EMTS Transaction Instructions
SEPA
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
Compliance and Innovative Strategies Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
SEPA
United States
Environmental Protection
Agency
EPA420-B-11-011b
August 2011
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Table of Contents
Page
Section 1: What Is the RFS? 1-1
1.1 What Are RINs? 1-1
1.2 What Are All the Characteristics of a RIN? 1-2
Section 2: What Is EMTS? 2-1
2.1 How Are RINs Mode rated and Screened? 2-1
2.2 What Tasks Can I Do with EMTS? 2-1
2.3 Do I Need to Keep Separate Records of My Transactions? 2-2
Section 3: What Are the Key Reporting Deadlines? 3-1
3.1 When Do I Send in Reports to EPA? 3-1
3.2 What Is the Expected Response Time to Interacting with EMTS? 3-3
3.2.1 Registration to Use EMTS 3-3
3.2.2 Real Time Reporting 3-3
3.2.3 Responding to Buy/Sell Transactions 3-3
3.2.4 Quarterly and Annual Reports 3-4
Section 4: How Do I Interact with EMTS? 4-1
4.1 How Do I Get Started? 4-1
4.1.1 Browser Requirements 4-1
4.1.2 Node Requirements 4-1
4.1.3 CDX Registration 4-1
4.1.3.1 Obtaining a CDX Account 4-2
4.1.3.2 Registering with OTAQ Fuels Programs 4-2
4.1.4 OTAQ DC Fuels 4-3
4.2 How Does EMTS Process My Transactions? 4-3
c/EPA
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
Table of Contents f cont.l
Page
4.2.1 What Are the Methods for Submitting Data to EMTS? 4-3
4.2.2 Submitting Data through the EMTS Website 4-3
4.2.3 Submitting Files via a Node 4-4
4.2.4 What Is the Quality Assurance Process? 4-4
4.2.5 How Do I Review Notifications? 4-5
Section 5: What Can I Do in the EMTS Website? 5-1
5.1 Where Can I Find Information Specific to My Organization? 5-1
5.1.1 Viewing Your Organization Information 5-2
5.1.2 Viewing Your Organization's RIN Holding Account 5-4
5.1.3 Viewing RIN Batch Details 5-5
5.2 Where Can I Find Information on My Submitted Data? 5-6
5.2.1 Viewing Node Submissions and Feedback Results 5-7
5.2.2 Viewing Web Submissions 5-8
5.2.3 Managing Subscriptions 5-9
5.2.4 View Reports 5-10
5.3 How Do I Submit Transactions on the EMTS Website? 5-11
5.3.1 The Transaction Bin 5-10
5.3.2 How Will EMTS Assist with Data Entry and Screening? 5-14
5.3.3 Can I Submit Multiple Transactions for the Same Organization? 5-15
5.3.4 Can I See a Record of All My Submitted Transactions? 5-15
5.3.5 What Happens to My RINs after the Time Period Expires? 5-16
5.4 Creating Transactions 5-16
5.4.1 What Information Is Required to Generate RINs? 5-16
5.4.1.1 How Do I Generate RINs as an Importer? 5-18
5.4.1.2 How Do I Report Equivalence Value? 5-20
5.4.2 What Information Is Required to Separate RINs? 5-20
5.4.3 What Information Is Required to Retire RINs? 5-21
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EMTS Transaction Instructions
Table of Contents (cont.)
Page
5.4.3.1 What Happens to My RINs When I Retire for Compliance? 5-24
5.4.4 What Information Is Required to Report RIN Trades? 5-26
5.4.4.1 Creating a Sell Transaction 5-26
5.4.4.2 Accepting a Pending Buy or Sell Transaction 5-27
5.4.4.3 Denying a Pending Buy or Sell Transaction 5-29
5.4.4.4 Can I Cancel My Buy and Sell Transactions? 5-30
5.4.4.5 Initiating a Trade Transaction with a Buy Transaction 5-30
5.4.5 Which RINs Will Be Used in a Transaction? 5-32
5.4.6 Can I Block RINs That Were Generated By a Specific Organization? 5-33
5.4.7 How Do I Report an Invalid Batch of RINs? 5-34
5.4.8 How Do I Reverse a Transaction? 5-34
5.4.9 How Do I Report an Error? 5-34
5.5 Where Can I Go to Get Help? 5-36
Section 6: How Do I Report Transactions Using XML Files? 6-1
6.1 What Are the Steps to Submitting My File? 6-1
6.2 What Is the Purpose of an XML Schema? 6-2
6.2.1 General Principles Used in Developing EMTS 6-2
6.3 Codes, Identifiers, and Data Types 6-3
6.3.1 How Do I Report Codes? 6-3
6.3.2 How Do I Report Comments and Additional Information? 6-3
6.3.3 How Do I Report Identifiers? 6-3
6.3.3.1 Organization Identifiers 6-3
6.3.4 Data Types 6-4
6.3.4.1 Dates and Years 6-4
6.3.4.2 Reporting Numbers 6-4
6.4 Constructing the XML File 6-5
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Table of Contents f cont.l
Page
6.4.1 Will the Conversion Tool Create a Valid XML File? 6-5
6.4.2 Is There a Limit on the Size of the Submission File? 6-5
6.4.3 Schema Validation 6-6
6.4.3.1 Validating Your File Prior to Submission 6-6
6.4.4 Submitting Your File 6-6
6.4.5 Quality Assurance and Receiving Feedback 6-6
6.5 Overview of Major Data Blocks 6-7
6.5.1 EMTS Root Elements 6-7
6.5.2 Generating RINs 6-9
6.5.3 Separating RINs 6-21
6.5.4 Selling RINs 6-27
6.5.5 Buying RINs 6-32
6.5.6 Retiring RINs 6-37
6.6 What Is the FIFO Process for Finding RINs? 6-44
6.7 How Do I Cancel a Buy or Sell Transaction? 6-44
Section 7: How Can I Access Information about My Organization's RINs? 7-1
7.1 What Documents Does EMTS Provide? 7-1
7.2 How Do I Certify My Transactions? 7-2
7.2.1 What Quarterly Reports Does EMTS Provide? 7-2
7.2.2 What Annual Reports Does EMTS Provide? 7-3
Section 8: How Do I Contact EMTS Support? 8-1
8.1 How Does EPA Communicate Changes to Me? 8-1
8.2 Where Do I Go If I Have a Question about EMTS? 8-2
8.3 Where Do I Go If I Have a Question about the Renewable Fuel Standard? 8-2
8.4 Who Should I Contact If I Need Help Resolving a Problem in EMTS? 8-2
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Table of Contents f cont.l
Appendix A: Referenced Documents.
Page
....A-l
Appendix B: Glossary B-l
Appendix C: QA Checks C-l
Appendix D: Business Activities by Transaction Type D-l
Appendix E: Sample Transactions E-l
E-l Generate Transaction E-l
E-l.l Reporting the Originating Source E-3
E-l.2 Feedstocks E-4
E-l.3 Reporting Co-product E-5
E-2 Separate Transaction E-6
E-3 Sell Transaction E-7
E-3.1 Supporting Document Information E-10
E-4 Buy Transaction E-10
E-5 Retire Transaction E-13
E-5.1 Retire for Spillage E-13
E-5.2 Retire for Compliance, Aggregated Refiner E-15
E-5.3 Retire for Compliance, Facility Level E-17
E-6 Advanced Options E-20
E-6.1 Batch Specific Transactions E-20
E-6.1.1 Batch Specific Sell Transaction E-20
E-6.1.2 Batch Specific Buy Transaction E-23
E-6.2 Non-One-to-One Ratio E-26
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Table of Contents f cont.l
E-6.2.1 Separate Fuel and RINs in a Non-One-to-One Ratio.
E-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio
E-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio
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..E-26
...E-28
...E-30
Appendix F: User Roles and Permissions.
Appendix G: Cross-reference Tables.
. F-l
.G-l
Table of Contents
VI
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Who should read Section 1:
All users unfamiliar with the RFS.
What you will find in Section 1:
This section is a general overview of the
Renewable Fuel Standards program and
includes information on important changes
to reporting RINs.
Section 1: What Is the RFS?
The Renewable Fuel Standard (RFS) was mandated by
the Energy Policy Act of 2005 and revised in the Energy
Independence and Security Act of 2007. RFS2
regulations apply to annual periods beginning July I,
2010, changing initial RFS regulations which covered
the May 1, 2007 - June 30, 2010 period.
The RFS is a volume standard (expressed in gallons) and
requires definition of an annual percentage of total
projected gasoline or diesel fuel refined or imported that
must comprise renewable fuel. Renewable fuels are defined on the basis of feedstock and production
process. EPA sets the RFS2 standards as percentages for cellulosic biofuel, biomass-based diesel, advanced
biofuel, and renewable fuel annually. Application of the standard percentage to the volume of
transportation fuel produced or imported, plus any deficit carryover from the preceding year, defines the
Renewable Volume Obligation (RVO) for obligated parties. Obligated parties are defined as refiners that
produce gas or diesel fuel within the 48 contiguous states
and Hawaii, or importers that import gas or diesel fuel into
the 48 contiguous states and Hawaii. Alaska and U.S.
territories can opt-in by petition. Obligated parties must
demonstrate compliance with the RVO annually.
Important Dates
Renewable Fuel Standard (RFS2) began
on July 1,2010.
The RFS also defines an RVO for exporters of renewable fuels as equivalent to the standardized volume of
renewable fuel exported (plus any deficit carryover from the previous year). The purpose of this RVO is to
ensure that RINs associated with renewable fuels produced and exported are not used for compliance
because the renewable fuel was not used in the domestic market.
1.1 What Are RINs?
Compliance with the RVO is demonstrated through the use of renewable identification numbers, known as
RINs, which are assigned to each gallon of renewable fuel produced or possibly imported. RINs track the
volume of renewable fuel produced or imported. Obligated parties must acquire sufficient RINs to
demonstrate compliance with the RVO. If an obligated party does not meet its RVO and if it did not carry a
deficit for the same RVO in the preceding year then it is permitted to carry a deficit into the next year. The
RVO must be satisfied in the subsequent year.
&EPA
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
1.2 What Are All the Characteristics of a RIN?
The RFS1 program used a single 38-character numeric code
to uniquely identify each gallon of renewable fuel produced
or imported. This was represented in the form of
KYYYYCCCCFFFFFBBBBBRRDSSSSSSSSEEEEEEEE. These
characteristics still exist in the new RFS reporting format,
however, parties do not need to reference a specific RIN once
it is the EMTS.
Change in RIN characteristics
The 38-character RIN will not be traded
and tracked in the same form as RFS1.
The following table shows the old 38-digit numeric code and the new equivalent data names that are
reported. The RIN information will still be reported and kept for each batch and RIN trade, but this
information will not be used to create a 38-digit code. (Note: Knowing the new equivalent data names are
not necessary for all the different ways to report) For more information on how these data are reported,
please read Section 5.3, "How Do I Submit Transactions on the EMTS Website?" and Section 6, "How Do I
Report Transactions Using XML Files?"
Table 1-1: Cross-Reference Mapping of the 38-Character RIN to the New Reporting Format
Old Code New Code Example Data
K
YYYY
CCCC
FFFFF
BBBBB
RR
Assignment Code
Production Date
RIN Year
Organization Identifier
Facility Identifier
Batch Number
Equivalence Value
Code that indicates whether the RINs are
assigned or separated. 1 = Assigned to a volume
of fuel; 2 = Separated.
For RIN generation only, the production date will
be reported. During all other RIN transactions,
the RIN Year will be reported.
The public identifier for the organization as
registered with OTAQ.
The public identification number of the facility
registered with OTAQ.
A unique number assigned by the fuel producer.
A multiplier (as per §80.1415), based on the type
of renewable fuel produced, applied to the Batch
Volume that determines the number of RINs
generated per gallon of fuel produced.
(cont.)
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EMTS Transaction Instructions
Table 1-1: Cross Reference Mapping of the 38-Character RIN to the New Reporting Format (cont.)
Old Code
New Code
Fuel Code
Example Data
The renewable fuel code for RINs as defined in
Part M §80.1426. New fuel codes reported for
RFS2 are: 3 = Cellulosic Biofuel; 4 = Biomass-
based Diesel; 5 = Advanced Biofuel; 6 =
Renewable Fuel; and 7 = Cellulosic Diesel.
SSSSSSSS
RIN Quantity
The EMTS will calculate a total quantity from the
volume of fuel reported.
EEEEEEEE
RIN Quantity
The EMTS will calculate a total quantity from the
volume of fuel reported.
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Section 1
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Section 2: What Is EMTS?
In the Renewable Fuel Standard (RFS2) program, EPA
Moderated Transaction System (EMTS) is an
electronic platform that screens the generation and
moderates the transfer of RINs between renewable
fuel producers, importers, exporters, obligated
parties, and RIN owners. EMTS screens submitted
RINs, based on registration information, and provides
a structured environment in which to conduct RIN
transactions.
2.1 How Are RINs Moderated and Screened?
Who should read Section 2:
Section 2 applies to all users who take
ownership of RINs.
What you will find in Section 2:
This section provides an overview of EMTS and
how to submit RIN transactions through the
web interface or XML and review the
transactions processed by EMTS.
EMTS monitors and logs all transactions between registered parties and performs quality assurance checks
for the purpose of preventing discrepancies. Users may submit their transactions individually and in batch
files, accessing EMTS through EPA's Central Data Exchange (CDX).
All RINs are characterized and tracked based on user-supplied company and facility registrations such as
fuel category, production date, and the organization and facility that produced the fuel. EMTS stores and
tracks this data, moderating the life of all RINs used in separating, buying, selling, and retiring RINs.
2.2 What Tasks Can I Do with EMTS?
As an industry user, you may submit generate, separate, sell, buy, and retire transactions through the EMTS
user interface based on your organization's permissions as registered with EPA. Alternatively, XML file
submissions may be ideal for organizations that transact frequently. These batch submissions can be sent
through EPA's Exchange Network in a data flow using the EMTS reporting schema. You may also submit
these files through the EMTS user interface. Your user permissions, as determined by your registration
with EPA in addition to your organization's business activities, will restrict your user capabilities on the
EMTS website.
EMTS provides a variety of services to promote easy and accurate reporting of RIN transactions. Once
EMTS has processed a transaction, the results of that transaction will be placed into your organization's
"RIN Holding Account." You may view your current RIN holdings, along with various other reports, on the
EMTS website. All transactions that you have initiated, or responded to, are available for you to review in
the system. Other EMTS services include providing feedback on any critical errors that were identified in a
batch file, a variety of downloadable reports, notifications regarding your submissions, and access to
support from EPA.
c/EPA
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
2.3 Do I Need to Keep Separate Records of My Transactions?
Though EMTS logs and archives all transactions processed, recordkeeping is still a requirement as per 40
CFR §80.1454. It is important to remember that EMTS is the system for trades and transactions that have
occurred outside of the EMTS system. EMTS will process only trade transactions where the buyer and
seller have already engaged in a transfer of ownership of RINs.
Although EMTS will greatly minimize errors and the occurrence of invalid RINs, EMTS only screens RINs
that are being generated. EMTS will also provide users with an advanced option to specify that they would
not like to buy RINs that are generated by specific producers or importers as RFS is a "buyer beware"
program.
Section 2
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Section 3: What Are the Key Reporting Deadlines?
3.1 When Do I Send in Reports to EPA?
Your organization is required to report quarterly and annual
reports to EPA indicating your RIN holdings, total fuel
volume owned, and annual compliance obligation. In
addition to quarterly and annual reports, you are expected to
send all transactions, except buy transactions, within five
business days of a reportable event such as fuel production.
Only buy transactions get an additional five business days to
submit the information to EMTS. At any time, you may
review your RIN holdings in EMTS to ensure the RINs
recorded match your recordkeeping.
The following figure shows the dates when quarterly and annual reports are due. Dates that appear in the
top half of the timeline indicate the previous year's RFS deadlines. For example, in the year 2011, annual
2010 reports are due by February 28, 2011. Each date or milestone is discussed in detail below.
Who should read Section 3:
Section 3 is of interest to all RIN owners
and obligated parties.
What you will find in Section 3:
The timeline for a typical annual
reporting cycle.
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
2/28
Last Day to
Retire RINs
for RVO
2/28
Annual
Report
Due
5/31
Attest
Engagement
Report Due
I I
January February
March
April May
June July August
September October November
December
2/28 3/31
Quarterly Annual
Report Due Production
Outlook
Report Due
5/31
Quarterly
Report Due
8/31
Quarterly
Report Due
11/30
Quarterly
Report Due
J
1/1 -12/31
Open Transaction Period
for Current Year
Note: EMTS could experience high transaction volumes near due dates. It is recommended that parties
report all transactions to EMTS prior to the deadlines. It is a violation if quarterly or annual transaction
information is not downloaded from EMTS and submitted through DC Fuels by the due date. EMTS will
have reports available within a week of the end of the quarter.
Quarterly Reports
May 31, August 31, November 30, and February 28
EMTS will generate RFS2 RIN reports including your organization's current RIN holdings available for
download at the end of every quarter. All parties have two months in which to review these reports and
submit them to EPA. RFS1 RIN reports must be generated by the organization. (Please see the RFS
reporting web page for more information: http://www.epa.gov/otaq/regs/Juels/rfsforms.htm]
Annual Statement Available for Download
March 1
EMTS will send a notification when the annual statement including a list of RIN batches and the total
number of RINs retired for compliance is available. This statement is for informational purposes only and
does not need to be submitted to EPA. EPA receives all annual compliance data via the RFS0301: 2010
RFS2 Annual Compliance Report, or RFS0302: 2011 RFS2 Annual Compliance Report
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Attest Engagement Report
May 31
RFS requires Attest Engagements to provide regulated parties an independent review of their compliance
with the fuel requirements, including a review of the regulated party's internal systems to monitor and
document compliance. Attest engagements are intended to identify compliance problems to a company, so
the company can implement early remedial actions and prevent the problem from growing into larger
regulatory violations. This report is required to be mailed to EPA by May 31. For more information, please
visit h ttp://www. epa.gov/o taq/regs/fuels/attestengage. h tm.
Open Transaction Period for Current Year
January - December
EMTS is open to receive and process any type of transaction for the current year.
Year End Closing Period
January - February
The first two months of the current year may be used to finalize the buying, selling, and retiring of the
previous year's RINs in order to meet an RVO. Any RINs generated in this time period will apply to the
current year. RINs generated in those first two months cannot be retired for the previous year RVO (i.e.,
2012 RINs cannot be used to meet an RVO for 2011 compliance).
Retire RINs to Meet RVO
February 28
All transactions involving RINs that are being retired to meet an RVO must be completed and reported no
later than February 28, by both parties. Please note, you also must submit your annual compliance report
and retire the necessary RINs on or before February 28.
3.2 What Is the Expected Response Time to Interacting with EMTS?
There are various key dates and response times that stakeholders must be aware of to send transaction
information in a timely manner.
3.2.1 Registration to Use EMTS
All users must register through EPA's registration website to submit files or interact with EMTS.
Please review http://www.epa.gov/otaq/regs/Juels/Juelsregistration.htm for detailed instructions on the
registration process. Per §80.1450 and §80.1452, each party is required to send information to EMTS and
must establish an account with EMTS 30 or 60 days prior to engaging in any RIN transactions, depending
on business activities.
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EMTS Transaction Instructions
In addition, companies that produce a fuel or fuel additive for on-road use must be registered for health
effects under title 40 CFR part 79 Fuels and Fuel Additives Registration (FFARs) prior to manufacture or
import. Depending on the fuel or additive, timelines may vary. These RIN generators will not be
registered to use EMTS until they are registered under title 40 CFR part 79. Please see
http://www.epa.gov/otaq/regs/fuels/ffarsfrms.htm for more information.
3.2.2 Real Time Reporting
RIN generation and RIN transactions are reported in "real time" to EMTS. Users are required to enter the
reportable transactions to EMTS within five business days, or ten business days for buy transactions only,
of the title transfer (buy and sell transactions) or reportable event (generate, separate, and retire
transactions). Real time reporting applies to producers and importers who generate RINs and to any party
that participates in a RIN buy/sell transaction.
3.2.3 Responding to Buy/Sell Transactions
When an organization receives a request for a buy or sell transaction, an authorized submitter for that
organization has ten business days to accept or deny the trade before the transaction will expire. If a
response is not provided within the specified number of days, the transaction will time out and both parties
will be notified.
Remember: Parties are required to submit buy transactions within ten business days of the date on the
PTD and sell transactions within five business days of the date on the PTD per 40 CFR 80.1452(b).
3.2.4 Quarterly and Annual Reports
Users will continue to comply with reporting quarterly and annual reports as established in the RFS
regulation. These reports are submitted to EPA through DC Fuels or alternatively through mail. Additional
information can be found at http://www.epa.gov/otaq/regs/Juels/rfsforms.htm for submitting quarterly and
annual reports to EPA.
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Section 4: How Do I Interact with EMTS?
Users may interact with EMTS in the following ways:
through the submission of batch XML files with the
Exchange Network or the EMTS website, or the use of the
EMTS website to report transactions. This section
provides an overview of these methods. More detailed
instructions can be found in Section 5, "What Can I Do in
the EMTS Website?" and in Section 6, "How Do I Report
Transactions Using XML Files?"
4.1 How Do I Get Started?
Who should read Section 4:
Section 4 applies to all RIN owners.
What you will find in Section 4:
This section provides an overview of the EMTS
system requirements, a summary of what is
needed before transactions can be submitted to
EMTS, and an overview of how transactions can
be submitted and reviewed.
Before you can use EMTS, there are several prerequisites
you need to complete. This section provides information on these steps.
4.1.1 Browser Requirements
If you intend to use the EMTS user interface, you may use one of the following browsers:
• Internet Explorer (Version 7.0 or later); or
• Firefox (Version 2.0 or later).
You must also have internet access and an email account in order to receive notifications from EMTS.
Please note that DC Fuels, the system you will use to submit your quarterly and annual reports, supports
Internet Explorer up to Version 7.0 and does not support Firefox.
4.1.2 Node Requirements
If you intend to submit batch XML files to the Exchange Network you may use either a node or a
node client, or upload files via the EMTS website. The EMTS node only accepts files that meet
Exchange Header 2.0 specifications. Details can be found at the Exchange Network website at
http://www.exchangenetwork.net. You may also find additional information on these requirements in
Section 6, "How Do I Report Transactions Using XML Files?" Information on preparing and submitting XML
files can be found in Section 6 of these instructions as well.
4.1.3 CDX Registration
Access to EMTS requires registration with CDX and OTAQ Fuels.
c/EPA
United States
Environmental Protection
Agency
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4.1.3.1 Obtaining a CDX Account
Every user who intends to use EMTS must first obtain a CDX account If you do not yet have a CDX account,
first navigate to http://cdx.epa.Qov/epa home.asp.
From this page, you should click on the link "If you are new to CDX and wish to register." After continuing
through several pages that include setting up a user account and providing other information, you will be
brought to the "CDX Registration: Add Program" page from which the option "Office of Transportation and
Air Quality Fuels Registration (OTAQReg)" can be selected.
If you already have a CDX account, navigate to the CDX login page a\jhttvs://cdx.eva.Qov/SSL/cdx/loQin.asv.
Once logged in, you should add "Office of Transportation and Air Quality Fuels Registration (OTAQReg)" to
your profile.
Additional information on the registration process can be found at
h ttp://www. epa.gov/o taq/regs/fuels/420bl 0022.pdf
General information regarding fuels program registration can be found at
h ttp://www. epa.gov/o taq/regs/fuels/fuelsregistration. h tm
4.1.3.2 Registering with OTAQ Fuels Programs
Once your CDX user account has been established, you need to be associated with your organization and
identify its business characteristics (e.g., whether the company is a Refiner, Domestic Renewable Fuel
Producer, etc.). This is done through the OTAQ Fuels Programs Registration (OTAQReg) system that should
have been added to your user profile (see Section 4.1.3). You will not be able to interact with EMTS until
this step is completed.
Upon successful log in to My CDX, select "OTAQReg Fuels Programs Registration." This will bring first-time
users to a page with a "New User" link. After a series of pages that request entry of personal and
organization information, you must either select an existing organization (if the organization has
previously registered), or add new company information.
• If you add a new company, then you will need to select the initial role of "Submitter" under the
"User Info" tab in order to perform transactions in EMTS. If you associate with an existing
company, you must select the company's name tab in order to select the initial role of "Submitter."
Without selecting "Submitter" a user will not be able to perform transactions in EMTS.
• You will need to select only the initial role of "Company Viewer" if you do not wish to perform
transactions in EMTS, but you still wish to view information such as RIN holdings.
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• If EPA finds errors in your registration submission, EPA will deny your request and you will need to
restart the process. A list of common errors and the Fuels Registration User Guide may be found at
the following website: http://www.epa.aov/OMS/reas/fuels/fuelsregistration.htm.
Once the information has been submitted, the resulting forms must be printed and mailed to EPA as
instructed. Access to EMTS will only be granted once the submitted documents have been reviewed and
activated by EPA. This process may take several days after all the information on the forms is verified. You
should initiate this process well in advance of the time when access to EMTS is actually needed.
