Exhibits.pdf

AG-02NV-S-15-0088

Exhibit 01

QUALITY ASSURANCE SURVEILLANCE PLAN

for

Hand Tree Thinning and Stand Improvement Activities

I Introduction. The Government’s Quality Assurance Surveillance Plan (QASP) provides the procedure and guidelines that will be used in evaluating technical performance of the Contractor for tree thinning and stand improvement activities in a performance based statement of work. The Government’s QASP is not part of the contract, but is provided to the Contractor solely as information. A copy of this plan is furnished to the Contractor in the solicitation package and with the contract so the Contractor is aware of the methods that the Government will use in evaluating performance on this contract and address any concerns that the Contractor may have prior to initiating work. The QASP is subject to change by the Government during the contract performance period. The Government reserves the right to perform more or less than is outlined in the Plan.

Purpose of the QASP:

o Define the role and responsibilities of participating Government officials;

o Define the types of work to be performed with required end results;

o Describe the evaluation methods that will be employed by the Government in assessing the Contractor’s performance;

o Provide copies of the performance assessment form that the Government will use in documenting and evaluating the Contractor’s performance; and o Describe the process of performance assessment documentation.

II Roles and Responsibilities of Participating Government Officials. [this may be modified]

A. Contracting Officers Representative (COR): The COR is designated by the Contracting Officer to administer the contract within the authority and limitations specified on form FS-R1-6320-27 provided to the Contractor at the pre-work and at anytime there is a change in COR, the COR, and maintained in the contract file. Refer to FSH

6309.11.04.4, WO Amendment 6309.11-91-1 for a full description of responsibilities.

The COR will monitor the Contractor’s work and may utilize Work Orders and Notice of Non-compliance as tools to communicate in writing with the Contractor. The COR will keep the Contracting Officer and Contractor informed of progress and contract compliance and any non-compliance issues. The Contracting Officer will work with the

Contractor and COR to correct non-compliance issues. Suspension of work may be necessary to halt operations when compliance issues are at question and continuing work during discussions could cause irreversible damage (e.g., wrong trees being cut).

The COR will maintain Daily Diaries for each day the site visited, as the record of contract progress and compliance, These will include only facts concerning the contract, and will be complete and unbiased as they will be used by the

Contracting Officer to make further decisions on contract issues.

The COR designates and supervises the work of the inspectors.

B. Inspectors: The Government inspector(s) are designated by the COR to represent him/her in securing compliance of contract requirements. The Designation of Inspector (R1-FS-6320-29) will be used to designate the inspector and identify the responsibilities. Refer to FSH 6309.11.04.4, WO Amendment 6309.11-91-1. The inspector(s) will monitor Contractor performance and inform the Contractor of contract deviations. The inspector(s) will monitor thinning in progress and conduct quality assurance plots. The inspector(s) will not direct the operations of the crew

AG-02NV-S-12-0061

but rather keep in contact with the foreman, stressing the requirement of Contractor quality control as well as protect the Government’s interest by assessing the adequacy of thinning and stand improvement activities.

A lead inspector may be designated by the COR when more than one inspector will be on site to act as the leader of the Government inspectors and avoid confusion in communications with the Contractor.

The inspector(s) will maintain Daily Diaries, issue notice of non-compliance to the Contractor when s/he fails to meet contract requirements, and keep the COR informed of all contract progress, and conformance problems. The inspector(s) will anticipate change orders and inform the COR.

C. District Ranger, Forest Supervisor, Silviculturist and other District, Forest and Regional employees: The

Forest Supervisor is responsible for the administration of the National Forest, and the District Ranger acts as an authorized representative. These and other employees will act as resource advisors to the COR and Contracting

Officer but do not have contract authority. Their role is to provide advice on project implementation, which may be used for contract decisions.

III. Assessing the Contractors Performance

A. Schedule. The COR and inspector will monitor progress and if the Contractor is falling behind schedule, the COR may issue a work order to ensure the agreed to schedule is maintained.

B. Tree Thinning, Girdling, Pruning The following plan will be used by the Government to assure the Contractor is providing the quality promised and work meets the performance standard. Surveillance will consist of visual observations of the entire operation and sample plots to determine compliance with the specifications.

1. Work in Progress. The Government inspector will observe work in progress, and may put in occasional

“informal plots” to judge the quality of thinning and other required work. Any problems should be reported to the foreman to allow the problems to be corrected. The inspector and COR will not direct operation of the crew, however, as this is the responsibility of the Contractor. The Government expects the foreman to inspect work in progress and take corrective action prior to being notified by the Government inspector, consistent with the

Contractor’s Quality Control Plan. Failure of the Contractor to inspect his work is cause for notice of non-compliance or other contract action.

2. Quality Assurance Plots. The Government inspector will take sufficient sample plots to assure the

Government’s quality assurance plots represent thinning quality (adequate to judge if the Contractor is within 5% of the Government’s and if the work is acceptable). This may be a small sample (e.g., 0.2%) up to 1%, although it generally should not exceed 0.5%, which is half of what the Contractor is required to do. The CO and COR should determine the sample size, which should be influenced by the real or anticipated problems associated with the thinning or the Contractor quality control.

3. Plot procedures will be consistent with plot procedures described in Section J (Inspection Plot instructions).

Thinning quality will be based on the directions of inspection form. Optional: Girdling, is considered in the evaluation of satisfactory trees. Optional: Pruning is included in the thinning inspection; provide the deductions for pruning in the “Instructions” section of inspection form. Add other codes for required work that is included in the

Thinning inspection on the inspection form as well.

