Supplier Profile – Responsibility and Capability Questionnaire



FOR NORTHROP GRUMMAN USE ONLYCURRENT SUPPLIER NO. (IF AVAILABLE) FORMTEXT ?????PARENT SUPPLIER NO. (IF APPLICABLE) FORMTEXT ?????REQUEST TYPE FORMCHECKBOX NEW SUPPLIER FORMCHECKBOX CHANGE FORMCHECKBOX UNBLOCK FORMCHECKBOX REQUALIFICATION FORMCHECKBOX SOLICITATION(RFQ/RFP/RFI) FORMCHECKBOX NEW REMITTANCE SUPPLIER FORMCHECKBOX CHANGE REMITTANCE SUPPLIER FORMCHECKBOX PARTS ASL SUPPLIERPST CODE. (IF AVAILABLE) FORMTEXT ?????PART 1 – GENERAL SUPPLIER INFORMATIONSUPPLIER FULL LEGAL NAME(Limit 35 characters) FORMTEXT ????? FORMTEXT ?????DOING BUSINESS AS OR DIVISION FORMTEXT ????? FORMTEXT ?????STREET ADDRESS FORMTEXT ?????CITY FORMTEXT ?????STATE/REGION FORMTEXT ??ZIP CODE FORMTEXT ?????COUNTRY FORMTEXT ?????MAIN TELEPHONE NO. FORMTEXT ?????COMPANY ANNUAL SALES$ FORMTEXT ?????NO. OF EMPLOYEES FORMTEXT ?????BUSINESS START DATE FORMTEXT ?????FISCAL YEAR-END CLOSE DATE FORMTEXT ?????DUNS NO. FORMTEXT ?????UEI NO. FORMTEXT ?????CAGE CODE (IF APPLICABLE) FORMTEXT ????? FORMTEXT ?????. FORMTEXT ?????BUSINESS TYPE (SELECT ALL THAT APPLY) FORMCHECKBOX MANUFACTURER (OEM/OCM) FORMCHECKBOX CONSTRUCTION, INSTALLATION ETC. FORMCHECKBOX FINANCE COMPANY FORMCHECKBOX FACTORY AUTHORIZED DISTRIBUTOR OR RESELLER FORMCHECKBOX CONSULTANT FORMCHECKBOX TECHNICAL SERVICES FIRM FORMCHECKBOX MANUFACTURER’S REPRESENTATIVE FORMCHECKBOX STAFFING SERVICES PROVIDER FORMCHECKBOX UNIVERSITY (OR UNIVERSITY AFFILIATE) FORMCHECKBOX PROCESSOR: PLATING, CLEANING, TESTING, ETC. FORMCHECKBOX ENGINEERING SERVICES FORMCHECKBOX GOVERNMENT AGENCY FORMCHECKBOX OTHER FORMTEXT ?????IF MANUFACTURER (OEM/OCM) IS CHECKED ABOVE, PLEASE ATTACH A LISTING OF ALL YOUR AUTHORIZED DISTRIBUTORS AND RESELLERS OR INCLUDE A LINK WHERE THE INFORMATION CAN BE FOUND.IF FACTORY AUTHORIZED DISTRIBUTOR OR RESELLER IS CHECKED, PLEASE ATTACH A LISTING OF ALL MANUFACTURERS FOR WHICH YOU HAVE AUTHORIZION TO DISTRIBUTE.CHECK THE APPROPRIATE BOX BELOW:? FORMCHECKBOX ?ALL ITEMS ARE PURCHASE DIRECTLY AND EXCLUSIVELY FROM THE MANUFACTURER. FULL TRACEABILITY IS AVAILABLE UPON REQUEST. FORMCHECKBOX ?NOT ALL ITEMS ARE PURCHASE DIRECTLY AND EXCLUSIVELY FROM THE MANUFACTURER. TRACEABILITY MAY BE AVAILABLE BUT IS NOT GUARANTEED.SUPPLIER INCORPORATED OR ORGANIZED IN (MAKE ONLY ONE SELECTION AND COMPLETE SECTIONS NOTED. FORMCHECKBOX THE UNITED STATES FORMCHECKBOX OTHER; IDENTIFY COUNTRY OF INCORPORATION: FORMTEXT ?????COMPANY HAS ACCESSED, READ, AND UNDERSTANDS NORTHROP GRUMMAN’S STANDARDS OF BUSINESS CONDUCT FOR SUPPLIERS AND OTHER TRADING PARTNERS (SOTPs) AND AGREES TO ABIDE BY THESE STANDARDS AS A CONDITION OF BECOMING, AND REMAINING AN APPROVED SUPPLIER OR TRADING PARTNER. FORMCHECKBOX YES FORMCHECKBOX NO FORMCHECKBOX EQUIVALENT (Company has Standards of Business Conduct Equivalent to NG and will provide a copy to the appropriate B/SCA, upon request)SECTION A - Parent company information (if different from Part 1) FORMCHECKBOX Same as Part 1PARENT COMPANY NAME FORMTEXT ?????STREET ADDRESS FORMTEXT ?????CITY FORMTEXT ?????STATE/REGION FORMTEXT ??ZIP CODE FORMTEXT ?????COUNTRY OF INCORPORATION FORMTEXT ?????MAIN TELEPHONE NO. FORMTEXT ????? FORMTEXT ????? FORMTEXT ?????PARENT DUNS NO. FORMTEXT ?????PARENT UEI NO. FORMTEXT ?????SECTION B - Manufacturing or warehouse address (if different from Part 1) FORMCHECKBOX Same as Part 1VN/MANUFACTURING NO. (NORTHROP GRUMMAN USE ONLY) FORMTEXT ?????CAGE CODE FORMTEXT ?????DUNS NO. FORMTEXT ?????UEI NO. FORMTEXT ????? FORMTEXT ?????MANUFACTURING POINT OF CONTACT NAME FORMTEXT ?????TELEPHONE NO. FORMTEXT ????? FORMTEXT ?????EMAIL ADDRESS FORMTEXT ?????QUALITY POINT OF CONTACT NAME FORMTEXT ?????TELEPHONE NO. FORMTEXT ????? FORMTEXT ?????EMAIL ADDRESS FORMTEXT ?????STREET ADDRESS FORMTEXT ?????CITY FORMTEXT ?????STATE/REGION FORMTEXT ??ZIP CODE FORMTEXT ?????COUNTRY FORMTEXT ?????SECTION C - Payment remittance address (if different from Part 1) FORMCHECKBOX Same as Part 1COMPANY BILLING/REMIT-TO NAME FORMTEXT ?????REMIT NO. (NORTHROP GRUMMAN USE ONLY) FORMTEXT ?????ACCTS. RECEIVABLE PRIMARY CONTACT FORMTEXT ?????TELEPHONE NO. FORMTEXT ?????EMAIL ADDRESS FORMTEXT ?????STREET ADDRESS FORMTEXT ?????CITY FORMTEXT ?????STATE/REGION FORMTEXT ??ZIP CODE FORMTEXT ?????COUNTRY FORMTEXT ?????SECTION D - Supplier Sales Tax Registration Information (Applies to suppliers who hold sales tax registrations requiring the collection of sales tax on sales to the U.S., its territories, or Canada. If supplier is a business with no tax registrations, Section D would not apply; Please check the N/A box and proceed to Section E)NORTHROP GRUMMAN REQUIRES SUPPLIERS TO PROVIDE TAX REGISTRATION INFORMATION PRIOR TO REMITTING TAX MONIES ALONG WITH INVOICE PAYMENTS. SELECT BELOW FOR ALL THE STATES/TERRITORIES IN WHICH YOUR COMPANY HOLDS REGISTRATIONS FOR SALES/TAX. IF NONE, CHECK N/A FORMCHECKBOX ALABAMA FORMCHECKBOX GEORGIA FORMCHECKBOX MARIANA ISLANDS FORMCHECKBOX NEW BRUNSWICK FORMCHECKBOX ONTARIO FORMCHECKBOX TEXAS FORMCHECKBOX ALBERTA FORMCHECKBOX GUAM FORMCHECKBOX MARSHALL ISLANDS FORMCHECKBOX NEW FOUNDLAND FORMCHECKBOX OREGON FORMCHECKBOX U.S. VIRGIN ISLANDS FORMCHECKBOX ALASKA FORMCHECKBOX HAWAII FORMCHECKBOX MARYLAND FORMCHECKBOX NW TERRITORIES FORMCHECKBOX PALAU FORMCHECKBOX UTAH FORMCHECKBOX AMERICAN SAMOA