Submitting Fuels Averaging, Banking,
            and Trading Credit Transactions
            Using XML
&EPA
United States
Environmental Protection
Agency

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                  Submitting Fuels Averaging, Banking,
                       and Trading Credit Transactions
                                      Using XML
                                        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 gasoline sulfur and benzene credit transac-
                   tions. Neither EPA nor its systems, including the EPA Moderated Transaction
                   System (EMTS), certify or validate gasoline sulfur or benzene credits. As
                   specified in the regulations at 40 CFR 80.315(b)(2) and 40 CFR 80.1295(b)(2),
                   invalid gasoline sulfur and benzene credits cannot be used for compliance,
                   regard/ess of the party's good faith belief that the credits were valid at the
                   time they were acquired.
&EPA
United States
Environmental Protection
Agency
EPA-420-B-15-026a
May 2015

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                                            Contents

How Do I Report Transactions Using XML Files?	1

  1.0 What Are the Steps to Submitting My File?	1

  2.0 What Is the Purpose of an XML Schema?	2
     2.1 General Principles Used in Developing EMTS	2

  3.0 Codes, Identifiers, and Data Types	3
     3.1 How Do I Report Codes?	3

     3.2 How Do I Report Comments and Additional Information?	3

     3.3 How Do I Report Identifiers?	3

     3.4 Data Types	4

  4.0 Constructing the XML File	5
     4.1 Constructing a Valid XML File from an Excel Template	5

     4.2 Is There a Limit on the Size of the Submission File?	5

     4.3 Schema Validation	5

     4.4 Submitting Your File	6

     4.5 Quality Assurance and Receiving Feedback	6

  5.0 Overview of Major Data Blocks	6
     5.1 EMTS Root Elements	6

     5.2 Generating Fuels ABT Credits	9

     5.4 Selling Fuels ABT Credits	13

     5.5 Buying Fuels ABT Credits	17

     5.6 Retiring Fuels ABT Credits	21

  7.0 How Do I Cancel a Buy or Sell Transaction?	26

Appendix A: Glossary	A-l

Appendix B: QA Checks	B-l

Appendix C: Cross-reference Tables	C-l

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How Do I Report Transactions Using XML Files?

This section provides instructions on using the EPA Moderated Transaction System (EMTS) schema to
submit data to EMTS. This includes:
    •   A brief overview of using EPA's exchange
       network;

    •   Best practices for preparing and formatting
       data for EMTS;

    •   How to submit your file; and

    •   Detailed instructions for all transaction
       types.

  1.0 What Are the Steps to Submitting My File?
Who should read these instructions:
Information Technology and Data Preparers who
are responsible for implementing the EMTS
schema and submitting XML files to EMTS.

What you will find in this document:
This document provides an overview of the EMTS
schema and detailed instructions on how to
report data using the XML file format.  This
document also includes instructions on how to
submit your file using a node on EPA's Exchange
Network.
The following are  basic steps to  submitting your file to EMTS.   Please note that these  are general
instructions; personal nodes and node clients may behave differently.

   1.   Create a single XML file which includes both the Exchange Network Header v2.0 document and your
       EMTS XML file.
   2.  Compress  the  XML file.   This step  may  be done
       automatically by your node client software.

   3.  Log into your node client or the CDX Exchange Network
       web client with your CDX credentials,  and select the
       "submit" option.
          Exchange Network Node v2.0
          The EMTS node is v2.0 compliant.
          This section includes specifications
          for v2.0 exchanges.
   4.  Create a description for the submission, select the EMTS destination node and dataflow, and choose
       your file to submit

   5.  After you submit the file,  the node will transmit your submit request to the EMTS node via the
       Exchange Network.

   6.  EMTS will receive the submit request, decompress the XML file, and process its contents.

   NOTE: You may not submit multiple files with the same name in a given calendar year.
Submitting Fuels ABT EMTS Transactions using XML

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  2.0 What Is the Purpose of an XML Schema?

An XML schema is the definition that constrains the structure and content of an XML document  It is
written in XML schema language as defined by the World Wide Web Consortium (W3C). An XML schema
defines:

   • Elements and attributes that are expected;
   • Allowable data types for each element;
   • Hierarchy and order in which elements must appear;
   • If elements are optional or required; and
   • Maximum number of occurrences allowed for each element.

Like  the architectural blueprint that describes the structural design of a house, an XML schema describes
the structural design of an XML file. Files submitted to EMTS are accepted or not accepted based on their
conformity to the EMTS XML schema.

    2.1  General Principles Used in Developing EMTS

XML schemas can be created in many different ways; however, there are  principles that govern the
definition and use of the EMTS schema for reporting transactions. The following approach to developing
and managing the EMTS XML schema has been adopted.

   • XML element tag names adhere  as closely as possible to EPA's XML data standards. Information
      about EPA's XML data standards can be found at EPA Data Registry Services:
      http://iaspub.epa.gov/sorjnternet/registry/datastds/findadatastandard/epaapproved/.

   • XML element tag names are specific to a transaction category where possible in order to minimize
      ambiguity (e.g., "GenerateTransactionComment" rather than "Comment").

   • No two elements share the same tag name. XML elements are defined unambiguously.

   • Tag names are understandable to both data preparers and information technology staff.

   • The EMTS schema was  not designed to minimize submitted file  size.  See  Section 4.2 for best
      practices on the size and  content limits for file submission.

   • The EMTS schema contains few restrictions  on the content of the  submission,  and is limited
      primarily to indicating whether the submission is a valid and well-formed XML file. The schema
      contains some business  rules;  however, these are limited to the semantic properties of the file
      structure. Additional business  rules are applied to the content of the XML file after the data have
      been submitted to EMTS. This  allows more flexible management of quality assurance checks and
      more informative feedback on check results.  The submitter will receive feedback on all business
      checks and technical checks through a feedback report available on the EMTS website. For more
      information on the EMTS QA approach, see Appendix B, "QA Checks."

Submitting Fuels ABT EMTS Transactions using XML                                                 2

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    •   Conforms to EPA Guidelines.

  3.0 Codes, Identifiers, and Data Types

The following section provides guidance on how to report certain types of data content.

    3.1 How Do I Report Codes?

If  the last  word  in  an  XML  tag is  "code,"  the element must  contain a  value  from  a  code
list      A   complete   list   of   codes   can   be   found   on   EPA's   EMTS   website   at
http://www.epa.gov/otaq/fuels/renewablefuels/emtshtml/emtsdocuments.htm.  Codes are validated by the
EMTS QA check process for appropriate use given an organization's business activities. Some code tables
may change over time. If codes change, a new version of the schema will be released; the new codes will be
published in the EMTS Transaction Instructions and incorporated in the QA Check process.

    3.2 How Do I Report Comments and Additional Information?

If an XML tag contains the word "comment," it is generally an optional element in which you can provide
explanations, caveats, or any other information about the data in the  schema.  In some cases, you may be
required to provide a comment based on the reason code you provide.

    3.3 How Do I Report Identifiers?

If an XML tag contains the word "identifier," it must contain the specific alphanumeric identifier assigned
by EPA to an organization or facility site.  Both Organization and Facility identifiers are assigned by EPA
once you have  completed registration through the OTAQReg Fuels Programs Registration system. These
identifiers should always be included in your submission file when identifying your organization, or if you
are identifying the generating source of the gasoline. You  must always identify your organization as the
source of the submission.

      3.3.1 Organization Identifiers

The four-digit numeric public identifier assigned by EPA is used to identify your organization and should be
reported for all submission files.

Several transaction types require you to either identify an organization's identification number as a trading
partner (sell and buy transactions) or give you the option to identify the originating source of the fuel.  In
either case, you must identify the trading partner organization or originating source organization using the
public identifier.
Submitting Fuels ABT EMTS Transactions using XML

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    3.4 Data Types
Most data types in the EMTS schema are string, date, year, and number.  Each data element will have a
length or a precision assigned that is constrained in the schema. Data which are not consistent with the
formats defined in the schema will fail schema validation, causing the submission file to fail.

      3.4.1 Dates and Years

All date and year tags are handled as xsd:date and xsd:gYear in the schema.

    •   Date - If a tag name contains the word "date," the data element is for a specific day. These should
       be represented as an eight-digit sequence of numeric characters in a string format of YYYY-MM-DD
       and should include leading zeros between the representative elements containing only one digit
       For example, August 7, 2009 is 2009-08-07.

    •   Year - If a tag name contains the word "year," the data element is for a calendar year. This data
       should be  reported as a four-digit sequence of numeric characters in a string format of YYYY,
       otherwise, if not required, it may be left null.

      3.4.2 Reporting Numbers

There are several different reporting formats for numbers.  The schema allows for various precisions;
however, you are  expected to report numeric values as prescribed in the schema for each numeric data
type. The following table describes each numeric data type and an example of what to report in EMTS.
Figure 1:  Reporting Formats for Numbers
      Content Type
 Integer (width)
               Reporting Format
Whole number (no decimal places, preceding zeroes
not retained).

   Width = Maximum number of digits allowed.
         Example
lnt(3)

  Valid: 2,15,930

  Invalid: 4000,-!
 Decimal (width, scale)
Decimal number with fixed number of decimal places.