The Government’s plot method should mirror the Contractor’s plot method described in the Contractor’s approved

QCP and further agreed to, but plots will be in different locations and generally be of a different sample intensity.

Any deviations must not affect inspection results. For this reason, the Government’s plot size must be the same as that agreed for use in the Contractor’s QCP (or as specified in Section E). In many cases 4-6 trees per plot is adequate however a larger plots with more trees is necessary when variability in density is a desired result. Plot sizes may vary between units, but not within a unit.

All computations will be carried to at least thousandths (.000) and the final percentage of quality will be rounded to the nearest whole percent.

The most desirable leave tree should be selected based on the procedures described in the Silvicultural Summary

Prescription (provided in Section J) and the contract. The final thinning quality reflects the Contractor’s ability to select the proper leave trees and properly cut the excess trees. The ability of the Contractor to thin to the prescribed density is reflected in the trees coded as acceptable or unacceptable in some way.

The Category C deficiencies should be tallied by plot and compared to the maximum allowable identified in Section

F. It is important to specify if the maximum is by acre and thus any plot which exceeds the maximum would require a rework in the vicinity of the plot OR by the unit thus if the maximum is exceeded, rework of the unit is required.

4. The Government inspector or COR will monitor the Contractor’s quality inspection plots to assure the

Contractor is providing inspection consistent with the Contractor’s accepted Quality Control Plan (QCP). If not included in the QCP, the Contractor and CO/COR will agree to how/when Contractor inspection sheets will be turned in to the COR.

The Government inspector may observe the Contractor’s plots in progress or check them after completion. The

Contractor may be put on notice of non-compliance (or other contract action taken) for failure to conduct plot inspections as per his QCP. The Contractor’s inspector is not permitted to modify plot deficiencies nor influence the work quality by indicating to the thinners (or workers) of upcoming plot locations.

After receipt, the Government inspector or COR will review all plot cards, and re-check calculations after receipt.

The COR may reject plot sheets if the Contractor fails to properly fill out the inspection forms including signatures and calculations.

5. The Government inspector will conduct quality assurance plots in a timely manner after unit completion. The

COR will inform the Contractor if the quality is acceptable to the Government, after comparing the Government assurance plots with the Contractor’s after the entire unit is treated. When they are within 5%, the Contractor will be informed that his/her quality assurance is acceptable for tree thinning (or other work as applicable) quality and pay will be calculated based on the Contractor’s plot results, assuming Category C deficiencies are within acceptable levels.

When the Government’s inspector compares the Contractor’s inspection to the Government’s assurance plots prior to the unit being completed, it will only be considered an indication of the progress and not considered an acceptance of the Contractor’s work. The Government does not need to reveal the results of their plots, but will notify the

Contractor if it appears that the Contractor’s inspection is greater than 5% from the Government’s. Based on FAR

52.246-4 Inspection of Services (attached as reference and included by reference in Section E), the Contractor should be notified as soon as it is apparent that there may be a problem so they can improve in their inspection process if it does not conform to the standards. In some cases with thinning, the Government may not have quality assurance plots prior to unit completion.

If at unit completion, the Contractor’s results differ by greater than 5% from the Government’s QA plots, payment will be based on the Government’s plot results (G.3.1). If the Contractor finds this objectionable, he may request a re-evaluation. The FS will then conduct a 2% sample [or if using alternate clause, the sample size requested by the

Contractor up to 2%] and if the results confirm the Contractor’s results (or within 5%), payment will be based on the

Contractor’s results. However, if the results of the re-evaluation sample indicate the Government results are correct

(i.e. greater than 5% difference), then payment is based on the Governments re-verification results and the Contractor pays for the actual costs associated with the re-verification sample. (Refer to E.2.6.1.)

6. When the Contractor’s work is below the performance standard of 90%, the COR may require the

Contractor to rework the unit or portion of the unit where the deficiency occurred and it can be corrected. When

Category C deficiencies exceed the maximum allowable, the Contractor shall rework the area to bring it into compliance. The Contractor shall re-inspect this work and the Government will conduct similar surveillance as the original work. When work cannot be corrected, or at agreement with the Contractor, the Government may accept work at the reduced price stated in Section G. After being advised that the Contractor has reworked an area, the

Government will conduct a new set of plots up to ______ times after the initial [use limit on number of inspections if using F.3.3.1.1]. The Contractor should submit his quality control inspections indicating that work is complete and acceptable prior to the Government conducting plots. The Contractor can be assessed the cost of the extra plot assessment.

C. Release and other tasks not included in the Tree Thinning inspection:

1. The Government inspectors will conduct quality assurance for release and other TSI work similar to the procedures described for Tree Thinning. [or provide a description and inspection form].

2. Modify the codes on the standard Tree Thinning Inspection form or utilize a local form for inspecting release and weeding or other required activities.

D. Slash Clean up. The COR and inspector will monitor the slash activities according to the Silvicultural Summary

Prescription, contract requirements, and the Contractor’s proposal provided with the technical proposal. The

Contractor is required to rework any areas not meeting the requirements and repair damage to improvements. The

Contractor may be assessed actual damages when work is unacceptable.

E. Resource Protection. The COR and inspector should monitor the activities to assure resources are being protected. This should be monitored in conjunction with work in progress.

F. Work Schedule. The work schedule will be monitored as previously described. When the Contractor does not complete work within the accepted time schedule, the CO has several options that allow the Contractor to continue to work but s/he may be assessed the actual damages to the Government (i.e., wages, travel and per diem, etc.) for work completed outside the contract time

G. Contractor’s Quality Inspection. When the Contractor’s inspection varies by greater than 5 percent from the

Government’s, the Contractor may be required to re-work, essentially re-inspect, the unit, or the Government may do the work. Refer to FAR 52.24-4 Inspection of Services. The CO or COR will make this determination and make payment and assess costs accordingly. Note that if Government results are used for payment, the Contractor can be charged for the actual Government cost of conducting the re-inspection.

