Supplier Profile – Responsibility and Capability … · Web viewSupplier acknowledges, buyer has relied upon these statements in approving this supplier and agrees to advise the

SUPPLIER PROFILE – RESPONSIBILITY AND CAPABILITY QUESTIONNAIRE Form C-832 (08-19) Page 1 of 15

FOR NORTHROP GRUMMAN USE ONLYCURRENT SUPPLIER NO. (IF AVAILABLE)

PARENT SUPPLIER NO. (IF APPLICABLE)

REQUEST TYPE

NEW SUPPLIER CHANGE UNBLOCK REQUALIFICATION SOLICITATION(RFQ/RFP/RFI)

NEW REMITTANCE SUPPLIER CHANGE REMITTANCE SUPPLIER PARTS ASL SUPPLIERPST CODE. (IF AVAILABLE)

PART 1 – GENERAL SUPPLIER INFORMATION

LEGAL CONTRACTING NAME

DIVISION

DOING BUSINESS AS

CORPORATE WEBSITE

STREET ADDRESS

CITY/PROVINCE

STATE

ZIP CODE+4/POSTAL CODE

P.O. BOX

CITY/PROVINCE

STATE


COUNTRY

EMAIL ADDRESS

TELEPHONE NO.

COMPANY ANNUAL SALES

$ NO. OF EMPLOYEES

BUSINESS START DATE

FISCAL YEAR-END CLOSE DATE

DUNS NO.

CAGE CODE (IF APPLICABLE)

CONGRESSIONAL DISTRICT (U.S. COMPANIES ONLY)

FAX NO.

CLIENT RELATIONSHIP/ACCOUNT MANAGER NAME

OFFICE TELEPHONE NO.

EMAIL ADDRESS

BUSINESS OR CORPORATE STRUCTURE (SELECT ALL THAT APPLY)

PUBLIC COMPANY (TICKER SYMBOL: ) NON-U.S.-OWNED COMPANY U.S.-OWNED COMPANY

SOLE PROPRIETOR LLC PRIVATE COMPANY

PARTNERSHIP C-CORP INVERTED DOMESTIC CORPORATION

TAX STATUS

W-9 (MUST BE PROVIDED FOR U.S. COMPANIES OR INDIVIDUALS) W-8 (NON-U.S. COMPANIES AND INDIVIDUALS ONLY RECEIVE AN EMAIL FROM LAVANTE, INC.WITH INSTRUCTIONS TO ACCESS THE LAVANTE PORTAL TO PROVIDE W-8 TAX-RELATED INFORMATION).

BUSINESS TYPE (SELECT ALL THAT APPLY)

MANUFACTURER (OEM/OCM) CONSTRUCTION, INSTALLATION ETC. FINANCE COMPANY

FACTORY AUTHORIZED DISTRIBUTOR OR RESELLER

CONSULTANT TECHNICAL SERVICES FIRM

MANUFACTURER’S REPRESENTATIVE STAFFING SERVICES PROVIDER UNIVERSITY (OR UNIVERSITY AFFILIATE)

PROCESSOR: PLATING, CLEANING, TESTING, ETC.

ENGINEERING SERVICES GOVERNMENT AGENCY

OTHER 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:

ALL ITEMS ARE PURCHASE DIRECTLY AND EXCLUSIVELY FROM THE MANUFACTURER. FULL TRACEABILITY IS AVAILABLE UPON REQUEST.

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.

THE UNITED STATES OTHER; IDENTIFY COUNTRY OF INCORPORATION: COMPANY HAS ACCESSED, READ, AND UNDERSTANDS NORTHROP GRUMMAN’S SUPPLIER STANDARDS OF BUSINESS CONDUCT .

YES NO

http://www.northropgrumman.com/suppliers/Pages/SSBC.aspx


SECTION A - Parent company information (if different from Part 1) Same as Part 1PARENT COMPANY NAME

STREET ADDRESS

CITY/PROVINCE

STATE


COUNTRY OF INCORPORATION

MAIN TELEPHONE NO.

MAIN FAX NO.

MAIN WEBSITE

CONGRESSIONAL DISTRICT

PARENT DUNS NO.