   Width = Maximum number of digits including
   those on both sides of the decimal point, and
   includes the decimal point.

   Scale = Number of decimal places; that is, digits to
   the right of the decimal point.
Dec (5,1)
                                                                        Valid: 100.0, 34.6, 0.3, 0.0
                                                                        Invalid: 99.75,256.45
Submitting Fuels ABT EMTS Transactions using XML

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    •   Precision - Precision refers to the number of significant digits provided in the number of decimal
       places for a fixed decimal number.  The EMTS schema will enforce numbers be reported in the
       proper precision.

  4.0 Constructing the XML File

The following section explains how to create an EMTS conformant XML document.  It includes advice on
best practices for reporting your data as well as how to construct your XML document.

    4.1 Constructing a Valid XML File from an Excel Template

For users that do not have the technical capabilities to modify their systems to produce valid XML, EMTS
will convert XLS, CSV, or TXT files.  EPA provides a standard template for the XLS or TXT data. You can
output your data into the XLS template then use these data files as inputs.  EMTS will output valid EMTS
XML files; however EMTS will not check for business content or valid code numbers until the XML has been
submitted.

    4.2 Is There a Limit on the Size of the Submission File?

There are no business rules that limit the size of the file during transport through the Exchange Network.
However, you are strongly encouraged to submit sell transactions prior to the receiving party submitting
their corresponding buy  transactions, so you  may  consider categorizing your submissions into  two
submission types: all sell transactions and all other transactions. During peak submission periods, which
are expected to occur in January and February, a substantially larger number of files are expected to be
submitted which may delay EMTS's response  time. These files will be placed in the system's queue and
processed in a first-come, first-serve order.

If your file contains one or more critical errors, the file will not be  processed and you  will receive a
notification indicating that your submission has failed. You must correct the critical errors and resubmit
your file. Therefore, limiting the  contents of your file to include a smaller number of transactions is a good
practice, likely resulting in smaller feedback reports and fewer submission failures.  You can also expect
better response times submitting smaller files over the Exchange Network and  when downloading your
feedback reports.

    4.3 Schema Validation

The following section describes the various tools that are available and  validation rules you should
implement prior to submitting your XML document to EMTS.  This includes information on how to validate
your XML document, the built-in constraints that the schema will enforce, and the cardinality rules that you
should avoid when constructing your data.
      4.3.1 Validating Your File Prior to Submission

Before submitting  your file  to  the EMTS dataflow, you should validate  your  XML  file  against the
EMTS_XML_Schema_v3.1 xsd file structure. This will ensure thatyour file is well-formed and valid. You can
do this by using one of several tools found at EPA's http://tools.epacdxnode.net/.
Submitting Fuels ABT EMTS Transactions using XML                                                  5

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EMTS contains few validation business rules regarding the content of the submission; however, data types
are constrained. You will receive all business logic checks, including invalid reporting codes used through a
feedback report available on the EMTS website once the quality assurance checking process has completed.

    4.4 Submitting Your File

All file submissions require the user to have an authorized CDX account and access to the EMTS dataflow.
All files must utilize EPA's Exchange Network to transport files. EPA's network of nodes makes it possible
for users to exchange data with other exchanges, providing their organizations have nodes.  However, not
all organizations will have nodes.

Once files are pushed into the data flow, CDX will submit the XML document to the EMTS back-end node.
Once the EMTS back-end node accepts the XML file it generates submittal identification information and
begins processing the data content within the payload.  For more information regarding obtaining and
installing a node on your server, please see www.epa.gov/cdx.

    4.5 Quality Assurance and Receiving Feedback

After you have submitted your file, you will receive an email with information about your submission. If
there were errors in processing the data, you will receive information in a feedback report, which indicates
critical errors and potential issues. You are expected to correct the problems with your data content or the
XML document structure and resubmit the file.  After EMTS processes the payload content, the resulting
data can be viewed on the EMTS website.  In all cases, you will receive notification when the processing of
your data is complete; however during peak load periods, the response time may be slow.

  5.0  Overview of Major Data Blocks

The following section contains information on the major groupings of data in  the EMTS schema.  This
section describes the basic XML blocks that are used for reporting the various transaction types: generate,
separate, sell, buy, retire, lock and unlock.  For each transaction type, a table of data elements including the
data type, name of the XML tag name, required indicator, and description is provided.  In addition, if a
critical check is applied to the data, the description and reference number to the check is provided. You can
see the complete list of checks in Appendix B, "QA Checks."  If a data element is referenced as a complex
type, there will be another table that documents the elements for that complex type.

Supporting    implementation    documents    can   be   found   on   the   following   website:
http://www.exchangenetwork.net/exchanges/air/. The flow configuration document (FCD), data exchange
template (DET), and sample XML documents are available for download on the Exchange Network site.
    5.1 EMTS Root Elements

The elements under the EMTS root must be included in every submission. These XML elements identify the
person who prepared the  data  along with  organization identifiers.  If different  people  within  your
organization are responsible for different transactions, consider submitting separate submission files for
each person responsible for the preparation of the data.
Submitting Fuels ABT EMTS Transactions using XML                                                  6

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How these data elements are processed: The root elements identify the person who has prepared the
data, and the date on which the file was created by the user.  The identity of the organization can be
referenced by the public identifier.

The root elements are reported once in the entire submission file; however, you must report at least one
associated transaction (such as a generate transaction).  The root elements in the submission file will be
stored in the EMTS website in association with each transaction submitted in the file.
Submitting Fuels ABT EMTS Transactions using XML

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Figure 2: EMTS Root Elements
                             Data Element
  Data Type
Name
Required
Description
     QA Check



Description     Number
xsd:string
























xsd:date






User Log inText
























SubmittalCreationDate






Yes
























Yes






The CDX user login of
the party responsible
for preparing the
submission file.





















The date that the
submission file was
created.




The user specified
in the submission
file must be
actively registered
with CDX and have
permission to
participate in
EMTS.
The user specified
in the submission
file must have an
active association
with the
organization for
which he is
submitting data.
The user specified
in the submission
file must be
authorized to
perform the
requested
transactions on
behalf of the
organization.
The submission
date associated
with the
submission file
may not be a date
occurring in the
future.
2000







2001







2002








2008






                                                                                        (contv
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 Figure 2: EMTS Root Elements (cont.)
Data Element QA Check

Data Type Name Required
xsd:string







xsd:string


complex


complex

complex

complex

Organizationldentifier







SubmittalCommentText


CreditGenerateTransaction
Detail

CreditSellTransactionDetail

CreditBuyTransactionDetail

CreditRetireTransactionDetail

Yes







No


No


No

No

No

Description
The public
identification number
for the organization as
designated by
OTAQReg.



Comment provided by
the user on submission
file.
Information on the
credits being
generated.
Information on credits
being sold.
Information on credits
being bought.
Information on credits
being retired.
Description Number
The organization in
the submission file
must be registered
with EPA and be
active.
The organization's
account must be
active.












2005




2006














    5.2 Generating Fuels ABT Credits

The complex type CreditGenerateTransactionDetail is used to report Fuels ABT credits that have been
generated as a result  of gasoline refinement or importation.  This transaction  type requires  basic
information regarding the production of the fuel.

How these data elements  are processed:  All data elements that are  identified as required must be
reported. If you report an unregistered code, your submission file will not pass critical QA checks and your
file will fail to be processed.

If you are generating refined Fuels ABT Credits, you need to report the number of the facility where the fuel
was refined.  If, however, you are an importer, you will not need to report a facility identifier.
Submitting Fuels ABT EMTS Transactions using XML

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Generating credits also requires that you provide the credit standard code against which the credits were
generated, the calculated annual average concentration of whichever credit type you are generating, and
the total volume in gallons of fuel associated with the credits being generated.

If you need to provide supporting information regarding the generation, such as  document identifiers or
notes, use the CreditGenerateSupportingDocumentDetail complex type. Use this complex type to create
user-defined  information by providing the type of document that  contains the  information and  an
identification number or code for the document.