4.1.4 OTAQ DC Fuels
Once the steps described in Sections 4.1.3.1 and 4.1.3.2 have been completed, you will have access to EMTS
and can submit transactions. Completion of the steps described in 4.1.3.1 and 4.1.3.2 will also provide
access to the OTAQ DC Fuels application. This program is used to submit quarterly reports and your annual
statement to EPA. To activate this link, call the CDX help desk and follow the steps outlined in
the "User Manual for CDX/OTAQ Fuels Reporting System -- Phase II." This manual is available at
http://www.epa.gov/otaq/regs/fuels/420b07012.pdf.
4.2 How Does EMTS Process My Transactions?
There are three distinct stages associated with RIN transactions. In the first stage, the user submits the
transaction data to EMTS. The methods by which this can be done are described in Section 4.2.1. In the
second stage, the submitted data is processed by EMTS. The various steps associated with this processing
are described in Section 4.2.2. In the third stage, the user is notified that the transaction has been
processed, and any necessary follow-up is indicated. This is described in more detail in Section 4.2.3.
4.2.1 What Are the Methods for Submitting Data to EMTS?
There are three basic methods for submitting data to EMTS. You can submit your transactions in the EMTS
user interface, or submit an XML file via the EMTS user interface or from your node or node client via the
Exchange Network. Usage instructions for submitting data can be found in Section 5, "What Can I Do in the
EMTS Website?" and in Section 6, "How Do I Report Transactions Using XML Files?"
4.2.2 Submitting Data through the EMTS User Interface
To submit data via the EMTS user interface, log into CDX athttps://cdx.epa.aov/SSL/cdx/login.asp.
Enter your CDX user name and password. Once you are logged into the CDX portal, click the link
"OTAQEMTS: OTAQ EMTS Application." You can review your holding account information and create
transactions. The functions available to you are limited by your organization's business activities as
registered with EPA as described in Section 4.1.3.2.
Section 4
4-3
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EMTS Transaction Instructions
In addition to being able to create RIN transactions, you can also use the EMTS user interface to load XML
files. It is important that any XML files created for uploading into EMTS follow the XML conventions
described in Section 6, "How Do I Report Transactions Using XML Files?"
4.2.3 Submitting Files via a Node
If you wish to submit your XML files to EMTS without interacting with the EMTS user interface, you can
submit your files via a node. A node is a piece of software that allows you to browse for XML files and uses
Web Services to authenticate your CDX account and send XML files over the Exchange Network. Some node
vendors allow the installation of only the node client in lieu of the full node software. If you wish to submit
files via the Exchange Network, but do not want the overhead associated with a full node, you might
consider installing just a node client. Contact the CDX Node support help desk for more information on
node client providers. The node client allows the user to browse for XML files and submit them to EMTS, as
well. For more information on using nodes, see Section 6.
More technical information can be obtained on the Exchange Network website which you can find at
http://www.exchanaenetwork.net/.
4.2.4 What Is the Quality Assurance Process?
Whether you submit batch XML files or create online transactions via the EMTS user interface, all data is
checked for critical errors before it is processed by EMTS. QA checks apply not only to the batch files, but
also to the data entered on the EMTS website.
There are three different ways that your data is checked for errors. These are:
• XML file validation;
• XML batch submissions; and
• EMTS website data entry.
The XML schema has several built-in checks that are applied to the XML files to ensure that the files are
valid and well-formed.
For transactions submitted via a batch XML file, EMTS runs QA checks after the file is retrieved from the
queue. If the file passes the EMTS QA checks, the file is processed. If the file does not pass all of the QA
checks, a notification is sent to the user that the submitted file was denied and that it should be corrected.
No transactions in your file will be processed if any critical errors are identified. You can review a detailed
feedback report about each submitted file on the EMTS user interface to help identify and correct errors.
Checks are also executed when a user enters data via the EMTS user interface. QA checks prevent data
from being submitted if critical errors are discovered on each screen.
Section 4
4-4
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EMTS Transaction Instructions
4.2.5 How Do I Review Notifications?
Notifications to EMTS users will be sent via email. The following are examples of different types of
notifications you might receive from EMTS:
• A file has been received by EMTS.
• A group of files has been processed successfully.
• A group of files has not been processed successfully, and you should go to the EMTS website for
additional details.
• A trade transaction has been initiated, and you should go to the EMTS website to complete the
transaction.
Notifications may be sent immediately, or may be aggregated and sent nightly. You may also receive
notifications regarding deadlines for submitting quarterly and annual reports. Transactional information
will not be sent to you from EMTS due to the fact that some corporate email servers block attachments.
Notifications may instruct you to review or download a report from the EMTS website. Due to the time-
critical nature of some of the notifications, it is important that you check your email on a regular basis. In
most cases email will be sent to all individuals who have registered as submitters for your organization. If
you will be unable to check your email or access the EMTS for any required follow-up actions, consider
having other submitters from your organization perform these tasks. Organizations have the option to
unsubscribe to certain notifications. For more information see Section 5.2.3 "Managing Subscriptions."
Section 4
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EMTS Transaction Instructions
[Thispage intentionally left blank.]
Section 4
4-6
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Section 5: What Can I Do in the EMTS Website?
You can use the EMTS website/user interface
for a variety of purposes, including managing
your RIN transactions and viewing information
about your RINs. This section provides an
overview of the features of the EMTS website,
all of which can easily be accessed via the
EMTS homepage. Please note that all screen
shots of the EMTS website are subject to
change.
Figure 5-1 shows the EMTS homepage.
Figure 5-1: EMTS Homepage
Who should read Section 5:
Section 5 applies to all users that intend to view or
submit RIN transactions using the EMTS website.
What you will find in Section 5:
This section provides an overview of how RIN holdings,
organization information, and reports can be viewed,
and how transactions can be reported using the EMTS
website.
Home | Contact Us \ Help | Logout
Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
Good Afternoon Jordan Grey,
^ To view pending transaction details, click the following link: View Trades
E^f* You can submit your XML file here, Submit File
* Transaction Bin
Your organization has 0
un-subrnitted
transactions in the
transaction bin,
Viexv Transaction Bin
> Organizations
» Announcements
Contact Us \ Help
5.1 Where Can I Find Information Specific to My Organization?
EMTS stores information about your organization as it is registered with OTAQReg Fuels Programs
Registration through CDX. This information includes the business activities in which your organization is
engaged (e.g., Refiner, Producer, Importer), your facilities, the fuels you can produce, the processes and
feedstocks you can use, and any co-products that may be produced. In addition, you will have a role which
defines your ability to submit or view your organization's RIN holdings. Additional information regarding
xe/EPA
United States
Environmental Protection
Agency
5-1
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EMTS Transaction Instructions
your current RIN holdings and various reports on transactions involving your organization is available on
the EMTS website.
5.1.1 Viewing Your Organization Information
One of the main menu items on the EMTS website is "Organization." This link has several items of interest
to you, including:
• Your organization's address;
• Your organization's business activities;
• A list of all users affiliated with your organization;
• The name and location of your organization's facilities; and
• The registered fuel, fuel category, process, feedstock, and co-product for each facility.
To update this information, you must edit the information in OTAQReg Fuels Programs Registration
through CDX.
If you are an agent and represent several organizations, you will first see a list of all of the organizations
you have been approved to represent. You must choose "View Registered Data" from the drop-down menu
in the "I want to..." column to access information specific to the organization. You may also choose "Select
Organization" from this drop-down menu. Once you select an organization from the list, the activities and
reports on the EMTS website will be limited to that organization. You may switch to another organization
in your list at any time; however, EMTS will not combine transactions from one user for many
organizations in a report or data entry screen.
Figure 5-2 shows where to selectyour organization.
Section 5
5-2
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EMTS Transaction Instructions
Figure 5-2: View Organizations
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Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
View Organizations
Please choose Select Organization to enter data as an organisation or View Registered Data to review the data in OTAQ Registration,
Organization Identifier
4669
4671
4672
4670
Organization Name
RAP Inc.
RAP Inc. GEN Biodiesel
RAP Inc. GEN Cellulosic
RAP Inc. GEM EtOH
Registered Data
Williams, Arizona
Fresno, California
Greene, Mississippi
Bayonne, New Jersey
Export options; CSV I Excel I PDF
Figure 5-3 shows the information page for one organization.
Section 5
5-3
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EMTS Transaction Instructions
Figure 5-3: Organization Information
MS]?
Home ! Contact Us | Help ] Logout
Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
View Registered Data
Select facility to view registered data for that facility.
Organization Name:
Address:
Bonded:
RAP Inc. GEN Biodiesel (4671)
1186 Lotus Lane
Fresno, California
No
Business Activities
Business Activity Code
Business Activity
Domestic Renewable Fuel Producer
Users
Facilities
Facility Name
Public Facility ID
Valley Medico Plant 10
Valley Medico Plant 12
46710
46711
Fresno, California
Fresno, California
« Back
5.1.2 Viewing Your Organization's RIN Holding Account
Your organization has a single "RIN Holding Account" to which you and any other registered users for your
organization have access. The RIN Holding Account contains all of the current RIN holdings and provides
access to holdings that were previously in your RIN Holding Account, such as RINs that you have sold or
RINs that you have retired. The RIN Holding Account data are aggregated showing your total RINs grouped
by fuel code (D code), assignment code, and RIN year. The total number of RINs for a row of data is broken
down into four categories: Available, Pending, Reserved, and Locked. Various sorting and filtering
capabilities allow you work with this RIN data. For example, you can arrange data to compare the total
number of RINs EMTS has processed in your account to your own off-line transaction records. These data
are also available for download in a variety of formats.
Figure 5-4 shows the RIN Holding Account
Section 5
5-4
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EMTS Transaction Instructions
Figure 5-4: RIN Holding Account
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Logged in as: JordanGrev for RAP Inc. GEN Biodiesel (4671)
Manage RIN Holdings
Select one of the transaction actions for each fuei year and assignment for your RIN Holdings.
RIN Holdings for:
RAP Inc. GEN Biodiesel
f Transaction Bin
•» Organizations
Selected Organization; RAP Inc.
GEN Biodiesel (4671)
Select a Different Organization
*• Quick Search
Fuel (D Code) ^
Biornass-Based Diesel (D=4)
Biomass-Based Diesel (D-4)
Renewable Fuel (D-6)
Renewable Fuel (D-S)
RIN Year <
2010
2010
2010
2010
"| Assignment <
Assigned
Separated
Assigned
Separated
M Available
5100
1200
3200
3000
Pending
500
0
0
0
Reserved
0
0
1300
0
| Locked
0
0
o
0
Total , I want to...
5600
1200
4500
3000
-Select-
-Select-
-Select-
- Select-
^H
v-| Go
v| Go
v|| Go
,»| Go
Export options; Cbv Excel I PDF
Generate
Buy
5.1.3 Viewing RIN Batch Details
For any combination of Fuel, RIN Year, and Assignment in your RIN Holding Account, you can view RIN
batch details by selecting "View Details" from the drop-down menu. The resulting page will display all RIN
batches your organization owns for the selected criteria (see Figure 5-5). You may view additional details
of each batch by selecting "View Details" once again. Doing so will give you access to information such as
fuel category code, equivalence value, originating organization, and facility. From the Batch Details page,
you may also select "Transaction" next to any batch of RINs to see the details of the transaction that
resulted in those RINs entering your RIN Holding Account This page will only display the most recent
transaction involving that batch of RINs.
Section 5
5-5
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EMTS Transaction Instructions
Figure 5-5: RIN Holding Account
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Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (1671)
View RIN Holding Details
» Transaction Bin
Please select a batch of RINs to either view the details of that batch or lock/unlock the RINs.
Your organisation has 0
un-suhmitted
transactions in the
transaction bin,
msaction Bin
Originating Organization:
Originating Facility:
Submission Start Date:
Submission End Date:
Transaction ID:
RIN Status:
Results Per Page:
Clear
(MM/DD/YYYY)
(MM/DD/TYrY)
- Select-
RIN Holding Details
mass-Based
sel (D=4)
mass-Based
se| (D=4)
mass-Based
sel (D=4)
Displaying records 1 through 3 of 3 total.
2011 Assigned
2011 Assigned
2011 Assigned
Export options: CSV I Excel I PDF
RAP Inc, GEN Valley Medico
Biodiesel (4671) Plant 12 (46711)
RAP Inc, GEN Valley Medico
Biodiesel (4671) Plant 12 (46711)
RAP Inc. GEN Valley Medico
Biodiesel (4671) Plant 12 (46711)
14,000
500
8,500
00543
00543
01230
02/04/2011 02/07/2011 20
02/04/2011 02/07/2011 23
02/07/2011 02/07/2011 22
Available
Pending
Available
--Select-- v|[ Go |
| - Select - v | Go |
--Select-- v|| Go |
« Back
5.2 Where Can I Find Information on My Submitted Data?
There are two methods for submitting transactions to EMTS (by batch file submission or by online entries
on the website). You can review the status of transactions submitted under each method as EMTS
processes them.
Section 5
5-6
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EMTS Transaction Instructions
5.2.1 Viewing Node Submissions and Feedback Results
You may view a log of all files that have been submitted to EMTS by you or other submitters representing
your organization. This log can be accessed by navigating to "Submissions" on the main menu and then
selecting "View Node Submissions." This page displays the date and time XML files were submitted, CDX
and Submission IDs, the file names, and whether the files were successfully processed. You can also view
detailed information regarding any submitted file and the results of the QA checks that were applied to the
contents of the file using the drop-down menu in the "I want to..." column. If the file was processed
successfully, no QA Feedback report is produced. Only files that have critical errors will have a feedback
report.
Figure 5-6 shows a log of all file submissions from one organization to EMTS.
Figure 5-6: View Node Submissions
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Lugged in as: JordanGrey fur RAP Inc. GEN Cellulosic (4672)
View Node Submissions
The following are all of the files submitted on behalf of your organization RAP Inc. GEN Cellulosic. Choose the View
Details option in the I want to.,, column of the grid below to see more information about a submission and the list of
transactions within the submission. You will be able to view transaction details from the submission details page.
NOTE: The time it takes to process and load an XML file submission into EMTS will vary depending on current system
activity.
r- Transaction Bin
- Organizations
Selected Organization: RAP Inc.
GEN Cellulosic (4672)
Select a Different Organization
CDX Submission ID:
Submission ID:
Status:
Submission Date (Begin):
Submission Date (End):
Results Per Page:
-Select-
(MM/DD/TYYY)
(MM/DDATfY)
Clear
Filter
XML File Submissions for: RAP Inc. GEN Cellulosic Number of Files Received: 2
Displaying records 1 through 2 of 2 total.
_015b6cb9-cOa8-2a6a-30e5-565768d58e2c 50
_0159749b-cOa8-2a6a-0838-f7b305bl7bab 49
lission ID ^ Submission Dat
2/7/11 1:21 PM
2/7/11 1:19 PM
4672-Sell_to_4671.zip Grey, Jordan Failed
4672-Buy.sip Grey, Jordan Processed
Export options: CSV I Excel I PDF
Section 5
5-7
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EMTS Transaction Instructions
5.2.2 Viewing Web Submissions
Under the Submissions menu, you have the option to "View Web Submissions." Here you will find all
transactions that your organization has entered and submitted via the EMTS website. For each transaction
you will see the submission ID, submission date, submitter, and current status. You may also view the
details of any of your web transactions.
Figure 5-7 shows a log of all web transactions from one organization to EMTS.
Figure 5-7: View Web Submissions
s
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Logged in as; JordanGrey for RAP Inc. GEN Biodiesel (4671)
View Web Submissions
The following are all of the submissions from the Transaction Bin for your organization RAP Inc. GEN Biodiesel.
Choose the View Details option in the I want to... column of the grid below to see more information about a
submission and the list of transactions within the submission, You will be able to view transaction details from the
submission details page.
» Transaction Bin
Your organisation has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
> Organizations
CDX Submission ID:
Submission ID:
Submission Date (Begin):
Submission Date (End):
Results Per Page:
(MM/DDATTY)
(MM/DD/mY)
Clear
Filter
Web Submissions for:
RAP Inc. GEN Biodiesel
Number of Submissions: 4
Displaying records 1 through 4 of 4 total.
Submission ID
24
23
22
21
^1 Submission Date
2/7/11 3:16 PM
2/7/11 3:15 PM
2/7/11 3:15 PM
2/7/11 3:14 PM
Grey, Jordan
Grey, Jordan
Grey, Jordan
Grey, Jordan
^ Submission Status ^ I want to... I
Processed
Processed
Processed
Processed
View Details v|| Go |
View Details vj Go
View Details v| Go
View Details v| Go
Export options: CSV I Excel I PDF
Section 5
5-8
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EMTS Transaction Instructions
5.2.3 Managing Subscriptions
Various reports, documents, and notifications are available on the EMTS website that includes information
about data submitted for your organization. EMTS allows you to manage subscriptions to reports,
documents, and notifications. You may select the frequency, delivery method, and format that best suit
your organization's needs. Please note that subscriptions are managed on the organization level; any
submitter in your organization may subscribe or unsubscribe all users to a report, notification, or
document For more information on the types of reports and documents available, see Section 7, "How Can
I Access Information about My Organization's RINs?"
Figure 5-8 shows the Manage Subscriptions page.
Section 5
5-9
-------
EMTS Transaction Instructions
Figure 5-8: Manage Subscriptions
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Logged in as: TutorialDemo for Demo Organization 1 (20)
Manage Subscriptions
* Transaction Bin
Select subscription and click Go to subscribe or unsubscribe.
Your organization has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
Subscription Name
Pending Trades
Pending Trade Details
RIN Holdings
Transaction History
Expired Trades
Completed Trades
Processing Failure
Daily Processed Document Summary
Notification of Pending Trades
Blocked Party - Initiated Trade Not Processed
Submission Level Failure
Reminder - Outstanding Initiated Trade Transactions
Trade Expired
Initiated Trade Cancelled
Initiated Trade Denied
t| Type -
Document
Document
Document
Document
Document
Document
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Subscribed
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
No
No
No
No
No
No
i Last Updated [ Updated By
09/03/2010 TutorialDemo
09/03/2010 Tutorial Demo
09/03/2010 Tutorial Demo
09/03/2010 Tutorial Demo
09/03/2010 TutorialDemo
09/03/2010 Tutorial Demo
09/03/2010 Tutorial Demo
I want to...
Manage Subscription ; v ||
Manage Subscription >*•
Manage Subscription v
Manage Subscription "
Manage Subscription v
Manage Subscription v
Manage Subscription v l|
Manage Subscription "||
Manage Subscription *
Manage Subscription v
Manage Subscription v
Manage Subscription v
Manage Subscription v-
Manage Subscription •*
Manage Subscription v
•
Go
Go
Go
Go
Go
Go
Go
Go |
Go
Go
Go
Go
Go
Go
Go
5.2.4 View Reports
After you have subscribed to a report or document, it can be downloaded from the "View Reports" page
found under the "Reports" menu. There you will be able to see the frequency you have selected for each
report or document and the last run time for each document. You may choose "Download Document" to
get the most recent version or "View All Documents" to see previously generated versions of that document
or report. Figure 5-9 shows the View Reports page.
Section 5
5-10
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EMTS Transaction Instructions
Figure 5-9: View Reports
Home | Contact Us | Help | Logout
Logged in as: TutorialDemo for Demo Organization 1 (20)
Zy^ljg*IjI|^ 1 , Transaction Bin
For the desired document, please select 'Download Document'. To view all available versions of
View All Documents',
Document Name ^
Pending Trades
Pending Trade Details
RIN Holdings
Transaction History
Expired Trades
Completed Trades
RFS2 EMTS RIN Generation
Report
RFS2 EMTS RIN Transaction
Report (Buy, Sell, Separate,
Retire)
RFS2 EMTS Activity Report
(Assigned RINS)
RFS2 EMTS Activity Report
(Separated RINS)
RFS2 EMTS Transaction Error
Report
Document Description ^
This document lists all trades that are in a pending state,
Pending trades are buy or sell transactions for which the trading
party has not yet submitted a matching transaction.
This document lists all pending trades for your organization. It
includes batch detail information for each transaction.
This document lists the current aggregate total RIN Holdings for
an organization grouped by fuel code, assignment and RIN year,
A document including all generate, separate, buy, sell and retire
transactions submitted by your organization through XML files or
online transactions during the last 14 days,
This document lists all transactions that will expire within 1
business day as well as all trades that have expired in the last
10 days,
This document lists all trades that were completed (i.e,, no longer
pending) overthe last 10 days.
The quarterly RFS2 EMTS RIN Generation Report.
The quarterly RFS2 EMTS RIN Transaction Report (Buy, Sell,
Separate, Retire).
RFS2 EMTS Activity Report (Assigned RINS)
RFS2 EMTS Activity Report (Separated RINS)
RFS2 EMTS Transaction Error Report
a document.
Frequency
3 per day
3 per day
Daily
Daily
Daily
3 per day
Quarterly
Quarterly
Quarterly
Quarterly
Quarterly
select jC^rr/3^ ^our organization has 0
\\i un-subrnitted
\^^\J transactions in the
transaction bin.
View Transaction Bin
Last Run
Time
09/03/2010
3:54:13 PM EOT
09/03/2010
3:54:13 PMEDT
09/03/2010
3:54:10 PMEDT
09/03/2010
3:54:04 PM EOT
09/03/2010
3:54:32 PM EDT
09/03/2010
3:54:00 PMEDT
09/03/2010
3:18:49 PMEDT
09/03/2010
3:19:26 PM EDT
09/03/2010
3:20:06 PM EDT
09/03/2010
3:20:33 PM EDT
I want to...
Download Document QC
ViewAII Documents
-Select- v|| Gc
-Select- v| Gc
-Select- v|| Gc
-Select- v|| Gc
-Select- v| Gc
-Select- v| Gc
-Select- v|[ Gc
-Select- v| Gc
^o valid actions
1
:
Export options: CSV 1 Excel 1 PDF
5.3 How Do I Submit Transactions on the EMTS Website?
You can use the EMTS website to report any type of RIN transaction for which you have permission. Based
on the business activities your organization registered with the OTAQReg Fuels Programs Registration,
some transactions may not be available to you. See Appendix D, "Business Activities by Transaction Type,"
to see what transactions you can perform based on your role and your organization's business activities.
5.3.1 The Transaction Bin
Any transaction can be created from your "RIN Holding Account" page. As you create a transaction, the
RINs in your holding account are placed in "reserve" so they cannot be used by other transactions. Your
RIN Holding Account will show the status of your RINs, indicating how many are available for transactions
and how many are reserved by transactions you have created during your web session. As you create
transactions, the RINs are placed in a "Transaction Bin" where they will be stored temporarily until you are
Section 5
5-11
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EMTS Transaction Instructions
ready for EMTS to process these transactions. Your Transaction Bin will not be cleared until you are ready
to review, confirm, and submit these transactions. At any time you can review the list of transactions in
your Transaction Bin and remove a transaction. However, you cannot edit a transaction in the Transaction
Bin; you must remove it and then create a new transaction.
If you exit EMTS or close your browser prior to submitting Submitting Transactions:
the transactions in your Transaction Bin, these transactions You have five business davs to submit
will remain in a reserved state for five business days or until a transaction' after which time V°ur
. . .1 i .. , i .. .1 if transaction will be cleared from the
you return to the website and submit or remove them. If you
do not submit these transactions within five business days,
EMTS will automatically remove them from your bin and "un-
reserve" the RINs in your RIN Holding Account. For this reason, it is important that you complete your
transactions as soon as possible to avoid loss of any transaction data that you have been working on during
multiple web sessions.
Any submitter in your organization has the same permission to manage transactions for your RIN Holding
Account It is possible for you to create a transaction and have another person in your organization review,
confirm, and submit the transaction.
Figure 5-10 shows the Transaction Bin.
Section 5
5-12
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EMTS Transaction Instructions
Figure 5-10: Transaction Bin
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Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
Transaction Bin
The last transaction submitted for RAP Inc. GEN Biodiesel (4671) through the EMTS website was submitted by JordanGrey
on Jun 1, 2010 at 3:30:31 PM.
^ Organizations
Selected Organization: PAP Inc.
GEN Biodiesel (4671)
Select a Different Organization
Generate Transactions
Production Date
06/03/2010
1 RIN Year
2010
| Fuel Category
Non-ester renewable diesel
1 Fuel (D Code)
Biomass-Based Diesel
Volume
3000
Quantity Equivalence Value I wai
5100 -Select-
tto...
v.| Go
Buy Transactions
Transaction Date RIN Year Fuel (D Code) Quantity Assignment \ Trading Partner
There are no buy transactions.
Separate Transactions
| RIN Year
2010
2010
| Fuel (D Code)
Renewable Fuel
Renewable Fuel
Quantity
1300
1200
Volume
1300
1200
Reason Code I want to...
Use as Heating Oil or Jet Fuel
Designation of renewable fuel as transportation fuel
-Select- y||
-Select- v||
••
Go
Go
Sell Transactions
Transaction Date RIN Year I Fuel (D Code) Quantity Assignment I Trading Partner
06/07/2010
Biornass-Based Diesel 370D
Assigned
Biodiesel Company -Select— i,v|| Go
Retire Transactions
Fuel (D Code)
There are no retire transactions.
Figure 5-11 shows how to confirm and submit the transactions from the Transaction Bin.
Section 5
5-13
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EMTS Transaction Instructions
Figure 5-11: Confirm and Submit
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Confirm and Submit
*• Transaction Bin
I confirm that the information shown is a correct and accurate account of the transaction(s) that have taken place.
