|Revision Date||July 1, 2016|
The Texas Department of Family and Protective Services (DFPS) may allow or make limited modifications to a contract to meet unanticipated needs at any point during the life of the contract. Either the contractor or DFPS may identify the need for such a change to be made. Most post-award changes to contracts will require a documented request and prior written approval.
Any post-award contract changes must not alter the scope of the contract from that for which the contract was originally procured. A new procurement is required if the proposed change is outside of the scope of the original procurement. Examples of changes that may be outside the scope of a procurement include:
- Providing new or additional services that were not described in the original procurement; or
- Providing services in geographic areas not defined in the original procurement.
The procurement and contract documents serve as the primary guide in establishing whether or not a change is allowable.
Plan change: DFPS may use a plan change to:
- Change the budget narrative;
- Make an authorized transfer of funds (referred to as budget transfers below) within the approved budget established in the contract;
- For open enrollment (PEN), change areas or services as long as the change is consistent with the original scope of the procurement. For example, a plan change cannot be used if the procurement requires five services to be performed and the contractor wants to drop a service, resulting in four services; or
- For Title IV-E pass through contracts, a plan change is appropriate to document change in contract dollar amount when identified during the annual and post annual review process. Visit Title IV-E Overview to follow procedures.
Bilateral amendment: DFPS must use a bilateral amendment when the proposed change modifies any of the essential terms in a contract, including changes to the:
- The contract terms and conditions;
- A statement of work or plan of operation;
- Performance measures;
- Contract price**;
- Approved services***; and
- Geographic area to be served***
**Negotiated rates require a bi-lateral amendment. Rates changed by statute, rule, or legislation may be amended by a unilateral amendment (e.g., residential daily rates, Medicaid rates, blended rate for the Single Source Continuum Contract (SSCC)).
***If all geographic areas to be served and approved services are included within the original scope of the procurement of an open enrollment (PEN), a bilateral amendment to add additional areas or services is not necessary. A plan change or unilateral amendment is acceptable.
Unilateral amendment: DFPS may use a unilateral amendment to amend a contract under the following circumstances:
- Make a change after contract execution to the open enrollment (PEN) posted on the electronic state business daily (ESBD), including open enrollment (PEN) attachments;To correct an obvious clerical error in the contract document
- To change the contract number;
- To incorporate new or revised federal or state laws, regulations, rules, or policies;
- To comply with a court order or judgment;
- To update service level descriptions;
- To update daily rates based on statute, rule or legislation;
- To change the name of the contractor in order to reflect the contractor's name as recorded by the Texas Secretary of State or as required by law;
- To change the designated DFPS mailing address for the contract;
- To change the designated contractor mailing address for the contract; or
- To change the recorded license number of any license needed under the contract in order to reflect the current number as issued by the licensing authority.
The following is a summary of all applicable requirements when considering an amendment or a plan change to a DFPS contract:
|TYPE OF CHANGE||PROGRAMMATIC REQUIREMENTS||FISCAL REQUIREMENTS|
*Bilateral amendments that equal $1 million or greater require HHSC routing for signature through Form PCS201 and 2044-1 processes.For amendments under $1 million, follow the same as in Programmatic column on left
Same as in Programmatic column
Contracts for less than $100,000
Changes not requiring DFPS approval are subject to disallowances by DFPS
Contracts for $100,000 or more
Contract staff review and respond to requests for budget revisions within 30 calendar days of receipt of the request from the contractor
*Bilateral amendments that total $1M or more must be routed for HHSC Executive Signature based on the Signature Authority policy.