and use capacity building strategies to address State's needs.
(h) The UAP's goals, objectives, and activities must reflect interagency collaborations and strategies to effect systemic change within the university and in State and local communities and service systems.
Sec. 1388.4 Program criteria--governance and administration.
(a) Introduction to governance and administration: The UAP must be associated with, or an integral part of, a university and promote the independence, productivity, integration, and inclusion of individuals with developmental disabilities and their families. (The concept of "diverse network'' as defined in Sec. 1388.1 of this part applies to paragraphs (b), (c), (d), (i), and (l) of this section.)
(b) The UAP must have a written agreement or charter with the university that specifies the UAP designation as an official university component, the relationships between the UAP and other university components, the university commitment to the UAP, and the UAP commitment to the university.
(c) Within the university, the UAP must maintain the autonomy and organizational structure required to carry out the UAP mission and provide for the mandated activities.
(d) The UAP must report directly to a University administrator who will represent the interests of the UAP within the University.
(e) The University must demonstrate its support for the UAP through the commitment of financial and other resources.
(f) UAP senior professional staff must hold faculty appointments in appropriate academic departments of the host or an affiliated university, consistent with university policy. UAP senior professional staff contribute to the university by participation on university committees, collaboration with other university departments, and other university community activities.
(g) UAP faculty and staff must represent the broad range of disciplines and backgrounds necessary to implement the full inclusion of individuals with developmental disabilities in all aspects of society, consonant with the spirit of the Americans with Disabilities Act (ADA).
(h) The UAP must meet the requirements of section 109 of the Act [42 U.S.C. 6008] regarding affirmative action. The UAP must take affirmative action to employ and advance in employment and otherwise treat qualified individuals with disabilities without discrimination based upon their physical or mental disability in all employment practices.
(i) The management practices of the UAP, as well as the organizational structure, must promote the role of the UAP as a bridge between the University and the community. The UAP must actively participate in community networks and include a range of collaborating partners.
(j) The UAP's Consumer Advisory Committee must meet regularly. The membership of the Consumer Advisory Committee must reflect the racial and ethnic diversity of the State or community in which the UAP is located. The deliberations of the Consumer Advisory Committee must be reflected in UAP policies and programs.
(k) The UAP must maintain collaborative relationships with the State Developmental Disabilities Council and the Protection and Advocacy agency. In addition, the UAP must be a member of the State Developmental Disabilities Council and participate in Council meetings and activities, as prescribed by the Act.
(l) The UAP must maintain collaborative relationships and be an active participant with the UAP network and individuals, organizations, State agencies and Universities.
(m) The UAP must demonstrate the ability to leverage resources.
(n) The UAP must have adequate space to carry out the mandated activities.
(o) The UAP physical facility and all program initiatives conducted by the UAP must be accessible to individuals with disabilities as provided for by section 504 of the Rehabilitation Act and Titles II and III of the Americans with Disabilities Act.
(p) The UAP must integrate the mandated core functions into its activities and programs and must have a written plan for each core function area.
(q) The UAP must have in place a long range planning capability to enable the UAP to respond to emergent and future developments in the field.
(r) The UAP must utilize state-of-the-art methods, including the active participation of individuals, families and other consumers of UAP programs and services to evaluate programs. The UAP must refine and strengthen its programs based on evaluation findings.
(s) The UAP Director must demonstrate commitment to the field of developmental disabilities and leadership and vision in carrying out the mission of the UAP.
Sec. 1388.5 Program criteria--preparation of personnel.
(a) Introduction to preparation of personnel: UAP interdisciplinary training programs reflect state-of-the-art practices and prepare personnel concerned with developmental disabilities to promote the independence, productivity, integration and inclusion of individuals with developmental disabilities and their families.
(b) UAP interdisciplinary training programs must be based on identified personnel preparation needs and have identified outcomes that are consistent with the mission and goals of the UAP.
(c) The interdisciplinary training process, as defined by the UAP, must reflect a mix of students from diverse academic disciplines/ academic programs and cultures that reflect the diversity of the community. Faculty represent a variety of backgrounds and specialties, including individuals with disabilities and family members, and a variety of learning experiences, as well as reflecting the cultural diversity of the community. Trainees must receive academic credit as appropriate for participation in UAP training programs.
(d) Preservice training must be integrated into all aspects of the UAP, including community training and technical assistance, direct services (if provided), and dissemination.
(e) Trainees must be prepared to serve in a variety of roles, including advocacy and systems change. The UAP must encourage graduates to work in situations where they will promote the independence, productivity, integration and inclusion of individuals with developmental disabilities and their families.
