Submitting EMTS Transactions
Using XML
&EPA
United States
Environmental Protection
Agency
-------
Submitting EMTS Transactions
Using XML
Compliance Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
Prepared for EPA by
SRA International, Inc.
EPA Contract No. EP-C-11-007
Work Assignment No. 3-06
IMPORTANT REMINDER:
Regulated parties are urged to conduct due diligence investigations and
exercise caution when conducting Renewable Identification Number (RIN)
transactions. Neither EPA nor its systems, including the EPA Moderated
Transaction System (EMTS), certify or validate RINs or make any provision for
parties who, despite good faith, transfer or receive invalid RINs. As specified
in the regulations at 40 CFR 80.1431 (b)(2), invalid RINs cannot be used to
achieve compliance with the Renewable Volume Obligations of an obligated
party or exporter, regardless of the party's good faith belief that the RINs
were valid at the time they were acquired. Additionally, the regulations at 40
CFR 80.1460(b)(2) prohibit the creation or transfer to any person of a RIN that
is invalid.
SEPA
United States
Environmental Protection
Agency
EPA-420-B-14-084
September 2014
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Contents
How Do I Report Transactions Using XML Files? 1
1.0 What Are the Steps to Submitting My File? 1
2.0 What Is the Purpose of an XML Schema? 2
2.1 General Principles Used in Developing EMTS 2
3.0 Codes, Identifiers, and Data Types 3
3.1 How Do I Report Codes? 3
3.2 How Do I Report Comments and Additional Information? 3
3.3 How Do I Report Identifiers? 3
3.4 Data Types 4
4.0 Constructing the XML File 5
4.1 Constructing a Valid XML File from an Excel Template 5
4.2 Is There a Limit on the Size of the Submission File? 5
4.3 Schema Validation 5
4.4 Submitting Your File 6
4.5 Quality Assurance and Receiving Feedback 6
5.0 Overview of Major Data Blocks 6
5.1 EMTS Root Elements 7
5.2 Generating RINs 9
5.3 Separating RINs 20
5.4 Selling RINs 26
5.5 Buying RINs 32
5.6 Retiring RINs 37
6.0 What Is the FIFO Process for Finding RINs? 46
7.0 How Do I Cancel a Buy or Sell Transaction? 46
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Appendix A: Glossary 1
Appendix B: QA Checks 1
Appendix C: Business Activities by Transaction Type 1
Appendix D: Sample Transactions 1
Appendix E: Cross-reference Tables 1
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How Do I Report Transactions Using XML Files?
This section provides instructions on using the EPA Moderated Transaction System (EMTS) schema to
submit data to EMTS. This includes:
• A brief overview of using EPA's exchange
network;
• Best practices for preparing and formatting
data for EMTS;
• How to submit your file; and
• Detailed instructions for all transaction
types.
1.0 What Are the Steps to Submitting My File?
Who should read these instructions:
Information Technology and Data Preparers who
are responsible for implementing the EMTS
schema and submitting XML files to EMTS.
What you will find in this document:
This document provides an overview of the EMTS
schema and detailed instructions on how to
report data using the XML file format. This
document also includes instructions on how to
submit your file using a node on EPA's Exchange
Network.
The following are basic steps to submitting your file to EMTS. Please note that these are general
instructions; personal nodes and node clients may behave differently.
1. Create a single XML file which includes both the Exchange Network Header v2.0 document and your
EMTS XML file.
Exchange Network Node v2.(
The EMTS node is v2.0 compliant.
This section includes specifications
for v2.0 exchanges.
2. Compress the XML file. This step may be done
automatically by your node client software.
3. Log into your node client or the CDX Exchange Network
web client with your CDX credentials, and select the
"submit" option.
4. Create a description for the submission, select the EMTS destination node and dataflow, and choose
your file to submit
5. After you submit the file, the node will transmit your submit request to the EMTS node via the
Exchange Network.
6. EMTS will receive the submit request, decompress the XML file, and process its contents.
NOTE: You may not submit multiple files with the same name in a given calendar year.
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2.0 What Is the Purpose of an XML Schema?
An XML schema is the definition that constrains the structure and content of an XML document It is
written in XML schema language as defined by the World Wide Web Consortium (W3C). An XML schema
defines:
• The elements and attributes that are expected;
• The allowable data types for each element;
• The hierarchy and order in which elements must appear;
• Which elements are optional and which are required; and
• The maximum number of occurrences allowed for each element.
Like the architectural blueprint that describes the structural design of a house, an XML schema describes
the structural design of an XML file. Files submitted to EMTS are accepted or not accepted based on their
conformity to the EMTS XML schema.
2.1 General Principles Used in Developing EMTS
XML schemas can be created in many different ways; however, there are principles that govern the
definition and use of the EMTS schema for reporting transactions. The following approach to developing
and managing the EMTS XML schema has been adopted.
• XML element tag names adhere as closely as possible to EPA's XML data standards. Information
about EPA's XML data standards can be found at EPA Data Registry Services:
http://iaspub.epa.gov/sorjnternet/registry/datastds/findadatastandard/epaapproved/.
• XML element tag names are specific to a transaction category where possible in order to minimize
ambiguity (e.g., "GenerateTransactionComment" rather than "Comment").
• No two elements share the same tag name. XML elements are defined unambiguously.
• Tag names are understandable to both data preparers and information technology staff.
• The EMTS schema was not designed to minimize submitted file size. See Section 4.2 for best
practices on the size and content limits for file submission.
• The EMTS schema contains few restrictions on the content of the submission, and is limited
primarily to indicating whether the submission is a valid and well-formed XML file. The schema
contains some business rules; however, these are limited to the semantic properties of the file
structure. Additional business rules are applied to the content of the XML file after the data have
been submitted to EMTS. This allows more flexible management of quality assurance checks and
more informative feedback on check results. The submitter will receive feedback on all business
checks and technical checks through a feedback report available on the EMTS website. For more
information on the EMTS QA approach, see Appendix B, "QA Checks."
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• Conforms to EPA Guidelines.
3.0 Codes, Identifiers, and Data Types
The following section provides guidance on how to report certain types of data content.
3.1 How Do I Report Codes?
If the last word in an XML tag is "code," the element must contain a value from a code
list A complete list of codes can be found on EPA's EMTS website at
http://www.epa.gov/otaq/juels/renewablejuels/emtshtml/emtsdocuments.htm. Codes are validated by the
EMTS QA check process for appropriate use given an organization's business activities. Some code tables
may change over time. If codes change, a new version of the schema will be released; the new codes will be
published in the EMTS Transaction Instructions and incorporated in the QA Check process.
3.2 How Do I Report Comments and Additional Information?
If an XML tag contains the word "comment," it is generally an optional element in which you can provide
explanations, caveats, or any other information about the data in the schema. In some cases, you may be
required to provide a comment based on the reason code you provide.
3.3 How Do I Report Identifiers?
If an XML tag contains the word "identifier," it must contain the specific alphanumeric identifier assigned
by EPA to an organization or facility site. Both Organization and Facility identifiers are assigned by EPA
once you have completed registration through the OTAQReg Fuels Programs Registration system. These
identifiers should always be included in your submission file when identifying your organization, or if you
are identifying the generating source of the renewable fuel. You must always identify your organization as
the source of the submission.
3.3.1 Organization Identifiers
The four-digit numeric public identifier assigned by EPA is used to identify your organization and should be
reported for all submission files.
Several transaction types require you to either identify an organization's identification number as a trading
partner (sell and buy transactions) or give you the option to identify the originating source of the fuel. In
either case, you must identify the trading partner organization or originating source organization using the
public identifier.
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3.4 Data Types
Most data types in the EMTS schema are string, date, year, and number. Each data element will have a
length or a precision assigned that is constrained in the schema. Data which are not consistent with the
formats defined in the schema will fail schema validation, causing the submission file to fail.
3.4.1 Dates and Years
All date and year tags are handled as xsd:date and xsd:gYear in the schema.
• Date - If a tag name contains the word "date," the data element is for a specific day. These should
be represented as an eight-digit sequence of numeric characters in a string format of YYYY-MM-DD
and should include leading zeros between the representative elements containing only one digit.
For example August 7, 2009 is 2009-08-07.
• Year - If a tag name contains the word "year," the data element is for a calendar year. This data
should be reported as a four-digit sequence of numeric characters in a string format of YYYY,
otherwise, if not required, it may be left null.
3.4.2 Reporting Numbers
There are several different reporting formats for numbers. The schema allows for various precisions;
however, you are expected to report numeric values as prescribed in the schema for each numeric data
type. The following table describes each numeric data type and an example of what to report in EMTS.
Figure 1: Reporting Formats for Numbers
Content Type
Integer (width)
Reporting Format
Whole number (no decimal places, preceding zeroes
not retained).
Width = Maximum number of digits allowed.
Example
lnt(3)
Valid: 2,15, 930
Invalid: 4000,-!
Decimal (width, scale)
Decimal number with fixed number of decimal places.
Width = Maximum number of digits including
those on both sides of the decimal point, and
includes the decimal point.
Scale = Number of decimal places; that is, digits to
the right of the decimal point.
Dec (5,1)
Valid: 100.0, 34.6, 0.3, 0.0
Invalid: 99.75,256.45
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• Precision - Precision refers to the number of significant digits provided in the number of decimal
places for a fixed decimal number. The EMTS schema will enforce numbers be reported in the
proper precision.
4.0 Constructing the XML File
The following section explains how to create an EMTS conformant XML document It includes advice on
best practices for reporting your data as well as how to construct your XML document.
4.1 Constructing a Valid XML File from an Excel Template
For users that do not have the technical capabilities to modify their systems to produce valid XML, EMTS
will convert XLS, CSV, or TXT files. EPA provides a standard template for the XLS or TXT data. You can
output your data into the XLS template then use these data files as inputs. EMTS will output valid EMTS
XML files; however EMTS will not check for business content or valid code numbers until the XML has been
submitted.
4.2 Is There a Limit on the Size of the Submission File?
There are no business rules that limit the size of the file during transport through the Exchange Network.
However, you are strongly encouraged to submit sell transactions prior to the receiving party submitting
their corresponding buy transactions, so you may consider categorizing your submissions into two
submission types: all sell transactions and all other transactions. During peak submission periods, which
are expected to occur in January and February, a substantially larger number of files are expected to be
submitted which may delay EMTS's response time. These files will be placed in the system's queue and
processed in a first-come, first-serve order.
If your file contains one or more critical errors, the file will not be processed and you will receive a
notification indicating that your submission has failed. You must correct the critical errors and resubmit
your file. Therefore, limiting the contents of your file to include a smaller number of transactions is a good
practice, likely resulting in smaller feedback reports and fewer submission failures. You can also expect
better response times submitting smaller files over the Exchange Network and when downloading your
feedback reports.
4.3 Schema Validation
The following section describes the various tools that are available and validation rules you should
implement prior to submitting your XML document to EMTS. This includes information on how to validate
your XML document, the built-in constraints that the schema will enforce, and the cardinality rules that you
should avoid when constructing your data.
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4.3.1 Validating Your File Prior to Submission
Before submitting your file to the EMTS dataflow, you should validate your XML file against the
EMTS_Schema_v3.0 xsd file structure. This will ensure that your file is well-formed and valid. You can do
this by using one of several tools found at EPA's http://tools.epacdxnode.net/.
EMTS contains few validation business rules regarding the content of the submission; however, data types
are constrained. You will receive all business logic checks, including invalid reporting codes used through a
feedback report available on the EMTS website once the quality assurance checking process has completed.
4.4 Submitting Your File
All file submissions require the user to have an authorized CDX account and access to the EMTS dataflow.
All files must utilize EPA's Exchange Network to transport files. EPA's network of nodes makes it possible
for users to exchange data with other exchanges, providing their organizations have nodes. However, not
all organizations will have nodes.
Once files are pushed into the data flow, CDX will submit the XML document to the EMTS back-end node.
Once the EMTS back-end node accepts the XML file it generates submittal identification information and
begins processing the data content within the payload. For more information regarding obtaining and
installing a node on your server, please see www.epa.gov/cdx.
4.5 Quality Assurance and Receiving Feedback
After you have submitted your file, you will receive an email with information about your submission. If
there were errors in processing the data, you will receive information in a feedback report, which indicates
critical errors and potential issues. You are expected to correct the problems with your data content or the
XML document structure and resubmit the file. After EMTS processes the payload content, the resulting
data can be viewed on the EMTS website. In all cases, you will receive notification when the processing of
your data is complete; however during peak load periods, the response time may be slow.
5.0 Overview of Major Data Blocks
The following section contains information on the major groupings of data in the EMTS schema. This
section describes the basic XML blocks that are used for reporting the various transaction types: generate,
separate, sell, buy, retire, lock and unlock. For each transaction type, a table of data elements including the
data type, name of the XML tag name, required indicator, and description is provided. In addition, if a
critical check is applied to the data, the description and reference number to the check is provided. You can
see the complete list of checks in Appendix B, "QA Checks." If a data element is referenced as a complex
type, there will be another table that documents the elements for that complex type.
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Supporting implementation documents can be found on the following website:
http://www.exchangenetwork.net/exchanges/air/. The flow configuration document (FCD), data exchange
template (DET), and sample XML documents are available for download on the Exchange Network site.
5.1 EMTS Root Elements
The elements under the EMTS root must be included in every submission. These XML elements identify the
person who prepared the data along with organization identifiers. If different people within your
organization are responsible for different transactions, consider submitting separate submission files for
each person responsible for the preparation of the data.
How these data elements are processed: The root elements identify the person who has prepared the
data, and the date on which the file was created by the user. The identity of the organization can be
referenced by the public identifier.
The root elements are reported once in the entire submission file; however, you must report at least one
associated transaction (such as a generate transaction). The root elements in the submission file will be
stored in the EMTS website in association with each transaction submitted in the file.
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Figure 2: EMTS Root Elements
Data Element
Data Type
Name
Required
Description
QA Check
Description Number
xsd:string
xsd:date
UserLoginText
SubmittalCreationDate
Yes
Yes
The CDX user login of
the party responsible
for preparing the
submission file.
The date that the
submission file was
created.
The user specified
in the submission
file must be
actively registered
with CDX and have
permission to
participate in
EMTS.
The user specified
in the submission
file must have an
active association
with the
organization for
which he is
submitting data.
The user specified
in the submission
file must be
authorized to
perform the
requested
transactions on
behalf of the
organization.
The submission
date associated
with the
submission file
may not be a date
occurring in the
future.
2000
2001
2002
2008
(cont.
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Figure 2: EMTS Root Elements (cont.)
Data Element QA Check
Data Type Name
xsd:string
xsd:string
complex
complex
complex
complex
complex
complex
complex
Organization Identifier
SubmittalCommentText
GenerateTransactionDetail
SeparateTransactionDetail
SellTransactionDetail
BuyTransactionDetail
RetireTransactionDetail
LockTransactionDetail
UnlockTransactionDetail
Required
Yes
No
No
No
No
No
No
No
No
Description
The public
identification number
for the organization as
designated by
OTAQReg.
Comment provided by
the user on submission
file.
Information on the
RINs being generated.
Information on RINs
being separated.
Information on RINs
being sold.
Information on RINs
being bought.
Information on RINs
being retired.
Information on RINs
being locked.
Information on RINs
being unlocked.
Description Number
The organization in
the submission file
must be registered
with EPA and be
The organization's
RIN Holding
Account must be
active.
2005
2006
5.2 Generating RINs
The complex type GenerateTransactionDetail is used to report RINs that have been generated as a result
of fuel production. This transaction type requires basic information regarding the production of the fuel,
the feedstock used, the QAP service type code, and the co-products that were created from the process. For
each generate transaction, you must report at least one feedstock.
