Renewable Fuel Standard EMTS User's Guide Version 4.0 v>EPA United States Environmenial Protection Agency ------- Renewable Fuel Standard EMTS User's Guide Version 4.0 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 Environmental Protection Age-icy EPA-420-B-15-022 February 2015 ------- Table of Contents Accessing EMTS 1 Selecting an Organization 2 Viewing Registered Data 3 Viewing RIN Holdings 6 Viewing RIN Batch Details and Locking RINs 8 Viewing Expired RIN Holdings 12 Generating RINs 13 Managing the Transaction Bin 17 Separating RINs 20 Retiring RINs 25 Trading RINs 30 Managing the Blocked List 40 Viewing Historic RIN Holdings 42 Viewing Web Submissions 45 Submitting XML Files 47 Converting Excel Files to XML 47 Processing by EMTS 52 Receiving Notifications 54 Receiving Documents 56 Quarterly Reports 60 Annual Reports 70 Agent Reports 71 EMTS Technical Support 74 EMTS User's Guide ------- Accessing EMTS To support the Renewable Fuel Standard (RFS2) program, the EPA Moderated Transaction System (EMTS) has been developed to screen the generation and transfer of RINs between renewable fuel producers, importers, exporters, obligated parties, and non-obligated RIN owners. Access to EMTS requires registration with both the Central Data Exchange (CDX) and OTAQ Fuels. For instructions on setting up these accounts, see the "Getting Started - MyCDX" and "To Add DC FUELS Program" documents under Registration on the EMTS Documents website. You can access the EMTS website only through the CDX. To do so, open your Internet browser, either Internet Explorer 7.0 and higher or Firefox 2.0 and higher (no other browsers are currently supported), and enter the following URL: https://cdx.epa.gov/SSL/CDX/login.asp. Log in using your MyCDX user name and password. From your account profile, click the "OTAQ EMTS Application" link under Available Account Profiles (see Figure 1). If you do notsee the "OTAQ EMTS Application" link, refer to "Getting Started - MyCDX" on the EMTS Documents website for further instructions. Figure 1: OTAQ EMTS Application Link J MyCDX Inbox (5> My Profile Submission History 1 Services Central Data Exchange Manage Your Program Services Status Program Service Name OTAQEMTS: Office of Transportation and Air Quality EPA Moderated Transaction System OTAQREG: Office of Transportation and Air Quality Fuels Registration OTAQ EMTS Application Fuels Programs Registration Clicking the link will take you to the EMTS Home screen (see Figure 2). RFS EMTS User's Guide ------- Figure 2: EMTS Home Screen Legged in as: TutorialDemo for Demo Organization 1 (20) Good Morning Tutorial Demo. Regulated parties are urged to conduct due diligence investigations and exercise caution when conducting Renewable Identification Number (RIN1 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. f* ^ To view pending transaction details, click the following link: View Tr; You can submit your XML file here. •* Transaction Bin Your organization has 0 un -submitted transactions in the transaction bin. View Transaction Bin > Organizations > Announcements Selecting an Organization Upon accessing the EMTS Home screen, you will need to select an organization to represent if you are affiliated with two or more organizations. To do so, click one of the organizations in the Select an Organization popup (see Figure 3). You must select an organization to represent before you can perform any actions on the EMTS website. Figure 3: Select an Organization Popup Select an Organization * JCay ingtgn Dairy ..ProductsLLC .-..(47672)1 • Mendeso Fuels Co-operative - (40998) To confirm that you are now representing the selected organization, verify that the statement in the upper right corner of the screen -- "Logged in as:" -- contains your CDX user ID followed by the name of the appropriate organization. Note that you may change the organization you are representing by clicking on the Organizations tab of the accordion on the right side of select screens (see Figure 4). RFS EMTS User's Guide ------- Figure 4: Organizations Accordion Tab > Transaction Bin •*• Organizations Selected Organization: Cavington Dairy Products LLC (47672) Select a Different Organization Announcements The Organizations tab will appear in this accordion on the following screens: Home screen; View Blocked List; View Node Submissions; View Web Submissions; Review Trades; Manage Subscriptions; View Reports; Compliance Data; Manage RIN Holdings; and Transaction Bin. After you open the Organizations tab of the accordion, click "Select a Different Organization." In the Select an Organization popup, click the name of the organization you wish to represent. Upon doing so, the organization name in the upper right corner of the screen should reflect the new organization you selected. Once you have selected an organization, you are ready to begin using the EMTS website functionality. Viewing Registered Data To view the data for which your organization is registered in the OTAQ Registration system, hover over the Organizations menu options, and select View Organizations. On the View Organizations screen, a grid displays a list of the organizations you have been associated with in OTAQReg: Fuels Programs Registration application. For each organization, you may use the "I want to..." drop-down menu to select an organization or to view the registered data for that organization. If you choose the Select Organization option, the organization name in the upper right corner of the screen should change to reflect the organization that you identified, and the activities and reports on the EMTS website will be limited to that organization. The View Registered Data screen displays your organization's registered business activities, users and their roles, and facilities. From this screen, you can view the details for the organization's registered facilities. Choosing the View Registered Data option will take you to the View Registered Data screen for the selected organization (see Figure 5). RFS EMTS User's Guide ------- Figure 5: View Registered Data View Registered Data Select a facility to view registered data for that facility. The company and facility information shown below is not a complete representation of the OTAQReg registration for this organization. There are additional fields not shown that can only be found in OTAQReg: Fuels Programs Registration application. Organization Name: Address: Bonded: Business Activities: Demo Organization 1 (20) Yes Foreign Renewable Fuel Producer, Renewable Fuel Importer, Refiner Users Tutorial TutorialDemo emts-test@pqa.com RFS Submitter Facilities Facility Name ^ Facility ID ^ Location Bio Blast Plant -5552 C-ville -5222 Stauton -5555 Waynesboro -5008 « Back ^1 I want to... ^1 View Details » [ Go | View Details » [ Go | View Details » | Go | View Details -r | Go | View Pathways The View Facility Data screen displays the Facility, Identifier, Address, Total Capacity - Baseline Volume Total Capacity - Actual Peak, and Registered Co-products (see Figure 6). RFS EMTS User's Guide ------- Figure 6: View Facility Data View Facility Data Facility data as registered with OTAQ. Facility: valley Medico Plant 12 Identifier: 46711 Address: 3 Test Fuel Ln Fresno, California 93650 Total Capacity - Baseline Volume: 200000 gallons Total Capacity - Actual Peak: 200000 gallons Registered Co-products View Pathways To view the pathways associated with your facility click "View Pathways". Users can search for a specific pathway The View Registered Pathways screen displays the Facility, Fuel(D Code), Fuel Category, Process, Feedstock, QAP Provider, QAP Service Type, and if the Pathway is suspended (see Figure 7). Figure 7: View Registered Pathways View Registered Pathways Enter criteria and click Search, Far QAP Coverage End Date, the 'to1 and 'from1 Fields can be used to specify a range For the date on which QAP coverage is no longer effective, Vour organization has in the transaction bin rch Criteria Facility Name: QAP P.ov.dei Name: QAP Provider Company ID: Fuel (D Code): Fuel Category: Process: Feedstock: Suspended?: QAP Coverage End Date (From): QAP Coverage End Date (To): Blama 55- Based Diesel (0=4} Njft-ester Diesel [EV 1,7) (40) [MM/DQ/VVYY} Fuel Pathways Valley Medico Plant 12 Biomass-Based Diesel (0=4) Non-ester Renewable Diesel (EV 1,7] (40) Hydrotreating, Dedicated Renewable Biomass Facility [200! Bicgenic waste Oils/Fats/Greases [160] Export options: CSV Excel" PDF Vie« Fairway Daafe, To view the Pathway Details select the View Pathway Details from the drop down and click "Go". Users can view the QAP Provider, QAP Service Type, Coverage Start Date, Coverage End Date, Fuel (D Code), Fuel RFS EMTS User's Guide ------- Category Code, Process Code, Feedstock Code, Activated by EPA, If the Pathway is Suspended and if it was suspended the Suspend Date (see Figure 8). Figure 8: View Pathway Details View Pathway Details Below are the details of the Fu View Pathway Details QAP Provider: QAP Service Type: Coverage Start Date: Coverage End Date: Fuel (DCode): Fuel Category Code: Process Code: Feedstock Code: Activated by EPA: Suspended: Suspended Date: ass Based Diesel (4) jster Renewable Diesel (EV 1.7) You can only view your facility and pathway data in EMTS; you cannot make edits to the data in EMTS. You may only edit your registered data through OTAQReg: Fuels Programs Registration. The registered data in EMTS is updated nightly from OTAQReg: Fuels Programs Registration. If you make changes to your registration in OTAQReg, the changes will be reflected in EMTS the morning after they have been activated by EPA. Viewing RIN Holdings To view your RIN holdings, hover over RINs on the main menu of the EMTS website and select View RIN Holdings (Current). The Manage RIN Holdings screen is organization-specific (indicated by the organization name above the RIN Holdings grid, circled in Figure 9 below). To switch the organization for which you are viewing RIN holdings, open the Organizations tab of the accordion, and click "Select a Different Organization." RFS EMTS User's Guide ------- Figure 9: Manage RIN Holdings Screen | Contact Us I Help | Logout Manage RIN Holdings Select one of the transaction actions for each fuel year and assignment for your RIN Holdings. Your organization has 0 un-submrtted transactions in tile transaction bin. View Transaction Bin RIN Holdings for: RAP Inc. GEN Biodiesel (4671) Advanced Biofuel (D-5) Biomass-Based Diesel (D=4) Renewable Fuel (D=6) Renewable Fuel (D«6) Export options: CSV I Excel PDF Buy If you view the Manage RIN Holdings screen before your organization has completed any generate or buy transactions, the RIN Holdings grid will be empty (see Figure 9). At this point, you can generate or buy RINs (the only valid transaction types when there are no RIN Holdings) either by clicking the Generate or Buy button or by selecting Generate or Buy in the "I want to..." drop-down and clicking Go. Once you have completed a generate transaction or successfully purchased RINs from a trading partner, the RIN Holdings grid will now display your RINs (see Figure 10 for an example). Each row in the RIN Holdings grid represents a unique combination of Fuel (D Code), RIN Year, Assignment, and QAP Service Type. For each row, the sum of RINs in the Available, Pending, Reserved, and Locked columns should equal the number of RINs in the Total column. The RINs in the Available column are RINs that are available for you to use in transactions. The RINs in the Pending column are RINs that are involved in a pending sell transaction that you have initiated (see the Trading RINs section). The RINs in the Reserved column are RINs that are associated with transactions in the Transaction Bin (see the Managing the Transaction Bin section). Finally, the RINs in the Locked column are RINs that have been locked either by your organization or by the EPA. Various sorting and filtering capabilities allow you work with this RIN data. For example, you can arrange data in order to compare the total number of RINs EMTS has processed in your account to your own off-line transaction records. These data are also available for download in a variety of formats. RFS EMTS User's Guide ------- Figure 10: Populated RIN Holdings Grid Example Organization Submissions Manage RIN Holdings Trades Reports RINs Select one of the transaction actions for each fuel year and assignment for your RIN Holdings. | * Transaction Bin \\1 un-submitted transactions \ y in the transaction bin. View Transaction Bin I> Organizations > Quick Search RIN Holdings for: RAP Inc. GEN Bkxliesel (4671) Fuel (D Code) jj R Advanced Biofuel (D=5) 2014 Biomass-Based Diesel (D=4) 2014 Renewable Fuel (D-6) 2014 Renewable Fuel (D-6) 2014 Export options: CSV 1 Excel 1 PDF [ Generate | Buy N Year * Assignment ± QAP Service Type £ Available Pending Reserved Locked Total Assigned Unverified (30) 150 0 0 0 150 Assigned Unverified (30) 186,999 000 186,999 Assigned Unverified (30) 30 0 0 0 30 Separated Unverified (30) 40 0 0 0 40 I want to... --Select- ' Go | -Select- »| Go | -Select- -\ So | -Select- '| Go ] The final column in the RIN Holdings grid is the "I want to..." column. The drop-down for each row contains the options View Details, Generate, Buy, Separate, Separate (Upward delegation), Sell, Retire (Obligation), and Retire (Other). The options that are not applicable to the corresponding row of RINs will be grayed out. For example, Retire (Obligation) is only applicable for separated RINs being retired by Non-renewable Fuel Importers, Renewable Fuel Exporters, and Refiners, so in all other instances, the option will be grayed out If you select a transaction in the "I want to..." column for a row of RINs, the Fuel (D Code), RIN Year, Assignment, and QAP Service Type fields in the resulting transaction wizard will be pre-populated with the data from that row. Viewing RIN Batch Details and Locking RINs To view all of the RIN batches that make up a row in the RIN Holdings grid, select View Details in the "I want to..." column and click Go. This opens the View RIN Holding Details screen (see Figure 11). RFS EMTS User's Guide ------- Figure 11: View RIN Holding Details Screen View RIN Holding Details Please select s batch of RINs to either view the details of that batch or lock/unlock the RINs. Your organization has 0 in the transaction bin. Originating Organization: Originating Facility: Submission End Date: Transaction ID: RIN Status: Results Per Page: -Setect- 20 RIN Holding Details for: RAP Inc. GEN Biodiesel (4671) Displaying records 1 through 1 of 1 total. Export options'. CSV, I Excgl I ££E The View RIN Holding Details screen includes a Search box that allows you to search for RIN batches that satisfy a specific set of criteria. The RIN Holding Details grid displays the originating source information (originating organization, facility, and batch number) for each batch of RINs with the Fuel (D Code), RIN Year, QAP Service Type and Assignment that you selected on the RIN Holdings screen. It also includes the status of each RIN batch. For pending and reserved RINs, the options in the "I want to... "drop-down are View Details and Transaction. Selecting Transaction opens the screen that details the last transaction that acted on that RIN batch. Selecting View Details opens the RIN Batch Details screen, where you will have access to information such as fuel category code, equivalence value, originating organization, and facility. From the Batch Details screen, you may also select "Transaction" next to any batch of RINs to access the same aforementioned screen. For available RINs, the "I want to..." drop-down options are View Details, Transaction, and Lock RINs. Selecting Lock RINs opens the Lock RINs Confirmation screen (see Figure 12). RFS EMTS User's Guide ------- Figure 12: Lock RINs Confirmation Screen Lock RINs Confirmation Please confirm that you v RIN Batch Details Fuel (D Code): RIN Year: QAP Provider: QAP Service Type: Assignment: Originating Organization: Originating Facility: Quantity! Batch Number: Owned By: Production Date: Status: Unverified (30) Assigned Biodiesel Company (5001) Bio Blast Plant (-5552) 150 0001 RAP Inc. GEN Biodiesei 03/07/2014 Available [ The screen contains the details of the RINs that you are about to lock along with a required Comment field. After you enter a comment and click Confirm, you will return to the View RIN Holding Details screen. For the RIN batch that you locked, the Status field will display Locked, and the Locked By field will include the name and organization of the individual that locked the RIN batch. Locked RINs will not be available for any transactions. The EPA has the capability to lock any organization's available or locked RIN batches. If the EPA locks one of your organization's RIN batches, the Status field for that row will display Locked, and the Locked By field will display