EMTS Flow Configuration Document
Version: L5
SEPA
United States
Environmental Protection
Agency
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EMTS Flow Configuration Document
Version: L5
Compliance Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
Prepared for EPA by
SRA International, Inc.
EPA Contract No. EP-C-11-007
Work Assignment No. 0-06
IMPORTANT REMINDER:
Regulated parties are urged to conduct due diligence investigations and
exercise caution when conducting Renewable Identification Number (RIN)
transactions. Neither EPA nor its systems, including the EPA Moderated
Transaction System (EMTS), certify or validate RINs or make any provision for
parties who, despite good faith, transfer or receive invalid RINs. As specified
in the regulations at 40 CFR 80.1431(b)(2), invalid RINs cannot be used to
achieve compliance with the Renewable Volume Obligations of an obligated
party or exporter, regardless of the party's good faith belief that the RINs
were valid at the time they were acquired. Additionally, the regulations at 40
CFR 80.1460(b)(2) prohibit the creation or transfer to any person of a RIN that
is invalid.
SEPA
United States
Environmental Protection
Agency
EPA420-B-11-057
December 2011
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Table of Contents
1 Change Tracking Log 1
1.1 Version and Component Alignment 2
2 Introduction 3
2.1 How to Use This FCD 4
3 Submission File Structure 5
3.1 Overview 5
3.2 Exchange Network Document Structure 5
3.3 Document Header 5
3.3.1 Namespace and Schema 5
3.3.2 Document Header Specifications 6
3.4 EMTS Namespace 8
3.5 Payload 9
3.5.1 Validating the EMTS XML 10
4 EMTS Flow Datasheet 10
5 Submission Processing and Feedback 11
5.1 Submission Using a Node or Node Client 11
5.2 Submission from the EMTS Website 14
5.3 Get Submission Status 17
5.4 Retrieve QA Feedback Report 18
5.5 Obtain Document History 21
5.6 Download Document 22
6 Data Publishing 22
6.1 Overview 22
6.2 EMTS Solicit Flow Steps 23
7 EMTS Archive Flow 30
7.1 Overview 30
7.2 Archive Submission 30
7.3 EMTS-ARCHIVE Flow 31
7.4 Download Archived Documents 32
8 Web Service Methods 33
8.1 Authenticate 33
8.2 Submit 33
8.3 GetStatus 34
8.4 Query 35
8.5 Solicit 35
8.6 Download 36
Appendix A A-1
Node Options A-1
Appendix B B-1
OTAQ Registration Process B-1
B-1 New User Registration B-1
B-2 Node Client Registration B-1
B-3 Full Node Registration B-2
B-4 NAAS User Revocation B-3
Appendix C C-1
C-1 Procedure for Testing a Node in the Testing Environment C-1
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C-2 Procedure for Acquiring Credentials in the Production Environment C-1
Appendix D D-1
Accessing EMTS from MyCDX Web D-1
Appendix E E-1
Notifications for EMTS Flow E-1
Appendix F F-1
EMTS Web Service Documents F-1
F-1 Intervals for Documents F-1
F-2 Organization vs. Agent Documents F-1
F-3 Document Parameters F-1
F-4 Summary of Web Service Documents F-3
F-5 Pending Trades F-7
F-6 Pending Trade Details F-8
F-7 RIN Holdings F-10
F-8 Monthly Transaction History F-10
F-9 Expired Trades F-13
F-10 Completed Trades F-14
F-11 Cancelled Trades F-16
F-12 RIN Batches F-17
F-13 Transaction Status F-18
F-14 Agent Pending Trades F-20
F-15 Agent Pending Trade Details F-20
F-16 Agent RIN Holdings F-20
F-17 Agent Expired Trades Daily F-21
F-18 Agent Completed Trades F-21
F-19 Agent Cancelled Trades F-21
F-20 Agent RIN Batches Weekly F-21
F-21 Agent Transaction Status F-22
Appendix G G-1
EMTS Support G-1
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1 Change Tracking Log
Date
October 12, 2009
November 18, 2009
December 23, 2009
January 11, 2010
January 15, 2010
January 18, 2010
March 12,2010
March 31, 2010
June 2, 2010
July 28, 2011
October 7, 201 1
November 23, 2011
Version Description
1.0 Original Draft.
1 .0 Updates.
1.0 Updates describing the
OTAQ Registration process.
Clarification provided in
Section 5 on the EMTS data
flow.
1 .0 Updates for submission and
registration.
1 .0 Updates.
1.0 Updates and addition of
notifications.
1 .0.a Solicit and Archive flow.
1.0. a Updates to Solicit and
Archive flows. Update to
Notifications and Web
Service Documents.
1.1 Modification to schema.
Updates to the solicit flow.
Correction to web service
parameter lists. Change in
EMTS support email
address.
1 .4 Updates to Solicit,
Notifications, and
Documents.
1.4.6 Updates to submission
processing to remove XML
validation
1.5 Updates for the EMTS 1.5
release, including schema
changes and new Agent
reports.
Author
PQA
PQA
PQA
CGI
CGI
PQA
CGI
PQA
SRA
SRA
SRA
SRA
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1.1 Version and Component Alignment
The following table indicates the version of related documents and components to which this document
applies.
Component
FCD
EMTS
Schema
DET
Version(s)
Supported
V1.5
V2.0
V2.0
Description of Updates
EMTS XSD 2.0 support.
Agent reports.
E_BackendXsdValidationError error code in the Notify to CDX when
EMTS encounters a schema validation error.
EMTS XSD 2.0 schema.
Per the EMTS XSD 2.0 schema.
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2 Introduction
The purpose of this Flow Configuration Document (FCD) is to describe the operation of the EPA
Moderated Transaction System (EMTS) flow across the Exchange Network between industry users, the
CDX Node, and the EPA's EMTS system. The EMTS flow fulfills the Renewable Fuel Standard (RFS2)
submission requirements.
An FCD describes the operational aspects of an Exchange Network data exchange. The specifications
included in this document define the approaches, supported data services, and protocols that are used to
exchange information between submitters and EPA.
The document describes the data exchange processes by which industry users submit XML files to EMTS
and retrieve documents from EMTS from an EPA Exchange Network 2.0 compliant node, such as the
EMTS website, or third-party node software application.
At a high-level, the EMTS data flow includes the following steps (Note: "User" refers to a person or a
software application):
1. An EMTS-registered user authenticates to the Exchange Network's Network Authentication and
Authorization Services (NAAS).
2. The user submits EMTS transaction data as an XML file to the CDX Node using an Exchange
Network 2.0-compliant node client.
3. The user's NAAS credentials are mapped to the user's Web CDX credentials, which are used by
EMTS for authentication.
4. The CDX Node submits the XML file to EMTS.
5. EMTS validates the structure of the XML file and processes the contents of the file.
6. EMTS notifies the submitter regarding the status of the submission via email.
7. The user downloads the resulting QA Feedback report.
To retrieve documents from EMTS, the steps are:
1. An EMTS user subscribes to available documents from the EMTS website.
2. An EMTS-registered user authenticates to NAAS.
3. The user solicits the CDX node for a daily, 3 per day, weekly, or monthly document.
4. The user's NAAS credentials are mapped to the Web CDX credentials, which are used by EMTS
for authentication.
5. The CDX Node forwards the document Solicit request to EMTS.
6. EMTS processes the Solicit request, and either submits the solicited document back to the CDX
Node, or sends a notification to the CDX Node that the document is unavailable.
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7. The user queries the CDX Node for the status of the Solicit request, and downloads the
document from the CDX Node when it is ready.
2.1 How to Use This FCD
This document provides guidance on implementing and using the EMTS data flow. The document
includes the following main sections:
Submission File Structure
This section describes the EMTS submission XML file structure. The submission file must adhere to this
structure in order to be properly processed in route through the Exchange Network to EMTS.
EMTS Flow "Datasheet"
This section provides a datasheet that summarizes the main characteristics of the EMTS flow.
Submission Processing and Feedback
This section provides a description of the EMTS flow including submitting files from a node or node client
and submitting files from the EMTS website.
Solicit Flow for Documents
This section provides a description of the EMTS flow used for the retrieval of documents.
Archived Files
This section describes how the CDX archives all submitted XML files and the process for users to retrieve
these documents.
Web Service Methods
This section describes the web service methods utilized by the Exchange Network node in support of the
EMTS flow.
Related Documents
In addition to this FCD, the submitter should obtain the following documents related to the EMTS Flow.
These documents can be downloaded from http://www.exchanqenetwork.net/exchanqes/air/emts.htm.
EMTS Data Exchange Template
EMTS XSD
EMTS Transaction Instructions
Help and Technical Assistance
If you have questions about reporting your transactions to EMTS or using the EMTS website, contact
EMTS Support:
support@epamts-support.com
1-800-385-6164
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3 Submission File Structure
3.1 Overview
The EMTS submission file consists of a single XML document that can only be submitted from a node,
node client, or the EMTS website. The submitted file must adhere to the Exchange Network Document
v2.0 specifications. Information on the document structure can be found on the Exchange Network
website at http://www.exchangenetwork.net/dev schema/HeaderSpecification v2.0.doc. The Exchange
Document XSD is available at http://www.exchangenetwork.net/schema/header/2/header v2.0.xsd.
3.2 Exchange Network Document Structure
The document structure is required for all Submit operations through the Exchange Network. Every
submission file sent to EMTS must use the document structure to meet EPA CDX processing
requirements. The root element is the Document element, with two child elements, Header and Payload.
The Header contains information about the submitter and the contents of the payload. The Payload
contains the actual EMTS data, adhering to the structure of the EMTS XSD 2.0 schema. Figure 1 below
shows the file submission structure.
Figure 1: Submission File Structure
Submission File (.zip)
Document (.xml)
H
eader (xml)
Payload (EMTS)
Multiple EMTS transactions
V
3.3 Document Header
3.3.1 Namespace and Schema
The XML namespace for the Exchange Network Document is located at:
http://www.exchanqenet.work.net/schema/header/2.
All documents that use the Header 2.0 specification must use this namespace URL. The schema file is
located at:
http://www.exchanqenetwork.net/schema/header/2/header v2.0.xsd.
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Table 1 below specifies the Document tag attributes.
Table 1: Exchange Network Document 2.0 Attributes
Document (the root element of an Exchange Network Document)
Name
ID
Description
A submitter-chosen identifier
for the XML file. This may
be a file name or a
submitter-specific
identification number that
hdrXML
Namespace
xsi XML
Namespace
Schema
Location
can be used to identify the
document.
The Exchange Header 2.0
namespace. This is
different from the EMTS
namespace which is
contained in the EMTS
document.
The W3C 2001 XML
schema instance
namespace.
References an XML
Schema document that has
a target namespace.
Example
ID1 23456789
xmlns:hdr =
"http://www.exchangene
twork.net/schema/heade
r/2"
xmlns:xsi =
"http://www.w3.org/2001
/XMLSchema-instance"
xsi:schemaLocation =
"http://www.exchangene
twork.net/schema/heade
r/2
http://www.exchangenet
work.net/schema/header
/2/header v2.0.xsd"
Required
by the
Schema
Yes
Yes
Yes
No
Notes
This ID is not used
by EMTS.
Must be
http://www.exchan
qenetwork.net/sch
ema/header/2.
All documents that
use the Header
2.0 specification
must use this
namespace URL.
The first member
of each pair is the
namespace for
which the second
member is the hint
describing where
to find an
appropriate
schema
specification
document for
validation.
3.3.2 Document Header Specifications
The document header provides the following information, or meta-data, pertaining to the submission:
Description of payload; and
Information regarding the submitter and date of submission.
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The document header is the first child of the Document tag. The header contains the elements specified
in Table 2. Note that EMTS does not use any of the header elements in its processing business rules.
However, the submitter is free to populate these fields for their own purposes, either prior to, and/or after
processing by EMTS.
Table 2: Exchange Document 2.0 Header Elements
Name
AuthorName
Organization
Name
DocumentTitle
CreationDate
Time
Keywords
Comment
DataFlowName
DataService
Name
Description
Originator of the document.
This should be the name of a
person or a network node ID
if the document is
automatically generated.
The organization to which the
author belongs. It may be a
state name, an organization
name, or a company name.
For submissions to the CDX
node, this should be the
name of the organization.
Title of the document.
This is a timestamp that
marks when the document,
including the payload and
header, was created.
Description of the payload.
Multiple keywords should be
separated by commas. This
is used only for document
categorization and searching.
Additional comments for
processors.
The name of the data flow
associated with the payload.
Name of the data service.