FORMCHECKBOX IDAHO FORMCHECKBOX MASSACHUSETTS FORMCHECKBOX NEW HAMPSHIRE FORMCHECKBOX PENNSYLVANIA FORMCHECKBOX VIRGIN ISLANDS FORMCHECKBOX ARIZONA FORMCHECKBOX ILLINOIS FORMCHECKBOX MICHIGAN FORMCHECKBOX NEW JERSEY FORMCHECKBOX PRINCE EDWARD ISLAND FORMCHECKBOX VERMONT FORMCHECKBOX ARKANSAS FORMCHECKBOX INDIANA FORMCHECKBOX MICRONESIA FORMCHECKBOX NEW MEXICO FORMCHECKBOX PUERTO RICO FORMCHECKBOX VIRGINIA FORMCHECKBOX BRITISH COLUMBIA FORMCHECKBOX IOWA FORMCHECKBOX MINNESOTA FORMCHECKBOX NEW YORK FORMCHECKBOX QUEBEC FORMCHECKBOX WASHINGTON FORMCHECKBOX CALIFORNIA FORMCHECKBOX KANSAS FORMCHECKBOX MISSISSIPPI FORMCHECKBOX NORTH CAROLINA FORMCHECKBOX RHODE ISLAND FORMCHECKBOX WEST VIRGINIA FORMCHECKBOX COLORADO FORMCHECKBOX KENTUCKY FORMCHECKBOX MISSOURI FORMCHECKBOX NORTH DAKOTA FORMCHECKBOX SASKATCHEWAN FORMCHECKBOX WISCONSIN FORMCHECKBOX CONNECTICUT FORMCHECKBOX LOUISIANA FORMCHECKBOX MONTANA FORMCHECKBOX NOVA SCOTIA FORMCHECKBOX SOUTH CAROLINA FORMCHECKBOX WYOMING FORMCHECKBOX DELAWARE FORMCHECKBOX MAINE FORMCHECKBOX NEBRASKA FORMCHECKBOX OHIO FORMCHECKBOX SOUTH DAKOTA FORMCHECKBOX YUKON TERRITORY FORMCHECKBOX DISTRICT OF COLUMBIA FORMCHECKBOX MANITOBA FORMCHECKBOX NEVADA FORMCHECKBOX OKLAHOMA FORMCHECKBOX TENNESSEE FORMCHECKBOX FLORIDA FORMCHECKBOX N/ASECTION E – Supplier business classification and NAICS codesSee Appendix A for business classification definitions.For additional information, contact your local U.S. Small Business Administration (SBA) district office or .NOTE: The SBA establishes business size standards on an industry-by-industry basis based on the North American Industry Classification (NAICS) Ref. guide available via the Internet at , which best describes the principal nature of the product service being provided by your company. Non-U.S. business concerns should refer to for additional information.When providing a product or service that could be classified in two or more industries with different size standards, contracting officers shall apply the size standard for the industry accounting for the greatest percentage of the subcontract price.SELECT ONE BELOW (NOTE TO NON U.S. SUPPLIERS, SELECT “FOREIGN BUSINESS CONCERN’ ONLY)formcheckbox FORMCHECKBOX U.S. DOMESTIC CONCERN NOT SUBJECT TO FOREIGN OWNERSHIP, CONTROL OR INFLUENCEformcheckbox FORMCHECKBOX U.S. DOMESTIC CONCERN SUBJECT TO FOREIGN OWNERSHIP, CONTROL OR INFLUENCEformcheckbox FORMCHECKBOX FOREIGN BUSINESS CONCERNIF FOREIGN BUSINESS CONCERN IS SELECTED, SKIP THE REMAINDER OF SECTION E AND PROCEED TO SECTION F SUPPLIER CONTACT INFORMATIONSELECT ONE BELOW ACCORDING TO THE NAICS (NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM) & SIZE STANDARDSformcheckbox FORMCHECKBOX COMPANY IS OTHER THAN SMALL BUSINESS (LARGE)formcheckbox FORMCHECKBOX COMPANY IS A SMALL BUSINESS formcheckbox FORMCHECKBOX COMPANY QUALIFIES AS BOTH BASED ON NAICS AND SIZE STANDARDS SOCIOECONOMIC CLASSIFICATION FOR OTHER THAN SMALL BUSINESS (LARGE) SELECT ONE FORMCHECKBOX GOVERNMENT AGENCY FORMCHECKBOX ABILITYONE PROGRAM NON-PROFIT AGENCY FORMCHECKBOX NONTRADITIONAL DEFENSE CONTRACTOR FORMCHECKBOX HISTORICALLY BLACK COLLEGE OR UNIVERSITY (HBCU) FORMCHECKBOX WOMEN OWNED (OTHER THAN SMALL BUSINESS) FORMCHECKBOX MINORITY SERVING (EDUCATIONAL) INSTITUTION (MI) FORMCHECKBOX MINORITY OWNED (OTHER THAN SMALL BUSINESS) FORMCHECKBOX STATE COLLEGE OR UNIVERSITY (NOT HBCU OR MI) FORMCHECKBOX NON-PROFIT ORGANIZATION FORMCHECKBOX PRIVATE COLLEGE OR UNIVERSITY (NOT HBCU OR MI) FORMCHECKBOX ALASKAN NATIVE CORPORATION AND INDIAN TRIBE(OTHER THAN SMALL BUSINESS)SOCIOECONOMIC CLASSIFICATION SELECT ALL THAT APPLY FORMCHECKBOX SBA-CERTIFIED 8(A) FORMCHECKBOX ALASKAN NATIVE CORPORATION FORMCHECKBOX SMALL DISADVANTAGED BUSINESS FORMCHECKBOX LESBIAN, GAY, BISEXUAL, TRANSGENDER AND/OR QUESTIONING (LGBT+) FORMCHECKBOX WOMEN OWNED SMALL BUSINESS FORMCHECKBOX NATIVE AMERICAN FORMCHECKBOX SBA CERTIFIED HUBZONE FORMCHECKBOX NATIVE HAWAIIAN FORMCHECKBOX VETERAN OWNED SMALL BUSINESS FORMCHECKBOX NATIVE HAWAIIAN ORGANIZATION FORMCHECKBOX SERVICE DISABLED VETERAN OWNED SMALL BUSINESS FORMCHECKBOX NONTRADITIONAL DEFENSE CONTRACTOR FORMCHECKBOX ECONOMICALLY DISADVANTAGED WOMEN OWNED SMALL BUSINESS FORMCHECKBOX START-UP FORMCHECKBOX TRIBAL OWNED FORMCHECKBOX DISABILITY OWNED BUSINESS ENTERPRISESECTION E Supplier business classification, Race and Ethnicity and NAICS codes (continued)If Supplier represented its socioeconomic classification as either disadvantaged or minority owned, (i.e., Small Disadvantaged Business, Economically Disadvantaged Women-Owned Small Business or Minority Owned – Other Than Small Business) above, the supplier is requested to check the category in which its ownership falls. By checking one of the selections below, the supplier certifies that it has done so voluntarily. The supplier shall not be penalized for declining to answer. FORMCHECKBOX Black American. FORMCHECKBOX Hispanic American. FORMCHECKBOX Native American (American Indians, Eskimos, Aleuts, or Native Hawaiians). FORMCHECKBOX Asian-Pacific American (persons with origins from Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Japan, China, Taiwan, Laos, Cambodia (Kampuchea), Vietnam, Korea, The Philippines, U.S. Trust Territory of the Pacific Islands (Republic of Palau), Republic of the Marshall