H. Work site and Campsite. The inspector and COR will periodically assess the campsite and daily monitor the worksite to assess if it is clean, and meets the requirements set forth in the contract. The COR will require the

Contractor to clean up the work site or campsite or suspend operations if it is a safety hazard. Final payment will be withheld until the worksite is cleaned, including trash that may be left in the unit and the campsite meets the camping permit requirements.

I. Safe Working Conditions. Safety should be discussed at the prework meeting. Emergency numbers and similar information needs to be shared with Contractor. The COR should use common sense in dealing with safety concerns. For example, when there are extreme conditions such as, windy weather in areas with a potential for blowdown, the CO/COR shall use their contract authority to reduce the safety risks. Example of actions to take include moving the operations to a safer unit, posting lookouts, dropping portions of a unit, suspending operations with contract time. When the COR is not on site, the Contractor will need to notify the COR or CO of such a condition.

If the Contractor brings safety hazard to the attention of the COR, the COR/CO and Contractor must find resolution. Examples of options for resolution include, suspension with contract time, moving to another area until the hazard (like in the case of wind) has ceased, altering specifications to avoid the hazard (an example may be modifying the contract to not work within a certain distance of snags), or falling the trees the Contractor identifies as hazards.

IV. Contractor Final Performance Assessment

A. Final Performance Assessment

The COR will document the Contractor’s performance under this contract/task order. The COR will document his/her understanding of the contract requirements, what was actually completed, and the impact or consequences of what was not completed, and any recommendation for rework.

The COR will summarize the Contractor’s performance in the following aspects:

Quality of TSI activities and related services

Cost Control

Timeliness of Performance

Business Relations

Customer Satisfaction: Was the Contractor committed to customer satisfaction?

Would you recommend the selection of this Contractor again (after contract expiration)? Why?

Utilize these ratings along with a short explanation.

o Unsatisfactory = nonconformance is jeopardizing the achievement of contract requirements despite the use of Agency’s resources.

o Poor = overall compliance requires MAJOR agency resources to ensure achievement of contract requirements.

o Fair = Overall compliance requires MINOR Agency resources to ensure achievement of contract requirements.

o Good = Overall compliances does not impact achievement of contract requirements.

o Excellent = There are no quality problems and Contractor goes beyond what is expected of contract to achieve services.

B. Analysis of Performance Assessment Results

The Contracting Officer will review each Performance Assessment prepared by the COR. When appropriate, the

Contracting Officer may investigate the event further to determine if all the facts and circumstances surrounding them even are considered in the COR opinions outlined on the forms. The Contracting Officer will prepare the final

Performance Assessment that will be entered into the Past Performance Database.

Exhibit 2

SUMMARY INFORMATION CHART

Item # 1 - Tree planting: Soda Springs Ranger District

All tree planting is with hoedads of 1-0 plug stock, and units are all located in Olsen Creek.

Summary Information Chart Tree Planting

Map Unit# ACRES Unit

Access

Tree

Spacing

Target #

Trees/Ac.

Planted

Scalp Size Planting

Method

17 15 < ¼ mile walk-in

11’ x 11’ 360 24” x 24” Hoedad

19 25 < ¼ mile walk-in

11’ x 11’ 360 24” x 24” Hoedad

Total Acres = 40

Item # 2 Dick’s Retreat PCT – Montpelier Ranger District

All PCT shall be accomplished using hand labor and chainsaws

Summary Information Chart – PCT

Map

Unit

ACRES Unit

Access

Target

Trees/Ac.

Min.

cut height

Max.

Cut

Dia.

inches

Leave

Tree

Spacing w/50%

Variation

Max.

Slash

Height

Feet

008 5 trail 0.75 mi

360 1’ 6” 6 – 18 feet

3’

013 17 trail

0..25 mi

360 1’ 6” 6 – 18 feet

3’

016 1 trail 0.25 mi

360 1’ 6” 6 – 18 feet

3’

017 4 trail 0.25 mi

360 1’ 6” 6 – 18 feet

3’

018 7 trail 0.50 mi

360 1’ 6” 6 – 18 feet

3’

019 3 trail 0.50 mi

360 1’ 6” 6 – 18 feet

3’

024 7 0.25 mi walk in

360 1’ 6” 6 – 18 feet

3’

44 Acres Total Average unit is 6 acres

Unit Access = open road means you can drive to the unit, trail means that access is a trail that is open to motorcycle use.

Item # 3 Dry Basin PCT – Montpelier Ranger District

All PCT shall be accomplished using hand labor and chainsaws

Summary Information Chart – PCT

Map

Unit

ACRES Unit

Access

Target

Trees/Ac

Min.

cut height

Max.

