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Volfor and Wa

Voluntary National Guidelines for Management 

of Onsite and Clustered (Decentralized) 

Wastewater Treatment Systems

EPA 832-B-03-001 

March 2003

Recycled/Recyclable

Printed with vegetable-based ink on paper that 

contains a minimum of 50% post-consumer fi ber 

content processed chlorine-free.

Offi ce of Water

Offi ce of Research and Development

U.S. Environmental Protection Agency
CONTENTS

Executive Summary .........................................................................................................3

Introduction.....................................................................................................................7

Relationship to Other Water Programs .......................................................................13

Description of Management Models ...........................................................................15

How to Apply the Management Models.....................................................................21

References .....................................................................................................................25

Glossary..........................................................................................................................27

Appendix A: Management Models..............................................................................31

Appendix B: Relationship to Other Water Programs..................................................51
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

EXECUTIVE SUMMARY

3

The performance of onsite and clustered 

(decentralized) wastewater treatment systems is a 

national issue of great concern to the Environmental 

Protection Agency (EPA). Decentralized systems are 

used in 25 percent of the homes in the United States 

and 33 percent of new development, and they are 

permanent components of our nation’s wastewater 

infrastructure. Decentralized wastewater treatment 

systems are defined here as managed individual onsite or 

clustered wastewater systems (commonly referred to as 

septic systems, private sewage systems, individual sewage 

treatment systems, onsite sewage disposal systems, or 

“package” plants) used to collect, treat, and disperse or 

reclaim wastewater from individual dwellings, businesses, 

or small communities or service areas. Unfortunately, 

many of the systems in use are improperly managed 

and do not provide the level of treatment necessary to 

adequately protect public health and surface and ground 

water quality. Proper management of decentralized 

systems involves implementation of a comprehensive, 

life-cycle series of elements and activities that address 

public education 

and participation, 

planning, 

performance, site 

evaluation, design, 

construction, 

operation and 

maintenance, residuals management, training and 

certification/licensing, inspections and monitoring, 

corrective actions, recordkeeping/inventorying/reporting, 

and financial assistance and funding. 

Therefore, EPA is issuing Voluntary National 

Guidelines for Management of Onsite and Clustered 

(Decentralized) Wastewater Treatment Systems (referred to 

as the Management 

Guidelines) to 

enhance the 

performance 

and reliability 

of decentralized 

wastewater 

treatment systems 

through improved 

management programs. The Management Guidelines 

will help improve system performance by encouraging 

institutionalizing the concept of management; raising 

the quality of state, tribal, and local management 

programs; and suggesting minimum levels of activity. 

Adequately managed decentralized systems that protect 

the environment and public health can provide an 

alternative to centralized wastewater treatment systems. 

EPA continues to support the most sustainable approach 

to implementing protective water pollution control 

solutions whether it be centralized or decentralized. The 

Management Guidelines are intended to be used when 

a decision to implement a decentralized approach is or 

has been made. They complement any other applicable 

federal, state, tribal, or local government requirements, 

including the National Pollutant Discharge Elimination 

System (NPDES) program under the Clean Water Act 

(CWA) and the Underground Injection Control (UIC) 

program under the Safe Drinking Water Act (SDWA).

EPA intends that state, tribal, and local authorities 

use the Management Guidelines, along with other 

applicable federal requirements, to help communities 

in meeting water quality and public health goals. The 

Management Guidelines can be integrated into a 

comprehensive watershed approach at the state, tribal, 

or local government level. The benefits of an adequate 

EXECUTIVE

 SUMMARY

Decentralized 

systems are used in 

25% of U.S. homes 

and are permanent 

components of our 

nation’s wastewater 

infrastructure.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

EXECUTIVE SUMMARY

4

management program include protection of water 

quality and public health, protection of consumers’ 

investment in home and business ownership, increased 

onsite system service life and 

replacement cost savings, 

avoidance of transfers of 

water away from the source 

by conserving ground water, 

and elimination of the need 

to use a community’s tax 

base to finance sewers. As 

noted above, and in more 

detail later in this document, 

proper management is 

a comprehensive term 

for achieving the longterm sustainability of a 

system, including adequate 

operation and maintenance of the system. Although 

implementation of the Management Guidelines is 

voluntary, EPA strongly encourages considering them 

as a template in strengthening existing management 

programs and implementing new ones.

Unfortunately, although some 

management programs are effective, many 

existing state, tribal, and local rules that 

regulate onsite systems are not adequate 

to ensure proper performance. “Failure” of 

onsite systems is a term subject to much 

debate; however, 1995 U.S. Census data 

report that over 10 percent of all systems 

back up into homes or have wastewater 

emerging on the ground surface, and that 

more than half the systems in the United States were 

installed more than 30 years ago when onsite rules 

were nonexistent or poorly enforced. Few systems 

receive proper maintenance because homeowners are 

either unaware of the need for maintenance or find it a 

distasteful task. In addition, most regulatory programs 

do not require homeowner accountability for system 

performance after installation. Although it is difficult 

to measure and document specific cause-and-effect 

relationships between onsite wastewater treatment 

systems and the quality of our water resources, it is 

widely accepted that improperly managed systems 

contribute to major water quality problems. The National 

Water Quality Inventory 1996 Report to Congress states 

that “improperly constructed and poorly maintained 

septic systems are believed to cause substantial and 

widespread nutrient and microbial contamination 

to ground water.” Ultimately it is the absence of a 

comprehensive management program addressing each 

of these issues that prevents onsite and clustered 

(decentralized) systems from being considered as an 

effective and reliable wastewater treatment strategy. 

Consequently, the potential for health and water quality 

problems from poorly managed systems is increasing.

If effectively implemented by state, tribal, and 

local governments, the Management Guidelines might 

provide for a viable, long-term option for meeting 

public health and water quality goals, particularly for 

small and rural communities. In addition, appropriate 

management programs will support the 

activities and approaches being used in 

other EPA programs and contribute toward 

achievement of mutual water quality and 

public health goals. These programs include 

Watershed Management, National Pollutant 

Discharge Elimination System, Biosolids 

and Residuals Management, Storm Water 

Management, Water Quality Management 

(including Total Maximum Daily Loads, 

or TMDLs), Water Quality Standards, Source Water 

Assessment and Protection, Underground Injection 

Control, Coastal Zone Management, Nonpoint Source 

Control Program, and Technology Transfer.

In deciding whether to use onsite systems, it is 

important to consider the risks they might pose to the 

Few systems receive 

proper maintenance...

most regulatory 

programs do not 

require homeowner 

accountability for 

system performance.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

EXECUTIVE SUMMARY

5

environment and public health. There may be cases 

where onsite systems are not appropriate because of the 

environmental sensitivity or public health concerns of an 

area. In the cases where onsite systems are appropriate, it 

is critical that they be managed to prevent environmental 

and public health impacts. 

Five management models are provided as conceptual 

approaches with progressively increasing management 

controls as sensitivity of the environment and/or 

treatment system complexity increases (see box below). 

Each model consists of 13 critical elements that describe 

activities to be performed to achieve the management 

goal. The purpose of the models is to provide a guide to 

match the needed management controls to the potential 

public health and water quality risks presented by 

decentralized systems in a particular area. The models 

are flexible so that programs can be customized by 

substituting elements of one program into another to 

accommodate local needs, practices, and conditions. The 

models are built around ensuring the accountability and 

competency of regulators and service providers through 

certification and continuing education, owners through 

education and/or inspection requirements, and thirdparty managers through contract and permit stipulations 

to achieve their goals. The “best” model program for a 

community is not necessarily in the higher levels, but 

rather is the model that provides the most appropriate 

management controls for the potential risks.

The Five Management Models

• Management Model 1 - “Homeowner Awareness” specifies appropriate program elements and activities where 

treatment systems are owned and operated by individual property owners in areas of low environmental sensitivity. 

This program is adequate where treatment technologies are limited to conventional systems that require little 

owner attention. To help ensure that timely maintenance is performed, the regulatory authority mails maintenance 

reminders to owners at appropriate intervals.

• Management Model 2 - “Maintenance Contracts” specifies program elements and activities where more complex 

designs are employed to enhance the capacity of conventional systems to accept and treat wastewater. Because of 

treatment complexity, contracts with qualified technicians are needed to ensure proper and timely maintenance. 

• Management Model 3 - “Operating Permits” specifies program elements and activities where sustained performance 

of treatment systems is critical to protect public health and water quality. Limited-term operating permits are issued 

to the owner and are renewable for another term if the owner demonstrates that the system is in compliance with the 

terms and conditions of the permit. Performance-based designs may be incorporated into programs with management 

controls at this level.

• Management Model 4 - “Responsible Management Entity (RME) Operation and Maintenance” specifies program 

elements and activities where frequent and highly reliable operation and maintenance of decentralized systems is required 

to ensure water resource protection in sensitive environments. Under this model, the operating permit is issued to an 

RME instead of the property owner to provide the needed assurance that the appropriate maintenance is performed. 

• Management Model 5 - “RME Ownership” specifies that program elements and activities for treatment systems are 

owned, operated, and maintained by the RME, which removes the property owner from responsibility for the system. 

This program is analogous to central sewerage and provides the greatest assurance of system performance in the most 

sensitive of environments.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

EXECUTIVE SUMMARY

6

The legal authority for regulating onsite and 

clustered (decentralized) wastewater treatment systems 

generally rests with state, tribal, and local governments. 

EPA recognizes that these units of government need 

a flexible framework

and guidance to

tailor their programs

to the specific needs

of communities and

watersheds. Although

each management

program model stands

alone, the models

are intended only to 

be guides in developing an appropriate management 

program. Activities in program elements of higher-level 

models may be incorporated into lower-level programs 

to assist the local program in achieving its desired 

objectives. Also, it is possible to implement more than 

one management program model within a jurisdiction as 

appropriate for the circumstances encountered, such as 

housing density, receiving environment characteristics, 

new development, high-volume or high-strength 

wastewaters, and so forth. Management models may 

also be implemented in conjunction with centralized 

wastewater treatment and collection. It is important 

to note that the management program models are not 

intended to supersede existing federal, state, tribal, or 

It is important to note 

that the management 

program models 

are not intended to 

supersede existing 

federal, state, tribal, 

or local laws and 

regulations.

local laws and regulations, but rather to complement 

them in protecting public health and water quality. 

To assist state, tribal, and local units of government 

in evaluating and upgrading their onsite and clustered 

(decentralized) wastewater management programs, a 

draft Handbook for Management of Onsite and Clustered 

(Decentralized) Wastewater Treatment Systems (referred 

to as the Management Handbook) complements the 

Management Guidelines. The draft Management 

Handbook includes case studies and examples of 

materials used by communities that have implemented 

management programs effectively.

Substantial resources are available as well, including 

EPA’s Onsite Wastewater Treatment Systems Manual, to 

assist regulatory agencies and communities in assessing 

the technical foundation of the elements and activities in 

their existing or considered management programs.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

7

INTRODUCTION

What Is the Purpose of the Voluntary National 

Management Guidelines?

EPA has developed the Voluntary National Guidelines 

for Management of Onsite and Clustered (Decentralized) 

Wastewater 

Treatment Systems

to raise the level 

of performance 

of onsite and 

clustered 

wastewater 

treatment systems 

through improved 

management programs. Decentralized wastewater 

treatment systems are defined here as individual onsite 

or clustered wastewater systems (commonly referred to 

as septic systems, private sewage systems, 

individual sewage treatment systems, onsite 

sewage disposal systems, or “package” 

plants) used to collect, treat, and disperse 

or reclaim wastewater from individual 

dwellings, businesses, or small communities 

and service areas. Such systems may 

provide an alternative to conventional 

centralized wastewater systems. However, 

any onsite or clustered wastewater 

treatment system that discharges pollutants 

from a point source to waters of the 

United States is subject to the National 

Pollutant Discharge Elimination System 

(NPDES) program under the Clean 

Water Act (CWA). Such discharge is 

illegal and subject to enforcement action 

unless it is authorized by an NPDES permit issued by an 

authorized state or tribe or by EPA. Onsite and clustered 

systems can be protective of public health and water 

quality if they are properly planned, sited, designed, 

constructed, installed, operated, and maintained. 

EPA is issuing this guidance to raise the quality of 

management programs, suggest minimum levels of 

activity, and encourage institutionalizing the concept 

of management. Implementation of the Management 

Guidelines can help communities meet water quality and 

public health goals, provide a greater range of options for 

cost-effectively meeting wastewater needs, and protect 

consumers’ investment in home and business ownership. 

In a number of instances, decentralized wastewater 

treatment systems without proper management programs 

have failed in the long term because of lack of proper 

operation and/or maintenance and have had to be 

replaced by centralized systems. If centralized collection 

systems are feasible, decentralized systems 

are recommended only where there is 

assurance of an enforceable management 

system consistent with this strategy, 

including long-term financial and technical 

capacity for operation and maintenance.

These Management Guidelines are 

not intended to supercede any otherwise 

applicable federal, state, tribal, or local 

requirements. Also, the decision on use 

of centralized or decentralized wastewater 

treatment is one to be made at the state, 

tribal, or local level after consideration of a 

number of factors.

Please note that the statutes and 

regulations described in this document 

contain legally binding requirements. The 

guidance provided in this document does not substitute 

for those statutes or regulations. These Management 

INTRODUCTION

EPA continues to 

support the most 

environmentally 

sound and costeffective approach to 

implementing protective 

water pollution control 

solutions whether 

it be centralized or 

decentralized. The 

Management Guidelines 

are intended to be 

used when the decision 

is to implement a 

decentralized approach.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

INTRODUCTION

8

Guidelines are strictly voluntary and, by themselves, do 

not impose legally binding requirements on EPA, state, 

local, or tribal governments or members of the public 

and, based upon the circumstances, may not apply to a 

particular situation. Although EPA strongly recommends 

the approach outlined in this document, state and local 

decision makers are free to adopt approaches that differ 

from these Management Guidelines. 

What Is Management? 

Management of decentralized systems is implementation 

of a comprehensive, life-cycle series of elements 

and activities that address public education and 

participation, planning, performance, site evaluation, 

design, construction, operation and maintenance, 

residuals management, training and certification/

licensing, inspections/monitoring, corrective actions, 

recordkeeping/

inventorying/

reporting, and 

financial assistance 

and funding. 

Therefore, a 

management program 

involves, in varying degrees, regulatory and elected 

officials, developers and builders, soil and site evaluators, 

engineers and designers, contractors and installers, 

manufacturers, pumpers and haulers, inspectors, 

management entities, and property owners. Establishing 

the distinct roles and responsibilities of the partners 

involved is very important to ensuring proper system 

management.

Who Can Benefit from the Management 

Guidelines?

The Management Guidelines contain a set of 

management models, based on a comprehensive 

approach that relies on coordinating responsibilities 

and actions among the state, tribal, or local regulatory 

agency, the management entity or service provider, 

and the system owner. EPA recognizes the importance 

of each party in improving management programs and 

encourages identification of distinct and separate roles 

and responsibilities when implementing management 

programs. The primary audiences for these Management 

Guidelines are 

state, tribal, and 

local regulators 

and community 

officials who are 

responsible for 

regulating onsite and 

clustered systems. 

The secondary 

audiences include 

planners, designers, 

installers, operators, 

pumpers, haulers, 

management entities, 

and inspectors. 

In particular, local communities with a need to 

improve system performance should consider these 

Management Guidelines as a first step in evaluating 

their existing programs. EPA also encourages state 

and tribal agencies that regulate onsite and clustered 

systems to evaluate their existing programs and address 

the program elements and activities detailed in these 

management models in their regulatory/management 

function. Although very important to implementation 

of a management program, owner responsibilities are 

not discussed here in detail. Materials to help owners 

improve management of their systems are provided in 

EPA’s draft Management Handbook, which is being 

issued concurrently with these Management Guidelines. 

To What Types of Systems Are the Guidelines 

Relevant?

The Management Guidelines are relevant to both 

existing communities and areas of new development 

that use onsite and clustered systems of any size for 
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

INTRODUCTION

9

residential and commercial wastewater treatment and 

dispersal. Centralized collection and treatment facilities 

are not addressed 

here. Industrial 

wastewater treatment 

systems are also not 

addressed because 

many industrial 

wastes are prohibited 

by federal and state 

regulation from using 

onsite treatment and 

dispersal, because 

of the potential to interfere with wastewater treatment, 

and/or to pollute ground water resources.

These Management Guidelines are not intended to 

be used to determine appropriate or inappropriate uses 

of land. The information in the Management Guidelines 

is intended to be used to help select appropriate 

management strategies and technologies that minimize 

risks to human health and water resources in areas 

where connections to centralized wastewater collection 

and treatment systems are not considered appropriate. 

The determination of appropriate siting requirements, 

system density restrictions, or required technologies is a 

state, tribal, or local decision. Substantial resources are 

available to ensure these decisions are sound; they are 

detailed in the draft Management Handbook.

What Are Management Guidelines?

These Management Guidelines consist of five models 

that are structured to reflect an increasing need for more 

comprehensive management as the sensitivity of the 

environment or the degree of technological complexity 

increases. A management program’s intensity increases 

progressively from one management model to another, 

reflecting the increased level of management activities 

needed to achieve water quality and public health goals. 

