EMTS User's Guide
Version 3.2
&EPA
United States
Environmental Protection
Agency
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EMTS User's Guide
Version 3.2
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
EPA-420-B-14-079
September 2014
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Table of Contents
Accessing EMTS 1
Selecting an Organization 2
Viewing Registered Data 3
Viewing RIN Holdings 6
Viewing RIN Batch Details and Locking RINs 8
Viewing Expired RIN Holdings 12
Generating RINs 13
Managing the Transaction Bin 17
Separating RINs 20
Retiring RINs 25
Trading RINs 28
Managing the Blocked List 38
Viewing Historic RIN Holdings 40
Viewing Web Submissions 41
Submitting XML Files 43
Converting Excel Files to XML 43
Processing by EMTS 48
Receiving Notifications 50
Quarterly Reports 56
Agent Reports 67
EMTS Technical Support 70
EMTS User's Guide
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Accessing EMTS
To support the Renewable Fuel Standard (RFS2) program, the EPA Moderated Transaction System (EMTS)
has been developed to screen the generation and transfer of RINs between renewable fuel producers,
importers, exporters, obligated parties, and non-obligated RIN owners.
Access to EMTS requires registration with both the Central Data Exchange (CDX) and OTAQ Fuels. For
instructions on setting up these accounts, see the "Getting Started - MyCDX" and "To Add DC FUELS
Program" documents under Registration on the EMTS Documents page. You can access the EMTS website
only through the CDX. To do so, open your Internet browser, either Internet Explorer 7.0 and higher or
Firefox 2.0 and higher (no other browsers are currently supported), and enter the following URL:
https://cdx.epa.gov/SSL/CDX/login.asp. Log in using your MyCDX user name and password. From your
account profile, click the "OTAQ EMTS Application" link under Available Account Profiles (see Figure 1). If
you do not see the "OTAQ EMTS Application" link, refer to "Getting Started - MyCDX" on the EMTS
Documents page for further instructions.
Figure 1: OTAQ EMTS Application Link
J MyCDX
Inbox (5)
My Profile
Submission History
1 Services |
Central Data Exchange
Manage Your Program Services
Status Program Service Name
OTAQEMTS: Office of Transportation and Air Quality EPA
Moderated Transaction System
OTAQ EMTS Application
OTAQREG: Office of Transportation and Air Quality Fuels
Registration
Fuels Programs
Registration
Clicking the link will take you to the EMTS Home page (see Figure 2).
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Figure 2: EMTS Home Page
Logged in as: TutorialDemo for Demo Organization 1 (20)
Good Morning Tutorial Demo,
Regulated parties are urged to conduct due diligence investigations and
exercise caution when conducting Renewable Identification Number
(RIM) 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,
^JL To view pending transaction details, click the following link: \
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
t Announcements
Selecting an Organization
Upon accessing the EMTS Home page, you will need to select an organization to represent if you are
affiliated with two or more organizations. To do so, click one of the organizations in the Select an
Organization popup (see Figure 3). You must select an organization to represent before you can perform
any actions on the EMTS website.
Figure 3: Select an Organization Popup
Select an Organization
._^_^^
Mendesu Fuels Co-operative - (40998)
To confirm that you are now representing the selected organization, verify that the statement in the upper
right corner of the page -- "Logged in as:" -- contains your CDX user ID followed by the name of the
appropriate organization. Note that you may change the organization you are representing by clicking on
the Organizations tab of the accordion on the right side of select pages (see Figure 4).
EMTS User's Guide
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Figure 4: Organizations Accordion Tab
> Transaction Bin
•*• Organizations
Selected Organization: Cavington
Dairy Products LLC (47672)
Select a Different Organization
Announcements
The Organizations tab will appear in this accordion on the following pages:
Home page;
View Blocked List;
View Node Submissions;
View Web Submissions;
Review Trades;
Manage Subscriptions;
View Reports;
Compliance Data;
Manage RIN Holdings; and
Transaction Bin.
After you open the Organizations tab of the accordion, click "Select a Different Organization." In the Select
an Organization popup, click the name of the organization you wish to represent Upon doing so, the
organization name in the upper right corner of the page should reflect the new organization you selected.
Once you have selected an organization, you are ready to begin using the EMTS website functionality.
Viewing Registered Data
To view the data for which your organization is registered in the OTAQ Registration system, hover over the
Organizations menu options, and select View Organizations. On the View Organizations page, a grid
displays a list of the organizations you have been associated with in OTAQReg: Fuels Programs Registration
application. For each organization, you may use the "I want to..." drop-down menu to select an
organization or to view the registered data for that organization. If you choose the Select Organization
option, the organization name in the upper right corner of the page should change to reflect the
organization that you identified, and the activities and reports on the EMTS website will be limited to that
organization. The View Registered Data page displays your organization's registered business activities,
users and their roles, and facilities. From this page, you can view the details for the organization's
registered facilities. Choosing the View Registered Data option will take you to the View Registered Data
page for the selected organization (see Figure 5).
EMTS User's Guide
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Figure 5: View Registered Data
V>ERr\ Moderated Transaction System _^«rtfljrVB 3B^^x2^W^
Organization Submissions Trades Reports RINs
View Registered Data
Select facility to view registered data for that facility.
The company and facility information shown below is not a complete representation of the OTAQReg registration for this organization. There are additional
fields not shown that can only be found in OTAQReg: Fuels Programs Registration application.
Organization Name:
Address:
Bonded:
Business Activities
Demo Organization 1 (20)
Yes
Business Activity Code i Business Activity J
20
30
60
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Refiner
Users
Last Name £
Demo
First Name ± Login ± Email 3
Tutorial TutorialDemo emts-testtaipqa.com
I^^Km^HBE
Submitter
Facilities
HI Facility Name i Facility ID i Location i I want to... ^
Bio Blast Plant
C-ville
Stauton
Waynesboro
-5552
-5222
-5555
-5008
View Details v| Go
View Details v | Go
View Details v|| Go
View Details v [ Go
The View Facility Data page displays the Facility, Identifier, Address, Total Capacity - Baseline Volumem
Total Capacity - Actual Peak, and Registered Co-products (see Figure 6).
EMTS User's Guide
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Figure 6: View Facility Data
View Facility Data
Facility data as registered with OTAQ.
Facility: Valley Medico Plant 12
Identifier: 46711
Address: 3 Test Fuel Ln
Fresno, California 93650
Total Capacity - Baseline Volume: 200000 gallons
Total Capacity - Actual Peak: 200000 gallons
Registered Co-products
[ View Pathways"
To view the pathways associated with your facility click "View Pathways". Users can search for a specific
pathway The View Registered Pathways page displays the Facility, Fuel(D Code), Fuel Category, Process,
Feedstock, QAP Provider, QAP Service Type, and if the Pathway is suspended (see Figure 7).
Figure 7: View Facility Data
View Registered Pathways
Enter criteria ant click Search, For QAP Coverage End Date, the 'to1 and 'from1 fields can be usee tc specify a range For the date on which QAP coverage is no longer effective,
Vour organization ha; 0
in the transaction bin.
rch Criteria
Facility tame:
QAP Provider Name:
QAP Provider Com[»ny 10:
Fuel (D Code):
Fuel Category:
Process:
Feedstock:
Suspended?:
QAP Coverage End Date
(From):
QAP Coverage End Date (To):
er Renewable Diesel [EV 1,7) (40]
IMH/DD.'Wvv;
Fuel Pathways
Valley Medico Plant 12 Biomass-Based Diesel [D=4> Non-aster Ran
wable Diasal [EV 1,7) (40) Hydro ere a ting, Dedicated Renewable Biomass Facility (200)
Biogenic Waste Otls/Fats/Greasas [ISO]
No Vtev Pathway Delate T[G°J
Export options-CS1. ^51 ~l -
EMTS User's Guide
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To view the Pathway Details select the View Pathway Details from the drop down and click "Go". Users can
view the QAP Provider, QAP Service Type, Coverage Start Date, Coverage End Date, Fuel (D Code), Fuel
Category Code, Process Code, Feedstock Code, Activated by EPA, If the Pathway is Suspended and if it was
suspended the Suspend Date (see Figure 8).
FigureS: View Facility Data
View Pathway Details
e the details of the Fuel Pathway you selected.
View Pathway Details
QAP Provider:
QAP Service Type:
Coverage Start Date:
Coverage End Date:
Fuel (DCode):
Fuel Category Code:
Process Code:
Feedstock Code:
Activated by EPA:
Suspended:
Suspended Date:
Biomass-Based Diesel (4)
Non-ester Renewable Diesel (EV 1.7}
200
ItiO
You can only view your facility and pathway data in EMTS; you cannot make edits to the data in EMTS. You
may only edit your registered data through OTAQReg: Fuels Programs Registration. The registered data in
EMTS is updated nightly from OTAQReg: Fuels Programs Registration. If you make changes to your
registration in OTAQReg, the changes will be reflected in EMTS the morning after they have been activated
by EPA.
Viewing RIN Holdings
To view your RIN holdings, hover over RINs on the main menu of the EMTS website and select View RIN
Holdings (Current). The Manage RIN Holdings page is organization-specific (indicated by the organization
name above the RIN Holdings grid, circled in Figure 9 below). To switch the organization for which you are
viewing RIN holdings, open the Organizations tab of the accordion, and click "Select a Different
Organization."
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Figure 9: Manage RIN Holdings Page
Home | Contact Us | Help | Logout
Li.ggs: ii: as; NatRogersfor RAP Inc. GEN BLodiese! (4671
Manage RIN Holdings
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
RIN Holdings for:
RAP Inc. GEN Biodiesel (4671)
Advanced Biofuel (D=5)
Biomass-Based Diesel (D=4)
Renewable Fuel (D=6)
Renewable Fuel (D=6)
Export options: CSV I Excel"|"PDF
2014
2014
2014
2014
Assigned
Assigned
Assigned
Separated
Unverified (30)
Unverified (30)
Unverified (30)
Unverified (30)
150
169,999
30
40
150 - Select -
169,999 --Select--
30 -Selert-
40
- Select -
Buy
If you view the Manage RIN Holdings page before your organization has completed any generate or buy
transactions, the RIN Holdings grid will be empty (see Figure 9). At this point, you can generate or buy
RINs (the only valid transaction types when there are no RIN Holdings) either by clicking the Generate or
Buy button or by selecting Generate or Buy in the "I want to..." drop-down and clicking Go.
Once you have completed a generate transaction or successfully purchased RINs from a trading partner, the
RIN Holdings grid will now display your RINs (see Figure 10 for an example). Each row in the RIN Holdings
grid represents a unique combination of Fuel (D Code), RIN Year, Assignment, and QAP Service Type. For
each row, the sum of RINs in the Available, Pending, Reserved, and Locked columns should equal the
number of RINs in the Total column. The RINs in the Available column are RINs that are available for you
to use in transactions. The RINs in the Pending column are RINs that are involved in a pending sell
transaction that you have initiated (see the Trading RINs section). The RINs in the Reserved column are
RINs that are associated with transactions in the Transaction Bin (see the Managing the Transaction Bin
section). Finally, the RINs in the Locked column are RINs that have been locked either by your organization
or by the EPA. Various sorting and filtering capabilities allow you work with this RIN data. For example,
you can arrange data in order 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.
EMTS User's Guide
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Figure 10: Populated RIN Holdings Grid Example
Manage RIN Holdings
Select one of the transaction actions for each fuel year and assignment for your RIN Holdings.
RIN Holdinss for:
RAP Inc. GEN Biodiesel (4671)
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
Advanced Biofuel (D-5)
Biomass-Based Diesel (D=4)
Renewable Fuel (D=6)
Renewable Fuel (D-6)
Export options: CSV I Excel I PDF
2014
2014
2014
2014
Buy
The final column in the RIN Holdings grid is the "I want to..." column. The drop-down for each row contains
the options View Details, Generate, Buy, Separate, Separate (Upward delegation), Sell, Retire (Obligation),
and Retire (Other). The options that are not applicable to the corresponding row of RINs will be grayed
out. For example, Retire (Obligation) is only applicable for separated RINs being retired by Non-renewable
Fuel Importers, Renewable Fuel Exporters, and Refiners, so in all other instances, the option will be grayed
out. If you select a transaction in the "I want to..." column for a row of RINs, the Fuel (D Code), RIN Year,
Assignment, and QAP Service Type fields in the resulting transaction wizard will be pre-populated with the
data from that row.
Viewing RIN Batch Details and Locking RINs
To view all of the RIN batches that make up a row in the RIN Holdings grid, select View Details in the "I
want to..." column and click Go. Doing so takes you to the View RIN Holding Details page (see Figure 11).
EMTS User's Guide
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Figure 11: View RIN Holding Details Page
View RIN Holding Details
Please select e
Originating Organization:
Originating Facility:
Submission End Da
Transaction ID:
RIN status:
Results Per Page:
RIN Holding Details fol
RAP Inc. GEN Biodiesel (4671)
h 1 of 1 total.