EPA. RINs locked by the EPA cannot be used in transactions and cannot be unlocked by your organization. If you wish to unlock a batch of RINs locked by your organization and not locked by the EPA, select Unlock RINs in the "I want to..." drop-down. Like the Lock RINs Confirmation screen, the Unlock RINs Confirmation screen requires a comment Once you confirm the unlock action, the RINs will have a status of Available, and you will be able to use them to complete transactions. Note that if the EPA locks a batch of RINs that your organization had already locked, the EPA will need to unlock the RINs before you will have the ability to unlock the RIN batch. To lock or unlock multiple batches of RINS, hover over RINs on the main menu and click Lock RIN Batches (see Figure 13). Figure 13: Select Lock RIN Batches RFS EMTS User's Guide 10 ------- View RIN Holding Details Please select a batch of RINs to either view the details of that batch o "1 BIN, I""""1" View RIN Holdings View RIN Holdings [Current) (Expired) Lock RIN Batches Originating Facility: Submission Start Date: Submission End Date: Transaction ID: RIN Status: Clear RIN Holding Details for: RAP Inc. GEN Siodwsel (4671) The Lock RIN Batches screen allows you to lock batches of RINs by organization, facility, RIN batch or QAP Provider. RIN Year, under Basic Filter Options is a required search field. In the example below, the organization was selected (RAP Inc. Gen Biodiesel) as well as the facility (Valley Medico Plant 12) (see Figure 14). By clicking the search button, all batches that originated at the Waynesboro facility will appear in the grid at the bottom of the screen (see Figure 15). Figure 14: Lock RIN Batches Lock RIN Batches Valley Medko Plant 12 («71l) <=• RFSEMTS User's Guide 11 ------- Figure 15: Lock RIN Batches Lock RIN Batches Selected Facility: r^ ^j— t[ DmOAl | | U»«AI j I In the status column, you can see that the RINs in the grid are "Available." To lock all of these RIN batches at one time, click the Lock All button (see Figure 15). Viewing Expired RIN Holdings To view your Expired RIN Holdings, hover over RINs on the main menu of the EMTS and click View Expired RIN Holdings (see Figure 16): Figure 16: Select View Expired RIN Holdings | RINs V BJNs IN Holdings (Current) View RIN Holdings (History) Good Afternoon Mr. Nat Rogers, Regulated parties are urged to conduct dul Neither EPA nor its svstems, including the I -yfew RIN Holdings { ExpireJj: fdiln. transfer or receive invalid RINs. As sd Renewable Volume Obligations of an oblige Lock RJN Batches acquired. Additionally, the regulations at 4cruriv oxr.-.imimcrjre'j'pruinajic'pie'xi B caution when conducting Renewable Identification Number (RIN) transactions. (EMTS), certify or validate RINs or make any provision for parties who, despite good 10. U3l(b)(2), invalid RINs cannot be used to achieve compliance with the f the party's good faith belief that the RINs were valid at the time they were !3tion or transfer to any person of a RJN that is invalid. Selected Organization: RAP Inc. GEN Biodiesel (4671) Select a Different Organization _^ Your organization has 0 penrjmg received trades and 0 pending iniDated trades.) "I** You can submit your XML file here. Submit File •'• - •--''',':' The Expired RIN Holdings screen is organization-specific (indicated by the organization name at the top of the screen). To switch the organization for which you are viewing expired RIN holdings, open the Organizations tab of the accordion on the right side of the screen, and click "Select a Different Organization." RFS EMTS User's Guide 12 ------- If you view the RIN Holdings screen before your organization has retired any RINs, the RIN Holdings grid will contain the message "Nothing found to display." To filter on Fuel, RIN Year, Assignment Code, and/or QAP Service Type select the filter options and click Filter (see Figure 17). Figure 17: View Expired RIN Holdings View Expired RIN Holdings This page provides the RIN details for all RINs that have expired out of your company's account. These RINs were NOT used for compliance or retired for any reason, and have expired pursuant to 40 CFR 80.1428 (c). Enter criteria and click Search. Your organization has 0 un-submitted transactions in the transaction bin, view Transaction Bin Fuel (DCode): RIN Year: Assignment: QAP Service Tvpe: Results Per Page: Expired RIN Holdings - Select -- - select - Note: A RIN is valid for compliance during the year that it was generated and the following calendar year. The time period for retiring a RIN for a particular year extends two months into the following year. The maximum amount of time a RIN can be valid in EMTS is two years and two months. Generating RINs From the Manage RIN Holdings screen, you have the option to generate RINs if your organization is a Domestic Renewable Fuel Producer, a Renewable Fuel Importer, or a bonded Foreign Renewable Fuel Producer. There are two different kinds of RIN generation, generating as an importer and generating as a producer. To generate RINs as a producer, either click the Generate (Producer) button or select Generate as a Producer in the "I want to..." drop-down and click Go. This opens the first screen (Report Fuel) of the three- step Generate Wizard (see Figure 18). RFS EMTS User's Guide 13 ------- Figure 18: Generate Wizard, Report Fuel Screen (Step 1) Generate RINs - Report Fuel Enter the fuel (D Code), batch characte gallons of Ethanol at Cellulosic Ethanol id quantity of RIN; generated, The fuel and production ie registered with OTAQREG Fuels registration before reporting fuel, You muse specify a Denstursnt Volume if you an generating more than 40 • Fuel (DCode): • Production Process: • Production Date: • Fuel Category: •QAP Service Type: Equivalence Value: • Quantity of RINs: Ethanol and Csllulosk Ethanol Only, Batch Volume multiple by E __| Id-frity Pr.jrfii.rtnir. Scmire ,_ -Sdect- Oiiginating Organization: RAP Int. GEH Biod.essl • Originating Facility: • Batch Number: Additfonal Information: The green boxes on the right side of the screen indicate which of the three generate steps you are completing. The following information is required to generate RINs: • Type of fuel produced; • Code that specifies the process used to create the renewable fuel; • Date the renewable fuel was produced; • Renewable fuel type as defined in Part M Section 80.1426; • QAP Service Type for the RINs; • Volume of renewable fuel produced; • Volume of denaturant added to the renewable fuel (ethanol only); • Number of RINs associated with the renewable fuel; • Facility ID; • Batch number; • Codes for all feedstocks used to produce the renewable fuel; • Quantity of all feedstocks used to produce the renewable fuel; • Units of measure for all feedstock quantities; • Affirmation that each feedstock meets the definition of renewable biomass; and • Codes for all co-products produced along with the renewable fuel, if there are any. All required fields are marked with a red asterisk. In the drop-down fields, the invalid options are grayed out. For example, in Figure 19, the organization can produce only Advanced Biofuel, Renewable Fuel, and Cellulosic Diesel, so the remaining Fuel (D Code) options are disabled. RFS EMTS User's Guide 14 ------- You are not required to report an equivalence value. EMTS will automatically calculate the equivalence value based on the type of fuel for which you are generating RINs. The number of RINs you are allowed to generate for a specific fuel type will be determined by the volume of the batch of fuel multiplied by the equivalence value. EMTS checks that the RINs you generate do not exceed your fuel volume by the equivalence value multiplier. If you report an equivalence value, EMTS will re-calculate and check this value. Figure 19: Drop-down Example for Generate Wizard * Fuel (D Code): * Production Process: * Production Date: * Fuel Category: * QAP Service Type: -Select- -Select- Cellulosic Biofuel (D=3) Advanced Biofuel (D=5) Renewable Fuel (D=&) Cellulosic Diesel (D=7l - Select - Once you have completed all of the required fields, click Report Feedstocks at the bottom of the screen to move to the second screen of the Generate Wizard. If all of the information on the Report Fuel screen is valid, you will be redirected to the Report Feedstocks screen. Otherwise, you will remain on the Report Fuel screen, and you will see a list of QA Check Errors at the top of the screen (see Figure 20). Once you correct the errors, you will be able to move to the Report Feedstocks screen. Figure 20: QA Check Errors Generate RINs - Report Fuel Tour organization has 0 un-submfrted transactions in the transaction bin. 3013: Denaturant volume must be reported for an "Ethanol" or "Cellulosic Ethanol" fuel. 22: The RIN quantity is not equal to the product of batch volume and the allowed equivalence value (0.9), Based on supplied criteria the R[N quantity should be 9000 Fuel (D Code): Production Process Production Date: Biomass-Based Diesel (D-4) * Hydrotreating. Dedicated Renewable Biomass Facility(200) Fuel Category: QAP Service Type: Non-cellulosicEtnanol(EV10)(10) Unverified (30) - On the Report Feedstocks screen, you must enter all of the feedstocks used to generate the fuel specified on the Report Fuel screen. To add a feedstock, you must populate the three required fields, check the checkbox for renewable biomass (when generating RINs, all feedstock(s) must meet the definition of 'renewable biomass'), and then click the Add button. In the Feedstock drop-down, the feedstocks that your organization is not registered for are grayed out After you have clicked the Add button, the feedstock information will be displayed in the grid (see Figure 21). RFS EMTS User's Guide 15 ------- Figure 21: Generate Wizard - Report Feedstocks Screen (Step 2) 6EBU oderated Transaction System Organization Submissions Generate RINs - Report Feedstocks T Transaction Bin Report one or more feedstocks used for the generation of the fuel. Your organization has 0 un -submitted transactions in the transaction bin. Feedstock Quantity Measure Additional Information Renewable Biomass Starch -Corn 10 Cubic Feet Remove Report Feedstocks View Transaction Bin Report Feedstocks Report Co-products -Select-- * Feedstock(Code): » Quantity: * Unit of Measure: Additional Information: :Zi Does this feedstock meet the definition of renewable biomass in 40 CFR 80.1401? - Select - « Report Fuel Report Co-producte » Once you have added all of the feedstocks used to generate the RINs specified on the Report Fuel screen, click the Report Co-products button at the bottom of the screen. The Report Co-products screen, which is Step 3 of the Generate Wizard, behaves similarly to the Report Feedstocks screen. You must add any co-products produced by your organization's fuel generation process. If there are no co-products to report, leave all fields blank. To complete the Generate Wizard, click the Add to Transaction Bin button. Note: In addition, parties must complete the RFS0701: RFS2 Renewable Fuel Producer Co-products Report and submit it quarterly. If your organization is a Renewable Fuel Importer, you have the option to generate RINs as an importer. The Generate Wizard for Importers is similar to the Generate Wizard for Renewable Fuel Producers, except when you identify the production source on the Report Fuel screen, you must provide the originating organization and facility (the Importer's organization and facility) and the generating organization and facility (the Foreign Producer's organization and facility). The Foreign Fuel Producer Facility ID that you enter must be registered for the Process, Fuel (D Code), Fuel Category, Feedstock, and QAP Service Type that you enter, otherwise QA checks will prohibit RIN generation. Foreign Fuel Producers that are identified by importers as the generating organization in a generate transaction can view the details of the transaction by selecting View Importer Transactions under the Submissions menu. The View Transactions screen (see Figure 22) includes an overview of all of the generate transactions in which an importer has identified that organization as the generating organization. Selecting "View Details" for a transaction displays the details of the transaction. RFS EMTS User's Guide 16 ------- Figure 22: View Importer Transactions OLJ r\ Moderated Transaction System Organization Submissions View Transactions The following grid shows RIN generations by renewable fuel importers that have generated RINs for renewable fuel and/or undenatured ethanol produced at your renewable fuel production facility. Please immediately contact EPA Fuels Programs Support, 202-343-9755, if you see an invalid or incorrect RIN generation referencing your renewable fuel facility. Generate Transactions for Biodiesel Company (5001) Transaction Bin Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Transaction ID 30 Transaction Date 01/19/2015 01:37:33 PM Production A Fuel (D Date * Code) 01/17/2015 Renewable Fuel (6) Importer YI RAP Inc. GEN EtOH (4670) View Details w Go Export options: CSV I Excel I PDF Foreign Fuel Producers can also subscribe to the Foreign Producer RIN Generation notification. This notification is sent to the Foreign Fuel Producer every time an importer identifies their organization in a generate transaction. For information on how to subscribe to notifications, see the Receiving Notifications section of this document Managing the Transaction Bin After you click Add to Transaction Bin, you are taken to the Transaction Bin, where transactions will be stored temporarily until you are ready for EMTS to process them (see Figure 23). Figure 23: Transaction Bin Transaction Bin Selected Organization: RAP Inc. GEN A transaction that 15 acting upon a large number of RIN batches may take several minutes, causing your browser to timeout Please be patient and do not submit another transaction until the EtOH (4670) transaction has completed. Select * Different Organization Generate Transactions Non-cellulosic Ethanol (EV Renewable Fuel 1.0) (D-6) 10000 9000 03/09/2014 5:49:12 PM EOT --Select- Buy Transactions There are no separate transactions Sell Transactions Retire Transactions There are no retire transactions. RFS EMTS User's Guide 17 ------- The Transaction Bin is organization-specific, so transactions added to the Transaction Bin by any of your organization's submitters will be displayed on the screen. To switch the organization for which the Transaction Bin is displayed, click Select a Different Organization. There is no restriction on the number of transactions that you can add to the Transaction Bin, provided they are originated on behalf of a single organization and that organization has sufficient RINs in its RIN Holding Account For each transaction in the Transaction Bin, you have the option to View Details, complete another transaction of that transaction type (i.e., Generate RINs), or Remove the transaction (see Figure 24). Figure 24: Transaction Bin Options Transaction Bin Selected Organization: RAP Inc. GEN A transaction that is acting upon a large number of RIN batches may take several minutes, causing vour browser to timeout. Please be patient and do not submit another transaction unul the EtOH (4670) Select a Different Organization Generate Transactions If you select View Details, you will be taken to a screen that displays all of the details of the transaction. This screen can be used to verify the contents of the transaction before submitting it. If you select Generate RINs, you will be taken to the first screen of the Generate Wizard so that you can complete an additional generate transaction before you submit the transactions from the Transaction Bin. You cannot edit a transaction in the Transaction Bin; you must remove it and then create a new transaction. If you select Remove, you will be taken to a screen that contains the transaction details. At the bottom of the screen, you will be able to click a Confirm Remove button. This opens the Transaction Bin screen and the removed transaction is no longer available. Along with accessing the Transaction Bin at the end of each wizard, you can navigate to the Transaction Bin from multiple screens of the EMTS website using the Transaction Bin accordion tab on the right side of the screen (see Figure 25). The tab contains the number of un-submitted transactions and a link to the Transaction Bin. Figure 25: Accessing the Transaction Bin Transaction Bin Your organization has 1 un-submitted transactions in the transaction bin. View Transaction Bin RFS EMTS User's Guide 18 ------- Clicking the View Transaction Bin link opens the Transaction Bin screen. Note that the RINs associated with each separate, sell, and retire transaction in the Transaction Bin are Reserved rather than Available (they show up in the Reserved column of the View RIN Holdings grid). As a