Cut

Dia.

inches

Leave

Tree

Spacing w/50%

Variation

Max. Slash

Height Feet

ATV trail

0..5 mi

360 1’ 6” 6 – 18 feet 3’

ATV trail

0..25 mi

360 1’ 6” 6 – 18 feet 3’

ATV trail

0.50 mi

360 1’ 6” 6 – 18 feet 3’

ATV trail

0.25 mi

360 1’ 6” 6 – 18 feet 3’

ATV trail

0.25 mi

360 1’ 6” 6 – 18 feet 3’

ATV trail

0.50 mi

360 1’ 6” 6 – 18 feet 3’

ATV trail

0.50 mi

360 1’ 6” 6 – 18 feet 3’

ATV trail

0.25 mi 360 1’ 6” 6 – 18 feet 3’

ATV trail

0.25 mi 360 1’ 6” 6 – 18 feet 3’

073 2 Open road 360 1’ 6” 6 – 18 feet 3’

081 5 Open road 360 1’ 6” 6 – 18 feet 3’

.50 mi walk in 360 1’ 6” 6 – 18 feet 3’

.50 mi walk in 360 1’ 6” 6 – 18 feet 3’

ATV trail

0.75 mi 360 1’ 6” 6 – 18 feet 3’

.10 mi walk in 360 1’ 6” 6 – 18 feet 3’

.10 mi walk in 360 1’ 6” 6 – 18 feet 3’

.10 mi walk in 360 1’ 6” 6 – 18 feet 3’

.25 mi walk in 360 1’ 6” 6 – 18 feet 3’

56 Acres Total Average unit is 3 acres

Unit Access = open road means you can drive to the unit, ATV trail means that access is a trail that is open to ATV use.

Exhibit 03 – Procedure when planting with a hoe

Exhibit 4 – Planting Inspection Sheet

USDA Forest Service R1-FS-2470-9 (6/2001)

PLANTING INSPECTION SHEET – CONTRACT AND FORCE ACCOUNT

(FSH 2409.17)

FOREST

DISTRICT

INSPECTOR

CONTRACT NUMBER

COR

PLOT

SIZE

STAND

NUMBER

CONTRACTOR

SUB ITEM

NUMBER

ACRES

AVERAGE

SPACING

MAX TREES/

PLOT

SHEET

NUMBER OF

D A

T E

P lo t N o

(2) (3) (4) (5) (6) (7) (8) (9) (10) (11)

Remarks Examine & Tally Planted Trees D es ir ed N o o f

P la n ta b le

S p o ts

N

U n p la n ta b le

S p

A ct u al

N o

P la n ta b le

S p

M ax im u m

N o

A ll o w ab le

T re es

P la n te d

W as te d T

T re es S ta ti s.

o v eG ro u n

T re es D u g

.T re es

S ta

B el o w

G ro u

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11)

*First line for above ground.

Second line for below ground.

TOTALS

FINAL %

INSTRUCTIONS

1. Locate and mark the plot center on the ground.

2. Locate and examine planted trees for above ground criteria. Record results in column 2 of inspection form.

Above Ground

Satisfactory Planting spot selection

S Spacing violation

P Planting spot selection

X Shade violation or protection (microsite) violation

D Planting depth

A Stem position – improper angle

F Firmness, tree improperly tamped, loose

C Scalping or clearing or planting spot preparation violation

W Wrong species T Cull Tree

3. Determine from table 1 the average number of desired plantable spots for the plot based on the specified average spacing.

Record results in column 3.

4. Determine and record in column 4 the number of spots void of planted trees that are unplantable due to acceptable existing natural regeneration or on-the-ground conditions. (Refer to definitions in supplement to the General Provisions.)

5. Subtract column 4 from the average number of planting spots and record the difference as the actual number of plantable spots on which trees should be planted on the plot in column 5.

6. Determine the maximum number of allowable trees from table 2 and record in column 6.

7. Record the number of trees planted on the plot from column 2 in column 7.

8. Determine wasted trees by subtracting the maximum number of allowable trees in column 6 from those planted (column

7) and if more than zero, record in column 8.

9. Record the number of planted trees meeting the above-ground contract specifications from column 2 in column 9. The maximum number of satisfactory trees to be credited shall not exceed the maximum number recorded in column 6.

10. Determine and dig at least the minimum number of trees from those determined satisfactory above ground in accordance with table 3 and record in column 10. The trees will be dug starting with those closest to the plot center and progressing outwards.

11. Tabulate below ground results in column 2 and record the number of trees meeting below-ground contact specifications in column 11.

Below Ground

Satisfactory F Firmness – air pockets, tree improperly tamped, loose

R Roots configuration violation L Altered root length violation

M Foreign material in planting hole O Planting hole orientation violation

12. Planting Quality Percent = Column 9 x Column 11 x 100

Column 5 Column 10

Exhibit 5 – Sample Planting Inspection Sheet & Explanatory Notes

PLANTING INSPECTION SHEET – CONTRACT AND FORCE ACCOUNT

(FSH 2409.17)

FOREST

Kootenai

DISTRICT

Cascade

INSPECTOR

R. Needles

CONTRACT NUMBER

R1-00020-03

COR

P. Greenup

PLOT

SIZE 1/50th ac

STAND NUMBER

20003001

CONTRACTOR

TreesRUs, Inc

SUB ITEM

NUMBER 3.1

ACRES

AVERAGE

SPACING 12x12

MAX TREES/

PLOT 7

SHEET

NUMBER 1 OF 1

D A

E

P lo t N o

(2) (3) (4) (5) (6) (7) (8) (9) (10) (11)

Remarks Examine & Tally Planted Trees

D es ir ed

N o o f

P la n ta b le

S p

U n p la n ta le

S p ct u al

N o

P la n ta b le

S p

M ax im u m

N o

A ll o w ab le

T

P la n te

W as te d T

T re es S ta o v eG ro u

T re es D u g

.T re es

S ta

B el o w

G ro u

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11)

