Submitting Fuels Averaging, Banking, and Trading Credit Transactions Using XML &EPA United States Environmental Protection Agency ------- 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 ------- 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 ------- 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 ------- 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 ------- • 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 ------- 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 ------- • 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 ------- 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 ------- 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 ------- 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 Submitting Fuels ABT EMTS Transactions using XML ------- 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 ------- 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. Submitting Fuels ABT EMTS Transactions using XML 10 ------- 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 ------- 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 ------- 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 Submitting Fuels ABT EMTS Transactions using XML 13 ------- 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 Submitting Fuels ABT EMTS Transactions using XML 14 ------- 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 ------- 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 ------- 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 ------- 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 ------- |