result, these RINs may not be used for any other transactions. If a separate, sell, or retire transaction is removed from the Transaction Bin, the associated RINs return to an Available status. RINs associated with a generate transaction do not show up in the View RIN Holdings grid until the transaction is submitted from the Transaction Bin, and RINs associated with a buy transaction do not show up in the View RIN Holdings grid until the transaction is submitted from the Transaction Bin and accepted by the trading partner. To complete a transaction, you must submit it from the Transaction Bin by clicking the Submit button at the bottom of the screen. If you have multiple transactions in the Transaction Bin, you must submit all of the transactions at once. If you do not wish to submit one of the transactions in the bin, you can remove that transaction and submit the remaining transactions. In addition, if you have multiple transactions acting on different RIN years, you need to select a RIN year before submitting your transactions from your Transaction Bin. For example, if you have multiple sell transactions in your Transaction Bin that will act on RIN batches for years 2011 or 2012, you must submit each year-specific batch separately. You may not submit all transactions across multiple years as part of a single transaction bin submission. Note: Submitting a transaction that is acting upon a large number of RIN batches may take several minutes, causing your browser to timeout Please be patient and do not submit another transaction until the transaction has completed and your RIN Holdings and Transaction Bin reflect the results of that transaction. After you click Submit, you will be taken to a Confirm and Submit screen, which displays an overview of the transactions you are about to submit. You must click the Confirm Submit button circled in Figure 26 to complete the submission. Figure 26: Confirm and Submit Screen Confirm and Submit I confirm that the information shown is a correct and accurate account of the transaction(s) that have taken place. iGTbt Your Or9ariization h^s 1 \\l un-submitted transactions A transaction that is acting upon a large number of RIN batches may take several minutes, causing your browser to timeout. Please be patient and do not submit another transaction until the transaction has completed. View Transaction Bin Transactions Renewable Fuel (D-6) Unverified (30) Once you confirm the submission, the View RIN Holdings (Current) screen will reflect the results of the submitted transactions, and the Transaction Bin will be empty. Note: Unconfirmed transactions in the Transaction Bin expire after five business days. At that point, the transactions will be removed from the Transaction Bin, and all reserved RINs associated with expired separate, sell, and retire transactions will return to the "Available" state. For this reason, it is important that you complete your transactions as soon as possible to avoid loss of any transaction data that you have been working on during multiple web sessions. RFSEMTS User's Guide 19 ------- Separating RINs Assigned RINs may be separated from the Manage RIN Holdings screen (see Figure 27). To separate RINs in your RIN Holdings, select Separate in the "I want to..." drop-down, and click Go. Doing so will take you to the first screen of the Separate Wizard (see Figure 28). Figure 27: Separate Option for Available Assigned RINs M,ni.if)<- KIN Holdings P Inc. GEN CtOH (4670) Figure 28: Separate Wizard - Identify RINs (Step 1) Separate RINs - Identify RINs Identify the RINs for separation by entering the required information belov • Fuel (0 Code): • RIM Year: • QAP S«vicB Type: • RIN Quantity: - Batch Volume: Renewable Fud (D=6) • Reason for Sepaiat ,—j Add Document InFormatioi A*)J | «RIHHddlniB | |_Mvanoed Optms J > The green boxes on the right side of the screen indicate which of the two steps of the Separate Wizard you are completing. The following information is required to separate RINs: • Renewable fuel code (D code); • Year the RINs being separated were generated. • QAP Service Type Code; • Number of RINs being separated; • Volume of fuel associated with the RINs being separated; • Date the RINs were separated; and RFS EMTS User's Guide 20 ------- • Code which specifies the reason for the separate transaction. All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, and QAP Service Type fields are automatically populated with the information from the row of RINs in the RIN Holdings grid that you selected to separate. In the Reason for Separation drop-down, only the reasons that are applicable to your organization's registered business activities are available (the remaining options are disabled). The Separate Wizard also contains a document grid; you can use this grid to specify the name and identifier of one or more documents that support the separate transaction. Note that the document itself cannot be uploaded. To add document information to the grid, fill in the Document Type and Document Identification fields, and click Add (see Figure 29). Figure 29: Supporting Document Information Document Type test document 123 Remove | Add Document Information Document Type: Document Identification: When you complete the Identify RINs screen, click Advanced Options at the bottom of the screen to navigate to the second step of the Separate Wizard (see Figure 27). On the Advanced RIN Selection screen, you have the option to specify a batch of RINs to separate. If you do not wish to make any selections on this screen (this step is optional), click Add to Transaction Bin at the bottom of the screen to continue. In this situation, EMTS will automatically separate RINs using the First-in, First-out (FIFO) accounting method (i.e., the oldest RINs, based on production date, are used first, for the RIN Year, Fuel Code, Fuel Category and QAP Service Type chosen). Alternatively, you may use this screen to identify a specific originating organization, or organization and facility, or organization, facility, and batch number. To specify an organization, click the originating organization's name, and click Select (see Figure 30). RFS EMTS User's Guide 21 ------- Figure 30: Optional Advanced RIN Selection Screen V>trr\ Moderated Transaction System Organization Submissions Separate RINs - Advanced RIN Selection (Optional) This step is optional. If you choose not to complete this step, EMTS will automatically select RINs with the oldest production date from your RIN Holding Account for this separate transaction. Only complete this step if you would like to separate RINs that were produced from a specific organization, facility or batch. If you do not wish to select specific RINs to separate, then you can skip this step by clicking the Add to Transaction Bin button below. To select a facility, you must first Transaction Bin Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin T Organization All Organizations: Selected Organization: Fitter: Advanced RIN Selection (Optional) After you click Select, the Selected Organization field and the Organization accordion tab will contain the name of the organization you selected (see Figure 31). RFS EMTS User's Guide 22 ------- Figure 31: Selected Organization Example Organization: [RAP Inc. GEN Cellulosic (4672)] All Organizations: RAP Inc. GEN Ce u osic (46 Selected Organization: [ Select <£j**P Inc- GE[VJ Cellulosic (4672^5 Filter: Remove « Identify [Add to Transaction Bin »] To select a Facility, click the Facility tab of the Advanced RIN Selection accordion, and follow the same steps. Repeat the steps to identify a particular batch from a specified organization and facility. Once you have specified the originating source information, click Add to Transaction Bin to continue. After you submit the separate transaction from the Transaction Bin, your RIN Holdings grid will reflect the results of the separation. From your RIN Holding Account, you may also separate assigned RINs on behalf of a Small Blender by selecting the Separate (Upward delegation) option in the "I want to..." dropdown (see Figure 32). Doing so will take you to the first step of the Separate Wizard for upward delegation (see Figure 33). RFS EMTS User's Guide 23 ------- Figure 32: Separate (Upward delegation) Option for Available Assigned RINs Manage RIN Holdings Select one of the transaction actions for each fuel year and assignment for your RIN Holdings. a JT iff =ji art Or-]_=tn'7; RIN Holdings for: RAP Inc. GEN EtOH (4670) Figure 33: Separate Wizard - Identify RINs (Step 1) Separate RINs - Identify RINs • fuel (D Cod*), • RIN ¥«r. • QAP Service Type; • RIN Quantity: ir Blending i-s per 40 CfK _\ Add Docume Document Type; Document laent.ficJ In the first step of the Separate Wizard for upward delegation, the Reason for Separation is pre-populated with "Upstream Delegation for Blending," and the screen includes fields for the blender name and identifier. You must provide this information in order to separate for upward delegation. Apart from the Identify RINs section of Step 1, the Separate Wizard for upward delegation is identical to the Separate Wizard used for all other reasons for separation. Small Blenders that are identified in separate transactions for upward delegation can view the details of those transactions by selecting View Blender Transactions under the View Transactions menu option. The View Transactions screen (see Figure 34) includes an overview of all of the separate transactions in which that organization has been identified as the blender. Selecting "View Details" for a transaction displays the details of the transaction. RFS EMTS User's Guide 24 ------- Figure 34: View Blender Transactions oderated Transaction System Organization View Transactions View Transactions The following grid shows the transactions that have separated RINs on your behalf, Separate Transactions for Bizo Blenders (4352) Displaying records 1 through 1 of 1 total. Tran 21 saction ID ^1 Transaction Date ' 05/19/2011 09:34:00 AM M Fuel (D Code) : Renewable Fuel (61 J RIN r Year 2011 +. RIN ^ Quantity 6500 ,*. Separating ^ Organization RAP Inc. GEN EtOH (4670) I want to... View Details v|| Go Export options: CSV I Excel I PDF Small Blenders can also subscribe to the Small Blender RIN Separation notification. This notification is sent to the Small Blender every time their organization is identified in a separate transaction for upward delegation. For information on how to subscribe to notifications, see the Receiving Notifications section of this document Retiring RINs Depending on your organization's business activities you may choose to retire RINs for compliance or for other reasons from your RIN Holding Account. If your organization is an obligated party (a Non-renewable Fuel Importer, a Refiner, or a Renewable Fuel Exporter) your organization may retire separated RINs for obligation (Retire (Obligation)) and assigned or separated RINs for other reasons (Retire (Other)). If your organization is registered as more than one type of obligated party, you must choose from the dropdown the compliance level you would like to use (see Figure 35). For organizations with any other business activities (i.e., non-obligated parties), the only enabled retire option in your RIN Holdings grid will be Retire (Other) (see Figure 36). Figure 35: Retire Options for a Refiner (Obligated Party) with Separated RINs RIN Holdings for: RAP Inc. GEN EtOH (4670) Renewable Fuel (D-6) Renewable Fuel (D=6) Export options: CSV I Excel I RFS EMTS User's Guide 25 ------- Figure 36: Retire Options for a Non-Obligated Party with Separated RINs RAP Inc. Obligated Party (4675) Biomass-Based Diesel (D=4) Export options: CSV I Excel Buy Sell Contact Us | Help For a row of RINs in your RIN Holdings, select the Retire (Other) option in the "I want to..." drop-down, and click Go. Doing so will take you to the first step of the Retire Wizard (see Figure 37). Figure 37: Retire (Other) Wizard - Identify RINs (Step 1) Retire RINs Identify RINs (Other) A. 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 RINs for reasons other than compliance: • Renewable fuel code (D code); • Year the RINs being retired were generated; • Assignment of the RINs; • QAP service type code; • Number of RINs being retired; • Date the RINs were retired; and • Reason for the retire transaction. All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, Assignment, and QAP Service Type fields are automatically populated with the information from the row of RINs in the RIN Holdings grid that you selected to retire. In the Reason for Retire field, only the reasons that are applicable to your RFS EMTS User's Guide 26 ------- organization's registered business activities are available (the remaining options are disabled). The Retire Wizard also contains a document grid you can use to specify the name and identifier of one or more documents that support the retire transaction. Note that the document itself cannot be uploaded. To add document information to the grid, fill in the Document Type and Document Identification fields, and click Add. Doing so will add a row to the documents grid (see the Separating RINs section for more details). When you complete the Identify RINs screen, click Advanced RIN Selection at the bottom of the screen to navigate to the second screen of the Retire Wizard. On the Advanced RIN Selection screen, you have the option of specifying the batch of RINs that you wish to retire. If you do not wish to make any selections on this screen, click Add to Transaction Bin at the bottom of the screen to continue. In this situation, EMTS will automatically retire the RINs in your RIN Holding Account using the FIFO accounting method. Alternatively, you may use this screen to identify a specific originating organization, or organization and facility, or organization, facility, and batch number. See the Separating RINs section for details on how to use the Advanced RIN Selection screen to specify originating source information. Once you have specified the originating source information, click Add to Transaction Bin to continue. After you submit the retire transaction from the Transaction Bin, the RINs will be removed from your RIN Holdings. Obligated parties can retire separated RINs for obligation by selecting the Retire (Obligation) option in the "I want to..." drop-down on the Mange RIN Holdings screen. The following information is required to retire RINS for compliance: • Renewable fuel code (D code); • Year the RINs being retired were generated; • QAP service type code; • Number of RINs being retired; and • Date the RINs were retired. All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, and QAP Service Type fields are automatically populated with the information from the row of RINs in the RIN Holdings grid that you selected to retire. Additionally, the Assignment, Reason for Retire, Compliance Year, and Compliance Level are automatically hard-coded based on your selections from the RIN Holdings grid although Compliance Year is editable for Renewable Fuel Exporters (see Figure 38). RFS EMTS User's Guide 27 ------- Figure 38: Retire as Exporter - Identify RINs (Obligation) &EPA Moderated Transaction System Organization Submissions Retire as Exporter - Identify RINs (Obligation) » Transaction Bin Identify the RINs for retirement by entering the required information below. | Identify RINs * Fuel (D Code): * RIN Year: Assignment: * QAP Service Type: * RIN Quantity: * Transaction Date: Reason for Retire: * Compliance Year: Compliance Level: Additional Information: Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Renewable Fuel (D=6) 2015 Separated Unverified (30) ~ (MM/DD/YYYY) Demonstrate annual compliance 2015 Aggregated Exporter Identify RINs (Obligation) Advanced RIN Selection (Optional) To view the total number of RINs your organization has retired for obligation, select Compliance Data under the Reports main menu option. On the View Aggregate RINs Retired for Obligation screen, the retired RIN quantities are aggregated by Fuel Code, RIN Year, Compliance Year, and Compliance Level. For Refiners with a "Refinery by Refinery" compliance level, the RIN quantities are also aggregated by Facility. For organizations that have not retired any RINs for obligation, the grid on this screen will be empty. You can also view your retired RINs on the RIN Holdings (History) screen under the RINs menu (see Figure 39). RFS EMTS User's Guide 28 ------- Figure 39: View RIN Holdings History federated Transaction System Organization Submissions Trades Reports RINs View RIN Holdings History j The following retire and sell transactions were processed for Biodiesel Company in the past. These retire and sell transactions contain RINs that are no longer in your holding account. Enter criteria and click Search. Specifying the Originating Company ID, Originating Facility