View
1
Download
0
Category
Preview:
Citation preview
UTAS CERTS & REPS SURVEY GUIDANCE
- 1 -
UTAS
Completing the Electronic Annual Certifications & Representations
Survey: Supplier Guidance
Name: Supplier Guidance: Completing the Electronic Annual Certifications &
Representations Survey
Owner: UTAS Compliance
Revision: 1.0
Date: October 31, 2018
UTAS CERTS & REPS SURVEY GUIDANCE
- 2 -
Table of Contents
1.0 Introduction ................................................................................................................... 3
1.1 UTC Supplier Portal Certs and Reps Electronic Application ...................................... 3
2.0 UTC Supplier Portal Survey Application .................................................................. 4
2.1 Certs and Reps Survey................................................................................................ 4
2.2 Issue Resolution.......................................................................................................... 7
3.0 Advance Preparation / Required Uploads ................................................................ 7
3.1 List of Survey Regulatory References .......................................................................... 8
UTAS CERTS & REPS SURVEY GUIDANCE
- 3 -
1.0 Introduction
The Annual Certifications and Representations is collected annually from all UTC
suppliers in compliance with regulatory, public law, FAR and DFAR requirements.
All Suppliers are required to respond to all the required fields of this certification as the
regulatory, public laws, FAR and DFARS apply to their business. This document is your
company certification that specific obligations under individual purchase orders will be
met. Certain of these requirements are invoked by dollar thresholds, contract type, or
other conditions of the purchase order. All regulatory, FAR and DFARS references are
provided below. It is recommended that your company understand the requirements
prior to completing this electronic form.
1.1 UTC Supplier Portal Certs and Reps Electronic Application
The deployment of the electronic application was announced on March 15th 2017.
What is the Certs & Reps Application?
This Supplier Portal-based survey application will streamline and centralize the
required collection of Certifications and Representations. Via the new tool,
suppliers will be able to complete Certs & Reps (form P33) for all UTC
Businesses with whom they currently do business. The electronic collection of
this information will allow for consistency of the process for all Quality Approved
US Domestic Suppliers. The electronic collection will allow all UTAS business
units to access the document which will be retained centrally. This means that
the supplier will only need to complete their Certifications and
Representations once annually.
What is the value to us and the supplier?
This tool will convert a manually-intensive process, leading to inefficiency and
compliance escapes, into a single-stop-shop for all UTC Suppliers. It is a single
UTC-wide online tool, complete with email Alerts/Notifications.
Once the supplier submits their C&R the portal will send reminders to them at 90, 60 &
30 days prior to the DDTC Expiration Date if applicable or their End Cert Date which is
one year from the submission.
An additional Certs & Reps guidance document is available for suppliers on the portal.
Suppliers who have specific questions should contact their UTAS Business Unit Buyers .
UTAS CERTS & REPS SURVEY GUIDANCE
- 4 -
2.0 UTC Supplier Portal Survey Application
2.1 Certs and Reps Survey
Access survey: https://suppliers.utc.com/Surveys/CertsAndReps/Survey/Index/9268
1. You can search by your Supplier Location (SL) or SAP ZVND number
Enter either into the search box and hit enter.
If you don’t know your supplier location number or ZVND code enter the name of
your supplier into the search box and hit enter.
2. Select your Supplier Location when the tool populates
SUPPLIER CODE AND NAME WILL APPEAR HERE
Supplier Name
Code
Supplier Name
Supplier Name
Supplier Location
Supplier Email
UTAS CERTS & REPS SURVEY GUIDANCE
- 5 -
3. Check the SL to ensure your supplier has a Location Administrator.
If you’re SL Does Not Have an Assigned Supplier Location Administrator,
You can assign one by using the edit button.
The Supplier location Administrator can then add a Certs & Reps User and Certs
& Reps Signer (these can be the same or different people at the supplier). The
Cert User completes the information on the portal application C&R, then the
signer can review and sign off on the submission. The Signer must be authorized
to contractually commit their company.
Edit Button Information:
The Edit Button will take you to the page where you can edit your Supplier Location
information.
Supplier address, City & State
SL Number
Note: blank fields
shown here, will
contain Supplier
Specific
information
Buyers etc..
John Doe
Jane Smith
Certs & Reps
User and
Signer must
be assigned
by the SL
Location
Admins.
Using the
Edit Button
UTAS CERTS & REPS SURVEY GUIDANCE
- 6 -
Supplier who have Supplier Locations on the Portal will already have their companies’
primary information on the location site.