Islands, Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, Guam, Samoa, Macao, Hong Kong, Fiji, Tonga, Kiribati, Tuvalu, or Nauru). FORMCHECKBOX Subcontinent Asian (Asian-Indian) American (persons with origins from India, Pakistan, Bangladesh, Sri Lanka, Bhutan, the Maldives Islands, or Nepal). FORMCHECKBOX Individual/concern, other than one of the preceding. FORMCHECKBOX Decline to answerPROVIDE PRIMARY NAICS WHERE YOUR COMPANY IS OTHER THAN SMALL BUSINESS (LARGE)NAICS CODES CORRELATED TO BUSINESS SIZE (USE SEPARATE SHEET TO IDENTIFY ADDITIONAL CODES). ENTER ONE 6-DIGIT NAICS CODE PER CELL. FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ?????PROVIDE PRIMARY NAICS WHERE YOUR COMPANY IS SMALLNAICS CODES CORRELATED TO BUSINESS SIZE (USE SEPARATE SHEET TO IDENTIFY ADDITIONAL CODES). ENTER ONE 6-DIGIT NAICS CODE PER CELL. FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ?????BUSINESS SIZE CERTIFICATIONThe Supplier represents and certifies that the information provided above is true and understands that whoever for the purpose of securing a contract or subcontract under subsection (a) of Section 1207 of Public Law 99-661 misrepresents the status of any concern or person as a small business concern owned and controlled by a minority (as described in subsection (a)) shall (i) be punished by imposition of a fine, imprisonment, or both, (ii) be subject to administrative remedies including suspension and disbarment; and (iii) be ineligible for participation in programs conducted under the authority of the Small Business Act.Whoever misrepresents the status of any concern or person as a “small business concern”, a “qualified HUBZone small business concern”, a “small business concern owned and controlled by socially and economically disadvantaged individuals”, or a “small business concern owned and controlled by women”, in order to obtain for oneself or another any subcontract to be awarded pursuant to section 637(a) of this title; may (A) be punished by a fine of not more than $500,000 or by imprisonment for not more than 10 years, or both; (B) be subject to the administrative remedies prescribed by the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801–3812); (C) be subject to suspension and debarment as specified in subpart 9.4 of title 48, Code of Federal Regulations (or any successor regulation); and (D) be ineligible for participation in any program or activity conducted under the authority of this chapter or the Small Business Investment Act of 1958 (15 U.S.C. 661 et seq.) for a period not to exceed 3 years.Note: Contact the nearest office of the Small Business Administration if unable to determine business size.PART 2 – MANAGEMENT CONTROLS (use the comments/details area to elaborate where required or if necessary)QUESTIONYESNOCOMMENTS/DETAILS1. Is your company certified in C-TPAT (Customs-Trade Partnership Against Terrorism) and/or a Mutually Recognized Arrangement such as AEO (Authorized Economic Operator), Australian Trusted Trader (ATT), Canadian Partners in Protection (PIP), etc.? FORMCHECKBOX FORMCHECKBOX IF YES, IDENTIFY THE PROGRAMS BELOW FORMTEXT ?????2. Does your company source any materials, components, services, or products from international sources?If yes, will Northrop Grumman be expected to interface with an international source and/or service provider?If yes, will Northrop Grumman data and/or products need to be provided to an international source and/or service provider? FORMCHECKBOX FORMCHECKBOX IF YES, WHAT TYPES OF MATERIALS, COMPONENTS, OR PRODUCTS ARE SOURCED, AND FROM WHICH COUNTRIES? FORMTEXT ?????IF YES, PLEASE EXPLAIN FORMTEXT ?????IF YES, PLEASE EXPLAIN FORMTEXT ?????3. Does your company perform any work internationally? FORMCHECKBOX FORMCHECKBOX If No, proceed to Question 4. If Yes, proceed to Question 3A.A.Does your company have and maintain appropriate anti-human trafficking compliance plans targeted at preventing human trafficking? FORMCHECKBOX FORMCHECKBOX If yes, provide a copy of your plan and proceed to 3B. If no, proceed to 3C.B.Do the plans include the following:i.Procedures to prevent agents and subcontractors at any tier and at any dollar value from engaging in human trafficking, and to monitor, detect, and terminate any agents, subcontracts, or subcontractor employees that have engaged in such activities? FORMCHECKBOX FORMCHECKBOX ii.An employee awareness program about human trafficking, and the actions that will be taken against employees for violations? FORMCHECKBOX FORMCHECKBOX iii.A process for employee to report trafficking violations? FORMCHECKBOX FORMCHECKBOX iv.Recruitment and wage plans that only permits the use of recruitment companies with trained employees, prohibits charging recruitment fees to the employee, and ensures that wages meet applicable host country legal requirements or explains any variance? FORMCHECKBOX FORMCHECKBOX C.If no, are you currently in the process of developing such plans? FORMCHECKBOX FORMCHECKBOX IF NOT, PLEASE EXPLAIN. FORMTEXT ?????4. Does your company intentionally add Tantalum, Tin, Gold, or Tungsten to your products?? FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????5. Will you be conducting Customs Business on behalf of NGC in accordance with 19 CFR 111? (Activities involving filing transactions with