Number, or Originating Batch Number in the search criteria will only return transactions if this information was specified when the transaction was submitted. Transaction Bin Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin > Organizations •* Basic Filter Options Search For Transactions - Select -- -- Select - -- Select -- - Select - - Select - (MM/DD/YYYY) (MM/DD/YYYY) Transaction Type: RIN Year: QAP Service Type: Fuel (D Code): Reason for Retire: Begin Date: End Date: Originating Company Id: Originating Facility Number: Originating Batch Number: Results Per Page: Trading Partner RIN Holdings History for: Biodiesel Company Displaying records 1 through 3 of 3 total. As Selected in Advanced Options or Originating Source detail elements As Selected in Advanced Options or Originating Source detail elements As Selected in Advanced Options or Originating Source detail elements 20 Clear Filter Transaction * 1 Submission * 1 RIN Type Sell Sell Sell •^ Date ^ Year 01/29/2015 11:45:03 AM 01/29/2015 11:44:56 AM 01/29/2015 ,m, 11:44:55 AM 20lb QAP ^ Service _ Type Unverified (30) Unverified (30) Unverified (30) Fuel (D . Quantity Code) ^ y Advanced Biofuel 150 I Renewable Fuel (D=6) Renewable ,n Fuel (D=6) - Reason i Volume Code Standard Trade (10) Standard Trade (10) -,n Standard Trade (10) Trading Partner RAP Inc GEN Biodiesel (4671) RAP Inc. GEN Biodiesel (4671) RAP Inc. GEN Biodiesel (4671) View Details ' | Go | View Details -• | Go | View Details » | Go | Export options: CSV I Excel I PDF RFSEMTS User's Guide 29 ------- Trading RINs You can initiate a trade from your RIN Holdings screen. To initiate a sell transaction, you must have RINs in your RIN Holdings. The following information is required to initiate a trade through a sell transaction: • Renewable fuel code; • Year in which the RINs that were sold were generated; • Assignment of the RINs; • QAP service type code; • Number of RINs that were sold; • Volume of renewable fuel sold with the RINs (for assigned RINs only); • Identifier of the organization to which you are selling RINs; • Name of the organization to which you are selling RINs; • Date on which the trade occurred as recorded on the Product Transfer Document (PTD); • Price per RIN or the price per gallon of renewable fuel that was agreed upon by both parties. Price must be rounded to two decimal places; and • Reason the RINs have been sold. For a row of RIN data in your RIN Holdings grid, select Sell in the "I want to..." drop-down, and click Go. Doing so will take you to the first screen of the Sell Wizard (see Figure 40). Figure 40: Sell RINs - Identify RINs Screen (Step 1) Sell RINs - Identify RINs Enter Fuel (D Code), RIN Year, Assignment, and quantity of RINs. Aiso, enter Batch Volume if Assignment - Assigned. Tc the Pending Initiated Transactions on your ReviewTrades page and select 'Cancel Offer' for the appropriate transaction. Identify RINs • Fuel (D Coda): * RIN Year: * Assignment! 'QAP Service Type: * Quantity of RINs: Batch Volume: Your organization has 0 Biomass-Based Diesel (D=4) 2014 Unverified (30) - Required for assigned Rife or if price per Gallon is specified. « RIN Holdings | [ Select Trading Partner The green boxes on the right side of the screen indicate which of the four steps of the Sell Wizard you are completing. All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, Assignment, and QAP Service Type fields are automatically populated with the information from the row of RINs in the RIN Holdings grid thatyou selected to sell. Once you complete the information on this screen, click SelectTrading 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 41, the organization names were filtered on the word "Better," and Better RFS EMTS User's Guide 30 ------- Fuel Corporation was selected from the options. The trading partner organization must have an enabled business activity that allows it to buy RINs. Figure 41: Sell RINs - Select Trading Partner otnr\ Moderated Transaction System Organization Submissions Trades Reports RINs Sell RINs - Select Trading Partner » Transaction Bin Select a trading partner by searching on the Organization. You may search data by 'Begins with1, '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 sometime for the list to load. Your organization has 0 un-submitted transactions in the transaction bin. Search for Organization Organization: [Begins with Clear 1 ( Search Select Organization View Transaction [ Select Trading Partner Transaction Details and Documents Advanced RIN Selection (Optional^ O Better Bio from Uzbekistan (4328) Better Fuel Corporation (4410) O Better Petroleum (4322) Selected Organization: Better Fuel Corporation (4410) « Identify RINs Transaction Details » When you have selected your trading partner, click the Transaction Details button to move to the next screen. On the Sell RINs - Transaction Details and Documents screen, you must enter the Transfer Date, Price Paid (either price per RIN or price per gallon), and Sell Reason. The value entered for Price Paid must have exactly two digits after the decimal place. Note that you may not enter both price per RIN and price per gallon. You may also enter a Matching Transaction Identifier. This element allows users to accept specific buy/sell transactions in the case of several similar transactions. It is the unique transaction identifier assigned by EMTS to an initiated trade. When accepting a trade, users can include this element in the trade matching criteria (along with the other trade matching criteria currently in effect). If this element is reported, EMTS will attempt to locate a matching transaction based on the MatchedTransactionldentifier and the other matching criteria provided. If a match is not found, then the transaction will fail. If this element is not reported, then it will not be used in the trade matching (but all other required matching elements will still apply). You can also provide a Product Transfer Document (PTD) number and other additional information. The Transaction Details and Documents 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 RFS EMTS User's Guide 31 ------- be uploaded. To add document information to the grid, fill in the Document Type and Document Identification fields, and click Add (see the Separating RINs section for more details). When you have completed this screen, click Advanced RIN Selection to move to the final screen of the Sell Wizard. On the Advanced RIN Selection screen, you have the option of specifying the batch of RINs that you wish to sell. If you do not wish to specify originating source information, click Add to Transaction Bin at the bottom of the screen to continue. In this situation, EMTS will automatically sell the RINs in your RIN Holding Account using the FIFO accounting method. Alternatively, you may use this screen to identify a specific originating organization, or organization and facility, or organization, facility, and batch number. See the Separating RINs section for details on how to use the Advanced RIN Selection screen to specify originating source information. Once you have specified the originating source information, click Add to Transaction Bin to continue. After you submit the sell transaction from the Transaction Bin, the transaction will be in a pending state, and the RINs associated with the sale will be in the Pending column of the RIN Holdings grid (see Figure 42). The RINs will remain in the Pending column until the trading partner accepts the sell transaction. Figure 42: Pending RINs in RIN Holdings Grid RIN Holdings For: RAP Inc. Obligated Party (4675) Biomass-Based Diesel (0=41 2014 Export options: CSV I Excel PDF The following information is required to initiate a buy transaction: • Renewable fuel code; • Year in which the RINs that were bought were generated; • Assignment of the RINs; • QAP service type code; • Number of RINs that were bought; • Volume of renewable fuel bought with the RINs (for assigned RINs only); • Identifier of the organization that has sold the RINs; • Name of the organization that has sold the RINs; • Date on which the trade occurred as recorded on the PTD; • Price per RIN or the price per gallon of renewable fuel that was agreed upon by both parties. Price must be recorded to two decimal places; and • Reason the RINs have been bought To initiate a buy transaction, go to the Manage RIN Holdings screen, and either click the Buy button below the RIN Holdings grid or select Buy in the "I want to..." drop-down for a row in the RIN Holdings and click Go. If you select Buy for an existing row in the RIN Holdings grid, the Fuel (D Code), RIN Year, Assignment, and QAP Service Type in the Buy Wizard will be pre-populated with information from that row. The green boxes on the right side of the screen indicate which of the three steps you are completing. All fields marked with a red asterisk are required. On the Identify RINs screen, you must provide the Fuel (D Code), RIN Year, Assignment, and Quantity of RINs. RFS EMTS User's Guide 32 ------- You may also enter a Matching Transaction Identifier. This element allows users to accept specific buy/sell transactions in the case of several similar transactions. It is the unique transaction identifier assigned by EMTS to an initiated trade. When accepting a trade, users can include this element in the trade matching criteria (along with the other trade matching criteria currently in effect). If this element is reported, EMTS will attempt to locate a matching transaction based on the MatchedTransactionldentifier and the other matching criteria provided. If a match is not found, then the transaction will fail. If this element is not reported, then it will not be used in the trade matching (but all other required matching elements will still apply). You also have the option of using the Advanced Options fields to specify originating source information for the RINs that you wish to buy. To access the Advanced Options fields, click the Advanced Options tab circled in Figure 43. Figure 43: Buy RINs - Identify RINs Screen (Step 1) Buy RINs - Identify RINs Enter Fu«l (D Cod«), RIN Year. Assignment, and Quantity of RINs. Also, enter Batch volume if Assignment = Assigned. To cancel a trade that /our orgai ready initiated, go to | Identify RINs |_ • Fuel (D Code): • RIN Year: • Assignment: * QAP Service Type: • Quantity of RINs: Batch Volume: Required (or assigned RINs or if price per Gallon is specified. Once you click this tab, you will be able to access the Advanced Options fields (see Figure 44). Figure 44: Buy RINs - Advanced Options H Advanced Options (optional) Generating Organization Identifier: Generating Facility Identifier: Batch Number: To specify the originating source for a buy transaction, you will need to know the Generating Organization Identifier, the Generating Facility Identifier, and the Batch Number (unlike the Sell Wizard where you have options available to you). Once you complete the Identify RINs screen of the Buy Wizard, click Select Trading RFS EMTS User's Guide 33 ------- 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 have an enabled business activity that allows it to sell RINs. From the Transaction Details and Documents screen, click Add to Transaction Bin. Submit the transaction from the Transaction Bin to complete the buy transaction. At this point, the transaction will be in a pending state, but the transfer of RINs will not be reflected in your RIN Holdings grid until the trading partner accepts the buy transaction. To view the pending transaction(s) that your organization has initiated or received (as the result of another organization initiating a transaction with your organization as the trading partner), hover over Trades on the main menu and select Review Trades. The Review Trades screen is organization-specific (see tabs in Figure 45), so to switch the organization for which the screen is displayed, open the Organizations tab of the accordion on the right side of the screen, and click Select a Different Organization. RFS EMTS User's Guide 34 ------- Figure 45: Review RFS2 Trades Screen Review RFS2 Trades The following Fuels ABT trade transactions were either received or initiated by Demo Organization 1. You can act upon any of these transactions by selecting the appropriate action in the "I want to ..." column, located next to each transaction. Transaction Bin Your organization has 0 un-submitted transactions in the transaction bin. » Basic Filter Options RIN Year: QAP Service Type: Fuel (D Code): Assignment: Transaction Type: Transaction Identifier: Transfer Date (Begin): Transfer Date (End): Submission Date (Begin): Submission Date (End): PTD Number: CDX ID: View Transaction Bin f Organizations - Select - -r -- Select -- - Select - -- Select T -- Select - -r (MM/DD/YYYY) (MM/DD/YYYY) (MM/DD/YYYY) (MM/DD/YYYY) ... Initiated trades only. Trading Partner T (0) Pending Received Transactions for [Demo Organization 1 (20)] Clear Filter Submission ^ RIN ^ QAP Service ^ Fuel (D Date T Year T Type T Code) Nothing found to display. ^Assignment ^ Type ^Quantity ^Reason • Trading ^ I want to > (0) Pending Initiated Transactions from [Demo Organization 1 (20)] The Review Trades screen includes a number of filter options that you can use to search for specific initiated or received buy or sell transactions. The labels on the Pending Transactions tabs include the number of transactions within each tab. In Figure 46, the organization has two Pending Initiated Transactions and zero Pending Received Transactions. In the Review Trades accordion, only one tab can be open at a time, so to open the Pending Received Transactions tab of the accordion, you would click Pending Received Transactions. As a result, the Pending Initiated Transactions tab would close. For Pending Initiated Transactions, you can select View Details in the "I want to..." drop-down to view the details of the transaction, or you can select Cancel Offer to cancel the trade (see Figure 43). If you choose Cancel, you will be prompted to confirm the cancellation, and the transaction will no longer appear in your Pending Initiated Transactions (or your trading partner's Pending Received Transactions). RFS EMTS User's Guide 35 ------- Figure 46: Pending Initiated Transactions Options i 03/09/2014 2014 Unverified (30) Export options: CSV I Excel I PDF For Pending Received Transactions, you can select View Details, Accept Offer, or Deny Offer in the "I want to..." drop-down (see Figure 47). Figure 47: Pending Received Transactions Options 03/09/2014 2014 Unverified (30) 03/09/2014 2014 Unverified (30) 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 48). Once you click Confirm Deny, the transaction will no longer appear in your Pending Received Transactions (or your trading partner's Pending Initiated Transactions). RFS EMTS User's Guide 36 ------- Figure 48: Deny Trade Screen oderated Transaction System Organization Deny Trade Submissions T Transaction Bin To deny the received trade, please provide an explanation and select the 'Confirm Deny' button located at the bottom of the page. If you wish to return to the list of your pending transactions, select the 'Back' button. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin You are denying the following Buy pending trade: 300 2010 Assigned Renewable Fuel RINs from RAP Inc. GEN Cellulosic(4672) submitted on Fri Jan OB 08:14:01 EST2010 for $0.12 per Gallon. * Please provide an explanation for denying the trade: « Back Confirm Deny » If you select Accept Offer, you will also see the details of the transaction, and you will be prompted to provide the price of the transaction (see Figure 49). Additionally, you will have the option of adding transaction details and document information. Note that the document itself cannot be uploaded. To add document information to the grid, fill in the Document Type and Document Identification fields, and click Add (see the Separating RINs section for more details). RFS EMTS User's Guide 37 ------- Figure 49: Accept Trade Screen V>trr\ Moderated Transaction System Organization Accept Trade Submissions Transaction Bin Please review the selected transaction and provide any additional information about the trade. To report a PTD number for your transaction, you must enter it into the 'PTD' field. If you do not enter a number, your transaction details will not include a PTD number. Note that this field is not automatically carried over from your trading partner's transaction. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin You are accepting the following Sell pending trade: 12 2014 Unverified Assigned Renewable Fuel RINs from RAP Inc. GEN EtOH (4670) submitted on 09/22/2014 1:02:23 PM EOT for $0.55 per Gallon. Reason: Standard Trade (10) Transfer Date: 09/22/2014 1 Confirm the price per Gallon for this transaction: Transaction Details Additional Information: PTD: Additional Information required when Trade Reason is not Standard Trade. Document Type Public/Private Nothing found to display. | Add Document Information Document Type: Document Identification: Public «Back Confirm Accept» To report a PTD number for your transaction, enter the number in the "PTD" field. If you do not enter a PTD number, your transaction details will not include a PTD number. Note that this field is not automatically carried over from your trading partner's transaction. Once you click Confirm Accept, the transaction will no longer appear in your Pending Received Transactions (or your trading partner's Pending Initiated Transactions), and the results of the trade will be reflected in your RIN Holdings. If you select View Details for a Pending Received transaction, you will see the details of the transaction along with the option to either accept the trade or deny the trade. Clicking Deny Trade will take you to the Deny RFS EMTS User's Guide 38 ------- Trade screen (see Figure 48), and clicking Accept Trade will take you to the Accept Trade screen (see Figure 49). If a trade is not accepted, cancelled, or denied within ten business days of the submission date (the date that you or your trading partner initiated the trade), the trade will expire, and it will no longer appear on your Review Trades screen. As described earlier in this section, a trade can be completed if one trading partner initiates a trade through a Buy/Sell Wizard, and the other partner then accepts the initiated trade from the Review Trades 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. RINYear; 2. Fuel Code; 3. RIN Quantity; 4. Reason Code;* 5. Assignment Code; 6. QAP Service Type; and 7. Transaction Date. * If the buy or sell reason is Deny Trade or Cancel Trade, then the Reason Codes do not need to match. In addition: 1) The Trading Partner Organization Identifiers must agree (e.g., the sell transaction should list the buying organization as the Trading Partner, and the buy transaction should list the selling organization as the Trading Partner); and 2) If one Trading Partner specifies Originating Source information, then the other Trading Partner must specify the same Originating Source information. If these fields do not match, then the trades submitted by both trading partners via XML or web application will be considered pending initiated trades. For the Price Element matching criteria, both trading partners must provide either RIN price amount or gallon price amount (the same element), but the values reported do not need to match. For more information on using XML files to interact with EMTS, see the Submitting XML Files Section. RFS EMTS User's Guide 39 ------- Managing the Blocked List In some cases, you may wish to ensure that your organization does not buy or own RINs that were generated by a specific renewable fuel producer, importer, or facility. To do so, you can add a producer or facility to your organization's Blocked List When a trade includes RINs that originated from a producer, importer, or facility on the buying organization's Blocked List, the transaction will automatically be denied by EMTS, and a notification will be sent to both parties indicating that the transaction was not processed. You can access your organization's Blocked List by selecting View Blocked List under Organization in the EMTS main menu. Figure 50: View Blocked List Screen oErrV Moderated Transaction System Organization View Blocked List T Transaction Bin The following list identifies renewable fuel producers and/or generating facilities whose RINs you have chosen not to buy. You will not be able to buy RINs that originated from these sources, no matter which organization is selling the RINs. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Organization You have not chosen any fuel producers to block. Date Blacked Add Blocked Producer Add Blocked Facility From the View Blocked List screen (see Figure 50), click the Add Blocked Producer or Add Blocked Facility button to add a producer or facility to your organization's Blocked List. Clicking Add Blocked Producer opens the Add Producer to Blocked List screen (see Figure 51). On the Add Producer to Blocked List screen, you must identify a renewable fuel producer from a list of organizations (the list includes only renewable fuel producers). You can filter the list by Organization Name or Organization ID. To select a producer to add to your Blocked List, click the organization name in the list, and click Select In Figure 48, the organization list was filtered with the word "Better," and Better Fuel Corporation was selected. RFS EMTS User's Guide 40 ------- Figure 51: Add Producer to Blocked List Screen oderated Transaction System Organization Submissions Add Producer to Blocked List Transaction Bin Select an organization by searching on the Organization. You may search data by 'Begins with', 'Contains' or 'Equals' (Equals is an exact match), To view all organizations, dearths search criteria and click the 'Search' button. Viewing all organizations may take some time for the list to load. Note that you will not be able to acquire RINs from any of this organization's facilities. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Search for Organization Organization: -Select- v| betterfuel Clear | Select Organization : Better Fuel Corporation (4410) Selected Organization: • Comment: Better Fuel Corporation * = Required Field « Back Submit After you enter a comment in the Comment field and click Submit, you will return to the View Blocked List screen, and the producer that you blocked will be added to the View Blocked List grid (see Figure 52). Figure 52: View Blocked List Grid v>EPA Moderated Transaction System Organization View Blocked List ^ Transaction Bin The following list identifies renewable fuel producers and/or generating facilities whose RINs you have chosen not to buy. You will not be abie to buy RINs that originated from these sources, no matter which organization is selling the RINs. Your organization has 0 un-submitted transactions in the transaction bin, View Transaction Bin RFSEMTS User's Guide 41 ------- When you add a producer to your organization's Blocked List, the Facility column in the View Blocked List grid will contain the text "All facilities," indicating that your organization has chosen to block RINs that originate at all of the producer's facilities. If you add a facility to the Blocked List, the Facility column will display the name of the facility that you have blocked, and the Organization column will display the name of the organization associated with that facility. Note that you may select an organization on the View Blocked List screen regardless of whether that organization has produced RINS or has been enabled as a current producer. For each row in the View Blocked List grid, you have the option to either View Details or Remove. Selecting View Details opens the View Blocked List Details screen that includes the Organization, Facility, and Date Blocked information displayed in the grid along with the name of the person that added the organization/facility to the Blocked List and the comment provided with the action. Selecting Remove opens the Confirm Removal screen (see Figure 53). The screen displays all of the information included on the View Details screen. You must click Confirm Remove at the bottom of the screen to remove the organization/facility from the Blocked List Upon doing so, you will return to the View Blocked List grid, and the removed organization/facility will no longer be included in the grid. Figure 53: Confirm Removal Screen 'O'CTrV Moderated Transaction System Confirm Removal Please confirm that you would like to remove the following from your blocked list, Your organization has 0 un-submitted transactions in the transaction bin, View Transaction Bin Organization: Facility: Blocked by: Date Blocked: Better Fuel Corporation (4410} All Facilities Wise, Edgar 02/26/2010 test Contirm Remove Viewing Historic RIN Holdings To view information for RINs that your organization previously owned but has since removed from its RIN Holding Account, select View RIN Holdings (History) under RINs on the EMTS main menu. The View RIN Holding History screen contains details of your organization's retire and sell transactions (i.e., transactions that remove RINs from your RIN holdings) (see Figure 54). RFS EMTS User's Guide 42 ------- Figure 54: View RIN Holding History Screen RFS EMTS User's Guide 43 ------- View RIN Holdings History » Transaction Bin The following retire and sell transactions were processed for Demo Organization 1 in the past. These retire and sell transactions contain RINs that are no longer in your holding account. Enter criteria and click Search. Specifying the Originating Company ID, Originating Facility Number, or Originating Batch Number in the search criteria will only return transactions if this information was specified when the transaction was submitted. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Organizations T Basic Filter Options Search For Transactions Transaction Type: RIN Year: QAP Service Type: Fuel (D Code): Reason for Retire: Begin Date: End Date: Originating Company Id: Originating Facility Number: Originating Batch Number: Results Per Page: -- Select -- -- Select -- -- Select -- -- Select -- (MM/DD/YYYY) (MM/DD/YYYY) As Selected in Advanced Options or Originating Source detail elements A; Selected in Advanced Options or Originating Source detail elements As Selected in Advanced Options or Originating Source detail elements Trading Partner RIN Holdings History for: Demo Organization 1 Clear Filter M Sel Sel saction ^ Submission A RIN , ype T Date T Year ' 01/29/2015 11:45:03 AM 11:44:56 AM QAP S Service ^ Type Unverified (30) (30) Advanced Biofuel 150 (D=5) Fuel (D-6) ' v-™ RceoT 1 rn Standard Trade (10) 4Q Standard Trade (10) Trading Partner Iwantto RAP Inc. GEN ... _ , Biodiesel View Details - (4671) RAP Inc. Biodiesel View Details . (4671) n Go | Go j Export options: CSV I el I PDF RFS EMTS User's Guide 44 ------- View UN Holdings History TV for RAP In: GENBU4KI W/S»/SS!*0*;l*i»*»«l This screen is organization-specific; to switch the organization for which the screen is displayed, open the Organizations tab of the accordion on the right side of the screen, and click Select a Different Organization. The RIN Holding History grid provides an overview of each retire and sell transaction performed on behalf of the organization indicated above the grid. To filter the RIN Holding History grid to look for a particular transaction, use the filter options in the Search for Transactions box, and click Search. To view the details of a transaction in the grid, select View Details in the "I want to..." drop-down and click Go. Viewing Web Submissions For every set of transactions that you submit from the Transaction Bin, EMTS will create and store a submission details screen (a submission contains one or more transactions). To access the details of Transaction Bin submissions, select View Web Submissions under Submissions on the EMTS main menu. RFS EMTS User's Guide 45 ------- Figure 55: View Web Submissions Screen oERft Moderated Transaction System Organization Submissions View Web Submissions Trades Reports RINs •» Transaction Bin The following are all of the submissions from the Transaction Bin for your organization RAP Inc. GEN EtOH, Choose the View Details option in the I want to... column of the grid below to see more information about a submission and the list of transactions within the submission. You will be able to view transaction details from the submission details page. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Organizations Search CDX Submission ID: Submission ID: Submission Date (Begin): Submission Date (End): Results Per Page: (MM/DD/YYYY) (MM/DD/YYYY) 20 Clear Filter Web Submissions for: RAP Inc. GEN EtOH Number of Submissions: 3 Displaying records 1 through 3 of 3 total. Submission ID 28 27 26 Submission Date 9/17/144:31 PM 9/17/14 4:26 PM 9/10/14 1:47 PM Submission Status Rogers, Nat Processed Rogers, Nat Processed Rogers, Nat Processed -- Select -- - Select- " Go -Select- H Go Export options: CSV I Excel I PDF The View Web Submissions screen is organization-specific, so it includes Transaction Bin submissions completed by any of an organization's submitters. To switch the organization for which the View Web Submissions screen is displayed, open the Organizations tab of the accordion on the right side of the screen, and click Select a Different Organization. To filter the View Web Submissions grid to look for a particular submission, use the options in the Search box, and click Filter. The Web Submissions grid includes an overview of each submission from the Transaction Bin. For each transaction, you will see the submission ID, submission date, submitter, and status. To view the details of a submission, select View Details in the "I want to..." drop-down and click Go. This opens the View Submission Log Details screen, which contains the details of the submission and an overview of each transaction in the Submission (see Figure 56). You can also download the submitted XML file the View Node Submissions screen by selecting "Download Submitted XML" from the "I want to..." dropdown. The submitted files are stored and available for download for a limited amount of time. RFS EMTS User's Guide 46 ------- Figure 56: View Submission Log Details View Submission Log Details The following content vras included in submission 308. Your organization has 0 un-submitted transaction: i-. Transaction Bin | | Submission Details CDXTransaction ID: Submission ID: Organization Name: Submission Date: Submission Status: Submitter Name: _a91310ab-0al8-009c-5bad-af35bf99c63e 308 RAP Inc. GEN Biodiesel (4671) 03/09/2014 Processed as of 03/09/2014 6:19:27 PH EOT Nat Rogers Sell Transactions ed Diesel r'D=4) Unverified (30) Assigned 17000 RAP Inc. Obligated Party View Details » Go Export options: CSV I Excel I PDF To view the details of a transaction in the submission, select View Details in the "I want to..." drop-down and click Go. Submitting XML Files If you wish to submit data to EMTS without using the website transaction wizards, you may do so by submitting valid XML files from the EMTS web application, a personal node, or a node client. For more details on XML file submission, please go to http://www.exchangenetwork.net/exchanges/air/emts.htm and download the implementation resources available on the site. The Flow Configuration Document (FCD) describes the different methods of file submission and contains details on the Exchange Network Header v2.0, which must be included in an XML file for it to be valid. The XML Schema and Data Exchange Template provide additional information on the structure and content requirements for a valid XML file. Please see the Sample XML Instance File for an example of a valid XML file. In addition, please see the document titled "Submitting EMTS Transactions Using XML." Converting Excel Files to XML EMTS includes functionality to convert an MS Excel file into a valid XML file. EPA provides a blank Excel template, which allows users to include all transaction types in one file. It includes general notes about submitting transactions, user-specific submittal information, and a tab for each transaction type. The EMTS Excel Conversion Template can be found here http://www.epa.gov/otaa/fuels/renewablefuels/emtshtml/emtsdocuments.htm RFS EMTS User's Guide 47 ------- Important Notes: The transaction types must remain in the same order presented in the template: Generate, Buy, Separate, Sell, Retire, Lock, and Unlock. The template header rows also must remain unchanged to allow EMTS to process the file. Required columns have a header that is highlighted yellow. Additional information is included in column header comments and in the Notes tab. To view comments, hover over the header, as shown in Figure 57 below. Figure 57: Excel Template Comment B 1 2 3 4 5 6 7 8 9 RIN Quantity ^ w REQUIRED Amount of RINs that are involved with the transaction. Fuel Code To convert an Excel file into XML, navigate to Submissions-^ Submit File from the main EMTS menu or the EMTS home screen (see Figure 58). Figure 58: EMTS Home Screen Submit File Options V>trrV Moderated Transaction System Organization Submissions er Transactions Submit File History View Node Submissions View Web Submissions Test Userl, are urged to conduct due diligence investigations anc ing the EPA Moderated Transaction System (EMTS), ce in the regulations at 40 CFR 80.1431(b)(2), invalid RIf ss of the party's good faith belief that the RINs were r to any person of 3 RIN that is invalid. Your organization has 0 pending received trades and 0 pending in F^1*''- You can submit your XML file h^reJSubmit File The Submit File screen is user-specific, so if you represent multiple organizations, you can submit files for all of your organizations from the Submit File screen without changing the organization that you represent However, submissions for each organization must be included in a separate file submission. From this screen, you may submit only one Excel file at a time. In addition, you may not submit multiple files with the same file name in a given calendar year (to prevent accidental duplication). RFS EMTS User's Guide 48 ------- On the Submit File screen (see Figure 59), click the Browse button to identify the Excel file you would like to convert The tab order and name, as well as the header rows, must remain unchanged from the Excel Template. Figure 59: Submit File Screen Submit File Select a Me to submit, tt the file w an UMl file, then the We must mdude the Exchange Network Header v2.0 and must pass EMTS »3.0 xso schema vatdabon for it to be submitted to the EMTS Node. If you are submitting an Excel He. ckck 'Convert', then chdc 'Subrraf after downloading the XML Me to your local system. 