EMTS Transaction Instructions
&EPA
United States
Environmental Protection
Agency

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                          EMTS Transaction Instructions
                                             Compliance Division
                                     Office of Transportation and Air Quality
                                     U.S. Environmental Protection Agency
                     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-12-030
April 2012

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                                        Table of Contents
                                                                                           Page
  Section 1: What Is the RFS?	1-1

    1.1 What Are RINs?	1-1
    1.2 What Are All the Characteristics of a RIN?	1-2

  Section 2: What Is EMTS?	2-1

    2.1 How Are RINs Mode rated and Screened?	2-1
    2.2 What Tasks Can I Do with EMTS?	2-1
    2.3 Do I Need to Keep Separate Records of My Transactions?	2-2

  Section 3: What Are the Key Reporting Deadlines?	3-1

    3.1 When Do I Send in Reports to EPA?	3-1
    3.2 What Is the Expected Response Time to Interacting with EMTS?	3-3

      3.2.1 Registration to Use EMTS	3-3
      3.2.2 Real Time Reporting	3-3
      3.2.3 Responding to Buy/Sell Transactions	3-3
      3.2.4 Quarterly and Annual Reports	3-4

  Section 4: How Do I Interact with EMTS?	4-1

    4.1 How Do I Get Started?	4-1

      4.1.1 Browser Requirements	4-1
      4.1.2 Node Requirements	4-1
      4.1.3 CDX Registration	4-1

      4.1.3.1 Obtaining a CDX Account	4-2
      4.1.3.2 Registering with OTAQ Fuels Programs	4-2

      4.1.4 OTAQ DC Fuels	4-3

    4.2 How Does EMTS Process My Transactions?	4-3
5-EPA
United States
Environmental Protection
Agency

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EMTS Transaction Instructions
                                    Table of Contents (cont.)
                                                                                          Page

    4.2.1 What Are the Methods for Submitting Data to EMTS?	4-3
    4.2.2 Submitting Data through the EMTS Website	4-3
    4.2.3 Submitting Files via a Node	4-4
    4.2.4 What Is the Quality Assurance Process?	4-4
    4.2.5 How Do I Review Notifications?	4-5

Section 5: What Can I Do in the EMTS Website?	5-1

  5.1  Where Can I Find Information Specific to My Organization?	5-2

    5.1.1 Viewing Your Organization Information	5-2
    5.1.2 Viewing Your Organization's RIN Holding Account	5-4
    5.1.3 Viewing RIN Batch Details	5-5

  5.2  Where Can I Find Information on My Submitted Data?	5-6

    5.2.1 Viewing Node Submissions and Feedback Results	5-7
    5.2.2 Viewing Web Submissions	5-8
    5.2.3 Managing Subscriptions	5-9
    5.2.4 View Reports	5-10
    5.2.5 Manage Agent Subscriptions	5-11
    5.2.6 View Agent Reports	5-13

  5.3  How Do I Submit Transactions on the EMTS Website?	5-13

    5.3.1 The Transaction Bin	5-13
    5.3.2 How Will EMTS Assist with Data Entry and Screening?	5-16
    5.3.3 Can I Submit Multiple Transactions for the Same Organization?	5-17
    5.3.4 Can I See a Record of All My Submitted Transactions?	5-17
    5.3.5 What Happens to My RINs after the Time Period Expires?	5-18

  5.4  Creating Transactions	5-18

    5.4.1 What Information Is Required to Generate RINs?	5-18

      5.4.1.1 How Do I Generate RINs as an Importer?	5-20
      5.4.1.2 How Do I Report Equivalence Value?	5-22

    5.4.2 What Information Is Required to Separate RINs?	5-22

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EMTS Transaction Instructions
    5.4.3 What Information Is Required to Retire RINs?	5-23

                                    Table of Contents (cont.)
                                                                                           Page

      5.4.3.1 What Happens to My RINs When I Retire for Compliance?	5-27

    5.4.4 What Information Is Required to Report RIN Trades?	5-29

      5.4.4.1 Creating a Sell Transaction	5-29
      5.4.4.2 Accepting a Pending Buy or Sell Transaction	5-30
      5.4.4.3 Denying a Pending Buy or Sell Transaction	5-33
      5.4.4.4 Can I Cancel My Buy and Sell Transactions?	5-33
      5.4.4.5 Initiating a Trade Transaction with a Buy Transaction	5-34

    5.4.5 Which RINs Will Be Used in a Transaction?	5-35
    5.4.6 Can I Block RINs That Were Generated By a  Specific Organization?	5-36
    5.4.7 How Do I Report an Invalid Batch of RINs?	5-37
    5.4.8 How Do I Reverse a Transaction?	5-37
    5.4.9 How Do I Report an Error?	5-37

  5.5  Where Can I Go to Get Help?	5-39

Section 6: How Do I Report Transactions Using XML Files?	6-1

  6.1  What Are the Steps to Submitting My File?	6-1
  6.2  What Is the Purpose of an XML Schema?	6-2

    6.2.1 General Principles Used in Developing EMTS	6-2

  6.3  Codes, Identifiers, and Data Types	6-3

    6.3.1 How Do I Report Codes?	6-3
    6.3.2 How Do I Report Comments and Additional  Information?	6-3
    6.3.3 How Do I Report Identifiers?	6-3

      6.3.3.1 Organization Identifiers	6-3

    6.3.4 Data Types	6-4

      6.3.4.1 Dates and Years	6-4
      6.3.4.2 Reporting Numbers	6-4
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EMTS Transaction Instructions
  6.4 Constructing the XML File	6-5
                                   Table of Contents (cont.)
                                                                                         Page

    6.4.1 Will the Conversion Tool Create a Valid XML File?	6-5
    6.4.2 Is There a Limit on the Size of the Submission File?	6-5
    6.4.3 Schema Validation	6-6

      6.4.3.1 Validating Your File Prior to Submission	6-6

    6.4.4 Submitting Your File	6-6
    6.4.5 Quality Assurance and Receiving Feedback	6-6

  6.5 Overview of Major Data Blocks	6-7

    6.5.1 EMTS Root Elements	6-7
    6.5.2 Generating RINs	6-9
    6.5.3 Separating RINs	6-21
    6.5.4 Selling RINs	6-27
    6.5.5 Buying RINs	6-35
    6.5.6 Retiring RINs	6-41

  6.6 What Is the FIFO Process for Finding RINs?	6-50
  6.7 How Do I  Cancel  a Buy or Sell Transaction?	6-50

Section 7: How Can I Access Information about My Organization's RINs?	7-1

  7.1 What Documents Does EMTS Provide?	7-1
  7.2 How Do I  Certify My Transactions?	7-2

    7.2.1 What Quarterly Reports Does EMTS Provide?	7-2
    7.2.2 What Annual Reports Does EMTS Provide?	7-3

Section 8: How Do I Contact EMTS Support?	8-1

  8.1 How Does EPA Communicate Changes to Me?	8-1
  8.2 Where Do I Go If I Have a Question about EMTS?	8-2
  8.3 Where Do I Go If I Have a Question about the Renewable Fuel Standard?	8-2
  8.4 Who Should I Contact If I Need Help Resolving a Problem in EMTS?	8-2
Table of Contents
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EMTS Transaction Instructions
                                    Table of Contents f cont.l
                                                                                           Page
  Appendix A: Referenced Documents	A-l

  Appendix B: Glossary	B-l

  Appendix C: QA Checks	C-l

  Appendix D: Business Activities by Transaction Type	D-l

  Appendix E: Sample Transactions	E-l

  E-l Generate Transaction	E-l

    E-l.l Reporting the Originating Source	E-3
    E-l.2 Feedstocks	E-4
    E-l.3 Reporting Co-product	E-5

  E-2 Separate Transaction	E-6
  E-3 Sell Transaction	E-7

    E-3.1 Supporting Document Information	E-10

  E-4 Buy Transaction	E-10
  E-5 Retire Transaction	E-13

    E-5.1 Retire for Spillage	E-13
    E-5.2 Retire for Compliance, Aggregated Refiner	E-15
    E-5.3 Retire for Compliance, Facility Level	E-17

  E-6 Advanced Options	E-20

    E-6.1 Batch Specific Transactions	E-20

    E-6.1.1 Batch Specific Sell Transaction	E-20
    E-6.1.2 Batch Specific Buy Transaction	E-23

    E-6.2 Non-One-to-One Ratio	E-26
Table of Contents

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EMTS Transaction Instructions
                                    Table of Contents f cont.l
                                                                                          Pat
    E-6.2.1 Separate Fuel and RINs in a Non-One-to-One Ratio	E-26
    E-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio	E-28
    E-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio	E-30

  Appendix F:  User Roles and Permissions	F-l

  Appendix G:  Cross-reference Tables	G-l
Table of Contents
                                                                                             VI

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                                                          Who should read Section 1:
                                                          All users unfamiliar with the RFS.

                                                          What you will find in Section 1:
                                                          This section is a general overview of the
                                                          Renewable Fuel Standards program and
                                                          includes information on important changes
                                                          to reporting RINs.
Section 1: What Is the RFS?

The Renewable Fuel Standard (RFS) was mandated by
the Energy Policy Act of 2005 and revised in the Energy
Independence   and Security Act of  2007.    RFS2
regulations apply to  annual periods beginning July 1,
2010, changing initial RFS regulations which covered the
May 1, 2007 - June 30, 2010 period.

The RFS is a volume standard (expressed in gallons) and
requires  definition of  an  annual percentage of total
projected gasoline or diesel fuel refined or imported that
must  comprise renewable  fuel.   Renewable  fuels are
defined on the basis of feedstock and production process. EPA sets the RFS2 standards as percentages for
cellulosic biofuel, biomass-based diesel, advanced biofuel, and renewable fuel annually. Application of the
standard percentage to the volume of transportation fuel produced or imported, plus any deficit carryover
from the  preceding year, defines the Renewable Volume Obligation (RVO) for obligated parties. Obligated
                                          parties are defined  as refiners that produce gas or diesel
                                           fuel within the  48 contiguous  states and  Hawaii, or
                                           importers that import  gas or diesel fuel into  the  48
                                           contiguous states and Hawaii.  Alaska and U.S. territories
                                           can opt-in by petition. Obligated parties must demonstrate
                                           compliance with the RVO annually.
    Important Dates
    Renewable Fuel Standard (RFS2) began
    on July 1,2010.
 The RFS also defines an RVO for exporters of renewable fuels as equivalent to the standardized volume of
 renewable fuel exported (plus any deficit carryover from the previous year). The purpose of this RVO is to
 ensure that RINs associated with renewable fuels produced and exported are not used for compliance
 because the renewable fuel was not used in the domestic market.

   1.1 What Are RINs?
 Compliance with the RVO is demonstrated through the use of renewable identification numbers, known as
 RINs, which are assigned to each gallon of renewable fuel produced or possibly imported.  RINs track the
 volume of renewable fuel  produced or imported.   Obligated parties must acquire sufficient RINs to
 demonstrate compliance with the RVO. If an obligated party does not meet its RVO and if it did not carry a
 deficit for the same RVO in the preceding year then it is permitted to carry a deficit into the next year. The
 RVO must be satisfied in the subsequent year.

 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,
&EPA
         United States
         Environmental Protection
         Agency
                                                                                                11

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EMTS Transaction Instructions
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.

  1.2 What Are All the Characteristics of a RIN?
The RFS1 program used a single 38-character numeric code
to uniquely identify each gallon of renewable fuel produced
or  imported.   This  was  represented in  the form  of
KYYYYCCCCFFFFFBBBBBRRDSSSSSSSSEEEEEEEE.    These
characteristics still exist in  the new RFS reporting format,
however, parties do not need to reference a specific RIN once
it is the EMTS.
Change in RIN characteristics
The 38-character RIN will not be traded
and tracked in the same form as RFS1.
The following table shows the old 38-digit numeric code and the new equivalent data names that are
reported.  The RIN information will still be reported and kept for each batch and RIN trade, but this
information will not be used to create a 38-digit code.  (Note: Knowing the new equivalent data names are
not necessary for all the different ways to report) For more information on how these data are reported,
please read Section 5.3, "How Do I Submit Transactions on the EMTS Website?" and Section 6, "How Do I
Report Transactions Using XML Files?"

Table 1-1: Cross-Reference Mapping of the 38-Character RIN to the New Reporting Format
Old Code New Code Example Data
K
YYYY
CCCC
FFFFF
BBBBB
Assignment Code
Production Date
RIN Year
Organization Identifier
Facility Identifier
Batch Number
Code that indicates whether the RINs are
assigned or separated. 1 = Assigned to a volume
of fuel; 2 = Separated.
For RIN generation only, the production date will
be reported. During all other RIN transactions,
the RIN Year will be reported.
The public identifier for the organization as
registered with OTAQ.
The public identification number of the facility
registered with OTAQ.
A unique number assigned by the fuel producer.
                                                                                         (contv
Section 1
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EMTS Transaction Instructions
 Table 1-1: Cross Reference Mapping of the 38-Character RIN to the New Reporting Format (cont.)
     Old Code
              New Code
 RR
Equivalence Value
               Example Data
A multiplier (as per §80.1415), based on the type
of renewable fuel produced, applied to the Batch
Volume that determines the number of RINs
generated per gallon of fuel produced.
                   Fuel Code
                                       The renewable fuel code for RINs as defined in
                                       Part M §80.1426. New fuel codes reported for
                                       RFS2 are: 3 = Cellulosic Biofuel; 4 = Biomass-
                                       based Diesel; 5 = Advanced Biofuel; 6 =
                                       Renewable Fuel; and 7 = Cellulosic Diesel.
 SSSSSSSS
RIN Quantity
The EMTS will calculate a total quantity from the
volume of fuel reported.
 EEEEEEEE
RIN Quantity
The EMTS will calculate a total quantity from the
volume of fuel reported.
Section 1
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Section 1
1-4

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  Section 2:  What Is EMTS?
  In the Renewable Fuel Standard (RFS2) program, EPA
  Moderated   Transaction   System  (EMTS)  is  an
  electronic platform that screens the generation and
  moderates the transfer of RINs between renewable
  fuel  producers,  importers,  exporters,  obligated
  parties, and RIN owners.  EMTS screens submitted
  RINs, based on registration information, and provides
  a structured environment in which to conduct RIN
  transactions.

    2.1  How Are RINs Moderated and Screened?
                                              Who should read Section 2:
                                              Section 2 applies to all users who take
                                              ownership of RINs.

                                              What you will find in Section 2:
                                              This section provides an overview of EMTS and
                                              how to submit RIN transactions through the
                                              web interface or XML and review the
                                              transactions processed by EMTS.
  EMTS monitors and logs all transactions between registered parties and performs quality assurance checks
  for the purpose of preventing discrepancies. Users may submit their transactions individually and in batch
  files, accessing EMTS through EPA's Central Data Exchange (CDX).

  All RINs are characterized and tracked based on user-supplied company and facility registrations such as
  fuel category, production date, and the organization and facility that produced the fuel.  EMTS stores and
  tracks this data, moderating the life of all RINs used in separating, buying, selling, and retiring RINs.

    2.2 What Tasks Can I Do with EMTS?

  As an industry user, you may submit generate, separate, sell, buy, and retire transactions through the EMTS
  user interface based on your organization's permissions as registered with EPA.  Alternatively,  XML file
  submissions may be ideal for organizations that transact frequently.  These batch submissions can be sent
  through EPA's Exchange Network in a data flow using the EMTS reporting schema. You may also submit
  these files through the EMTS user interface. Your user permissions, as determined by your  registration
  with EPA in addition to your organization's business  activities, will restrict your user capabilities on the
  EMTS website.

  EMTS provides a variety of services to promote easy and accurate reporting of RIN transactions.  Once
  EMTS has processed a transaction, the results of that transaction will be placed into your organization's
  "RIN Holding Account."  You may view your current RIN holdings, along with various other reports, on the
  EMTS website. All transactions that you have initiated, or responded to, are available for you to review in
  the system.  Other EMTS services include providing feedback on any critical errors that were identified in a
  batch file, a  variety of downloadable reports,  notifications regarding your submissions, and access to
  support from EPA.
oEPA
United States
Environmental Protection
Agency
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EMTS Transaction Instructions
  2.3 Do I Need to Keep Separate Records of My Transactions?

Though EMTS logs and archives all transactions processed, recordkeeping is still a requirement as per 40
CFR §80.1454.  It is important to remember that EMTS is the system for trades and transactions that have
occurred outside of the EMTS system.  EMTS will process only trade transactions where the buyer and
seller have already engaged in a transfer of ownership of RINs.

Although EMTS will greatly minimize errors and the occurrence of invalid RINs, EMTS only screens RINs
that are being generated. EMTS will also provide users with an advanced option to specify that they would
not like to buy RINs that are generated by  specific producers or importers as RFS is a "buyer beware"
program.
Section 2
2-2

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  Section 3:  What Are the Key Reporting Deadlines?

    3.1 When Do I Send in Reports to EPA?
  Your organization is required to report quarterly and annual
  reports to EPA  indicating your RIN holdings,  total fuel
  volume owned,  and  annual  compliance  obligation.   In
  addition to quarterly and annual reports, you are expected to
  send all transactions,  except buy transactions, within five
  business days of a reportable event such as fuel production.
  Only buy transactions get an additional five business days to
  submit the information to EMTS.   At any  time, you may
  review your RIN holdings in  EMTS to ensure the RINs
  recorded match your recordkeeping.
                                                       Who should read Section 3:
                                                       Section 3 is of interest to all RIN owners
                                                       and obligated parties.

                                                       What you will find in Section 3:
                                                       The timeline for a typical annual
                                                       reporting cycle.
  The following figure shows the dates when quarterly and annual reports are due. Dates that appear in the
  top half of the timeline indicate the previous year's RFS deadlines. For example, in the year 2011, annual
  2010 reports are due by February 28, 2011.  Each date or milestone is discussed in detail below.
                     2/28
                   Last Day to
                   Retire RINs
                    for RVO
                    2/28
                    Annual
                    Report
                    Due
                                5/31
                                Attest
                              Engagement
                              Report Due
        January   February
                               April       May
                                               June      July     August    September   October   November   December
                    2/28     3/31
                   Quarterly    Annual
                   Report Due   Production
                            Outlook
                           Report Due
                                5/31
                               Quarterly
                               Report Due
  8/31
 Quarterly
Report Due
 11/30
 Quarterly
Report Due

                                                  V
                                                1/1 -12/31
                                          Open Transaction Period
                                              for Current Year

SEPA
United States
Environmental Protection
Agency
                                                                                                   3-1

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EMTS Transaction Instructions
Note: EMTS could experience high transaction volumes near due dates. It is recommended that parties
report all transactions to EMTS prior to the deadlines.  It is a violation if quarterly or annual transaction
information is not downloaded from EMTS and submitted through DC Fuels by the due date.  EMTS will
have reports available within a week of the end of the quarter.

Quarterly Reports
May 31, August 31, November 30, and February 28

EMTS will generate RFS2 RIN reports including your organization's current RIN  holdings available for
download at the end of every quarter. All parties have two months in which to review these reports and
submit them to EPA. RFS1 RIN reports  must be  generated by the organization.  (Please see the RFS
reporting web page for more information: http://www.epa.gov/otaq/regs/Juels/rfsforms.htm]

Annual Statement Available for Download
March 1

EMTS will send a notification when the annual statement including a list of RIN  batches and the total
number of RINs retired for compliance is available.  This statement is for informational purposes only and
does not need to be submitted to EPA.  EPA receives all annual compliance data via the RFS0301:  2010
RFS2 Annual Compliance Report, or RFS0302:  2011 RFS2 Annual Compliance Report

Attest Engagement Report
May 31

RFS requires Attest Engagements to provide regulated parties an independent review of their compliance
with the fuel requirements, including a  review of the regulated party's internal systems to monitor and
document compliance. Attest engagements are intended to identify compliance problems to a company, so
the company can implement early remedial actions and prevent the problem from growing into larger
regulatory violations.  This report is required to be mailed to EPA by May 31. For more information, please
visit h ttp://www. epa.gov/o taq/regs/fuels/attestengage. h tm.

Open Transaction Period for Current Year
January - December

EMTS is open to receive and process any type of transaction for the current year.

Year End Closing Period
January - February

The first two months of the current year  may be used to finalize the buying, selling, and retiring of the
previous year's RINs in order to meet an RVO. Any RINs generated in this time period will apply to the
current year. RINs generated in those first two months cannot be retired for the previous year RVO (i.e.,
2012 RINs cannot be used to meet an RVO for 2011 compliance).

Section 3                                                                                   3-2

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EMTS Transaction Instructions
Retire RINs to Meet RVO
February 28

All transactions involving RINs that are being retired to meet an RVO must be completed and reported no
later than February 28, by both parties.  Please note, you also must submit your annual compliance report
and retire the necessary RINs on or before February 28.

  3.2 What Is the Expected Response Time to Interacting with EMTS?

There are various key dates and response times that stakeholders must be  aware of to send transaction
information in a timely manner.

    3.2.1 Registration to Use EMTS

All  users must register  through  EPA's registration  website to submit files  or interact with EMTS.
Please review http://www.epa.gov/otaq/regs/fuels/fuelsregistration.htm  for detailed instructions on the
registration process.  Per §80.1450 and §80.1452, each party is required to send information to EMTS and
must establish an account with EMTS 30 or 60 days prior to engaging in any RIN transactions, depending
on business activities.

In addition, companies that produce a fuel or fuel additive for on-road use must be registered for health
effects under  title 40 CFR part 79 Fuels and Fuel Additives  Registration (FFARs) prior to manufacture or
import  Depending  on  the fuel or additive, timelines may vary.  These  RIN generators will not be
registered  to use EMTS  until they   are  registered under title  40  CFR  part 79.    Please  see
http://www.epa.gov/otaq/regs/fuels/ffarsfrms.htm for more information.

    3.2.2 Real Time Reporting

RIN generation and RIN transactions are reported in "real time" to EMTS. Users are required to enter the
reportable transactions to EMTS within five business days, or ten business days for buy transactions only,
of the title transfer (buy and sell transactions) or  reportable  event (generate, separate,  and  retire
transactions). Real time reporting applies to producers and importers who generate RINs and to any party
that participates in a RIN buy/sell transaction.

    3.2.3 Responding to Buy/Sell Transactions

When an organization receives a request for a buy or  sell  transaction, an authorized submitter for that
organization has ten business days to accept or deny the trade before the transaction will expire.  If a
response is not provided within the specified number of days, the transaction will time out and both parties
will be notified.
Section 3                                                                                     3-3

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EMTS Transaction Instructions
Remember: Parties are required to submit buy transactions within ten business days of the date on the
PTD and sell transactions within five business days of the date on the PTD per 40 CFR 80.145 2 (b).

    3.2.4 Quarterly and Annual Reports

Users will continue to comply with reporting quarterly and annual reports  as established in the RFS
regulation. These reports are submitted to EPA through DC Fuels or alternatively through mail. Additional
information can be found at http://www.epa.gov/otaq/regs/fuels/rfsforms.htm for submitting quarterly and
annual reports to EPA.
Section 3
3-4

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  Section 4:  How Do I Interact with EMTS?

  Users may  interact  with EMTS  in the following ways:
  through the submission of batch XML  files  with  the
  Exchange Network or the EMTS website, or the use of the
  EMTS website  to  report  transactions.   This  section
  provides an overview of these methods.  More detailed
  instructions can be found in Section 5, "What Can I Do in
  the EMTS Website?" and in Section 6,  "How Do I Report
  Transactions Using XML Files?"

    4.1 How Do I Get Started?
                                                 Who should read Section 4:
                                                 Section 4 applies to all RIN owners.

                                                 What you will find in Section 4:
                                                 This section provides an overview of the EMTS
                                                 system requirements, a summary of what is
                                                 needed before transactions can be submitted to
                                                 EMTS, and an overview of how transactions can
                                                 be submitted and reviewed.
  Before you can use EMTS, there are several prerequisites
  you need to complete. This section provides information on these steps.

      4.1.1 Browser Requirements

  If you intend to use the EMTS user interface, you may use one of the following browsers:

     •  Internet Explorer (Version 7.0 or later); or
     •  Firefox (Version 2.0 or later).

  You must also have internet access and an email account in order to receive notifications from EMTS.
  Please note that DC Fuels, the system you will use to submit your quarterly and annual reports, supports
  Internet Explorer up to Version 7.0 and does not support Firefox.

      4.1.2 Node Requirements

  If you intend to submit batch XML files to the Exchange Network you may use either a node  or  a
  node client,  or upload files via the  EMTS website.   The EMTS node only accepts  files that meet
  Exchange Header 2.0 specifications.   Details  can be found  at  the  Exchange  Network  website  at
  http://www.exchangenetwork.net.  You may also  find additional information on these requirements in
  Section 6, "How Do I Report Transactions Using XML Files?" Information on preparing and submitting XML
  files can be found in Section 6 of these instructions as well.

      4.1.3 CDX Registration

  Access to EMTS requires registration with CDX and OTAQ Fuels.
&EPA
United States
Environmental Protection
Agency
                                                                                             4-1

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EMTS Transaction Instructions
      4.1.3.1 Obtaining a CDX Account

Every user who intends to use EMTS must first obtain a CDX account  If you do not yet have a CDX account,
first navigate to http://cdx.epa.gov/epa_home.asp.

From this page, you should click on the link "If you are new to CDX and wish to register." After continuing
through several pages that include setting up a user account and providing other information, you will be
brought to the "CDX Registration:  Add Program" page from which the option "Office of Transportation and
Air Quality Fuels Registration (OTAQReg)" can be selected.

If you already have a CDX account, navigate to the CDX login page at https://cdx.epa.gov/SSL/cdx/login.asp.

Once logged in, you should add "Office of Transportation and Air Quality Fuels Registration (OTAQReg)" to
your profile.

Additional information on the registration process  can be found at
http://www.epa.gov/otaq/regs/fuels/420bl0022.pdf

General information regarding fuels program registration can be found at
http://www.epa.gov/otaq/regs/fuels/fuelsregistration.htm

      4.1.3.2 Registering with OTAQ Fuels Programs

Once your CDX user account has been established, you  need to be associated with your organization and
identify its business  characteristics (e.g., whether the  company  is a Refiner, Domestic Renewable Fuel
Producer, etc.). This is done through the OTAQ Fuels Programs Registration (OTAQReg) system that should
have been added to your user profile (see Section 4.1.3). You will not be able to interact with EMTS until
this step is completed.

Upon successful log in to My CDX, select "OTAQReg Fuels Programs Registration." This will bring first-time
users to  a page  with a "New User"  link.  After  a series of pages  that request entry of personal and
organization information,  you must either select  an existing  organization  (if the organization has
previously registered), or add new company information.

    •   If you add a new company, then you will  need  to select the  initial role of "Submitter"  under the
       "User Info" tab in  order  to perform transactions in EMTS. If you associate with an existing
       company, you must select the company's name tab in order to select the initial role of "Submitter."
       Without selecting "Submitter" a user will not be able to perform transactions in EMTS.

    •   You will need to select only the initial role  of "Company Viewer" if you do not wish to perform
       transactions in EMTS, but you still wish to view information such as RIN holdings.
Section 4                                                                                     4-2

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EMTS Transaction Instructions
    •   If EPA finds errors in your registration submission, EPA will deny your request and you will need to
       restart the process. A list of common errors and the Fuels Registration User Guide may be found at
       the following website: http://www.epa.gov/OMS/regs/fuels/fuelsregistration.htm.

Once the information has been submitted, the resulting forms must be printed and mailed  to EPA as
instructed.  Access to EMTS will only be granted once the submitted documents have been reviewed and
activated by EPA. This process may take several days after all the information on the forms is verified. You
should initiate this process well in advance of the time when access to EMTS is actually needed.

    4.1.4 OTAQ DC Fuels

Once the steps described in Sections 4.1.3.1 and 4.1.3.2 have been completed, you will have access to EMTS
and can submit transactions.  Completion of the steps described in 4.1.3.1  and 4.1.3.2  will  also provide
access to the OTAQ DC Fuels application. This program is used to submit quarterly reports and your annual
statement to EPA.  To  activate this link, call the CDX help  desk  and follow  the steps outlined in
the "User Manual  for CDX/OTAQ Fuels Reporting System  --  Phase II."  This manual  is available at
h ttp://www. epa.gov/o taq/regs/fueIs/42 Ob07012.pdf.

  4.2 How Does EMTS Process My Transactions?

There are three distinct stages associated with RIN transactions. In the first stage, the  user submits the
transaction data to EMTS.  The methods by which this  can be done are described in Section  4.2.1.  In the
second stage, the submitted data is processed by EMTS. The various steps associated with this processing
are described in Section 4.2.2.  In the third stage, the user is notified that  the transaction has been
processed, and any necessary follow-up is indicated. This is described in more detail in Section 4.2.3.

    4.2.1 What Are the Methods for Submitting Data to EMTS?

There are three basic methods for submitting data to EMTS.  You can submit your transactions in the EMTS
user interface, or submit an XML file via the EMTS user interface or from your node or node client via the
Exchange Network. Usage instructions for submitting data can be found in Section 5, "What Can I Do in the
EMTS Website?" and in Section 6, "How Do I Report Transactions Using XML Files?"

    4.2.2 Submitting Data through the EMTS User Interface

To submit data via the EMTS user interface, log into CDX at https://cdx.epa.gov/SSL/cdx/login.asp.

Enter your CDX user name  and password.  Once you  are  logged into the CDX portal, click the link
"OTAQEMTS: OTAQ EMTS Application."  You can review your holding account information and  create
transactions.  The functions available  to you  are limited  by your organization's business activities as
registered with EPA as described in Section 4.1.3.2.
Section 4                                                                                    4-3

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EMTS Transaction Instructions
In addition to being able to create RIN transactions, you can also use the EMTS user interface to load XML
files.  It is important that any XML files created for uploading into EMTS follow the XML conventions
described in Section 6, "How Do I Report Transactions Using XML Files?"