Example
John Smith
XYZ Fuels, Co.
EMTS
2006-04-05T09:30:47-
05:00
Ethanol
Generation
EMTS
GetEMTSDocument
Required by
XSD
Yes. The tag
must be
present but a
null string can
be provided.
Yes. The tag
must be
present but a
null string can
be provided.
Yes. The tag
must be
present but a
null string can
be provided.
Yes . Must be
in valid xsd:
datetime
format.
No
No
No
No
Required by
EMTS
No
No
No
No
No
No
No
No
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Name
SenderContact
Application
Userldentifier
SenderAddress
Property
Signature
Description
The sender's additional
contact information. It can
contain sender's electronic
address and/or telephone
numbers where the author
can be reached.
Application specific submitter
identification.
A well-formed URI where
results or reports can be sent.
Other properties of the
document using named value
pairs.
An XML signature associated
with the document.
Example
P.O. Box 1234
Richmond, VA
JohnSmith
N/A
N/A
N/A
Required by
XSD
No
No
No
No
No
Required by
EMTS
No
No
No
No
No
3.4 EMTS Namespace
The EMTS namespace uses a URL to reference the location of the current version of EMTS on the CDX
network, and allows the user to reference it through a prefix "emts:". The major version number of EMTS
is also included in the namespace. Without this reference, all complex types and XML elements cannot
be validated resulting in an XML file validation error.
Figure 2 provides an XML example which declares the EMTS namespace through the use of the xmlns
(XML Namespace) schema attribute and assigns the namespace a prefix of "emts:".
Figure 2: Declaring the EMTS Namespace
The declaration of the namespace is included at the top of each XML file, and allows the user to
reference the EMTS complex types and elements with the "emts:" prefix followed by a colon (as in
emts:GenerateTransactionDetail). Each complex type and XML element, including root elements, must
contain the namespace prefix.
The following XML example demonstrates an XML submission file that contains the Exchange Network
Header with an EMTS payload. This file should be zipped before it is submitted to EMTS.
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Figure 3: EMTS XML File Example
John Smlth
XYZ Fuels, Co,
EMTS
2Qll-ll-23T15:35:45
-chdr: Ccinment>RIN generate
EHTS
12345
nserl23
2011-ll-03
4670
Ethanol Generate
2400
2400
6
10
2Qll-ll-03
60
3: DenaturantV"olume>10
3:EguivaLenceValue>l.0
Generate Batch
4670
46700
1234JJ
10
true
50Q
10
Feedstock is Starch - Corn
20
Coproduct is Dry Distillers Grains
3.5 Payload
EMTS supports the inclusion of only one submission file per submission. The CDX node will not route
submissions including more than one submission file. However, the payload within the single submission
file may contain multiple EMTS transactions. The format of the payload must be constructed in
accordance with the EMTS XSD 2.0 schema.
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3.5.1 Validating the EMTS XML
Prior to transmitting any XML file to EPA, the XML document should be checked for schema validity. This
can be accomplished using either or both of the following methods:
EPA's XML schema validation tool. This web-based validation tool is a set of XML web services
for validating XML documents against the associated schemas and custom rules. This can be
found at http://tools.epacdxnode.net/.
A third party XML validation tool (e.g., XML Spy, Liquid XML, etc.) is strongly encouraged. The
validation tool must validate that an XML document is both well-formed XML and valid against the
EMTS schema specifications.
4 EMTS Flow Datasheet
There are two data flows for EMTS on the Exchange Network (see Table 3).
Table 3: EMTS Flow Datasheet
Specification
FCD Specifications
Flow Name
Payload Schema
Header Property
Payload Formatting
Structure
Payload File Naming
Convention
GetStatus Responses
Data
EMTS
Sections 5, 6
Submit and Solicit Parameters
securityToken: A security token
issued by NAAS.
dataflow: The name of target
dataflow: "EMTS".
Node Submission supports one
document (file) per submission, and
within the document, one payload
only.
EMTS_EMTS_v2.0.xsd
N/A
The submitted document must be an
XML document that is compressed
as a .ZIP document type.
N/A
All standard GetStatus responses.
=lows
EMTS-ARCHIVE
Section 7
Submit Parameters
securityToken: A security token
issued by NAAS.
dataflow: The name of target
dataflow: "EMTS-ARCHIVE".
Node Submission supports one
document (file) per submission, and
within the document, one payload
only.
N/A
N/A
The submitted document must be an
XML document that is compressed
as a .ZIP document type.
N/A
All standard GetStatus responses.
(cont.)
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Table 3: EMTS Flow Datasheet
Specification
Data Flows
EMTS
EMTS-ARCHIVE
Timing
Authentication and User
ID Mapping
See flow specifications in Sections 5 See flow specifications in Section 7.
and 6.
All node users must be registered in
NAAS and their CDX user IDs must
be mapped to their NAAS IDs.
Contact EMTS Support or see
Appendix B for details.
This flow allows access through a
single NAAS account from the EMTS
node to submit XML files to the CDX
node for archiving. This flow is not
used by industry nodes.
5 Submission Processing and Feedback
In order to initiate an EMTS flow submission, the user must have a CDX web account to access the
MyCDX website and have registered their organization and facilities through the OTAQReg Fuels
Programs Registration application. The user must also have a NAAS account and have permission to
participate in the EMTS data flow. Both node clients and full nodes must use NAAS accounts registered
for the EMTS data flow. The submitter's NAAS ID must be mapped to his CDX User ID. See Appendix
B: EMTS Registration Process, for more information on acquiring account and permissions.
5.1 Submission Using a Node or Node Client
Figure 4 illustrates how an EMTS submitter submits an XML file using a node or node client.
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Figure 4: Submission from Node or Node Client
Industry
EMTS
Submitter
Node
-2. Authenticate
CDX (NAAS, CDX Node, COX Web)
-3. Submit
-8. Response-
10. Check user
Registration
And Approval
6. Archive
- 7. Generate
Transaction id
CCXNode
EMTS
Data Flow
4. Validate
Validate Payload
N
*
15
1
1
QAFei
12. Submit
15. Response-
17. Notify-
18. Submit
OTAQ Registration
Database
11. Create token
NAAS
_9. Map NAAS user
To CDX account
r t
CDX (EMTS)
-16. Process
-14. Queue File
EMTS Node
13. Valii
1. The submitter logs into her node client or full node application, referred to as the industry node, or
"Node" in Figure 4. Depending on the node application, this step may or may not be required.
2. On behalf of the submitter, the industry node authenticates to NAAS via the CDX Node using the
submitter provided NAAS User ID, or a per-industry-node NAAS User ID. The following CDX
Node end-point URLs are used:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
The industry node must pass in the following parameters in the Authentication request:
- userld: NAAS User ID
credential: Password
domain: "default"
authenticationMethod: "password"
On success, the CDX Node will return a security token to the industry node. Upon failure, the
CDX Node will return an Authentication SOAP Fault.
The following sequence is performed as a synchronous set of actions. If an action fails, the CDX
Node returns a failed submission response containing error information and the submission ends.
3. The industry node submits an XML file to the CDX Node. The following CDX Node end-point
URLs are used:
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Test: https://testnqn.epacdxnode.net/nqn-enws20/services/NetworkNode2Service
Prod: https://cdxnodenqn.epa.gov/nqn-enws20/services/NetworkNode2Service
The industry node must pass the following parameters in the Submit request:
security token: Security token received in Step 2.
transaction Id: Empty (not used)
- dataflow: EMTS
flowOperation: Empty (not used)
recipient: Empty (not used)
documents: One document containing the zipped EMTS XML document.
4. The CDX Node validates the security token against NAAS. This will authenticate the submitter
and authorize the submission to EMTS.
5. The CDX Node validates the submitted document. The submission may contain one document
only, which must be compressed and be a "ZIP" document type.
6. The CDX Node archives the submitted document.
7. The CDX Node generates a unique transaction ID and assigns it the status of "RECEIVED". The
submission CDX Transaction ID uniquely identifies the submission, and can be used to check the
status of the submission. The CDX Node provided "Transaction ID" should not be confused with
EMTS Transaction IDs. A CDX Transaction ID is application agnostic, and uniquely identifies a
given submission between the submitter and the EMTS Node. EMTS Transaction IDs are EMTS
application specific, and have no meaning outside of EMTS.
8. If previous operations were successful, the CDX Node returns a Submit response to the industry
node:
transaction Id: The unique CDX Transaction ID for the submission.
- status: RECEIVED
statusDetails: Your submission has been accepted and can be tracked using the CDX
Transaction ID. The submitter node is expected to store the returned CDX Transaction ID for
further processing.
If the previous operation fails, the CDX Node returns a SOAP Fault to the industry node. See
Section 5.3, "Get Submission Status," for more details on the submit web service.
The following sequence is performed asynchronously after the submit response is sent back to the
submitting node.
9. The CDX Node updates the status to "PROCESSING". The CDX Node maps the submitter's
NAAS credentials to his Web CDX credentials. The submitter's Web CDX credentials will be
submitted to EMTS and used by EMTS for submission authentication and authorization. If
validation fails, the CDX Node sends an email to the submitter regarding the failure.
10. The CDX Node verifies that the user is registered and active in the OTAQ Registration database.
If the user is not active or not registered in the OTAQ Registration database, the transaction
status is set to "FAILED" and the transaction is ended. The CDX Node sends an email to the
submitter regarding the failure.
11. The CDX Node creates a security token that includes the submitter's Web CDX user ID, email
address, and affiliation. This is mapped from the submitter's NAAS User ID in Step 9 above.
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12. The CDX Node submits the XML file to the EMTS Node, using the security token created in Step
13. The CDX Node will resubmit two times, with a one hour interval between the two attempts,
for a total of three submission attempts if the submission to the EMTS Node is not successful. If
the CDX Node successfully submits the document to the EMTS Node, the transaction status is
set to "PENDING". If the submission fails, the transaction status is set to "FAILED" and the
transaction is ended. The CDX Node sends an email to the submitter regarding the failure.
13. The EMTS Node validates the security token with NAAS and extracts the submitter's Web CDX
ID from the security token.
14. The EMTS Node queues the submission for processing.
15. If Steps 15 and 16 were successful, the EMTS Node returns a successful Submit response to the
CDX Node. If processing fails, the EMTS Node returns a SOAP fault to the CDX Node. The
CDX Node sets the transaction status to "FAILED" and the transaction is ended. The CDX Node
sends an email to the submitter and the CDX Node Administrator regarding the failure.
The following sequence is performed asynchronously after the submit response action in Step 17.
16. EMTS processes the submission.
17. If processing is successful, the following steps are performed:
A Notify request is sent to the CDX Node providing the final status of the submission.
The CDX Node ends the transaction and updates the transaction status to "COMPLETED".
The CDX Node sends an email to the submitter regarding the completion of the transaction.
18. If processing fails, the following steps will be performed:
The EMTS Node submits the QA Feedback report to the CDX Node. The document contains
a zipped QA Feedback report. See Section 5.4, "Retrieve QA Feedback Report," for
additional information regarding retrieving the report.
The CDX Node archives the QA Feedback report.
The EMTS Node issues a Notify request to inform the CDX Node of the failure.
The CDX Node ends the transaction and updates Transaction status to "FAILED".
The CDX Node sends an email to the submitter regarding the failure of a transaction.
Note: Starting with the EMTS 1.4.6 release, the CDX Node is no longer performing the XSD
schema validation. Instead, EMTS is performing such function, and in the case of a failed
XSD schema validation, EMTS creates a corresponding QA check error and notifies the
submitter of the error according to the normal QA Feedback Report mechanism described
above.
5.2 Submission from the EMTS Website
The following diagram and steps demonstrate how an EMTS submitter submits an XML file from the
EMTS website. The EMTS website has a node client interface customized for the EMTS flow.
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Figure 5: Submission from EMTS Website
Industry
EMTS
Submitters
1.Lo>
CDX (CDX Web, CDX Node, NAAS)
2. Click on EMTS link-
MyCDXWeb U
-3. Return error if unregistered user
10. Archive
11. Generate
Transaction id
13. Check user
Registration -
And Approval
7. Vali
CDX
mom.
N
o
9.Stc
8. Valid
de
re Infc
ate Pa
EMTS
Data Flow
OTAQ Registration
Database
ati
14. Create token
HW NAAS
6. Submit
-18. Response
20. Notify-L
CDX (EMTS)
r-4.
Select XML file
EMTS Web
17. Queue File
12. Response
21. Submit
~QA Feedback Report"
EMTS Node
-16. Validate-
19. Process
5. Create Token
1. The user logs into the MyCDX Website.
2. The user clicks the OTAQEMTS link. The user's CDX credentials are passed to the EMTS
website for auto sign-on to EMTS.