5/1 1 C √ √ √ √ √ 6 0 6 7 6 0 5 Small scalp

√ √ 2 2

2 √ √ √ √ √ √ √ 6 1 5 6 7 1 6

√ M 2 1 Rotten wood in hole

3 √ X √ √ √ 6 0 6 7 5 0 4 Did not shade by stump

√ √ 2 2

4 √ √ √ √ √ S √ 6 2 4 5 7 2 5 Seedlings too close

√ √ 2 2

5 √ √ √ √ √ √ √ 6 0 6 7 7 0 7

√ F √ 3 2 Air pocket

6 √ √ X √ √ D 6 0 6 7 6 0 4 No shade; shallow planted tree

√ √ 2 2

7 √ √ √ √ √ √ √ 6 0 6 7 7 0 7

√ √ √ 3 3

8 √ √ √ √ √ √ √ 6 1 5 6 7 1 6

√ √ 2 2

9 √ √ √ √ √ √ √ √ 6 0 6 7 8 1 7

√ L √ 3 2 Roots were trimmed

√ √ √ √ 6 3 3 4 4 0 4 Acceptable established trees on plot

√ √ 2 2

*First line for above ground.

Second line for below ground.

TOTALS

60 7 53 63 64 5 55 23 20 FINAL % = 90%

Calculation: Col 9 x Col. 11 x 100 = 55 x 20 x 100 = 90.235 Wasted trees on plots = 5

Col. 5 Col. 10 53 23

Submitted by Rob Needles, Inspector. 5/2/2003 All information is correct and complete.

Exhibit 5 Continued

SAMPLE PLANTING INSPECTION AND EXPLANATORY NOTES

Note that the Contractor filled out the Inspection Sheet header completely. The Forest, District, Contract

Number, COR, Stand Number, Subitem, Acres, and Avg. spacing are information provided by the

Government either directly or within the contract.

The Contractor provided the name of the (Contractor) Inspector, plot size, max trees/plot (based on contract tables), sheet number, and calculated the final quality. The Contractor assured that all columns and math were correctly done. The Contractor’s inspector signed and dated the inspection records and certified that the information was correct and accurate.

Based on the sample Inspection Sheet, the plot information was completed based on these observations:

Plot 1: Six trees were planted on the plot. The first tree did not have the required scalp width and received a C for scalping/clearing violation. Other trees were satisfactory above ground. There were no voids on the plot greater than 144 sq feet (12 x 12 spacing), so –0- unplantable spots are recorded. The inspector dug two trees, which is the minimum number based on 5 satisfactory trees in the above ground inspection.

Both were properly planted.

Plot 2: There were seven planted trees on the plot, all satisfactory above ground. The inspector found a void on the plot with no trees that was larger than 144 sq. ft. The inspector checked for plantability and it unplantable. One unplantable spot was recorded. This caused one wasted tree in column 8. Note that the satisfactory trees recorded in column 9 is six (not seven- cannot exceed the maximum allowable trees, col.

6). In the below ground inspection, a piece of rotten wood was found in the hole, which is a foreign material violation (F).

Plot 3: There were five planted trees. One tree was not planted by a stump, which was a shade violation

(X) since the contract required that all trees be planted by stationary shade when it is available. There were no voids on the plot of 144 sq, ft that were unplantable. The two sample trees that were dug were satisfactorily planted based on below ground requirements.

Plot 4: There were seven planted trees. Two trees were planted five feet apart (minimum spacing was 50% of 12 feet or 6 ft). A spacing violation (S) is recorded for one of the trees. The other trees were satisfactory.

The inspector found two voids on the plot that were unplantable, each at least 144 sq ft (approximate square or circle), and recorded –2- unplantable spot in column 4. Based on only four planting spots, the maximum allowable trees is five. Since seven trees were planted, two trees are wasted. Only five trees are recorded in column 9. Two trees were dug and both were properly planted.

Plot 5: Seven trees were planted and all were satisfactorily planted above ground. There were no unplantable voids equal to 144 sq. ft. The below ground inspection revealed an air pocket in the lower part of the hole which is a Firmness violation (F).

Plot 6: There were six trees planted. One tree was not shaded which is a shade violation (X) since the contract required shade when it was available. Another tree was planted high with the root collar above the ground surface so a depth violation (D) was recorded. Four trees are identified as satisfactory. Based on this, two trees were dug from the four that were satisfactory above ground; and found to be planted properly.

Plot 7: There were seven trees planted all of which were satisfactory. No unplantable voids existed. Three trees were dug based on seven satisfactory trees; they were satisfactory.

Plot 8: Seven trees were planted all of which were satisfactory. Although they tended to be closer than 12 feet apart, they were not closer than 6 feet apart, so no violation occurred. There was a void on the plot about 14x14 in size with no trees, and was found to be unplantable after the inspector checked for plantability. One unplantable spot was noted. Since seven trees were planted but the maximum number of allowable trees is six (due to one unplantable spot), there is one wasted tree in column 8. Only six trees count as satisfactorily planted above ground (cannot exceed col. 6), thus two trees were dug and were satisfactory.

Plot 9: Eight trees were planted. They tended to be closer than 12 feet apart but were not closer than 6 feet, thus no violation. There were no unplantable voids on the plot. The maximum allowable trees is seven, thus one wasted tree is recorded in col. 8. Three trees were dug based on seven satisfactory planted trees

(cannot exceed col. 6). The roots on one of the trees had been stripped either during planting or before planting. (if before planting, the planter should not have planted the tree) resulting in a violation for altered root length (L).

Plot 10: Four trees were planted, and each was satisfactorily planted. Almost half of the plot could not be planted because there were small trees that met the requirements for acceptable established trees. This accounted for about three areas of 12x12 feet in size that were taken up with the residuals accounting for three unplantable spots. Two trees were dug and found to be satisfactory.