    4.2.3 Submitting Files via a Node

If you wish to submit your XML files to EMTS without interacting with the EMTS user interface, you can
submit your files via a node. A node is a piece of software that allows you to browse for XML files and uses
Web Services to authenticate your CDX account and send XML files over the Exchange Network. Some node
vendors allow the installation of only the node client in lieu of the full node software. If you wish to submit
files via the Exchange Network, but do not want the overhead  associated with a full node, you might
consider installing just a node client.  Contact the CDX Node support help desk for more information on
node client providers. The node client allows the user to browse for XML files and submit them to EMTS, as
well. For more information on using nodes, see Section 6.

More technical  information can be obtained on the Exchange Network website which you can find at
http://www.exchangenetwork.net/.

    4.2.4 What Is the Quality Assurance Process?

Whether you submit batch XML files or create online transactions via the EMTS user interface,  all data is
checked for critical errors before it is processed by EMTS.  QA checks apply not only to the batch files, but
also to the data entered on the EMTS website.

There are three  different ways that your data is checked for errors. These are:

    •  XML file validation;
    •  XML batch submissions; and
    •  EMTS website data entry.

The XML schema has several built-in checks that are applied to the XML files to ensure that the files are
valid and well-formed.

For transactions submitted via a batch XML file, EMTS runs QA checks after the file is retrieved from the
queue. If the file passes the EMTS QA checks, the file is processed. If the file does not pass all  of the QA
checks, a notification is sent to the user that the submitted file was denied and that it should be corrected.
No transactions in your file will be processed if any critical errors are identified. You can review  a detailed
feedback report about each submitted file on the EMTS user interface to help identify and correct errors.

Checks are also executed when a user enters data via the EMTS user interface. QA checks prevent data
from being submitted if critical errors are discovered on each screen.
Section 4                                                                                    4-4

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EMTS Transaction Instructions
    4.2.5 How Do I Review Notifications?

Notifications to EMTS users will be sent via email.  The following are examples of different types of
notifications you might receive from EMTS:

    •   A file has been received by EMTS.

    •   A group of files has been processed successfully.

    •   A group of files has  not been processed successfully, and you should go to the EMTS website for
       additional details.

    •   A trade transaction  has been initiated, and you should go to the EMTS website to complete the
       transaction.

Notifications may be sent immediately, or may be  aggregated and sent nightly.  You may also receive
notifications regarding deadlines for submitting quarterly and annual reports.  Transactional information
will not be sent to you from EMTS due to the fact that some corporate email servers block attachments.
Notifications may instruct you to review or download a report from the EMTS website.  Due to the time-
critical nature  of some of the notifications, it is important that you check your email on a regular basis.  In
most cases email will be sent to all individuals who have registered as submitters for your organization. If
you will be unable to check your email or access the EMTS for any required follow-up  actions, consider
having other submitters from your organization perform these tasks.  Organizations have the option to
unsubscribe to certain notifications. For more information see Section 5.2.3 "Managing Subscriptions."
Section 4
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EMTS Transaction Instructions
                                 [Thispage intentionally left blank]
Section 4
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  Section 5:  What Can I Do in the EMTS Website?
  You can use the EMTS website/user interface
  for a  variety of purposes, including managing
  your RIN transactions and viewing information
  about your RINs.   This section provides an
  overview of the features of the EMTS website,
  all of which  can  easily be  accessed  via the
  EMTS homepage.   Please  note  that all screen
  shots  of the  EMTS  website  are  subject  to
  change.

  Figure 5-1 shows the EMTS homepage.
                                                 Who should read Section 5:
                                                 Section 5 applies to all users that intend to view or
                                                 submit RIN transactions using the EMTS website.

                                                 What you will find in Section 5:
                                                 This section provides an overview of how RIN holdings,
                                                 organization information, and reports can be viewed,
                                                 and how transactions can be reported using the EMTS
                                                 website.
  Figure 5-1: EMTS Homepage
                                                                                     JordanGn
                                                                                              Home I Contact Us \ Help  | Logout
                                                                                            t for RAP Inc. GEN Biodiesel (4671)
              -  ~ '  -  ^  • ^
                 Good Afternoon Jordan Grey,
                 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)1 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.

                  .^ To view pending transaction details, dick the following link: View Trades
                                  You can submit your XML file here. Submit File
                                                                                              *• Transaction Bin
                                                                                                    Your organization has 0
                                                                                                    un-submitted transactions
                                                                                                    in the transaction bin,
                                                                                              View Transaction Bin
                                                                                              > Organizations
                                                                                              > Announcements
                                             Buildi ernts-web-1
irxEPA
United States
Environmental Protection
Agency
                                                                                                                     5-1

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EMTS Transaction Instructions
  5.1 Where Can I Find Information Specific to My Organization?

EMTS stores information about your organization as it is registered with OTAQReg Fuels Programs
Registration through CDX.  This information includes the business activities in which your organization is
engaged (e.g., Refiner, Producer,  Importer), your facilities, the fuels you can produce, the processes and
feedstocks you can use, and any co-products that may be produced.  In addition, you will have a role which
defines your ability to  submit or view your organization's RIN holdings.  Additional information regarding
your current RIN holdings and various reports on transactions involving your organization is available on
the EMTS website.

    5.1.1 Viewing Your Organization Information

One of the main menu  items on the EMTS website is "Organization." This link has several items of interest
to you, including:

   •   Your organization's address;
   •   Your organization's business activities;
   •   A list of all users affiliated with your organization;
   •   The name and location of your organization's facilities; and
   •   The registered  fuel, fuel category, process, feedstock, and co-product for each facility.

To update  this information, you must edit the information in  OTAQReg Fuels Programs Registration
through CDX.

If you are an agent and represent several organizations, you will first see a list of all of the organizations
you have been approved to represent. You must choose "View Registered Data" from the drop-down menu
in the "I want to..." column to access information specific to the organization. You may also choose "Select
Organization" from this drop-down menu. Once you select an organization from the list, the activities and
reports on the EMTS website will be limited to that organization. You may switch to another organization
in your list at any time;  however, EMTS will not  combine transactions from one  user for many
organizations in a report or data entry screen.

Figure 5-2 shows where to selectyour organization.
Section 5
5-2

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EMTS Transaction Instructions
Figure 5-2: View Organizations
                                                                                     Home | Contact Us \ Help [ Logout



                                                                    Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
  View Organizations
Please choose Select Organization to enter data as an organization
or View Registered Data to review the data in OTAQ Registration.


Organization Identifier
4669
4671
4672
4670
i Organization Name
RAP Inc.
RAP Inc. GEN Biodiesel
RAP Inc. GEN Cellulosic
RAP Inc. GEN EtOH
| Location Registered Data ± I want to... j
Williams, Arizona [-geject-
Fresno, California View Regis
Select Orga


Bayonne, New Jersey — Select-
	 ..HI Go 1
ered Data 1 -*° J
nization ^— -,


v Go
  Export options: CSV I Excel I PDF
Figure 5-3 shows the information page for one organization.
Section 5
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EMTS Transaction Instructions
Figure 5-3:  Organization Information
  msf
                                                           Home | Contact Us | Help | Logo
                                          Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
  View Registered Data
   Select facility to view registered data for that facility,
   Organization Name:

   Address:
   Bonded:
RAP Inc. GEN Biodiesel (4671)

1186 Lotus Lane

Fresno, California

NO
  Business Activities
                Business Activity Code
                                                                  Business Activity
                                             Domestic Renewable Fuel Producer
   Grey
   Pelt
 Jordan
 Lucy
JordanGrey
LucyPelt
emts-testiSipqa.com
emts-test@pqa.com
  Facilities
             Facility Name
   Valley Medico Plant 10

   Valley Medico Plant 12
                                         Public Facility ID
            46710

            46711
                    Fresno, California

                    Fresno, California
                                                                                          « Back
     5.1.2  Viewing Your Organization's RIN Holding Account

Your organization has a single "RIN Holding Account" to which you and any other registered users for your
organization have access. The RIN Holding Account contains all of the current RIN holdings and provides
access to holdings that were previously in your RIN Holding Account, such as RINs that you have sold or
RINs that you have retired. The RIN Holding Account data are aggregated showing your total RINs grouped
by fuel code (D code), assignment code, and RIN year.  The total number of RINs for a row of data is broken
down  into four categories:   Available, Pending, Reserved,  and Locked.  Various sorting and  filtering
capabilities allow you work with this RIN  data.  For example, you can arrange data to compare the total
number of RINs EMTS has processed in your account to your own off-line transaction records.  These data
are also available for download in a variety of formats.

Figure 5-4 shows the RIN Holding Account.
Section 5
                                                                                5-4

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EMTS Transaction Instructions
Figure 5-4:  RIN Holding Account
                                                                                   Home | Contact Us | Help | Logout
                                                                  Logged in as; JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Manage RIN Holdings
    Select one of the transaction actions for each fuel year and assignment for your RIN Holdings,
                                                                                  Transaction Bin
                                                                                  Organizations
                                                                                 Selected Organization: RAP Inc,
                                                                                 GEN Biodiesel (4671)
                                                                                 Select a Different Organization
                                                                                   Quick Search
   RIN Holdings for:
                     RAP Inc. GEN Biodiesel
Fuel (D Code) <
Biomass-Based Diesel (D-4)
Biomass-Based Diesel (D=4)
Renewable Fuel (D-6)
Renewable Fuel (D=6)
llfflRM
2010
2010
2010
2010
HifflfflWHSi
Assigned
Separated
Assigned
Separated
J Available
5100
1200
3200
3000
1 Pending
500
0
0
0
| Reserved
0
0
1300
0
| Locked
0
0
0
0
| Total
5600
1200
4500
3000
I want to...
-Select-

-Seled-

-Select-

- Select-
w^m
v:| Go

rl GO

v|| Go

v| Go
   Export options: CSV I Excel I PDF
       Generate
                       duy
     5.1.3  Viewing RIN Batch Details

For any combination of Fuel, RIN Year, and Assignment in your RIN Holding Account, you can view RIN
batch details by selecting "View Details" from the drop-down menu.  The resulting page will display all RIN
batches your organization owns for the selected criteria (see Figure 5-5). You may view additional details
of each batch by selecting "View Details" once again. Doing so will give you access to information such as
fuel category code, equivalence value, originating organization, and facility. From the Batch Details page,
you  may also select  "Transaction"  next to any batch of RINs to see the  details of the transaction that
resulted in those RINs entering your RIN Holding Account  This page will only display the most recent
transaction involving that batch of RINs.

Figure 5-5 shows RIN Holding Details
Section 5
5-5

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EMTS Transaction Instructions
Figure 5-5:  RIN Holding Details
                                                                                            Home | Contact Us | Help | Logout

                                                                         Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   View RIN Holding Details
    Please select a batch of RINs to either view the details of that batch or lock/unlock the RINs.
                                                                                          ^ Transaction Bin
                                                                       Your organization has 0
                                                                       un-subrnitted
                                                                       transactions in the
                                                                       transaction bin.
                                                                                          View Transaction Bin
     Originating Organization:

     Originating Facility:

     Submission Start Date:


     Submission End Date:


     Transaction ID:

     RIN Status:

     Results Per Page:
            Clear
   (MM/DDAYYY)
   OiM/DDAvrr)
'-Select-
   RIN Holding Details
                                             Displaying records 1 through 3 of 3 total.
   Export options: CSV I Excel I PDF
   5.2 Where Can I Find Information on My Submitted Data?


There are two methods for submitting transactions to EMTS (by batch file submission or by online entries
on the  website).   You can  review the status  of transactions  submitted under each method as  EMTS
processes them.
Section 5
                                                                                        5-6

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EMTS Transaction Instructions
     5.2.1 Viewing Node Submissions and Feedback Results

You may view a log of all files that have been submitted to EMTS by you or other submitters representing
your organization.  This log can be  accessed by navigating to "Submissions" on  the main menu and then
selecting "View Node Submissions."  This page displays the date and time XML files were submitted, CDX
and Submission IDs, the file names,  and whether the files were successfully processed.  You can also view
detailed information  regarding any submitted file and the results of the QA checks that were applied to the
contents of the  file using the drop-down menu in the  "I want to..." column.  If the file was  processed
successfully, no  QA Feedback report is produced.  Only files that have critical errors will have a feedback
report

Figure 5-6 shows a log of all file submissions from one organization to EMTS.

Figure 5-6: View Node Submissions
                                                                                        Home | Contact Us  | Help | Logout
                                                                     Logged in as: HordanGrey for RAP Inc. GEN Cellulosic (4672)
   View Node Submissions
    The following are all of the files submitted on behalf of your organization RAP Inc. GEN Cellulosic. Choose the View
    Details option in the I want to... column of the grid below to see more information about a submission and the list of
    transactions within the submission. You will be able to view transaction details from the submission details page.
    NOTE: The time it takes to process and load an XML file submission into EMTS will vary depending on current system
    activity,
                                                                                      > Transaction Bin
                                                                                      " Organizations
                                            Selected Organization: RAP Inc.
                                            GEN Cellulosic (4672)
                                            Select a Different Organization
     CDX Submission ID:

     Submission ID:

     Status:

     Submission Date (Begin):

     Submission Date (End):

     Results Per Page:
             Clear
                                Filter
   XML File Submissions for:
                        RAP Inc. GEN Cellulosic    Number of Files Received:   2

                                           Displaying records 1 through 2 of 2 total.
    _015b6cb9-cOa8-2af;a-30e5-565768d58e2c 50

    _0159749b-cOa8-2a6a-0838-f7b305bl7bab 49
2/7/11 1:21 PM     4672-Sell_to_4671.zip Grey, Jordan  Failed

2/7/11 1:19 PM     4672-Buy.zip      Grey, Jordan  Processed
j View Details v|[ Go"
   Export options: CSV I Excel I PDF
Section 5
                                                                    5-7

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EMTS Transaction Instructions
     5.2.2 Viewing Web Submissions

Under the  Submissions menu, you have the option to "View Web Submissions."  Here you  will  find all
transactions that your organization has entered and submitted via the EMTS website.  For each transaction
you will see  the submission ID,  submission date, submitter,  and current status.  You may also view the
details of any of your web transactions.

Figure 5-7 shows a log of all web  transactions from one organization to EMTS.

Figure 5-7: View Web Submissions
                                                                                           Home | Contact Us  \ Help |  Logout

                                                                        Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   View Web Submissions
    The following are all of the submissions from the Transaction Bin for your organization RAP Inc. GEN Biodiesel.
    Choose the View Details option in the I want to... column of the grid below to see more information about a
    submission and the list of transactions within the submission. You will be able to view transaction details from the
    submission details page,
                                                                                           Transaction Bin
                                           Your organization has 0
                                           un-submitted
                                           transactions in the
                                           transaction bin.
                                                                                         View Transaction E
                                                                                           Organizations
     CDX Submission ID:

     Submission ID:

     Submission Date (Begin):


     Submission Date (End):


     Results Per Page:
             Clear
                                 Filter
   Web Submissions for:
                        RAP Inc. GEN Biodiesel
                                              Number of Submissions:     4

                                             Displaying records 1 through 4 of 4 total.
                           2/7/11 3:16 PM

                           2/7/11 3:15 PM

                           2/7/11 3:15 PM

                           2/7/11 3:14 PM
Grey,Jordan

Grey,Jordan

Grey,Jordan

Grey,Jordan
Processed

Processed

Processed

Processed
View Details v|[ Go"
                                                                                                   View Details v  Go
   Export options: CSV I Excel I PDF
Section 5
                                                              5-8

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EMTS Transaction Instructions
    5.2.3  Managing Subscriptions

Various reports, documents, and notifications are available on the EMTS website that includes information
about data submitted for your organization.   EMTS allows you to manage subscriptions  to  reports,
documents, and notifications.  You may select the frequency, delivery method, and format that best suit
your organization's  needs.  Please note that subscriptions are managed on the organization level; any
submitter  in  your organization may subscribe or unsubscribe  all users to a report, notification,  or
document For more information on the types of reports and documents available, see Section 7, "How Can
I Access Information about My Organization's RINs?"

Figure 5-8 shows the Manage Subscriptions page.
Section 5
5-9

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EMTS Transaction Instructions
Figure 5-8: Manage Subscriptions
                                                                         Home 1 Contact Us \ Help | Logout
                                                           Logged in as: TutorialDemo for Demo Organization 1 (20)
Manage buDscnptions


Select subscription and click Go to subscribe or unsubscribe.



" Transaction Bin

£Qfa Your organisation has 0
\|7 un-submitted
V_jy transactions in the
transaction bin.
View Transaction Bin
Subscription Name ^ I Type ^ Subscribed ^M Last Updated Updated By I want to...
Pending Trades
Pending Trade Details
RIN Holdings
Transaction History
Expired Trades
Completed Trades
Processing Failure
Daily Processed Document Summary
Notification of Pending Trades
Blocked Party - Initiated Trade Not Processed
Submission Level Failure
Reminder - Outstanding Initiated Trade Transactions
Trade Expired
Initiated Trade Cancelled
Initiated Trade Denied
Document
Document
Document
Document
Document
Document
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Yes 09/03/2010 TutorialDemo Manage Subscription; v
Yes 09/03/2010 Tutorial De
Yes 09/03/2010 Tutor al De
Yes 09/03/2010 Tutorial De
Yes 09/03/2010 Tutor al De
Yes 09/03/2010 Tutorial De

mo Manage Subscription v

rno Manage Subscription v

mo Manage Subscription v

mo | Manage Subscription v

mo | Manage Subscription v

Yes 09/03/2010 Tutorial Demo Manage Subscription v
No Manage Subscription v-
No
No
No
No
NO
No
No

Manage subscription v

| Manage Subscription v-

Manage Subscription v

| Manage Subscription v

Manage Subscription v

Manage Subscription v

Manage Subscription v-
[ Go

[ Go

[ Go

| Go

[ Go

[ Go

Go |
Go |

[ Go

[ Go

| Go

[ Go

[ Go

[ Go

Go
    5.2.4 View Reports

After you have subscribed to a report or document, it can be downloaded from the "View Reports" page
found under the "Reports" menu. There you will be able to see the frequency you have selected for each
report or document and the last run time for each document. You may choose "Download Document" to
get the most recent version or "View All Documents" to see previously generated versions of that document
or report.

Figure 5-9 shows the View Reports page.
Section 5
5-10

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EMTS Transaction Instructions
Figure 5-9:  View Reports
                                                                           Home | Contact Us I Help | Logout
                                                                ed in as: TutorialDeino for Demo Organization 1 (20)
UMiM^SttMj^ t „ Transaction Bin
Forthe desired document, please select 'Download Document'. To view all available versions of
View All Documents'.
a document,
5e|ect ^^Ty\ Your organization has 0
\\1 un-submitted
\^_[y/ transactions in the
transaction bin.
View Transaction Bin

Document Name ^
Pending Trades
Pending Trade Details
RIN Holdings
Transaction History
Expired Trades
Completed Trades
RFS2 EMTS RIN Generation
Report
RFS2 EMTS RIN Transaction
Report (Buy, Sell, Separate,
Retire)
RFS2 EMTS Activity Report
(Separated RINS)
RFS2 EMTS Transaction Error
Report
Document Description £
This document lists all trades that are in a pending state.
Pending trades are buy or sell transactions for which the trading
party has not yet submitted a matching transaction.
This document lists all pending trades for your organization. It
includes batch detail information for each transaction.
This document lists the current aggregate total RIN Holdings for
an organization grouped by fuel code, assignment and RIN year.
A document including all generate, separate, buy, sell and retire
transactions submitted by your organization through XML files or
online transactions during the last 14 days.
This document lists all transactions that will expire within 1
business day as well as all trades that have expired in the last
10 days.
This document lists all trades that were completed (i.e., no longer
The quarterly RFS2 EMTS RIN Generation Report.
Separate, Retire).
RFS2 EMTS Activity Report (Separated RINS)
RFS2 EMTS Transaction Error Report
Frequency
3 per day
3 per day
Daily
Daily
Daily
3 per day
Quarterly
Quarterly
Quarterly
Quarterly
Quarterly
ILast Run
Time
09/03/2010
3:54:13 PM EOT
09/03/2010
3:54:13 PM EOT
09/03/2010
3:54:10 PM EOT
09/03/2010
3:54:04 PM EOT
09/03/2010
3:54:32 PM EOT
09/03/2010
3:54:00 PM EOT
09/03/2010
3:18:49 PM EOT
09/03/2010
3:19:26 PM EOT
09/03/2010
3:20:06 PM EOT
09/03/2010
3:20:33 PM EOT
I want to...

- Select- 1 
-------
EMTS Transaction Instructions
Figure 5-10:  Manage Agent Subscriptions
                                                                                                                 Home | Contact Us |  Help  | Logout

                                                                                              ed in as: JordanGrey for RAP Inc. GEN Biodiesel (-4671)
    Manage Agent Subscriptions
                                                                                                             » Transaction Bin
     Select subscription and click Go to subscribe or unsubscribe.
Your organization has 0
un-submitted transactions
in the transaction bin.
                                                                                                                V i r.-!rit..-ii--tion Bin
    Agent Cancelled Trades Daily

    Agent Cancelled Trades Hourly

    Agent Completed Trades Daily

    Agent Completed Trades H

    Agent Completed Trades (A

    Agent Expired Trades Daily

    Agent Monthly Transaction

    Agent Pending Trade Detai

    Agent Pending Trade Detai

    Agent Pending Trades Daily

    Agent Pending Trades Hourly

    Agent RIN Batches Weekly

    Agent RIN Holdings Daily

    Agent RIN Holdings Hourly

    Agent Transaction History Daily

    Agent Transaction History Hour

    Agent Transaction History Wee

    Agent Transaction Status Daily

    Agent Transaction Status

    Agent Subscription Status

    Unused Agent Documents

    Export options: CSV I Excel I PDF
•^Mm^^H
s Daily
; Hourly
js Daily
35 Hourly
is Weekly
aily
:ion History
etails Daily
etails Hourly
Daily
Hourly
Eikly
y
jrly
nry Daily
Dry Hourly
Dry Weekly
us Daily
us Hourly
:us
its
tjKjKiLSim
Daily
3 per day
Daily
3 per day
Weekly
Daily
Monthly
Daily
3 per day
Daily
3 per day
Weekly
Daily
3 per day
Daily
3 per day
Weekly
Daily
3 per day
Immediate
Immediate
u^i^i^^
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Notification
Notification

Yes 11/18/2011 Jordan Grey | Manage Subscription v[ Go

No Manage Subscription v [ Go
Yes 11/18/2011 Jordan Grey Manage Subscription v[ Go

No Manage Subscription v|| Go
No Manage Subscription v [ Go

No Manage Subscription v [ Go

Yes 11/18/2011 Jordan Grey Manage Subscription v|[ Go

No Manage Subscription v- [ GO

No | Manage Subscription v,[ Go ]
No ] Manage Subscription v- [ Go ]

Yes 11/13/2011 Jordan Grey Manage Subscription v| Go

No Manage Subscription v | Go

No | Manage Subscription vi[ Go |
No Manage Subscription ^ [ GO

No Manage Subscription v | GO

No Manage Subscription v J GO

No Manage Subscription v | GO
Yes 11/18/2011 Jordan Grey | Manage Subscription vj[ Go |

No Manage Subscription v| Go
Yes 11/18/2011 Jordan Grey Manage Subscription v| Go

Yes 11/18/2011 Jordan Grey Menage Subscription **' [ Go ]
                                                                 Contact Us  |  Help
                                                     Jildi emts-web-1
Section 5
                     5-12

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EMTS Transaction Instructions
  5.2.6 View Agent Reports


To retrieve the documents you requested as an agent, click "View Reports" under the Agent menu and
select "Download" from the "I want to..." menu next to the desired document

Figure 5-11 shows the View Agent Reports page.

Figure 5-11: View Agent Reports
        f
                Home 1 Contact Us \ Help j Logout

Logged in as: JordanGrey for RAP Inc. Obligated Party (4675)
  View Agent Reports
   For the desired document, please select 'Download Document', To view all available versions of a document, select View All
   Documents',
                                                                              ' Transaction Bin
                   Your organization has 0
                   un-submitted transactions
                   in the transaction bin,
                                                                              V!•?•"• Transaction Bin
Document Name
Agent Cancelled Trades Daily
^ 1 Document Description
This document lists trades that have recently been cancelled.
^ Last Run
Time '
11/21/115:00 PM
I want to..
-Select-
^m
"| Go ]
Export options; CSV 1 Excel 1 PDF
  5.3 How Do I Submit Transactions on the EMTS Website?

You can use the EMTS website  to  report any type of RIN
transaction for which you have  permission.  Based on the
business activities your  organization  registered  with the
OTAQReg Fuels Programs Registration, some  transactions
may not be  available to  you.  See Appendix D, "Business
Activities by Transaction Type," to see what transactions you
can  perform based on your role and your organization's
business activities.
Submitting Transactions:
You have five business days to submit
a transaction, after which time your
transaction will be cleared from the
Transaction Bin.
    5.3.1 The Transaction Bin

Any transaction can be created from your "RIN Holding Account" page.  As you create a transaction, the
RINs in your holding account are placed in "reserve" so they cannot be used by other transactions.  Your
RIN Holding Account will show the status of your RINs, indicating how many are available for transactions
and how many are reserved by transactions you have created during your web session.  As you create
Section 5
                                5-13

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EMTS Transaction Instructions
transactions, the RINs are placed in a "Transaction Bin" where they will be stored temporarily until you are
ready for EMTS to process these transactions. Your Transaction Bin will not be cleared until you are ready
to review, confirm, and submit these transactions. At any time you can review the list of transactions in
your Transaction Bin and remove a transaction. However, you cannot edit a transaction in the Transaction
Bin; you must remove it and then create a new transaction.

If you exit EMTS or close your browser prior to submitting the transactions in your Transaction Bin, these
transactions will remain in a reserved state for five business days or until you return to the website and
submit or remove them.  If you do not submit these transactions within five business days,  EMTS will
automatically remove them from your bin and "un-reserve" the RINs in your RIN Holding Account  For this
reason, it is important that  you complete your transactions  as  soon as  possible to avoid loss of any
transaction data that you have been working on during multiple web sessions.

Any submitter in your organization has the same permission to manage transactions for your RIN Holding
Account  It is possible for you to create a transaction and have another person in your organization review,
confirm, and submit the transaction.

Figure 5-12 shows the Transaction Bin.
Section 5
5-14

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EMTS Transaction Instructions
Figure 5-12:  Transaction Bin
                                                                                                           Home | Contact Us  I Help | Logout
                                                                                      Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Transaction Bin
     The last transaction submitted for PAP Inc. GEN Biodiesel (4671) through the EMTS website was submitted by
     KellyCottinaham on Nov 18, 2011 at 3:11:07 PM.
     A transaction that is acting uoon a laras number of R.IN batches mav take.several minutes, causina vour browser to
                                                                                                   ~
                                                                                                        T Organizations
                                                                          Selected Organization: RAP Inc. GEN
                                                                          Biodiesei (4671)
                                                                          Select a Different Organization
   Generate Transactions
      Production        RIN
         Date         Year
    11/14/2011
       Fuel Category
                              Fuel (D Code)     Volume   Quantity
Non-ester Renewable Diesel (EV    Biomass-Based
1.7)                         Diesel
                                                                                                                -Select-
                                                                                                                           v  Go
   Buy Transactions
   Separate Transactions
    RIN Year  '   Fuel (D Code)      Quantity    Volume
    2011       Renewable Fuel      3500       3500
    2011       Biomass-Based Diesel  4100       4100
                       Use as Heating Oil or Jet Fuel as per 40 CFR S0.1429(b(2)
                       Blending to Produce a Transportation Fuel as per 40 CFR 80.1429(b)(2)
                                                                                                                -Select-    v  Go
                                                                                                                -Select-    v  Go
   Sell Transactions
      Transfer Date        RIN Year
    n/ia/2011
                                          Fuel (D Code)
                                     Biornass-Based Diesel
                                                              Quantity    I   Assignment        Trading Partner
                                                                          Separated
                                                                                          RAP Inc.
   Retire Transactions
                                                                                                                -Select-    v  Go
                                                              Contact Us |  Help
                                                   Jild: emts-web-1
Figure 5-13  shows how to confirm and submit the transactions from the Transaction Bin.
Section 5
                                                                                                     5-15

-------
EMTS Transaction Instructions
Figure 5-13: Confirm and Submit
                                                                              Home [ Contact Us ] Help I Logout
                                                              Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
  Confirm and Submit
                                                                           •»• Transaction Bin
I confirm that the information shown is a correct and accurate account of the transaction(s) that have taken place,
A transaction that is acting upon a large number of RIN batches may take several minutes, causing your browser to timeout.
Please be patient and do not submit another transaction until the transaction has completed,
Transactions
Transaction i Fuel (D Code)
Separate
Separate
Sell
Generate

Renewable Fuel
Biomass-Based Diesel
Biomass-Based Diesel
Biomass-Based Diesel


(TTTHj Your organization has 4
\]j un-submitted transactions
\-_^]> in the transaction bin.
View Transaction Bin

| RIN Year Assignment Quantity
2011 Assigned
2011 Assigned
2011 Separated
2011 Assigned

Contact Us \ Help
3500
4100
2700
17000

«Back || Confirm Submit »

    5.3.2 How Will EMTS Assist with Data Entry and
    Screening?
                                                                Available Codes:
                                                                Available codes will be determined
                                                                based on your organization's
                                                                registration information.
Whenever possible, EMTS will auto-fill information into your
transaction data entry form.  For example, the fuel type that
you  can  generate is  limited  based  on your  registered
processes and feedstocks; therefore the choices available in
your drop-down data entry box will be limited by your registration information.  For this reason, it is
imperative that your registration with EPA be up-to-date.  The  choices that your organization is not
registered for will be grayed out

Quality assurance checks are built into each page and assure valid data entry.  In addition, available code
values may be restricted based on business rule checks. For example, unless you are a Foreign Renewable
Fuel Producer or a Renewable Fuel Importer, you will not be given the option to select "Import Volume
Correction" as a reason code in a retire transaction.