1) you represent mutjpte organizations, you may submit a Me for any of your organizations from this page. Your organuation ha* 0 un submtted transactions .11 thttnmacUon bfci Vtew Transaction Bin •rile: Corwwl Svbmn Once you have identified a file, click the Convert button (see Figure 60). After clicking the Convert button, it may take some time to process, so please be patient. Figure 60: Submit File Screen - Loading the File Submit File •*• Transaction Bin Select a file to submit. If the file is an XML file, then the file must include the Exchange Network Header v2.0 and must pass EMTS v3.0 XSD schema validation for it to be submitted to the EMTS Node. If you are submitting an Excel file, click "Convert", then click "Submit" after downloading the XML file to your local system. If you represent multiple organizations, you may submit a file for any of your organizations from this page. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin | Identify File * File: View Submit File History Convert Submit If your file was successfully converted from Excel to XML, you will see the following screen pop up (see Figure 61), which provides you with an opportunity to save the XML file for your records. If your file had any errors during conversion, you will see the corresponding QA Check Errors pop up on the Submit File screen. Once you have corrected your errors, re-submit the file and click the Convert button. RFS EMTS User's Guide 49 ------- Figure 61: Successful Conversion - Opportunity to Save XML File Opening Test_file.xls.zip You have chosen to open: 1 TestjfHe.xb.zip which is: Compressed (zipped) Folder from: https://epanccdev-Cll6QQ.appdev.epa.gov What should Firefox do with this file? a :<3penwith; Windows Explorer (default) Save File J Do this automatically for files like this from now on. Once you have saved the XML file for your records, you are ready to submit it for processing. Click the Submit button from the Submit File screen, as shown in Figure 62. It may take some time to process, so please be patient and avoid clicking the Submit button again. Figure 62: Submit Converted Excel File Submit File T Transaction Bin Select a file to submit. If the file is an XML file, then the file must include the Exchange Network Header v2.Q and must pass EMTS v3.0 XSD schema validation for it to be submitted to the EMTS Node. If you are submitting an Excel file, click "Convert", then click "Submit" after downloading the XML file to your local system. If you represent multiple organizations, you may submit a file for any of your organizations from this page. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin | Identify File * File: Test file.xls View Submit File History Loading-. RFS EMTS User's Guide 50 ------- The file must first pass through the CDXnode before it can be processed by the EMTS node. If your file does not pass schema validation, you will receive an error message on the Submit File screen. If your file is valid, the message on the Submit File screen will be updated to indicate that your file has been submitted, as seen in the figure below. Figure 63: Submit File Screen Submit File c Your file Test_file.xml has been submitted. Please see the Submit File History page for the latest status of >ur submission. Identify File ' File: »• Transaction Bin Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin View Submit File History Convert Submit To view the CDX node status details for your submission, click the View Submit File History button. You can also access the Submit File History screen by hovering over the Submissions menu option and clicking Submit File History. The Submit File History screen (see Figure 64), like the Submit File screen, is user- specific (not organization-specific), so it will include records for your submissions for all of your organizations. It will display information only for files submitted from the Submit File screen and not for files submitted using a personal node or node client. If the 'Received By CDX' column displays 'Yes' for a submission, the submission was successfully received by the CDX node and has been sent to the EMTS node for processing. RFS EMTS User's Guide 51 ------- Figure 64: Submit File History screen Submit File History The following grid displays status information for all of the files submitted by you through the Submit File page on the EMTS Website. ^ Transaction Bin Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Search for Submitted Files CDX Submission ID: Begin Date: End Date: Results Per Page: (MM/DD/YYYY) (MM/DD/YYYY) 20 Clear Filter Submit File History For: Test Company Displaying records 1 through 3 of 3 total. _5119912c-8643-f 135-0f7f-8dd096941215 _50f91944-8643-fl3S-SSOc-le6a6994S942 _504fbb88-8643-fl3S-6d8a-e93bd90b81a8 Test_file.zip Test_file.zip Test_file2.zip 9/24/13 1:52PM '24/13 1:16PM 9/24/13 10:11 AM Export options: CSV I Excel I PDF Processing by EMTS After confirming that the file was successfully received by CDX, you will need to check whether the file was processed by EMTS. It is possible for your file to have been successfully received by CDX, but not successfully processed by EMTS. In order to confirm whether your transaction has been successfully processed by EMTS, hover over the Submissions menu option and click View Node Submissions. The View Node Submissions screen displays the results of XML files submitted from a personal node or node client along with XML files submitted from the Submit File screen, which acts as a node client In the example shown in Figure 65, the submission was successfully sent to CDX, but failed to be processed by EMTS, as seen in the results circled in the "Submission Status" column. RFS EMTS User's Guide 52 ------- Figure 65: View Node Submissions View Node Submissions * Transaction Bin The following are all of the files submitted on behalf of your organization RAP Inc. GEN EtOH. Choose the View Details option in the I want to... column of the grid below to see more information about a submission and the list of transactions within the submission. You will be able to view transaction details from the submission details page, NOTE: The time it takes to process and load an XML file submission into EMTS will vary depending on current system activity. Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Organizations CDX Submission ID: Submission ID: Status: Submission Date (Begin): Submission Date (End): Results Per Page: -Select-- " (MM/DD/YYYY) (MM/DD/YYYY) 20 Clear Filter XML File Submissions for: Test Company Number of Files Received: 2 Displaying records 1 through 2 of 2 total. 50f91944-8643-fl3S-S50c-le6a69945942 504fbb88-8543-fl35-6d8a-e93bd9Qb81aS The View Node Submissions screen is organization-specific (and not user-specific), which means that the screen displays the status of all files submitted by representatives of the organization specified above the View Node Submissions grid. To switch organizations, click Select a Different Organization in the Organizations tab of the accordion. To filter the View Web Submissions grid to look for a particular submission, use the options in the Search box, and click Filter. This screen displays the date and time XML files were submitted, CDX and Submission IDs, the file names, and whether the files were successfully processed. The Submission Status column of the View Node Submissions grid displays the EMTS node status of each XML file submission. A status of Processed indicates that the file passed all QA checks, and a status of Failed indicates that the file failed one or more EMTS QA checks. For processed and failed files, you can select View Details in the "I want to..." column to see more information about the submission and a list of transactions within the submission (see Figure 66). RFS EMTS User's Guide 53 ------- Figure 66: View Node Submissions Options Submission Status Failed Processed Processed ^ I want to... -Select- V|[ Go • - Select - H Download Submitted XML View Details QA Results Go Go From the submission details screen, you will be able to view transaction details for each transaction in the submission. For processed and failed files, you can also download the submitted XML file the View Node Submissions screen. The submitted files are stored and available for download for a limited amount of time. From the View Node Submissions screen, you can also select QA Results in the "I want to..." column for a failed submission. This will take you to a QA Feedback Report, which contains a list of QA checks that the submission failed. Receiving Notifications EMTS can communicate information to users by sending notifications via email. Some notifications will be sent immediately while others will be aggregated and sent nightly. The current version of EMTS includes a number of immediate notifications, such as the EMTS Trade Cancelled notification and the EMTS Trade Denied notification, along with several aggregated daily notifications, such as the EMTS Notification of Pending Trades and the Daily Processed Document Summary. For a complete list of notifications, see Appendix E of the Flow Configuration Document, on the EMTS Documents screen. To receive these notifications, you must first subscribe to the notifications from the RFS2 Subscriptions screen (see Figure 67) (click RFS2 Subscriptions under the Reports menu option). Users will be automatically subscribed to some notifications. RFS EMTS User's Guide 54 ------- Figure 67: RFS2 Subscriptions SERA Moderated Transaction System ^^ «*^3HI Organization Submissions Trades Reports RINs RFS2 Subscriptions Select 'Manage Subscription' and click 'Go' to subscribe or unsubscribe. There are three types of subscriptions; Document.. Notification, and Compliance Report, Document subscriptions may be generated 3-per-day, daily, weekly, and monthly, depending on the specific document. w Selected Organization: Biodiesel Company [5001) Select a Different Oraanization Subscription Name ±| Type $| Subscribed $| Lost Updated | Updated By | I want to... ll^^^^^^^^^^l Cancelled Trades Completed Trades Expired Trades Monthly RIN Generation Monthly RIN Holdings Monthly Transaction History Pathway Status Pending Trade Details Pending Trades RIN Batches RIN Generation RIN Holdings Transaction History Transaction Status Annual Statement Available Blocked Party - Initiated Trade Not Processed Blocked Patty - Partner's Trade Not Processed Daily Processed Document Summary Initiated Trade Cancelled Initiated Trade Denied Locked RINs Notification of Outstanding Trade Transactions Notification of Pathway Association Restore Notification of Pathway Association Suspension Notification of Pending Trades Notification of QAP Provider Pathway Association About To Expire Processing Failure Quarterly Reports Available Received Trade Cancelled Received Trade Denied Reminder - Outstanding Initiated Trade Transactions Submission Level Failure Subscription Status Trade Expired Transaction Error Report Available Unlocked RINs Unused Documents RFS2 EMT5 Activity Report (Assigned RINS) RFS2 EMTS Activity Report (Separated RINS) RFS2 EMTS Annual Report RFS2 EMTS Annual Statement RFS2 EMTS RIN Generation CSV/XML Report RFS2 EMTS RIN Generation Report RFS2 EMTS RIN Transaction CSV/XML Report (Buy, Sell, Separate, Retire) RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire) RFS2 EMTS Transaction Error Report Document No Document No Document No Document No Document No Document No Document No Document No Document No Document No Document No Document No Document No Document No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Notification No Compliance Report No Compliance Report No Compliance Report No Compliance Report No Compliance Report No Compliance Report No Compliance Report No Compliance Report No Compliance Report No Manage Subscription T [ Go ] Manage Subscription ^ [ Go J Manage Subscription •»• [ Go ] Manage Subscription •*• [ Go ] Manage Subscription •* [ Go ] Manage Subscription » [ Go ] Manage Subscription » [ Go ] Manage Subscription ^ [ Go ] Manage Subscription •* [ Go ] Manage Subscription •*• [ Go | Manage Subscription » [ Go ] Manage Subscription T [ Go ] Manage Subscription » [ Go ] Manage Subscripton » [ Go ] Manage Subscription » [ Go ] Manage Subscription - [ Go | Manage Subscription » [ Go ] Manage Subscription ^ [ Go ] Manage Subscription * [ Go | Manage Subscription » [ Go ] Manage Subscription *• [ Go ] Manage Subscription T [ Go ] Manage Subscription ^ [ Go ] Manage Subscription •»• Go ] Manage Subscription » [ Go ] Manage Subscription •» [ Go ] Manage Subscription •*- [ Go ] Manage Subscription " ( Go } Manage Subscription ^ [ Go ] Manage Subscription ^ [ Go | Manage Subscription » [ Go | Manage Subscription •* [ Go ] Manage Subscription T [ Go J Manage Subscription » [ Go ] Manage Subscription •* [ Go ] Manage Subscription » [ Go ] Manage Subscription •*• [ Go ] Manage Subscription » [ Go j Manage Subscripton ^ [ Go ] Manage Subscription ^ [ Go. ] Manage Subscription » [ Go ] Manage Subscription •» [ Go ] Manage Subscription ••• [ Go ] Manage Subscription ^ [ Go J Manage Subscription •»• [ Go ] Manage Subscription •»• [ Go ] Export options: CSV 1 Excel 1 PDF RFS EMTS User's Guide 55 ------- To subscribe to a notification, click Go in the "I want to..." column. On the Manage Subscription screen for that notification, check the "Subscribed" checkbox. For the immediate notifications, the frequency will be "Immediate," and for the daily notifications, the frequency will be "Daily." All notifications will be text format and will be delivered via email. All subscriptions are organization specific, so if one submitter for an organization subscribes to a notification, then all submitters for that organization will receive the notification. Receiving Documents EMTS also creates various reports and documents that include information about data submitted for your organization. These documents can be accessed from the EMTS website (click View Reports under the Reports menu item) or retrieved from the EMTS node. The documents included in the current release are: • Cancelled Trades: This document, available on a nightly basis, lists all initiated and received trades that have been cancelled within the past 10 calendar days. • Completed Trades: This document, available weekly, nightly, or three times per day, lists all trades that have reached their final status (completed, cancelled, expired, or denied) within the past 10 calendar days. • Expired Trades: This nightly document lists all pending trades that will expire within 1 business day as well as all trades that have expired within the past 10 calendar days. • Monthly RIN Generation Report: Both organizations and agents may subscribe to the report This report is available monthly and contains detailed information on the RIN batches generated by the subscribed organization during the prior month. The Monthly RIN Generation Report document is created for the prior month's transactions on the first Saturday of every month. • Monthly Transaction History: This document, available on a monthly basis, lists all generate, separate, buy, sell and retire transactions submitted by an organization through XML files or the EMTS web interface during the prior month. The Monthly Transaction History document is created for the prior month's transactions on the first Saturday of every month. • Monthly Verified RINs Generate Activity: This document, available on a monthly basis, is only available to QAP Providers. It includes detailed information on RIN batches that were generated on a verified pathway during the prior month. The Monthly Verified RINs Generate Activity document is created for the prior month's transactions on the first Saturday of every month. • Pathway Status: This document, available on a nightly basis, lists all of a fuel producer's