(f) The UAP must influence University curricula to prepare personnel who, in their future career in a broad range of social and community roles, will contribute to the accommodation and inclusion of individuals with developmental disabilities, as mandated in the Americans with Disabilities Act.
(g) The UAP core curriculum must incorporate cultural diversity and demonstrate cultural competence. Trainees must be prepared to address the needs of individuals with developmental disabilities and their families in a culturally competent manner.
(h) The UAP core curriculum must prepare trainees to be active participants in research and dissemination efforts. In addition, the curriculum must prepare trainees to be consumers of research as it informs practice and policy.
Sec. 1388.6 Program criteria--services and supports.
(a) Introduction to services and supports: The UAP engages in a variety of system interventions and may also engage in a variety of individual interventions to promote independence, productivity, integration and inclusion of individuals with developmental disabilities and their families.
(b) UAP community training and technical assistance activities must:
(1) Use capacity building strategies to strengthen the capability of communities, systems and service providers;
(2) Plan collaboratively, including the participation of individuals with developmental disabilities and their families;
(3) Target to a wide range of audiences, including individuals with disabilities, family members, service and support personnel, and community members;
(4) Plan and be structured in a manner that facilitates the participation of targeted audiences; and
(5) Address the unique needs of individuals with developmental disabilities and their families from diverse cultural and ethnic groups who reside within the geographic locale.
(c) Direct Services. These requirements apply only where direct services are offered.
(1) A UAP must integrate direct services and projects into community settings. These services may be provided in a service delivery site or training setting within the community including the university. Direct service projects may involve interdisciplinary student trainees, professionals from various disciplines, service providers, families and/ or administrators. Direct services must be extended, as appropriate, to include adult and elderly individuals with developmental disabilities. The UAP must maintain cooperative relationships with other community service providers, including specialized state and local provider agencies.
(2) Services and projects provided in community-integrated settings are to:
(i) Be scheduled at times and in places that are consistent with routine activities within the local community; and
(ii) Interact with and involve community members, agencies, and organizations.
(3) The bases for the services or project development must be:
(i) A local or universal need that reflects critical problems in the field of developmental disabilities; or
(ii) An emerging, critical problem that reflects current trends or anticipated developments in the field of developmental disabilities.
(4) State-of-the-art and innovative practices include:
(i) Services and project concepts and practices that facilitate and demonstrate independence for the individual, community integration, productivity, and human rights;
(ii) Practices that are economical, accepted by various disciplines, and highly beneficial to individuals with developmental disabilities, and that are integrated within services and projects;
(iii) Innovative cost-effective concepts and practices that are evaluated according to accepted practices of scientific evaluation;
(iv) Research methods that are used to test hypotheses, validate procedures, and field test projects; and
(v) Direct service and project practices and models that are evaluated, packaged for replication and disseminated through the information dissemination component.
Sec. 1388.7 Program criteria--dissemination.
(a) Introduction to dissemination: The UAP disseminates information and research findings, including the empirical validation of activities related to training, best practices, services and supports, and contributes to the development of new knowledge. Dissemination activities promote the independence, productivity, integration and inclusion of individuals with developmental disabilities and their families.
(b) The UAP must be a resource for information for individuals with developmental disabilities and their families, community members, State agencies and other provider and advocacy organizations, produce a variety of products to promote public awareness and visibility of the UAP, and facilitate replication of best practices.
(c) Specific target audiences must be identified for dissemination activities and include individuals with developmental disabilities, family members, service providers, administrators, policy makers, university faculty, researchers, and the general public.
(d) UAP dissemination activities must be responsive to community requests for information and must utilize a variety of networks, including State Developmental Disabilities Councils, Protection and Advocacy agencies, other University Affiliated Programs, and State service systems to disseminate information to target audiences.
(e) The process of developing and evaluating materials must utilize the input of individuals with developmental disabilities and their families.
(f) The values of the UAP must be reflected in the language and images used in UAP products.
(g) Dissemination products must reflect the cultural diversity of the community.
(h) Materials disseminated by the UAP must be available in formats accessible to individuals with a wide range of disabilities, and appropriate target audiences.
(i) The UAP must contribute to the development of the knowledge base through publications and presentations, including those based on research and evaluation conducted at the UAP.
Sec. 1388.8 [Reserved]
Sec. 1388.9 Peer review.
(a) The purpose of the peer review process is to provide the Commissioner, ADD, with technical and qualitative evaluation of UAP applications, including on-site visits or inspections as necessary.
(b) Applications for funding opportunities under part D, Section 152 of the Act, must be evaluated through the peer review process.
(c) Panels must be composed of non-Federal individuals who, by experience and training, are highly qualified to assessthe comparative quality of applications for assistance.