Figure 5-14 shows a submission that has failed quality assurance checks.
Section 5
                                                                                               5-16

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EMTS Transaction Instructions
Figure 5-14: QA Check Failure
                                                                                   Home | Contact Us  I Help I Logout
                                                                  Lugged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
  Generate RINs - Report Fuel
   QA Check Errors
      • 3022; The RIN quantity is not equal to the product of batch volume and the allowed equivalence value (1.7),
       Based on supplied criteria the RIN quantity should be 6800.
      Report Fuel
     * Fuel (D Code):

     * Production Process:

     * Production Date:

     " Fuel Category:
   	| Identify RINs
     - Batch Volume:

     Denaturant Volume:

     Equivalence Value:

     * Quantity of RINs:
                        Biotnass-Based Diesel (DM) ""
Hydrotrealing, Dedicated Renewable Biomass FacilityG-QO)
             I  Includes Denaturant Volume.


               Ethanol and Celfulosic Ethanol Only.



               Batch Volume multiplied by Equivalence Value.
                                                                            -
                                                                                 •» Transaction Bin
                                                               Your organization has D
                                                               urvsubmitted
                                                               transactions in the
                                                               transaction bin,
                                                                                 View Transaction Bin
                                                           Report Feedstocks
     5.3.3 Can I Submit Multiple Transactions for the Same Organization?

There is no restriction on the number of transactions that you can add to the Transaction Bin, provided
they are originated on behalf of a single organization and that organization  has sufficient RINs in its RIN
Holding Account. Multiple transactions for the same organization can be entered, reviewed, and submitted
at one time. If you are an agent and are reporting on behalf of several organizations, you may only submit
transactions for one organization at a time.

     5.3.4 Can I See a Record of All My Submitted Transactions?

EMTS will keep  active logs of all  of your submitted transactions.  To access  a previously submitted
transaction, you can either find the actual file that was submitted and review the contents of that file under
the "Submissions"  menu, or you  can view the detailed Transaction  History document, which provides
information about the transactions your organization has participated in within the last 14 days.
Section 5
                                                                                5-17

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EMTS Transaction Instructions
    5.3.5  What Happens to My RINs after the Time Period Expires?

If you  have initiated a sell transaction, and RINs have  been placed on reserve  for the pending buy
transaction, the buyer has ten business days to complete the pending trade before expiration. If the buyer
fails to do so, your transaction will expire, and RINs are un-reserved and available for you to use in other
transactions. Remember, you must submit transactional information within five days of the transfer date
as specified on the Product Transfer Document (PTD).

EMTS will  also periodically clear your  Transaction Bin,  meaning that any transactions that you have
entered but not yet confirmed will be lost. Once you place a transaction in your bin you have five days in
which to confirm the transaction before EMTS will remove it from the bin. However, parties are required
to send transactional information within five days of the transfer date or reportable event per §80.1452,
except for buy transactions, which must be submitted within ten business days of the transfer date.

Lastly, at the end of a compliance period, RINs that were produced two years before the beginning of the
new trading period will expire.   For example, RINs produced in 2010 will  expire immediately after
February 28, 2012, and all transactions should be completed by that time.

  5.4 Creating Transactions

EMTS requires specific data for all transaction types: generate, separate, retire, sell, and buy.

    5.4.1  What Information Is Required to Generate RINs?

The following information is required to generate RINs as a Producer:

    •   The type of fuel produced;
    •   The code that specifies the process used to create the renewable fuel;
    •   The date the  renewable fuel was produced;
    •   The volume of renewable fuel produced;
    •   The volume of denaturant added to the renewable fuel (ethanol only);
    •   The number of RINs associated with the renewable fuel;
    •   The facility ID;
    •   The batch number;
    •   The codes for all feedstocks used to produce the renewable fuel;
    •   The quantity of all feedstocks used to produce the renewable fuel;
    •   The units of measure for all feedstock quantities;
    •   Affirmation that each feedstock meets the definition of renewable biomass; and
    •   The codes for all co-products produced along with the renewable fuel.

Figure 5-15 shows how to report information about the fuel for which RINs are being generated.
Section 5                                                                                   5-18

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EMTS Transaction Instructions
Figure 5-15:  Generate RINs - Report Fuel
                                                                                                          Home | Contact Us  I Help I Logout

                                                                                       Logged in as: JordanGrey for RftP Inc. GEN EtOH (4670)
   Generate RINs - Report Fuel
    Enter the fuel (D Code), batch characteristics and quantity of RINs generated, The fuel and production process must be
    registered with OTAQREG Fuels registration before reporting fuel.
       Report Fuel
                              Renewable Fuel (D=6)
      * Fuel(D Code):

      * Production Process:       Dry Mill Biornass Fired (Corn Oil Frsctionstion. Corn Oil Extract v

      * Production Date:
   4 = Required Field
      * Batch Volume:


      Denaturant Volume:
                                                 Ethanol and Ceilulosic Ethanol Onlv,
      Equivalence Value:

      * Quantity of RINs:
                                                  atcn Volume multiplied Q\ Equivalence Value
       Identify Production Source
      Originating Organization:    RAP Inc. GEN EtOH
       Originating Facility:        Allied Terminals Inc (467QO) v
      Additiona Information
                                                                                                        ^ Transaction Bin
Your organization has 0
un-submitted
transactions in the
transaction bin.
                                                                                                        .'K".''"' Transaction Bin
                                                             « RIM Holdings
                                                                                 Report Feedstocks »
Figure 5-16 shows how to report feedstocks in a generate transaction.
Section 5
                     5-19

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EMTS Transaction Instructions
Figure 5-16: Generate RINs - Report Feedstocks
   Generate RINs - Report Feedstocks
    Report one or more feedstocks used for the generation of the fuel.
                                                                                           Home | Contact Us I Help  | Logout

                                                                        Logged in as: Jordan Grey for RAP Inc. GEN Biodiesel (4671)
     | Report Feedstocks
     * Feedstock(Code):

     * Quantity:

     * Unit of Measure:

     Additional Information:
                          -Select-
-Select-
         Does this feedstock meet the definition of renewable biomass in 40 CFR 80.1401?
    = Required Field
•
Bio
Feedstock
genie Waste Oils/Fats/Greases
Quantity
50DO
Measure
Gallon
Additional Information


Renewable Biomass
Yas
i^m
\ Remove j
                                                                              I Add
                                                     « Report Fuel       Report Co-products »
                                                                                        •*• Transaction Bin
                                                                    Your organization has 4
                                                                    un-submitted transactions
                                                                    in the transaction bin.
                                                                                        View Transaction Bin
                                                                                           Report Feedstocks
                                                    Contact Us \  Help
        5.4.1.1 How Do I Generate RINs as an Importer?


Additional information is required if you are generating RINs as an Importer:


    •   The Facility to which the fuel was imported;
    •   The Organization that produced the fuel; and
    •   The Facility where the fuel was produced.
Section 5
                                                                                     5-20

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EMTS Transaction Instructions
It is important to note that when generating as an Importer, all fuel, fuel category, process, and feedstock
codes are available  for selection.  However, the selections you make must be registered for the foreign
facility that you specify in the transaction.

Figure 5-17 shows how to generate RINs as an Importer.
Section 5
5-21

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EMTS Transaction Instructions
Figure 5-17:  Generate RINs (as an Importer)
                                                                                                       Home  1 Contact Us | Help |  Logout

                                                                                  Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Generate RINs - Report Fuel
                                                                                                     *• Transaction Bin
    Enter the fuel (D Code), batch characteristics and quantity of RINs generated. The Generate Facility ID entered must be
    registered for the Process, Fuel (D Code), Fuel Category, and Feedstock selections, otherwise QA checks will prohibit RIN


| Report Fuel
* Fuel £D Code):
* Production Process:
* Production Date:
* Fuel Category:

| Identify RINs
* Batch Volume:
Denaturant Volume:
Equivalence Va ue:
* Quantity of RINs:


Renewable Fuel (D-6)

-Select-

P
(MM/DD/YYYT)
-Select-



Includes Denaturant Volume,
(Gallons)
Ethano and Ceflulosic Ethanol Only,
(Gallons)


Batch Volume multiplied by Equivalence Value,


| Identify Production Source
Originating Organization:
• Originating Facility:
* Generating Organization:
* Generating Facility:
* Batch Number:
Additional Information:
* = Required Field
RAP Inc. GEN Biodiesel
— Select- v- This is the Import Facility,

This is the Foreign Producer.

This is the Foreign Facility.






« RIN Holdings Report Feedstocks »
Your organization has 0
un-submitted
transactions in the
transaction bin.
                                                                                                     View Transaction Bin
Section 5
                    5-22

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EMTS Transaction Instructions
      5.4.1.2 How Do I Report Equivalence Value?

You are not required to  report an equivalence value.  EMTS will automatically calculate the equivalence
value based on the type of fuel for which you are generating RINs. The number of RINs you are allowed to
generate for a specific fuel type will be determined by the volume of the batch of fuel  multiplied by the
equivalence value.  EMTS checks  that the RINs you  generate do not exceed your fuel volume by the
equivalence value multiplier.  If you report an equivalence value, EMTS will re-calculate and check this
value. The equivalence values (multipliers) are as follows:

       Non-cellulosic Ethanol = 1.0
       Biodiesel (mono-alkyl ester) = 1.5
       Non-ester Renewable Diesel = 1.6 or 1.7
       Cellulosic Ethanol = 1.0
       Butanol = 1.3
       Biogas = 1.0
       Electricity = 1.0
       Renewable Heating Oil = 1.1,1.2, or 1.6

    5.4.2 What Information Is Required to Separate RINs?

The following information is required to separate RINs:

   •  The number of RINs being separated;
   •  The volume of fuel associated with the RINs being separated;
   •  The renewable fuel code (D code);
   •  A code which specifies the reason for the separate transaction;
   •  The date the RINs were separated; and
   •  The year the RINs being separated were generated.

Figure 5-18 shows how to separate RINs.
Section 5
5-23

-------
EMTS Transaction Instructions
Figure 5-18: Separate RINs
  MS)
                                                                                        Home I Contact Us \ Help | Logout
                                                                       Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Separate RINs - Identify RINs
Identify the RINs for separation by entering the required information below,
      Identify RINs
     * Fuel (D Code):

     * RIN Year:

     * RIN Quantity:

     • Batch Volume:

     * Transaction Date:

     * Reason for Separation:

     Additional Information:
                        Biomass-Based Diesel (D=4) ^
                       (MM/DD/rrTY)
                    Use in a non-road engine arvehicle (70)
                    Document Type
   There are no documents.
      Add Document Information
     Document Type:

     Document Identification:
   f = Required Field
                                                                                               Your organization has 4
                                                                                               un-submitted transactions
                                                                                               in the transaction bin.
                                                                                         View Transaction Bin
                                                     |   «RIN Holdings    | |  Advanced Options»  |
                                                    Contact Us | Help
     5.4.3  What Information Is Required to Retire RINs?

Depending on your organization's business activities you may choose to retire RINs for compliance or for
other reasons.  From the RIN Holdings page, select either "Retire (Obligation)" or "Retire (Other)" from the
drop-down menu.  If you have multiple business activities that allow you to retire RINs for compliance then
you will see these activities in the drop-down beneath the  "Retire (Obligation)" header.
Section 5
                                                                                                           5-24

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EMTS Transaction Instructions
Figure 5-19 shows how to select the appropriate Retire wizard from the RIN Holdings page. Please note
that the Retire "as Refiner" wizard will not be available until an update is made to the OTAQReg:  Fuels
Programs Registration application. This functionality will be available in a future release of EMTS.
Figure 5-19: Select a Retire Option
                                                                                Home | Contact Us \ Help | Logout
                                                                Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
  Manage RIN Holdings
                                                                               •» Transaction Bin
   Select one of the transaction actions for each fuel year and assignment for your RIN Holdings,
Your organization has 0
un-submitted
transactions in the
transaction bin.
                                                                               View Transaction Bin
                                                                               t Organizations
                                                                               > Quick Search
  RIN Holdings for:
                    RAP Inc. GEN Biodiesel
Fuel (D Code) ^

Biomass-Sased Diesel (D=4)
Renewable Fuel (D=6)
Renewable Fuel (D=6)
RIN Year ^ Assignment ± | Available Pending Reserved Locked Total I want to...
2010 Assigned 5500 4450 0 0 9950 -Select- v|| Go

2010 Separated 1200 000 1200 -Select- jv
2010 Assigned 2000 000 2000 viewDetails
2010 Separated 5500 000 5500 Qu
Export options: CSV 1 Excel 1 PDF
Seiv ""Qi'ii
Sell
Retire (Obligation)
Generate

Buy
as Refiner
Retire (Other)
Go
Go |
Go |

The following information is required to retire RINs for compliance:

    •  The number of RINs being retired;
    •  The renewable fuel code (D code);
    •  The year the RINs being retired were generated;
    •  The date the RINs were retired; and
    •  The compliance level at which you are retiring.

Figure 5-20 shows how to retire RINs for compliance as an Importer.
Section 5
                 5-25

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EMTS Transaction Instructions
Figure 5-20:  Retire RINs (Obligation)
   Retire as Importer - Identify RINs (Obligation)
    Identify the RINs for retirement by entering the required information below.
   	|  Identify RINs
      * Fuel (D Code):

      * RIN Year:

      Assignment:

      * RIN Quantity:

      * Transaction Date:


      Reason for Retire:

      Compliance Year:

      Compliance Level:

      Additional Information:
                            Biomass-Based Diesel (D=4) v.
   (MM/DD/mr)

Demonstrate annual compliance

2011

Aggregated Importer
                     Document Type
    There are no documents.
   .	j Add Document Information
      Document Type:

      Document Identification:
                                                                                                     Home | Contact Us | Help | Logout

                                                                                 Logged in as; JordanGrey for RAP Inc. GEN Biodiesel (4671)
                                                                                       I Add ]
                                                                                                  ^ Transaction Bin
                                                                             Your organisation has 4
                                                                             un-submitted transactions
                                                                             in the transaction bin.
                                                                                                  View Transaction Bin
                                                                                                     Identify RINs (Obligation)
                                                            « RIM Holdings    |  | Advanced RIN Selection »
                                                          Contact Us I  Help
The following information is required to retire RINs for reasons other than compliance:


     •   The number of RINs being retired;
     •   The renewable fuel code (D code);
Section 5
                                                                                               5-26

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EMTS Transaction Instructions
    •   A code which indicates whether the RINs being retired are assigned or separated;
    •   The year the RINs being retired were generated;
    •   A code which specifies the reason for the retire transaction; and
    •   The date the RINs were retired.

Figure 5-21 shows how to retire RINs for reasons other than compliance.
Section 5
5-27

-------
EMTS Transaction Instructions
Figure 5-21:  Retire RINs (Other)
   Retire RINs - Identify RINs (Other)
                                                                                       Home | Contact Us \ Help | Logout
                                                                         led in as; JordanGrey for RAP Inc. GEN Biodiesel (4671)
Identify the
RINs for retirement by entering the required information be
low.
| Identify RINs
* Fuel (D Code):
* RIN Year:
i- Assignment:
* RIN Quantity:
Batch Volume:
* Transaction Date:
* Reason for Retire:
Additional Information:

Biomass-Based Diesel (D=4J v

2011

Assigned v



(Gallons)
Batch Volume is required for retire reasons 10, 20, 40, and 60,
P
(MM/DDAfYY)
-Select-


Additional Information is required for retire reasons 10, 20, 50, 60, 70, 110,
120, and 130.
                                                                                           Your organization has 4
                                                                                           un-submitted transactions
                                                                                           in the transaction bin.
                                                                                     View Transaction Bin
                                                                                        Identify RINs (Other)
                                                                                        Advanced RIM Selection (Optio
      Add Document Information
     Document Type:
     Document Identification:
                                                                           I Add |
                                                    « RIN Holdings     | Advanced RIM Selection »
                                                  Contact Vs \ Help
       5.4.3.1  What Happens to My RINs When I Retire for Compliance?

After you retire RINs for compliance,  you  will  still be able to  view these RINs in your RIN Holdings
(History) but you will be unable to use these RINs for any future transactions. Should you find an error or
miscalculation in the number of RINs you retired, you should contact EPA to resolve the issue.
Section 5
5-28

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EMTS Transaction Instructions
To view aggregate information about the RINs you have retired for compliance, select "Compliance Data"
from the Reports menu.

Figure 5-22 shows how to view aggregate compliance data.

Figure 5-22: View Aggregate RINs Retired for Obligation
                                                                                           Home | Contact Us \ Help [ Logout
                                                                         Logged in as: LucyPelt for RAP Inc. GEN Biodiesel (4671)
   View Aggregate RINs Retired for Obligation

    The following grid displays the number of RINs your organization has retired for obligation.
                                                  » Transaction Bin
                                                        Your organization has 0
                                                        un-subtnit±ed
                                                        transactions in the
                                                        transaction bin.
                                                                                         View Transaction Bin
                                                                                           Organizations
                                                                                           Quick Search
         Fuel (D-Code)
 Advanced Biofuel (D=5)
 Biornass-Based Diesel (D=4)
| Renewable Fuel (D=6)
Export options: CSV I Excel I PDF
                            2010
                            2010
                            2010
2010
2010
2010
Aggregated Importer
Aggregated Importer
Refinery by Refinery
                                                                            Valley Medico Plant 12 (46711)
34000
71500
39000
Section 5
                                                                         5-29

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EMTS Transaction Instructions
    5.4.4 What Information Is Required to Report RIN Trades?
                                                             RIN Trades:
                                                             You must Accept or Deny a pending
                                                             trade within ten business days or EMTS
                                                             will cancel the trade.
The  information required  for  a RIN  trade  will differ
somewhat depending on whether you have  initiated the
trade through a sell transaction, have accepted an invitation
to buy, or have initiated the trade through a buy transaction.
The preferred business process is for the seller to initiate the
transaction by preparing an offer to sell first, followed by the
buyer accepting the  offer.  Trades must be responded  to
within ten business days or EMTS will expire the trade and notify both parties.  In all cases, the actual
purchase, sale, and transfer of ownership of the RINs will have occurred outside of EMTS. You must send
all trade information within five business days of the transfer date pursuant to 40 CFR 80.145 2 (c).

      5.4.4.1 Creating a Sell Transaction

The following information is required to initiate a trade through a sell transaction:

    •  The identifier of the organization to which you are selling RINs;

    •  The name of the organization to which you are selling RINs;

    •  The number of RINs that were sold;

    •  The volume of renewable fuel sold with the RINs (for assigned RINs only);

    •  The renewable fuel code;

    •  A code which indicates whether the RINs that were sold were assigned or separated;

    •  The year in which the RINs that were sold were generated;

    •  A code which specifies the reason the RINs have been sold;

    •  Either the price per RIN or the price per gallon of renewable fuel that was  agreed upon by both
       parties.  Price must be rounded to two decimal places; and

    •  The date on which the trade occurred as recorded on the Product Transfer Document (PTD).

Figure 5-23 shows how to sell RINs in EMTS.
Section 5
                                                                                            5-30

-------
EMTS Transaction Instructions
Figure 5-23: Sell RINs
                                                                                          Home  ! Contact Us I Help  I Logo

                                                                        Logged in as JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Sell RINs - Identify RINs
    Enter Fuel (D Code), RIM Year, Assignment, and Quantity of RINs. Also, enter Batch Volume if Assignment = Assigned. To
    cancel a trade that your organization has already initiated, go to the Pending Initiated Transactions on your Review Trades
    page and select 'Cancel Offer' for the appropriate transaction.
      Identify RIMS
     « Fuel (D Code):

     * RIN Year:

     * Assignment:

     * Quantity of RINs:

     Batch Volume:
                          Renewable Fuel (D=6)
2010
Separated
                              (Gallons)
                                          Required for 'Assigned' RINs
                                                    « RIN Holdings      [ Select Trading Partner»
                                                                                         T Transaction Bin
                                                                     Your organisation has 0
                                                                     un-submitted
                                                                     transactions in the
                                                                     transaction bin.
                                                                                         View Transaction Bin

        5.4.4.2 Accepting a Pending Buy or Sell Transaction


By clicking the "View Trades" link on the homepage, you will have access to a list of all of the trades for
which your organization has been identified as the buying partner or the selling partner.  For each trade,
information on both the buying and  selling partners are displayed.  You should check to verify that this
information is correct before clicking the "Accept Trade" button next to the specified trade.


Figure 5-24 shows pending trades awaiting confirmation, denial, or cancellation.
Section 5
                                                                                     5-31

-------
EMTS Transaction Instructions
Figure 5-24:  Review Trades
    urif
                                                                                                       Home |  Contact Us ] Help | Logout

                                                                                   Lagged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Review Trades
The following trade transactions were either received or initiated by RAP Inc. GEN Biodiesel. You can act upon any of these
transactions by selecting the appropriate action in the "I want to ..." column, located next to each transaction.
                                                                                                                Your organisation has 0
                                                                                                                un-submitted transactions
                                                                                                                in the transaction bin.
                                                                                                         v]'-".•"• i id11i^ction Bin
RIN Year:
Fuel (D Code):
Assignment:
Transaction Type:
Transaction Identifier:
Transfer Date (Begin):
Transfer Date (End):
Submission Date (Begin):
Submission Date (End):
PTD Number:
CDX ID:
- Select - v

.. select - v

- Select - v

--Select- v




(MM/DDArrr)
p
(MM/DD/YYYY)
— p
(MM/OO/YYYO
Q
(MM/DD/TITY)


In
                                               Initiated trades only,
     w (2) Pending Received Transactions for [RAP Inc. GEN Biodiesel (4671)]
1 Submission A.
Date ^
11/18/2011
11/18/2011
RIN
Year
2011
2011
^ FuelfD ji
^ Code) T
Advanced
Biofuel
Biomass-Based
Diesel
Assignment ^ Type
Assigned Sell
Assigned Sell
^Quantity
3600
7200
T Reason ^ Org Id
Standard Trade 4672
Standard Trade 4675
£ Trading Partner ^
RAP Inc. GEN Celluiosic
RAP Inc. Obligated Party
                                                                                                                  -Select-  v|| Go
      Export options: CSV I Excel  PDF
      (6) Pending Initiated Transactions from [RAP Inc. GEN Biodiesel (4671)]
                                                              Contact Us |  Help
Section 5
                                                                                                                                      5-32

-------
 EMTS Transaction Instructions
Figure 5-25 shows how to accept a trade transaction.
Figure 5-25:  Accept Trade
                                                                                                   Home |  Contact Us \ Help | Logout

                                                                                   d in as: JortianGrey for RAP Inc. GEN Biodiesel (4671)
   Accept Trade
                                                                                                •*• Transaction Bin
    Please review the selected transaction and provide any additional information about the trade, To report a PTD number for
    your transaction you must enter it into the 'PTD' field, If you do not enter a number, your transaction details will not include
    a PTD number, Note that this field is not automatically carried over from your trading partner's transaction.
Your organization has 0
un-submitted transactions
in the transaction bin.
                                                                                                    TrJIT.-.action Bin
   You are accepting the following Sell pending trade:

   3600 2011 Assigned Advanced Biofuel RINs from
   RAP Inc. GEN Cellutosic (4672) submitted on 11/18/2011 1:42:53 PM EST
   for $1,00 per Gallon.

   Reason: Standard Trade (10)
   * Confirm the price per Gallon for this transaction:
      I Add Document Information
                             Additional Information required when Trade Reason is not Standard Trade
      Document Type:

      Document Identification:

      Public
                                                                                                           Confirm Accept»
                                                         Contact Us  \ Help
        5.4.4.3  Denying a Pending Buy or Sell Transaction

You  can deny any trade transaction initiated by a buyer or seller by viewing your pending trades.   If the
transaction  does not contain accurate information based on information regarding the trade negotiated
Section 5
                   5-33

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EMTS Transaction Instructions
with the trading partner, you may deny the trade.  To do this, navigate to "Trades" in the main menu and
then select "Review Trades." In the "I want to..." column, select the "Deny" option. You must provide the
reason for the denial in a comment box.

Figure 5-26 shows how to deny a trade transaction.

Figure 5-26: Deny Trade
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                                                                   Logged in as; JordanGrey for RAP Inc. GEN Cellulosic (4672)
  Deny Trade
   To deny the received trade, please provide an explanation and select the 'Confirm Deny' button located at the bottom of
   the page. If you wish to return to the list of your pending transactions, select the 'Back' button.
                                                                                   » Transaction Bin
Your organisation has 0
urvsubmitted
transactions in the
transaction bin.
                                                                                   View Transaction Bin
   You are denying the following Sell pending trade:

   500 2010 Assigned Biornass-Based Diesel RINs from
   RAP Inc. GEN Biodiesel (4671) submitted on 06/07/2010 3:30:31 PM EOT
   for $1.00 per Galion,
  * Please provide an explanation for denying the trade:
                                                                             « Back
                                                                                            Confirm Deny »
       5.4.4.4 Can I Cancel My Buy and Sell Transactions?

You can cancel any trade transactions you have initiated if the buyer or seller has not yet accepted the
transaction. Select "Review Trades" from the Trades menu to see all of your trades awaiting confirmation.
From the initiated trades list, select the buy or sell transaction that you wish to cancel and click "Cancel" in
the "I  want to..."  column.  You and your trading partner have the option to subscribe to cancelled trade
notifications.

       5.4.4.5 Initiating a Trade Transaction with a Buy Transaction

The preferred method for processing trades is for the seller to initiate the trade first and the buyer to
respond to the invitation by accepting or  denying the trade.  However, it  is possible that the buyer has
submitted his part of the transaction prior to the seller initiating the trade. The following information is
required to initiate a buy transaction:
Section 5
              5-34

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EMTS Transaction Instructions
   •   The identifier of the organization that has sold the RINs;

   •   The name of the organization that has sold the RINs;

   •   The number of RINs that were bought;

   •   The volume of renewable fuel sold with the RINs (for assigned RINs only);

   •   The renewable fuel code;

   •   A code which indicates whether the RINs that were bought were attached or separated;

   •   The year in which the RINs that were bought were generated;

   •   A code which specifies the reason the RINs have been bought;

   •   Either the price per RIN or the price per gallon of renewable fuel that was agreed upon by both
       parties. Price must be recorded to two decimal places; and

   •   The date on which the trade occurred as recorded on the PTD.

Figure 5-27 shows how to buy RINs on EMTS.
Section 5
5-35

-------
EMTS Transaction Instructions
Figure 5-27:  Buy RINs
                                                                                    Home  | Contact Us [ Help | Logout
                                                                   Logged in as; lordanGrey for RAP Inc. GEN Biodiesel (4671)
  Buy RINs - Identify RINs
                                                                                    Transaction Bin
    Enter Fuel (D Code), RIN Year, Assignment, and Quantity of RINs. Also, enter Batch Volume if Assignment = Assigned. To
    cancel a trade that your organization has already initiated, go to the Pending Initiated Transactions on your Review Trades
    page and select 'Cancel Offer' for the appropriate transaction.
                                                                                   'v i •.-.'•/"• I [..•j
Your organization has 0
un-subrnitted
transactions in the
transaction bin.
    i Bin
                        Cellulosic Diesel (D=7)
     * Fuel(D Code):

     * RIN Year:

     h Assignment:

     * Quantity of RINs

     Batch Volume:
                                       Required for 'Assigned' RINs
     Generating Organization
     Identifier:
     Generating Facility Identifier:
                                                « RIN Holdings
                                                               Select Trading Partner»
     5.4.5 Which RINs Will Be Used in a Transaction?

When you create  a sell  transaction, at a minimum you will have to  identify  the fuel code (D  code),
assignment code, RIN year (the year in which the RINs were generated), and the number of RINs you are
selling.  EMTS will find the oldest RINs based on production date in your holding account that match your
criteria and reserve these for the trade. By default, EMTS will always use the oldest RINs you have in your
account when separating, retiring, or trading RINs.  This assures that you are trading or retiring RINs that
have the shortest expiration date.  However, should you wish to specify a specific batch that you want to
sell, separate, or retire, you may do so by using the advanced selection  option for identifying  RINs.  This
allows you to specify a quantity of RINs by:

    •   The organization that produced the fuel;
    •   The facility that produced the fuel; and
    •   The specific batch number of the fuel.
Section 5
                 5-36

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EMTS Transaction Instructions
When you provide these specifications, EMTS will attempt to identify RINs that meet these characteristics
and reserve them for the transaction.

Figure 5-28 shows how to select specific RINs for use in a retire transaction.

Figure 5-28: Advanced Options
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                                                                      Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Retire RINs - Advanced RIN Selection (Optional)
                                                                                      ' Transaction Bin
    This step is optional. If you choose not to complete this step, EMTS will automatically select RINs with the oldest
    production date from your RIN Holding Account for this retire transaction, Only complete this step if you would like to
    retire RINs that were produced from a specific organization, facility or batch, If you do not wish to select specific RINs to
    retire, then you can skip this step by clicking the Add to Transaction Bin button below. To select a facility., you must first
    select the organization. To select a batch number, you must first select the organization and facility.              <*
     Organization: [RAP Inc. GEN EtOH (4670)]
    Your organization has 0
    un-subrnitted
    transactions in the
    transaction bin.
                                                                                      View Transaction Bin
    - Facility : [Allied Terminals Inc (46700)]
    All Facilities:
                                       Selected Facility:
                                                                                        Identify RINs (Other)
Advanced RIN Selection
(Optional)
                                 Select I  Allied Terminals Inc (46700)

                                                    I Remove 1
    Filter:
     Clear
                                              |  « Transaction Details   | Add to Transaction Bin » |
     5.4.6  Can I Block RINs That Were Generated By a Specific Organization?

In some  cases, you may wish to  ensure that you do not buy or own RINs that have been generated by a
specific fuel producer or importer.  EMTS has the capability for you to "block" trades involving RINs from a
specified producer or importer. In order to use this feature, you must create a list of organizations that you
wish to block.  When a transaction includes RINs from a blocked fuel producer or importer, the transaction
will automatically be denied by EMTS and  notification will  be sent to both  parties indicating that the
transaction was  not processed.

