Draft EMTS Sulfur and Benzene
User's Guide
United Stales
Environmental Protection
Agency
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Draft EMTS Sulfur and Benzene
User's Guide
Compliance Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
IMPORTANT REMINDER:
Regulated parties are urged to conduct due diligence investigations and
exercise caution when conducting Renewable Identification Number (RIN)
transactions. Neither EPA nor its systems, including the EPA Moderated
Transaction System (EMTS), certify or validate RINs or make any provision for
parties who, despite good faith, transfer or receive invalid RINs. As specified
in the regulations at 40 CFR 80.1431 (b)(2), invalid RINs cannot be used to
achieve compliance with the Renewable Volume Obligations of an obligated
party or exporter, regardless of the party's good faith belief that the RINs
were valid at the time they were acquired. Additionally, the regulations at 40
CFR 80.1460(b)(2) prohibit the creation or transfer to any person of a RIN that
is invalid.
&EPA
United Stales
Environmental Protection
Agenty
EPA-420-D-14-004
December 2014
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December 2014
Table of Contents
Introduction 1
Manage Credit Holdings 1
Generating Credits 3
Managing the Credit Transaction Bin 8
Retiring Credits 11
Trading Credits (Buy & Sell) 17
EMTS Technical Support 27
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December 2014
Introduction
This user's guide is intended to help users transact credits for the Sulfur and Benzene Averaging,
Banking, and Trading (ABT) program using the EPA Moderated Transaction System (EMTS).
Manage Credit Holdings
To view your Sulfur and Benzene ABT credit holdings, hover over Fuels ABT Credits on the main
menu of the EMTS website and select Credit Holdings (Current). Only Non-renewable Fuel
Importers and Refiners may participate in the Sulfur and Benzene credit program; if your
organization is not registered with one of those business activities in the OTAQ Registration system
(OTAQREG), you will not see the Fuels ABT Credits menu or any related functionality. The Manage
Credit Holdings screen is organization-specific (indicated by the organization name above the
Credit Holdings grid). To switch the organization for which you are viewing credit holdings, open
the Organizations tab of the accordion in the top right corner of the screen, and click "Select a
Different Organization."
If you view the Manage Credit Holdings screen before your organization has completed any
generate or buy transactions, the Credit Holdings grid will be empty. At this point, you can generate
or buy credits (the only valid transaction types when there are no Credit Holdings) by clicking the
Generate (Refiner), Generate (Importer) or Buy button. If your organization is only registered as
either a non-renewable fuel importer or a refiner, then you will only see one "Generate" option. You
can also buy and generate credits using the "I want to..." dropdown menu in the empty Credit
Holdings grid. See the "Generating Credits" section below for additional information.
Once you have completed a generate transaction or successfully purchased credits from a trading
partner, the Credit Holdings grid will display your credits (see Figure 1).
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December 2014
Figure 1: Manage Credit Holdings Screen
Manage Credit Holdings
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
Select an action from the 'I want to...' drop-down to perform against your credit holdings
View Credit Transaction Bin
Credit Year:
Credit Type:
Results Per Page:
Credit Holdings for:
Biodiesel Company (5001)
Displaying records 1 through 1 of 1 total
Sulfur (10) 2014
Export options: CSV I Excel I PDF
-Select- - Go
Generate(Refmer) Generate(lmporter)
Each row in the Credit Holdings grid represents a unique combination of Credit Type and Credit
Year. For each row, the sum of credits in the Available, Pending, and Reserved columns equals the
number of credits in the Total column. The credits in the Available column are credits that are
available for you to use in transactions. The credits in the Pending column are credits that are
involved in a pending sell transaction that you have initiated (see the "Trading Credits" section
below). The credits in the Reserved column are credits that are associated with transactions in the
Credit Transaction Bin (see the "Managing the Credit Transaction Bin" section below). You can
filter your credit holdings using the Filter Options and sort by clicking the column names. For
example, you can arrange the data to compare the total number of credits EMTS has processed in
your account to your own off-line transaction records. These data are also available for download
in a variety of formats.
The final column in the Credit Holdings grid is the "I want to..." column. The drop-down for each
row contains the options View Details, Generate, Buy, Sell, Retire (Obligation), and Retire (Other). If
you are registered as both a Refiner and a Non-renewable Fuel Importer, you will see two options
for both Generate and Retire (Obligation). If you select a transaction in the "I want to..." column for
a row of Credits, the Credit Type and Credit Year fields in the resulting transaction wizard will be
pre-populated with the data from that row.
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December 2014
Generating Credits
From the Manage Credit Holdings screen, if your organization is registered as both a non-renewable
fuel importer and a refiner, you have the option to generate credits as either a refiner or as an
importer. If you organization is only registered as either a non-renewable fuel importer or a refiner,
then you will only see one "Generate" option. To generate credits as a refiner, click the Generate
(Refiner) button or select Generate (Refiner) in the "I want to..." drop-down (or if you are only
registered as a refiner, select the "Generate" option) and click Go. Doing so takes you to the first
screen of the two-step Generate Wizard (see Figure 2).
Figure 2: Generate (Refiner) Wizard - Identify Production Source (Step 1)
e Contact Us Help Logout
Logged in as: industry for Biodiesel Company (5001)
Generate Credits - Identify Production Source
Your organization has 0
un-submit±ed credit
transactions in the credit
transaction bin.
