SUPPLIER PROFILE – RESPONSIBILITY AND CAPABILITY QUESTIONNAIRE

Form C-832 (12-17)* Page 1 of 15

FOR NORTHROP GRUMMAN USE ONLY
CURRENT 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 SUPPLIER
PST 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 / ZIP CODE+4/POSTAL CODE
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 PROVIDE - U.S. COMPANY OR INDIVIDUAL) / 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 OR CORPORATE STRUCTURE (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
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 YOU ARE AUTHORIZED TO DISTRIBUTE FOR.
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.
BUSINESS CAPABILITY (SELECT ALL THAT APPLY)
CONSULTING & PROFESSIONAL SERVICES / FACILITIES & REAL ESTATE / IT/TELECOM
LOGISTICS, FLEET & TRANSPORTATION / MANUFACTURED COMPONENTS & MATERIALS / MRO
TRAVEL & EXPENSE / PRODUCT RELATED SOFTWARE / VEHICLE & MISSION SYSTEMS
OVERHAUL & REPAIR / OTHER
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 PRACTICES REGARDING ETHICS AND BUSINESS CONDUCT
YES NO

SECTION A - Parent company information (if different from Part 1)same as Part 1

PARENT COMPANY NAME
STREET ADDRESS / CITY/PROVINCE / STATE / ZIP CODE+4/POSTAL CODE
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 1

VN/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 / ZIP CODE+4/POSTAL CODE
COUNTRY

SECTION C - Payment remittance address (if different from Part 1)same as Part 1

COMPANY 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 / ZIP CODE+4/POSTAL CODE
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
BRITISH COLUMBIA / INDIANA / MICRONESIA / NEW MEXICO / PUERTO RICO / VIRGINIA
CALIFORNIA / IOWA / MINNESOTA / NEW YORK / QUEBEC / WASHINGTON
COLORADO / KANSAS / MISSISSIPPI / NORTH CAROLINA / RHODE ISLAND / WEST VIRGINIA
CONNECTICUT / KENTUCKY / MISSOURI / NORTH DAKOTA / SASKATCHEWAN / WISCONSIN
DELAWARE / LOUISIANA / MONTANA / NOVA SCOTIA / SOUTH CAROLINA / WYOMING
DISTRICT OF COLUMBIA / MAINE / NEBRASKA / OHIO / SOUTH DAKOTA / YUKON TERRITORY
FLORIDA / MANITOBA / NEVADA / OKLAHOMA / TENNESSEE
N/A

SECTION E– Supplier business classification and NAICS codes

See 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 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) / NO
DO YOU HAVE ANY SBIR/STTR PROJECTS WITH NORTHROP GRUMMAN? / YES; PROVIDE DETAIL / NO
ARE YOU A MENTOR PROTÉGÉ PARTICIPANT WITH DOD? / YES; PROVIDE AGENCY(S) / NO
ARE 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

SECTION ESupplier 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 HERE
BUSINESS 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 provide 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 (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 12months, 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 Information

PLEASE IDENTIFY NAME AND CONTACT DETAILS FOR EACH ROLE BELOW, EVEN IF INDIVIDUAL HOLDS MULTIPLE ROLES. ALL FIELDS ARE REQUIRED.
CONTACT ROLE / CONTACT NAME / CONTACT TITLE / TELEPHONE NO / EMAIL ADDRESS
Chief Executive Officer
Compliance
Information Security
Quality Assurance
Accounts Receivable
Sales Contact
Security Officer

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? / IF YES, PROVIDE DETAILS
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? / IF YES, PROVIDE DETAILS
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 the purpose of electronically obtaining Northrop Grumman purchase/change orders, access drawings, enter/input service-related invoices, participate in eAuctions? (SeeNorthropGrumman.com/Suppliers for more information).
13. Does your company perform any work internationally?
  1. Does your company have and maintain appropriate anti-human trafficking compliance plans targeted at preventing human trafficking?
  1. Do the plans include the following:
  1. 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?
  1. An employee awareness program about human trafficking, and the actions that will be taken against employees for violations?
  1. A process for employee to report trafficking violations?
  1. 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?
  1. 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.
IF NOT, PLEASE EXPLAIN.
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.)

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.
17Have you implemented the controls required by FAR 52.204-21 “Basic Safeguarding of Covered Contractor Information Systems”?
18 Have you implemented the National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171 controls on your relevant information systems?
NIST Standard
19. Has your company implemented the requirements of DFARS 252.204-7012 “Safeguarding Covered Defense Information and Cyber Incident Reporting”?

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

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 – DigitalData 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 3SUPPLIER QUALITY/MISSION ASSURANCE INFORMATION(continued)

QUESTION / YES / NO / COMMENTS
  1. 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)

PART 3SUPPLIER QUALITY/MISSION ASSURANCE INFORMATION(continued)