A community would establish a management level 

that is sufficient for its management needs. Although 

adoption of the Management Guidelines is voluntary, 

EPA strongly encourages communities to consider the 

Management Guidelines as a basis for their onsite and 

clustered wastewater management programs because of 

the public health and water quality concerns associated 

with these systems.

Why Are Management Guidelines Needed?

The performance of onsite and clustered wastewater 

treatment systems is a national issue of great concern to 

EPA. Onsite and clustered wastewater treatment systems 

serve approximately

25 percent of U.S. 

households (about

25 million) and 

approximately 33 

percent of new 

development.

(1) Onsite 

and clustered systems

can provide a high

level of public health

and natural resource 

protection if they are properly planned, sited, designed, 

constructed, operated, and maintained. 

Unfortunately, many of the systems in use do not 

provide the level of treatment necessary to adequately 

protect public health or surface and ground water quality. 

Many were initially sited and installed as temporary 

solutions as a result of the perception that centralized 

treatment and collection would soon replace them. 

Comprehensive, life-cycle management did not play a 

role in the approval or the ongoing operation of many 

systems. More than half the existing onsite systems 

are over 30 years old, and surveys indicate at least 10 

percent of these systems back up onto the ground surface 

or into the home each year.(1) Other data have shown 

that at least 20 percent of systems are malfunctioning to 

some degree.(2) In most cases the homeowner is not aware 

More than half the 

existing onsite systems 

are over 30 years old, 

and surveys indicate 

at least 10 percent of 

these systems back 

up onto the ground 

surface or into the 

home each year.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

INTRODUCTION

10

of a system failure until sewage backs up into the home 

or breaks out on the ground surface. In many places, 

local authorities lack records of many of the systems in 

the service area.

Although it is difficult to measure and document 

specific cause-and-effect relationships between onsite 

wastewater treatment systems and the quality of our 

water resources, it is widely accepted that improperly 

managed systems (resulting from inadequate siting, 

design, construction, installation, operation, and/or 

maintenance) contribute to major water quality problems. 

As documentation becomes available concerning 

the source of impairments, EPA will be better able to 

determine the extent of the relationship. It is already 

evident that improved operation and performance of 

onsite and clustered systems through better management 

practices will be essential if the nation’s water quality and 

public health goals are to be attained.

In the National Water Quality Inventory: 1996 

Report to Congress, state agencies designated the top 

10 potential contaminant sources that threaten their 

ground water resources. The second most frequently 

cited contamination source was septic systems. The 

report states 

that “improperly 

constructed and 

poorly maintained 

septic systems 

are believed to 

cause substantial 

and widespread 

nutrient and 

microbial contamination to ground water.” Other 

contaminant sources identified by states included 

underground storage tanks, landfills, large industrial 

facilities, and numerous other activities.(3) States also 

identified more than 500 communities in the 1996 

Clean Water Needs Survey(4) as having failed septic 

systems that have caused public health problems. In 

1996 states reported septic systems as a leading source 

of pollution for more than one-third (36 percent) 

of the impaired miles of ocean shoreline surveyed.(3)

Other leading sources included urban runoff and storm 

sewers, municipal sewer discharges, and industrial 

point sources. In U.S. classified shellfish growing areas, 

closures and harvest restrictions have occurred primarily 

because of “the concentration of fecal coliform bacteria 

associated with human sewage and with organic wastes 

from livestock and 

wildlife.” The 1995 

National Shellfish 

Register indicated that 

the most common 

pollution source cited 

for shellfish restrictions 

was urban runoff (principal or contributing factor in 40 

percent of all harvest-limited growing areas), followed 

by unidentified upstream sources (39 percent), wildlife 

(38 percent) and septic tanks (32 percent).(5) Onsite 

wastewater treatment systems might also be contributing 

to an overabundance of nutrients in ponds, lakes, and 

coastal estuaries, leading to overgrowth of algae and 

other nuisance aquatic plants. For example, the 45,000 

septic systems in Sarasota County, Florida, contribute 

four times more nitrogen to Sarasota Bay than the City 

of Sarasota’s advanced wastewater treatment plant.(6)

Onsite and clustered wastewater treatment systems 

also contribute to contamination of drinking water 

sources. EPA estimates that 168,000 viral illnesses and 

34,000 bacterial illnesses occur each year as a result of 

consumption of drinking water from systems that rely on 

improperly treated ground water.(7) The contaminants of 

primary concern in EPA’s study of ground water-based 

drinking water systems are waterborne pathogens from 

fecal contamination. Malfunctioning septic systems are 

identified as a potential source of this contamination; 

The second most 

frequently cited 

contamination source 

(of ground water) is 

septic systems.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

INTRODUCTION

11

other sources could include leaking or overflowing 

sanitary sewer lines, as well as storm water runoff. A 

recent example of contamination involved nearly 800 

visitors to a fair in 

Washington County, 

New York, who became 

ill after consuming 

water from a well 

source that had likely 

been contaminated by 

a septic system at an 

adjacent dormitory. 

Other examples in 

which pollution was 

attributed to septic 

systems include 82 cases of shigellosis resulting from 

a contaminated well in Island Park, Idaho, in 1995; 

46 cases of hepatitis A from a privately owned water 

supply in Racine, Missouri; and 49 cases of hepatitis A 

in Lancaster, Pennsylvania, in 1980.(8) EPA is concerned 

about the presence of nitrates in ground water, 

particularly in rural areas where residents must rely on 

individual wells and onsite systems to serve relatively 

small lots.

What Are the Benefits of a Management 

Program?

Benefits of a management program are accrued by both 

the communities developing effective management 

programs and the individual property owners. They 

include the following:

• Protection of public health and local water resources. 

Although unquantified, septic system failures in the 

form of yard backups have been recognized as a public 

health hazard and an insult to natural resources for 

many years. Improved management practices will 

minimize the occurrence of failures by ensuring (with 

proper planning, siting, design, installation, operation 

and maintenance, and monitoring) that pollutants 

are adequately treated and dispersed into the 

environment, thereby reducing risks to public health 

and local water resources.

• Protection of property values. There are many 

documented instances over the past few decades of 

property values increasing in areas formerly served by 

failing onsite systems after the area has been sewered. 

Management programs offer an opportunity to obtain 

the same level of service and aesthetics as sewered 

communities at a fraction of the cost, thus providing 

property appreciation and cost savings.

• Ground water conservation. A well-managed onsite 

system will contribute to ground water recharge. 

Many areas of the United States that have undergone 

rapid development and sewering are experiencing 

rapidly declining water tables or water shortages 

because ground water is no longer being recharged by 

onsite systems.

• Preservation of tax base. A well-managed onsite 

system will prevent small communities from having 

to finance the high cost of centralized sewers. Many 

small communities have exhausted their tax base, 

at the expense of other public safety and education 

programs, to pay for those sewers. Many communities 

then entice growth in an effort to pay for the systems, 

thus destroying the community structure that 

originally attracted residents.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

INTRODUCTION

12

• Life-cycle cost savings. There is a clear indication 

that in many cases management may pay for itself in 

terms of lower failure rates and alleviation of the need 

for premature system replacement; however, this will 

depend on the types of systems employed and the 

management program chosen. Documentation of that 

savings is only now being initiated.

How Were the Management Guidelines 

Developed? 

In April 1997 EPA published its Response to Congress 

on Use of Decentralized Wastewater Treatment Systems,

which concluded that, overall, “adequately managed 

decentralized wastewater treatment systems are a 

cost-effective and 

long-term option 

for meeting public 

health and water 

quality goals, 

particularly in less 

densely populated 

areas [small and rural 

communities].”(9) EPA stated that both centralized and 

decentralized system alternatives should be considered 

when upgrading failing onsite systems. The report found 

that decentralized

systems can protect

public health and the

environment, typically

have lower capital

and maintenance

costs for low-density

communities, are

appropriate for varying 

site conditions, 

and are suitable for ecologically sensitive areas when 

adequately managed. 

More important, EPA identified several major 

barriers to the increased use of these systems, including 

the lack of adequate management programs. Most onsite 

and clustered systems are regulated at the state, tribal, or 

local level, not at the federal level, and there is a great 

deal of inconsistency in the regulatory approaches. Many 

existing management programs are inadequate or too 

narrow in focus, allowing premature system failures to 

occur. Although the varying reasons for system failure 

may include shortcomings in siting, design, construction, 

operation, or maintenance, it is ultimately the absence of 

a comprehensive management program—which addresses 

each of these issues—that prevents onsite and clustered 

systems from reaching their potential as an effective, 

reliable wastewater treatment strategy.

Adequately managed 

decentralized 

wastewater treatment 

systems are a costeffective and long-term 

option for meeting 

public health and water 

quality goals.
RELATIONSHIP TO OTHER WATER PROGRAMS

Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

13

These Management Guidelines will help support 

the activities and approaches being applied in 

several other EPA programs and contribute toward 

achieving mutual water quality objectives and public 

health protection goals. The Management Guidelines 

complement any applicable regulatory authority under 

the Clean Water Act (CWA), Safe Drinking Water Act 

(SDWA), Coastal Zone Management Act/Coastal Zone 

Act Reauthorization Amendments of 1990 (CZMA/

CZARA), or any other federal law. For example, there 

are certain situations where use of these Management 

Guidelines includes authorization under an NPDES 

permit, which is required for all discharges of pollutants 

from a point source to waters of the United States.

RELATIONSHIP TO OTHER 

WATER PROGRAMS

Related programs include, among others, Watershed 

Management, National Pollutant Discharge Elimination 

System, Biosolids and Residuals Management, Storm 

Water Management, Water Quality Management 

(including Total Maximum Daily Loads, or TMDLs), 

Water Quality Standards, Source Water Assessment and 

Protection, Underground Injection Control, Coastal 

Zone Management, Nonpoint Source Control Program, 

and Technology Transfer. The relationship of the 

Management Guidelines to these companion programs is 

summarized in Appendix B.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

14
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

15

DESCRIPTION OF MANAGEMENT MODELS

Introduction

The Management Guidelines consist of a series of five 

management models. As the models progress from 

the Homeowner Awareness Model to the Responsible 

Management Entity (RME) Ownership Model, they 

reflect the need for improved management practices and 

increased oversight as determined by the complexity of 

treatment systems 

employed and the 

potential risks to 

public health and 

water resources. 

For example, 

the Homeowner 

Awareness Model 

recommends 

management 

practices for areas where the risks to public health 

and water resources are low and the suitable 

treatment technologies are passive and robust. The 

RME Ownership Model, on the other hand, defines 

an appropriate level of practice and oversight for 

communities where there are significant risks to 

public health or water resources. Table 1, “Summary 

of Management Models,” presents a brief description 

of each management model. The table presents the 

management program objectives, provides a brief 

description of the types of systems applicable, and lists 

the major benefits and limitations of each of the five 

management models. 

Key Concepts

The Management Guidelines contain certain key 

concepts that are the foundation of changes needed to 

improve the performance of decentralized wastewater 

DESCRIPTION OF 

 MANAGEMENT MODELS

treatment systems (see box above). These concepts are 

imbedded in the activities of each management model 

and have the potential to make a difference in the field. 

Management Models

Tables 1 through 5 in Appendix A describe the 

management models, which include the objective 

or goal to be reached and an accompanying set of 

program elements and activities appropriate for 

achieving the stated objectives. The management 

models provide benchmarks for a state, tribal, or 

local unit of government to (1) select appropriate 

management objectives to meet its wastewater 

treatment needs, (2) evaluate the strengths and 

weaknesses of its current program in achieving 

the desired objectives, (3) design a management 

program and activities needed to meet unique local 

Key Concepts

• An increase in the level of management as 

the level of risk and technical complexity 

increase

• Inventorying existing systems and their level 

of performance as a minimum

• Operating permits for large systems and 

clusters of onsite systems

• Discharge permits for systems that discharge 

to surface waters

• Increased requirements for certification and 

licensing of practitioners

• Elimination of illicit discharges to storm drains 

or sewers
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DESCRIPTION OF MANAGEMENT MODELS

TYPICAL APPLICATIONS PROGRAM DESCRIPTION BENEFITS LIMITATIONS

MODEL 1 - HOMEOWNER AWARENESS MODEL

• Areas of low environmental 

sensitivity where sites are 

suitable for conventional 

onsite systems.

• Systems properly sited and constructed 

based on prescribed criteria.

• Owners made aware of maintenance needs 

through reminders.

• Inventory of all systems

• Code-compliant system.

• Ease of implementation; based on existing, 

prescriptive system design and site criteria.

• Provides an inventory of systems that is useful in 

system tracking and area-wide planning.

• No compliance/problem 

identifi cation mechanism.

• Sites must meet siting 

requirements.

• Cost to maintain database 

and owner education 

program.

MODEL 2 - MAINTENANCE CONTRACT MODEL

• Areas of low to moderate 

environmental sensitivity 

where sites are marginally 

suitable for conventional 

onsite systems due to small 

lots, shallow soils, or lowpermeability soils.

• Small clustered systems.

• Systems properly sited and constructed.

• More complex treatment options, 

including mechanical components or small 

clusters of homes.

• Requires service contracts to be 

maintained.

• Inventory of all systems.

• Service contract tracking system.

• Reduces the risk of treatment system 

malfunctions.

• Protects homeowner investment.

• Diffi culty in tracking and 

enforcing compliance 

because it must rely on 

the owner or contractor 

to report a lapse in a valid 

contract for services. 

• No mechanism provided 

to assess effectiveness of 

maintenance program.

MODEL 3 - OPERATING PERMIT MODEL

• Areas of moderate 

environmental sensitivity such 

as wellhead or source water 

protection zones, shellfi sh 

growing waters, or bathing/

water contact recreation.

• Systems treating high-strength 

wastes or large-capacity 

systems.

• Establishes system performance and 

monitoring requirements.

• Allows engineered designs but may 

provide prescriptive designs for specifi c 

receiving environments.

• Regulatory oversight by issuing renewable 

operating permits that may be revoked for 

noncompliance. 

• Inventory of all systems.

• Tracking system for operating permit and 

compliance monitoring.

• Minimum for large-capacity systems.

• Allows systems in more environmentally sensitive 

areas.

• Operating permit requires regular compliance 

monitoring reports.

• Identifi es noncompliant systems and initiates 

corrective actions.

• Decreases need for regulation of large systems.

• Protects homeowner investment.

• Higher level of expertise 

and resources for 

regulatory authority to 

implement.

• Requires permit tracking 

system.

• Regulatory authority needs 

enforcement powers.

MODEL 4 - RESPONSIBLE MANAGEMENT ENTITY (RME) OPERATION AND MAINTENANCE MODEL

• Areas of moderate to high 

environmental sensitivity 

where reliable and sustainable 

system operation and 

maintenance (O&M) is 

required, e.g., sole source 

aquifers, wellhead or source 

water protection zones, 

critical aquatic habitats, or 

outstanding value resource 

waters.

• Clustered systems.

• Establishes system performance and 

monitoring requirements.

• Professional O&M services through RME 

(either public or private).

• Provides regulatory oversight by issuing 

operating or NPDES permits directly to the 

RME. (System ownership remains with the 

property owner.)

• Inventory of all systems.

• Tracking system for operating permit and 

compliance monitoring.

• O&M responsibility transferred from the system 

owner to a professional RME that is the holder 

of the operating permit.

• Identifi es problems needing attention before 

failures occur.

• Allows use of onsite treatment in more 

environmentally sensitive areas or for treatment 

of high-strength wastes.

• Can issue one permit for a group of systems.

• Protects homeowner investment.

• Enabling legislation may be 

necessary to allow RME to 

hold operating permit for 

an individual system owner.

• RME must have owner 

approval for repairs; may 

be confl ict if performance 

problems are identifi ed and 

not corrected.

• Need for easement/right of 

entry.

• Need for oversight of RME 

by regulatory authority.

MODEL 5 - RESPONSIBLE MANAGEMENT ENTITY (RME) OWNERSHIP MODEL

• Areas of greatest 

environmental sensitivity 

where reliable management 

is required. Includes sole 

source aquifers, wellhead or 

source water protection zones, 

critical aquatic habitats, or 

outstanding value resource 

waters.

• Preferred management 

program for clustered systems 

serving multiple properties 

under different ownership 

(e.g., subdivisions).

• Establishes system performance and 

monitoring requirements.

• Professional management of all aspects 

of decentralized systems through 

public/private RMEs that own or manage 

individual systems. 

• Qualifi ed, trained, owners and licensed 

professional owners/operators.

• Provides regulatory oversight by issuing 

operating or NPDES permit.

• Inventory of all systems.

• Tracking system for operating permit and 

compliance monitoring.

• High level of oversight if system performance 

problems occur.

• Simulates model of central sewerage, reducing 

the risk of noncompliance.

• Allows use of onsite treatment in more 

environmentally sensitive areas.

• Allows effective area-wide planning/watershed 

management. 

• Removes potential confl icts between the user 

and RME.

• Greatest protection of environmental resources 

and owner investment.

