How To

The purpose of the state change order review is to determine the reimbursement eligibility of project costs paid by a LEA for work resulting from contract modifications made after final plan review and/or addendum review. The process for submitting State Change Orders is:

STEP 1:

Electronically Complete FORM SCG-043.CO State Change Order Summary workbook and include the state project number, “SCG-043.CO”, and the State Change Order Number (SCO No.) in the .xlsx filename for each change order. This workbook contains multiple spreadsheet tabs. Follow all guidance on the first tab labeled “Instructions” for completing the subsequent spreadsheets. Click below for helpful tips and information:

• Tips for preparing SCG-043.CO spreadsheets
• Information needed to complete the SCG- spreadsheets

STEP 2:

Electronically Compile and Organize State Change Order Backup into a single .pdf file and include the state project number and SCO No. in the filename. Organize and bookmark the PDF either following the order of the entries as they are entered into the “Change Order” tab on the SCG-043.CO spreadsheet, or according to the PCO referenced in the CO Description at each spreadsheet line item. Click here for more on backup requirements.

STEP 3:

Complete FORM SCG-042.CO Notice of Change Order and include the SCO No. in the PDF file name. Follow the instructions on Form SCG-042.CO INST. Electronic signatures are preferred. General directions are provided here.

STEP 4:

Electronically Submit the completed and signed state change order package, including Form SCG-042.CO, SCG-043.CO spreadsheet and PDF backup. Ensure the electronic file names clearly indicate the associated SCO No. All Change Orders submitted to DAS MUST BE NUMERICALLY SEQUENTIAL regardless of phasing, starting with SCO No. 01.  Email the completed submission to DAS.scg.changeorder@ct.gov. The receipt date according to the inbox of this email address represents the “DATE RECEIVED BY DAS:” per Line 6 of the SCG-043.CO “Change Orders” tab. DAS uses this date to determine the six-month submission deadline pursuant to C.G.S 10-286(d). Additional electronic submission guidance can be found here.

Preparing the SCG-043.CO:

1. All change order submissions MUST include a completed FORM SCG-043.CO State Change Order Summary (active excel file for each separate change order),
   
2. DO NOT modify the Form’s layout or create a similar or custom spreadsheet. Change order submissions received that do not use this exact State Form will be returned as unreviewable. 
3. The Change Order summary is required to be submitted for DAS to perform an eligibility review, but it is not a change order.
4. The date the workbook .xlsx file is electronically received by the state will be entered by the reviewer next to the Date Received By in the top section of the change order spreadsheet and will be used to determine compliance with the six-month submission requirement.
5. Explain repair and replacement costs in existing buildings and work outside of school property lines or project limits. 
6. Refer to the Ineligible and Limited Eligible Costs Project Costs: SCG Series 4000 forms.
7. Work paid from Allowances should be entered and clearly noted as Allowance work on the SCG-043.CO spreadsheet as costs are expended. All Allowances must be reconciled and submitted for review at the end of each trade contractor’s contract. At the end of the project, a reconciliation of all project Allowances shall be submitted for review. For more details, refer to Item 1. on SCG-3050 Common Change Order Ineligibilities.

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Information needed to complete the SCG-043.CO spreadsheet:

1. Provide itemized breakdowns for change orders including both eligible and ineligible items.
2. Indicate the NAME OF THE SCHOOL where the work took place.
3. Indicate the SCHOOL DISTRICT submitting the change order.
4. Indicate the CONSTRUCTION MANAGER firm name.
5. Indicate the ARCHITECT of record for the project.
6. Indicate the STATE CHANGE ORDER number. State change orders must be submitted in sequential numerical order.
7. Indicate the firm name of the Trade Contractor and the bid package or type of work that the contractor is performing, for each trade contractor on the project.  For example, “ABC Contracting – Site Work”, or “WXYZ Corporation – General Trades”. Contact das.planreviewschools@ct.gov if your project has more than 33 trade contractors.
8. Indicate the sub-contractor change order number for each trade contractor.  
   1. If a trade contractor’s change order contains multiple Proposed Change Orders (PCOs), list each PCO separately on separate lines.
   2. Add lines to the spreadsheet as needed for submissions that include more than 10 individual change orders issued to any one trade contractor.
9. Provide a short narrative (description) of the work for each change order line item.
10. Indicate the date the change order was issued to the trade contractor.
11. Indicate the Sub-Contractor CO amount of each individual change order for each subcontractor listed. Only include trade contractor costs on the individual change order FORM SCG-043.CO spreadsheet. Other costs, such as final bond cost adjustments can be shown on the change order backup but will be reconciled at project completion. Do not include CM change order fees, bond costs or sales tax as part of the trade contractors change order amount.
12. Indicate any back-charges to other trade contractor(s) on the jobsite by listing the specific state change order number and the other trade contractor change order number in the CO Description. All back-charges must be reconciled, with balanced ADD (additional cost of work) and the DEDUCT (an amount equal to the cost of the work shown as being paid by the back-charged trade contractor) line items. Unreconciled back-charges are ineligible for reimbursement but will still be shown by the DAS as an eligible credit.
13. Indicate whether the costs submitted for the work are eligible or ineligible for grant reimbursement. Carefully review the FORM SCG-3050 Common Change Order Ineligibilities indicating typical ineligible change order costs and also review the FORM SCG-3047 6-month Rule Memorandum 4/22/16 prior to submitting a change order.
14. Total value of the change order must be the same number shown:
    • “Cost of This Change Order” (page one of SCG-042.CO),
    • “Sub-Contractor CO Amount” bottom-line (Column D, SCG-043.CO), and
    • Sum of bottom-line values of Eligible (Column I) and Ineligible (Column J) as submitted.
15. Each change order submitted must include backup documentation that provides the reason for the change order, as well as the costs associated with the change order.