3. If the user does not have permission to operate in the EMTS website, the user is given an error
message and redirected back to the MyCDX website. For more information about registering for
EMTS, see Appendix B.
The following sequence is performed as a synchronous set of actions:
4. The user selects an XML file to submit. The CDX Node URL, data flow name, and other
submission parameters are filled in automatically by EMTS. EMTS verifies that the XML file
conforms to the Exchange Network Header 2.0 and EMTS .XSD specifications, and compresses
the file if it is not already compressed.
5. EMTS creates a security token that contains the user's CDX Web User ID, email address, and
affiliation.
6. EMTS submits the XML file to the CDX Node, using the security token created in Step 5 above.
7. The CDX Node validates the security token against NAAS which will authenticate the submitter
and authorize the submission to EMTS.
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8. The CDX Node validates the payload. The submission payload must contain one document only,
and the document must be compressed and be a "ZIP" document type.
9. The CDX extracts the submitter's Web CDX user ID, email address, and affiliation and archives
this information for future use.
10. The CDX Node archives the submitted document.
11. The CDX Node generates a unique transaction ID and updates the status to "RECEIVED". The
submission CDX Transaction ID uniquely identifies the submission, and can be used to check the
status of the submission.
12. If previous operations are successful, the CDX Node returns the following Submit response to
EMTS:
transactionld: The unique CDX Transaction ID.
- status: RECEIVED
statusDetail: Your submission has been accepted and can be tracked using the CDX
Transaction ID. See Section 5.3, "Get Submission Status," for additional information
regarding the submission status.
If the previous operation fails, the CDX Node returns a SOAP fault to EMTS, and an error
message is displayed to the end-user.
The following sequence is performed asynchronously after the submit response is sent back to EMTS.
13. The CDX Node updates the status to "PROCESSING", and verifies that the submitter is
registered and active in the OTAQ Registration database. If the submitter is not active or not
registered in the OTAQ Registration database, the transaction status is set to "FAILED" and the
transaction is ended. The CDX Node sends an email to the submitter and the CDX Node
Administrator regarding the failure.
14. The CDX Node creates a security token that includes the submitter's Web CDX user ID, email
address, and affiliation. This is extracted from the security token in Step 8 above.
15. The CDX Node submits the XML file to the EMTS Node, using the security token created in Step
16. The CDX Node will retry two times if the submission to the EMTS Node is not successful. If
the CDX Node successfully submits the document to the EMTS Node, the transaction status is
set to "PENDING". If the submission fails, the transaction status is set to "FAILED" and the
transaction is ended. The CDX Node sends an email to the submitter and the CDX Node
Administrator regarding the failure.
16. The EMTS Node validates the security token with NAAS and extracts the submitter's Web CDX
user ID from the security token.
17. The EMTS Node queues the submission for processing.
18. If Steps 18 and 19 were successful, the EMTS Node returns a successful submission response to
the CDX Node. If Step 18 or 19 failed, the EMTS Node returns a SOAP fault to the CDX Node.
The CDX Node sets the transaction status to "FAILED" and the transaction is ended. The CDX
Node sends an email to the submitter and the CDX Node Administrator regarding the failure.
The following sequence is performed asynchronously after the submit response action in Step 19.
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19. EMTS processes the submission.
20. If processing is successful, the following steps are performed:
A Notify request is sent to the CDX Node providing the final status of the submission.
The CDX Node ends the transaction and updates the transaction status to "Completed".
The CDX Node sends an email to the submitter regarding the completion of the transaction.
21. If processing fails, the following steps are performed:
The EMTS Node submits the QA Feedback report to the CDX Node. The document contains
a zipped QA Feedback report. See Section 5.4, "Retrieve QA Feedback Report," for
additional information regarding retrieving the report.
The CDX Node archives the QA Feedback report.
The EMTS Node issues a Notify request to inform the CDX Node of the failure.
The CDX Node ends the transaction and updates Transaction status to "FAILED".
The CDX Node sends an email to the submitter regarding the failure of a transaction.
Note: Starting with the EMTS 1.4.6 release, the CDX Node is no longer performing the XSD
schema validation. Instead, EMTS is performing such function, and in the case of a failed
XSD schema validation, EMTS creates a corresponding QA check error and notifies the
submitter of the error according to the normal QA Feedback Report mechanism described
above.
5.3 Get Submission Status
The following steps demonstrate how the industry node obtains the status of a submission from the CDX
Node. This functionality is applicable to all nodes and node clients.
1. The submitter logs into NAAS using her NAAS User ID. NAAS returns a security token to the
submitter's node.
2. The industry node issues the GetStatus request using one of the following end-point URLs:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/NetworkNode2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/NetworkNode2Service
The following parameters are used:
securityToken: Security token returned in Step 1.
transactionld: Transaction ID returned in Section 5.1, Step 8.
3. The CDX Node validates the security token against NAAS.
4. If the user was authenticated and authorized, the CDX Node returns a StatusResponse
containing status information:
transactionld: Passed Transaction ID.
status: CDX Node returns any of the following statuses:
o RECEIVED: Submission was received and Steps 4-8 from Section 5.1 were successfully
performed.
o PROCESSING: Submission was received and Steps 9-13 were successfully performed.
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o PENDING: Submission was successfully distributed to EMTS Node.
o COMPLETED: Submission was received by EMTS Node and processed.
o FAILED: Submission failed.
statusDetail: A string that provides a human readable description of the failure if the CDX
Node returns FAILED as transaction status. For example: "E_BackendProcessing: The
EMTS submission with transaction ID 123456789 completed with submission status: Failed"
If the transaction status is "FAILED" then the submitter node can extract the following status
details from the GetStatus response (see Table 4).
Table 4: Status Detail Codes and Descriptions
StatusDetail Prefix
E_ApplicationldMapping
E_OtaqRegNotRegistered
E_OtaqRegNotApproved
E_Distribution
E_BackendXsdValidationError
E_BackendProcessing
Description
CDX is unable to find a CDX Web user
identification based on the NAAS identification.
The CDX was unable to verify that the submitter
is a registered user in the OTAQ Registration
database.
The CDX was unable to verify that the submitter
is activated in the OTAQ Registration database.
The CDX Node was unable to distribute the
document to EMTS.
The submitted document does not conform to
the EMTS XSD 2.0 schema.
The Document failed processing in EMTS.
Initiated By
CDX
CDX
CDX
CDX
EMTS
EMTS
5.4 Retrieve QA Feedback Report
EMTS will submit a QA Feedback report to the CDX Node upon a failed submission. A QA Feedback
report is not generated if the submission was successfully processed. The report contains a complete list
of errors encountered when processing a submitted file, including the case of an XML schema validation
error. The following steps demonstrate how the industry node obtains the QA Feedback report using web
services methods (see Figure 6).
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Figure 6: Retrieve QA Feedback Report
Industry
Node
CDX
. Get Status
-5. Response
6. Query For Document
7. Return Document Identifier
8. Download
9. Return Docume
:. Submit QA Feedback Report
Node Database
EPA
I
1. Generate Report
EMTS Node
1. When a submitted file fails due to violated EMTS business rules, EMTS automatically generates a
QA feedback report. QA feedback reports are generated by EMTS every 10 minutes.
2. The EMTS Node submits the QA Feedback Report to the CDX Node.
3. The CDX Node archives the report.
4. The industry node issues a GetStatus request using one of the following end-point URLs:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
5. The industry node receives a response.
6. If the industry node receives the status detail value of "E_BackendProcessing" or
"E_BackendXsdValidationError" as a result of the GetStatus web service method, the industry
node invokes the Query web service to obtain the document ID for the QA Feedback report.
The following parameters are used:
securityToken: Security token.
- dataflow: NODE
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request: GetDocuments
parameters:
o TransactionldParam: Submission CDX Transaction ID
o Category: REPORT
Note that the data flow for this service is NODE and not EMTS. This service may not return the
same responses or operate the same using any other data flow name.
7. The CDX Node returns a document history XML file to the industry node. This XML will contain
transaction and document information, as shown below. The industry node uses the document
ID contained in the document history file to retrieve the document from the CDX Node.
transaction id
< Documents
document id
document name
REPORT
< Status > FAILED
XML/ZIP
yyyy-mm-ddThh:mm:cc
document size
< Property >
property name
property value
8. The industry node invokes the Download web service to the CDX Node.
The following parameters are used:
securityToken: A security token received in authentication step.
- dataflow: EMTS
transactionld: The submission CDX Transaction ID documents: An array of
NodeDocumentType, which contains the following parameters:
o documentName: Empty string
o documentFormat: Empty string
o documentContent: Empty string
o documentld: document ID retrieved in Step 5 above. When the documents parameter is
empty, the CDX Node will return all documents associated with the Transaction ID.
When a document identifier is specified as the document's parameter, the node will
return only the associated document.
9. The CDX Node retrieves the QA Feedback report from the archive using the CDX Transaction ID
and document ID and returns the QA Feedback report to the industry node.
The industry node receives and stores the QA Feedback report.
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5.5 Obtain Document History
The following steps demonstrate how the industry node obtains the document history for a given
submission using the Query web service method. This functionality is applicable to node and node
clients.
1. The submitter logs into NAAS using his NAAS User ID. NAAS returns a security token.
2. The industry node invokes the Query web service method using one of the following end-point
URLs:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
The following parameters are used:
securityToken: Security token returned in Step 1
- dataflow: NODE
request: GetDocuments
parameters:
o TransactionldParam: Transaction ID returned by the CDX Node in Step 9 of Section 5.1.
o Category: Document category (SUBMISSION, VALIDATION_REPORT, REPORT).
When the category parameter is null the node will return all associated documents.
3. The CDX Node validates the industry node user via NAAS.
4. The CDX Node returns a SOAP fault to the industry node if validation fails.
5. The CDX Node returns the document history for a submission. The XML contains the
Transaction ID and document information as shown below:
transction id
document id
document name
SUBMISSION/VALIDATION_REPORT/REPORT
PEN DING/PROCESSED/COM PLETED/FAILED
XML/ZIP
yyyy-mm-ddThh:mm:cc
document size
< Property >
property name
property value
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5.6 Download Document
The following steps demonstrate how the industry node downloads a document using the Download web
service method. This functionality is applicable to node and node clients.
1. The submitter logs into NAAS using his NAAS User ID. NAAS returns a security token.
2. The industry node invokes the Query web service method using one of the following end-point
URLs:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
The following parameters are used:
securityToken: The security token received in Step 1.
- dataflow: EMTS
transactionld: The CDX Transaction ID for the submission. The transaction ID must be the
same Transaction ID issued by the CDX Node (see Step 8 of Section 5.1).
documents: An array of NodeDocumentType. When the 'documents' parameter is empty, the
CDX Node returns all documents associated with the Transaction ID. When a document
identifier is specified in 'documents,' the node returns the associated document.
3. The CDX Node authenticates and authorizes the industry user via NAAS.
4. If the authentication or authorization with NAAS fails, the CDX Node returns an
Authentication/Authorization SOAP fault to the industry node.
5. The CDX Node returns the requested document(s).
Note that the data flow for this service is EMTS. If you use the NODE data flow for this service, you will
receive a different response status and message.
6 Data Publishing
6.1 Overview
The CDX Node supports the capability for industry nodes to request and retrieve EMTS reports. The
CDX Node implements the EMTS Solicit service as a part of the EMTS data flow, and makes it available
to all industry nodes.
Industry users must register for the types of reports they wish to retrieve by utilizing the report
subscription functionality on the EMTS website. Subscription services should be reviewed periodically
and updated to reflect the industry users' needs for retrievable reports. The industry user can subscribe
to several reports, each of which is described in Appendix F, "EMTS Web Service Documents."
The following section describes the process for subscribing to and retrieving reports from EMTS.
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Figure 7: Solicit Reports from the EMTS
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5
EMTS Database
EMTS runs scheduled jobs nightly, generating reports as requested by subscribers. Generated reports
are available for download from the EMTS website, or for Solicit requests from a node. The industry node
invokes the Solicit web service method to the CDX Node using the procedure described in the next
section. The CDX Node will archive the solicit request for asynchronous processing. The CDX Node will
then send a Solicit request to the EMTS Node containing the report request information. The EMTS
Node will log the Solicit request then retrieve the report that was created during the overnight scheduled
job. This report is then submitted to the CDX Node. The CDX Node will archive the report and wait for a
GetStatus request from the industry node. In the response, the document identifier information is
provided and the industry user issues a Download request. These reports may also be retrieved
manually from the EMTS website should the user not wish to use the Solicit flow services.