Edits to the Certs & Reps User and Signer can be done here.
4. Once you have assigned a Certs & Reps User and Signer they will receive an
invitation from the Portal to submit their Certs & Reps. This is typically an
overnight update and an invitation would be sent the day after the C&R User and
Signers have been updated.
Final Signature must be completed by an Authorized Signer from the Supplier Location who is authorized to contractually commit the suppliers company.
*If you’re C&R User and or Signer does not receive an invitation please contact the
survey support team: suppliersurveyssuppt@utc.com/
Name Name
UTAS CERTS & REPS SURVEY GUIDANCE
- 7 -
5. Once the Cert is updated you will see the information as shown below. Scroll
down the page to the Certs & Reps section of the page, suppliers who have
completed their C&R survey will look like this:
2.2 Issue Resolution
Any issues experienced throughout this process, please contact the UTC Help Desk at
877-434-4882 or email the survey support team at suppliersurveyssuppt@utc.com.
Please specify that you are calling regarding the UTC Aerospace Systems application
for the new Supplier Portal at Suppliers.utc.com.
3.0 Advance Preparation / Required Uploads
In advance of completing the survey the supplier will need to prepare in advance to
ensure that all of the required uploads are available prior to the submission.
If your business is located in a HUB Zone: The HUB Zone Certification received
from the SBA is a required upload.
If your business is certified as Minority Owned and Controlled: A NMSDC
(National Minority Supplier Development Council) Certification is a required
upload.
A. List of Supplier Information
Type of Business
Country of Legal Entity Incorporation
US owned Yes/No
If Yes Incorporated under the laws of which state
Signer Name will appear here
UTAS CERTS & REPS SURVEY GUIDANCE
- 8 -
Year Founded
Congressional District
Fiscal Year End
3.1 List of Survey Regulatory References
B. Business Size: 18 U.S.C. 1001
Under 15 U.S.C. 645 (D), any person who misrepresents a firm's status as established pursuant to Sections 8(a), 8(d), 9 or 15 of the Small Business Act or any other provision of the Federal Law that specifically references Section 8(d) for a definition of program eligibility, shall (1) be punished by the imposition of fine, imprisonment, or be ineligible for participation in programs conducted under the authority of the act. Upload for State and NMSDC Certifications / please have PDF copy available
Upload for HUB Zone Certification Letter / please have PDF copy available
C. Certificate of Independent Price Determination (FAR 52.203-2)
No entry required, your signature on this certification indicates that your company is
compliant with this clause.
D. Federal Funding Accountability and Transparency Act of 2006 (Pub L 109-282)
(FAR 52 204-10)
If No is selected for Question 1, no other information is required.
If Yes is selected for Question 1, question 2 will appear.
If Yes is selected for Question 2 no other information is required.
If No is selected for Question 2 a drop down will appear and completion of information
is required.
E. Affirmative Action Compliance (FAR 52.222-25)
Acknowledgment that your company HAS or DOES NOT HAVE an Affirmative Action
Program.
If NOT, acknowledgment that your company has not had previous contracts subject to
FAR 52.222-25.
F. Equal Opportunity (FAR 52.222-26)
Yes / No response required
G. Equal Opportunity for Disabled Veterans and Veterans of The Vietnam Era (FAR
52.222-35)
Acknowledgment that your company HAS or Does Not Have
UTAS CERTS & REPS SURVEY GUIDANCE
- 9 -
Yes / No response required
H. Affirmative Action for Workers with Disabilities (FAR 52.222-36)
Acknowledgment that your company HAS or Does Not Have
Yes / No response required
I. Previous Contracts and Compliance Reports (FAR 52.222-22)
Acknowledgment that your company HAS or DOES NOT participated in contracts that
are subject to FAR 52.222-22.
If HAS, acknowledgment that your company has filed all required compliance reports.
If NOT Applicable, an Exemption selection is provided.
J. Preference for Domestic Specialty Metals (DFARS 252.225-7008-7009) Do you comply with DFARS 252.225-7008-7009 Yes or No?
If No a reason drop down is provided.
K. Union Contract information
Acknowledgment that your company HAS or DOES NOT HAVE a Union.
If Yes, Provide Union Name and Contract Expiration Date MM/DD/YY.
L. Report of Performance Outside of the United States (DFARS 252.225.7003)
No entry required, your signature on this certification indicates that your company would
be compliant with this clause if it applied to your business.
M. Suspended or Debarred Certification (FAR 52.209-6)
Acknowledgment your company IS or IS NOT presently debarred or ineligible for
contract award by US Government Agencies.
N. Certification Regarding Responsibility Matters (FAR 52.209-5)
Acknowledgment that your company HAS or HAS NOT been convicted of or had a civil
judgment.
Acknowledgment that your company IS or IS NOT presently indicted for or criminally or
civilly charged.
Acknowledgment that your company HAS or HAS NOT within a three year period
preceding this certification been notified of Delinquent Federal Taxes.
O. Subcontractor (Supplier) Code of Business Ethics (FAR 52.203-13)
Acknowledgment that your company HAS or DOES NOT HAVE an Ethics Program.
UTAS CERTS & REPS SURVEY GUIDANCE
- 10 -
P. Directorate of Defense Trade Controls Registration; Export Compliance
http://www.pmddtc.state.gov/registration/ Acknowledgment that your company manufactures defense articles listed on the United
States Munitions List. YES or NO.
If YES, your company’s registrations start and end dates MM/DD/YYYY are required.
Supplier or its Parent acknowledgment that they ARE or ARE NOT registered with
DDTC.
Acknowledgment that you employ Foreign Nationals: YES or NO.
If YES, Acknowledgment that you have a License in place to authorize access.
Acknowledgment that your company utilizes technical date: YES or NO.
If YES acknowledgment that your company has a Technology Control Plan: YES or NO.
Q. Payments to Influence Certain Federal Transactions (FAR 52.203-11)
No entry required, your signature on this certification indicates that your company would
be compliant with this clause if it applied to your business.
R. Payments of Fees, Commissions or Political Contributions to Foreign Countries
22 CFR 130.5 AND 130.6 No entry required, your signature on this certification indicates that your company would
be compliant with this clause if it applied to your business.
S. “Buy American Act-Trade Agreements” (FAR 52.225-1-4, DFARS 252.225.7000-
7001)
Acknowledgment that your company DOES or DOES NOT certify compliance with the
FAR.
T. Representation of Transportation by Air or Sea (FAR 52.247-63, DFARS
252.247.7023)
No entry required, your signature on this certification indicates that your company would
be compliant with this clause if it applied to your business.
U. HS14722 Controlled Materials for Procured Parts (Available on the SCM Portal) Certification of Toxic Chemical Release Reporting (FAR 52.223-13)
Acknowledgment of compliance to the FAR, Or, Acknowledgment of exemption to the
FAR.
V. Customs Administration C-TPAT
Acknowledgment that your company participates in a supply chain security program:
YES or NO.
IF YES, provide the name of the security program.
UTAS CERTS & REPS SURVEY GUIDANCE
- 11 -
W. Aerospace Insurance as per UTC Standard Terms & Conditions Sec. 22.
Supplier must complete the Supplier Limits and Policy Number fields provided. Mark
N/A for the policy number in categories that do not apply.
If your company has a fully executed Long Term Agreement: List the agreement number
in the field provided.
X. Certification Regarding Knowledge of Child Labor for Listed End Products (FAR 52.222-18)
Select One: WILL NOT SUPPLY
MAY SUPPLY, includes a certification statement of your companies good faith effort to determine whether forced or indentured child labor was used.
Y. Safeguarding of Covered Defense Information (DFARS 252.204-7012)
Nov 2013) Supplier Understands and is compliant Yes/ No
Z. Prohibition of Segregated Facilities (FAR 52.222-21)
No entry required, your signature on this certification indicates that your company would
be compliant with this clause if it applied to your business.
AA. Employment Reports on Disabled Veterans and Veterans of the Vietnam Era (FAR 52.222- 37)1
No entry required, your signature on this certification indicates that your company
would be compliant with this clause if it applied to your business.
AB. Certification Regarding Trafficking in Persons (52.222-50)
If applicable per the clause requirements The supplier will certify that they will not engage in any trafficking of persons
Supplier has hiring policies to protect the rights of its employees
Has notified its employees of the responsibility to report trafficking in persons violations.
AC. Business Specific Questions All Yes / No questions except where described
Does your Company perform any FAA repairs, overhauls, modification or inspections as defined in CFR Title 14. Part 145 either as a FAA approved repair station or under contract from a FAA approved repair station.
Is your company an FAA approved Repair Station
Please provide the date the certification was issued or renewed Date entry required
Please identify the type of repairs the station is rated to perform Description of repairs required
Do you perform maintenance repairs, overhauls modification
Recommended