• Enabling legislation and/or 

formation of special district 

may be required.

• May require greater 

fi nancial investment by 

RME for installation and/or 

purchase of existing systems 

or components.

• Need for oversight of RME 

by regulatory authority.

• Private RMEs may limit 

competition.

• Homeowner associations 

may not have adequate 

authority.

Table 1: Summary of Management Models

TABLE 1: SUMMARY OF MANAGEMENT MODELS

Note: If applicable, NPDES requirements under the CWA or UIC requirements under the SDWA 

supercede any less stringent or inconsistent provision.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

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DESCRIPTION OF MANAGEMENT MODELS

objectives, and (4) develop a plan for implementing 

the management program. The draft Management 

Handbook, which is being issued concurrently with these 

Management Guidelines, provides detailed guidance 

on how to select, evaluate, develop, and implement the 

Management Guidelines. 

Evaluation of Risk

In deciding whether to use onsite systems, it is 

important to consider the risks they may pose to the 

environment and public health. There may be cases 

where onsite systems are not appropriate because of the 

environmental sensitivity or public health concerns of 

an area. In the cases 

where onsite systems 

are appropriate, it is 

critical that they be 

managed to prevent 

environmental 

and public health 

impacts. All of the 

management models share the common goal of ensuring 

that public health and water resources 

are protected. Effective implementation 

of management programs requires 

coordination among state, tribal, and local 

water quality, public health, and planning 

and zoning agencies, and community 

officials. EPA continues to encourage this 

coordination on a watershed basis. Zoning 

ordinances and land use planning are also 

mechanisms that state, tribal, and local 

governments use to address water resource 

issues. Coordination is necessary as well 

to help ensure that state, tribal, and local 

decentralized wastewater programs are 

managed on a watershed basis to achieve 

protection consistent with applicable state and tribal 

water quality standards, including pathogen and nutrient 

criteria. EPA believes that these goals are best achieved 

where performance-based management of onsite and 

clustered systems has been implemented to protect the 

quality of the receiving watershed and/or aquifer.

Flexibility Needed for Implementation

The legal authority for regulating onsite and clustered 

systems generally rests with state, tribal, and local 

governments. EPA recognizes that these units of 

government need a 

flexible framework 

and guidance to 

best tailor their 

management 

programs to the 

specific needs of 

the community and 

the needs of the 

watershed. Although 

each management 

model stands alone, the models are intended only to 

be guides in developing an appropriate management 

program. Activities shown in program 

elements from one management model 

may be incorporated into another model to 

enhance the effectiveness of local programs 

in achieving the desired objectives under 

the prevailing circumstances. However, 

substituting activities from higher levels 

into lower-level management programs 

should be carefully considered because of 

the interdependence of many activities 

on overall program capabilities. It is 

also possible to implement more than 

one management model, as appropriate, 

within a jurisdiction for the circumstances 

encountered (housing density, site and soil 

characteristics, and treatment technology complexity). 

Further, it is important to note that these management 

EPA recognizes 

that these units of 

government need a 

flexible framework 

and guidance to 

best tailor their 

management 

programs to the 

specific needs of 

the community and 

the needs of the 

watershed.
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DESCRIPTION OF MANAGEMENT MODELS

models are not intended to supersede existing federal, 

state, tribal, and local laws and regulations, but rather to 

complement their role in protecting public health and 

water quality.

Roles and Responsibilities

Governmental roles and authority in implementation 

of management programs based on the Management 

Guidelines will vary from jurisdiction to jurisdiction. 

Application of the NPDES program under the CWA 

is required if there is a discharge of pollutants from a 

point source to a water of the United States. Similarly, 

application of the UIC program under the SDWA is 

required if a largecapacity system 

is subject to UIC 

controls. The 

provisions of the 

program elements 

in each model may 

inform the state, 

tribe, or EPA in establishing NPDES permit requirements 

if the NPDES program is applicable. In many cases states 

will establish the authority for creation of management 

entities, provide funding, and provide technical 

assistance and training to local governments. The local 

governments would then have primary responsibility 

for implementation of the management program. If a 

decentralized system is required to have an NPDES 

permit and an authorized state or tribe is administering a 

decentralized management program under this strategy, 

the requirements of the program should be incorporated 

into the applicable NPDES permit, which is the primary 

regulatory instrument. If a state or tribe administering 

the program is not an authorized NPDES authority, 

the requirements of the program should be submitted 

to the NPDES permit issuing authority as a Section 

401 certification requirement. If the program is being 

administered by a local authority or by a tribe without 

401 certification ability, the requirements of the program 

should be recommended to the NPDES permit issuing 

authority for inclusion in the facilities permit. There 

are some cases, however, where the states themselves 

have the primary role and authority to implement the 

regulatory program at the local level.

Costs

State, tribal, and local governments must recognize that 

it is likely that both the regulatory authority and the 

property owner will face increased costs in improving 

management practices and programs. The cost impacts 

may increase as the level of management increases; 

however, trade-offs 

exist. Costs incurred 

by the regulatory 

authority and/or 

management entity 

may be offset by 

increased permit fees 

and more efficient 

data management 

tools, while the costs to the property owner may be offset 

by reduced repair and replacement costs, avoidance of 

environmental restoration costs, and increased property 

values and quality of life.
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DESCRIPTION OF MANAGEMENT MODELS

Model 1 - The Homeowner Awareness Model

As a minimum level of management, EPA recommends Model 1 - The Homeowner Awareness Model. This program 

specifies appropriate management practices where treatment systems are owned and operated by individual property 

owners in areas of low environmental sensitivity, i.e., no restricting site or soil conditions such as shallow water tables or 

drinking water wells within locally determined horizontal setback distances. This model is applicable where treatment 

technologies are limited to conventional systems, which are passive and robust treatment systems that can provide 

acceptable treatment under suitable site conditions despite a lack of attention by the owner. Failures that might occur 

and continue undetected will pose a relatively low level of risk to public health and water resources. The objectives of 

this management model are to ensure that all systems are sited, designed, and constructed in compliance with sound, 

prevailing rules; all systems are documented and inventoried by the regulatory authority; and system owners are informed 

of the maintenance needs of their systems through timely reminders. The model is intended to provide an accurate record 

of the types and location of installed systems, to raise homeowners’ awareness of basic system maintenance requirements, 

and to better ensure that the homeowners attend to those deficiencies that overtly threaten public health. This model, 

like all management programs described in this guidance, suggests the use of only trained and licensed/certified service 

providers. This model is a starting point for enhancing management programs because it provides communities with a 

good database of systems and their application for determining whether increased management practices are necessary.

Model 2 - The Maintenance Contract Model

EPA recommends Model 2 - The Maintenance Contract Model where more complex system designs are employed to 

enhance the capacity of conventional systems to accept and treat wastewater or where small clusters are used. For 

example, pretreating wastewater to remove nonbiodegradable materials and particulate matter that typically pass 

through a septic tank may enhance subsurface infiltration system performance on marginally suitable sites (sites with 

limited area, slowly permeable soils, or shallow water tables). However, such pretreatment units can have mechanical 

components and sensitive treatment processes, which require routine observation and maintenance if they are to perform 

satisfactorily. Maintenance of these more complex systems is critical to sustaining acceptable protection in these areas of 

greater environmental sensitivity. Therefore, these systems should be allowed only where trained operators are under 

contract to perform timely operation and maintenance. The objectives of this model build on the Homeowner Awareness 

Model by ensuring that property owners maintain maintenance contracts with trained operators. 

Model 3 - The Operating Permit Model

EPA recommends Model 3 - The Operating Permit Model where sustained performance of onsite wastewater treatment 

systems is critical to protect public health and water quality. Examples of locations where this program might be 

appropriate include areas adjacent to estuaries or lakes where excessive nutrient concentrations may be a concern or 

situations where a source water assessment has identified onsite systems as potential threats to drinking water supplies. EPA 

strongly recommends that this be the minimum model used where large-capacity systems or systems treating high-strength 

wastewaters are present. EPA has determined not to regulate large-capacity onsite systems under the Underground 

Injection Control program at this time based on the belief that implementation of these Management Guidelines can 

ensure adequate protection of public health and the environment.(10) A principal objective of this management program 

is to ensure that the onsite wastewater treatment systems continuously meet their performance criteria. Limited-term 

operating permits are issued to the property owner and are renewable for another term if the owner demonstrates that the 
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DESCRIPTION OF MANAGEMENT MODELS

Model 4 - The Responsible Management Entity (RME) Operation and Maintenance Model

EPA recommends Model 4 - The Responsible Management Entity (RME) Operation and Maintenance Model where large 

numbers of onsite and clustered systems must meet specific water quality requirements because the sensitivity of the 

environment is high, e.g., wellhead protection areas or shellfish waters. Frequent and highly reliable operation and 

maintenance is required to ensure water resource protection. Issuing the operating permit to an RME instead of the 

property owner provides greater assurance of control over performance compliance. This allows the use of performancebased systems in more sensitive environments than the Operating Permit Model. For a service fee, an RME takes 

responsibility for the operation and maintenance. This approach can reduce the number of permits and the administration 

functions performed by the regulatory authority. System failures are also reduced as a result of routine and preventive 

maintenance. The operating permit system is identical to that of the Operating Permit Model except that the permittee is 

a public or private RME. States may need to establish (and some already have) a regulatory structure to oversee the rate 

structures that RMEs establish and any other measures that a public services commission would normally undertake to 

manage private entities in noncompetitive situations.

Model 5 - The Responsible Management Entity (RME) Ownership Model

Model 5 - The Responsible Management Entity (RME) Ownership Model is a variation of the RME operation and 

maintenance concept in the RME Operation and Maintenance Model, with the exception that ownership of the system is 

no longer with the property owner. The designated management entity owns, operates, and manages the decentralized 

wastewater treatment systems in a manner analogous to central sewerage. Under this approach, the RME maintains 

control of planning and management, as well as operation and maintenance. This management model is appropriate for 

environmental or public health conditions similar to those for the RME Operation and Maintenance Model, but Model 5 

provides a higher level of control of system performance. It also reduces the likelihood of disputes that can occur between 

the RME and the property owner in the RME Operation and Maintenance Model when the property owner fails to fully 

cooperate with the RME. The RME can also more readily replace existing systems with higher-performance units or clustered 

systems when necessary. EPA recommends implementation of the management practices detailed in the RME Ownership 

Model in cases such as where new, high-density development is proposed in the vicinity of sensitive receiving waters. States 

might need to establish a regulatory structure to oversee the rate structures that RMEs establish and any other measures 

that a public services commission would normally undertake to manage entities in noncompetitive situations. 

system is in compliance with the terms and conditions of the permit. In subareas where it is appropriate to use conventional 

onsite system designs, the operating permit may contain only a requirement that routine maintenance be performed in a 

timely manner and the condition of the system be inspected periodically. With complex systems, the treatment process will 

require more frequent inspections and adjustments, so process monitoring may be required. An advantage to implementing 

the program elements and activities of this management program is that the design of treatment systems is based on 

performance criteria that are less dependent on site characteristics and conditions. Therefore, systems can be used safely in 

more sensitive environments if their performance meets those requirements reliably and consistently. The operating permit 

provides a mechanism for continuous oversight of system performance and negotiating timely corrective actions or levying 

penalties if compliance with the permit is not maintained. To comply with these performance standards, the property 

owner should be encouraged to hire a licensed maintenance provider or operator.
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HOW TO APPLY THE MANAGEMENT MODELS

Tables 1 through 5 in Appendix A provide brief 

descriptions of specific activities to be undertaken 

for the various program elements of a management 

model. The party that has primary responsibility for 

the activities is also identified. The program elements 

and activities listed for each management model are 

considered to be 

the minimum 

elements and 

activities necessary 

to achieve the 

stated management 

objectives for each model. A detailed discussion of the 

program elements and activities is provided in the draft 

Management Handbook. The handbook complements 

the Management Guidelines and helps states, tribes, and 

local communities that wish to evaluate and upgrade 

their existing programs to develop and implement 

improved management programs. The draft Management 

Handbook includes case studies and examples of 

materials used by communities that have adequately 

implemented management programs.

How Do the Models Apply to Local Conditions?

As previously indicated, the management model a 

particular community or service area 

selects should be based on environmental 

sensitivity, public health risks, the 

complexities of the wastewater treatment 

technologies that might or should be 

implemented, and the size or density of 

development. The management model 

is selected after the decision to use 

decentralized wastewater treatment is 

made. The tables in Appendix A generally describe 

HOW TO APPLY THE 

 MANAGEMENT MODELS

recommended activities for each of the management 

elements associated with the management models. How 

each of these elements and activities will be implemented 

will depend on decisions by the local community and 

regulatory authority,

based on generally

accepted onsite

wastewater science

and practice, locally

appropriate statutes, 

ordinances, institutional

structures, technical 

capabilities, public

preferences, and other 

factors. Thus, the 

general framework for a local management program 

should be derived from the tables, but it must be tailored 

to suit local circumstances and preferences. 

EPA recognizes the varied nature of management 

needed across the country and within states and 

localities, the need for flexibility in adopting the 

recommendations of the Management Guidelines, and 

the lack of resources for implementation. Although 

states, tribes, and local communities are encouraged to 

implement management models, an individual program 

may properly include elements of several 

management models. These hybrid or 

combination programs may be appropriate 

where site conditions vary within the 

community or institutional capacity is not 

uniform within the jurisdiction. It is also 

recommended that appropriate levels of 

management for decentralized systems be 

established in jurisdictions that have both centralized 

and decentralized wastewater treatment. In some cases, 

The general 

framework for a 

local management 

program should be 

derived from the 

tables, but it must be 

tailored to suit local 

circumstances and 

preferences.

Selection of the 

management model is 

made after the decision 

to use decentralized 

wastewater treatment 

is made.
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HOW TO APPLY THE MANAGEMENT MODELS

it might be feasible for the entity that manages the 

centralized wastewater treatment facility to manage the 

decentralized systems as well.

How Can a Community Phase In a Management 

Model?

Targeting of specific types of systems for improved 

management may also be appropriate when resources are 

limited and a phased approach that focuses on priority 

systems is preferred. When there are limited resources 

for monitoring efforts, a widely used approach has been 

to initially target higher-density or environmentally 

sensitive areas. Examples of environmentally sensitive 

areas include areas used for drinking water sources, areas 

adjacent to heavily used lakes and beaches, and areas 

that affect coral reefs or shellfish beds. Any approach 

taken should include input from all the stakeholders in a 

local jurisdiction or watershed.

The implementation of higher levels of 

management will often occur in progressive stages, as 

more performance data and experience with systems 

develop, public awareness and support increase, and the 

capability of state, 

tribal, and local 

institutions to deal 

with management 

challenges 

builds over time. 

Implementation of 

the elements and 

activities recommended by the Homeowner Awareness 

Model as the threshold level of management will not 

only raise the quality of management practices for most 

existing programs but also initiate activities (such as 

an inventory of systems) that allow the community to 

identify and address circumstances that might require 

upgrading to higher levels of management.

Although the Homeowner Awareness Model might 

adequately address conventional systems within low-risk 

segments of a service area, there might be other areas 

of higher risk that require higher levels of management. 

For those areas, a higher-level management model, 

more appropriate for areas with higher sensitivities, 

may be incorporated into the overall management 

program to customize system management to the needs 

of the community or service area. It is important that 

the management program be structured to adequately 

manage an appropriate set of onsite and clustered 

systems for the full 

range of environmental 

conditions. For 

example, the Operating

Permit Model might be 

selected for the more

sensitive areas such as

those along lakefronts

or estuaries shown to

have poor water quality, while a lower-level management 

model might still be appropriate where the receiving 

environment is not as sensitive and conventional systems 

are acceptable.

What Should Be Considered When Selecting a 

Management Model?

• Environmental sensitivity and public health risk. 

The locally developed management program should 

be based on the potential risk of onsite wastewater 

treatment system discharges adversely affecting 

the public health or the quality of local water 

resources. The level of oversight incorporated into 

the management program should increase as the 

potential for negative impacts on public health or for 

environmental degradation increases. Examples of 

parameters to consider in assessing public health and 

environmental sensitivity include soil permeability, 

depth to a restrictive horizon and ground water, 

aquifer type, receiving water use, proximity to surface 

waters, topography, geology, location of critical habitat 

under the Endangered Species Act, and density of 

development. Another useful parameter to consider 

Targeting of specific 

types of systems 

for improved 

management may also 

be appropriate when 

resources are limited.
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HOW TO APPLY THE MANAGEMENT MODELS

is the “susceptibility determinations” that states 

and tribes will make as part of their source water 

assessments. These assessments determine which 

potential sources of pollution, including decentralized 

wastewater systems, pose the greatest threats to 

drinking water. 

