Completing the Electronic Annual Certifications & Representations Survey: Supplier Guidance

Transcription

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,

2 Table of Contents 1.0 Introduction UTC Supplier Portal Certs and Reps Electronic Application UTC Supplier Portal Survey Application Certs and Reps Survey Issue Resolution Advance Preparation / Required Uploads List of Survey Regulatory References

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 15 th 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 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

4 2.0 UTC Supplier Portal Survey Application 2.1 Certs and Reps Survey Access survey: 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 Supplier Name Supplier Name Supplier Location - 4 -

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. Supplier address, City & State SL Number John Doe Jane Smith Note: blank fields shown here, will contain Supplier Specific information Certs & Reps User and Signer must be assigned by the SL Location Admins. Using the Edit Button Edit Button Information: The Edit Button will take you to the page where you can edit your Supplier Location information

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. Name Name 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/ - 6 -

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: Signer Name will appear here 2.2 Issue Resolution Any issues experienced throughout this process, please contact the UTC Help Desk at or the survey support team at 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 - 7 -

8 Year Founded Congressional District Fiscal Year End 3.1 List of Survey Regulatory References B. Business Size: 18 U.S.C 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 ) 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 ) (FAR ) 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 ) 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 F. Equal Opportunity (FAR ) Yes / No response required G. Equal Opportunity for Disabled Veterans and Veterans of The Vietnam Era (FAR ) Acknowledgment that your company HAS or Does Not Have - 8 -

9 Yes / No response required H. Affirmative Action for Workers with Disabilities (FAR ) Acknowledgment that your company HAS or Does Not Have Yes / No response required I. Previous Contracts and Compliance Reports (FAR ) Acknowledgment that your company HAS or DOES NOT participated in contracts that are subject to FAR 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 ) Do you comply with DFARS 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 ) 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 ) Acknowledgment your company IS or IS NOT presently debarred or ineligible for contract award by US Government Agencies. N. Certification Regarding Responsibility Matters (FAR ) 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 ) Acknowledgment that your company HAS or DOES NOT HAVE an Ethics Program

10 P. Directorate of Defense Trade Controls Registration; Export Compliance 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 ) 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 AND 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 , DFARS ) Acknowledgment that your company DOES or DOES NOT certify compliance with the FAR. T. Representation of Transportation by Air or Sea (FAR , DFARS ) 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 ) 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

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 ) 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 ) Nov 2013) Supplier Understands and is compliant Yes/ No Z. Prohibition of Segregated Facilities (FAR ) 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 )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 ( ) 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