Your organization has 4
un-submitted
transactions in the
transaction bin,
View Transaction Bin
Transactions
Transaction
Separate
Generate
Separate
Sell
| Fuel(D Code)
Renewable Fuel
Biomass-Based Diesel
Renewable Fuel
Biomass-Based Diesel
I RIN Year ' Assignment
2010
2010
2010
2010
Assigned
Assigned
Assigned
Assigned
Quantity 1
1300
5100
1200
3700
«Back || Confirm Submit »
Available Codes:
Available codes will be determined
based on your organization's
registration information.
5.3.2 How Will EMTS Assist with Data Entry and Screening?
Whenever possible, EMTS will auto-fill information into your
transaction data entry form. For example, the fuel type that you
can generate is limited based on your registered processes and
feedstocks; therefore the choices available in your drop-down
data entry box will be limited by your registration information.
For this reason, it is imperative that your registration with EPA be
up-to-date. The choices that your organization is not registered
for will be grayed out.
Quality assurance checks are built into each page and assure valid data entry. In addition, available code
values may be restricted based on business rule checks. For example, unless you are a Foreign Renewable
Fuel Producer or a Renewable Fuel Importer, you will not be given the option to select "Import Volume
Correction" as a reason code in a retire transaction.
Figure 5-12 shows a submission that has failed quality assurance checks.
Section 5
5-14
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EMTS Transaction Instructions
Figure 5-12: QA Check Failure
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Generate RINs - Report Fuel
QA Check Errors
* 3022: The RIN quantity is not equal to the product of batch volume and the allowed equivalence value (1.7),
Based on supplied criteria the RIN quantity should be 680D.
"
| Report Fuel
"Fuel (DCode):
k Production Process:
k Production Date:
» Fuel Category:
Identify RINs
: Batch Volume:
Denaturant Volume:
Equivalence Value:
* Quantity of RINs:
Biomass-Baseci Diesel (DM) v
Hydrotreatinq, Dedicated Renewable Biomass Facility(200) v
06/03/2010
(Mt'VDD/YrYY)
I Non-ester renewable diesel (40)
•ILIIII!
(Gallons)
| Includes Denaturant Volume.
(Gallons)
I Ethanol and Cellulosic Ethanol Only.
4000
I Batch Volume multiplied by Equivalence Value.
^ Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
5.3.3 Can I Submit Multiple Transactions for the Same Organization?
There is no restriction on the number of transactions that you can add to the Transaction Bin, provided
they are originated on behalf of a single organization and that organization has sufficient RINs in its RIN
Holding Account Multiple transactions for the same organization can be entered, reviewed, and submitted
at one time. If you are an agent and are reporting on behalf of several organizations, you may only submit
transactions for one organization at a time.
5.3.4 Can I See a Record of All My Submitted Transactions?
EMTS will keep active logs of all of your submitted transactions. To access a previously submitted
transaction, you can either find the actual file that was submitted and review the contents of that file under
the "Submissions" menu, or you can view the detailed Transaction History document, which provides
information about the transactions your organization has participated in within the last 14 days.
Section 5
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EMTS Transaction Instructions
5.3.5 What Happens to My RINs after the Time Period Expires?
If you have initiated a sell transaction, and RINs have been placed on reserve for the pending buy
transaction, the buyer has ten business days to complete the pending trade before expiration. If the buyer
fails to do so, your transaction will expire, and RINs are un-reserved and available for you to use in other
transactions. Remember, you must submit transactional information within five days of the transfer date
as specified on the Product Transfer Document (PTD).
EMTS will also periodically clear your Transaction Bin, meaning that any transactions that you have
entered but not yet confirmed will be lost. Once you place a transaction in your bin you have five days in
which to confirm the transaction before EMTS will remove it from the bin. However, parties are required
to send transactional information within five days of the transfer date or reportable event per §80.1452,
except for buy transactions, which must be submitted within ten business days of the transfer date.
Lastly, at the end of a compliance period, RINs that were produced two years before the beginning of the
new trading period will expire. For example, RINs produced in 2010 will expire immediately after
February 28, 2012, and all transactions should be completed by that time.
5.4 Creating Transactions
EMTS requires specific data for all transaction types: generate, separate, retire, sell, and buy.
5.4.1 What Information Is Required to Generate RINs?
The following information is required to generate RINs as a Producer:
• The type of fuel produced;
• The code that specifies the process used to create the renewable fuel;
• The date the renewable fuel was produced;
• The volume of renewable fuel produced;
• The volume of denaturant added to the renewable fuel (ethanol only);
• The number of RINs associated with the renewable fuel;
• The facility ID;
• The batch number;
• The codes for all feedstocks used to produce the renewable fuel;
• The volumes of all feedstocks used to produce the renewable fuel;
• The units of measure for all feedstock volumes;
• Affirmation that each feedstock meets the definition of renewable biomass; and
• The codes for all co-products produced along with the renewable fuel.
Figure 5-13 shows how to report information about the fuel for which RINs are being generated.
Section 5
5-16
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EMTS Transaction Instructions
Figure 5-13: Generate RINs - Report Fuel
If
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Generate RIMs - Report Fuel
Enter the fuel (D Code), batch characteristics and quantity of RINs generated. The fuel and production process must be
registered with OTAQREG Fuels registration before reporting fuel.
| Report Fuel
* Fuel (D Code):
* Production Process:
* Production Date:
* Fuel Category:
Renewable Fuel (D-6) v
Dry Mill, Biomass Fired (Corn Oil Fractionation, Corn Oil Extract v-
106/07/2010_
Ethanol (10)
-
| Identify RINs
* Batch Volume:
Denaturant Volume:
Equivalence Value:
* Quantity of RINs:
(Gallons)
250
Includes Denaturant Volume.
1 Ethanol and Cellulosic Ethanol Only.
(Gallons)
1.0
12000
Batch Volume multiplied by Equivalence Value.
| Identify Production Source
Originating Organization: RAP Inc. GEN EtOH
* Originating Facility: Allied Terminals Inc (16700) yj
* Batch Number:
Additional Information:
5083
* = Required Fieid
« BIN Holdings
Report Feedstocks »
f Transaction Bin
Your organization has 0
un-subrnitted
transactions in the
transaction bin,
View Transaction Bin
Figure 5-14 shows how to report feedstocks in a generate transaction.
Section 5
5-17
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EMTS Transaction Instructions
Figure 5-14: Generate RINs - Report Feedstocks
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Generate RINs - Report Feedstocks
Report one or more feedstocks used for the generation of the fuel,
= Required Fieid
Feedstock Volume Measure Additional Information Renewable Biomass i
Starch - Corn 6800 Cubic Feet Yes | Remove |
| Report Feedstocks
* Feedstock(Code):
» Volume:
» Unit of Measure:
Additional Information:
d Does this feedstock mee
-Select-
-Select-
t the definition of renewable biomass in 40 CFR 80.1401?
j Add |
« Report Fuel Report Co-products »
' Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
-^ Report Fuel
Report Feedstocks
5.4.1.1 How Do I Generate RINs as an Importer?
Additional information is required if you are generating RINs as an Importer:
• The Facility to which the fuel was imported;
• The Organization that produced the fuel; and
• The Facility where the fuel was produced.
It is important to note that when generating as an Importer, all fuel, fuel category, process, and feedstock
codes are available for selection. However, the selections you make must be registered for the foreign
facility that you specify in the transaction.
Figure 5-15 shows how to generate RINs as an Importer.
Section 5
5-18
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EMTS Transaction Instructions
Figure 5-15: Generate RINs (as an Importer)
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Generate RINs - Report Fuel
Enter the fuel (D Code), batch characteristics and quantity of RINs generated, The Generate Facility ID entered must be
registered for the Process, Fuel (D Code), Fuel Category, and Feedstock selections, otherwise QA checks will prohibit RIN
generation.
Identify RINs
* Batch Volume:
Denaturant Volume:
Equivalence Value:
* Quantity of RINs:
Includes Denaturant Volume.
(Gallons)
(Gallons)
J Ethanol and Cellulosic Ethanol Only.
I Batch Volume multiplied by Equivalence Value.
Identify Production Source
Originating Organization: RAP Inc. GEN Biodiesel
* Originating Facility: | —Select—
1 Generating Organization:
* Generating Facility:
* Batch Number:
Additional Information:
This is the Import Facility.
I This ts the Foreign Producer.
I This is the Foreign Facility.
= Required Field
^ Transaction Bin
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* FueKD Code):
* Production Process:
* Production Date:
* Fuel Category:
| Renewable Fuel (D-6)
-Select-
P
(MM/DDAW-)
-Select-
-
« RIN Holdings
Report Feedstocks »
Section 5
5-19
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EMTS Transaction Instructions
5.4.1.2 How Do I Report Equivalence Value?
You are not required to report an equivalence value. EMTS will automatically calculate the equivalence
value based on the type of fuel for which you are generating RINs. The number of RINs you are allowed to
generate for a specific fuel type will be determined by the volume of the batch of fuel multiplied by the
equivalence value. EMTS checks that the RINs you generate do not exceed your fuel volume by the
equivalence value multiplier. If you report an equivalence value, EMTS will re-calculate and check this
value. The equivalence values (multipliers) are as follows:
Non-cellulosic Ethanol = 1.0
Biodiesel (mono-alkyl ester) = 1.5
Non-ester Renewable Diesel = 1.6 or 1.7
Cellulosic Ethanol = 1.0
Butanol = 1.3
Biogas = 1.0
Electricity = 1.0
Renewable Heating Oil = 1.1,1.2, or 1.6
5.4.2 What Information Is Required to Separate RINs?
The following information is required to separate RINs:
• The number of RINs being separated;
• The volume of fuel associated with the RINs being separated;
• The renewable fuel code (D code);
• A code which specifies the reason for the separate transaction; and
• The year the RINs being separated were generated.
Figure 5-16 shows how to separate RINs.
Section 5
5-20
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EMTS Transaction Instructions
Figure 5-16: Separate RINs
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Separate RINs - Identify RINs
Identify the RINs for separation by entering the required information below.
Document Type
TT
There are no documents,
| Add Document Information
Document Type:
Document Identification:
| Identify RINs
* Fuel (D Code):
• RIN Year:
* RIM Quantity:
* Batch Volume:
* Reason for Separation:
Additional Information:
Renewable Fuel (D-6)
2010
52QO
5200
(Gallons)
Use as Heating Oil or Jet Fuel (60)
= Required Field
« RIN Holdings
Advanced Options »
^ Transaction Bin
Your organization has 0
un-subrnitted
transactions in the
transaction bin.
/ Transaction Bin
Advanced RIN Selection (Optional)
5.4.3 What Information Is Required to Retire RINs?
Depending on your organization's business activities you may choose to retire RINs for compliance or for
other reasons. From the RIN Holdings page, select either "Retire (Obligation)" or "Retire (Other)" from the
drop-down menu. If you have multiple business activities that allow you to retire RINs for compliance then
you will see these activities in the drop-down beneath the "Retire (Obligation)" header.
Figure 5-17 shows how to select the appropriate Retire wizard from the RIN Holdings page. Please note
that the Retire "as Refiner" wizard will not be available until an update is made to the OTAQReg: Fuels
Programs Registration application. This functionality will be available in a future release of EMTS.
Section 5
5-21
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EMTS Transaction Instructions
Figure 5-17: Select a Retire Option
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Manage KIN Holdings ^EEE JHffilifflB
Select one of the transaction actions for each fuel year and assignment for your RIN Holdings,
RIN Holdings for:
| Fuel (D Code)
Biornass-Based Diesel (D
//T^x Your organization has 0
^\1 un-subrnitted
^^\J transactions in the
transaction bin.
View Transaction Bin
• > Organizations
fr Quick Search
RAP Inc. GEN Biodiesel
^| RIN Year ^| Assignment ^| Available | Pending | Reserved | Locked [ Total | [want to... |
=4) 2010 Assigned 5500 4450 0 0 9950 -Select-
Biomass-Based Diesel (D-4) 2010 Separated 1200 000 1200 E^Seler^^ [v
Renewable Fuel (D=6)
Renewable Fuel (D=6)
Export options: CSV | Exc
Generate
- Select -
2010 Assigned 2000 DO 0 2000 View Details
2010 Separated 5500 ODD 5500 „
OUy
3l | PDF
3e ,
Sell
Retire (Obligation)
Go
Go
Go ]
Go I
Buy | •SBESSM 1
as Exporter
as Refiner
Retire (Other)
The following information is required to retire RINs for compliance:
• The number of RINs being retired;
• The renewable fuel code (D code);
• The year the RINs being retired were generated; and
• The compliance level at which you are retiring.
Figure 5-18 shows how to retire RINs for compliance as an Importer.
Section 5
5-22
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EMTS Transaction Instructions
Figure 5-18: Retire RINs (Obligation)
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Retire as Importer - Identify RINs (Obligation)
Identify the RINs for retirement by entering the required information below,
| Identify RINs
* Fuel (D Code):
* RIN Year:
Assignment:
* RIN Quantity:
Reason for Retire:
Compliance Year:
Additional Information:
Biomass-Based Diesel (D=4) v'|
2010
Separated
Demonstrate annual compliance
2010
' = Required Field
Document Type
There are no documents.
| Add Document Information
Document Type:
Document Identification:
•» Transaction Bin
Your organisation has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
Identify RINs (Obligation)
Advanced RIN Selection (Optional)
The following information is required to retire RINs for reasons other than compliance:
• The number of RINs being retired;
• The renewable fuel code (D code);
• A code which indicates whether the RINs being retired are assigned or separated;
• The year the RINs being retired were generated; and
• A code which specifies the reason for the retire transaction.
Figure 5-19 shows how to retire RINs for reasons other than compliance.
Section 5
5-23
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EMTS Transaction Instructions
Figure 5-19: Retire RINs (Other)
f
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Retire RINs - Identify RINs (Other)
id
sntify the RINs for retirement by entering the required
nformation below.
* Fuel (D Code):
* RIN Year:
* Assignment:
* RIN Quantity:
Batch Volume:
* Reason for Retire:
Additional Information:
Biomass-Based Diesel (DM) v
2010
Assigned v
(Gallons)
Batch Volume is required for all 'Assigned' RINs and for retire reasons ±0, 20,
40, and 60,
-Select-
Additional Information s required for retire reasons ID, 20, 50, 60, and 70.
* = Required Field
Document Type
There are no documents.
| Add Document Information
Document Type:
Document Identification:
•* Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin,
View Transaction Bin
Identify RINs (Other)
« RIM Holdings I [Advanced RIN Selection »|
5.4.3.1 What Happens to My RINs When I Retire for Compliance?
After you retire RINs for compliance, you will still be able to view these RINs in your RIN Holdings
(History) but you will be unable to use these RINs for any future transactions. Should you find an error or
miscalculation in the number of RINs you retired, you should contact EPA to resolve the issue.
To view aggregate information about the RINs you have retired for compliance, select "Compliance Data"
from the Reports menu.
Figure 5-20 shows how to view aggregate compliance data.
Section 5
5-24
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EMTS Transaction Instructions
Figure 5-20: View Aggregate RINs Retired for Obligation
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View Aggregate RINs Retired for Obligation
The following grid displays the number of RINs your organization has retired for obligation.
» Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin,
View Transaction Bin
* Organizations
t Quick Search
Fuel (D-Code)
Advanced Biofuel (D=5)
Biomass-Based Diesel (D-4)
Renewable Fuel (D=6)
Export options: CSV I Excel I PDF
2010
2010
2010
2010
2010
2010
Aggregated Importer
Aggregated Importer
Refinery by Refinery
Valley Medico Plant 12 (46711)
34000
71500
39000
Section 5
5-25
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EMTS Transaction Instructions
5.4.4 What Information Is Required to Report RIN Trades?
RIN Trades:
You must Accept or Deny a pending
trade within ten business days or EMTS
will cancel the trade.
The information required for a RIN trade will differ
somewhat depending on whether you have initiated the
trade through a sell transaction, have accepted an invitation
to buy, or have initiated the trade through a buy transaction.
The preferred business process is for the seller to initiate the
transaction by preparing an offer to sell first, followed by the
buyer accepting the offer. Trades must be responded to
within ten business days or EMTS will expire the trade and notify both parties. In all cases, the actual
purchase, sale, and transfer of ownership of the RINs will have occurred outside of EMTS. You must send
all trade information within five business days of the transfer date pursuant to 40 CFR 80.145 2 (c).
5.4.4.1 Creating a Sell Transaction
The following information is required to initiate a trade through a sell transaction:
• The identifier of the organization to which you are selling RINs;
• The name of the organization to which you are selling RINs;
• The number of RINs that were sold;
• The volume of renewable fuel sold with the RINs (for assigned RINs only);
• The renewable fuel code;
• A code which indicates whether the RINs that were sold were assigned or separated;
• The year in which the RINs that were sold were generated;
• A code which specifies the reason the RINs have been sold;
• Either the price per RIN or the price per gallon of renewable fuel that was agreed upon by both
parties. Price must be rounded to two decimal places; and
• The date on which the trade occurred as recorded on the Product Transfer Document (PTD).
Figure 5-21 shows how to sell RINs in EMTS.
Section 5
5-26
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EMTS Transaction Instructions
Figure 5-21: Sell RINs
msf
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Sell RINs - Identify RINs
Enter Fuel (D Code), RIN Year, Assignment, and Quantity of RINs. Also, enter Batch Volume if Assignment = Assigned. To
cancel a trade that your organisation has already initiated, go to the Pending Initiated Transactions on your Review Trades
page and select 'Cancel Offer1 for the appropriate transaction.
| Identify RINS
* Fuel (DCode):
* RIN Year
1 Assignment:
* Quantity of RINs:
Batch Volume:
| Renewable Fuel (D-6)
Separated v|
Required for 'Assigned' RINs.
« RIN Holdings
Select Trading Partner»
•»• Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin.
insaction Bin
5.4.4.2 Accepting a Pending Buy or Sell Transaction
By clicking the "View Trades" link on the homepage, you will have access to a list of all of the trades for
which your organization has been identified as the buying partner or the selling partner. For each trade,
information on both the buying and selling partners are displayed. You should check to verify that this
information is correct before clicking the "Accept Trade" button next to the specified trade.
Figure 5-22 shows pending trades awaiting confirmation, denial, or cancellation.
Section 5
5-27
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EMTS Transaction Instructions
Figure 5-22: Review Trades
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Review Trades
The following trade transactions were either received or initiated by RAP Inc. GEN Biodiesel. You can act upon any of these
transactions by selecting the appropriate action in the "I want to ..." column, located next to each transaction,
^ Transaction Bin
Your organization has 0
un-subrnitted
transactions in the
transaction bin.
View Transaction Bin
» Organizations
T Basic Filter Options
RIN Year:
Fuel (D Code):
Assignment:
Transaction Type:
Transaction Date (Begin):
Transaction Date (End):
- Select -
[-Select- f\
[-Select- v|
(MM/DDATYY)
(MM/DDATYY)
Submission Date (Begin):
(MM/DD/mY)
(MM/DD/YYTY)
Initiated trades only.
Submission Date (End):
PTD Number:
CDX ID:
Trading Partner
T (2) Pending Received Transactions for [RAP Inc. GEN Biodiesel (4671)]
Clear Filter
Standard Trade 4672 PAP Inc. GEN Cellulosic I - Select- v || Go |
Export options: CSV I Excel I PDF
(20) Pending Initiated Transactions from [RAP Inc. GEN Biodiesel (4671)]
Figure 5-23 shows how to accept a trade transaction.
Section 5
5-28
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EMTS Transaction Instructions
Figure 5-23: Accept Trade
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Accept Trade
Please review the selected transaction and provide any additional information about the trade. To report a PTD number for
your transaction you must enter it into the 'PTD' field. If you do not enter a number your transaction details will not include
a PTD number, Note that this field is not automatically carried over from your trading partner's transaction.
» Transaction Bin
Your organization has 0
un-subrnitted
transactions in the
transaction bin.
/ Transaction Bin
You are accepting the following Sell pending trade:
3000 2010 Assigned Renewable Fuel RINs from
RAP Inc. GEM EtOH (4670) submitted on 11/29/2010 12:15:43 PM EST
for $1.00 per Gallon.
Transaction Date: 11/25/2010
* Confirm the price per Gallon for this transaction:
Identify any documents
Document Type
Nothing found to display.
| Add Document Information
Document Type:
Document Identification:
Additional Information required when Trade Reason is not Standard Trade
« Back
Confirm Accept»
5.4.4.3 Denying a Pending Buy or Sell Transaction
You can deny any trade transaction initiated by a buyer or seller by viewing your pending trades. If the
transaction does not contain accurate information based on information regarding the trade negotiated
with the trading partner, you may deny the trade. To do this, navigate to "Trades" in the main menu and
then select "Review Trades." In the "I want to..." column, select the "Deny" option. You must provide the
reason for the denial in a comment box.
Figure 5-24 shows how to deny a trade transaction.
Section 5
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EMTS Transaction Instructions
Figure 5-24: Deny Trade
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Deny Trade
* Transaction Bin
To deny the received trade, please provide an explanation and select the 'Confirm Deny' button located at the bottom of
the page. If you wish to return to the list of your pending transactions, select the 'Back' button.
Your organization has 0
un-submitted
transactions in the
transaction bin.
vi^w ransaction Bin
You are denying the following Sell pending trade:
500 2010 Assigned Biomass-Based Diesel RINs from
RAP Inc. GEN Biodiesel (4671) submitted on 06/07/2010 3:30:31 PM EOT
for $1.00 per Gallon.
1 Please provide an explanation for denying the trade:
« Back
Confirm Deny »
5.4.4.4 Can I Cancel My Buy and Sell Transactions?
You can cancel any trade transactions you have initiated if the buyer or seller has not yet accepted the
transaction. Select "Review Trades" from the Trades menu to see all of your trades awaiting confirmation.
From the initiated trades list, select the buy or sell transaction that you wish to cancel and click "Cancel" in
the "I want to..." column. You and your trading partner have the option to subscribe to cancelled trade
notifications.
5.4.4.5 Initiating a Trade Transaction with a Buy Transaction
The preferred method for processing trades is for the seller to initiate the trade first and the buyer to
respond to the invitation by accepting or denying the trade. However, it is possible that the buyer has
submitted his part of the transaction prior to the seller initiating the trade. The following information is
required to initiate a buy transaction:
• The identifier of the organization that has sold the RINs;
• The name of the organization that has sold the RINs;
• The number of RINs that were bought;
Section 5
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EMTS Transaction Instructions
• The volume of renewable fuel sold with the RINs (for assigned RINs only);
• The renewable fuel code;
• A code which indicates whether the RINs that were bought were attached or separated;
• The year in which the RINs that were bought were generated;
• A code which specifies the reason the RINs have been bought;
• Either the price per RIN or the price per gallon of renewable fuel that was agreed upon by both
parties. Price must be recorded to two decimal places; and
• The date on which the trade occurred as recorded on the PTD.
Figure 5-25 shows how to buy RINs on EMTS.
Section 5
5-31
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EMTS Transaction Instructions
Figure 5-25: Buy RINs
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Buy RINs - Identify RINs
Enter Fuel (D Code), KIN Year, Assignment, and Quantity of RINs. Also, enter Batch Volume if Assignment - Assigned. To
cancel a trade that your organization has already initiated, go to the Pending Initiated Transactions on your Review Trades
page and select 'Cancel Offer' for the appropriate transaction.
| Identify RINS
* Fuel (D Code): Cellulosic Diese
I (D-7) v
•RINYear: 2010
* Assignment: Assigned *
* Quantity of RINs:
Batch Volume:
(Gallons)
Required for 'Assigned' RIlMs.
~ Advanced Options (optional)
Generating Organization
Generating Facility Identifier:
Batch Number:
« PJN Holdings Select Trading Partner »
^ Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
5.4.5 Which RINs Will Be Used in a Transaction?
When you create a sell transaction, at a minimum you will have to identify the fuel code (D code),
assignment code, RIN year (the year in which the RINs were generated), and the number of RINs you are
selling. EMTS will find the oldest RINs based on production date in your holding account that match your
criteria and reserve these for the trade. By default, EMTS will always use the oldest RINs you have in your
account when separating, retiring, or trading RINs. This assures that you are trading or retiring RINs that
have the shortest expiration date. However, should you wish to specify a specific batch that you want to
sell, separate, or retire, you may do so by using the advanced selection option for identifying RINs. This
allows you to specify a quantity of RINs by:
• The organization that produced the fuel;
• The facility that produced the fuel; and
• The specific batch number of the fuel.
Section 5
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EMTS Transaction Instructions
When you provide these specifications, EMTS will attempt to identify RINs that meet these characteristics
and reserve them for the transaction.
Figure 5-26 shows how to select specific RINs for use in a retire transaction.
Figure 5-26: Advanced Options
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Retire RINs - Advanced RIM Selection (Optional)
» Transaction Bin
This step is optional. If you choose not to complete this step, EMTS will automatically select RINs with the oldest
production date from your RIN Holding Account for this retire transaction. Only complete this step if you would like to
retire RINs that were produced from a specific organization, facility or batch. If you do not wish to select specific RINs to
retire, then you can skip this step by clicking the Add to Transaction Bin button below. To select a facility, you must first
select the organization. To select a batch number, you must first select the organization and facility. v
Organization: [RAP Inc. GEN EtOH (4670)]
Your organization has 0
un-subrnitted
transactions in the
transaction bin.