Other issues to consider that might have a direct 

impact on public health include the need to protect 

shellfish harvesting and direct contact recreational 

waters. An area with moderately permeable soils and 

a ground water table that is sufficiently isolated from 

the effects of 

onsite discharges 

may be designated 

as an area of low 

public health risk 

and environmental 

sensitivity, 

whereas an area 

with excessively 

permeable soils with a shallow water table used for 

a drinking water source would be designated as an 

area of high concern. For those watersheds where 

a determination has been made that the onsite 

wastewater treatment system is contributing to a 

violation of water quality standards, the elements 

and activities of the Operating Permit Model, the 

RME Operation and Maintenance Model, or the 

RME Ownership Model should be selected to 

address restoration of the watershed. More detailed 

information on these factors is provided in the draft 

Management Handbook. 

• Complexity of treatment system. The complexity of 

the treatment system also influences the management 

program selected. As the complexity of a treatment 

system increases to meet management objectives 

or system performance standards, the need for a 

higher level of operation and maintenance and 

monitoring increases to ensure that the system does 

not malfunction to create an unacceptable risk to 

public health or water resources. A less complex 

treatment system, such as a conventional onsite septic 

system, depends upon passive, natural processes for 

the movement, treatment, and dispersal of wastewater. 

The prescriptive elements of the Homeowner 

Awareness Model, where properly applied, might 

be sufficient for conventional onsite technologies 

to consistently function as effective wastewater 

treatment systems. A more complex treatment system, 

such as a surface discharging aerobic treatment 

system with filtration and disinfection, will require 

routine monitoring and attention from a professional 

technician to maintain performance and therefore 

requires a higher

level of oversight.

EPA’s updated Onsite 

Wastewater Treatment 

Systems Manual

(11)

provides guidance

on performance

and management 

requirements for 

a broad range of

onsite treatment and

dispersal technologies. 

System size also 

influences the management model selected. Largecapacity and clustered systems require a higher degree 

of management than individual onsite systems.

Communities that have made the decision to use onsite 

and clustered systems should use these Management 

Guidelines as a tool for identifying approaches for 

proper management of the systems. Implementation of 

the management practices defined in the Management 

Guidelines will help communities meet water quality and 

public health goals, provide a greater range of options for 

cost-effectively meeting wastewater needs, and protect 

consumers’ investment in home and business ownership. 

Tables 1 through 5 in Appendix A provide a useful 

summary of the program elements for each management 

model and the associated responsible party and activity. 

The draft Management Handbook provides further detail 

on how to implement the management programs and is 

EPA’s updated Onsite 

Wastewater Treatment 

Systems Manual, 

provides guidance 

on performance 

and management 

requirements for a 

broad range of onsite 

treatment and dispersal 

technologies.
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HOW TO APPLY THE MANAGEMENT MODELS

designed to assist state, tribal, and local officials; service 

providers; and other interested parties with improving 

system operation, maintenance, and performance. 

Where Can Further Information Be Obtained?

Visit EPA’s Web site on decentralized wastewater 

treatment at www.epa.gov/owm/onsite. The site 

includes a copy of the draft Management Handbook, 

fact sheets on technologies, useful links to other sites, a 

calendar of events, frequently asked questions, sources 

of funding information on demonstration projects, and 

numerous reference documents such as EPA’s new Onsite 

Wastewater Treatment Systems Manual.

Additional copies of this document, (EPA 832-B-03-001), 

can be obtained from:

U.S. EPA Publications Clearinghouse

P.O. Box 42419

Cincinnati, OH 45242

Telephone: 800-490-9198

Fax: 513-489-8695
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

25

REFERENCES

1. U.S. Department of Commerce, U.S. Census Bureau,

American Housing Survey for the United States–1995,

issued September 1997.

2. V.I., Nelson, S.P. Dix, and F. Shephard, Advanced Onsite 

Wastewater Treatment and Management Scoping Study: 

Assessment of Short-Term Opportunities and Long-Run 

Potential (DRAFT), May 1999. Data based on reporting 

from onsite system inspections in Massachusetts.

3. U.S. Environmental Protection Agency, National Water 

Quality Inventory: 1996 Report to Congress, EPA 841-R97-008, 1998.

4. U.S. Environmental Protection Agency, 1996 Clean Water 

Needs Survey Report to Congress, EPA/832/R-97/003, 

September 1997.

5. U.S. Department of Commerce, National Oceanic and 

Atmospheric Administration, National Shellfish Register, 1995.

6. Sarasota Bay (FL) National Estuary Program 

(www.sarasotabay.org), Sarasota Bay: Reclaiming Paradise 

—A Vision for Sarasota Bay (State of the Bay, 1992).

7. U.S. Environmental Protection Agency, 40 CFR Parts 141 

and 142: National Primary Drinking Water Regulations: 

Ground Water Rule; Proposed Rules, Federal Register, 

May 10, 2000.

8. U.S. Centers for Disease Control, Database of Waterborne 

and Foodborne Disease Outbreaks in the United States, 

1971–1994. Data summary and analysis provided by EPA 

as part of the development of the Ground Water Rule, and 

found at www.epa.gov/ogwdw000/standard/phs.html.

9. U.S. Environmental Protection Agency, Response to 

Congress on Use of Decentralized Wastewater Treatment 

Systems, EPA 832/R-97/001b, April 1997.

10. U.S. Environmental Protection Agency, 40 CFR Part 

144, Underground Injection Control Program—Notice 

of Final Determination for Class V Wells; Final Rule,

Federal Register, June 7, 2002, Vol. 67, No. 110, pages 

39584–39593. 

11. U.S. Environmental Protection Agency, Onsite 

Wastewater Treatment Systems Manual, EPA 625/R00/ 008,February 2002. 

12. U.S. Environmental Protection Agency, 1998 Section 

303(d) List Fact Sheet: National Picture of Impaired 

Waters Highlights of the 1998 303(d) Lists (based on 

Tracking System data available 04/06/00). Found at 

http: //www.epa.gov/owow/tmdl/states/national.html

13. U.S. Environmental Protection Agency, Domestic Septage 

Regulatory Guidance: A Guide to the EPA 503 Rule, EPA 

832/B-92/005, 1993.

14. U.S. Environmental Protection Agency, Guide to Septage 

Treatment and Disposal, EPA 625/R-94/002, 1994.

15.U.S. Environmental Protection Agency, Draft 

Implementation Guidance for Ambient Water Quality 

Criteria for Bacteria–1986, EPA 823/D-00/001, January 

2000.

16. U.S. Environmental Protection Agency, Nutrient Criteria 

Technical Guidance Manual—Estuarine and Coastal 

Marine Waters, EPA 822/B-01/003, October 2001.

17. U.S. Environmental Protection Agency, Nutrient Criteria 

Technical Guidance Manual—Lakes and Reservoirs, EPA 

822/B-00/001, April 2000.

18. U.S. Environmental Protection Agency, Nutrient Criteria 

Technical Guidance Manual—Rivers and Streams, EPA 

822/B-00/002, July 2000.

19. U.S. Environmental Protection Agency, Class V 

Underground Injection Control Study, EPA 816/R-99/014, 

September 1999.

20. U.S. Environmental Protection Agency, Guidance 

Specifying Management Measures for Sources of Nonpoint 

Pollution in Coastal Waters.

21. U.S. Environmental Protection Agency, Onsite 

Wastewater Treatment Systems Manual, EPA 625/R00/ 008, February 2002. 

22. U.S. Environmental Protection Agency, Design Manual—

Onsite Wastewater Treatment and Disposal Systems, EPA 

625/1-80/012, October 1980.

REFERENCES
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

26
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

27

GLOSSARY

Aerobic Treatment Unit (ATU): A mechanical 

wastewater treatment unit that provides secondary 

wastewater treatment for a single home, a cluster of 

homes, or a commercial establishment by mixing air 

(oxygen) and aerobic and facultative microbes with the 

wastewater. ATUs typically use a suspended growth 

process (such as activated sludge-extended aeration and 

batch reactors), a fi xed-fi lm process (similar to a trickling 

fi lter), or a combination of the two treatment processes. 

Alternative Onsite Treatment System: A wastewater 

treatment system that includes components different 

from those typically used in a conventional septic 

tank and subsurface wastewater infi ltration system 

(SWIS). An alternative system is used to achieve 

acceptable treatment and dispersal of wastewater 

where conventional systems either might not be 

capable of protecting public health and water quality 

or are inappropriate for properties with shallow 

soils over ground water or bedrock or soils with low 

permeability. Examples of components that can be used 

in alternative systems are sand fi lters, aerobic treatment 

units, disinfection devices, and alternative subsurface 

infi ltration designs such as mounds, gravelless trenches, 

and pressure and drip distribution.

Centralized Wastewater System: A managed system 

consisting of collection sewers and a single treatment 

plant used to collect and treat wastewater from an entire 

service area. Traditionally, such a system has been called 

a publicly owned treatment works (POTW) as defi ned at 

40 CFR 122.2.

Cesspool: A drywell that receives untreated sanitary 

waste containing human excreta, which sometimes has 

an open bottom and/or perforated sides (40 CFR 144.3). 

Cesspools with the capacity to serve 20 or more persons 

per day were banned in federal regulations promulgated 

on December 7, 1999. The construction of new cesspools 

was immediately banned, and existing large-capacity 

cesspools must be replaced with sewer connections or 

onsite wastewater treatment systems by 2005.

Clustered System: A wastewater collection and 

treatment system under some form of common 

ownership that collects wastewater from two or more 

dwellings or buildings and conveys it to a treatment 

and dispersal system located on a suitable site near the 

dwellings or buildings. 

Construction Permit: A permit issued by the designated 

local regulatory authority that allows the installation 

of a wastewater treatment system in accordance with 

approved plans and applicable codes.

Conventional Onsite Treatment System: A wastewater 

treatment system consisting of a septic tank and a typical 

trench or bed subsurface wastewater infi ltration system.

Decentralized System: An onsite or clustered system 

used to collect, treat, and disperse or reclaim wastewater 

from a small community or service area.

Dispersal System: A system that receives pretreated 

wastewater and releases it into the air, into surface or 

ground water, or onto or under the land surface. A 

subsurface wastewater infi ltration system is an example 

of a dispersal system.

Engineered Design: An onsite or clustered wastewater 

system that is designed and certifi ed by a licensed/

certifi ed designer to meet specifi c performance criteria 

for a particular wastewater on a particular site. 

GLOSSARY
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

GLOSSARY

28

Environmental Sensitivity: The relative susceptibility to 

adverse impacts of a water resource or other receiving 

environment from dispersal of wastewater or its 

constituents. The impacts may be low, acute (immediate 

and signifi cantly disruptive), or chronic (long-term, with 

gradual but serious disruptions).

Large-Capacity Septic System: An onsite method of 

partially treating and disposing of sanitary wastewater 

having the capacity to serve 20 or more persons per day 

subject to EPA’s Underground Injection Control regulations.

Management Model: A 13-element program designed 

to protect and sustain public health and water 

quality through the use of appropriate policies and 

administrative procedures that defi ne and integrate the 

roles and responsibilities of the regulatory authority, 

system owner, service providers, and management 

entity, when present, to ensure that onsite and clustered 

wastewater treatment systems are appropriately 

managed throughout their life cycle. The program 

elements include public education and participation; 

planning; performance; training and certifi cation/

licensing; site evaluation; design; construction; 

operation and maintenance; residuals management; 

compliance inspections/monitoring; corrective actions; 

recordkeeping, inventory, and reporting; and fi nancial 

assistance and funding. Management services should 

be provided by properly trained and certifi ed personnel 

and tracked through a comprehensive management 

information system.

National Pollutant Discharge Elimination System 

(NPDES): A national program under Section 402 of 

the Clean Water Act for regulation of discharges of 

pollutants from point sources to waters of the United 

States. Discharges are illegal unless authorized by an 

NPDES permit.

Onsite Service Provider: A person who provides onsite 

system services. Providers include (but are not limited 

to) designers, engineers, soil scientists, site evaluators, 

installers, contractors, operators, managers, maintenanceservice providers, pumpers, and others who provide 

services to system owners or other service providers.

Onsite Wastewater Treatment System (OWTS): A 

system relying on natural processes and/or mechanical 

components to collect, treat, and disperse or reclaim 

wastewater from a single dwelling or building. 

Operating Permit: A renewable and revocable permit to 

operate and maintain an onsite or clustered treatment 

system in compliance with specifi c operational or 

performance criteria stipulated by the regulatory 

authority.

Performance-Based Management Program: A program 

designed to preserve and protect public health and water 

quality by seeking to ensure sustained achievement of 

specifi c, measurable performance criteria based on site 

and risk assessments.

Performance Criteria: Any criteria established by 

the regulatory authority to ensure future compliance 

with the public health and water quality goals of 

the community, the state or tribe, and the federal 

government. Performance criteria can be expressed as 

numeric limits (e.g., pollutant concentrations, mass 

loads, wet weather fl ow, structural strength) or narrative 

descriptions of desired conditions or requirements (e.g., 

no visible scum, sludge, sheen, odors, cracks, or leaks).

Permitting Authority: The state, tribal, or local unit of 

government with the statutory or delegated authority to 

issue permits to build and operate onsite wastewater systems. 
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

GLOSSARY

29

Prescription-Based Management Program: A program 

designed to preserve and protect public health and water 

quality by specifying preengineered system designs for 

specifi c sets of site conditions such that systems that are 

sited, designed, and constructed properly are deemed to 

meet public health and water quality standards. 

Prescriptive Requirements: Specifi cations for design, 

installation, and other procedures and practices for 

onsite or clustered wastewater systems on sites that 

meet stipulated criteria. Proposed deviations from the 

stipulated criteria, specifi cations, procedures, or practices 

require formal approval from the regulatory authority. 

Regulatory Authority (RA): The unit of government 

that establishes and enforces codes related to the 

permitting, design, placement, installation, operation, 

maintenance, monitoring, and performance of onsite and 

clustered wastewater systems. 

Residuals: The solids generated or retained during the 

treatment of wastewater. They include trash, rags, grit, 

sediment, sludge, biosolids, septage, scum, and grease, 

as well as those portions of treatment systems that have 

served their useful life and require disposal, such as 

the sand or peat from a fi lter. Because of the different 

characteristics of residuals, management requirements 

can differ as stipulated by the appropriate federal 

regulations. 

Responsible Management Entity (RME): A legal 

entity responsible for providing various management 

services with the requisite managerial, fi nancial, and 

technical capacity to ensure the long-term, cost-effective 

management of decentralized onsite or clustered 

wastewater treatment facilities in accordance with 

applicable regulations and performance criteria. 

Septage: The liquid and solid materials pumped from a 

septic tank during cleaning operations. 

Septic Tank: A buried, watertight tank designed and 

constructed to receive and partially treat raw wastewater. 

The tank separates and retains settleable and fl oatable 

solids suspended in the wastewater and discharges the 

settled wastewater for further treatment and dispersal to 

the environment. 

Source Water Assessment: A study and report required 

by the Source Water Assessment Program (SWAP) of 

the Safe Drinking Water Act addressing the capability of 

a given public water system to protect water quality. The 

assessment includes delineation of the source water area, 

identifi cation of potential sources of contamination in the 

delineated area, determination of susceptibility to those 

sources, and public notice of the completed assessment. 

Underground Injection Well: A constructed system 

designed to place waste fl uids above, into, or below 

aquifers classifi ed as underground sources of drinking 

water. As regulated under the Underground Injection 

Control (UIC) Program of the Safe Drinking Water Act 

(40 CFR Parts 144 and 146), injection wells are grouped 

into fi ve classes. Class V includes shallow systems such as 

cesspools and subsurface wastewater infi ltration systems. 

Subsurface wastewater infi ltration systems with the 

capacity to serve 20 or more people per day, or similar 

systems receiving nonsanitary wastes, are subject to 

federal regulation. Class V motor vehicle waste injection 

wells and large-capacity cesspools are specifi cally 

prohibited under the UIC regulations.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

30
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

31

APPENDIX A:

MANAGEMENT MODELS

This appendix presents a description of activities associated with each program element and 

identifi es the party responsible for each activity. A detailed discussion is presented in the 

Management Handbook. Activities in bold are activities added to program elements from the 

preceding Management Model.

Note: If applicable, National Pollutant Discharge Elimination System (NPDES) requirements under the Clean 

Water Act (CWA) or Underground Injection Control (UIC) requirements under the Safe Drinking Water Act 

(SDWA) supercede any less stringent or inconsistent provisions. Program elements in each model help inform the 

state, tribe, or EPA in establishing NPDES permit requirements.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

32
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

33

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY 

PUBLIC 

EDUCATION AND 

PARTICIPATION

Regulatory 

Authority

• Educate Owner/User on purpose, use, and care of treatment system.

• Provide public review and comment periods of any proposed program or rule changes. 

Service Provider

• Be informed of existing rules and review and comment on any proposed program and/or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority.

Owner/User

• Be informed of purpose, use, and care of treatment system.

• Be informed of existing rules and review and comment on any proposed program and/or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority. 

PLANNING

Regulatory 

Authority

• Coordinate program rules and regulations with state, tribal, and local planning and zoning 

and other water-related programs.

• Evaluate potential risks of wastewater discharges to limit environmental impacts on receiving 

environments during the rule making process.

• Limit potential risks of environmental impacts from residuals management program and 

evaluate available handling/treatment capacities.

• Inform local planning authority of rule changes and recommend its evaluation of potential 

impacts on land use.

