UTC CERTS & REPS SURVEY GUIDANCE - 1 - 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
20
Embed
Completing the Electronic Annual Certifications ... · Completing the Electronic Annual Certifications & Representations Survey: Supplier Guidance ... This document is your
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
UTC CERTS & REPS SURVEY GUIDANCE
- 1 -
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
UTC CERTS & REPS SURVEY GUIDANCE
- 2 -
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
UTC CERTS & REPS SURVEY GUIDANCE
- 3 -
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
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
UTC CERTS & REPS SURVEY GUIDANCE
- 16 -
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
Yes / No response required
UTC CERTS & REPS SURVEY GUIDANCE
- 17 -
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.
UTC CERTS & REPS SURVEY GUIDANCE
- 18 -
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: