While our efforts towards SB 1383 implementation and sustainment will carry on for the foreseeable future, we’re sad to say that our yearlong dedication to SB 1383-related blog posts is coming to an end.

We’ve covered topics ranging from Education & Outreach to Route Reviews & Enforcement, and everything in between. As we close out the year, we are giving you one last post covering information all about Hauler Programs / Management of Haulers.

Ultimately, jurisdictions are the ones responsible for the implementation and maintenance of SB 1383 requirements, however, these goals can only be achieved by working in partnership with the haulers. Franchise agreements have been, and will continue to be, drafted or amended to include SB 1383 language, including specific hauler proposed programs and measures of compliance to ensure that progress is made in the advancement and application of those programs.

Hauler Programs

Whether through sole-sourced negotiations, or through Request for Proposals (RFP) process, jurisdictions are including SB 1383 provisions in the form of a Sustainability and Compliance Plan (nomenclature may vary by agreement) and specific hauler required programs.

The hauler’s proposed plan must describe:

  1. How the hauler will provide outreach and education to residents, schools and businesses.
  2. The material that will be developed and distributed, including its format and distribution method
  3. How the hauler will maintain compliance with the State’s Mandatory Commercial and Organics Recycling mandates (SB 1383, AB 1826, AB 939, AB 341), including when and to whom letters will be sent, how compliance will be documented and reported.
  4. The hauler’s plan for waste audits, route audits, meeting cart color and labeling requirements, and site visits.

The plan also requires the hauler to document and report implementation of each of the plan’s components and other compliance data in an online waste reporting system or another format as designated by the jurisdiction.

Management of Haulers

Hauler programs are incorporated into respective franchise agreements to list specific actions that the hauler will take to assist the jurisdiction that they serve in achieving the requirements of SB 1383. You may ask yourself how jurisdictions are ensuring that haulers are applying the practices described in their proposed plans and franchise agreements.

There are several ways in which jurisdictions are ensuring that SB 1383 related hauler programs are being implemented, such as:

  1. Requirement of Staffing
    • Haulers are required to add a dedicated full-time Sustainability/Compliance Representative, whose responsibilities include conducting site visits and providing outreach and education in support of meeting Franchised and CalRecycle Diversion requirements and to meet State mandates, and all amendments and related subsequent legislation.
  2. Submission of a Sustainability and Compliance Plan
    • This plan can carry a different name, but essentially details the hauler’s plan of action to assist the jurisdiction in which it serves, in all the areas listed under the “Hauler Programs” section above.
  3. Regular Reporting
    • Jurisdictions can monitor and/or manage hauler progress through required reports that are provided monthly, quarterly, and/or annually (or some combination of the three). Some jurisdictions have begun to include a reporting line item requiring the hauler to list efforts made towards, and measured impact from, the reduction of Greenhouse Gas (GHG) emissions.
  4. Right-Sizing of Containers
    • In an attempt to further increase diversion efforts, haulers are required to proactively assist multi-family and commercial customers in the rightsizing of containers, which includes an evaluation of material generation and increase/decrease of container size and/or frequency of collection.
  5. Administrative Charges
    • If a hauler fails to perform to the agreed upon standards of the franchise agreement in which it operates, jurisdictions have the ability to assess administrative charges to force correction of an identified issue


For November, we’re focusing on SB 1383 enforcement requirements. Although not the most popular topic, enforcement is imperative to accomplishing California’s climate and organic waste diversion goals by the year 2025!

A jurisdiction’s role in SB 1383 compliance monitoring, inspections and enforcement will include approving and issuing waivers to organic waste generators and accepting and investigating written complaints about non-compliance. Beginning in 2024, enforcement will include issuing a Notice of Violation and may progress to issuing administrative citation for repetitive offenses. Jurisdictions may designate provision of Notices of Violation to haulers, but the City must administer the associated penalties.

Managing the Enforcement of SB 1383 Requirements

  • Develop a contamination monitoring and inspection protocol.
  • Many collection haulers have developed contamination tags to be used as an educational tool for generators when contamination has been identified.
  • Follow-up outreach and education and/or Notices of Violation in response to observed violations.
  • Beginning in 2024, it will be beneficial to collect supporting documentation to assess administrative citations as necessary.

CalRecycle Enforcement

CalRecycle released an SB 1383 Compliance Process Guidance document to outline their escalating enforcement process for when jurisdictions are non-compliant. CalRecycle will conduct compliance reviews to identify violations. When CalRecycle identifies a compliance gap during a compliance review they may choose to address the issue informally or issue a Notice of Violation to the jurisdiction, which triggers the following enforcement process.

