01 · Foundation
Why "good faith efforts" is the standard you'll be graded on.
Under New York State Executive Law Article 15‑A, every contractor working on a state procurement above the Article 15‑A threshold is required to either meet the MWBE and SDVOB participation goals set in the contract, or to demonstrate good faith efforts to do so. The standard isn't intent — it's evidence. The contracting authority will evaluate program compliance by applying the GFE criteria below and weighing three contextual factors. If you can't substantiate the criteria, the program won't approve a waiver and the contract is exposed.
This manual is the working version of that standard. Read it as the bar your file has to clear — and as a description of how AXI builds the file for you as you go.
02 · How efforts are rated
Three factors the contracting entity weighs first.
Before any specific recommendation is reviewed, the program considers the context. Size of the contract sets expectations for outreach scale; location frames the certified pool you can reasonably reach; capability and availability of certified firms determines whether the goal was achievable in the first place. Every other GFE item is evaluated against this backdrop.
Size of the contract
Larger procurements warrant broader outreach, more advertisements, and more targeted negotiations. AXI auto‑scales the recommended search radius and the volume of solicitations to the contract value.
Location of the project
Reaching certified firms in the project's geographic sourcing area carries more weight than scattershot statewide outreach. AXI defaults searches to project geography and includes Census‑tract overlays for substantiation.
Capability & availability
Programs cross‑reference the certified directory against your scope. AXI's directory snapshots — pulled daily and archived per project — let you prove what was available the day the search was run, not the day of audit.
03 · The nine recommendations
What "good faith" looks like, item by item.
The program publishes nine specific recommendations a contractor is expected to demonstrate. Each card below restates the requirement in plain language on the left and shows the AXI workflow that satisfies it on the right.
Requirement 01
Use the official certified directories.
Source from the New York State Directory of Certified M/WBE Firms, and the Office of General Services directory for SDVOB firms. The program expects to see that the directory was the basis of your outreach pool, not a private contact list.
AXI · How we handle it
Directory imports pulled daily, archived per project.
- NYS MWBE, OGS SDVOB, NYC SBS, DBE, LBE, and dozens more directories — downloaded daily and snapshotted against the project so a 2026 audit can be served the 2025 list.
- Searches default to the official directory, with NAICS / NIGP / CSI code books pre‑configured per authority.
- Every search emits a timestamped, project‑scoped Search Report — the proof page a waiver reviewer wants to see.
Requirement 02
Flow EEO / MWBE / SDVOB provisions into all subcontracts.
Incorporate as part of all subcontracts the General Conditions in the prime contract which relate to Equal Employment Opportunity, MWBE, and SDVOB participation. Provisions need to actually appear in the executed sub agreements — not just in the prime.
AXI · How we handle it
Provision templates merged into every sub package.
- Per‑authority subcontract addenda live in the Plan Room and are auto‑attached to outbound sub solicitation packages.
- Sub acknowledgement is captured as a signed line item against the firm — visible from the Contract record and the GFE file.
Requirement 03
Advertise for participation in the right places.
Place advertisements in periodicals and on internet venues that specifically target MWBE and SDVOB firms for recruitment purposes. The program looks for evidence the publication choice was deliberate, not a general bid notice.
AXI · How we handle it
Curated venue list + one‑click NYS Contract Reporter post.
- An MWBE / SDVOB venue list by region — general circulation, trade association, and minority‑oriented publications — is built into the project Outreach view.
- One‑click drafting of NYS Contract Reporter postings, with the published URL and date stored on the project.
- Every advertisement keeps its publication date — the field the PROC‑3 waiver form asks for by name.
Requirement 04
Establish contact and working relationships with certified firms.
Build real, working contact with MWBE and SDVOB firms — not a single mass email. The program is looking for evidence of relationship, not transmission.
AXI · How we handle it
A CRM purpose‑built for GFE relationships.
- Every call, email, meeting, and bid package is logged against the firm and the project — visible on a single timeline.
- Firm profile carries the certified contact, sales band, work region, and prior history with your organization.
- Repeat engagements across projects are surfaced — useful evidence of relationship.
Requirement 05
Solicit and follow up in a timely manner.
Ensure solicitations are issued and that follow‑ups with MWBEs and SDVOBs happen in a timely manner. Silence between solicitation and bid closes is one of the most common waiver denials.
AXI · How we handle it
Automated cadences with hard‑stop reminders.
- Default 3 / 7 / 14‑day follow‑up cadence per solicitation, configurable per authority.
- Reminders surface in the AXI inbox until acknowledged — no firm falls off your list.
- Every send, open, and response is timestamped — feeds straight into the audit trail.
Requirement 06
Give firms adequate time to review plans & specs.
Provide MWBEs and SDVOBs adequate time to review plans, specs, and bid documents before they're expected to respond. The program weighs the gap between when documents were made available and when a response was due.
AXI · How we handle it
Project Plan Room with access timestamps.
- Plans, specs, RFPs, and addenda live in the project Plan Room — accessible to invited firms with granular permissions.
- The platform records the exact moment each firm was granted access — proof of "adequate time".
- Document versions are immutable per project — what the firm saw is what the auditor sees.
Requirement 07
Notify the program when participation is blocked.
Notify and request assistance from the Office of Economic Opportunity and Partnership Development when difficulties arise preventing MWBE or SDVOB participation. Silence on a stuck procurement reads as inaction.
AXI · How we handle it
Escalation memos drafted from the project record.