Select the type of credits to generate and the applicable facility. Please ensure that the facility is
registered with OTAQReg Fuels as a refinery or importer.
View Credit Transaction Bin
Identify Production Source
Credit Year: 2014
Generating Organization: Biodiesel Company (5001)
* Generating Facility: Bio Blast Plant (-5552) -
* Credit Type: Sulfur (10)
Generate Credits »
The following information is required to generate credits as a refiner:
Year for which the credits are being generated;
Organization generating the credits;
Generating facility; and
Credit type (Sulfur or Benzene).
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December 2014
The Generating Organization will be pre-populated and read-only. If you select Generate from the "I
want to..." column of an existing holding, then the Credit Year will also be pre-populated and read-
only; otherwise, it will appear as a text field (as in Figure 2). If your organization only has one
registered facility, then Generating Facility will also be pre-populated.
Generating as an Importer has very similar first steps. From the Manage Credit Holdings screen, you
may also generate credits as an importer. To do so, either click the Generate (Importer) button or
select Generate (Importer) in the "I want to..." drop-down (or if you are only registered as an
importer, select the "Generate" option) and click Go. Doing so takes you to the first screen of the
two-step Generate (Importer) Wizard (see Figure 3).
Figure 3: Generate (Importer) Wizard - Identify Production Source (Step 1)
Contact Us \ Help | Logout
industry for Biodiesel Company (5001)
Generate Credits - Identify Production Source
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
Select the type of credits to generate and the applicable facility. Please ensure that the facility is
registered with OTAQReg Fuels as a refinery or importer.
View Credit Transaction Bin
Identify Production Source
Credit Year: 2014
Generating Organization: Biodiesel Company (5001)
' Credit Type: Benzene (20) »
Generate Credits »
The following information is required to generate credits as an importer:
Year for which the credits are being generated;
Organization generating the credits;
Credit type (Sulfur or Benzene).
The Generating Organization will be pre-populated and read-only. If you select Generate from the "I
want to..." column of an existing holding, then the Credit Year will also be pre-populated and read-
only; otherwise, it will appear as a text field (as in Figure 3).
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December 2014
As both an importer and a refiner, once you have completed all of the required fields, click Generate
Credits at the bottom of the screen to move to the second screen of the Generate Wizard. If all of
the information on the Identify Production Source screen is valid, the next screen will be either the
Generate Sulfur Credits screen or Generate Benzene Credits screen, based on the Credit Type you
have selected. If your information is not valid or if you have not completed all required fields, you
will see error messages; see Figure 4 for an example of a validation message that you may
encounter on this screen.
Figure 4: Quality Assurance Check Errors
Home | Contact Us | Help | Logout
Logged in as; industry for Biodiesel Company (5001}
<>EPA Mod
erated Transaction System
Organization
Submissions
Reports RINs Fuels ABT Credits
Generate Credits - Identify Production Source
> Please select a Credit Type from the drop-down.
Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
| Identify Production Source
Credit Year: 2014
Generating Organization: Biodiesel Company (5001)
* Credit Type: --Select-
* = Required Field
« Credit Holdings
Generate Credits »
If you select Sulfur as your Credit Type, you will be directed to the Generate Sulfur Credits screen
(see Figure 5].
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December 2014
Figure 5: Generate Wizard - Generate Sulfur Credits Screen (Step 2a)
Generate Sulfur Credits
» Credit Transaction Bin
Enter the annual volume of gasoline produced, average sulfur concentration, and quantity of credits.
The facility must be registered with OTAQReg Fuels as a refinery or importer.
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Credit Year: 2014
Generating Organization: Biodiesel Company (5001)
Generating Facility: Bio Blast Plant (-5552)
Gasoline Sulfur Standard: 30 PPM
Average Sulfur Concentration:
Report as a decimal, with two digits to the right of the decimal point (e.g., 9.00,1
Total volume of gasoline produced during the averaging period.
(Gasoline Sulfur Standard - Avg Sulfur Concentration) x Annual Volume
Quantity of Sulfur Credits:
Additional Information:
« Production Source Add to Transaction Bin »
On this screen, you must enter the following information:
Average Sulfur Concentration;
Annual Volume;
Quantity of Sulfur Credits;
The Quantity of Sulfur Credits that you enter must match the system calculated value (based on the
Average Sulfur Concentration and Annual Volume that you entered). If it does not, you will receive
an error message that will prevent you from adding your Credit Generate transaction to the Credit
Transaction Bin. Entering additional information is optional.
The information you entered on the previous screen will be displayed at the top of the screen in
read-only format (see Figure 6). If you are generating as an importer, the Generating Facility field
will not be present
If you select Benzene as your Credit Type, you will be directed to the Generate Benzene Credits
screen (see Figure 6).
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December 2014
Figure 6: Generate Wizard - Generate Benzene Credits Screen (Step 2b)
Generate Benzene Credits
Enter the annual volume of gasoline produced, average benzene concentration, and quantity of
credits. The facility must be registered with OTAQReg Fuels as a refinery or importer.
Credit Year: 2014
Generating Organization: Biodiesel Company (5001)
Generating Facility: Bio Blast Plant (-5552)
| Identify Credits
T Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Gasoline Benzene Standard: 0.62%
* Average Benzene
Concentration: (volume Percent)
* Annual Volume:
Quantity of Benzene Credits:
Additional Information:
(Gallons)
For more details, please see 80.1238 of the Benzene rule.