  • Notice of Violation (NOV): If a jurisdiction is found to be violating one or more requirements, CalRecycle may issue the Notice of Violation with a timeline of between 90 and 180 days to correct the violation.
  • Corrective Action Plan (CAP): When violations are caused by extenuating circumstances, such as natural disasters, delays in obtaining permits, or delayed recycling of organic waste, and the jurisdiction has made substantial efforts towards compliance; a Corrective Action Plan can be placed allowing up to 24 months to comply with an extension of 12 months.
    • Substantial effort is where a Jurisdiction has done everything within its authority and ability to comply. Does not include circumstances where a decision-making body of a jurisdiction has not taken the necessary steps to comply with the chapter, including, but not limited to:
      • Failure to provide adequate staff resources to meet its obligations, or
      • Failure to provide sufficient funding to meet its obligations, or
      • Failure to adopt the ordinance(s) or similarly enforceable mechanisms.


Helpful Links

Butte County

R3 was recently engaged by Butte County (County) to assist with solid waste planning efforts for the County’s Enterprise Fund and Neal Road Recycling and Waste Facility (NRRWF). R3 is providing a variety of services including:

  • Reviewing and confirming the Interim Year Rate Applications for the County’s three haulers: Waste Management, Recology, and Northern Waste and Recycling;
  • Assisting the County with SB 1383 Capacity Planning by projecting organic waste tons disposed by the County and its incorporated jurisdictions as well as projecting the required additional edible food recovery capacity;
  • Providing the County with draft franchise agreement language for all three haulers to incorporate compliance with AB 1826 & SB 1383, and assisting in contract negotiations with the haulers;
  • Conducting Base Year (Detailed) Rate Reviews for each of the County’s three haulers;
  • Performing a rate study and creating a rate model for the County’s Enterprise Fund; projecting different rate adjustment scenarios over 20 years to ensure revenues can accommodate required expenses;
  • Creating draft ordinance language for the County to comply with SB 1383; and
  • Performing on-call work, as needed, including CalRecycle regulatory assistance, community engagement assistance, grant preparation assistance, and local task force assistance.
SB 1383

R3 is currently leading a team consisting of SCS Engineers, Abbe & Associates, DKC Consulting, and Cascadia Consulting Group to provide initial planning support for RecycleMore and its Member Agencies in implementing Senate Bill (SB) 1383.

Project tasks include the following:

  • Analyze current RecycleMore organics collection programs for all sectors, including processing, and determine adequacy to support compliance with SB 1383 requirements; and
  • Provide an estimate of additional collection and/or processing capacity needed to achieve the SB 1383 requirements;
  • Analyze existing RecycleMore program compliance requirements and new compliance requirements under SB 1383, consider the listed activities under all state mandates; and
  • Provide recommendations for the most effective implementation of required activities, which include:
    • Education and Outreach;
    • Inspection and Enforcement, including the assessment of penalties and contamination monitoring;
    • Edible Food Recovery Programs;
    • Regulation of Self-Haul Sector;
    • Purchasing Policy Changes;
    • Municipal Code Updates; and
    • Container Color and Labeling Requirements.
  • Provide a recommendation and description for accurate record keeping and monitoring of recommended RecycleMore activities to determine their performance effectiveness and contribution to organics reduction.

Anticipated project benefits are enhanced compliance with SB 1383, as well as improved coordination on legislative compliance between RecycleMore and its Member Agencies.

Zero Waste Marin

R3 was recently selected by Zero Waste Marin to conduct an Organizational Assessment of the JPA and provide recommendations on Best Management Practices and agency design that will improve the JPA’s ability to support Marin’s efforts to reduce waste going to landfill; as well as a zero waste feasibility study update that identifies five short-list strategies and a roadmap toward implementation of those strategies.

Project tasks include the following:

  • Research, analyze, develop findings, and prepare recommendations regarding the JPA’s Board of Director’s structure and composition, including potential alternatives to current practices;
  • Research, analyze, develop findings and prepare recommendations for future JPA staffing, that would be necessary to implement potential future alternative JPA structure and/or composition (such as contract staffing, support costs, expanded program costs, etc.);
  • Research, analyze, and develop findings regarding per capita (and/or per ratepayer) funding levels for other similar (and/or model) solid waste and recycling joint powers authorities, including descriptions of zero waste achievement and programs and services provided by the comparison agencies;
  • Conduct workshops with the Executive Committee and/or Board on best management practices in other zero waste communities and similar joint powers authorities;
  • Utilize our expertise to provide advice and recommendations on possible updates the 1996 Joint Powers Agreement; and
  • Map out the next steps the JPA could take to effectively move towards its zero waste goals and objectives, and identify five short-list zero waste strategies for implementation based upon updated waste and diversion modeling, stakeholder input, and best practices in zero waste.

