2409.15_10 Page 1 of 14 FOREST SERVICE HANDBOOK DENVER, CO

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2409.15_10
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FOREST SERVICE HANDBOOK
DENVER, CO
FSH 2409.15 - TIMBER SALE ADMINISTRATION HANDBOOK
Region 2 Supplement No. 2409.15-97-1
Effective October 1, 1997
POSTING NOTICE: Supplements are numbered consecutively by Handbook
number and calendar year. Post by document name. Remove entire document and
replace with this supplement. Retain this transmittal as the first page of this
document. The last supplement to this Handbook was Supplement 2409.15-95-3 to
2409.15,60.
This supplement supersedes Supplement 2409.15-95-1 to 2409.15,10.
Document Name
2409.15_10
Superseded New
(Number of Pages)
1
14
Digest:
The direction included in section 12.1 has been developed through the coordinated
effort of Regions 1, 2, 3, and 4. This coordination was initiated by the leadership of
each region under the concept of shared services. All four regions must concur on
future changes to this direction.
12.1 - Describes certification process for sale administrators and others on the
contract administration team in Regions 1-4.
ELIZABETH ESTILL
Regional Forester
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FSH 2409.15 - TIMBER SALE ADMINISTRATION HANDBOOK
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CHAPTER 10 - FUNDAMENTALS OF TIMBER SALE CONTRACTING
12.1 - Requirement for Regional Programs. Regions 1, 2, 3 and 4 Sale
Administration Certification Programs recognize four certification levels; the
Regional Forester's Representative (RFR), the Sale Administrator (SA), the Forest
Service Representative (FSR), and the Contracting Officer (CO).
1. Regional Forester's Representative (RFR). A Coordinator for RFRs shall be
designated from each of the four Regional Offices, Timber Management. The
Coordinator shall be responsible for maintaining a cadre of R1-4 RFRs, scheduling
inspections, coordinating the annual workshop, maintaining records, issuing
certifications, and working with the other Coordinators.
Regional Forester's Representatives are designated in order to maintain an
experienced cadre of RFR's in Regions 1-4 who are available to travel throughout
the four Regions. Regional Forester's Representative shall be appointed from
qualified Regional Office, Forest, and District Timber Staff personnel.
Based on recommendations by the four RO Timber Program Directors, the Regional
Foresters shall designate in writing those individuals needed to fill vacated RFR
slots. The list of appointees shall be sent to each Forest Supervisor. The RFR cadre
shall be the minimum number needed for the certification program as determined
by the Coordinating RFRs. Regional Forester's Representatives shall:
a. Act as a temporary Staff Specialist for the four Regional Foresters and
Forest Supervisor to evaluate individual Forest's SA skill levels, through
the examination process. Analyze the level of sale administration being
practiced on the Forest. Determine whether sale administration meets
Regional Foresters' expected standards.
b. Use the examination process to train the SA, Forest Timber Staff,
inspection team members, and RFR trainees. One of the key roles of the
RFR is to mentor RFR trainees.
c. Represent the Regional Forester on Regional policy, expectations, and
interpretations concerning timber sale contract administration.
d. Advise the Regional Timber Director on needed change, policy,
procedure, and interpretations in timber sale contract administration.
e. Meet knowledge, skills and ability requirements.
(1) Certification (RFR). Each RFR must be examined by a Team with a
team leader who is a designated RFR assigned by and representing a
Regional Forester in Regions 1-4. The team leader is responsible for
ensuring the RFR certification team has at least one other member,
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examining the candidate's skills, and reporting results of the examination
to the Forest and to the Regional Forester.
(2) Qualification Criteria for RFR include the following:
(a) Expertise in management skills.
(b) Completion of Regional or National training in timber sale contract law.
(c) Successful completion of the written Regions 1-4 sale administration certification examination
(80% score minimum).
(d) An attitude of high service concept, and a conceptual knowledge of contractor costs, impacts of
time delays, and company employee skill levels.
(e) Ability to achieve credibility with Forest Supervisor on the Forest being inspected and the sale
administrator being examined.
(f) Meets R1-4 Regional Timber Staffs' established level for RFR skill and knowledge.
(g) Available to spend a minimum of 10 work days each year on field examinations for 3 consecutive
years.
(3) Regional Forester's Representative Training and Development.
