Submitting RFS EMTS Transactions
Using XML
oEPA
United States
Environmental Protection
Agency

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Submitting RFS EMTS Transactions
IMPORTANT REMIND EH:
Regulated parties are urged to conduct due diligence investigations and
exercise caution when conducting Renewable Identification Number (RIN)
transactions. Neither EPA nor its systems, including the EPA Moderated
Transaction System (EMTS), certify or validate RINs or make any provision for
parties who, despite good faith, transfer or receive invalid RINs. As specified
in the regulations at 40 CFR 80.1431 (b)(2), invalid RINs cannot be used to
achieve compliance with the Renewable Volume Obligations of an obligated
party or exporter, regardless of the party's good faith belief that the RINs
were valid at the time they were acquired. Additionally, the regulations at 40
CFR 80.1460(b)(2) prohibit the creation or transfer to any person of a RIN that
is invalid.
Using XML
Compliance Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
United States
Environmental Protection
Agency
EPA-420-B-19-059
December 2019

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Contents
How Do I Report Transactions Using XML Files?	1
1.0 What Are the Steps to Submitting My File?	1
2.0 What Is the Purpose of an XML Schema?	2
2.1 General Principles Used in Developing EMTS	2
3.0 Codes, Identifiers, and Data Types	3
3.1	How Do I Report Codes?	3
3.2	How Do I Report Comments and Additional Information?	3
3.3	How Do I Report Identifiers?	3
3.4	Data Types	4
4.0 Constructing the XML File	5
4.1	Constructing a Valid XML File from an Excel Template	5
4.2	Is There a Limit on the Size of the Submission File?	5
4.3	Schema Validation	5
4.4	Submitting Your File	6
4.5	Quality Assurance and Receiving Feedback	6
5.0 Overview of Major Data Blocks	6
5.1	EMTS Root Elements	7
5.2	Generating RINs	10
5.3	Separating RINs	21
5.4	Selling RINs	27
5.5	Buying RINs	33
5.6	Retiring RINs	39
6.0 What Is the FIFO Process for Finding RINs?	45
7.0 How Do I Cancel a Buy or Sell Transaction?	45
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Appendix A: Glossary	A-l
Appendix B: QA Checks	B-l
Appendix C: Business Activities by Transaction Type	C-l
Appendix D: Sample Transactions	D-l
Appendix E: Cross-reference Tables	E-l
Submitting EMTS Transactions using XML	ii