SECTION B - Manufacturing or warehouse address (if different from Part 1) Same as Part 1VN/MANUFACTURING NO. (NORTHROP GRUMMAN USE ONLY)

CAGE CODE

DUNS NO

CONGRESSIONAL DISTRICT

MANUFACTURING POINT OF CONTACT NAME

TELEPHONE NO.

FAX NO.

EMAIL ADDRESS

QUALITY POINT OF CONTACT NAME

TELEPHONE NO.

FAX NO.

EMAIL ADDRESS

STREET ADDRESS

CITY/PROVINCE

STATE


COUNTRY

SECTION C - Payment remittance address (if different from Part 1) Same as Part 1COMPANY BILLING/REMIT-TO NAME

REMIT NO. (NORTHROP GRUMMAN USE ONLY)

ACCTS. RECEIVABLE PRIMARY CONTACT

TELEPHONE NO.

FAX NO.

EMAIL ADDRESS

STREET ADDRESS

CITY/PROVINCE

STATE


COUNTRY

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)

TAX CONTACT NAME

TELEPHONE NO.

EMAIL ADDRESS

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

ALABAMA GEORGIA MARIANA ISLANDS NEW BRUNSWICK ONTARIO TEXAS

ALBERTA GUAM MARSHALL ISLANDS NEW FOUNDLAND OREGON U.S. VIRGIN ISLANDS

ALASKA HAWAII MARYLAND NW TERRITORIES PALAU UTAH AMERICAN SAMOA IDAHO MASSACHUSETTS NEW HAMPSHIRE PENNSYLVANIA VIRGIN ISLANDS ARIZONA ILLINOIS MICHIGAN NEW JERSEY PRINCE EDWARD ISLAND VERMONT ARKANSAS INDIANA MICRONESIA NEW MEXICO PUERTO RICO VIRGINIA BRITISH COLUMBIA IOWA MINNESOTA NEW YORK QUEBEC WASHINGTON CALIFORNIA KANSAS MISSISSIPPI NORTH CAROLINA RHODE ISLAND WEST VIRGINIA COLORADO KENTUCKY MISSOURI NORTH DAKOTA SASKATCHEWAN WISCONSIN CONNECTICUT LOUISIANA MONTANA NOVA SCOTIA SOUTH CAROLINA WYOMING DELAWARE MAINE NEBRASKA OHIO SOUTH DAKOTA YUKON TERRITORY DISTRICT OF COLUMBIA MANITOBA NEVADA OKLAHOMA TENNESSEE FLORIDA N/A


SECTION 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 www.sba.gov.

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 http://www.census.gov/eos/www/naics, which best describes the principal nature of the product service being provided by your company. Non-U.S. business concerns should refer to http://www.census.gov/eos/www/naics/faqs/faqs.html 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)

LARGE BUSINESS CONCERN STATE COLLEGE OR UNIVERSITY THAT IS NOT A HISTORICALLY BLACK COLLEGE OR UNIVERSITY OR MINORITY INSTITUTION

SMALL BUSINESS CONCERN PRIVATE COLLEGE OR UNIVERSITY THAT IS NOT A HISTORICALLY BLACK COLLEGE OR UNIVERSITY OR MINORITY INSTITUTION

FOREIGN BUSINESS CONCERN HISTORICALLY BLACK COLLEGE OR UNIVERSITY

GOVERNMENT AGENCY MINORITY INSTITUTION

NON-PROFIT ORGANIZATION

SOCIOECONOMIC CLASSIFICATION SELECT ALL THAT APPLY

SBA-CERTIFIED 8(A) ABILITY ONE

SMALL DISADVANTAGED BUSINESS DISABILITY OWNED

WOMAN OWNED SMALL BUSINESS LESBIAN, GAY, BISEXUAL, TRANSGENDER (LGBT)

SBA CERTIFIED HUBZONE WOMAN OWNED (LARGE)