Figure 3 shows the data elements for CreditGenerateTransactionDetail.
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Figure 3: Data Elements for CreditGenerateTransactionDetail
Data Elements QA Checks
Data Type | Name | Required | Description Description | Number
xsd:string
xsd:gYear
xsd:string
xsd:string
xsd:decimal
CreditTypeCode
CreditYear
GenerateReasonCod
e
CreditStandardCode
CalculatedAnnualAv
erage
Yes
Yes
Yes
Yes
Yes
The code that
identifies the
type of credit.
The year in
which the fuel
was produced.
This code
identifies the
reason for a
generate
transaction.
The code
associated
with the
standard used
for calculating
the credits
generated.
The calculated
annual
average
concentration
of whichever
credits are
being
generated.
The credit type code must be a
valid code that is recognized by
EPA.
The credit year specified for a
Fuels ABT generate transaction
must be a valid.
The credit year specified for a
Fuels ABT generate transaction
must be a valid.
The credit year specified for a
Fuels ABT generate transaction
must be a valid.
The reason code reported for
the Fuels ABT generate
transaction must be a valid code
that is recognized by EPA.
The allowable reason codes
reported by an organization
when generating Fuels ABT
credits are dependent on its
business activities as registered
with EPA.
If a generate reason code is
configured as 'Comment
Required', then a comment
must be specified whenever
that reason code is used.
The credit standard code
reported in the production of
Fuels ABT credits must be a valid
code that is recognized by EPA.
The credit standard code
reported must be compatible
with the credit type.
The sulfur concentration (annual
average) reported must be
greater than zero and less than
the referenced benzene
concentration standard.
The benzene concentration
(annual average) reported must
be greater than zero and less
than the referenced benzene
concentration standard.
11100
11101
11062
11063
11034
11035
11037
11103
11104
11122
11123
                                                                                      (cont.;
Submitting Fuels ABT EMTS Transactions using XML
11

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 Figure 3: Data Elements for CreditGenerateTransactionDetail (cont.)
Data Elements QA Checks
Data Type Name Required Description Description Number

xsd:nonNegat
ivelnteger
xsd:nonNegat
ivelnteger
xsd:string
xsd:string

TotalVolume
CreditQuantity
TransactionDetail
CommentText
GenerateFacilityld
entifier

Yes
Yes
No
No

The volume in
gallons, of gasoline
that is associated
with the credits
specified in the
transaction. See
Title 40 CFR
Section 80. 1235,
80.1601, and
80.1603.
The total number
of credits specified
in the transaction.
Comment provided
by the user on the
transaction.
The facility
identifier, as
registered in
OTAQReg, for the
facility that
produced the fuel.
The sulfur concentration (annual
average) must be reported as a
decimal with two digits to the
right of the decimal.
The benzene concentration
(annual average) must be
reported as a decimal with two
digits to the right of the decimal.

Benzene Credit Quantity must
equal the product of [(0.62 -
CONCENTRATION) / 100] and
Total Volume.
Sulfur Credit Quantity must equal
the product of (30.00 ppm -
Sulfur Concentration) and Total
Volume.
The number of Fuels ABT credits
generated must be greater than
zero.

The generate facility must be
specified when generating Fuels
ABT credits as a refiner.
The identifier (public facility
number) specified for the
generate facility must be unique
among all facilities registered to
the submitting organization.
The generate facility must not be
specified when generating Fuels
ABT credits as an importer.
11173
11174

11107
11108
11172

11002
11052
11071
                                                                                     (cont.;
 Figure 3: Data Elements for CreditGenerateTransactionDetail (cont.)
                     Data Elements
QA Checks
Submitting Fuels ABT EMTS Transactions using XML
                      12

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Data Type Name Required Description Description Number
complex






CreditGenerateSu
pportingDocumen
tDetail




No






Information for the
industry user to
create user defined
data to report
supporting
document
identifiers.














    5.4 Selling Fuels ABT Credits

The complex type CreditSellTransactionDetail is used to report Fuels ABT credits that are being traded to
another organization as a result of a sell transaction.  This transaction type requires basic information
regarding the quantity  of credits, type of credits, number of times those credits have been traded (not
including this transaction), and year in which the fuel was produced.

How these data elements are processed:  Selling credits requires that you identify the number of credits
being sold and the trading partner (or buyer) to whom you are selling the credits. The preferred method to
sell a quantity of credits is to specify the credit quantity, credit type code, number of times traded, and the
year in which the fuel was produced. EMTS will find the oldest credits you  acquired that matches these
characteristics in your inventory. This ensures that you are selling on a first-in, first-out (FIFO) basis. You
must provide a reason for  why you are selling the credits. Some reasons require  that you provide a
comment.
If you need to provide supporting information regarding the sell of credits, such as document identifiers or
notes, use the CreditSellSupportingDocumentDetail complex type.  Use this complex type to create user-
defined information by providing the type of document that contains the information and an identification
number or code for the document. For example, if you wish to report an invoice number, place "invoice" as
the text for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you
wish   to   make    this    information    available    to    your   trading   partner,    use   the
PublicSupportingDocumentDetail complex type.

If you wish to identify fuel generated by a specific organization or facility to be sold, you can do so by using
the SellOriginatingSourceDetail complex type to identify the organization and facility. EMTS will try to
match the specific criteria in your Credit Holding Account; however, if you no longer own these credits or
the specific profile cannot be found, the  transaction will fail.

Figure 4 shows the data elements for CreditSellTransactionDetail.
Figure 4: Data Elements for CreditSellTransactionDetail
                     Data Elements
 Data Type
Required     Description
                                        QA Checks
Description
Number
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xsd:string
xsd:string
xsd:nonNegat
ivelnteger
xsd:simpleTy
pe
Transaction Partner
Organizationldentif
ier
TransactionPartner
OrganizationName
CreditQuantity
CreditTypeCode
Yes
Yes
Yes
Yes
This identifies the
selling
organization for
the buy
transaction using
the Organization
Identifier
designated by
OTAQReg.
The name of the
organization
trading partner.
The total number
of credits
specified in the
transaction.
The code that
identifies the type
of credit.
The transaction partner
organization must be registered at
EPA and be active.
The selling organization cannot be
the same as the buying
organization.

The organization must have enough
available Fuels ABT credits in its
holding account to complete the
transaction.
The organization must have enough
available Fuels ABT credits in its
holding account to complete the
transaction.
The organization must have enough
available Fuels ABT credits from the
specified organization in its holding
account to complete the
transaction.
The facility must have enough
available Fuels ABT credits from the
specified generate organization and
facility in its holding account to
complete the transaction.
The credit type code reported for
the sell of Fuels ABT credits must be
a valid code that is recognized by
EPA.
14018
14042

14038
14900
14901
14902
14086
                                                                                       (cont.;
Figure 4: Data Elements for CreditSellTransactionDetail (cont.)
Data Elements QA Checks
Data Type 1 Name 1 Required 1 Description Description 1 Number
xsd:nonNegat
ivelnteger




xsd:gYear


TimesTraded





CreditYear


Yes





Yes


The number of
times in which the
credits have been
traded, not
including this
transaction.
The year in which
the fuel is
produced.
The number of Times Traded
reported must be within the
allowed range.



Credit Year may not be greater than
the year associated with the
specified Transfer Date.
14087





14019



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The requested Credit Year must fall
within the sulfur credit year range
defined for the Current Year, Credit
Type, Transaction Type, and Small
Refiner Status.
The requested Credit Year must fall
within the benzene credit year
range defined for the Current Year,
Credit Type, Transaction Type, and
Small Refiner Status.
The requested Credit Year must fall
within the benzene credit year
range defined for the Current Year,
Credit Type, Transaction Type, and
Small Refiner Status.
14028
14062
14063
                                                                                        (cont.;
Figure 4: Data Elements for CreditSellTransactionDetail (cont.)
Data Elements QA Checks
Data Type | Name | Required | Description Description | Number
xsd:string
















xsd:date

SellReasonCode
















TransferDate

Yes
















Yes

This code
identifies the
reason for a buy
transaction.













The date the
credits change
The reason code reported for the
sell of Fuels ABT credits must be a
valid code that is recognized by
EPA.
The allowable reason codes
reported by a facility when selling
Fuels ABT credits are dependent on
its business activities as registered
with EPA.
If reason 'Standard Trade' or
'Cancel' is not specified for a sell
transaction, then a comment must
be provided.
A canceled Fuels ABT credit trade
must match a pending trade.
If a Fuels ABT sell cancel transaction
is then no other sell transaction
may be reported in the submission.
The transfer date specified may not
occur in the future.
14034



14035



14037



14041

14043


14020

Submitting Fuels ABT EMTS Transactions using XML
15

-------

xsd:string

PTDNumber

No
hands. This is
normally the date
they are received
by the purchaser.
The PTD number
associated with
the transaction.
The Transfer Date must be within
the last n days based on
CREDIT_TRANSFER_DATE_DAYS_BA
CK parameter.

14055

                                                                                        (cont.;
Figure 4: Data Elements for CreditSellTransactionDetail (cont.)
Data Elements QA Checks
Data Type | Name | Required | Description Description | Number
xsd:string
complex
xsd:string
complex
MatchingTransacti
onldentifier
PublicSupportingD
ocumentDetail
TransactionDetailC
ommentText
CreditSellSupportin
gDocumentDetail
No
No
No
No
The EMTS
transaction
identification
number that
matches the
submitted buy or
sell transaction.
Industry user
defined data to
report supporting
document
identifiers which
are visible to the
organization's
trading partner.
Comment
provided by the
user on the
transaction.
Information for
the industry user
to create user
defined data to
report supporting
document
identifiers.
If the Buy Transaction has a
matching Buy transaction ID, the
transaction must be in a pending
state.
If the Credit Sell Transaction has a
matched Credit Buy transaction ID,
the transaction must match on
trade matching criteria.
The user-provided matching trade
must have the correct quantity of
pending Fuels ABT credits.
The transaction specified by the
matching transaction identifier
must be available to be reserved.