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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?
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.
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.
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.
Exchange Network Node v2.0
The EMTS node is v2.0 compliant.
This section includes specifications
for v2.0 exchanges.
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2.0 What Is the Purpose of an XML Schema?
An XML schema is the definition that constrains the structure and content of an XML document It is written
in XML schema language as defined by the World Wide Web Consortium (W3C). An XML schema defines:
•	The elements and attributes that are expected;
•	The allowable data types for each element;
•	The hierarchy and order in which elements must appear;
•	Which elements are optional and which are required; and
•	The maximum number of occurrences allowed for each element.
Like the architectural blueprint that describes the structural design of a house, an XML schema describes the
structural design of an XML file. Files submitted to EMTS are accepted or not accepted based on their
conformity to the EMTS XML schema.
2.1 General Principles Used in Developing EMTS
XML schemas can be created in many different ways; however, there are principles that govern the definition
and use of the EMTS schema for reporting transactions. The following approach to developing and managing
the EMTS XML schema has been adopted.
•	XML element tag names adhere as closely as possible to EPA's XML data standards. Information
about EPA's XML data standards can be found at EPA Data Registry Services:
http://iaspub.epa.gov/sor_internet/registry/datastds/flndadatastandard/epaapproved/.
•	XML element tag names are specific to a transaction category where possible in order to minimize
ambiguity (e.g., "GenerateTransactionComment" rather than "Comment").
•	No two elements share the same tag name. XML elements are defined unambiguously.
•	Tag names are understandable to both data preparers and information technology staff.
•	The EMTS schema was not designed to minimize submitted file size. See Section 4.2 for best practices
on the size and content limits for file submission.
•	The EMTS schema contains few restrictions on the content of the submission, and is limited primarily
to indicating whether the submission is a valid and well-formed XML file. The schema contains some
business rules; however, these are limited to the semantic properties of the file structure. Additional
business rules are applied to the content of the XML file after the data have been submitted to EMTS.
This allows more flexible management of quality assurance checks and more informative feedback
on check results. The submitter will receive feedback on all business checks and technical checks
through a feedback report available on the EMTS website. For more information on the EMTS QA
approach, see Appendix B, "QA Checks."
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• Conforms to EPA Guidelines.
3.0 Codes, Identifiers, and Data Types
The following section provides guidance on how to report certain types of data content
3.1	How Do I Report Codes?
If the last word in an XML tag is "code," the element must contain a value from a code
list. A complete list of codes can be found on EPA's EMTS website at https://www.epa.gov/fiieIs-registration-
reporting-and-compliance-help/reporting-codes-and-fuel-pathways-epa-moderated. Codes are validated by
the EMTS QA check process for appropriate use given an organization's business activities. Some code tables
may change over time. If codes change, a new version of the schema will be released; the new codes will be
published in the EMTS Transaction Instructions and incorporated in the QA Check process.
3.2	How Do I Report Comments and Additional Information?
If an XML tag contains the word "comment," it is generally an optional element in which you can provide
explanations, caveats, or any other information about the data in the schema. In some cases, you may be
required to provide a comment based on the reason code you provide.
3.3	How Do I Report Identifiers?
If an XML tag contains the word "identifier," it must contain the specific alphanumeric identifier assigned by
EPA to an organization or facility site. Both Organization and Facility identifiers are assigned by EPA once
you have completed registration through the OTAQReg Fuels Programs Registration system. These
identifiers should always be included in your submission file when identifying your organization, or if you
are identifying the generating source of the renewable fuel. You must always identify your organization as
the source of the submission.
3.3.1 Organization Identifiers
The four-digit numeric public identifier assigned by EPA is used to identify your organization and should be
reported for all submission files.
Several transaction types require you to either identify an organization's identification number as a trading
partner (sell and buy transactions) or give you the option to identify the originating source of the fuel. In
either case, you must identify the trading partner organization or originating source organization using the
public identifier.
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3.4 Data Types
Most data types in the EMTS schema are string, date, year, and number. Each data element will have a length
or a precision assigned that is constrained in the schema. Data which are not consistent with the formats
defined in the schema will fail schema validation, causing the submission file to fail.
3.4.1	Dates and Years
All date and year tags are handled as xsd:date and xsd:gYear in the schema.
•	Date - If a tag name contains the word "date," the data element is for a specific day. These should be
represented as an eight-digit sequence of numeric characters in a string format of YYYY-MM-DD and
should include leading zeros between the representative elements containing only one digit. For
example August 7, 2009 is 2009-08-07.
•	Year - If a tag name contains the word "year," the data element is for a calendar year. This data
should be reported as a four-digit sequence of numeric characters in a string format of YYYY,
otherwise, if not required, it may be left null.
3.4.2	Reporting Numbers
There are several different reporting formats for numbers. The schema allows for various precisions;
however, you are expected to report numeric values as prescribed in the schema for each numeric data type.
The following table describes each numeric data type and an example of what to report in EMTS.
Figure 1: Reporting Formats for Numbers
Content Type	Reporting Format	Example
Integer (width)
Whole number (no decimal places, preceding zeroes
not retained).
Width = Maximum number of digits allowed.
Int (3)
Valid: 2,15,930
Invalid: 4000, -1
Decimal (width, scale)
Decimal number with fixed number of decimal places.
Width = Maximum number of digits including
those on both sides of the decimal point, and
includes the decimal point.
Scale = Number of decimal places; that is, digits to
the right of the decimal point.
Dec (5,1)