U.S. Customs and Border Protection concerning the entry and admissibility of merchandise, its classification, valuation, duty payments and taxes assessed by U.S. Customs and Border Protection on imported merchandise.) FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????6. Does your company currently hold a:Medium level of assurance (MLOA) hardware digital certificate to access NG systems and tools? FORMCHECKBOX FORMCHECKBOX If yes, who is the issuer? FORMTEXT ?????b)Medium level of assurance certificate for DIBNET reporting? FORMCHECKBOX FORMCHECKBOX If yes, who is the issuer? FORMTEXT ?????If No, please reference DFARS 252.204-7012 section (c) Cyber incident reporting requirement, (3) Medium assurance certificate requirement.Is your company compliant with the requirements of FAR 52.204-21 “Basic Safeguarding of Covered Contractor Information Systems”? FORMCHECKBOX FORMCHECKBOX Is your company compliant with the requirements of DFARS 252.204-7012 “Safeguarding Covered Defense Information and Cyber Incident Reporting”? FORMCHECKBOX FORMCHECKBOX Has your company implemented all 110 controls of National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171 on your relevant information systems? If No: FORMCHECKBOX FORMCHECKBOX a)Has your company implemented all 31 Basic Security Requirement controls of the National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171? FORMCHECKBOX FORMCHECKBOX b)Has your company implemented 100 or more controls of the National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171? FORMCHECKBOX FORMCHECKBOX Is your company operating under a Plan of Action and Milestones (POAM)? FORMCHECKBOX FORMCHECKBOX What is the POAM closure date? FORMTEXT ?????What controls are pending full implementation (e.g. 3.1.1)? FORMTEXT ?????Has your company obtained Cyber Security Maturity Model Certification (CMMC)? FORMCHECKBOX FORMCHECKBOX If so, what level Certification? FORMCHECKBOX Level 1, FORMCHECKBOX Level 2, FORMCHECKBOX Level 3, FORMCHECKBOX Level 4, FORMCHECKBOX Level 5Certification Date: FORMTEXT ?????Has your company conducted a basic self-assessment of the 110 NIST 800-171 controls and submitted resulting scores to the Department of Defense (DoD) Website “Supplier Performance Rating System (SPRS)? (See DFARS 252.204-7019 and DFARS 252.204-7020 for additional information.) FORMCHECKBOX FORMCHECKBOX If “Yes”, provide date submitted to SPRS: FORMTEXT ?????Has your company obtained a NIST SP 800-171 Medium or High Assessment from the Defense Industrial Base Cyber Security Assessment Center (DIB CAC) (See DFARS 252.204-7019 and DFARS 252.204-7020)? FORMCHECKBOX FORMCHECKBOX If so, what level Assessment? FORMCHECKBOX Medium FORMCHECKBOX High Date: FORMTEXT ?????Will your company only be providing Commercial Off-The-Shelf (COTS) items to Northrop Grumman Corporation as defined in FAR 2.101? FORMCHECKBOX FORMCHECKBOX PART 3 – SUPPLIER QUALITY/MISSION ASSURANCE INFORMATIONImportant: Read before completing this sectionNorthrop Grumman assumes a basic responsibility for the quality of all contract deliverables produced under its direction. Since the quality of purchased and subcontracted supplies and services contribute substantially to our goals, it is the policy of Northrop Grumman to purchase only from those suppliers capable of maintaining adequate controls during all phases of contract performance.The purpose of this section is to obtain pre-award survey data relative to our suppliers’ quality/mission assurance methods and capabilities. This information will provide a basis for preliminary evaluation of your company’s systems prior to being approved as a supplier.Exemptions: U.S. government agencies are not required to complete Part 3. All other exceptions must be approved by Northrop Grumman Supplier Quality/Mission Assurance.QUESTIONCOMMENTSWhich best describes your core business type? Select all boxes that apply and provide evidence of successful performance. Evidence may include third party registration or a contract/program reference. Definitions of each function are provided in Appendix B: FORMCHECKBOX Manufacturer with Design Authority FORMCHECKBOX Manufacturer - Build to Print FORMCHECKBOX Distributor – Exclusively Franchised (specify each manufacturer your company is authorized to represent) FORMCHECKBOX Distributor – Partially Franchised (specify each manufacturer your company is authorized to represent) FORMCHECKBOX Distributor – Independent (not an authorized distributor for any manufacturer) FORMCHECKBOX Distributor – Independent broker FORMCHECKBOX Specialized Services FORMCHECKBOX Commercial off the shelf provider FORMCHECKBOX Tooling Supplier FORMCHECKBOX Software – not embedded FORMCHECKBOX System Integrator FORMCHECKBOX Calibration Services FORMCHECKBOX Specialized Processes FORMCHECKBOX Chemical Processing (such as plating, anodizing, metal finishing) FORMCHECKBOX Coatings FORMCHECKBOX Heat Treating FORMCHECKBOX Non-Destructive Testing (NDT) (such as x-ray, ultrasonic, penetrant, magnetic particle) FORMCHECKBOX Welding FORMCHECKBOX System Engineering FORMCHECKBOX Testing FORMCHECKBOX Digital Data Model FORMCHECKBOX Studies/Consulting Services FORMCHECKBOX Other types not listed above (specify in the Comments section) FORMTEXT ?????PART 3 SUPPLIER QUALITY/MISSION