Figure 5-29 shows how to manage the blocked list
Section 5
                      5-37

-------
EMTS Transaction Instructions
Figure 5-29: Manage Blocked List
                                                                                         Home | Contact Us | Help | Logout
                                                                       Logged in as; JordanGrey for RAP Inc. GEN Biodiesel (4671)
   View Blocked List
                                                                                       •» Transaction Bin
    The following list identifies renewable fuel producers and/or generating facilities whose RINs you have chosen not to buy. You
    will not be able to buy RINs that originated from these sources, no matter which organization is selling the RINs,
Your organization has 0
un-submitted
transactions in the
transaction bin,
                                                                                       > Organizations
                Organization
                                                                      Date Blocked
   Biodiesel Company (5001)
                                        All facilities
                                                        06/07/2010 4:59:00 PM EOT
                                                                                                -Select-   v Go
   Export options: CSV I Excel [ PDF
                                                                             Add Blocked Producer
                                                                                               Add Blocked Facility
     5.4.7 How Do I Lock RIN Batches?

You may wish to lock selected RINs from your RIN Holdings to ensure that they are not used in a transaction.
Selecting "Lock RINs" from the RINs menu will take you to a new page where you can search your RIN holdings
based on originating organization, originating facility, and batch number. You may then choose to "Lock AN"
search results and will be asked to confirm your lock selection. When you are ready to  use the RINs in a
transaction, search for the originating source again, and select "Unlock All."

Alternatively, you may lock a single search result by selecting "Lock RINs" from the drop-down menu next to a
row of RINs. This method may be used to lock RINs from either the Lock RIN Batches page or the View RIN
Holding  Details page.

Figure 5-30 shows how to lock RINs by originating source.
Section 5
               5-38

-------
EMTS Transaction Instructions
Figure 5-30:  Lock RIN Batches
                                                                                                   Home  | Contact Us  | Help |  Logout

                                                                             Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
    Lock RIN Batches
     Select an originating source to view all RIN batches from that source. Once you have selected a RIN batch
     you may lock or unlock all results, Only RINs with a status of 'available' may be locked. RINs Socked by EPA
     may not be unlocked.
                                                                                                  Transaction Bin
Your organization has 0
un-subrnitted transactions
in the transaction bin,
                                                                                                View Transaction Bin
                                                                                                t Organizations
     ^ Originating Organization: [RAP Inc. GEN Biodiesel (4671)]
     All
     Filter:
     >  Originating Facility
                                                 Selected Organization:
                                         Select J  RAP Inc. GEN Biodiesel (4671)

                                                                  I Remove  I



	 | RIM Batch Actior

Unlock All

RIN Batches:
IS

Lock All




Displaying records 1 through 2Q of 30 total.
RIN Batch RIN Batch
ID Number Fuel (D Code)
89 1
SB 1
86 1
84 1
82 1
80 1
Biomass-Based Diesel
(D-4)

Biomass-Based Diesel
(0=4)
Biomass-Based Diesel
(D-4)

Biomass-Based Diesel
(D=4)
Biomass-Based Diesel
(D-4)

Biomass-Based Diesel
(0=4)
Assignment *™r Q™^ Status L°*ed I want to...
Assigned 2012 6,500 Available
Separated 2012 100 Available
Separated 2012 100 Available
Separated 2012 100 Available
Separated 2012 100 Available
Separated 2012 100 Available
-Select- v[ Go

-Select- v| Go

-Select- vj[ Go

-Select- v[ Go

-Select- v|[ Go

-Select- v| Go




Section 5
                            5-39

-------
EMTS Transaction Instructions
    5.4.8 How Do I Report an Invalid Batch of RINs?

You must report all invalid RINs to EPA prior to retiring any RINs.

In certain events, EPA will ask you to submit a retire transaction indicating an appropriate "Retire Reason
Code."  If you select "Reportable Spill," "Contaminated or Spoiled Fuel,"  "Import Volume  Correction,"
"Invalid RINs," "Volume Error Correction," or "Enforcement Obligation," then you must provide a comment
further  explaining the  reason for the retire transaction in the Additional Comments  field.  Once the
transaction is complete, the RINs will no longer be available for future transactions.

It is not necessary to report a specific batch of fuel when retiring for spillage or spoilage,  although, you do
have the option to identify the generating source of the RINs.

    5.4.9 How Do I Reverse a Transaction?

EMTS is a forward moving system, so  a true  "reversal" is  not possible.   However,  RINs may be
transferred back  to the  original  selling party if an  appropriate  remedial action has been  discussed
and agreed upon with EPA.  Any situation that involves a reason code other than Standard Trade should
first be reported  to  EPA.   Please  see  the remedial  actions web  page  for  more information:
http://www.epa.gov/otaq/fuels/renewablefuels/compliancehelp/rfs2remedialactions.htm.

    5.4.10 How Do I Report an Error?

At the end of each quarter,  should you  find any discrepancies between the EMTS quarterly reports and
your internal records, you have a two month period of time to  reconcile errors.  To report errors, go to
"Transaction  Errors" under the Reports menu.  There  you can search transactions  from the previous
quarter  and provide information about any errors  associated with a particular transaction.  Once you
confirm and  submit your errors, EMTS will generate a Transaction Error Report.  After the report is
generated, you will not be able to edit the report or access the error reporting pages.  The Transaction
Error Report will be made available on the View Reports page.  You must submit this report to DC Fuels
along with your other  quarterly reports.   More information about submitting reports  can be found in
Section 3, "What Are the Key Reporting Deadlines?"

Figure 5-31 shows how to search for transactions and Figure 5-32 shows how to input transaction error
information.
Section 5
5-40

-------
EMTS Transaction Instructions
Figure 5-31: Search Transactions
                                                                                                             Home I  Contact Us I Help !  Logout

                                                                                       Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
   Search Transactions
     Please use the filter to search for transactions. Your search will be limited to transactions from Second Quarter 2010.
                                                                                                           » Transaction Bin
                                                                                   Your organisation has 0
                                                                                   un-submitted
                                                                                   transactions in the
                                                                                   transaction bin.
                                                                                                           View Transaction Bin
      Submission ID:

      Transaction ID:

      CDX Transaction ID:

      Transaction Type:

      Fuel:

      RIN Year:

      Assignment:

      Submission Date (Begin):


      Submission Date (End):
                               30
Generate v
-Select-
- Select-  v
   (MM/DD/YYYY)
                                  (MM/DD./YYYY)
               Clear
                                    Search
   Transactions
                                                     Displaying records 1 through 1 of 1 total.
1 Transaction
ID
74
Export options
A. Transaction A
* Type
Generate
CSV 1 Excel 1 PDF
r Submission Date ^
09/10/20109:26:02
AM EOT

Fuel Code
Biomass-Based
Diesel (D-4)

^1 RIN
w\ Year
2010

•^ Assignment i
Assigned

k Originating A Trading ^
r Organization ^ Partner '
RAP Inc. GEN Biodiesel
(4671)


\mmn^
Identify Error y|| Go


Back
Section 5
                                                                                                       5-41

-------
EMTS Transaction Instructions
Figure 5-32:  Identify Transaction Errors
                                                                                      Home | Contact Us \ Help | Logout

                                                                     Logged in as: JordanGrey for RAP Inc. GEN Biodiesel (4671)
  Identify Transaction Errors
                                                                                     ^ Transaction Bin
   After reviewing the details of the selected transaction, please provide information regarding the error in the fields provided.
   Please note that all errors must be discussed with EPA before being reported to the EMTS.
                                                                  Your organization has 0
                                                                  un-submitted
                                                                  transactions in the
                                                                  transaction bin.
                                                                                     View Transaction Bin
      Transaction Details
     Submission ID:

     Submission Date:

     Transaction ID:

     Transaction Type:

     Fuel (DCode):
30

09/10/2010 9:26:04 AM EDT

74

Generate

Biomass-Based Diesel (D-4)
      Report Errors
     1 Explanation of Errors:
     Document Information:
    = Required Field
                                                                                Back
                                                                                                 Save
   5.5  Where Can I Go to Get Help?

Each screen of EMTS contains instructions to help you understand how to use the website and what data
the system is  expecting.  In addition, there are "Help" links on each screen of EMTS that provide access to
EMTS  resources on the EPA's EMTS website.  To access contact information for the various EMTS support
lines, you can click the "Contact Us" link located on each screen of EMTS. Further information can be found
in Section 8 of these transaction instructions, "How Do I Contact EMTS Support?"

Figure 5-33 shows where to find help on EMTS and Figure 5-34 is the Help page.
Section 5
                                                                                  5-42

-------
EMTS Transaction Instructions
Figure 5-33:  Help Links
                                                                                                      Home |  Contact Us ( Help J Logout

                                                                                 Logged in as: TutorialDemo for Demo Organization 1 (20)
                                    Good Afternoon Tutorial Demo,


                                    ^*
                                     ^t  To view pending transaction details, click the following link: View Trades


                                    [^H You can submit your XML file here. Submit File
•» Transaction Bin
        Your organization has 0
        un-submitted
        transactions in the
        transaction bin.
                                                                                                      View Transaction Bin
                                                                                                        Announcements
Figure 5-34:  Help Page
                                                                                                Home | Contact Us | Help  | Logout

                                                                             Logged in as: TutorialDemo for Demo Organizatio
   Help
    Make a selection below to get started, Note that selecting one of the options below will open a new browser tab and direct you to the EPA EMTS support
    web site,
            About EMTS

            Meeting/Presentations

            Tutorials

            Documents

            Frequent Questions

            Conversion Tool

            Contact Us
Section 5
                            5-43

-------
Section 6: How Do I Report Transactions Using XML Files?
This section  provides  instructions  on using EPA
Moderated Transaction System  (EMTS) schema to
submit data to EMTS. This includes:

    •   A brief overview of using EPA's  exchange
       network;

    •   Best practices for preparing and formatting
       data for EMTS;

    •   How to submit your file; and

    •   Detailed  instructions for  all  transaction
       types.
                                                       Who should read Section 6:
                                                       Information Technology and Data Preparers who
                                                       are responsible for implementing the EMTS
                                                       schema and submitting XML files to EMTS.

                                                       What you will find in Section 6:
                                                       This section provides an overview of the EMTS
                                                       schema and detailed instructions on how to
                                                       report data using the new file format. This
                                                       section also includes instructions on how to
                                                       submit your file using a node on EPA's Exchange
                                                       Network.
For information on the resources available from EPA to convert your data into an XML document, see
h ttp://www. epa.gov/o taq/fuels/renewablefuels/epam ts. h tm.

  6.1 What Are the Steps to Submitting My File?
The following are basic steps to submitting your file to EMTS.
Please note that these are general instructions; personal nodes
and node clients may behave differently.

   1.  Create a single XML file which includes both the Exchange
       Header 2.0 document and your EMTS XML file.
                                                                   Exchange Node 2.0
                                                                   The EMTS node is 2.0 compliant.
                                                                   This section includes specifications
                                                                   for 2.0 exchanges.
   2.  Compress the XML file. This step may be done automatically by your node client software.

   3.  Log into your node client or the CDX Exchange Network web client with your CDX credentials, and
       select the "submit" option.

   4.  Create a description for the submission, select the EMTS destination node and dataflow, and choose
       your file to submit

   5.  After you submit the file, the node will transmit your submit request to the EMTS node via the
       Exchange Network.

   6.  EMTS will receive the submit request, decompress the XML file, and process its contents.
A ^nA United States
          Environmental Protection
          i Agency
                                                                                             6-1

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EMTS Transaction Instructions
  6.2 What Is the Purpose of an XML Schema?

An XML schema is the definition that constrains the structure and content of an XML document  It is
written in XML schema language as defined by the World Wide Web Consortium (W3C). An XML schema
defines:

   • The elements and attributes that are expected;
   • The allowable data types for each element;
   • The hierarchy and order in which elements must appear;
   • Which elements are optional and which are required; and
   • The maximum number of occurrences allowed for each element.

Like  the architectural blueprint that describes the structural design of a house, an XML schema describes
the structural design of an XML file. Files submitted to EMTS are accepted or not accepted based on their
conformity to the EMTS XML schema.

    6.2.1 General Principles Used in Developing EMTS

XML schemas can be created in many different ways; however, there are  principles that govern the
definition and use  of the EMTS schema for reporting transactions. The following approach to developing
and managing the EMTS XML schema has been adopted.

   • XML element tag names adhere as closely as possible to EPA's XML data standards. Information
      about EPA's XML data standards can be found at EPA Data Registry Services:
      http://iaspub.epa.gov/sorjnternet/registry/datastds/findadatastandard/epaapproved/.

   • XML element tag names are specific to a transaction category where possible in order to minimize
      ambiguity (e.g., "GenerateTransactionComment" rather than "Comment").

   • No two elements share the same tag name. XML elements are defined unambiguously.

   • Tag names  are understandable to both data preparers and information technology staff.

   • The EMTS  schema was not designed to minimize  submitted file size.  See Section 6.5.3 for best
      practices on the size and content limits for file submission.

   • The EMTS  schema contains few restrictions on the content of the  submission,  and is limited
      primarily to indicating whether the submission is a valid and well-formed XML file. The schema
      contains some business rules; however, these are limited to the semantic properties of the file
      structure. Additional business rules are applied to the content of the XML file after the data have
      been submitted to EMTS.  This allows more flexible management of quality assurance checks and
      more informative feedback on check results. The submitter will receive feedback on all business
      checks and technical checks through a feedback report available on  the  EMTS  website.   For


Section 6                                                                                   6-2

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EMTS Transaction Instructions
       more information on the EMTS QA approach, see Appendix C, "QA Checks."

    •   Conforms to EPA Guidelines.

  6.3 Codes, Identifiers, and Data Types

The following section provides guidance on how to report certain types of data content.

    6.3.1  How Do I Report Codes?

If  the last  word in  an  XML  tag is  "code,"  the element  must  contain  a  value  from  a code
list      A   complete   list   of   codes  can   be   found   on   EPA's   EMTS   website   at
http://www.epa.gov/otaq/juels/renewablejuels/emtshtml/emtsdocuments.htm.  Codes are validated by the
EMTS QA check process for appropriate use given an organization's business activities. Some code tables
may change over time. If codes change, a new version of the schema will be released; the new codes will be
published in the EMTS Transaction Instructions and incorporated in the QA Check process.

    6.3.2  How Do I Report Comments and Additional Information?

If an XML tag contains the word "comment," it is generally an optional element in which you can provide
explanations, caveats, or any other information about the data in the schema.  In some cases, you may be
required to provide a comment based on the reason code you provide.

    6.3.3  How Do I Report Identifiers?

If an XML tag contains the word "identifier," it must contain the specific alphanumeric identifier assigned
by EPA to  an organization or facility site.  Both  Organization and Facility identifiers are assigned by EPA
once you have completed registration through the OTAQReg Fuels Programs Registration system. These
identifiers should always be included in your submission file when identifying your organization, or if you
are identifying the generating source of the renewable fuel.  You must always identify your organization as
the source of the submission.

      6.3.3.1 Organization Identifiers

The four-digit numeric public identifier assigned  by EPA is used to identify your organization and should be
reported for all submission files.

Several transaction types require you to either identify an organization's identification number as a trading
partner (sell and buy transactions) or give you the option to identify the originating source of the fuel.  In
either case, you must identify the trading partner organization or originating source organization using the
public identifier.
Section 6                                                                                    6-3

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EMTS Transaction Instructions
    6.3.4  Data Types

Most data types in the EMTS schema are string, date, year, and number.  Each data element will have a
length or a precision assigned that is constrained in the schema.  Data which are not consistent with the
formats defined in the schema will fail schema validation, causing the submission file to fail.

      6.3.4.1 Dates and Years

All date and year tags are handled as xsd:date and xsd:gYear in the schema.

    •   Date - If a tag name contains the word "date," the data element is for a specific day. These should
       be represented as an eight-digit sequence of numeric characters in a string format of YYYY-MM-DD
       and should include leading zeros between the representative elements containing only one digit.
       For example August 7, 2009 is 2009-08-07.

    •   Year - If a tag name contains the word "year," the data element is for a calendar year.  This data
       should be  reported as a four-digit sequence of numeric characters in a string format of YYYY,
       otherwise, if not required, it may be left null.

      6.3.4.2 Reporting Numbers

There are several different reporting formats for numbers.  The schema allows for various precisions;
however, you are  expected to report numeric values as prescribed in the schema for each numeric data
type.

The following table describes each numeric data type and an example of what to report in EMTS.
Section 6
6-4

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EMTS Transaction Instructions
Figure 6-1: Reporting Formats for Numbers
      Content Type
 Integer (width)
               Reporting Format
Whole number (no decimal places, preceding zeroes
not retained).

   Width = Maximum number of digits allowed.
         Example
Int (3)

  Valid: 2,15, 930

  Invalid:  4000,-!
 Decimal (width, scale)
Decimal number with fixed number of decimal places.

   Width = Maximum number of digits including
   those on both sides of the decimal point, and
   includes the decimal point.

   Scale = Number of decimal places; that is, digits to
   the right of the decimal point.
Dec (5,1)
                                                                        Valid: 100.0, 34.6, 0.3, 0.0
                                                                        Invalid: 99.75,256.45
    •   Precision - Precision refers to the number of significant digits provided in the number of decimal
       places for a fixed decimal number.  The EMTS schema will enforce numbers be reported in the
       proper precision.

  6.4 Constructing the XML File

The following section explains how to create an EMTS conformant XML document  It includes advice on
best practices for reporting your data as well as how to construct your XML document.

    6.4.1 Will the Conversion Tool Create a Valid XML File?

For users that do not have the technical capabilities to modify their systems to produce valid XML, EPA
provides a conversion tool that will convert XLS, CSV, or TXT files. EPA provides a standard template for
the XLS or TXT data.  You can output your data into the XLS template then use these data files as inputs to
the Conversion Tool.  The tool  will output valid  EMTS XML files; however,  the tool will not  check
for business  content or valid code numbers.   For more information on  the Conversion Tool,  see
h ttp://www. epa.gov/o taq/fuels/renewablefuels/epam ts. h tm.

    6.4.2 Is There a Limit on the Size of the Submission File?

There are no business rules that limit the size of the file during transport through the Exchange Network.
However, you are strongly encouraged to submit sell transactions prior to the receiving party submitting
their corresponding  buy transactions,  so you  may  consider categorizing your submissions  into two
submission types: all sell transactions and all other  transactions. During peak submission periods, which
are expected to occur in January and February, a substantially larger number of files are expected to be
Section 6
                                                                     6-5

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EMTS Transaction Instructions
submitted which may delay EMTS's response time. These files will be placed in the system's queue and
processed in a first-come, first-serve order.

If your file contains  one or more critical errors, the file will not be processed and you will  receive a
notification indicating that your submission has failed. You must correct the critical errors and resubmit
your file. Therefore, limiting the contents of your file to include a smaller number of transactions is a good
practice, likely resulting in smaller feedback reports and fewer submission failures.  You can also expect
better response times submitting smaller files over the Exchange Network and when downloading your
feedback reports.

    6.4.3  Schema Validation

The  following section describes  the various tools that are available and validation rules  you should
implement prior to submitting your XML document to EMTS. This includes information on how to validate
your XML document, the built-in constraints that the schema will enforce, and the cardinality rules that you
should avoid when constructing your data.

      6.4.3.1 Validating Your File Prior to Submission

Before submitting your file to the EMTS  dataflow,  you should  validate your XML file  against the
EMTS_Schema_vl.l.xsd file structure. This will ensure that your file is well-formed and valid.  You can do
this by using one of several tools found at EPA's http://tools.epacdxnode.net/.

EMTS contains few validation business rules regarding the content of the submission; however, data types
are constrained. You will receive all business logic checks, including invalid reporting codes used through a
feedback report available on the EMTS website once the quality assurance checking process has completed.
For more information on the QA approach with EMTS, see Section 4.2.4.

    6.4.4  Submitting Your File

All file submissions require the user to have an authorized CDX account and access to the EMTS dataflow.
All files must utilize EPA's Exchange Network to transport files.  EPA's network of nodes makes it possible
for users to exchange data with other exchanges, providing their organizations have nodes.  However, not
all organizations will have nodes.

Once files  are pushed into the data flow, CDX will submit the XML document to the EMTS back-end node.
Once the EMTS back-end node accepts the XML file it generates submittal identification information and
begins processing the data content within the payload.  For more  information regarding obtaining and
installing a node on your server, please see www.epa.gov/cdx.

    6.4.5  Quality Assurance and Receiving Feedback

After you have submitted your file, you will receive an email with information about your submission. If
there were errors in processing the data, you will receive information in a feedback report, which indicates

Section 6                                                                                    6-6

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EMTS Transaction Instructions
critical errors and potential issues. You are expected to correct the problems with your data content or the
XML document structure and resubmit the file.  After EMTS processes the payload content, the resulting
data can be viewed on the EMTS website. In all cases, you will receive notification when the processing of
your data is complete; however during peak load periods, the response time may be slow.

  6.5 Overview of Major Data Blocks

The following section contains information on the major groupings of data in the EMTS  schema.  This
section describes the basic XML blocks that are used for reporting the various transaction types: generate,
separate, sell, buy, and retire.  For each transaction type, a table of data elements including the data type,
name of the XML tag name, required indicator, and description is provided.  In addition, if a critical check is
applied to the data, the description and reference number to the check  is provided.  You can see the
complete list of checks in Appendix C, "QA Checks." If a data element is referenced as a complex type, there
will be another table that documents the elements for that complex type.

Supporting    implementation    documents    can   be    found   on    the   following   website:
http://www.exchangenetwork.net/exchanges/air/.  In addition to EMTS, the flow configuration document
(FCD),  data exchange  template  (DET), and sample XML  documents are available for download on the
Exchange Network site.

    6.5.1  EMTS Root Elements
                                                                  Converter Tool
                                                                  Data that have been converted by
                                                                  EPA's XML Converter Tool may not
                                                                  contain all the required data
                                                                  based on the content of the input
                                                                  files used.
The elements under the EMTS root must be included in every
submission.   These  XML elements  identify  the person  who
prepared the data along with organization identifiers. If different
people within your organization  are  responsible for different
transactions, consider submitting  separate submission files for
each person responsible for the preparation of the data.

How these data elements are processed: The root elements
identify the person who has prepared the data, and the date on
which the file was created by the user.  The identity of the organization can be referenced by the public
identifier.

The root elements are reported once in the entire submission file; however, you must report at least one
associated transaction (such  as a generate transaction). The root elements in the submission file will be
stored in the EMTS website in association with each transaction submitted in the file.
Section 6
                                                                                            6-7

-------
EMTS Transaction Instructions
Figure 6-8: EMTS Root Elements
                             Data Element
  Data Type
Name
Required
Description
     QA Check



Description     Number
xsd:string
























xsd:date






UserLoginText
























SubmittalCreationDate






Yes
























Yes






The CDX user login of
the party responsible
for preparing the
submission file.





















The date that the
submission file was
created.




The user specified
in the submission
file must be
actively registered
with CDX and have
permission to
participate in
EMTS.
The user specified
in the submission
file must have an
active association
with the
organization for
which he is
submitting data.
The user specified
in the submission
file must be
authorized to
perform the
requested
transactions on
behalf of the
organization.
The submission
date associated
with the
submission file
may not be a date
occurring in the
future.
2000







2001







2002








2008






                                                                                         (cont.
Section 6
                                                                      6-8

-------
EMTS Transaction Instructions
 Figure 6-8: EMTS Root Elements (cont.)
Data Element QA Check

Data Type Name
xsd:string







xsd:string


complex

complex

complex

complex

complex

Organizationldentifier







SubmittalCommentText


GenerateTransactionDetail

SeparateTransactionDetail

SellTransactionDetail

BuyTransactionDetail

RetireTransactionDetail

Required
Yes







No


No

No

No

No

No

Description
The public
identification number
for the organization as
designated by
OTAQReg.



Comment provided by
the user on submission
file.
Information on the
RINs being generated.
Information on RINs
being separated.
Information on RINs
being sold.
Information on RINs
being bought.
Information on RINs
being retired.
Description Number
The organization in
the submission file
must be registered
with EPA and be
The organization's
RIN Holding
Account must be
active.













2005



2006
















    6.5.2  Generating RINs

The complex type GenerateTransactionDetail is used to report RINs that have been generated as a result
of fuel production. This transaction type requires basic information regarding the production of the fuel,
the feedstock used, and the co-products that were created from the process. For each generate transaction,
you must report at least one feedstock.

How these data elements are processed:  All data elements that are identified as required must be
reported. The fuel, feedstock, and process that you report to EMTS must be one of the fuels, feedstocks, and
processes you registered for your organization in the OTAQReg Fuels Programs Registration system. If you
report an unregistered code, your submission file will not pass critical QA checks and your file will fail to be
processed. In some cases, based on fuel reported and process identified, you will need to report denaturant
Section 6
6-9

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EMTS Transaction Instructions
volume in addition to the batch volume.  The equivalence value that you report must also be applicable for
the fuel type, process, and biomass indication for feedstock used. See Section 5.4.1.1 for determining how
to determine your equivalence value.

By default, it is assumed that your organization is the producer of the renewable fuel. You need only report
the number of the facility where the fuel was produced and the unique identification of the batch number
for the fuel in the complex type GenerateOriginatingSourceDetail. If, however, you are an importer and
the fuel has been produced at a foreign facility, you will need to identify both the organization identifier
and the facility identifier of the foreign producer. These  identifiers are required to be provided on records
by the foreign producer.

Report the feedstock used in the production of the fuel using the FeedstockDetail complex type. You must
report at least one feedstock, including the volume and unit of measure.  In addition, you must affirm that
the feedstock  meets the definition of renewable biomass. If any co-products result from the process, you
must report the co-product code in the CoProductDetail complex type.

If you need  to provide supporting  information regarding the generation, such  as document
identifiers or  notes, use  the GenerateSupportingDocumentDetail  complex type.  Use this
complex type to create user-defined information by providing the type of document that contains
the information and an identification  number or code for the document.

Figures  6-9,  6-10,  6-11, and 6-12 below show  the  data elements  for  GenerateTransactionDetail,
GenerateOriginatingSourceDetail,  FeedstockDetail, and CoProductDetail.
Section 6
6-10

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EMTS Transaction Instructions
Figure 6-9: Data Elements for GenerateTransactionDetail
Data Elements
Data Type
xsd:positivelnteger






xsd:positivelnteger






xsd:string



















Name
RINQuantity






BatchVolume






FuelCode



















Required
Yes






Yes






Yes



















Description
The total number
of RINs specified
in the
transaction.



The volume of
renewable fuel
associated with a
batch number
designated by
the producing
facility.
The renewable
fuel code for the
RINs being
separated as
defined in Part M
Section 80.1426.














QA Checks
Description
RIN Quantity
must equal the
product of
Batch Volume
and
Equivalence
Value.
RIN Quantity
must equal the
product of
Batch Volume
and
Equivalence
Value.
The fuel code
reported must
be registered
with EPA.
The fuel code

reported in the
production of
fuel must be a
valid code that
is recognized by
EPA.
The fuel code
reported must
be compatible
with the fuel
category used
in the
production of
fuel.
Number
3022






3022






3032



3034







3040







                                                                                       (cont.
Section 6
6-11

-------
EMTS Transaction Instructions
 Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
Data Elements QA Checks
Data Type









xsd:string

















xsd:date





Name









FuelCategory

















ProductionDate





Required









Yes

















Yes





Description Description









The type of fuel
that has been
produced.















The date the
renewable fuel
was produced as
designated by
the producing
facility.
The fuel code
and fuel
category
reported must
be compatible
with the
process used in
the production
of fuel.
If "Ethanol" or
"Cellulosic
Ethanol" RINs
are reported in
the generate
transaction,
then
denaturant
volume must
be reported.
The fuel
category code
reported in the
production of
fuel must be a
valid code that
is recognized by
EPA.
The production
date must not
occur after the
date specified
in submittal
data.
Number
3041








3013









3033







3011





                                                                                       (cont.
Section 6
6-12

-------
EMTS Transaction Instructions
 Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
                              Data Elements
                                                 QA Checks
    Data Type
Name
Required    Description    Description     Number
xsd:date



















xsd:string






ProductionDate



















ProcessCode






Yes



















Yes






The date the
renewable fuel
was produced as
designated by
the producing
facility.














A code that
identifies the
process used for
producing the
renewable fuel.


The production
date must not
occur after the
date specified
in submittal
data.
The production
date of the fuel
must fall within
the RIN Year
range defined
by the RIN
Years Allowed
parameter.
Production
date must be
within the last
five business
days per40CFR
80.1452(b).
The process
code reported
in the
production of
fuel must be
registered with
EPA.
3011





3028







3055





3007






                                                                                         (cont.
Section 6
                                                             6-13

-------
EMTS Transaction Instructions
 Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
Data Elements QA Checks
Data Type




xsd:positivelnteger









Name




DenaturantVolume









Required




No









Description Description




The volume of
non-renewable
fuel added to a
volume of
ethanol to create
the BatchVolume
for a given
BatchNumber of
renewable fuel.





The process
code reported
in the
production of
fuel must be a
valid code that
is recognized
by EPA.
If denaturant
volume is
reported, then
"Ethanol" or
"Cellulosic
Ethanol" must
be reported.
When
denaturant
gallons are
reported for
ethanol fuel,
the amount
specified
cannot exceed
two percent of
the total
volume of fuel
produced.
Number
3024



3014




3016





                                                                                       (cont.
Section 6
6-14

-------
EMTS Transaction Instructions
 Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
Data Type Name

xsd:decimal








xsd:string



















EquivalenceValue








Import Facility Identifier



















Required

No








No



















Description

A multiplier
applied to Batch
Volume to
determine the
number of RINs
that will be
generated per
gallon of
renewable fuel.
The facility
identifier, as
registered in
OTAQReg, of the
plant from which
the fuel was
imported.













QA Checks
Description

The
equivalence
value reported
may not exceed
the specified
value for the
fuel type
produced.