Valid: 100.0, 34.6, 0.3, 0.0
Invalid: 99.75, 256.45
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• Precision - Precision refers to the number of significant digits provided in the number of decimal
places for a fixed decimal number. The EMTS schema will enforce numbers be reported in the proper
precision.
4.0 Constructing the XML File
The following section explains how to create an EMTS conformant XML document. It includes advice on best
practices for reporting your data as well as how to construct your XML document
4.1	Constructing a Valid XML File from an Excel Template
For users that do not have the technical capabilities to modify their systems to produce valid XML, EMTS will
convert XLS, CSV, or TXT files. EPA provides a standard template for the XLS or TXT data. You can output
your data into the XLS template then use these data files as inputs. EMTS will output valid EMTS XML files;
however EMTS will not check for business content or valid code numbers until the XML has been submitted.
4.2	Is There a Limit on the Size of the Submission File?
There are no business rules that limit the size of the file during transport through the Exchange Network.
However, you are strongly encouraged to submit sell transactions prior to the receiving party submitting
their corresponding buy transactions, so you may consider categorizing your submissions into two
submission types: all sell transactions and all other transactions. During peak submission periods, which
are expected to occur in January and February, a substantially larger number of files are expected to be
submitted which may delay EMTS's response time. These files will be placed in the system's queue and
processed in a first-come, first-serve order.
If your file contains one or more critical errors, the file will not be processed and you will receive a
notification indicating that your submission has failed. You must correct the critical errors and resubmit
your file. Therefore, limiting the contents of your file to include a smaller number of transactions is a good
practice, likely resulting in smaller feedback reports and fewer submission failures. You can also expect
better response times submitting smaller files over the Exchange Network and when downloading your
feedback reports.
4.3	Schema Validation
The following section describes the various tools that are available and validation rules you should
implement prior to submitting your XML document to EMTS. This includes information on how to validate
your XML document, the built-in constraints that the schema will enforce, and the cardinality rules that you
should avoid when constructing your data.
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4.3.1 Validating Your File Prior to Submission
Before submitting your file to the EMTS dataflow, you should validate your XML file against the
EMTS_Schema_v3.0 xsd file structure. This will ensure that your file is well-formed and valid. You can do
this by using one of several tools found at EPA's https://tools.epacdxnode.net/
EMTS contains few validation business rules regarding the content of the submission; however, data types
are constrained. You will receive all business logic checks, including invalid reporting codes used through a
feedback report available on the EMTS website once the quality assurance checking process has completed.
4.4	Submitting Your File
All file submissions require the user to have an authorized CDX account and access to the EMTS dataflow. All
files must utilize EPA's Exchange Network to transport files. EPA's network of nodes makes it possible for
users to exchange data with other exchanges, providing their organizations have nodes. However, not all
organizations will have nodes.
Once files are pushed into the data flow, CDX will submit the XML document to the EMTS back-end node.
Once the EMTS back-end node accepts the XML file it generates submittal identification information and
begins processing the data content within the payload. For more information regarding obtaining and
installing a node on your server, please see www.epa.gov/cdx.
4.5	Quality Assurance and Receiving Feedback
After you have submitted your file, you will receive an email with information about your submission. If
there were errors in processing the data, you will receive information in a feedback report, which indicates
critical errors and potential issues. You are expected to correct the problems with your data content or the
XML document structure and resubmit the file. After EMTS processes the payload content, the resulting data
can be viewed on the EMTS website. In all cases, you will receive notification when the processing of your
data is complete; however during peak load periods, the response time may be slow.
5.0 Overview of Major Data Blocks
The following section contains information on the major groupings of data in the EMTS schema. This section
describes the basic XML blocks that are used for reporting the various transaction types: generate, separate,
sell, buy, retire, lock and unlock. For each transaction type, a table of data elements including the data type,
name of the XML tag name, required indicator, and description is provided. In addition, if a critical check is
applied to the data, the description and reference number to the check is provided. You can see the complete
list of checks in Appendix B, "QA Checks." If a data element is referenced as a complex type, there will be
another table that documents the elements for that complex type.
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Supporting implementation documents can be found on the following website:
http://www.exchangenetwork.net/exchanges/air/. The flow configuration document (FCD), data exchange
template (DET), and sample XML documents are available for download on the Exchange Network site.
5.1 EMTS Root Elements
The elements under the EMTS root must be included in every submission. These XML elements identify the
person who prepared the data along with organization identifiers. If different people within your
organization are responsible for different transactions, consider submitting separate submission files for
each person responsible for the preparation of the data.
How these data elements are processed: The root elements identify the person who has prepared the
data, and the date on which the file was created by the user. The identity of the organization can be
referenced by the public identifier.
The root elements are reported once in the entire submission file; however, you must report at least one
associated transaction (such as a generate transaction). The root elements in the submission file will be
stored in the EMTS website in association with each transaction submitted in the file.
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Figure 2: EMTS Root Elements
Data Element
QA Check
Data Type
Name
Required
Description
Description
Number
xsd:string
UserLoginText
Yes
The CDX user login of
the party responsible
for preparing the
submission file.
The user specified
in the submission
file must be
actively registered
with CDX and have
permission to
participate in
EMTS.
2000