Developer • Hire planners, certifi ed site evaluators, and designers to ensure that all lots of proposed 

subdivision plats meet requirements for onsite treatment prior to fi nal plat.

PERFORMANCE 

Regulatory 

Authority

• Establish system failure criteria to protect public health, e.g., wastewater backups in building, 

wastewater ponding on ground surface, insuffi cient separation from ground water or wells.

Owner/User • Regularly maintain system in proper working order.

TRAINING AND 

CERTIFICATION/ 

LICENSING

Licensing Board/ 

Regulatory 

Authority

• Develop and administer training, testing, and certifi cation/licensing program for site 

evaluators, designers, contractors, and pumpers/haulers.

• Maintain a current certifi ed/licensed Service Provider listing.

Service Provider

• Obtain appropriate certifi cation(s)/license(s) and continuing education as required.

• Obtain training from the manufacturer or vendor regarding appropriate use, installation 

requirements, and O&M procedures of any proprietary equipment to be installed.

• Comply with applicable federal, state, tribal, and local requirements.

Owner/User • When using third-party services, contract with only the appropriate certifi ed/licensed Service 

Providers.

SITE 

EVALUATION

Regulatory 

Authority

• Codify prescriptive requirements for site evaluation procedures.

• Codify criteria for treatment site characteristics suitable for permitted designs that will 

prevent unacceptable impacts on ground and surface water resources.

Site Evaluator

• Obtain certifi cation/license to practice.

• Describe site and soil characteristics, determine suitability of site with respect to code 

requirements, and estimate site’s hydraulic and treatment capacity.

• Comply with applicable federal, state, tribal, and local requirements in the evaluation of sites 

for wastewater treatment and dispersal.

Owner • Hire a certifi ed/licensed site evaluator to perform site evaluation.

MANAGEMENT MODEL 1: HOMEOWNER AWARENESS

Objective: To ensure that conventional onsite systems are sited and constructed properly in accordance with appropriate state, 

tribal, and local regulations and codes; that they are periodically inspected; and, if necessary, that they are repaired by the

Owner. The Regulatory Authority maintains a record of the location of all systems and periodically provides the Owner/User 

with notices regarding operation and preventive maintenance recommendations. 

MANAGEMENT MODEL 1: HOMEOWNER AWARENESS
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

34

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY

DESIGN

Regulatory 

Authority

• Codify prescriptive, preengineered designs that are suitable for treatment sites that meet the 

appropriate prescriptive site criteria.

Designer

• Obtain a certifi cation/license to practice.

• Design a treatment system that is compatible with the site and soil characteristics described by 

the site evaluator.

• Comply with applicable federal, state, tribal, and local requirements in the design of 

wastewater treatment and dispersal systems.

Owner • Hire a certifi ed/licensed designer to prepare system design.

CONSTRUCTION

Regulatory 

Authority

• Administer a permitting program for system construction, including Regulatory Authority 

review of proposed system siting and design plans.

• Perform fi nal construction inspection for compliance assurance and inventory data collection.

• Require that record drawings of constructed system be submitted to the Regulatory Authority 

by Owner.

Contractor/

Installer

• Obtain certifi cation/license to practice.

• Construct the system in accordance with the approved plans and specifi cations.

• Prepare record drawings of completed system and submit to Owner.

• Comply with applicable federal, state, tribal, and local requirements in the design and 

construction of wastewater treatment and dispersal systems.

Designer of 

Record

• Approve proposed fi eld changes and submit to Owner.

• Comply with applicable federal, state, tribal, and local requirements in the design and 

construction of wastewater treatment and dispersal systems.

Owner • Hire a certifi ed/licensed contractor/installer to construct system.

• Submit fi nal record drawings of constructed system to Regulatory Authority.

OPERATION & 

MAINTENANCE

Regulatory 

Authority

• Provide Owner/User with educational materials regarding system use and care.

• Send timely reminder to Owner of when scheduled preventive maintenance is due.

Pumper/Hauler

• Obtain certifi cation/license to practice.

• Inspect and service system as necessary.

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of the treatment and dispersal system.

Owner

• Perform recommended routine maintenance or hire a certifi ed/licensed pumper/hauler to 

perform maintenance.

• Hire a certifi ed/licensed pumper/hauler to periodically inspect, service, and remove septage 

for proper treatment and disposal.

User • Follow recommendations provided by Regulatory Authority, Service Providers, and/or Owner 

to ensure that undesirable or prohibited materials are not discharged to system.

RESIDUALS 

MANAGEMENT

Regulatory 

Authority

• Administer a tracking system for residuals hauling, treatment, and disposal and review to 

evaluate compliance with 40 CFR Part 503 (Use and Disposal of Sewage Sludge), 40 CFR Part 

257, and applicable state, tribal, and local requirements.

• Inventory available residuals handling/treatment capacities and develop contingency plans to 

ensure that suffi cient capacities are always available.

Pumper/Hauler

• Obtain certifi cation/license to practice.

• Comply with applicable federal, state, tribal, and local requirements in the pumping, hauling, 

treatment, and disposal of treatment system residuals.

COMPLIANCE 

INSPECTIONS/ 

MONITORING

Regulatory 

Authority

• Conduct fi nal construction inspections to ensure compliance with approved plans and permit 

requirements.

• Perform compliance inspections at point-of-sale, change-in-use of properties, “targeted 

areas,” and systems reported to be in violation.

• Conduct compliance inspections of residuals hauling, treatment, and disposal.

Pumper/Hauler • Inform Owner of any noncompliant items observed during routine servicing of system.

Owner • Periodically perform a “walk-over” inspection of the system and correct any defi ciencies.

MANAGEMENT MODEL 1: HOMEOWNER AWARENESS
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

35

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY 

CORRECTIVE 

ACTIONS

Regulatory 

Authority

• Negotiate compliance schedule with Owner for correcting documented noncompliance items.

• Administer enforcement program, including fi nes and/or penalties for failure to comply with 

compliance requirements.

• Obtain necessary authority to enter property to correct imminent threats to public health if 

the Owner/User fails to comply.

Designer • Provide Owner with documents (drawings, specifi cations, modifi cations, etc.) that may be 

required by Regulatory Authority prior to corrective action. 

Contractor/ 

Installer • Perform required repairs, modifi cations, and upgrades as necessary.

Owner

• Comply with terms and conditions of the negotiated compliance schedule.

• Submit required documents for corrective actions to Regulatory Authority.

• Hire appropriate certifi ed/licensed Service Providers to perform required corrective actions.

RECORD 

KEEPING, 

INVENTORY, & 

REPORTING

Regulatory 

Authority

• Administer a database inventory (locations, site evaluations, record drawings, permits, 

performed maintenance, inspection reports) of all systems. 

• Maintain a residuals treatment and disposal tracking system.

• Maintain a current certifi ed/licensed Service Provider listing that is available to the public.

Pumper/Hauler • Prepare and submit records of residuals handling as required.

Owner

• Maintain approved record drawings of system.

• Maintain maintenance records of system.

• Provide drawings, specifi cations, and maintenance records to new property owner at time of 

property transfer.

FINANCIAL 

ASSISTANCE & 

FUNDING

Regulatory 

Authority

• Provide the legal and fi nancial support to sustain the management program.

• Provide a listing of fi nancial assistance programs available to Owner and the qualifying 

criteria for each program.

• Consider implementing a state or local fi nancing program to assist Owners in upgrading their 

systems.

MANAGEMENT MODEL 1: HOMEOWNER AWARENESS
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

36

MANAGEMENT MODEL 2: MAINTENANCE CONTRACTS

Objective: To allow use of more complex mechanical treatment options or small clusters through the requirement that 

maintenance contracts be maintained between the Owner and maintenance provider to ensure appropriate and timely system 

component maintenance by qualifi ed technicians over the service life of the system.

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1

PUBLIC 

EDUCATION AND 

PARTICIPATION

Regulatory 

Authority

• Educate Owner/User on purpose, use, and care of treatment system.

• Provide public review and comment periods of any proposed program and/or rule changes. 

Service Provider

• Be informed of existing rules, and review and comment on any proposed program or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority.

Owner/User

• Be informed of purpose, use, and care of treatment system.

• Be informed of existing rules, and review and comment on any proposed program or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority. 

PLANNING

Regulatory 

Authority

• Coordinate program rules and regulations with state, tribal, local planning and zoning and 

other water-related programs.

• Evaluate potential risks of wastewater discharges to limit environmental impacts on receiving 

environments during the rule making process.

• Limit potential risks of environmental impacts from residuals management program and 

evaluate available handling/treatment capacities.

• Inform local planning authority of rule changes and recommend its evaluation of potential 

impacts on land use.

Developer • Hire planners, certifi ed site evaluators, and designers to ensure that all lots of proposed 

subdivision plats meet requirements for onsite treatment prior to fi nal plat.

PERFORMANCE 

Regulatory 

Authority

• Establish system failure criteria to protect public health, e.g., wastewater backups in building, 

wastewater ponding on ground surface, insuffi cient separation from ground water or wells.

• Establish minimum performance criteria for manufactured component approvals.

• Establish minimum maintenance requirements for approved systems.

Owner/User • Regularly maintain system in proper working order.

TRAINING AND 

CERTIFICATION/ 

LICENSING

Licensing Board/ 

Regulatory 

Authority

• Develop and administer training, testing, and certifi cation/licensing program for site 

evaluators, designers, contractors, operators, and pumpers/haulers.

• Maintain a current certifi ed/licensed Service Provider listing.

Service Provider

• Obtain appropriate certifi cation(s)/license(s) and continuing education as required.

• Obtain training from the manufacturer or vendor regarding appropriate use, installation 

requirements, and O&M procedures of any proprietary equipment to be installed.

• Comply with applicable federal, state, tribal, and local requirements.

Owner/User • When using third-party services, contract only with the appropriate certifi ed/licensed Service 

Providers.

SITE 

EVALUATION

Regulatory 

Authority

• Codify prescriptive requirements for site evaluation procedures.

• Codify criteria for treatment site characteristics suitable for permitted designs that will 

prevent unacceptable impacts on ground and surface water resources.

• Establish alternative site acceptance criteria for approved systems providing enhanced 

pretreatment.

Site Evaluator

• Obtain certifi cation/license to practice.

• Describe site and soil characteristics, determine suitability of site with respect to code 

requirements, and estimate site’s hydraulic and treatment capacity.

• Comply with applicable federal, state, tribal, and local requirements in the evaluation of sites 

for wastewater treatment and dispersal.

Owner • Hire a certifi ed/licensed site evaluator to perform site evaluation.

MANAGEMENT MODEL 2: MAINTENANCE CONTRACTS

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

37

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1

DESIGN

Regulatory 

Authority

• Codify prescriptive, preengineered designs that are suitable for treatment sites that meet the 

appropriate prescriptive site criteria.

• Administer an evaluation program for approving manufactured components for use with 

pre-engineered designs.

Designer

• Obtain certifi cation/license to practice.

• Design a treatment system that is compatible with the site and soil characteristics described by 

the site evaluator.

• Comply with applicable federal, state, tribal, and local requirements in the design of 

wastewater treatment and dispersal systems.

Owner • Hire a certifi ed/licensed designer to prepare system design.

CONSTRUCTION

Regulatory 

Authority

• Administer a permitting program for system construction, including Regulatory Authority 

review of proposed system siting and design plans.

• Perform fi nal construction inspection for compliance assurance and inventory data collection.

• Require that record drawings of constructed system be submitted to the Regulatory Authority 

by Owner.

• Require Owner to submit a copy of system O&M manual to the Regulatory Authority.

Contractor/ 

Installer

• Obtain certifi cation/license to practice.

• Construct the system in accordance with the approved plans and specifi cations.

• Prepare record drawings of completed system and submit to Owner.

• Provide Owner with an O&M manual describing component manufacturer’s maintenance and 

troubleshooting requirements/recommendations.

• Comply with applicable federal, state, tribal, and local requirements in the design and 

construction of wastewater treatment and dispersal systems.

Designer of 

Record

• Approve proposed fi eld changes and submit to Owner.

• Comply with applicable federal, state, tribal, and local requirements in the design and 

construction of wastewater treatment and dispersal systems.

Owner

• Hire a certifi ed/licensed contractor/installer to construct system.

• Submit fi nal record drawings of constructed system to Regulatory Authority.

• Submit a copy of system O&M manual to Regulatory Authority to record required 

maintenance.

OPERATION & 

MAINTENANCE

Regulatory 

Authority

• Provide Owner/User with educational materials regarding system use and care.

• Send timely reminder to Owner when scheduled preventive maintenance is due.

• Administer a program that requires the Owner to attest periodically that he or she holds a 

valid contract with a certifi ed/licensed operator to perform scheduled and any necessary 

maintenance according to the maintenance requirements described in submitted O&M 

manual. 

• Require Owner to submit a maintenance report signed/sealed by certifi ed/licensed operator 

immediately following scheduled maintenance.

Operator

• Obtain certifi cation/license to practice.

• Inspect and service system as necessary in accordance with the submitted O&M manual.

• Certify to Owner that the required maintenance was performed in a timely manner, 

describing any system defi ciencies observed.

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of the treatment and dispersal system.

Pumper/Hauler

• Obtain certifi cation/license to practice.

• Inspect and service system as necessary.

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of treatment and dispersal system.

Owner

• Hire a certifi ed/licensed pumper/hauler to periodically inspect, service, and remove septage or 

other residuals for proper treatment and disposal.

• Maintain contractual agreement with a certifi ed/licensed operator to perform scheduled 

maintenance as required.

• Inform Regulatory Authority of any change in maintenance contract status.

User • Follow recommendations provided by Regulatory Authority, Service Providers, and/or Owner 

to ensure that undesirable or prohibited materials are not discharged to system.

MANAGEMENT MODEL 2: MAINTENANCE CONTRACTS

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

38

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1

RESIDUALS 

MANAGEMENT

Regulatory 

Authority

• Administer a tracking system for residuals hauling, treatment, and disposal and review to 

evaluate compliance with 40 CFR Part 503 (Use and Disposal of Sewage Sludge), 40 CFR Part 

257, and applicable state, tribal, and local requirements.

• Inventory available residuals handling/treatment capacities and develop contingency plans to 

ensure that suffi cient capacities are always available.

Pumper/Hauler • Comply with applicable federal, state, tribal, and local requirements in the pumping, hauling, 

treatment, and disposal of treatment system residuals.

COMPLIANCE 

INSPECTIONS/ 

MONITORING

Regulatory 

Authority

• Conduct fi nal construction inspections to ensure compliance with approved plans and permit 

requirements.

• Perform compliance inspections at point-of-sale, change-in-use of properties, “targeted 

areas,” and/or systems reported to be in violation.

• Conduct compliance inspections of residuals hauling, treatment, and disposal.

• Administer program for confi rming that Owners hold valid maintenance contracts with 

certifi ed/licensed operators and for monitoring timely submittals of certifi ed maintenance 

reports.

Operator or 

Pumper/Hauler • Inform Owner of any noncompliant items observed during routine servicing of system.

Owner

• Periodically perform a “walk-over” inspection of the system and correct any defi ciencies.

• Attest to the Regulatory Authority that a valid contract exists with a certifi ed/licensed 

operator to perform necessary system maintenance. 

• Submit a maintenance report signed/sealed by a certifi ed/licensed Service Provider 

immediately following scheduled maintenance.

CORRECTIVE 

ACTIONS

Regulatory 

Authority

• Negotiate compliance schedule with Owner for correcting documented noncompliant items.

• Administer enforcement program, including fi nes and/or penalties for failure to comply with 

compliance requirements.

• Obtain necessary authority to enter property to correct imminent threats to public health if 

the Owner/User fails to comply.

Designer • Provide Owner with documents (drawings, specifi cations, modifi cations, etc.) that may be 

required by Regulatory Authority prior to corrective action.

Contractor/ 

Installer • Perform required repairs, modifi cations, and upgrades as necessary.

Owner

• Comply with terms and conditions of the negotiated compliance schedule.

• Submit required documents for corrective actions to Regulatory Authority.

• Hire appropriate certifi ed/licensed Service Providers to perform required corrective actions.

RECORD 

KEEPING, 

INVENTORY, & 

REPORTING

Regulatory 

Authority

• Administer a database inventory (locations, site evaluations, record drawings, permits, 

performed maintenance, inspection reports) of all systems. 

• Maintain a residuals treatment and disposal tracking system.

• Maintain a current certifi ed/licensed Service Provider listing that is available to the public. 

• Administer an Owner/Service Provider maintenance contract compliance and certifi ed 

maintenance report tracking system.

• Record maintenance contract requirement on property deed.

• Administer a certifi ed maintenance report tracking system.

Operator • Provide certifi ed report of all maintenance and observed system defi ciencies to Owner.

Pumper/Hauler • Prepare and submit records of residuals handling as required.

Owner

• Maintain approved record drawings and O&M manual of system.

• Maintain maintenance records of system.

• Provide drawings, specifi cations, O&M manual, and maintenance records to new property 

owner at time of property transfer.

