Compliance Matrix

Bottom Line Up Front (BLUF): What is it?

Staring at the hieroglyphics in front of me, I was beyond overwhelmed and in way over my head. “What manner of codified, alien text am I looking at here,” I thought. Remember, all things Government and Federal contracting were completely new to me when I began this journey nearly 15 years ago. I hadn’t studied Governmental Affairs nor was I a Political Science major looking to right the “failings” of previous generations. Incredibly ignorant of me, the government and federal market industry was completely unknown to me as a viable career path upon moving to the nation's capital. I know how ridiculous that may sound now after living in the D.C. metro area for nearly 18 years now. You can’t throw a rock in any direction and NOT have it land within 20 feet of a government contractor, politician, consultant, or some form of public sector professional.

Still, here I was attempting to learn on the job without any formal training in proposal writing or editorial experience except for the minor writing and editorial work accomplished in an on-campus publication, through the kindness of strangers, during my time at Boston College. And still worse, there appeared to be no singular “Google-able” industry standard, at the time, that would clearly provide a template or uniformed layout of this foreign artifact of contextual reference that I could quickly assess and re-purpose for my own use. I hadn’t yet been introduced to the Association of Proposal Management Professionals (APMP), nor its treasure trove of content, trainings, on-line education, and proven industry templates and best practices. Honestly, I can’t definitively state that much would’ve even existed then that would’ve been accessible without some sort of secret decoder ring.

When you don’t know, find someone who does.

Seated at the feet of the proposal manager with more than 20 years of writing experience orchestrating bid submissions of some of the largest, most complex proposals, she began to lay a foundational understanding that I still carry with me today. Though our time together was limited, she was always courteous enough to spare a moment to educate me on the proposal element dominating her time on any particular day.

For this I am forever grateful.

In its most basic form, a compliance matrix is an outline that consolidates and documents the proposal instructions, evaluation criteria, and contractor “shall statements”. The compliance matrix accounts for all contractual performance and proposal submission elements in a solicitation. It accomplishes this by documenting what are considered the primary sections (C, L, and M) of a solicitation into an itemized list.

Note: The other sections of the solicitation should not be ignored, neglected, or minimized in importance. It is critically important to read, analyze, and yes – if necessary – shred through the entirety of the solicitation. In episode 309 - "What is a Proposal Outline?", of the Contracting Officer Podcast, Kevin Jans interviews Proposal Management professional, Vicki Strycharske who communicates the purpose and importance of developing a compliance matrix as a "Checklist of the proposal to make sure that you've got all of the requirements covered."

Understanding Compliance. “You Must Comply!” Compliance is the epicenter of all government contracting. Conducting business and operating in the public sector is not for the faint of heart, or corrupted. Federal and State laws, policy, and strict oversight govern the legal activities of the contracting industry like none other. Non-compliance could result in serious consequences like contract termination, fines, poor performance ratings, or ultimately debarment from competition.

The above concerns actual contract operations and business performance. However, it is important to understand serious consideration of compliance begins with the proposal. A non-compliant proposal is NOT evaluated. When pursuing federal business, producing a compliant proposal is the fundamental path necessary to obtaining an opportunity to compete.

Creating a Compliance Matrix. The method of parsing out the solicitation into the respective sections is commonly referred to as “shredding” the RFP. There are several methods employed to construct a functional compliance matrix. One of the most common methods uses a simple Excel spreadsheet to capture sections C, L, and M in individual tabs. Each tab further outlines the individual requirements associated with performing the contract work, structuring your proposal response according to the RFP instructions, and an analysis of how well your firm ranks against the RFP evaluation criteria.

It serves as a kind of checklist that helps ensure all mandatory (hard, contractor shall statements) and optional (soft, implied performance requirements) are accurately captured and addressed. Furthermore, it verifies that all requisite forms, certifications, personnel requirements, standards, and policies are adequately met by the organization.

Personally, I like to develop a multi-column matrix that captures paragraph section numbers and headers (Column A) with a direct page and in-line text reference that includes all “contractor shall” statements in bold, red letters (Columns B). As I incorporate all requirements within a particular section, I look to create parent-child relationships across the performance requirements, applicable standards and regulations, and required deliverables (Column C). For example, a section of the statement of work dedicated to providing technical engineering support may require Systems Design and Requirement Definition (Parent). The subsequent tasks and deliverables might include specific service level agreements, quality reports, and system drawings. Next, I prefer to apply a past performance and/or capability rating to each top-level requirement. This is an assessment of how well the organization may have performed similar or like (relevant) tasks on previous contract endeavors. This is also known as past performance. As I further evaluate tasks requirements and performance measures at the smallest work product, (the most basic task(s) performed on the contract), I like to provide a list of previous contracts, projects, or processes/methods employed by the organization and a brief justification that offers some kind of relevant proof-point (more on these in a later post) demonstrating the firm’s experience and successful execution. Past performance and corporate experience/capabilities are usually listed in columns D and E.

Monitor Compliance. Once established, the compliance matrix serves as a tool to govern and track proposal development. Today, there are online tools and software platforms that claim an ability to parse out a solicitation and create a trusted compliance matrix in a manner of seconds. I’ve had the opportunity to witness several demos, and I’m sure a sales rep somewhere would be eager to chew up a couple hours of your day dragging you through the latest and greatest features of their respective tools promising to drastically improve your workflow and alter your professional career. However, I’ve found such tools only serve as a mild enhancement, delivering moderate time savings to your daily routine and output. Of course, some are more effective and robust than others, but as with any software adaptation should be based on your organization’s present day requirements and needs.

A list of RFP analysis tools is presented below, in no particular order, for consideration.

With the advancement of Artificial Intelligence and Machine Learning tools, it is only a matter of time before such tools become more sophisticated and capable. Still, the skill of understanding compliance, constructing a compliance matrix, and monitoring for compliance remains vital to proposal development and successfully producing a compliant, finished product.

"Scribere verba vita" (To write is life of words)