The user specified
in the submission
file must have an
active association
with the
organization for
which he is
submitting data.
2001




The user specified
in the submission
file must be
authorized to
perform the
requested
transactions on
behalf of the
organization.
2002
xsd:date
SubmittalCreationDate
Yes
The date that the
submission file was
created.
The submission
date associated
with the
submission file
may not be a date
occurring in the
future.
2008
(cont.)
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Figure 2: EMTS Root Elements (cont.)
Data Element
QA Check
Data Type
Name
Required
Description
Description
Number
xsd:string
Organization Identifier
Yes
The public
identification number
for the organization as
designated by
The organization in
the submission file
must be registered
with EPA and be
2005



OTAQReg.
The organization's
RIN Holding
Account must be
active.
2006
xsd:string
SubmittalCommentText
No
Comment provided by
the user on submission
file.


complex
GenerateTransactionDetail
No
Information on the
RINs being generated.


complex
SeparateTransactionDetail
No
Information on RINs
being separated.


complex
SellTransactionDetail
No
Information on RINs
being sold.


complex
BuyTransactionDetail
No
Information on RINs
being bought.


complex
RetireTransactionDetail
No
Information on RINs
being retired.


complex
LockTransactionDetail
No
Information on RINs
being locked.


complex
UnlockTransactionDetail
No
Information on RINs
being unlocked.


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5.2 Generating RINs
The complex type GenerateTransactionDetail is used to report RINs that have been generated as a result of
fuel production. This transaction type requires basic information regarding the production of the fuel, the
feedstock used, the QAP service type code, and the co-products that were created from the process. For each
generate transaction, you must report at least one feedstock.
How these data elements are processed: All data elements that are identified as required must be
reported. The fuel, feedstock, and process that you report to EMTS must be one of the fuels, feedstocks, and
processes you registered for your organization in the OTAQReg Fuels Programs Registration system. If you
report an unregistered code, your submission file will not pass critical QA checks and your file will fail to be
processed. In some cases, based on fuel reported and process identified, you will need to report denaturant
volume in addition to the batch volume. The equivalence value that you report must also be applicable for
the fuel type, process, and biomass indication for feedstock used.
By default, it is assumed that your organization is the producer of the renewable fuel. You need only report
the number of the facility where the fuel was produced and the unique identification of the batch number for
the fuel in the complex type GenerateOriginatingSourceDetail. If, however, you are an importer and the
fuel has been produced at a foreign facility, you will need to identify both the organization identifier and the
facility identifier of the foreign producer. These identifiers are required to be provided on records by the
foreign producer.
Report the feedstock used in the production of the fuel using the FeedstockDetail complex type. You must
report at least one feedstock, including the volume and unit of measure. In addition, you must affirm that the
feedstock meets the definition of renewable biomass. If any co-products result from the process, you must
report the co-product code in the CoProductDetail complex type.
If you need to provide supporting information regarding the generation, such as document identifiers or
notes, use the GenerateSupportingDocumentDetail complex type. Use this complex type to create user-
defined information by providing the type of document that contains the information and an identification
number or code for the document.
If you are reporting a generate transaction that has been authorized for remedial action by EPA, report the
value 'true' in the RemedialActionlndicator data element. Otherwise, this data element can be ignored.
Figures 3, 4, 5, and 6 below show the data elements for GenerateTransactionDetail,
GenerateOriginatingSourceDetail, FeedstockDetail, and CoProductDetail.
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Figure 3: Data Elements for GenerateTransactionDetail
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:positivelnteger
RINQuantity
Yes
The total number of
RINs specified in the
transaction.
RIN Quantity
must equal the
product of Batch
Volume and
Equivalence
Value.
3022
xsd:positivelnteger
BatchVolume
Yes
The volume of
renewable fuel
associated with a
batch number
designated by the
producing facility.
RIN Quantity
must equal the
product of Batch
Volume and
Equivalence
Value.
3022
xsd:string
FuelCode
Yes
The renewable fuel
code for the RINs
being separated as
defined in Part M
The fuel code
reported must be
registered with
EPA.
3032