VETERAN OWNED SMALL BUSINESS TRIBALLY OWNED

SERVICE DISABLED VETERAN OWNED SMALL BUSINESS ALASKAN NATIVE CORPORATION

ECONOMICALLY DISADVANTAGED WOMAN OWNED SMALL BUSINESS NATIVE AMERICAN

NATIVE HAWAIIAN ORGANIZATION (NON –PROFIT) NATIVE HAWAIIAN

ARE YOU A SBIR/STTR PARTICIPANT? YES; PROVIDE THE AGENCY(S) NO

HAVE YOU COMMERCIALIZED ANY SBIR/STTR TECHNOLOGY? YES; PROVIDE THE TECHNOLOGY AREA(S) NODO YOU HAVE ANY SBIR/STTR PROJECTS WITH NORTHROP GRUMMAN? YES; PROVIDE DETAIL NOARE YOU A MENTOR PROTÉGÉ PARTICIPANT WITH DOD? YES; PROVIDE AGENCY(S) NOARE YOU A MENTOR PROTÉGÉ PARTICIPANT WITH CIVILIAN AGENCIES TO INCLUDE SBA? YES; PROVIDE THE AGENCY(S) NO

DO YOU HAVE ANY MENTOR PROTÉGÉ AGREEMENTS (ACTIVE OR EXPIRED) WITH NORTHROP GRUMMAN? YES NO

http://www.census.gov/eos/www/naics/faqs/faqs.html

http://www.census.gov/eos/www/naics


SECTION E Supplier business classification and NAICS codes (continued)PROVIDE ALL NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS) CODES UNDER THE PRIMARY BUSINESS SIZE(S).

BUSINESS SIZE NAICS CODES CORRELATED TO BUSINESS SIZE (USE SEPARATE SHEET TO IDENTIFY ADDITIONAL CODES)

LARGE SMALL IF SUPPLIER IS CLASSIFIED AS BOTH LARGE AND SMALL IN DIFFERENT INDUSTRIES, PROVIDE ADDITIONAL BUSINESS SIZE AND NAICS CODE

INFORMATION HEREBUSINESS SIZE NAICS CODES CORRELATED TO BUSINESS SIZE (USE SEPARATE SHEET TO IDENTIFY ADDITIONAL CODES)

LARGE SMALL IF YOU ARE A SMALL, SMALL DISADVANTAGED, WOMAN OWNED SMALL DISADVANTAGED, SERVICE DISABLED VETERAN OR WOMAN OWNED SMALL BUSINESS, ARE YOU ALSO CERTIFIED BY THE SBA AS A HUBZone SMALL BUSINESS CONCERN

YES; PROVIDE A COPY OF THE LETTER FROM THE SBA NO

IF YOU ARE A SMALL DISADVANTAGED BUSINESS OR A WOMAN-OWNED SMALL DISADVANTAGED BUSINESS, PLEASE PROVIDE THE PRIMARY NAICS CODE FOR THE PRODUCTS OR SERVICES YOU PROVIDE TO NORTHROP GRUMMAN

BUSINESS SIZE CERTIFICATION

The 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.

ANNUAL REPRESENTATIONS AND CERTIFICATIONS

If Supplier is at any time, expected to be awarded an order exceeding $10,000, in support of a Federal Contract, in addition to Business Classification Certifications above, upon issuance of a Northrop Grumman Supplier number, Company shall (1) submit electronic Certifications and Representations via the Northrop Grumman OASIS Supplier Portal site at https://oasis-sacc.myngc.com/, (2) will provide timely notification of any changes in these Certifications and Representations, and (3) shall 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, your company may be ineligible to receive awards in support of government contracts are received. These Certifications and Representations along with other quality and performance measures serve as the basis for continued listing within Northrop Grumman’s Approved Supplier Directory.

In submitting any bids or offers to Northrop Grumman, the Supplier confirms the Representations and Certifications currently on file with Northrop Grumman have been entered or updated in the last 12 months, are current, accurate, complete, and shall therein be applicable to any resulting awards.

Note: Contact the nearest office of the Small Business Administration if unable to determine business size.

SECTION F Supplier Contact InformationPLEASE IDENTIFY NAME AND CONTACT DETAILS FOR EACH ROLE BELOW, EVEN IF INDIVIDUAL HOLDS MULTIPLE ROLES. ALL FIELDS ARE REQUIRED.