14016
14017
14021
14800



Submitting Fuels ABT EMTS Transactions using XML
16

-------
complex
SellOriginatingSour
ce Detail
No
Information on
the original fuel
production.
If the generate organization is
specified, then it must be registered
with EPA.
If the generate facility is specified in
the submission file then it must be
registered with EPA.
14001
14003
                                                                                           (cont.;
Figure 4:  Data Elements for CreditSellTransactionDetail (cont.)
                      Data Elements
 Data Type
Name
Required      Description
                                                      QA Checks
Description
                                                          If the generate organization is
                                                          specified, then generate facility
                                                          must be actively associated with
                                                          the generate organization.
                                                          If a generate facility is specified,
                                                          then the organization where the
                                                          fuel was produced must also be
                                                          reported.
                                                          The facility number specified must
                                                          be unique for the organization.
Number
                                                                      14004
                                                                      14007
                                                                      14052
    5.5 Buying Fuels ABT Credits

The complex type CreditBuyTransactionDetail is used to acquire  credits that are being traded from
another organization as a result of a sell transaction.  This transaction type requires basic information
regarding the quantity of credits, type of credits,  number  of times those credits have been traded (not
including this transaction), and year in which the fuel was produced.

How these data elements are processed:  Buying credits requires that you identify the number of credits
being sold and the trading partner (or seller) you are buying credits from.

One method is to wait for a sell transaction to be sent to you with the specifications for the credit quantity,
credit type code, number of times traded, and the year in which the fuel was produced.  You should use
these exact specifications when responding to the sell transaction.  EMTS will match these specifications to
any existing sell transactions that are pending with your trading partner and complete the trade. You may
also initiate a buy transaction prior to the seller sending you a notification.  If your buy transaction is
received by EMTS before the seller has initiated  a sell transaction, your request will be queued until a
matching sell has been submitted to EMTS by the seller. If the seller does not respond to your buy request
within ten business days, the trade will expire. In both cases, a record of this incomplete submission is
recorded in EMTS.
Submitting Fuels ABT EMTS Transactions using XML
                                                                             17

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You must provide a reason for why you are buying credits.  Some reasons require that you provide a
comment.
If you need to provide supporting information regarding the trade, such as document identifiers or notes,
use the CreditBuySupportingDocumentDetail complex type.  Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document  For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to
make this  information  available to your trading partner,  use the PublicSupportingDocumentDetail
complex type.

If you wish to identify fuel generated by a specific organization or facility to be sold, you can do so by using
the BuyOriginatingSourceDetail complex type to identify the organization and facility.  EMTS will try to
match the specific criteria in the  seller's Credit Holding Account; however, if the specific profile cannot be
found, the transaction will fail.

Figure 5 shows the data elements for CreditBuyTransactionDetail.

Figure 5: Data Elements for CreditBuyTransactionDetail
Data Elements QA Checks

Data Type Name Required Description Description Number
xsd:string
xsd:string
xsd:nonNega
tivelnteger
xsd:simpleTy
pe
xsd:nonNega
tivelnteger
Transaction Partner
Organizationldentif
ier
Transaction Partner
OrganizationName
CreditQuantity
CreditTypeCode
TimesTraded
Yes
Yes
Yes
Yes
Yes
This identifies the
selling organization
for the buy
transaction using
the
Organizationldentifi
er designated by
OTAQReg.
The name of the
organization trading
partner.
The total number of
credits specified in
the transaction.
The code that
identifies the type
of credit.
The number of
times in which the
credits have been
traded, not
including this
transaction.
The transaction partner
organization must be registered
with EPA.
The buying organization cannot
be the same as the selling
organization.


The credit type code specified
for the Fuels ABT buy
transaction must be a valid code
that is recognized by EPA.
The number of TimesTraded
reported must be within the
allowable range.
13018
13042


13086
13087
Submitting Fuels ABT EMTS Transactions using XML


-------
xsd:gYear
CreditYear
Yes
The year in which
the fuel is produced.
The credit year cannot be
greater than the year associated
with the specified transfer date.
                                                               The credit year must fall within
                                                               the allowable date range
                                                               defined for the Current Year,
                                                               Credit Type, Transaction Type,
                                                               and Small Refiner Status.
13019
                                                                                13028
                                                                                                (cont.
Figure 5: Data Elements for CreditBuyTransactionDetail (cont.)
Data Elements QA Checks
Data Type | Name | Required | Description Description | Number

xsd:string
xsd:date

BuyReasonCode
TransferDate

Yes
Yes

This code identifies
the reason for a buy
transaction.
The date the credits
change hands. This
The requested Credit Year must
fall within the benzene credit
year range defined for the
Current Year, Credit Type,
Transaction Type, and Small
Refiner Status.
The requested Credit Year must
fall within the benzene credit
year range defined for the
Current Year, Credit Type,
Transaction Type, and Small
Refiner Status.
The reason code reported for
Fuels ABT generate transaction
must be a valid code that is
recognized by EPA.
The allowable reason codes for
a Fuels ABT buy transactions are
dependent on the organization's
active business activities, as
registered with EPA.
If reason 'Standard Trade' or
'Cancel' is not specified for a buy
transaction then a comment
must be provided.
A Cancel trade must match a
pending trade.
If a Fuels ABT buy cancel
transaction is reported, then no
other buy transaction may be
reported in the submission.
The transfer date cannot be a
date in the future.
13062
13063
13034
13035
13037
13041
13043
13020
Submitting Fuels ABT EMTS Transactions using XML
                                                                                         19

-------

xsd:string

PTDNumber

No
is normally the date
they are received by
the purchaser.
The PTD number
associated with the
transaction.
The Transfer Date must be
within the last n days based on
CREDIT_TRANSFER_DATE_DAYS
_BACK parameter.

13055

Figure 5: Data Elements for CreditBuyTransactionDetail (cont.)
                                                                                      (cont.
Data Elements QA Checks
Data Type | Name | Required | Description Description | Number
xsd:string

















complex







xsd:string


MatchingTransacti
onldentifier
















PublicSupportingD
ocumentDetail






TransactionDetailC
ommentText

No

















No







No


The EMTS
transaction
identification
number that
. i .1
maicnes me
submitted buy or
sell transaction.











Industry user
defined data to
report supporting
document
identifiers which are
visible to the
organization's
trading partner.
Comment provided
by the user on the
transaction.
If the Fuels ABT buy transaction
has a matching sell transaction
ID, then the transaction must be
in a pending state.

If the Fuels ABT buy transaction
has a matched sell transaction

ID, then the transaction must
match on trade matching
criteria.
The user specified matching
trade must have the correct
number of pending Fuels ABT
credits.
The transaction specified by the
matching transaction identifier
must be available to be
reserved.











13016




13017




13021



13800














Submitting Fuels ABT EMTS Transactions using XML
20

-------
complex






complex






CreditBuySupporti
ngDocumentDetail





BuyOriginatingSour
ce Detail





No






No






Information for the
industry user to
create user defined
data to report
supporting
document
identifiers.
Information on the
original fuel
production.











If the generate organization is
specified, then it must be
registered with EPA.
If the generate facility is
specified in the submission file,
then it must be registered with
EPA.







13001


13003



Figure 5:  Data Elements for CreditBuyTransactionDetail (cont.)
 Data Type
                      Data Elements
Name        Required
Description
                                                       QA Checks
Description
                                                           If the generate organization is
                                                           specified, then the generate
                                                           facility must be actively
                                                           associated with the generate
                                                           organization.
                                                           If the generate facility is
                                                           reported, then the generate
                                                           organization must also be
                                                           reported.
                                                           The facility number specified
                                                           must be unique for the
                                                           organization.
                                                                                          (cont.
Number
                                                                     13004
                                                                     13007
                                                                     13052
5.6 Retiring Fuels ABT Credits

To identify Fuels ABT credits that you wish to retire, in order to meet your RVO, or to record a batch of
credits  that  are no longer valid due  to  spillage or other  issue,  report this information  using the
CreditRetireTransactionDetail complex type.

How these data elements are processed:  Retiring credits requires that you identify the number of
credits being retired, the type of credits, and the year in with the fuel was produced. You have the option of
providing the number of times the credits have been traded. If you do not, EMTS will find the credits that
have been traded the most times in your Credit Holding Account and transfer ownership of the credits to an
EPA Credit Holding Account.  In  addition to  the credits that you identify to retire, you must provide  a
reason for retirement

If you are retiring credits to meet an obligation, you must also  provide  the  compliance year which the
credits  are being retired  and the level of compliance being met  You  may retire  credits to meet an
Submitting Fuels ABT EMTS Transactions using XML
                                                                              21

-------
organization's overall obligation, or a specific facility level obligation (refiners only).  If you are retiring
credits for a specific facility site, report the public facility identifier for the site.

If you are retiring credits for non-obligation purposes, do not report the compliance year, compliance level,
or compliance facility. In both cases, provide a reason for the retirement of the credits.

If you need  to  provide  supporting  information regarding the retire  transaction, such  as  document
identifiers or  notes, use the CreditRetireSupportingDocumentDetail complex type. Use this complex type
to create user-defined information by providing the type of document that contains the information and an
identification number or code for the document  For example, if you wish to report an invoice number,
place  "invoice"   as  the   text for   SupportingDocumentText  and   the  invoice   number   for
SupportingDocumentNumber.