- AXI flags projects trending below goal well before a waiver is needed.
- One‑click drafting of program notification — pre‑filled with the search history, outreach log, and the specific shortfall.
- The notice and any program reply are stored in the GFE file alongside the rest.
Requirement 08
Submit a complete, acceptable Utilization Plan.
A complete Utilization Plan, reflecting the applicable participation goals for certified MWBE and SDVOB firms established in the contract, must be submitted with the bid or in accordance with the schedule the contract requires.
AXI · How we handle it
UP / UR generation against the live contract goal.
- Per‑contract goal lines (MBE / WBE / SDVOB) carry through to the Utilization Plan — no manual transcription.
- Plans submit straight to NYSCS where applicable, or export as program‑specific PDFs.
- Live goal vs. actual tracking continues through the life of the contract.
Requirement 09
Document and maintain GFE records.
Document and maintain additional records of every good faith effort taken to address the project's goals — and produce them on request. This is the catch‑all that connects every other recommendation to the file.
AXI · How we handle it
The project is the audit trail.
- Search Reports, Outreach Logs, Plan Room access, Utilization Plans, and waiver packages all live on the project record.
- The full GFE file exports as a single PDF in seconds.
- Records are immutable — edits append, they don't overwrite. What's defensible today is defensible at audit.
04 · The waiver package
Eleven items the PROC‑3 form requires — and where AXI puts each one.
If goals can't be met despite documented GFE, a Request for Waiver (PROC‑3) is submitted. The form lists eleven documentation items the request must be accompanied by. The AXI waiver wizard assembles each one from the project record automatically.
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Statement of basis for waiver
Pre‑filled narrative drafted from the contract's goal vs. actual and the GFE outcomes.
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Publications solicited in
Auto‑populated from the project's advertisement log — general, trade, and MWBE‑oriented venues.
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Dates of publication
Captured automatically when each advertisement is posted.
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Directory list of solicited MWBEs
Drawn from the project Search Report — the same daily directory snapshot used for outreach.
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Notices, dates of contact, and correspondence
Every email, call note, and bid package — exported in chronological order from the firm timeline.
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Responses received from certified MWBEs
Replies, no‑bids, declined invitations, and absence of response — all attached to the firm record.
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Contract documents made available
Plan Room manifest with the document set, version, and date access was granted to each firm.
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Negotiations undertaken
Negotiation notes, counter‑offers, and outcomes captured against each firm in the GFE log.
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Other relevant information
Free‑form attachments, supporting memos, and program correspondence stored on the project.
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Authorized representative
Contact block pulled from the project's compliance officer record — name, title, address, phone, email.
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ESD notice of application receipt (if applicable)
Captured at upload and surfaced on the waiver cover when box #3 is checked on the PROC‑3.
The waiver wizard composes a single PDF package in the order the PROC‑3 form expects, with a cover sheet and a one‑page narrative. 443 packages prepared on AXI to date — every one approved.
05 · End‑to‑end
How a project moves through GFE on AXI.
Goal setting → Search → Outreach → Plan Room → Negotiation → Utilization Plan → Reporting → (Waiver if needed). The platform is a single workspace for all of it; each step writes to the same project record that the waiver wizard reads from. Nothing is reassembled at the end — it's already assembled.
Goals locked to the contract
Authority and contract‑level MBE / WBE / SDVOB goals carry across every downstream artifact — UP, UR, search, and waiver.
Outreach as a tracked workflow
Send, follow‑up, escalate. The state of every solicitation is one of a small, named set of statuses — visible at a glance.
The file builds itself
Every step generates evidence and files it in the right place. When you need the GFE record — for a quarter‑close, a waiver, or an audit — it's there.
06 · Field checklist
Print this. Tape it to the wall.
The summary card a project manager should run through before submitting a Utilization Plan or a waiver. AXI surfaces an inline version of this list on every project; the page prints cleanly.
GFE pre‑submission checklist
Run the file through this before you submit.
Search: Run against the official certified directory for the project's scope and region; snapshot the result.
Advertise: Post in at least one MWBE/SDVOB‑oriented venue and (where applicable) the NYS Contract Reporter.
Solicit: Send outreach to every relevant certified firm; provide the bid package and Plan Room access.
Follow up: 3‑day, 7‑day, and 14‑day reminders against non‑respondents; log every contact.
Negotiate: Document any negotiations with responding firms; capture counter‑offers and outcomes.
Flow provisions: Ensure EEO / MWBE / SDVOB clauses are in every executed subcontract.
Escalate: If participation is blocked, notify the Office of Economic Opportunity and Partnership Development — save the notice.
Plan: Submit a complete Utilization Plan that reflects the contract goals and the actual sub structure.
Archive: Confirm Search Report, Outreach Log, Plan Room manifest, and any program correspondence are on the project record.
Waiver (if needed): Generate the PROC‑3 package from the AXI waiver wizard; verify all eleven items are populated.
Run your next project on AXI.
AXI handles the nine recommendations, the eleven waiver items, and the audit trail behind them — for state agencies, public authorities, universities, and primes across New York.
Sources. This field manual is derived from the NYS Homes & Community Renewal Good Faith Efforts Guide (Office of Economic Opportunity and Partnership Development) and the Empire State Development Request for Waiver Form PROC‑3 (revised 09/2025). It is an operational guide produced by AXI for working compliance professionals and is not a substitute for the governing statute, the contracting authority's directives, or counsel.