CONTACT ROLECONTACT FIRST

NAMECONTACT

LAST NAME CONTACT TITLE TELEPHONE NO EMAIL ADDRESSChief Executive Officer Compliance Information Security Quality Assurance Accounts Receivable Sales Contact Security Officer

https://oasis-sacc.myngc.com/


PART 2 – MANAGEMENT CONTROLS (use the comments/details area to elaborate where required or if necessary)QUESTION YES NO COMMENTS/DETAILS

1. Have you ever been disqualified/debarred by the federal government or Northrop Grumman as a supplier?

IF YES, PROVIDE DETAILS

2. During the last 24 months, have you delivered any goods or provided any services to Northrop Grumman?

3. Has your company received a cure notice or been terminated for default within the past five years?


4. Has your current executive leadership team been in place for more than three years?

IF NO, HOW LONG HAS CURRENT LEADERSHIP BEEN IN PLACE

5. Is your company currently under, or has it filed

for bankruptcy, or does it have any judgments, liens (excluding construction), or court orders against it?


6. Private companies only: If requested, is your company prepared to provide financial data in order for Northrop Grumman to evaluate your company’s Financial Health and ability to perform?

IF NO, EXPLAIN HOW YOUR FINANCIAL HEALTH CAN BE VERIFIED

7. Does your company have a Defense Industrial Security Clearance Office (DISCO) facility security clearance?

IF YES, WHAT LEVEL

DATE

8. Have any of your systems been federally reviewed or approved in the following areas:

- Cost accounting system - Purchasing system - Property system - Billing system - Earned value management system - Estimating system

(If applicable) State whether you are current in annual Incurred cost submissions. If Yes, provide current copies of approvals/ certifications.

9. 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.?

IF YES, IDENTIFY THE PROGRAMS BELOW

DATE

10. Do you have electronic catalog ordering capability?

11. Does your company accept credit card payments? (If Yes, state which card providers).


PART 2 – MANAGEMENT CONTROLS (continued)QUESTION YES NO COMMENTS/DETAILS

12. Is your company willing to become dual factor authenticated for electronically obtaining Northrop Grumman purchase/change orders, access drawings, enter/input service-related invoices, participate in eAuctions? (See NorthropGrumman.com/Suppliers for more information).

13. Does your company perform any work internationally?

A. Does your company have and maintain appropriate anti-human trafficking compliance plans targeted at preventing human trafficking?

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?

ii. An employee awareness program about human trafficking, and the actions that will be taken against employees for violations?

iii. A process for employee to report trafficking violations?

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?

C. If no, are you currently in the process of developing such plans?

If No, proceed to Question 14. If Yes, proceed to Question 13A.

If yes, provide a copy of your plan and proceed to 13B. If no, proceed to 13C.

14. Does your company intentionally add Tantalum, Tin, Gold, or Tungsten to your products?

15. 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.)

http://www.northropgrumman.com/Suppliers/Pages/default.aspx


PART 2 – MANAGEMENT CONTROLS (continued)QUESTION YES NO COMMENTS/DETAILS

16. Does your company currently hold a medium level of assurance (MLOA) hardware digital certificate?

IF YES, WHO IS THE ISSUER? IF NO, PLEASE NOTE:YOUR COMPANY MAY BE REQUIRED TO OBTAIN ONE AS

CONDITION OF APPROVAL.

17. Is your company compliant with the requirements of FAR 52.204-21 “Basic Safeguarding of Covered Contractor Information Systems”?

18. Is your company compliant with the requirements of DFARS 252.204-7012 “Safeguarding Covered Defense Information and Cyber Incident Reporting”?

19. 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: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?b. Has your company implemented 100 or more controls of the National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171?

If a Plan Of Action & Milestones (POAM) is in place, which controls are pending full implementation?

20. Will your company only be providing Commercially available Off-The-Shelf (COTS) items to Northrop Grumman Corporation as defined in FAR 2.101 ?

PART 3 – SUPPLIER QUALITY/MISSION ASSURANCE INFORMATION

Important: Read before completing this section

Northrop 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.

NAME OF QUALITY OFFICIAL/REPRESENTATIVE

TITLE

TELEPHONE NO.

FAX NO.