Total volume of gasoline produced dunng the averaging period.
[(Gasoline Benzene Standard - Avg Benzene Concentration) / 100] x Annual Volume
* = Required Field
« Production Source
Add to Transaction Bin »
On this screen, you must enter the following information:
Average Benzene Concentration;
Annual Volume;
Quantity of Benzene Credits;
The Quantity of Benzene Credits you enter must match the system calculated value (based on the
Average Benzene Concentration and Annual Volume that you entered). If it does not, you will
receive an error message that will prevent you from adding your Credit Generate transaction to the
Credit Transaction Bin. Entering Additional Information is optional.
The information you entered on the previous screen will be displayed at the top of the screen in
read-only format (see Figure 6). If you are generating as an importer, the Generating Facility field
will not be present
To complete the Generate Wizard, click the Add to Transaction Bin button.
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December 2014
Managing the Credit Transaction Bin
After you click Add to Transaction Bin, you are taken to the Credit Transaction Bin, where
transactions will be stored temporarily until you are ready to submit them (see Figure 7).
Figure 7: Credit Transaction Bin
Credit Transaction Bin
The last transaction submitted for Biodiesel Company (5001) through the EMTS website was submitted by
industry on Dec 9, 2014 at 2:32:06 PM.
- Organizations
Selected Organization: Biodiesel
Company (5001)
Select a Different Organization
Generate Credit Transactions
Credit
Year
2014
2014
Credit
Type
Sulfur (10)
Sulfur (10)
Standard
Concentration
30 PPM
30 PPM
Avg
Concentration
1 PPM
1 PPM
Generating
Facility
Bio Blast Plant
(-5552)
Waynesboro
(-5008)
Quantity
29000
29000
Status Date
12/09/2014 2:18:18 PM EST
12/09/2014 2:19:10 PM EST
I want to.
-Select- [_
-Select- *[_
.
Go |
Go |
Sell Credit Transactions
Transfer Credit Credit I Times
Date | Year Type I Traded
There are no credit sell transactions,
Buy Credit Transactions
Transfer Credit Credit Times
Date Year Type Traded
There are no credit buy transactions.
Retire Credit Transactions
Credit Year Credit Type Times Traded Quantity Reason Code
There are no credit retire transactions.
The Credit Transaction Bin is organization-specific, so transactions added to the Credit Transaction
Bin by any of your organization's submitters will be displayed on the screen. To switch the
organization for which the Credit Transaction Bin is displayed, click Select a Different Organization.
There is no restriction on the number of transactions that you can add to the Credit Transaction
Bin.
For all transactions in the Credit Transaction Bin, you have the option to View Details by selecting
View Details in the "I want to..." dropdown and clicking Go. You will be taken to a screen that
displays all of the details of the credit submission and transaction. This screen can be used to verify
the contents of the transaction before submitting it If you find that any information you entered is
incorrect, you can Remove the transaction via the "I want to..." dropdown.
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December 2014
Along with accessing the Credit Transaction Bin at the end of each wizard, you can navigate to the
Credit Transaction Bin from multiple screens of the EMTS website using the Credit Transaction Bin
accordion tab on the right side of the screen (see Figure 8). The tab contains the number of un-
submitted transactions and a link to the Credit Transaction Bin.
Figure 8: Accessing the Transaction Bin
T Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Clicking the View Credit Transaction Bin link takes you to the Credit Transaction Bin. Note that the
credits associated with each sell and retire transaction in the Credit Transaction Bin are Reserved
rather than Available (they show up in the Reserved column of the View Credit Holdings grid). As a
result, these credits may not be used for any other transactions. If a sell or retire transaction is
removed from the Credit Transaction Bin, the associated credits return to an Available status.
Credits associated with a generate transaction do not show up in the Credit Holdings grid until the
transaction is submitted from the Credit Transaction Bin, and credits associated with a buy
transaction do not show up in the Credit Holdings grid until the transaction is submitted from the
Credit Transaction Bin and accepted by the trading partner.
To complete a transaction, you must submit it from the Credit Transaction Bin by clicking the
Submit button at the bottom of the screen. If you have multiple transactions in the Credit
Transaction Bin, you must submit all of the transactions with the same Credit Year at once. If you
do not wish to submit one of the transactions in the bin, you can remove that transaction and
submit the remaining transactions. You may not submit transactions across multiple Credit Years
as part of a single transaction bin submission. If you have multiple transactions using RINs from
different Credit Years, you need to select a Credit Year from the dropdown in the Credit Transaction
Bin before submitting your transactions from your Credit Transaction Bin (see Figure 9). For
example, if you have a Credit Sell transaction for 2013 Sulfur credits and a Credit Retire transaction
for 2014 Sulfur credits in your Credit Transaction Bin, you must submit the transactions from 2013
and 2014 separately.
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December 2014
Figure 9: Credit Transaction Bin - Credit Year Options
Credit Transaction Bin
Generate Credit Transactions
^ Organizations
Selected Organization: Biodiesel
Company (5001)
Select a Different Organization
* Select RIN Year: -Select- "
I Submit»
1 Credit Credit Standard Avg Generating _ ... c. . ~ .
Year Type Concentration Concentration Facility Quantity Status Date
I want to...
There are no credit generate transactions.