ASSURANCE INFORMATION (continued)QUESTIONYESNOCOMMENTSDo you have a registered or certified quality system that is based on one of the standards listed below? Select those that apply and attach current certificates for verification. FORMCHECKBOX FORMCHECKBOX ISO9001 FORMCHECKBOX AS9100 FORMCHECKBOX AS9120 FORMCHECKBOX Federal Aviation Regulation 145/AS9110 FORMCHECKBOX Federal Acquisition Regulation Part 21 FORMCHECKBOX Other (List in Comments) FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????3. Are you, as the supplier, compliant to any of the standards listed below? Select those that apply and provide objective evidence to substantiate your compliance. FORMCHECKBOX ISO 9001 FORMCHECKBOX AS9003 FORMCHECKBOX AS9006 FORMCHECKBOX AS9100 FORMCHECKBOX AS9110 FORMCHECKBOX Nadcap AC7004 FORMCHECKBOX ISO 17025 FORMCHECKBOX Other (List in Comments) FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????4. If requested, are you prepared to support an on-site Quality Management System, product and/or process audit by Northrop Grumman AND are Quality records available for review by Northrop Grumman personnel, if necessary, to support this or future purchases? FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????5.Is your company currently able to provide materials in compliance with: IF NO, IS YOUR COMPANY CURRENTLY WORKING TOWARDS LOCATING COMPLIANT SOURCES FOR THESE MATERIALS FORMTEXT ?????DFARS 252.225-7008 - Restriction on Acquisition of Specialty Metals FORMCHECKBOX FORMCHECKBOX DFARS 252.225-7009 - Restriction on Acquisition of Certain Articles Containing Specialty Metals FORMCHECKBOX FORMCHECKBOX DFARS 252.225-7014 Alt 1 -- Preference for Domestic Specialty Metals FORMCHECKBOX FORMCHECKBOX Do you have procedures/processes in place to segregate above DFARs compliant from non-compliant material? FORMCHECKBOX FORMCHECKBOX 6.Does your company currently have a documented process in place to detect and prevent the acquisition or delivery of counterfeit materials, parts, or products? FORMCHECKBOX FORMCHECKBOX IF YES, ATTACH A COPY OF YOUR COUNTERFEIT PREVENTION PLAN IF NO, STATE WHETHER YOU ARE WORKING TOWARDS THE DEVELOPMENT OF SUCH A PROCESS AND WHEN YOU EXPECT TO IMPLEMENT ITS USE FORMTEXT ?????7. If Yes to question 9, select which standard(s) your Counterfeit Prevention Processes are aligned with: FORMCHECKBOX AS5553 FORMCHECKBOX AS6174 FORMCHECKBOX DFARS 252.246-7007 FORMCHECKBOX Other (Specify: FORMTEXT ?????)8. Does your company source electronic parts consistent with the requirements of DFARS 252.246-7008, Sources of Electronic Parts? FORMCHECKBOX FORMCHECKBOX PART 3 SUPPLIER QUALITY/MISSION ASSURANCE INFORMATION (continued)QUESTIONYESNOCOMMENTS9. Do you require your suppliers to have a Counterfeit Prevention Program? FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????10. If Yes to question 9, do you audit your suppliers for compliance to your Counterfeit Prevention requirements? FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????11. If No to question 9, define how you ensure the authenticity of the procured product and are able to establish traceability of the product to the OCM or OEM. FORMCHECKBOX FORMCHECKBOX FORMTEXT ?????POST SUPPLIER PROFILE – RESPONSIBILITY AND CAPABILITY QUESTIONNAIRE ADDITIONAL INSTRUCTIONSW-8 OR W-9 REQUIREMENTSIf you are a U.S. company or individual, you must provide a W-9. If you are a non-U.S. company or individual, you will receive an email from Lavante, Inc. with instructions to access the Lavante portal to provide W-8 tax related information. ANNUAL REPRESENTATIONS AND CERTIFICATIONSIf Supplier is, at any time, expected to be awarded an order exceeding $10,000, in support of a United States Government (U.S.G) Contract, upon issuance of a Northrop Grumman Supplier number, Supplier shall (1) submit electronic Certifications and Representations via the Northrop Grumman OASIS Supplier Portal site at , (2) provide timely notification of any changes in these Certifications and Representations, and (3) renew these Certifications at least annually. Suppliers who have not renewed their Certifications and Representations through OASIS on or before the expiration date of their current certification period may be ineligible to receive awards in support of United States Government (U.S.G.) contracts. SUPPLIER REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTSAll written representations, certifications, and other statements that the Supplier has made herein to Buyer in connection with Buyer’s evaluation of Supplier’s responsibility and capability are accurate and truthful as of the date shown below. Supplier acknowledges that Buyer has relied upon these statements in approving this Supplier and agrees to advise the Buyer promptly in writing should there be any change in the Supplier's status with respect thereto. NAME OF COMPANY OFFICIAL/REPRESENTATIVE FORMTEXT ?????TITLE FORMTEXT ?????TELEPHONE NO. FORMTEXT ?????EMAIL ADDRESS FORMTEXT ?????SIGNATUREDATE FORMTEXT ?????FOR NORTHROP GRUMMAN INTERNAL PURPOSES ONLYNAME OF NORTHROP GRUMMAN REPRESENTATIVE FORMTEXT ?????SIGNATURE (EMAIL APPROVAL ACCEPTABLE)TITLE FORMTEXT ?????DATE FORMTEXT ?????NAME OF NORTHROP GRUMMAN REPRESENTATIVE FORMTEXT ?????SIGNATURE (EMAIL APPROVAL ACCEPTABLE)TITLE FORMTEXT ?????DATE