Following the inspection, all numbers were checked and totaled. The final quality is calculated based on the equation provided on the backside of the inspection sheet.

Evaluation: It should be noted that as a final inspection, the Contractor failed to meet the required 90% quality for acceptable work. He would receive –10% of the bid price for this unit or payitem depending on how the contract is written. Although the Contractor over-planted, it helped to compensate for the above ground errors. It was the below ground errors that caused work to be unacceptable.

The over-plant also resulted in 5 wasted trees on the plots, which computes to 25 trees per acre that are excess. The Contractor should be assessed the wasted tree charges.

Exhibit 6 – Excerpts from FSH 2409.17

The following excerpts are from the Forest Service Handbook, R1-Supplement 2409.17-2002-1

(effective 4/29/200), Chapter 2 – Reforestation, as they relate to the II clauses of this contract. The

Handbook is also referred to as FSH 2409.17 in this contract. The mandatory standards from the handbook are provided for ease in implementing this contract. In some cases, the handbook identifies examples or suggestions that may differ from specific requirements stated in Section C of the contract. When this occurs, Section C requirements take precedence.

Reference: II.4.2. Tree Handling and Care

FSH 2409.17, 2.53 - Tree Care from Storage to Planting

6. Transport of Trees.

a. Wrapped trees. Protect tree bundles from drying wind during transport. Do not transport them exposed in open trucks. It is best to transport bundles inside tree shipping cartons with tops exposed to air in insulated tree transport units, covered vans, canopied pickups, or trailers.

If it is necessary to stack boxes for transport, wrapped trees may be laid horizontally in original nursery bags and then placed in boxes for short periods. Do not roll or seal the bags. Once at the site, bags should be reopened and bundles placed upright. Air exchange is important when trees are exposed to temperatures over 36 degrees Fahrenheit.

b. Unopened Tree Boxes. Trees in unopened boxes should be transported in canopied trucks or vans. They can also be transported in open pickup beds providing they are well covered with white or reflective tarps. Do not expose tree boxes to wind or direct sunlight.

7. Tree Care While Planting.

a. Keep boxes in shade. Cover boxes at all times to keep them cool using reflective tarps

(shiny side down) such as space blanket type tarps. Stacked boxes of trees shall be separated to provide free air movement between boxes. Punctured or torn containers must be promptly resealed.

b. Planting bags for bareroot stock must have a minimum depth of 15 inches. Canvas bags with a silver colored reflective material on the outside and an inside compartment of neoprene and drain holes are preferred. This should be specified in the contract.

c. Seedlings, whether individual, in bundles, or bags, must be protected at all times from drying, heating, smothering, freezing, crushing, drowning, abrasion, rapid temperature fluctuations, or contact with injurious substances.

d. Do not remove trees from shipping containers until they are to be placed in planting bags.

If water has accumulated in the bag, it must be emptied before being filled with seedlings.

e. Plant tree seedlings without further root or top pruning, or culling. If pruning or culling appears necessary, or if mold, dry roots, evidence of injury, or dying is seen, the condition shall immediately be reported to the Contracting Officer or the Planting Foreman.

f. Do not handle frozen stock until it is completely thawed.

g. Trees in planting bags shall have only their tops exposed. Loosen wrap from trees just prior to planting to allow trees to be easily extracted from the roll.

h. Do not remove a tree from the planting bag until the planting hole has been opened.

i. Remove seedlings gently from planting bag, one at a time, to prevent root stripping or other injury, and quickly and gently insert it in the planting hole.

j. Seedlings carried in planting bags shall not exceed the amount that can be carried and removed without injury, or which can be planted before critical heating or drying occurs. Once trees are placed in bags they must be planted and not returned to storage.

k. Container trees are extracted from tubes or blocks in which they are grown and placed in plastic bags for shipment. Each bag contains a set number of trees, usually 25 to 30 trees per bag depending on the grower. Some growers may wrap trees in plastic wrap rather than bags. Spring-shipped trees may be frozen. They must be thawed prior to planting.

l. Bagged trees go directly from the box to planting bags. Place trees vertically, with tops up, in planting bags. Do not overload planting bags. Do not double stack seedlings in planting bags, even if tops are only 6 to 8 inches high.

m. Summer-delivered trees should be planted as promptly as feasible, as they are not conditioned for storage.

Reference: II.4.2.4. Environmental Hazards that affect tree survival.

FSH 2409.1, 2.53 - Tree Seedling Storage

8. Weather and Soil Hazards During the Planting Operation.

a. Cold Air Temperature Hazards.

(1) Spring Planting. Do not begin planting until the probability of severe cold events has lessened to avoid freeze damage. Most planting windows in the northern Rockies are not open until after mid-April. Planting may begin earlier further south. Monitor the weather forecast once planting has started. Plan to suspend planting on days when extreme cold events such as Canadian air masses are expected to move in.

Normally, it is not early morning frosts that damage trees right after planting, it is extended periods of cold in lower teens and twenties that cause problems, and winds can make it worse. Plant when trees are still dormant. Dormant trees will withstand cold better.

Do not plant during freezing temperatures, and do not expose roots to freezing temperatures during planting.

Experience has shown that planting too early in the season can result in high mortality. Even though a site may be free of snow, do not plant when there is still a chance of killing frosts or when soil temperatures are low. The moisture content of the stems and needles in trees coming from packing boxes is high. When exposed to low temperatures during late freezes, the water in the plant tissues freezes, killing the tissue.