FINANCIAL 

ASSISTANCE & 

FUNDING

Regulatory 

Authority

• Provide the legal and fi nancial support to sustain the management program.

• Provide a listing of fi nancial assistance programs available to Owner/User and the qualifying 

criteria for each program.

• Consider implementing a state or local fi nancing program to assist Owners in upgrading their 

systems.

 MANAGEMENT MODEL 2: MAINTENANCE CONTRACTS

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

39

MANAGEMENT MODEL 3: OPERATING PERMITS

Objective: To issue renewable/revocable operating permits to system Owner that stipulate specifi c and measurable performance 

criteria for the treatment system and periodic submittals of compliance monitoring reports. The performance criteria are based 

on risks to public health and water resources posed by wastewater dispersal in the receiving environment. Operating permits 

allow the use of clustered or onsite systems on sites with a greater range of site characteristics.

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

PUBLIC 

EDUCATION AND 

PARTICIPATION

Regulatory 

Authority

• Educate Owner/User on purpose, use, and care of treatment system.

• Provide public review and comment periods of any proposed program and/or rule changes. 

Service Provider

• Be informed of existing rules, and review and comment on any proposed program or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority.

Owner/User

• Be informed of purpose, use, and care of treatment system.

• Be informed of existing rules, and review and comment on any proposed program or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority. 

PLANNING

Regulatory 

Authority

• Coordinate program rules and regulations with state, tribal, and local planning and zoning 

and other water-related programs.

• Evaluate potential risks of wastewater discharges to limit environmental impacts on receiving 

environments during the rule making process.

• Limit potential risks of environmental impacts from residuals management program and 

evaluate available handling/treatment capacities.

• Inform local planning authority of rule changes and recommend its evaluation of potential 

impacts on land use.

Developer • Hire planners, certifi ed site evaluators, and designers to ensure that all lots of proposed 

subdivision plats meet requirements for onsite treatment prior to fi nal plat.

PERFORMANCE 

Regulatory 

Authority

• Establish system failure criteria to protect public health, e.g., wastewater backups in building, 

wastewater ponding on ground surface, insuffi cient separation from ground water or wells.

• Establish minimum maintenance requirements for approved systems.

• Establish performance criteria necessary to protect public health and water resources for 

each defi ned receiving environment in Regulatory Authority’s jurisdiction.

Owner/User • Operate and regularly maintain system in proper working order.

• Operate system to comply with performance criteria stipulated in operating permit.

TRAINING AND 

CERTIFICATION/ 

LICENSING

Licensing Board/ 

Regulatory 

Authority

• Develop and administer a training, testing, and certifi cation/licensing program for site 

evaluators, designers, contractors, operators, pumpers/haulers, and inspectors.

• Maintain a current certifi ed/licensed Service Provider listing.

Service Provider

• Obtain appropriate certifi cation(s)/license(s) and continuing education as required.

• Obtain training from the manufacturer or vendor regarding appropriate use, installation 

requirements, and O&M procedures of any proprietary equipment to be installed.

• Comply with applicable federal, state, tribal, and local requirements.

Owner/User • When using third-party services, contract with only the appropriate certifi ed/licensed Service 

Providers.

SITE 

EVALUATION

Regulatory 

Authority

• Codify prescriptive requirements for site evaluation procedures.

• Codify criteria for treatment site characteristics suitable for permitted designs that will 

prevent unacceptable impacts on ground and surface water resources. 

• Establish defi ning characteristics for each receiving environment in the Regulatory 

Authority’s jurisdiction.

Site Evaluator

• Obtain certifi cation/license to practice.

• Describe site and soil characteristics, determine suitability of site with respect to code 

requirements, and estimate site’s hydraulic and treatment capacity. 

• Comply with applicable federal, state, tribal, and local requirements in the evaluation of sites 

for wastewater treatment and dispersal.

Owner • Hire a certifi ed/licensed site evaluator to perform site evaluation.

MANAGEMENT MODEL 3: OPERATING PERMITS

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

40

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

DESIGN

Regulatory 

Authority

• Codify prescriptive, preengineered designs that are suitable for treatment sites that meet the 

appropriate prescriptive site criteria.

• Administer a plan review program for engineered designs to meet stipulated performance 

criteria.

• Require submission of routine operation and emergency contingency plans that will sustain 

system performance and avoid unpermitted discharges.

Designer

• Obtain certifi cation/license to practice.

• Certifi ed/licensed designer to design treatment system that is compatible with the site and 

soil characteristics described by the site evaluator.

• Comply with applicable federal, state, tribal, and local requirements in the design of 

wastewater treatment and dispersal systems.

Owner • Hire a certifi ed/licensed designer to prepare system design.

CONSTRUCTION

Regulatory 

Authority

• Administer a permitting program for system construction, including Regulatory Authority 

review of proposed system siting and design plans.

• Require designer of record to certify that completed system construction is in substantial 

compliance with approved plans and specifi cations.

• Require that record drawings of constructed system be submitted to the Regulatory 

Authority by Owner.

• Require Owner to submit a copy of system O&M manual to the Regulatory Authority.

Contractor/ 

Installer

• Obtain certifi cation/license to practice.

• Construct the system in accordance with the approved plans and specifi cations.

• Prepare record drawings of completed system and submit to Owner.

• Provide Owner with an O&M manual describing component manufacturer’s maintenance 

and troubleshooting requirements/recommendations.

• Comply with applicable federal, state, tribal, and local requirements in the design and 

construction of wastewater treatment and dispersal systems.

Designer of 

Record

• Approve proposed fi eld changes and submit to Owner. 

• Certify that construction of the system is substantially in conformance with the approved 

plans and specifi cations.

Owner

• Hire a certifi ed/licensed contractor/installer to construct system.

• Submit fi nal record drawings of constructed system to Regulatory Authority.

• Submit a copy of system O&M manual to Regulatory Authority to record required 

maintenance.

OPERATION & 

MAINTENANCE

Regulatory 

Authority

• Provide Owner/User with educational materials regarding system use and care.

• Administer a program of renewable/revocable operating permits that are issued to Owner 

stipulating system performance criteria, compliance monitoring reporting schedule, term of 

permit, and renewal option upon documented compliance with permit.

• Track and review compliance monitoring reports to ensure that systems are operating in 

accordance with operating permits.

Operator

• Obtain certifi cation/license to practice.

• Inspect and service system as necessary in accordance with the submitted O&M manual 

and/ or operating permit stipulations.

• Certify to Owner that the required maintenance was performed in a timely manner, 

describing any system defi ciencies observed.

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of the treatment and dispersal system.

Pumper/Hauler

• Obtain certifi cation/license to practice.

• Inspect and service system as necessary.

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of the treatment and dispersal system.

Owner

• Hire a certifi ed/licensed pumper/hauler or operator to maintain system.

• Maintain system in proper working order. 

• Operate and maintain the system in accordance with O&M manual and/or operating permit 

stipulations.

• Submit compliance monitoring reports to the Regulatory Authority according to the 

schedule stipulated in the operating permit.

User • Follow recommendations provided by Regulatory Authority and/or Service Providers to 

ensure that undesirable or prohibited materials are not discharged to system.

MANAGEMENT MODEL 3: OPERATING PERMITS

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

41

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

RESIDUALS 

MANAGEMENT

Regulatory 

Authority

• Administer a tracking system for residuals hauling, treatment, and disposal and review to 

evaluate compliance with 40 CFR Part 503 Use and Disposal of Sewage Sludge, 40 CFR Part 

257, and applicable state, tribal, and local requirements.

• Inventory available residuals handling/treatment capacities and develop contingency plans to 

ensure that suffi cient capacities are always available.

Pumper/Hauler • Comply with applicable federal, state, tribal, and local requirements in the pumping, hauling, 

treatment, and disposal of treatment system residuals.

COMPLIANCE 

INSPECTIONS/ 

MONITORING

Regulatory 

Authority

• Perform inspection programs at point-of-sale, change-in-use of properties, “targeted areas,” 

and/or systems reported to be in violation.

• Conduct compliance inspections of residuals hauling, treatment, and disposal.

• Administer a program to monitor timely submittals of acceptable compliance maintenance 

reports.

• Notify Owner of impending scheduled submittals of compliance monitoring reports.

• Perform system inspections randomly and/or at time of operating permit renewal.

Operator or 

Pumper/Hauler • Inform Owner of any noncompliant items observed during routine servicing of system.

Owner

• Submit compliance monitoring reports to Regulatory Authority as stipulated in operating 

permit.

• Submit compliance inspection report signed/sealed by a certifi ed/licensed inspector prior to 

applying for renewal of operating permit. 

CORRECTIVE 

ACTIONS

Regulatory 

Authority

• Negotiate compliance schedule with Owner for correcting documented noncompliant items.

• Administer enforcement program including fi nes and/or penalties for failure to comply with 

compliance requirements.

• Obtain necessary authority to enter property to correct imminent threats to public health if 

the Owner/User fails to comply.

• Require system inspection by certifi ed inspector at time of operating permit renewal.

Designer • Provide Owner with documents (drawings, specifi cations, modifi cations, etc.) that may be 

required by Regulatory Authority prior to corrective action. 

Contractor/ 

Installer • Perform required repairs, modifi cations, and upgrades as necessary.

Inspector • Obtain certifi cation/license to practice.

• Inspect treatment system for compliance with operating permit prior to permit renewal.

Owner

• Comply with terms and conditions of the negotiated compliance schedule.

• Submit required documents for corrective actions to Regulatory Authority.

• Hire appropriate certifi ed/licensed Service Providers to perform required corrective actions.

RECORD 

KEEPING, 

INVENTORY, & 

REPORTING

Regulatory 

Authority

• Administer a database inventory (locations, site evaluations, record drawings, permits, 

performed maintenance, and inspection reports) of all systems. 

• Maintain a residuals treatment and disposal tracking system.

• Maintain a current certifi ed/licensed Service Provider listing that is available to the public.

• Administer a tracking system for operating permits. 

• Administer a tracking database for compliance reports.

Operator or 

Inspector

• Provide certifi ed report of all maintenance and observed system defi ciencies to Owner.

• Perform system monitoring as stipulated in Owner’s operating permit.

Pumper/Hauler • Prepare and submit records of residuals handling as required.

Owner

• Maintain approved record drawings and O&M manual of system.

• Maintain maintenance records of system.

• Submit compliance monitoring reports to Regulatory Authority.

• Provide drawings, specifi cations, O&M manual, and maintenance records to new property 

owner at time of property transfer.

FINANCIAL 

ASSISTANCE & 

FUNDING

Regulatory 

Authority

• Provide the legal and fi nancial support to sustain the management program.

• Provide a listing of fi nancial assistance programs available to Owner/User and the qualifying 

criteria for each program.

• Consider implementing a state or local fi nancing program to assist Owners in upgrading 

their systems.

MANAGEMENT MODEL 3: OPERATING PERMITS

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

42

MANAGEMENT MODEL 4: RME OPERATION AND MAINTENANCE

Objective: To ensure that onsite/decentralized systems consistently meet their stipulated performance criteria through 

Responsible Management Entities that are responsible for operation and performance of systems within their service areas.

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

PUBLIC 

EDUCATION AND 

PARTICIPATION

Regulatory 

Authority

• Educate Owner/User on purpose, use, and care of treatment system.

• Hold public meetings to inform the public of any proposed program and/or rule changes.

Service Provider

• Be informed of existing rules, and review and comment on any proposed program or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority.

Owner/User

• Be informed of purpose, use, and care of treatment system.

• Be informed of existing rules and review and comment on any proposed program and/or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority. 

RME • Inform Owner/User of care and use of system.

• Inform Owner/User of RME requirements and prohibited uses of system.

PLANNING

Regulatory 

Authority

• Coordinate program rules and regulations with state, tribal, and local planning and zoning 

and other water-related programs.

• Evaluate potential risks of wastewater discharges to limit environmental impacts on receiving 

environments during the rule making process.

• Limit potential risks of environmental impacts from residuals management program and 

evaluate available handling/treatment capacities.

• Inform local planning authority of rule changes and recommend their evaluation of potential 

impacts on land use.

Developer • Hire planners, certifi ed site evaluators, and designers to ensure that all lots of proposed 

subdivision plats meet requirements for onsite treatment prior to fi nal plat.

RME

• Develop criteria (e.g., site evaluation, design, construction) to be required of systems for 

acceptance into O&M program and inform Owners.

• Continuously evaluate existing wastewater treatment needs and forecast future needs.

PERFORMANCE 

Regulatory 

Authority

• Establish system failure criteria to protect public health, e.g., wastewater backups in building, 

wastewater ponding on ground surface, insuffi cient separation from ground water or wells.

• Establish minimum maintenance requirements for approved systems.

• Establish performance criteria necessary to protect public health and water resources for each 

defi ned receiving environment in the Regulatory Authority’s jurisdiction.

Owner • Regularly maintain system components in proper working order.

• Comply with any RME requirements regarding care and use of the system.

RME • Operate systems to comply with performance criteria stipulated in the operating permits.

TRAINING AND 

CERTIFICATION/ 

LICENSING

Licensing Board/ 

Regulatory 

Authority

• Develop and administer training, testing, and certifi cation/licensing program for site 

evaluators, designers, contractors, operators, pumpers/haulers, and inspectors. 

• Maintain a current certifi ed/licensed Service Provider listing.

Service Provider

• Obtain appropriate certifi cation(s)/license(s) and continuing education as required.

• Obtain training from the manufacturer or vendor regarding appropriate use, installation 

requirements, and operation and maintenance procedures of any proprietary equipment to 

be installed.

• Comply with applicable federal, state, tribal, and local requirements in the evaluation of sites 

for wastewater treatment and dispersal.

Owner • When using third-party services, contract only with the appropriate certifi ed/licensed Service 

Providers.

RME

• When using third-party services, contract with only the appropriate certifi ed/licensed Service 

Providers. 

• Ensure that RME staff who operate and/or maintain systems obtain appropriate 

certifi cation(s)/license(s) to practice.

• Arrange for supplemental training as needed for Service Providers and/or staff to manage, 

operate, and/or maintain systems.

MANAGEMENT MODEL 4: RME OPERATION AND MAINTENANCE

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

43

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

SITE 

EVALUATION

Regulatory 

Authority

• Codify prescriptive requirements for site evaluation procedures.

• Codify criteria for treatment site characteristics suitable for permitted designs that will 

prevent unacceptable impacts on ground and surface water resources.

• Establish the defi ning characteristics of each receiving environment in the Regulatory 

Authority’s jurisdiction.

• Approve and oversee site evaluation procedures required by RME for system acceptance 

in the O&M program to ensure that system designs are appropriate for the sites and their 

stipulated performance criteria.

Site Evaluator

• Obtain certifi cation/license to practice.

• Describe site and soil characteristics, determine suitability of site with respect to code 

requirements, and estimate site’s hydraulic and treatment capacity.

• Comply with applicable federal, state, tribal, and local requirements in the evaluation of sites 

for wastewater treatment and dispersal.

Owner

• Hire a certifi ed/licensed site evaluator to perform site evaluation.

• Comply with any additional siting requirements established by RME for system acceptance in 

the O&M program.

DESIGN

Regulatory 

Authority

• Codify prescriptive, pre-engineered designs that are suitable for treatment sites that meet the 

appropriate prescriptive site criteria.

• Administer a plan review program for engineered designs to meet stipulated performance 

criteria.

• Require submission of routine operation and emergency contingency plans that will sustain 

system performance and avoid unpermitted discharges.

Designer

• Obtain certifi cation/license to practice.

• Design treatment system that is compatible with the site and soil characteristics described by 

the site evaluator.

• Comply with applicable federal, state, tribal, and local requirements in the design of 

wastewater treatment and dispersal systems.

Owner

• Hire a certifi ed/licensed designer to prepare system design.

• Comply with any additional design requirements established by the RME for system 

acceptance in the O&M program.

CONSTRUCTION

Regulatory 

Authority

• Administer a permitting program for system construction, including Regulatory Authority 

review of proposed system siting and design plans.

• Require designer of record to certify that completed system construction is in substantial 

compliance with approved plans and specifi cations.

• Require that record drawings of constructed system be submitted to the Regulatory Authority 

by Owner.

• Require Owner to submit a copy of system O&M manual to the Regulatory Authority and 

RME.

Contractor/ 

Installer

• Obtain certifi cation/license to practice.

• Construct system in accordance with the approved plans and specifi cations.

• Prepare record drawings of completed system and submit to Owner.

• Provide Owner with an O&M manual describing component manufacturer’s maintenance and 

troubleshooting requirements/recommendations.

• Comply with applicable federal, state, tribal, and local requirements in the design and 

construction of wastewater treatment and dispersal systems.

Designer of 

Record

• Approve proposed fi eld changes and submit to Owner.

• Certify that construction of the system is substantially in conformance with the approved 

plans and specifi cations.

Owner

• Comply with any additional construction requirements established by the RME for system 

acceptance in the O&M program.

• Hire a certifi ed/licensed designer to prepare system design.

• Submit fi nal record drawings of constructed system to Regulatory Authority.

• Submit a copy of the system O&M manual to the Regulatory Authority and RME to record 

required maintenance.