6.2 EMTS Solicit Flow Steps
1. EMTS creates reports in accordance with industry users' subscriptions.
2. The industry node invokes the Solicit web service method using following end-point URLs:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/NetworkNode2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/NetworkNode2Service
The following parameters are used:
securityToken: The security token received from the Authentication response.
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- dataflow: EMTS
request: GetEMTSDocument
recipient: Empty (not used)
notificationURI: Empty (not used)
parameters:
o documentName: Report name (see Appendix F, "EMTS Web Service Documents"). This
is a mandatory parameter.
o organizationldentifier: OTAQ Registration "Company ID" of the organization for which the
report is being solicited, or the keyword "Agent" (Case insensitive) for Agent reports.
This is a mandatory parameter.
o documentDate: Creation date of the report ("YYYY-MM-DD"). This is an optional
parameter. A non-specified or empty documentDate defaults to the current date.
When specifying an optional parameter, you may pass the empty parameter in one of two ways: i)
No key and no value; or ii) With the key and an empty string value.
Note: The EMTS Solicit parameter names were created before the reporting capability in EMTS
was fully designed and implemented. The parameter names were initially created using the term
"document" as it is a common term used in the EPA Exchange Network literature. However, as
the documents creation, subscription, and retrieval capability was fully developed in EMTS, the
capability was renamed using the term "report." For backward compatibility with early Beta
industry nodes and the corresponding implementation in the CDX Node, the EMTS Solicit
parameter names were not renamed accordingly.
3. The CDX Node validates the Solicit request ensuring it contains valid and required parameters.
4. The CDX Node generates a CDX Transaction ID associated with the Solicit request. The status
to set to "RECEIVED". The CDX Node returns a StatusResponse to the industry node containing
the following information:
transactionld: CDX Solicit Transaction ID
status: "RECEIVED" if successful, "FAILED" if a parameter validation error occurred.
statusDetail: Empty
The industry node stores the returned CDX Transaction ID for later querying of the status of the
Solicit request.
The following sequence is performed asynchronously after the solicit response action in Step 4.
5. The CDX Node issues a Solicit request to the EMTS Node. As part of this solicit request, the
CDX Node maps the NAAS User ID to the CDX Web User ID. If the mapping is successful, the
CDX Node creates a security token that includes the submitter's Web CDX user ID, email
address, and affiliation. The CDX Node issues the Solicit service using the following end-points:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/Dataflow2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/Dataflow2Service
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The following parameters are used:
securityToken: Security token with the submitter's Web CDX user ID, email address, and
affiliation.
- dataflow: EMTS
request: GetEMTSDocument
recipient: Empty
notificationURI: Empty
parameters:
o documentName: Report name (see Appendix F, "EMTS Web Service Documents"). This
is a mandatory parameter.
o organizationldentifier: OTAQ Registration "Company ID" of the organization for which the
report is being solicited, or the keyword "Agent" (Case insensitive) for Agent reports.
This is a mandatory parameter.
o documentDate: Creation date of the report ("YYYY-MM-DD"). This is an optional
parameter. A non-specified or empty documentDate defaults to the current date.
6. The EMTS Node validates the security token and extracts the CDX Web User ID from the
security token and queues the request's transaction ID and Solicit parameters for asynchronous
processing by EMTS.
7. The EMTS Node returns a Solicit response to the CDX Node.
8. A periodic EMTS job de-queues the next Solicit request in a FIFO mode, and processes it. The
EMTS Node either submits the document to the CDX Node, or sends a Notify to indicate failure
when the Solicit request has an invalid parameter, the solicitor is not authorized to retrieve the
specified document, or the solicited document is not available (e.g., has not been generated yet).
The following sequence is performed if the Solicit request results in failure.
9. If the EMTS Node sends a NOTIFY of "FAILURE", this indicates EMTS did not have a document
that matched the parameters supplied in the Solicit request. The EMTS Notify response contains
the following information sent to the CDX Node.
The following parameters are used:
securityToken: Security token will be received from regular authenticate against CDX Node.
nodeAddress: Empty
- dataflow: EMTS
messages: An array of notification messages consisting of one message. The message XML
structure contains the following elements:
objectld: EMTS Solicit Transaction ID obtained in Step 7
messageCategory: The string "Status".
messageName: The string "Status Notification"
status: The string "Failed".
statusDetail: EMTS processing failure reason as shown in the table below. Note: The
"" notation represents the value of a solicit parameter, which is
dynamically inserted in the status detail string.
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Table 7: Notify Failure Processing Reason
E_EmtsUser: The CDX Web User ID is not a valid
EMTS user ID.
E_Affiliation: The EMTS user is not affiliated with
the organization .
E_AgentAffiliation: The EMTS user has not
enabled agent affiliations.
EjDrganization: The organization ID < organizationldentifier>
was not found.
E_DocumentName: No document name was passed in the
Solicit request.
E_DocumentName: The requested document name
is invalid.
E_AgentDocumentName: The requested document name
is not an agent document.
E_Date: The date in the request is in an invalid format.
EjDrganizationDocumentSubscription: The organization
is currently not subscribing to
document .
EJndividualDocumentSubscription: The EMTS user
is currently not subscribing to agent document
E_NoOrganizationSubscribed: The EMTS user
has no organization currently subscribing to document
and frequency
E_DocumentNotAvailable: The requested document
for organization and
date is currently not available.
E_DocumentNotAvailable: The requested individual
document and date is
currently not available.
10. The CDX Node extracts the EMTS Solicit Transaction ID from the set of passed parameters and
retrieves the CDX Node Solicit transaction. The CDX Node updates the status details of the
transaction.
The following sequence is performed if the Solicit request results in success.
11. EMTS submits the requested document to the CDX Node using the following end-point URLs:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/Dataflow2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/Dataflow2Service
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The EMTS Node passes the following parameters:
securityToken: Security token received in Step 2.
transactionld: Solicit Transaction ID provided by the CDX Node in Step 6.
- dataflow: "EMTS"
flowOperation: "solicitResponse"
recipient: Empty
notification: Empty
documents: One document containing a zipped document.
12. The CDX Node receives the document and extracts the EMTS Solicit Transaction ID from the
parameter list. The CDX Node associates the transaction related to the EMTS Solicit transaction
and sets the CDX transaction status to "COMPLETED".
The following sequence is performed at the CDX Node after the response from the industry node Solicit
request.
13. The industry node issues a GetStatus request to the CDX Node using the following end-point
URLs:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/NetworkNode2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/NetworkNode2Service
The following parameters are used:
securityToken: Security token returned during authentication.
transactionld: CDX Solicit Transaction ID obtained in Step 4.
14. The CDX Node validates the user via NAAS. If the user is validated, the CDX Node returns a
StatusResponse containing the status information using the following parameters:
transactionld: Passed Transaction ID.
status: One of the following statuses:
o RECEIVED: Solicit request was successfully received, however the request to EMTS
Node has not been sent yet.
o PENDING: The solicit request was successfully sent to EMTS.
o COMPLETED: The EMTS Node has processed the request and the document is
available for download.
o FAILED: The process failed.
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statusDetail: One of the error messages shown below.
statusDetail Prefix
E_ApplicationldMapping
E_Solicit
E_EmtsUser
E_Affiliation
E_AgentAffiliation
E_Organization
E_DocumentName
E_AgentDocumentName
E_Date
E_OrganizationDocumentSubscription
E_lndividualDocumentSubscription
E_NoOrganizationSubscribed
E_DocumentNotAvailable
Description
CDX is unable to find the CDX
Web User Identification based on
the provided NAAS Identification.
The CDX Node was unable to
issue the Solicit to EMTS.
The solicitor's user id does not
exist.
The solicitor is not affiliated with
the specified organization.
The user has no agent affiliation
that is currently enabled.
The specified organization does
not exist.
No document name was passed in
the Solicit request, or the solicited
document name does not exist.
The solicited document name is
not an agent document.
The specified document date
format is invalid.
The soliciting organization is
currently not subscribing to the
solicited document.
The user is currently not
subscribing to the solicited agent
document.
The solicitor has no organization
currently subscribing to the
solicited document and frequency.
The solicited document has not
been generated, or does not
exist..
Initiated
By
CDX
CDX
EMTS
EMTS
EMTS
EMTS
EMTS
EMTS
EMTS
EMTS
EMTS
EMTS
EMTS
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15. If the transaction status is "COMPLETED", the industry node invokes the Download web service
method using following end-point URLs:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
The following parameters are used:
securityToken: A security token
- dataflow: "EMTS"
transactionld: The Solicit Transaction ID. It must be the transaction ID issued by the CDX
node in the Solicit response.
documents: Empty
16. The CDX Node returns the document to the industry node.
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7 EMTS Archive Flow
7.1 Overview
In order to archive EMTS transactions performed by industry users from the EMTS website, EMTS
periodically submits EMTS schema-based XML documents to the CDX Node that contain these EMTS
transactions. The archiving frequency is every hour. Industry nodes may retrieve archived Web-based
EMTS transactions using the Query and Download web services. As the Web submitter's identity (CDX
Web User ID) is communicated in the archive flow to the CDX Node via the NAAS token, the CDX Node
authenticates and authorizes archived EMTS transactions retrievals.
The flow described in Section 7.2 is used by the EMTS Node only. Industry users that wish to retrieve
archived documents from the CDX Node should use the query and download services described in
Section 7.3.
7.2 Archive Submission
1. The EMTS Node issues the CreateSecurityToken web service using following end-point URLs:
Test: https://naas.epacdxnode.net/xml/securitvToken vSO.wsdl
Prod: https://cdxnodenaas.epa.qov/xml/securityToken vSO.wsdl
The following parameters are passed:
- trustee: EMTS Node administrator's NAAS ID.
credential: EMTS Node administrator's NAAS password.
tokenType: "csm"
- issuer: "CDX-Web RSO"
authMethod: "password"
subject: EMTS Node operator's NAAS ID.
subjectData: URL-encoded key value pairs consisting of:
o cdxWebld=Web submitter's CDX Web User ID
o cdxWebAffiliation="CDX"
o cdxWebEmail=Web submitter's email address
ip: EMTS Node's IP address.
2. EMTS submits a zipped document to the CDX Node using the following end-point URLs:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/WeblnteqrationService
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/servicesAA/eblnteqrationService,
The following parameters are used:
securityToken: Security token received in Step 1.
transaction Id: Empty (not used)
- dataflow: "EMTS-ARCHIVE"
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flowOperation: Empty (not used)
recipient: Empty (not used)
notificationURI: Empty (not used)
Documents: One document containing zipped EMTS XML document.
3. The CDX Node validates the security token via NAAS. This authenticates and authorizes EMTS
to archive.
4. The CDX Node validates the payload. The submission payload can contain only one document
which must be compressed and be a .ZIP document type.
5. The CDX Node archives the submitted document.
6. The CDX Node generates a CDX Transaction ID and assigns it the status of "COMPLETED".
The submission CDX Transaction ID identifies the submission, and can be used later by EMTS to
check the status of the submission, obtain transaction history, and download the document.
7. The CDX Node archives the CDX Web User ID, email, and affiliation in association with the CDX
Transaction ID.
8. If successful, the CDX Node returns the following Submit response to the EMTS Node:
transactionld: The CDX Transaction ID.
- status: COMPLETED
statusDetails: Your submission has been accepted and can be tracked using the CDX
Transaction ID.
9. If failed, the CDX Node returns a SOAP Fault to the EMTS Node.
10. EMTS Node archives returned transaction for further processing.
7.3 EMTS-ARCHIVE Flow
The following steps demonstrate how the industry node obtains the document IDs of archived files for a
specified user using the Query web service method. A document ID is then used to download it from
CDX.
1. Industry Node invokes the Query web service method using the following end-point URLs:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
The following parameters are used:
security Token: The security token received in authentication.
- dataflow: NODE
request: GetTransactions
parameters:
o dataflow: "EMTS-ARCHIVE"
o status: COMPLETED
o startDate: The start date requested ("YYYY-MM-DD"). If a date is not specified, all
transactions are returned.