C5'< Excel PDF
The View RIN Holding Details page includes a Search box that allows you to search for RIN batches that
satisfy a specific set of criteria. The RIN Holding Details grid displays the originating source information
(originating organization, facility, and batch number) for each batch of RINs with the Fuel (D Code), RIN
Year, QAP Service Type and Assignment that you selected on the RIN Holdings page. It also includes the
status of each RIN batch. For pending and reserved RINs, the options in the "I want to..." drop-down are
View Details and Transaction. Selecting Transaction takes you to a page with the details of the last
transaction that acted on that RIN batch. Selecting View Details takes you to a RIN Batch Details page,
where you will have 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 access the same aforementioned page. For available RINs, the "I want to..." drop-down options
are View Details, Transaction, and Lock RINs. Selecting Lock RINs takes you to the Lock RINs Confirmation
page (see Figure 12).
EMTS User's Guide
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Figure 12: Lock RINs Confirmation Page
Lock RINs Confirmation
Please confirm that you would like to lock the following batch of RINs. The c
•nent entered may be v\eried by the EPA and individuals within your organization.
| RIN Batch Details
Fuel (D Code):
RIN Year:
QAP Provider:
QAP Service Type:
Assignment:
Originating Facility:
Quantity:
Batch Number:
Owned By:
Production Date:
Status:
Advanced BiofueJ (D = 5)
2014
Unverified (30)
Assigned
Bio Blast Plant (-5552)
150
OO01
RAP Inc. GEN Biodiesel
03/07/2O14
Available
L
The page contains the details of the RINs that you are about to lock along with a required Comment field.
After you enter a comment and press Confirm, you will return to the View RIN Holding Details page. For
the RIN batch that you locked, the Status field will display Locked, and the Locked By field will include the
name and organization of the individual that locked the RIN batch. Locked RINs will not be available for
any transactions.
The EPA has the capability to lock any organization's available or locked RIN batches. If the EPA locks one
of your organization's RIN batches, the Status field for that row will display Locked, and the Locked By field
will display EPA. RINs locked by the EPA cannot be used in transactions and cannot be unlocked by your
organization.
If you wish to unlock a batch of RINs locked by your organization and not locked by the EPA, select Unlock
RINs in the "I want to..." drop-down. Like the Lock RINs Confirmation page, the Unlock RINs Confirmation
page requires a comment. Once you confirm the unlock action, the RINs will have a status of Available, and
you will be able to use them to complete transactions. Note that if the EPA locks a batch of RINs that your
organization had already locked, the EPA will need to unlock the RINs before you will have the ability to
unlock the RIN batch.
To lock or unlock multiple batches of RINS, hover over RINs on the main menu and click Lock RIN Batches
(see Figure 13).
EMTS User's Guide
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Figure 13: Select Lock RIN Batches
Originating Organization:
Originating Facility;
Submission Start Date:
RIN Status:
Results Per Page;
RIN Holding Details for: RAP Inc. GEN Biodiesel (4671)
The Lock RIN Batches page allows you to lock batches of RINs by organization, facility, RIN batch or QAP
Provider. RIN Year, under Basic Filter Options is a required search field. In the example below, the
organization was selected (RAP Inc. Gen Biodiesel) as well as the facility (Valley Medico Plant 12) (see
Figure 14). By clicking the search button, all batches that originated at the Waynesboro facility will appear
in the grid at the bottom of the screen (see Figure 15).
Figure 14: Lock RIN Batches
Lock RIN Batches
j 3,-^ 1 Valley Medico Plant 12 (45711)
<=>
- :: .---., -
EMTS User's Guide
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Figure 15: Lock RIN Batches
Lock RIN Batches
alley Medico Plant 13 (46711)
*" |)
In the status column, you can see that the RINs in the grid are "Available." To lock all of these RIN batches
at one time, click the Lock All button (see Figure 15).
Viewing Expired RIN Holdings
To view your Expired RIN Holdings, hover over RINs on the main menu of the EMTS and click View Expired
RIN Holdings (see Figure 16):
Figure 16: Select View Expired RIN Holdings
Good Afte
n Mr. Nat Rogers
Regulated parties are urged to conduct du
Neither EPA nor its systems, including th
faith, transfer or receive invalid RINs. As
Renewable Volume Obligations of an oblig;
acquired. Additionally, the regulations
V ""^.IN Holdings (Current)
View RIN Holdings (History)
RIN Holdings (Expired!"
Lock RIN Batches
ise caution when conducting Renewable Identification Number (RIN) transactions.
(EMTS), certify or validate RINs
n for parties who, despite good
Selected Organization: RAP Inc- GEN
Biodtesel (4671)
i.i431(bK2), invalid RINs cannot be used to achieve compliance with the
f the party's good faith belief that the RINs were valid at the time they were
Cation or transfer to any person of a RIN that is invalid.
if organization has 0 sending received trades and 0 pending initiated trades. View Pendmg Transaction!
submit your XML File here. Submit File
The Expired RIN Holdings page is organization-specific (indicated by the organization name at the top of
the page). To switch the organization for which you are viewing expired RIN holdings, open the
Organizations tab of the accordion on the right side of the page, and click "Select a Different Organization."
EMTS User's Guide
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If you view the RIN Holdings page before your organization has retired any RINs, the RIN Holdings grid will
contain the message "Nothing found to display." To filter on Fuel, RIN Year, Assignment Code, and/or QAP
Service Type select the filter options and click Filter (see Figure 17).
Figure 17: View Expired RIN Holdings
View Expired RIN Holdings
Ttiis page provides the RJN details for ail RINs that have expired out of your company's account. These RINs were P
40 CFR 80.1428 (c). Enter criteria and click Search.
3T used for compliance or retired for any reason, and have expired pursuant to
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
Fuel (DCode):
RIN Year:
Assignment:
QAP Service Type:
Results Per Page:
- Select --
-Select- -r
-Seiect- -r
- Select -
20
Expired RIN Holdings
Note: A RIN is valid for compliance during the year that it was generated and the following calendar year.
The time period for retiring a RIN for a particular year extends two months into the following year. The
maximum amount of time a RIN can be valid in EMTS is two years and two months.
Generating RINs
From the Manage RIN Holdings page, you have the option to generate RINs if your organization is a
Domestic Renewable Fuel Producer, a Renewable Fuel Importer, or a bonded Foreign Renewable Fuel
Producer. There are two different kinds of RIN generation, generating as an importer and generating as a
producer. To generate RINs as a producer, either click the Generate button or select Generate in the "I
want to..." drop-down and click Go. Doing so takes you to the first page (Report Fuel) of the three-step
Generate Wizard (see Figure 18).
EMTS User's Guide
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Figure 18: Generate Wizard, Report Fuel Page (Step 1)
Generate RINs - Report Fuel
Enter the fuel (D Code!, batch characteris
gallons of ethanol or Cellulosic Ethanol,
• Fuel [D Code):
• Production Process:
• Production Date:
• Fuel Category:
• QAP Service Type:
-Select -
-Sded-
Qfyiaturant Volume:
Equivalence Value:
• Quantity of Rife:
Ethanol and Cellulosic Ethanol Only,
Batch VolumemulticliEd by Equiva
| | Ideniifv Production Source [_
Originating Q.ganization: RAP Inc. GEN Biodisel
-Sdecl-
• Oigirtatirtg Facility:
• Batch Number:
Additional Information.
The green boxes on the right side of the page indicate which of the three generate steps you are completing.
The following information is required to generate RINs:
• 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 renewable fuel type as defined in PartM Section 80.1426.
• The QAP Service Type for the RINs;
• 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, if there are any.
All required fields are marked with a red asterisk. In the drop-down fields, the invalid options are grayed
out For example, in Figure 19, the organization can produce only Advanced Biofuel, Renewable Fuel, and
Cellulosic Diesel, so the remaining Fuel (D Code) options are grayed out.
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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.
Figure 19: Drop-down Example for Generate Wizard
* Fuel (D Code):
* Production Process:
* Production Date:
* Fuel Category:
* QAP Service Type:
--Select-
-Select-
Cellulosic Biofuel il.
Biomass-Based Diesel (D=4)
Advanced Biofuel (D=5)
Renewable Fuel (D=6)
Cellulosic Diesel (D=7)
- Select-
Once you have completed all of the required fields, click Report Feedstocks at the bottom of the page to
move to the second page of the Generate Wizard. If all of the information on the Report Fuel page is valid,
you will be redirected to the Report Feedstocks page. Otherwise, you will remain on the Report Fuel page,
and you will see a list of QA Check Errors at the top of the page (see Figure 20). Once you correct the
errors, you will be able to move to the Report Feedstocks page.
Figure 20: QA Check Errors
Generate RINs - Report Fuel
four organization has 0
un-submitted transactions
in the transaction bin.
Hydrotreatinq. Dedicated Renewable Biomass Facility(200)
On the Report Feedstocks page, you must enter all of the feedstocks used to generate the fuel specified on
the Report Fuel page. To add a feedstock, you must populate the three required fields, check the checkbox
for renewable biomass (when generating RINs, all feedstock(s) must meet the definition of 'renewable
biomass'), and then click the Add button. In the Feedstock drop-down, the feedstocks that your
organization is not registered for are grayed out. After you have clicked the Add button, the feedstock
information will be displayed in the grid (see Figure 21).
EMTS User's Guide
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Figure 21: Generate Wizard - Report Feedstocks Page (Step 2)
otfirV Moderated Transaction System ^^^
Organization S ubmisstons Trades Reports RINs
Generate RINs - Report Feedstocks
Transaction Bin
Report one or more feedstocks used for the generation of the fuel.
Your organization has 0 un
-submitted transactions in
the transaction bin.
View Transaction Bin
Feedstock Quanffly MeaSUre
Starch-Corn 10 Cubic Feet
Renewable
Biomass
•J Report Fuel
Report Feedstocks
• Feedstock(Code): [-Select-
* Quantity:
* Unit of Measure: [-Select- 0
Additional Information:
D Does this feedstock meet the definition of renewable biomass in 40 CFR 80.1401?
Report Feedstocks
2 Report Co-products
' = Required Field
«ReportFuel ReportCo-products»
Once you have added all of the feedstocks used to generate the RINs specified on the Report Fuel page, click
the Report Co-products button at the bottom of the page. The Report Co-products page, which is Step 3 of
the Generate Wizard, behaves similarly to the Report Feedstocks page. You must add any co-products
produced by your organization's fuel generation process. If there are no co-products to report, leave all
fields blank. To complete the Generate Wizard, click the Add to Transaction Bin button. Note: In addition,
parties must complete the RFS0701: RFS2 Renewable Fuel Producer Co-products Report and submit it
quarterly.
If your organization is a Renewable Fuel Importer, you have the option to generate RINs as an importer.
The Generate Wizard for Importers is similar to the Generate Wizard for Renewable Fuel Producers, except
when you identify the production source on the Report Fuel page, you must provide the originating
organization and facility (the Importer's organization and facility) and the generating organization and
facility (the Foreign Producer's organization and facility). The Foreign Fuel Producer Facility ID that you
enter must be registered for the Process, Fuel (D Code), Fuel Category, Feedstock, and QAP Service Type
that you enter, otherwise QA checks will prohibit RIN generation.
Foreign Fuel Producers that are identified by importers as the generating organization in a generate
transaction can view the details of the transaction by selecting View Importer Transactions under the View
Transactions menu option. The View Transactions page (see Figure 22) includes an overview of all of the
EMTS User's Guide
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generate transactions in which an importer has identified that organization as the generating organization.
Selecting "View Details" for a transaction displays the details of the transaction.
Figure 22: View Importer Transactions
otnr\ Moderated Transaction System
Organization
View Transactions
View Transactions
The following grid shows transactions by importers that have generated RINs on your behalf.
Generate Transactions for Turkey Ridge Biofuels, Inc. (409434)
Displaying records 1 through 1 of 1 total.
Transaction
30
-,-„„„„*:„„ nstp
Transaction Date
05/19/2011
01:37:33 PM
•*• Production ^ Fuel (D
05/17/2011
Renewable Fuel
(6)
2011
60000
RAP Inc. GEN EtOH
(4670)
View Details v Go
Export options: CSV I Excel I PDF
Foreign Fuel Producers can also subscribe to the Foreign Producer RIN Generation notification. This
notification is sent to the Foreign Fuel Producer every time an importer identifies their organization in a
generate transaction. For information on how to subscribe to notifications, see the Receiving Notifications
section of this document
Managing the Transaction Bin
After you click Add to Transaction Bin, you are taken to the Transaction Bin, where transactions will be
stored temporarily until you are ready for EMTS to process them (see Figure 23).
EMTS User's Guide
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Figure 23: Transaction Bin
Transaction Bin
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.
Selected Organization: RAP Inc. GEN
EtOH (4670)
Select a Different Organization
Generate Transactions
Buy Transactions
Separate Transactions
Sell Transactions
Retire Transactions
The Transaction Bin is organization-specific, so transactions added to the Transaction Bin by any of your
organization's submitters will be displayed on the page. To switch the organization for which the
Transaction Bin is displayed, click Select a Different 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.
For each transaction in the Transaction Bin, you have the option to View Details, complete another
transaction of that transaction type (i.e., Generate RINs), or Remove the transaction (see Figure 24).