registered pathways and the QAP status of those pathways. • Pending Trade Details: This document, available on a nightly basis or three times per day, lists the RIN batch details of all pending initiated and pending received trades for an organization. RFS EMTS User's Guide 56 ------- • Pending Trades: This document, available on a nightly basis or three times per day, lists the details of all pending initiated and pending received trades for an organization. • QA Feedback: This immediate document shows the failed QA check results for a given failed submission. Note that you do not need to subscribe to this document because it is created after every failed submission. • RIN Batches: This document, available on a daily or weekly basis, lists all RIN batches that an organization owns. • RIN Generation: Both organizations and agents may subscribe to the report. These reports are available in 3-per-day, daily, and weekly formats, and contain detailed information on the RIN batches that were generated by the subscribed organization. • RIN Holdings: This document, available on a nightly basis or three times per day, lists the current aggregate total RIN Holdings for an organization grouped by fuel code, assignment and RIN year. • Transaction History: This document, available weekly, nightly, or three times per day lists all generate, separate, buy, sell and retire transactions submitted by an organization through XML files or the EMTS web interface within the past 14 days. • Transaction Status: This document, available nightly, includes transaction activity for the previous day. • Verified RINs Generate Activity: This document, available on a nightly basis, is only available to QAP Providers. It includes detailed information on RIN batches that were generated on a verified pathway during the previous 10 days. • Verified RINs Retire Activity: This document, available on a nightly basis, is only available to QAP Providers. It includes detailed information on verified RIN batches that were retired by the RIN Generator during the previous 10 days. • Verified RINs Sell Activity: This document, available on a nightly basis, is only available to QAP Providers. It includes detailed information on verified RIN batches that were sold by the RIN Generator during the previous 10 days. • Verified RINs Separate Activity: This document, available on a nightly basis, is only available to QAP Providers. It includes detailed information on verified RIN batches that were separated by the RIN Generator during the previous 10 days. Once the prior month's Monthly Transaction History document is created, the Cancelled Trades, Completed Trades, Expired Trades, Pending Trades, Pending Trade Details, and Transaction Status documents for that month are purged. For more information on the available documents, please see the EMTS Document Descriptions file on the EMTS Documents screen. RFS EMTS User's Guide 57 ------- To download the documents from the EMTS website or retrieve them using a personal node or node client, you must first subscribe to them from the RFS2 Subscriptions screen (see Figure 68) (click RFS2 Subscriptions under the Reports menu option). Note: If you subscribe to a document and then do not download the document within 22 business days, you will be automatically unsubscribed from that document You will receive an email notification before and after the system performs this action. You may re-subscribe to the document at any time. On the RFS2 Subscriptions screen, click Go in the "I wantto..." column to update the subscription for a specific document. On the Manage Subscription screen for that document, check the "Subscribed" checkbox to subscribe to the document. If the document is available at multiple frequencies (i.e. Daily and three-per-day), select the desired frequency. Documents can be received in CSV or XML format and can be downloaded from the EMTS website or from the EMTS node using a node or a node client. After you subscribe to a document, you will be able to download the documents with a daily subscription frequency the following morning and the documents with a subscription frequency of three times per day at the next document generation interval. Three-per-day reports are generated at 1AM, 1PM, and 6PM. Weekly reports are generated Sunday mornings. You can download the documents from the View RFS2 Reports screen (see Figure 68) (click View RFS2 Reports under the Reports menu option). RFS EMTS User's Guide 58 ------- Figure 68: View RFS2 Reports Screen Home | Contact Us | Help | Logo Logged in as; TutorialDemo for Demo Organization 1 I For the desired document, please select 'Download Document'. To view all available versions of View All Documents'. Document Name * Pending Trades Pending Trade Details RIN Holdings Transaction History Expired Trades Completed Trades RFS2 EMTS RIN Generation Report RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire) RFS2 EMTS Activity Report (Assigned RINS) RFS2 EMTS Activity Report (Separated RINS) RFS2 EMTS Transaction Error Report Document Description ^ This document lists all trades that are in a pending state, Pending trades are buy or sell transactions for which the trading party has not yet submitted a matching transaction. This document lists all pending trades for your organization. It includes batch detail information for each transaction. This document lists the current aggregate total RIN Holdings for an organization grouped by fuel code, assignment and RIN year. A document including all generate, separate, buy, sell and retire transactions submitted by your organization through XML files or online transactions during the last 14 days. This document lists all transactions that will expire within 1 business day as well as all trades that have expired in the last 10 days, This document lists all trades that were completed (i.e., no longer pending) over the last 10 days. The quarterly RFS2 EMTS RIN Generation Report. The quarterly RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire). RFS2 EMTS Activity Report (Assigned RINS) RFS2 EMTS Activity Report (Separated RINS) RFS2 EMTS Transaction Error Report a document, select Selected Organization: Demo Organization 1 (20) Select a Different Organization Frequency 3 per day 3 per day Daily Daily Daily 3 per day Quarterly Quarterly Quarterly Quarterly Quarterly Last Run Time | 09/03/2010 3:54:13 PM EDT 09/03/2010 3:54:13 PMEDT 09/03/2010 3:54:10 PM EDT 09/03/2010 3:54:04 PMEDT 09/03/2010 3:54:32 PM EDT 09/03/2010 3:54:00 PM EDT 09/03/2010 3:13:49 PM EDT 09/03/2010 3:19:26 PM EDT 09/03/2010 3:20:06 PMEDT 09/03/2010 3:20:33 PMEDT I want to... Download Document Q View All Documents -Select- v|| Gc -Select- v|| Gc -Select- v|[ Gc -Select- ^J1_2S -Select- v|| Gc -Select- v[ Gc -Select- v|[ Qc -Select- v| Gc ^Jo valid actions 1 1 J Export options: CSV I Excel I PDF RFS EMTS User's Guide 59 ------- The grid on the View RFS2 Reports screen displays the documents to which you have subscribed. You will also be able to see the frequency you have selected for each report or document and the last run time for each document. To access the latest version of a document, select Download Document in the "I want to..." dropdown. To access a prior version of the document, select View All Documents in the "I want to..." dropdown. When you select Download Document and click Go, you will see a window asking you to either open or save the ZIP file (see Figure 69). After you open the ZIP file, you will be able to access the document. Figure 69: Download Document Window Opening RIN Holdings.zip | X Vou have chosen to open ~I.I RIN Holdings.zip which is a: WinZip File from: http://mts-app-stage.pqa.loca! What should Firefox ©i Open with! O Save File do with this file? WinZip (default) O Do this automatically for files likfi this from now on. [ OK [ Cancel For information on how to retrieve these documents using your personal node or node client, please refer to Section 6 of the EMTS Flow Configuration Document, which can be downloaded from the Exchange Network website h ttp://www. exchangenetwork. net/exchanges/air/em ts. h tm. Quarterly Reports Overview EMTS generates the following quarterly reports: RFS2 EMTS Activity Report (Assigned RINs) RFS2 EMTS Activity Report (Separated RINs) RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire) RFS2 EMTS RIN Generation Report RFS2 EMTS Transaction Error Report RFS EMTS User's Guide 60 ------- Examples of each report are contained in the appendix of the EMTS Quarterly Reports: Getting Started Guide. All reports are generated automatically by EMTS, with the exception of the RFS2 EMTS Transaction Error Report See the section "How do I create a Transaction Error Report?" for guidance on how to generate this report Important: Once a Transaction Error Report is generated for your organization, it cannot be changed in any way. Figure 70 describes the reports and indicates how they are related to the reporting forms. All reporting forms pursuant to requirements in 80.1451 are available at h ttp://www.epa.gov/o toq/regs/fuels/rfsforms.htm. Quarterly reports must be submitted within two months of the end of the quarter. Figure 70: EMTS Quarterly Report Descriptions EMTS Report RFS2 EMTS Activity Report (Assigned RINs) RFS2 EMTS Activity Report (Separated RINs) RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire) Availability in EMTS Description Generated by EMTS within 10 business days of the end of the quarter. Generated by EMTS within 10 business days of the end of the quarter. Generated by EMTS within 10 business days of the end of the quarter. RFS2 RIN information for the RFS0101 report. EMTS provides the total number of assigned RINs owned at the start of the reporting period; the aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at the end of the quarter. RFS2 RIN information for the RFS0101 report. EMTS provides the total number of separated RINs owned at the start of the reporting period; the aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at the end of the quarter. Detailed transactions grouped by transaction type for an organization. Includes Buy, Sell, Separate and Retire transactions. Old RFS1 Reporting New RFS2 Form Reporting Form RFS0100: RFS Activity Reporting Form (40 CFR 80.1152(c)(2)) RFS0100: RFS Activity Reporting Form (40 CFR 80.1152(c)(2)) RFS0200: RIN Transaction Report. RFS0102 (40 CFR 80.1451(^(2)) RFS0102 (40 CFR 80.1451(c)(2)) No Excel version; only EMTS PDF version. Note that RFS1 RIN transactions are reported in the new RFS0201. (40 CFR 80.1451(c)(l)) (cont.) RFS EMTS User's Guide 61 ------- EMTS Report RFS2 EMTS RIN Generation Report RFS2 EMTS Transaction Error Report Availability in EMTS Generated by EMTS within 10 business days of the end of the quarter. Can be created in EMTS following the quarter. Deadline to create is the quarterly reports submission deadline. Description Detailed batches of RINs generated for an organization. Includes only Generate transactions for the quarter. Detailed transactions for which a discrepancy exists between the EMTS and the organization's internal record-keeping system, as reported by the organization. Old RFS1 Reporting Form RFS0400: RFS RIN Generation Reporting Form (40 CFR 80.1152(b)(l)) No equivalent. New RFS2 Reporting Form No Excel version; only EMTS PDF version. The RFS0400 may only be used for RFS1 RINs generated prior to July 1,2 010. RFS2 RINs are reported in the new RFS2 EMTS RIN Generation Report. (40 CFR 80.14510)) New report in RFS2. When are the quarterly reports available? Quarterly reports will be available to download within ten business days of the end of a quarter. An email notification will be sent when the quarterly reports are available to download from the EMTS website. To subscribe to the "Quarterly Reports Available" notification, access the Manage Subscriptions screen from the Reports menu on the EMTS web interface. How do I subscribe to quarterly reports? You must login to the EMTS web application to subscribe to quarterly reports. In the EMTS main menu, select Reports, and then select Manage Subscriptions. All of the reports are available in PDF format In addition, the RFS2 EMTS RIN Generation Report and the RFS2 EMTS RIN Transaction Report are available in XML and CSV format You can subscribe to the PDF format and either the XML or the CSV format if you wish. Subscriptions are organization specific, so all submitters for an organization can download the reports. To change the subscription for a quarterly report, click the Go button in the "I want to..." column for the report On the Manage Subscription screen for that report, check or uncheck the "Subscribed" box (see Figure 71). RFS EMTS User's Guide 62 ------- Figure 71: Manage Subscriptions Screen O^WV Moderated Transaction Syste Organization Submissions Manage Subscription Modify and click Update Transaction Bin Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Subscription Name: Type: Description: Subscribed: » Frequency: * Method: * Format: RFS2 EMTS RIN Generation Report Report The quarterly RFS2 EMTS RIN Generation Report. Quarterly v| Download . * = Required Field « Back Update How do I access my quarterly reports? You can access your quarterly reports either by downloading them from the EMTS web application or by sending a Solicit request for them using your node. To download the reports from the EMTS web application, select Reports, and then select View Reports. The View RFS2 Reports screen displays all of the reports to which your organization has subscribed (see Figure 72). RFS EMTS User's Guide 63 ------- Figure 72: View RFS2 Reports Screen ed in as: Tutorial Home | Contact Us \ Help | Logout Organization 1 (20) View Kl a*. KCPOI IS •.J.IJ.kl.l^.iTfflff^^^^^^^^ For the desired document, please select 'Download Document'. To view all available document, select View All Documents'. versions of a Selected Organization: Demo Organization 1 (20) Select a Different Organization Document Name * RFS 2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire) RFS 2 EMTS RIN Generation Report RFS2 EMTS Activity Report (Separated RINS) Pending Trades Pending Trade Details Document Description il The quarterly RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire), The quarterly RFS2 EMTS RIN Generation Report, This document lists all trades that are in a pending state, Pending trades are buy or sell transactions for which the trading party has not yet submitted a matching transaction. This document lists all pending trades for your organization. It includes batch detail information for each transaction. Frequency Quarterly Quarterly Quarterly Quarterly Quarterly 3 per day 3 per day "-"ml"" '»•""»- 09/10/2010 11:81:17 AH i- Select- Iv Go EOT -Selecl- 11:20:31 AM ViewAII Documents ^^ Go I EOT 09/10/2010 11:21:25 AM -Select- v|| Go | EOT 09/10/2010 11:21:28 AM -Select- v f Go EOT No valid actions 09/10/2010 11:22:05 AM -Select- v|| Go EOT na/in/?nin 11:22:05 AM -Select- v.