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How these data elements are processed: All data elements that are identified as required must be
reported. The fuel, feedstock, and process that you report to EMTS must be one of the fuels, feedstocks, and
processes you registered for your organization in the OTAQReg Fuels Programs Registration system. If you
report an unregistered code, your submission file will not pass critical QA checks and your file will fail to be
processed. In some cases, based on fuel reported and process identified, you will need to report denaturant
volume in addition to the batch volume. The equivalence value that you report must also be applicable for
the fuel type, process, and biomass indication for feedstock used.
By default, it is assumed that your organization is the producer of the renewable fuel. You need only report
the number of the facility where the fuel was produced and the unique identification of the batch number
for the fuel in the complex type GenerateOriginatingSourceDetail. If, however, you are an importer and
the fuel has been produced at a foreign facility, you will need to identify both the organization identifier
and the facility identifier of the foreign producer. These identifiers are required to be provided on records
by the foreign producer.
Report the feedstock used in the production of the fuel using the FeedstockDetail complex type. You must
report at least one feedstock, including the volume and unit of measure. In addition, you must affirm that
the feedstock meets the definition of renewable biomass. If any co-products result from the process, you
must report the co-product code in the CoProductDetail complex type.
If you need to provide supporting information regarding the generation, such as document identifiers or
notes, use the GenerateSupportingDocumentDetail complex type. Use this complex type to create user-
defined information by providing the type of document that contains the information and an identification
number or code for the document.
Figures 3, 4, 5, and 6 below show the data elements for GenerateTransactionDetail,
GenerateOriginatingSourceDetail, FeedstockDetail, and CoProductDetail.
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Figure 3: Data Elements for GenerateTransactionDetail
Data Elements
Data Type
xsd:positivelnteger
xsd:positivelnteger
xsd:string
Name
RINQuantity
BatchVolume
FuelCode
Required
Yes
Yes
Yes
Description
The total number of
RINs specified in the
transaction.
The volume of
renewable fuel
associated with a
batch number
designated by the
producing facility.
The renewable fuel
code for the RINs
being separated as
defined in Part M
Section 80.1426.
QA Checks
Description
RIN Quantity
must equal the
product of Batch
Volume and
Equivalence
Value.
RIN Quantity
must equal the
product of Batch
Volume and
Equivalence
Value.
The fuel code
reported must be
registered with
EPA.
The fuel code
reported in the
production of
fuel must be a
valid code that is
recognized by
EPA.
The fuel code
reported must be
compatible with
the fuel category
used in the
production of
fuel.
Number
3022
3022
3032
3034
3040
(cont.
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
Data Type
xsd:string
xsd:date
Name
FuelCategoryCode
ProductionDate
Required
Yes
Yes
Description
The type of fuel that
has been produced.
The date the
renewable fuel was
produced as
designated by the
producing facility.
QA Checks
Description
The fuel code
and fuel category
reported must be
compatible with
the process used
in the production
of fuel.
If "Ethanol" or
"Cellulosic
Ethanol" RINsare
reported in the
generate
transaction, then
denaturant
volume must be
reported.
The fuel category
code reported in
the production of
fuel must be a
valid code that is
recognized by
EPA.
The production
date must not
occur after the
date specified in
submittal data.
Number
3041
3013
3033
3011
(contv
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required Description Description
Number
xsd:date
xsd:string
ProductionDate
ProcessCode
Yes
Yes
The date the
renewable fuel
was produced as
designated by
the producing
facility.
A code that
identifies the
process used for
producing the
renewable fuel.
The production date
must not occur after
the date specified in
submittal data.
The production date
of the fuel must fall
within the RIN Year
range defined by the
RIN Years Allowed
parameter.
Production date
must be within the
last five business
days per 40 CFR
80.1452(b).
The process code
reported in the
production of fuel
must be registered
with EPA.
The process code
reported in the
production of fuel
must be a valid code
that is recognized by
EPA.
3011
3028
3055
3007
3024
(cont.
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Elements QA Checks
Data Type
Xsd:string
xsd:positivelnteger
xsd:decimal
Name
QAPServiceTypeCode
DenaturantVolume
EquivalenceValue
Required
Yes
No
No
Description Description
A code that
identifies the
level of QAP
service for the
RINsinthe
transaction.
The volume of
non-renewable
fuel added to a
volume of
ethanol to
create the
BatchVolume
for a given
Batch Number
of renewable
fuel.
A multiplier
applied to
Batch Volume
to determine
the number of
RINs that will
be generated
per gallon of
renewable fuel.
QAP Service Type
Code must be a valid
code that is
recognized by EPA.
If denaturant volume
is reported, then
"Ethanol" or
"Cellulosic Ethanol"
must be reported.
When denaturant
gallons are reported
for ethanol fuel, the
amount specified
cannot exceed two
percent of the total
volume of fuel
produced.
The equivalence value
reported may not
exceed the specified
value for the fuel type
produced.
Number
3064
3014
3016
3026
(contv
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Type
xsd:string
Data Elements
ImportFacilityldentifier
Required Description
No
The facility
identifier, as
registered in
OTAQReg, of
the plant from
which the fuel
was imported.
QA Checks
Description Number
If the generate
organization differs
from the submitting
organization then the
Import Facility
Identifier is required.
If the import facility is
provided, it must be
registered with the
EPA and active.
ImportFacilityldentifier
not allowed if not
importing fuel.
If the submitting
organization is only a
renewable fuel
importer, then they
must provide an
Import Facility
Identifier.
If the Import Facility
Identifier is populated,
then the submitting
organization must be a
renewable fuel
importer.
The import facility
number specified must
be unique for the
organization.
3047
3048
3049
3050
3051
3053
(contv
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required Description Description Number
xsd:string
complex
complex
complex
complex
Transaction DetailCommentText
GenerateSupportingDocumentDetail
GenerateOriginatingSourceDetail
FeedstockDetail
CoProductDetail
No
No
Yes
Yes
No
Comment
provided by
the user on the
transaction.
Information for
the industry
user to create
user defined
data to report
supporting
document
identifiers.
Information on
the original
renewable fuel
production.
Information on
the types of
feedstock used
to produce
fuel.
Information on
the one or
more co-
products that
result from the
renewable fuel
production
process.
(cont.)
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Figure 4: Data Elements for GenerateOriginatingSourceDetail
Data Element QA Checks
Data Type
xsd:string
xsd:string
Name
GenerateOrganizationldentifier
GenerateFacilityldentifier
Required
No
Yes
Description Description
The organization
identifier, as registered
in OTAQReg, for the
organization that
produced the fuel.
The facility identifier, as
registered in OTAQReg,
for the facility that
produced the fuel.
If the generate
organization is
different than the
submitting
organization
identifier, then the
organization must be
an importer.
If the generate
organization is
provided, then it
must be registered
with EPA and be
active.
If the generate
organization differs
from the submitting
organization then
the generating
organization must be
a Foreign Producer.
For generate
transactions, the
generate facility
identifier must be
provided.
The generate facility
specified in the
submission file must
be registered with
EPA and be active.
Number
3000
3001
3045
3002
3003
(cont.
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Figure 4: Data Elements for GenerateOriginatingSourceDetail (cont.)
Data Element
Data Type
xsd:string
Name
Batch NumberText
Required
Yes
Description
The batch number for
the renewable fuel as
designated by the
producing facility.
QA Checks
Description
If generate
organization is
provided, then
generate facility
must be actively
associated with the
generate
organization.
If generate
organization is not
provided, then the
generate facility
must be actively
associated with the
submitting
organization.
The generate facility
number specified
must be unique for
the organization.
Batch number must
be provided.
Batch number must
be unique for an
organization, facility,
and RIN year.
Number
3004
3005
3052
3018
3019
(cont.
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Figure 5: Data Elements for FeedstockDetail
Data Element QA Check
Data Type
xsd:string
xsd:boolean
Name
FeedstockCode
RenewableBiomasslndicator
Required
Yes
Yes
Description Description
A code that
identifies the
feedstock used to
produce the
renewable fuel
associated with the
batch number.
An indicator
whether the
feedstock used
qualifies as
renewable biomass.
The feedstock
reported in the
production of
fuel must be
registered with
EPA.
The feedstock
code reported in
the production of
fuel must be a
valid code that is
recognized by
EPA.
The feedstock
reported must be
compatible with
the fuel code,
fuel category,
and process used
in the production
of fuel.
If RINsare
generated (RIN
Quantity greater
than or equal to
"1"), then at least
one of the
specified
feedstocks must
be indicated as
"Renewable
Biomass."
Number
3008
3023
3042
3030
(cont.
Submitting EMTS Transactions using XML
19
-------
Figure 5: Data Elements for FeedstockDetail (cont.)
Data Element QA Check
Data Type
xsd:decimal
xsd:string
Name
FeedstockQuantity
FeedstockMeasure
Required
Yes
Yes
Description Description
Total quantity of
feedstock used in
production of the
fuel.
The unit of measure
for the feedstock
volume.
The feedstock
measure code
reported in the
production of
fuel must be a
valid code that is
recognized by
EPA.
Number
3027
Figure 6-6: Data Elements for CoProductDetail
Data Element
Data Type
xsd:string
Name
CoProductCode
Required
No
Description
A code that identifies
the co-product
created from the
renewable fuel
process.
QA Check
Description
The co-product
code reported in
the production
of fuel must be a
valid code that is
recognized by
EPA.
Number
3025
5.3 Separating RINs
To identify that RINs have been separated from the fuel, you will report this information using the
SeparateTransactionDetail complex type.
How these data elements are processed: Separating RINs requires that you identify the number of RINs
being separated and the volume of fuel from which the RINs are being separated. The preferred method to
separate a quantity of RINs from any fuel is to specify the RINQuantity, batch volume, QAP service type
code, fuel code, and the year in which the fuel was produced. By default, EMTS will find the oldest batch of
Submitting EMTS Transactions using XML
20
-------
assigned fuel in your inventory and separate the RINs. This ensures that you are separating, on a first-in,
first-out (FIFO) basis, the earliest RINs that you own as defined by production date.
If you as a party have been delegated to perform the separate transaction by a small blender (a blender that
blends less than 125,000 gallons per year), then you must report both the name and public identifier of the
small blender in the BlenderOrganizationldentifler and BlenderOrganizationName data elements.
If you need to provide supporting information regarding the separation, such as document identifiers or
notes, use the SeparateSupportingDocumentDetail complex type. Use this complex type to create user-
defined information by providing the type of document that contains the information and an identification
number or code for the document. For example, if you wish to report an invoice number, place "invoice" as
the text for SupportingDocumentText and the invoice number for SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be separated, you can do so by using the
SeparateOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try
to match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the
batch cannot be found, the transaction will fail.
Figure 7 shows the data elements for SeparateTransactionDetail.
Submitting EMTS Transactions using XML 21
-------
Figure 7: Data Elements for SeparateTransactionDetail
Data Element QA Check
Data Type
xsd:positivelnteger
xsd:decimal
xsd:string
Name
RINQuantity
BatchVolume
FuelCode
Required
Yes
Yes
Yes
Description Description
The total
number of
RINs specified
in the
transaction.
The volume of
renewable
fuel for which
RINs are being
separated.
The
renewable
fuel code for
the RINs being
separated as
defined in
Part M
Section
80.1426.
The organization
must have
enough available
RINs in its holding
account to
complete the
transaction.
For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than "0"
but less than
"2.5."
For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than "0"
but less than
"2.5."
The fuel code
reported must be
a valid code that
is recognized by
EPA.
Number
5900
5032
5032
5024
(cont.
Submitting EMTS Transactions using XML
22
-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Element QA Check
Data Type
xsd:string
xsd:gYear
xsd:string
Name
QAPServiceTypeCode
RINYear
SeparateReasonCode
Required
Yes
Yes
Yes
Description Description
A code that
identifies the
level of QAP
service for the
RINsinthe
transaction.
The RIN year
is the year in
which the fuel
is produced.
This code
identifies the
reason for a
separate
transaction.
QAP Service Type
Code must be a
valid code that is
recognized by
EPA.
The RIN year
cannot be in the
future.
The requested
RIN Year must fall
within the RIN
Year range
defined by the
RIN Years Allowed
parameter.
The allowable
reason code
reported by an
organization
when separating
RINSare
dependent on
their business
activities as
registered with
EPA.
The reason code
reported must be
a valid code that
is recognized by
EPA.
Number
5064
5019
5028
5035
5037
(cont.
Submitting EMTS Transactions using XML
23
-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Element QA Check
Data Type
xsd:date
xsd:string
Name
TransactionDate
BlenderOrganization Identifier
Required
Yes
No
Description Description
The date of
the RIN
transaction.
The public
identification
number for
the blending
organization
as designated
by OTAQReg.
If a Blender
Organization ID or
Blender Name is
reported then
separate reason
"Upward
Delegation" must
also be reported.
If the organization
specifies "Delayed
RIN Separate" as
the reason code,
then the fuel code
may not be
Renewable Fuel
(D = 6).
The Transaction
Date must be
within the last 10
business days.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.
Number
5040
5046
5055
5033
(cont.
Submitting EMTS Transactions using XML
24
-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Element
Data Type
xsd:string
xsd:string
Name
BlenderOrganizationName
Transaction DetailCommentText
Required
No
No
Description
Name of the
organization
that is
blending the
fuel.
Comment
provided by
the user on
the
transaction.
QA Check
Description
If a blender
organization is
provided, then it
must be
registered with
EPA and be
active.
If a Blender
organization is
specified then the
organization must
have a business
activity of small
blender.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.
Number
5034
5036
5033
(cont.
Submitting EMTS Transactions using XML
25
-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Type
Data Element
Name
QA Check
Required Description Description Number
complex
complex
SeparateSupportingDocumentDetail
SepamteOriginatingSourceDetail
No
No
Information
for the
industry user
to create user
defined data
to report
supporting
document
identifiers.
Information
on the original
renewable
fuel
production.
5.4 Selling RINs
The complex type SellTransactionDetail is used to report RINs that are being traded to another
organization as a result of a sell transaction. This transaction type requires basic information regarding the
quantity of RINs, QAP service type code, fuel code, and year in which the fuel was produced.
How these data elements are processed: Selling RINs requires that you identify the number of RINs
being sold and the trading partner (or buyer) to whom you are selling the RINs. The preferred method to
sell a quantity of RINs is to specify the RINQuantity, batch volume (required if the RINs are assigned), fuel
code, QAP service type code, assignment code, and the year in which the fuel was produced. EMTS will find
the oldest batch of fuel you acquired that matches these characteristics in your inventory. This ensures
that you are selling one or more batches, on a first-in, first-out (FIFO) basis, the earliest RINs that you own
as defined by production date. You must provide a reason for why you are selling the RINs. In addition,
you must provide either the agreed upon price per RIN or the price per gallon established between you and
the buyer.
If you need to provide supporting information regarding the sell of RINs, such as document identifiers or
notes, use the SellSupportingDocumentDetail complex type. Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to
Submitting EMTS Transactions using XML
26
-------
make this information available to your trading partner, use the PublicSupportingDocumentDetail
complex type.
If you wish to identify a specific batch of fuel to be sold, you can do so by using the
SellOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to
match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the
batch cannot be found, the transaction will fail.
Figure 8 shows the data elements for SellTransactionDetail.