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o endDate: The end date requested ("YYYY-MM-DD"). If a date is not specified, all
transactions are returned.
o user: CDX Web User ID
o
2. The CDX Node validates the Industry Node user via NAAS.
3. The CDX Node returns a SOAP Fault to the Industry Node if validation fails.
4. The CDX Node returns a transaction history XML to the Industry Node in the following format:
transaction xmlns="">
_8208d68b-972f-4183-af35-82b3224deceb
2009-12-17T10:10:58
COMPLETED
EMTS-ARCHIVE
transaction xmlns="">
_91a30409-6c4c-4ead-8bOf-79d4c80c9274
2009-12-16T21:10:35
FAILED/COMPLETED
EMTS-ARCHIVE
transaction xmlns="">
_79b2fOa9-ba83-4cd2-84ad-27d7389104f6
2009-12-04T11:45:38
COMPLETED
EMTS-ARCHIVE
7.4 Download Archived Documents
The following steps demonstrate how the industry node downloads archived documents using the
download web service method.
1. The industry node invokes the Download web service method using the following end-point
URLs:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/Dataflow2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/Dataflow2Service
The following parameters are used:
- securityToken: A security token received in authentication.
- dataflow: EMTS-ARCHIVE
- transactionld: An EMTS-ARCHIVE submission's CDX Transaction ID It is the CDX
Transaction ID returned in the submit response of the EMTS-ARCHIVE submission flow (see
Step8 of Section 7.2).
- documents: Empty (not used)
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2. The CDX Node validates the user via NAAS.
3. The CDX Node returns a SOAP fault to industry node if validation fails.
4. The CDX Node returns the requested document to the industry node.
8 Web Service Methods
The following section describes the web service methods utilized by an Exchange Network 2.0 node to
participate in the EMTS flow.
Please see the Exchange Network 2.0 functional specifications for detailed information of web services.
WSDL's for these web service methods can be obtained at:
http://exchangenet.work.net/schema/node/2/node v20.wsdl
8.1 Authenticate
The Authenticate method is used to obtain a security token from the CDX Node. This token is passed in
any subsequent method calls in the exchange between the submitting node and the CDX Node.
The following URLs may be used:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/NetworkNode2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/NetworkNode2Service
Authenticate Parameters:
userld: The submitter's NAAS User ID
credential: The submitter's NAAS password
domain: "Default"
authenticationMethod: "Password"
Returns:
securityToken: A security token used to authenticate and authorize the submitter.
8.2 Submit
The Submit method is used to submit an XML file to EMTS.
The following URLs may be used:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/NetworkNode2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/NetworkNode2Service
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Submit Parameters:
securityToken: The security token issued by NAAS and returned from the Authenticate method.
This security token can be used for several submissions as long as the token has not expired.
transactionld: Empty (The transaction ID is returned by CDX in the submit response).
dataflow: EMTS
flowOperation: Empty (not used)
recipient: Empty (not used)
notificationURI: Empty (not used)
documents: An array of type nodeDocument. Each nodeDocument structure contains a single
submission file. EMTS requires a single nodeDocument.
Returns:
A Submit response with the following data:
transactionld: The submission's unique CDX Transaction ID.
status: Text describing the submission's status ("Received" or "Failed").
statusDetail: Additional details regarding the submission.
8.3 GetStatus
The GetStatus method is used to obtain the transaction status of a submission.
The following URLs may be used:
Test: https://testnqn.epacdxnode.net/nqn-enws20/services/NetworkNode2Service
Prod: https://cdxnodenqn.epa.qov/nqn-enws20/services/NetworkNode2Service
GetStatus Parameters:
securityToken: The security token issued by NAAS and returned from the Authenticate method.
transactionld: The Transaction ID issued by the CDX Node from the Submit or Solicit service.
Returns:
A GetStatus response with the following data:
statusResponseType containing following information:
o transactionld: The Transaction ID issued by the CDX Node from the Submit service.
o status: Text describing the submission's status ("Received", or "Failed").
o statusDetail: Additional details on the Status description shown in the table below.
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Table 5: Status Detail Codes and Descriptions
Status Details Prefix
Description
E_ApplicationldMapping CDX is unable to find a CDX Web User identification based on
the NAAS identification.
EjDtaqRegNotRegistered The CDX was unable to verify that the submitter is a registered
user in the OTAQ Registration database.
EjDtaqRegNotApproved The CDX was unable to verify that the submitter is activated in
the OTAQ Registration database.
E Distribution
The CDX Node was unable to distribute the document to EMTS.
E_BackendXsdValidationE The submitted document does not conform to the EMTS XSD
rror 2.0 schema.
E_BackendProcessing
The Document failed processing in EMTS.
8.4 Query
The Query method is used to obtain transaction and document history.
The following URLs may be used:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
Query Parameters:
securityToken: The security token issued by NAAS and returned from the Authenticate method.
dataflow: NODE
request: GetTransactionHistoryByTransactionld/GetDocuments.
parameters: See Sections 5.4 and 5.5 for parameters.
Returns:
The XML representing transaction or document history. See Sections 5.4 and 5.5 for details.
8.5 Solicit
The Solicit method is used to request EMTS documents.
The following URLs may be used:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
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Solicit Parameters:
securityToken: The security token issued by NAAS and returned from the Authenticate method.
dataflow: EMTS
request: GetEMTSDocument
recipient: Empty (not used)
notificationURI: Empty (not used)
parameters:
o documentName: Report name (see Appendix F, "EMTS Web Service Documents"). This
is a mandatory parameter.
o organizationldentifier: OTAQ Registration "Company ID" of the organization on behalf of
whom the report is being solicited. This is a mandatory parameter.
o documentDate: Creation date of the report ("YYYY-MM-DD"). A non-specified or empty
documentDate defaults to the current date.
Returns:
The CDX Node returns a StatusResponseType to the node containing the following information:
transactionld: CDX Solicit Transaction ID.
status: "RECEIVED" if successful, "FAILED" if an error occurred.
statusDetail: Empty
8.6 Download
The Download method is used to download documents. The following documents can be downloaded:
Original submission* QA Feedback report
Web Service documents
Archived XML files
The following URLs may be used:
Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service
Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
Download Parameters:
securityToken: The security token issued by NAAS and returned from the Authenticate method.
dataflow: EMTS or EMTS-ARCHIVE
transactionld: The Transaction ID issued by the CDX Node from the Submit or Solicit service.
documents: An array of NodeDocumentType. When the documents parameter is empty, the
CDX Node will return all documents associated with the Transaction ID. When a Document ID is
specified in the documents parameter, the Node will return only the associated document.
Returns:
A message contains an array of zero or more NodeDocumentType.
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Appendix A
Node Options
There are several options for how to submit an XML file to EMTS through the EPA Exchange Network.
Exchange Network ("Full") Node: A server that facilitates the interface between an EMTS participant's
- or partner's - backend system and the EPA Exchange Network. It is a partner's "point of presence" on
the Exchange Network. Each partner has only one node. Nodes support:
Server accessibility on the Web;
Protocols to ensure secure exchanges;
Sending and receiving standards-based messages; and
Returning requested information as XML.
Exchange Network Web Client: EPA's EMTS website for submitting environmental information via
standard web browsers. The web client supports:
Users to submit data via web-based forms and file uploads (flat file, XML file);
Users to receive submission confirmation and processing reports;
XML for the payload;
Simple Object Access Protocol (SOAP) as a wrapper for the payload;
Web Services Description Language (WSDL) for network exchange functions and services; and
Hypertext Transfer Protocol (HTTP) for secure communication via the Internet.
EMTS Web Client: The EMTS website also provides a node client interface that allows an EMTS end-
user to submit EMTS XML files to CDX. The EMTS Web node interface supports:
Submission of data via file uploads (XML file only);
History of submitted files.
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Appendix B
OTAQ Registration Process
This section describes the business processes for obtaining a CDX and NAAS account and the
permissions to participate in the EMTS flow.
B-1 New User Registration
The following procedures are for all new users that are currently not registered with CDX.
All users must register for a CDX Web account by self-registering at https://cdx.epa.gov
Once a CDX Web account is acquired, the user must login to MyCDX. The user is prompted to register
for one or more programs. To register for EMTS:
Click "Edit Current Account Profile."
Click "Add New Program."
Select "Office of Transportation and Air Quality EPA Moderated Transaction System
(OTAQEMTS)."
On the "Add Program ID" screen, type "N/A" into the ID field and click Add.
Click Finished.
Print appropriate document prior to submitting registration information and mail the document to
the address provided on the screen.
EPA will review and activate the registration.
User requests registration with NAAS (see Section B-2).
Once activated, the user receives permissions to submit documents to the EMTS flow and access
the EMTS website.
B-2 Node Client Registration
EMTS users who plan to use Node clients to submit files must be affiliated with the CDX Node "EMTS"
domain. These users are registered and managed by the CDX Node Administrator. For example, the
CDX Node Administrator performs the following functions from a NAAS Web interface: i) Setting access
rights to the EMTS flow; and ii) Mapping between the EMTS user's Web CDX user ID and NAAS User ID
The following registration procedure is required for all users who are not registered with CDX, or are
registered with CDX for programs other than the EMTS/OTAQ REG flows and do not have NAAS IDs:
1. Register with CDX Web for the EMTS flow (see Section B-1). The user will be automatically
registered for the OTAQ Registration flow.
2. Enter all necessary information into OTAQ Registration application.
3. EPA reviews and activates the user.
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4. Once activated, request the Node Administrator to register with NAAS and request privileges for
accessing the EMTS flow and user mapping between the NAAS and CDX Web User ID'S.
Provide the following information to the Node Administrator:
Email address to receive communications from the EMTS flow associated with the user
NAAS ID.
- EMTS Web CDX user ID.
Application: EMTS
5. The CDX Node Administrator will register the user with NAAS. This includes:
Creating the NAAS User ID using email provided by the user.
Activating the user.
Setting privileges for the user to be able to:
o Submit EMTS data; and
o Get EMTS transaction status.
Query the CDX Node for the following:
o flow: "NODE"
o services: GetTransactionHistoryByTransactionld and GetDocuments
o parameters: Any
o download: EMTS documents.
Map the NAAS User ID to CDX Web User ID for the EMTS Application using NAAS
application mapping Ul.
Send confirmation email to the user.
For users already registered with CDX Web for the EMTS flow and who do not have NAAS User IDs, see
Section 4.4. For all users registered with CDX Web for the EMTS flow with existing NAAS User IDs, see
Sections 4.5.3 through 4.5.5.
B-3 Full Node Registration
Full node users must be registered by the CDX Node Administrator. Setting access privileges for EMTS
and mapping NAAS User ID and CDX web user ID is managed by the CDX Node Administrator.
The following procedures demonstrate how all users who are not registered with CDX or are registered
with CDX for flows other than EMTS/OTAQ REG and do not have NAAS EMTS user ID should proceed.
1. Register with CDX for the EMTS flow (see Section B-1). The user will be automatically registered
for the OTAQ Registration flow.
2. Enter all necessary information into OTAQ Registration application.
3. EPA reviews and activates the user.
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4. Once activates, request the Node Administrator to register with NAAS and request privileges for
accessing EMTS flow and user mapping between the NAAS and CDX Web User ID'S. The user
must provide the following information to the Node Administrator:
Email address to receive communications from the EMTS flow associated with the user
NAAS ID;
- EMTS Web CDX user ID; and
Identify the application as EMTS.
5. The CDX Node Administrator will register the user with NAAS. This includes:
Creating the NAAS User ID using email provided by the user.
Activating the user.
Setting privileges for the user to be able to:
o Submit EMTS data.
o Get EMTS transaction status.
o Query the CDX Node for the following:
flow: NODE
services: GetTransactionHistoryByTransactionld/GetDocuments
parameters: Any
download: EMTS documents.
- Map the NAAS User ID to CDX Web User ID for the EMTS Application using NAAS
application mapping Ul.
Send confirmation email to the user.
For all the users already registered with CDX Web for EMTS Flow and does not have NAAS User IDs,
see Section 4.4. For all the users registered with CDX Web for the EMTS Flow with existing NAAS User
IDs, see Sections 4.5.3 through 4.8.
B-4 NAAS User Revocation
If a user is deactivated from OTAQ Registration application, the user's privileges to access EMTS flow are
also revoked. The following describes the steps taken to revoke a user's privileges.
1. EPA will send the CDX Node Administrator an email to revoke user privileges and provide the
user NAAS User ID.
2. The CDX Node Administrator will revoke the following user privileges:
Submit EMTS data.
Get EMTS transaction status.
Query the CDX Node for the following:
o flow: NODE
o services: GetTransactionHistoryByTransactionld/GetDocuments
o parameters: Any
o download: EMTS documents.
3. The CDX Node Administrator will email EPA upon completion of revocation.
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Appendix C
C-1 Procedure for Testing a Node in the Testing Environment
The following steps describe how a user should test a node in the testing environment.
