Provider Enrollment (pen)


Historically Underutilized Businesses



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Historically Underutilized Businesses

HHSC and DFPS adhere to the administrative rules, policies, and forms developed by the Health and Human Services Commission relating to Historically Underutilized Businesses (HUBs). This PEN does not require Applicants to complete a HUB Subcontracting Plan. For more information about the HUB program at HHSC, contact the HHSC HUB Coordinator at HHSCHUB@hhsc.state.tx.us.



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  1. Application Information and Requirements




    1. Use of Ideas by the State of Texas


DFPS reserves the right to use any and all ideas presented in a PEN Application unless the Applicant presents a valid legal case that such ideas are a trade secret or Confidential Information, and identifies the information as such in its PEN Application. An Applicant may not object to the use of ideas that are not the Applicant’s intellectual property and so designated in the PEN Application that:
      1. Are known to DFPS before the submission of the PEN Application,

      2. Are in the public domain through no fault of DFPS, or

      3. Become properly known to DFPS after PEN Application submission through other sources or through acceptance of the PEN Application.




    1. Property of HHSC


Except as otherwise provided in this PEN or the resulting Contract, all products produced by Applicant or Contractor as a result of this PEN or the resulting Contract become the sole property of HHSC, including, without limitation, all plans, designs, Software, and other Contract Deliverables.
      1. If Applicant or Contractor develops any copyrightable material as a result of this PEN or the resulting Contract, then Applicant or Contractor shall grant the State of Texas, DFPS, and the HHSC a royalty-free, non-exclusive, and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use, the work for governmental purposes.

      2. This Section does not apply to any report, document, or other data, or any invention of Contractor which existed prior to, or was developed or discovered identified from, its activities related to or funded by this PEN or the resulting Contract.




    1. Copyright Restrictions


HHSC and DFPS will not consider a PEN Application that bears copyright.

    1. News Releases


This Section does not preclude business communications necessary for an Applicant to develop their Application including discussions with potential Subcontractors, or required reporting to shareholders or governmental authorities.
      1. Prior to Award


Applicant may not issue a press release or provide any information for public consumption regarding its participation in the Procurement without prior written authorization. Requests should be directed to the HHSC Point of Contact identified in Section 1.4 of this PEN.

      1. After Award


Contractor may not issue a press release or provide any information for public consumption regarding their Contract with DFPS without prior written approval from DFPS Contract Manager. Requests should be directed to the DFPS Contract Manager.

    1. Hold Firm Statement


Unless withdrawn under Section 5.13 of this PEN, submitted Application, as amended, will be firm and binding through the Effective Date of any Contract Awarded under this PEN. Applicant guarantee’s the delivery of all applicable services specified in this PEN at the payment rates specified through the period of performance of the Contract Awarded under this PEN, including any Contract Renewals.

    1. Costs Incurred


Applicants understand that issuance of this PEN in no way constitutes a commitment by DFPS to Award a Contract or to pay any costs incurred by an Applicant in the preparation of an Application to this PEN. DFPS is not liable for any costs incurred by an Applicant prior to issuance of or entering into a formal Agreement, Contract, or purchase order. Costs of developing an Application, preparing for or participating in oral presentations and site visits, or any other similar expenses incurred by an Applicant are entirely the responsibility of the Applicant, and will not be reimbursed in any manner by the State of Texas.
Pursuant to Texas Government Code, Title 10, Subtitle D, Section 2155.004(a), the Applicant has not received compensation for participation in the preparation of Specifications for this Solicitation.

    1. Terms or Conditions Attached by Applicant


Any terms or conditions attached to the Application will not be considered unless specifically referred to in this PEN and may result in disqualification of the Application.

    1. Errors within PEN


Applicants must notify HHSC of any ambiguity, conflict, discrepancy, exclusionary Specifications, omission or other error in the PEN before submitting an Application. If an Applicant fails to notify HHSC of these issues, it will submit an Application at its own risk, and if awarded a Contract:
      1. Will have waived any claim of error or ambiguity in the PEN or resulting Contract;

      2. Will not contest DFPS’ or HHSC’s interpretation of such provisions(s); and

      3. Will not be entitled to additional compensation; nor relief, nor time by reason of the ambiguity, error, nor its later correction.




