This instruction guide helps prime bidders complete and submit utilization plans, ensuring compliance with organizational requirements and secure data management. The utilization plans serve as a tool for prime bidders to demonstrate their commitment to working with diverse firms. Organizations may assign these plans or bidders may create them for designated opportunities. Prime bidders are required to fill out the requested information, sign the plan, and submit it for review. Organizations will then evaluate the submitted plans, either approving, denying, conditionally approving, or returning them for updates. Prime bidders may be required to resubmit updated plans by specified deadlines. This process takes place within a secure submission system, where all communications are encrypted, company information is stored on secure servers, and confidential data remains encrypted at all times.

Completing and Submitting a Utilization Plan

There are four steps to complete and submit your plan. Before you begin, carefully review the Utilization Plan Summary section for important details, including the due date and time by which the plan must be submitted. Special instructions may be included by the organization.

1. Provide information on the Utilization Plan by clicking the Fill in Utilization Plan Details button.

On the following screen, enter the estimated total bid amount (required), attach requested files (optional), and enter comments (optional). Click Save when finished to return to the plan. The Estimate Bid Transaction Amount may already be filled in by the organization.

2. Provide subcontractor information by clicking the Add Subcontractor button. Each record requires a subcontractor, contact person and address for the subcontractor, proposed amount and work description. The organization may also require the selection of work codes (e.g. NAICS), and estimated work start and end dates. If the subcontractor is being counted towards the contract goal, the firm must possess the qualifying certifications. Repeat the process for each subcontractor on the plan. For more details on adding subcontractors, refer to the Adding Subcontractors section.

3. If your proposed utilization is short of the contract goal, you may be required to request a waiver by providing details and attaching documentation of your good faith effort to meet the goal. Direct questions regarding waiver requirements to the contracting organization. Click Save Waiver Details below the section to save the information.

4. To submit the plan click Submit Utilization Plan (or Resubmit Utilization Plan for resubmissions). Enter your full name as your signature, your title, company name, and check the affirmation box. Click Submit Utilization Plan at the bottom. You will receive confirmation of your submission by e-mail and/or fax. You will also receive notification after the review on your plan is complete and action has been taken, or if additional information is required in order to complete the review.

Editing the Prime Contractor’s information on a Plan

The prime contractor section provides summary information on the prime’s participation in the plan, including certification status, goal inclusion status, dollar and percentage value of the work being self performed, and dollar and percentage value counting towards a designated goal. The value of work being self-performed is automatically calculated based on the total amount of subcontract awards listed. You can edit the information for the prime by clicking Edit in the prime contractor section.

You can count the prime towards an applicable goal on the contract if the organization allows credit for certified prime participation. Only the value being self-performed by the prime will be included in the calculation.

Adding Subcontractors

1. Identify the subcontractor by typing the firm’s name into the text field or click the Get Subcontractor link to access the full vendor database.

2. If you click Get Subcontractor you will be brought to the Search Vendors screen. Enter part of the vendor name or use the FEIN with no dashes and click Search All Matches. You can also select a Certification Type if the vendor is certified. If the organization recognizes only specific certification types for this plan, they will be listed in the red box.

In the search results click Select Vendor to the right of the vendor you want. You can also create a new vendor if they do not already have an account in the system. See the Adding a New Vendor section for details.

3. After the vendor has been selected, choose a contact person and address if multiple contacts and/or addresses exist.

4. After the vendor has been assigned, the Applicable Vendor Certifications section will populate with any qualifying certifications the firm holds. You may need to Click to refresh the certification list after assigning a vendor.

NOTE: As subcontractors are added they will appear in the Subcontractors section of the plan with their tier, certification status, goal inclusion status, participation type, dollar and percentage value of the work commitment, dollar and percentage value of the work being self-performed, and dollar and percentage value counting towards the designated goal. Use the Goal & Waiver Summary to quickly determine the dollars needed to reach a goal.

Providing Subcontract Details

Use the Subcontract Details section to provide additional information about the subcontract. Required fields are marked with an asterisk (*).

1. Choose a Subcontractor Tier from the drop-down if it is a lower tier subcontractor and add the value of the subcontract as either a percent or a dollar amount.