1. Contact EMTS Support at support@epamts-support.com and request a pre-production NAAS ID.
You will be assigned a temporary NAAS ID to test the Authenticate and Submit web services.
2. You will be provided with test' organization and facility registered data that you will use to create
your test XML files for your file submission testing in the test environment. Do not submit any
other XML files in the test environment as the files provided have CDX web users specifically
mapped to the test NAAS ID you have been provided.
3. At a minimum, test both the Authenticate service and the Submit service. Contact EMTS support
when you have completed these two tests. EMTS Support will verify that the submitted file has
been received and processed correctly in the staging environment.
4. Upon successful completion, EMTS Support will direct you to the CDX Node Help Desk with
instructions for setting up production NAAS credentials.
C-2 Procedure for Acquiring Credentials in the Production
Environment
In order to test node submissions in the production environment, a submitter for your organization
will need to have a valid NAAS ID and CDX web account.
1. Contact the CDX Node Help Desk (nodehelpdesk@epacdx.net) to request a production
NAAS ID, and provide the following:
The CDX Transaction ID of one node submission that successfully completed processing
by EMTS in the stage/test CDX environment.
The preproduction NAAS ID used to conduct the test (e.g., |ordanqrey(5)epa.qov). CDX
Node Help Desk will verify the test submission was successful.
Request that a production NAAS ID be created and mapped to your production CDX
account. Your production CDX account must also be registered and activated in
OTAQREG prior to providing this information (see Appendix B for further information on
the OTAQ Registration process). Provide your production CDX account to the CDX Node
Help Desk so that they may cross-map these two accounts.
Request that the prod NAAS ID have all access privileges (Submit, GetStatus, Solicit,
Query, and Download).
2. The CDX Node Help Desk will provide you a production NAAS ID.
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Appendix D
Accessing EMTS from MyCDX Web
This section describes how users access the EMTS website from MyCDX Web. Users may only access
EMTS through a registered account profile. An example of an account profile with access to EMTS is
shown below in Figure D-1 using the "TEST" MyCDX environment.
Figure D-1: MyCDX Account Profile
I I Contact Us
Logged in as BERTRANDRIGALDIES
OTAQEMTS: OTAQ EMTS Application
OTAQREG: Fuels Programs Registration
OTAQREG: Registration, v2
Last updated on October 20, 2011.
URL: https^/test.epacdx.net/SSL/CDX/MyCDX.asp
All users that have registered for EMTS and Fuels Programs Registration, and have been activated by
EPA to participate in the EMTS flow, can access the EMTS website through the "OTAQEMTS: OTAQ
EMTS Application" link. Delays may occur for new users waiting for approval of their registration
materials by EPA.
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Appendix E
Notifications for EMTS Flow
The following table outlines the notifications that are sent from either the CDX Node or EMTS to the
submitter.
The "ID" column is for EPA internal use only.
Table E-1: Emails Sent Regarding File Submission Status
Sender
CDX
CDX
Recipient(s)
Submitter,
CDX Help
Desk
Submitter
Notification Subject Line Content
CDX Node Failure to CDX Node failed to distribute the following
Distribute Document to document to EMTS.
EMTS.
EMTS submission with transaction ID of: On:
Submission time:
Document name:
Submitter NAAS User ID:
Submitter CDX Web User ID:
Submission status: FAILED.
CDX Node may be experiencing some
technical difficulties. Please resubmit your
document at a later time. Contact the CDX
Help Desk at if the problem
persists.
CDX is unable to Find CDX Node was unable to map NAAS User ID
CDX Web User to CDX Web User ID.
Identification based on
NAAS Identification. EMTS submission with transaction ID of: On:
Submission time:
Submitter NAAS User ID:
Submitter CDX Web User ID:
Submission status: FAILED.
Please contact the CDX Node help desk at
to verify that your NAAS
account has been completed properly.
ID
n/a
n/a
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
CDX
Recipient
Submitter
Notification Subject Line
CDX was unable to verify
that the submitter is a
registered user in
OTAQReg.
Content
CDX is unable to verify that you are a
registered user in the OTAQ Registration
system with permission to submit documents
to EMTS.
EMTS submission with transaction ID of:
Document:
Submission time:
Submitter NAAS User ID:
Submitter CDX Web User ID:
Submission status: FAILED
Please contact the OTAQ Registration Help
desk at for
assistance.
ID
n/a
CDX
Submitter CDX Node has completed
transaction.
EMTS submission of:
Document:
Submission time:
Submitter NAAS User ID:
Submitter CDX Web User ID:
Submission status: COMPLETED/FAILED
You will receive additional email from EMTS
containing additional information regarding
your submission document.
n/a
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
Recipient
All
Submitters
with an
Organization
Notification Subject Line Content
EMTS Processing Failure The following document submitted on
on behalf of could not be
processed due to one or more critical errors.
Information regarding the document is shown
below.
File name:
Submission Date/Time:
Submitter:
Additional information regarding your
submission is provided below.
Submission Comment:
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
ID
70
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
with an
Organization
All
Submitters
within an
Organization
Notification Subject Line Content
EMTS Daily Processed The following documents submitted on
Document Summary on behalf of have
been processed.
File name:
Submission Date/Time:
Submitter:
Submission Status:
Submission Comment:
Submission Date/Time:
Submitter:
Submission Status:
Submission Comment:
{Show only if
SubmissionCommentText is not null}
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
EMTS Notification of Your organization, , has been
Pending Trades identified as a trading partner for trades. Please accept or deny
trades before .
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
ID
80
90
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
Recipient
All
Notification Subject Line Content
ID
Blocked Party - Trade Not The following trade has not been processed. 100
Submitters Processed The RINs identified in this trade originated
with an
Organization
and all
submitters
with the
Trading
Partner
from a source that is on the blocked list for
.
Submission Date:
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
associated
with an
Organization
All
Submitters
associated
with an
Organization
Notification Subject Line Content
Blocked Party - Partner's The following trade has not been processed.
Trade Not Processed The RINS identified in this trade originated
from a source that is on the blocked list for
transaction Partner's Name> ^Transaction
Parter's organization's company ID>).
EMTS Submission Level The following document submitted on
Failure on behalf of could not be
processed due to one or more critical errors
that were identified in the submission
information. Due to these errors, no
transactions in the file were processed.
File name:
Submission Date/Time:
Submitter:
Submission Status:
Additional information regarding your
submission is provided below.
Submission Comment:
{Show only if
SubmissionCommentText is not null}
QA Check ID:
Issue:
QA Check ID:
Issue:
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
ID
180
110
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
Recipient
All
Submitters
within an
Organization
Notification Subject Line
EMTS Notification of
Locked RINs
Content
ID
RINS held by have recently
been locked by EPA. For more information
regarding your RIN Holdings and the status of
RIN batches, please visit the EMTS website.
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
320
EMTS
All
Submitters
within an
Organization
EMTS Notification of
Unlocked RINs
EMTS
All
Submitters
within an
Organization
EMTS Reminder-
Outstanding Trade
Transactions
RINS held by organization name>
^organization's company id>) have recently
been unlocked by EPA. For more information
regarding your RIN Holdings and the status of
RIN batches, please visit the EMTS web site.
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
400
There are trade
transactions initiated by that
have not yet been accepted. Your trading
partner has up to 2 business days to accept
these trades before they expire.
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
120
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
Recipient
All
Submitters
within an
Organization
Notification Subject Line
EMTS Trade Expired
Content
ID
There are trades
for that have expired as of
.
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
130
EMTS
All
Submitters
within an
Organization
Initiated Trade Cancelled A trade initiated by for a
transaction on has been
cancelled.
EMTS Transaction ID: transaction ID>
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
140
(cont.)
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Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
Recipient
All
Submitters
within an
Organization
Notification Subject Line
Trade Cancelled
Content
ID
A trade initiated by for a
transaction on has been
cancelled.
EMTS Transaction ID: transaction ID>
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
190
EMTS
All
Submitters
within an
Organization
EMTS Trade Denied
A trade initiated by on
has been denied by .
EMTS Transaction ID: transaction ID>
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
150
(cont.)
E-9
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
within an
Organization
Notification Subject Line
Trade Denied
All
Submitters
within an
Organization
EMTS Notification of
Outstanding Trade
Transactions
Content
ID
A trade initiated by on
has been denied by .
EMTS Transaction ID: transaction ID>
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
200
Your organization, , has been
identified as a trading partner for trade(s) that will
expire within 2 business days.
The following individuals were sent a copy of
this notification:
For additional support regarding EMTS,
please contact or
160
(cont.)
E-10
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
within an
Organization
All
Submitters
within an
Organization
Notification Subject Line Content
EMTS Reminder - There are trade
Outstanding Trade transaction(s) initiated by organization's
Transactions (24 Hr) name> ^organization's company ld>) that
have not yet been accepted. Your trading
partner has 24 hours to accept these trades
before they expire.
The following individuals were sent a copy of
this notification:
For additional support regarding EMTS,
please contact or
EMTS Quarterly Reports Quarterly Reports have been generated for
. This statement must be
verified and submitted to EPA no later than
. If you are a node user, you may
retrieve these reports from the CDX node
using the document download service. If you
are a web user, you may download the
document from the EMTS website.
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
ID
170
300
(cont.)
E-11
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
within an
Organization
All
Submitters
within an
Organization
Notification Subject Line Content
EMTS Annual Statement The Annual RIN Holding Statement has been
generated for . This statement
must be verified and submitted to EPA no
later than . If you are a node user, you
may retrieve the Annual RIN Holding
Statement from the CDX node using the
document download service. If you are a web
user, you may download the document from
the EMTS website.
For additional support regarding EMTS,
please contact or
.
The following individuals were sent a copy of
this notification:
EMTS Notification of Your organization, , is required
Transaction Error Web to report any RIN transaction errors that
Form Availability occurred during . You must
login to the EPA Moderated Transaction
System (EMTS) and complete the
Transaction Error web form. The report must
be submitted to DC Fuels prior to the
quarterly reporting deadline.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
ID
310
330
(cont.)
E-12
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
within an
Organization
All
Submitters
within an
Organization
Notification Subject Line Content
EMTS Notification of Your organization, , has not
Unreported Transaction reported transaction errors that occurred
Errors during . You must login to
the EPA Moderated Transaction System
(EMTS) and complete the Transaction Error
web form. The RFS2 Transaction Error
Report must be submitted to DC Fuels prior to
the quarterly reporting deadline.
If you do not have any transaction errors to
report, you do not need to submit the RFS2
Transaction Error Report.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
EMTS Notification of The RFS2 Transaction Error Report for your
RFS2 Transaction Error organization, , is available for
Report Availability download through the EPA Moderated
Transaction System (EMTS). You must
download and submit the form to DC Fuels
prior to the quarterly reporting deadline.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
ID
340
350
(cont.)
E-13
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
and Viewers
within an
Organization
Notification Subject Line
EMTS Notification of
Small Blender RIN
Separation
All
Submitters
and Viewers
within an
Organization
EMTS Notification of
Foreign Producer RIN
Generation
Content
ID
Your organization, , was
identified as the Small Blender in a Separate
Transaction on .
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
360
Your organization, , was
identified as the Foreign Producer in a
Generate Transaction on .
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
390
(cont.)
E-14
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
All
Submitters
and Viewers
within an
Organization
All
Submitters
and Viewers
within an
Organization
Notification Subject Line Content
EMTS Notification of Your organization, organization's name>
Unused Document (organization's companyld>), has not
downloaded the following document in
business days:
EMTS will cancel your subscription after
cancellation days> business days of
inactivity. If you wish to keep your
subscription, please log in to EMTS and
download the document.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
EMTS Notification of Your organization, organization's name>
Subscription Status (organization's company ld>), has not
downloaded the following document in
business days:
EMTS has canceled your subscription. You
may re-subscribe on the "Manage
Subscriptions" page of the EMTS user
interface.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
ID
410
420
(cont.)
E-15
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EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
EMTS
Recipient
EPA only
Notification Subject Line
EMTS Notification of
Metadata Update
All
Submitters
and Viewers
within an
Organization
EMTS Notification of
Unretire Transaction
Content
ID
Changes were made to the metadata on
. Please view the following tables for
details:
Table Name:
Table Name:
Table Name:
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
440
Sent by:
Your organization, organization's name>
^organization's company ld>), has RINs that
have been unretired by EPA. Please log in to
EMTS to view details of this transaction.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
640
(cont.)