Figure 8: Data Elements for SellTransactionDetail
Data Element QA Checks
Data Type
xsd:string
xsd:string
xsd: positive
Integer
xsd:decimal
Name
TransactionPartnerOr
ganization
Identifier
TransactionPartnerOr
ganizationName
RINQuantity
BatchVolume
Required
Yes
Yes
Yes
No
Description Description
Identifies the buyer organization
for a sell transaction or the selling
organization for a buy transaction
using the Organizationldentifier
designated by OTAQReg.
The name of the organization
trading partner.
The total number of RINs
specified in the transaction.
The volume of renewable fuel
sold in the transaction.
The transaction
partner
organization must
be registered at
EPA and be
active.
The transaction
partner
organization must
have enabled
business activity
that allows a buy.
The organization
must have
enough available
RINs in its holding
account to
complete the
transaction.
If the assignment
code is "1," then
batch volume
must be specified.
Number
6018
6022
6900
6011
(cont.
Submitting EMTS Transactions using XML
27
-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element
Data Type
xsd:string
xsd:string
xsd:string
Name
FuelCode
QAPServiceTypeCode
AssignmentCode
Required
Yes
Yes
Yes
Description
The renewable fuel code for the
RINs being sold as defined in 40
CFR Section 80.1426.
A code that identifies the level of
QAP service for the RINs in the
transaction.
A code that indicates whether the
RIN is transacting as an assigned
RIN or a separated RIN.
QA Checks
Description
For assigned RINs
that are being
sold, the ratio of
RINs to fuel must
be greater than 0
but less than 2.5.
Batch Volume
must be specified
if Gallon Price is
specified.
The fuel code
reported must be
a valid code that
is recognized by
EPA.
QAP Service Type
Code must be a
valid code that is
recognized by
EPA.
If the assignment
code is "1," then
batch volume
must be specified.
The assignment
code reported
must be a valid
code that is
recognized by
EPA.
Number
6032
6054
6024
6064
6011
6025
(cont.
Submitting EMTS Transactions using XML
28
-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element QA Checks
Data Type
xsd:gYear
xsd:string
Name
RINYear
SellReasonCode
Required
Yes
Yes
Description Description
The RIN year is the year in which
the fuel is produced.
This code identifies the reason for
a sell transaction.
RIN Year may not
be greater than
the year
associated with
the specified
Transfer Date.
The requested
RIN Year must fall
within the RIN
Year range
defined by the
RIN Years Allowed
parameter.
The allowable
reason code
reported by an
organization
when selling RINS
are dependent on
their business
activities as
registered with
EPA.
A "Cancel" trade
must match a
pending trade.
"Incorrect Trading
Partner" can only
be reported for
assigned RINs.
Number
6019
6028
6035
6041
6045
(cont.
Submitting EMTS Transactions using XML
29
-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element
Data Type
xsd:decimal
xsd:decimal
xsd:date
xsd:string
Name
RINPriceAmount
Gallon PriceAmount
TransferDate
PTDNumber
Required
No
No
No
No
Description
Price paid per RIN.
Price paid per gallon of
renewable fuel.
The date of the RIN transaction.
The PTD number associated with
the transaction.
QA Checks
Description
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
The transfer date
specified may not
be in the future.
Transfer date
must be within
the last 5
business days per
40CFR
80.1452(b).
Number
6036
6047
6036
6047
6020
6055
(cont.)
Submitting EMTS Transactions using XML
30
-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element
QA Checks
Data Type Name
Required Description
Description Number
xsd:string
xsd:string
complex
complex
complex
MatchingTransactionl
dentifier
Transaction DetailCom
mentText
PublicSupportingDocu
mentDetail
SellSupportingDocum
entDetail
SellOriginatingSource
Detail
No
No
No
No
No
The EMTS Transaction ID of the
pending buy transaction.
Comment provided by the user
on the transaction.
Industry user defined data to
report supporting document
identifiers which are visible to the
organization's trading partner.
Information for the industry user
to create user defined data to
report supporting document
identifiers.
Information on the original
renewable fuel production.
If the sell
transaction has a
matched buy
transaction ID,
the transaction
must be in a
pending state.
If the sell
transaction has a
matched buy
transaction ID,
the transaction
must match on
trade matching
criteria.
If reason
"Standard Trade"
or "Cancel" is not
provided for a sell
transaction then a
comment must be
provided.
6016
6017
6037
Submitting EMTS Transactions using XML
31
-------
5.5 Buying RINs
The complex type BuyTransactionDetail is used to acquire RINs that are being traded from another
organization as a result of a sell transaction. This transaction type requires basic information regarding the
quantity of RINs, fuel code, and year in which the fuel was produced.
How these data elements are processed: Buying RINs requires that you identify the number of RINs
being sold and the trading partner (or seller) you are buying RINs from.
One method is to wait for a sell transaction to be sent to you with the specifications for the quantity of RINs,
batch volume, fuel code, QAP service type code, assignment code, and the year in which the fuel was
produced. You should use these exact specifications when responding to the sell transaction. EMTS will
match these specifications to any existing sell transactions that are pending with your trading partner and
complete the trade. You may also initiate a buy transaction prior to the seller sending you a notification. If
your buy transaction is received by EMTS before the seller has initiated a sell transaction, your request will
be queued until a matching sell has been submitted to EMTS by the seller. If the seller does not respond to
your buy request within ten business days, the trade will expire. In both cases, a record of this incomplete
submission is recorded in EMTS.
You must provide a reason for why you are buying RINs. In addition, you must provide either the agreed
upon price per RIN or the price per gallon established between you and the seller.
If you need to provide supporting information regarding the trade, such as document identifiers or notes,
use the BuySupportingDocumentDetail complex type. Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to
make this information available to your trading partner, use the PublicSupportingDocumentDetail
complex type.
If you wish to identify a specific batch of fuel to be sold, you can do so by using the
BuyOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to
match the specific batch in the seller's RIN Holding Account; however, if the batch cannot be found, the
transaction will fail.
Figure 9 shows the data elements for BuyTransactionDetail.
Submitting EMTS Transactions using XML 32
-------
Figure 9: Data Elements for BuyTransactionDetail
Data Element
Data Type
xsd:string
xsd:string
xsd: positive
Integer
xsd:decimal
Name
TransactionPartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
Required
Yes
Yes
Yes
No
Description
This identifies the
buyer organization for
a sell transaction or the
selling organization for
the buy transaction
using either the
Organization Identifier
designated by
OTAQReg.
The name of the
organization trading
partner.
The total number of
RINs specified in the
transaction.
The volume of
renewable fuel sold in
the transaction.
QA Checks
Description
The transaction
partner
organization must
be registered at
EPA and be active.
The transaction
partner
organization must
have enabled
business activity
that allows a sell.
If the assignment
code is "1," then
batch volume
must be specified.
For assigned RINs
that are being
bought, the ratio
of RINs to fuel
must be greater
than 0 but less
than 2.5.
Batch Volume
must be specified
if Gallon Price is
specified.
Number
4018
4022
4011
4032
4054
(contv
Submitting EMTS Transactions using XML
33
-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
Data Type
xsd:string
xsd:string
xsd:string
xsd:gYear
Name
FuelCode
AssignmentCode
QAPServiceTypeCode
RINYear
Required
Yes
Yes
Yes
Yes
Description
The renewable fuel
code for the RINs being
sold as defined in 40
CFR Section 80.1426.
A code that indicates
whether the RIN is
transacting as an
assigned RIN or a
separated RIN.
A code that identifies
the level of QAP service
for the RINs in the
transaction.
The RIN year is the year
in which the fuel is
produced.
QA Checks
Description
Must be a valid
code recognized
by EPA.
If assignment code
is "1," then the
batch volume
must be specified.
Must be a valid
code recognized
by EPA.
QAP Service Type
Code must be a
valid code that is
recognized by
EPA.
RIN Year may not
be greater than
the year
associated with
the specified
Transfer date.
The requested RIN
Year must fall
within the RIN
Year range
defined by the RIN
Years Allowed
parameter.
Number
4024
4011
4025
4064
4019
4028
(contv
Submitting EMTS Transactions using XML
34
-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
Data Type
xsd:string
xsd:decimal
xsd:decimal
Name
BuyReasonCode
RINPriceAmount
Gallon PriceAmount
Required
Yes
No
No
Description
This code identifies the
reason for a buy
transaction.
Price paid per RIN.
Price paid per gallon of
renewable fuel.
QA Checks
Description
The allowable
reason code
reported by an
organization when
buying RINS are
dependent on
their business
activities as
registered with
EPA.
A cancel trade
must match a
pending trade.
"Incorrect Trading
Partner" can only
be reported for
assigned RINs.
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
The RIN price or
gallon price must
be provided.
The transaction
must contain only
one price.
Number
4035
4041
4045
4036
4047
4036
4047
(contv
Submitting EMTS Transactions using XML
35
-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
Data Type
xsd:date
xsd:string
xsd:string
xsd:string
Name
TransferDate
PTDNumber
MatchingTransactionldentifier
TransactionDetailCommentText
Required
Yes
No
No
No
Description
The date of the RIN
transaction.
The PTD number
associated with the
transaction.
The EMTS Transaction
ID of the pending buy
transaction.
Comment provided by
the user on the
transaction.
QA Checks
Description
The date specified
may not occur in
the future.
Must be within
last 10 business
days per 40 CFR
80.1452(b).
If the sell
transaction has a
matched buy
transaction ID, the
transaction must
be in a pending
state.
If the sell
transaction has a
matched buy
transaction ID, the
transaction must
match on trade
matching criteria.
If reason
"Standard Trade"
or "Cancel" is not
provided for a buy
transaction then a
comment must be
provided.
Number
4020
4055
6016
6017
4037
(cont.
Submitting EMTS Transactions using XML
36
-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
QA Checks
Data Type Name Required Description Description Number
complex
complex
complex
PublicSupportingDocumentDet
ail
BuySupportingDocumentDetail
BuyOriginatingSourceDetail
No
No
No
Industry user defined
data to report
supporting document
identifiers which are
visible to the
organization's trading
partner.
Information for the
industry user to create
user defined data to
report supporting
document identifiers.
Information on the
original renewable fuel
production.
5.6 Retiring RINs
To identify RINs that you wish to retire, in order to meet your RVO, or to record a batch of RINs that are no
longer valid due to spillage or other issue, report this information using the RetireTransactionDetail
complex type.
How these data elements are processed: Retiring RINs requires that you identify the number of RINs
being retired, the fuel code, QAP service type code, assignment code, year in with the fuel was produced,
and the compliance year which the RINs are being retired. EMTS will find the oldest batch of fuel in your
inventory and transfer ownership of the RINs to an EPA RIN Holding Account. This ensures that you are
retiring, on a first-in, first-out (FIFO) basis, the earliest RINs that you own as defined by production date. In
addition to the RINs that you identify to retire, you must provide a reason for retirement.
If you are retiring RINs to meet an obligation, you must also provide the level of compliance being met You
may retire RINs to meet an organization's overall obligation, or a specific facility level obligation (refiners
only). If you are retiring RINs for a specific facility site, report the public facility identifier for the site.
If you are retiring RINs for non-obligation purposes, do not report the compliance year or compliance level.
In both cases, provide a reason for the retirement of the RINs.
Submitting EMTS Transactions using XML
37
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If you need to provide supporting information regarding the retire transaction, such as document
identifiers or notes, use the RetireSupportingDocumentDetail complex type. Use this complex type to
create user-defined information by providing the type of document that contains the information and an
identification number or code for the document For example, if you wish to report an invoice number,
place "invoice" as the text for SupportingDocumentText and the invoice number for
SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be retired (particularly for spillage or spoilage of fuel
batches), you can do so by using the RetireOriginatingSourceDetail complex type to identify the facility
and batch number. EMTS will try to match the specific batch in your RIN Holding Account; however, if you
no longer own these RINs, or the batch cannot be found, the transaction will fail.
Figure 10 shows the data elements for RetireTransactionDetail.
Figure 10: Data Elements for RetireTransactionDetail
Data Elements
Data Type
xsd: positive
Integer
Name
Required Description
QA Checks
Description Number
RINQuantity
Yes
The total number
of RINs specified in
the transaction.
If Batch Volume
is provided, then
the ratio of RINs
to fuel must be
greater than "0"
but less than
"2.5."
The organization
must have
enough available
RINs in its
holding account
to complete the
transaction.
7032
7900
(cont.
Submitting EMTS Transactions using XML
38
-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:decimal
xsd:string
xsd:string
xsd:string
Name
BatchVolume
FuelCode
QAPServiceTypeCode
AssignmentCode
Required
No
Yes
Yes
Yes
Description
The volume of
renewable fuel, if
any, associated
with the RINsthat
are being retired.
The renewable
fuel code for the
RINs being retired
as defined in 40
CFR Section
80.1426.
A code that
identifies the level
of QAP service for
the RINs in the
transaction.
Indicates whether
the RIN is
transacting as an
assigned RIN or a
separated RIN.
QA Checks
Description
If reason code
"Reportable
Spill,"
"Contaminated
or Spoiled Fuel,"
"Import Volume
Correction,"
"Renewable Fuel
Used in a Boiler
or an Ocean-
Going Vessel," or
"Volume error
correction" is
provided for a
retire transaction
then Batch
Volume must
also be provided.
Must be a valid
code recognized
by EPA.
QAP Service Type
Code must be a
valid code that is
recognized by
EPA.
The assignment
code reported
must be a valid
code recognized
by EPA.
Number
7040
7024
7064
7025
(cont.
Submitting EMTS Transactions using XML
39
-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:gYear
Name
Required Description
RINYear
Yes
The RIN year is the
year in which the
fuel is produced.
QA Checks
Description Number
Must fall within
RIN Year range as
defined by RIN
Years Allowed
parameter.
May only equal
the Compliance
Year or one year
prior. Check
executed only if
reason code is
"Demonstrate
Annual
Compliance."
7028
7041
(cont.
Submitting EMTS Transactions using XML
40
-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:string
Name
RetireReasonCode
Required Description
Yes
This code
identifies the
reason for a retire
transaction.
QA Checks
Description Number
Allowable codes
when retiring
RINsare
dependent on an
organization's
business
activities
registered with
EPA.
Must be a valid
code recognized
by EPA.
If an organization
retires for
obligation, it
must be
registered for a
compliance level
code of 20 or 50.
The "Delayed RIN
Retire" reason
code may only be
used with
Separated
Renewable Fuel
(D = 6)RINs.
The "Remedial
action as
specified by EPA"
reason may only
be used 5 times
per calendar
year.
7035
7039
7045
7046
7057
(cont.
Submitting EMTS Transactions using XML
41
-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:date
xsd:gYear
Name
TransactionDate
ComplianceYear
Required
Yes
No
Description
The date of the
RIN transaction.
The compliance
year for which the
transaction is
applied.
QA Checks
Description
Must be within
the last 5
business days.
The "Remedial
action as
specified by EPA"
reason code 110
may only be used
5 times per
calendar year.
Required if the
reason code
"Demonstrate
Annual
Compliance" is
reported.
If submittal date
is on/between
Apr land Dec 31,
the compliance
year must be the
current year. If
submittal date is
on/between Jan
land Feb28, the
compliance year
must be the
i
previous year.
Number
7055
7056
7016
7017
(cont.
Submitting EMTS Transactions using XML
42
-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:string
Name
ComplianceLevelCode
Required Description
No
The compliance
basis for the
submitting
organization:
Facility,
Aggregated
Importer,
Aggregated
Refiner,
Aggregated
Exporter, Non-
Obligated Party.
QA Checks
Description Number
If the code is
"Refinery by
Refinery," the
facility identifier
must be
reported.
Must be a valid
code recognized
by EPA.
The reported
code when
retiring RINs is
dependent on an
organization's
business
activities that are
registered with
EPA.
