On 30 August 2013 I wrote an article describing submission requirements and compliance considerations for SF 1413s. Since that time I have assisted a number of clients completing SF 1413s (for all tiers) and the post has had over a 1000 views, so I thought it is time to provide several additional tips. As I mentioned in August, the SF 1413 is used by all executive agencies for all applicable subcontractors at all tiers to acknowledge they are aware of the required clauses stipulated in Federal Acquisition Regulation (FAR) 52.222-11. Unfortunately there is very little published guidance available to assist contractors in completing the form. The good news is it isn’t a complex form and with a few helpful tips the process can be more easily understood.
In the example below “Prime Contractor, Inc.” is the prime contractor, “1st Tier Subcontractor” is a first tier subcontractor, and “XYZ Plumbing” is a second tier contractor under “1st Tier Subcontractor”. As this example progresses, I will highlight how lower tier subs are added to the process.
- The Prime Contractor always goes in block 4 and executes blocks 10a through 12. The subcontractor, regardless of tier, signing and acknowledging intent to comply with the listed clauses “Part II – Acknowledgement of Subcontractor” goes in block 5.
- The firm awarding the work to the Subcontractor in block 5 is listed in 7.a. – “Name of Awarding Firm”. At this point in the process it is “Prime Contractor, Inc.
- Any lower tier subcontractors are added in block 14:
- Lower tier subcontractors listed in block 14 must complete a SF 1413 Statement and Acknowledgement form. It is with the lower tier subcontractors I see the most mistakes made. The prime contractor remains listed in block 4, however the new lower tier subcontractor, XYZ Plumbing, is now list in block 5. The subcontractor (1st Tier Subcontractor) awarding the contract to XYZ Plumbing is listed in block 7a:
- XYZ Plumbing completes blocks 15 – 17 and forwards the prime contractor to complete the process and submit to the contracting officer. According to regulation, the SF 1413s are required to completed within 14 days of subcontract award.
Several state level contracting offices, such as Arizona or Wisconsin, have published guidance on completing the form for their contracts. In addition, the USACE Sacrmento District and the Fort Worth have published some guidance, but both documents are 12 and 14 years old, respectively.