Anticipated benefits include enhanced organizational effectiveness and improved zero waste programs.

Napa Recycling and Waste Services

Napa County (County) engaged R3 to conduct a Performance Review and Billing Audit of its franchised hauler Napa County Recycling and Waste Services (NCRWS) in 2009, 2013, and 2020. R3’s objectives were to determine the extent of NCRWS’ compliance with the Franchise Agreement, billing and remittance practices, and make recommendations to the County for improvement of services. NCRWS provides all commercial and residential solid waste, recycling, and green waste collection services in the unincorporated area of Southern Napa County.

The major objectives of R3’s Performance Review and Billing Audit of NCRWS were to:

  • Determine the extent to which NCRWS has materially complied with the provisions of the Franchise Agreement;
  • Verify that NCRWS is properly billing customers and accurately remitting payments to the County; and
  • Make recommendations, as appropriate, for improvement of services.

As part of the review, R3 performed on-site reviews of records, conducted staff interviews, analyzed policies, procedures, and internal controls, and conducted field audits. A total of more than 140 separate contractual requirements were identified and reviewed.

In addition, the following aspects of NCRWS’ operations were reviewed:

  • Management and Administration;
  • Policies and Procedures, and Job Training;
  • Safety Issues and Safety Record;
  • Billing and Franchise Fee Payments;
  • Collection Operations Efficiency and Roll-Off Box Service Management;
  • Public Education and Diversion Plans; and
  • Vehicle Maintenance, Repair and Replacement.

R3 also compared NCRWS’ performance for various safety, customer service, collection productivity, diversion rate, and vehicle maintenance benchmarks to the industry standards.

As a result of our reviews, Napa County gained the following benefits:

  • Determination of NCRWS’ contract compliance;
  • Verification that NCRWS is properly billing customers and accurately remitting payments to the County;
  • Review of performance for various safety, customer service, collection productivity, diversion rate, and vehicle maintenance benchmarks to the industry standards; and
  • Recommendations for improvement of services.
West Contra Costa Sanitary Landfill

R3 is currently engaged by the City of Richmond (City) to conduct the City’s 5-Year Review of Republic Services’ (Republic’s) Conditional Use Permit (CUP) for the West Contra Costa Sanitary Landfill Bulk Materials Processing Center (inclusive of Golden Bear Transfer Station and associated solid waste facilities) for the period of January 2012 through March 2017.

R3 performed a high-level review that focused on key CUP terms and conditions relating to facility operations, such as hours of operation, maximum daily quantities, maximum storage capacity, odors, airborne bioaeresols and endotoxins; resource recovery diversion rate, and resource recovery best practices. The review also included, but was not limited, to the following areas: transfer station, materials recovery facility (MRF), and compost operations; illegal dumping mitigation; leachate containment and handling systems; and health and safety practices in place at the facilities. Separate reports were prepared for the City’s information for specified areas of particular concern.

R3’s major tasks for the review included:

  • Review of relevant background materials, including the Conditional Use Permit (CUP), Solid Waste Facility Permit (SWFP), California Environmental Quality Act (CEQA) documentation and other relevant permits;
  • Preparation of the letter to Republic announcing the City’s intent to Review;
  • Preparation of an appendix detailing the data required for Republic’s submittal of a CUP compliance assessment; and
  • Facilitation of a meeting with City staff and Republic to discuss the process and answer questions.
  • Comprehensive verification of Republic’s submitted compliance assessment through site visits, observations of operations and evaluation of supplemental information from Republic.

Upon completion of the review, R3 assisted the City in drafting and negotiating changes to the CUP and a staff report to the Planning Commission, which included the recommendation to conduct ongoing monitoring for the period of one (1) additional year.

The additional year of monitoring is currently underway, and R3 has been engaged by the City to complete this review. R3 has held various meetings with the City and Republic to discuss the results of the review, incorporate comments, and provide clarifications and recommendations before finalizing the Review and presenting it to the City Planning Commission.

Monterey County - Solid Waste Flows

From 2014-2015, R3 was engaged by the County of Monterey (County) to evaluate and analyze its Solid Waste Management System, with the objective of developing an integrated regional approach as an alternative to the existing “split” between the two sub-regional solid waste management agencies. R3’s primary goal was to develop options to provide an efficient solid waste system to the entire Monterey region in a way that protected public health and the environment, provided benefits to all rate-payers, was committed to the highest and best use of materials, was adaptable and responsive in managing materials, and ensured that services were accessible to all customers.