FORMTEXT ?????NAME OF NORTHROP GRUMMAN REPRESENTATIVE FORMTEXT ?????SIGNATURE (EMAIL APPROVAL ACCEPTABLE)TITLE FORMTEXT ?????DATE FORMTEXT ?????NAME OF NORTHROP GRUMMAN REPRESENTATIVE FORMTEXT ?????SIGNATURE (EMAIL APPROVAL ACCEPTABLE)TITLE FORMTEXT ?????DATE FORMTEXT ?????APPENDIX A – Business ClassificationsBusiness ClassificationDefinitionFOREIGN BUSINESS CONCERNA business concern organized under the law of a country other than the United States, its territories or possessions and is not incorporated in the United States.MINORITY BUSINESS An organization that is: at least 51 percent unconditionally owned by one ormore individuals who are both socially and economically disadvantaged and whose management and daily business operation is controlled by one or more such individuals. In the case of a publicly owned business, at least51 percent of its stock must be unconditionally owned by one or more socially and economically disadvantaged individuals.The following groups are considered minorities:Native Americans, including American Indians, Eskimos, Aleuts and native Hawaiians.Asian Pacific Americans, including all persons having origins in Japan, China, Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands (Republic of Palau), the Northern Mariana Islands, Laos, Kampuchea (Cambodia), Taiwan, Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Republic of the Marshall Islands, or the Federated States of Micronesia.Asian Indian Americans, including all persons having origins in India, Pakistan, Bangladesh, Sri Lanka, Bhutan or Nepal.African Americans, including all persons having origin in the Black racial groups of Africa.Hispanic Americans, including all persons having origins in Mexico, Puerto Rico, Cuba, Central or South America, or other Spanish culture origins.MINORITY INSTITUTIONS (College or University only)Accredited colleges and universities or enrollment of a single minority group or a combination of minority groups, underrepresented in science and engineering and exceeds 51% percent of the total enrollment.LARGE BUSINESS CONCERNA business concern that exceeds small business size code standards established by the SBA as set forth in the Code of Federal Regulations, Title 13, Part 121.HUBZONE SMALL BUSINESS CONCERN (HUBZ)A small business concern that is owned and controlled only by United States citizens with the principal office located in a HUBZone and at least 35 percent of the employees must reside in a HUBZone. All HUBZones must receive certification by the Small Business Administration.SMALL BUSINESS (SB)A business concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and the size standard in paragraph (a) of this provision.VETERAN-OWNED SMALL BUSINESS (VOSB)A small business that is at least 51 percent owned by one or more veterans and in the case of any publicly owned business, at least 51 percent of the stock is owned by one or more veterans. One or more veterans must control the management and daily business operationsSBA CERTIFIED SMALL DISADVANTAGED BUSINESS CONCERNA business that has been certified by the U.S. Small Business Administration as eligible to participate in the 8(a) Business Development Program.Business ClassificationDefinitionSERVICE-DISABLED VETERAN-OWNED SMALL BUSINESSA small business that is at least 51 percent owned by one or more service-disabled veterans and in the case of any publicly owned business not less than 51 percent of the stock is owned by one or more service-disabled veterans. The management and daily business operations must be controlled by one or more service-disabled veterans or in the case of a veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran. SELF-CERTIFIED SMALL DISADVANTAGED BUSINESS CONCERNA small business that is at least 51 percent owned by an individual who is both a United States citizen and socially and economically disadvantaged, as defined by the Small Business Administration at 13 CFR part 124, the majority of earnings that directly accrue to such individuals. Social disadvantage must include at least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic origin, gender, physical handicap, long- term residence in an environment isolated from the mainstream of American society. Members of the following designated groups are considered socially disadvantagedEconomic disadvantage is defined as a net worth below $750,000, minus equity in primary residence and the applicant’s ownership interest. The SDB concern can self-certify as a small disadvantaged business concern consistent with 13 CFR 124. (Note: 8(a) SDB companies must be certified by the Small Business Administration).GOVERNMENT AGENCYA permanent or semi-permanent organization in the machinery of government that is responsible for the oversight and administration of specific functions, such as an intelligence agency. A government agency may be established by either a national government or a state government within a federal system. The term is not normally used for an organization created by the powers of a local government body. Agencies can be established by legislation or by executive powers.ECONOMICALLY DISADVANTAGED WOMEN-OWNED SMALL BUSINESSA small business concern that is at least 51 percent directly and unconditionally owned and controlled by one or more women