Sell Credit Transactions
1 Transfer Credit Credit Times ~ .-., Trading
Date | Year Type Traded Quantity ^^ Status Date
I want to...
There are no credit sell transactions.
Buy Credit Transactions
1 Transfer Credit Credit Times Trading
Date Year Type Traded Quantity ££ Status Date
I want to...
There are no credit buy transactions.
Retire Credit Transactions
Credit
Year
2013
2014
Credit Tin
Type Tra
Sulfur (10)
Benzene (20)
ded Quantity Reason Code
50 Demonstrate annual compliance (80)
75 Demonstrate annual compliance (80)
Status Date
12/09/2014 2:32:57 PM EST
12/09/2014 2:33:25 PM EST
I want to...
-Select- ' | Go ]
-Select- » | Go |
Select RIN Year: - Select-
- Select-
2013
2014
Note: Submitting a transaction that is acting upon a large number of credit batches may take
several minutes, causing your browser to timeout Please be patient and do not submit another
transaction until the transaction has completed and your Credit Holdings and Credit Transaction
Bin reflect the results of that transaction.
After you press Submit, you will be taken to a Confirm and Submit screen (see Figure 10), which
displays an overview of the transactions you are about to submit. You must click the Confirm
Submit button to complete the submission.
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December 2014
Figure 10: Confirm and Submit Page
Organization
Submissions Trades
Fuels ABT Credits
Confirm and Submit
I confirm that the information shown is a correct and accurate account of the transaction(s) that have
taken place.
Credit Transactions
T Credit Transaction Bin
Your organization has 1
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Transaction
Credit Generate
Credit Type
Sulfur (10)
Credit Year Times Traded
2014 N/A
Credit Quantity
29000
«Back Confirm Submit»
Once you confirm the submission, your Credit Holdings will reflect the results of the submitted
transactions, and the Credit Transaction Bin will no longer contain the submitted transactions.
Retiring Credits
You may choose to retire credits from your Credit Holdings. All organizations that participate in the
Sulfur and Benzene credit program (Non-renewable Fuel Importers and Refiners) are obligated
parties and therefore may retire credits for obligation, along with retiring credits for other reasons.
Figure 11: Retire Options for an Obligated Party with Credits
Credit Holdings for: Biodiesel Company (5001)
Displaying records 1 through 2 of 2 total.
Export options: CSV I Excel I PDF
Generate(Refiner)
Generate(lmporter)
Buy
enerate
as Refiner
as Importer
Sell
Contact Us | Help
Credit Type
Sulfur (10)
Benzene (20)
± Credit Year
2014
2014
v Available
57950
500
v Pending
0
0
v Reserved
0
0
±\ Total ± I want to...
57950
500
-Select- [j
View Details
Go ]
Go |
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December 2014
For a row of credits in your Credit Holdings, select the Retire (Other) option in the "I want to..."
drop-down, and click Go. Doing so will take you to the first step of the Retire (Other) Wizard (see
Figure 12).
Figure 12: Retire (Other) Wizard - Identify Credits (Step 1)
Retire Credits - Identify Credits (Other)
Identify the sulfur or benzene credits for retirement by entering the required information below. If the
Times Traded field is blank, then the system selects credits to retire based on the number of times
traded in descending order.
| Identify Credits
* Credit Type:
* Credit Year:
Times Traded:
* Quantity of Credits:
* Transaction Date:
* Reason for Retire:
Additional Information:
Sulfur (10)
2014
-Select- »
(MM/DD/YYYY)
- Select-
Additional Information is required for retire reasons 60, 140,
150.
Document Type
Nothing found to display.
Add Document Information
Document Type:
Document Identification:
« Credit Holdings Advanced CreditSelection »
» Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Identify Credits
2 Advanced Credit Se
(OotionaM
The green boxes on the right side of the screen indicate which of the two steps of the Retire Wizard
you are completing. The following information is required to retire credits for reasons other than
compliance:
Credit Type;
Credit Year;
Number of times the credits have been traded;
Quantity of credits;
Transaction Date; and
Reason for the retire transaction.
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December 2014
All required fields are marked with a red asterisk. The Credit Type and Credit Year fields are
automatically populated with the information from the row of credits that you selected to retire
from your Credit Holdings grid. In the Reason for Retire field, only the reasons that are applicable
to your organization's registered business activities are available. The Retire Wizard also contains a
document grid you can use to specify the name and identifier of one or more documents that
support the retire transaction. Note that the document itself cannot be uploaded. To add document
information to the grid, fill in the Document Type and Document Identification fields, and click Add.
Doing so will add a row to the documents grid. For more information, see the Separating RINs
section of the EMTS User's Guide.
The Retire (Obligation) process has similar first steps. If your organization is either a refiner or a
non-renewable fuel importer, you will be provided with the option "Retire (Obligation)". If your
organization is both a refiner and a non-renewable fuel importer, you have the Retire (Obligation)
options "as Refiner" and "as Importer" available. For a row of credits in your Credit Holdings, select
the "as Refiner" option in the "I want to..." drop-down on the Manage Credit Holdings screen (or if
you are only registered as a refiner, select the "Retire (Obligation)" option). Doing so will take you
to the first step of the Retire (Obligation) Wizard for a refiner (see Figure 13).