If the generate
organization
differs from the
submitting
organization
then the Import
Facility
Identifier is
required.
If the import
facility is
provided, it
must be
registered with
the EPA and
active.
Import Facility
Identifier not
allowed if not
importing fuel.
Number

3026








3047








3048






3049



                                                                                        (cont.
Section 6
6-15

-------
EMTS Transaction Instructions
 Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
Data Type


























xsd:string



Name


























Transaction DetailCommentText



Required


























No



Description


























Comment
provided by the
user on the
transaction.
QA Checks
Description
If the
submitting
organization is
only a
renewable fuel
importer, then
they must
provide an
Import Facility
Identifier.
If the Import
Facility
Identifier is
populated,
then the
submitting
organization
must be a
renewable fuel
importer.
The import
facility number
specified must
be unique for
the
organization.




Number
3050









3051









3053









                                                                                        (cont.
Section 6
6-16

-------
EMTS Transaction Instructions
 Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)
                              Data Elements
                                                 QA Checks
    Data Type
Name
Required    Description      Description   Number
complex







complex



complex



complex






GenerateSupportingDocumentDetail







GenerateOriginatingSourceDetail



FeedstockDetail



CoProductDetail






No







Yes



Yes



No






Information for
the industry user
to create user
defined data to
report
supporting
document
identifiers.
Information on
the original
renewable fuel
production.
Information on
the types of
feedstock used
to produce fuel.
Information on
the one or more
co-products that
result from the
renewable fuel
production
process.














































Section 6
                                                             6-17

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EMTS Transaction Instructions
Figure 6-10: Data Elements for GenerateOriginatingSourceDetail
Data Element
Data Type
xsd:string




















xsd:string









Name
GenerateOrganizationldentifier




















GenerateFacilityldentifier









Required
No




















Yes









Description
The organization
identifier, as registered
in OTAQReg, for the
organization that
produced the fuel.
















The facility identifier, as
registered in OTAQReg,
for the facility that
produced the fuel.






QA Checks
Description
If the generate
organization is
different than the
submitting
organization
identifier, then the
organization must be
an importer.
If the generate
organization is
provided, then it
must be registered
with EPA and be
active.
If the generate
organization differs
from the submitting
organization then
the generating
organization must be
a Foreign Producer.
For generate
transactions, the
generate facility
identifier must be
provided.
The generate facility
specified in the
submission file must
be registered with
EPA and be active.
Number
3000







3001





3045






3002




3003




                                                                                       (cont.
Section 6
6-18

-------
EMTS Transaction Instructions
 Figure 6-10: Data Elements for GenerateOriginatingSourceDetail (cont.)
Data Element
Data Type




















xsd:string






Name




















Batch NumberText






Required




















Yes






Description




















The batch number for
the renewable fuel as
designated by the
producing facility.



QA Checks
Description
If generate
organization is
provided, then
generate facility
must be actively
associated with the
generate
organization.
If generate
organization is not
provided, then the
generate facility
must be actively
associated with the
submitting
organization.
The generate facility
number specified
must be unique for
the organization.
Batch number must
be provided.
Batch number must

be unique for an
organization, facility,
and RIN year.
Number
3004







3005







3052



3018

3019




Section 6
6-19

-------
EMTS Transaction Instructions
Figure 6-11: Data Elements for FeedstockDetail
Data Element QA Check
Data Type
xsd:string




















xsd:boolean










Name
FeedstockCode




















RenewableBiomasslndicator










Required
Yes




















Yes










Description Description
A code that
identifies the
feedstock used to
produce the
renewable fuel
associated with the
batch number.














An indicator
whether the
feedstock used
qualifies as
renewable biomass.






The feedstock
reported in the
production of
fuel must be
registered with
EPA.
The feedstock
code reported in
the production of
fuel must be a
valid code that is
recognized by
EPA.
The feedstock
reported must be
compatible with
the fuel code,
fuel category,
and process used
in the production
of fuel.
If RINsare
generated (RIN
Quantity greater
than or equal to
"1"), then at least
one of the
specified
feedstocks must
be indicated as
"Renewable
Biomass."
Number
3008





3023






3042







3030










                                                                                        (cont.
Section 6
6-20

-------
EMTS Transaction Instructions
 Figure 6-11: Data Elements for FeedstockDetail (cont.)
Data Element QA Check
Data Type Name
xsd:decimal



xsd:string







FeedstockQuantity



FeedstockMeasure







Required
Yes



Yes







Description Description
Total quantity of
feedstock used in
production of the
fuel.
The unit of measure
for the feedstock
volume.









The feedstock
measure code
reported in the
production of
fuel must be a
valid code that is
recognized by
EPA.
Number




3027







Figure 6-12: Data Elements for CoProductDetail
Data Element
Data Type
xsd:string






Name
CoProductCode






Required
Yes






Description
A code that identifies
the co-product
created from the
renewable fuel
process.


QA Check
Description
The co-product
code reported in
the production
of fuel must be a
valid code that is
recognized by
EPA.
Number
3025






    6.5.3 Separating RINs

To identify that RINs have  been separated from the  fuel, you will report this information using the
SeparateTransactionDetail complex type.

How these data elements are processed:  Separating RINs requires that you identify the number of RINs
being separated and the volume of fuel from which the RINs are being separated.  The preferred method to
separate a quantity of RINs from any fuel is to specify the RINQuantity, batch volume, fuel code, and the
year in which the fuel was produced. By default, EMTS will find the oldest batch of assigned fuel in your
Section 6
6-21

-------
EMTS Transaction Instructions
inventory and separate the RINs. This ensures that you are separating, on a first-in, first-out (FIFO) basis,
the earliest RINs that you own as defined by production date.

If you as a party have been delegated to perform the separate transaction by a small blender (a blender that
blends less than 125,000 gallons per year), then you must report both the name and public identifier of the
small blender in the BlenderOrganizationldentifler and BlenderOrganizationName data elements.

If you need to provide supporting information regarding the separation, such as document identifiers  or
notes, use the SeparateSupportingDocumentDetail complex type. Use this complex type  to create user-
defined information by providing the type of document that contains the information and an identification
number or code for the document. For example, if you wish to report an invoice number, place "invoice" as
the text for SupportingDocumentText and the invoice number for SupportingDocumentNumber.

If  you wish  to  identify a specific batch of  fuel to be  separated,  you  can do  so  by  using the
SeparateOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try
to match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the
batch cannot be found, the transaction will fail.

Figure 6-13 shows the data elements for SeparateTransactionDetail.
Section 6
6-22

-------
EMTS Transaction Instructions
Figure 6-13: Data Elements for SeparateTransactionDetail
Data Element QA Check
Data Type
xsd:positivelnteger















xsd:decimal








xsd:string








Name
RINQuantity















BatchVolume








FuelCode








Required
Yes















Yes








Yes








Description Description
The total
number of
RINs specified
in the
transaction.











The volume of
renewable
fuel for which
RINs are being
separated.




The
renewable
fuel code for
the RINs being
separated as
defined in
Part M
Section
80.1426.
The organization
must have
enough available
RINs in its holding
account to
complete the
transaction.
For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than "0"
but less than
"2.5."
For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than "0"
but less than
"2.5."
The fuel code
reported must be
a valid code that
is recognized by
EPA.




Number
5900






5032








5032








5024








                                                                                       (cont.
Section 6
6-23

-------
EMTS Transaction Instructions
 Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
Data Element QA Check
Data Type
xsd:gYear









xsd:string















Name
RINYear









SeparateReasonCode















Required
Yes









Yes















Description Description
The RIN year
is the year in
which the fuel
is produced.






This code
identifies the
reason for a
separate
transaction.











The RIN year
cannot be in the
future.

The requested
RIN Year must fall
within the RIN
Year range
defined by the
RIN Years Allowed
parameter.
The allowable
reason code
reported by an
organization
when separating
RINSare
dependent on
their business
activities as
registered with
EPA.
The reason code
reported must be
a valid code that
is recognized by
EPA.
Number
5019



5028





5035










5037




                                                                                      (cont.
Section 6
6-24

-------
EMTS Transaction Instructions
 Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
Data Element QA Check
Data Type
















xsd:date



xsd:string











Name
















TransactionDate



BlenderOrganization Identifier











Required
















Yes



No











Description Description
















The date of
theRIN
transaction.

The public
identification
number for
the blending
organization
as designated
by OTAQReg.





If a Blender
Organization ID or
Blender Name is
reported then
separate reason
"Upward
Delegation" must
also be reported.
If the organization
specifies "Delayed
RIN Separate" as
the reason code,
then the fuel code
may not be
Renewable Fuel
(D = 6).
The Transaction
Date must be
within the last 10
business days.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.
Number
5040







5046







5055



5033











                                                                                      (cont.
Section 6
6-25

-------
EMTS Transaction Instructions
 Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
Data Element
Data Type














xsd:string











xsd:string




Name














BlenderOrganizationName











Transaction DetailCommentText




Required














No











No




Description














Name of the
organization
that is
blending the
fuel.







Comment
provided by
the user on
the
transaction.
QA Check
Description
If a blender
organization is
provided, then it
must be
registered with
EPA and be
active.
If a Blender
organization is
specified then the
organization must
have a business
activity of small
blender.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.





Number
5034






5036






5033
















                                                                                      (cont.
Section 6
6-26

-------
EMTS Transaction Instructions
 Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)
    Data Type
                              Data Element
Name
                                                QA Check
Required   Description      Description    Number
complex








complex




SeparateSupportingDocumentDetail








SepamteOriginatingSourceDetail




No








No




Information
for the
industry user
to create user
defined data
to report
supporting
document
identifiers.
Information
on the original
renewable
fuel
production.




























    6.5.4  Selling RINs

The  complex type SellTransactionDetail is used to report RINs that are being traded to another
organization as a result of a sell transaction. This transaction type requires basic information regarding the
quantity of RINs, fuel code, and year in which the fuel was produced.

How these data elements are processed:  Selling RINs requires that you identify the number of RINs
being sold and the trading partner (or buyer) to whom you are selling the RINs. The preferred method to
sell a quantity of RINs is to specify the RINQuantity, batch volume (required if the RINs are assigned), fuel
code, assignment code, and the year in which the fuel was produced.  EMTS will find the oldest batch of fuel
you acquired that matches these characteristics in your inventory. This ensures that you are selling one or
more batches, on a first-in, first-out (FIFO) basis, the earliest RINs that you own as defined by production
date. You must provide a reason for why you are selling the RINs. In addition, you must provide either the
agreed upon price per RIN or the price per gallon established between you and the buyer.

If you need to provide supporting information regarding the sell of RINs, such as document identifiers or
notes, use the SellSupportingDocumentDetail complex type. Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document  For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice  number for SupportingDocumentNumber. If you wish to
make this  information available to  your trading partner, use the PublicSupportingDocumentDetail
complex type.
Section 6
                                                             6-27

-------
EMTS Transaction Instructions
If  you  wish  to  identify  a  specific batch  of fuel to  be  sold,  you  can  do  so by  using  the
SellOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to
match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the
batch cannot be found, the transaction will fail.

Figure 6-14 shows the data elements for SellTransactionDetail.

Figure 6-14:  Data Elements for SellTransactionDetail
Data Element QA Checks
Data Type Name Required Description
xsd:string





xsd:string

xsd: positive
Integer





xsd:decimal



Transaction PartnerO
rganization
Identifier



Transaction PartnerO
rganizationName
RINQuantity






BatchVolume



Yes





Yes

Yes






No



This identifies the buyer
organization for a sell transaction
or the selling organization for the
buy transaction using either the
Organization Identifier designated
by OTAQReg.
The name of the organization
trading partner.
The total number of RINs
specified in the transaction.





The volume of renewable fuel
sold in the transaction.


Description Number
The transaction
partner
organization must
be registered at
EPA and be
active.


The organization
must have
enough available
RINs in its holding
account to
complete the
transaction.
If the assignment
code is "1," then
batch volume
must be specified.
6018







6900






6011



                                                                                         (cont.
Section 6
6-28

-------
EMTS Transaction Instructions
 Figure 6-14: Data Elements for SellTransactionDetail (cont.)
Data Element
Data Type










xsd:string




xsd:string









xsd:gYear





Name










FuelCode




AssignmentCode









RINYear





Required










Yes




Yes









Yes





Description










The renewable fuel code for the
RINs being sold as defined in 40
CFR Section 80.1426.


A code that indicates whether the
RIN is transacting as an assigned
RIN or a separated RIN.







The RIN year is the year in which
the fuel is produced.




QA Checks
Description
For assigned RINs
that are being
sold, the ratio of
RINs to fuel must
be greater than 0
but less than 2.5.
Batch Volume
must be specified
if Gallon Price is
specified.
The fuel code
reported must be
a valid code that
is recognized by
EPA.
If the assignment
code is "1," then
batch volume
must be specified.
The assignment
code reported
must be a valid
code that is
recognized by
EPA.
RIN Year may not
be greater than
the year
associated with
the specified
Transfer Date.
Number
6032





6054



6024




6011



6025





6019





                                                                                       (cont.
Section 6
6-29

-------
EMTS Transaction Instructions
 Figure 6-14: Data Elements for SellTransactionDetail (cont.)
Data Element
Data Type







xsd:string
















xsd:decimal





Name







SellReasonCode
















RINPriceAmount





Required







Yes
















No





Description







This code identifies the reason for
a sell transaction.















Price paid per RIN.





QA Checks
Description
The requested
RIN Year must fall
within the RIN
Year range
defined by the
RIN Years Allowed
parameter.
The allowable
reason code
reported by an
organization
when selling RINS
are dependent on
their business
activities as
registered with
EPA.
A "Cancel" trade
must match a
pending trade.
"Incorrect Trading
Partner" can only
be reported for
assigned RINs.
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
Number
6028






6035









6041


6045



6036


6047


                                                                                       (cont.
Section 6
6-30

-------
EMTS Transaction Instructions
 Figure 6-14: Data Elements for SellTransactionDetail (cont.)
Data Element
Data Type
xsd:decimal





xsd:date








xsd:string

xsd:string






Name
GallonPriceAmount





TransferDate








PTDNumber

MatchingTransaction
Identifier





Required
No





Yes








No

No






Description
Price paid per gallon of
renewable fuel.




The date of the RIN transaction.








The PTD number associated with
the transaction.
The EMTS Transaction ID of the
pending buy transaction.





QA Checks
Description
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
The transfer date
specified may not
occur in the
future.
Transfer date
must be within
the lasts business
days per 40 CFR
80.1452(b).


If the sell
transaction has a
matched buy
transaction ID,
the transaction
must be in a
pending state.
Number
6036


6047


6020



6055






6016






                                                                                       (cont.
Section 6
6-31

-------
EMTS Transaction Instructions
 Figure 6-14: Data Elements for SellTransactionDetail (cont.)
  Data Type
Name
                             Data Element
Required
Description
                                                          QA Checks
Description     Number








xsd:string






complex



complex



complex









TransactionDetaiICo
mmentText





PublicSupportingDoc
umentDetail


SellSupportingDocu
mentDetail


SellOriginatingSourc
eDetail








No






No



No



No









Comment provided by the user
on the transaction.





Industry user defined data to
report supporting document
identifiers which are visible to the
organization's trading partner.
Information for the industry user
to create user defined data to
report supporting document
identifiers.
Information on the original
renewable fuel production.
If the sell
transaction has a
matched buy
transaction ID,
the transaction
must match on
trade matching
criteria.
If reason
"Standard Trade"
or "Cancel" is not
provided for a sell
transaction then a
comment must be
provided.










6017







6037
















    6.5.5  Buying RINs

The complex type BuyTransactionDetail is used to acquire RINs that are being traded from another
organization as a result of a sell transaction. This transaction type requires basic information regarding the
quantity of RINs, fuel code, and year in which the fuel was produced.
Section 6
                                                                       6-32

-------
EMTS Transaction Instructions
How these data elements are processed:  Buying RINs requires that you identify the number of RINs
being sold and the trading partner (or seller) you are buying RINs from.

One method is to wait for a sell transaction to be sent to you with the specifications for the quantity of RINs,
batch volume, fuel code, assignment code, and the year in which the fuel was produced.  You should use
these exact specifications when responding to the sell transaction.  EMTS will match these specifications to
any existing sell transactions that are pending with your trading partner and complete the trade.  You may
also initiate a buy transaction prior to the seller sending you a notification.  If your buy transaction is
received by EMTS before the seller has initiated a sell transaction, your request will be queued until a
matching sell  has been submitted to EMTS by the seller. If the seller does not respond to your buy request
within ten business days, the trade will expire.  In both cases, a record of this incomplete submission is
recorded in EMTS.

You must provide a reason for why you are buying RINs.  In addition, you must provide either the agreed
upon price per RIN or the price per gallon established between you and the seller.

If you need to provide supporting information regarding the trade, such as document identifiers or notes,
use the  BuySupportingDocumentDetail complex type.  Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to
make this  information available to your trading partner, use  the PublicSupportingDocumentDetail
complex type.

If  you  wish to identify  a  specific   batch  of fuel  to be  sold, you can  do  so  by using the
BuyOriginatingSourceDetail complex type to identify the facility and batch number.  EMTS will try to
match the specific batch in the seller's  RIN Holding Account;  however, if the batch cannot be found, the
transaction will fail.

Figure 6-15 shows the data elements for BuyTransactionDetail.
Section 6
6-33

-------
EMTS Transaction Instructions
Figure 6-15: Data Elements for BuyTransactionDetail
Data Element QA Checks
Data Type
xsd:string








xsd:string


xsd: positive
Integer

xsd:decimal














Name
TransactionPartnerOrganization
Identifier







TransactionPartnerOrganization
Name

RINQuantity


BatchVolume














Required
Yes








Yes


Yes


No














Description Description
This identifies the
buyer organization for
a sell transaction or the
selling organization for
the buy transaction
using either the
Organization Identifier
designated by
OTAQReg.
The name of the
organization trading
partner.
The total number of
RINs specified in the
transaction.
The volume of
renewable fuel sold in
the transaction.












The transaction
partner
organization must
be registered at
EPA and be active.










If the assignment
code is "1," then
batch volume
must be specified.
For assigned RINs
that are being
bought, the ratio
of RINs to fuel
must be greater
than 0 but less
than 2.5.
Batch Volume
must be specified
if Gallon Price is
specified.
Number
4018














4011



4032






4054



                                                                                       (cont.
Section 6
6-34

-------
EMTS Transaction Instructions
 Figure 6-15: Data Elements for BuyTransactionDetail (cont.)
Data Element QA Checks
Data Type
xsd:string




xsd:string









xsd:gYear












Name
FuelCode




AssignmentCode









RINYear












Required
Yes




Yes









Yes












Description Description
The renewable fuel
code for the RINs being
sold as defined in 40
CFR Section 80.1426.

A code that indicates
whether the RIN is
transacting as an
assigned RIN or a
separated RIN.





The RIN year is the
year in which the fuel
is produced.










The fuel code
reported must be
a valid code that is
recognized by
EPA.
If assignment
code is "1," then
the batch volume
must be specified.
The assignment
code reported
must be a valid
code that is
recognized by
EPA.
RIN Year may not
be greater than
the year
associated with
the specified
Transfer date.
The requested RIN
Year must fall
within the RIN
Year range
defined by the RIN
Years Allowed
parameter.
Number
4024




4011



4025





4019





4028






                                                                                      (cont.
Section 6
6-35

-------
EMTS Transaction Instructions
 Figure 6-15: Data Elements for BuyTransactionDetail (cont.)
Data Element
Data Type
xsd:string
















xsd:decimal





xsd:decimal





Name
BuyReasonCode
















RINPriceAmount





GallonPriceAmount





Required
Yes
















No





No





Description
This code identifies the
reason for a buy
transaction.














Price paid per RIN.





Price paid per gallon of
renewable fuel.




QA Checks
Description
The allowable
reason code
reported by an
organization when
buying RINS are
dependent on
their business
activities as
registered with
EPA.
A cancel trade
must match a
pending trade.
"Incorrect Trading
Partner" can only
be reported for
assigned RINs.
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
Number
4035









4041


4045



4036


4047


4036


4047


                                                                                      (cont.
Section 6
6-36

-------
EMTS Transaction Instructions
 Figure 6-15: Data Elements for BuyTransactionDetail (cont.)
                             Data Element
  Data Type
Required
Description
                                     QA Checks
Description    Number
xsd:date









xsd:string


xsd:string













TransferDate









PTDNumber


MatchingTransactionldentifier













Yes









No


No













The date of the RIN
transaction.








The PTD number
associated with the
transaction.
The EMTS Transaction
ID of the pending buy
transaction.











The transfer date
specified may not
occur in the
future.
Transfer date
must be within
the last 10
business days per
40CFR
80.1452(b).



If the sell
transaction has a
matched buy
transaction ID, the
transaction must
be in a pending
state.
If the sell
transaction has a
matched buy
transaction ID, the
transaction must
match on trade
matching criteria.
4020



4055








6016






6017






                                                                                        (cont.
Section 6
                                                  6-37

-------
EMTS Transaction Instructions
 Figure 6-15: Data Elements for BuyTransactionDetail (cont.)
                             Data Element
  Data Type
Required
Description
                                     QA Checks
Description    Number
xsd:string






complex






complex




complex


Transaction DetailCommentText






PublicSupportingDocumentDet
ail





BuySupportingDocumentDetail




BuyOriginatingSourceDetail


No






No






No




No


Comment provided by
the user on the
transaction.




Industry user defined
data to report
supporting document
identifiers which are
visible to the
organization's trading
partner.
Information for the
industry user to create
user defined data to
report supporting
document identifiers.
Information on the
original renewable fuel
production.
If reason
"Standard Trade"
or "Cancel" is not
provided for a buy
transaction then a
comment must be
provided.















4037





















Section 6
                                                  6-38

-------
EMTS Transaction Instructions
    6.5.6 Retiring RINs

To identify RINs that you wish to retire, in order to meet your RVO, or to record a batch of RINs that are no
longer valid due to  spillage or other issue, report this information using the RetireTransactionDetail
complex type.

How these data elements are processed:  Retiring RINs requires that you identify the number of RINs
being retired, the fuel code, assignment code, year in with the fuel was produced, and the compliance year
which the RINs are being retired.  EMTS will find the oldest batch of fuel in your inventory and transfer
ownership of the RINs to an EPA RIN Holding Account This ensures that you are retiring, on a first-in, first-
out (FIFO) basis, the earliest RINs that you own as defined by production date. In addition to the RINs that
you identify to retire, you must provide a reason for retirement.

If you are retiring RINs to meet an obligation, you  must also provide the level of compliance  being met You
may retire RINs to meet an organization's overall obligation, or a specific facility level obligation (refiners
only). If you are retiring RINs for a specific facility site, report the public facility identifier for the site.

If you are retiring RINs for non-obligation purposes, do not report the compliance year or compliance level.
In both cases, provide a reason for the retirement  of the RINs.

If you need  to  provide supporting information regarding the  retire transaction,  such as document
identifiers or notes, use the RetireSupportingDocumentDetail complex type. Use this complex type to
create user-defined information by providing the type of document that contains the information and an
identification number or code for the document.  For example, if you wish to report an invoice number,
place   "invoice"  as   the   text  for  SupportingDocumentText   and  the   invoice   number  for
SupportingDocumentNumber.

If you wish to identify a specific batch of fuel to be retired (particularly for spillage or spoilage of fuel
batches), you can do so by using the RetireOriginatingSourceDetail complex type to identify the facility
and batch number.  EMTS will try to match the specific batch in your RIN Holding Account;  however, if you
no longer own these RINs, or the batch cannot be found, the transaction will fail.

Figure 6-16 shows the data elements for RetireTransactionDetail.
Section 6
6-39

-------
EMTS Transaction Instructions
Figure 6-16: Data Elements for RetireTransactionDetail
Data Elements QA Checks
Data Type
xsd: positive
Integer












xsd:decimal
















Name
RINQuantity













BatchVolume
















Required
Yes













No
















Description Description
The total number of
RINs specified in the
transaction.











The volume of
renewable fuel, if
any, associated with
the RINs that are
being retired.












If Batch Volume is
provided, then the
ratio of RINs to
fuel must be
greater than "0"
but less than
"2.5."
The organization
must have enough
available RINs in
its holding
account to
complete the
transaction.
If reason code
"Reportable Spill,"
"Contaminated or
Spoiled Fuel,"
"Import Volume
Correction,"
"Renewable Fuel
Used in a Boiler or
an Ocean-Going
Vessel," or
"Volume error
correction" is
provided for a
retire transaction
then Batch
Volume must also
be provided.
Number
7032






7900






7040
















                                                                                       (cont.
Section 6
6-40

-------
EMTS Transaction Instructions
 Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:string




xsd:string





xsd:gYear


















Name
FuelCode




AssignmentCode





RINYear


















Required
Yes




Yes





Yes


















Description
The renewable fuel
code for the RINs
being retired as
defined in 40 CFR
Section 80.1426.
A code that indicates
whether the RIN is
transacting as an
assigned RIN or a
separated RIN.

The RIN year is the
year in which the
fuel is produced.
















QA Checks
Description
The fuel code
reported must be
a valid code that is
recognized by
EPA.
The assignment
code reported
must be a valid
code that is
recognized by
EPA.
The requested RIN
Year must fall
within the RIN
Year range
defined by the RIN
Years Allowed
parameter.
RIN Year may only
equal the
Compliance Year
or one year prior
to the Compliance
Year. This check
should only be
executed if reason
code equals
"Demonstrate
Annual
Compliance."
Number
7024




7025





7028






7041











                                                                                      (cont.
Section 6
6-41

-------
EMTS Transaction Instructions
 Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
                               Data Elements
  Data Type
            Name
 xsd:string
 Required
RetireReasonCode
Yes
    Description
This code identifies
the reason for a
retire transaction.
         QA Checks
   Description     Number
The allowable
reason codes
reported by an
organization when
retiring RINs are
dependent on its
business activities
registered with
EPA.
                                                                          The reason code
                                                                          reported must be
                                                                          a valid code that is
                                                                          recognized by
                                                                          EPA.
                                                                           If an organization
                                                                           retires for
                                                                           obligation, it must
                                                                           be registered for
                                                                           either a
                                                                           compliance level
                                                                           code of 20 or 50.
                                                                          The "Delayed RIN
                                                                          Retire" reason
                                                                          code may only be
                                                                          used with
                                                                          Separated
                                                                          Renewable Fuel (D
                                                                          = 6) RINs.
                                                                          The "Remedial
                                                                          action as specified
                                                                          by EPA"reason
                                                                          may only be used
                                                                          5 times per
                                                                          calendar year.
7035
                                                                               7039
                                                                               7045
                                                                               7046
                                                                               7057
                                                                                               (cont.
Section 6
                                                                                    6-42

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EMTS Transaction Instructions
 Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:date






xsd:gYear







Name
TransactionDate






ComplianceYear







Required
Yes






No







Description
The date of the RIN
transaction.





The compliance year
for which the
transaction is
applied.






QA Checks
Description
The Transaction
Date must be
within the last 5
business days.
The "Remedial
action as specified
by EPA" reason
code 110 may only
be used 5 times
per calendar year.
Compliance year is
required if the
reason code
"Demonstrate
Annual
Compliance" is
reported.
If the submittal
date is
on/between April
1 and December
31, then the
compliance year
must be the
current year. If
the submittal date
is on/between
January 1 and
February 28, the
compliance year
must be the
previous year.
Number
7055



7056


7016


7017





                                                                                      (cont.
Section 6
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EMTS Transaction Instructions
 Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:string





















xsd:string






Name
ComplianceLevelCode





















ComplianceFacility Identifier






Required
No





















No






Description
The compliance
basis for the
submitting
organization:
Facility, Aggregated
Importer,
Aggregated Refiner,
Aggregated
Exporter, Non-
Obligated Party.













The facility
identifier, as
registered in
OTAQReg, for the
facility that has a
compliance
obligation.
QA Checks
Description
If the compliance
level code
reported is
"Refinery by
Refinery," the
facility identifier
must be reported.
The compliance
level code
reported must be
a valid code that is
recognized by
EPA.
The allowable
compliance level
code reported by
an organization
when retiring RINs
is dependent on
their business
activities
registered with
EPA.
If a compliance
facility identifier is
reported, then the
compliance level
code must be
"Facility Level."

Number
xsd:string






7042




7034









7022






                                                                                      (cont.
Section 6
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EMTS Transaction Instructions
 Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type







xsd:string




















complex






Name







TransactionDetailComment




















RetireSupportingDocumentDetail






Required







No




















No






Description







Comment provided
by the user on the
transaction.


















Information for the
industry user to
create user defined
data to report
supporting
document
identifiers.
QA Checks
Description
If a compliance
facility identifier is
reported, then the
facility identifier
must be
registered at EPA
and be active.
If reason code
"Reportable Spill,"
"Contaminated or
Spoiled Fuel,"
"Import Volume
Correction,"
"Invalid RINs,"
"Volume error
correction,"
"Enforcement
Obligation,"
"Remedial action
as specified by
EPA," or
"Remedial Action
- Retire for
Compliance" is
provided for a
retire transaction,
then a comment
must be provided.







Number
7023






7037



























                                                                                      (cont.
Section 6
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EMTS Transaction Instructions
 Figure 6-16: Data Elements for RetireTransactionDetail (cont.)
Data Elements QA Checks
Data Type Name Required Description Description Number
complex


RetireOriginatingSourceDetail


No


Information on the
original renewable
fuel production.






  No RINs may be retired for compliance during the month of March.
Section 6
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EMTS Transaction Instructions
  6.6 What Is the FIFO Process for Finding RINs?

When you identify a quantity of RINs that you wish to sell, separate, or retire, EMTS will find the closest
match of available RINs in your holding account for the specified fuel, RIN year, and assignment code. From
these RINs, EMTS will select the oldest batch of RINs based on the fuel production date.  If the number of
RINs that you have specified in your transaction is smaller than the  oldest batch EMTS finds in your
account, then that batch will be split into two smaller batches, one of which will be used for the transaction.
The batch not used in the transaction will remain in your RIN Holding Account with all the characteristics
of the original batch. As a consequence of this action, the number of RIN  batches in your account may grow
as larger batches split into several smaller batches.

Alternatively, if the quantity requested is larger than one or more of the batches in your account, EMTS will
sum as many of the oldest batches together to reach the quantity desired.

If you specify an exact batch of RINs by reporting the originating source of the fuel (organization identifier,
facility identifier, and batch number), then EMTS will not use the first-in, first-out method, but look for the
specific batch.