who are citizens (born or naturalized) of the United States and who are economically disadvantaged. A woman is presumed economically disadvantaged if she has a personal net worth of less than $750,000, her adjusted gross yearly income averaged over the three years preceding the certification does not exceed $350,000, and the fair market value of all her assets (including her primary residence and the value of the business concern) does not exceed $6 million).WOMEN-OWNED SMALL BUSINESS (WOSB)A small business that is at least 51 percent owned by one or more women and in the case of any publicly owned business, at least 51 percent of the stock is owned by one or more women. One or more women must control the management and daily business operations. NON-PROFIT ORGANIZATIONNonprofits are also called not-for-profit corporations. Nonprofit corporations are created according to state law. Like for-profit corporations, nonprofit corporations must file a statement of corporate purpose with the Secretary of State and pay a fee, create articles of incorporation, conduct regular meetings, and fulfill other obligations to achieve and maintain corporate status. Nonprofit corporations cannot operate for profit. That is, they cannot distribute corporate income to shareholders. The funds acquired by nonprofit corporations must stay within the corporate accounts to pay for reasonable salaries, expenses, and the activities of the corporation. A vast number of organizations qualify for nonprofit status under the various definitions. Nonprofit organizations include churches, soup kitchens, charities, political associations, business leagues, fraternities, sororities, sports leagues, Colleges and Universities, hospitals, museums, television stations, symphonies, and public interest law firms.Business ClassificationDefinitionNATIVE AMERICANA person who is an American Indian, Eskimo, Aleut or Native Hawaiian, and regarded as such by the community of which the person claims to be a part. Native Americans must be documented members of a North American tribe, band or otherwise organized group of native people who are indigenous to the continental United States and proof can be provided through a Native American Blood Degree Certificate (i.e., tribal registry letter, tribal roll register number).HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU)An institution that has been determined by the Secretary of Education to meet the requirements of FAR Subpart 26.3. The term also means any nonprofit research institution that was an integral part of such a college or university before November 14, 1986.ALASKA NATIVE CORPORATION (ANC)Any regional corporation, village corporation, urban corporation, or group corporation organized under state of Alaska in accordance with the Alaskan Claims Settlement Act, which is considered a minority and economically and disadvantaged concern. The definition also includes ANC direct and indirect subsidiary corporations, joint ventures and partnerships.PRIVATE COLLEGE OR UNIVERSITY THAT IS NOT A HISTORICALLY BLACK COLLEGE OR UNIVERSITY OR MINORITY INSTITUTIONAn independent school that sets its own policies and goals and whose funding comes from tuition, investments and private donors, not from taxpayers. A private college or university does not meet the qualifications to be classified as a Historically Black College or University or Minority Institution.INDIAN TRIBEAny Indian tribe, band, group, pueblo, or community, including native villages and native groups (including corporations organized by Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska Native Claims Settlement Act that is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs in accordance with 25 U.S.C. 1452(c). This definition also includes Indian-owned economic enterprises that meet the requirements of 25 U.S.C. 1452(e).STATE COLLEGE OR UNIVERSITY THAT IS NOT A HISTORICALLY BLACK COLLEGE OR UNIVERSITY OR MINORITY INSTITUTIONA college or other institute of higher education such as a law school or graduate school that is supported by state funds, and does not meet the qualifications to be classified as a Historically Black College or University or Minority Institution.ABILITYONE PROGRAM (Formerly the Javits-Wagner-O’Day Program)A federal initiative to help people who are blind (National Industries for the Blind) or severely disabled (formerly National Industries for the Severely Handicapped (NISH), as of July 2013 SourceAmerica) find employment by working for nonprofit agencies that sell products and/or services to the U.S. Government.NATIVE HAWAIIANAny individual whose ancestors were natives, prior to 1778, of the area that now comprises the State of Hawaii.NATIVE HAWAIIAN ORGANIZATIONAny community service organization serving Native Hawaiians in the State of Hawaii which is a not-for-profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and whose business activities will principally benefit such Native Hawaiians.LESBIAN, GAY, BISEXUAL, TRANSGENDER (LGBT) BUSINESS ENTERPRISEA business that is at least 51% owned, operated, managed and controlled by an LGBT person or persons who are either U.S. citizens or lawful permanent residents. The LGBTE must exercise independence from any non-LGBT business enterprise, have its principal place