R3’s work efforts included modeling tonnage flows between each community, transfer stations, processing facility and disposal facilities to determine the most environmentally sound and cost-efficient manner to manage solid waste on a regional basis. The modeling efforts addressed costs, GHG reductions, increasing diversion from landfill, closure of landfills, and location of transfer stations. The study’s results were presented in a series of regional workshops that facilitated the collaboration between all parties involved to remove barriers that previously had undermined cost-effective regional efforts to benefit all ratepayers. to identify and develop a consensus on operational, financial, political, and legal issues as alternatives to the status quo.

Clients of this regional engagement included the County of Monterey, Monterey Regional Waste Management District, Salinas Valley Solid Waste Authority, Pebble Beach Community CSD and the cities of Carmel-by-the-sea, Del Rey Oaks, Gonzales, Greenfield, King, Marina, Monterey, Pacific Grove, Salinas, Sand City, Seaside and Soledad.


In 2014, R3 developed a franchise system of solid waste collection for the City of Chico (City) to replace the City’s existing open-market permit system. Under the existing system, solid waste subscription was not mandatory, commercial and multi-family dwelling (MFD) rates were unregulated, and the City provided many services generally provided for free by a hauler under an exclusive franchise agreement. For this engagement, R3 developed and helped implement an improved solid waste collection system that fulfilled the City’s environmental goals and complied with State regulations, including AB 939, AB 341, and AB 1826.

Through R3’s facilitation, the City entered into negotiations for a new franchised collection system with its two permitted haulers, North Valley Waste Management (WM) and Recology Butte Colusa Counties (Recology), with the franchising costs fully reimbursed by the haulers. R3 worked extensively with the City and its permitted haulers to develop and analyze future franchising options, including documenting the existing conditions of the City’s solid waste system, developing key terms and conditions of potential franchise agreements, and establishing operational zones and requirements for the new collection system.

R3 proposed a solid waste collection system with three collection franchise contracts: two exclusive Commercial/Multi-family service zones operated by Recology and WM, and one exclusive City-wide Residential service zone operated by WM. R3 assisted the City in the implementation of the new system, including developing deal points for the City and haulers, developing draft agreement language, negotiating the final agreements, and revising the City’s municipal code.

After successful negotiations, the new agreement went into effect in October 2017. Benefits included a 10% Franchise Fee, operation of previously City-provided services, and clearly defined diversion, service, and equipment requirements.

Project Description:

At the time of this engagement, the City’s solid waste collection was regulated through an open-market permit system, with unrestricted permits issued to North Valley Waste Management (WM) and Recology Butte Colusa Counties (Recology) to serve both residential and commercial accounts in the City. Both permits were set to expire on June 30th, 2019.

San Diego - Districting Study

R3 was recently engaged by the City of San Diego (City) Environmental Services Department (ESD) to conduct a study that evaluated whether the ESD should implement a districted exclusive collection system for the diversion and disposal of commercial solid waste generated within the City. At the time of this project, the City regulated commercial solid waste generation under a non-exclusive commercial collection system, with 21 non-exclusive commercial Franchise Agreements (FAs) and nine franchise haulers competing for accounts throughout the City. Through the implementation of a “districted” system, the City would be organized into multiple service areas (districts) with a single hauler operating in each.

R3 had a wide range of responsibilities for this engagement, including, but not limited to performing the following tasks for the City:

  • Identifying and evaluating three alternative district configurations which the City could consider as starting points for defining boundaries in a new districted system;
  • Developing three different scenarios for implementation to present possible policy alternatives to the City;
  • Analyzing the issues identified in the Office of the City Auditor (OCA) in the August 2014 Performance Audit of ESD’s Waste Reduction and Recycling Programs both in terms of how other jurisdictions addressed these issues and their potential effect in the City of San Diego:
    • Potential to stimulate investment and innovation in recycling;
    • Customer service impacts;
    • Impact on street conditions and street maintenance costs;
    • Environmental impacts;
    • Impact on City’s ability to stabilize franchise and AB 939 fee revenues and monitor the accuracy of payments; and
    • Impact on long-term solid waste hauling competition.
  • Providing analysis on possible price impacts by conducting surveys on:
    • Rate and programs for cities in San Diego County;
    • Current commercial and multi-family rates in the City; and
    • Large California cities and other cities with exclusive commercial franchise systems.
  • Holding two public forums as an outreach program to discuss a districted exclusive collection system with haulers, interest groups and the general public; and
  • Making recommendations to the City in the case of implementation.

R3 ultimately found that adopting a districted exclusive collection system would produce many benefits, and accordingly made recommendations to the City regarding the implementation of such a system. These recommendations included specific details regarding the development of new FAs with exclusive franchised haulers to align with the City’s environmental goals, and a 3-district  option that maximized routing efficiency and reductions in traffic, air equality emissions, greenhouse gas emissions, and noise.