If you wish to identify fuel generated  by a specific organization or facility to be retired, you can do so by
using the RetireOriginatingSourceDetail complex type to identify the facility and/or organization. EMTS
will try to match the  specific profile in your Credit Holding Account; however, if you no longer  own these
credits, or the specific profile cannot be found, the transaction will fail.

Figure 6 shows the data elements for CreditRetireTransactionDetail.

Figure 6:  Data Elements for CreditRetireTransactionDetail
Data Elements QA Checks
Data Type Name Required Description Description Number
xsd:nonNegat
ivelnteger















xsd:string



CreditQuantity
















CreditTypeCode



Yes
















Yes



The total number of
credits specified in
the transaction.














The code that
identifies the type
of credit.

The organization must have enough
available Fuels ABT credits in its
holding account to complete the
transaction.
The organization must have enough
available Fuels ABT credits in its
holding account to complete the
transaction.
The organization must have enough
available Fuels ABT credits from the
specified organization in its holding
account to complete the transaction.
The facility must have enough available
Fuels ABT credits from the specified
generate organization and facility in its
holding account to complete the
transaction.
The credit type code reported for the
retirement of Fuels ABT credits must
be a valid code that is recognized by
EPA.
15038



15900



15901



15902




15086



Submitting Fuels ABT EMTS Transactions using XML
22

-------
xsd:nonNegat
ivelnteger
xsd:gYear
TimesTraded
CreditYear
No
Yes
The number of
times in which the
credits have been
traded, not
including this
transaction.
The year in which
the fuel is produced.

Credit Year may not be greater than
the year associated with the specified
Transaction Date.

15019
Figure 6: Data Elements for CreditRetireTransactionDetail (cont.)
                                                                                          (cont.;
Data Elements QA Checks
Data Type Name Required Description Description Number

xsd:string
xsd:date

RetireReasonCod
e
TransactionDate

Yes
Yes

This code identifies
the reason for the
retire transaction.
The date of the
credit retire
transaction.
The requested Credit Year must fall
within the sulfur credit year range
defined for the Current Year, Credit
Type, Transaction Type, and Small
Refiner Status.
The Credit Year must fall within the
benzene credit year range defined for
the Current Year, Credit Type,
Transaction Type, and Small Refiner
Status.
The requested Credit Year must fall
within the benzene credit year range
defined for the Current Year, Credit
Type, Transaction Type, and Small
Refiner Status.
The reason code reported must be a
valid code that is recognized by EPA.
The allowable reason codes reported
by an organization when retiring Fuels
ABT credits are dependent on their
business activities registered with EPA.
If reason 'Standard Trade' or 'Cancel' is
not provided for a retire transaction
then a comment must be provided.
The transaction date specified may not
occur in the future.
The Transaction Date must be within
the last n days based on
TRANSACTION_DATE_DAYS_BACK_RET
IRED_Fuels ABT credits parameter.
15028
15062
15063
15034
15035
15037
15020
15055
Submitting Fuels ABT EMTS Transactions using XML
23

-------
xsd:gYear
ComplianceYear
No
The compliance
year for which the
transaction is
applied.
Compliance year is required if the
reason code 'Demonstrate Annual
Compliance' is reported.
                                                             The Compliance Year must be active.
                                                             A compliance year can only be
                                                             specified when retiring Fuels ABT
                                                             credits with a reason code of
                                                             'Demonstrate Annual Compliance'.
15016
                                                                                  15017
                                                                                  15091
                                                                                                   (cont.;
Figure 6: Data Elements for CreditRetireTransactionDetail (cont.)
Data Elements QA Checks
Data Type | Name | Required | Description Description | Number
xsd:string
xsd:string
xsd:string
ComplianceLeveIC
ode
ComplianceFacilit
yldentifier
TransactionDetail
CommentText
No
No
No
The compliance
basis for the
submitting
organization:
Aggregated
Importer,
Aggregated Refiner,
Aggregated
Exporter, or Non-
Obligated Party.
The facility site
identifier, as
registered as
OTAQReg, for the
facility site that has
a compliance
obligation.
Comment provided
by the user on the
transaction.
If a compliance facility identifier is
reported, then the compliance level
code must be 'Refinery by Refinery'.
The allowable compliance level codes
reported by an organization when
retiring Fuels ABT credits are
dependent on their business activities
registered with EPA.
The compliance level code reported
must be a valid code that is recognized
by EPA.
A compliance level code can only be
specified when retiring fuel ABT Fuels
ABT credits with a reason code of
'Demonstrate Annual Compliance'.
The facility identifier must be reported
when retiring for compliance as a
refiner.
The compliance facility must be
actively affiliated with the submitting
organization.
The facility number specified must be
unique for the organization.
A compliance facility identifier can only
be specified when retiring Fuels ABT
credits with a reason code of
'Demonstrate Annual Compliance'.

15022
15039
15042
15090
15021
15023
15071
15092

Submitting Fuels ABT EMTS Transactions using XML
                                                                                      24

-------
complex
CreditRetireSupp
ortingDocumentD
etail
No
Information for the
industry user to
create user defined
data to report
supporting
document
identifiers.
                                                                                                       (cont.;
Figure 6:  Data Elements for CreditRetireTransactionDetail (cont.)
 Data Type
complex
                        Data Elements
     Name        Required
RetireOriginatingS
ourceDetail
No
               Description
Information on the
original fuel
production.
                                                                   QA Checks
                                Description
If the generate organization is
specified, then it must be registered
with EPA.
                                                                If the generate facility is provided in
                                                                the submission file, then it must be
                                                                registered with EPA.
                                                                If the generate organization is
                                                                specified, then the generate facility
                                                                must be actively associated with the
                                                                generate organization.
                                                                If a generate facility is reported then
                                                                the organization where the fuel was
                                                                produced must also be reported.
                                                                The facility number specified must be
                                                                unique among all facilities registered
                                                                to the organization.
                                     Number
15001
                                                                                      15003
                                                                                      15004
                                                                                      15007
                                                                                      15052
Submitting Fuels ABT EMTS Transactions using XML
                                                                                          25

-------
  7.0 How Do I Cancel a Buy or Sell Transaction?

EMTS has the capability to allow parties to cancel initiated buy and sell transactions if any party deems it
appropriate to cancel the transaction(s). A user may cancel transactions they have initiated either through
the EMTS website, or they can submit XML files through  the  node to cancel the transactions.  Cancel
transactions must be identical (with the exception of the reason code) to the original transaction they are
intended to cancel. A cancel transaction must be submitted as a single transaction in a submission file. If a
cancel transaction is submitted in an XML file with other transactions (including other cancel transactions),
then the entire submission will fail.
Submitting Fuels ABT EMTS Transactions using XML                                                  26

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                             Appendix A: Glossary




                                   EMTS Glossary
Title
Agent
Asynchronous
Audit Trail
Authentication
Authorization
Business Activities
CDX Central Data Exchange (CDX)
Check
Company
Credit Generate Transaction
Credit Retire Transaction
Credit Standard
Definition
An agent acts on behalf of a company or facility. An agent has one user
account and can be associated with one or more companies or facilities.
Communication between two parties or systems in which data can be
transmitted intermittently rather than in a steady stream.
The set of data that has been stored in EMTS providing historical details
about specific actions.
The process to confirm the identity of the user.
The process to verify a user's permission to perform some functionality.
The characteristics of a company that determine the type of transactions it
can do in EMTS.
Central Data Exchange. EPA's gateway for receiving environmental
information through the Web. Serves as the EPA node on the Exchange
Network.
A discrete unit of logic used to implement a business rule, or other
validation of data.
A business entity with one or more users in EMTS.
A transaction that creates a Fuels ABT credit. Credits may only be
generated when gasoline is refined or imported.
A transaction where a regulated party removes a credit from trading in
EMTS.
The maximum average concentration level of the corresponding credit
type allowed for gasoline produced at a refinery or imported by an
importer during each calendar year.
                                                                            (cont.
Appendix A
A-l

-------
                                     EMTS Glossary (cont.)
Title
Credit Type
Data Exchange Standard
Dataflow
Deficit Carry-forward
EPA Moderated Transaction System
(EMTS)
Facility
Fuels ABT Credit
Importer
Industry User
Logging
Message
Node
Definition
The Fuels ABT emission standard which the credit represents.
Specification identifying content and format of data that will be exchanged
between multiple parties or systems.
Within CDX, the identification of how data moves from one specified
location to another specified location.
A refinery or importer creates a deficit for a given averaging period
when its compliance value is greater than the credit standard.
EPA's centralized messaging, screening, and transaction system that
moderates Fuels ABT credit transactions.
An actual or virtual location where fuel is produced, refined, or imported.
Credits that are transacted between refiners and non-renewable fuel
importers.
An entity that imports transportation fuel.
An EMTS user represents a regulated party.
Functionality of a software system that stores information on the system
for auditing and tracking.
A communication between a registered party and EMTS using EPA's
exchange network. It includes all the data needed to process a
transaction.
A web server that facilitates the interface between database systems and
the Exchange Network. It is a registered party's "point of presence" on the
Exchange Network. Occasionally referred to as "network node" or
"Exchange Network Node."
                                                                                          (cont.)
Appendix A
A-2