| Go EOT To download a report, select Download Document in the "I want to..." drop-down menu and click the Go button. Note that if the "I want to..." column for a report says "No valid actions," the report is not yet available to be downloaded. To view reports from previous quarters, select View All Documents. You will be prompted to open or save the ZIP file (see Figure 73). You must open the ZIP file to extract the report RFS EMTS User's Guide 64 ------- Figure 73: Download Document Window Opening RIN Holdings.zip Vou have chosen to open "I I RIN Holdings.zip which is a: WinZip File from: http://mts-app-stage.pqa.loca! What should Firefox do with this file? 0! Qpen with! | WinZip (default) 0 Save File H Do this automatically for files likfi this from now on. OK How do I create a Transaction Error Report? The RFS2 EMTS Transaction Error Report is used to report discrepancies that exist between the EMTS and your organization's internal record-keeping system. A recommended practice is to periodically review your current RIN holdings on the EMTS user interface, checking the total quantity of RINs against your own transaction records. You may download data from this screen at any time. You can report transaction errors following the end of the quarter. When you have entered and submitted your transaction errors, EMTS will create a Transaction Error Report for your organization. If you do not enter any errors or if you do not submit the reported errors, EMTS will not generate a Transaction Error Report for your organization. Note thatyou may edit your transaction errors and request the Transaction Error Report for the prior quarter any number of times until the quarterly report submittal deadline, is two months after the quarter ends. Reports are due May 31, August 31, November 30, and February 28. You must login to the EMTS web application to report transaction errors. In the EMTS main menu, select Reports, and then select Transaction Errors. If the compliance period is closed or you have previously submitted a Transaction Error Report for the quarter, you will see a message indicating that transaction error reporting is not available. If the Compliance period is open and you have not yet submitted a Transaction Error Report for the quarter, click Continue. On the View Reported Errors screen, you can add transaction errors to the Reported Errors grid (see Figure 74). If you have already entered errors for the quarter, but have not yet submitted them, you can view and edit the errors on this screen. RFS EMTS User's Guide 65 ------- Figure 74: View Reported Errors Screen SEPAn oderated Transaction System Organization Submissions View Reported Errors for Second Quarter 2010 Transaction Bin Below are the errors you have reported for the most recent quarter, To report an error for an additional transaction, please click 'Add Error.' Otherwise, please click 'Submit Errors' to confirm your reported errors and generate a Transaction Error Report. Your organization has 0 un-submitted transactions in the transaction bin, View Transaction Bin | | Error Options Add Error Submit Errors | Search for Errors Transaction ID: Submission ID: CDX Transaction ID: Submission Date (Begin): Submission Date (End): Transaction Type: (MM/DDAYYY) (MH/DDAYYY) -Select- v Clear Search Reported Errors Displaying records 1 through 1 of 1 total. Transaction ID i| Transaction Type i| Submission Date Modified By Date Modified 20 Generate 09/21/2010 9:25:26 AM EOT Ana Jernec 09/21/2010 9:41:33 AM EOT -Select- v| Go Export options: CSV I Excel I PDF To add a new transaction error to the Reported Errors grid, click Add Error. On the Search Transactions screen (see Figure 75), use the Search for Transactions filters to identify the transaction for which you wish to report an error. RFSEMTS User's Guide 66 ------- Figure 75: Search Transactions Screen <>LJ 7\ Moderated Transaction System ^^^ ^erif***' SHP^TS^W^ Organization Submissions Trades Reports RINs Search Transactions ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^H » Transaction Bin | Please use the filter to search for transactions , Your search will be limited to transactions from Second X£X5j Your organization has 0 Quarter 2010, To view all of your organization's transactions for the quarter, please click 'Search' \ ( / un-submitted w,thout se,ect,ng any cntena. View Transaction Bin Search for Transactions Submission ID: Transaction ID: CDX Transaction ID: Transaction Type: -Selec •t- v Fuel: —Selec 1- RIN Year: 2010 v| Assignment: -Selec Submission Date (Begin): 1- v H (MM/DDArrY) Submission Date (End): p (MM/DDATYY) Clear Search Transactions Displaying records 1 through 3 of 3 total. Submission A. Transaction ^.1 Transaction ^ Submission A. Fuel ^ RIN A. ft • «. ^1 Trading ^ ID ^ ID ^ Type ^ Date ^ (D-Code) ^ Year ^ Ass|9nment ^ Partner ^ 21 20 Generate 22 21 Separate 09/21/2010 Renewable on,n A • • ' o i . „ I r- Q.o5.i6AHEDT Fue| (D 6) 201° Assigned ,-Select- v|[ Go 005 ^O^M crjT ^"u^D-eT 2010 Assigned | Identify Error v[ Go The Transactions grid will display your organization's transactions that match the search criteria. The "I want to..." dropdown will contain the Identify Error option for transactions without previously reported errors and the Edit Details and Remove options for transactions with previously reported errors. To report an error for a transaction without a previously reported error, click Go in the "I want to..." column. On the Identify Transaction Errors screen, you can view the details of the transaction by clicking the "+" on the Transaction Details panel (see Figure 76). RFS EMTS User's Guide 67 ------- Figure 76: Identify Transaction Errors tMrA Moderated Transaction System Organization Identify Transaction Errors Transaction Bin After reviewing the details of the selected transaction, please provide information regarding the error in the fields provided, Please note that all errors must be discussed with EPA before being reported to the EMTS, Your organization has 0 un-submitted transactions in the transaction bin. View Transaction Bin Transaction Details Submission ID: Submission Date: Transaction ID: Transaction Type: Fuel (D Code): 22 09/21/2010 9:25:42 AM EOT 21 Separate Renewable Fuel (D-Q) | Report Errors 1 Explanation of Errors: Document Information: : = Required Field « Back Save Provide an explanation of the error(s) in the "Explanation of Errors" field, and add any additional information in the "Document Information" field (optional), then click Save. You will then return to the View Reported Errors screen, and the error will appear in the Reported Errors grid. On the View Reported Errors screen, you can use the filters to search for transactions for which you have already reported errors. To edit the details of an error that you have already reported, select Edit Details in the "I want to..." drop- down menu. The Identify Transaction Errors screen will display the details that you previously provided. Click Save to keep any updates. To remove an error from the Reported Errors grid, select Remove in the "I want to..." drop-down menu. The Confirm Remove screen will display the transaction details and reported errors. Click Remove to confirm removal of the error. RFS EMTS User's Guide 68 ------- Once you have reported all transaction errors for the quarter, click Submit Errors on the View Reported Errors screen. After you click the Submit button, you must confirm the transaction errors (see Figure 77). Figure 77: Confirm Transaction Errors V>trr\ Moderated Transaction System Organization Submissions Confirm Transaction Errors EPA reserves the right to bring enforcement actions for any violations, regardless of filing a transaction error report or taking remedial action. Please confirm your reported transaction errors. Note that after selecting Confirm EMTS will generate your Transaction Error Report and you will no longer be able to add/edit transaction errors for this compliance period. Once confirmed - no additional errors may be submitted. Transaction Errors Displaying records 1 through 3 of 3 total. Transaction ID ±1 Transaction Type 20 21 22 Export options: CSV Generate Separate Retire Excel 1 PDF i Submission Date ^1 09/21/20109:25:26 AM EOT 09/21/2010 9:25:42 AM EOT 09/21/2010 9:26:04 AM EOT « Back Confirm Once you confirm the transaction errors, EMTS will generate your organization's Transaction Error Report, and you will be able to add or edit transaction errors until the end of the quarterly compliance period. EMTS will generate the report within one business day of your confirmation. At that time, the Transaction Error Report will be available for you to download from the View Reports screen (select View Reports under the Reports menu option). To download the Transaction Error Report, select Download Document in the "I want to..." drop-down menu. Note that if the "I want to..." column for the report says "No valid actions," the report is not yet available to be downloaded. When you select Download Document and click Go, you will see a window asking you to either open or save the ZIP file (see Figure 78). After you open the ZIP file, you will be able to access the PDF report. RFS EMTS User's Guide 69 ------- Figure 78: Download Document Window Opening RIN Holdings.zip Vou have chosen to open "I I RIN Holdings.zip which is a: WinZip File from: http://mts-app-stage.pqa.loca! What should Firefox do with this file? 0! Qpen with! | WinZip (default) 0 Save File H Do this automatically for files likfi this from now on. OK Which transactions are included in the quarterly reports? The reports include transactions that were submitted and completed during the quarter. Thus, generate, buy, and sell transactions with a generation date or transaction date in one quarter and a submission date in another quarter will be included in the quarterly reports from the quarter that contains the submission date. Retire and separate transactions are always included in the report from the quarter during which they were submitted. How do I submit quarterly reports? You must submit your reports through the DC Fuels application, which is accessed through MyCDX. For more information, visit http://www.epa.gov/otaq/regs/Juels/rfsforms.htm. You are required to submit the reports in PDF format within two months of the end of the quarter. Note that the XML and CSV versions of the quarterly reports should be used for verification purposes only. Are examples of the quarterly reports available? For examples of the quarterly reports, please see the document "EMTS Quarterly Reports - Getting Started Guide." Annual Reports EMTS generates two organization-specific annual reports, both of which are provided in PDF format. The RFS2 EMTS Annual Report shows details for every RIN batch that an organization has retired for compliance, and the RFS2 EMTS Annual Statement shows aggregate values for the number of RINs an organization has retired for compliance. RFS EMTS User's Guide 70 ------- Users must be subscribed to the reports to be able to download them after they are generated by EMTS. Subscriptions are organization specific, so all submitters for an organization can download the reports. You can subscribe to the annual reports on the Manage Subscriptions screen by selecting Manage Subscriptions under Reports on the EMTS main menu. To change the subscription for an annual report, click the Go button in the "I want to..." column for the report On the Manage Subscription screen for that report, check or uncheck the "Subscribed" box. To download the annual reports, you must login to the EMTS web application. In the EMTS main menu, select Reports, and then select View Reports. The View Reports screen displays all of the reports to which your organization has subscribed. For the annual report that you wish to download, select Download Document in the "I want to..." drop-down menu and click the Go button. Note that if the "I want to..." column for a report says "No valid actions," the report is not yet available to be downloaded. You will be prompted to open or save the ZIP file (see Figure 79). You must open the ZIP file to extract the report EMTS quarterly reports are provided in PDF format. Agent Reports EMTS users registered as Agents in the OTAQ Registration system see an additional menu item in the EMTS main menu called "Agents." This tab includes the option to subscribe and download EMTS documents for all of their associated organizations, rather than having to switch organizations and download each organization's documents separately. The .ZIP files contain all EMTS documents - daily, three per day, weekly, and monthly - for all organizations associated with the Agent Note that the. ZIP file will only include documents that have active subscriptions. Quarterly reports are not available as Agent Reports. To subscribe to Agent reports, click the "Agent" menu item in the main menu (only visible to registered Agents), and select "Manage Subscriptions" (see Figure 79). Figure 79: Managing Agent Report Subscriptions &EPA Moderated Transaction System Organization Submissions Good Afternoon Tutorial Demo, Regulated parties are urged to conduct due view Reports and exercise caution when conducting Rene -•*•» . - " •-.--.• *, 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 8Q.146Q(b)(2) prohibit the creation or transfer to any person of a RIN that is invalid. Your organization has 0 un -submitted transactions in the transaction bin. View TransactignBin t Organizations t Announcements To view pending transaction details, click the following link: View Trades You can submit your XML file here, j Note: Agents must manage document subscriptions for individual organizations on the Manage Subscriptions screen located under the Reports menu for each organization. RFS EMTS User's Guide 71 ------- In the "I want to..." column, click the Go button to manage the subscription for a report (see Figure 80). Figure 80: List of Agent Reports OcRr\ Moderated Transaction System Organization Submissions Trades Manage Agent Subscriptions -. •**f^' Reports Agent RINs Select subscription and click Go to subscribe or unsubscribe. HI Subscription Name ^ Frequency £ Agent Cancelled Trades Daily Daily Agent Cancelled Trades Hourly 3 per day Agent Completed Trades Daily Daily Agent Completed Trades Hourly 3 per day Agent Completed Trades Weekly Weekly Agent Expired Trades Daily Daily Agent Monthly Transaction History Monthly Agent Pending Trade Details Daily Daily Agent Pending Trade Details Hourly 3 per day Agent Pending Trades Daily Daily Agent Pending Trades Hourly 3 per day Agent RIN Batches Weekly Weekly Agent RIN Holdings Daily Daily Agent RIN Holdings Hourly 3 per day Agent Transaction History Daily Daily Agent Transaction History Hourly 3 per day Agent Transaction History Weekly Weekly Agent Transaction Status Daily Daily Agent Transaction Status Hourly 3 per day Agent Subscription Status Immediate Unused Agent Documents Immediate | Type ^ Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Notification Notification p^^lUy *• Transaction Bin /^T/H Your organization has 0 un \\j -submitted transactions in L^J^/ the transaction bin. View Transaction Bin F Subscribed ^ Last Updated Updated By I want to... | No No No No No No No No No No No No No No No No No No No No No Manage Subscription 0[ Go ] Manage Subscription 0[ Go J Manage Subscription 0| Go | Manage Subscription 0[ Go ] Manage Subscription 0[ Go ] Manage Subscription 0[ Go J Manage Subscription 0| Go | Manage Subscription 0[ Go ] Manage Subscription 0[ Go | Manage Subscription 0| Go ] Manage Subscription 0[ Go | Manage Subscription ^[[ Go Manage Subscription] T || Go Manage Subscription 0| Go | Manage Subscription 0| Go | Manage Subscription 0[ Go I Manage Subscription 0[ Go J Manage Subscription 0[ Go ] Manage Subscription 0| Go | Manage Subscription 0| Go | Manage Subscription 0[ Go J Export options; CSV I Excel I PDF Click the "Subscribed" check box and then click Update (see Figure 81). RFSEMTS User's Guide 72 ------- Figure 81: Manage Agent Subscription wEnH Moderated Transaction System Organization Submissions Manage Agent Subscription Modify and click Update, NOTE: In order to receive documents in your agent file, you must first subscribe each organization individually to the document you wish to receive and then subscribe to that document as an agent. Subscription Name: Type: Description: Subscribed: ^~ Frequency: Agent Cancelled Trades Daily Agent This document lists trades that have recently been cancelled. , a Daily » Transaction Bin Your organization has 0 un -submitted transactions in the transaction bin. View Transaction. Bin 20 Organization Export options: CSV I Excel I PDF Displaying records 1 through 1 of 1 total. To retrieve Agent reports, select "View Reports" from the Agent menu. In the "I want to..." column, select View Reports and click Go (see Figure 82). Figure 82: Manage Agent Subscription Home | Contact Us | Help | Logout Logged in as; JordanGrey for RAP Inc. Obligated Party (4675) View Agent Reports For the desired document, please select 'Download Document', To view all available versions of a document, select View All Documents'. Your organization has 0 un-subrnitted transactions in the transaction bin, ''.'•lev lr=jnsdi:tiun Bin Document Name Agent Cancelled Trades Daily » | Document Description This document lists trades that have recently been cancelled. ±| Last Run Time 11/21/11 5:00 PM I want to... i- Select- •• v| Go Export options: CSV I Excel I PDF Open the compressed .ZIP file to access the documents. When Agent Reports are downloaded, EMTS will automatically update the 22-day subscription expiration clock for each document included in the .ZIP file. If an Agent is associated with an organization in a submitting role other than "Agent," that organization's RFS EMTS User's Guide 73 ------- documents will not be included in the Agent Reports. It is still possible to access documents for individual organizations without retrieving documents for all organizations associated with an Agent EMTS Technical Support If you have any questions or want to report defects, comments, enhancements, or feedback, you may contact EMTS Technical Support at support@epamts-support.com, Monday - Friday, 9:00 a.m. to 5:00 p.m. (EST). Additionally, to access contact information for the various EMTS support lines, you can click the "Contact Us" link located on each screen of EMTS. When reporting defects or issues, please provide the detailed steps that were taken to create the problem or issue, and provide screen shots to document the screen and information entered. In addition, there are "Help" links on each screen of EMTS that provide access to EMTS resources on the EPA's EMTS website. RFS EMTS User's Guide 74 ------- |