Figure 24: Transaction Bin Options
Transaction Bin
Selected Organization: RAP Inc. GEN
A transaction that is acting upon a large number of RIN batches may take several rmnutes, causing your browser to timeout. Please be patient and do not submit another transaction until the £tOH (4670)
transaction has completed.
Select a Different Organization
Generate Transactions
If you select View Details, you will be taken to a page that displays all of the details of the transaction. This
page can be used to verify the contents of the transaction before submitting it If you select Generate RINs,
you will be taken to the first page of the Generate Wizard so that you can complete an additional generate
transaction before you submit the transactions from the Transaction Bin. You cannot edit a transaction in
the Transaction Bin; you must remove it and then create a new transaction. If you select Remove, you will
EMTS User's Guide
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be taken to a page that contains the transaction details. At the bottom of the page, you will be able to click a
Confirm Remove button. Doing so takes you back to the Transaction Bin, and the removed transaction is no
longer available.
Along with accessing the Transaction Bin at the end of each wizard, you can navigate to the Transaction Bin
from multiple pages of the EMTS website using the Transaction Bin accordion tab on the right side of the
page (see Figure 25). The tab contains the number of un-submitted transactions and a link to the
Transaction Bin.
Figure 25: Accessing the Transaction Bin
Transaction Bin
Your organization has 1
un-submitted
transactions in the
transaction bin.
View Transaction Bin
Clicking the View Transaction Bin link takes you to the Transaction Bin. Note that the RINs associated with
each separate, sell, and retire transaction in the Transaction Bin are Reserved rather than Available (they
show up in the Reserved column of the View RIN Holdings grid). As a result, these RINs may not be used
for any other transactions. If a separate, sell, or retire transaction is removed from the Transaction Bin, the
associated RINs return to an Available status. RINs associated with a generate transaction do not show up
in the View RIN Holdings grid until the transaction is submitted from the Transaction Bin, and RINs
associated with a buy transaction do not show up in the View RIN Holdings grid until the transaction is
submitted from the Transaction Bin and accepted by the trading partner.
To complete a transaction, you must submit it from the Transaction Bin by clicking the Submit button at the
bottom of the page. If you have multiple transactions in the Transaction Bin, you must submit all of the
transactions at once. If you do not wish to submit one of the transactions in the bin, you can remove that
transaction and submit the remaining transactions. In addition, if you have multiple transactions acting on
different RIN years, you need to select a RIN year before submitting your transactions from your
Transaction Bin. For example, if you have multiple sell transactions in your Transaction Bin that will act on
RIN batches for years 2011 or 2012, you must submit each year-specific batch separately. You may not
submit all transactions across multiple years as part of a single transaction bin submission.
Note: Submitting 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 and your RIN Holdings and Transaction Bin reflect the results of that
transaction. After you press Submit, you will be taken to a Confirm and Submit page, which displays an
overview of the transactions you are about to submit. You must click the Confirm Submit button circled in
Figure 26 to complete the submission.
EMTS User's Guide
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Figure 26: Confirm and Submit Page
Confirm and Submit
I confirm that the information show
a correct and accurate account of the cransaction(s) that have taken place.
A transaction that is acting upon a large number of RIN batches may take several minutes, causing vcur browser to timeout. Please be patient and do not submit another transaction until the
transaction has completed.
Your organization has 1
un-submrtted transactions
in the transaction bin.
Transactions
Renewable Fuel (0-6)
Once you confirm the submission, the View RIN Holdings (Current) page will reflect the results of the
submitted transactions, and the Transaction Bin will be empty.
Note: Unconfirmed transactions in the Transaction Bin expire after five business days. At that point, the
transactions will be removed from the Transaction Bin, and all reserved RINs associated with expired
separate, sell, and retire transactions will return to the "Available" state. 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.
Separating RINs
Assigned RINs may be separated from the Manage RIN Holdings page (see Figure 27). To separate RINs in
your RIN Holdings, select Separate in the "I want to..." drop-down, and click Go. Doing so will take you to
the first page of the Separate Wizard (see Figure 28).
Figure 27: Separate Option for Available Assigned RINs
Manage RIN Holdings
RIN Holdings for:
EMTS User's Guide
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Figure 28: Separate Wizard - Identify RINs (Step 1)
Separate RINs - Identify RINs
Identify the RINs For separation hy entering the required information below.
Renewable Fuel (0=6}
• RIN Quantity:
• Batch Volume;
There are no (loci
[ Add Document Information [
Mv»ie«i Qptore » |
The green boxes on the right side of the page indicate which of the two steps of the Separate Wizard you
are completing. The following information is required to separate RINs:
• The renewable fuel code (D code);
• The year the RINs being separated were generated.
• The QAP Service Type Code;
• The number of RINs being separated;
• The volume of fuel associated with the RINs being separated;
• The date the RINs were separated; and
• A code which specifies the reason for the separate transaction.
All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, and QAP Service Type
fields are automatically populated with the information from the row of RINs in the RIN Holdings grid that
you selected to separate. In the Reason for Separation drop-down, only the reasons that are applicable to
your organization's registered business activities are available (the remaining options are grayed out). The
Separate Wizard also contains a document grid; you can use this grid to specify the name and identifier of
one or more documents that support the separate transaction. Note that the document itself cannot be
uploaded. To add document information to the grid, fill in the Document Type and Document Identification
fields, and click Add (see Figure 29).
EMTS User's Guide
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Figure 29: Supporting Document Information
Document Type Identifier
test
document 123
Remove j
I Add Document Information
Document Type:
Document Identification:
When you complete the Identify RINs page, click Advanced Options at the bottom of the page to navigate to
the second step of the Separate Wizard (see Figure 27). On the Advanced RIN Selection page, you have the
option to specify a batch of RINs to separate. If you do not wish to make any selections on this page (this
step is optional), click Add to Transaction Bin at the bottom of the page to continue. In this situation, EMTS
will automatically separate RINs using the First-in, First-out (FIFO) accounting method (i.e., the oldest
RINs, based on production date, are used first, for the RIN Year, Fuel Code, Fuel Category and QAP Service
Type chosen). Alternatively, you may use this page to identify a specific originating organization, or
organization and facility, or organization, facility, and batch number. To specify an organization, click the
originating organization's name, and press Select (see Figure 30).
Figure 30: Optional Advanced RIN Selection Page
oERr\ Moderated Transaction System
Separate RINs - Advanced RIN Selection (Optional)
The EMTS will automatically select RINs with the oldest production date from your RIN Holding Account for this Separate
transaction. You may choose to identify a specific originating organization, or organization and facility, or organization,
facility and batch number using the advanced selection options below, This step is optional and you can bypass this
step and add this transaction to your bin.
Your organization has 1
un-subrnitted
transactions in the
transaction bin.
View Transaction Bin
EMTS User's Guide
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After you press Select, the Selected Organization field and the Organization accordion tab will contain the
name of the organization you selected (see Figure 31).
Figure 31: Selected Organization Example
Organization: [RAP Inc. GEN Cellulosic (4672)]
All Organizations:
Inc. GEN Ce u osic (4672)
Selected Organization:
(j
RAP Inc. GEN Cellulosic
Filter:
Remove
K Batch Number
« Identify
[Add to Transaction Bin
To select a Facility, click the Facility tab of the Advanced RIN Selection accordion, and follow the same
steps. Repeat the steps to identify a particular batch from a specified organization and facility. Once you
have specified the originating source information, click Add to Transaction Bin to continue. After you
submit the separate transaction from the Transaction Bin, your RIN Holdings grid will reflect the results of
the separation.
From your RIN Holding Account, you may also separate assigned RINs on behalf of a Small Blender by
selecting the Separate (Upward delegation) option in the "I want to..." dropdown (see Figure 32). Doing so
will take you to the first step of the Separate Wizard for upward delegation (see Figure 33).
EMTS User's Guide
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Figure 32: Separate (Upward delegation) Option for Available Assigned RINs
Manage RIN Holdings
select one of the transaction actions for each fi
Figure 33: Separate Wizard - Identify RINs (Step 1)
Separate RINs - Identity RINs
small bterjEnj n-y S-teg-t- tr
• Q*P Service Type;
< RIN Quantity;
TrBnsuctiorr Date;
Upstream DeJegation for Blending aa p<
[*?]
In the first step of the Separate Wizard for upward delegation, the Reason for Separation is pre-populated
with "Upstream Delegation for Blending," and the page includes fields for the blender name and identifier.
You must provide this information in order to separate for upward delegation. Apart from the Identify
RINs section of Step 1, the Separate Wizard for upward delegation is identical to the Separate Wizard used
for all other reasons for separation.
Small Blenders that are identified in separate transactions for upward delegation can view the details of
those transactions by selecting View Blender Transactions under the View Transactions menu option. The
View Transactions page (see Figure 34) includes an overview of all of the separate transactions in which
that organization has been identified as the blender. Selecting "View Details" for a transaction displays the
details of the transaction.
EMTS User's Guide
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Figure 34: View Blender Transactions
'SS'tHft Moderated Transaction System
Organization
View Transactions
View Transactions
The following grid shows the transactions that have separated RINs on your behalf,
Separate Transactions for Bizo Blenders (4352)
Displaying records 1 through 1 of 1 total.
B
21
nsaction
ID
i| Transaction Date ,
05/19/2011 09
AM
34:00
M Fuel (D Code) <
Renewable Fuel
(6)
J RIN
r Year
2011
A.| RIN
'"I Quantity
6500
.A. Separating A
Organization
RAP Inc. GEN EtOH (4670)
I want to...
View Details v | Go
Export options: CSV I Excel I PDF
Small Blenders can also subscribe to the Small Blender RIN Separation notification. This notification is sent
to the Small Blender every time their organization is identified in a separate transaction for upward
delegation. For information on how to subscribe to notifications, see the Receiving Notifications section of
this document
Retiring RINs
Depending on your organization's business activities you may choose to retire RINs for compliance or for
other reasons from your RIN Holding Account. If your organization is an obligated party (a Non-renewable
Fuel Importer, a Refiner, or a Renewable Fuel Exporter) your organization may retire separated RINs for
obligation (Retire (Obligation)) and assigned or separated RINs for other reasons (Retire (Other)). If your
organization is registered as more than one type of obligated party, you must choose from the dropdown at
which compliance level you would like to retire (see Figure 35). For organizations with any other business
activities (i.e., non-obligated parties), the only enabled retire option in your RIN Holdings grid will be Retire
(Other) (see Figure 36).
Figure 35: Retire Options for a Refiner (Obligated Party) with Separated RINs
RIN Holdings for:
RAP Inc. GEN EtOH (4670)
Renewable Fuel (D=6) 2014
Renewable Fuel (D=6] 2014
Export options: CSV I Excel I PDF
Assigned
Separated
Unverified (30) 9 00 09 -Select-
c
View Details
Buy
Retire (Obligation)
^ E
GO
>
EMTS User's Guide
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Figure 36: Retire Options for a Non-Obligated Party with Separated RINs
RAP Inc. Obligated Party [4675)
Contact Us | Help
For a row of RINs in your RIN Holdings, select the Retire (Other) option in the "I want to..." drop-down, and
click Go. Doing so will take you to the first step of the Retire Wizard (see Figure 37).
Figure 37: Retire (Other) Wizard - Identify RINs (Step 1)
Retire RINs - Identify HINs (Other)
• QAP Service typei
• RIN Quantity.
8=1 ch Volume.
Document Type;
Dpcument Identification:
j [ Advanced RIHSeectenij
The green boxes on the right side of the page indicate which of the two steps of the Retire Wizard you are
completing. The following information is required to retire RINs for reasons other than compliance:
• The renewable fuel code (D code);
• The year the RINs being retired were generated;
• The assignment of the RINs;
• The QAP service type code;
• The number of RINs being retired;
• The date the RINs were retired; and
• The reason for the retire transaction.
All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, Assignment, and QAP
Service Type fields are automatically populated with the information from the row of RINs in the RIN
Holdings grid that you selected to retire. In the Reason for Retire field, only the reasons that are applicable
EMTS User's Guide
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to your organization's registered business activities are available (the remaining options are grayed out).
The Retire Wizard also contains a document grid you can use to specify the name and identifier of one or
more documents that support the retire transaction. Note that the document itself cannot be uploaded. To
add document information to the grid, fill in the Document Type and Document Identification fields, and
click Add. Doing so will add a row to the documents grid (see the Separating RINs section for more details).
When you complete the Identify RINs page, click Advanced RIN Selection at the bottom of the page to
navigate to the second page of the Retire Wizard. On the Advanced RIN Selection page, you have the option
of specifying the batch of RINs that you wish to retire. If you do not wish to make any selections on this
page, click Add to Transaction Bin at the bottom of the page to continue. In this situation, EMTS will
automatically retire the RINs in your RIN Holding Account using the FIFO accounting method.
Alternatively, you may use this page to identify a specific originating organization, or organization and
facility, or organization, facility, and batch number. See the Separating RINs section for details on how to
use the Advanced RIN Selection page to specify originating source information. Once you have specified
the originating source information, click Add to Transaction Bin to continue. After you submit the retire
transaction from the Transaction Bin, the RINs will be removed from your RIN Holdings.