- Facility : [Allied Terminals Inc (46700)]
All Facilities:
Selected Facility:
View Transaction Bin
^ Identify RINs (6ther):
Advanced RIN Selection
(Optional)
Select I Allied Terminals Inc (46700)
Remove
Filter:
« Transaction Details ] | Add to Transaction Bin »
5.4.6 Can I Block RINs That Were Generated By a Specific Organization?
In some cases, you may wish to ensure that you do not buy or own RINs that have been generated by a
specific fuel producer or importer. EMTS has the capability for you to "block" trades involving RINs from a
specified producer or importer. In order to use this feature, you must create a list of organizations that you
wish to block. When a transaction includes RINs from a blocked fuel producer or importer, the transaction
will automatically be denied by EMTS and notification will be sent to both parties indicating that the
transaction was not processed.
Figure 5-27 shows how to manage the blocked list
Section 5
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EMTS Transaction Instructions
Figure 5-27: Manage Blocked List
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View Blocked List
^ Transaction Bin
The following list identifies renewable fuel producers and/or generating facilities whose RINs you have chosen not to buy. You
will not be able to buy RINs that originated from these sources, no matter which organization is selling the RINs,
Your organization has 0
uri-submitted
transactions in the
transaction bin,
View Transaction Bin
Organizations
Organization
Biodiesel Company (5001)
Export options; CSV I Excel I PDF
All facilities
06/07/2010 4:59:00 PM EOT
Add Blocked Producer
Add Blocked Facility
5.4.7 How Do I Report an Invalid Batch of RINs?
You must report all invalid RINs to EPA prior to retiring any RINs.
In certain events, EPA will ask you to submit a retire transaction indicating an appropriate "Retire Reason
Code." If you select "Reportable Spill," "Contaminated or Spoiled Fuel," "Import Volume Correction,"
"Invalid RINs," "Volume Error Correction," or "Enforcement Obligation," then you must provide a comment
further explaining the reason for the retire transaction in the Additional Comments field. Once the
transaction is complete, the RINs will no longer be available for future transactions.
It is not necessary to report a specific batch of fuel when retiring for spillage or spoilage, although, you do
have the option to identify the generating source of the RINs.
5.4.8 How Do I Reverse a Transaction?
EMTS is a forward moving system, so a true "reversal" is not possible. However, RINs may be
transferred back to the original selling party if an appropriate remedial action has been discussed
and agreed upon with EPA. Any situation that involves a reason code other than Standard Trade should
first be reported to EPA. Please see the remedial actions web page for more information:
h ttp://www. epa.gov/o taq/fuels/renewablefuels/complianceh elp/rfs2remedialactions. h tm.
5.4.9 How Do I Report an Error?
At the end of each quarter, should you find any discrepancies between the EMTS quarterly reports and
your internal records, you have a two month period of time to reconcile errors. To report errors, go to
"Transaction Errors" under the Reports menu. There you can search transactions from the previous
Section 5
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EMTS Transaction Instructions
quarter and provide information about any errors associated with a particular transaction. Once you
confirm and submit your errors, EMTS will generate a Transaction Error Report. After the report is
generated, you will not be able to edit the report or access the error reporting pages. The Transaction
Error Report will be made available on the View Reports page. You must submit this report to DC Fuels
along with your other quarterly reports. More information about submitting reports can be found in
Section 3, "What Are the Key Reporting Deadlines?"
Figure 5-28 shows how to search for transactions and Figure 5-29 shows how to input transaction error
information.
Figure 5-28: Search Transactions
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Search Transactions
Please use the filter to search for transactions. Your search will be limited to transactions from Second Quarter 2010.
•*• Transaction Bin
Your organisation has 0
un-submitted
transactions in the
transaction bin.
f Transaction Bin
Submission ID:
Transaction ID:
CDX Transaction ID:
Transaction Type:
Fuel:
RIN Year:
Assignment:
Submission Date (Begin):
Submission Date (End):
30
Generate "
-Seiect-
|-Select-
(MM/ODAW)
(HM/DDAY1-C)
Clear
Search
Transactions
Displaying records 1 through 1 of 1 total.
Transaction. Transaction .Submi55ionDate. Fue, ^ - "^ ^ Asstanment j g*^ *E±«- I want to...
,. _ 09/10/20109:26:02 Biomass-Based ,mn , . RAP Inc. GEN Biodiesel
74 Generate AM'ED'T Diesel (D=4) 201° Assigned (4671)
| Identity Error v |
Go
Export options: CSV [ Excel I PDF
Back
Section 5
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EMTS Transaction Instructions
Figure 5-29: Identify Transaction Errors
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Identify Transaction Errors
After reviewing the details of the selected transaction please provide information regarding the error in the fields provided.
Please note that all errors must be discussed with EPA before being reported to the EMTS.
» Transaction Bin
'••'•<:•••••• 'i
Your organization has 0
un-submitted
transactions in the
transaction bin.
insaction Bin
Transaction Details
Submission ID:
Submission Date:
Transaction ID:
Transaction Type:
Fuel (D Code):
30
09/10/2010 9:26:04 AM EOT
74
Generate
Biomass-Based Diesel (D-4)
| Repori
* Explanation of Errors:
Document Information:
* = Required Field
Save
5.5 Where Can I Go to Get Help?
Each screen of EMTS contains instructions to help you understand how to use the website and what data
the system is expecting. In addition, there are "Help" links on each screen of EMTS that provide access to
EMTS resources on the EPA's EMTS website. To access contact information for the various EMTS support
lines, you can click the "Contact Us" link located on each screen of EMTS. Further information can be found
in Section 8 of these transaction instructions, "How Do I Contact EMTS Support?"
Figure 5-30 shows where to find help on EMTS and Figure 5-31 is the Help page.
Section 5
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EMTS Transaction Instructions
Figure 5-30: Help Links
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Good Afternoon Tutorial Demo,
To view pending transaction details, click the following link; View Trades
^^* You can submit your XML file here . Submit File
Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
Announcements
Contact Us I f Help J
Section 5
5-37
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EMTS Transaction Instructions
Figure 5-31: Help Page
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Help
Make a selection below to get started. Note that selecting one of the options below will open a new browser tab and direct you to the EPA EMTS support
web site.
About EMTS
Meeting/Presentations
Tutorials
Documents
Frequent Questions
Conversion Tool
Contact Us
Section 5
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Section 6: How Do I Report Transactions Using XML Files?
This section provides instructions on using EPA
Moderated Transaction System (EMTS) schema to
submit data to EMTS. This includes:
• A brief overview of using EPA's exchange
network;
• Best practices for preparing and formatting
data for EMTS;
• How to submit your file; and
• Detailed instructions for all transaction
types.
Who should read Section 6:
Information Technology and Data Preparers who
are responsible for implementing the EMTS
schema and submitting XML files to EMTS.
What you will find in Section 6:
This section provides an overview of the EMTS
schema and detailed instructions on how to
report data using the new file format. This
section also includes instructions on how to
submit your file using a node on EPA's Exchange
Network.
For information on the resources available from EPA to convert your data into an XML document, see
h ttp://www. epa.gov/o taq/fuels/renewablefuels/epam ts. h tm.
6.1 What Are the Steps to Submitting My File?
The following are basic steps to submitting your file to EMTS. Please note that these are general
instructions; personal nodes and node clients may behave differently.
1. Create a single XML file which includes both the Exchange
Header 2.0 document and your EMTS XML file.
2. Compress the XML file. This step may be done
automatically by your node client software.
Exchange Node 2.0
The EMTS node is 2.0 compliant.
This section includes specifications
for 2.0 exchanges.
3. Log into your node client or the CDX Exchange Network
web client with your CDX credentials, and select the "submit" option.
4. Create a description for the submission, select the EMTS destination node and dataflow, and choose
your file to submit
5. After you submit the file, the node will transmit your submit request to the EMTS node via the
Exchange Network.
6. EMTS will receive the submit request, decompress the XML file, and process its contents.
c/EPA
United States
Environmental Protection
Agency
6-1
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EMTS Transaction Instructions
6.2 What Is the Purpose of an XML Schema?
An XML schema is the definition that constrains the structure and content of an XML document It is
written in XML schema language as defined by the World Wide Web Consortium (W3C). An XML schema
defines:
• The elements and attributes that are expected;
• The allowable data types for each element;
• The hierarchy and order in which elements must appear;
• Which elements are optional and which are required; and
• The maximum number of occurrences allowed for each element.
Like the architectural blueprint that describes the structural design of a house, an XML schema describes
the structural design of an XML file. Files submitted to EMTS are accepted or not accepted based on their
conformity to the EMTS XML schema.
6.2.1 General Principles Used in Developing EMTS
XML schemas can be created in many different ways; however, there are principles that govern the
definition and use of the EMTS schema for reporting transactions. The following approach to developing
and managing the EMTS XML schema has been adopted.
• XML element tag names adhere as closely as possible to EPA's XML data standards. Information
about EPA's XML data standards can be found at EPA Data Registry Services:
http://iaspub.epa.gov/sorjnternet/registry/datastds/findadatastandard/epaapproved/.
• XML element tag names are specific to a transaction category where possible in order to minimize
ambiguity (e.g., "GenerateTransactionComment" rather than "Comment").
• No two elements share the same tag name. XML elements are defined unambiguously.
• Tag names are understandable to both data preparers and information technology staff.
• The EMTS schema was not designed to minimize submitted file size. See Section 6.5.3 for best
practices on the size and content limits for file submission.
• The EMTS schema contains few restrictions on the content of the submission, and is limited
primarily to indicating whether the submission is a valid and well-formed XML file. The schema
contains some business rules; however, these are limited to the semantic properties of the file
structure. Additional business rules are applied to the content of the XML file after the data have
been submitted to EMTS. This allows more flexible management of quality assurance checks and
more informative feedback on check results. The submitter will receive feedback on all business
checks and technical checks through a feedback report available on the EMTS website. For
Section 6
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EMTS Transaction Instructions
more information on the EMTS QA approach, see Appendix C, "QA Checks."
• Conforms to EPA Guidelines.
6.3 Codes, Identifiers, and Data Types
The following section provides guidance on how to report certain types of data content.
6.3.1 How Do I Report Codes?
If the last word in an XML tag is "code," the element must contain a value from a code
list A complete list of codes can be found on EPA's EMTS website at
http://www.epa.gov/otaq/fuels/renewablefuels/emtshtml/emtsdocuments.htm. Codes are validated by the
EMTS QA check process for appropriate use given an organization's business activities. Some code tables
may change over time. If codes change, a new version of the schema will be released; the new codes will be
published in the EMTS Transaction Instructions and incorporated in the QA Check process.
6.3.2 How Do I Report Comments and Additional Information?
If an XML tag contains the word "comment," it is generally an optional element in which you can provide
explanations, caveats, or any other information about the data in the schema. In some cases, you may be
required to provide a comment based on the reason code you provide.
6.3.3 How Do I Report Identifiers?
If an XML tag contains the word "identifier," it must contain the specific alphanumeric identifier assigned
by EPA to an organization or facility site. Both Organization and Facility identifiers are assigned by EPA
once you have completed registration through the OTAQReg Fuels Programs Registration system. These
identifiers should always be included in your submission file when identifying your organization, or if you
are identifying the generating source of the renewable fuel. You must always identify your organization as
the source of the submission.
6.3.3.1 Organization Identifiers
The four-digit numeric public identifier assigned by EPA is used to identify your organization and should be
reported for all submission files.
Several transaction types require you to either identify an organization's identification number as a trading
partner (sell and buy transactions) or give you the option to identify the originating source of the fuel. In
either case, you must identify the trading partner organization or originating source organization using the
public identifier.
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EMTS Transaction Instructions
6.3.4 Data Types
Most data types in the EMTS schema are string, date, year, and number. Each data element will have a
length or a precision assigned that is constrained in the schema. Data which are not consistent with the
formats defined in the schema will fail schema validation, causing the submission file to fail.
6.3.4.1 Dates and Years
All date and year tags are handled as xsd:date and xsd:gYear in the schema.
• Date - If a tag name contains the word "date," the data element is for a specific day. These should
be represented as an eight-digit sequence of numeric characters in a string format of YYYY-MM-DD
and should include leading zeros between the representative elements containing only one digit
For example August 7, 2009 is 2009-08-07.
• Year - If a tag name contains the word "year," the data element is for a calendar year. This data
should be reported as a four-digit sequence of numeric characters in a string format of YYYY,
otherwise, if not required, it may be left null.
6.3.4.2 Reporting Numbers
There are several different reporting formats for numbers. The schema allows for various precisions;
however, you are expected to report numeric values as prescribed in the schema for each numeric data
type.
The following table describes each numeric datatype and an example of what to report in EMTS.
Section 6
6-4
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EMTS Transaction Instructions
Figure 6-1: Reporting Formats for Numbers
Content Type
Integer (width)
Reporting Format
Whole number (no decimal places, preceding zeroes
not retained).
Width = Maximum number of digits allowed.
Example
Int (3)
Valid: 2,15, 930
Invalid: 4000,-!
Decimal (width, scale)
Decimal number with fixed number of decimal places.
Width = Maximum number of digits including
those on both sides of the decimal point, and
includes the decimal point.
Scale = Number of decimal places; that is, digits to
the right of the decimal point.
Dec (5,1)
Valid: 100.0, 34.6, 0.3, 0.0
Invalid: 99.75,256.45
• Precision - Precision refers to the number of significant digits provided in the number of decimal
places for a fixed decimal number. The EMTS schema will enforce numbers be reported in the
proper precision.
6.4 Constructing the XML File
The following section explains how to create an EMTS conformant XML document It includes advice on
best practices for reporting your data as well as how to construct your XML document.
6.4.1 Will the Conversion Tool Create a Valid XML File?
For users that do not have the technical capabilities to modify their systems to produce valid XML, EPA
provides a conversion tool that will convert XLS, CSV, or TXT files. EPA provides a standard template for
the XLS or TXT data. You can output your data into the XLS template then use these data files as inputs to
the Conversion Tool. The tool will output valid EMTS XML files; however, the tool will not check
for business content or valid code numbers. For more information on the Conversion Tool, see
h ttp://www. epa.gov/o taq/fuels/renewablefuels/epam ts. h tm.
6.4.2 Is There a Limit on the Size of the Submission File?
There are no business rules that limit the size of the file during transport through the Exchange Network.
However, you are strongly encouraged to submit sell transactions prior to the receiving party submitting
their corresponding buy transactions, so you may consider categorizing your submissions into two
submission types: all sell transactions and all other transactions. During peak submission periods, which
are expected to occur in January and February, a substantially larger number of files are expected to be
Section 6
6-5
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EMTS Transaction Instructions
submitted which may delay EMTS's response time. These files will be placed in the system's queue and
processed as in a first-come, first-serve order.
If your file contains one or more critical errors, the file will not be processed and you will receive a
notification indicating that your submission has failed. You must correct the critical errors and resubmit
your file. Therefore, limiting the contents of your file to include a smaller number of transactions is a good
practice, likely resulting in smaller feedback reports and fewer submission failures. You can also expect
better response times submitting smaller files over the Exchange Network and when downloading your
feedback reports.
6.4.3 Schema Validation
The following section describes the various tools that are available and validation rules you should
implement prior to submitting your XML document to EMTS. This includes information on how to validate
your XML document, the built-in constraints that the schema will enforce, and the cardinality rules that you
should avoid when constructing your data.
6.4.3.1 Validating Your File Prior to Submission
Before submitting your file to the EMTS dataflow, you should validate your XML file against the
EMTS_Schema_vl.l.xsd file structure. This will ensure that your file is well-formed and valid. You can do
this by using one of several tools found atEPA's http://tools.epacdxnode.net/.
EMTS contains few validation business rules regarding the content of the submission; however, data types
are constrained. You will receive all business logic checks, including invalid reporting codes used through a
feedback report available on the EMTS website once the quality assurance checking process has completed.
For more information on the QA approach with EMTS, see Section 4.2.4.
6.4.4 Submitting Your File
All file submissions require the user to have an authorized CDX account and access to the EMTS dataflow.
All files must utilize EPA's Exchange Network to transport files. EPA's network of nodes makes it possible
for users to exchange data with other exchanges, providing their organizations have nodes. However, not
all organizations will have nodes.
Once files are pushed into the data flow, CDX will submit the XML document to the EMTS back-end node.
Once the EMTS back-end node accepts the XML file it generates submittal identification information and
begins processing the data content within the payload. For more information regarding obtaining and
installing a node on your server, please see www.epa.gov/cdx.
6.4.5 Quality Assurance and Receiving Feedback
After you have submitted your file, you will receive an email with information about your submission. If
there were errors in processing the data, you will receive information in a feedback report, which indicates
Section 6
6-6
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EMTS Transaction Instructions
critical errors and potential issues. You are expected to correct the problems with your data content or the
XML document structure and resubmit the file. After EMTS processes the payload content, the resulting
data can be viewed on the EMTS website. In all cases, you will receive notification when the processing of
your data is complete; however during peak load periods, the response time may be slow.
6.5 Overview of Major Data Blocks
The following section contains information on the major groupings of data in the EMTS schema. This
section describes the basic XML blocks that are used for reporting the various transaction types: generate,
separate, sell, buy, and retire. For each transaction type, a table of data elements including the data type,
name of the XML tag name, required indicator, and description is provided. In addition, if a critical check is
applied to the data, the description and reference number to the check is provided. You can see the
complete list of checks in Appendix C, "QA Checks." If a data element is referenced as a complex type, there
will be another table that documents the elements for that complex type.
Supporting implementation documents can be found on the following website:
http://www.exchangenetwork.net/exchanges/air/. In addition to EMTS, the flow configuration document
(FCD), data exchange template (DET), and sample XML documents are available for download on the
Exchange Network site.
6.5.1 EMTS Root Elements
Converter Tool
Data that have been converted by
EPA's XML Converter Tool may not
contain all the required data
based on the content of the input
files used.
The elements under the EMTS root must be included in every
submission. These XML elements identify the person who
prepared the data along with organization identifiers. If different
people within your organization are responsible for different
transactions, consider submitting separate submission files for
each person responsible for the preparation of the data.
How these data elements are processed: The root elements
identify the person who has prepared the data, and the date on which the file was created by the user. The
identity of the organization can be referenced by the public identifier.
The root elements are reported once in the entire submission file; however, you must report at least one
associated transaction (such as a generate transaction). The root elements in the submission file will be
stored in the EMTS website in association with each transaction submitted in the file.
Section 6
6-7
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EMTS Transaction Instructions
Figure 6-8: EMTS Root Elements
Data Element
QA Check
Data Type
Name
Required
Description
Description Number
xsd:string
xsd:date
UserLoginText
SubmittalCreationDate
Yes
Yes
The CDX user login of
the party responsible
for preparing the
submission file.
The date that the
submission file was
created.
The user specified
in the submission
file must be
actively registered
with CDX and have
permission to
participate in
EMTS.
The user specified
in the submission
file must have an
active association
with the
organization for
which he is
submitting data.
The user specified
in the submission
file must be
authorized to
perform the
requested
transactions on
behalf of the
organization.
The submission
date associated
with the
submission file
may not be a date
occurring in the
future.
2000
2001
2002
2008
(cont.
Section 6
6-8
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EMTS Transaction Instructions
Figure 6-8: EMTS Root Elements (cont.)
Data Element
Data Type
xsd:string
xsd:string
complex
complex
complex
complex
complex
Name
Organization Identifier
SubmittalCommentText
GenerateTransactionDetail
SeparateTransactionDetail
SellTransactionDetail
BuyTransactionDetail
RetireTransactionDetail
Required
Yes
No
No
No
No
No
No
Description
The public
identification number
for the organization as
designated by
OTAQReg.
Comment provided by
the user on submission
file.
Information on the
RINs being generated.
Information on RINs
being separated.
Information on RINs
being sold.
Information on RINs
being bought.
Information on RINs
being retired.
QA Check
Description
The organization in
the submission file
must be registered
with EPA and be
The organization's
RIN Holding
Account must be
active.
Number
2005
2006
6.5.2 Generating RINs
The complex type GenerateTransactionDetail is used to report RINs that have been generated as a result
of fuel production. This transaction type requires basic information regarding the production of the fuel,
the feedstock used, and the co-products that were created from the process. For each generate transaction,
you must report at least one feedstock.
How these data elements are processed: All data elements that are identified as required must be
reported. The fuel, feedstock, and process that you report to EMTS must be one of the fuels, feedstocks, and
processes you registered for your organization in the OTAQReg Fuels Programs Registration system. If you
report an unregistered code, your submission file will not pass critical QA checks and your file will fail to be
processed. In some cases, based on fuel reported and process identified, you will need to report denaturant
Section 6
6-9
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EMTS Transaction Instructions
volume in addition to the batch volume. The equivalence value that you report must also be applicable for
the fuel type, process, and biomass indication for feedstock used. See Section 5.4.1.1 for determining how
to determine your equivalence value.
By default, it is assumed that your organization is the producer of the renewable fuel. You need only report
the number of the facility where the fuel was produced and the unique identification of the batch number
for the fuel in the complex type GenerateOriginatingSourceDetail. If, however, you are an importer and
the fuel has been produced at a foreign facility, you will need to identify both the organization identifier
and the facility identifier of the foreign producer. These identifiers are required to be provided on records
by the foreign producer.
Report the feedstock used in the production of the fuel using the FeedstockDetail complex type. You must
report at least one feedstock, including the volume and unit of measure. In addition, you must affirm that
the feedstock meets the definition of renewable biomass. If any co-products result from the process, you
must report the co-product code in the CoProductDetail complex type.
Figures 6-9, 6-10, 6-11, and 6-12 below show the data elements for GenerateTransactionDetail,
GenerateOriginatingSourceDetail, FeedstockDetail, and CoProductDetail.
Section 6
6-10
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EMTS Transaction Instructions
Figure 6-9: Data Elements for GenerateTransactionDetail
Data Type
Data Elements
Name
Required Description
xsd:string
FuelCode
Yes
The renewable fuel
code for the RINs
being separated as
defined in Part M
Section 80.1426.
QA Checks
Description Number
The fuel code
reported must
be registered
with EPA.
The fuel code
reported in the
production of
fuel must be a
valid code that
is recognized by
EPA.
The fuel code
reported must
be compatible
with the fuel
category used
in the
production of
fuel.
The fuel code
and fuel
category
reported must
be compatible
with the
process used in
the production
of fuel.
3032
3034
3040
3041
(cont.
Section 6
6-11
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EMTS Transaction Instructions
Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
Data Elements QA Checks
Data Type
xsd:string
xsd:date
Name Required
ProcessCode
ProductionDate
Yes
Yes
Description Description Number
A code that
identifies the
process used for
producing the
renewable fuel.
The date the
renewable fuel was
produced as
designated by the
producing facility.
The process
reported in the
production of
fuel must be
registered with
EPA.
The process
code reported
in the
production of
fuel must be a
valid code that
is recognized by
EPA.
The production
date must not
occur after the
date specified
in submittal
data.
The production
date of the fuel
must fall within
the RIN Year
range defined
by the RIN
Years Allowed
parameter.
Production date
must be within
the last five
business days
per40CFR
80.1452(b).
3007
3024
3011
3028
3055
Section 6
6-12
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EMTS Transaction Instructions
Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
(cont.
Data Elements QA Checks
Data Type
xsd:string
xsd:positivelnteger
Name Required
FuelCategory
BatchVolume
Yes
Yes
Description Description Number
The type of fuel
that has been
produced.
The volume of
renewable fuel
associated with a
batch number
designated by the
producing facility.
If "Ethanol" or
"Cellulosic
Ethanol" RINs
are reported in
the generate
transaction,
then
denaturant
volume must be
reported.
The fuel
category code
reported in the
production of
fuel must be a
valid code that
is recognized by
EPA.
RIN Quantity
must equal the
product of
Batch Volume
and
Equivalence
Value.
3013
3033
3022
Section 6
6-13
-------
EMTS Transaction Instructions
Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
(cont.)
Data Elements
Data Type
xsd:positivelnteger
xsd:decimal
Name
DenaturantVolume
EquivalenceValue
Required
No
No
Description
The volume of non-
renewable fuel
added to a volume
of ethanol to
create the
BatchVolume for a
given
BatchNumber of
renewable fuel.
A multiplier
applied to Batch
Volume to
determine the
number of RINs
that will be
QA Checks
Description
If denaturant
volume is
reported, then
"Ethanol" or
"Cellulosic
Ethanol" must
be reported.
When
denaturant
gallons are
reported for
ethanol fuel,
the amount
specified
cannot exceed
two percent of
the total
volume of fuel
produced.
The
equivalence
value reported
may not exceed
the specified
value for the
Number
3014
3016
3026
Section 6
6-14
-------
EMTS Transaction Instructions
generated per
gallon of
renewable fuel.
fuel type
produced.
Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
(cont.
Data Elements QA Checks
Data Type Name Required
xsd:positivelnteger
xsd:string
RINQuantity
ImportFacility Identifier
Yes
No
Description Description
The total number
of RINs specified in
the transaction.
The facility
identifier, as
registered in
OTAQReg, of the
plant from which
the fuel was
imported.
RIN Quantity
must equal the
product of
Batch Volume
and
Equivalence
Value.
If the generate
organization
differs from the
submitting
organization
then the Import
Facility
Identifier is
required.
If the import
facility is
provided, it
must be
registered with
the EPA and
active.
Number
3022
3047
3048
Section 6
6-15
-------
EMTS Transaction Instructions
Import Facility
Identifier not
allowed if not
importing fuel.
3049
Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
(cont.