-------
                                     EMTS Glossary (cont.)
Title
Node Client
Notification
Permissions
Refiner
Registered Party
Role
Small Refiner
Stage
Submission
Submission Date
Trade
Definition
The software program that provides integration with the Exchange
Network Directory Service (ENDS). Within the node client, the user selects
a dataflow, enters the dataflow, enters authentication information, and
then uses the Exchange Network and CDX services.
The communication that is returned by EMTS to the sender or receiver of a
transaction. Notifications may occur before the message is evaluated in
any way other than format checks.
The ability to perform certain actions within EMTS.
A company who refines gasoline or diesel fuel.
Any user of EMTS who has gained access through the registration process
with EPA.
A set of permissions for functions that a person is allowed to perform. A
role is assigned to a user (person).
A refiner that processes <75,000 bpd crude, or who has <1500 employees
and processes <155,000 bpd crude.
The stage of a transaction defines where in the process of data exchange a
particular message or evaluation occurs. A stage ends and a new stage
begins when a message has been successfully transmitted, queued,
checked, processed, routed, and finalized.
Sending an XML file to EMTS, for the purposes of completing a transaction.
"Sending" can potentially occur via a node, a node client, or a web form
that takes inputted data and creates an XML file.
The date an XML file is sent to EMTS, for the purpose of completing a
transaction.
A two-part transaction, consisting of a sell transaction initiated by one
party and a buy transaction initiated by another party.
                                                                                         (cont.
Appendix A
A-3

-------
                                        EMTS Glossary (cont.)
 Transaction
A transaction describes an operation on a credit. A transaction comprises
a series of actions related to a specific process. Each transaction is
processed in stages and results in the return of a message to the sending
party identifying subsequent data on the transaction.
 Transaction Date
The date on which a transaction occurs outside of EMTS. This is the date
recorded on the Product Transfer Document (PTD).
 Transaction Log
The history of all of transactions which have been processed by EMTS.
 User
A person who interacts with EMTS. A person authorized to use EMTS.
 XML
A markup language for documents containing structured information.  The
XML specifications define a standard way to add markup to documents. Its
primary purpose is to facilitate the sharing of structured data across
different information systems, particularly over the internet.
 XML Document
An XML document is a file containing data organized into a structured
document. An XML document is considered "well-formed" if it conforms
to all XML syntax rules. An XML document is considered valid if it
conforms to all the semantic rules defined by an associated XML schema.
An XML document cannot be processed if it is not well-formed.  XML
documents have the extension .xml.
 XML Schema
An XML schema describes the structure of an XML document.  An XML
schema defines the set of rules to which the XML document must conform
in order to be considered "valid" according to the schema.  An instance of
an XML schema is an XML document and is a file with the extension .xsd.
Appendix A
                                                               A-4

-------
Appendix B:  QA Checks


The following table shows the checks that EMTS will apply to all data.  Checks are categorized by functional area
or "Check Group." The check number indicates the type of transaction for which the check applies.

Checks by transaction type are as follows:

    1000-1999      XSD Validation

    2000 - 2999      Submission File

    11000 - 11999   Generate Credits

    13000 - 13999   Buy Credits

    14000-14999   Sell Credits

    15000 - 15999   Retire Credits

                                          EMTS QA Checks
  Number
 1000
        Name
XML Validation
   Check Group
XML Validation
                  Description
The XML document must adhere to EMTS xsd and be
well-formed and valid.
 1010
Invalid Code
XML Validation
The XML document must contain valid codes.
 1020
No XML File Found
XML Validation
XML document must be in the SUBMISSION_FILE
table.
 2000
User must be Registered
with EPA and Active
Submission
The user specified in the submission file must be
actively registered with EPA and have permission to
participate in EMTS.
 2001
User is associated with
the Submitting
Organization and Active
Submission
The user specified in the submission file must have
an active association with the organization for which
he is submitting data.

                                       (cont.)
Appendix B
                                                                                     B-l

-------
  Number
 2002
                                        EMTS QA Checks (cont.)
         Name
User Privileges
   Check Group
Submission
                  Description
The user specified in the submission file must be
authorized to perform the requested transactions on
behalf of the organization.
 2005
Organization must be
Registered with EPA and
Active
Submission
The organization in the submission file must be
registered with EPA and be active.
 2006
Organization Account is
Enabled
Submission
The organization's account must be active.
 2008
Submittal Date Within
Range
Submission
The submission date associated with the submission
file may not be a date occurring in the future.
 2009
At least one Transaction
per Submission
Submission
There must be at least one transaction in the
submission file.
 2011
Submitter must be
Registered with EPA and
Active
Submission
The data submitter must be registered with EPA and
be active.
 2012
Submitter is associated
with the Submitting
Organization and Active
Submission
The user specified in the submission file header must
be authorized to perform the requested transactions
on behalf of the organization.
 2013
Organization may not
submit multiple files with
the same name.
Submission
A given organization may not submit multiple files
with the same name in a given calendar year.
 2015
Organization must
specify a single valid
credit year for
submission.
Submission
An organization must specify a single valid Fuels
ABT credit year for a submission.
                                                                                                 (cont.)
Appendix B
                                                                                        B-2

-------
  Number
 2016
                                      EMTS QA Checks (cont.)
         Name
Organization Must
Specify Transactions for
the Same Program: RFS2
or Fuels ABT
   Check Group
Submission
                  Description
An organization must specify transactions for
either RFS2 or Fuels ABT.
 11002
Generate Facility must
be provided for
domestic production
Credit Generate
The generate facility must be specified when
generating Fuels ABT credits as a refiner.
 11004
Generate Facility
Association with
Generate Organization
Credit Generate
If a generate organization is specified, then the
generate facility must be actively associated with
the generate organization.
 11005
Generate Facility
Association with
Organization
Credit Generate
If a generate organization is not specified, then
the generate facility must be actively associated
with the submitting organization.
 11012
Organization
Permissions
Credit Generate
The transactions that an organization can report
are dependent on its active business activities, as
registered with EPA.
 11034
Reason Code must be
valid
Credit Generate
The reason code reported for the Fuels ABT
generate transaction must be a valid code that is
recognized by EPA.
 11035
Allowable Reason Code
Credit Generate
The allowable reason codes reported by an
organization when generating Fuels ABT credits
are dependent on its business activities as
registered with EPA.
 11037
Reason Comment
Credit Generate
If a generate reason code is configured as
'Comment Required', then a comment must be
specified whenever that reason code is used.
                                                                                              (cont.
Appendix B
                                                                                      B-3

-------
 11052
                                      EMTS QA Checks (cont.)
Generate Public Facility
Number must be unique
Credit Generate
The identifier (public facility number) specified for
the generate facility must be unique among all
facilities registered to the submitting organization.
 11062
Credit Year must be
valid (Standard
Benzene)
Credit Generate
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Standard
Refiner Status.
 11063
Credit Year must be
valid (Small Refiner
Benzene)
Credit Generate
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
 11071
Generate Facility Should
Not Be Reported for
Importers
Credit Generate
The generate facility must not be specified when
generating Fuels ABT credits as an importer.
 11100
Credit Type must be
valid
Credit Generate
The credit type code must be a valid code that is
recognized by EPA.
 11101
Credit Year Must Be
Valid
Credit Generate
The credit year specified for a Fuels ABT generate
transaction must be a valid.
 11103
Credit Standard Code
must be valid
Credit Generate
The credit standard code reported in the
production of Fuels ABT credits must be a valid
code that is recognized by EPA.
 11104
Credit Standard Code
compatible with Credit
Type
Credit Generate
The credit standard code reported must be
compatible with the credit type.
                                                                                              (cont.
Appendix B
                                                                                      B-4

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  Number
 11107
        Name
Benzene Credit Quantity
does not match the
system calculated value.
                                      EMTS QA Checks (cont.)
   Check Group
                  Description
Credit Generate
Benzene Credit Quantity must equal the product
of [(0.62 - CONCENTRATION) / 100] and Total
Volume.
 11108
Sulfur Credit Quantity
does not match the
system calculated value.
Credit Generate
Sulfur Credit Quantity must equal the product of
(30.00 ppm - Sulfur Concentration) and Total
Volume.
 11122
Sulfur concentration
Must Be within Allowed
Range.
Credit Generate
The sulfur concentration (annual average)
reported must be greater than zero and less than
the referenced benzene concentration standard.
 11123
Benzene concentration
Must Be within Allowed
Range.
Credit Generate
The benzene concentration (annual average)
reported must be greater than zero and less than
the referenced benzene concentration standard.
 11172
Quantity of Fuels ABT
Credits Must Be Greater
than Zero.
Credit Generate
The number of Fuels ABT credits generated must
be greater than zero.
 11900
Sufficient Credits
Credit Generate
Runs reservation step for generate transaction.
Needed forTransaction_Status_Log entry.
 13001
Generate Organization
must be Registered with
EPA
Credit Buy
If the generate organization is specified, then it
must be registered with EPA.
 13003
Generate Facility must
be Registered with EPA
Credit Buy
If the generate facility is specified in the
submission file, then it must be registered with
EPA.
                                                                                             (cont.
Appendix B
                                                                                     B-5