A compliance
level code must
be provided
when retiring for
compliance.
7021
7042
7034
7047
(cont.
Submitting EMTS Transactions using XML
43
-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
xsd:string
xsd:string
Name
ComplianceFacilityldentifier
TransactionDetailComment
Required
No
No
Description
The facility
identifier, as
registered in
OTAQReg, for the
facility that has a
compliance
obligation.
Comment
provided by the
user on the
transaction.
QA Checks
Description
If reported, then
the compliance
level code must
be "Facility
Level."
If reported, an
active facility
identifier must
be registered at
EPA.
Required for
reason codes:
"Reportable Spill"
"Contaminated
or Spoiled Fuel"
"Import Volume
Correction"
"Invalid RINs"
"Volume error
correction"
"Enforcement
Obligation"
"Remedial action
as specified by
EPA" or
"Remedial Action
- Retire for
Compliance"
Number
7022
7023
7037
(cont.
Submitting EMTS Transactions using XML
-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
Data Type
complex
complex
Name
RetireSupportingDocumentDetail
RetireOriginatingSourceDetail
Required
No
No
Description
Information for
the industry user
to create user
defined data to
report supporting
document
identifiers.
Information on the
original renewable
fuel production.
QA Checks
Description
Number
No RINs may be retired for compliance during the month of March.
Submitting EMTS Transactions using XML
45
-------
6.0 What Is the FIFO Process for Finding RINs?
When you identify a quantity of RINs that you wish to sell, separate, or retire, EMTS will find the closest
match of available RINs in your holding account for the specified fuel, RIN year, and assignment code. From
these RINs, EMTS will select the oldest batch of RINs based on the fuel production date. If the number of
RINs that you have specified in your transaction is smaller than the oldest batch EMTS finds in your
account, then that batch will be split into two smaller batches, one of which will be used for the transaction.
The batch not used in the transaction will remain in your RIN Holding Account with all the characteristics
of the original batch. As a consequence of this action, the number of RIN batches in your account may grow
as larger batches split into several smaller batches.
Alternatively, if the quantity requested is larger than one or more of the batches in your account, EMTS will
sum as many of the oldest batches together to reach the quantity desired.
If you specify an exact batch of RINs by reporting the originating source of the fuel (organization identifier,
facility identifier, and batch number), then EMTS will not use the first-in, first-out method, but look for the
specific batch.
7.0 How Do I Cancel a Buy or Sell Transaction?
EMTS has the capability to allow parties to cancel initiated buy and sell transactions if any party deems it
appropriate to cancel the transaction(s). A user may cancel transactions they have initiated either through
the EMTS website, or they can submit XML files through the node to cancel the transactions. Cancel
transactions must be identical (with the exception of the reason code) to the original transaction they are
intended to cancel. A cancel transaction must be submitted as a single transaction in a submission file. If a
cancel transaction is submitted in an XML file with other transactions (including other cancel transactions),
then the entire submission will fail.
Submitting EMTS Transactions using XML 46
-------
Appendix A: Glossary
EMTS Glossary
Title
Agent
Assigned RIN
Asynchronous
Audit Trail
Authentication
Authorization
Batch
Batch RIN
Blender
Business Activities
CDX Central Data Exchange (CDX)
Definition
An agent acts on behalf of a company or facility. An agent has one user
account and can be associated with one or more companies or facilities.
A RIN attached to a gallon of renewable fuel that can only be transferred
along with a volume of fuel.
Communication between two parties or systems in which data can be
transmitted intermittently rather than in a steady stream.
The set of data that has been stored in EMTS providing historical details
about specific actions.
The process to confirm the identity of the user.
The process to verify a user's permission to perform some functionality.
A volume of renewable fuel.
A RIN number that represents a specific batch of renewable fuel produced
or imported.
Party who blends renewable fuel into gasoline or diesel fuel at or below
the levels that allow the separation of RINs.
The characteristics of a company that determine the type of transactions it
can do in EMTS.
Central Data Exchange. EPA's gateway for receiving environmental
information through the Web. Serves as the EPA node on the Exchange
Network.
(cont.)
Appendix A
A-l
-------
Check
EMTS Glossary (cont.)
A discrete unit of logic used to implement a business rule, or other
validation of data.
Company
A business entity with one or more users in EMTS.
Data Exchange Standard
Specification identifying content and format of data that will be exchanged
between multiple parties or systems.
Dataflow
Within CDX, the identification of how data moves from one specified
location to another specified location.
Deficit Carryover
Deficit of RINs from a previous year RVO that is added to a current year
RVO as specified in 40 CFR §80.1407.
Delegation (Upward)
The act by which a party that would normally be responsible for RIN
management transfers this responsibility to another party. For instance, a
blender may delegate this responsibility to a renewable fuel producer.
There is a limit of 125,000 gallons per year that a company can delegate
upwards as per 40 CFR §80.1440.
Delegation (User)
The act by which a responsible corporate officer of a regulated party
authorizes another party to perform transactions on the regulated party's
behalf.
EPA Moderated Transaction System
(EMTS)
EPA's centralized messaging, screening, and transaction system that
moderates RIN transactions.
Facility
An actual or virtual location where renewable fuel is produced or
imported.
Fuel Category
The code that identifies the type of fuel for which an organization is
generating RINs.
Fuel (D Code)
The code that identifies the category of renewable fuel. There are five
different fuel types: Cellulosic Biofuel D = 3, Biomass-based Diesel D = 4,
Advanced Biofuel D = 5, Renewable Fuel D = 6 and Cellulosic Diesel D = 7.
(cont.
Appendix A
A-2
-------
EMTS Glossary (cont.)
Title
Gallon-RIN
Generate Transaction
Importer
Industry User
Invalid RIN
Logging
Message
Node
Node Client
Notification
Obligated Party
Permissions
Definition
A RIN that represents one gallon of renewable fuel.
A transaction that creates a batch RIN. RINs may only be generated when
a batch of renewable fuel is produced or imported.
An entity that imports transportation fuel.
An EMTS user represents a regulated party.
A RIN described in 40 CFR §80.1431(a).
Functionality of a software system that stores information on the system
for auditing and tracking.
A communication between a registered party and EMTS using EPA's
exchange network. It includes all the data needed to process a
transaction.
A web server that facilitates the interface between database systems and
the Exchange Network. It is a registered party's "point of presence" on the
Exchange Network. Occasionally referred to as "network node" or
"Exchange Network Node."
The software program that provides integration with the Exchange
Network Directory Service (ENDS). Within the node client, the user selects
a dataflow, enters the dataflow, enters authentication information, and
then uses the Exchange Network and CDX services.
The communication that is returned by EMTS to the sender or receiver of a
transaction. Notifications may occur before the message is evaluated in
any way other than format checks.
A party which is subject to a RVO(s) and produces gasoline or diesel, or
imports gasoline or diesel as per 40 CFR §80.1406.
The ability to perform certain actions within EMTS.
(cont.)
Appendix A
A-3
-------
EMTS Glossary (cont.)
Title
Quality Assurance Program (QAP)
QAP Provider
QAP Service Type
Refiner
Registered Party
RFS Regulated Party
Renewable Fuel
Renewable Fuel Exporter
Renewable Fuel Producer
Renewable Fuel Standard (RFS)
Renewable Identification Number (RIN)
Definition
A voluntary program that improves the efficiency and effectiveness of the
RFS program by providing a structured way to assure the valid generation
of RINs.
The organization that provides a level of quality assurance for the RIN
owner.
The service level of QAP for RINs involved in a transaction. Q-RINs have
been reviewed by a QAP Provider in accordance with §80.1469(c). If RINs
are not verified, then they are categorized as Unverified
A company who refines gasoline or diesel fuel.
Any user of EMTS who has gained access through the registration process
with EPA.
Any party that takes ownership of a RIN.
Transportation, heating oil, or jet fuel that is used to replace or reduce the
quantity of fossil fuel present in a fuel mixture used to operate a motor
vehicle, and which meets the definition in 40 CFR §80.1401.
A party that exports renewable fuel and therefore has an RVO as per 40
CFR §80.1430
A party that produces renewable fuel.
The rule which sets the percentage of fuel produced which must be
renewable, for parties that produce gasoline or diesel, or import gasoline
or diesel.
An identifier that uniquely identifies a gallon of renewable fuel, generated
by a renewable fuel producer or importer. RINs are assigned to batches of
renewable fuel and are transferred to other regulated parties.
(cont.)
Appendix A
A-4
-------
EMTS Glossary (cont.)
Title
Renewable Volume Obligation (RVO)
Retire Transaction
RIN Account
RIN Assignment Code
RIN Block
RIN Credit
RIN Generation
RIN Owner
Role
Separate Transaction
Separated RIN
Small Refiner
Definition
The volume of renewable fuel, represented by RINs, that an obligated
party must obtain to be in compliance with the RFS.
A transaction where a regulated party removes a RIN from trading in
EMTS.
An account in EMTS used to store RINs.
A code that identifies whether or not a RIN is assigned to a gallon of
renewable fuel.
A group of sequential RINs identified by a start number and end number.
Larger RIN blocks can be split into smaller blocks, each block being
contiguous and sequential. RIN blocks cannot contain duplicate RINs.
Credits that are transacted between renewable fuel producers to refiners,
importers exporters, and other obligated parties. RIN credits are identified
by unique identification numbers (RINs).
See Generate Transaction.
An owner of either assigned and/or separated RINs.
A set of permissions for functions that a person is allowed to perform. A
role is assigned to a user (person).
A transaction that terminates the assignment of the RIN to a volume of
renewable fuel. The resulting RINs are thereafter "separated."
A RIN which has been separated from a gallon of renewable fuel. RINs may
only be separated if a party has met the requirements in §80.1429. A
separated RIN can be transferred without an associated volume of fuel.
A refiner that processes <75,000 bpd crude, or who has <1500 employees
and processes <155,000 bpd crude.
(cont.)
Appendix A
A-5
-------
EMTS Glossary (cont.)
Title
Splash Blending
Stage
Submission
Submission Date
Trade
Transaction
Transaction Date
Transaction Instructions
Transaction Log
Transfer
User
Definition
The act of transferring and blending fuel simultaneously. Either party
involved in the transfer can separate the RINs if the requirements in
§80.1429 are met. However, both parties must agree on who will separate
the RINs.
The stage of a transaction defines where in the process of data exchange a
particular message or evaluation occurs. A stage ends and a new stage
begins when a message has been successfully transmitted, queued,
checked, processed, routed, and finalized.
Sending an XML file to EMTS, for the purposes of completing a transaction.
"Sending" can potentially occur via a node, a node client, or a web form
that takes inputted data and creates an XML file.
The date an XML file is sent to EMTS, for the purpose of completing a
transaction.
A two-part transaction, consisting of a sell transaction initiated by one
party and a buy transaction initiated by another party.
A transaction describes an operation on a batch RIN or gallon-RIN. A
transaction comprises a series of actions related to a specific process. Each
transaction is processed in stages and results in the return of a message to
the sending party identifying subsequent data on the transaction.
The date on which a transaction occurs outside of EMTS. This is the date
recorded on the Product Transfer Document (PTD).
A document made available to EMTS users that identifies procedures
needed to ensure adherence with the data exchange standard.
The history of all of transactions which have been processed by EMTS.
The process of deducting RINs from one RIN account and adding the same
RINs to a different RIN account.
A person who interacts with EMTS. A person authorized to use EMTS.
(cont.
Appendix A
A-6
-------
EMTS Glossary (cont.)
XML
A markup language for documents containing structured information. The
XML specifications define a standard way to add markup to documents. Its
primary purpose is to facilitate the sharing of structured data across
different information systems, particularly over the internet.
XML Document
An XML document is a file containing data organized into a structured
document. An XML document is considered "well-formed" if it conforms
to all XML syntax rules. An XML document is considered valid if it
conforms to all the semantic rules defined by an associated XML schema.
An XML document cannot be processed if it is not well-formed. XML
documents have the extension .xml.
XML Schema
An XML schema describes the structure of an XML document. An XML
schema defines the set of rules to which the XML document must conform
in order to be considered "valid" according to the schema. An instance of
an XML schema is an XML document and is a file with the extension .xsd.
Appendix A
A-7
-------
Appendix B: QA Checks
The following table shows the checks that EMTS will apply to all data. Checks are categorized by functional area
or "Check Group." The check number indicates the type of transaction for which the check applies.
Checks by transaction type are as follows:
1000-1999 XSD Validation
2000 - 2999 Submission File
3000-3999
Generate RINs
4000-4999 Buy RINs
5000-5999 Separate RINs
6000-6999 Sell RINs
7000-7999 Retire RINs
9000-9999 Lock RINs
10000-10999 Unlock RINs
EMTS QA Checks
Number
1000
Name
XML Validation
Check Group
XML Validation
Description
The XML document must adhere to EMTS xsd and be
well-formed and valid.
1010
Invalid Code
XML Validation
The XML document must contain valid codes.
1020
No XML File Found
XML Validation
XML document must be in the SUBMISSION FILE table.
2000
User must be Registered
with CDX and Active
Submission
The user specified in the submission file must be
actively registered with CDX and have permission to
participate in EMTS.
(cont.
Appendix B
B-l
-------
EMTS QA Checks (cont.)
Number
2001
Name
User is associated with the
Submitting Organization
and Active
Check Group
Submission
Description
The user specified in the submission file must have an
active association with the organization for which he is
submitting data.
2002
User Privileges
Submission
The user specified in the submission file must be
authorized to perform the requested transactions on
behalf of the organization.
2005
Organization must be
Registered with EPA and
Active
Submission
The organization in the submission file must be
registered with EPA and be active.
2006
Organization RIN Holding
Account is Enabled
Submission
The organization's RIN Holding Account must be active.
2008
Submittal Date Within
Range
Submission
The submission date associated with the submission
file may not be a date occurring in the future.
2009
At least one Transaction
per Submission
Submission
There must be at least one transaction in the
submission file.
2011
Submitter must be
Registered with EPA and
Active
Submission
The data submitter must be registered with EPA and be
active.
2012
Submitter is associated
with the Submitting
Organization and Active
Submission
The user specified in the submission file header must
be authorized to perform the requested transactions
on behalf of the organization.
2013
Organization may not
submit multiple files with
the same name.
Submission
A given organization may not submit multiple files with
the same name in a given calendar year.
(cont.)
Appendix B
B-2
-------
EMTS QA Checks (cont.)
Number
2014
Name
Organization must specify
a single valid RIN year for
submission.
Check Group
Submission
Description
An organization must specify a single valid RIN year for
a submission.
3000
Generate Organization
differs from Organization
Generate
If the generate organization is different than the
submitting organization identifier or RINPin, then the
organization must be a renewable fuel importer.
3001
Generate Organization
must be Registered with
EPA and Active
Generate
If the generate organization is provided, then it must
be registered with EPA and be active.
3002
Generate Facility must be
provided
Generate
For generate transactions, the generate facility
identifier must be provided.
3004
Generate Facility
Association with Generate
Organization
Generate
If generate organization is provided, then generate
facility must be actively associated with the generate
organization.
3005
Generate Facility
Association with
Organization
Generate
If generate organization is not provided, then the
generate facility must be actively associated with the
submitting organization.
3010
CoProduct Code Matches
Registration
Generate
If the co-product is reported for a fuel, it must be
registered with EPA.
3011
Production Date within
Range
Generate
The production date must not occur after the date
specified in submittal data.
3012
Organization Permissions
Generate
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
(cont.
Appendix B
B-3
-------
EMTS QA Checks (cont.)