(2) Summer Planting Container. There may be freezing temperatures during the summer plant season at high elevations, especially at night. Summer stock is not frost hardy. Trees stored on site must be protected from severe freezing as new root tips are easily damaged. Do not start planting until the chances of hard frosts are over.

(3) Fall Planting. Fall-planted container stock is subject to frost damage when planted later in the season (after October 1).

Trees planted from mid-August through September are able to harden off normally as days shorten and night temperatures decline. By mid-October, these trees become cold hardy and can withstand temperatures well below freezing. If severe cold (teens to low twenties) weather is forecast, delay planting until low temperatures are expected to rise to normal fall temperatures. The moisture content of containerized trees coming out of the cooler will often be high. It will take a few days on the site for trees to lose the high moisture content and become more resistant to freezing.

b. Frozen or Cold Soils. Trees cannot be properly planted in frozen soils. It creates problems in opening the planting hole and filling it properly. Suspend planting operations if soils are frozen more than an inch deep. Do not plant if soils are below 40 degrees Fahrenheit at rooting depth.

Adequate soil temperatures are needed for seedlings to absorb soil moisture.

c. Drying Winds. Winds can damage trees by drying roots and tops. Watch seedlings closely for signs of soil or root drying. Consider suspending operations if tree roots are drying between the planting bag and planting, or if soils are drying before the hole can be closed. Use temperature/humidity charts developed specifically for Rocky Mountain sites to determine suitable planting windows.

Warm winds can desiccate trees that have open stomata, typical of trees just removed from the planting box. Consider suspending planting operations if there are warm drying winds and temperatures exceed 80 degrees Fahrenheit.

d. Dry Soils. Sufficient soil moisture is needed so the planting hole can be properly opened and closed. Base the decision to plant on soil condition and experience of local moisture patterns and planting windows. For example, if soils are dry in the last week of June and no rain is forecast, planting may not be appropriate. Although there are risks, if soils feel dry in April, trees can be planted assuming normal rains will occur.

On low to middle elevations in southwestern Colorado, Arizona, New Mexico, and southern

Utah, do not plant trees in May or June unless soil moisture is adequate to get roots established. These are typically the driest months of the year. Do not rely on anticipated monsoon rain patterns to make up current moisture deficits.

Seasonal moisture expectations dictate planting strategies during the fall planting season.

Trees are becoming dormant and their moisture needs are declining as the season progresses. As well, trees with less water content will be less prone to freeze damage. Trees planted in late August will need more soil moisture than those planted in mid- September. Trees planted at high elevations after mid-September will need relatively little additional moisture until next spring.

Planting late in the fall while waiting for wetting rain can result in cold damage to trees that are not properly conditioned and hardy for freezing temperatures.

e. Snow-covered Sites. Snow can make finding planting spots difficult. If planters cannot find planting spots, stop planting until the snow melts enough that planting spots can be detected. On some sites only an inch or two of snow can make planting spots difficult to find.

f. Warm Temperatures. Warm temperatures alone may not be extremely harmful, however;

there are cases when heat may be a concern. For example, if it is 70 degrees Fahrenheit at 10 am and will be in the 80 degree-plus range most of the day, it is probably desirable to delay planting. Consider planting in early hours and late evening on very warm days or moving crews from south and west slopes to north and east slopes. Consider compounding factors particularly wind. Moderately warm temperatures coupled with drying winds are extremely stressful to trees.

g. Water-Saturated Soils. Trees planted in waterlogged soils will suffocate and die. Tree roots must have air to function. Saturated soils also affect the ability to plant, especially in high clay or silt content soils. Soils must be well drained enough to properly open and close a hole for successful planting.

Often soils too wet to plant immediately after snowmelt or heavy rains are plantable a few days or a week later.

On very wet sites, it may be necessary to change the stock type or season. For example, in spruce bottoms that are so waterlogged they can only be planted with summer and fall container stock.

FSH 2409.17, 2.82 - Contract Inspection

1.c. Weather Shutdown Guidelines. When the COR determines that temperature, humidity, soil moisture, winds, or a combination of these and other physical conditions are unsuitable for tree planting, move the work force to another area or suspend operations. Whenever suspension due to weather is contemplated, considerations must be given to the risk of delaying planting. Will conditions worsen or improve? Is tree survival at risk? When will the contractor return to complete the work?

(1) Factors to consider prior to suspending operations due to weather:

(a) Degree of stress to trees created by current weather conditions.

(b) Predicted future weather, including expected rainfall, winds or temperature changes.

(c) Length of planting season remaining.

(d) Number of trees left to plant.

(e) Condition of planting stock, particularly relative to dormancy.

(f) Availability of alternate sites on cooler aspects or to adjust work shifts (early or split shifts)

(2) Appropriate conditions for temporary shutdowns:

(a) Snow on the ground. Snow makes it difficult to select planting spots;

too much snow will obscure planting spots and snow may fill the planting hole. Snow covering steep slopes may also be a hazard to planters.

(b) Frost on the ground. When there is more than ½ inch of frost in the ground, planting holes cannot be opened or closed properly.

(c) Freezing weather. Frozen tree roots or root plugs become brittle and roots are easily damaged and broken. Tops and needles are also subject to damage.

(d) Dry Soil. The soil is too dry to properly firm the tree. Dry soils that have the consistency of flour or hard clay cannot be planted without additional moisture.

However, trees should be planted if the soil is workable and chance of future moisture is reasonable.

(e) Wet Soil. The soil is too wet to properly firm the trees. Sometimes soils must be allowed to drain before planting can continue.