Data Type
Data Elements
Name
QA Checks
Required Description Description Number
If the
submitting
organization is
only a
renewable fuel
importer, then
they must
provide an
Import Facility
Identifier.
If the Import
Facility
Identifier is
populated, then
the submitting
organization
must be a
renewable fuel
importer.
The import
facility number
specified must
be unique for
3050
3051
3053
Section 6
6-16
-------
EMTS Transaction Instructions
complex
xsd:string
GenerateOriginatingSourceDetail
Transaction DetailCommentText
Yes
No
Information on the
original renewable
fuel production.
Comment provided
by the user on the
transaction.
the
organization.
(cont.
Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
Data Elements QA Checks
Data Type
complex
complex
Name Required
FeedstockDetail
CoProductDetail
Yes
No
Description Description Number
Information on the
types of feedstock
used to produce
fuel.
Information on the
one or more co-
products that
result from the
renewable fuel
production
process.
Section 6
6-17
-------
EMTS Transaction Instructions
Figure 6-10: Data Elements for GenerateOriginatingSourceDetail
Data Element QA Checks
Data Type
xsd:string
xsd:string
Name
GenerateOrganization Identifier
GenerateFacility Identifier
Required Description Description Number
No
Yes
The organization
identifier, as registered
in OTAQReg, for the
organization that
produced the fuel.
The facility identifier, as
registered in OTAQReg,
for the facility that
produced the fuel.
If the generate
organization is
different than the
submitting
organization
identifier, then the
organization must be
an importer.
If the generate
organization is
provided, then it
must be registered
with EPA and be
active.
If the generate
organization differs
from the submitting
organization then
the generating
organization must be
a Foreign Producer.
For generate
transactions, the
generate facility
identifier must be
provided.
The generate facility
specified in the
submission file must
be registered with
EPA and be active.
3000
3001
3045
3002
3003
(cont.
Section 6
6-18
-------
EMTS Transaction Instructions
Figure 6-10: Data Elements for GenerateOriginatingSourceDetail (cont.)
Data Element QA Checks
Data Type
xsd:string
Name
Batch NumberText
Required Description Description Number
Yes
The batch number for
the renewable fuel as
designated by the
producing facility.
If generate
organization is
provided, then
generate facility
must be actively
associated with the
generate
organization.
If generate
organization is not
provided, then the
generate facility
must be actively
associated with the
submitting
organization.
The generate facility
number specified
must be unique for
the organization.
Batch number must
be provided.
Batch number must
be unique for an
organization, facility,
and RIN year.
3004
3005
3052
3018
3019
Section 6
6-19
-------
EMTS Transaction Instructions
Figure 6-11: Data Elements for FeedstockDetail
Data Element QA Check
Data Type Name Required Description
xsd:string
xsd:boolean
xsd:decimal
FeedstockCode
RenewableBiomasslndicator
FeedstockVolume
Yes
Yes
Yes
A code that identifies the
feedstock used to
produce the renewable
fuel associated with the
batch number.
An indicator whether the
feedstock used qualifies
as renewable biomass.
Total volume of
feedstock used in the
production of the fuel.
Description Number
The feedstock
reported in the
production of fuel
must be registered
with EPA.
The feedstock code
reported in the
production of fuel
must be a valid
code that is
recognized by EPA.
The feedstock
reported must be
compatible with the
fuel code, fuel
category, and
process used in the
production of fuel.
If RINsare
generated (RIN
Quantity greater
than or equal to
"1"), then at least
one of the specified
feedstocks must be
indicated as
"Renewable
Biomass."
3008
3023
3042
3030
(cont.
Section 6
6-20
-------
EMTS Transaction Instructions
Figure 6-11: Data Elements for FeedstockDetail (cont.)
Data Element QA Check
Data Type Name Required Description
xsd:string
FeedstockMeasure
Yes
The unit of measure for
the feedstock volume.
Description Number
The feedstock
measure code
reported in the
production of fuel
must be a valid
code that is
recognized by EPA.
3027
Figure 6-12: Data Elements for CoProductDetail
Data Element
Data Type
xsd:string
Name
CoProductCode
Required
Yes
Description
A code that identifies the
co-product created from
the renewable fuel
process.
QA Check
Description
The co-product code
reported in the
production of fuel must
be a valid code that is
recognized by EPA.
Number
3025
6.5.3 Separating RINs
To identify that RINs have been separated from the fuel, you will report this information using the
SeparateTransactionDetail complex type.
How these data elements are processed: Separating RINs requires that you identify the number of RINs
being separated and the volume of fuel from which the RINs are being separated. The preferred method to
separate a quantity of RINs from any fuel is to specify the RINQuantity, batch volume, fuel code, and the
year in which the fuel was produced. By default, EMTS will find the oldest batch of assigned fuel in your
inventory and separate the RINs. This ensures that you are separating, on a first-in, first-out (FIFO) basis,
the earliest RINs that you own as defined by production date.
If you as a party have been delegated to perform the separate transaction by a small blender (a blender that
blends less than 125,000 gallons per year), then you must report both the name and public identifier of the
small blender in the BlenderOrganizationldentifler and BlenderOrganizationName data elements.
If you need to provide supporting information regarding the separation, such as document identifiers or
notes, use the SeparateSupportingDocumentDetail complex type. Use this complex type to create user-
Section 6
6-21
-------
EMTS Transaction Instructions
defined information by providing the type of document that contains the information and an identification
number or code for the document. For example, if you wish to report an invoice number, place "invoice" as
the text for SupportingDocumentText and the invoice number for SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be separated, you can do so by using the
SeparateOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try
to match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the
batch cannot be found, the transaction will fail.
Figure 6-13 shows the data elements for SeparateTransactionDetail.
Section 6
6-22
-------
EMTS Transaction Instructions
Figure 6-13: Data Elements for SeparateTransactionDetail
Data Element QA Check
Data Type
xsd:positivelnteger
xsd:decimal
xsd:string
Name
RINQuantity
BatchVolume
FuelCode
Required
Yes
Yes
Yes
Description Description
The total
number of
RINs specified
in the
transaction.
The volume of
renewable
fuel for which
RINs are being
separated.
The
renewable
fuel code for
the RINs being
separated as
defined in
PartM
Section
80.1426.
The organization
must have
enough available
RINs in its holding
account to
complete the
transaction.
For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than "0"
but less than
"2.5."
For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than "0"
but less than
"2.5."
The fuel code
reported must be
a valid code that
is recognized by
EPA.
Number
5900
5032
5032
5024
(cont.
Section 6
6-23
-------
EMTS Transaction Instructions
Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
Data Element
Data Type
QA Check
Required Description Description Number
xsd:string
SeparateReasonCode
Yes
This code
identifies the
reason for a
separate
transaction.
The allowable
reason code
reported by an
organization
when separating
RINSare
dependent on
their business
activities as
registered with
EPA.
The reason code
reported must be
a valid code that
is recognized by
EPA.
If a Blender
Organization ID or
Blender Name is
reported then
separate reason
"Upward
Delegation" must
also be reported.
If the organization
specifies "Delayed
RIN Separate" as
the reason code,
then the fuel code
may not be
Renewable Fuel
(D = 6).
5035
5037
5040
5046
(cont.
Section 6
6-24
-------
EMTS Transaction Instructions
Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
Data Element QA Check
Data Type
xsd:gYear
xsd:string
Name
RINYear
BlenderOrganization Identifier
Required
Yes
No
Description Description
The RIN year
is the year in
which the fuel
is produced.
The public
identification
number for
the blending
organization
as designated
by OTAQReg.
The RIN year
cannot be in the
future.
The requested
RIN Year must fall
within the RIN
Year range
defined by the
RIN Years Allowed
parameter.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.
If a blender
organization is
provided, then it
must be
registered with
EPA and be
active.
Number
5019
5028
5033
5034
(cont.
Section 6
6-25
-------
EMTS Transaction Instructions
Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
Data Element QA Check
Data Type
xsd:string
xsd:string
complex
Name
BlenderOrganizationName
TransactionDetailCommentText
SeparateSupportingDocumentDetail
Required
No
No
No
Description Description
Name of the
organization
that is
blending the
fuel.
Comment
provided by
the user on
the
transaction.
Information
for the
industry user
to create user
defined data
to report
supporting
document
identifiers.
If a Blender
organization is
specified then the
organization must
have a business
activity of small
blender.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.
Number
5036
5033
(cont.
Section 6
6-26
-------
EMTS Transaction Instructions
Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
Data Element
QA Check
Data Type
Required Description Description Number
complex
SeparateOriginatingSourceDetail
No
Information
on the original
renewable
fuel
production.
6.5.4 Selling RINs
The complex type SellTransactionDetail is used to report RINs that are being traded to another
organization as a result of a sell transaction. This transaction type requires basic information regarding the
quantity of RINs, fuel code, and year in which the fuel was produced.
How these data elements are processed: Selling RINs requires that you identify the number of RINs
being sold and the trading partner (or buyer) to whom you are selling the RINs. The preferred method to
sell a quantity of RINs is to specify the RINQuantity, batch volume (required if the RINs are assigned), fuel
code, assignment code, and the year in which the fuel was produced. EMTS will find the oldest batch of fuel
you acquired that matches these characteristics in your inventory. This ensures that you are selling one or
more batches, on a first-in, first-out (FIFO) basis, the earliest RINs that you own as defined by production
date. You must provide a reason for why you are selling the RINs. In addition, you must provide either the
agreed upon price per RIN or the price per gallon established between you and the buyer.
If you need to provide supporting information regarding the sell of RINs, such as document identifiers or
notes, use the SellSupportingDocumentDetail complex type. Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be sold, you can do so by using the
SellOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to
match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the
batch cannot be found, the transaction will fail.
Figure 6-14 shows the data elements for SellTransactionDetail.
Section 6
6-27
-------
EMTS Transaction Instructions
Figure 6-14: Data Elements for SellTransactionDetail
Data Element QA Checks
Data Type
xsd:string
xsd:string
xsd: positive
Integer
xsd:decimal
Name
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
Required Description Description Number
Yes
Yes
Yes
No
This identifies the buyer
organization for a sell
transaction or the selling
organization for the buy
transaction using either
the
Organizationldentifier
designated by OTAQReg.
The name of the
organization trading
partner.
The total number of RINs
specified in the
transaction.
The volume of
renewable fuel sold in
the transaction.
The transaction
partner
organization
must be
registered at
EPA and be
active.
The organization
must have
enough available
RINs in its
holding account
to complete the
transaction.
If the
assignment code
is "1," then
batch volume
must be
specified.
For assigned
RINs that are
being sold, the
ratio of RINs to
fuel must be
greater than 0
but less than
2.5.
6018
6900
6011
6032
(cont.
Section 6
6-28
-------
EMTS Transaction Instructions
Figure 6-14: Data Elements for SellTransactionDetail (cont.)
Data Element QA Checks
Data Type
xsd:string
xsd:string
xsd:gYear
Name
FuelCode
AssignmentCode
RINYear
Required Description Description Number
Yes
Yes
Yes
The renewable fuel code
for the RINs being sold
as defined in 40 CFR
Section 80.1426.
A code that indicates
whether the RIN is
transacting as an
assigned RIN or a
separated RIN.
The RIN year is the year
in which the fuel is
produced.
Batch Volume
must be
specified if
Gallon Price is
specified.
The fuel code
reported must
be a valid code
that is
recognized by
EPA.
If the
assignment code
is "1," then
batch volume
must be
specified.
The assignment
code reported
must be a valid
code that is
recognized by
EPA.
RIN Year may
not be greater
than the year
associated with
the specified
Transaction
Date.
6054
6024
6011
6025
6019
(cont.
Section 6
6-29
-------
EMTS Transaction Instructions
Figure 6-14: Data Elements for SellTransactionDetail (cont.)
Data Element QA Checks
Data Type
xsd:string
xsd:decimal
Name
SellReasonCode
RINPriceAmount
Required Description Description Number
Yes
No
This code identifies the
reason for a sell
transaction.
Price paid per RIN.
The requested
RIN Year must
fall within the
RIN Year range
defined by the
RIN Years
Allowed
parameter.
The allowable
reason code
reported by an
organization
when selling
RINSare
dependent on
their business
activities as
registered with
EPA.
A "Cancel" trade
must match a
pending trade.
"Incorrect
Trading Partner"
can only be
reported for
assigned RINs.
The RIN price or
gallon price
must be
provided.
6028
6035
6041
6045
6036
(cont.
Section 6
6-30
-------
EMTS Transaction Instructions
Figure 6-14: Data Elements for SellTransactionDetail (cont.)
Data Element QA Checks
Data Type
xsd:decimal
xsd:date
xsd:string
xsd:string
complex
complex
Name
Gallon PriceAmount
TransactionDate
PTDNumber
TransactionDetailCommentText
SellSupportingDocumentDetail
SellOriginatingSourceDetail
Required Description Description Number
No
Yes
No
No
No
No
Price paid per gallon of
renewable fuel.
The date of the RIN
transaction.
The PTD number
associated with the
transaction.
Comment provided by
the user on the
transaction.
Information for the
industry user to create
user defined data to
report supporting
document identifiers.
Information on the
original renewable fuel
production.
The RIN price or
gallon price
must be
provided.
The transaction
date specified
may not occur in
the future.
Transaction date
must be within
the last 5
business days
per40CFR
80.1452(b).
If reason
"Standard
Trade" or
"Cancel" is not
provided for a
sell transaction
then a comment
must be
provided.
6036
6020
6055
6037
Section 6
6-31
-------
EMTS Transaction Instructions
6.5.5 Buying RINs
The complex type BuyTransactionDetail is used to acquire RINs that are being traded from another
organization as a result of a sell transaction. This transaction type requires basic information regarding the
quantity of RINs, fuel code, and year in which the fuel was produced.
How these data elements are processed: Buying RINs requires that you identify the number of RINs
being sold and the trading partner (or seller) you are buying RINs from.
One method is to wait for a sell transaction to be sent to you with the specifications for the quantity of RINs,
batch volume, fuel code, assignment code, and the year in which the fuel was produced. You should use
these exact specifications when responding to the sell transaction. EMTS will match these specifications to
any existing sell transactions that are pending with your trading partner and complete the trade. You may
also initiate a buy transaction prior to the seller sending you a notification. If your buy transaction is
received by EMTS before the seller has initiated a sell transaction, your request will be queued until a
matching sell has been submitted to EMTS by the seller. If the seller does not respond to your buy request
within ten business days, the trade will expire. In both cases, a record of this incomplete submission is
recorded in EMTS.
You must provide a reason for why you are buying RINs. In addition, you must provide either the agreed
upon price per RIN or the price per gallon established between you and the seller.
If you need to provide supporting information regarding the trade, such as document identifiers or notes,
use the BuySupportingDocumentDetail complex type. Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be sold, you can do so by using the
BuyOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to
match the specific batch in the seller's RIN Holding Account; however, if the batch cannot be found, the
transaction will fail.
Figure 6-15 shows the data elements for BuyTransactionDetail.
Section 6
6-32
-------
EMTS Transaction Instructions
Figure 6-15: Data Elements for BuyTransactionDetail
Data Element QA Checks
Data Type Name Required Description Description Number
xsd:string
xsd:string
xsd: positive
Integer
xsd:decimal
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
Yes
Yes
Yes
No
This identifies the buyer
organization for a sell
transaction or the selling
organization for the buy
transaction using either
the
Organizationldentifier
designated by OTAQReg.
The name of the
organization trading
partner.
The total number of RINs
specified in the
transaction.
The volume of
renewable fuel sold in
the transaction.
The transaction
partner
organization
must be
registered at
EPA and be
active.
If the
assignment code
is "1," then
batch volume
must be
specified.
For assigned
RINs that are
being bought,
the ratio of RINs
to fuel must be
greater than 0
but less than
2.5.
Batch Volume
must be
specified if
Gallon Price is
specified.
4018
4011
4032
4054
(cont.
Section 6
6-33
-------
EMTS Transaction Instructions
Figure 6-15: Data Elements for BuyTransactionDetail (cont.)
Data Element QA Checks
Data Type Name Required Description Description Number
xsd:string
xsd:string
xsd:gYear
FuelCode
AssignmentCode
RINYear
Yes
Yes
Yes
The renewable fuel code
for the RINs being sold
as defined in 40 CFR
Section 80.1426.
A code that indicates
whether the RIN is
transacting as an
assigned RIN or a
separated RIN.
The RIN year is the year
in which the fuel is
produced.
The fuel code
reported must
be a valid code
that is
recognized by
EPA.
If assignment
code is "1," then
the batch
volume must be
specified.
The assignment
code reported
must be a valid
code that is
recognized by
EPA.
RIN Year may
not be greater
than the year
associated with
the specified
Transaction
Date.
The requested
RIN Year must
fall within the
RIN Year range
defined by the
RIN Years
Allowed
parameter.
4024
4011
4025
4019
4028
(cont.
Section 6
6-34
-------
EMTS Transaction Instructions
Figure 6-15: Data Elements for BuyTransactionDetail (cont.)
Data Element QA Checks
Data Type Name Required Description Description Number
xsd:string
xsd:decimal
xsd:decimal
xsd:date
BuyReasonCode
RINPriceAmount
Gallon PriceAmount
TransactionDate
Yes
No
No
Yes
This code identifies the
reason for a buy
transaction.
Price paid per RIN.
Price paid per gallon of
renewable fuel.
The date of the RIN
transaction.
The allowable
reason code
reported by an
organization
when buying
RINSare
dependent on
their business
activities as
registered with
EPA.
A cancel trade
must match a
pending trade.
"Incorrect
Trading Partner"
can only be
reported for
assigned RINs.
The RIN price or
gallon price
must be
provided.
The RIN price or
gallon price
must be
provided.
The transaction
date specified
may not occur in
the future.
4035
4041
4045
4036
4036
4020
(cont.
Section 6
6-35
-------
EMTS Transaction Instructions
Figure 6-15: Data Elements for BuyTransactionDetail (cont.)
Data Element QA Checks
Data Type Name Required Description Description Number
xsd:string
xsd:string
complex
complex
PTDNumber
TransactionDetailCommentText
BuySupportingDocumentDetail
BuyOriginatingSourceDetail
No
No
No
No
The PTD number
associated with the
transaction.
Comment provided by
the user on the
transaction.
Information for the
industry user to create
user defined data to
report supporting
document identifiers.
Information on the
original renewable fuel
production.
Transaction date
must be within
the last 10
business days
per40CFR
80.1452(b).
If reason
"Standard
Trade" or
"Cancel" is not
provided for a
buy transaction
then a comment
must be
provided.
4055
4037
Section 6
6-36
-------
EMTS Transaction Instructions
6.5.6 Retiring RINs
To identify RINs that you wish to retire, in order to meet your RVO, or to record a batch of RINs that are no
longer valid due to spillage or other issue, report this information using the RetireTransactionDetail
complex type.
How these data elements are processed: Retiring RINs requires that you identify the number of RINs
being retired, the fuel code, assignment code, year in with the fuel was produced, and the compliance year
which the RINs are being retired. EMTS will find the oldest batch of fuel in your inventory and transfer
ownership of the RINs to an EPA RIN Holding Account This ensures that you are retiring, on a first-in, first-
out (FIFO) basis, the earliest RINs that you own as defined by production date. In addition to the RINs that
you identify to retire, you must provide a reason for retirement.
If you are retiring RINs to meet an obligation, you must also provide the level of compliance being met You
may retire RINs to meet an organization's overall obligation, or a specific facility level obligation (refiners
only). If you are retiring RINs for a specific facility site, report the public facility identifier for the site.
If you are retiring RINs for non-obligation purposes, do not report the compliance year or compliance level.
In both cases, provide a reason for the retirement of the RINs.
If you need to provide supporting information regarding the retire transaction, such as document
identifiers or notes, use the RetireSupportingDocumentDetail complex type. Use this complex type to
create user-defined information by providing the type of document that contains the information and an
identification number or code for the document For example, if you wish to report an invoice number,
place "invoice" as the text for SupportingDocumentText and the invoice number for
SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be retired (particularly for spillage or spoilage of fuel
batches), you can do so by using the RetireOriginatingSourceDetail complex type to identify the facility
and batch number. EMTS will try to match the specific batch in your RIN Holding Account; however, if you
no longer own these RINs, or the batch cannot be found, the transaction will fail.
Figure 6-16 shows the data elements for RetireTransactionDetail.
Section 6
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EMTS Transaction Instructions
Figure 6-16: Data Elements for RetireTransactionDetail
Data Elements QA Checks
Data Type
xsd: positive
Integer
xsd:decimal
Name
RINQuantity
BatchVolume
Required Description Description Number
Yes
No
The total number of
RINs specified in the
transaction.
The volume of
renewable fuel, if
any, associated with
the RINs that are
being retired.
If Batch Volume is
provided, then the
ratio of RINs to
fuel must be
greater than "0"
but less than
"2.5."
The organization
must have enough
available RINs in
its holding
account to
complete the
transaction.
If reason code
"Reportable Spill,"
"Contaminated or
Spoiled Fuel,"
"Import Volume
Correction,"
"Renewable Fuel
Used in a Boiler or
an Ocean-Going
Vessel," or
"Volume error
correction" is
provided for a
retire transaction
then Batch
Volume must also
be provided.
7032
7900
7040
(cont.
Section 6
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EMTS Transaction Instructions
Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements QA Checks
Data Type
xsd:string
xsd:string
xsd:gYear
Name
FuelCode
AssignmentCode
RINYear
Required Description Description Number
Yes
Yes
Yes
The renewable fuel
code for the RINs
being retired as
defined in 40 CFR
Section 80.1426.
A code that indicates
whether the RIN is
transacting as an
assigned RIN or a
separated RIN.
The RIN year is the
year in which the
fuel is produced.
The fuel code
reported must be
a valid code that is
recognized by
EPA.
The assignment
code reported
must be a valid
code that is
recognized by
EPA.
The requested RIN
Year must fall
within the RIN
Year range
defined by the RIN
Years Allowed
parameter.
RIN Year may only
equal the
Compliance Year
or one year prior
to the Compliance
Year. This check
should only be
executed if reason
code equals
"Demonstrate
Annual
Compliance."
7024
7025
7028
7041
(cont.
Section 6
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EMTS Transaction Instructions
Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements QA Checks
Data Type
xsd:string
Name
RetireReasonCode
Required Description Description Number
Yes
This code identifies
the reason for a
retire transaction.
The allowable
reason code
reported by an
organization when
retiring RINs are
dependent on
their business
activities
registered with
EPA.
The reason code
reported must be
a valid code that is
recognized by
EPA.
If an organization
retires for
obligation, it must
be registered for
either a
compliance level
code of 20 or 50.
The "Delayed RIN
Retire" reason
code may only be
used with
Separated
Renewable Fuel (D
= 6) RINs.
7035
7039
7045
7046
(cont.
Section 6
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EMTS Transaction Instructions
Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements QA Checks
Data Type
xsd:gYear
xsd:string
Name
ComplianceYear
ComplianceLevelCode
Required Description Description Number
No
No
The compliance year
for which the
transaction is
applied.
The compliance
basis for the
submitting
organization:
Facility, Aggregated
Importer,
Aggregated Refiner,
Aggregated
Exporter, Non-
Obligated Party.
Compliance year is
required if the
reason code
"Demonstrate
Annual
Compliance" is
reported.
If the submittal
date is
on/between April
1 and December
31, then the
compliance year
must be the
current year. If
the submittal date
is on/between
January 1 and
February 28, the
compliance year
must be the
i
previous year.
If the compliance
level code
reported is
"Refinery by
Refinery," the
facility identifier
must be reported.
7016
7017
7021
(cont.
Section 6
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EMTS Transaction Instructions
Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements QA Checks
Data Type
xsd:string
Name
ComplianceFacilityldentifier
Required Description Description Number
No
The facility
identifier, as
registered in
OTAQReg, for the
facility that has a
compliance
obligation.
The compliance
level code
reported must be
a valid code that is
recognized by
EPA.
The allowable
compliance level
code reported by
an organization
when retiring RINs
is dependent on
their business
activities
registered with
EPA.
If a compliance
facility identifier is
reported, then the
compliance level
code must be
"Facility Level."
If a compliance
facility identifier is
reported, then the
facility identifier
must be
registered at EPA
and be active.
7042
7034
7022
7023
(cont.
Section 6
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EMTS Transaction Instructions
Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements QA Checks
Data Type
xsd:string
complex
complex
Name
Transaction DetailComment
RetireSupportingDocumentDetail
RetireOriginatingSourceDetail
Required Description Description Number
No
No
No
Comment provided
by the user on the
transaction.
Information for the
industry user to
create user defined
data to report
supporting
document
identifiers.
Information on the
original renewable
fuel production.
If reason code
"Reportable Spill,"
"Contaminated or
Spoiled Fuel,"
"Import Volume
Correction,"
"Invalid RINs,"
"Volume error
correction,"
"Enforcement
Obligation," or
"Remedial Action
- Retire for
Compliance" is
provided for a
retire transaction,
then a comment
must be provided.
7037
No RINs may be retired for compliance during the month of March.
Section 6
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EMTS Transaction Instructions
6.6 What Is the FIFO Process for Finding RINs?
When you identify a quantity of RINs that you wish to sell, separate, or retire, EMTS will find the closest
match of available RINs in your holding account for the specified fuel, RIN year, and assignment code. From
these RINs, EMTS will select the oldest batch of RINs based on the fuel production date. If the number of
RINs that you have specified in your transaction is smaller than the oldest batch EMTS finds in your
account, then that batch will be split into two smaller batches, one of which will be used for the transaction.