MANAGEMENT MODEL 4: RME OPERATION AND MAINTENANCE

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

44

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

OPERATION & 

MAINTENANCE

Regulatory 

Authority

• Provide Owner/User with educational materials regarding system use and care.

• Administer a program of renewable/revocable operating permits that are issued to RME, 

stipulating system performance criteria, compliance monitoring reporting schedule, term of 

permit, and renewal option upon documented compliance with operating permit stipulations.

• Track and review compliance monitoring reports to ensure that systems are operating in 

accordance with operating permits.

• Consider replacing individual system operating permits with general permits issued to the 

RME for classes of systems.

Operator

• Inspect and service the system as necessary in accordance with the submitted O&M manual 

and/or operating permit stipulations.

• Perform system monitoring as stipulated in RME’s operating permit.

• Certify to RME that the required maintenance and monitoring was performed in a timely 

manner and noting any system defi ciencies. 

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of the treatment and dispersal system.

Pumper/Hauler

• Obtain certifi cation/license to practice.

• Inspect and service system as necessary.

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of treatment and dispersal system.

Owner/User

• Follow recommendations provided by Regulatory Authority, Service Providers, and/or Owner 

to ensure that undesirable or prohibited materials are not discharged to system.

• Maintain system components in proper working order. 

• Comply with any RME requirements regarding care and use of system.

RME

• Operate and maintain systems in accordance with the stipulated operating permit 

requirements.

• Submit compliance monitoring reports to the Regulatory Authority according to the schedule 

stipulated in the operating permit.

• Hire a certifi ed/licensed pumper/hauler or operator to maintain system.

RESIDUALS 

MANAGEMENT

Regulatory 

Authority

• Administer a tracking system for residuals hauling, treatment, and disposal and review to 

evaluate compliance with 40 CFR Part 503 Use and Disposal of Sewage Sludge, 40 CFR Part 

257, and applicable state, tribal, and local requirements.

• Inventory available residuals handling/treatment capacities and develop contingency plans to 

ensure that suffi cient capacities are always available.

Pumper/Hauler • Comply with applicable federal, state, tribal, and local requirements in the pumping, hauling, 

treatment, and disposal of wastewater treatment system residuals.

RME

• Hire a certifi ed/licensed pumper/hauler to remove, treat, and dispose of residuals.

• Comply with applicable federal, state, tribal, and local requirements in the pumping, hauling, 

treatment, and disposal of treatment system residuals.

• Inventory available residuals handling/treatment capacities and develop contingency plans 

when insuffi cient capacities are available.

COMPLIANCE 

INSPECTIONS/ 

MONITORING

Regulatory 

Authority

• Perform inspection programs at point-of-sale, change-in-use of properties, “targeted areas,” 

and/or systems reported to be in violation.

• Conduct compliance inspections of residuals hauling, treatment, and disposal.

• Administer a program to monitor timely submittals of acceptable compliance maintenance 

reports.

• Perform system inspections randomly and/or at time of operating permit renewal.

Inspector

• Obtain certifi cation/license to practice.

• Perform system compliance inspections for RME in accordance with prevailing Regulatory 

Authority requirements.

RME

• Submit compliance monitoring reports to the Regulatory Authority as stipulated in operating 

permit.

• Submit compliance inspection report signed/sealed by a certifi ed/licensed inspector prior to 

applying for renewal of operating permit.

• Conduct regular reviews of management program with Owner/User and Regulatory 

Authority to optimize system operation program.

• Hire a certifi ed/licensed inspector to inspect system compliance status.

MANAGEMENT MODEL 4: RME OPERATION AND MAINTENANCE

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

45

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

CORRECTIVE 

ACTIONS

Regulatory 

Authority

• Negotiate compliance schedules with RME for correcting documented noncompliance items.

• Administer enforcement program including fi nes and/or penalties for failure to comply with 

compliance requirements.

• Obtain necessary authority to enter property to correct imminent threats to public health if 

the Owner/User fails to comply.

• Require system inspection by certifi ed inspector at time of operating permit renewal.

• Negotiate compliance schedules with RME, Owner/User, or both, for correcting documented 

noncompliance items.

Designer • Provide Owner/RME with documents (drawings, specifi cations, modifi cations, etc.) that may 

be required by the Regulatory Authority prior to corrective actions.

Contractor/ 

Installer • Perform required repairs, modifi cations, and upgrades as necessary.

Inspector • Inspect treatment system for compliance with operating permit prior to permit renewal.

Owner

• Comply with terms and conditions of the negotiated compliance schedule for component 

replacement/repairs.

• Submit required documents for corrective actions to Regulatory Authority.

• Hire appropriate certifi ed/licensed Service Providers to perform required corrective actions.

RME • Comply with terms and conditions of the negotiated compliance schedule for system 

performance.

RECORD 

KEEPING, 

INVENTORY, & 

REPORTING

Regulatory 

Authority

• Administer a database inventory (locations, site evaluations, record drawings, permits, 

performed maintenance, and inspection reports) of all systems. 

• Maintain a residuals treatment and disposal tracking system.

• Maintain a current certifi ed/licensed Service Provider listing that is available to the public.

• Administer a tracking system for operating permits. 

• Administer a tracking database for compliance reports.

• Administer periodic fi nancial, management, and technical audits of RME.

Operator or 

Inspector

• Provide certifi ed report of all maintenance and observed system defi ciencies to RME.

• Provide certifi ed report of all observed system defi ciencies to Owner.

• Perform system monitoring as stipulated in RME’s operating permit.

Pumper/Hauler • Prepare and submit records of residuals handling as required.

Owner

• Maintain approved record drawings and O&M manual of system.

• Maintain maintenance records of system.

• Provide drawings, specifi cations, O&M manual, and maintenance records to new property 

owner at time of property transfer.

RME • Maintain system monitoring and service records.

• Inventory, collect, and provide permit information to Regulatory Authority.

FINANCIAL 

ASSISTANCE & 

FUNDING

Regulatory 

Authority

• Provide the legal and fi nancial support to sustain the management program.

• Provide a listing of fi nancial assistance programs available to Owner/User and the qualifying 

criteria for each program.

• Consider implementing a state or local fi nancing program to assist Owners in upgrading their 

systems.

RME • Conduct regular reviews of management program with Owner/User and Regulatory 

Authority to optimize operations.

MANAGEMENT MODEL 4: RME OPERATION AND MAINTENANCE

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

46

MANAGEMENT MODEL 5: RME OWNERSHIP

Objective: To provide professional management of the planning, siting, design, construction, operation, and maintenance of 

onsite/decentralized systems through Responsible Management Entities that own and manage individual and clustered systems 

within their service areas.

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

PUBLIC 

EDUCATION AND 

PARTICIPATION

Regulatory 

Authority

• Educate Owner/User on purpose, use, and care of treatment system.

• Provide public review and comment periods of any proposed program and/or rule changes.

Service Provider

• Be informed of existing rules, and review and comment on any proposed program or rule 

changes.

• Participate in advisory committees established by the Regulatory Authority.

RME • Inform User of care and use of system.

• Inform User of RME requirements and prohibited uses of system.

User • Be informed of purpose, use, and care of treatment system.

PLANNING

Regulatory 

Authority

• Coordinate program rules and regulations with state, tribal, and local planning and zoning 

and other water-related programs.

• Evaluate potential risks of wastewater discharges to limit environmental impacts on receiving 

environments during the rule making process.

• Limit potential risks of environmental impacts from residuals management program and 

evaluate available handling/treatment capacities.

• Inform local planning authority of rule changes and recommend their evaluation of potential 

impacts on land use.

Developer • Hire planners, certifi ed site evaluators, and designers to ensure that all lots of proposed 

subdivision plats meet requirements for onsite treatment prior to fi nal plat.

RME

• Continuously evaluate existing wastewater treatment needs and forecast future needs.

• Require developers to submit proposed subdivision plats to RME for review and comment to 

ensure compatibility with RME requirements.

• Plan most cost-effective approach to meeting treatment needs through appropriate mix of 

central sewerage, clusters, and individual onsite systems.

PERFORMANCE 

Regulatory 

Authority

• Establish system failure criteria to protect public health, e.g., wastewater backups in building, 

wastewater ponding on ground surface, insuffi cient separation from ground water or wells.

• Establish minimum maintenance requirements for approved systems.

• Establish performance criteria necessary to protect public health and water resources for each 

defi ned receiving environment in the Regulatory Authority’s jurisdiction.

RME • Operate, maintain, and repair systems to comply with performance criteria stipulated in the 

operating permits.

User • Comply with any RME requirements regarding care and use of the system.

TRAINING AND 

CERTIFICATION/ 

LICENSING

Licensing Board/ 

Regulatory 

Authority

• Develop and administer training, testing, and certifi cation/licensing program for site 

evaluators, designers, contractors, pumpers/haulers, inspectors, and operators. 

• Maintain a current certifi ed/licensed Service Provider listing.

Service Provider

• Obtain appropriate certifi cation(s)/license(s) and continuing education as required.

• Obtain training from the manufacturer or vendor regarding appropriate use, installation 

requirements, and operation and maintenance procedures of any proprietary equipment to 

be installed.

• Comply with applicable federal, state, tribal, and local requirements in the evaluation of sites 

for wastewater treatment and dispersal.

RME

• When using-third party services, contract with only certifi ed/licensed Service Providers.

• RME staff who site, design, construct, operate, and/or maintain systems must obtain 

appropriate certifi cation(s)/license(s) to practice.

• Arrange for supplemental training as needed for Service Providers and/or staff to manage, 

operate, and/or maintain systems.

MANAGEMENT MODEL 5: RME OWNERSHIP

1 Activities in bold are activities added to program elements from the preceding Management Model.
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APPENDIX A: MANAGEMENT MODELS

47

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

SITE 

EVALUATION

Regulatory 

Authority

• Codify prescriptive requirements for site evaluation procedures.

• Codify criteria for treatment site characteristics suitable for permitted designs that will 

prevent unacceptable impacts on ground and surface water resources.

• Establish the defi ning characteristics of each receiving environment in the Regulatory 

Authority’s jurisdiction.

• Approve and oversee site evaluation procedures used by RME to ensure that system designs 

are appropriate for the sites and their stipulated performance criteria.

Site Evaluator

• Obtain certifi cation/license to practice.

• Describe site and soil characteristics, determine suitability of site with respect to code 

requirements, and estimate site’s hydraulic and treatment capacity. 

• Comply with applicable federal, state, tribal, and local requirements in the evaluation of sites 

for wastewater treatment and dispersal.

RME • Hire a certifi ed/licensed site evaluator to perform site evaluation.

DESIGN

Regulatory 

Authority

• Codify prescriptive, pre-engineered designs that are suitable for treatment sites that meet the 

appropriate prescriptive site criteria.

• Administer the plan review program for engineered designs to meet stipulated performance 

criteria.

• Require routine operation and emergency contingency plans that will sustain system 

performance and avoid the submission of unpermitted discharges.

Designer

• Obtain certifi cation/license to practice.

• Design treatment system that is compatible with the site and soil characteristics described by 

the site evaluator.

• Comply with applicable federal, state, tribal, and local requirements in the design of 

wastewater treatment and dispersal systems.

RME • Hire a certifi ed/licensed designer to prepare system design.

CONSTRUCTION

Regulatory 

Design

• Administer a permitting program for system construction, including Regulatory Authority 

review of proposed system siting and design plans.

• Require designer of record to certify that completed system construction is in substantial 

compliance with approved plans and specifi cations.

• Require that record drawings of constructed system be submitted to the Regulatory Authority 

by RME.

Contractor/ 

Installer

• Obtain certifi cation/license to practice.

• Construct system in accordance with the approved plans and specifi cations.

• Prepare record drawings of completed system and submit to RME.

• Provide RME with an O&M manual describing component manufacturer’s maintenance and 

troubleshooting requirements/recommendations.

• Comply with applicable federal, state, tribal, and local requirements in the design and 

construction of wastewater treatment and dispersal systems.

Designer of 

Record

• Approve proposed fi eld changes and submit to RME.

• Certify that construction of the system is substantially in conformance with the approved 

plans and specifi cations.

RME

• Hire a certifi ed/licensed designer to prepare system design.

• Submit fi nal record drawings of constructed system to Regulatory Authority.

• Submit a copy of system O&M manual to the Regulatory Authority to record required 

maintenance.

MANAGEMENT MODEL 5: RME OWNERSHIP

1 Activities in bold are activities added to program elements from the preceding Management Model.
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APPENDIX A: MANAGEMENT MODELS

48

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

OPERATION & 

MAINTENANCE

Regulatory 

Authority

• Provide User with educational materials regarding system use and care.

• Administer a program of renewable/revocable operating permits that are issued to RME that 

stipulate system performance, compliance monitoring reporting schedule, term of permit, and 

renewal option upon documented compliance with operating permit stipulations.

• Track and review compliance monitoring reports to ensure that systems are operating in 

accordance with operating permits.

• Consider replacing individual system operating permits with general permits issued to RME 

for classes of systems.

Operator

• Inspect and service system as necessary in accordance with the submitted O&M manual and/or 

operating permit stipulations.

• Perform system monitoring as stipulated in RME’s operating permit.

• Certify to RME that the required maintenance and monitoring were performed in a timely 

manner and noting any system defi ciencies. 

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of the treatment and dispersal system.

Pumper/Hauler

• Obtain certifi cation/license to practice.

• Inspect and service system as necessary.

• Comply with applicable federal, state, tribal, and local requirements in the operation and 

maintenance of the treatment and dispersal system.

User

• Follow recommendations provided by Regulatory Authority, Service Providers, and/or Owner 

to ensure that undesirable or prohibited materials are not discharged to system.

• Comply with any RME requirements regarding care and use of system.

RME

• Operate and maintain systems in accordance with the stipulated operating permit 

requirements.

• Submit compliance monitoring reports to the Regulatory Authority according to the schedule 

stipulated in the operating permit.

• Hire a certifi ed/licensed pumper/hauler or operator to maintain system.

RESIDUALS 

MANAGEMENT

Regulatory 

Authority

• Administer a tracking system for residuals hauling, treatment, and disposal and review to 

evaluate compliance with 40 CFR Part 503 Use and Disposal of Sewage Sludge, 40 CFR Part 

257, and applicable state, tribal, and local requirements.

• Inventory available residuals handling/treatment capacities and develop contingency plans 

when capacities available are insuffi cient.

Pumper/ Hauler • Comply with applicable federal, state, tribal, and local requirements in the pumping, hauling, 

treatment, and disposal of wastewater treatment system residuals.

RME

• Hire a certifi ed/licensed pumper/hauler to remove, treat, and dispose of residuals.

• Comply with applicable federal, state, tribal, and local requirements in the pumping, hauling, 

treatment, and disposal of treatment system residuals.

• Inventory available residuals handling/treatment capacities and develop contingency plans 

when capacities available are insuffi cient.

COMPLIANCE 

INSPECTIONS/ 

MONITORING

Regulatory 

Authority

• Perform inspection programs at point-of-sale, change-in-use of properties, “targeted areas,” 

and/or systems reported to be in violation.

• Conduct compliance inspections of residuals hauling, treatment, and disposal.

• Administer a program to monitor timely submittals of acceptable compliance maintenance 

reports.

• Perform system inspections randomly and/or at the time of operating permit renewal.

Inspector

• Obtain certifi cation/license to practice.

• Perform system compliance inspections for RME in accordance with prevailing Regulatory 

Authority requirements.

RME

• Submit compliance monitoring reports to Regulatory Authority as stipulated in operating 

permit.

• Submit a compliance inspection report signed/sealed by a certifi ed/licensed inspector prior to 

applying for renewal of operating permit.

• Conduct regular reviews of management program with Regulatory Authority to optimize 

system operation program.

• Hire a certifi ed/licensed inspector to inspect system compliance status.

MANAGEMENT MODEL 5: RME OWNERSHIP

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

APPENDIX A: MANAGEMENT MODELS

49

PROGRAM 

ELEMENT

RESPONSIBLE 

PARTY ACTIVITY1 

CORRECTIVE 

ACTIONS

Regulatory 

Authority

• Negotiate compliance schedules with RME for correcting documented noncompliance items.

• Administer the enforcement program including fi nes and/or penalties for failure to comply 

with compliance requirements.

• Require system inspection by a certifi ed inspector at time of operating permit renewal.

• Negotiate compliance schedules with RME for correcting documented noncompliance items.

Designer • Provide RME with documents (drawings, specifi cations, modifi cations, etc.) that may be 

required by the Regulatory Authority prior to corrective action. 

Contractor/ 

Installer • Perform required repairs, modifi cations, and upgrades as necessary.

Inspector • Inspect treatment system for compliance with operating permit prior to permit renewal.

RME

• Comply with terms and conditions of the negotiated compliance schedule.

• Submit required documents for corrective actions to the Regulatory Authority.

• Hire appropriate certifi ed/licensed Service Providers to perform required corrective actions.

RECORD 

KEEPING, 

INVENTORY, & 

REPORTING

Regulatory 

Authority

• Administer a database inventory (locations, site evaluations, record drawings, permits, and 

inspection reports) of all systems within the Regulatory Authority’s jurisdiction. 