EMAIL ADDRESS

http://farsite.hill.af.mil/reghtml/regs/far2afmcfars/fardfars/far/02.htm#P14_695

http://dx.doi.org/10.6028/NIST.SP.800-171r1




PART 3 - SUPPLIER QUALITY/MISSION ASSURANCE INFORMATION (continued)QUESTION COMMENTS

1. Which 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:

Manufacturer with Design Authority Manufacturer - Build to Print Distributor – Exclusively Franchised (specify each manufacturer your company is authorized to represent)

Distributor – Partially Franchised (specify each manufacturer your company is authorized to represent)

Distributor – Independent (not an authorized distributor for any manufacturer)

Distributor – Independent broker Specialized Services Commercial off the shelf provider Tooling Supplier Software – not embedded System Integrator Calibration Services Specialized Processes

Chemical Processing (such as plating, anodizing, metal finishing)

Nadcap- accredited Coatings

Nadcap- accredited Heat Treating

Nadcap- accredited Non-Destructive Testing (NDT) (such as x-ray, ultrasonic, penetrant, magnetic particle)

Nadcap- accredited Welding

Nadcap- accredited System Engineering Testing Manufacturer with Design Authority – Digital Data

Model Build to Print Manufacturer with Digital Data Model Studies/Consulting Services Specialized Manufacturing

Compliant to MIL-PRF-55110 Compliant to MIL-PRF-31032 Compliant to MIL-PRF-38534 Compliant to MIL-PRF-38535 Compliant to MIL-P-19500

Other types not listed above (specify in the Comments section)


PART 3 SUPPLIER QUALITY/MISSION ASSURANCE INFORMATION (continued)QUESTION YES NO COMMENTS

2. Do you have a registered or certified quality system that is based on the contents of one of the documents listed below? Select those that apply and attach current certificates for verification. Suppliers that do not provide certificates will not be approved for work requiring Quality Management System certification.

ISO9001 AS9100 CMMI (Specify level in Comments) AS9120 FAR 145/AS9110 Other (List in Comments)

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.

ISO 9001 AS9003 AS9006 AS9100 Mil-Q-9858 Mil-I-45208 AS5553 AS6081 Federal Aviation Regulation (FAR) 145 AS9110 Federal Acquisition Regulation (FAR)Part 21 Nadcap AC7004 ISO/TS 16949 TL 9000 ISO 14001 ISO 17025 ANSI Z540-1 ANSI/ESD S20.20 IPC-A-610 IPC/WHMA-A-620 J-STD-001 J-STD-001 Trainer Other (List in Comments)



4. Does your company have any current business relationship or history with Northrop Grumman or any of its predecessor’s companies, affiliates, or subsidiaries?

5. Has your company ever done business under a U.S. government acquisition as a prime or subcontractor?

IF YES, PROVIDE NAME OF THE PROGRAM AND CONTRACT

6. If requested, are you prepared to support an on-site Quality Management System, product and/or process audit by Northrop Grumman?

7. Does your company source any materials, components, services, or products from international sources?

a) If Yes, Will NG be expected to interface with an international source and/or service provider?

b) If Yes, Will NG data and/or products need to be provided to an international source and/or service provider?

IF YES, WHAT TYPES OF MATERIALS, COMPONENTS OR PRODUCTS ARE SOURCED, AND FROM WHICH COUNTRIES (USE ATTACHMENT IF NEEDED)

IF YES, EXPLAIN

IF YES, EXPLAIN

8. Is your company currently able to provide materials in compliance with:

DFARS 252.225-7008 - Restriction on Acquisition of Specialty Metals

DFARS 252.225-7009 - Restriction on Acquisition of Certain Articles Containing Specialty Metals.

DFARS 252.225-7014 Alt 1 -- Preference for Domestic Specialty Metals

Do you have procedures/processes in place to segregate above DFARs compliant from non-compliant material?

IF NO, IS YOUR COMPANY CURRENTLY WORKING TOWARDS LOCATING COMPLIANT SOURCES FOR THESE MATERIALS

9. Does your company currently have a documented process in place for the detection, prevention, acquisition, and delivery of counterfeit parts or products?

