Compliance Assurance Plans

Each RU is required to develop a Compliance Assurance Plan (CAP) in partial fulfillment of the basic criteria for an effective recycling program (s. NR 544.04 (9g), Wis. Adm. Code).

What is a Compliance Assurance Plan?

A CAP describes the procedures a RU will follow in order to assure local recycling regulations/ordinances are being complied with. In most cases, a RU's CAP will only be a matter of formalizing the steps currently taken by staff to address ordinance violations related to recycling. A response plan to gain compliance should provide for stepped measures/penalties. With each incident of non-compliance the response increases to the next level. For serious and /or repeat offenses, sometimes it is necessary for RUs to issue citations. RUs have this authority within the local recycling ordinances.

How to Prepare A Compliance Assurance Plan

DNR has prepared guidance [PDF 67KB] to assist in the preparation of a CAP. The guidance includes a simple matrix that can help RUs find solutions for many different violations.

Why are Compliance Assurance Plans Important?

• CAPs allow a RU to be proactive rather than reactive with recycling program compliance. This may allow for a more thorough response to compliance issues that arise because the plan for correcting the problem is already developed.
• CAPs will help RUs address common and not so common compliance scenarios which will in turn save time and lower the RUs cost associated with the recycling program.
• CAPs will help to increase recycling rates and the quality of recyclable product.
• The creation of a CAP will help to promote RU "ownership" of the local recycling program.

Minimum Requirements of a Compliance Assurance Plan

By August 1, 2006, each RU shall have a CAP developed and ready to be implemented. At a minimum, the CAP shall contain the procedure to follow when addressing at least one specific compliance issue. RUs are encouraged to address more compliance strategies than the minimum.

Plan Review

The department will review plans as part of the RU recycling program evaluations and also may request a copy of the plan at any time. The objective of the review is to ensure that the RU has given sufficient thought as to how specific compliance issues will be addressed.

If the CAP is determined not to sufficiently describe the compliance assurance process, the RU will be notified of the need to revise the CAP, and the timeframe in which this should be accomplished. The department staff will assist the RU with ideas on what the plan should reasonably include.

If the RU has not developed a CAP, this will be noted as a deficiency in the program review and the RU will be given a timeframe in which to rectify the situation. First notification of not having a CAP will not be considered sufficient cause to place a RU on probation; however, if the RU fails to develop a plan within the specified timeframe, the department may determine that it is necessary to begin its stepped enforcement process.

Plan Implementation

The information included in a RU's plan should be continually updated as new issues arise or improved compliance techniques are discovered.

If a RU requests assistance from the department in addressing a compliance issue which they have not successfully resolved, the department will first check to see if the compliance issue is included under their CAP. If it is, the department will confirm that the RU has attempted to resolve the issue according to its plan first before asking for department assistance. If the compliance issue is not part of the CAP, and the department is able to assist the RU, the RU may be requested to include the compliance issue and the resolution process in its plan for future reference.

Examples of Compliance Issues

Compliance Issues - Residential

• Recyclable materials mixed with trash
• Trash mixed with recyclable materials
• Illegal dumping or set-out of waste

Compliance Issues - Hauler

• Hauler observed mixing separated recyclables with trash
• Illegal dumping of waste

Compliance Issues - Business

• Recyclable materials not separated from trash
• Illegal dumping of waste

Example Responses:

• Educational materials to resident or business
• Notification letter sent to resident or business
• Business is notified by letter with a copy of letter sent to local DNR office
• Resident or business receives citation for ordinance violation per penalty section of local ordinance
• Joint enforcement with DNR