of business (headquarters) in the United States and have been formed as a legal entity in the United States.Mentor-Protégé ProgramA relationship between a mentor firm, i.e., a qualified prime contractor, and a protégé firm, i.e., a qualified small business, to participate in a Mentor-Protégé agreement for the developmental assistance or technology transfer to the small business.Small Business Innovation Research (SBIR)A federal set-aside program created to strengthen the role of small businesses in federally funded research and development (R&D) while providing the government with innovative technical and scientific solutions to challenging problems.Small Business Technology Transfer (STTR)Similar in structure to SBIR, STTR funds cooperative R&D projects with small businesses in partnership with not-for-profit research institutions (such as universities), to move research to the marketplace.APPENDIX B - Functional DefinitionsFUNCTIONDEFINITIONManufacturer with design authoritySupplier has total design authority or may have limited design authority as defined by Northrop Grumman in the form of product definition documents (e.g., procurement specification, envelope drawings, and prime item development specifications). Activities typically involve the creation of technical documentation (e.g., drawings, acceptance and qualification test procedures) for which the Supplier has configuration control. Suppliers who design and manufacture complex, major/high value aerospace products, and systems are included in this class.Manufacturer – build to printSuppliers comply with requirements specified by Northrop Grumman, customer, or specification design media. Such suppliers are often times referred to as “build to print” shops including the distributors that perform a value added activity and may require the development and construction of special tooling or special test equipment.DistributorAn organization that distributes products to retailers or final customers on behalf of a manufacturer (does not add value, create, or manufacture the item sold).Specialized serviceRepair Stations that perform services only.Franchised distributerA distributer that has been authorized by an Original Component Manufacturer (OCM) or OEM to sell their products.Independent brokerAn organization that sells products without the expressed authorization from an OCM/mercial off the shelf providerCommercial Off the Shelf - Supplier who provides item that is commercially available, leased, licensed, or sold to the general public and which requires no special modification or maintenance over its life cycle. In addition, services such as installation, maintenance, repair, and training that are procured for support of an item described above are considered commercial items if they are offered to the public under similar terms and conditions or sold competitively in substantial quantities based on established catalog or market prices (typically the creator or manufacture of the item sold).Tooling supplierA supplier who designs and/or manufactures tooling that Northrop Grumman uses in the production, testing, or inspection of its products.Software- not embeddedA supplier who develops software that is not embedded in a hardware environment.System integratorSupplier that specializes in bringing together component subsystems into a whole and ensuring that those subsystems function together.Calibration servicesIn this context, the procurement of services from a supplier who provides for the calibration of Northrop Grumman or customer items. Original Equipment Manufacturers (OEM) that calibrate their own equipment are also included in this category.Specialized processesThose processes at supplier’s facilities of which the resulting outputs cannot easily be verified independently through non-destructive testing or inspection processes. Some examples include welding, plating, etc.System engineeringThe discipline of engineering concerned with how various component parts of an overall system function together. Can be defined differently in a software, hardware, or services context.TestingVerification through independent means of the adequacy of a product or service.Manufacturer with design – digital data modelSuppliers in this class may have total design authority or may have limited design authority as defined by sector in the form of product definition documents (e.g., procurement specification, envelope drawings, or prime item development specifications.). These definition documents typically involve the creation of technical documentation (e.g., drawings, acceptance and qualification test procedures) for which the Supplier has configuration control. Suppliers who design and manufacture complex, major/high value aerospace products, and systems are included in this class. Suppliers in this class use electronic design media and three-dimensional Computer-Aided Design (CAD) files to capture product design.Build to print manufacturer with digital data modelSuppliers in this class are to comply with requirements specified by sector, customer, or specifications in electronic design media, three-dimensional CAD files. ................
................

In order to avoid copyright disputes, this page is only a partial summary.

Google Online Preview   Download