Number
3013
Name
Ethanol Production
Check Group
Generate
Description
If "Non-cellulosic Ethanol" or "Cellulosic Ethanol" RINs
are reported in the generate transaction, then
denaturant volume must be reported.
3014
Denaturant Volume
Generate
If denaturant volume is reported, then "Non-cellulosic
Ethanol" or "Cellulosic Ethanol" must be reported.
3016
Denaturant Volume within
Allowed Range
Generate
When denaturant gallons are reported for ethanol fuel,
the amount specified cannot exceed the percent
specified in GLOBAL_PARAMETER.PERCENT_DENATURANTof
the total volume of fuel produced.
3018
Batch Number must be
Provided
Generate
Batch number must be provided.
3019,
3021
Batch Number must be
Unique
Generate
Batch number must be unique for an organization,
facility, and RIN year.
3022
RIN Quantity must equal
the Product of
Equivalence Value and
Batch Volume
Generate
If Equivalence Value is reported then RIN Quantity
must equal the product of Batch Volume and the
allowed Equivalence Value.
3023
Feedstock Code must be
valid
Generate
The feedstock code reported in the production of fuel
must be a valid code that is recognized by EPA.
3024
Process Code must be
valid
Generate
The process code reported in the production of fuel
must be a valid code that is recognized by EPA.
3025
CoProduct Code must be
valid
Generate
The co-product code reported in the production of fuel
must be a valid code that is recognized by EPA.
(cont.)
Appendix B
B-4
-------
EMTS QA Checks (cont.)
Number
3026
Name
Equivalence Value Range
Check Group
Generate
Description
The equivalence value reported must equal the
specified value for the fuel category produced.
3027
Feedstock Measure Code
must be valid
Generate
The feedstock measure code reported in the
production of fuel must be a valid code that is
recognized by EPA.
3030
Renewable Biomass
Generate
If RINs are generated (RIN Quantity greater than or
equal to "1"), then all specified feedstocks must be
indicated as "Renewable Biomass."
3033
Fuel Category Code must
be valid
Generate
The fuel category code reported in the production of
fuel must be a valid code that is recognized by EPA.
3034
Fuel Code must be valid
Generate
The fuel code reported in the production of fuel must
be a valid code that is recognized by EPA.
3040
Fuel Code Compatible
with Fuel Category
Generate
The fuel code reported must be compatible with the
fuel category used in the production of fuel.
3041
Fuel Code, Fuel Category
Compatible with Process
Generate
The fuel code and fuel category reported must be
compatible with the process used in fuel production.
3042
Feedstock Compatible
with Fuel Code, Fuel
Category and Process
Generate
The feedstock reported must be compatible with the
fuel code, fuel category, and process used in the
production of fuel.
3043
Foreign Producer Cannot
be a Small Blender
Generate
If the generate organization differs from the submitting
organization then the generating organization must not
be a Small Blender.
3044
Foreign Producer must be
Bonded
Generate
If the Submission Organization is a Foreign Producer,
they must be bonded.
(cont.
Appendix B
B-5
-------
EMTS QA Checks (cont.)
Number
3045
3047
3048
3049
3050
3051
3052
3053
3055
3056
Name
Foreign Producer
Generate Organization
Import Facility Required
Import Facility must be
Registered with the EPA
and active
Import Facility not
allowed
Import Facility Required
Import Facility Not
Allowed
Generate Public Facility
Number must be unique
Import Public Facility
Number must be unique
Production Date must be
within Allowed Range
Pathways must have same
QAP Provider
Check Group
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Generate
Description
If the generate organization differs from the submitting
organization then the generating organization must be
a Foreign Producer.
If the generate organization differs from the submitting
organization then the ImportFacilityld is required.
If the import facility is provided, it must be registered
with the EPA and active
Import Facility Identifier not allowed if not importing
fuel.
If the submitting organization is only a renewable fuel
importer, then they must provide an Import Facility
Identifier.
If the Import Facility Identifier is populated, then the
submitting organization must be a renewable fuel
importer.
The generate facility number specified must be unique
for the organization.
The import facility number specified must be unique
for the organization.
Production date must be within the last 5 business days
per40CFR80.1452(b).
Each feedstock must belong to a pathway with the
same QAP Provider, or all must have none.
(cont.
Appendix B
B-6
-------
EMTS QA Checks (cont.)
Number
3064
Name
QAP Service Type Code
must be valid
Check Group
Generate
Description
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
3066
Pathways must have same
QAP Service Type
Generate
Each feedstock must belong to a pathway with the
same QAP Service Type Code, or all must have none.
3067
Fuel Pathway Matches
Registration
Generate
The Fuel Category Code, Fuel Code, and Process Code
reported in the production of fuel must match a
registered fuel pathway.
3069
Feedstock Matches
Registration
Generate
The Feedstock Code reported in the production of fuel
must be part of a registered fuel pathway.
3070
No Registered Feedstock
for Specified Pathway and
Facility
Generate
There must be at least one Feedstock registered for the
specified Facility, Fuel Code, Fuel Category Code,
Process Code, and QAP Service Type Code.
3071
Check for suspended
pathway
Generate
The Fuel Category Code, Fuel Code, and Process Code
reported in the production of fuel cannot be
suspended unless QAP Service Type is 30.
3072
Check for suspended
pathway
Generate
The Fuel Category Code, Fuel Code, Process Code and
Feedstock reported in the production of fuel cannot be
suspended unless QAP Service Type is 30.
3075
QAP Service Type Code is
required if QAP is live.
Generate
A QAP Service Type Code is required if the QAP
program is live.
3076
QAP service type Code
must be 30 if QAP is not
live.
Generate
When QAP is not live, QAP Service Type Code must be
30.
(cont.)
Appendix B
B-7
-------
EMTS QA Checks (cont.)
Number
3900
4001
4003
4006
4007
4011
4012
4013
4014
Name
Sufficient RINs
Generate Organization
must be Registered with
EPA and Active
Generate Facility must be
Registered with EPA
Batch Number
Generate Facility
Assignment Code of "1"
Organization Permissions
Organization Identifier on
Blocked List
Facility Identifier on
Blocked List
Check Group
Generate
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
Runs reservation step for generate transaction.
Needed for Transaction_Status_Log entry.
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided in the submission file
then it must be registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must be reported as well.
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
If assignment is "1," then the batch volume must be
specified.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
If you have created a list of organizations for which you
do not want to own any fuel, should a transaction
include the organization as the originating source, the
transaction will automatically fail.
If you have created a list of facilities for which you do
not want to own any fuel, should a transaction include
the organization as the originating source, the
transaction will automatically fail.
(cont.
Appendix B
B-8
-------
EMTS QA Checks (cont.)
Number
4015
4016
4017
4018
4019
4020
4021
4022
4024
Name
Trade Contains Blocked
RINs
Matched Transaction
Must Be a Pending Sell
Matched Transaction ID
Must Belong to a
Matching Sell
Transaction Partner
Organization Registered at
EPA and Active
RIN Year and Transfer
Date
Transfer Date Consistent
Matching Trade pending
RINs count validation
Transaction Partner
Organization Must Have
Correct Business Activity
Fuel Code must be valid
Check Group
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
If the buy transaction has a matched sell transaction,
the RINs reserved for the Sell cannot have been
generated by an organization or facility on the
submitting organizations blocked list.
If the Buy Transaction has a matched Sell transaction
ID, the transaction must be in a pending state.
If the Buy Transaction has a matched Sell transaction
ID, the transaction must match on trade matching
criteria.
The transaction partner organization must be
registered at EPA and be active.
RIN Year may not be greater than the year associated
with the specified Transfer Date.
The transfer date specified may not occur in the future.
The user provided matching trade must have the
correct number of pending RINs.
The transaction partner organization must have
enabled business activity that allows a sell.
The fuel code reported must be a valid code that is
recognized by EPA.
(cont.
Appendix B
B-9
-------
EMTS QA Checks (cont.)
Number
4028
4032
4034
4035
4036
4037
4041
4042
4043
4045
Name
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Reason Code must be
valid
Allowable Reason Code
RIN Price or Gallon Price
Provided
Reason Comment
Cancel Trade
Same Buy and Sell
Organization
One Cancel per
Submission
Incorrect Trading Partner
Check Group
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter.
For assigned RINs that are being bought, the ratio of
RINs to fuel must be greater than "0" but less than
"2.5."
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
The allowable reason code reported by an organization
when buying RINs are dependent on their business
activities as registered with EPA.
The RIN price or gallon price must be provided.
If reason "Standard Trade" or "Cancel" is not provided
for a buy transaction then a comment must be
provided.
A Cancel trade must match a pending trade.
The buying organization cannot be the same as the
selling organization.
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
"Incorrect Trading Partner" can only be reported for
assigned RINs.
(cont.
Appendix B
B-10
-------
EMTS QA Checks (cont.)
Number
4046
4047
4052
4054
4055
4064
4066
4075
4076
4800
Name
Advanced Options
"Improper Generation"
Only one of RIN Price and
Gallon Price is allowed
Public Facility Number
must be unique
Batch Volume Gallon Price
Transfer Date must be
within Allowed Range
QAP Service Type Code
must be valid
RIN Price or Gallon Price
Prohibited
QAP Service Type Code is
required when final QAP
rule is in effect
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Reserve Pending Trade
Check Group
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Description
Originating source information (generating
organization, generating facility, and batch number)
must be specified when the Buy Reason is "Improper
Generation".
The user may not provide both a RIN price and a gallon
price.
The facility number specified must be unique for the
organization.
Batch Volume must be specified if Gallon Price is
specified.
The Transfer Date must be within the last n days based
on TRANSFER_DATE_DAYS_BACK parameter
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
The RIN price or gallon price must not be provided with
selected reason code.
A QAP Service Type Code is required when the final
QAP rule is in effect.
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
The transaction specified by the matching transaction
identifier must be available to be reserved.
(cont.
Appendix B
B-ll
-------
EMTS QA Checks (cont.)
Number
4900
5001
5003
5006
5007
5012
5019
5020
5024
Name
Sufficient RINs
Generate Organization
must be Registered with
EPA and Active
Generate Facility must be
Registered with EPA
Batch Number
Generate Facility
Organization Permissions
RIN Year and Transaction
Date
Transaction Date
Consistent
Fuel Code must be valid
Check Group
Buy
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Description
Runs reservation step for generate transaction.
Needed for Transaction_Status_Log entry.
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided then it must be
registered with EPA.
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If a generate facility is reported, then the organization
where the fuel was produced must be reported as well.
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
RIN Year may not be greater than the year associated
with the specified Transaction Date.
The transaction date specified may not occur in the
future.
The fuel code reported must be a valid code that is
recognized by EPA.
(cont.
Appendix B
B-12
-------
EMTS QA Checks (cont.)
Number
5028
5032
5033
5034
5035
5036
5037
5038
Name
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Upstream Delegation for
Blending
Blender Organization
must be Registered with
EPA and Active
Allowable Reason Code
Blender Organization
Business Activity
Reason Code must be
valid
Sufficient RINs
Check Group
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Separate
Description
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter.
For assigned RINs that are being separated from a
volume of fuel, the ratio of RINs to fuel must be greater
than "0" but less than "2.5."
The blender organization name and blender
organization identifier must be specified when
identifying "Upstream Delegation for Blending" as the
separation reason.
If a blender organization is provided, then it must be
registered with EPA and be active.
The allowable reason code reported by an organization
when separating RINs are dependent on their business
activities as registered with EPA.
If a Blender organization is specified then the
organization must have a business activity of small
blender.
The reason code reported must be a valid code that is
recognized by EPA.
The organization must have enough available RINs in its
holding account for the specified Fuel and RIN Year to
complete the transaction.
(cont.)
Appendix B
B-13
-------
EMTS QA Checks (cont.)
Number
5039
Name
Small Blender Volume
Check Group
Separate
Description
RIN separated on behalf of a small blender may not
exceed the volume in gallons per calendar year as
determined by the Small Blender Maximum Volume
parameter.
5040
Blender Organization
Separate
If a Blender Organization Identifier or Blender Name is
reported then separate reason "Upward Delegation"
must also be reported.
5041
Reason Comment
Separate
If reason "Remedial action as specified by EPA" is
provided for a buy transaction then a comment must
be provided.
5046
Delayed RIN Separation
Separate
If the organization specifies "Delayed RIN Separate" as
the reason code, then the fuel code may not be
Renewable Fuel (D = 6).
5052
Public Facility Number
must be unique
Separate
The facility number specified must be unique for the
organization.
5055
Transaction Date must be
within Allowed Range
Separate
The Transaction Date must be within the last n
business days based on TRANSACTION_DATE_DAYS_
BACK_SEPARATED_RINS parameter
5064
QAP Service Type Code
must be valid
Separate
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
5075
QAP Service Type Code is
required when final QAP
rule is in effect
Separate
A QAP Service Type Code is required when the final
QAP rule is in effect.
(cont.
Appendix B
B-14
-------
EMTS QA Checks (cont.)
Number
5076
Name
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Check Group
Separate
Description
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
5900
Sufficient RINs (FIFO)
Separate
The organization must have enough available RINs in its
holding account to complete the transaction.
5901
Sufficient RINs
(Organization)
Separate
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
5902
Sufficient RINs (Facility)
Separate
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
5903
Sufficient RINs (Batch)
Separate
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
6001
Generate Organization
must be Registered with
EPA
Sell
If the generate organization is provided, then it must
be registered with EPA.
6003
Generate Facility must be
Registered with EPA
Sell
If the generate facility is provided, then it must be
registered with EPA.
6006
Batch Number
Sell
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
6007
Generate Facility
Sell
If a generate facility is reported, then the organization
where the fuel was produced must be reported as well.
(cont.)
Appendix B
B-15
-------
EMTS QA Checks (cont.)
Number
6011
6012
6016
6017
6018
6019
6020
6022
6024
6028
Name
Assignment Code of "1"
Organization Permissions
Matched Transaction
Must Be a Pending Buy
Matched Transaction ID
Must Belong to a
Matching Buy
Transaction Partner
Organization Registered at
EPA and Active
RIN Year and Transfer
Date
Transfer Date Consistent
Transaction Partner
Organization Registered is
allowed to buy
Fuel Code must be valid
RIN Year must be valid
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Description
If the assignment is "1," then batch volume must be
specified.
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
If the Sell Transaction has a matched Buy transaction
ID, the transaction must be in a pending state.
If the Sell Transaction has a matched Buy transaction
ID, the transaction must match on trade matching
criteria.
The transaction partner organization must be
registered at EPA and be active.
RIN Year may not be greater than the year associated
with the specified Transfer Date.
The transfer date specified may not occur in the future.
The transaction partner organization must be
registered at EPA and be active.
The fuel code reported must be a valid code that is
recognized by EPA.
The requested RIN Year must fall within the
RIN_EXPIRATION_YEARS range defined by the
RIN_EXPIRATION_YEARS global parameter.
(cont.
Appendix B
B-16
-------
EMTS QA Checks (cont.)
Number
6032
6034
6035
6036
6037
6038
6040
6041
6042
6043
Name
RIN Quantity Ratio to
Batch Volume
Reason Code must be
valid
Allowable Reason Code
RIN Price or Gallon Price
Provided
Reason Comment
Sufficient RINs
Trading Partner Blocked
RINs
Cancel Trade
Same Buy and Sell
Organization
One Cancel per
Submission
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Description
For assigned RINs that are being sold, the ratio of RINs
to fuel must be greater than "0" but less than "2.5."
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
The allowable reason code reported by an organization
when selling RINs are dependent on their business
activities as registered with EPA.
