Integrated EMTS Conversion Tool
(ECT) User Guide
&EPA
United States
Environmental Protection
Agency
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Integrated EMTS Conversion Tool
(ECT) User Guide
Compliance Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
United States
Environmental Protection
Agency
EPA-420-B-13-055
October 2013
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October 31,2013
User Guide for the
Integrated EMTS Conversion Tool (ECT)
Overview
The EMTS Conversion Tool allows you to submit data to EMTS by uploading a user-populated Excel
file and then converting it to XML for processing.
Excel Template
EPA provides a blank Excel template for use in the Conversion Tool, which allows users to include
all transaction types in one file. The Excel Template can be found here
http://www.epa.gov/otaq/fuels/renewablefuels/emtshtml/emtsdocuments.htm and includes
general notes about submitting transactions, user-specific submittal information, and a tab for each
transaction type.
Important Notes: The transaction types must remain in the same order presented in the template:
Generate, Buy, Separate, Sell, Retire, Lock, and Unlock. The template header rows also must remain
unchanged to allow EMTS to process the file.
Required columns have a header that is highlighted yellow. Additional information is included in
column header comments. To view comments, hover over the header, as shown in Figure 1 below.
Figure 1: Excel Template Comment
1
2
3
4
b
6
7
8
9
A
RIH Quantity J-L
r
B
REQUIRED
Amount of RINs
that are involved
with the
transaction.
C
Fuel Code
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October 31,2013
Accessing the Conversion Tool
Once you have created an Excel file to submit to EMTS, return to the EMTS website, hover over
Submissions on the main menu, and click Submit File. You can also click on the link for 'Submit File'
on the EMTS homepage, as shown in Figure 2 below.
Figure 2: EMTS Homepage Submit File Options
D7\ Moderated Transaction System
Organization
Submissions
View Importer Transactions
rmm ' mm
Submit File
Submit File History
View Node Submissions
View Web Submissions
Your organi:
Test Userl,
are urged to conduct due diligence investigations anc
ing the EPA Moderated Transaction System (EMTS), ce
in the regulations at 40 CFR 80.1431(b)(2), invalid RIP
ss of the party's good faith belief that the RINs were
r to any person of a RIN that is invalid.
ation has 0 pending received trades and 0 pending in
You can submit your XML file
The Submit File page is user-specific, so if you represent multiple organizations, you can submit
files for all of your organizations from the Submit File page without changing the organization that
you represent However, submissions for each organization must be included in a separate file
submission. From this page, you may submit only one Excel file at a time. In addition, you may not
submit multiple files with the same file name in a given calendar year (to prevent accidental
duplication).
On the Submit File page (see Figure 3), click the Browse button to identify the Excel file you would
like to convert The tab order and name, as well as the header rows, must remain unchanged from
the Excel Template.
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October 31,2013
Figure 3: Submit File Page
Submit File
" Transaction Bin
Select a file to submit. If the file is an XML file., then the file must include the Exchange Network
Header v2.0 and must pass EMTS v3.0 XSD schema validation for it to be submitted to the EMTS
Node. If you are submitting an Excel file, click "Convert", then click "Submit" after downloading the
XML file to your local system. If you represent multiple organizations, you may submit a file for any
of your organizations from this page.
Your organization has 0
un-submitted transactions
in the transaction bin.
•-I View Transaction Bin
| Identify File
* File:
View Submit File History
Convert
Submit
Converting the File
Once you have identified a file, press the Convert button (see Figure 4). After clicking the Convert button,
it may take some time to process, so please be patient.
Figure 4: Submit File Page - Loading the File
Submit File
T Transaction Bin
Select a file to submit. If the file is an XML file, then the file must include the Exchange Network Header
v2,Q and must pass EMTS v3.0 XSD schema validation for it to be submitted to the EMTS Node. If you are
submitting an Excel file, click "Convert", then click "Submit" after downloading the XML file to your local
system. If you represent multiple organizations, you may submit a file for any of your organizations from
this page.
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
| Identify File
* File:
Test file.xls
View Submit File History
Convert
Submit
If your file was successfully converted from Excel to XML, you will see the following screen pop up
(see Figure 5), which provides you with an opportunity to save the XML file for your records. If your
file had any errors during conversion, you will see the corresponding QA Check Errors pop up on
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October 31,2013
the Submit File page. Once you have corrected your errors, re-submit the file and click the Convert
button.
Figure 5: Successful Conversion - Opportunity to Save XML File
Opening Test_file.xls.zip
You have chosen to open:
which is: Compressed (zipped) Folder
from: https://epanccdev-01600. appdev.epa.gov
What should Firef ox do with this file?
o I Open with; Windows Explorer (default)
••—"'"" """""-^
Save File
" •"
Do this Automatically for files likethisfrom now on,
Once you have saved the XML file for your records, you are ready to submit it for processing. Click
the Submit button from the Submit File page, as shown in Figure 6. It may take some time to process,
so please be patient and avoid clicking the Submit button again.