Before being designated as RFR, the trainee must, as a minimum, have
observed or participated on a SA certification team examination. RFR
trainee should serve as team leader during a second SA certification team
examination and be evaluated by another certified RFR. Use RFR
Certification Evaluation and Rating form, R4-FS-2400-60, to document
the results. Rate RFR trainee as certified or reexamination. The
reviewing RFR must concur with RFR trainee and team's rating of SA.
Reviewing RFR should come from a Region (1-4) outside of the RFR
trainee's Region. Assign RFR trainee to a certified RFR who can mentor
and help determine when trainee is ready for the exam.
(4) Skill Maintenance. To Maintain necessary skill and knowledge, RFR
shall:
(a) Serve as a RFR/Team Leader or member on an SA examination annually, or conduct an SA
maintenance exam annually.
(b) Attend annual RFR workshop to review certification problem areas observed in the prior field
season inspections. Document Regional interpretation and contract administration problem areas and
assign responsibility for resolution of these problems. Discuss improvements needed in the sale
administration certification program. Prepare SA examination schedule for the next year.
(c) Attend annual R1-4 RFR meeting.
2. Sale Administrator (SA). The certified SA must successfully pass the
written and field examinations. The SA is fully qualified to independently perform
all aspects of on-the-ground sale administration. Various training courses are
available to candidates as needed. These include a comprehensive self-study
workbook for sale administrators as well as formal courses in basic sale
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administration, advanced sale administration (skills enhancement), and timber sale
accounting. An Examination Team makes recommendations for certification.
a. Authority. Regional Forester delegates authority for the Examination
Team. The team shall provide the Regional Forester with an evaluation
of candidates and make recommendations regarding certification.
b. Objective. The objective of the Examination Team is to conduct an
examination which provides a composite evaluation of the candidate's
ability to satisfactorily administer or inspect timber sales.
c. Composition of the Examination Team, (SA). At a minimum, the
examination team must consist of an RFR, a line officer, an SO or offDistrict timber staff representative, and an off-District representative in
a resource other than timber. The RFR must be from a different forest
and the line officer must be from a different District. An additional
person such as an RFR or SA trainee may attend as an observer. The
RFR is responsible for determining team size and members for each of
the exams. It is the responsibility of the Forest or Zone CO with the
cooperation of the RFR to organize the certification team. The CO has
the responsibility to schedule upcoming SA certification exams (full team
as well as maintenance exams) with the Regional Timber Staff prior to
April 1st of each year. SA exams will be scheduled at the annual RFR
workshop.
d. Responsibilities of the Examination Team include:
(1) Conduct objective and consistent evaluations based on the candidate's
observed performance.
(2) Provide the candidate with a full evaluation of strengths and
weaknesses with suggestions for improvement, when needed.
(3) Provide management (District and Forest) with feedback on strengths
and weaknesses of the candidate.
(4) Provide information to management on issues and concerns which are
beyond the scope and responsibility of the candidate but affect the quality
of sale administration.
(5) Make recommendations to the Regional Forester for certification of
qualified individuals.
3. Certification Process (SA). The process includes written examination, field
review by the examination team, and a formal certification based on the results.
a. Examination. Before examination, an SA candidate must have
acquired the necessary minimum skills. These include: completing the
Sale Administration self study book prepared by Regions 4, 5, and 6, and
attending formal training in Basic Sale Administration. The RFR
responsible for sale administration certification initiates the examination
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process. Testing shall include both a written and a field exam as
discussed below:
(1) Written examination is a test of a candidates's basic knowledge and
skills. The written examination is a prerequisite to the field examination
and shall be administered and graded in person by an RFR.
Examinations are scheduled periodically as needed. Upon successful
completion of the written examination, candidates may be granted
temporary certification for up to 1 year. This will give the candidate the
opportunity to gain on-the-ground experience needed to prepare for the
field examination. The candidate has 6 hours to complete the written
exam. The written exam may be retaken if a passing grade of 70% is not
received.
(2) Field examinations test the candidate's knowledge and skills as
demonstrated by performance as an SA, and are designed to cover local
Forest and Ranger District conditions. This is an evaluation of actual onthe-ground performance. The assigned CO shall determine when the SA
candidate has completed training and is ready for examination. The
examination is of a timber sale area. A timber sale qualifying for a field
exam must meet the following criteria:
(a) Contract is a 2400-6 or 2400-6T.