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December 2014
FigurelS: Retire (Obligation) as Refiner Wizard - Identify Credits (Step 1)
Retire Credits - Identify Credits (Obligation)
Identify the sulfur or benzene credits for retirement by entering the required information below. If the
Times Traded field is blank, then the system selects credits to retire based on the number of times
traded in descending order.
| Identify Credits
Credit Type: Benzene (20)
Credit Year: 2014
Times Traded: -Select ^
* Quantity of Credits:
* Transaction Date: ^
(MM/DD/YYYY)
Reason for Retire: Demonstrate annual compliance
Compliance Level: Refinery by Refinery (50)
* Compliance Year:
» Compliance Facility: -Select- »
Additional Information:
Document Type Identifier 1 Action
Nothing found to display.
! | Add Document Information
Document Type:
Document Identification:
^
* Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Identify Credits
Advanced Credit Selection
[Optional)
« Credit Holdings | | Advanced Credit Selection »
The following information is required to retire credits for compliance as a refiner:
Credit Type;
Credit Year;
Quantity of Credits;
Transaction Date;
Reason for Retire;
Compliance Level;
Compliance Year; and
Compliance Facility.
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December 2014
All required fields are marked with a red asterisk. Credit Type and Credit Year are automatically
populated with the information from the row of credits in the Credit Holdings grid that you selected
to retire. The Reason for Retire and Compliance Level fields are read-only and populated based on
your Retire (Obligation) as Refiner selection from the previous screen. This screen contains a
document grid you can use to specify the name and identifier of one or more documents that
support the retire transaction. Note that the document itself cannot be uploaded. To add document
information to the grid, fill in the Document Type and Document Identification fields, and click Add.
Doing so will add a row to the documents grid.
There is one primary difference between retiring as a refiner and retiring as an importer. Refiners
must specify a Compliance Facility, while importers do not Additionally, the two transactions use
different Compliance Level Codes. To begin the Retire (Obligation) process as an importer, pick a
row of credits in your Credit Holdings and select the "as Importer" option in the "I want to..." drop-
down on the Manage Credit Holdings screen (or if you are only registered an importer, select the
"Retire (Obligation)" option). Doing so will take you to the first step of the Retire (Obligation)
Wizard for an importer (see Figure 14).
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December 2014
Figure 14: Retire (Obligation) as Importer Wizard - Identify Credits (Step 1)
Retire Credits - Identify Credits (Obligation)
Identify the sulfur or benzene credits for retirement by entering the requ red information below. If the
Times Traded field is blank, then the system selects credits to retire based on the number of times
traded in descending order.
| Identify Credits
Credit Type: Benzene (20)
Credit Year: 2014
Times Traded: Select ^
* Quantity of Credits:
* Transaction Date: 3
(MM/DD/YYYY)
Reason for Retire: Demonstrate annual compliance
Compliance Level: Aggregated Importer (10)
* Compliance Year:
Additional Information:
Document Type
Identifier Action
Nothing found to display.
| Add Document Information
Document Type:
Document Identification:
[~Add |
.< Credit Holdings Advanced Credit Selection »
Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Identify Credits
The following information is required to retire credits for compliance as an importer:
Credit Type;
Credit Year;
Quantity of Credits;
Transaction Date;
Reason for Retire;
Compliance Level; and
Compliance Year.
16
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December 2014
All required fields are marked with a red asterisk. Credit Type and Credit Year are automatically
populated with the information from the row of credits in the Credit Holdings grid that you selected
to retire. The Reason for Retire and Compliance Level fields are read-only and populated based on
your Retire (Obligation) as Importer selection from the previous screen. This screen contains a
document grid you can use to specify the name and identifier of one or more documents that
support the retire transaction. Note that the document itself cannot be uploaded. To add document
information to the grid, fill in the Document Type and Document Identification fields, and click Add.
Doing so will add a row to the documents grid.
For both Retire (Other) and Retire (Obligation), when you complete the Identify Credits screen,
click Advanced Credit Selection at the bottom of the screen to navigate to the second screen of the
Retire Wizard. On the Advanced Credit Selection screen, you have the option of selecting the
specific group of credits (by originating source information) that you wish to retire. If you do not
wish to make any selections on this screen, click Add to Transaction Bin at the bottom of the screen
to continue. In this situation, if you did not specify a Times Traded value on the Identify Credits
screen, EMTS will automatically retire the credits in your Credit Holdings that have been traded the
most number of times. Alternatively, you may use this screen to identify a specific originating
organization, or organization and facility. Once you have specified the originating source
information, click Add to Transaction Bin to continue. After you submit the retire transaction from
the Credit Transaction Bin, the credits will be removed from your Credit Holdings.
Trading Credits (Buy & Sell)
You can initiate a trade from your Credit Holdings screen. To initiate a sell transaction, you must
have credits in your Credit Holdings. The following information is required to initiate a trade
through a sell transaction:
Credit Type;
Credit Year;
Times Traded; and
Quantity of Credits.
For a row of credit data in your Credit Holdings grid, select Sell in the "I want to..." drop-down, and
click Go. Doing so will take you to the first screen of the Sell Wizard (see Figure 15).