Obligated parties can retire separated RINs for obligation by selecting the Retire (Obligation) option in the
"I want to..." drop-down on the Mange RIN Holdings page. The following information is required to retire
RINS for compliance:
• The renewable fuel code (D code);
• The year the RINs being retired were generated;
• The QAP service type code;
• The number of RINs being retired; and
• The date the RINs were retired.
All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, and QAP Service Type
fields are automatically populated with the information from the row of RINs in the RIN Holdings grid that
you selected to retire. Additionally, the Assignment, Reason for Retire, Compliance Year, and Compliance
Level are automatically hard-coded based on your selections from the RIN Holdings grid. To view the total
number of RINs your organization has retired for obligation, select Compliance Data under the Reports
main menu option. On the View Aggregate RINs Retired for Obligation page (see Figure 38), the retired RIN
quantities are aggregated by Fuel Code, RIN Year, Compliance Year, and Compliance Level. For Refiners
with a "Refinery by Refinery" compliance level, the RIN quantities are also aggregated by Facility. For
organizations that have not retired any RINs for obligation, the grid on this page will be empty. You can also
view your retired RINs on the RIN Holdings (History) page under the RINs menu.
EMTS User's Guide
-------
Figure 38: View Aggregate RINs Retired for Obligation
V>ElV\ Moderated Transaction System
Organization
Submissions
View Aggregate RINs Retired for Obligation
The following grid displays the number of RINs your organization has retired for obligation.
t Transaction Bin
^ Organizations
Selected Organization: RAP Inc.
GEN Biodiesel (4671)
Select a Different Organization
Quick Search
Fuel (D-Code) *
Biornass-Based Diesel (D=4)
Biomass-Based Diesel (D-4)
Escort ODtions: CSV 1 Excel 1 PDF
RIN Year
2010
2010
v Compliance Year
2010
2010
* Compliance Level
Refinery by Refinery
Aggregated Exporter
; Facility ID
Valley Medico Plant 12 (46711)
cmflrnsKJ
1000
50
Trading RINs
You can initiate a trade from your RIN Holdings page. To initiate a sell transaction, you must have RINs in
your RIN Holdings. The following information is required to initiate a trade through a sell transaction:
• The renewable fuel code;
• The year in which the RINs that were sold were generated;
• The assignment of the RINs;
• The QAP service type code;
• The number of RINs that were sold;
• The volume of renewable fuel sold with the RINs (for assigned RINs only);
• The identifier of the organization to which you are selling RINs;
• The name of the organization to which you are selling RINs;
• The date on which the trade occurred as recorded on the Product Transfer Document (PTD);
• 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 reason the RINs have been sold.
For a row of RIN data in your RIN Holdings grid, select Sell in the "I want to..." drop-down, and click Go.
Doing so will take you to the first page of the Sell Wizard (see Figure 39).
EMTS User's Guide
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Figure 39: Sell RINs - Identify RINs Page (Step 1)
Sell RINs - Identify RINs
Enter Fuel (D Code), Riff Year. Assignment, end Quantity of RINs. Also, enter Batch Volume if Assignment = Assigned. To cancel 3 trade that yol
the Pending Initiated Transactions on your Review Trades page and select 'Cancel Offer' for the appropriate transaction.
organization has already initiated, go to
| Identify R
• Fuel (D Code):
* RIN Year;
" Assignment:
' QAP Service Type:
" Quantity of RINs:
Batch Volume:
Biomass-Based Diesel (D=4)
2014
Unverified (30) T
Required For assign,
RIN? or if price per
Gallon is specified.
RIN Holdings
Select Trading Partner >
The green boxes on the right side of the page indicate which of the four steps of the Sell Wizard you are
completing. All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, Assignment,
and QAP Service Type fields are automatically populated with the information from the row of RINs in the
RIN Holdings grid that you selected to sell. Once you complete the information on this page, click Select
Trading Partner to move to the next page. On the Select Trading Partner page, you must identify a trading
partner from a list of organizations that satisfy the search criteria. You can search for an organization by
Organization Name or Organization ID. In Figure 40, the organization names were filtered on the word
"Better," and Better Fuel Corporation was selected from the options. The trading partner organization
must have an enabled business activity that allows it to buy RINs.
EMTS User's Guide
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Figure 40: Sell RINs - Select Trading Partner
oERr\ Moderated Transaction Syste
Organization
Sell RINs - Select Trading Partner
- Transaction Bin
Select a trading partner by searching on the Organization. You may search data by 'Begins with',
'Contains' or 'Equals' (Equals is an exact match), To search by Organization Identifier, choose the
Contains option and enter the Organization Identifier number. To view all organizations, clear the
search criteria and click the 'Search' button. Viewing all organizations may take some time for the
list to load.
Your organization has 0
un-submitted
transactions in the
transaction bin.
| Search for Organization
Organization: | Begins with v \ I Better
View Transaction Bin
Select Trading Partner
| Select Organization
O Better Bio from Uzbekistan (432S)
[•'j Better Fuel Corporation (4410)
O Better Petroleum (4322)
Selected Organization:
Better Fuel Corporation
(4410)
« Identify RINs
Transaction Details »
When you have selected your trading partner, click the Transaction Details button to move to the next page.
On the Sell RINs - Transaction Details and Documents page, you must enter the Transfer Date, Price Paid
(either price per RIN or price per gallon), and Sell Reason. The value entered for Price Paid must have
exactly two digits after the decimal place. Note that you may not enter both price per RIN and price per
gallon.
You may also enter a Matching Transaction Identifier. This element allows users to accept specific buy/sell
transactions in the case of several similar transactions. It is the unique transaction identifier assigned by
EMTS to an initiated trade. When accepting a trade, users can include this element in the trade matching
criteria (along with the other trade matching criteria currently in effect). If this element is reported, EMTS
will attempt to locate a matching transaction based on the MatchedTransactionldentifier and the other
matching criteria provided. If a match is not found, then the transaction will fail. If this element is not
reported, then it will not be used in the trade matching (but all other required matching elements will still
apply).
You can also provide a Product Transfer Document (PTD) number and other additional information. The
Transaction Details and Documents page contains a document grid you can use to specify the name and
identifier of one or more documents that support the sell transaction. Note that the document itself cannot
be uploaded. To add document information to the grid, fill in the Document Type and Document
EMTS User's Guide
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Identification fields, and click Add (see the Separating RINs section for more details). When you have
completed this page, click Advanced RIN Selection to move to the final page of the Sell Wizard.
On the Advanced RIN Selection page, you have the option of specifying the batch of RINs that you wish to
sell. If you do not wish to specify originating source information, click Add to Transaction Bin at the bottom
of the page to continue. In this situation, EMTS will automatically sell the RINs in your RIN Holding
Account using the FIFO accounting method. Alternatively, you may use this page to identify a specific
originating organization, or organization and facility, or organization, facility, and batch number. See the
Separating RINs section for details on how to use the Advanced RIN Selection page to specify originating
source information. Once you have specified the originating source information, click Add to Transaction
Bin to continue. After you submit the sell transaction from the Transaction Bin, the transaction will be in a
pending state, and the RINs associated with the sale will be in the Pending column of the RIN Holdings grid
(see Figure 41). The RINs will remain in the Pending column until the trading partner accepts the sell
transaction.
Figure 41: Pending RINs in RIN Holdings Grid
RIN Holdings Foi
RAP Inc. Obligated Party (4675)
Export options: CSV I Excel PDF
The following information is required to initiate a buy transaction:
• The renewable fuel code;
• The year in which the RINs that were bought were generated;
• The assignment of the RINs;
• The QAP service type code;
• The number of RINs that were bought;
• The volume of renewable fuel bought with the RINs (for assigned RINs only);
• The identifier of the organization that has sold the RINs;
• The name of the organization that has sold the RINs;
• The date on which the trade occurred as recorded on the PTD;
• 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 reason the RINs have been bought
To initiate a buy transaction, go to the Manage RIN Holdings page, and either click the Buy button below the
RIN Holdings grid or select Buy in the "I want to..." drop-down for a row in the RIN Holdings and click Go. If
you select Buy for an existing row in the RIN Holdings grid, the Fuel (D Code), RIN Year, Assignment, and
QAP Service Type in the Buy Wizard will be pre-populated with information from that row.
The green boxes on the right side of the page indicate which of the three steps you are completing. All
fields marked with a red asterisk are required. On the Identify RINs page, you must provide the Fuel (D
Code), RIN Year, Assignment, and Quantity of RINs.
EMTS User's Guide
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You may also enter a Matching Transaction Identifier. This element allows users to accept specific buy/sell
transactions in the case of several similar transactions. It is the unique transaction identifier assigned by
EMTS to an initiated trade. When accepting a trade, users can include this element in the trade matching
criteria (along with the other trade matching criteria currently in effect). If this element is reported, EMTS
will attempt to locate a matching transaction based on the MatchedTransactionldentifier and the other
matching criteria provided. If a match is not found, then the transaction will fail. If this element is not
reported, then it will not be used in the trade matching (but all other required matching elements will still
apply).
You also have the option of using the Advanced Options fields to specify originating source information for
the RINs that you wish to buy. To access the Advanced Options fields, click the Advanced Options tab
circled in Figure 42.
Figure 42: Buy RINs - Identify RINs Page (Step 1)
Buy RINs - Identify RINs
Enter Fuel (D Code), RIM Year, Assignment, and Quantity of RINs. Also, enter Batch Volume if Assignt
:l 3 trade that your organization has already initiated, go to
| Identify RINs
" Fuel (O Code):
• RIH Year:
• QAP Service Type:
* Quantity of RINs:
Batch Volume:
Your organization has 0
un-submitted transactor
in the transaction bin.
- Select-
- Select-
Required for assigned
RINs or if price per
Gallon is specified
Once you click this tab, you will be able to access the Advanced Options fields (see Figure 43).
Figure 43: Buy RINs - Advanced Options
Advanced Options (optional)
Generating Organization
Identifier:
Generating Facility Identifier:
Batch Number:
To specify the originating source for a buy transaction, you will need to know the Generating Organization
Identifier, the Generating Facility Identifier, and the Batch Number (unlike the Sell Wizard where you have
EMTS User's Guide
-------
options available to you). Once you complete the Identify RINs page of the Buy Wizard, click Select Trading
Partner. The Select Trading Partner and the Transaction Details and Documents pages of the Buy Wizard
have the same behavior as the corresponding pages in the Sell Wizard. For buy transactions, the trading
partner organization must have an enabled business activity that allows it to sell RINs. From the
Transaction Details and Documents page, click Add to Transaction Bin. Submit the transaction from the
Transaction Bin to complete the buy transaction. At this point, the transaction will be in a pending state,
but the transfer of RINs will not be reflected in your RIN Holdings grid until the trading partner accepts the
buy transaction.
To view the pending transaction(s) that your organization has initiated or received (as the result of another
organization initiating a transaction with your organization as the trading partner), hover over Trades on
the main menu and select Review Trades. The Review Trades page is organization-specific (see tabs in
Figure 44), so to switch the organization for which the page is displayed, open the Organizations tab of the
accordion on the right side of the page, and click Select a Different Organization.
Figure 44: Review Trades Page
Review Trades
The Review Trades page includes a number of filter options that you can use to search for specific initiated
or received buy or sell transactions. The labels on the Pending Transactions tabs include the number of
transactions within each tab. In Figure 45, the organization has two Pending Initiated Transactions and
zero Pending Received Transactions. In the Review Trades accordion, only one tab can be open at a time,
so to open the Pending Received Transactions tab of the accordion, you would click Pending Received
Transactions. As a result, the Pending Initiated Transactions tab would close.
For Pending Initiated Transactions, you can select View Details in the "I want to..." drop-down to view the
details of the transaction, or you can select Cancel Offer to cancel the trade (see Figure 42). If you choose
Cancel, you will be asked to confirm the cancellation, and the transaction will no longer appear in your
Pending Initiated Transactions (or your trading partner's Pending Received Transactions).
EMTS User's Guide
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Figure 45: Pending Initiated Transactions Options
For Pending Received Transactions, you can select View Details, Accept Offer, or Deny Offer in the "I want
to..." drop-down (see Figure 46).
Figure 46: Pending Received Transactions Options
03/09/2014 2014 Unverified (30)
03/09/2014 2014 Unverified (30)
Advanced Biofus
(D=5)
Bio mass-Based
Diesel (D=4)
Separated Sell
Export options: CSV I Excel I PDF
If you deny the offer, you will see the details of the transaction that you are denying, and you will need to
provide an explanation for denying the trade (see Figure 47). Once you press Confirm Deny, the
transaction will no longer appear in your Pending Received Transactions (or your trading partner's
Pending Initiated Transactions).
EMTS User's Guide
-------
Figure 47: Deny Trade Page
V>tMr\ Moderated Transaction System
Organization
Deny Trade
Submissions
T Transaction Bin
To deny the received trade, please provide an explanation and select the 'Confirm Deny' button located at the bottom
of the page. If you wish to return to the list of your pending transactions, select the 'Back' button.
Your organization has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
You are denying the following Buy pending trade:
300 2010 Assigned Renewable Fuel RINs from
RAP Inc. GEN Cellulosic(4672) submitted on Fri Jan 08 08:14:01 EST2010
for $0.12 per Gallon.