(b) Sale consists of multiple payments.
(c) Has cutting units where some contractual work is completed and has been accepted by the SA
candidate.
(d) Purchaser is operating or recently operated in sale area.
b. Results of Examination. The team's summary evaluation shall
identify one of three conditions: certified, conditional, or reexamination.
(1) Certified. For a fully satisfactory evaluation, the team rating may
include up to three nonsignificant items need improvement, and up to
two nonsignificant items cannot rate, and the performance and
effectiveness of the individual equals or exceeds the desired level. The
candidate is expected to perform satisfactorily in all future assignments.
A rating of needs improvement in one of the significant items (records,
payments, and control of operations) will result in a conditional
certification or a reexamination.
(2) Conditionally Certified. A team evaluation indicating one significant
item (records, payments, and control of operations), and up to three other
items need improvement indicate performance or effectiveness is less
than the desired level. The candidate may have up to two nonsignificant
items that cannot be rated due to insufficient information at the time of
the exam. The candidate probably will not consistently perform at the
desired level in future assignments without strengthening these areas.
The candidate must attain the desired level of performance within one
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year from the date of examination. Performance must be confirmed by
the CO. The CO shall notify the Forest RFR in writing as to whether the
candidate has improved those identified discrepancy items to meet
regional standards. A local RFR must conduct the followup examination
and document the results on Follow-Up and Maintenance Evaluation
form, R4-FS-2400-62. The RFR will recommend to the Regional Forester
that the SA be fully certified, conditionally certified for a specified time
period, or be reexamined by a Certification Team.
During the period of conditional certification, the candidate may
independently perform sale administration duties, but specific
restrictions may be placed on the individual.
(3) Reexamination is required for a candidate with a team evaluation
indicating more than one significant item and/or more than three other
items need improvement (or when any given item is so seriously deficient
that it cannot be easily and readily corrected), indicating performance or
effectiveness is significantly below the desired standards. The candidate
cannot be expected to perform satisfactorily at the desired level without
significantly strengthening the items needing improvement. A full team
must determine satisfactory performance by a reexamination.
c. Team Procedures. Use the following procedures:
(1) When conducting an SA examination, at least one team member
should be thoroughly familiar with the field examination process.
(2) At least one team member should participate in the exit conference
with the Forest.
(3) All team members and the candidate should ride together.
(4) The host Forest should arrange accommodations to minimize travel
and to keep the team together.
(5) Line officer endorsement is key to the success of the sale
administration certification process. This endorsement should include
active participation as a team member whenever possible.
(6) The RFR serves as the team leader and is responsible for the action of
the team. The team should strive for unanimous decisions, however
when necessary the RFR has the final authority to make decisions.
d. Team Orientation and Instructions. During a field examination on an
active sale, the team shall analyze and evaluate the candidate's
performance. As a minimum, the team must review the environmental
assessment (EA), contract, sale inspections, correspondence, and
delegations of authority prior to meeting with the candidate for the field
inspection.
(1) As a minimum cover the following items during team orientation:
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(a) Background of the sale.
(b) Field inspection process.
(c) Evaluation process, importance of identifying actual cases of deficiencies, and identifying
underlying causes.
(d) Importance of candidate orientation.
(e) How to conduct critique with candidate.
(f) Importance of professionalism in sale administration.
(g) Composition of the team and assigned responsibilities.
(2) Instructions for the Team.
(a) All team members have the responsibility and opportunity to participate in the field examination.
The RFR shall coordinate, provide continuity, and keep the inspection on track.
(b) Direct questions to the candidate and let the candidate answer. Keep questions on track and
headed for the stated objectives, which is candidate evaluation. Look at the overall job, but get all the
essential details.
(c) Keep the team together. Avoid conducting "side" conversations which do not pertain to the
inspection process.
e. Candidate Orientation (15-20 minutes minimum). Before the
orientation begins team members and candidate should meet in a location
where there will be no interruptions. Introduce the team members and
the candidate. Set the tone for the inspection (informal and open
discussion, evaluate only the candidate's performance, and attempt to
identify emphasis areas). The following items should be covered in
orientation:
(1) Background and status of the sale administration program. Have SA
map the proposed route of travel.