17
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Figure 15: Sell Credits - Identify Credits (Step 1)
December 2014
Sell Credits - Identify Credits
Enter Credit Type, Credit Year, Times Traded, and Quantity of Credits. To cancel a trade that your
organization has already initiated, go to the Pending Initiated Credit Transactions on your Review
Credit Trades page and select 'Cancel Offer' for the appropriate transaction.
| Identify Credits
* Credit Type:
* Credit Year:
* Times Traded:
* Quantity of Credits:
Benzene (20)
2014
-Select- -
Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Identify Credits
« Credit Holdings
Select Trading Partner»
The green boxes on the right side of the screen indicate which of the four steps of the Sell Credits
Wizard you are completing. All required fields are marked with a red asterisk. The Credit Type and
Credit Year fields are automatically populated with the information from the row of credits in the
Credit Holdings grid that you selected to sell. You can change these values if there is another group
of credits in your holdings that you would like to sell. Once you complete the information on this
screen, click Select Trading Partner to move to the next screen.
On the Select Trading Partner screen, you must identify a trading partner from a list of
organizations that satisfy the search criteria. You can search for an organization by Organization
Name or Organization ID. In Figure 16, the organization names were filtered on the word "RA," and
RAP Inc. Gen EtOH was selected from the options. The trading partner organization must be
registered in the OTAQ Registration system to trade Sulfur or Benzene credits.
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Figure 16: Sell Credits - Select Trading Partner
December 2014
Sell Credits - Select Trading Partner
Select a trading partner by searching on the Organization, You may search data by 'Begins with',
'Contains' or 'Equals' (Equals is an exact match). To search by Organization Identifier, choose the
Contains option and enter the Organization Identifier number. To view all organizations,, clear the
search criteria and click the 'Search' button. Viewing all organizations may take some time for the list
to load.
I Search for Organization
Organization: Begins with
I Clear I I Search I
RA
Select Organization
o RAP Inc. GEN EtOH (4670)
O RAP Inc. Obligated Party (4675)
Selected Organization:
RAP Inc. GEN EtOH (4670)
Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin,
View Credit Transaction Bin
Select Trading Partner
Advanced Credit Selection
(Optional)
«Identify Credits
Transaction Details »
When you have selected your Trading Partner, click the Transaction Details button to move on to
the next screen. On the Sell Credits - Transaction Details and Documents screen, you must enter
the Transfer Date and Sell Reason.
You may also enter a Matching Transaction Identifier. This element allows users to accept specific
buy/sell transactions in the case of several similar transactions. It is the unique transaction
identifier assigned by EMTS to an initiated trade. When accepting a trade, users can include this
element in the trade matching criteria (along with the other trade matching criteria currently in
effect). If this element is reported, EMTS will attempt to locate a matching transaction based on the
Matched Transaction Identifier and the other matching criteria provided. If a match is not found,
then the transaction will fail. If this element is not reported, then it will not be used in the trade
matching (but all other required matching elements will still apply).
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December 2014
You can also provide a Product Transfer Document (PTD) number and other additional
information. The Transaction Details and Documents screen contains a document grid you can use
to specify the name and identifier of one or more documents that support the sell transaction. Note
that the document itself cannot be uploaded. To add document information to the grid, fill in the
Document Type and Document Identification fields, and click Add. When you have completed this
screen, click Advanced Credit Selection to move to the final screen of the Sell Wizard.
On the Advanced Credit Selection screen, you have the option of specifying the credits that you wish
to sell (by originating source information). If you do not wish to specify originating source
information, click Add to Transaction Bin at the bottom of the screen to continue. Alternatively, you
may use this screen to identify a specific originating organization, or organization and facility. Once
you have specified the originating source information, click Add to Transaction Bin to continue.
After you submit the sell transaction from the Credit Transaction Bin, if it has not been matched, the
transaction will be in a pending state, and the credits associated with the sale will be in the Pending
column of the Credit Holdings grid (see Figure 17). The credits will remain in the Pending column
until the trading partner accepts or denies the sell transaction.
Figure 17: Pending Credits in Credit Holdings Grid
Credit Holdings for:
Biodiesel Company (5001)
Displaying records 1 through 2 of 2 total.
Export options: CSV I Excel I PDF
Credit Type ^ Credit Year ^ Available
Benzene (20)
Sulfur (10)
The following information is required to initiate a buy transaction:
Credit Type;
Credit Year;
Times Traded; and
Quantity of Credits.
To initiate a buy transaction, go to the Manage Credit Holdings screen, and either click the Buy
button below the Credit Holdings grid or select Buy in the "I want to..." drop-down for a row in the
Credit Holdings and click Go. If you select Buy for an existing row in the Credit Holdings grid, the
Credit Type and Credit Year in the Buy Wizard will be pre-populated with information from that
row. You can change these values if there is another group of credits that you would like to buy.
The green boxes on the right side of the screen indicate which of the three steps of the Buy Credits
Wizard you are completing. All fields marked with a red asterisk are required. On the Identify
Credits screen, you must provide Credit Type, Credit Year, Times Traded, and Quantity of Credits.
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December 2014
You also have the option of using the Advanced Credit Selection fields to specify originating source
information for the credits that you wish to buy. To access the Advanced Credit Selection, click the
"Advanced Credit Selection (Optional)" tab. Once open, you will be able to access the Advanced
Credit Selection fields (see Figure 18). To specify the originating source for a buy transaction, you
will need to know the Organization ID for the originating organization. Once you complete the
Identify Credits screen of the Buy Wizard, click Select Trading Partner.