2. Choose if the record should be counted towards a goal, and if yes, which goal. If the subcontractor is being counted towards the contract goal, the firm must possess the qualifying certifications. Then select the subcontractor’s type of participation and note the percentage at which their participation will be counted.

NOTE: Depending on the organization’s policy you may be required to identify the percentage at which to count a subcontractor’s participation. For example, a joint venture might be counted at the percentage of certified ownership of the joint venture. A broker might be counted based on the fees/commissions earned, not the total dollar amount. The message under the options will provide guidance. If there are any questions about how to count a firm, please contact the organization directly for guidance.

3. Enter a description of the work to be performed and assign work codes. To assign work codes click the Add Work Codes button or choose from the list of approved commodity codes and click Assign Selected Work Codes. The system automatically lists all approved commodity codes for a certified firm from any of the directories and certification types recognized by the plan. Most organizations require that the work being performed by a certified subcontractor match one or more of their approved commodity codes if counting its participation toward the goal on the contract. Subcontractors can perform work in any non certified work codes/categories, but will not count towards the goal. If the firm is claimed for credit, a green check icon will appear next to all certified work codes, and a red exclamation icon will appear next to work codes not on the certification record. For plan specific questions about the rules for counting firms toward goal based upon the type of work performed please contact the organization.

• Certified firm counted for credit and assigned an approved work code.

• Certified firm counted for credit and assigned a code that is NOT approved on an applicable certification.

• Non-certified firms do not have any “approved” codes listed because they are not certified. Click Add Work Codes to assign any desired codes related to the work being performed.

4. Fill in the required Estimated Work Start and End Dates. While some organizations require this information, it is optional for others. Click the Attach File button to attach any supporting documentation and enter any comments. Click Save when finished to return to the Utilization Plan Submit Plan page.

NOTE: Subcontract records can be edited at any time prior to submission of the plan by clicking Edit in the Actions column for the subcontractor you wish to edit.

Understanding the Goal & Waiver Summary

The Goal & Waiver Summary provides a real-time tabulation of proposed utilization against the stated goals. For each goal type there is:

• The Goal is the percentage goal for a goal type (e.g. “MBE”) as required by the organization. This number does not change.
• The Plan is the proposed percentage of goal attainment for a goal type (e.g. “MBE”) based upon the assigned subcontractors counted towards the goal. This number changes as subcontract records are added, deleted, or their amounts are increased or decreased.
• The Status is the real-time status of the plan relative to a goal type (e.g. “MBE”). Statuses include X% below goal, Y% above goal, or Met goal.
• $ to Reach Goal is the dollar value equivalency of any percentage below goal. For example, the plan is 5% below goal on a $249,000 bid with a 10% goal. The 10% goal equals 24,900. Thus, 5% below goal equals $12,450 to reach goal.
• Waiver Status displays the status of any waiver request details or attachments provided.

Understanding Plan Statuses

Utilization plans have several status levels. Some status levels require that you take action and others are informational only.

• Pending Submission requires the vendor take action. The vendor will need to access the plan to complete any missing information, sign and submit.
• Submitted, Pending Review means the plan has been submitted and is pending review by the organization. No action is required by the vendor.
• Returned, Pending Resubmission requires the vendor take action. The organization has reviewed the plan and has determined that corrections and/or additional information are required. The vendor will need to access the plan to complete any missing information, sign and resubmit by the listed due date and time. The Utilization Plan Summary section will contain details as to why the plan was returned and the new due date and time.
• Conditionally Approved, Pending Resubmission requires the vendor take action. The organization has reviewed the plan and has determined that corrections and/or additional information are required. The vendor will need to access the plan to provide any required information, sign and resubmit by the listed due date and time. The Utilization Plan Summary section will contain details as to what action, updates, and/or changes are required.
• Resubmitted, Pending Review means the plan has been resubmitted and is pending review by the organization. No action is required by the vendor.
• Approved means no further changes are allowed on the plan. The details of the plan can be viewed only.
• Denied means no further changes are allowed on the plan. The details of the plan can be viewed only. The Utilization Plan Summary section will contain details as to why the plan was denied.