E-16
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
Recipient
All
Submitters
and Viewers
within the
agent's
organizations
Notification Subject Line Content
EMTS Notification of You have not downloaded the following
Unused Agent Documents document in business
days:
EMTS will cancel your subscription after
cancellation days> business days of
inactivity. If you wish to keep your
subscription, please log in to EMTS and
download the document.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
Organization's name> (Organization's
company ID>:
Organization's name> (Organization's
company ID>:
ID
650
(cont.)
E-17
-------
EMTS Flow Configuration Document: Appendix E
11/23/2011
Table E-1: Emails Sent Regarding File Submission Status (cont.)
Sender
EMTS
Recipient
All
Submitters
and Viewers
within the
agent's
organizations
Notification Subject Line Content
EMTS Notification of You have not downloaded the following
Agent Subscription Status document in business
days:
EMTS has canceled your subscription. You
may re-subscribe on the "Manage Agent
Subscriptions" page of the EMTS user
interface.
For additional support regarding EMTS,
please contact or
The following individuals were sent a copy of
this notification:
Organization's name> (Organization's
company ID>:
Organization's name> (Organization's
company ID>:
ID
660
E-18
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Appendix F
EMTS Web Service Documents
If you are a node or node client user, you may subscribe to several documents that you can retrieve from
the CDX Node on a scheduled basis. The procedures for retrieving documents are described in Section
6. All documents are available in .CSV or .XML file format. Since the documents are intended for node
users, they contain code values rather than text descriptions.
F-1 Intervals for Documents
Document subscriptions may be provided daily, three times per day, once per week, or once per month.
Each document will include information on the last full day of transactions contained in the report and the
date in which EMTS created the document.
F-2 Organization vs. Agent Documents
EMTS offers two types of documents: Organization- and Agent-based.
Organization-based documents, which have been available in EMTS since its initial 1.0 release on July
1st, 2010, pertain to organization-specific EMTS data.
Agent documents were introduced in the EMTS release 1.5, and allow a user who is an "agent" for one or
more distinct organizations (See the OTAQ Registration documentation on how to become an agent) to
issue one solicit request only to retrieve all the documents for a given subscription for all the
organizations that the user is an agent for. For example, if an EMTS user is a agent for Organizations O1
and O2, and both O1 and O2 are currently subscribing to document D1, then the user is able to issue one
solicit request only to retrieve a zip file containing 2 D1 organization documents: O1's and O2's.
Notes:
The organization documents inside an agent zip document are not themselves zipped. Unzipping
an agent document produces the contained organization documents in clear.
The organization documents in a given agent document may be of a variety of formats (e.g.,
CSV, XML) depending on the specifics of each organization's subscription.
Similarly to how a user subscribes to a document for a given affiliated organization, an agent-type
user must subscribe to each agent document that she wishes to have built by EMTS.
In the rest of the document, an organization for which a user is an agent is referred to as an agent-
affiliated organization.
F-3 Document Parameters
When invoking the Solicit web service method to request a document, you must identify the name of the
document, the organization identifier, and the date in which the document was created. The following
table demonstrates how these parameters are used.
F-1
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Parameter
documentName
organizationldentifier
documentDate
Required
Yes
Yes
No
Format
See document
names in this
section.
String
YYYY-MM-DD
Description
The name of the
document.
The public identification
number of the
organization, or the
keyword "Agent" (Case
insensitive) for Agent
reports. This must be
reported for all
documents, with the
exception of agency
reports.
Creation date of the
document. An empty
documentDate will return
Example
PENDING
TRADES
1234, or "Agent"
2011-02-15
the document created on
the current system date
(e.g., today). This field is
required to obtain
documents generated
prior to the current
system date.
F-2
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
F-4 Summary of Web Service Documents
Note: Document names are case insensitive.
Document Name
PENDING TRADES
PENDING TRADE
DETAILS
RIN HOLDINGS
Description
This document lists all trades that
are in a pending state. Pending
trades are either transactions that
the seller has offered on one or
more batches of RINS for which the
buyer has not accepted yet, or the
buyer has initiated a transaction
and the trading partner has not yet
issued a matching sell transaction
yet.
This document lists additional
details for all trades in a pending
state. The document displays
Originating Source information
(GenerateOrganizationldentifier,
GenerateFacilityldentifier, and
BatchNumber) for all sell
transactions. Additionally, for each
sell transaction, the document
contains as many rows as there are
RIN batches involved in the
transaction.
This document lists the current
aggregate total RIN Holdings for an
organization, grouped by fuel code,
assignment, and RIN year.
Frequencies
Daily,
3 Per Day
Daily,
3 Per Day
Daily,
3 Per Day
Content
Not date sensitive as
pending trades expire
within ten days.
Format(s): CSV, XML.
Not date sensitive as
pending trades expire
within ten days.
Format(s): CSV, XML.
Not date sensitive as this
document always captures
the current aggregate
totals.
Format(s): CSV, XML.
(cont.)
F-3
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Summary of Web Service Documents (cont.)
Document Name
Description
MONTHLY
TRANSACTION
HISTORY
EXPIRED TRADES
This document includes all
generate, separate, buy, sell and
retire transactions submitted by an
organization through XML files or
online transactionsduring the prior
month. The prior month's
Transaction History report will be
generated on the first Saturday of
the current month (e.g., the
Transaction History report of
October will be generated on the
first Saturday in November).
Frequencies Content
First Saturday
of every
month
This document lists the pending
initiated and received trades that
have expired in the previous ten
days, as well as all pending trades
that will expire within the next 24
hours
Always contains the last
calendar month's EMTS
transaction activity.
Format(s): CSV, XML.
Daily, Always contains the last
3 Per Day ten days of expired
transaction activity.
Format(s): CSV, XML.
COMPLETED
TRADES
CANCELLED
TRADES
RIN BATCHES
TRANSACTION
STATUS
This document lists all trades that
have been completed.
Weekly, Always contains the last
Daily, ten days of completed
3 Per Day trade activity.
Format(s): CSV, XML.
This document lists all initiated and
received trades that have been
cancelled within the past 10
calendar days.
Daily
This document lists all RIN batches Weekly
that an organization owns.
Always contains the last
10 days of cancelled
trades.
Format(s): CSV, XML.
Not date sensitive as it
contains all RIN batches
owned by an organization
when the document is
generated.
Format(s): CSV, XML.
This document includes all
generate, separate, buy, sell and
retire transactions submitted by
your organization through XML files
or online transactions with a status
change in the past day.
Daily, 3 Per
Day
Format(s): CSV, XML.
(cont.)
F-4
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Summary of Web Service Documents (cont.)
Document Name
Description
Agent Pending
Trades Daily
Agent Pending
Trades Hourly
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.
Frequencies
Daily
Content
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.
Hourly
Formats: CSV, XML.
Formats: CSV, XML.
Agent Pending Trade
Details Daily
This document lists all pending
trades for your organization. It
includes batch detail information for
each transaction.
Daily
Formats: CSV, XML.
Agent Pending Trade
Details Hourly
Agent RIN Holdings
Daily
This document lists all pending
trades for your organization. It
includes batch detail information for
each transaction.
Hourly
Formats: CSV, XML.
Agent RIN Holdings
Hourly
This document lists the current
aggregate total RIN Holdings for an
organization grouped by fuel code,
assignment and RIN year.
Daily
Formats: CSV, XML.
This document lists the current
aggregate total RIN Holdings for an
organization grouped by fuel code,
assignment and RIN year.
Hourly
Formats: CSV, XML.
Agent Monthly
Transaction History
A document including all generate,
separate, buy, sell and retire
transactions submitted by your
organization through XML files or
online transactions during the last
calendar month.
Monthly
Formats: CSV, XML.
Agent Expired Trades
Daily
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.
Daily
Formats: CSV, XML.
(cont.)
F-5
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Summary of Web Service Documents (cont.)
Document Name
Agent Completed
Trades Daily
Agent Completed
Trades Hourly
Agent Completed
Trades Weekly
Agent Cancelled
Trades Daily
Agent Cancelled
Trades Hourly
Agent RIN Batches
Weekly
Agent Transaction
Status Daily
Agent Transaction
Status Hourly
Description
This document lists all trades that
were completed (i.e., no longer
pending) over the last 10 days.
This document lists all trades that
were completed (i.e., no longer
pending) over the last 10 days.
This document lists all trades that
were completed (i.e., no longer
pending) over the last 10 days.
This document lists trades that
have recently been cancelled.
This document lists trades that
have recently been cancelled.
This document lists all RIN batches
that your organization owns.
A document including all generate,
separate, buy, sell and retire
transactions submitted by your
organization through XML files or
online transactions with a status
change in the past day.
A document including all generate,
separate, buy, sell and retire
transactions submitted by your
organization through XML files or
online transactions with a status
change in the past day.
Frequencies
Daily
Hourly
Weekly
Daily
Hourly
Weekly
Daily
Hourly
Content
Formats: CSV, XML.
Formats: CSV, XML.
Formats: CSV, XML.
Formats: CSV, XML.
Formats: CSV, XML.
Formats: CSV, XML.
Formats: CSV, XML.
Formats: CSV, XML.
F-6
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
F-5 Pending Trades
The Pending Trades document includes all pending trades initiated and received for an organization. The
trades with TradeSource of "Initiated" show trades that were offered by the organization to their trading
partner. When a transaction includes advanced options for RIN selection, the originating organization,
facility, and batch number are shown. The CDX Transaction Identifier, Submission Identifier, Submission
Comment Text, Transaction Comment Text, and Supporting Document information are intended for
internal use. These fields are populated only for initiated trades.
Table F-5: Data Elements in the Pending Trades Document
CDXTransactionldentifier
OrganizationName
Organizationldentifier
Submissionldentifier
SubmissionDate
ExpirationDate
SubmissionMethod
Transactionldentifier
TransactionTypeCode
TradeSource
TransactionPartnerOrganizationldentifier
TransactionPartnerOrganizationName
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
ReasonCode
RINPriceAmount
GallonPriceAmount
TransferDate
PTDNumber
GenerateOrganizationldentifier
(cont.)
F-7
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-5: Data Elements in the Pending Trades
Document (cont.)
GenerateFacilityldentifier
BatchNumberText
SubmissionCommentText
TransactionDetailCommentText
PublicSupportingDocumentTextl
PublicSupportingDocumentNumberTextl
PublicSupportingDocumentText2
PublicSupportingDocumentNumberText2
SupportingDocumentTextl
SupportingDocumentNumberTextl
SupportingDocumentText2
SupportingDocumentNumberText2
F-6 Pending Trade Details
The Pending Trade Details document includes all pending trades initiated and received for an
organization. The trades with TradeSource of "Initiated" show trades that were offered by the
organization to their trading partner. When a transaction includes advanced options for RIN selection, the
originating organization, facility, and batch number are shown. The CDX Transaction Identifier,
Submission Identifier, Submission Comment Text, Transaction Identifier, Transaction Comment Text, and
Supporting Document information are intended for internal use. These fields are populated only for
initiated trades. The document also displays Originating Source information
(GenerateOrganizationldentifier, GenerateFacilityldentifier, and BatchNumber) for all sell transactions.
Additionally, for each sell transaction, the document contains as many rows as there are RIN batches
involved in the transaction.
Table F-6: Data Elements in the Pending Trade Details Document
CDXTransactionldentifier
OrganizationName
Organizationldentifier
Submissionldentifier
SubmissionDate
(cont.)
F-8
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-6: Data Elements in the Pending Trade
Details Document (cont.)
ExpirationDate
SubmissionMethod
Transactionldentifier
TransactionTypeCode
TradeSource
TransactionPartnerOrganizationldentifier
TransactionPartnerOrganizationName
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
ReasonCode
RINPriceAmount
GallonPriceAmount
TransferDate
PTDNumber
GenerateOrganizationldentifier
GenerateFacilityldentifier
BatchNumberText
ProductionDate
FuelCategoryCode
EquivalenceValue
SubmissionCommentText
TransactionDetailCommentText
PublicSupportingDocumentTextl
PublicSupportingDocumentNumberTextl
PublicSupportingDocumentText2
PublicSupportingDocumentNumberText2
(cont.)
F-9
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-6: Data Elements in the Pending Trade
Details Document (cont.)
SupportingDocumentTextl
SupportingDocumentNumberTextl
SupportingDocumentText2
SupportingDocumentNumberText2
F-7 RIN Holdings
The RIN Holdings document is an aggregate view of the total number of RINs held by an organization,
grouped by fuel code, assignment code, and RIN year. The total available RINs are the number of RINs
that can be used for transactions. The total pending RINs are RINs that have been designated for a sell
transaction that are still pending. These RINs are not available for any other transaction until the trade is
cancelled, denied, or expired. The total reserved RINs are RINs that are associated with a separate, sell,
or retire transaction that has not been submitted from the EMTS Transaction Bin. These RINs cannot be
used for any other transactions until the user removes the transaction from the EMTS Transaction Bin.