* Please provide an explanation for denying the trade:
« Back
Confirm Deny »
If you select Accept Offer, you will also see the details of the transaction, and you will be asked to provide
the price of the transaction (see Figure 48). Additionally, you will have the option of adding transaction
details and document information. Note that the document itself cannot be uploaded. To add document
information to the grid, fill in the Document Type and Document Identification fields, and click Add (see the
Separating RINs section for more details).
EMTS User's Guide
-------
Figure 48: Accept Trade Page
V>tMr\ Moderated Transaction System
Organization
Accept Trade
Submissions
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.
View Transaction Bin
You are accepting the following Sell pending trade:
12 2014 Unverified Assigned Renewable Fuel RINs from
RAP Inc. GEN EtOH (4670) submitted on 09/22/2014 1:02:23 PM EOT
for $0.55 per Gallon.
Reason: Standard Trade (10)
Transfer Date: 09/22/2014
1 Confirm the price per Gallon for this transaction:
| Trnnsnrtion Details
Additional Information:
PTD:
Additional Information required when Trade Reason is not Standard Trade.
Document Type
Public/Private
Nothing found to display.
| Add Document Information
Document Type:
Document Identification:
Public
« Back
Confirm Accept»
To report a PTD number for your transaction, enter the number in the "PTD" field. If you do not enter a
PTD 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.
Once you click Confirm Accept, the transaction will no longer appear in your Pending Received
Transactions (or your trading partner's Pending Initiated Transactions), and the results of the trade will be
reflected in your RIN Holdings.
EMTS User's Guide
-------
If you select View Details for a Pending Received transaction, you will see the details of the transaction
along with the option to either accept the trade or deny the trade. Clicking Deny Trade will take you to the
Deny Trade page (see Figure 47), and clicking Accept Trade will take you to the Accept Trade page (see
Figure 48).
If a trade is not accepted, cancelled, or denied within ten business days of the submission date (the date
that you or your trading partner initiated the trade), the trade will expire, and it will no longer appear on
your Review Trades page.
As described earlier in this section, a trade can be completed if one trading partner initiates a trade through
a Buy/Sell Wizard, and the other partner then accepts the initiated trade from the Review Trades page.
Trades can also be completed in the following ways:
• Both trading partners submit XML files for a trade (one buy and one sell);
• One trading partner completes a buy/sell transaction on the web application, and the other trading
partner submits a matching XML file for the corresponding transaction; or
• One trading partner completes a buy transaction on the web application, and the other trading
partner completes a matching sell transaction on the web application.
In all of these instances, the following fields must match for the trades to match:
1. RINYear;
2. Fuel Code;
3. RIN Quantity;
4. Reason Code;*
5. Assignment Code;
6. QAP Service Type; and
7. Transaction Date.
* If the buy or sell reason is Deny Trade or Cancel Trade, then the Reason Codes do not need to
match.
In addition:
1) The Trading Partner Organization Identifiers must agree (e.g., the sell transaction should list
the buying organization as the Trading Partner, and the buy transaction should list the selling
organization as the Trading Partner); and
2) If one Trading Partner specifies Originating Source information, then the other Trading Partner
must specify the same Originating Source information.
If these fields do not match, then the trades submitted by both trading partners via XML or web application
will be considered pending initiated trades. For the Price Element matching criteria, both trading partners
must provide either RIN price amount or gallon price amount (the same element), but the values reported
EMTS User's Guide
-------
do not need to match. For more information on using XML files to interact with EMTS, see the Submitting
XML Files Section.
Managing the Blocked List
In some cases, you may wish to ensure that your organization does not buy or own RINs that were
generated by a specific renewable fuel producer, importer, or facility. To do so, you can add a producer or
facility to your organization's Blocked List. When a trade includes RINs that originated from a producer,
importer, or facility on the buying organization's Blocked List, the transaction will automatically be denied
by EMTS, and a notification will be sent to both parties indicating that the transaction was not processed.
You can access your organization's Blocked List by selecting View Blocked List under Organization in the
EMTS main menu.
Figure 49: View Blocked List Page
<>ERr\ Moderated Transactio
Organization
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.
'V Transaction Bin
You have not chosen any fuel producers to bloc! .
From the View Blocked List page (see Figure 49), click the Add Blocked Producer or Add Blocked Facility
button to add a producer or facility to your organization's Blocked List Clicking Add Blocked Producer
takes you to the Add Producer to Blocked List page (see Figure 50). On the Add Producer to Blocked List
page, you must identify a renewable fuel producer from a list of organizations (the list includes only
renewable fuel producers). You can filter the list by Organization Name or Organization ID. To select a
producer to add to your Blocked List, click the organization name in the list, and press Select In Figure 48,
the organization list was filtered with the word "Better," and Better Fuel Corporation was selected.
EMTS User's Guide
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Figure 50: Add Producer to Blocked List Page
V>ERr\ Moderated Transaction Syste
Organization
Add Producer to Blocked List
Transaction Bin
Select an organization by searching on the Organization. You may search data by 'Begins with',
'Contains' or 'Equals' (Equals is an exact match). To view all organizations, clear the search criteria
and click the 'Search' button. Viewing all organizations may take sometime for the list to load. Note
that you will not be able to acquire RINs from any of this organization's facilities.
Your organization has 0
un-subrnitted
transactions in the
transaction bin.
View Transaction Bin
Search for Organization
Organization: -Select- v| betterfuel
Clear
| Select Organization
Better Fuel Corporation (4410)
Selected Organization:
• Comment:
Better Fuel Corporation
(4410)
* = Required Field
« Back
Submit
After you enter a comment in the Comment field and press Submit, you will return to the View Blocked List
page, and the producer that you blocked will be added to the View Blocked List grid (see Figure 51).
Figure 51: View Blocked List Grid
V>tnr\ Moderated Transaction System
Organization
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 Q
un-submitted
transactions in the
transaction bin.
View Transaction Bin
Organization
Better Fuel Corporation (4410)
Export options: CSV I Excel I PDF
All facilities
Date Blocked
ri2/2f./2010 10:31:38 AM EST
EMTS User's Guide
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When you add a producer to your organization's Blocked List, the Facility column in the View Blocked List
grid will contain the text "All facilities," indicating that your organization has chosen to block RINs that
originate at all of the producer's facilities. If you add a facility to the Blocked List, the Facility column will
display the name of the facility that you have blocked, and the Organization column will display the name of
the organization associated with that facility. Note that you may select an organization on the View
Blocked List page regardless of whether that organization has produced RINS or has been enabled as a
current producer.
For each row in the View Blocked List grid, you have the option to either View Details or Remove. Selecting
View Details takes you to a View Blocked List Details page that includes the Organization, Facility, and Date
Blocked information displayed in the grid along with the name of the person that added the
organization/facility to the Blocked List and the comment provided with the action. Selecting Remove
takes you to a Confirm Removal page (see Figure 51). The page displays all of the information included on
the View Details page. You must press Confirm Remove at the bottom of the page to remove the
organization/facility from the Blocked List. Upon doing so, you will return to the View Blocked List grid,
and the removed organization/facility will no longer be included in the grid.
Figure 51: Confirm Removal Page
Confirm Removal
Please confirm that you would like to remove the following from your blocked list,
Your organization has 0
un-submttted
transactions in the
transaction bin.
Organization:
Facility:
Blacked by:
Date Blocked:
Comment:
Better Fuel Corporation (4410)
All Facilities
Wise, Edgar
02/26/2D1D
test
Viewing Historic RIN Holdings
To view information for RINs that your organization previously owned but has since removed from its RIN
Holding Account, select View RIN Holdings (History) under RINs on the EMTS main menu. The View RIN
Holding History page contains details of your organization's retire and sell transactions (i.e., transactions
that remove RINs from your RIN holdings) (see Figure 52).
EMTS User's Guide
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Figure 52: View RIN Holding History Page
View RIN Holding History
RIN H«MMJI Htttoiv for! (UP Inc. GEN BmfltH
This page is organization-specific; to switch the organization for which the page is displayed, open the
Organizations tab of the accordion on the right side of the page, and click Select a Different Organization.
The RIN Holding History grid provides an overview of each retire and sell transaction performed on behalf
of the organization indicated above the grid. To filter the RIN Holding History grid to look for a particular
transaction, use the filter options in the Search for Transactions box, and press Search. To view the details
of a transaction in the grid, select View Details in the "I wantto..." drop-down and click Go.
Viewing Web Submissions
For every set of transactions that you submit from the Transaction Bin, EMTS will create and store a
submission details page (a submission contains one or more transactions). To access the details of
Transaction Bin submissions, select View Web Submissions under Submissions on the EMTS main menu.
EMTS User's Guide
-------
Figure 54: View Web Submissions Page
>TS'trjr\ Moderated Transaction System
Organization Submissions
View Web Submissions
Trades Reports RINs
* Transaction Bin
The following are all of the submissions from the Transaction Bin for 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.
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
Organizations
| Search
CDX Submission ID:
Submission ID:
Submission Date (Begin):
Submission Date (End):
Results Per Page:
(MM/DD/YYYY)
(MM/DD/YYYY)
20
Clear
Filter
Web Submissions for:
RAP Inc. GEN EtOH Number of Submissions: 3
Displaying records 1 through 3 of 3 total.
28
27
26
9/17/144:31 PM
9/17/14 4:26 PM
9/10/14 1:47 PM
Rogers, Nat
Rogers, Nat
Rogers, Nat
Processed
Processed
Processed
-Select-
-Select-
-Select-
' 1 Go 1
-| Go |
-(_GoJ
Export options: CSV I Excel I PDF
The View Web Submissions page is organization-specific, so it includes Transaction Bin submissions
completed by any of an organization's submitters. To switch the organization for which the View Web
Submissions page is displayed, open the Organizations tab of the accordion on the right side of the page,
and click Select a Different Organization. To filter the View Web Submissions grid to look for a particular
submission, use the options in the Search box, and press Filter. The Web Submissions grid includes an
overview of each submission from the Transaction Bin. For each transaction, you will see the submission
ID, submission date, submitter, and status. To view the details of a submission, select View Details in the "I
want to..." drop-down and click Go. Doing so takes you to a View Submission Log Details page, which
contains the details of the submission and an overview of each transaction in the Submission (see Figure
55). You can also download the submitted XML file the View Node Submissions page by selecting
"Download Submitted XML" from the "I want to..." dropdown. The submitted files are stored and available
for download for a limited amount of time.
EMTS User's Guide
-------
Figure 55: View Submission Log Details
View Submission Log Details
The Following content vias included in submission 308.
| Suhrnli
vie/* Transaction Ein
CDX Transaction ID:
Submission ID:
Organization Name:
Submission Date:
Submission Status:
Submitter Name:
_a9131Dab-GalS-009c-5bad-af35bF99c63e
308
RAP Inc. GEN Bmdiesel (4671)
03/09/2014
Processed as of 03/09/2014 6:19:27 PH EOT
Nat Rogers
Sell Transactions
Biomass-Based Diesel (D=4)
Unverified (30)
Assigned
RAP Inc. Obligated Pa*, View Details - | Qo |
Export options: CSV I Excel I PDF
To view the details of a transaction in the submission, select View Details in the "I want to..." drop-down
and click Go.
Submitting XML Files
If you wish to submit data to EMTS without using the website transaction wizards, you may do so by submitting
valid XML files from the EMTS web application, a personal node, or a node client. For more details on XML file
submission, please go to http://www.exchangenetwork.net/exchanges/air/emts.htm and download the
implementation resources available on the site. The Flow Configuration Document (FCD) describes the different
methods of file submission and contains details on the Exchange Network Header v2.0, which must be included
in an XML file for it to be valid. The XML Schema and Data Exchange Template provide additional information
on the structure and content requirements for a valid XML file. Please see the Sample XML Instance File for an
example of a valid XML file. In addition, please see the document titled "Submitting EMTS Transactions Using
XML."
Converting Excel Files to XML
EMTS includes functionality to convert an MS Excel file into a valid XML file. EPA provides a blank Excel
template, which allows users to include all transaction types in one file. It includes general notes about
submitting transactions, user-specific submittal information, and a tab for each transaction type.
The EMTS Excel Conversion Template can be found here
http://www.epa.gov/otaq/fuels/renewablefuels/emtshtml/emtsdocuments.htm.
EMTS User's Guide
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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 and in the Notes tab. To view comments, hover over the header, as shown in Figure 56
below.
Figure 56: Excel Template Comment
B
1
2
3
4
5
6
7
8
9
RIN Quantity ^
r~
REQUIRED
Amount of RINs
that are involved
with the
transaction.
Fuel Code
To convert an Excel file into XML, navigate to Submissions-^ Submit File from the main EMTS menu or the
EMTS home page (see Figure 57).
Figure 57: EMTS Homepage Submit File Options
Submit File History
View Node Submissions
View Web Submissions
are urged to conduct due diligence investigations ant
ing the EPA Moderated Transaction System (EMTS), cs
in the regulations at 40 CFR 80.1431(b)(2), invalid Rir
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 hers.ibubmit;.Fjl
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).
EMTS User's Guide
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On the Submit File page (see Figure 58), 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.