Utilization Plan System Notifications

The system will send notifications to the assigned contact person for the prime bidder when a new plan has been assigned to you, or an existing plan requires action be taken. You are also notified when the organization approves or denies a plan. Use the links in these notifications to log on and access the Utilization Plan directly. You will also receive a confirmation when you submitted, resubmit, or withdraw a plan.

How to Add a Subcontract Record for a Vendor not in the System

If the vendor you are assigning to a subcontract does not already have an account in the system you will have the opportunity to create one for them. All certified firms will already have an account in the system.

1. If you have searched for the vendor thoroughly and have not found them, click Add New Vendor at the bottom of the search results.

2. On the following screen complete all required fields and Tax ID.

3. At the bottom of the page click Review. The system will perform a double check validation to                   determine if the vendor is already in the system based on the information you entered.

4. On the next screen you can review the data you provided and either click to Edit or Save if correct.

5. After adding the vendor, you can return to the Utilization Plan by clicking Return to Utilization Plan.

Possible duplicate vendor warnings while adding a vendor

During the review process the system may present to you one of two types of alerts based on the data you have entered and similar data for other vendors in the system.

• No alert box - the firm does not exist. You can create a new vendor account.
• Red alert box - the system found an exact match. The vendor record cannot be saved. Use the existing vendor account listed.
• Yellow alert box - one or more pieces of information matched a vendor already in the system. It may or may not be an exact match. If you recognize the vendor listed, use the existing account; otherwise the vendor record may be saved.

How to Withdraw a Plan

If you need to make a change to a submitted plan before it is reviewed, you can withdraw it for further editing and resubmission. Click the Withdraw Utilization Plan button at the top of the Utilization Plan: View Plan page. Withdrawing a plan does not change the due date; remember to resubmit the plan before the due date. After the due date or after a decision has been made on the plan it can no longer be withdrawn.

Security

The reporting system is secure. All communications between you and the system are encrypted. Your company information is stored on computer servers in a secure facility, and confidential data is encrypted at all times. Access to your submission is strictly limited to authorized staff users.

Seeking Assistance

If you require assistance during the submission process, please contact Customer support. To contact Customer Support click the Customer Support link at the top or bottom of any page. Enter the issue and click Send. Your query will be routed to the appropriate staff user for a response. The more detailed your submission, the faster the support team will be able to determine a resolution and respond to your query.

Glossary

Plan Statuses

• Approved means no further changes are allowed on the plan. The details of the plan can be viewed only.
• Conditionally Approved, Pending Resubmission requires the vendor take action. The organization has reviewed the plan and has determined that corrections and/or additional information are required. The vendor will need to access the plan to provide any required information, sign and resubmit by the listed due date and time. The Utilization Plan Summary section will contain details as to what action, updates, and/or changes are required.
• Denied means no further changes are allowed on the plan. The details of the plan can be viewed only. The Utilization Plan Summary section will contain details as to why the plan was denied.
• Pending Submission requires the vendor take action. The vendor will need to access the plan to complete any missing information, sign and submit.
• Resubmitted, Pending Review means the plan has been resubmitted and is pending review by the organization. No action is required by the vendor.
• Returned, Pending Resubmission requires the vendor take action. The organization has reviewed the plan and has determined that corrections and/or additional information are required. The vendor will need to access the plan to complete any missing information, sign and resubmit by the listed due date and time. The Utilization Plan Summary section will contain details as to why the plan was returned and the new due date and time.
• Submitted, Pending Review means the plan has been submitted and is pending review by the organization. No action is required by the vendor.

This article provides guidance for prime bidders on completing and submitting utilization plans as part of compliance with organizational requirements. Utilization plans demonstrate a commitment to working with diverse subcontractors and may be assigned by organizations or created for specific opportunities. The system ensures secure handling of all confidential data, provides real-time tracking of plan progress toward goals, and notifies vendors of required actions, approvals, or resubmissions. Properly managing subcontractor information, goal attainment, and plan updates helps ensure compliance and accurate reporting within a secure environment.

If you still require additional assistance, close this tab and return back to the system and submit a support ticket.