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(2) Timeframe, for example:
0800-1400 Inspection.
1400-1500 Team Evaluation.
1500-1700 Critique with Candidate and Closure.
(3) Rating system. Give candidate a copy of the evaluation and rating
form and explain the rating system.
(4) Evaluation process, including: individual rating, team rating, and
critique with candidate.
(5) Rating of the SA's performance. Isolate and make analysis on items
for which the SA has responsibility and delegated authority. Evaluation
begins at this point. Many of the pertinent items may be discussed while
traveling. (All team members and candidate should travel together in
one vehicle).
(6) Review candidate's knowledge of the sale, including: EA information,
silvicultural prescription, and contract provisions.
(7) Review delegations of authority:
(a) Candidate responsibilities (total).
(b) Names and responsibilities of other contract team members.
(c) Instructions from contractual superiors and administrative superiors (extent and content).
(8) Review preparedness by asking about:
(a) Familiarity with resource plans.
(b) Payments.
(c) Timber Sale Statement of Accounts (TSSA).
(d) Log accountability.
(e) Scaling.
(f) Use of Sale Administration Handbook.
f. Field Observations and Discussions.
(1) Cover sufficient items on the evaluation and rating form to
adequately evaluate candidate's performance.
(2) Review logging operation in progress. Plan inspection so operations
can be seen in action if possible. Look at presale and current layout,
felling, skidding, contractual work, roads, fire prevention, log
accountability, safety, and work acceptance.
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(3) Minimize "what if" questions, however, it may be necessary to ask
some hypothetical questions to get information on how candidate would
handle situations and activities that are not present at time of inspection.
(4) Examine real performance problems to determine underlying cause.
g. Evaluate Candidates Knowledge, Skills, and Abilities. The key to the
evaluation process is to have a clear understanding of the level of
performance expected of the candidate. Consider overall effectiveness
and management skills in performing the sale administration task.
During the inspection, remember that the Forest Service has a
contractual obligation under certain provisions to meet the needs of the
purchaser in a timely fashion and not to unnecessarily restrict
operations. Likewise, the Forest Service has an administrative obligation
to check the purchaser's operations for contract compliance and use
contract controls to assure land management objectives and statutory
requirements, as encompassed by the contract, are achieved. The SA
should keep the Forest Service Representative advised, as necessary, so
action can be initiated and the purchaser informed, as appropriate.
In order to measure total effectiveness, the following items must be
considered in the evaluation. Does the candidate:
(1) Understand the overall contribution the Ranger District or Forest
organization should make to the administration of the sale?
(2) Understand the role of other members of the contract administration
team in administering the contract, including limitation?
(3) Establish specific objectives with the support of other personnel?
(4) Have the support of supervisor in overcoming obstacles to attain
these objectives?
(5) Have a willingness to work to achieve objectives?
(6) Receive periodic feedback from superiors on progress toward
accomplishing objectives?
(7) Understand and accept responsibility for decisions and actions?
(a) Is the authority and responsibility accepted as delegated?
(b) Does safety receive adequate consideration?
(c) Are responsibilities clearly defined and understood with appropriate attention given to getting
results and meeting objectives?
(d) Is action initiated promptly and in perspective with established priorities?
(e) Is there a willingness to: Move ahead on work which is necessary to achieve priority goals?
Think through work barriers? Risk mistakes occasionally to keep work headed toward priority goals?
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(8) Plan and organize own work?
(a) Is there a clear understanding of expected end results?
(b) Are potential problems anticipated in advance and corrective action taken?
(c) Is work planned and scheduled to get results within budgeted time and with adequate
coordination?
(d) Does candidate know how to obtain the assistance of technical specialists?
(9) Evaluate Facts and Make Good Decisions?
(a) When making decisions, are the facts clearly analyzed, alternatives developed, and the selected
alternative shared with others, as appropriate?
(b) Is the action taken the result of a decision or default? (Is the candidate in control?)
(c) Is specific knowledge (training, instructions, and procedures) current and being applied?
(d) Does candidate know the capabilities and limitations of the logging system to be used?
(e) Are policies and procedures followed?
(f) Are judgment and common sense used in administering the contract? When and how are policies
and procedures applied to specific situations?
(g) Is the contract being interpreted and used properly?
(10) Deal Effectively With the Purchaser?