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

10. If Yes to question 9, select which standard(s) your Counterfeit Prevention Processes are aligned with:

AS5553 AS6174 DFARS 252.246-7007 Other (Specify: )

11. Does your company source electronic parts consistent with the requirements of DFARS 252.246-7008, Sources of Electronic Parts?

http://www.ultra-os.com/images/supplier/DFARS%20252%20225-7014.pdf

http://www.ultra-os.com/images/supplier/DFARS%20252%20225-7014.pdf

http://www.acq.osd.mil/dpap/dars/dfars/html/current/252225.htm#252.225-7009







12. Do you require your suppliers to have a Counterfeit Prevention Program?

13. If Yes to question 11, do you audit your suppliers for compliance to your Counterfeit Prevention requirements?

14. If No to question 11, define how you ensure the authenticity of the procured product and are able to establish traceability of the product to the OCM or OEM.

15. Are Quality records available for review by Northrop Grumman personnel, if necessary, to support this or future purchases?

16. Does your company have the capability to receive data (e.g. CAD files) electronically?

SUPPLIER REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS

All written representations, certifications, and other statements that the supplier has made herein to buyer in connection with buyer’s evaluation of suppliers responsibility and capability are accurate and truthful as of the date shown below. Supplier acknowledges, 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. Failure to notify buyer of such changes in a timely and reasonable manner may result in supplier’s suspension or termination.

NAME OF COMPANY OFFICIAL/REPRESENTATIVE

TITLE

TELEPHONE NO.

FAX NO.

EMAIL ADDRESS

SIGNATURE DATE

FOR NORTHROP GRUMMAN INTERNAL PURPOSES ONLYNAME OF NORTHROP GRUMMAN REPRESENTATIVE

SIGNATURE (EMAIL APPROVAL ACCEPTABLE)

TITLE

DATE

NAME OF NORTHROP GRUMMAN REPRESENTATIVE


TITLE

DATE



TITLE

DATE



TITLE

DATE



TITLE

DATE


APPENDIX A – Business ClassificationsBusiness Classification DefinitionFOREIGN BUSINESS CONCERN

A 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 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 CONCERN A 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 operations

SBA CERTIFIED SMALL DISADVANTAGED BUSINESS CONCERN

A business that has been certified by the U.S. Small Business Administration as eligible to participate in the 8(a) Business Development Program.

SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESS

A 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 CONCERN

A 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 disadvantaged

Economic 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).


APPENDIX A – Business Classification (cont.)Business Classification DefinitionGOVERNMENT AGENCY A 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 BUSINESS

A 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 ORGANIZATION Nonprofits 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.

NATIVE AMERICAN A 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.


APPENDIX A – Business Classification (cont.)Business Classification DefinitionPRIVATE COLLEGE OR UNIVERSITY THAT IS NOT A HISTORICALLY BLACK COLLEGE OR UNIVERSITY OR MINORITY INSTITUTION

An 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 TRIBE Any 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 INSTITUTION

A 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 HAWAIIAN Any individual whose ancestors were natives, prior to 1778, of the area that now comprises the State of Hawaii.

NATIVE HAWAIIAN ORGANIZATION

Any 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 ENTERPRISE

A 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 PROGRAM

A 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 DefinitionsFUNCTION DEFINITION

Manufacturer with design authority

Supplier 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 print

Suppliers 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.

Distributor An 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 service Repair Stations that perform services only.Franchised distributer A distributer that has been authorized by an Original Component Manufacturer (OCM) or

OEM to sell their products.Independent broker An organization that sells products without the expressed authorization from an OCM/OEM.Commercial off the shelf provider

Commercial 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 supplier A supplier who designs and/or manufactures tooling that Northrop Grumman uses in the production, testing, or inspection of its products.

Software- not embedded A supplier who develops software that is not embedded in a hardware environment.System integrator Supplier that specializes in bringing together component subsystems into a whole and

ensuring that those subsystems function together.Calibration services In 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 processes Those 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 engineering The 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.

Testing Verification through independent means of the adequacy of a product or service.Manufacturer with design – digital data model

Suppliers 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 model

Suppliers in this class are to comply with requirements specified by sector, customer, or specifications in electronic design media, three-dimensional CAD files.

Documents

Supplier Profile – Responsibility and Capability … · Web viewSupplier acknowledges, buyer has relied upon these statements in approving this supplier and agrees to advise the