The RIN price or gallon price must be provided.
If reason "Standard Trade" or "Cancel" is not provided
for a sell transaction then a comment must be
provided.
The organization must have enough available RINs in its
holding account for the specified Fuel, RIN Year, and
Assignment Code to complete the transaction.
One or more of your RIN batches are blocked by your
trading partner.
A Cancel trade must match a pending trade.
The selling organization cannot be the same as the
buying organization.
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
(cont.
Appendix B
B-17
-------
EMTS QA Checks (cont.)
Number
6044
6045
6046
6047
6052
6054
6055
6064
6075
Name
Improper Generation
Incorrect Trading Partner
Advanced Options
"Improper Generation"
Only one of RIN Price and
Gallon Price is allowed
Public Facility Number
must be unique
Batch Volume Gallon Price
Transfer Date must be
within Allowed Range
QAP Service Type Code
must be valid
QAP Service Type Code is
required when final QAP
rule is in effect
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Description
If a Trade due to "Improper Generation" reason is
reported then RINs must be sold to the originating
organization of those RINs.
"Incorrect Trading Partner" can only be reported for
assigned RINs.
Originating source information (generating
organization, generating facility, and batch number)
must be specified when the Sell Reason is "Improper
Generation".
The user may not provide both a RIN price and a gallon
price.
The facility number specified must be unique for the
organization.
Batch Volume must be specified if Gallon Price is
specified.
The Transfer Date must be within the last n days based
on TRANSFER_DATE_DAYS_BACK parameter
The QAP Service Type Code reported must be a valid
code that is recognized by EPA.
A QAP Service Type Code is required when the final
QAP rule is in effect.
(cont.)
Appendix B
B-18
-------
EMTS QA Checks (cont.)
Number
6076
6800
6900
6901
6902
6903
6904
7001
7003
Name
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Reserve Pending Trade
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Sufficient RINs (Facility)
Sufficient RINs (Batch)
RIN Price or Gallon Price
Prohibited
Generate Organization
must be Registered with
EPA and Active
Generate Facility must be
Registered with EPA
Check Group
Sell
Sell
Sell
Sell
Sell
Sell
Sell
Retire
Retire
Description
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
The transaction specified by the matching transaction
identifier must be available to be reserved.
The organization must have enough available RINs in its
holding account to complete the transaction.
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
The RIN price or gallon price must not be provided with
selected reason code.
If the generate organization is provided, then it must
be registered with EPA and be active.
If the generate facility is provided then it must be
registered with EPA.
(cont.
Appendix B
B-19
-------
EMTS QA Checks (cont.)
Number
7006
7007
7012
7016
7017
7019
7020
7021
7022
Name
Batch Number
Generate Facility
Organization Permissions
Compliance Year
Valid Compliance Year
RIN Year and Transaction
Date
Transaction Date
Consistent
Reporting Compliance at
the Refinery Level
Refinery Level Compliance
Check Group
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Description
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
Compliance year is required if the reason code
"Demonstrate Annual Compliance" is reported.
If the submittal date is on/between April 1 and
December 31, then the compliance year must be the
current year. If the submittal date is on/between
January 1 and February 28, the compliance year must
be the previous year.
RIN Year may not be greater than the year associated
with the specified Transaction Date.
The transaction date specified may not occur in the
future.
If the compliance level code reported is "Refinery by
Refinery," the facility identifier must be reported.
If a facility identifier is reported for compliance, then
the compliance level code must be "Refinery by
Refinery."
(cont.
Appendix B
B-20
-------
EMTS QA Checks (cont.)
Number
7023
7024
7028
7032
7034
7035
7037
7038
7039
Name
Compliance Facility
Registered at EPA and
Active
Fuel Code must be valid
RIN Year must be valid
RIN Quantity Ratio to
Batch Volume
Allowable Compliance
Level Code
Allowable Reason Code
Reason Code Comment
Sufficient RINs
Reason Code must be
valid
Check Group
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Description
If a compliance facility identifier is reported, then the
facility identifier must be registered at EPA and be
active.
The fuel code reported must be a valid code that is
recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter
If Batch Volume is provided, then the ratio of RINs to
fuel must be greater than "0" but less than "2.5."
The allowable compliance level code reported by an
organization when retiring RINs are dependent on their
business activities registered with EPA.
The allowable reason code reported by an organization
when retiring RINs are dependent on their business
activities registered with EPA.
If reason code 10, 20, 50, 60, 70, 110, 120, 130, 140, or
150 is used in a retire transaction then a comment
must be provided.
The organization must have enough available RINs in its
holding account for the specified Fuel, RIN Year, and
Assignment Code to complete the transaction.
The reason code reported must be a valid code that is
recognized by EPA.
(cont.
Appendix B
B-21
-------
EMTS QA Checks (cont.)
Number Name Check Group Description
7040
7041
7042
7043
7046
7047
7052
7055
Reason Code Batch
Volume
Compliance RIN Year
Compliance Level Code
must be valid
Retire for Annual
Compliance
Delayed RIN Retire
Compliance Level Code
Required
Public Facility Number
must be unique
Transaction Date must be
within Allowed Range
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
If reason code "Reportable Spill," "Contaminated or
Spoiled Fuel," "Import Volume Correction,"
"Renewable Fuel Used in a Boiler or an Ocean-Going
Vessel," or "Volume error correction" is provided for a
retire transaction then Batch Volume must also be
provided.
RIN Year may only equal the Compliance Year or one
year prior to the Compliance Year. This check should
only be executed if reason code equals "Demonstrate
Annual Compliance."
The compliance level code reported must be a valid
code that is recognized by EPA.
If retire for reason code "Demonstrate annual
compliance" is reported then the RINs must have an
assignment code of "2."
The "Delayed RIN Retire" reason code may only be
used with Separated Renewable Fuel (D = 6) RINs.
A compliance level code must be provided when
retiring for compliance.
The facility number specified must be unique for the
organization.
The Transaction Date must be within the last n days
based on
TRANSACTION_DATE_DAYS_BACK_RETIRED_RINS
parameter
(cont.
Appendix B
B-22
-------
EMTS QA Checks (cont.)
Number
7056
7057
7064
7075
7076
7077
7078
7079
Name
Transaction Date must be
within Allowed Range
when using reason 110
Reason Code 110 only
allowed 5 times
QAP Service Type Code
must be valid
QAP Service Type Code is
required when final QAP
rule is in effect
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Compliance Year cannot
be in the future
Compliance Year cannot
be before 2010 if Retiring
for Compliance as an
Aggregated Exporter
RIN Year cannot be
greater than Compliance
Year if Retiring for
Compliance as an
Aggregated Exporter
Check Group
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Retire
Description
Reason Code 110 must be used within n days based on
the RETIRE_REASON_110_DAYS_BACK parameter.
Reason Code 110 may only be used 5 times based on
the RETIRE_REASON_110_USES parameter.
The QAP Service Type Code reported must be a valid
code that is recognized by EPA.
A QAP Service Type Code is required when the final
QAP rule is in effect.
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
If retiring for compliance, the Compliance Year cannot
be in the future.
Compliance Year cannot be before 2010 if Retiring
for Compliance as an Aggregated Exporter.
RIN Year cannot be greater than Compliance Year if
Retiring for Compliance as an Aggregated Exporter.
(cont.)
Appendix B
B-23
-------
EMTS QA Checks (cont.)
Number
7900
7901
7902
7903
9001
9003
9006
9007
Name
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Sufficient RINs (Facility)
Sufficient RINs (Batch)
Originate Organization
must be Registered with
EPA
Originate Facility must be
Registered with EPA
Batch Number
Originate Facility
Check Group
Retire
Retire
Retire
Retire
Lock
Lock
Lock
Lock
Description
The organization must have enough available RINs in
its holding account to complete the transaction.
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
If the originate organization is provided then it must
be registered with EPA.
If the originate facility is provided then it must be
registered with EPA.
If a batch number is reported then both the
organization and facility identifiers where the fuel was
produced must also be reported.
If an originate facility is reported then the organization
where the fuel was produced must also be reported.
(cont.)
Appendix B
B-24
-------
EMTS QA Checks (cont.)
Number
9024
9028
9064
9076
9900
9901
9902
9903
Name
Fuel Code must be valid
RIN Year must be valid
QAP Service Type Code
must be valid
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Sufficient RINs (FIFO)
Sufficient RINs
(Organization)
Sufficient RINs (Facility)
Sufficient RINs (Batch)
Check Group
Lock
Lock
Lock
Lock
Lock
Lock
Lock
Lock
Description
The fuel code reported must be a valid code that is
recognized by EPA.
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
The organization must have available RINs in its
holding account to complete the transaction.
The organization must have available RINs from the
specified organization in its holding account to
complete the transaction.
The organization must have available RINs from the
specified facility in its holding account to complete the
transaction.
The organization must have available RINs from the
specified batch in its holding account to complete the
transaction.
(cont.)
Appendix B
B-25
-------
Number
10001
EMTS QA Checks (cont.)
Name
Originate Organization
must be Registered with
EPA
Check Group
Unlock
Description
If the originate organization is provided then it must
be registered with EPA.
10003
Originate Facility must be
Registered with EPA
Unlock
If the originate facility is provided then it must be
registered with EPA.
10006
Batch Number
Unlock
If a batch number is reported then both the
organization and facility identifiers where the fuel was
produced must also be reported.
10007
Originate Facility
Unlock
If a originate facility is reported then the organization
where the fuel was produced must also be reported.
10024
Fuel Code must be valid
Unlock
The fuel code reported must be a valid code that is
recognized by EPA.
10028
RIN Year must be valid
Unlock
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter.
10064
QAP Service Type Code
must be valid
Unlock
The QAP Service Type Code reported must be a valid
code that is recognized by EPA.
10076
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Unlock
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
(cont.)
Appendix B
B-26
-------
EMTS QA Checks (cont.)
Number
10900
Name
Sufficient RINs (FIFO)
Check Group
Unlock
Description
The organization must have RINs in its holding account
that match the criteria specified to complete the
transaction.
10901
Sufficient RINs
(Organization)
Unlock
The organization must have available RINs from the
specified organization in its holding account to
complete the transaction.
10902
Sufficient RINs (Facility)
Unlock
The organization must have available RINs from the
specified facility in its holding account to complete the
transaction.
10903
Sufficient RINs (Batch)
Unlock
The organization must have available RINs from the
specified batch in its holding account to complete the
transaction.
Appendix B
B-27
-------
Appendix C: Business Activities by Transaction Type
The following chart shows the types of transactions allowed based on an organization's business activities. One organization may register for multiple
business activities.
Transaction Types
Generate
Domestic
Renewable
Fuel
Producer
Separate (Receipt of Renewable Fuel)
Separate (Blending)
Renewable
Fuel
Importer
Non-
renewable
Fuel
Importer
Foreign
Renewable
Fuel
Producer
(Bonded)
Foreign
Renewable
Fuel
Producer
(Unbonded)
Renewable
Fuel
Exporter
Refiner
Small
Refiner*
RIN
Owner
Small
Blender**
Quality
Assurance
Provider
Separate (Designation as Transportation Fuel)
Separate (Upstream Delegation for Blending)
Separate (Export)
Separate (Use as Heating Oil or Jet Fuel)
Separate (Use in Non-road Engine or Vehicle)
Separate (Designation as Heating Oil or Jet Fuel)
Trade Assigned RINs
Trade Separated RINs
Retire (Reported Spill)
Retire (Contaminated or Spoiled Fuel)
Retire (Import Volume Correction)
Retire (Demonstrate Annual Compliance)
Retire (Invalid RIN)
Retire (Volume Error Correction)
Retire (Enforcement Obligation)
Retire (Fuel Used in an Ocean-Going Vessel)
Retire (Renewable fuel used or designated to be used
in any application that is not transportation fuel,
heating oil, or jet fuel
*Less than 155,000 gallons per year and has a small refiner exemption
**May view information about transactions performed on their behalf.
IZ
Yes
No
Appendix C
C-l
-------
[This page intentionally left blank.]
Appendix C C-2
-------
Appendix D: Sample Transactions
D-l Generate Transaction
Generate transactions allow renewable fuel producers to generate RINs for a newly produced batch of fuel. The
characteristics of this new batch of fuel are used to identify the RINs for future transactions. Once EMTS has
successfully processed a generate transaction, the submitter can see the new RINs in the organization's RIN
Holding Account.
In this example, an ethanol Producer is sending information about a batch of RINs and identifies the feedstock
used to produce the fuel.
Objective: Ethanol Producer generates 5,000 RINs.
Information to deliver:
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Process Code - The process code which describes how the renewable fuel was made.
• Production Date - The year of production is the RIN year which can be used by buyers and sellers to
specify RINs for a trade.
• Fuel Category - Indicates the type of renewable fuel produced.
• Batch Volume - The total volume in gallons of renewable fuel. For ethanol, batch volume includes both
the volume in gallons of un-denatured fuel and the volume in gallons of denaturant.
• Denaturant Volume (for non-cellulosic ethanol and cellulosic ethanol fuel only) - The total volume in
gallons of denaturant added to the fuel.
• Equivalence Value - A multiplier directly related to the fuel code.
• RIN Quantity - The total number of RINs being generated in this transaction calculated by multiplying
the Batch Volume by the Equivalence Value.
Figure D-l shows how these data would appear in a generate transaction data block.
Appendix D D-l
-------
Figure D-l: Generate Transaction Data Elements
Data Element
FuelCode
QAP Service Type Code
ProcessCode
ProductionDate
FuelCategory
BatchVolume
DenaturantVolume
EquivalenceValue
RINQuantity
TransactionDetailComment
Value Reference
6
30
10
2014-01-07
10
5000
238
1.0
5000
Renewable
Fuel
Unverified
Grandfathered
(Dry Mill,
Natural Gas
Fired)
Non-cellulosic
Ethanol
Required
Yes
Yes
Yes
Yes
Yes
Yes
No
Yes
Yes
No
Instructions
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter a valid process code.
Enter the date in YYYY-MM-DD
format.
Enter a valid fuel type.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
Enter the volume in gallons of
denaturant added to the renewable
fuel.
Enter a valid equivalence value from
Section 5 of this document. This is a
multiplier directly related to fuel
code.
Enter the total number of RINs. This
must be a whole number.
Provide any additional information
regarding this transaction.
D-l.l Reporting the Originating Source
Every generate transaction requires information regarding the source of the fuel. For each generate transaction,
the following are required:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being generated.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being generated.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being generated.
Figure D-2 shows how the originating source data would appear in a generate transaction.
Appendix D
D-2
-------
Figure D-2: Generate Originating Source Data Elements
Data Element Value Reference
GenerateOrganization Identifier
GenerateFacility Identifier
Batch NumberText
1111
77777
300
Ethanol
Producers
Cornish Plant
Required
Yes
Yes
Yes
Instructions
Provide the public organization
identifier for the producer of the
fuel as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
D-1.2 Feedstocks
The generate transaction requires that additional information be provided regarding the kind of feedstocks used
to produce the fuel, the volume of each feedstock, and whether those feedstocks are renewable biomass. In
this example, two different feedstocks were used and information must be provided for both. For each
feedstock, the following are required:
• Feedstock Code - The Feedstock Code categorizes the type of material used to produce the renewable
fuel.
• Renewable Biomass Indicator - Enter "true" if the feedstock meets the definition of renewable biomass
as per §80.1401.
• Feedstock Volume - The total volume of the feedstock.
• Feedstock Measure Code - The unit of measure for the feedstock volume.
Figure D-3 shows how these data would appear for two feedstocks for a batch of RINs.