Figure 6: Submit Converted Excel File
Submit File
» Transaction Bin
Select 3 file to submit. If the file is an XML file, then the file must include the Exchange Network Header
v2.0 and must pass EMTS v3.0 XSD schema validation for it to be submitted to the EMTS Node. If you are
submitting an Excel file, click "Convert", then click "Submit" after downloading the XML file to your local
system. If you represent multiple organizations, you may submit a file for any of your organizations from
this page.
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
* File: | Browse_ | Test_file.xls
,-
View Submit File History | Loading... ^ | [
Submit
}
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October 31,2013
Submitting to CDX
The file must first pass through the CDX node before it can be processed by the EMTS node. If your file
does not pass schema validation, you will receive an error message on the Submit File page. If your file is
valid, the message on the Submit File page will be updated to indicate that your file has been submitted,
as seen in the figure below.
Figure 7: Submit File Page
Submit File
c
Your file Test_file.xml has been submitted. Please see the Submit File History page for the latest status of
your submission.
^ Transaction Bin
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
Identify File
> File:
View Submit File History
Convert
Submit
To view the CDX node status details for your submission, press the View Submit File History button.
You can also access the Submit File History page by hovering over the Submissions menu option and
clicking Submit File History. The Submit File History page (see Figure 8), like the Submit File page, is
user-specific (not organization-specific), so it will include records for your submissions for all of your
organizations.
It will display information only for files submitted from the Submit File page and not for files
submitted using a personal node or node client If the 'Received By CDX' column displays 'Yes' for a
submission, the submission was successfully received by the CDX node and has been sent to the
EMTS node for processing.
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October 31,2013
Figure 8: Submit File History page
Submit File History
The following grid displays status information for all of the files submitted by you through the Submit File
page on the EMTS Website.
^ Transaction Bin
Your organization has 0
un-submit±ed transactions
in the transaction bin.
View Transaction Bin
Search for Submitted Files
CDX Submission ID:
Begin Date:
End Date:
Results Per Page:
(MM/DD/YYYY)
(MM/DO/YYYY)
20
Clear
Filter
Submit File History For: Test Company
Displaying records 1 through 3 of 3 total.
Test_file.zip
Test_file.zip
Test_file2.zip
9/24/13 1:52 PM
24/13 1:16PM
9/24/13 10:11 AM
_5119912c-8643-fl35-Of7f-Sdd096941215
_50f91944-8643-fl35-550c-le6a6994S942
_504fbb88-8643-fl35-6d8a-e93bd90b81a8
Export options: CSV I Excel I PDF
Processing by EMTS
After confirming that the file was successfully received by CDX, you will need to check whether the
file was processed by EMTS. It is possible for your file to have been successfully received by CDX,
but not successfully processed by EMTS.
In order to confirm whether your transaction has been successfully processed by EMTS, hover over
the Submissions menu option and click View Node Submissions. The View Node Submissions page
displays the results of XML files submitted from a personal node or node client along with XML files
submitted from the Submit File page, which acts as a node client.
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October 31,2013
In the example shown in Figure 9, the submission was successfully sent to CDX, but failed to be
processed by EMTS, as seen in the results circled in the "Submission Status" column.
Figure 9: View Node Submissions
View Node Submissions
*• Transaction Bin
The following are all of the files submitted on behalf of your organization RAP Inc. GEN EtOH. 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.
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
Organizations
CDX Submission ID:
Submission ID:
Status:
Submission Date (Begin):
Submission Date (End):
Results Per Page:
-Select--
(MM/DD/YYYY)
(MM/DD/YYYY)
20
Clear
Filter
XML File Submissions for: Test Company
_50f91944-8643-F135-5SOc-le6a69945942
_504fbb8S-8S43-F135-6d8a-e93bd90bSlaS
Number of Files Received: 2
Displaying records 1 through 2 of 2 total.
9/24/13 1:16 PM Test_file.zip
9/24/13 10:11 AM Test_file2.zip
Tester, Demo ^Failed
Tester, Demo
1 --Select-- - i Go
View Details •* [ Go |
Export options: CSV Excel I PDF
The View Node Submissions page is organization-specific (and not user-specific), which means that
the page displays the status of all files submitted by representatives of the organization specified
above the View Node Submissions grid. To switch organizations, click Select a Different
Organization in the Organizations tab of the accordion. To filter the View Web Submissions grid to
look for a particular submission, use the options in the Search box, and press Filter.
The Submission Status column of the View Node Submissions grid displays the EMTS node status of
each XML file submission. A status of Processed indicates that the file passed all QA checks, and a
status of Failed indicates that the file failed one or more EMTS QA checks. For processed and failed
files, you can select View Details in the "I wantto..." column to see more information aboutthe
submission and a list of transactions within the submission (see Figure 10).
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October 31,2013
Figure 10: View Node Submissions Options
Submission Status
Processed
Processed
Failed
Processed
Processed
View Details
From the submission details page, you will be able to view transaction details for each transaction
in the submission. From the View Node Submissions page, you can also select QA Results in the "I
want to..." column for a failed submission. This will take you to a QA Feedback Report, which
contains a list of QA checks that the submission failed.
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