Standard Form (SF) 1413 Statement and Acknowledgement Form – Compliance and Reporting Tips



The SF 1413 is used by all executive agencies, including the Department of Defense and it fulfills several purposes in federal contracting.  First, it is used by the prime contractor to identify and report all applicable subcontracts (all tiers) awarded under the prime contract. Second, it identifies specific scopes of work the subcontractors will be performing, subcontract award date, and subcontract number.  Third, it provides formal notification to the applicable subcontractors of the labor laws and associated clauses they are responsible for complying with.  Since the form provides formal notification it is acknowledged by both parties and becomes a part of the contract.

Submission Requirements

The requirement for completing and submitting the SF 1413 is stipulated by Federal Acquisition Regulation (FAR) 52.222-11.  The clause states that contractors and subcontractors (all tiers) performing on a Federal contract involving construction in excess of $2,000 are required to submit a fully executed SF 1413 Statement and Acknowledgement within 14 days of award of each subcontract to the Contracting Officer.  In addition, the clause states the prime contractor is responsible for compliance by any subcontractor (all tiers) performing construction (within the United States) with the following contract clauses as listed in 52.222-11(b):

  1. Davis Bacon Act (52.222-6);
  2. Contract Work Hours and Safety Standards Act— Overtime Compensation (if the clause is included) (52.222-4);
  3. Apprentices and Trainees (52.222-9);
  4. Payrolls and Basic Records (52.222-8);
  5. Compliance with Copeland Act Requirements (52.222-10);
  6. Withholding of Funds (52.222-7);
  7. Subcontracts (Labor Standards) (52.222-11);
  8. Contract Termination—Debarment (52.222-12);
  9. Disputes Concerning Labor Standards (52.222-14);
  10. Compliance with Davis-Bacon and Related Act Regulations (52.222-13); and
  11. Certification of Eligibility (52.222-15)

Compliance Considerations

  1. Frequently I get questions such as “I am only providing painting or final cleaning services, why do I need to comply?”  Good question, and FAR 52.222-11 provides further clarification on additional scopes of work included along with other construction trades.  Without repeating the entire definition, the following bullets highlight the main elements included:
    1. Construction, alteration, or repair
    2. Remodeling and installation (items installed on site)
    3. Painting and decorating
  2. On larger more complex projects it is important for the project staff, or personnel responsible for compliance, to establish a well-defined process for distributing, collecting, and tracking completed forms for two main reasons:
    1. The 14 day timeframe doesn’t allow much time to complete and route the form for signature and submission; and
    2. The volume of forms required for multiple tiers may quickly overwhelm normal tracking methodologies used on small projects resulting in wasted time spent double checking the completion status.
  3. Other than the applicable FAR clauses there is not a significant amount of information readily available to provide guidance on completing the form should one have questions.  Although dated, several USACE districts (Corps of Engineers) have some helpful information posted on their sites.  In addition, several state level contracting offices, such as Arizona or Wisconsin, have published guidance on completing the form for their contracts.  However, I recommend caution as some information available on government websites for download is quite old and not helpful.  For example, the Secretary of Air Force Acquisition website has a version of the SF 1413 posted from 1992.  Therefore it is important to do a little research beyond the first hit on Google.

Overwhelmed with stacks of paper


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