Figure 58: Submit File Page
Submit File
Select a Me to submit. IF the file EC an XML He. then the Be nun* indude the Ewhanfp? Ketwort
Header v2.0 and must pas* SUITS rf,0 XSO schema vaMabMi It* it to be submitted to (Tie EMTS
Nodp. if you arfl submitting an Excel file, cbck "Convert", thon cfcck "Subrr*' after downloading th*
XML file to your local system. It you reore-sent imJDpte ofganizabom, you may submit j Me (or any
of vmr ora>a«iBtHMis from this page.
Your arQjnaauon ha* 0
un-s ubmtted transactions
in Uie transaction b*v.
Transaction Bin
| Idpottfy f ihi
t ,tr
No file selected
Submit
Once you have identified a file, click the Convert button (see Figure 59). After clicking the Convert button, it
may take some time to process, so please be patient.
Figure 59: Submit File Page - Loading the File
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.
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 60), 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 the Submit File
page. Once you have corrected your errors, re-submit the file and click the Convert button.
EMTS User's Guide
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Figure 60: 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 Firefox do with this file?
I Open with; Windows Explorer (default)
Save File
•*
Do this automatically for files like this from 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 61. It may take some time to process, so
please be patient and avoid clicking the Submit button again.
Figure 61: Submit Converted Excel File
Submit File
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.
•*• Transaction Bin
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
| Identify File
' File:
Test file.xls
View Submit File History
Loading..
EMTS User's Guide
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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 62: Submit File Page
Submit File
Your file Test_file.xml has been submitted. Please see the Submit File History page for the latest status of
four submission.
| Identify File
" File:
View Submit File History
Convert
Submit
^ Transaction Bin
Your organization has 0
un-submitted transactions
in the transaction bin.
View Transaction Bin
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 63), 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.
EMTS User's Guide
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Figure 63: 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-submitted 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/DD/YYYY)
20
Clear
Filter
Submit File History For: Test Company
Displaying records 1 through 3 of 3 total.
CDX Transaction ID
_5 1 199 12c-8S43-f 135-Qf7f-8dd0969412 15
_50f91944-8643-fl35-550c-le6a69945942
_504fbb88-8643-fl35-6d8a-e93bd90b81a8
^ File Name
Test_file.zip
Test_file.zip
Test_file2.zip
i| Received By CDX i] Status Date jl
^-"^?es ~\9/24/13 1:52 PM
( Yes 9/24/13 1:16 PM
\^Yes ^_^^9/24/13 10:11 AM
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
In the example shown in Figure 64, 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.
EMTS User's Guide
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Figure 64: 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: - Select- »
Submission Date (Begin):
(MM/DD/YYYY)
Submission Date (End):
Results Per Page: 20
(MM/DD/YYYY)
Clear
Filter
XML File Submissions for: Test Company
_50f91944-8643-fl3S-S50c-le6a69945942
_504fbbS8-8643-fl35-6d8s-e93bd9Qb81aS
Number of Files Received: 2
Displaying records 1 through 2 of 2 total.
9/24/13 1:16 PM Test_file.zip
9/24/1310:11 AM Test_file2.zip
Tester, Demo
Tester, Demo Processed
View Details - I Go
Export options: CSV I Excel 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.
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. 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 want to..." column to
see more information about the submission and a list of transactions within the submission (see Figure 65).
EMTS User's Guide
-------
Figure 65: View Node Submissions Options
Submission Status ^
Failed
Processed
Processed
I want to.
-Select-
Download Submitted XML
View Details
QA Results
Go
From the submission details page, you will be able to view transaction details for each transaction in the
submission. For processed and failed files, you can also download the submitted XML file the View Node
Submissions page. The submitted files are stored and available for download for a limited amount of time.
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.
Receiving Notifications
EMTS can communicate information to users by sending notifications via email. Some notifications will be
sent immediately while others will be aggregated and sent nightly. The current version of EMTS includes a
number of immediate notifications, such as the EMTS Trade Cancelled notification and the EMTS Trade
Denied notification, along with several aggregated daily notifications, such as the EMTS Notification of
Pending Trades and the Daily Processed Document Summary. For a complete list of notifications, see
Appendix E of the Flow Configuration Document, on the EMTS Documents page.
To receive these notifications, you must first subscribe to the notifications from the Manage Subscriptions
page (see Figure 66) (click Manage Subscriptions under the Reports menu option). Users will be
automatically subscribed for some notifications.
EMTS User's Guide
-------
Figure 66: Manage Subscriptions Page
OLfft Moderated Transaction Syste
Manage Subscriptions
subscribe. NOTE: 3-per-day reports are kicked off at 1AM, 1PM, and 6PM EST. Daily reports are kicked off at 1;30AM EST. CSV format dot
The three subscription tvoes are Document. Notification, and Compliance Report. The 'Document tvoe subscription refers to documents Generated bv the EMTS application that disolav a
Select subscription and click Go to subscribe o
opened in Microsoft Excel.
Selected Organization: RAP Inc. GEN
EtOH (4670)
Select a Different Organization
Cancelled Trades
Completed Trades
Expired Trades
Monthly RIN Generation
Monthly RIN Holdings
Monthly Transaction History
Pathway Status
Pending Trade Details
Pending Trades
RIN Batches
RIN Generation
RIN Holdings
Transaction History
Transaction Status
Annual Statement Available
Slocked Party - Initiated Trade Not Processed
Daily Processed Document Summary
Initiated Trade Cancelled
Initiated Trade Denied
Locked RINs
9
Notification of Pathway Association Suspension
Notification of Pending Trades
Notification of QAP Provider Pathway Association About To Expire
Processing Failure
Quarterly Reports Available
Received Trade Cancelled
Received Trade Denied
Reminder - Outstanding Initiated Trade Transactions
Submission Level Failure
Subscription Status
Trade Expired
Transaction Error Report Available
Unlocked RINs
Unused Documents
RFS2 EMTS Activity Report (Assigned RINS)
RFS2 EMTS Activity Report (Separated RINS}
RFS2 EMTS Annual Report
RFS2 EMTS Annual Statement
RFS2 EMTS RIN Generation CSV/XML Report
RFS2 EMTS RIN Generation Report
RFS2 EMTS RIN Transaction CSV/XML Report (Buy, Sell, Separate, Retire)
RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire)
RFS2 EMTS Transaction Error Report
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
No
No
No
No
No
No
No
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No
Yes
No
No
Yes
No
No
No
No
No
Yes
No
No
No
Yes
Yes
Yes
No
Yes
No
Yes
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscript™
09/06/2014 EPA admin Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
09/06/2014 EPA admin Manage Subscription
09/06/20 14 EPA admin Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
09/06/20 14 EPA admin Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
09/06/2014 EPA admin Manage Subscription
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To subscribe to a notification, press Go in the "I want to..." column. On the Manage Subscription page for
that notification, check the "Subscribed" checkbox. For the immediate notifications, the frequency will be
"Immediate," and for the daily notifications, the frequency will be "Daily." All notifications will be text
format and will be delivered via email. All subscriptions are organization specific, so if one submitter for an
organization subscribes to a notification, then all submitters for that organization will receive the
notification.
EMTS User's Guide
-------
Receiving Documents
EMTS also creates various reports and documents that include information about data submitted for your
organization. These documents can be accessed from the EMTS website (click View Reports under the
Reports menu item) or retrieved from the EMTS node. The documents included in the current release are:
• Cancelled Trades: This document, available on a nightly basis, lists all initiated and received trades
that have been cancelled within the past 10 calendar days.
• Completed Trades: This document, available weekly, nightly, or three times per day, lists all trades
that have reached their final status (completed, cancelled, expired, or denied) within the past 10
calendar days.
• Expired Trades: This nightly document lists all pending trades that will expire within 1 business
day as well as all trades that have expired within the past 10 calendar days.
• Monthly RIN Generation Report: Both organizations and agents may subscribe to the report. This
report is available monthly and contains detailed information on the RIN batches generated by the
subscribed organization during the prior month.
• Monthly Transaction History: This document, available on a monthly basis, lists all generate,
separate, buy, sell and retire transactions submitted by an organization through XML files or the
EMTS web interface during the prior month.
• Monthly Verified RINs Generate Activity: This document, available on a monthly basis, is only
available to QAP Providers. It includes detailed information on RIN batches that were generated on
a verified pathway during the prior month.
• Pathway Status: This document, available on a nightly basis, lists all of a fuel producer's registered
pathways and the QAP status of those pathways.
• Pending Trade Details: This document, available on a nightly basis or three times per day, lists the
RIN batch details of all pending initiated and pending received trades for an organization.
• Pending Trades: This document, available on a nightly basis or three times per day, lists the details
of all pending initiated and pending received trades for an organization.
• QA Feedback: This immediate document shows the failed QA check results for a given failed
submission. Note that you do not need to subscribe to this document because it is created after
every failed submission.
• RIN Batches: This document, available on a daily or weekly basis, lists all RIN batches that an
organization owns.
EMTS User's Guide
-------
• RIN Generation: Both organizations and agents may subscribe to the report These reports are
available in 3-per-day, daily, and weekly formats, and contain detailed information on the RIN
batches that were generated by the subscribed organization.
• RIN Holdings: This document, available on a nightly basis or three times per day, lists the current
aggregate total RIN Holdings for an organization grouped by fuel code, assignment and RIN year.
• Transaction History: This document, available weekly, nightly, or three times per day lists all
generate, separate, buy, sell and retire transactions submitted by an organization through XML files
or the EMTS web interface within the past 14 days.
• Transaction Status: This document, available nightly, includes transaction activity for the previous
day.
• Verified RINs Generate Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on RIN batches that were generated on a verified
pathway during the previous 10 days.
• Verified RINs Retire Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on verified RIN batches that were retired by the RIN
Generator during the previous 10 days.
• Verified RINs Sell Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on verified RIN batches that were sold by the RIN
Generator during the previous 10 days.
• Verified RINs Separate Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on verified RIN batches that were separated by the RIN
Generator during the previous 10 days.
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 is created, the
Cancelled Trades, Completed Trades, Expired Trades, Pending Trades, Pending Trade Details, and
Transaction Status documents for that month are purged. For more information on the available
documents, please see the EMTS Document Descriptions v3.2 file on the EMTS Documents webpage.
To download the documents from the EMTS website or retrieve them using a personal node or node client,
you must first subscribe to them from the Manage Subscriptions page (see Figure 61) (click Manage
Subscriptions under the Reports menu option).
Note: If you subscribe to a document and then do not download the document within 22 business days, you
will be automatically unsubscribed from that document. You will receive an email notification before and
after the system performs this action. You may re-subscribe to the document at any time.
EMTS User's Guide
-------
Figure 67: Manage Subscriptions Page
OLfft Moderated Transaction Syste
Manage Subscriptions
subscribe. NOTE: 3-per-day reports are kicked off at 1AM, 1PM, and 6PM EST. Daily reports are kicked off at 1;30AM EST. CSV format dot
The three subscription tvoes are Document. Notification, and Compliance Report. The 'Document tvoe subscription refers to documents Generated bv the EMTS application that disolav a
Select subscription and click Go to subscribe o
opened in Microsoft Excel.
Selected Organization: RAP Inc. GEN
EtOH (4670)
Select a Different Organization
Cancelled Trades
Completed Trades
Expired Trades
Monthly RIN Generation
Monthly RIN Holdings
Monthly Transaction History
Pathway Status
Pending Trade Details
Pending Trades
RIN Batches
RIN Generation
RIN Holdings
Transaction History
Transaction Status
Annual Statement Available
Slocked Party - Initiated Trade Not Processed
Daily Processed Document Summary
Initiated Trade Cancelled
Initiated Trade Denied
Locked RINs
9
Notification of Pathway Association Suspension
Notification of Pending Trades
Notification of QAP Provider Pathway Association About To Expire
Processing Failure
Quarterly Reports Available
Received Trade Cancelled
Received Trade Denied
Reminder - Outstanding Initiated Trade Transactions
Submission Level Failure
Subscription Status
Trade Expired
Transaction Error Report Available
Unlocked RINs
Unused Documents
RFS2 EMTS Activity Report (Assigned RINS)
RFS2 EMTS Activity Report (Separated RINS}
RFS2 EMTS Annual Report
RFS2 EMTS Annual Statement
RFS2 EMTS RIN Generation CSV/XML Report
RFS2 EMTS RIN Generation Report
RFS2 EMTS RIN Transaction CSV/XML Report (Buy, Sell, Separate, Retire)
RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire)
RFS2 EMTS Transaction Error Report
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Document
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Notification
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
Compliance Report
No
No
No
No
No
No
No
No
No
No
No
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No
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No
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No
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No
Yes
No
No
Yes
No
No
No
No
No
Yes
No
No
No
Yes
Yes
Yes
No
Yes
No
Yes
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
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Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscript™
09/06/2014 EPA admin Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
09/06/2014 EPA admin Manage Subscription
09/06/20 14 EPA admin Manage Subscription
09/06/2014 EPA admin Manage Subscription
Manage Subscription
09/06/20 14 EPA admin Manage Subscription
Manage Subscription
09/06/2014 EPA admin Manage Subscription
09/06/2014 EPA admin Manage Subscription
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On the Manage Subscriptions page (see Figure 67), press Go in the "I want to..." column to update the
subscription for a specific document. On the Manage Subscription page for that document, check the
"Subscribed" checkbox to subscribe to the document If the document is available at multiple frequencies
(i.e. Daily and 3 per day), select the desired frequency. Documents can be received in CSV or XML format
and can be downloaded from the EMTS website or from the EMTS node using a node or a node client.