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Backup requirements:

1. All change orders submitted for review and determination of eligible costs MUST include PDF back-up documentation.
2. Clearly indicate in the file name the State Change Order Number (SCO No.) being submitted. All Change Orders submitted to the DAS MUST BE NUMERICALLY SEQUENTIAL regardless of phasing, starting with SCO No. 01.
3. Provide clear and complete copies of all backup materials related to change order costs. Maintain clear delineation of each contractor change order. Documentation must be assembled into a single, legible, complete and bookmarked PDF and include as applicable:

• Hourly field tickets where applicable
• Rental receipts,
• Prevailing wage rate information,
• Architect’s RFI responses,
• Architects Supplemental Instructions (ASI’s),
• Explanation of why change order is necessary, if not obvious,
• Explanation indicating if the change was implemented before or after work was performed in the field (i.e. whether a rework or partial rework was involved).
• Relevant email correspondence,
• Trade contractors PCO’s,
• Sketches (SK’s) issued regarding the change,
• Any other information required to back-up the cost expenditure.
  

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Completing FORM SCG-042.CO, Notice of Change Order:
In the appropriate boxes, provide:

1. Local Education Agency (LEA) name.
2. Name of the Facility associated with the project work. 
3. State Project Number with the letter suffixes indicating project type (Note: projects granted renovation status are identified with suffix RNV).
4. State Change Order Number (SCO No.) being submitted. All State Change Orders submitted to DAS must be SEQUENTIAL regardless of phasing. Multiple contractor change orders can be listed on page 2 of 2. 
5. Contractor Change Order Number (optional) column is provided for your record keeping purposes if maintaining identification numbers which differ from the State numbers. 
6. Original Construction Contract Sumis the total of the awarded publicly bid trade contracts; typically, the “hard cost” of the construction project associated with the change order.
7. Net Cost of All Previous Change Orders is a running total of all previous construction contract revisions. For example, if submitting SCO #01, this line will be $0.00. For SCO #2 this will be the total amount shown as the cost of SCO #01, regardless of eligibility determination. For SCO #3, this will be the total amount of SCO #01 plus SCO #02, etc.
8. Cost of This Change Order is the sum of the ELIGIBLE ITEMS + INELIGIBLE ITEMS shown on page 2 of 2 and must match exactly the total on the SCG-043.CO, State Change Order Summary spreadsheet and also equal the costs shown in the backup submitted. FORM SCG-042.CO values which do not match the submitted State Change Order Summary spreadsheet will either be returned to the LEA as unreviewable or will have a pro-rated cost adjustment made for the difference in the change order values and shown on the determination letter.
9. Reason for change and/or description of unforeseen circumstance. Briefly describe the change and the reasons, for example, code requirement, unforeseen circumstance, or emergency situation which led to the making of this change order. The second page of the form provides space for a list of itemized overview of the change order reason. Enclose attachments to justify costs for each line entry on the accompanying SCG-043.CO change order spreadsheet. 
10. On the first page of the form under the section labeled Certifications: Check the appropriate box in the certification section indicating whether the change order is being submitted as fully eligible, fully ineligible, or partly eligible and ineligible. Obtain all signatures and dates on the appropriate lines. Note that the date(s) shown in the certifications section are not relevant to the six-month submission requirement.
11. On the second page of the form, provide details of the change order cost categorized by Eligible Items and Ineligible Items, , or indicate “refer to attached spreadsheet”. Use positive costs for items new to the contract and project cost increases. Use negative costs for deletions or decreases to the project. List and sum the cost changes for all eligible items and also for all ineligible items included in this change order in the spaces provided. The total value indicated in the "Cost of this Change Order” line on the front page is the sum of all eligible items and ineligible items.
12. In the same state change order, provide adds and deducts for back charges which will result in a zero bottom-line on the spreadsheet.

Submitting completed SCO package for DAS review:

Email the completed Change Order Summary (SCG-043.CO), Notice of Change Order (SCG-042.CO), and change order backup to DAS.scg.changeorder@ct.gov.

• Summary sheets are collected in a mailbox that is monitored.
• Do not include salutations or information in the body of the email,
• Subject line of the email must:
  • Start with:
    • The State Project Number
    • The designated project type (CV, RNV, RR, E/A, etc.),
  • Followed by:
    • Project name,
    • School Type (High school, M/S, E. S., Pre-k~3, etc.)
    • State Change Order Number.
• Emailed summary sheets not formatted correctly will delay review

NOTE:- Examples of acceptable
                        - 099-0234 RNV   Springfield MS – CO #01
                        - SPN#034-0119 RR   Springfield High School CO 12,
                        - 004-0001 E/A Springfield PreK-5 school: change order No. 3
- Examples of unacceptable
                        - JFK high school – change order
                        - Springfield 151 - C/O 12,
                        - TMP-004-JJLP:  No. 3.