(a) Is assistance being given with tact and courtesy, creating a positive image for the Forest Service?
(b) Are dealings with the purchaser objective to avoid win-lose conflicts?
h. Summarize the Findings. During the process of evaluating the
candidate:
(1) Use the evaluation and rating form as a working tool and checklist to
inspect the sale area and evaluate the candidate's performance. Circle
any items the team wishes to comment on. Number the circled item for
reference and make notes in the margin or on a separate sheet of paper.
(2) To evaluate, compare actual versus desired performance and identify
significant discrepancies. Determine whether the discrepancies are due
to a lack of skill or knowledge or a performance problem. Determine the
underlying causes of problems. Following is a list of some common
"underlying causes:"
(a) Lack of direction or supervision.
(b) Lack of knowledge or training.
(c) Not using the Timber Sale Contract to achieve end results.
(d) Lack of communication with the purchaser.
(e) Being reactive rather than proactive.
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(f) Taking liberties with the TSC.
(3) For candidate skill discrepancies, identify action needed and indicate
how to confirm successful completion. For the management performance
items, list indicators and action necessary, if any, and discuss at the exit
conference.
i. Make a Team Rating. After the field inspection is completed, each
team member shall individually rate the candidate on all applicable items
and then compare and discuss item by item and arrive at a team rating to
be shared with the candidate during the critique.
(1) The major items on the Evaluation and Rating Team Summary form
(R4-FS-2400-61)shall be rated as cannot rate (CR), fully satisfactory (/),
or needs improvement (0). Cannot rate applies if not enough information
is available to establish a valid rating for a given item.
(2) If up to three nonsignificant items are rated "needs improvement,"
and two nonsignificant items cannot be rated, the candidate may be
recommended for full certification.
(3) When the team rating includes up to three nonsignificant items need
improvement, one significant item (records, payments, and control of
operations) needs improvement, and up to two items cannot rate, the
candidate may be recommended for a conditional certification. Full
certification may be granted after successful completion of the required
followup action.
(4) When rating includes more than three nonsignificant items that need
improvement, and/or more than one significant item needs improvement,
or when any given item is so seriously deficient that it cannot be easily
and readily corrected, a complete reexamination will be necessary by a
certification team.
j. Critique With Candidate. The team discussion should be positive and
effective. Prior to critique, there should be team consensus on how to
conduct the conference. All team members should participate during the
critique and cover the following:
(1) Stress candidate's attributes.
(2) Identify deficiencies noted in evaluation and discuss with candidate.
Mention only items identified in team evaluation. Summarize what is
required for full certification if candidate is not determined to be fully
certified.
(3) Notify candidate of examination results, that is; certified,
conditionally certified, or needs reexamination.
(4) If conditional certification is recommended, explain the process to
become fully certified. If reexamination is recommended, explain the
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reexamination process. SA certification certificate shall be issued when
all requirements have been met.
(5) Inform candidate of possible performance problems outside
candidate's control and that the situation will be discussed at the exit
conference with the Forest.
(6) Solicit comments from the candidate pertaining to the team's
performance and the certification program. Have team members
complete RFR's Performance Critique, form R4-FS-2400-63, in order to
evaluate the performance of the RFR.
(7) Close with a summary statement. Use a positive approach,
emphasizing the candidate's strong points.
k. Exit Conference with Forest. In order to maximize the benefits of the
examination process, the candidate and the Forest must be fully aware of
the evaluation results. The team must identify any problem areas before
the closeout.
The RFR and one home Forest team member must be available to discuss
with the Forest the results of the evaluation and the effectiveness of the
Forest's sale administration activities in training and performance. The
Forest should schedule the time and place of the exit conference and
inform the RFR. Personnel attending from the Forest should include the
Forest Supervisor or Deputy, the District Ranger from the candidate's
unit, and the timber staff or representative.
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l. Documentation. The Examination Team Leader shall document the
results of the inspection and exit conference by letter to the Forest
Supervisor with a copy to the Regional Forester and the Coordinating
RFR. A discussion of apparent management problems or situations that
may adversely affect the Forest's sale administration program should be
included, along with any agreed upon solutions. The letter shall indicate
the level of certification earned by the candidate and be specific regarding
any followup action needed to correct deficiencies. Inspection dates and
names of all team members should be stated. Also include appropriate
file codes to ensure letter is routed to those responsible for taking
corrective action.