• Maintain a residuals treatment and disposal tracking system.

• Maintain a current certifi ed/licensed Service Provider listing, which is available to the RMEs.

• Administer a tracking system for operating permits. 

• Administer a tracking database for compliance reports.

• Administer fi nancial, management, and technical audits of RME.

Operator or 

Inspector

• Provide a certifi ed report of all maintenance and observed system defi ciencies to RME.

• Provide a certifi ed report of all observed system defi ciencies to Owner.

• Perform system monitoring as stipulated in RME’s operating permit.

Pumper/Hauler • Prepare and submit records of residuals handling as required.

RME • Maintain system monitoring and service records.

• Inventory, collect, and provide permit information to Regulatory Authority.

FINANCIAL 

ASSISTANCE & 

FUNDING

Regulatory 

Authority

• Provide the legal and fi nancial support to sustain the regulatory program.

• Provide a listing of fi nancial assistance programs available to RME and the qualifying criteria 

for each program.

• Consider implementing a state or local fi nancing program to assist RME in upgrading systems.

RME • Conduct regular reviews of management program with Regulatory Authority to optimize 

operations.

MANAGEMENT MODEL 5: RME OWNERSHIP

1 Activities in bold are activities added to program elements from the preceding Management Model.
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

50
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

51

APPENDIX B:

RELATIONSHIP TO OTHER EPA 

WATER PROGRAMS
Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

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APPENDIX B: RELATIONSHIP TO OTHER EPA WATER PROGRAMS

Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment Systems

53

The Management Guidelines will help support the 

activities and approaches being applied in several other 

EPA programs and contribute toward achieving mutual 

water quality objectives and public health protection goals. 

Related programs include watershed management, water 

quality management, biosolids and residuals management, 

nonpoint source control, source water assessment and 

protection, underground injection control, water permitting, 

and coastal zone management. The relationship of the 

Management Guidelines to these companion programs is 

summarized in the following discussion. 

Watershed Management. The Management 

Guidelines can be integrated into a comprehensive 

watershed approach at the state, tribal, or local 

government level. There are clear benefits to managing 

onsite/centralized systems at the basin, watershed, 

or subwatershed level. Ideally, the use of a watershed 

approach will facilitate the identification of both existing 

and anticipated sources of pollutants of concern, e.g., 

nutrient and pathogens, and allow the appropriate 

jurisdictions to take coordinated actions to protect or 

restore an identified resource. In such an approach, 

short- and long-term wastewater management plans 

and actions for both centralized and decentralized 

systems can be integrated into a comprehensive plan 

that may include analyses and actions that address the 

impacts of other contributing sources of pollutants such 

as animal waste, wildlife, or agriculture. The use of a 

watershed approach also encourages the coordination 

of management entities and actions across jurisdictions. 

Interjurisdictional planning and coordination can result 

in more efficient resource utilization, including data 

sharing, and also help to avoid inconsistent management 

policies or requirements that can cause unanticipated 

APPENDIX B: RELATIONSHIP TO 

 OTHER EPA WATER PROGRAMS

consequences, such as accelerated growth in adjacent 

communities due to their less burdensome requirements 

or lower costs.

National Pollutant Discharge Elimination System 

(NPDES). In 1972 Congress established the NPDES 

program under the Clean Water Act (CWA). Under 

the CWA, discharge of a pollutant from a point source 

to waters of the United States is prohibited unless that 

discharge is authorized by an NPDES (CWA Section 

402) or wetlands (CWA Section 404) permit. The 

NPDES program includes discharges to ground water 

with a direct hydrologic connection to surface water. 

NPDES permits are issued by a state or tribe authorized 

to implement the NPDES program, or by EPA if there 

is no authorized state or tribe. The NPDES permit 

establishes necessary technology-based and water 

quality-based terms, limitations, and conditions on the 

discharge to protect public health and the environment. 
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APPENDIX B: RELATIONSHIP TO OTHER EPA WATER PROGRAMS

EPA’s NPDES regulations (40 CFR 122.28) provide for 

issuance of a “general permit” to authorize discharges 

from similarly situated facilities such as onsite and 

clustered systems. Several states, including Arkansas, 

Kentucky, and North Carolina, issue general permits. 

The draft Management Handbook contains an example 

of the key aspects of a general permit.

Biosolids and Residuals Management. The 1987 

Amendments to the CWA required the development 

of comprehensive requirements for the use and disposal 

of sewage sludge (biosolids). As defined in the resulting 

“Use and Disposal of Sewage Sludge” rule at 40 CFR 

Part 503, sewage sludge includes the residuals produced 

by the treatment of domestic sewage (other than grit and 

screenings) and includes septage from onsite and clustered 

wastewater treatment systems. The Part 503 rule (along 

with the nonhazardous solid waste disposal requirements 

under 40 CFR Parts 257 and 258, which apply when 

domestic septage is mixed with other waste sources by 

pumpers) establish minimum federal requirements for the 

proper management of septage from onsite and clustered 

wastewater treatment systems. EPA has developed 

supplemental guidance on the management of septage 

in Domestic Septage Regulatory Guidance: A Guide to the 

EPA 503 Rule(13) and Guide to Septage Treatment and 

Disposal(14).The use and disposal of sewage sludge is usually 

regulated as part of the NPDES program.

Storm Water Management. Historically, polluted 

storm water runoff was often transported by municipal 

separate storm sewer systems (MS4s) or discharged 

from industrial or construction activities and ultimately 

discharged into local rivers and streams without treatment. 

Common pollutants include oil and grease from roadways, 

pesticides from lawns, sediment from construction sites, 

and carelessly discarded trash, such as cigarette butts, 

paper wrappers, and plastic bottles. When deposited 

into nearby waterways through MS4 discharges, these 

pollutants can impair the waterways, thereby discouraging 

recreational use of the resource, contaminating drinking 

water supplies, and interfering with the habitat for fish, 

other aquatic organisms, and wildlife.

In 1990 EPA promulgated rules establishing 

Phase I of the National Pollutant Discharge Elimination 

System (NPDES) storm water program. The Phase 

I program requires communities with MS4s serving 

populations of 100,000 or greater or sites with industrial 

or construction activity to implement a storm water 

management program as a means to control polluted 

discharges. The Storm Water Phase II Rule, promulgated 

on December 8, 1999, extends coverage of the NPDES 

storm water program to certain “small” MS4s and small 

construction sites. Operators of regulated small MS4s are 

required to design their programs to reduce the discharge 

of pollutants to the “maximum extent practicable,” 

protect water quality, and satisfy the appropriate water 

quality requirements of the Clean Water Act.

The Phase II program for MS4s is designed to 

accommodate a general permit approach using a Notice 

of Intent (NOI) as the permit application. The operator 

of a regulated small MS4 must include in the permit 

application, or NOI, its chosen best management 

practices (BMPs) and measurable goals for each of six 

minimum control measures. To help permittees identify 

the most appropriate BMPs for their programs, EPA will 

issue a “menu” of BMPs to serve as guidance. 

One measure in a Phase II storm water program 

is the detection and elimination of illicit discharges. 

EPA has determined that many onsite and clustered 

systems (typically those that discharge to surface waters) 

illicitly discharge effluent to storm ditches that drain 

to storm sewers. In such cases there must be a permit 

approach to protect the MS4 from pollutants associated 

with the onsite and clustered system. The Management 

Guidelines can be used to assist NPDES permit 

applicants in determining appropriate BMPs.

Water Quality Management (including Total 

Maximum Daily Loads). Nationally, states have 

reported in their Clean Water Act Section 303(d) 
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GLOSSARY

55

APPENDIX B: RELATIONSHIP TO OTHER EPA WATER PROGRAMS

reports that designated uses are not being met for 

approximately 5,400 water bodies because of pathogens 

and that approximately 4,700 water bodies are impaired 

by nutrients(12). Onsite wastewater treatment systems 

are often significant contributors of pathogens and 

nutrients. Under EPA’s current requirements a Total 

Maximum Daily Load (TMDL) determination is required 

when the total loading of pollutants to a water body 

results in a violation of water quality standards. The 

Agency promotes the control and management of both 

point and nonpoint source discharges on a watershed 

basis. If onsite and clustered systems are determined 

to be a significant source of the pollutants, increased 

management is needed.

The most common approach to resolving 

problems with onsite wastewater treatment systems 

has been to replace the systems with a centralized 

wastewater treatment and collection system. 

However, a decentralized approach, with a high level 

of management, is capable of meeting water quality 

objectives while offering communities a wider range 

of options. In these situations, the Management 

Guidelines can be a valuable tool to use as the basis of 

TMDL/watershed implementation plans that promote 

improved management to address identified problems. 

An appropriate level of management, as described in this 

document, could reduce pollutant loads to achieve water 

quality standards. EPA also recognizes, as discussed more 

fully above, that there are situations where a system is 

subject to the NPDES program. In such cases, permit 

requirements should be consistent with any applicable 

TMDL and water quality standards. 

Water Quality Standards. State and tribal water 

quality standards do not consistently address pathogen 

and nutrient loadings. This lack of consistency has 

resulted from a scarcity of information on how to 

measure, monitor, and evaluate the impacts of pathogens 

and nutrients on water quality. New methods and 

information are being developed to assist tribes, states, 

and local governments in assessing and developing 

appropriate management strategies to control these 

pollutants. EPA is developing recommendations for 

improved methods to measure and document human 

health risks due to exposure to the most common 

pathogens and differing concentrations of these 

pathogens. A thorough discussion is available in the 

draft Implementation Guidance for Ambient Water Quality 

Criteria for Bacteria-1986.(15) EPA is also developing 

a series of Nutrient Criteria Technical Guidance 

Manuals(16) (17) (18) for various water body types, such 

as rivers and streams. The intent of these documents 

is to provide states and tribes with methods to assess 

waterbody nutrient impairment, select criteria, design 

monitoring programs, and implement management 

practices. These factors should be considered during the 

siting, design, and operation of onsite and decentralized 

wastewater treatment systems.

Source Water Assessment and Protection. The 

1996 Amendments to the Safe Drinking Water Act 

(SDWA) require states and tribes to implement Source 

Water Assessment and Protection (SWAP) programs 

that assess areas serving as sources of drinking water, 

identify potential threats, and implement protection 

efforts. The SWAP requires states to conduct source 

water assessments for all their public water systems. 

Assessments consist of delineating protection areas for 

the source waters of public drinking water supplies, 

identifying potential sources of contaminants within 

these areas, determining the susceptibility of the water 

supplies to contamination from these potential sources, 

and making the results of the assessments available to 

the public. Assessments for many water systems, such 

as those in rural areas, are likely to inventory onsite and 

clustered systems located in delineated source water 

protection areas and identify some of them as priority 

pollution threats. Communities are encouraged to 

consider this emerging information from the assessments 

as a factor in deciding what level of management 
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56

APPENDIX B: RELATIONSHIP TO OTHER EPA WATER PROGRAMS

of onsite and clustered systems is necessary. Several 

programs specifically address the protection of ground 

water because it serves as the source of drinking water 

for 95 percent of the nation’s population in rural areas 

and for half of the total U.S. population. EPA also 

recommends the Management Guidelines as a tool in the 

protection of drinking water sources.

Underground Injection Control (UIC) Program. 

Certain onsite systems are regulated under the UIC 

program. The UIC program was established by the SDWA 

to protect current and future underground sources of 

drinking water (USDWs) from contamination caused by 

subsurface disposal of wastes. EPA groups underground 

injection into five classes (Classes I–V), from deep 

to shallow. Class V wells include typically shallow, 

percolating systems, such as dry wells, leach fields, and 

similar types of drainage wells that overlie USDWs.

Under the existing federal regulations, most Class 

V injection wells are authorized by rule provided they 

meet certain reporting requirements (e.g., submit 

inventory information) and do not endanger USDWs. 

EPA recognizes that state, tribal, and local governments 

commonly regulate onsite systems of varying sizes. 

Regardless, the UIC program is responsible for ensuring 

that these entities meet UIC program requirements 

when regulating large-capacity septic systems (those 

that accept solely sanitary waste and have the capacity 

to serve 20 or more people per day). Onsite wastewater 

treatment systems may also be regulated under the UIC 

program by an authorized state, tribe, or EPA if they 

accept industrial, chemical, or other non-sanitary wastes, 

also called “industrial drainage wells” or “agricultural 

drainage wells.” 

In 1999 the UIC program undertook two efforts 

relevant to large-capacity septic systems. First, the 

program promulgated regulations prohibiting the 

construction of new large-capacity cesspools and 

ordered all existing large-capacity cesspools to be closed 

by April 5, 2005. Second, the program completed a 

comprehensive study of shallow injection wells, including 

septic systems, that are regulated under the UIC 

program.(19) EPA found that although the prevalence 

of contamination cases appears low relative to the 

prevalence of these systems, there are documented 

examples that implicate these large systems as sources 

of ground water contamination, and they are being 

addressed locally. 

On June 7, 2002 (67 FR 39583), EPA announced 

a final determination for all subclasses of Class V wells 

(such as large-capacity septic systems) not included 

in the December 7, 1999, final UIC rule. The Agency 

determined that additional federal requirements 

are not needed at this time and that existing federal 

underground injection control regulations are adequate 

to prevent Class V wells from endangering USDWs. This 

determination is based on the actions EPA is taking to 

improve the performance of onsite and clustered systems 

through the development of the Management Guidelines.

Coastal Zone Managment Act/Coastal Zone 

Act Reauthorization Amendments of 1990 (CZMA/

CZARA). EPA and the National Oceanic and 

Atmospheric Administration (NOAA) jointly administer 

Section 6217 of the CZMA/CZARA. This provision 

requires the 29 states with approved Coastal Zone 

Management Programs to establish and implement 

Coastal Nonpoint Pollution Control Programs. These 

programs must include management measures for both 

new and operating onsite sewage dispersal systems 

(OSDS). The measures are described in EPA’s Guidance 

Specifying Management Measures for Sources of Nonpoint 

Pollution in Coastal Waters(20). The measure for new OSDS 

specifies that they be designed, installed, and operated 

properly and be situated at safe distances from sensitive 

resources, including wetlands and floodplains. Protective 

separation between the bottom of the infiltration system 

and ground water tables is to be established, and OSDS 

are to be designed to reduce nitrogen loadings in areas 

where surface waters might be adversely affected. The 
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GLOSSARY

57

APPENDIX B: RELATIONSHIP TO OTHER EPA WATER PROGRAMS

measure for operating OSDS requires operation and 

maintenance to prevent surface water discharge and 

reduce loadings to ground water, as well as inspection 

at regular time intervals and repair or replacement of 

faulty systems. The OSDS measures described above are 

consistent with many of the concepts described in the 

Management Guidelines. 

Nonpoint Source Program. Congress established 

the national nonpoint source program in 1987 when 

it amended the Clean Water Act with Section 319. 

States were required to conduct nonpoint source 

assessments and develop EPA-approved “Nonpoint 

Source Management Programs.” All states and territories 

and, as of September 2001, more than 70 tribes 

(representing over 70 percent of Indian lands) now 

have EPA-approved nonpoint source assessments and 

management programs. Typical categories of nonpoint 

sources identified and addressed in the state, territorial, 

and tribal assessments and management plans include 

agriculture, urban, onsite disposal systems, forestry, 

and hydromodification. In some states the primary 

responsibility for managing onsite and clustered systems 

falls within the purview of the nonpoint source program. 

Congress provides funding to assist the states, 

territories, and tribes in developing and implementing 

their nonpoint source management programs. These 

funds can be used by states, territories, and tribes 

to address sources identified in their management 

program submissions. States, territories, and tribes can 

use these funds to promote, demonstrate, and fund 

activities relating to onsite and clustered management 

programs, including monitoring, program assessments 

and development, demonstration projects, research, 

public education and outreach, and system replacement 

or rehabilitation. The voluntary Management Guidelines 

are intended to support the achievement of the goals of 

the state, territorial, and tribal programs as they relate to 

onsite and clustered program management.

Technology Transfer. EPA recently published the 

Onsite Wastewater Treatment Systems Manual(21) (Onsite 

Manual) to provide new information on alternative 

treatment technologies and to promote a performancebased approach to onsite and clustered wastewater 

system management. This document is an update of 

EPA’s 1980 Design Manual - Onsite Wastewater Treatment 

and Disposal Systems(22). The Onsite Manual serves as the 

technical complement to the Management Guidelines 

and as a reference to identify the environmental, 

technological, administrative, and public health factors 

to consider when developing an improved management 

program. The Onsite Manual contains information 

that program managers can use in assessing the 

environmental impacts of specific onsite and clustered 

wastewater treatment technologies on both the 

watershed and individual site levels and in the selection 

of appropriate technologies.
NOTES
NOTES
Additional copies of this document, (EPA 832-B-03-001), 

can be obtained from:

U.S. EPA Publications Clearinghouse

P.O. Box 42419

Cincinnati, OH 45242

Telephone: 800-490-9198

Fax: 513-489-8695

EPA 832-B-03-001 

March 2003