(f) Winds. Sustained winds of 20 miles per hour or more with low humidities and high temperatures of 75 degrees Fahrenheit or more are damaging to seedlings. Winds coupled with low humidities and warm temperatures cause high moisture stress to seedlings. Consider planting at alternate time of day if possible. Many times, Rocky Mountain springtime weather fluctuates rapidly. Temperatures variations of 40 to 50 degree with changing winds and humidity may occur within hours. In these conditions protect seedlings from drying winds with wet kimtex type towels or burlap for short periods of time.

(g) High temperatures. Temperatures exceeding 85 degrees Fahrenheit for more than 4 hours cause moisture stress to the seedlings. Under these conditions, it may be desirable to only plant in the morning and evening rather than shut down operations.

(h) Wind or weather conditions in a burn area. Wind or other weather conditions can make planting hazardous such as in a burn area. Planting should not continue when there are winds predicted or occurring that increases risk of snags falling within the unit during the planting operation.

(i) Weather Guides. When using weather guides for determining planting windows, use only those developed for the local area. Guides from other areas are not appropriate.

Reference: II.4.3.1. Tree Preparation (Wrapping) N/A IN THIS CONTRACT

FSH 2409.17, 2.53 - Tree Care from Storage to Planting

3. Tree Wrapping Process. The wet wrap method is recommended for tree preparation.

Wrapping can be eliminated if other precautions are taken to ensure root systems are not exposed to drying.

However, wet wrap offers some insurance against root drying and may be more efficient than increasing inspection time at planting during sunny weather to ensure trees are not being abused.

Other methods, such as placing trees in insulated tree bags, are acceptable as long as monitoring ensures roots are not drying. Cellulose products can be mixed with water before the trees are dipped, however, if the slurry is too thick or rubbed on roots, it will harm the roots.

Conduct tree wrapping under full shade and in an area protected from wind. It is best to be inside buildings or in canvas shelters with low temperatures and high humidity.

Remove trees from boxes in groups of 20 to 50. Roots may be briefly dipped in tubs of clean fresh water, or misted prior to wrapping.

Wrap trees in wet kimtex-type towels pieces or clean burlap, about 15 by 30 inches in size (ex. 01).

Kimtex-type towels are lighter, easier to prepare, and are disposable (thus cleaner) at the end of the planting season. Wrapping material must be clean to avoid spreading molds from one bundle to the next.

Separate seedlings gently and place one layer on the wrap. Roots should not be tangled. The wrap should extend about 6 inches below root ends. Fold the bottom 5 inches of wrap over roots, ensuring roots are not folded. Roll the bundle and fasten with a nail or plastic wrap. The planter must loosen the roll slightly prior to planting to prevent root stripping when extracting seedlings. Indicate the seed lot and other information such as time of wrapping and wrapper name, for bundles. Colored flagging or other tagging with this information marked on it will aid in administration of the wrapping process.

5. Storage of Wrapped Trees. Plant trees as soon after wrapping as possible. The wrapping process can initiate warming that results in increased tree physiological and microorganism activity.

Microorganisms can damage wet, warm foliage in a short time.

Follow these practices:

a. Wrap trees as they are needed. Do not store wrapped trees for longer than 48 hours. It may be more expensive to wrap trees as needed but is necessary for survival

b. Do not store wrapped trees horizontally in the original shipping bags and then reseal the bag. This will cause heating, aeration, and disease problems. Water may also accumulate in the bottom of the bag and drown the trees.

c. Store wrapped trees with treetops upright and well aerated until ready for shipment to the planting site. Stock temperature should be maintained at 33 to 36 degrees Fahrenheit. Do not allow cold refrigeration air to blow on treetops as it can freeze the trees.

Reference: II.4.4.1. Satisfactorily Planted Tree

FSH 2409.17, 2.63 - Planting Hole Design

Locate holes for tree planting in good soil that is deep enough to accommodate the fully extended seedling roots.

They should not be placed in rotten logs, duff or mixes of organic matter, or soil that easily dries out. The hole must be large enough in all dimensions so that seedling roots may be inserted without becoming deformed or damaged.

Only an occasional long lateral root can be laid in the bottom of the hole in a non-vertical position.

Utilize the "Open Hole Method" in all cases. Open a hole with the planting tool to create a hole of adequate size to allow for natural alignment of tree roots and compaction of soil. Place loosened soil back into the hole and progressively firm soil from the bottom of the hole toward the top. The seedling should be positioned in the center of the hole. Side hole planting is only acceptable in limited cases where sandy soils are present.

Do not plant trees in narrow slits opened in the ground (slit planting); the seedling roots will not develop properly in most soils.

The standard minimum-sized planting hole for bareroot stock is:

1. Two inches deeper than the root length of the tree being planted.

2. At least 31/2 inches diameter for the full length of the hole. A minimum 4-inch diameter hole is required for auger planting to permit necessary tamping for firmness.

The minimum-size hole for container stock is:

1. One inch deeper than the plug length.

2. At least 3 inches in diameter at top of the hole and 1 inch at bottom.

FSH 2409.17, 2.66 - Planting the Bareroot Tree

The planting hole must be properly opened for correct tree placement. The seedling must be inserted at the proper depth with proper root and stem alignment. After the tree is properly aligned, moist mineral soil must be firmed around the roots. See exhibit 01 for examples of properly and improperly planted trees.

1. Planting Depth. Plant the seedling at approximately the same ground line as it was in the nursery. The root collar or cotyledon scar is an indicator of the original ground line. No portion of the roots should be exposed, nor any needles or branches covered with soil.

Correct depth placement is especially critical on high insolation sites. The stem tissue at the base of the tree at the ground line is insulated (thickest bark) better than stem tissue above or root tissue below for protection from temperature extremes.