  6.7 How Do I Cancel a Buy or Sell Transaction?

EMTS has the capability to allow parties to cancel initiated buy and sell transactions if any party deems it
appropriate to cancel the transaction(s). A user may cancel transactions they have initiated either through
the EMTS website, or they can submit XML files through the node to cancel the transactions.  Cancel
transactions must be identical (with the exception of the reason code) to the original transaction they are
intended to cancel. A cancel transaction must be submitted as a single transaction in a submission file. If a
cancel transaction is submitted in an XML file with other transactions (including other cancel transactions),
then the entire submission will fail.
Section 6
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  Section 7:  How Can I Access Information about My Organization's RINs?
  EMTS provides you with a variety of documents to
  access  information regarding your organization's
  RIN holdings, and  current and past transactions.
  These documents may be downloaded from  the
  "Reports" page of the EMTS user interface.  Some
  data,  such  as your  RIN  holdings, can  also  be
  exported from the "RIN Holdings" page.

    7.1  What Documents Does EMTS Provide?
                                            Who should read Section 7:
                                            Section 7 applies to all users responsible for
                                            preparing data for EPA reports.

                                            What you will find in Section 7:
                                            This section includes information on how to
                                            access the information you need from EMTS and
                                            what information is available through standard
                                            reports.
  For each organization with which you are affiliated,
  EMTS  provides  downloadable  data  to  aid  in
  recordkeeping and reporting.  Documents should be used to supplement your organization's internal
  records and to check that EMTS has properly recorded your transactions. (Note: EMTS does not take the
  place of the recordkeeping provisions as specified in 40 CFR 80.1454 or reporting in 40 CFR 80.1451; those
  recordkeeping requirements are in addition to reporting through EMTS.)  "Quick Search" options on any
  report allow you to filter or constrain data to meet your needs.  The following is a list and short description
  of all documents available on the EMTS user interface.
  Transaction History.  Summary information on all transactions in which your organization initiated a
  transaction or is the recipient of a trade.  This document includes both transactions sent by XML file
  submission or through online transactions on the EMTS user interface within the past 14 days.

  Monthly Transaction  History. This monthly document lists all generate, separate,  buy, sell and retire
  transactions submitted by your organization through XML files or the EMTS user interface during the prior
  month.

  Pending Trades. A list of all pending buy and sell transactions that your organization has either initiated
  or received.

  Pending Trade Details.  A list of all pending buy and sell transactions that includes originating source
  detail information for every batch that will be used in the transaction.

  Completed Trades. A list of all of your organization's trades that have been completed in the last ten days.
  This document includes trades that were initiated by your organization and trades that were initiated by
  your trading partner.

  Expired Trades. A list of an organization's pending trades that have expired in the previous ten days, as
  well as all pending trades that will expire within the next 24 hours.
SEPA
United States
Environmental Protection
Agency
                                                                                              7-1

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EMTS Transaction Instructions
QA Feedback Report.  A detailed list of all quality assurance check failures for a single submission file.
This document is available for download from the View Node Submissions page.

RIN Holdings. This document lists the current aggregate total RIN holdings for an organization grouped
by fuel code, assignment, and RIN year.

RIN Batches. A list of all RIN batches currently owned by your organization.

Cancelled Trades.  A list of all initiated and received  trades that you or our trading partner cancelled
before the completion date.

Transaction Status.  This document, available nightly, includes transaction activity for the previous day.

Information about the number of RINs in your organization's account can be found on your "RIN Holding"
page.  This page is accessible from the EMTS homepage. RINs are grouped by fuel code, RIN year, and
assignment code. By selecting a group of RINs you may navigate to more detailed information about those
RINs.
                                                             Submit Certified Transactions:
                                                             Certified reports of all transactions must
                                                             be certified and submitted to EPA on a
                                                             quarterly basis through the OTAQ DC
                                                             Fuels Submission (CDX: DCFuels).
  7.2 How Do I Certify My Transactions?

All transactions processed by EMTS must be certified by
your organization on a quarterly basis. EMTS will send you a
notification at the  end of a quarter.  Quarterly reports of
your  RIN holdings will  be  generated  for  you and are
available for download on the  EMTS  user interface.  A
recommended practice   is to  periodically  review  your
current RIN holdings on the EMTS user interface, checking the total quantity of RINs against your own
transaction records. You may download data from this page at any time.

It is your organization's responsibility to verify that all transactions represented in the quarterly reports
are true and accurate.  After resolving any discrepancies between the downloaded reports from EMTS and
your organization's internal records, you must sign and submit the reports to EPA through the OTAQ DC
Fuels Submission program (CDX:  DCFuels).  Reports are due May 31, August 31, November 30, and
February 2 8.

    7.2.1 What Quarterly Reports Does EMTS Provide?

EMTS will generate up to four quarterly reports for your  organization based on its registered business
activities. Quarterly reports contain transactional information reported by your organization.  Should this
data differ from your organization's internal records, you must report the errors in EMTS. Once you have
submitted these errors, EMTS will generate a Transaction Error Report that must also be submitted to DC
Fuels with your other reports.
Section 7
                                                                                             7-2

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EMTS Transaction Instructions
EMTS offers all reports in PDF and CSV format Some reports such as the RIN Generation Report and the
RIN Transaction Report are also available in XML format for easier data management  However, the
reports you submit to DC Fuels must be in PDF format.

RIN Generation. Details of all generate transactions that your organization has submitted for the quarter.

RIN Transaction.  Details of all separate, buy, sell, and retire transactions that your organization has
submitted for the quarter.

RIN Activity (Assigned). The total number of assigned RFS2  RINs owned at the start of the quarter; the
aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at
the end of the quarter.

RIN Activity (Separated). The total number of separated RFS2 RINs owned at the start of the quarter; the
aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at
the end of the quarter.

Transaction Error. A list of all transaction errors reported for the quarter.  Errors are reported using the
EMTS web application.  For  information on how to report transaction errors, please see Section 5.4.9 of
these instructions.

NOTE: The Monthly Transaction History document is created for the prior month's transactions on the first
Saturday of every month. Once the prior month's Monthly Transaction History document has been created,
the Cancelled  Trades,  Completed Trades, Expired  Trades,  Pending  Trades,  Pending Trade Details,
Transaction History, and Transaction Status documents for that month are purged.

    7.2.2 What Annual Reports Does EMTS Provide?

In support of the RFS2 Annual Compliance Reporting requirements, EMTS will generate an aggregate
report and a batch-level report for all RINs retired for the most recent Compliance Year.

Annual Statement. An aggregate view of all RIN batches retired for compliance. It is broken down by Fuel
Code, Compliance Year, Compliance Level, and Compliance Facility (if applicable).

Annual Report. A list of all RIN Batches retired for compliance for a single Compliance Year.

More  information about submitting reports can  be found in Section 3, "What Are the Key Reporting
Deadlines?"

Note: These EMTS annual reports do not need to be submitted to EPA. This information is already
submitted via the quarterly reports (Activity and Transaction reports) and the Annual  Compliance report.
Section 7
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EMTS Transaction Instructions
                                 [Thispage intentionally left blank]
Section 7
7-4

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                                                            Who should read Section 8:
                                                            All EMTS users.

                                                            What you will find in Section 8:
                                                            Directions on how to obtain help and
                                                            information regarding changes in
                                                            EMTS.
Section 8:  How Do I Contact EMTS Support?

EMTS provides you with several  avenues for obtaining
support for all of your EMTS and RFS questions. Access to the
"Help" page is available via the "Help" link in the upper right
corner of each screen of the EMTS website. From the Help
page, you can find contact information for EMTS Support and
EPA Fuels  Programs  Support   There are also links  to
meetings, presentations, tutorials, documentation, frequent
questions, and the EMTS Conversion Tool located  on  the
EMTS  Support  website,  which   can   be    found   at
http://www.epa.gov/otaq/fuels/renewablefuels/epamts.htm.
  8.1 How Does EPA Communicate Changes to Me?

EPA will keep you informed on the latest developments to EMTS and the RFS program.  Upon entering
EMTS you can find current notices and information in "Announcements," located to the right of the
homepage.  Here,  EPA will  post the latest EMTS news and reminders of upcoming deadlines.  Each
announcement can be viewed in detail by clicking on it to retrieve  the full text.  You may also sign
up  to  receive  the  latest  EMTS  and  RFS  news through  Enviroflash  email  notifications   at
https://enviroflash.epa.gov/enviroflashOTAQPublic/Subscriber.do?method=start.

Figure 8-1 shows the Announcements feature.

Figure 8-1: Announcements
                               Transaction Bin
                               Organizations
                               Announcements
                                EMTS Version 1.3
                               Welcome to EMTS version 1,3!


                              I Test announcement #1
         United States
         Environmental Protection
         Agency
                                                                                           8-1

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EMTS Transaction Instructions
When changes necessitate updates to the conversion tool or the EMTS schema, you will be notified of this
and the newest version of the tool and the schema will be made available for download on the EMTS user
interface.

  8.2 Where Do I Go If I Have a Question about EMTS?

Answers to most of your EMTS questions may be found on the EMTS website or in these Transaction
Instructions. If you need additional information, you also have the option of emailing the EMTS Support
Line. In the header of every page of EMTS you will find a link to "Help" where you will find the email and
phone number of the EMTS Support Line.

  8.3 Where Do I Go If I Have a Question about the Renewable Fuel Standard?

For RFS questions, just as with EMTS questions, you may always email EPA Fuels Programs Support or the
EMTS Support Line.  Emails may be sent to EPAFuelsPrograms@epa.gov.  If you  require immediate
assistance, you may call 202-343-9755.

The Renewable Fuel Standard is available to view and download from the U.S. Federal Register website.
Further   information  regarding  the  RFS  rule  can be   obtained   from  the  EPA   website  at
http://www.epa.gov/otaq/fuels/renewablefuels/index.htm.

  8.4 Who Should I Contact If I Need Help Resolving a Problem in EMTS?

If you are experiencing a technical problem with EMTS, please first view the Frequent Questions web page
which provides solutions to common  issues users encounter.   If you cannot find the  appropriate
information,  or if you have questions regarding the data that appears in your RIN Holding Account, you
may wish to  contact the support lines for help. The "Help" link at the top of each page of EMTS opens the
Help page which contains a "Contact Us" link. Emails may be sent to support@epamts-support.com. If you
require immediate assistance and wish to speak to a technical representative to help you troubleshoot an
issue, you may call the EMTS Support Line at 1-800-385-6164.
Section 8
8-2

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  Appendix A:  Referenced Documents
     •   Attest Engagements
         h ttp://www. epa.gov/o taq/regs/fuels/attestengage. h tm

     •   OTAQ Fuel Registration Instructions
         h ttp://www. epa.gov/o taq/regs/fuels/fuelsregistra tion. h tm

     •   OTAQ Fuel and Fuels Additives Registration (FFARs)
         h ttp://www. epa.gov/o taq/regs/fuels/ffarsfrms. h tm

     •   Quarterly and Annual Report Forms
         h ttp://www. epa.gov/o taq/regs/fuels/rfsforms. h tm

     •   C e ntral D ata E xchange
         http://www.cdx.epa.gov/epa_home.asp

     •   OTAQ Fuels Registration Process
         h ttp://www. epa.gov/o taq/regs/fuels/fuelsregistration. h tm
         http://www.epa.gov/OMS/regs/Juels/420b09011.pdf

     •   User Manual for CDX/OTAQ Fuels Reporting System -- Phase II
         h ttp://www. epa.gov/o taq/regs/fuels/42 Ob07012.pdf

     •   EPA Exchange Network
         http://www.exchangenetwork.net

     •   EPA Data Registry Services
         http://iaspub.epa.gov/sorjnternet/registry/datastds/flndadatastandard/epaapproved/

     •   EMTS Website
         h ttp://www. epa.gov/o taq/fuels/renewablefuels/epam ts. h tm
v>EPA
United States
Environmental Protection
Agency
                                                                                              A-l

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EMTSTransaction Instructions
                                 [Thispage intentionally left blank.]
Appendix A
A-2

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   EMTS Transaction Instructions
  Appendix B: Glossary
                            EMTS Transaction Instructions Glossary
Title Definition
Agent
Assigned RIN
Asynchronous
Audit Trail
Authentication
Authorization
Batch
Batch RIN
Blender
Business Activities
CDX Central Data Exchange (CDX)
Check
Company
Data Exchange Standard
Dataflow
Deficit Carryover
An agent acts on behalf of a company or facility. An agent has one
user account and can be associated with one or more companies or
facilities.
A RIN attached to a gallon of renewable fuel that can only be
transferred along with a volume of fuel.
Communication between two parties or systems in which data can be
transmitted intermittently rather than in a steady stream.
The set of data that has been stored in EMTS providing historical
details about specific actions.
The process to confirm the identity of the user.
The process to verify a user's permission to perform some
functionality.
A volume of renewable fuel.
A RIN number that represents a specific batch of renewable fuel
produced or imported.
Party who blends renewable fuel into gasoline or diesel fuel at or
below the levels that allow the separation of RINs.
The characteristics of a company that determine the type of
transactions it can do in EMTS.
Central Data Exchange. EPA's gateway for receiving environmental
information through the Web. Serves as the EPA node on the
Exchange Network.
A discrete unit of logic used to implement a business rule, or other
validation of data.
A business entity with one or more users in EMTS.
Specification identifying content and format of data that will be
exchanged between multiple parties or systems.
Within CDX, the identification of how data moves from one specified
location to another specified location.
Deficit of RINs from a previous year RVO that is added to a current
year RVO as specified in 40 CFR §80.1407.
                                                                                    (cont.)
vvEPA
United States
Environmental Protection
Agency
                                                                                       B-l

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EMTSTransaction Instructions
                          EMTS Reporting Instructions Glossary (cont.)
Title Definition
Delegation (Upward)
Delegation (User)
EPA Moderated Transaction System (EMTS)
Facility
Fuel Category
Fuel (D Code)
Gallon-RIN
Generate Transaction
Importer
Industry User
Invalid RIN
Logging
Message
Node
The act by which a party that would normally be responsible for RIN
management transfers this responsibility to another party. For
instance, a blender may delegate this responsibility to a renewable
fuel producer. There is a limit of 125,000 gallons per year that a
company can delegate upwards as per 40 CFR §80.1440.
The act by which a responsible corporate officer of a regulated party
authorizes another party to perform transactions on the regulated
party's behalf.
EPA's centralized messaging, screening, and transaction system that
moderates RIN transactions.
An actual or virtual location where renewable fuel is produced or
imported.
The code that identifies the type of fuel for which an organization is
generating RINs.
The code that identifies the category of renewable fuel. There are
five different fuel types: Cellulosic Biofuel D = 3, Biomass-based
Diesel D = 4, Advanced Biofuel D = 5, Renewable Fuel D = 6 and
Cellulosic Diesel D = 7.
A RIN that represents one gallon of renewable fuel.
A transaction that creates a batch RIN. RINs may only be generated
when a batch of renewable fuel is produced or imported.
An entity that imports transportation fuel.
An EMTS user represents a regulated party.
A RIN described in 40 CFR §80.1431(a).
Functionality of a software system that stores information on the
system for auditing and tracking.
A communication between a registered party and EMTS using EPA's
exchange network. It includes all the data needed to process a
transaction.
A web server that facilitates the interface between database systems
and the Exchange Network. It is a registered party's "point of
presence" on the Exchange Network. Occasionally referred to as
"network node" or "Exchange Network Node."
                                                                                        (cont.)
Appendix B
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EMTSTransaction Instructions
                          EMTS Reporting Instructions Glossary (cont.)
Title Definition
Node Client
Notification
Obligated Party
Permissions
Refiner
Registered Party
RFS Regulated Party
Renewable Fuel
Renewable Fuel Exporter
Renewable Fuel Producer
Renewable Fuel Standard (RFS)
Renewable Identification Number (RIN)
Renewable Volume Obligation (RVO)
Retire Transaction
RIN Account
RIN Assignment Code
The software program that provides integration with the Exchange
Network Directory Service (ENDS). Within the node client, the user
selects a dataflow, enters the dataflow, enters authentication
information, and then uses the Exchange Network and CDX services.
The communication that is returned by EMTS to the sender or
receiver of a transaction. Notifications may occur before the
message is evaluated in any way other than format checks.
A party which is subject to a RVO(s) and produces gasoline or diesel,
or imports gasoline or diesel as per 40 CFR §80.1406.
The ability to perform certain actions within EMTS.
A company who refines gasoline or diesel fuel.
Any user of EMTS who has gained access through the registration
process with EPA.
Any party that takes ownership of a RIN.
Transportation, heating oil, or jet fuel that is used to replace or
reduce the quantity of fossil fuel present in a fuel mixture used to
operate a motor vehicle, and which meets the definition in 40 CFR
§80.1401.
A party that exports renewable fuel and therefore has an RVO as per
40 CFR §80.1430
A party that produces renewable fuel.
The rule which sets the percentage of fuel produced which must be
renewable, for parties that produce gasoline or diesel, or import
gasoline or diesel.
An identifier that uniquely identifies a gallon of renewable fuel,
generated by a renewable fuel producer or importer. RINs are
assigned to batches of renewable fuel and are transferred to other
regulated parties.
The volume of renewable fuel, represented by RINs, that an
obligated party must obtain to be in compliance with the RFS.
A transaction where a regulated party removes a RIN from trading in
EMTS.
An account in EMTS used to store RINs.
A code that identifies whether or not a RIN is assigned to a gallon of
renewable fuel.
                                                                                        (cont.
Appendix B
B-3

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EMTSTransaction Instructions
                          EMTS Reporting Instructions Glossary (cont.)
Title Definition
RIN Block
RIN Credit
RIN Generation
RIN Owner
Role
Separate Transaction
Separated RIN
Small Refiner
Splash Blending
Stage
Submission
Submission Date
Trade
A group of sequential RINs identified by a start number and end
number. Larger RIN blocks can be split into smaller blocks, each
block being contiguous and sequential. RIN blocks cannot contain
duplicate RINs.
Credits that are transacted between renewable fuel producers to
refiners, importers exporters, and other obligated parties. RIN
credits are identified by unique identification numbers (RINs).
See Generate Transaction.
An owner of either assigned and/or separated RINs.
A set of permissions for functions that a person is allowed to
perform. A role is assigned to a user (person).
A transaction that terminates the assignment of the RIN to a volume
of renewable fuel. The resulting RINs are thereafter "separated."
A RIN which has been separated from a gallon of renewable fuel.
RINs may only be separated if a party has met the requirements in
§80.1429. A separated RIN can be transferred without an associated
volume of fuel.
A refiner that processes <75,000 bpd crude, or who has <1500
employees and processes <155,000 bpd crude.
The act of transferring and blending fuel simultaneously. Either party
involved in the transfer can separate the RINs if the requirements in
§80.1429 are met. However, both parties must agree on who will
separate the RINs.
The stage of a transaction defines where in the process of data
exchange a particular message or evaluation occurs. A stage ends
and a new stage begins when a message has been successfully
transmitted, queued, checked, processed, routed, and finalized.
Sending an XML file to EMTS, for the purposes of completing a
transaction. "Sending" can potentially occur via a node, a node
client, or a webform that takes inputted data and creates an XML file.
The date an XML file is sent to EMTS, for the purpose of completing a
transaction.
A two-part transaction, consisting of a sell transaction initiated by
one party and a buy transaction initiated by another party.
                                                                                        (cont.)
Appendix B
B-4

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EMTSTransaction Instructions
                            EMTS Reporting Instructions Glossary (cont.)
 Transaction
A transaction describes an operation on a batch RIN or gallon-RIN. A
transaction comprises a series of actions related to a specific process.
Each transaction is processed in stages and results in the return of a
message to the sending party identifying subsequent data on the
transaction.
 Transaction Date
The date on which a Separate or Retire transaction occurs outside of
EMTS.
 Transaction Instructions
A document made available to EMTS users that identifies procedures
needed to ensure adherence with the data exchange standard.
 Transaction Log
The history of all of transactions which have been processed by
EMTS.
 Transfer
The process of deducting RINs from one RIN account and adding the
same RINs to a different RIN account.
 Transfer Date
The date on which a Buy or Sell transaction occurs outside of EMTS.
This is the date recorded on the Product Transfer Document (PTD).
 User
A person who interacts with EMTS.  A person authorized to use
EMTS.
 XML
A markup language for documents containing structured
information. The XML specifications define a standard way to add
markup to documents. Its primary purpose is to facilitate the sharing
of structured data across different information systems, particularly
over the internet.
 XML Document
An XML document is a file containing data organized into a
structured document. An XML document is considered "well-
formed" if it conforms to all XML syntax rules. An XML document is
considered valid if it conforms to all the semantic rules defined by an
associated XML schema.  An XML document cannot be processed if it
is not well-formed. XML documents have the extension .xml.
 XML Schema
An XML schema describes the structure of an XML document. An
XML schema defines the set of rules to which the XML document
must conform in order to be considered "valid" according to the
schema. An instance of an XML schema is an XML document and is a
file with the extension .xsd.
Appendix B
                                                           B-5

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EMTSTransaction Instructions
                                 [Thispage intentionally left blank.]
Appendix B
B-6

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EMTS Transaction Instructions
Appendix C:  QA Checks
The following table shows the checks that EMTS will apply to all data.  Checks are categorized by functional
area or "Check Group." The check number indicates the type of transaction for which the check applies.

Checks by transaction type are as follows:

    1000 - 1999     XSD Validation
    2000 - 2999     Submission File
    3000-3999     Generate RINs
    4000-4999     Buy RINs
    5000-5999     Separate RINs
    6000-6999     Sell RINs
    7000 - 7999     Retire RINs

                                          EMTS QA Checks
  Number
 1000
        Name
XML Validation
    Check Group
XML Validation
                  Description
The XML document must adhere to EMTS xsd and be
well-formed and valid.
 1010
Invalid Code
XML Validation
The XML document must contain valid codes.
 2000
User must be
Registered with CDX
and Active
Submission
The user specified in the submission file must be
actively registered with CDX and have permission to
participate in EMTS.
 2001
User is associated with
the Submitting
Organization and Active
Submission
The user specified in the submission file must have an
active association with the organization for which he is
submitting data.
 2002
User Privileges
Submission
The user specified in the submission file must be
authorized to perform the requested transactions on
behalf of the organization.
 2005
Organization must be
Registered with EPA
and Active
Submission
The organization in the submission file must be
registered with EPA and be active.
 2006
Organization RIN
Holding Account is
Enabled
Submission
The organization's RIN Holding Account must be
active.
                                                                                             (cont.)
          United States
          Environmental Protection
          Agency
                                                                                         C-l

-------
EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
2008
2009
2011
2012
3000
3001
3002
3004
3005
3007
3008
3009
Name Check Group
Submittal Date Within
Range
At least one
Transaction per
Submission
Submitter must be
Registered with EPA
and Active
Submitter is associated
with the Submitting
Organization and Active
Generate Organization
differs from
Organization
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be provided
Generate Facility
Association with
Generate Organization
Generate Facility
Association with
Organization
Process Code Matches
Registration
Feedstock Code
Matches Registration
Fuel Category Code
Matches Registration
Submission
Submission
Submission
Submission
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Description
The submission date associated with the submission
file may not be a date occurring in the future.
There must be at least one transaction in the
submission file.
The data submitter must be registered with EPA and
be active.
The user specified in the submission file header must
be authorized to perform the requested transactions
on behalf of the organization.
If the generate organization is different than the
submitting organization identifier or RINPin, then the
organization must be an importer.
If the generate organization is provided, then it must
be registered with EPA and be active.
For generate transactions, the generate facility
identifier must be provided.
If generate organization is provided, then generate
facility must be actively associated with the generate
organization.
If generate organization is not provided, then the
generate facility must be actively associated with the
submitting organization.
The process reported in the production of fuel must
be registered with EPA.
The feedstock reported in the production of fuel must
be registered with EPA.
The fuel category reported in the production of fuel
must be registered with EPA.
                                                                                       (cont.)
Appendix C
C-2

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
3010
3011
3012
3013
3014
3016
3018
3019
3022
3023
3024
3025
3026
Name Check Group
CoProduct Code
Matches Registration
Production Date within
Range
Organization
Permissions
Ethanol Production
Denaturant Volume
Denaturant Volume
within Allowed Range
Batch Number must be
Provided
Batch Number must be
Unique
RIN Quantity must
equal the Product of
Equivalence Value and
Batch Volume
Feedstock Code must
be valid
Process Code must be
valid
CoProduct Code must
be valid
Equivalence Value
Range
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Description
If the co-product is reported for a fuel, it must be
registered with EPA.
The production date must not occur after the date
specified in submittal data.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
If "Non-cellulosic Ethanol" or "Cellulosic Ethanol" RINs
are reported in the generate transaction, then
denaturant volume must be reported.
If denaturant volume is reported, then "Non-cellulosic
Ethanol" or "Cellulosic Ethanol" must be reported.
When denaturant gallons are reported for ethanol
fuel, the amount specified cannot exceed two percent
of the total volume of fuel produced.
Batch number must be provided.
Batch number must be unique for an organization,
facility, and RIN year.
RIN Quantity must equal the product of Batch Volume
and Equivalence Value.
The feedstock code reported in the production of fuel
must be a valid code that is recognized by EPA.
The process code reported in the production of fuel
must be a valid code that is recognized by EPA.
The co-product code reported in the production of
fuel must be a valid code that is recognized by EPA.
The equivalence value reported may not exceed the
specified value for the fuel type produced.
                                                                                      (cont.
Appendix C
C-3

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
3027
3028
3030
3032
3033
3034
3040
3041
3042
3043
3044
3045
Name
Feedstock Measure
Code must be valid
Fuel Production Date
must be valid
Renewable Biomass
Fuel Code Matches
Registration
Fuel Category Code
must be valid
Fuel Code must be valid
Fuel Code Compatible
with Fuel Category
Fuel Code, Fuel
Category Compatible
with Process
Feedstock Compatible
with Fuel Code, Fuel
Category and Process
Foreign Producer
Cannot be a Small
Blender
Foreign Producer must
be Bonded
Foreign Producer
Generate Organization
Check Group
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Description
The feedstock measure code reported in the
production of fuel must be a valid code that is
recognized by EPA.
The production date of the fuel must fall within the
RIN Year range defined by the RIN Years Allowed
parameter.
If RINs are generated (RIN Quantity greater than or
equal to "1"), then at least one of the specified
feedstocks must be indicated as "Renewable
Biomass."
The fuel code reported must be registered with EPA.
The fuel category code reported in the production of
fuel must be a valid code that is recognized by EPA.
The fuel code reported in the production of fuel must
be a valid code that is recognized by EPA.
The fuel code reported must be compatible with the
fuel category used in the production of fuel.
The fuel code and fuel category reported must be
compatible with the process used in the production of
fuel.
The feedstock reported must be compatible with the
fuel code, fuel category, and process used in the
production of fuel.
If the generate organization differs from the
submitting organization then the generating
organization must not be a Small Blender.
If the Submission Organization is a Foreign Producer,
they must be bonded.
If the generate organization differs from the
submitting organization then the generating
organization must be a Foreign Producer.
                                                                                      (cont.
Appendix C
C-4

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
3047
3048
3049
3050
3051
3052
3053
3055
4001
4003
4006
Name Check Group
Import Facility
Required
Import Facility must be
Registered with the
EPA and active
Import Facility not
allowed
Import Facility
Required
Import Facility Not
Allowed
Generate Public Facility
Number must be
unique
Import Public Facility
Number must be
unique
Production Date must
be within Allowed
Range
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be Registered with EPA
Batch Number
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Buy
Buy
Buy
Description
If the generate organization differs from the
submitting organization then the ImportFacilityld is
required.
If the import facility is provided, it must be registered
with the EPA and active
Import Facility Identifier not allowed if not importing
fuel.
If the submitting organization is only a renewable fuel
importer, then they must provide an Import Facility
Identifier.
If the Import Facility Identifier is populated, then the
submitting organization must be a renewable fuel
importer.
The generate facility number specified must be unique
for the organization.
The import facility number specified must be unique
for the organization.
Production date must be within the last 5 business
daysper40CFR80.1452(b).
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided in the submission
file then it must be registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must be reported as well.
                                                                                       (cont.)
Appendix C
C-5

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
4007
4011
4012
4013
4014
4015
4016
4017
4018
4019
Name Check Group
Generate Facility
Assignment Code of "1"
Organization
Permissions
Organization Identifier
on Blocked List
Facility Identifier on
Blocked List
Trade Contains Blocked
RINs
Matched Transaction
must be a pending Sell
Matched Transaction
Identifier must belong
to a matching Sell
Transaction Partner
Organization
Registered at EPA and
Active
RIN Year Range
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
If assignment is "1," then the batch volume must be
specified.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
If you have created a list of organizations for which
you do not want to own any fuel, should a transaction
include the organization as the originating source, the
transaction will automatically fail.
If you have created a list of facilities for which you do
not want to own any fuel, should a transaction include
the organization as the originating source, the
transaction will automatically fail.
If the buy transaction has a matched sell transaction,
the RINs reserved for the Sell cannot have been
generated by an organization or facility on the
submitting organizations blocked list.
If the Buy transaction has a matched Sell transaction
ID, the transaction must be in a pending state.
If the Buy transaction has a matched Sell transaction
Identifier, the transaction must match on trade
matching criteria.
The transaction partner organization must be
registered at EPA and be active.
RIN Year may not be greater than the year associated
with the specified transfer date.
                                                                                       (cont.)
Appendix C
C-6