The batch not used in the transaction will remain in your RIN Holding Account with all the characteristics
of the original batch. As a consequence of this action, the number of RIN batches in your account may grow
as larger batches split into several smaller batches.
Alternatively, if the quantity requested is larger than one or more of the batches in your account, EMTS will
sum as many of the oldest batches together to reach the quantity desired.
If you specify an exact batch of RINs by reporting the originating source of the fuel (organization identifier,
facility identifier, and batch number), then EMTS will not use the first-in, first-out method, but look for the
specific batch.
6.7 How Do I Cancel a Buy or Sell Transaction?
EMTS has the capability to allow parties to cancel initiated buy and sell transactions if any party deems it
appropriate to cancel the transaction(s). A user may cancel transactions they have initiated either through
the EMTS website, or they can submit XML files through the node to cancel the transactions. Cancel
transactions must be identical (with the exception of the reason code) to the original transaction they are
intended to cancel. A cancel transaction must be submitted as a single transaction in a submission file. If a
cancel transaction is submitted in an XML file with other transactions (including other cancel transactions),
then the entire submission will fail.
Section 6
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Section 7: How Can I Access Information about My Organization's RINs?
EMTS provides you with a variety of documents to
access information regarding your organization's
RIN holdings, and current and past transactions.
These documents may be downloaded from the
"Reports" page of the EMTS user interface. Some
data, such as your RIN holdings, can also be
exported from the "RIN Holdings" page.
7.1 What Documents Does EMTS Provide?
Who should read Section 7:
Section 7 applies to all users responsible for
preparing data for EPA reports.
What you will find in Section 7:
This section includes information on how to
access the information you need from EMTS and
what information is available through standard
reports.
For each organization with which you are affiliated,
EMTS provides downloadable data to aid in
recordkeeping and reporting. Documents should be used to supplement your organization's internal
records and to check that EMTS has properly recorded your transactions. (Note: EMTS does not take the
place of the recordkeeping provisions as specified in 40 CFR 80.1454 or reporting in 40 CFR 80.1451; those
recordkeeping requirements are in addition to reporting through EMTS.) "Quick Search" options on any
report allow you to filter or constrain data to meet your needs. The following is a list and short description
of all documents available on the EMTS user interface.
Transaction History. Summary information on all transactions in which your organization initiated a
transaction or is the recipient of a trade. This document includes both transactions sent by XML file
submission or through online transactions on the EMTS user interface within the past 14 days.
Monthly Transaction History. This monthly document lists all generate, separate, buy, sell and retire
transactions submitted by your organization through XML files or the EMTS user interface during the prior
month.
Pending Trades. A list of all pending buy and sell transactions that your organization has either initiated
or received.
Pending Trade Details. A list of all pending buy and sell transactions that includes originating source
detail information for every batch that will be used in the transaction.
Completed Trades. A list of all of your organization's trades that have been completed in the last ten days.
This document includes trades that were initiated by your organization and trades that were initiated by
your trading partner.
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
Expired Trades. A list of an organization's pending trades that have expired in the previous ten days, as
well as all pending trades that will expire within the next 24 hours.
QA Feedback Report. A detailed list of all quality assurance check failures for a single submission file.
This document is available for download from the View Node Submissions page.
RIN Holdings. This document lists the current aggregate total RIN holdings for an organization grouped
by fuel code, assignment, and RIN year.
RIN Batches. A list of all RIN batches currently owned by your organization.
Cancelled Trades. A list of all initiated and received trades that you or our trading partner cancelled
before the completion date.
Transaction Status. This document, available nightly, includes transaction activity for the previous day.
NOTE: The Monthly Transaction History document is created for the prior month's transactions on the first
Saturday of every month. Once the prior month's Monthly Transaction History document has been created,
the Cancelled Trades, Completed Trades, Expired Trades, Pending Trades, Pending Trade Details,
Transaction History, and Transaction Status documents for
that month are purged.
Information about the number of RINs in your
organization's account can be found on your "RIN Holding"
page. This page is accessible from the EMTS homepage.
RINs are grouped by fuel code, RIN year, and assignment
code. By selecting a group of RINs you may navigate to more
detailed information about those RINs.
Submit Certified Transactions:
Certified reports of all transactions must
be certified and submitted to EPA on a
quarterly basis through the OTAQ DC
Fuels Submission (CDX: DCFuels).
7.2 How Do I Certify My Transactions?
All transactions processed by EMTS must be certified by your organization on a quarterly basis. EMTS will
send you a notification at the end of a quarter. Quarterly reports of your RIN holdings will be generated for
you and are available for download on the EMTS user interface. A recommended practice is to periodically
review your current RIN holdings on the EMTS user interface, checking the total quantity of RINs against
your own transaction records. You may download data from this page at any time.
It is your organization's responsibility to verify that all transactions represented in the quarterly reports
are true and accurate. After resolving any discrepancies between the downloaded reports from EMTS and
your organization's internal records, you must sign and submit the reports to EPA through the OTAQ DC
Fuels Submission program (CDX: DCFuels). Reports are due May 31, August 31, November 30, and
February 2 8.
Section 7
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EMTS Transaction Instructions
7.2.1 What Quarterly Reports Does EMTS Provide?
EMTS will generate up to four quarterly reports for your organization based on its registered business
activities. Quarterly reports contain transactional information reported by your organization. Should this
data differ from your organization's internal records, you must report the errors in EMTS. Once you have
submitted these errors, EMTS will generate a Transaction Error Report that must also be submitted to DC
Fuels with your other reports.
EMTS offers all reports in PDF and CSV format Some reports such as the RIN Generation Report and the
RIN Transaction Report are also available in XML format for easier data management However, the
reports you submit to DC Fuels must be in PDF format.
RIN Generation. Details of all generate transactions that your organization has submitted for the quarter.
RIN Transaction. Details of all separate, buy, sell, and retire transactions that your organization has
submitted for the quarter.
RIN Activity (Assigned). The total number of assigned RFS2 RINs owned at the start of the quarter; the
aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at
the end of the quarter.
RIN Activity (Separated). The total number of separated RFS2 RINs owned at the start of the quarter; the
aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at
the end of the quarter.
Transaction Error. A list of all transaction errors reported for the quarter. Errors are reported using the
EMTS web application. For information on how to report transaction errors, please see Section 5.4.9 of
these instructions.
7.2.2 What Annual Reports Does EMTS Provide?
In support of the RFS2 Annual Compliance Reporting requirements, EMTS will generate an aggregate
report and a batch-level report for all RINs retired for the most recent Compliance Year.
Annual Statement. An aggregate view of all RIN batches retired for compliance. It is broken down by Fuel
Code, Compliance Year, Compliance Level, and Compliance Facility (if applicable).
Annual Report. A list of all RIN Batches retired for compliance for a single Compliance Year.
More information about submitting reports can be found in Section 3, "What Are the Key Reporting
Deadlines?"
Note: These EMTS annual reports do not need to be submitted to EPA. This information is already
submitted via the quarterly reports (Activity and Transaction reports) and the Annual Compliance report.
Section 7
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Section 7
7-4
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Section 8: How Do I Contact EMTS Support?
EMTS provides you with several avenues for obtaining
support for all of your EMTS and RFS questions. Access to the
"Help" page is available via the "Help" link in the upper right
corner of each screen of the EMTS website. From the Help
page, you can find contact information for EMTS Support and
EPA Fuels Programs Support. There are also links to
meetings, presentations, tutorials, documentation, frequent
questions, and the EMTS Conversion Tool located on the
EMTS Support website, which can be found at
http://www.epa.gov/otaq/fuels/renewablefuels/epamts.htm.
Who should read Section 8:
All EMTS users.
What you will find in Section 8:
Directions on how to obtain help and
information regarding changes in
EMTS.
8.1 How Does EPA Communicate Changes to Me?
EPA will keep you informed on the latest developments to EMTS and the RFS program. Upon entering
EMTS you can find current notices and information in "Announcements," located to the right of the
homepage. Here, EPA will post the latest EMTS news and reminders of upcoming deadlines. Each
announcement can be viewed in detail by clicking on it to retrieve the full text. You may also sign
up to receive the latest EMTS and RFS news through Enviroflash email notifications at
https://enviroflash.epa.aov/enviroflashOTAQPublic/Subscriber.do?method=start.
Figure 8-1 shows the Announcements feature.
Figure 8-1: Announcements
> Transaction Bin
> Organizations
•*- Announcements
] EMTS Version 1.3
Welcome to EMTS version 1.3!
I Test announcement #1
x>EPA
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
When changes necessitate updates to the conversion tool or the EMTS schema, you will be notified of this
and the newest version of the tool and the schema will be made available for download on the EMTS user
interface.
8.2 Where Do I Go If I Have a Question about EMTS?
Answers to most of your EMTS questions may be found on the EMTS website or in these Transaction
Instructions. If you need additional information, you also have the option of emailing the EMTS Support
Line. In the header of every page of EMTS you will find a link to "Help" where you will find the email and
phone number of the EMTS Support Line.
8.3 Where Do I Go If I Have a Question about the Renewable Fuel Standard?
For RFS questions, just as with EMTS questions, you may always email EPA Fuels Programs Support or the
EMTS Support Line. Emails may be sent to EPAFuelsPrograms@epa.gov. If you require immediate
assistance, you may call 202-343-9755.
The Renewable Fuel Standard is available to view and download from the U.S. Federal Register website.
Further information regarding the RFS rule can be obtained from the EPA website at
http://www.epa.gov/otaq/fuels/renewablefuels/index.htm.
8.4 Who Should I Contact If I Need Help Resolving a Problem in EMTS?
If you are experiencing a technical problem with EMTS, please first view the Frequent Questions web page
which provides solutions to common issues users encounter. If you cannot find the appropriate
information, or if you have questions regarding the data that appears in your RIN Holding Account, you
may wish to contact the support lines for help. The "Help" link at the top of each page of EMTS opens the
Help page which contains a "Contact Us" link. Emails may be sent to support@epamts-support.com. If you
require immediate assistance and wish to speak to a technical representative to help you troubleshoot an
issue, you may call the EMTS Support Line at 1-800-385-6164.
Section 8
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Appendix A: Referenced Documents
• Attest Engagements
h ttp://www. epa.go v/o ta q/regs/fuels/a ttestengage. h tm
• OTAQ Fuel Registration Instructions
h ttp://www. epa.go v/o ta q/regs/fuels/fuelsregistra tio n. h tm
• OTAQ Fuel and Fuels Additives Registration (FFARs)
h ttp://www. epa.gov/o taq/regs/fuels/ffarsfrms. h tm
• Quarterly and Annual Report Forms
h ttp://www. epa.gov/o taq/regs/fuels/rfsforms. h tm
• C e ntral D ata E xchange
http://www.cdx.epa.gov/epa_home.asp
• OTAQ Fuels Registration Process
h ttp://www. epa.gov/o taq/regs/fuels/fuelsregistration. h tm
http://www.epa.gov/OMS/regs/Juels/420b09011.pdf
• User Manual for CDX/OTAQ Fuels Reporting System -- Phase II
h ttp://www. epa.gov/o taq/regs/fuels/42 Ob07012.pdf
• EPA Exchange Network
http://www.exchangenetwork.net
• EPA Data Registry Services
http://iaspub.epa.gov/sorjnternet/registry/datastds/flndadatastandard/epaapproved/
• EMTS Website
h ttp://www. epa.gov/o taq/fuels/renewablefuels/epam ts. h tm
United States
Environmental Protection
Agency
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Appendix A
A-2
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EMTS Transaction Instructions
Appendix B: Glossary
EMTS Transaction Instructions Glossary
Title Definition
Agent
Assigned RIN
Asynchronous
Audit Trail
Authentication
Authorization
Batch
Batch RIN
Blender
Business Activities
CDX Central Data Exchange (CDX)
Check
Company
Data Exchange Standard
Dataflow
Deficit Carryover
An agent acts on behalf of a company or facility. An agent has one
user account and can be associated with one or more companies or
facilities.
A RIN attached to a gallon of renewable fuel that can only be
transferred along with a volume of fuel.
Communication between two parties or systems in which data can be
transmitted intermittently rather than in a steady stream.
The set of data that has been stored in EMTS providing historical
details about specific actions.
The process to confirm the identity of the user.
The process to verify a user's permission to perform some
functionality.
A volume of renewable fuel.
A RIN number that represents a specific batch of renewable fuel
produced or imported.
Party who blends renewable fuel into gasoline or diesel fuel at or
below the levels that allow the separation of RINs.
The characteristics of a company that determine the type of
transactions it can do in EMTS.
Central Data Exchange. EPA's gateway for receiving environmental
information through the Web. Serves as the EPA node on the
Exchange Network.
A discrete unit of logic used to implement a business rule, or other
validation of data.
A business entity with one or more users in EMTS.
Specification identifying content and format of data that will be
exchanged between multiple parties or systems.
Within CDX, the identification of how data moves from one specified
location to another specified location.
Deficit of RINs from a previous year RVO that is added to a current
year RVO as specified in 40 CFR §80.1407.
(cont.)
vvEPA
United States
Environmental Protection
Agency
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EMTSTransaction Instructions
EMTS Reporting Instructions Glossary (cont.)
Title Definition
Delegation (Upward)
Delegation (User)
EPA Moderated Transaction System (EMTS)
Facility
Fuel Category
Fuel (D Code)
Gallon-RIN
Generate Transaction
Importer
Industry User
Invalid RIN
Logging
Message
Node
The act by which a party that would normally be responsible for RIN
management transfers this responsibility to another party. For
instance, a blender may delegate this responsibility to a renewable
fuel producer. There is a limit of 125,000 gallons per year that a
company can delegate upwards as per 40 CFR §80.1440.
The act by which a responsible corporate officer of a regulated party
authorizes another party to perform transactions on the regulated
party's behalf.
EPA's centralized messaging, screening, and transaction system that
moderates RIN transactions.
An actual or virtual location where renewable fuel is produced or
imported.
The code that identifies the type of fuel for which an organization is
generating RINs.
The code that identifies the category of renewable fuel. There are
five different fuel types: Cellulosic Biofuel D = 3, Biomass-based
Diesel D = 4, Advanced Biofuel D = 5, Renewable Fuel D = 6 and
Cellulosic Diesel D = 7.
A RIN that represents one gallon of renewable fuel.
A transaction that creates a batch RIN. RINs may only be generated
when a batch of renewable fuel is produced or imported.
An entity that imports transportation fuel.
An EMTS user represents a regulated party.
A RIN described in 40 CFR §80.1431(a).
Functionality of a software system that stores information on the
system for auditing and tracking.
A communication between a registered party and EMTS using EPA's
exchange network. It includes all the data needed to process a
transaction.
A web server that facilitates the interface between database systems
and the Exchange Network. It is a registered party's "point of
presence" on the Exchange Network. Occasionally referred to as
"network node" or "Exchange Network Node."
(cont.)
Appendix B
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EMTSTransaction Instructions
EMTS Reporting Instructions Glossary (cont.)
Title Definition
Node Client
Notification
Obligated Party
Permissions
Refiner
Registered Party
RFS Regulated Party
Renewable Fuel
Renewable Fuel Exporter
Renewable Fuel Producer
Renewable Fuel Standard (RFS)
Renewable Identification Number (RIN)
Renewable Volume Obligation (RVO)
Retire Transaction
RIN Account
RIN Assignment Code
The software program that provides integration with the Exchange
Network Directory Service (ENDS). Within the node client, the user
selects a dataflow, enters the dataflow, enters authentication
information, and then uses the Exchange Network and CDX services.
The communication that is returned by EMTS to the sender or
receiver of a transaction. Notifications may occur before the
message is evaluated in any way other than format checks.
A party which is subject to a RVO(s) and produces gasoline or diesel,
or imports gasoline or diesel as per 40 CFR §80.1406.
The ability to perform certain actions within EMTS.
A company who refines gasoline or diesel fuel.
Any user of EMTS who has gained access through the registration
process with EPA.
Any party that takes ownership of a RIN.
Transportation, heating oil, or jet fuel that is used to replace or
reduce the quantity of fossil fuel present in a fuel mixture used to
operate a motor vehicle, and which meets the definition in 40 CFR
§80.1401.
A party that exports renewable fuel and therefore has an RVO as per
40 CFR §80.1430
A party that produces renewable fuel.
The rule which sets the percentage of fuel produced which must be
renewable, for parties that produce gasoline or diesel, or import
gasoline or diesel.
An identifier that uniquely identifies a gallon of renewable fuel,
generated by a renewable fuel producer or importer. RINs are
assigned to batches of renewable fuel and are transferred to other
regulated parties.
The volume of renewable fuel, represented by RINs, that an
obligated party must obtain to be in compliance with the RFS.
A transaction where a regulated party removes a RIN from trading in
EMTS.
An account in EMTS used to store RINs.
A code that identifies whether or not a RIN is assigned to a gallon of
renewable fuel.
(cont.
Appendix B
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EMTSTransaction Instructions
EMTS Reporting Instructions Glossary (cont.)
Title Definition
RIN Block
RIN Credit
RIN Generation
RIN Owner
Role
Separate Transaction
Separated RIN
Small Refiner
Splash Blending
Stage
Submission
Submission Date
Trade
A group of sequential RINs identified by a start number and end
number. Larger RIN blocks can be split into smaller blocks, each
block being contiguous and sequential. RIN blocks cannot contain
duplicate RINs.
Credits that are transacted between renewable fuel producers to
refiners, importers exporters, and other obligated parties. RIN
credits are identified by unique identification numbers (RINs).
See Generate Transaction.
An owner of either assigned and/or separated RINs.
A set of permissions for functions that a person is allowed to
perform. A role is assigned to a user (person).
A transaction that terminates the assignment of the RIN to a volume
of renewable fuel. The resulting RINs are thereafter "separated."
A RIN which has been separated from a gallon of renewable fuel.
RINs may only be separated if a party has met the requirements in
§80.1429. A separated RIN can be transferred without an associated
volume of fuel.
A refiner that processes <75,000 bpd crude, or who has <1500
employees and processes <155,000 bpd crude.
The act of transferring and blending fuel simultaneously. Either party
involved in the transfer can separate the RINs if the requirements in
§80.1429 are met. However, both parties must agree on who will
separate the RINs.
The stage of a transaction defines where in the process of data
exchange a particular message or evaluation occurs. A stage ends
and a new stage begins when a message has been successfully
transmitted, queued, checked, processed, routed, and finalized.
Sending an XML file to EMTS, for the purposes of completing a
transaction. "Sending" can potentially occur via a node, a node
client, or a webform that takes inputted data and creates an XML file.
The date an XML file is sent to EMTS, for the purpose of completing a
transaction.
A two-part transaction, consisting of a sell transaction initiated by
one party and a buy transaction initiated by another party.
(cont.)
Appendix B
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EMTSTransaction Instructions
EMTS Reporting Instructions Glossary (cont.)
Transaction
A transaction describes an operation on a batch RIN or gallon-RIN. A
transaction comprises a series of actions related to a specific process.
Each transaction is processed in stages and results in the return of a
message to the sending party identifying subsequent data on the
transaction.
Transaction Date
The date on which a transaction occurs outside of EMTS. This is the
date recorded on the Product Transfer Document (PTD).
Transaction Instructions
A document made available to EMTS users that identifies procedures
needed to ensure adherence with the data exchange standard.
Transaction Log
The history of all of transactions which have been processed by
EMTS.
Transfer
The process of deducting RINs from one RIN account and adding the
same RINs to a different RIN account.
User
A person who interacts with EMTS. A person authorized to use
EMTS.
XML
A markup language for documents containing structured
information. The XML specifications define a standard way to add
markup to documents. Its primary purpose is to facilitate the sharing
of structured data across different information systems, particularly
over the internet.
XML Document
An XML document is a file containing data organized into a
structured document. An XML document is considered "well-
formed" if it conforms to all XML syntax rules. An XML document is
considered valid if it conforms to all the semantic rules defined by an
associated XML schema. An XML document cannot be processed if it
is not well-formed. XML documents have the extension .xml.
XML Schema
An XML schema describes the structure of an XML document. An
XML schema defines the set of rules to which the XML document
must conform in order to be considered "valid" according to the
schema. An instance of an XML schema is an XML document and is a
file with the extension .xsd.
Appendix B
B-5
-------
EMTSTransaction Instructions
[Thispage intentionally left blank.]
Appendix B
B-6
-------
EMTS Transaction Instructions
Appendix C: QA Checks
The following table shows the checks that EMTS will apply to all data. Checks are categorized by functional
area or "Check Group." The check number indicates the type of transaction for which the check applies.
Checks by transaction type are as follows:
1000 - 1999 XSD Validation
2000 - 2999 Submission File
3000-3999 Generate RINs
4000-4999 Buy RINs
5000-5999 Separate RINs
6000-6999 Sell RINs
7000 - 7999 Retire RINs
EMTS QA Checks
Number
1000
1010
2000
2001
2002
2005
2006
Name
XML Validation
Invalid Code
User must be
Registered with CDX
and Active
User is associated with
the Submitting
Organization and Active
User Privileges
Organization must be
Registered with EPA
and Active
Organization RIN
Holding Account is
Enabled
Check Group
XML Validation
XML Validation
Submission
Submission
Submission
Submission
Submission
Description
The XML document must adhere to EMTS xsd and be
well-formed and valid.
The XML document must contain valid codes.
The user specified in the submission file must be
actively registered with CDX and have permission to
participate in EMTS.
The user specified in the submission file must have an
active association with the organization for which he is
submitting data.
The user specified in the submission file must be
authorized to perform the requested transactions on
behalf of the organization.
The organization in the submission file must be
registered with EPA and be active.
The organization's RIN Holding Account must be
active.
(cont.)
oEPA
United States
Environmental Protection
Agency
C-l
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
2008
2009
2011
2012
3000
3001
3002
3004
3005
3007
3008
3009
Name Check Group
Submittal Date Within
Range
At least one
Transaction per
Submission
Submitter must be
Registered with EPA
and Active
Submitter is associated
with the Submitting
Organization and Active
Generate Organization
differs from
Organization
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be provided
Generate Facility
Association with
Generate Organization
Generate Facility
Association with
Organization
Process Code Matches
Registration
Feedstock Code
Matches Registration
Fuel Category Code
Matches Registration
Submission
Submission
Submission
Submission
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Description
The submission date associated with the submission
file may not be a date occurring in the future.
There must be at least one transaction in the
submission file.
The data submitter must be registered with EPA and
be active.
The user specified in the submission file header must
be authorized to perform the requested transactions
on behalf of the organization.
If the generate organization is different than the
submitting organization identifier or RINPin, then the
organization must be an importer.
If the generate organization is provided, then it must
be registered with EPA and be active.
For generate transactions, the generate facility
identifier must be provided.
If generate organization is provided, then generate
facility must be actively associated with the generate
organization.
If generate organization is not provided, then the
generate facility must be actively associated with the
submitting organization.
The process reported in the production of fuel must
be registered with EPA.
The feedstock reported in the production of fuel must
be registered with EPA.
The fuel category reported in the production of fuel
must be registered with EPA.
(cont.)
Appendix C
C-2
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
3010
3011
3012
3013
3014
3016
3018
3019
3022
3023
3024
3025
3026
Name Check Group
CoProduct Code
Matches Registration
Production Date within
Range
Organization
Permissions
Ethanol Production
Denaturant Volume
Denaturant Volume
within Allowed Range
Batch Number must be
Provided
Batch Number must be
Unique
RIN Quantity must
equal the Product of
Equivalence Value and
Batch Volume
Feedstock Code must
be valid
Process Code must be
valid
CoProduct Code must
be valid
Equivalence Value
Range
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Description
If the co-product is reported for a fuel, it must be
registered with EPA.
The production date must not occur after the date
specified in submittal data.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
If "Non-cellulosic Ethanol" or "Cellulosic Ethanol" RINs
are reported in the generate transaction, then
denaturant volume must be reported.
If denaturant volume is reported, then "Non-cellulosic
Ethanol" or "Cellulosic Ethanol" must be reported.
When denaturant gallons are reported for ethanol
fuel, the amount specified cannot exceed two percent
of the total volume of fuel produced.
Batch number must be provided.
Batch number must be unique for an organization,
facility, and RIN year.
RIN Quantity must equal the product of Batch Volume
and Equivalence Value.
The feedstock code reported in the production of fuel
must be a valid code that is recognized by EPA.
The process code reported in the production of fuel
must be a valid code that is recognized by EPA.
The co-product code reported in the production of
fuel must be a valid code that is recognized by EPA.
The equivalence value reported may not exceed the
specified value for the fuel type produced.
(cont.
Appendix C
C-3
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
3027
3028
3030
3032
3033
3034
3040
3041
3042
3043
3044
3045
Name
Feedstock Measure
Code must be valid
Fuel Production Date
must be valid
Renewable Biomass
Fuel Code Matches
Registration
Fuel Category Code
must be valid
Fuel Code must be valid
Fuel Code Compatible
with Fuel Category
Fuel Code, Fuel
Category Compatible
with Process
Feedstock Compatible
with Fuel Code, Fuel
Category and Process
Foreign Producer
Cannot be a Small
Blender
Foreign Producer must
be Bonded
Foreign Producer
Generate Organization
Check Group
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Description
The feedstock measure code reported in the
production of fuel must be a valid code that is
recognized by EPA.
