Completing the Electronic Annual Certifications ... · Completing the Electronic Annual...

UTC CERTS & REPS SURVEY GUIDANCE

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UTC

Completing the Electronic Annual Certifications & Representations

Survey: Supplier Guidance

Name: Supplier Guidance: Completing the Electronic Annual Certifications &

Representations Survey

Owner: UTC Compliance

Revision: #3

Date: January 23, 2017


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Table of Contents

1) Introduction

2) UTC Supplier Portal Survey Application

3) List of referenced regulatory, FAR & DFARS

4) Advance preparation required uploads

5) Section by section form information


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1) 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.

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 UTC

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.

Suppliers who have specific questions should contact their UTC Business Unit Buyers

IT IS RECOMMENDED THAT ALL SUPPLIERS REVIEW THIS GUIDANCE TO

ENSURE SUCCESSFUL SUBMISSION.

It is further recommended that this Certifications & Representations be completed by an

individual of the company who is familiar with the completion of the company annual

representations and certification to the United States Government electronically via the

System for Award Management (SAM) Web site accessed through

http://www.acquisition.gov as required under FAR 4.12 Representations and

Certifications and 52.212-3 -- Offeror Representations and Certifications -- Commercial

Items. Please note that our form includes additional elements as required by United

Technologies and its operating units.

The full Federal Acquisition Regulation (FAR) and Defense Federal Acquisition

Regulation Supplement (DFARS) clause sections can be accessed from

http://farsite.hill.af.mil/vffara.htm

http://www.acquisition.gov/

http://farsite.hill.af.mil/vffara.htm


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2) UTC Supplier Portal Survey Application

A) Registration Process:

The process begins when the supplier Location Administrator receives an e-mail

invitation to complete their Certs & Reps Survey on the UTC Supplier Portal.

Need Support?

Please email [email protected]. Please provide your SL ID (Supplier Location ID

see page 12). Please specify that your issue is related to the Certs & Reps application for the

new Supplier Portal at Suppliers.utc.com

mailto:[email protected]?subject=Certs%20and%20Reps%20Support


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The Supplier Location Administrator will review the Terms and Conditions Step 1

Read

Acknowledge

Continue


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Location Administrator Registration: 2

Name , Contact Information

User Preferences

Continue


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Location Registration: 3

Password

Challenge questions

Continue


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Registration Confirmation

Continue to Supplier Portal Log In Screen


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B) Login screen after registration:

Need Support?

Please email [email protected]. Please provide your SL ID (Supplier Location ID

see page 12). Please specify that your issue is related to the Certs & Reps application for the

new Supplier Portal at Suppliers.utc.com

Location: http://suppliers.utc.com



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Forgot Password

Gain access:


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Certs and Reps Survey Site

Location Home Page

Edit your supplier location properties

Entry for Certs & Reps application


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Complete each Step

Need Support? Please email [email protected]. Please provide your SL ID

(Supplier Location ID see page 12). Please specify that your issue is related to the Certs &

Reps application for the new Supplier Portal at Suppliers.utc.com



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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

Year Founded

Congressional District

Fiscal Year End


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List of Referenced Regulatory, FAR and DFARS referenced on survey:

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



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H. Affirmative Action for Workers with Disabilities (FAR 52.222-36)

Acknowledgment that your company HAS or Does Not Have


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.


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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)



R. Payments of Fees, Commissions or Political Contributions to Foreign Countries

22 CFR 130.5 AND 130.6



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)



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.

http://www.pmddtc.state.gov/registration/


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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)



AA. Employment Reports on Disabled Veterans and Veterans of the Vietnam Era (FAR 52.222- 37)1



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


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Final Signature Must be completed by an Authorized Signer from the Supplier Location who is

authorized to contractually commit the suppliers company.

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