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
4020
4024
4025
4028
4032
4034
4035
4036
4037
4041
4042
4043
4045
4046
Name Check Group
Transfer Date
Consistent
Fuel Code must be valid
Assignment Code must
be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Reason Code must be
valid
Allowable Reason Code
RIN Price or Gallon
Price Provided
Reason Comment
Cancel Trade
Same Buy and Sell
Organization
One Cancel per
Submission
Incorrect Trading
Partner
Advanced Options
"Improper Generation"
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
The transfer date specified may not occur in the
future.
The fuel code reported must be a valid code that is
recognized by EPA.
The assignment code reported must be a valid code
that is recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN Years Allowed parameter.
For assigned RINs that are being bought, the ratio of
RINs to fuel must be greater than "0" but less than
"2.5."
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
The allowable reason code reported by an
organization when buying RINs are dependent on their
business activities as registered with EPA.
The RIN price or gallon price must be provided.
If reason "Standard Trade" or "Cancel" is not provided
for a buy transaction then a comment must be
provided.
A Cancel trade must match a pending trade.
The buying organization cannot be the same as the
selling organization.
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
"Incorrect Trading Partner" can only be reported for
assigned RINs.
Originating source information (generating
organization, generating facility, and batch number)
must be specified when the Buy Reason is "Improper
Generation".
                                                                                      (cont.
Appendix C
C-7

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
4047
4052
4054
4055
4800
5001
5003
5006
5007
5012
5019
5020
5024
5028
Name
Only one price is
allowed
Public Facility Number
must be unique
Batch Volume Gallon
Price
Transfer Date must be
within Allowed Range
Reserve Pending Trade
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be Registered with EPA
Batch Number
Generate Facility
Organization
Permissions
RIN Year Range
Transaction Date
Consistent
Fuel Code must be valid
RIN Year must be valid
Check Group
Buy
Buy
Buy
Buy
Buy
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Description
The user may not provide both a RIN price and a
gallon price.
The facility number specified must be unique for the
organization.
Batch Volume must be specified if Gallon Price is
specified.
The Transfer Date must be within the last 10 business
days per 40 CFR 80.1452(b).
The transaction specified by the matching transaction
identifier must be available to be reserved.
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided then it must be
registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If a generate facility is reported, then the organization
where the fuel was produced must be reported as
well.
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
The RIN year cannot be in the future.
The transaction date specified may not occur in the
future.
The fuel code reported must be a valid code that is
recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN Years Allowed parameter.
                                                                                      (cont.
Appendix C
C-8

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
5032
5033
5034
5035
5036
5037
5038
5039
5040
5041
Name Check Group
RIN Quantity Ratio to
Batch Volume
Upstream Delegation
for Blending
Blender Organization
must be Registered
with EPA and Active
Allowable Reason Code
Blender Organization
Business Activity
Reason Code must be
valid
Sufficient RINs
Small Blender Volume
Blender Organization
Reason Comment
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Description
For assigned RINs that are being separated from a
volume of fuel, the ratio of RINs to fuel must be
greater than "0" but less than "2.5."
The blender organization name and blender
organization identifier must be specified when
identifying "Upstream Delegation for Blending" as the
separate reason.
If a blender organization is provided, then it must be
registered with EPA and be active.
The allowable reason code reported by an
organization when separating RINs are dependent on
their business activities as registered with EPA.
If a Blender organization is specified then the
organization must have a business activity of small
blender.
The reason code reported must be a valid code that is
recognized by EPA.
The organization must have enough available RINs in
its holding account for the specified Fuel and RIN Year
to complete the transaction.
RIN separated on behalf of a small blender may not
exceed the volume in gallons per calendar year as
determined by the Small Blender Maximum Volume
parameter.
If a Blender Organization Identifier or Blender Name is
reported then separate reason "Upward Delegation"
must also be reported.
If reason "Remedial action as specified by EPA" is
provided for a separate transaction then a comment
must be provided.
                                                                                       (cont.)
Appendix C
C-9

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
5046
5052
5055
5900
5901
5902
5903
6001
6007
6011
6012
6016
Name
Delayed RIN Separation
Public Facility Number
must be unique
Transaction Date must
be within allowed
range
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Sufficient RINs (Facility)
Sufficient RINs (Batch)
Generate Organization
must be Registered
with EPA and Active
Generate Facility
Assignment Code of "1"
Organization
Permissions
Matched Transaction
must be a pending Buy
Check Group
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Sell
Sell
Sell
Sell
Sell
Description
If the organization specifies "Delayed RIN Separate" as
the reason code, then the fuel code may not be
Renewable Fuel (D = 6).
The facility number specified must be unique for the
organization.
The Transaction Date must be within the last five
business days.
The organization must have enough available RINs in
its holding account to complete the transaction.
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
If the generate organization is provided, then it must
be registered with EPA and be active.
If a generate facility is reported, then the organization
where the fuel was produced must be reported as
well.
If the assignment is "1," then batch volume must be
specified.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
If the Sell transaction has a matched Buy transaction
ID, the transaction must be in a pending state.
                                                                                      (cont.
Appendix C
C-10

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
6017
6018
6019
6020
6024
6025
6028
6032
6034
6035
6036
6037
6038
Name
Matched Transaction
Identifier must belong
to a matching Buy
Transaction Partner
Organization
Registered at EPA and
Active
RIN Year Range
Transfer Date
Consistent
Fuel Code must be valid
Assignment Code must
be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Reason Code must be
valid
Allowable Reason Code
RIN Price or Gallon
Price Provided
Reason Comment
Sufficient RINs
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Description
If the Sell transaction has a matched Buy transaction
Identifier, the transaction must match on trade
matching criteria.
The transaction partner organization must be
registered at EPA and be active.
RIN Year may not be greater than the year associated
with the specified Transfer Date.
The transfer date specified may not occur in the
future.
The fuel code reported must be a valid code that is
recognized by EPA.
The assignment code reported must be a valid code
that is recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN Years Allowed parameter.
For assigned RINs that are being sold, the ratio of RINs
to fuel must be greater than "0" but less than "2.5."
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
The allowable reason code reported by an
organization when selling RINs are dependent on their
business activities as registered with EPA.
The RIN price or gallon price must be provided.
If reason "Standard Trade" or "Cancel" is not provided
for a sell transaction then a comment must be
provided.
The organization must have enough available RINs in
its holding account for the specified Fuel, RIN Year,
and Assignment Code to complete the transaction.
                                                                                       (cont.)
Appendix C
C-ll

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
6040
6041
6042
6043
6044
6045
6046
6047
6052
6054
6055
6800
6900
6901
Name
Trading Partner Cannot
Accept RINs
Cancel Trade
Same Buy and Sell
Organization
One Cancel per
Submission
Improper Generation
Incorrect Trading
Partner
Advanced Options
"Improper Generation"
Only one price is
allowed
Public Facility Number
must be unique
Batch Volume Gallon
Price
Transfer Date must be
within Allowed Range
Reserve Pending Trade
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Description
The trading partner was unable to complete the
transaction.
A Cancel trade must match a pending trade.
The selling organization cannot be the same as the
buying organization.
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
If a trade is reported due to an "Improper Generation"
reason, then the RINs must be sold to the originating
organization of those RINs.
"Incorrect Trading Partner" can only be reported for
assigned RINs.
Originating source information (generating
organization, generating facility, and batch number)
must be specified when the Sell Reason is "Improper
Generation".
The user may not provide both a RIN price and a
gallon price.
The facility number specified must be unique for the
organization.
Batch Volume must be specified if Gallon Price is
specified.
Transfer date must be within the last 5 business days
per40CFR80.1452(b).
The transaction specified by the matching transaction
identifier must be available to be reserved.
The organization must have enough available RINs in
its holding account to complete the transaction.
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
                                                                                      (cont.
Appendix C
C-12

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number
6902
6903
7001
7003
7006
7007
7012
7016
7017
7019
7021
7022
Name Check Group
Sufficient RINs (Facility)
Sufficient RINs (Batch)
Generate Organization
must be Registered
with EPA and Active
Generate Facility must
be Registered with EPA
Batch Number
Generate Facility
Organization
Permissions
Compliance Year
Valid Compliance Year
RIN Year and
Transaction Date
Reporting Compliance
at the Refinery Level
Refinery Level
Compliance
Sell
Sell
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Description
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided then it must be
registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
Compliance year is required if the reason code
"Demonstrate Annual Compliance" is reported.
If the submittal date is on/between April 1 and
December 31, then the compliance year must be the
current year. If the submittal date is on/between
January 1 and February 28, the compliance year must
be the previous year.
RIN Year may not be greater than the year associated
with the specified Transaction Date.
If the compliance level code reported is "Refinery by
Refinery," the facility identifier must be reported.
If a compliance facility identifier is reported, then the
compliance level code must be "Refinery by Refinery."
                                                                                       (cont.)
Appendix C
C-13

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EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number Name Check Group Description
7023
7024
7025
7028
7032
7034
7035
7037
7038
7039
7040
Compliance Facility
Registered at EPA and
Active
Fuel Code must be valid
Assignment Code must
be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Allowable Compliance
Level Code
Allowable Reason Code
Reason Code Comment
Sufficient RINs
Reason Code must be
valid
Reason Code Batch
Volume
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
If a compliance facility identifier is reported, then the
facility identifier must be registered at EPA and be
active.
The fuel code reported must be a valid code that is
recognized by EPA.
The assignment code reported must be a valid code
that is recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN_YEARS_ALLOWED parameter
If Batch Volume is provided, then the ratio of RINs to
fuel must be greater than "0" but less than "2.5."
The allowable compliance level code reported by an
organization when retiring RINs are dependent on
their business activities registered with EPA.
The allowable reason code reported by an
organization when retiring RINs are dependent on
their business activities registered with EPA.
If reason code "Reportable Spill," "Contaminated or
Spoiled Fuel," "Import Volume Correction," "Invalid
RINs," "Volume error correction," "Enforcement
Obligation," or "Remedial Action - Retire for
Compliance" is provided for a retire transaction, then
a comment must be provided.
The organization must have enough available RINs in
its holding account for the specified Fuel, RIN Year,
and Assignment Code to complete the transaction.
The reason code reported must be a valid code that is
recognized by EPA.
If reason code "Reportable Spill," "Contaminated or
Spoiled Fuel," "Import Volume Correction,"
"Renewable Fuel Used in an Ocean-Going Vessel," or
"Volume error correction" is provided for a retire
transaction then Batch Volume must also be provided.
                                                                                       (cont.)
Appendix C
C-14

-------
EMTS Transaction Instructions
                                   EMTS QA Checks (cont.)
Number Name Check Group Description
7041
7042
7043
7045
7046
7052
7055
7056
7057
7900
7901
Compliance RIN Year
Compliance Level Code
must be valid
Retire for Annual
Compliance
Retire for Obligation
Registered Compliance
Code
Delayed RIN Retire
Public Facility Number
must be unique
Transaction Date must
be within allowed
range
Transaction Date must
be within allowed
range when using
reason 110
Reason Code 110 only
allowed 5 times
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
RIN Year may only equal the Compliance Year or one
year prior to the Compliance Year. This check should
only be executed if reason code equals "Demonstrate
Annual Compliance."
The compliance level code reported must be a valid
code that is recognized by EPA.
If retire for reason code "Demonstrate annual
compliance" is reported then the RINs must have an
assignment code of "2."
If an organization retires for obligation, it must be
registered for either a compliance level code of 20 or
50.
The "Delayed RIN Retire" reason code may only be
used with Separated Renewable Fuel (D = 6) RINs.
The facility number specified must be unique for the
organization.
The Transaction Date must be within the last 5
business days.
The Transaction Date must be within the last 30
calendar days when using the "Remedial action as
specified by EPA" reason code.
The "Remedial action as specified by EPA" reason
code 110 may only be used 5 times per calendar year.
The organization must have enough available RINs in
its holding account to complete the transaction.
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
                                                                                      (cont.
Appendix C
C-15

-------
EMTS Transaction Instructions
                                       EMTS QA Checks (cont.)
 Number   Name
 7902
Sufficient RINs (Facility)
                      Check Group
Retire
                     Description
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
 7903
Sufficient RINs (Batch)
Retire
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
Appendix C
                                                                                        C-16

-------
  Appendix D: Business Activities by Transaction Type
  The following chart shows the types of transactions allowed based on an organization's business activities. One organization may register for
  multiple business activities.
     TransacTion Types
     Generate
                                                                                                                  Small
                                                                                                               Refiner (less
                                                                                                                  than
                                                                                                                 155,000
                                                                                                                gals/yr) &
                                                                                                                has a small
                                                                                                                 refiner
                                                                                                                exemption
                                                                                  Foreign
                                                                                 Renewable
                                                                                   Fuel
                                                                                 Producer
                                                                                  Bonded
 Foreign
Renewable
   Fuel
 Producer
Unbonded
 Domestic
Renewable
   Fuel
 Producer
  Non-
Renewable
  Fuel
 Importer
Renewable
   Fuel
 Importer
     Separate (Receipt of renewable fuel)
     Separate [Blending)
     Separate (Designation as Transportation Fuel)
     Separate (Upstream Delegation for Blending]
     Separate (Export]	
     Separate (Use as Home Heating Oil or let Fuel)
     Separate (Use in Non-road Engine or Vehicle]
     Separate [Designation as Home Heating Oil or Jet Fuel]
     Trade assigned RIN's
     Trade separated RIKs
     Retire (Reported Spill]
     Retire [Co:jra:r.::j57ec o" Spoiled Fuel)
     Retire (Import Volume Correction]
     Retire (Demonstrate Annual Compliance]
     Retire (Invalid RIN]	
     Retire (Volume Error Correction]	
     Retire (Enforcement Obligation)	
     Retire (Fuel Used in an Ocean-Going Vessel)
     Retire (Fuel used or designated to be used in any
     application that is not transportation fuel, heating oil,
     or jet fuel)	
     *May view information about transactions performed on their behalf.
                                                          |Yes
vvEPA
United Slates
Environmental Protection
Agency
                                                                                                                                                          D-l

-------
                                                    [Thispage intentionally left blank]
Appendix D
D-2

-------
  EMTS Transaction Instructions
  Appendix E: Sample Transactions
  E-l Generate Transaction

  Generate transactions allow renewable fuel producers to generate RINs for a newly produced batch of fuel.
  The characteristics of this new batch of fuel are used to identify the RINs for future transactions.  Once
  EMTS  has successfully processed a generate  transaction, the  submitter can see the new  RINs in the
  organization's RIN Holding Account.

  Figure E-l shows the basic structure of a generate transaction.  In this example, an ethanol Producer is
  sending information about a batch of RINs and identifies the feedstock used to produce the fuel.

                         Figure E-l:  General Structure of a Generate Submission
                       Generate! ransaction Detail
                           GenerateOriginatingSourceDetail
                            FeedstockDetail
                             FeedstockDetail
                            Coproduct Detail
                                                              User = Lucy Pelt
                                                              Organization = Ethanol Producers
                                                   RIN Quantity = 5,000
                                                   Batch Volume = 5,000 Gallons
                                                   Fuel = Renewable Fuel
                                                   Fuel Category = Ethanol
                                                   Production Date = Jan. 7, 2009
                                                   Process = Nat. Gas (Wet Distiller)
                                                   Denaturant Volume = 238 Gallons
                                                   Generate Organization = Ethanol Producers
                                                <  Generate Facility = Cornish Plant
                                                   Batch Number = 300
                                                   Feedstock = Starch - Corn
                                                   Renewable Biomass = Yes
                                                   Feedstock Volume = 93,216
                                                   Feedstock Measure = Ibs
                                                   Feedstock = Starch - Annual Covercrops
                                                   Renewable Biomass = Yes
                                                   Feedstock Quantity = 31,072
                                                   Feedstock Measure = Ibs
                                                   Coproduct = Wet Distiller Grains
&EPA
United States
Environmental Protection
Agency
                                                                                                        E-l

-------
EMTS Transaction Instructions
Objective: Ethanol Producer generates 5,000 RINs.

Information to deliver:

    •   RIN Quantity - The  total number of RINs being generated in this  transaction calculated by
       multiplying the Batch Volume by the Equivalence Value.

    •   Batch Volume - The total volume in gallons of renewable fuel.  For ethanol, batch volume includes
       both the volume in gallons of un-denatured fuel and the volume in gallons of denaturant

    •   Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
       Cellulosic Diesel (D  = 7).

    •   Fuel Category - Indicates the type of renewable fuel produced.

    •   Production  Date - The year of production is the RIN year which can be used by buyers and sellers to
       specify RINs for a trade.

    •   Process Code - The  process code which describes how the renewable fuel was made.

    •   Denaturant Volume (for non-cellulosic ethanol and cellulosic ethanol fuel only) - The total volume
       in gallons of denaturant added to the fuel.

    •   Equivalence Value - A multiplier directly related to the fuel code.
Figure E-2 shows how these data would appear in a generate transaction data block.
                         Figure E-2: Generate Transaction Data Elements
Data Element Value Reference Required Instructions
FuelCode

ProcessCode



ProductionDate

6

10



2009-01-07

Renewable
Fuel
Grandfathered
(Dry Mill,
Natural Gas
Fired)


Yes

Yes



Yes

Enter a valid fuel code.

Enter a valid process code.



Enter the date in YYYY-MM-DD
format.
                                                                                         (cont.)
Appendix E
E-2

-------
EMTS Transaction Instructions
                     Figure E-2: Generate Transaction Data Elements (cont.)
Data Element Value Reference Required Instructions
FuelCategory

BatchVolume


DenaturantVolume


EquivalenceValue



RINQuantity

Transaction DetailComment

10

5000


238


1.0



5000



Non-cellulosic
Ethanol














Yes

Yes


No


Yes



Yes

No

Enter a valid fuel type.

Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
Enter the volume in gallons of
denaturant added to the renewable
fuel.
Enter a valid equivalence value from
Section 5 of this document. This is a
multiplier directly related to fuel
code.
Enter the total number of RINs. This
must be a whole number.
Provide any additional information
regarding this transaction.
  E-l.l Reporting the Originating Source

Every generate transaction requires information  regarding the source of the fuel.  For each  generate
transaction, the following are required:

    •   Generate Organization Identifier - The public identifier of the organization that produced the fuel
       associated with the RINs being generated.

    •   Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
       fuel associated with the RINs being generated.

    •   Batch Number Text - An internal tracking number assigned by the organization responsible for
       producing the fuel associated with the RINs being generated.

Figure E-3 shows how the originating source data would appear in a generate transaction.
Appendix E
E-3

-------
EMTS Transaction Instructions
                     Figure E-3: Generate Originating Source Data Elements
Data Element
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumberText
Value
1111
77777
300
Reference
Ethanol
Producers
Cornish Plant

Required
Yes
Yes
Yes
Instructions
Provide the public organization
identifier for the producer of the
fuel as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
  E-1.2 Feedstocks

The generate transaction requires that additional information be provided regarding the kind of feedstocks
used to produce the fuel, the volume of each feedstock, and whether those feedstocks are renewable
biomass. In this example, two different feedstocks were used and information must be provided for both.
For each feedstock, the following are required:

   •   Feedstock Code - The  Feedstock Code categorizes the type  of material used to produce the
       renewable fuel.

   •   Renewable Biomass Indicator - Enter "true" if the feedstock meets the definition of renewable
       biomass as per §80.1401.

   •   Feedstock Quantity - The total volume of the feedstock.

   •   Feedstock Measure Code - The unit of measure for the feedstock volume.

Figure E-4 shows how these data would appear for two feedstocks for a batch of RINs.
Appendix E
E-4

-------
EMTS Transaction Instructions
                              Figure E-4: Feedstock Data Elements
Data Element
FeedstockCode
RenewableBiomasslndicator
FeedstockQuantity
FeedstockMeasureCode
FeedstockCode
RenewableBiomasslndicator
FeedstockQuantity
FeedstockMeasureCode
Value
10
true
46.6
60
310
true
15.5
60
Reference
Starch — Corn
Yes

Ton
Starch -Annual
Covercrops
Yes

Ton
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Instructions
Enter a valid feedstock code. Enter as
many feedstocks as applicable.
Enter "true" if the feedstock qualifies
as renewable biomass.
Enter the total volume of the
feedstock used in production of the
fuel.
Enter a valid unit of measure code.
Enter a valid feedstock code found.
Enter as many feedstocks as
applicable.
Enter "true" if the feedstock qualifies
as renewable biomass.
Enter the total volume of the
feedstock used in production of the
fuel.
Enter a valid unit of measure code.
  E-1.3 Reporting Co-product

If fuel production results in the creation of a co-product, this information must be reported in the generate
transaction. For each co-product, provide:

    •   Co-product Code - Code that categorizes the type of co-product

Figure E-5 shows how co-product data would appear in a generate transaction.
Appendix E
E-5

-------
EMTS Transaction Instructions
                              Figure E-5: Co-product Data Elements
Data Element
CoProductCode

Value
10

Reference
Wet Distiller
Grains
Required
No

Instructions
Enter a valid co-product code. Enter
as many co-products as applicable.
E-2 Separate Transaction

RINs are separated on a first-in-first-out basis in EMTS, unless additional information on the RIN batch is
provided. EMTS searches the organization's RIN holdings for RINs that match the fuel type and assignment
code specified and selects the quantity of RINs from the earliest acquired dates available. After EMTS has
processed the separate transaction, the organization's RIN holdings will display an assignment code of "2"
or "separated" for these RINs.

Figure E-6 shows the basic structure  of a separate  transaction. In this example, a Refiner is separating
16,000 RINs from 16,000 gallons of fuel.

                      Figure E-6:  General Structure of Separate Transaction
          Root
                   Separate! ransactionDetail
User = Sam Smith
Organization = Ralph's Refiner
RIN Quantity = 16,000
Batch Volume = 16,000 Gallons
Fuel = Renewable Fuel
RIN Year = 2009
Reason = Receipt
Transaction Date= Sept. 29, 2009
Objective: Petroleum Refiner separates 16,000 assigned RINs.

Required Information:

    •  RIN Quantity - The total number of RINs being separated in this transaction.

    •  Batch Volume - The total volume of renewable fuel.

    •  Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3),  Biomass-based Diesel (D = 4), Advanced Biofuel  (D = 5), Renewable Fuel (D = 6),  or
       Cellulosic Diesel (D = 7).

    •  RIN Year - The year in which the RIN was generated reflecting the year of the production date.
Appendix E
                                    E-6

-------
EMTS Transaction Instructions
   •   Separate Reason Code - Code that explains why the fuel is being separated.

   •   Transaction Date - The date the fuel was separated.

Figure E-7 shows how these data would appear in the separate transaction data block.

                         Figure E-7: Separate Transaction Data Elements
Data Element
RINQuantity

BatchVolume


FuelCode
RINYear



SeparateReasonCode



TransactionDate

Transaction DetailComment

Value
16000

16000


6
2009



10



2009-09-
29


Reference





Renewable Fuel




Receipt of
renewable fuel
by obligated
party




Required
Yes

Yes


Yes
Yes



Yes



Yes

No

Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid separate reason code.



Enter the date of the RIN transaction
in YYYY-MM-DD format.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
  of this document.

E-3 Sell Transaction

When a user submits a sell transaction, information on the buying organization must be identified. EMTS
will check to make sure that the selling organization has the necessary RINs to complete the requested
transaction and will  then place these RINs in a "pending" status until it receives the buyer's matching
transaction.
Appendix E
E-7

-------
EMTS Transaction Instructions
Figure F-8 shows the basic structure of a sell transaction. In this example, an Ethanol Producer is selling
1,000 gallons of fuel with 1,000 assigned RINs to a Blender.


                        Figure E-8: General Structure of a Sell Transaction
                                                           User = Lucy Pelt
                                                           Organization = Ethanol Producers
                                                           Partner = Big Bob's Blending
                                                           RIN Quantity = 1,000
                                                           Batch Volume = 1,000 Gallons
                                                           Fuel = Renewable Fuel
                                                           Assignment = Assigned
                                                           RIN Year = 2009
                                                           Reason = Standard Trade
                                                           Transfer Date = Jan. 15, 2009
SellTransactionDetail
                        SupportingDocumentDetail
                                         Supporting Document = Invoice
                                         Supporting Document ID = 1001
Objective: Renewable Fuel Producer sells 1,000 gallons of fuel and 1,000 RINs.


Required Information:


    •  Trading  Partner Organization Identifier -  The  public  identification number for the buying
       organization obtained through EPA.


    •  Trading Partner Organization Name - The name of the buying organization.


    •  RIN Quantity - The total number of RINs being sold in this transaction.


    •  Batch Volume - The volume of renewable fuel associated with the RINs.


    •  Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel  (D  =  5), Renewable Fuel (D = 6), or
       Cellulosic Diesel (D = 7).


    •  Assignment Code - Identifies if the RINs are assigned or separated.


    •  RIN Year - The year in which the RIN was generated reflecting the year of the production date.


    •  Sell Reason Code - Code that explains why these RINs are being sold.
Appendix E
                                                                             E-8

-------
EMTS Transaction Instructions
    •   Gallon Price Amount - The price at which the RINs and fuel were sold.





    •   Transfer Date - The date on which the sell transaction occurred outside of EMTS.





Figure E-9 shows how these data would appear in the sell transaction data block.
                           Figure E-9: Sell Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier


TransactionPartnerOrganization
Name
RINQuantity

BatchVolume


FuelCode

AssignmentCode

RINYear



Sell Reason Code

GallonPriceAmount

TransferDate


Value
2222



Big Bob's

1000

1000


6

1

2009



10

2.50

2009-01-15


Reference
Big Bob's
Blending









Renewable
Fuel
Assigned to
Fuel




Standard
Trade





Required
Yes



Yes

Yes

Yes


Yes

Yes

Yes



Yes

Yes

Yes


Instructions
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying party.

Enter the total number of RINs. This
must be a whole number.
Enter volume of fuel in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.

Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid sell reason code.

Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
                                                                                        (cont.)
Appendix E
E-9

-------
EMTS Transaction Instructions
                       Figure E-9:  Sell Transaction Data Elements (cont.)
Data Element Value Reference Required Instructions
PTDNumber
MatchingTransaction Identifier
TransactionDetailComment
8960





No
No
No
Enter the PTD number associated
with the transaction.
Enter the matching EMTS transaction
identifier of a pending buy
transaction.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
  of this document.

  E-3.1 Supporting Document Information

The user  may wish to provide  additional  documentation numbers associated with the buy or sell
transaction.  The supporting document data block allows the user to create user-defined document names
to report these numbers.  In the example below, the user reported an invoice number for the sell. Please
note that users may choose to supply public supporting document information if they  would like the
information made available to the trading partner.

Figure E-10 shows how data would appear in the supporting document information.

                           Figure E-10: Supporting Document Detail
Data Element Value Reference Required Instructions
SupportingDocumentText
SupportingDocumentNumber
Invoice
1001


No
No
Enter the type of document to which
the document number applies.
Enter the identification number for
the supporting document.
E-4 Buy Transaction

When a user submits a basic buy transaction, EMTS will match key data elements to the corresponding sell
transaction.  EMTS will match on trading partner information, assignment code, RIN quantity, and fuel type.
If these fields do not match, the trade will fail.

Figure E-ll  shows the basic structure  of a buy transaction.  In this example,  a Blender is buying 1,000
gallons of fuel with 1,000 assigned RINs  from a Producer.
Appendix E
E-10

-------
EMTS Transaction Instructions
                       Figure E-ll: General Structure of a Buy Transaction
       Root
                BuyTransactionDetail
User = Eddie Howard
Organization = Big Bob's Blending
Partner = Ethanol Producers
RIN Quantity =1,000
Batch Volume = 1,000 Gallons
Fuel = Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Standard Trade
Transfer Date =Jan. 15, 2009
Objective: Renewable Fuel Blender buys 1,000 gallons of fuel and 1,000 RINs.


Required Information:


    •   Trading Partner  Organization  Identifier -  The public  identification number for the  selling
       organization obtained through EPA.


    •   Trading Partner Organization Name - The name of the selling organization.


    •   RIN Quantity - The total number of RINs being sold in this transaction.


    •   Batch Volume - The total volume of renewable fuel associated with the RINs.


    •   Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel  (D = 4), Advanced  Biofuel (D = 5), Renewable Fuel (D = 6),  or
       Cellulosic Diesel (D = 7).


    •   Assignment Code - Identifies if the RINs are assigned or separated.


    •   RIN Year - The year in which the RIN was generated reflecting the year of the production date.


    •   Buy Reason Code - Code that explains why these RINs are being bought


    •   Gallon Price Amount - The price at which the RINs and fuel were bought.


    •   Transfer Date - The date on which the buy transaction occurred outside of EMTS.


Figure E-12 shows how these data would appear in the buy transaction data block.
Appendix E
                                  E-ll

-------
EMTS Transaction Instructions
                         Figure E-12: Buy Transaction Data Elements
Data Element
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
BuyReasonCode
GallonPriceAmount
TransferDate
PTDNumber
MatchingTransactionldentifier
TransactionDetailComment
Value
1111
Ethanol
Producers
1000
1000
6
1
2009
10
2.50
2009-01-15
8960


Reference
Ethanol
Producers



Renewable
Fuel
Assigned to
Fuel

Standard
Trade





Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
No
Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Enter the matching EMTS
transaction identifier of a pending
sell transaction.
Provide any additional information
regarding this transaction.
Appendix E
E-12

-------
EMTS Transaction Instructions
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
  of this document.


E-5 Retire Transaction


  E-5.1 Retire for Spillage


Retire transactions must include a reason for the retirement of a RIN batch.


Figure E-13 shows the basic structure of a retire transaction. In this example, a Producer is retiring 1,000
RINs because of spillage.


                 Figure E-13: General Structure of a Retire for Spillage Transaction
                    RetireTransaction Detail
                          OriginatingSourceDetail
                                                    f
  tUser = Lucy Pelt
  Organization = Ethanol Producers


  RIN Quantity = 1,000
 'Batch Volume = 1,000
  Fuel Code= Renewable Fuel
  Assignment = Assigned
  RIN Year = 2009
  Reason = Spillage
  Transaction Date= Aug. 14, 2009
 I Generating Organization = Ethanol Producers
< Generation Facility = Cornish Plant
  Batch Number = 300
Objective: Renewable Fuel Producer retires 1,000 gallons of fuel for spillage.


Required Information:


    •  RIN Quantity - The total number of RINs being retired in this transaction.


    •  Batch Volume - The total volume of renewable fuel.


    •  Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D =  4), Advanced Biofuel (D = 5), Renewable Fuel (D =  6), or
       Cellulosic Diesel (D = 7).