-------
                                       EMTS QA Checks (cont.)
  Number
 13004
         Name
Generate Facility
Association with
Generate Organization
   Check Group
Credit Buy
                  Description
If the generate organization is specified, then the
generate facility must be actively associated with
the generate organization.
 13007
Generate Facility
Credit Buy
If the generate facility is reported, then the
generate organization must also be reported.
 13012
Organization
Permissions
Credit Buy
The transactions that can be reported by an
organization are dependent on its active business
activities, as registered with EPA.
 13016
Matching Transaction
Must Be a Pending Sell
Credit Buy
If the Fuels ABT buy transaction has a matching
sell transaction ID, then the transaction must be in
a pending state.
 13017
Matched Transaction ID
Must Belong to a
Matching Credit Sell
Credit Buy
If the Fuels ABT buy transaction has a matched sell
transaction ID, then the transaction must match
on trade matching criteria.
 13018
Transaction Partner
Organization Registered
with EPA
Credit Buy
If the transaction partner organization is specified,
then it must be registered with EPA.
 13019
Credit Year and Transfer
Date
Credit Buy
The credit year cannot be greater than the year
associated with the specified transfer date.
 13020
Transfer Date
Consistent
Credit Buy
The transfer date cannot be a date in the future.
 13021
Matching Trade pending
Credits count validation
Credit Buy
The user specified matching trade must have the
correct number of pending Fuels ABT credits.

                                        (cont.
Appendix B
                                                                                       B-6

-------
                                      EMTS QA Checks (cont.)
  Number
 13022
        Name
   Check Group
                  Description
Transaction Partner
Organization Must Have
Correct Business Activity
Credit Buy
The transaction partner organization must have
the active business activities necessary to allow a
Fuels ABT sell transaction.
 13028
Credit Year must be
valid
Credit Buy
The credit year must fall within the allowable date
range defined for the Current Year, Credit Type,
Transaction Type, and Small Refiner Status.
 13034
Reason Code must be
valid
Credit Buy
The reason code reported for Fuels ABT generate
transaction must be a valid code that is recognized
by EPA.
 13035
Allowable Reason Code
Credit Buy
The allowable reason codes for a Fuels ABT buy
transactions are dependent on the organization's
active business activities, as registered with EPA.
 13037
Reason Comment
Credit Buy
If reason 'Standard Trade' or 'Cancel' is not
specified for a buy transaction then a comment
must be provided.
 13041
Cancel Trade
Credit Buy
A Cancel trade must match a pending trade.
 13042
Same Buy and Sell
Organization
Credit Buy
The buying organization cannot be the same as
the selling organization.
 13043
One Cancel per
Submission
Credit Buy
If a Fuels ABT buy cancel transaction is reported,
then no other buy transaction may be reported in
the submission.
 13052
Public Facility Number
must be unique
Credit Buy
The facility number specified must be unique for
the organization.

                                        (cont.
Appendix B
                                                                                     B-7

-------
                                   EMTS QA Checks (cont.)
Number
13055
13062
13063
13086
13087
13800
13900
14001
Name
Transfer Date must be
within Allowed Range
Credit Year must be
valid (Standard
Benzene)
Credit Year must be
valid (Small Refiner
Benzene)
Credit Type must be
valid
Times Traded must be
within Allowed Range
Reserve Pending Trade
Sufficient Credits
Generate Organization
must be Registered with
EPA
Check Group
Credit Buy
Credit Buy
Credit Buy
Credit Buy
Credit Buy
Credit Buy
Credit Buy
Credit Sell
Description
The Transfer Date must be within the last n days
based on CREDIT_TRANSFER_DATE_DAYS_BACK
parameter.
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
The credit type code specified for the Fuels ABT
buy transaction must be a valid code that is
recognized by EPA.
The number of Times Traded reported must be
within the allowable range.
The transaction specified by the matching
transaction identifier must be available to be
reserved.
Runs reservation step for buy transaction. Needed
forTransaction_Status_Log entry.
If the generate organization is specified, then it
must be registered with EPA.
                                                                                      (cont.)
Appendix B
B-8

-------
                                       EMTS QA Checks (cont.)
  Number
 14003
         Name
Generate Facility must
be Registered with EPA
   Check Group
Credit Sell
                  Description
If the generate facility is specified in the
submission file then it must be registered with
EPA.
 14004
Generate Facility
Association with
Generate Organization
Credit Sell
If the generate organization is specified, then
generate facility must be actively associated with
the generate organization.
 14007
Generate Facility
Credit Sell
If a generate facility is specified, then the
organization where the fuel was produced must
also be reported.
 14012
Organization
Permissions
Credit Sell
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
 14016
Matching Transaction
Must Be a Pending Buy
Credit Sell
If the Buy Transaction has a matching Buy
transaction ID, the transaction must be in a
pending state.
 14017
Matched Transaction ID
Must Belong to a
Matching Credit Buy
Credit Sell
If the Credit Sell Transaction has a matched Credit
Buy transaction ID, the transaction must match on
trade matching criteria.
 14018
Transaction Partner
Organization Registered
at EPA and Active
Credit Sell
The transaction partner organization must be
registered at EPA and be active.
 14019
Credit Year and Transfer
Date
Credit Sell
Credit Year may not be greater than the year
associated with the specified Transfer Date.
 14020
Transfer Date
Consistent
Credit Sell
The transfer date specified may not occur in the
future.

                                        (cont.
Appendix B
                                                                                       B-9

-------
                                      EMTS QA Checks (cont.)
  Number
 14021
         Name
Matching Trade pending
Credits count validation
   Check Group
Credit Sell
                  Description
The user-provided matching trade must have the
correct quantity of pending Fuels ABT credits.
 14022
Transaction Partner
Organization Must Have
Correct Business Activity
Credit Sell
The transaction partner organization must have
enabled business activity that allows a Fuels ABT
credit buy.
 14028
Credit Year must be
valid
Credit Sell
The requested Credit Year must fall within the
sulfur credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
 14034
Reason Code Must Be
Valid
Credit Sell
The reason code reported for the sale of Fuels ABT
credits must be a valid code that is recognized by
EPA.
 14035
Allowable Reason Code
Credit Sell
The allowable reason codes reported by a facility
when selling Fuels ABT credits are dependent on
its business activities as registered with EPA.
 14037
Reason Comment
Credit Sell
If reason 'Standard Trade' or 'Cancel' is not
specified for a sell transaction, then a comment
must be provided.
 14038
Sufficient Credits
Credit Sell
The organization must have enough available
Fuels ABT credits in its holding account to
complete the transaction.
 14041
Cancel Trade
Credit Sell
A canceled Fuels ABT credit trade must match a
pending trade.
 14042
Same Buy and Sell
Organization
Credit Sell
The selling organization cannot be the same as the
buying organization.

                                        (cont.)
Appendix B
                                                                                     B-10

-------
                                   EMTS QA Checks (cont.)
Number
14043
14052
14055
14062
14063
14086
14087
14800
Name
One Cancel per
Submission
Public Facility Number
must be unique
Transfer Date must be
within Allowed Range
Credit Year must be
valid (Standard
Benzene)
Credit Year must be
valid (Small Refiner
Benzene)
Credit Type must be
valid
Times Traded must be
within Allowed Range
Reserve Pending Trade
Check Group
Credit Sell
Credit Sell
Credit Sell
Credit Sell
Credit Sell
Credit Sell
Credit Sell
Credit Sell
Description
If a Fuels ABT sell cancel transaction is then no
other sell transaction may be reported in the
submission.
The facility number specified must be unique for
the organization.
The Transfer Date must be within the last n days
based on CREDIT_TRANSFER_DATE_DAYS_BACK
parameter.
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
The credit type code reported for the sale of Fuels
ABT credits must be a valid code that is recognized
by EPA.
The number of Times Traded reported must be
within the allowed range.
The transaction specified by the matching
transaction identifier must be available to be
reserved.
                                                                                      (cont.)
Appendix B
B-ll

-------
                                       EMTS QA Checks (cont.)
  Number
 14900
         Name
Sufficient Credits (FIFO)
   Check Group
Credit Sell
                  Description
The organization must have enough available
Fuels ABT credits in its holding account to
complete the transaction.
 14901
Sufficient Credits
(Organization)
Credit Sell
The organization must have enough available
Fuels ABT credits from the specified organization
in its holding account to complete the transaction.
 14902
Sufficient Credits from
Generate Facility
Credit Sell
The facility must have enough available Fuels ABT
credits from the specified generate organization
and facility in its holding account to complete the
transaction.
 15001
Generate Organization
must be Registered with
EPA
Credit Retire
If the generate organization is specified, then it
must be registered with EPA.
 15003
Generate Facility must
be Registered with EPA
Credit Retire
If the generate facility is provided in the
submission file, then it must be registered with
EPA.
 15004
Generate Facility
Association with
Generate Organization
Credit Retire
If the generate organization is specified, then the
generate facility must be actively associated with
the generate organization.
 15007
Generate Facility
Credit Retire
If a generate facility is reported then the
organization where the fuel was produced must
also be reported.
 15012
Organization
Permissions
Credit Retire
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.