    1. PEN Cancellation/Partial Award/Non-Award


At its sole discretion, DFPS may cancel this entire PEN; make partial Award or no Awards.

    1. Right to Reject Applications or Portions of Applications


At its sole discretion, DFPS or HHSC may reject one, all, or portions of Applications.

    1. Amendments to Applications


Applicants have the right to amend their Application at any time prior to Award, by submitting a written Amendment to the Point of Contact, as designated in Section 1.4. DFPS or HHSC may request modifications, clarifications, and additional information to supplement Application at any time.

    1. Joint Applications


DFPS will not consider joint or collaborative Applications that require it to Contract with more than one Applicant.

    1. Withdrawal of Applications


Applicants have the right to withdraw their PEN Application from consideration at any time prior to Contract Award, by submitting a written request for withdrawal to the Point of Contact, as designated in Section 1.4.

    1. Debriefing


Any Applicant who is not awarded a Contract may request a debriefing by submitting a written request to the Sole Point of Contact as provided in Section 1.4 of this PEN. DFPS' debriefing provides information to the Applicant on the strengths and weaknesses of their Application.

    1. Protest Procedures


The protest procedure for an Applicant who is not awarded a Contract to protest an Award or tentative Award made by DFPS is allowed for competitive Procurements. This Procurement is non-competitive and cannot be protested as provided in 1 TAC §391.405.


    1. Application Submission Instructions


It is the Applicant’s responsibility to appropriately mark and deliver the Application and related materials in response to this PEN by the Application due date. Submission of an Application does not execute a Contract.

      1. Organization of Electronic Submission of Application

Applicant must organize its scanned and signed Application packets in the following order and format. Each electronic copy of its Application packet will include three (3) file folders with documents included in the following order:




        1. File Folder 1: PEN Application and Contract (Attachment A-3)


All information must be provided as requested by the Application form. Incomplete/partial Applications may not be accepted.
          1. Application MUST BE SIGNED.

          2. The PEN Application and Contract will be its own folder. Submit as a file folder named “A-3 Application”.




        1. File Folder 2: Supporting Documentation


Supporting documentation will be its own folder, such as proof of education, proof of insurance, proof of training in the Home Visiting Program selected; subcontract or subcontract template, if applicable and other requested documentation in the same order as they are requested in the PEN Application and Contract.
          1. Scan in the same order as the request appears within the PEN Application and Contract.

          2. Documents in each File Folder must be saved as individual subfolders.

          3. Submit as a file folder named “Supporting Documentation”.




        1. File Folder 3: Required Forms (Attachment B)


Required forms are included as a part of this PEN.
          1. Applicant must return all required forms with the Application.

          2. Forms must be signed where applicable.

          3. Forms must be scanned and saved on the electronic copy in the same order as requested in the Required Forms list.

          4. Forms and requested documents in each File Folder must be saved as individual subfolders.

          5. Submit as a file folder named “Required Forms”.




      1. Additional Requirements

        1. Each document, as appropriate must bear signatures where indicated by designated signature authority.

        2. All pages must be collated.

        3. All pages must be sequentially numbered.





      1. Electronic Copy


Applicant must submit) electronic copy of its entire Application via secure email to the HIP mailbox (HIP@dfps.state.tx.us) and cc the Point of Contact listed in Section 1.4 of this PEN. The electronic Application submission must be organized as directed in Section 5.16.1 of this PEN.


        1. Delivery of Applications


PEN Application must be delivered via a delivery service addressed as follows:



Table 7 - Delivery Options


Mail Application to:

Texas Department of Family and Protective Services

Attn: Carol Gordon

Prevention and Early Intervention Division

PO Box 149030

MC: 2402

Austin, TX 78714




      1. Transmission via Fax


PEN Applications submitted via fax or paper will not be accepted.

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