Appendix D
D-3
-------
Figure D-3: Feedstock Data Elements
Data Element Value Reference
FeedstockCode
RenewableBiomasslndicator
FeedstockVolume
FeedstockMeasureCode
FeedstockCode
RenewableBiomasslndicator
FeedstockVolume
FeedstockMeasureCode
10
true
46.6
60
310
true
15.5
60
Starch — Corn
Yes
Ton
Starch -Annual
Covercrops
Yes
Ton
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Instructions
Enter a valid feedstock code. Enter as
many feedstocks as applicable.
Enter "true" if the feedstock qualifies
as renewable biomass.
Enter the total volume of the
feedstock used in production of the
fuel.
Enter a valid unit of measure code.
Enter a valid feedstock code found.
Enter as many feedstocks as
applicable.
Enter "true" if the feedstock qualifies
as renewable biomass.
Enter the total volume of the
feedstock used in production of the
fuel.
Enter a valid unit of measure code.
D-1.3 Reporting Co-product
If fuel production results in the creation of a co-product, this information must be reported in the generate
transaction. For each co-product, provide:
• Co-product Code - Code that categorizes the type of co-product.
Figure D-4 shows how co-product data would appear in a generate transaction.
Figure D-4: Co-product Data Elements
Data Element
CoProductCode
Value
10
Reference
Wet Distiller
Grains
Required
No
Instructions
Enter a valid co-product code. Enter
as many co-products as applicable.
D-2 Separate Transaction
RINs are separated on a first-in-first-out basis in EMTS, unless additional information on the RIN batch is
provided. EMTS searches the organization's RIN holdings for RINs that match the fuel type and assignment code
specified and selects the quantity of RINs from the earliest acquired dates available. After EMTS has processed
Appendix D
D-4
-------
the separate transaction, the organization's RIN holdings will display an assignment code of "2" or "separated"
for these RINs.
In this example, a Refiner is separating 16,000 RINs from 16,000 gallons of fuel.
Objective: Petroleum Refiner separates 16,000 assigned RINs.
Required Information:
• RIN Quantity-The total number of RINs being separated in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Separate Reason Code - Code that explains why the fuel is being separated.
• Transaction Date - The date on which the separate transaction occurred outside of EMTS.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
Figure D-5 shows how these data would appear in the separate transaction data block.
Appendix D D-5
-------
Figure D-5: Separate Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
SeparateReasonCode
TransactionDate
RINYear
Transaction DetailComment
Value Reference
16000
16000
6
30
10
2014-01-
01
2014
Renewable Fuel
Unverified
Receipt of
renewable fuel
by obligated
party
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter a valid separate reason code.
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Provide any additional information
regarding this transaction.
Appendix D
D-6
-------
D-3 Sell Transactions
When a user submits a sell transaction, information on the buying organization must be identified. EMTS will
check to make sure that the selling organization has the necessary RINs to complete the requested transaction
and will then place these RINs in a "pending" status until it receives the buyer's matching transaction.
In this example, an Ethanol Producer is selling 1,000 gallons of fuel with 1,000 assigned RINs to a Blender.
Objective: Renewable Fuel Producer sells 1,000 gallons of fuel and 1,000 RINs
Required Information:
• Trading Partner Organization Identifier - The public identification number for the buying organization
obtained through EPA.
• Trading Partner Organization Name -The name of the buying organization.
• RIN Quantity-The total number of RINs being sold in this transaction.
• Batch Volume-The volume of renewable fuel associated with the RINs.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Sell Reason Code - Code that explains why these RINs are being sold.
• Gallon Price Amount-The price at which the RINs and fuel were sold.
• Transfer Date -The date on which the RINs were transferred outside of EMTS.
Figure D-6 shows how these data would appear in the sell transaction data block.
Appendix D D-7
-------
Figure D-6: Sell Transaction Data Elements
Data Element
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
RINYear
Sell Reason Code
Gallon PriceAmount
TransferDate
PTDNumber
Transaction DetailComment
Value
2222
Big Bob's
1000
1000
6
30
1
2014
10
2.50
2014-01-
15
8960
Reference
Big Bob's
Blending
Renewable
Fuel
Unverified
Assigned to
Fuel
Standard
Trade
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the organization identifier of the
buying party. This is the organization
number obtained through EPA.
Enter the name of the buying party.
Enter the total number of RINs. This
must be a whole number.
Enter volume of fuel in gallons of fuel in
the batch. It must be a whole number
less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter "1" if the RINs are assigned and "2"
if they are separated.
Enter the year in YYYY format. This is the
year in which the RIN was generated and
can be derived from the production date.
Enter a valid sell reason code.
Enter the price per gallon of renewable
fuel in USD.
Enter the date in YYYY-MM-DD format.
This is the date on which the RINs were
transferred outside of EMTS.
Enter the PTD number associated with
the transaction.
Provide any additional information
regarding this transaction.
D-3.1 Supporting Document Information
The user may wish to provide additional documentation numbers associated with the buy or sell transaction.
The supporting document data block allows the user to create user-defined document names to report these
numbers. In the example below, the user reported an invoice number for the sell.
Figure D-7 shows how data would appear in the supporting document information.
Appendix D
D-8
-------
Figure D-7: Supporting Document Detail
Data Element
SupportingDocumentText
SupportingDocumentNumber
Value
Invoice
1001
Reference Required
No
No
Instructions
Enter the type of document to which
the document number applies.
Enter the identification number for
the supporting document.
D-4 Buy Transactions
When a user submits a basic buy transaction, EMTS will match key data elements to the corresponding sell
transaction. EMTS will match on trading partner information, assignment code, QAP service type, RIN quantity,
and fuel type. If these fields do not match, the trade will fail.
In this example, a Blender is buying 1,000 gallons of fuel with 1,000 assigned RINs from a Producer.
Objective: Renewable Fuel Blender buys 1,000 gallons of fuel and 1,000 RINs.
Required Information:
• Trading Partner Organization Identifier - The public identification number for the selling organization
obtained through EPA.
• Trading Partner Organization Name -The name of the selling organization.
• RIN Quantity-The total number of RINs being sold in this transaction.
• Batch Volume-The total volume of renewable fuel associated with the RINs.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Buy Reason Code - Code that explains why these RINs are being bought.
• Gallon Price Amount-The price at which the RINs and fuel were bought.
• Transfer Date -The date on which the transfer of RINs occurred outside of EMTS.
Appendix D
D-9
-------
Figure D-8 shows how these data would appear in the buy transaction data block.
Figure D-8: Buy Transaction Data Elements
Data Element Value Reference
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
RINYear
BuyReasonCode
GallonPriceAmount
TransferDate
PTDNumber
TransactionDetailComment
1111
Ethanol
Producers
1000
1000
6
30
1
2014
10
2.50
2014-01-15
8960
Ethanol
Producers
Renewable
Fuel
Unverified
Assigned to
Fuel
Standard
Trade
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the RINs were transferred outside of
EMTS.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
Appendix D
D-10
-------
D-5 Retire Transactions
D-5.1 Retire for Other
Retire transactions must include a reason for the retirement of a RIN batch.
In this example, a Producer is retiring 1,000 RINs because of spillage.
Objective: Renewable Fuel Producer retires 1,000 gallons of fuel for spillage.
Required Information:
• RIN Quantity-The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code - Identifies if the RINs are assigned or separated.
• Transaction Date - The date on which the spill occurred.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Retire Reason Code - Code that explains why the fuel is being retired.
Figure D-9 shows how these data would appear in the retire transaction data block.
Appendix D D-ll
-------
Figure D-9: Retire Transaction Data Elements
Data Element
RINQuantity
Batch Volume
FuelCode
QAP Service Type Code
AssignmentCode
RINYear
RetireReasonCode
TransactionDate
TransactionDetailComment
Value
1000
1000
6
30
1
2014
10
2014-
01-01
Reference
Renewable Fuel
Unverified
Assigned to Fuel
Spillage
Spill occurred
while fuel was
in transit.
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
Provide any additional information
regarding this transaction.
A transaction comment is not required for all retire transactions. However, with certain reason codes such as
retire for spillage, a comment must be provided explaining the use of that reason code. Additional information
about the originating source of the RINs may also be provided, but is not required. To specify the batch,
indicate:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being sold.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being sold.
Figure D-10 shows how these data would appear in the originating source information for a batch of RINs.
Appendix D
D-12
-------
Figure D-10: Retire Originating Source Data Elements
Data Element
GenerateOrganization Identifier
GenerateFacility Identifier
BatchNumber
Value
1111
77777
300
Reference
Ethanol
Producers
Cornish Plant
Required
Yes
No
No
Instructions
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
D-5.2 Retire for Compliance, Aggregated Refiner
To fulfill its Renewable Volume Obligation (RVO) for a particular year, an organization must retire RINs to EPA's
RIN Holding Account. The submitter for the organization must indicate the compliance year, the compliance
level code, and the reason code for the retire transaction. Upon completion of this transaction, EPA will be the
holder of the RINs.
In this example, a Refiner is retiring 1,000 RINs for compliance.
Objective: Aggregated Refiner retires 1,000 RINs for compliance.
Required Information:
• RIN Quantity-The total number of RINs being retired in this transaction.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code - Identifies if the RINs are assigned or separated. RINs must be separated when
retiring for compliance.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Retire Reason Code - Code that indicates the RINs are retired for compliance.
• Transaction Date - The date on which the RINs were retired for compliance.
• Compliance Year-The year in which the RINs are being used for compliance.
• Compliance Level Code - The compliance basis for the submitting organization.
Appendix D
D-13
-------
Figure D-ll shows how these data would appear in the retire transaction data block.
Figure D-ll: Retire Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
RINYear
RetireReasonCode
TransactionDate
ComplianceYear
ComplianceLevelCode
ComplianceFacility Identifier
Transaction DetailComment
Value
1000
6
30
2
2014
90
2014-
01-01
2014
20
Reference
Renewable Fuel
Unverified
Separated
Demonstrate
annual
compliance
Aggregated
refiner
Required
Yes
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
Enter a valid compliance level code.
Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
Provide any additional information
regarding this transaction.
D-5.3 Retire for Compliance, Facility Level
When an organization wants to report compliance at the facility level, the user must submit a retire transaction
indicating a facility level reason code and the facility for which RINs are being retired.
In this example, a Refiner is retiring 1,000 RINs for compliance at the facility level.
Objective: Petroleum Refiner retires 1,000 RINs for compliance at the facility level.
Appendix D
D-14
-------
Required Information:
• RIN Quantity-The total number of RINs being retired in this transaction.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Retire Reason Code - Code that indicates the RINs are being used for compliance.
• Transaction Date - The date on which the RINs were retired for compliance.
• Compliance Year - The year in which the RINs are being used for compliance.
• Compliance Level Code - The compliance basis for the submitting organization.
• Compliance Facility Identifier - The public facility identifier of the facility that is retiring RINs for
compliance.
Figure D-12 shows how these data would appear in the retire transaction data block.
Appendix D D-15
-------
Figure D-12: Retire Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
RINYear
RetireReasonCode
TransactionDate
ComplianceYear
ComplianceLevelCode
ComplianceFacility Identifier
Transaction DetailComment
Value
1000
6
30
2
2014
90
2014-
01-01
2014
50
22222
Reference
Renewable Fuel
Unverified
Separated
Demonstrate
annual
compliance
Facility Level
Rex's Small
Refinery
Required
Yes
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter "1" if the RINs are assigned and
"2" if they are separated.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid retire reason code.
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
Enter a valid compliance level code.
Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
Provide any additional information
regarding this transaction.
Appendix D
D-16
-------
D-6 Advanced Options
D-6.1 Batch Specific Transactions
"Advanced Options" will be available to users who wish to submit separate, buy, sell, or retire transactions for a
specific batch of RINs. These transactions require the user to provide a greater level of detail than the basic
transaction as shown in this document. RINs can be specified by organization only, organization and facility, or
by organization, facility, and batch.
D-6.1.1 Batch Specific Sell Transaction
When a trade occurs involving a specific batch of RINs, the buying and selling organizations report the additional
information in the Originating Source data block, providing specifics on the organization and facility that
produced the fuel and the batch number.
In this example, a Producer is selling 8,000 RINs from a specific batch to a Refiner.
Objective: Renewable Fuel Producer sells 8,000 separated RINs from a specific generating facility.
Required Information:
• Trading Partner Organization Identifier - The identification number for the buying organization obtained
through EPA.
• Trading Partner Organization Name -The name of the buying organization.
• RIN Quantity-The total number of RINs being retired in this transaction.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Sell Reason Code - Code that explains why these RINs are being sold.
• RIN Price Amount-The price at which the RINs were sold.
• Transfer Date -The date on which the sell transaction occurred outside of EMTS.
Figure D-13 shows how these data would appear in the sell transaction data block for a specified batch of RINs.
Appendix D D-17
-------
Figure D-13: Batch Specific Sell Transaction Data Elements
Data Element
Transaction PartnerOrganization
Identifier
Transaction PartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
RINYear
SellReasonCode
RINPriceAmount
TransferDate
PTDNumber
TransactionDetailComment
Value
3333
Ralph's
8000
6
30
2
2014
10
0.18
2014-01-15
2495
Reference
Ralph's Refiner
Renewable Fuel
Unverified
Separated
Standard Trade
Required
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying party.
Enter the total number of RINs.
This must be a whole number.
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type
Code
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid sell reason code.
Enter the price per RIN in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
Appendix D
D-18
-------
A batch specific transaction requires additional information about the originating source of the RINs. To specify
the batch, include:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being sold.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being sold.
Figure D-14 shows how these data would appear in the originating source information for a batch of RINs.
Figure D-14: Sell Originating Source Detail
Data Element
GenerateOrganizationldentifier
GenerateFacility Identifier
Batch NumberText
Value
1111
77777
301
Reference
Ethanol
Producer
Cornish Plant
Required
Yes
No
No
Instructions
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
D-6.1.2 Batch Specific Buy Transaction
Users submitting a buy transaction for specific RINs must identify the same information as the selling
organization as these fields will be used by EMTS to match the transactions. If any of these fields identifying the
RINs are incorrect, then the transaction will not be matched with its corresponding sell transaction and the trade
will not be processed.
Figure D-23 shows the basic structure of a batch specific buy transaction. In this example, a Refiner is buying
8,000 RINs from a specific batch from a Producer.
Objective: Petroleum Refiner buys 8,000 separated RINs from a specific generating facility.
Required Information:
• Trading Partner Organization Identifier - The identification number for the selling organization obtained
through EPA.
• Trading Partner Organization Name - The name of the selling organization.
• RIN Quantity-The total number of RINs being retired in this transaction.
Appendix D
D-19
-------
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code- Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Buy Reason Code - Code that explains why these RINs are being bought.
• RIN Price Amount-The price at which the RINs were bought.
• Transfer Date - The date on which the buy transaction occurred outside of EMTS.
Figure D-15 shows how these data would appear in the buy transaction data block for a specified batch of RINs.
Figure D-15: Batch Specific Buy Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
Value
1111
Ethanol
Producers
8000
6
30
2
Reference
Ethanol
Producers
Renewable
Fuel
Unverified
Separated
Required
Yes
Yes
Yes
No
Yes
Yes
Yes
Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.
Enter the total number of RINs. This
must be a whole number.
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter "1" if the RINs are assigned
and "2" if they are separated.
(cont.)
Appendix D
D-20
-------
Figure D-15: Batch Specific Buy Transaction Data Elements (cont.)
Data Element
RINYear
BuyReasonCode
RINPriceAmount
TransferDate
PTDNumber
TransactionDetailComment
Value
2014
10
0.18
2014-01-15
2495
Reference
Standard
Trade
Required
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid buy reason code.