Figure 18: Buy Credits - Identify Credits (Step 1)
Buy Credits - Identify Credits
Enter Credit Type, Credit Year, Times Trades, and Quantity of Credits. To cancel a trade that your
organization has already initiated, go to the Pending Initiated Credit Transactions on your Review
Credit Trades page and select 'Cancel Offer' for the appropriate transaction.
| Identify Credits
Credit Type:
1 Credit Year:
1 Times Traded:
' Quantity of Credits:
Sulfur (10)
2014
-Select- "
Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Identify Credits
Transaction Details and Documents
B Advanced Credit Selection (Optional)
Generating Organization
Identifier:
Generating Facility Identifier:
« Credit Holdings
Select Trading Partner»
The Select Trading Partner and the Transaction Details and Documents screens of the Buy Wizard
have the same behavior as the corresponding screens in the Sell Wizard. For buy transactions, the
trading partner organization must be registered in the OTAQ Registration system to trade Sulfur or
Benzene credits (see Figure 19).
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Figure 19: Buy Credits - Select Trading Partner (Step 2)
December 2014
Buy Credits - Select Trading Partner
^ Credit Transaction Bin
Select a trading partner by searching on the Organization. You may search data by 'Begins with',
'Contains' or 'Equals' (Equals is an exact match). To search by Organization Identifier, choose the
Contains option and enter the Organization Identifier number. To view all organizations, dear the
search criteria and click the 'Search' button. Viewing all organizations may take some time for the list
to load.
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
| Search for Organization
Organization: Begins with ^ RA
Clear I I Search
Select Organization
« Identify Credits Transaction Details »
o RAP Inc. GEN EtOH (4670)
O RAP Inc. Obligated Party (4675)
When you have selected your Trading Partner, click the Transaction Details button to move on to
the next screen. On the Buy Credits - Transaction Details and Documents screen, you must enter
the Transfer Date and Sell Reason. Again, you may also provide a PTD Number, Matching
Transaction Identifier, Additional Information, and Document Information.
From the Transaction Details and Documents screen, click Add to Transaction Bin. Submit the
transaction from the Credit Transaction Bin to complete the buy transaction. At this point, if the
transaction was not matched, it will be in a pending state, and the transfer of credits will not be
reflected in your Credit Holdings grid until your trading partner accepts the buy transaction.
To view the pending transaction(s) that your organization has initiated or received (as the result of
another organization initiating a transaction with your organization indicated as the trading
partner), hover over Trades on the main menu and select Review Credit Trades. The Review Credit
Trades screen is organization-specific (see Figure 20). To switch the organization for which the
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December 2014
screen is displayed, open the Organizations tab of the accordion on the right side of the screen, and
click Select a Different Organization.
Figure 20: Review Credit Trades Screen
Review Credit Trades
The following credit trade transactions were either received or initiated by Biodiesel Company. You
can act upon any of these credit transactions by selecting the appropriate action in the "I want to ..."
column, located next to each credit transaction.
» Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
> Organizations
Basic Filter Options
Credit Year:
Credit Type:
Transaction Type:
Transaction Identifier:
Transfer Date (Begin):
Transfer Date (End):
Submission Date (Begin):
Submission Date (End):
Trading Partner
-Select- -r
-- Select -
- Select- -r
(MM/DD/YYYY)
(MM/DD/YYYY)
(MM/DD/YYYY)
(MM/DD/YYYY)
Clear
» (0) Pending Received Credit Transactions for [Biodiesel Company (5001)]
T (2) Pending Initiated Credit Transactions from [Biodiesel Company (5O01)]
Submission
Date
12/09/2014 2014
12/09/2014 2014
Credit A Transaction
Type ^ Type
Benzene (20) Credit Sell 50
Sulfur (10) Credit Buy 50
Standard
Trade
^ Trading Partner ^ I want to.
RAP Inc. GEN EtOH
(4670)
Standard RAP Inc. GEN EtOH
Trade (4670)
Export options: CSV I Excel I PDF
The Review Credit Trades screen includes a number of filter options that you can use to search for
specific initiated or received credit buy or credit sell transactions. The labels on the Pending Credit
Transactions tabs include the number of transactions within each tab. In Figure 20, the
organization has two Pending Initiated Credit Transactions and zero Pending Received Credit
Transactions. In the Review Credit Trades accordion, only one panel can be open at a time, so to
open the Pending Received Credit Transactions panel of the accordion, you would click Pending
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December 2014
Received Credit Transactions. As a result, the Pending Initiated Credit Transactions panel would
close.
For Pending Initiated Credit Transactions, you can select View Details in the "I want to..." drop-
down to view the details of the transaction, or you can select Cancel Offer to cancel the trade (see
Figure 21). If you choose Cancel, you will be asked to confirm the cancellation, and the transaction
will no longer appear in your Pending Initiated Credit Transactions (or your trading partner's
Pending Received Credit Transactions).
Figure 21: Pending Initiated Credit Transactions Options
(2) Pending Initiated Credit Transactions from [Biodiesel Company (5OO1)]
Submission ^ Credit .*.
Date T Year *
Credit A. I Transaction
Type
12/09/2014
12/09/2014
2014
2014
Benzene (20)
Sulfur (10)
Credit Sell
Credit Buy
50
50
Standard
Trade
Standard
Trade
RAP Inc.
(4670)
RAP Inc.
(4670)
bbN
GEN
EtOH
EtOH
-Select- 0|
View Details
Cancel Offer
Go |
Go |
Export options: CSV I Excel I PDF
For Pending Received Credit Transactions, you can select View Details, Accept Offer, or Deny Offer
in the "I want to..." drop-down (see Figure 22).