After you subscribe to a document, you will be able to download the documents with a daily subscription
frequency the following morning and the documents with a subscription frequency of three times per day
EMTS User's Guide
-------
at the next document generation interval. 3-per-day reports are generated at 1AM, 1PM, and 6PM. Weekly
reports are generated Sunday mornings. You can download the documents from the View Reports page
(see Figure 68) (click View Reports under the Reports menu option).
Figure 68: View Reports Page
ODTr^ Moderated Transaction System ^^^
Organization Submissions Trades Reports RINs
View Reports
For the desired document,
View All Documents'.
•**
..Jm
•l^B
— •-%§
^•^
I - Transaction Bin •
please select 'Download Document', To view all available versions of
a document,
select £S?y\ Your organization has 0
\\1 un-submitted
L^J^/ transactions in the
transaction bin.
View Transaction Bin
HI Document Name
f\ Document Description ^
This document lists all trades that are in a pending state.
Pending Trades Pending trades are buy or sell transactions for which the trading
party has not yet submitted a matching transaction.
D .. T . n . .. Thisdocumentlistsallpendingtradesforyourorganization.lt
••"••-•' ": includes batch detail information for each transaction.
RIN Holdinos Ttlis 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
Transaction History 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
Expired Trades business day as well as all trades that have expired in the last
10 days.
,, AT A This document lists all trades that were completed (i.e., no longer
Completed Trades pending) over the last 10 days.
Report^ WN Generati°n The quarterly RFS2 EMTS RIN Generation Report.
Re^ort'nT,uvRSeT|r Separate The C1uartei'|y RFS2 EMTB RIN Transaction Report (Buy, Sell,
Regre)* "; " - •' Separate, Retire).
(ATs1oriedSRINS^t¥ ReP°rt RFS2 EMTS Activity Report (Assigned RINS)
(SeparatS^Ss)" RePOIt RFS2 EMTS Activity Report (Separated RINS)
Report"75 TranSaCti°n Err°r RFS2 EMTS Transaction Error Report
Frequency
3 per day
3 per day
Daily
Daily
Daily
3 per day
Quarterly
Quarterly
Quarterly
Quarterly
Quarterly
Last Run
Time |
09/03/2010
3:54: 13PM EOT
09/03/2010
3:54: 13PM 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- j v | Go |
GH£31!S!flHMHHiH
Download Document QQ 1
ViewAII Documents '
-Select- v|| Go
-Select- v|[ Go
-Select- v|| Go
-Select- v Go
-Select- v|[ Go
-Select- v|| Go
-Select- v|| Go
-Select- v|[ Go
Mo valid actions
Exoort options: LSV I Excel I PDF
EMTS User's Guide
-------
The grid on the View Reports page displays the documents to which you have subscribed. You will also be
able to see the frequency you have selected for each report or document and the last run time for each
document To access the latest version of a document, select Download Document in the "I want to..."
dropdown. To access a prior version of the document, select View All Documents in the "I want to..."
dropdown.
When you select Download Document and press Go, you will see a window asking you to either open or
save the ZIP file (see Figure 69). After you open the ZIP file, you will be able to access the document.
Figure 69: Download Document Window
Opening RIN Holdings.zip
You have chosen to open
C^ RIN Holdings.zip
which is a: WinZip File
from: http://mts-app-stage.pqa.local
What should Firefox do with this file?
01 Open with! | WinZip (default)
O Save File
Q Do this automatically for files like this from now on.
OK
Cancel
For information on how to retrieve these documents using your personal node or node client, please refer
to Section 6 of the EMTS Flow Configuration Document, which can be downloaded from the Exchange
Network website http://www.exchangenetwork.net/exchanges/air/emts.htm.
Quarterly Reports
Overview
EMTS generates the following quarterly reports:
• RFS2 EMTS Activity Report (Assigned RINs)
• RFS2 EMTS Activity Report (Separated RINs)
• RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire)
• RFS2 EMTS RIN Generation Report
• RFS2 EMTS Transaction Error Report
Examples of each report are contained in the appendix of the EMTS Quarterly Reports: Getting Started
Guide. All reports are generated automatically by EMTS, with the exception of the RFS2 EMTS Transaction
EMTS User's Guide
-------
Error Report See the section "How do I create a Transaction Error Report?" for guidance on how to
generate this report. Important: Once a Transaction Error Report is generated for your organization,
it cannot be changed in any way.
Figure 67 describes the reports and indicates how they are related to the reporting forms. All reporting
forms pursuant to requirements in 80.1451 are available at
http://www.epa.gov/otaq/regs/fuels/rfsforms.htm. Quarterly reports must be submitted within two
months of the end of the quarter.
Figure 70: ETMS Quarterly Report Descriptions
EMTS Report
RFS2 EMTS
Activity Report
(Assigned RINs)
RFS2 EMTS
Activity Report
(Separated
RINs)
RFS2 EMTS RIN
Transaction
Report (Buy,
Sell, Separate,
Retire)
Availability in
EMTS Description
Generated by
EMTS within 10
business days of
the end of the
quarter.
Generated by
EMTS within 10
business days of
the end of the
quarter.
Generated by
EMTS within 10
business days of
the end of the
quarter.
RFS2 RIN information for the
RFS0101 report. EMTS provides
the total number of assigned RINs
owned at the start of the reporting
period; 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.
RFS2 RIN information for the
RFS0101 report. EMTS provides
the total number of separated RINs
owned at the start of the reporting
period; 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.
Detailed transactions grouped by
transaction type for an
organization. Includes Buy, Sell,
Separate and Retire transactions.
Old
RFS1 Reporting New RFS2
Form Reporting Form
RFS0100: RFS
Activity Reporting
Form (40 CFR
80.1152(c)(2))
RFS0100: RFS
Activity Reporting
Form (40 CFR
80.1152(c)(2))
RFS0200: RIN
Transaction
Report.
RFS0102 (40 CFR
80.1451(c)(2))
RFS0102 (40 CFR
80.1451(c)(2))
No Excel version;
only EMTS PDF
version. Note that
RFS1 RIN
transactions are
reported in the new
RFS0201. (40 CFR
80.1451(c)(l))
(cont.)
EMTS User's Guide
-------
EMTS Report
RFS2 EMTS RIN
Generation
Report
RFS2 EMTS
Transaction
Error Report
Availability in
EMTS
Generated by
EMTS within 10
business days of
the end of the
quarter.
Can be created in
EMTS following
the quarter.
Deadline to create
is the quarterly
reports
submission
deadline.
Description
Detailed batches of RINs generated
for an organization. Includes only
Generate transactions for the
quarter.
Detailed transactions for which a
discrepancy exists between the
EMTS and the organization's
internal record-keeping system, as
reported by the organization.
Old
RFS1 Reporting
Form
RFS0400: RFS RIN
Generation
Reporting Form
(40 CFR
80.1152(b)(l))
No equivalent.
New RFS2
Reporting Form
No Excel version;
only EMTS PDF
version. The
RFS0400 may only
be used for RFS1
RINs generated prior
to July 1,2010. RFS2
RINs are reported in
the new RFS2 EMTS
RIN Generation
Report. (40 CFR
80.14510))
New report in RFS2.
When are the quarterly reports available?
Quarterly reports will be available to download within ten business days of the end of a quarter. An email
notification will be sent when the quarterly reports are available to download from the EMTS website. To
subscribe to the "Quarterly Reports Available" notification, access the Manage Subscriptions page from the
Reports menu on the EMTS web interface.
How do I subscribe to quarterly reports?
You must login to the EMTS web application to subscribe to quarterly reports. In the EMTS main menu,
select Reports, and then select Manage Subscriptions.
All of the reports are available in PDF format In addition, the RFS2 EMTS RIN Generation Report and the
RFS2 EMTS RIN Transaction Report are available in XML and CSV format You can subscribe to the PDF
format and either the XML or the CSV format if you wish. Subscriptions are organization specific, so all
submitters for an organization can download the reports.
To change the subscription for a quarterly report, click the Go button in the "I want to..." column for the
report On the Manage Subscription page for that report, check or uncheck the "Subscribed" box (see Figure
71).
EMTS User's Guide
-------
Figure 71: Manage Subscriptions Page
OCrvH Moderated Transaction Systc
Organization
Submissions
Manage Subscription
T Transaction Bin
Modify and dick Update
Your organization has 0
un-submitted
transactions in the
transaction bin,
View Transaction Bin
Subscription Name:
Type:
Description:
Subscribed:
* Frequency:
* Method:
* Format:
RFS2 EMTS RIN Generation Report
Report
The quarterly RFS2 EMTS RIN Generation Report.
(0)
| Quarterly v |
[Download v-
PDF v]
1 = Required Field
« Back
Update
How do I access my quarterly reports?
You can access your quarterly reports either by downloading them from the EMTS web application or by
sending a Solicit request for them using your node. To download the reports from the EMTS web
application, select Reports, and then select View Reports. The View Reports page displays all of the reports
to which your organization has subscribed (see Figure 72).
EMTS User's Guide
-------
Figure 72: View Reports Page
V>tMr\ Moderated Transaction System ^^^
Organization Submissions Trades Reports
View Reports
k!f*^5^
RINs
m^m
1 " Transaction Bin •
For the desired document, please select 'Download Document'. To view all available versions of a
document, select View All Documents'.
HI Document Name ^ Document Description ^
IflSSir SeHSr™5 "" Tran5aCt'°n ""^ ^'
Generation Report The ^arte^ RFS2 EMTS RIN Generation Report.
WsSs1gEnedSR^)it¥ ^^ RFS2 EMTS Activlt^ ReP°rt fAs5l=ned RINS'
(S^araTed^ ^ RFS2 ™TS ***» ReP°rt ^*^ ™V
ErFro2r R^ort"3"53*'0" RFS2 EMTS Transartlon Errar ReP°rt
This document lists all trades that are in a pending
P . T . state. Pending trades are buy or sell transactions for
pending i raues which the trading party has not yet SUDmitted a
matching transaction.
This document lists all pending trades for your
Pending Trade Details organization. It includes batch detail information for
each transaction.
Frequency
Quarterly
Quarterly
Quarterly
Quarterly
Quarterly
3 per day
3 per day
{Y7/H. Your organization has 0
\|7 un-submitted
\_ \J transactions in the
transaction bin.
View Transaction Bin
ILast Run
Time
09/10/2010
11:21:17 AM
EDT
09/10/2010
11:20:31 AM
EDT
09/10/2010
11:21:25 AM
EDT
09/10/2010
11:21:28 AM
EDT
09/10/2010
11:22:05 AM
EDT
09/10/2010
11:22:05 AM
EDT
I want to... H
-Select- |v| Go
-Select- |
View All Documents ^ Go ]
-Select- v|[ Go
-Select- v| Go
No valid actions
-Select- v|[ Go
-Select- v| Go
To download a report, select Download Document in the "I want to..." drop-down menu and click the Go
button. Note that if the "I want to..." column for a report says "No valid actions," the report is not yet
available to be downloaded. To view reports from previous quarters, select View All Documents.
You will be prompted to open or save the ZIP file (see Figure 73). You must open the ZIP file to extract the
report.
EMTS User's Guide
-------
Figure 73: Download Document Window
Opening RIN Ho [dings, zip
You have chosen to open
C^ RIN Holdings.zip
which is a: WinZip File
from: http://mts-app-stage.pqa.local
What should Firefox do with this file?
0 i Qpen with! | WinZip (default)
0 Save File
H Do this automatically for files like this from now on.
OK
How do I create a Transaction Error Report?
The RFS2 EMTS Transaction Error Report is used to report discrepancies that exist between the EMTS and
your organization's internal record-keeping system. 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. You can report transaction errors
following the end of the quarter. When you have entered and submitted your transaction errors, EMTS will
create a Transaction Error Report for your organization. If you do not enter any errors or if you do not
submit the reported errors, EMTS will not generate a Transaction Error Report for your organization. Note
that you may edit your transaction errors and request the Transaction Error Report for the prior quarter
any number of times until the quarterly report submittal deadline, is two months after the quarter ends.
Reports are due May 31, August 31, November 30, and February 28.
You must login to the EMTS web application to report transaction errors. In the EMTS main menu, select
Reports, and then select Transaction Errors. If the compliance period is closed or you have previously
submitted a Transaction Error Report for the quarter, you will see a message indicating that transaction
error reporting is not available. If the Compliance period is open and you have not yet submitted a
Transaction Error Report for the quarter, press Continue.
On the View Reported Errors page, you can add transaction errors to the Reported Errors grid (see Figure
74). If you have already entered errors for the quarter, but have not yet submitted them, you can view and
edit the errors on this page.