The production date of the fuel must fall within the
RIN Year range defined by the RIN Years Allowed
parameter.
If RINs are generated (RIN Quantity greater than or
equal to "1"), then at least one of the specified
feedstocks must be indicated as "Renewable
Biomass."
The fuel code reported must be registered with EPA.
The fuel category code reported in the production of
fuel must be a valid code that is recognized by EPA.
The fuel code reported in the production of fuel must
be a valid code that is recognized by EPA.
The fuel code reported must be compatible with the
fuel category used in the production of fuel.
The fuel code and fuel category reported must be
compatible with the process used in the production of
fuel.
The feedstock reported must be compatible with the
fuel code, fuel category, and process used in the
production of fuel.
If the generate organization differs from the
submitting organization then the generating
organization must not be a Small Blender.
If the Submission Organization is a Foreign Producer,
they must be bonded.
If the generate organization differs from the
submitting organization then the generating
organization must be a Foreign Producer.
(cont.
Appendix C
C-4
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
3047
3048
3049
3050
3051
3052
3055
3053
4001
4003
4005
Name Check Group
Import Facility
Required
Import Facility must be
Registered with the
EPA and active
Import Facility not
allowed
Import Facility
Required
Import Facility Not
Allowed
Generate Public Facility
Number must be
unique
Production Date must
be within Allowed
Range
Import Public Facility
Number must be
unique
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be Registered with EPA
Facility Identifier on
Blocked List
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Buy
Buy
Buy
Description
If the generate organization differs from the
submitting organization then the ImportFacilityld is
required.
If the import facility is provided, it must be registered
with the EPA and active
Import Facility Identifier not allowed if not importing
fuel.
If the submitting organization is only a renewable fuel
importer, then they must provide an Import Facility
Identifier.
If the Import Facility Identifier is populated, then the
submitting organization must be a renewable fuel
importer.
The generate facility number specified must be unique
for the organization.
Production date must be within the last 5 business
days per 40 CFR 80.1452(b).
The import facility number specified must be unique
for the organization.
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided in the submission
file then it must be registered with EPA.
If you have created a list of facilities for which you do
not want to own any fuel, should a transaction include
the facility as the originating source the transaction
will automatically fail.
(cont.)
Appendix C
C-5
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
4006
4007
4011
4012
4013
4014
4015
4018
4019
4020
4024
Name Check Group
Batch Number
Generate Facility
Assignment Code of "1"
Organization
Permissions
Organization Identifier
on Blocked List
Facility Identifier on
Blocked List
Trade Contains Blocked
RINs
Transaction Partner
Organization
Registered at EPA and
Active
RIN Year Range
Transaction Date
Consistent
Fuel Code must be valid
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must be reported as well.
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
If assignment is "1," then the batch volume must be
specified.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
If you have created a list of organizations for which
you do not want to own any fuel, should a transaction
include the organization as the originating source, the
transaction will automatically fail.
If you have created a list of facilities for which you do
not want to own any fuel, should a transaction include
the organization as the originating source, the
transaction will automatically fail.
If the buy transaction has a matched sell transaction,
the RINs reserved for the Sell cannot have been
generated by an organization or facility on the
submitting organizations blocked list.
The transaction partner organization must be
registered at EPA and be active.
RIN Year may not be greater than the year associated
with the specified Transaction Date.
The transaction date specified may not occur in the
future.
The fuel code reported must be a valid code that is
recognized by EPA.
(cont.
Appendix C
C-6
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
4025
4028
4032
4034
4035
4036
4037
4041
4042
4043
4045
4052
4054
4055
Name Check Group
Assignment Code must
be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Reason Code must be
valid
Allowable Reason Code
RIN Price or Gallon
Price Provided
Reason Comment
Cancel Trade
Same Buy and Sell
Organization
One Cancel per
Submission
Incorrect Trading
Partner
Public Facility Number
must be unique
Batch Volume Gallon
Price
Transaction Date must
be within Allowed
Range
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
The assignment code reported must be a valid code
that is recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN Years Allowed parameter.
For assigned RINs that are being bought, the ratio of
RINs to fuel must be greater than "0" but less than
"2.5."
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
The allowable reason code reported by an
organization when buying RINs are dependent on their
business activities as registered with EPA.
The RIN price or gallon price must be provided.
If reason "Standard Trade" or "Cancel" is not provided
for a buy transaction then a comment must be
provided.
A Cancel trade must match a pending trade.
The buying organization cannot be the same as the
selling organization.
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
"Incorrect Trading Partner" can only be reported for
assigned RINs.
The facility number specified must be unique for the
organization.
Batch Volume must be specified if Gallon Price is
specified.
The Transaction date must be within the last 10
business days per 40 CFR 80.1452(b).
(cont.)
Appendix C
C-7
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
5001
5003
5006
5007
5012
5019
5024
5028
5032
5034
5035
5036
Name Check Group
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be Registered with EPA
Batch Number
Generate Facility
Organization
Permissions
RIN Year Range
Fuel Code must be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Blender Organization
must be Registered
with EPA and Active
Allowable Reason Code
Blender Organization
Business Activity
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Description
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided then it must be
registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If a generate facility is reported, then the organization
where the fuel was produced must be reported as
well.
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
The RIN year cannot be in the future.
The fuel code reported must be a valid code that is
recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN Years Allowed parameter.
For assigned RINs that are being separated from a
volume of fuel, the ratio of RINs to fuel must be
greater than "0" but less than "2.5."
If a blender organization is provided, then it must be
registered with EPA and be active.
The allowable reason code reported by an
organization when separating RINs are dependent on
their business activities as registered with EPA.
If a Blender organization is specified then the
organization must have a business activity of small
blender.
(cont.
Appendix C
C-8
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
5037
5038
5039
5040
5046
5052
5900
5901
5902
5903
6001
Name Check Group
Reason Code must be
valid
Sufficient RINs
Small Blender Volume
Blender Organization
Delayed RIN Separation
Public Facility Number
must be unique
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Sufficient RINs (Facility)
Sufficient RINs (Batch)
Generate Organization
must be Registered
with EPA and Active
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Sell
Description
The reason code reported must be a valid code that is
recognized by EPA.
The organization must have enough available RINs in
its holding account for the specified Fuel and RIN Year
to complete the transaction.
RIN separated on behalf of a small blender may not
exceed the volume in gallons per calendar year as
determined by the Small Blender Maximum Volume
parameter.
If a Blender Organization Identifier or Blender Name is
reported then separate reason "Upward Delegation"
must also be reported.
If the organization specifies "Delayed RIN Separate" as
the reason code, then the fuel code may not be
Renewable Fuel (D = 6).
The facility number specified must be unique for the
organization.
The organization must have enough available RINs in
its holding account to complete the transaction.
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
If the generate organization is provided, then it must
be registered with EPA and be active.
(cont.)
Appendix C
C-9
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
6003
6006
6007
6011
6012
6018
6019
6020
6024
6025
6028
6032
6034
Name
Generate Facility must
be Registered with EPA
Batch Number
Generate Facility
Assignment Code of "1"
Organization
Permissions
Transaction Partner
Organization
Registered at EPA and
Active
RIN Year Range
Transaction Date
Consistent
Fuel Code must be valid
Assignment Code must
be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Reason Code must be
valid
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Description
If the generate facility is provided, then it must be
registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If a generate facility is reported, then the organization
where the fuel was produced must be reported as
well.
If the assignment is "1," then batch volume must be
specified.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
The transaction partner organization must be
registered at EPA and be active.
RIN Year may not be greater than the year associated
with the specified Transaction Date.
The transaction date specified may not occur in the
future.
The fuel code reported must be a valid code that is
recognized by EPA.
The assignment code reported must be a valid code
that is recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN Years Allowed parameter.
For assigned RINs that are being sold, the ratio of RINs
to fuel must be greater than "0" but less than "2.5."
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
(cont.)
Appendix C
C-10
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
6035
6036
6037
6038
6040
6041
6042
6043
6045
6052
6054
6055
6900
Name
Allowable Reason Code
RIN Price or Gallon
Price Provided
Reason Comment
Sufficient RINs
Trading Partner Cannot
Accept RINs
Cancel Trade
Same Buy and Sell
Organization
One Cancel per
Submission
Incorrect Trading
Partner
Public Facility Number
must be unique
Batch Volume Gallon
Price
Transaction Date must
be within Allowed
Range
Sufficient RINs (FIFO)
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Description
The allowable reason code reported by an
organization when selling RINs are dependent on their
business activities as registered with EPA.
The RIN price or gallon price must be provided.
If reason "Standard Trade" or "Cancel" is not provided
for a sell transaction then a comment must be
provided.
The organization must have enough available RINs in
its holding account for the specified Fuel, RIN Year,
and Assignment Code to complete the transaction.
The trading partner was unable to complete the
transaction.
A Cancel trade must match a pending trade.
The selling organization cannot be the same as the
buying organization.
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
"Incorrect Trading Partner" can only be reported for
assigned RINs.
The facility number specified must be unique for the
organization.
Batch Volume must be specified if Gallon Price is
specified.
Transaction date must be within the last 5 business
daysper40CFR80.1452(b).
The organization must have enough available RINs in
its holding account to complete the transaction.
(cont.)
Appendix C
C-ll
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
6901
6902
6903
7001
7003
7006
7007
7012
7016
7017
7021
Name
Sufficient RINs
(Organization)
Sufficient RINs (Facility)
Sufficient RINs (Batch)
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be Registered with EPA
Batch Number
Generate Facility
Organization
Permissions
Compliance Year
Valid Compliance Year
Reporting Compliance
at the Refinery Level
Check Group
Sell
Sell
Sell
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Description
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided then it must be
registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
Compliance year is required if the reason code
"Demonstrate Annual Compliance" is reported.
If the submittal date is on/between April 1 and
December 31, then the compliance year must be the
current year. If the submittal date is on/between
January 1 and February 28, the compliance year must
be the previous year.
If the compliance level code reported is "Refinery by
Refinery," the facility identifier must be reported.
(cont.)
Appendix C
C-12
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number
7022
7023
7024
7025
7028
7032
7034
7035
7037
7038
7039
Name Check Group
Refinery Level
Compliance
Compliance Facility
Registered at EPA and
Active
Fuel Code must be valid
Assignment Code must
be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Allowable Compliance
Level Code
Allowable Reason Code
Reason Code Comment
Sufficient RINs
Reason Code must be
valid
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Description
If a compliance facility identifier is reported, then the
compliance level code must be "Refinery by Refinery."
If a compliance facility identifier is reported, then the
facility identifier must be registered at EPA and be
active.
The fuel code reported must be a valid code that is
recognized by EPA.
The assignment code reported must be a valid code
that is recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN_YEARS_ALLOWED parameter
If Batch Volume is provided, then the ratio of RINs to
fuel must be greater than "0" but less than "2.5."
The allowable compliance level code reported by an
organization when retiring RINs are dependent on
their business activities registered with EPA.
The allowable reason code reported by an
organization when retiring RINs are dependent on
their business activities registered with EPA.
If reason code "Reportable Spill," "Contaminated or
Spoiled Fuel," "Import Volume Correction," "Invalid
RINs," "Volume error correction," "Enforcement
Obligation," or "Remedial Action - Retire for
Compliance" is provided for a retire transaction, then
a comment must be provided.
The organization must have enough available RINs in
its holding account for the specified Fuel, RIN Year,
and Assignment Code to complete the transaction.
The reason code reported must be a valid code that is
recognized by EPA.
(cont.)
Appendix C
C-13
-------
EMTS Transaction Instructions
EMTS QA Checks (cont.)
Number Name Check Group Description
7040
7041
7042
7043
7044
7045
7046
7052
7900
7901
7902
7903
Reason Code Batch
Volume
Compliance RIN Year
Compliance Level Code
must be valid
Retire for Annual
Compliance
Retire as Refiner
Retire for Obligation
Registered Compliance
Code
Delayed RIN Retire
Public Facility Number
must be unique
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Sufficient RINs (Facility)
Sufficient RINs (Batch)
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
If reason code "Reportable Spill," "Contaminated or
Spoiled Fuel," "Import Volume Correction,"
"Renewable Fuel Used in an Ocean-Going Vessel," or
"Volume error correction" is provided for a retire
transaction then Batch Volume must also be provided.
RIN Year may only equal the Compliance Year or one
year prior to the Compliance Year. This check should
only be executed if reason code equals "Demonstrate
Annual Compliance."
The compliance level code reported must be a valid
code that is recognized by EPA.
If retire for reason code "Demonstrate annual
compliance" is reported then the RINs must have an
assignment code of "2."
If the organization is a refiner, it cannot retire as
aggregate refiner or at facility level.
If an organization retires for obligation, it must be
registered for either a compliance level code of 20 or
50.
The "Delayed RIN Retire" reason code may only be
used with Separated Renewable Fuel (D = 6) RINs.
The facility number specified must be unique for the
organization.
The organization must have enough available RINs in
its holding account to complete the transaction.
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
Appendix C
C-14
-------
Appendix D: Business Activities by Transaction Type
The following chart shows the types of transactions allowed based on an organization's business activities. One organization may register for
multiple business activities.
TransacTion Types
Generate
Small
Refiner (less
than
155,000
gals/yr) &
has a small
refiner
exemption
Foreign
Renewable
Fuel
Producer
Bonded
Foreign
Renewable
Fuel
Producer
Unbonded
Domestic
Renewable
Fuel
Producer
Non-
Renewable
Fuel
Importer
Renewable
Fuel
Importer
Separate (Receipt of renewable fuel)
Separate [Blending)
Separate (Designation as Transportation Fuel)
Separate (Upstream Delegation for Blending]
Separate (Export]
Separate (Use as Home Heating Oil or let Fuel)
Separate (Use in Non-road Engine or Vehicle]
Separate [Designation as Home Heating Oil or Jet Fuel]
Trade assigned RIN's
Trade separated RIKs
Retire (Reported Spill]
Retire [Co:jra:r.::j57ec o" Spoiled Fuel)
Retire (Import Volume Correction]
Retire (Demonstrate Annual Compliance]
Retire (Invalid RIN]
Retire (Volume Error Correction]
Retire (Enforcement Obligation)
Retire (Fuel Used in an Ocean-Going Vessel)
Retire (Fuel used or designated to be used in any
application that is not transportation fuel, heating oil,
or jet fuel)
*May view information about transactions performed on their behalf.
|Yes
&EPA
United States
Environmental Protection
Agency
D-l
-------
[Thispage intentionally left blank]
Appendix D
D-2
-------
EMTS Transaction Instructions
Appendix E: Sample Transactions
E-l Generate Transaction
Generate transactions allow renewable fuel producers to generate RINs for a newly produced batch of fuel.
The characteristics of this new batch of fuel are used to identify the RINs for future transactions. Once
EMTS has successfully processed a generate transaction, the submitter can see the new RINs in the
organization's RIN Holding Account
Figure E-l shows the basic structure of a generate transaction. In this example, an ethanol Producer is
sending information about a batch of RINs and identifies the feedstock used to produce the fuel.
Figure E-l: General Structure of a Generate Submission
Generate! ransaction Detail
GenerateOriginatingSourceDetail
FeedstockDetail
FeedstockDetail
Coproduct Detail
User = Lucy Pelt
Organization = Ethanol Producers
Fuel = Renewable Fuel
Process = Nat. Gas (Wet Distiller)
Production Date = Jan. 7, 2009
Fuel Category = Ethanol
Batch Volume = 5,000 Gallons
Denaturant Volume = 238 Gallons
^RIN Quantity = 5,000
Generate Organization = Ethanol Producers
< Generate Facility = Cornish Plant
Batch Number = 300
Feedstock = Starch - Corn
Renewable Biomass = Yes
Feedstock Volume = 93,216
Feedstock Measure = Ibs
Feedstock = Starch - Annual Covercrops
Renewable Biomass = Yes
Feedstock Volume = 31,072
Feedstock Measure = Ibs
Coproduct = Wet Distiller Grains
&EPA
United States
Environmental Protection
Agency
E-l
-------
EMTS Transaction Instructions
Objective: Ethanol Producer generates 5,000 RINs.
Information to deliver:
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Process Code - The process code which describes how the renewable fuel was made.
• Production Date - The year of production is the RIN year which can be used by buyers and sellers to
specify RINs for a trade.
• Fuel Category - Indicates the type of renewable fuel produced.
• Batch Volume - The total volume in gallons of renewable fuel. For ethanol, batch volume includes
both the volume in gallons of un-denatured fuel and the volume in gallons of denaturant
• Denaturant Volume (for non-cellulosic ethanol and cellulosic ethanol fuel only) - The total volume
in gallons of denaturant added to the fuel.
• Equivalence Value - A multiplier directly related to the fuel code.
• RIN Quantity - The total number of RINs being generated in this transaction calculated by
multiplying the Batch Volume by the Equivalence Value.
Figure E-2 shows how these data would appear in a generate transaction data block.
Figure E-2: Generate Transaction Data Elements
Data Element
FuelCode
ProcessCode
ProductionDate
Value
6
10
2009-01-07
Reference
Renewable
Fuel
Grandfathered
(Dry Mill,
Natural Gas
Fired)
Required
Yes
Yes
Yes
Instructions
Enter a valid fuel code.
Enter a valid process code.
Enter the date in YYYY-MM-DD
format.
(cont.
Appendix E
E-2
-------
EMTS Transaction Instructions
Figure E-2: Generate Transaction Data Elements (cont.)
Data Element Value Reference Required Instructions
FuelCategory
BatchVolume
DenaturantVolume
EquivalenceValue
RINQuantity
Transaction DetailComment
10
5000
238
1.0
5000
Non-cellulosic
Ethanol
Yes
Yes
No
Yes
Yes
No
Enter a valid fuel type.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
Enter the volume in gallons of
denaturant added to the renewable
fuel.
Enter a valid equivalence value from
Section 5 of this document. This is a
multiplier directly related to fuel
code.
Enter the total number of RINs. This
must be a whole number.
Provide any additional information
regarding this transaction.
E-l.l Reporting the Originating Source
Every generate transaction requires information regarding the source of the fuel. For each generate
transaction, the following are required:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being generated.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
fuel associated with the RINs being generated.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being generated.
Figure E-3 shows how the originating source data would appear in a generate transaction.
Appendix E
E-3
-------
EMTS Transaction Instructions
Figure E-3: Generate Originating Source Data Elements
Data Element
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumberText
Value
1111
77777
300
Reference
Ethanol
Producers
Cornish Plant
Required
Yes
Yes
Yes
Instructions
Provide the public organization
identifier for the producer of the
fuel as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
E-1.2 Feedstocks
The generate transaction requires that additional information be provided regarding the kind of feedstocks
used to produce the fuel, the volume of each feedstock, and whether those feedstocks are renewable
biomass. In this example, two different feedstocks were used and information must be provided for both.
For each feedstock, the following are required:
• Feedstock Code - The Feedstock Code categorizes the type of material used to produce the
renewable fuel.
• Renewable Biomass Indicator - Enter "true" if the feedstock meets the definition of renewable
biomass as per §80.1401.
• Feedstock Volume - The total volume of the feedstock.
• Feedstock Measure Code - The unit of measure for the feedstock volume.
Figure F-4 shows how these data would appear for two feedstocks for a batch of RINs.
Appendix E
E-4
-------
EMTS Transaction Instructions
Figure E-4: Feedstock Data Elements
Data Element
FeedstockCode
RenewableBiomasslndicator
FeedstockVolume
FeedstockMeasureCode
FeedstockCode
RenewableBiomasslndicator
FeedstockVolume
FeedstockMeasureCode
Value
10
true
46.6
60
310
true
15.5
60
Reference
Starch — Corn
Yes
Ton
Starch -Annual
Covercrops
Yes
Ton
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Instructions
Enter a valid feedstock code. Enter as
many feedstocks as applicable.
Enter "true" if the feedstock qualifies
as renewable biomass.
Enter the total volume of the
feedstock used in production of the
fuel.
Enter a valid unit of measure code.
Enter a valid feedstock code found.
Enter as many feedstocks as
applicable.
Enter "true" if the feedstock qualifies
as renewable biomass.
Enter the total volume of the
feedstock used in production of the
fuel.
Enter a valid unit of measure code.
E-1.3 Reporting Co-product
If fuel production results in the creation of a co-product, this information must be reported in the generate
transaction. For each co-product, provide:
• Co-product Code - Code that categorizes the type of co-product
Figure F-5 shows how co-product data would appear in a generate transaction.
Appendix E
E-5
-------
EMTS Transaction Instructions
Figure E-5: Co-product Data Elements
Data Element
CoProductCode
Value
10
Reference
Wet Distiller
Grains
Required
No
Instructions
Enter a valid co-product code. Enter
as many co-products as applicable.
E-2 Separate Transaction
RINs are separated on a first-in-first-out basis in EMTS, unless additional information on the RIN batch is
provided. EMTS searches the organization's RIN holdings for RINs that match the fuel type and assignment
code specified and selects the quantity of RINs from the earliest acquired dates available. After EMTS has
processed the separate transaction, the organization's RIN holdings will display an assignment code of "2"
or "separated" for these RINs.
Figure F-6 shows the basic structure of a separate transaction. In this example, a Refiner is separating
16,000 RINs from 16,000 gallons of fuel.
Figure E-6: General Structure of Separate Transaction
SeparateTransactionDetail
User = Sam Smith
Organization = Ralph's Refiner
RIN Quantity = 16,000
Batch Volume = 16,000 Gallons
Fuel = Renewable Fuel
Reason = Receipt
RIN Year = 2009
Objective: Petroleum Refiner separates 16,000 assigned RINs.
Required Information:
• RIN Quantity - The total number of RINs being separated in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
Appendix E
E-6
-------
EMTS Transaction Instructions
• Separate Reason Code - Code that explains why the fuel is being separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
Figure E-7 shows how these data would appear in the separate transaction data block.
Figure E-7: Separate Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
SeparateReasonCode
RINYear
TransactionDetailComment
Value
16000
16000
6
10
2009
Reference
Renewable Fuel
Receipt of
renewable fuel
by obligated
party
Required
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid separate reason code.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
of this document.
E-3 Sell Transaction
When a user submits a sell transaction, information on the buying organization must be identified. EMTS
will check to make sure that the selling organization has the necessary RINs to complete the requested
transaction and will then place these RINs in a "pending" status until it receives the buyer's matching
transaction.
Figure F-8 shows the basic structure of a sell transaction. In this example, an Ethanol Producer is selling
1,000 gallons of fuel with 1,000 assigned RINs to a Blender.
Appendix E
E-7
-------
EMTS Transaction Instructions
Figure E-8: General Structure of a Sell Transaction
SellTransactionDetail
— SupportingDocumentDetail
User = Lucy Pelt
Organization = Ethanol Producers
Partner = Big Bob's Blending
RIN Quantity = 1,000
Batch Volume = 1,000 Gallons
Fuel = Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Standard Trade
Transaction Date = Jan. 15, 2009
Supporting Document = Invoice
Supporting Document ID = 1001
Objective: Renewable Fuel Producer sells 1,000 gallons of fuel and 1,000 RINs.
Required Information:
• Trading Partner Organization Identifier - The public identification number for the buying
organization obtained through EPA.
• Trading Partner Organization Name - The name of the buying organization.
• RIN Quantity - The total number of RINs being sold in this transaction.
• Batch Volume - The volume of renewable fuel associated with the RINs.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Sell Reason Code - Code that explains why these RINs are being sold.
• Gallon Price Amount - The price at which the RINs and fuel were sold.
• Transaction Date - The date on which the sell transaction occurred outside of EMTS.
Appendix E
E-8
-------
EMTS Transaction Instructions
Figure E-9 shows how these data would appear in the sell transaction data block.
Figure E-9: Sell Transaction Data Elements
Data Element Value Reference Required Instructions
Transaction PartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
Sell Reason Code
Gallon PriceAmount
TransactionDate
2222
Big Bob's
1000
1000
6
1
2009
10
2.50
2009-01-15
Big Bob's
Blending
Renewable
Fuel
Assigned to
Fuel
Standard
Trade
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying party.
Enter the total number of RINs. This
must be a whole number.
Enter volume of fuel in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid sell reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
(cont.)
Appendix E
E-9
-------
EMTS Transaction Instructions
Figure E-9: Sell Transaction Data Elements (cont.)
Data Element Value Reference Required Instructions
PTDNumber
Transaction DetailComment
8960
No
No
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
of this document.
E-3.1 Supporting Document Information
The user may wish to provide additional documentation numbers associated with the buy or sell
transaction. The supporting document data block allows the user to create user-defined document names
to report these numbers. In the example below, the user reported an invoice number for the sell.
Figure F-10 shows how data would appear in the supporting document information.
Figure E-10: Supporting Document Detail
Data Element
SupportingDocumentText
SupportingDocumentNumber
Value
Invoice
1001
Reference
Required
No
No
Instructions
Enter the type of document to which
the document number applies.
Enter the identification number for
the supporting document.
E-4 Buy Transaction
When a user submits a basic buy transaction, EMTS will match key data elements to the corresponding sell
transaction. EMTS will match on trading partner information, assignment code, RIN quantity, and fuel type.
If these fields do not match, the trade will fail.
Figure F-ll shows the basic structure of a buy transaction. In this example, a Blender is buying 1,000
gallons of fuel with 1,000 assigned RINs from a Producer.