The number of total locked RINs are RINs that have been locked (by either the industry user or EPA) and
cannot be used for any transactions until they are unlocked.
Table F-7: Data Elements in the RIN Holding Document
OrganizationName
Organizationldentifier
FuelCode
RINYear
AssignmentCode
TotalAvailableRINs
TotalPendingRINs
TotalReservedRINs
TotalLockedRINs
TotalRINs
F-8 Monthly Transaction History
The Monthly Transaction History document contains generate, separate, retire, buy and sell transactions
submitted by an organization for the most recent prior calendar month. The document includes buy and
sell transactions submitted by that organization that are in a pending state. If two or more batches are
used in a single trade or separate transaction then multiple batches are identified with the same
transaction ID.
F-10
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-8: Data Elements in the Monthly Transaction History Document
CDXTransaction Identifier
OrganizationName
Organizationldentifier
Submissionldentifier
SubmissionDate
SubmissionMethod
Transactionldentifier
TransactionStatusCode
TransactionStatusDate
TransactionTypeCode
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
ReasonCode
TransactionPartnerOrganizationldentifier
TransactionPartnerOrganizationName
RINPriceAmount
GallonPriceAmount
TransactionDate or TransferDate
PTDNumber
TradingPartnerPTD
MatchedTransaction Identifier
MatchingTransactionldentifier
ExpirationDate
GenerateOrganizationldentifier
GenerateFacilityldentifier
BatchNumberText
ProcessCode
(cont.)
F-11
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-8: Data Elements in the Monthly
Transaction History Document (cont.)
ProductionDate
FuelCategoryCode
DenaturantVolume
EquivalenceValue
SubmissionCommentText
TransactionDetailCommentText
PublicSupportingDocumentTextl
PublicSupportingDocumentNumberTextl
PublicSupportingDocumentText2
PublicSupportingDocumentNumberText2
SupportingDocumentTextl
SupportingDocumentNumberTextl
SupportingDocumentText2
SupportingDocumentNumberText2
F-12
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
F-9 Expired Trades
The Expired Trades document lists all 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. The trades with a
TradeSource of "Initiated" show trades that were offered by the organization to a trading partner.
Table F-9: Data Elements in the Expired Trades Document
CDXTransactionldentifier
OrganizationName
Organizationldentifier
Submissionldentifier
SubmissionDate
ExpirationDate
SubmissionMethod
Transactionldentifier
TransactionStatusCode
TransactionStatusDate
TransactionTypeCode
TradeSource
TransactionPartnerOrganizationldentifier
TransactionPartnerOrganizationName
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
(cont.)
F-13
-------
EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-9: Data Elements in the Expired Trades
Document (cont.)
ReasonCode
RINPriceAmount
GallonPriceAmount
TransferDate
PTDNumber
GenerateOrganizationldentifier
GenerateFacilityldentifier
BatchNumberText
SubmissionCommentText
TransactionDetailCommentText
PublicSupportingDocumentTextl
PublicSupportingDocumentNumberTextl
PublicSupportingDocumentText2
PublicSupportingDocumentNumberText2
SupportingDocumentTextl
SupportingDocumentNumberTextl
SupportingDocumentText2
SupportingDocumentNumberText2
F-10 Completed Trades
The Completed Trades document shows all of an organization's trades that have been completed
(processed, cancelled, expired or denied) in the last ten days. This includes trades that were initiated by
the organization.
F-14
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-10: Data Elements in the Completed Trades Document
CDXTransaction Identifier
OrganizationName
Organizationldentifier
Submissionldentifier
SubmissionDate
SubmissionMethod
Transactionldentifier
MatchedTransaction Identifier
MatchingTransactionldentifier
TransactionStatusCode
TransactionStatusDate
TransactionTypeCode
TransactionPartnerOrganizationldentifier
TransactionPartnerOrganizationName
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
ReasonCode
RINPriceAmount
GallonPriceAmount
TransferDate
PTDNumber
TradingPartnerPTD
GenerateOrganizationldentifier
GenerateFacilityldentifier
BatchNumberText
SubmissionCommentText
TransactionDetailCommentText
(cont.)
F-15
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-10: Data Elements in the Completed
Trades Document (cont.)
PublicSupportingDocumentTextl
PublicSupportingDocumentNumberTextl
PublicSupportingDocumentText2
PublicSupportingDocumentNumberText2
SupportingDocumentTextl
SupportingDocumentNumberTextl
SupportingDocumentText2
SupportingDocumentNumberText2
F-11 Cancelled Trades
The Cancelled Trades document lists all initiated and received trades that have been cancelled within the
past 10 calendar days.
Table F-11: Data Elements in the Cancelled Trades Document
CDXTransactionldentifier
OrganizationName
Organizationldentifier
Submissionldentifier
SubmissionDate
ExpirationDate
SubmissionMethod
Transactionldentifier
MatchedTransaction Identifier
TransactionStatusCode
TransactionStatusDate
TransactionTypeCode
TradeSource
TransactionPartnerOrganizationldentifier
(cont.)
F-16
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-11: Data Elements in the Cancelled
Trades Document (cont.)
TransactionPartnerOrganizationName
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
ReasonCode
RINPriceAmount
GallonPriceAmount
TransferDate
PTDNumber
TradingPartnerPTD
GenerateOrganizationldentifier
GenerateFacilityldentifier
BatchNumberText
SubmissionCommentText
TransactionDetailCommentText
CancelledTradeCommentText
PublicSupportingDocumentTextl
PublicSupportingDocumentNumberTextl
PublicSupportingDocumentText2
PublicSupportingDocumentNumberText2
SupportingDocumentTextl
SupportingDocumentNumberTextl
SupportingDocumentText2
SupportingDocumentNumber2
F-12 RIN Batches
The RIN Batches document lists all RIN batches that an organization owns.
F-17
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-12: Data Elements in the RIN Batches Document
RINQuantity
FuelCode
AssignmentCode
RINYear
EquivalenceValue
FuelCategoryCode
ProductionDate
OriginatingOrganization Identifier
OriginatingFacilityldentifier
BatchNumberText
Transactionldentifier
RINStatusCode
F-13 Transaction Status
The Transaction Status document includes all generate, separate, buy, sell and retire transactions
submitted by your organization through XML files or online transactions with a status change in the past
day.
Table F-13: Data Elements in the Transaction Status Document
CDXTransactionldentifier
OrganizationName
Organizationldentifier
Submissionldentifier
SubmissionDate
SubmissionMethod
Transactionldentifier
TransactionStatusCode
TransactionStatusDate
TransactionTypeCode
RINQuantity
BatchVolume
(cont.)
F-18
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-13: Data Elements in the Transaction
Status Document (cont.)
FuelCode
AssignmentCode
RINYear
ReasonCode
TransactionPartnerOrganizationldentifier
TransactionPartnerOrganizationName
RINPriceAmount
GallonPriceAmount
TransactionDate or Transfer Date
PTDNumber
TradingPartnerPTD
MatchedTransaction Identifier
MatchingTransactionldentifier
ExpirationDate
GenerateOrganizationldentifier
GenerateFacilityldentifier
BatchNumberText
ProcessCode
ProductionDate
FuelCategoryCode
DenaturantVolume
EquivalenceValue
SubmissionCommentText
TransactionDetailCommentText
PublicSupportingDocumentTextl
PublicSupportingDocumentNumberTextl
PublicSupportingDocumentText2
PublicSupportingDocumentNumberText2
SupportingDocumentTextl
(cont.)
F-19
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EMTS Flow Configuration Document: Appendix F
10/23/2011
Table F-13: Data Elements in the Transaction
Status Document (cont.)
SupportingDocumentNumberTextl
SupportingDocumentText2
SupportingDocumentNumber2
F-14 Agent Pending Trades
The Agent Pending Trades zipped document contains one or more organization Pending Trades
documents corresponding to the subscriber's agent-affiliated organizations' Pending Trades
subscriptions.
There are two distinct Agent Pending Trades documents:
Agent Pending Trades Daily: Contains the Pending Trades documents built according to the
"Daily" frequency.
Agent Pending Trades Hourly: Contains the Pending Trades documents built according to the
"Three times a day" frequency.
F-15 Agent Pending Trade Details
The Agent Pending Trade Details zipped document contains one or more organization Pending Trade
Details documents corresponding to the subscriber's agent-affiliated organizations' Pending Trade Details
subscriptions.
There are two distinct Agent Pending Trade Details documents:
Agent Pending Trade Details Daily: Contains the Pending Trade Details documents built
according to the "Daily" frequency.
Agent Pending Trade Details Hourly: Contains the Pending Trade Details documents built
according to the "Three times a day" frequency.
F-16 Agent RIN Holdings
The Agent RIN Holdings zipped document contains one or more organization RIN Holdings documents
corresponding to the subscriber's agent-affiliated organizations' RIN Holdings subscriptions.
There are two distinct Agent RIN Holdings documents:
Agent RIN Holdings Daily: Contains the RIN Holdings documents built according to the "Daily"
frequency.
Agent RIN Holdings Hourly: Contains the RIN Holdings documents built according to the "three
times a day" frequency.
F-20
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EMTS Flow Configuration Document: Appendix F
10/23/2011
F-17 Agent Expired Trades Daily
The Agent Expired Trades Daily zipped document contains one or more organization Expired Trades
documents corresponding to the subscriber's agent-affiliated organizations' Expired Trades subscriptions
in the "Daily" frequency.
There is only one Agent Expired Trades document:
Agent Expired Trades Daily: Contains the Expired Trades documents built according to
the "Daily" frequency.
Note: At the time of writing, the organization Expired Trades document is built on a daily basis only.
F-18 Agent Completed Trades
The Agent Completed Trades zipped document contains one or more organization Completed Trades
documents corresponding to the subscriber's agent-affiliated organizations' Completed Trades
subscriptions.
There are three distinct Agent Completed Trades documents:
Agent Completed Trades Daily: Contains the Completed Trades documents built according
to the "Daily" frequency.
Agent Completed Trades Hourly: Contains the Completed Trades documents built according
to the "Three times a day" frequency.
Agent Completed Trades Weekly: Contains the Completed Trades documents built according
to the "Weekly" frequency.
F-19 Agent Cancelled Trades
The Agent Cancelled Trades zipped document contains one or more organization Cancelled Trades
documents corresponding to the subscriber's agent-affiliated organizations' Cancelled Trades
subscriptions.
There are two distinct Agent Cancelled Trades documents:
Agent Cancelled Trades Daily: Contains the Cancelled Trades documents built according to
the "Daily" frequency.
Agent Cancelled Trades Hourly: Contains the Cancelled Trades documents built according to
the "Three times a day" frequency.
F-20 Agent RIN Batches Weekly
The Agent RIN Batches Weekly zipped document contains one or more organization RIN Batches
documents corresponding to the subscriber's agent-affiliated organizations' RIN Batches subscriptions in
the "Weekly" frequency.
There is only one Agent RIN Batches document:
Agent RIN Batches Weekly: Contains the RIN Batches documents built according to the "Weekly"
frequency.
Note: At the time of writing, the organization RIN Batches document is built on a weekly basis only.
F-21
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EMTS Flow Configuration Document: Appendix F
10/23/2011
F-21 Agent Transaction Status
The Agent Transaction Status zipped document contains one or more organization Transaction Status
documents corresponding to the subscriber's agent-affiliated organizations' Transaction Status
subscriptions.
There are two distinct Agent Transaction Status documents:
Agent Transaction Status Daily: Contains the Transaction Status documents built according to the "Daily"
frequency.
Agent Transaction Status Hourly: Contains the Transaction Status documents built according to the
"Three times a day" frequency.
F-22
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EMTS Flow Configuration Document: Appendix G
10/23/2011
Appendix G
EMTS Support
EMTS - Registration, Reporting, and Technical Support Questions
EMTS Technical Support
o support@epamts-support.com
o 1-800-385-6164
o (Monday through Friday 9:00 a.m. until 5:00 p.m. ET)
Establishing CDX Login
- CDX Helpdesk
o helpdesk@epacdx.net
o 1 -888-890-1995, then select Option 1.
NAAS Authentication and Node Questions
CDX Node Support
o nodehelpdesk@epacdx.net
o 1-888-890-1995, then select Option 2.
EPA Fuels Programs Support Line
o EPAFuelsPrograms@epa.gov
o 1-202-343-9755
G-1
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