Figure 22: Pending Received Credit Transactions Options
» (2) Pending Received Credit Transactions for [Biodiesel Company (
5001)]
I
Submission ^
Date '
12/09/2014
12/09/2014
Export options
Credit
Year
2014
2014
CSV 1 Excel
A. Credit A
* Type ^
Sulfur (10)
Sulfur (10)
I PDF
L Transaction A
Type ^
Credit Sell
Credit Sell
r Quantity
100
50
^ Reason
Standard
Trade
Standard
Trade
^ Trading Partner
Test Organization 1.1
(IT-Orgl.l)
Test Organization 1.1
(IT-Orgl.l)
^ I want to ...
-Select- 0
.
View Details
Accept Offer
Deny Offer
Go |
Go |
If you deny the offer, you will see the details of the transaction that you are denying, and you will
need to provide an explanation for denying the trade (see Figure 23). Once you press Confirm
Deny, the transaction will no longer appear in your Pending Received Credit Transactions (or your
trading partner's Pending Initiated Credit Transactions).
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December 2014
Figure 23: Deny Credit Trade Screen
Deny Credit Trade
To deny the received credit trade, please provide an explanation and select the 'Confirm Deny' button
located at the bottom of the page. If you wish to return to the list of your pending transactions,
select the 'Back' button.
T Credit Transaction Bin
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
You are denying the following Credit Sell pending trade:
100 2014 Sulfur Credits Traded 0 time(s) from
Organization: Test Organization 1.1 (IT-Orgl.l) submitted
on 12/09/2014 3:28:12 PM EST
Reason: Standard Trade (10)
Transfer Date: 12/09/2014
Transaction Details
Please provide an explanation for denying the trade:
Document Type
Public/Private
Nothing found to display.
Add Document Information
Document Type:
Document Identification:
Public D
«Back
Confirm Deny »
If you select Accept Offer, you will see the details of the transaction, and you will have the option of
adding transaction details and document information (see Figure 24). Note that the document itself
cannot be uploaded. To add document information to the grid, fill in the Document Type and
Document Identification fields, and click Add.
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Figure 24: Accept Credit Trade Screen
December 2014
Accept Credit Trade
Please review the selected transaction and provide any additional information about the trade. To
report a PTD number for your transaction, enter it into the 'PTD' field.
Your organization has 0
un-submitted credit
transactions in the credit
transaction bin.
View Credit Transaction Bin
Additional Information
Additional Information required when Trade Reason is not Standard Trade.
Add Document Information
Document Type:
Document Identification:
Public
You are accepting the following Credit Sell pending trade:
100 2014 Sulfur Credits Traded 0 time(s) from
Organization: Test Organization 1.1 (IT-Orgl.l) submitted on
12/09/2014 3:28:12PMEST
Reason: Standard Trade (10)
Transfer Date: 12/09/2014
To report a PTD number for your transaction, enter the number in the "PTD" field. If you do not
enter a PTD number, your transaction details will not include a PTD number. Note that this field is
not automatically carried over from your trading partner's transaction.
Once you click Confirm Accept, the transaction will no longer appear in your Pending Received
Credit Transactions (or your trading partner's Pending Initiated Credit Transactions), and the
results of the trade will be reflected in your Credit Holdings.
If you select View Details for a Pending Received Credit Transaction, you will see the details of the
transaction along with the option to either accept the trade or deny the trade. Clicking Deny Trade
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December 2014
will take you to the Deny Credit Trade screen (see Figure 23), and clicking Accept Trade will take
you to the Accept Credit Trade screen (see Figure 24).
As described earlier in this section, a trade can be completed if one trading partner initiates a trade
through a Buy/Sell Wizard, and the other partner then accepts the initiated trade from the Review
Credit Trades screen. Trades can also be completed in the following ways:
Both trading partners submit XML files for a trade (one buy and one sell);
One trading partner completes a buy/sell transaction on the web application, and the other
trading partner submits a matching XML file for the corresponding transaction; or
One trading partner completes a buy transaction on the web application, and the other
trading partner completes a matching sell transaction on the web application.
In all of these instances, the following fields must match for the trades to match:
1. Transfer Date;
2. Credit Year;
3. Credit Type;
4. Times Traded;
5. Quantity; and
6. Reason Code (except for Deny).
In addition, the Trading Partner Organization Identifiers must agree (e.g., the sell transaction
should list the buying organization as the Trading Partner, and the buy transaction should list the
selling organization as the Trading Partner). Several fields, if provided, must also match, including
the originating source information - Generating Organization Identifier and Generating Facility
Identifier - and the Matching Transaction ID.
If these fields do not match, then the trades submitted by both trading partners via XML or web
application will be considered pending initiated trades.
EMTS Technical Support
If you have any questions or want to report defects, comments, enhancements, or feedback, you
may contact EMTS Technical Support at support@epamts-support.com. Monday - Friday, 9:00 a.m.
to 5:00 p.m. (EST). Additionally, to access contact information for the various EMTS support lines,
you can click the "Contact Us" link located on each screen of EMTS. When reporting defects or
issues, please provide the detailed steps that were taken to create the problem or issue, and provide
screen shots to document the web page and information entered on that page. In addition, there are
"Help" links on each screen of EMTS that provide access to EMTS resources on the EPA's EMTS
website.
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