An Appropriate Certificate of Certification may be issued by the
Responsible line officer.
4. Certification Maintenance. Performance of certified individuals must be
verified by the inspection process periodically. An individual must satisfactorily
pass sale certification maintenance review (R4-FS-2400-62) at the following
frequencies to function as Sale Administrator:
a. Regions 1-4. Once every 3 years by RFR (must be an off-Forest RFR),
and Forest or Zone CO. Document the results of the exam on form R4FS-2400-61, and include a recommendation to the Regional Forester for
full or conditional certification, or a reexamination. The SA is also
required to attend an Advanced Sale Administration workshop every
three years.
b. Regions 5 or 6. Certified SAs from Regions 5 or 6 must complete a
maintenance exam with 6 months of arrival into Regions 1-4.
5. Recertification. If an SA has been inactive in sale administration work and
has not maintained certification through regular performance reviews for a period
of 3 years, recertification is required. The prescribed certification process must be
followed for recertification. Recertification is required for continued administration
and inspection where performance was determined to be unsatisfactory and
certification status was terminated. Follow the prescribed certification process for
recertification.
6. Revocation. Consider revocation of an SA's certification or RFR status only
when serious contract administration problems are encountered which appear to be
caused by substandard performance. Certification of an SA may be revoked at any
time. If an inspection of a timber sale indicates there are serious contract
administration problems occurring, a Contracting Officer or RFR can request a
formal review of the SA's performance. The request for review should be sent to the
Coordinating RFR in the Regional Office as well as a copy to the Forest Supervisor.
The person requesting the review should submit their request in writing along with
documentation as to why they believe a review is warranted. If the RO Timber
Staff agrees there is justification for a review, the Coordinating RFR assigns an
RFR to conduct a formal review. The RFR assigned cannot be from the same forest
as the SA being reviewed. The formal review consists of personal interviews with
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the SA and other members of the contracting team as well as anyone else who can
provide pertinent information. Conduct an on-the-ground inspection of the timber
sale along with an inspection of all contract documentation including sale records
and TSSA information. After the review is completed the assigned RFR shall
submit a written recommendation along with all supporting documentation to
either revoke or to maintain certification to the Regional Timber Director. After
review of the recommendation by the RO Timber Staff the Director shall notify the
Forest Supervisor in writing as to whether the SA's certification shall be revoked or
maintained. The letter to the Forest Supervisor should also contain specific
conditions which must be met if the SA is to either maintain or regain certification.
7. Certification Requirements for other than RFR and SA. (RFR and SA
certification requirements are outlined in sections 1-6 of this supplement).
a. Timber Sale Contracting Officer (CO). CO certification requirements
are outlined in FSM 2452.4, regional supplements. The Forest
Supervisor shall designate in writing all Forest COs. This authority may
not be redelegated. The Forest Supervisor must review the CO list on an
annual basis to determine if each person is still functioning as a CO, still
performings duties at an acceptable level, and still meets minimum
criteria found in FSM 2452.4 (including parent text and regional
supplements). The Forest Supervisor shall document review of each CO
on Contracting Officer Certification Evaluation, form R4-FS-2400-64, and
submit the form to the Regional Office RFR Coordinator annually. The
Forest Supervisor has the responsibility to make sure there are
competent COs operating on the Forest.
b. Sale Inspector/Forest Representative (SI/FR). There is no
certification process for SI/FR. Current SI/FRs in Regions 1 and 4 are in
sunset positions, and may be considered and tested for Regional Forester
Representative and CO as outlined in section 1. of this supplement, and
regional supplements to FSM 2452.4.
c. Forest Service Representative (FSR). Minimum requirements for a
FSR include:
(1) Pass a R1-4 written Sale Administration Certification exam with at
least a 80% score, or have served as a certified Sale Administrator within
the past 5 years.
(2) Aattend a CO Workshop in Region 1-4 every other year.
(3) Attend Cibinic's Timber Sale Contract Law workshop or another
Timber Sale Contract Law course once every five years.
The Contracting Officer determines who meets the criteria for FSR. The
Forest or Zone CO designates the FSR who subsequently designates the
Sale Administrator in writing (refer to FSH 2409.15, sec. 04).
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