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Figure 74: View Reported Errors Page
oderated Transaction System
Organization Submissions Trades Reports RINs
View Reported Errors for Second Quarter 2010
Transaction Bin
Below are the errors you have reported for the most recent quarter, To report an error for an
additional transaction, please click 'Add Error.' Otherwise, please click 'Submit Errors' to confirm your
reported errors and generate a Transaction Error Report.
Your organization has 0
un-submitted
transactions in the
transaction bin,
View Transaction Bin
| | Error Options
Add Error
Submit Errors
Search for Errors
Transaction ID:
Submission ID:
CDX Transaction ID:
Submission Date (Begin):
Submission Date (End):
Transaction Type:
(MM/DDAYYY)
(MH/DDAYYY)
-Select- v
Clear
Search
Reported Errors
Displaying records 1 through 1 of 1 total.
Transaction ID i| Transaction Type ^ Submission Date ^ Modified By
Date Modified
20
Generate
09/21/2010 9:25:26 AM EOT Ana Jernec 09/21/2010 9:41:33 AM EOT -Select- v| Go
Export options: CSV I Excel I PDF
To add a new transaction error to the Reported Errors grid, click Add Error. On the Search Transactions
page (see Figure 75), use the Search for Transactions filters to identify the transaction for which you wish
to report an error.
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Figure 75: Search Transactions Page
otnH Moderated Transaction System
Organization
Search Transactions
Transaction Bin
Please use the filter to search for transactions. Your search will be limited to transactions from Second
Quarter 2010. To view all of your organization's transactions for the quarter, please click 'Search'
without selecting any criteria.
Your organization has 0
un-submitted
transactions in the
transaction bin.
View Transaction Bin
Search for Transactions
Submission ID:
Transaction ID:
CDX Transaction ID:
Transaction Type:
Fuel:
RIN Year:
Assignment:
Submission Date (Begin):
Submission Date (End):
-Select-
-Select-
v
-Select- -*\
Clear
(MM/DD/YYYY)
(MM/DD/TYYY)
Search
Transactions
Displaying records 1 through 3 of 3 total.
Submission A. Transaction A Transaction
ID "H ID •*" Type
Submission
Date
Fuel A.! RIN
(D-Code)
Trading .*.!
Partner
21
22
20
21
Generate
Separate
09/21/2010 Renewable
9:25:26 AM EOT Fuel (D=6)
09/21/2010 Renewable
9:25:42 AM EOT Fuel (D=6)
2010
2010
Assigned
Assigned
-Select- v Go
| Identify Error v| Go
The Transactions grid will display your organization's transactions that match the search criteria. The "I
want to..." dropdown will contain the Identify Error option for transactions without previously reported
errors and the Edit Details and Remove options for transactions with previously reported errors. To report
an error for a transaction without a previously reported error, press Go in the "I want to..." column.
On the Identify Transaction Errors page, you can view the details of the transaction by clicking the "+" on
the Transaction Details panel (see Figure 76).
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Figure 76: Identify Transaction Errors
otnH Moderated Transaction System
Organization
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 (D Code):
22
09/21/2010 9:25:42 AM EOT
21
Separate
Renewable Fuel (D-6)
| Report Errors
1 Explanation of Errors:
Document Information:
: = Required Field
« Back
Save
Provide an explanation of the error(s) in the "Explanation of Errors" field, and add any additional
information in the "Document Information" field (optional), then click Save. You will then return to the
View Reported Errors page, and the error will appear in the Reported Errors grid. On the View Reported
Errors page, you can use the filters to search for transactions for which you have already reported errors.
To edit the details of an error that you have already reported, select Edit Details in the "I want to..." drop-
down menu. The Identify Transaction Errors page will display the details that you previously provided.
Click Save to keep any updates.
To remove an error from the Reported Errors grid, select Remove in the "I want to..." drop-down menu.
The Confirm Remove page will display the transaction details and reported errors. Click Remove to
confirm removal of the error.
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Once you have reported all transaction errors for the quarter, press Submit Errors on the View Reported
Errors page. After you press the Submit button, you must confirm the transaction errors (see Figure 77).
Figure 77: Confirm Transaction Errors
'SS'tHrV Moderated Transaction System
Organization
Submissions
Confirm Transaction Errors
~
EPA reserves the right to bring enforcement actions for any violations, regardless of filing a transaction error report or taking remedial action.
Please confirm your reported transaction errors. Note that after selecting Confirm EMTS will generate your Transaction Error Report and you
will no longerbe able to add/edit transaction errors for this compliance period,
Once confirmed - no additional errors may be submitted.
Transaction Errors
Displaying records 1 through 3 of 3 total.
Transaction ID
20
21
22
Export options: CSV 1 Excel 1 PDF
^ Transaction Type
Generate
Separate
Retire
* Submission Date ^
09/21/2010 9:25:26 AM EOT
09/21/2010 9:25:42 AM EOT
09/21/2010 9: 26: 04 AM EOT
« Back
Confirm
Once you confirm the transaction errors, EMTS will generate your organization's Transaction Error Report,
and you will be able to add or edit transaction errors until the end of the quarterly compliance period.
EMTS will generate the report within one business day of your confirmation. At that time, the Transaction
Error Report will be available for you to download from the View Reports page (select View Reports under
the Reports menu option). To download the Transaction Error Report, select Download Document in the "I
want to..." drop-down menu. Note that if the "I want to..." column for the report says "No valid actions," the
report is not yet available to be downloaded. When you select Download Document and press Go, you will
see a window asking you to either open or save the ZIP file (see Figure 78). After you open the ZIP file, you
will be able to access the PDF report.
EMTS User's Guide
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Figure 78: Download Document Window
Opening RIN Ho [dings, zip
You have chosen to open
C^ RIN Holdings.zip
which is a: WinZip File
from: http://mts-app-stage.pqa.local
What should Firefox do with this file?
0 i Qpen with! | WinZip (default)
0 Save File
H Do this automatically for files like this from now on.
OK
Which transactions are included in the quarterly reports?
The reports include transactions that were submitted and completed during the quarter. Thus, generate,
buy, and sell transactions with a generation date or transaction date in one quarter and a submission date
in another quarter will be included in the quarterly reports from the quarter that contains the submission
date. Retire and separate transactions are always included in the report from the quarter during which
they were submitted.
How do I submit quarterly reports?
You must submit your reports through the DC Fuels application, which is accessed through MyCDX. For
more information, visit http://www.epa.gov/otaq/regs/Juels/rfsforms.htm. You are required to submit the
reports in PDF format within two months of the end of the quarter. Note that the XML and CSV versions of
the quarterly reports should be used for verification purposes only.
Are examples of the quarterly reports available?
For examples of the quarterly reports, please see the document "EMTS Quarterly Reports - Getting Started
Guide."
Annual Reports
EMTS generates two organization-specific annual reports, both of which are provided in PDF format. The
RFS2 EMTS Annual Report shows details for every RIN batch that an organization has retired for
compliance, and the RFS2 EMTS Annual Statement shows aggregate values for the number of RINs an
organization has retired for compliance.
Users must be subscribed to the reports to be able to download them after they are generated by EMTS.
Subscriptions are organization specific, so all submitters for an organization can download the reports.
EMTS User's Guide
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You can subscribe to the annual reports on the Manage Subscriptions page by selecting Manage
Subscriptions under Reports on the EMTS main menu.
To change the subscription for an annual report, click the Go button in the "I want to..." column for the
report. On the Manage Subscription page for that report, check or uncheck the "Subscribed" box.
To download the annual reports, you must login to the EMTS web application. In the EMTS main menu,
select Reports, and then select View Reports. The View Reports page displays all of the reports to which
your organization has subscribed. For the annual report that you wish to download, select Download
Document in the "I want to..." drop-down menu and click the Go button. Note that if the "I want to..."
column for a report says "No valid actions," the report is not yet available to be downloaded. You will be
prompted to open or save the ZIP file (see Figure 67). You must open the ZIP file to extract the report.
EMTS quarterly reports are provided in PDF format
Agent Reports
EMTS users registered as Agents in the OTAQ Registration system see an additional menu item in the EMTS
main menu called "Agents." This tab includes the option to subscribe and download EMTS documents for
all of their associated organizations, rather than having to switch organizations and download each
organization's documents separately. The .ZIP files contain all EMTS documents - daily, three per day,
weekly, and monthly - for all organizations associated with the Agent Note that the. ZIP file will only
include documents that have active subscriptions. Quarterly reports are not available as Agent Reports.
To subscribe to Agent reports, click the "Agent" menu item in the main menu (only visible to registered
Agents), and select "Manage Subscriptions" (see Figure 79).
Figure 79: Managing Agent Report Subscriptions
Regulated parties are urged to conduct due view Reports
and exercise caution when conducting ReneL,
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.
^ To view pending transaction details, click the following link: ]
[^ You can submit your XML file here. Submit File
Your organization has 0 un
-submitted transactions in
the transaction bin.
View Transaction Bin
Organizations
Announcements
Note: Agents must manage document subscriptions for individual organizations on the Manage
Subscriptions page located under the Reports menu for each organization.
EMTS User's Guide
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In the "I wantto..." column, click the Go button to manage the subscription for a report (see Figure 80).
Figure 80: List of Agent Reports
S>ERr\ Moderated Transaction System
Organization Submissions Trades Reports Agent RINs
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.
View Transaction Bin
Subscription Name ^
Agent Cancelled Trades Daily
Agent Cancelled Trades Hourly
Agent Completed Trades Daily
Agent Completed Trades Hourly
Agent Completed Trades Weekly
Agent Expired Trades Daily
Agent Monthly Transaction History
Agent Pending Trade Details Daily
Agent Pending Trade Details Hourly
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 Hourly
Agent Transaction History Weekly
Agent Transaction Status Daily
Agent Transaction Status Hourly
Agent Subscription Status
Unused Agent Documents
Frequency ^ Type ^
Daily
3 per
Daily
day
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
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Agent
Notification
Notification
Subscribed ±| Last Updated | Updated By I want to... j
No Manage Subscription [^][ Go ]
No Manage Sub;
cription T || Go
No j Manage Subscription |»|| Go
No Manage Subscription p^|| Go [
No Manage Subscription |"^"|[ Go ]
No Manage Sub;
cription [^Jj Go
No Manage Subscription [•*•[[ Go ]
No Manage Subscription |T|| Go |
No Manage Subs
No Manage Sub;
No Manage Subs
cription |~^~|| Go j
cription [_^_|| Go
cription T|| Go
No Manage Subscription |T|| Go ]
No Manage Subs
No Manage Sub;
No Manage Subs
No Manage Sub;
cription |~^~|| Go
cription ^_|| Go
cription T|| Go
cription|T| Go ]
No L Manage Subscription Q| Go ]
No Manage Subscription 0| Go ]
No Manage Subscription |^][ Go |
No Manage Subscription |3]| Go |
No Manage Subscription f^][ Go |
Export options: CSV I Excel I PDF
Click the "Subscribed" check box and then click Update (see Figure 81).
EMTS User's Guide
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Figure 81: Manage Agent Subscription
V>ERr\ Moderated Transaction System
Organization
Submissions
Manage Agent Subscription
Modify and click Update.
NOTE: In order to receive documents in your agent file, you must first subscribe each organization
individually to the document you wish to receive and then subscribe to that document as an agent.
Subscription Name:
Type:
Description:
Subscribed: ~~
Frequency:
Agent Cancelled Trades Daily
Agent
This document lists trades that have recently been
cancelled.
-tea
Daily
^ Transaction Bin
Your organization has 0 un
-submitted transactions in
the transaction bin.
View Transaction Bin
20
Organization
Export options: CSV I Excel I PDF
Displaying records 1 through 1 of 1 total.
No
To retrieve Agent reports, select "View Reports" from the Agent menu. In the "I want to..."column, select
View Reports and click Go (see Figure 82).
Figure 82: Manage Agent Subscription
Home | Contact Us I Help I Logout
Logged in as: JordanGrey for RAP Inc. Obligated Patty (4675)
View Agent Reports
For the desired document, please select 'Download Document'. To view all available versions of a document, select View All
Documents',
Your organization has 0
un-submitted transactions
in the transaction bin.
V!!?•..•„• iVjn: jution Bin
document list* trades tl iat have recently been cancelled
Export options: CSV I Excel I PDF
Open the compressed .ZIP file to access the documents. When Agent Reports are downloaded, EMTS will
automatically update the 22-day subscription expiration clock for each document included in the .ZIP file. If
an Agent is associated with an organization in a submitting role other than "Agent/' that organization's
EMTS User's Guide
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documents will not be included in the Agent Reports. It is still possible to access documents for individual
organizations without retrieving documents for all organizations associated with an Agent.
EMTS Technical Support
If you have any questions or want to report defects, comments, enhancements, or feedback, you may
contact EMTS Technical Support at support@epamts-support.com. Monday - Friday, 9:00 a.m. to 5:00 p.m.
(EST). Additionally, to access contact information for the various EMTS support lines, you can click the
"Contact Us" link located on each screen of EMTS. When reporting defects or issues, please provide the
detailed steps that were taken to create the problem or issue, and provide screen shots to document the
web page and information entered on that page. In addition, there are "Help" links on each screen of EMTS
that provide access to EMTS resources on the EPA's EMTS website.
EMTS User's Guide
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