completing the electronic annual certifications ... · edits to the certs & reps user and...

UTAS CERTS & REPS SURVEY GUIDANCE

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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


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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


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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 .


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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

https://suppliers.utc.com/Surveys/CertsAndReps/Survey/Index/9268


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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


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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: [email protected]/

Name Name

mailto:[email protected]/


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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 [email protected].

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

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


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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


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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 No entry required, your signature on this certification indicates that your company would


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

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

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