Appendix E
E-10
-------
EMTS Transaction Instructions
Figure E-ll: General Structure of a Buy Transaction
Root
BuyTransactionDetail
User = Eddie Howard
Organization = Big Bob's Blending
Partner = Ethanol Producers
RIN Quantity =1,000
Batch Volume = 1,000 Gallons
Fuel = Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Standard Trade
Transaction Date = Jan. 15, 2009
Objective: Renewable Fuel Blender buys 1,000 gallons of fuel and 1,000 RINs.
Required Information:
• Trading Partner Organization Identifier - The public identification number for the selling
organization obtained through EPA.
• Trading Partner Organization Name - The name of the selling organization.
• RIN Quantity - The total number of RINs being sold in this transaction.
• Batch Volume - The total volume of renewable fuel associated with the RINs.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Buy Reason Code - Code that explains why these RINs are being bought.
• Gallon Price Amount - The price at which the RINs and fuel were bought.
• Transaction Date - The date on which the buy transaction occurred outside of EMTS.
Figure E-12 shows how these data would appear in the buy transaction data block.
Appendix E
E-ll
-------
EMTS Transaction Instructions
Figure E-12: Buy Transaction Data Elements
Data Element
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
BuyReasonCode
GallonPriceAmount
TransactionDate
PTDNumber
TransactionDetailComment
Value
1111
Ethanol
Producers
1000
1000
6
1
2009
10
2.50
2009-01-15
8960
Reference
Ethanol
Producers
Renewable
Fuel
Assigned to
Fuel
Standard
Trade
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
of this document.
Appendix E
E-12
-------
EMTS Transaction Instructions
E-5 Retire Transaction
E-5.1 Retire for Spillage
Retire transactions must include a reason for the retirement of a RIN batch.
Figure F-13 shows the basic structure of a retire transaction. In this example, a Producer is retiring 1,000
RINs because of spillage.
Figure E-13: General Structure of a Retire for Spillage Transaction
RetireTransaction Detail
OriginatingSourceDetail
f
tUser = Lucy Pelt
Organization = Ethanol Producers
RIN Quantity = 1,000
Fuel Code= Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Spillage
I Generating Organization = Ethanol Producers
< Generation Facility = Cornish Plant
Batch Number = 300
Objective: Renewable Fuel Producer retires 1,000 gallons of fuel for spillage.
Required Information:
• RIN Quantity - The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• Transaction Date - The date on which the spill occurred.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Retire Reason Code - Code that explains why the fuel is being retired.
Appendix E
E-13
-------
EMTS Transaction Instructions
Figure E-14 shows how these data would appear in the retire transaction data block.
Figure E-14: Retire Transaction Data Elements
Data Element Value Reference Required Instructions
RINQuantity
Batch Volume
FuelCode
AssignmentCode
RINYear
RetireReasonCode
Transaction DetailComment
1000
1000
6
1
2009
10
Renewable Fuel
Assigned to Fuel
Spillage
Spill occurred
while fuel was
in transit.
Yes
Yes
Yes
Yes
Yes
Yes
No
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Provide any additional information
regarding this transaction.
A transaction comment is not required for all retire transactions. However, with certain reason codes such
as retire for spillage,a comment must be provided explaining the use of that reason code. Additional
information about the originating source of the RINs may also be provided, but is not required. To specify
the batch, indicate:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
fuel associated with the RINs being sold.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being sold.
Figure E-15 shows how these data would appear in the originating source information for a batch of RINs.
Appendix E
E-14
-------
EMTS Transaction Instructions
Figure E-15: Retire Originating Source Data Elements
Data Element Value Reference Required Instructions
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumber
1111
77777
300
Ethanol
Producers
Cornish Plant
Yes
No
No
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
E-5.2 Retire for Compliance, Aggregated Refiner
To fulfill its Renewable Volume Obligation (RVO) for a particular year, an organization must retire RINs to
EPA's RIN Holding Account. The submitter for the organization must indicate the compliance year, the
compliance level code, and the reason code for the retire transaction. Upon completion of this transaction,
EPA will be the holder of the RINs.
Figure E-16 shows the basic structure of a retire transaction. In this example, a Refiner is retiring 1,000
RINs for compliance.
Figure E-16: General Structure of Retire Transaction for Compliance, Aggregated Refiner
Retire! ransactionDetail
User = Sam Smith
Organization = Ralph's Refiner
RIN Quantity = 1,000
Fuel = Renewable Fuel
Assignment = Separated
RIN Year = 2009
Reason = Compliance
Compliance Year = 2009
Compliance Level = Aggregated
Objective: Aggregated Refiner retires 1,000 RINs for compliance.
Required Information:
• RIN Quantity - The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
Appendix E
E-15
-------
EMTS Transaction Instructions
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Retire Reason Code - Code that indicates the RINs are retired for compliance.
• Compliance Year - The year in which the RINs are being used for compliance.
• Compliance Level Code - The compliance basis for the submitting organization.
Figure E-17 shows how these data would appear in the retire transaction data block.
Figure E-17: Retire Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
RetireReasonCode
ComplianceYear
Value
1000
6
2
2009
90
2009
Reference
Renewable Fuel
Separated
Demonstrate
annual
compliance
Required
Yes
No
Yes
Yes
Yes
Yes
Yes
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
(cont.)
Appendix E
E-16
-------
EMTS Transaction Instructions
Figure E-17: Retire Transaction Data Elements (cont.)
Data Element
ComplianceLevelCode
ComplianceFacilityldentifier
TransactionDetailComment
Value
20
Reference
Aggregated
refiner
Required
Yes
No
No
Instructions
Enter a valid compliance level code.
Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
of this document.
E-5.3 Retire for Compliance, Facility Level
When an organization wants to report compliance at the facility level, the user must submit a retire
transaction indicating a facility level reason code and the facility for which RINs are being retired.
Figure E-18 shows the basic structure of a retire transaction. In this example, a Refiner is retiring 1,000
RINs for compliance at the facility level.
Figure E-18: General Structure of a Retire Transaction for Compliance, Facility Level
Reti reTransaction Detail
User = Sam Smith
Organization = Ralph's Refiner
RIN Quantity = 1,000
Fuel = Renewable Fuel
Assignment = Separated
RIN Year = 2009
Reason = Compliance
Compliance Year = 2009
Compliance Level = Aggregated
Compliance Facility = Rex's Small Refinery
Objective: Petroleum Refiner retires 1,000 RINs for compliance at the facility level.
Appendix E
E-17
-------
EMTS Transaction Instructions
Required Information:
• RIN Quantity - The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Retire Reason Code - Code that indicates the RINs are being used for compliance.
• Compliance Year - The year in which the RINs are being used for compliance.
• Compliance Level Code - The compliance basis for the submitting organization.
• Compliance Facility Identifier - The public facility identifier of the facility that is retiring RINs for
compliance.
Figure E-19 shows how these data would appear in the retire transaction data block.
Appendix E
E-18
-------
EMTS Transaction Instructions
Figure E-19: Retire Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
RetireReasonCode
ComplianceYear
ComplianceLevelCode
ComplianceFacility Identifier
Transaction DetailComment
Value
1000
6
2
2009
90
2009
50
22222
Reference
Renewable Fuel
Separated
Demonstrate
annual
compliance
Facility Level
Rex's Small
Refinery
Required
Yes
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
Enter a valid compliance level code.
Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
of this document.
Appendix E
E-19
-------
EMTS Transaction Instructions
E-6 Advanced Options
E-6.1 Batch Specific Transactions
"Advanced Options" will be available to users who wish to submit separate, buy, sell, or retire transactions
for a specific batch of RINs. These transactions require the user to provide a greater level of detail than the
basic transaction as shown in this document. RINs can be specified by organization only, organization and
facility, or by organization, facility, and batch.
E-6.1.1 Batch Specific Sell Transaction
When a trade occurs involving a specific batch of RINs, the buying and selling organizations report the
additional information in the Originating Source data block, providing specifics on the organization and
facility that produced the fuel and the batch number.
Figure E-20 shows the basic structure of a batch specific sell transaction. In this example, a Producer is
selling 8,000 RINs from a specific batch to a Refiner.
Figure E-20: General Structure of a Batch Specific Sell Transaction
Root
SellTransaction Detail
OriginatingSourceDetail
/
tUser = Lucy Pelt
Organization = Ethanol Producers
Partner: Ralph's Refiner
RIN Quantity = 8,000
Fuel = Renewable Fuel
Assignment Status = Separated
RIN Year = 2009
Reason = Standard Trade
Transaction Date = Jan. 15, 2009
I Generating Organization = Ethanol Producers
•\ Generation Facility: Cornish Plant
I Batch Number: 301
Objective: Renewable Fuel Producer sells 8,000 separated RINs from a specific generating facility.
Required Information:
• Trading Partner Organization Identifier - The identification number for the buying organization
obtained through EPA.
• Trading Partner Organization Name - The name of the buying organization.
• RIN Quantity - The total number of RINs being retired in this transaction.
Appendix E
E-20
-------
EMTS Transaction Instructions
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Sell Reason Code - Code that explains why these RINs are being sold.
• RIN Price Amount - The price at which the RINs were sold.
• Transaction Date - The date on which the sell transaction occurred outside of EMTS.
Figure E-21 shows how these data would appear in the sell transaction data block for a specified batch of
RINs.
Figure E-21: Batch Specific Sell Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
Value
3333
Ralph's
8000
6
2
2009
Reference
Ralph's Refiner
Renewable Fuel
Separated
Required
Yes
Yes
Yes
No
Yes
Yes
Yes
Instructions
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying party.
Enter the total number of RINs.
This must be a whole number.
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
(cont.)
Appendix E
E-21
-------
EMTS Transaction Instructions
Figure E-21: Batch Specific Sell Transaction Data Elements (cont.)
Data Element
SellReasonCode
RINPriceAmount
TransactionDate
PTDNumber
Transaction DetailComment
Value
10
0.18
2009-01-15
2495
Reference
Standard Trade
Required
Yes
Yes
Yes
No
No
Instructions
Enter a valid sell reason code.
Enter the price per RIN in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
A batch specific transaction requires additional information about the originating source of the RINs. To
specify the batch, include:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
fuel associated with the RINs being sold.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being sold.
Figure E-22 shows how these data would appear in the originating source information for a batch of RINs.
Appendix E
E-22
-------
EMTS Transaction Instructions
Figure E-22: Sell Originating Source Detail
Data Element
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumberText
Value
1111
77777
301
Reference
Ethanol
Producer
Cornish Plant
Required
Yes
No
No
Instructions
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
E-6.1.2 Batch Specific Buy Transaction
Users submitting a buy transaction for specific RINs must identify the same information as the selling
organization as these fields will be used by EMTS to match the transactions. If any of these fields
identifying the RINs are incorrect, then the transaction will not be matched with its corresponding sell
transaction and the trade will not be processed.
Figure E-23 shows the basic structure of a batch specific buy transaction. In this example, a Refiner is
buying 8,000 RINs from a specific batch from a Producer.
Figure E-23: General Structure of a Batch Specific Buy Transaction
BuyTransactionDetail
OriginatingSourceDetail
I User = Sam Smith
| Organization = Ralph's Refiner
Partner = Ethanol Producers
RIN Quantity = 8,000
Fuel = Renewable Fuel
Assignment = Separated
RIN Year = 2009
Reason = Standard Trade
Transaction Date =Jan. 15, 2009
I Generating Organization = Ethanol Producers
<. Generation Facility = Cornish Plant
I Batch Number = 301
Objective: Petroleum Refiner buys 8,000 separated RINs from a specific generating facility.
Appendix E
E-23
-------
EMTS Transaction Instructions
Required Information:
• Trading Partner Organization Identifier - The identification number for the selling organization
obtained through EPA.
• Trading Partner Organization Name - The name of the selling organization.
• RIN Quantity - The total number of RINs being retired in this transaction.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Buy Reason Code - Code that explains why these RINs are being bought.
• RIN Price Amount - The price at which the RINs were bought.
• Transaction Date - The date on which the buy transaction occurred outside of EMTS.
Figure E-24 shows how these data would appear in the buy transaction data block for a specified batch of
RINs.
Figure E-24: Batch Specific Buy Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
Value
1111
Ethanol
Producers
8000
Reference
Ethanol
Producers
Required
Yes
Yes
Yes
No
Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.
Enter the total number of RINs. This
must be a whole number.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
(cont.)
Appendix E
E-24
-------
EMTS Transaction Instructions
Figure E-24: Batch Specific Buy Transaction Data Elements (cont.)
Data Element
FuelCode
AssignmentCode
RINYear
BuyReasonCode
RINPriceAmount
TransactionDate
PTDNumber
TransactionDetailComment
Value
6
2
2009
10
0.18
2009-01-15
2495
Reference
Renewable
Fuel
Separated
Standard
Trade
Required
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Instructions
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per RIN in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
Batch specific transactions require additional information about the originating source of the RINs. To
specify the batch, include:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
fuel associated with the RINs being sold.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being sold.
Figure E-25 shows how these data would appear in the originating source information for a batch of RINs.
Appendix E
E-25
-------
EMTS Transaction Instructions
Figure E-25: Originating Source Detail
Data Element
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumberText
Value
1111
77777
301
Reference
Ethanol
Producers
Cornish Plant
Required
Yes
No
No
Instructions
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
E-6.2 Non-One-to-One Ratio
Within the advanced options, it is also possible for organizations to separate, buy, and sell fuel and RINs at
a non-one-to-one ratio. Organizations may separate or sell up to two-and-a-half times as many RINs as the
associated fuel volume in a single transaction.
E-6.2.1 Separate Fuel and RINs in a Non-One-to-One Ratio
As an advanced option, users may choose to separate a quantity of RINs that exceeds the volume of
renewable fuel. The quantity of RINs may not be more than two-and-a-half times the volume of fuel. The
user will need to specify an assignment code of "1" to indicate that these RINs are assigned to fuel at the
time of the transaction.
Figure E-26 shows the basic structure of a non-one-to-one separate transaction. In this example, a Blender
is separating 2,500 RINs from 1,000 gallons of renewable fuel.
Figure E-26: General Structure of a Non-One-to-One Separate Transaction
Separate! ransactionDetail
User = Eddie Howard
Organization = Big Bob's Blending
RIN Quantity = 2,500
Batch Volume = 1,000 Gallons
Fuel = Renewable Fuel
Reason = Receipt
RIN Year = 2009
Objective: Renewable Fuel Blender separates 2,500 RINs from 1,000 gallons of fuel.
Appendix E
E-26
-------
EMTS Transaction Instructions
Required Information:
• RIN Quantity - The total number of RINs being retired in this transaction.
Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Separate Reason Code - Code that explains why the fuel is being separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
Figure E-27 shows how these data would appear in the separate transaction data block.
Figure E-27: Non-One-to-One Separate Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
SeparateReasonCode
RINYear
Transaction DetailComment
Value
2500
1000
6
10
2009
Reference
Renewable
Fuel
Receipt of
renewable fuel
by obligated
party
Required
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid separate reason code
found in Appendix A of this
document.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Provide any additional information
regarding this transaction.
Appendix E
E-27
-------
EMTS Transaction Instructions
E-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio
Users may submit a sell transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by
entering the appropriate Batch Volume and RIN Quantity. If the organization intends to sell RINs of
multiple fuel types, then the user will need to submit one transaction for each fuel type.
Figure E-28 shows the basic structure of a non-one-to-one sell transaction. In this example, a producer is
selling 10,000 RINs and 5,000 gallons of renewable fuel to a Refiner.
Figure E-28: General Structure of a Non-One-to-One Sell Transaction
User = Lucy Pelt
Organization = Ethanol Producers I
Partner = Ralph's Refiner
RIN Quantity = 10,000
Batch Volume = 5,000 Gallons
Fuel = Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Standard Trade
Transaction Date =Jan. 15, 2009
SellTransactionDetail
Objective: Producer sells 5,000 gallons of fuel and 10,000 RINs.
Required Information:
• Trading Partner Organization Identifier - The identification number for the buying organization
obtained through EPA.
• Trading Partner Organization Name - The name of the buying organization.
• RIN Quantity - The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Sell Reason Code - Code that explains why these RINs are being sold.
Appendix E
E-28
-------
EMTS Transaction Instructions
• Gallon Price Amount - The price at which the RINs and fuel were sold.
• Transaction Date - The date on which the sell transaction occurred outside of EMTS.
Figure E-29 shows these data would appear in the sell transaction data block.
Figure E-29: Non-One-to-One Sell Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
SellReasonCode
GallonPriceAmount
TransactionDate
Value
3333
Ralph's
10000
5000
6
1
2009
10
2.75
2009-01-15
Reference
Ralph's Refiner
Renewable
Fuel
Assigned to
Fuel
Standard
Trade
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Instructions
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying
organization.
Enter the total number of RINs.
This must be a whole number.
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid sell reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
(cont.
Appendix E
E-29
-------
EMTS Transaction Instructions
Figure E-29: Non-One-to-One Sell Transaction Data Elements (cont.)
Data Element
PTDNumber
TransactionDetailComment
Value
3462
Reference
Required
No
No
Instructions
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
E-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio
Users may submit a buy transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by
entering the appropriate Batch Volume and RIN Quantity. These values must match the values in the
corresponding sell transaction in order to be processed. If the organization intends to buy RINs of multiple
fuel types, then the user will need to submit one transaction for each fuel type.
Figure E-30 shows the basic structure of a non-one-to-one buy transaction. In this example, a Refiner is
buying 10,000 RINs and 5,000 gallons of renewable fuel from a Producer.
Figure E-30: Sample Structure of a Non-One-to-One Buy Transaction
BuyTransactionDetail
User = Sam Smith
Organization = Ralph's Refiner
Partner = Ethanol Producers
RIN Quantity = 10,000
Batch Volume = 5,000 Gallons
Fuel = Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Standard Trade
Transaction Date =Jan. 15, 2009
Objective: Petroleum Refiner buys 5,000 gallons and 10,000 RINs.
Required Information:
• Trading Partner Organization Identifier - The identification number for the selling organization
obtained through EPA.
• Trading Partner Organization Name - The name of the selling organization.
• RIN Quantity - The total number of RINs being retired in this transaction.
Appendix E
E-30
-------
EMTS Transaction Instructions
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
Cellulosic Diesel (D = 7).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Buy Reason Code - Code that explains why these RINs are being bought.
• Gallon Price Amount - The price at which the RINs and fuel were bought.
• Transaction Date - The date on which the buy transaction occurred outside of EMTS.
Figure E-31 shows how these data would appear in the submission file.
Figure E-31: Non-One-to-One Buy Transaction Data Elements
Data Element
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
AssignmentCode
Value
1111
Ethanol
Producers
10000
5000
6
1
Reference
Ethanol
Producers
Renewable
Fuel
Assigned to
Fuel
Required
Yes
Yes
Yes
Yes
Yes
Yes
Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
(cont.)
Appendix E
E-31
-------
EMTS Transaction Instructions
Figure E-31: Non-One-to-One Buy Transaction Data Elements (cont.)
Data Element
RINYear
BuyReasonCode
GallonPriceAmount
TransactionDate
PTDNumber
TransactionDetailComment
Value
2009
10
2.75
2009-01-15
3462
Reference
Standard
Trade
Required
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
Appendix E
E-32
-------
EMTS Transaction Instructions
Appendix F: User Roles and Permissions
Just as your organization's business activities dictate the transactions that it can perform in EMTS, your
User Role defines your permissions. Your user role is determined when you register your login ID with
EPA through the OTAQReg Fuels Programs Registration system. The following is a list of all the user roles
in EMTS, accompanied by a brief description of the actions each user can take.
Viewer - A viewer has limited permissions in EMTS and is restricted to read-only access. As a viewer, you
may view information about your organization but you may not change any information. You may view
your profile, organization information, RIN holdings, reports, transactions, submission log, announcements,
and any of the help features.
Submitter - A submitter has the ability to create transactions either through the EMTS user interface or
via batch file submissions. Any data you enter in a transaction will be stored in your organization's
Transaction Bin. A submitter has the same rights as a viewer in EMTS.
United Stales
Environmental Protection
Agency
F-l
-------
EMTS Transaction Instructions
[Thispage intentionally left blank.]
Appendix F
F-2
-------
Appendix G: Cross-reference Tables
The following tables show cross-reference codes for reporting transactions to EMTS.
The Business Activity by Separate Reason Code table shows which reasons can be reported for a separate transaction for a specific organization's
business activity.
Figure G-l: Business Activity by Separate Reason Code
Business Separate
Activity Reason
Code Description Code Description
10
10
10
10
10
10
10
30
30
30
30
30
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
20
30
40
60
70
80
90
20
30
40
60
70
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Home Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Home Heating Oil or Jet Fuel
Delayed RIN Separation
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Home Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
(contv
United Stales
Environmental Projection
Agency
G-l
-------
Figure G-l: Business Activity by Separate Reason Code (cont.)
Business Separate
Activity Reason
Code Description Code Description
30
30
40
40
40
40
40
40
40
50
50
50
50
50
50
50
60
60
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
80
90
10
20
30
40
60
70
80
20
30
40
50
60
70
80
10
20
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Delayed RIN Separation
Receipt of renewable fuel by obligated party
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Export of Renewable Fuel
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Receipt of renewable fuel by obligated party
Blending to produce a transportation fuel
(contv
Appendix G
G-2
-------
Figure G-l: Business Activity by Separate Reason Code (cont.)
Business Separate
Activity Reason
Code Description Code Description
60
60
60
60
60
70
70
70
70
70
70
80
80
80
80
80
80
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
30
40
60
70
80
20
30
40
60
70
80
20
30
40
60
70
80
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Appendix G
G-3
-------
The Business Activity by Buy Reason Code table shows which reasons can be reported for a buy transaction for a specific organization's business
activity.
Figure G-2: Business Activity by Buy Reason Code
Business
Activity Code
10
10
10
10
10
20
20
20
20
20
30
30
30
30
30
40
Description
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Buy Reason
Code
10
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
Description
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
(cont.
Appendix G
G-4
-------
Figure G-2: Business Activity by Buy Reason Code (cont.)
Business
Activity Code
40
40
40
40
50
50
50
50
50
60
60
60
60
60
70
70
70
70
Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Buy Reason
Code
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
30
40
50
Description
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
(cont.
Appendix G
G-5
-------
Figure G-2: Business Activity by Buy Reason Code (cont.)
Business
Activity Code
70
80
80
80
80
80
Description
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
Buy Reason
Code
60
10
30
40
50
60
Description
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Appendix G
G-6
-------
The Business Activity by Sell Reason Code table shows which reasons can be reported for a sell transaction for a specific organization's business
activity.
Figure G-3: Business Activity by Sell Reason Code
Business
Activity Code
10
10
10
10
10
20
20
20
20
20
30
30
30
30
30
40
Description
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Sell Reason
Code
10
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
Description
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
(cont.
Appendix G
G-7
-------
Figure G-3: Business Activity by Sell Reason Code (cont.)
Business
Activity Code
40
40
40
40
50
50
50
50
50
60
60
60
60
60
70
70
70
70
Sell Reason
Description Code Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
30
40
50
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
(cont.
Appendix G
G-8
-------
Figure G-3: Business Activity by Sell Reason Code (cont.)
Business
Activity Code
70
80
80
80
80
80
Description
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
Sell Reason
Code
60
10
30
40
50
60
Description
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Appendix G
G-9
-------
The Business Activity by Retire Reason Code table shows which reasons can be reported for a retire transaction for a specific organization's
business activity.
Figure G-4: Business Activity by Retire Reason Code
Business Retire
Activity Reason
Code Description Code Description
10
10
10
10
10
10
10
10
20
20
20
20
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
10
20
40
50
60
70
90
100
10
20
30
40
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Volume error correction
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Delayed RIN Retire
Reportable spill
Contaminated or spoiled fuel
Import volume correction
Renewable Fuel Used in an Ocean-going Vessel
(cont.
Appendix G
G-10
-------
Figure G-4: Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
20
20
20
20
30
30
30
30
30
30
30
30
40
40
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
50
60
70
90
10
20
30
40
50
70
90
100
10
20
Invalid RIN
Volume error correction
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Import volume correction
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Delayed RIN Retire
Reportable spill
Contaminated or spoiled fuel
(cont.
Appendix G
G-ll
-------
Figure G-4: Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
40
40
40
40
40
50
50
50
50
50
50
50
60
60
60
60
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
40
50
70
80
90
10
20
40
50
70
80
90
10
20
40
50
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
(cont.
Appendix G
G-12
-------
Figure G-4: Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
60
60
60
70
70
70
70
70
70
80
80
80
80
80
80
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
70
80
90
10
20
40
50
70
90
10
20
40
50
70
90
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Appendix G
G-13
-------
The Business Activity by Compliance Level Code table shows which compliance levels can be reported for a retire transaction for a specific
organization's business activity.
Figure G-5: Business Activity by Compliance Level Code
Business Activity
Code
Description
Compliance
Level
Code
Description
10
20
30
40
50
60
60
70
80
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Refiner
Refiner
Small Refiner
RIN Owner
40
40
40
10
30
20
50
40
40
Non-Obligated Party
Non-Obligated Party
Non-Obligated Party
Aggregated Importer
Exporter
Aggregated Refiner
Facility Level
Non-Obligated Party
Non-Obligated Party
For a list of valid combinations of fuel categories, processes, and feedstocks that can be reported for a fuel code (D code), please refer to the
"Reporting Codes and Fuel Pathways" document at http://www.epa.gov/otaq/juels/renewablejuels/epamts.htm.
Appendix G
G-14
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