Enter the price per RIN in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
Batch specific transactions require additional information about the originating source of the RINs. To specify
the batch, include:
• Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
• Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being sold.
• Batch Number Text - An internal tracking number assigned by the organization responsible for
producing the fuel associated with the RINs being sold.
Figure D-16 shows how these data would appear in the originating source information for a batch of RINs.
Figure D-16: Originating Source Detail
Data Element
GenerateOrganization Identifier
GenerateFacilityldentifier
BatchNumberText
Value
1111
77777
301
Reference
Ethanol
Producers
Cornish Plant
Required
Yes
No
No
Instructions
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Enter the batch number associated
with the batch at fuel production.
Appendix D
D-21
-------
D-6.2 Non-One-to-One Ratio
Within the advanced options, it is also possible for organizations to separate, buy, and sell fuel and RINs at a
non-one-to-one ratio. Organizations may separate or sell up to two-and-a-half times as many RINs as the
associated fuel volume in a single transaction.
D-6.2.1 Separate Fuel and RINs in a Non-One-to-One Ratio
As an advanced option, users may choose to separate a quantity of RINs that exceeds the volume of renewable
fuel. The quantity of RINs may not be more than two-and-a-half times the volume of fuel. The user will need to
specify an assignment code of "1" to indicate that these RINs are assigned to fuel at the time of the transaction.
In this example, a Blender is separating 2,500 RINs from 1,000 gallons of renewable fuel.
Objective: Renewable Fuel Blender separates 2,500 RINs from 1,000 gallons of fuel.
Required Information:
• RIN Quantity-The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Separate Reason Code - Code that explains why the fuel is being separated.
• Transaction Date - The date on which the RINs were separated.
• RIN Year-The year in which the RIN was generated reflecting the year of the production date.
Figure D-17 shows how these data would appear in the separate transaction data block.
Appendix D D-22
-------
Figure D-17: Non-One-to-One Separate Transaction Data Elements
Data Element
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
SeparateReasonCode
TransactionDate
RINYear
TransactionDetailComment
Value
2500
1000
6
30
10
2014-01-
01
2014
Reference
Renewable
Fuel
Unverified
Receipt of
renewable fuel
by obligated
party
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
Instructions
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter a valid separate reason code.
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
Provide any additional information
regarding this transaction.
D-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio
Users may submit a sell transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by
entering the appropriate Batch Volume and RIN Quantity. If the organization intends to sell RINs of multiple fuel
types, then the user will need to submit one transaction for each fuel type.
In this example, a producer is selling 10,000 RINs and 5,000 gallons of renewable fuel to a Refiner.
Objective: Producer sells 5,000 gallons of fuel and 10,000 RINs.
Required Information:
• Trading Partner Organization Identifier - The identification number for the buying organization obtained
through EPA.
• Trading Partner Organization Name - The name of the buying organization.
• RIN Quantity-The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
Appendix D
D-23
-------
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code- Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Sell Reason Code - Code that explains why these RINs are being sold.
• Gallon Price Amount-The price at which the RINs and fuel were sold.
• Transfer Date -The date on which the sell transaction occurred outside of EMTS.
Figure D-18 shows these data would appear in the sell transaction data block.
Figure D-18: Non-One-to-One Sell Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
Value
3333
Ralph's
10000
5000
6
30
1
Reference
Ralph's Refiner
Renewable
Fuel
Unverified
Assigned to
Fuel
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Instructions
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
Enter the name of the buying
organization.
Enter the total number of RINs.
This must be a whole number.
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type
Code
Enter "1" if the RINs are assigned
and "2" if they are separated.
(cont.
Appendix D
D-24
-------
Figure D-18: Non-One-to-One Sell Transaction Data Elements (cont.)
Data Element
RINYear
SellReasonCode
GallonPriceAmount
TransferDate
PTDNumber
TransactionDetailComment
Value
2014
10
2.75
2014-01-15
3462
Reference
Standard
Trade
Required
Yes
Yes
Yes
Yes
No
No
Instructions
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
Enter a valid sell reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
D-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio
Users may submit a buy transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by
entering the appropriate Batch Volume and RIN Quantity. These values must match the values in the
corresponding sell transaction in order to be processed. If the organization intends to buy RINs of multiple fuel
types, then the user will need to submit one transaction for each fuel type.
In this example, a Refiner is buying 10,000 RINs and 5,000 gallons of renewable fuel from a Producer.
Objective: Petroleum Refiner buys 5,000 gallons and 10,000 RINs.
Required Information:
• Trading Partner Organization Identifier - The identification number for the selling organization obtained
through EPA.
• Trading Partner Organization Name - The name of the selling organization.
• RIN Quantity-The total number of RINs being retired in this transaction.
• Batch Volume - The total volume of renewable fuel.
• Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic
Diesel (D = 7).
Appendix D
D-25
-------
• QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a
pathway that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified,
then they are categorized as Unverified (30).
• Assignment Code - Identifies if the RINs are assigned or separated.
• RIN Year - The year in which the RIN was generated reflecting the year of the production date.
• Buy Reason Code - Code that explains why these RINs are being bought.
• Gallon Price Amount - The price at which the RINs and fuel were bought.
• Transfer Date - The date on which the buy transaction occurred outside of EMTS.
Figure D-19 shows how these data would appear in the submission file.
Figure D-19: Non-One-to-One Buy Transaction Data Elements
Data Element
TransactionPartnerOrganization
Identifier
TransactionPartnerOrganization
Name
RINQuantity
BatchVolume
FuelCode
QAP Service Type Code
AssignmentCode
RINYear
Value
1111
Ethanol
Producers
10000
5000
6
30
1
2014
Reference
Ethanol
Producers
Renewable
Fuel
Unverified
Assigned to
Fuel
Required
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Instructions
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
Enter the name of the selling party.
Enter the total number of RINs. This
must be a whole number.
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
Enter a valid fuel code.
Enter a valid QAP Service Type Code
Enter "1" if the RINs are assigned
and "2" if they are separated.
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
(cont.
Appendix D
D-26
-------
Figure D-19: Non-One-to-One Buy Transaction Data Elements (cont.)
Data Element
BuyReasonCode
GallonPriceAmount
TransferDate
PTDNumber
Transaction DetailComment
Value
10
2.75
2014-01-15
3462
Reference
Standard
Trade
Required
Yes
Yes
Yes
No
No
Instructions
Enter a valid buy reason code.
Enter the price per gallon of
renewable fuel in USD.
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
Enter the PTD number associated
with the transaction.
Provide any additional information
regarding this transaction.
Appendix D
D-27
-------
Appendix E: Cross-reference Tables
The following tables show cross-reference codes for reporting transactions to EMTS. Business activities Small
Blender (90) and Quality Assurance Provider (100) cannot perform any transactions, and thus are not included in
any of the cross-reference tables.
The Business Activity by Separate Reason Code table shows which reasons can be reported for a separate
transaction for a specific organization's business activity.
Figure E-l: Business Activity by Separate Reason Code
Business Activity Separate Reason
Code Description Code Description
10
10
10
10
10
10
10
30
30
30
30
30
30
30
40
Domestic Renewable Fuel
Producer
Domestic Renewable Fuel
Producer
Domestic Renewable Fuel
Producer
Domestic Renewable Fuel
Producer
Domestic Renewable Fuel
Producer
Domestic Renewable Fuel
Producer
Domestic Renewable Fuel
Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel
Importer
20
30
40
60
70
80
90
20
30
40
60
70
80
90
10
Blending to produce a transportation fuel
Designation of renewable fuel as transportation
fuel
Upstream Delegation for Blending
Use as Home Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Home Heating
Oil or Jet Fuel
Delayed RIN Separation
Blending to produce a transportation fuel
Designation of renewable fuel as transportation
fuel
Upstream Delegation for Blending
Use as Home Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
Delayed RIN Separation
Receipt of renewable fuel by obligated party
(contv
Appendix E
E-l
-------
Figure E-l: Business Activity by Separate Reason Code (cont.)
Business Activity Separate Reason
Code Description Code Description
40
40
40
40
40
40
50
50
50
50
50
50
50
60
60
60
60
60
60
60
70
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
20
30
40
60
70
80
20
30
40
50
60
70
80
10
20
30
40
60
70
80
20
Blending to produce a transportation fuel
Designation of renewable fuel as transportation
fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation
fuel
Upstream Delegation for Blending
Export of Renewable Fuel
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
Receipt of renewable fuel by obligated party
Blending to produce a transportation fuel
Designation of renewable fuel as transportation
fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
Blending to produce a transportation fuel
(contv
Appendix E
E-2
-------
Figure E-l: Business Activity by Separate Reason Code (cont.)
Business Activity Separate Reason
Code Description Code Description
70
70
70
70
70
80
80
80
80
80
80
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
30
40
60
70
80
20
30
40
60
70
80
Designation of renewable fuel as transportation
fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
Blending to produce a transportation fuel
Designation of renewable fuel as transportation
fuel
Upstream Delegation for Blending
Use as Heating Oil or Jet Fuel
Use in a non-road engine or vehicle
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
Appendix E
E-3
-------
The Business Activity by Buy Reason Code table shows which reasons can be reported for a buy transaction for a
specific organization's business activity.
Figure E-2: Business Activity by Buy Reason Code
Business Activity Code
10
10
10
10
10
10
10
10
20
20
20
20
20
20
20
20
30
30
30
30
30
40
40
40
40
40
Description
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Buy Reason Code
10
30
40
50
60
80
100
110
10
30
40
50
60
80
100
110
50
60
80
100
110
10
30
40
50
60
Description
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
(contv
Appendix E
E-4
-------
Figure E-2: Business Activity by Buy Reason Code (cont.)
Business Activity Code
40
40
40
50
50
50
50
50
50
50
50
60
60
60
60
60
60
60
60
70
70
70
70
70
70
70
Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Buy Reason Code
80
100
110
10
30
40
50
60
80
100
110
10
30
40
50
60
80
100
110
10
30
40
50
60
80
100
Description
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
(contv
Appendix E
E-5
-------
Figure E-2: Business Activity by Buy Reason Code (cont.)
Business Activity Code
70
80
80
80
80
80
80
80
80
Description
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
Buy Reason Code
110
10
30
40
50
60
80
100
110
Description
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Appendix E
E-6
-------
The Business Activity by Sell Reason Code table shows which reasons can be reported for a sell transaction for a
specific organization's business activity.
Figure E-3: Business Activity by Sell Reason Code
Business Activity Code
10
10
10
10
10
10
10
10
20
20
20
20
20
20
20
20
30
30
30
30
30
40
40
40
40
40
Description
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Sell Reason Code
10
30
40
50
60
80
100
110
10
30
40
50
60
80
100
110
50
60
80
100
110
10
30
40
50
60
Description
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
(contv
Appendix E
E-7
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Figure E-3: Business Activity by Sell Reason Code (cont.)
Business Activity Code
40
40
40
50
50
50
50
50
50
50
50
60
60
60
60
60
60
60
60
70
70
70
70
70
70
70
Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Renewable Fuel Exporter
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Sell Reason Code
80
100
110
10
30
40
50
60
80
100
110
10
30
40
50
60
80
100
110
10
30
40
50
60
80
100
Description
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
(contv
Appendix E
E-8
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Figure E-3: Business Activity by Sell Reason Code (cont.)
Business Activity Code
70
80
80
80
80
80
80
80
80
Description
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
Sell Reason Code
110
10
30
40
50
60
80
100
110
Description
Intra-Company Transfer
Standard Trade
Incorrect Trading Partner
Remedial Action Specified by EPA
Deny
Cancel
Required True-Up
Tolling Agreement
Intra-Company Transfer
The Business Activity by Retire Reason Code table shows which reasons can be reported for a retire transaction
for a specific organization's business activity.
Figure E-4: Business Activity by Retire Reason Code
Business Retire
Activity Reason
Code Description Code Description
10
10
10
10
10
10
10
10
Domestic Renewable
Fuel Producer
Domestic Renewable
Fuel Producer
Domestic Renewable
Fuel Producer
Domestic Renewable
Fuel Producer
Domestic Renewable
Fuel Producer
Domestic Renewable
Fuel Producer
Domestic Renewable
Fuel Producer
Domestic Renewable
Fuel Producer
10
20
40
50
60
70
90
100
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Volume error correction
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Delayed RIN Retire
(cont.)
Appendix E
E-9
-------
Figure E-4: Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
20
20
20
20
20
20
20
20
30
30
30
30
30
30
30
30
Foreign Renewable Fuel
Producer (Bonded)
Foreign Renewable Fuel
Producer (Bonded)
Foreign Renewable Fuel
Producer (Bonded)
Foreign Renewable Fuel
Producer (Bonded)
Foreign Renewable Fuel
Producer (Bonded)
Foreign Renewable Fuel
Producer (Bonded)
Foreign Renewable Fuel
Producer (Bonded)
Foreign Renewable Fuel
Producer (Bonded)
Renewable Fuel
Importer
Renewable Fuel
Importer
Renewable Fuel
Importer
Renewable Fuel
Importer
Renewable Fuel
Importer
Renewable Fuel
Importer
Renewable Fuel
Importer
Renewable Fuel
Importer
10
20
30
40
50
60
70
90
10
20
30
40
50
70
90
100
Reportable spill
Contaminated or spoiled fuel
Import volume correction
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Volume error correction
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Import volume correction
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Delayed RIN Retire
(cont.)
Appendix E
E-10
-------
Figure E-4: Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
40
40
40
40
40
40
40
50
50
50
50
50
50
50
60
60
60
60
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Non-renewable Fuel
Importer
Renewable Fuel
Exporter
Renewable Fuel
Exporter
Renewable Fuel
Exporter
Renewable Fuel
Exporter
Renewable Fuel
Exporter
Renewable Fuel
Exporter
Renewable Fuel
Exporter
Refiner
Refiner
Refiner
Refiner
10
20
40
50
70
80
90
10
20
40
50
70
80
90
10
20
40
50
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
(contv
Appendix E
E-ll
-------
Figure E-4: Business Activity by Retire Reason Code (cont.)
Business Retire
Activity Reason
Code Description Code Description
60
60
60
70
70
70
70
70
70
80
80
80
80
80
80
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
RIN Owner
70
80
90
10
20
40
50
70
90
10
20
40
50
70
90
Enforcement Obligation
Demonstrate annual compliance
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Reportable spill
Contaminated or spoiled fuel
Renewable Fuel Used in an Ocean-going Vessel
Invalid RIN
Enforcement Obligation
Renewable fuel used or designated to be used in any application
that is not transportation fuel, heating oil, or jet fuel.
Appendix E
E-12
-------
The Business Activity by Compliance Level Code table shows which compliance levels can be reported for a retire
transaction for a specific organization's business activity.
Figure E-5: Business Activity by Compliance Level Code
Business Activity Compliance Level
Code Description Code Description
10
20
30
40
50
60
60
70
80
Domestic Renewable Fuel Producer
Foreign Renewable Fuel Producer
Renewable Fuel Importer
Non-renewable Fuel Importer
Renewable Fuel Exporter
Refiner
Refiner
Small Refiner
RIN Owner
40
40
40
10
30
20
50
40
40
Non-Obligated Party
Non-Obligated Party
Non-Obligated Party
Aggregated Importer
Exporter
Aggregated Refiner
Facility Level
Non-Obligated Party
Non-Obligated Party
For a list of valid combinations of fuel categories, processes, and feedstocks that can be reported for a fuel code
(D code), please refer to the "Reporting Codes and Fuel Pathways" document.
Appendix E
E-13
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