    •  Assignment Code - Identifies if the RINs are assigned or separated.


    •  RIN Year - The year in which the RIN was generated reflecting the year of the production date.


    •  Retire Reason Code - Code that explains why the fuel is being retired.
Appendix E
                                              E-13

-------
EMTS Transaction Instructions
       Transaction Date - The date on which the spill occurred.
Figure E-14 shows how these data would appear in the retire transaction data block.
                          Figure E-14: Retire Transaction Data Elements
Data Element Value Reference Required Instructions
RINQuantity

Batch Volume


FuelCode
AssignmentCode

RINYear



RetireReasonCode
TransactionDate
Transaction DetailComment


1000

1000


6
1

2009



10
2009-
08-14








Renewable Fuel
Assigned to Fuel





Spillage

Spill occurred
while fuel was
in transit.
Yes

Yes


Yes
Yes

Yes



Yes
Yes
No


Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Enter the date of the RIN transaction
in YYYY-MM-DD format.
Provide any additional information
regarding this transaction.

A transaction comment is not required for all retire transactions. However, with certain reason codes such
as retire for spillage,  a comment must be provided explaining the use of that reason code. Additional
information about the originating source of the RINs may also be provided, but is not required. To specify
the batch, indicate:

   •  Generate Organization Identifier - The public identifier of the organization that produced the fuel
       associated with the RINs being sold.
Appendix E
E-14

-------
EMTS Transaction Instructions
    •  Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
       fuel associated with the RINs being sold.

    •  Batch Number Text - An internal tracking number assigned by the organization responsible for
       producing the fuel associated with the RINs being sold.


Figure E-15 shows how these data would appear in the originating source information for a batch of RINs.


                       Figure E-15:  Retire Originating Source Data Elements
Data Element
GenerateOrganization Identifier
GenerateFacilityldentifier
BatchNumber
Value
1111
77777
300
Reference
Ethanol
Producers
Cornish Plant

Required
Yes
No
No
Instructions
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
  E-5.2 Retire for Compliance, Aggregated Refiner

To fulfill its Renewable Volume Obligation (RVO) for a particular year, an organization must retire RINs to
EPA's RIN Holding Account.  The submitter for the organization must indicate the compliance year, the
compliance level code, and the reason code for the retire transaction. Upon completion of this transaction,
EPA will be the holder of the RINs.


Figure E-16 shows the  basic structure of a retire transaction. In this example, a Refiner is retiring 1,000
RINs for compliance.


      Figure E-16: General Structure of Retire Transaction for Compliance, Aggregated Refiner
                    Retire! ransactionDetail
                                                           User = Sam Smith
                                                           Organization = Ralph's Refiner
RIN Quantity =1,000
Fuel = Renewable Fuel
Assignment = Separated
RIN Year = 2009
Reason = Compliance
Transaction Date = Oct.  11, 2009
Compliance Year = 2009
Compliance Level = Aggregated
Appendix E
                                   E-15

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EMTS Transaction Instructions
Objective: Aggregated Refiner retires 1,000 RINs for compliance.

Required Information:

    •   RIN Quantity - The total number of RINs being retired in this transaction.

    •   Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5),  Renewable Fuel (D = 6), or
       Cellulosic Diesel (D = 7).

    •   Assignment Code - Identifies if the RINs are assigned or separated.

    •   RIN Year - The year in which the RIN was generated reflecting the year of the production date.

    •   Retire Reason Code - Code that indicates the RINs are retired for compliance.

    •   Transaction Date - The date on which the retire transaction occurred.

    •   Compliance Year - The year in which the RINs are being used for compliance.

    •   Compliance Level Code - The compliance basis for the submitting organization.

Figure E-17 shows how these data would appear in the retire transaction data block.

                         Figure E-17:  Retire Transaction Data Elements
Data Element
RINQuantity

BatchVolume


FuelCode
AssignmentCode

Value
1000




6
2

Reference





Renewable Fuel
Separated

Required
Yes

No


Yes
Yes

Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned and
"2" if they are separated.
                                                                                         (cont.)
Appendix E
E-16

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EMTS Transaction Instructions
                       Figure E-17:  Retire Transaction Data Elements (cont.)
Data Element
RINYear



RetireReasonCode


TransactionDate

ComplianceYear


ComplianceLevelCode

ComplianceFacility Identifier


TransactionDetailComment

Value
2009



90


2009-
10-11
2009


20






Reference




Demonstrate
annual
compliance





Aggregated
refiner





Required
Yes



Yes


Yes

Yes


Yes

No


No

Instructions
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.


Enter the date of the RIN transaction
in YYYY-MM-DD format.
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
Enter a valid compliance level code.

Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
  of this document.

  E-5.3 Retire for Compliance, Facility Level

When an organization wants to  report  compliance at the  facility level,  the user must submit a retire
transaction indicating a facility level reason code and the facility for which RINs are being retired.

Figure E-18 shows the basic structure of a retire transaction.  In this example, a Refiner is retiring 1,000
RINs for compliance at the facility level.
Appendix E
E-17

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EMTS Transaction Instructions
        Figure E-18: General Structure of a Retire Transaction for Compliance, Facility Level
                     Reti reTransaction Detail
                                                       User = Sam Smith
                                                       Organization = Ralph's Refiner
RIN Quantity = 1,000
Fuel = Renewable Fuel
Assignment = Separated
RIN Year = 2009
Reason = Compliance
Transaction Date = Oct. 20, 2009
Compliance Year = 2009
Compliance Level = Aggregated
Compliance Facility = Rex's Small Refinery
Objective: Petroleum Refiner retires 1,000 RINs for compliance at the facility level.

Required Information:

    •  RIN Quantity - The total number of RINs being retired in this transaction.


    •  Batch Volume - The total volume of renewable fuel.

    •  Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D  =  4), Advanced Biofuel (D  = 5), Renewable Fuel (D = 6), or
       Cellulosic Diesel (D = 7).

    •  Assignment Code - Identifies if the RINs are assigned or separated.


    •  RIN Year - The year in which the RIN was generated reflecting the year of the production date.

    •  Retire Reason Code - Code that indicates the RINs are being used for compliance.


    •  Transaction Date - The date on which the transaction occurred outside EMTS.


    •  Compliance Year - The year in which the RINs are being used for compliance.

    •  Compliance Level Code - The compliance basis for the submitting organization.


    •  Compliance Facility Identifier  - The public facility identifier of the facility that is retiring RINs for
       compliance.

Figure E-19 shows how these data would appear in the retire transaction data block.
Appendix E
                                        E-18

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EMTS Transaction Instructions
                          Figure E-19: Retire Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
AssignmentCode
RINYear
RetireReasonCode
TransactionDate
ComplianceYear
ComplianceLevelCode
ComplianceFacilityldentifier
TransactionDetailComment
Value
1000

6
2
2009
90
2009-
10-20
2009
50
22222

Reference


Renewable Fuel
Separated

Demonstrate
annual
compliance


Facility Level
Rex's Small
Refinery

Required
Yes
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Enter the date of the RIN transaction
in YYYY-MM-DD format.
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
Enter a valid compliance level code.
Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
Provide any additional information
regarding this transaction.
* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section
  of this document.
Appendix E
E-19

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EMTS Transaction Instructions
E-6 Advanced Options

  E-6.1 Batch Specific Transactions

"Advanced Options" will be available to users who wish to submit separate, buy, sell, or retire transactions
for a specific batch of RINs. These transactions require the user to provide a greater level of detail than the
basic transaction as shown in this document. RINs can be specified by organization only, organization and
facility, or by organization, facility, and batch.


    E-6.1.1 Batch Specific Sell Transaction

When  a trade occurs involving a specific batch of RINs, the buying and selling organizations report the
additional information in the Originating Source data block, providing specifics on the  organization and
facility that produced the fuel and the batch number.


Figure E-20 shows the basic structure of a batch specific sell transaction.  In this example, a Producer is
selling 8,000 RINs from a specific batch to a Refiner.

                 Figure E-20: General Structure of a Batch Specific Sell Transaction
             Root
                     SellTransaction Detail
                           OriginatingSourceDetail
                                                     /
  tUser = Lucy Pelt
  Organization = Ethanol Producers
  Partner: Ralph's Refiner
  RIN Quantity = 8,000
  Fuel = Renewable Fuel
  Assignment Status = Separated
  RIN Year = 2009
  Reason = Standard Trade
  Transfer Date = Jan. 15, 2009
 I Generating Organization = Ethanol Producers
•\ Generation Facility: Cornish Plant
 I Batch Number: 301
Objective: Renewable Fuel Producer sells 8,000 separated RINs from a specific generating facility.

Required Information:

    •  Trading Partner  Organization Identifier - The identification number for the buying organization
       obtained through EPA.

    •  Trading Partner Organization Name - The name of the buying organization.

    •  RIN Quantity - The total number of RINs being retired in this transaction.
Appendix E
                                            E-20

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EMTS Transaction Instructions
    •   Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6),  or
       Cellulosic Diesel (D = 7).

    •   Assignment Code - Identifies if the RINs are assigned or separated.

    •   RIN Year - The year in which the RIN was generated reflecting the year of the production date.

    •   Sell Reason Code - Code that explains why these RINs are being sold.

    •   RIN Price Amount - The price at which the RINs were sold.

    •   Transfer Date - The date on which the sell transaction occurred outside of EMTS.

Figure E-21 shows how these data would appear in the sell transaction data block for a specified batch of
RINs.

                    Figure E-21: Batch Specific Sell Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier


TransactionPartnerOrganization
Name
RINQuantity

BatchVolume


FuelCode
AssignmentCode

RINYear



Value
3333



Ralph's

8000




6
2

2009



Reference
Ralph's Refiner










Renewable Fuel
Separated





Required
Yes



Yes

Yes

No


Yes
Yes

Yes



Instructions
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying party.

Enter the total number of RINs.
This must be a whole number.
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
                                                                                          (cont.)
Appendix E
E-21

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EMTS Transaction Instructions
                 Figure E-21: Batch Specific Sell Transaction Data Elements (cont.)
Data Element
SellReasonCode
RINPriceAmount
TransferDate
PTDNumber
MatchingTransaction Identifier
TransactionDetailComment
Value
10
0.18
2009-01-15
2495


Reference
Standard Trade





Required
Yes
Yes
Yes
No
No
No
Instructions
Enter a valid sell reason code.
Enter the price per RIN in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Enter the matching EMTS
transaction identifier of a pending
buy transaction.
Provide any additional information
regarding this transaction.
A batch specific transaction requires additional information about the originating source of the RINs.  To
specify the batch, include:

    •  Generate Organization Identifier - The public identifier of the organization that produced the fuel
       associated with the RINs being sold.

    •  Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
       fuel associated with the RINs being sold.

    •  Batch Number Text - An internal tracking number assigned by the organization responsible for
       producing the fuel associated with the RINs being sold.

Figure E-22 shows how these data would appear in the originating source information for a batch of RINs.
Appendix E
E-22

-------
EMTS Transaction Instructions
                             Figure E-22:  Sell Originating Source Detail
Data Element
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumberText
Value
1111
77777
301
Reference
Ethanol
Producer
Cornish Plant

Required
Yes
No
No
Instructions
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
    E-6.1.2 Batch Specific Buy Transaction

Users submitting a buy transaction for specific RINs must identify the  same information as the  selling
organization as these fields  will be  used by  EMTS to match the transactions.  If any  of  these  fields
identifying the RINs are incorrect, then the transaction will not be matched with its corresponding sell
transaction and the trade will not be processed.


Figure E-23 shows the basic structure of a batch specific buy transaction.  In this example,  a Refiner is
buying 8,000 RINs from a specific batch from a Producer.


                 Figure E-23:  General Structure of a Batch Specific Buy Transaction
                   BuyTransactionDetail
                          OriginatingSourceDetail
                                                     I User = Sam Smith
                                                     | Organization = Ralph's Refiner
  Partner = Ethanol Producers
  RIN Quantity = 8,000
  Fuel = Renewable Fuel
  Assignment = Separated
  RIN Year = 2009
  Reason = Standard Trade
  Transfer Date =Jan. 15, 2009
 I Generating Organization = Ethanol Producers
<. Generation Facility = Cornish Plant
 I Batch Number = 301
Objective:  Petroleum Refiner buys 8,000 separated RINs from a specific generating facility.
Appendix E
                                              E-23

-------
EMTS Transaction Instructions
Required Information:

    •   Trading Partner Organization Identifier - The identification number for the selling organization
       obtained through EPA.

    •   Trading Partner Organization Name - The name of the selling organization.

    •   RIN Quantity - The total number of RINs being retired in this transaction.

    •   Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
       (D = 3), Biomass-based Diesel  (D = 4), Advanced  Biofuel (D = 5), Renewable Fuel (D  = 6), or
       Cellulosic Diesel (D = 7).

    •   Assignment Code - Identifies if the RINs are assigned or separated.

    •   RIN Year - The year in which the RIN was generated reflecting the year of the production date.

    •   Buy Reason Code - Code that explains why these RINs are being bought.

    •   RIN Price Amount - The price at which the RINs were bought

    •   Transfer Date - The date on which the buy transaction occurred outside of EMTS.

Figure E-24 shows how these data would appear in the buy transaction data block for a specified batch of
RINs.

                    Figure E-24: Batch Specific Buy Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier


TransactionPartnerOrganization
Name
RINQuantity

BatchVolume


Value
1111



Ethanol
Producers
8000




Reference
Ethanol
Producers









Required
Yes



Yes

Yes

No


Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.

Enter the total number of RINs. This
must be a whole number.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
                                                                                         (cont.)
Appendix E
E-24

-------
EMTS Transaction Instructions
                Figure E-24: Batch Specific Buy Transaction Data Elements (cont.)
Data Element
FuelCode
AssignmentCode
RINYear
BuyReasonCode
RINPriceAmount
TransferDate
PTDNumber
MatchingTransactionldentifier
Transaction DetailComment
Value
6
2
2009
10
0.18
2009-01-15
2495


Reference
Renewable
Fuel
Separated

Standard
Trade





Required
Yes
Yes
Yes
Yes
Yes
Yes
No
No
No
Instructions
Enter a valid fuel code.
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per RIN in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Enter the matching EMTS
transaction identifier of a pending
sell transaction.
Provide any additional information
regarding this transaction.
Batch specific transactions require additional information about the originating source of the RINs. To
specify the batch, include:

    •  Generate Organization Identifier - The public identifier of the organization that produced the fuel
       associated with the RINs being sold.

    •  Generate Facility Identifier - The public facility identifier for the plant that produced the renewable
       fuel associated with the RINs being sold.

    •  Batch Number Text - An internal tracking number assigned by the organization responsible for
       producing the fuel associated with the RINs being sold.

Figure E-25 shows how these data would appear in the originating source information for a batch of RINs.
Appendix E
E-25

-------
EMTS Transaction Instructions
                              Figure E-25:  Originating Source Detail
Data Element Value Reference Required Instructions
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumberText
1111
77777
301
Ethanol
Producers
Cornish Plant

Yes
No
No
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
  E-6.2 Non-One-to-One Ratio

Within the advanced options, it is also possible for organizations to separate, buy, and sell fuel and RINs at
a non-one-to-one ratio. Organizations may separate or sell up to two-and-a-half times as many RINs as the
associated fuel volume in a single transaction.


    E-6.2.1  Separate Fuel and RINs in a Non-One-to-One Ratio

As an advanced option, users may choose to  separate a quantity of RINs that exceeds  the volume of
renewable fuel. The quantity of RINs may not be more than two-and-a-half times the volume of fuel. The
user will need to specify an assignment code of "1" to indicate that these RINs are  assigned to fuel at the
time of the transaction.


Figure E-26 shows the basic structure of a non-one-to-one separate transaction. In this example, a Blender
is separating 2,500 RINs from 1,000 gallons of renewable fuel.


             Figure E-26: General Structure of a Non-One-to-One Separate Transaction
                  Separate! ransactionDetail
User = Eddie Howard
Organization = Big Bob's Blending


RIN Quantity = 2,500
Batch Volume = 1,000 Gallons
Fuel = Renewable Fuel
RIN Year = 2009
Reason = Receipt
Transaction Date = Aug. 23, 2009
Objective: Renewable Fuel Blender separates 2,500 RINs from 1,000 gallons of fuel.
Appendix E
                                   E-26

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EMTS Transaction Instructions
Required Information:

    •   RIN Quantity - The total number of RINs being retired in this transaction.

    •   Batch Volume - The total volume of renewable fuel.

    •   Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D  = 5), Renewable Fuel (D = 6), or
       Cellulosic Diesel (D = 7).

    •   RIN Year - The year in which the RIN was generated reflecting the year of the production date.

    •   Separate Reason Code - Code that explains why the fuel is being separated.

    •   Transaction Date - The date on which the transaction occurred outside EMTS.
Figure E-27 shows how these data would appear in the separate transaction data block.

                Figure E-27: Non-One-to-One Separate Transaction Data Elements
Data Element
RINQuantity

BatchVolume


FuelCode

RINYear



SeparateReasonCode



TransactionDate

Transaction DetailComment

Value
2500

1000


6

2009



10



2009-08-
23


Reference





Renewable
Fuel




Receipt of
renewable fuel
by obligated
party




Required
Yes

Yes


Yes

Yes



Yes



Yes

No

Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.

Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid separate reason code
found in Appendix A of this
document.

Enter the date of the RIN transaction
in YYYY-MM-DD format.
Provide any additional information
regarding this transaction.
Appendix E
E-27

-------
EMTS Transaction Instructions
    E-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio

Users may submit a sell transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by
entering the appropriate Batch Volume and RIN Quantity.  If the  organization intends to sell RINs of
multiple fuel types, then the user will need to submit one transaction for each fuel type.

Figure E-28 shows the basic structure of a non-one-to-one sell transaction. In this example, a producer is
selling 10,000 RINs and 5,000 gallons of renewable fuel to a Refiner.

               Figure E-28: General Structure of a Non-One-to-One Sell Transaction
          Root
                   SellTransactionDetail
User = Lucy Pelt
Organization = Ethanol Producers I
Partner = Ralph's Refiner
RIN Quantity = 10,000
Batch Volume = 5,000 Gallons
Fuel = Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Standard Trade
Transfer Date = Jan. 15, 2009
Objective: Producer sells 5,000 gallons of fuel and 10,000 RINs.

Required Information:

    •  Trading Partner Organization Identifier - The identification number for the buying organization
       obtained through EPA.

    •  Trading Partner Organization Name - The name of the buying organization.

    •  RIN Quantity - The total number of RINs being retired in this transaction.

    •  Batch Volume - The total volume of renewable fuel.

    •  Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel  (D = 4),  Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
       Cellulosic Diesel (D = 7).

    •  Assignment Code - Identifies if the RINs are assigned or separated.

    •  RIN Year - The year in which the RIN was generated reflecting the year of the production date.
Appendix E
                                  E-28

-------
EMTS Transaction Instructions
    •   Sell Reason Code - Code that explains why these RINs are being sold.





    •   Gallon Price Amount - The price at which the RINs and fuel were sold.





    •   Transfer Date - The date on which the sell transaction occurred outside of EMTS.





Figure E-29 shows these data would appear in the sell transaction data block.





                   Figure E-29: Non-One-to-One Sell Transaction Data Elements
Data Element
Transaction PartnerOrganization
Identifier


Transaction PartnerOrganization
Name
RINQuantity

BatchVolume


FuelCode

AssignmentCode

RINYear



SellReasonCode

GallonPriceAmount

TransferDate


Value
3333



Ralph's

10000

5000


6

1

2009



10

2.75

2009-01-15


Reference
Ralph's Refiner










Renewable
Fuel
Assigned to
Fuel




Standard
Trade





Required
Yes



Yes

Yes

Yes


Yes

Yes

Yes



Yes

Yes

Yes


Instructions
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying
organization.
Enter the total number of RINs.
This must be a whole number.
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.

Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid sell reason code.

Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
                                                                                        (cont.
Appendix E
E-29

-------
EMTS Transaction Instructions
                Figure E-29: Non-One-to-One Sell Transaction Data Elements (cont.)
Data Element
PTDNumber
MatchingTransactionldentifier
Transaction DetailComment
Value
3462


Reference



Required
No
No
No
Instructions
Enter the PTD number associated
with the transaction.
Enter the matching EMTS
transaction identifier of a pending
buy transaction.
Provide any additional information
regarding this transaction.
    E-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio

Users may submit a buy transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by
entering the appropriate Batch Volume and RIN Quantity.  These values  must match the values in the
corresponding sell transaction in order to be processed.  If the organization intends to buy RINs of multiple
fuel types, then the user will need to submit one transaction for each fuel type.


Figure E-30 shows the basic structure of a non-one-to-one buy transaction. In this example, a Refiner is
buying 10,000 RINs and 5,000 gallons of renewable fuel from a Producer.


                Figure E-30: Sample Structure of a Non-One-to-One Buy Transaction
                   BuyTransactionDetail
                                                            User = Sam Smith
                                                            Organization = Ralph's Refiner
Partner = Ethanol Producers
RIN Quantity = 10,000
Batch Volume = 5,000 Gallons
Fuel = Renewable Fuel
Assignment = Assigned
RIN Year = 2009
Reason = Standard Trade
Transfer Date = Jan. 15, 2009
Objective: Petroleum Refiner buys 5,000 gallons and 10,000 RINs.


Required Information:


    •  Trading Partner Organization Identifier -  The identification number for the selling organization
       obtained through EPA.
Appendix E
                                  E-30

-------
EMTS Transaction Instructions
    •   Trading Partner Organization Name - The name of the selling organization.

    •   RIN Quantity - The total number of RINs being retired in this transaction.

    •   Batch Volume - The total volume of renewable fuel.

    •   Fuel Code - Indicates the category of fuel to which the renewable fuel belongs:  Cellulosic Biofuel
       (D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or
       Cellulosic Diesel (D = 7).

    •   Assignment Code - Identifies if the RINs are assigned or separated.

    •   RIN Year - The year in which the RIN was generated reflecting the year of the production date.

    •   Buy Reason Code - Code that explains why these RINs are being bought.

    •   Gallon Price Amount - The price at which the RINs and fuel were bought.

    •   Transfer Date - The date on which the buy transaction occurred outside of EMTS.

Figure E-31 shows how these data would appear in the submission file.

                  Figure E-31:  Non-One-to-One Buy Transaction Data Elements
Data Element Value Reference Required Instructions
Transaction PartnerOrganization
Identifier


TransactionPartnerOrganization
Name
RINQuantity

BatchVolume


FuelCode

1111



Ethanol
Producers
10000

5000


6

Ethanol
Producers









Renewable
Fuel
Yes



Yes

Yes

Yes


Yes

Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.

Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.

                                                                                        (cont.)
Appendix E
E-31

-------
EMTS Transaction Instructions
              Figure E-31: Non-One-to-One Buy Transaction Data Elements (cont.)
Data Element
AssignmentCode
RINYear
BuyReasonCode
Gallon PriceAmount
TransferDate
PTDNumber
MatchingTransaction Identifier
Transaction DetailComment
Value
1
2009
10
2.75
2009-01-15
3462


Reference
Assigned to
Fuel

Standard
Trade





Required
Yes
Yes
Yes
Yes
Yes
No
No
No
Instructions
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transaction occurred.
Enter the PTD number associated
with the transaction.
Enter the matching EMTS
transaction identifier of a pending
sell transaction.
Provide any additional information
regarding this transaction.
Appendix E
E-32

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 EMTS Transaction Instructions
Appendix F:  User Roles and Permissions


Just as your organization's business activities dictate the transactions that it can perform in EMTS, your
User Role defines your permissions.  Your user role is determined when you register your login ID with
EPA through the OTAQReg Fuels Programs Registration system.  The following is a list of all the user roles
in EMTS, accompanied by a brief description of the actions each user can take.

Viewer - A viewer has limited permissions in EMTS and is restricted to read-only access. As a viewer, you
may view information about your organization but you may not change any information. You may view
your profile, organization information, RIN holdings, reports, transactions, submission log, announcements,
and any of the help features.

Submitter - A submitter has the ability to create transactions either through the EMTS user interface or
via batch file submissions.  Any data you enter in a transaction will be  stored in your organization's
Transaction Bin. A submitter has the same rights as a viewer in EMTS.
        United Stales
        Environmental Protection
        Agency
                                                                                            r-i

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EMTS Transaction Instructions
                                 [Thispage intentionally left blank.]
Appendix F
F-2

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Appendix G:  Cross-reference Tables
The following tables show cross-reference codes for reporting transactions to EMTS.


The Business Activity by Separate Reason Code table shows which reasons can be reported for a separate transaction for a specific organization's

business activity.


                                      Figure G-l: Business Activity by Separate Reason Code
Business Separate
Activity Reason
Code Description Code Description
10
10
10
10
10
10
10
30
30
30
30
30
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
20
30
40
60
70
80
90
20
30
40
60
70
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Home Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Home Heating Oil or Jet Fuel
Delayed RIN Separation
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Home Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
                                                                                                                (contv
         United Stales
         Environmental Projection
         Agency
                                                                                                                              G-l

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                                   Figure G-l: Business Activity by Separate Reason Code (cont.)
Business Separate
Activity Reason
Code Description Code Description
30
30
40
40
40
40
40
40
40
50
50
50
50
50
50
50
60
60
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
80
90
10
20
30
40
60
70
80
20
30
40
50
60
70
80
10
20
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Delayed RIN Separation
Receipt of renewable fuel by obligated party
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Export of Renewable Fuel
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Receipt of renewable fuel by obligated party
Blending to produce a transportation fuel
                                                                                                               (contv
Appendix G
G-2

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                                  Figure G-l: Business Activity by Separate Reason Code (cont.)
Business Separate
Activity Reason
Code Description Code Description
60
60
60
60
60
70
70
70
70
70
70
80
80
80
80
80
80
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
30
40
60
70
80
20
30
40
60
70
80
20
30
40
60
70
80
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or Jet Fuel
Appendix G
G-3

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The Business Activity by Buy Reason Code table shows which reasons can be reported for a buy transaction for a specific organization's business
activity.

                                         Figure G-2:  Business Activity by Buy Reason Code
Business
Activity Code
10
10
10
10
10
20
20
20
20
20
30
30
30
30
30
40
Description
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Buy Reason
Code
10
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
Description
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
                                                                                                                 (cont.
Appendix G
G-4

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                                     Figure G-2: Business Activity by Buy Reason Code (cont.)
Business
Activity Code
40
40
40
40
50
50
50
50
50
60
60
60
60
60
70
70
70
70
Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Buy Reason
Code
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
30
40
50
Description
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
                                                                                                               (cont.
Appendix G
G-5

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                                    Figure G-2: Business Activity by Buy Reason Code (cont.)
Business
Activity Code
70
80
80
80
80
80
Description
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
Buy Reason
Code
60
10
30
40
50
60
Description
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Appendix G
G-6

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The Business Activity by Sell Reason Code table shows which reasons can be reported for a sell transaction for a specific organization's business
activity.

                                          Figure G-3: Business Activity by Sell Reason Code
Business
Activity Code
10
10
10
10
10
20
20
20
20
20
30
30
30
30
30
40
Description
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Sell Reason
Code
10
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
Description
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
                                                                                                                   (cont.
Appendix G
G-7

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                                      Figure G-3: Business Activity by Sell Reason Code (cont.)
Business
Activity Code
40
40
40
40
50
50
50
50
50
60
60
60
60
60
70
70
70
70
Sell Reason
Description Code Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
30
40
50
60
10
30
40
50
60
10
30
40
50
60
10
30
40
50
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
                                                                                                                (cont.
Appendix G
G-8

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                                     Figure G-3: Business Activity by Sell Reason Code (cont.)
Business
Activity Code
70
80
80
80
80
80
Description
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
Sell Reason
Code
60
10
30
40
50
60
Description
Cancel
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Appendix G
G-9

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The Business Activity by Retire Reason Code table shows which reasons can be reported for a retire transaction for a specific organization's
business activity.

                                         Figure G-4: Business Activity by Retire Reason Code
Business Retire
Activity Reason
Code Description Code Description
10
10
10
10
10
10
10
10
20
20
20
20
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
10
20
40
50
60
70
90
100
10
20
30
40
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Volume error correction
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Delayed RIN Retire
Reportable spill
Contaminated or spoiled fuel
Import volume correction
Renewable Fuel Used in an Ocean-going Vessel
                                                                                                                   (cont.
Appendix G
G-10

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                                    Figure G-4:  Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
20
20
20
20
30
30
30
30
30
30
30
30
40
40
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Foreign Renewable Fuel Producer
(Bonded)
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
50
60
70
90
10
20
30
40
50
70
90
100
10
20
Invalid RIN
Volume error correction
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Import volume correction
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Delayed RIN Retire
Reportable spill
Contaminated or spoiled fuel
                                                                                                                (cont.
Appendix G
G-ll

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                                    Figure G-4:  Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
40
40
40
40
40
50
50
50
50
50
50
50
60
60
60
60
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
40
50
70
80
90
10
20
40
50
70
80
90
10
20
40
50
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
                                                                                                                (cont.
Appendix G
G-12

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                                    Figure G-4: Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
60
60
60
70
70
70
70
70
70
80
80
80
80
80
80
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
70
80
90
10
20
40
50
70
90
10
20
40
50
70
90
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Appendix G
G-13

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The Business Activity by Compliance Level Code table shows which compliance levels can be reported for a retire transaction for a specific
organization's business activity.

                                       Figure G-5: Business Activity by Compliance Level Code
            Business Activity
                 Code
Description
Compliance
   Level
   Code
Description
10
20
30
40
50
60
60
70
80
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Refiner
Refiner
Small Refiner
RIN Owner
40
40
40
10
30
20
50
40
40
Non-Obligated Party
Non-Obligated Party
Non-Obligated Party
Aggregated Importer
Exporter
Aggregated Refiner
Facility Level
Non-Obligated Party
Non-Obligated Party
For a list of valid combinations of fuel categories, processes, and feedstocks that can be reported for a fuel code (D code), please refer to the
"Reporting Codes and Fuel Pathways" document at http://www.epa.gov/otaq/juels/renewablejuels/epamts.htm.
Appendix G
                                                                                    G-14

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