                                         (cont.
Appendix B
                                                                                       B-12

-------
  Number
 15016
                                       EMTS QA Checks (cont.)
         Name
Compliance Year
   Check Group
Credit Retire
                  Description
Compliance year is required if the reason code
'Demonstrate Annual Compliance' is reported.
 15017
Compliance Year Must
Be Active
Credit Retire
The Compliance Year must be active.
 15019
Credit Year and
Transaction Date
Credit Retire
Credit Year may not be greater than the year
associated with the specified Transaction Date.
 15020
Transaction Date
Consistent
Credit Retire
The transaction date specified may not occur in
the future.
 15021
Reporting Compliance
at the Refinery Level
Credit Retire
The facility identifier must be reported when
retiring for compliance as a refiner.
 15022
Refinery Level
Compliance
Credit Retire
If a compliance facility identifier is reported, then
the compliance level code must be 'Refinery by
Refinery'.
 15023
Compliance Facility
Active Affiliation with
Organization
Credit Retire
The compliance facility must be actively affiliated
with the submitting organization.
 15028
Credit Year must be
valid
Credit Retire
The requested Credit Year must fall within the
sulfur credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
 15034
Reason Code Must Be
Valid
Credit Retire
The reason code reported must be a valid code
that is recognized by EPA.
                                                                                               (cont.
Appendix B
                                                                                     B-13

-------
                                      EMTS QA Checks (cont.)
  Number
 15035
         Name
Allowable Reason Code
   Check Group
Credit Retire
                  Description
The allowable reason codes reported by an
organization when retiring Fuels ABT credits are
dependent on their business activities registered
with EPA.
 15037
Reason Comment
Credit Retire
If reason 'Standard Trade' or 'Cancel' is not
provided for a retire transaction then a comment
must be provided.
 15038
Sufficient Credits
Credit Retire
The organization must have enough available
Fuels ABT credits in its holding account to
complete the transaction.
 15039
Allowable Compliance
Level Code
Credit Retire
The allowable compliance level codes reported by
an organization when retiring Fuels ABT credits
are dependent on their business activities
registered with EPA.
 15042
Compliance Level Code
Must Be Valid
Credit Retire
The compliance level code reported must be a
valid code that is recognized by EPA.
 15052
Public Facility Number
must be unique
Credit Retire
The facility number specified must be unique
among all facilities registered to the organization.
 15055
Transaction Date must
be within Allowed
Range
Credit Retire
The Transaction Date must be within the last n
days based on
TRANSACTION_DATE_DAYS_BACK_RETIRED_Fuels
ABT credits parameter.
 15062
Credit Year must be
valid (Standard
Benzene)
Credit Retire
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.

                                        (cont.)
Appendix B
                                                                                    B-14

-------
                                       EMTS QA Checks (cont.)
  Number
 15063
         Name
Credit Year must be
valid (Small Refiner
Benzene)
   Check Group
Credit Retire
                  Description
The requested Credit Year must fall within the
benzene credit year range defined for the Current
Year, Credit Type, Transaction Type, and Small
Refiner Status.
 15071
Public Facility Number
must be unique
Credit Retire
The facility number specified must be unique for
the organization.
 15086
Credit Type must be
valid
Credit Retire
The credit type code reported for the retirement
of Fuels ABT credits must be a valid code that is
recognized by EPA.
 15090
Compliance Level Code
Not Allowed
Credit Retire
A compliance level code can only be specified
when retiring Fuels ABT credits with a reason code
of 'Demonstrate Annual Compliance'.
 15091
Compliance Year Not
Allowed
Credit Retire
A compliance year can only be specified when
retiring Fuels ABT credits with a reason code of
'Demonstrate Annual Compliance'.
 15092
Compliance Facility
Identifier Not Allowed
Credit Retire
A compliance facility identifier can only be
specified when retiring Fuels ABT credits with a
reason code of 'Demonstrate Annual Compliance'.
 15900
Sufficient Credits (FIFO)
Credit Retire
The organization must have enough available
Fuels ABT credits in its holding account to
complete the transaction.
 15901
Sufficient Credits
(Organization)
Credit Retire
The organization must have enough available
Fuels ABT credits from the specified organization
in its holding account to complete the transaction.
 15902
Sufficient Credits From
Generate Facility
Credit Retire
The facility must have enough available Fuels ABT
credits from the specified generate organization
and facility in its holding account to complete the
Appendix B
                                                                                     B-15

-------
                                                       transaction.
Appendix B
B-16

-------
Appendix C: Cross-reference Tables

The following tables  show cross-reference codes for  reporting Fuels ABT transactions to EMTS.  Only  Non-
Renewable Fuel Importers (40), Refiners (60), and Small Refiners (70) can perform Fuels ABT transactions, and
thus all other business activities are not included in these tables.

The Business Activity by Generate Reason Code table shows which reasons can be reported for a credit generate
transaction for a specific organization's business activity.

                         Figure C-l: Business Activity by Generate Reason Code
Business
Activity Code
40
40
60
60
70
70
Description
Non-Renewable Fuel Importer
Non-Renewable Fuel Importer
Refiner
Refiner
Small Refiner
Small Refiner
Generate Reason
Code
20
40
10
30
10
30
Description
Import non-renewable fuel
Remedial Action - Importer Credits
Refine non-renewable fuel
Remedial Action - Refiner Credits
Refine non-renewable fuel
Remedial Action - Refiner Credits
The  Business Activity  by Buy Reason  Code table  shows which  reasons can  be reported  for a  credit  buy
transaction for a specific organization's business activity.

                           Figure C-2: Business Activity by Buy Reason Code
Business
Activity Code
40
40
40
40
40
60
60
60
60
60
Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Refiner
Refiner
Refiner
Refiner
Refiner
Buy Reason
Code
10
30
50
60
80
10
30
50
60
80
Description
Standard Trade
Remedial Action - Incorrect Trading Partner
Deny Trade
Cancel Trade
Remedial Action - Incorrect Trade
Standard Trade
Remedial Action - Incorrect Trading Partner
Deny Trade
Cancel Trade
Remedial Action - Incorrect Trade
                                                                                             (cont.
Appendix C
C-l

-------
                         Figure C-2: Business Activity by Buy Reason Code (cont.)
Business Buy Reason
Activity Code Description Code Description
70
70
70
70
70
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
10
30
50
60
80
Standard Trade
Remedial Action - Incorrect Trading Partner
Deny Trade
Cancel Trade
Remedial Action - Incorrect Trade
Appendix C
C-2

-------
The Business Activity by Sell Reason Code table shows which reasons can be reported for a credit sell transaction
for a specific organization's business activity.

                             Figure C-3: Business Activity by Sell Reason Code
Business
Activity Code
40
40
40
40
40
60
60
70
70
40
60
60
60
60
60
70
70
70
70
70
Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Refiner
Refiner
Small Refiner
Small Refiner
Non-renewable Fuel Importer
Refiner
Refiner
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Small Refiner
Sell Reason
Code
10
30
50
60
80
60
80
10
30
80
10
30
50
60
80
10
30
50
60
80
Description
Standard Trade
Remedial Action - Incorrect Trading Partner
Deny Trade
Cancel Trade
Remedial Action - Incorrect Trade
Cancel Trade
Remedial Action - Incorrect Trade
Standard Trade
Remedial Action - Incorrect Trading Partner
Remedial Action - Incorrect Trade
Standard Trade
Remedial Action - Incorrect Trading Partner
Deny Trade
Cancel Trade
Remedial Action - Incorrect Trade
Standard Trade
Remedial Action - Incorrect Trading Partner
Deny Trade
Cancel Trade
Remedial Action - Incorrect Trade
Appendix C
C-3

-------
The Business Activity by Retire Reason Code table shows which reasons can be reported for a retire transaction
for a specific organization's business activity.

                            Figure C-4:  Business Activity by Retire Reason Code
Business
Activity Code
40
40
40
60
60
60
70
70
Description
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Non-renewable Fuel Importer
Refiner
Refiner
Refiner
Small Refiner
Small Refiner
Retire
Reason Code
80
140
150
80
140
150
140
150
Description
Demonstrate annual compliance
Invalid Credit
Remediation of Invalid Credit Use for Compliance
Demonstrate annual compliance
Invalid Credit
Remediation of Invalid Credit Use for Compliance
Invalid Credit
Remediation of Invalid Credit Use for Compliance
The Business Activity by Compliance Level Code table shows which compliance levels can be reported for a
credit retire transaction for a specific organization's business activity.

                          Figure C-5: Business Activity by Compliance Level Code
Business Activity
Code
40
60
Compliance Level
Description Code
Non-renewable Fuel Importer
Refiner
10
50
Aggregated
Description
Importer
Facility Level
Appendix C
C-4

-------