Section 80.1426.
The fuel code
reported in the
production of
fuel must be a
valid code that is
recognized by
EPA.
3034




The fuel code
3040




reported must be





compatible with





the fuel category





used in the





production of





fuel.

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




The fuel code
and fuel category
reported must be
compatible with
the process used
in the production
of fuel.
3041
xsd:string
FuelCategoryCode
Yes
The type of fuel that
has been produced.
If "Ethanol" or
"Cellulosic
Ethanol" RINs are
reported in the
generate
transaction, then
denaturant
volume must be
reported.
3013




The fuel category
code reported in
the production of
fuel must be a
valid code that is
recognized by
EPA.
3033
xsd:date
ProductionDate
Yes
The date the
renewable fuel was
produced as
designated by the
producing facility.
The production
date must not
occur after the
date specified in
submittal data.
3011
(cont.)
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Type
Data Elements
Name
Required
Description
QA Checks
Description
Number
xsd:date
ProductionDate
Yes
The date the
renewable fuel
was produced as
designated by
the producing
facility.
The production date
must not occur after
the date specified in
submittal data.
3011
Production date
must be within the
last five business
days per 40 CFR
80.1452(b).
3055
xsd:string
ProcessCode
Yes
A code that
The process code
3024



identifies the
reported in the




process used for
production of fuel




producing the
must be a valid code




renewable fuel.
that is recognized by





EPA.

(cont.)
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number
Xsd:string
QAPServiceTypeCode
Yes
A code that
identifies the
level of QAP
service for the
RINs in the
transaction.
QAP Service Type
Code must be a valid
code that is
recognized by EPA.
3064
xsd:positivelnteger
DenaturantVolume
No
The volume of
non-renewable
fuel added to a
volume of
ethanol to
If denaturant volume
is reported, then
"Ethanol" or
"Cellulosic Ethanol"
must be reported.
3014



create the
BatchVolume
for a given
Batch Number
of renewable
fuel.
When denaturant
gallons are reported
for ethanol fuel, the
amount specified
cannot exceed two
3016



percent of the total
volume of fuel
produced.

xsd:decimal
EquivalenceValue
No
A multiplier
applied to
Batch Volume
to determine
the number of
RINs that will
be generated
per gallon of
renewable fuel.
The equivalence value
reported may not
exceed the specified
value for the fuel type
produced.
3026
(cont.)
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
QA Checks
Required Description
Description
Number
Name
xsd:string
Import Facility Identifier
No
The facility
If the generate
3047
identifier, as
organization differs

registered in
from the submitting

OTAQReg, of
organization then the

the plant from
Import Facility

which the fuel
Identifier is required.

was imported.
If the import facility is
provided, it must be
registered with the
EPA and active.
3048

ImportFacility Identifier
3049

not allowed if not


importing fuel.


If the submitting
3050

organization is only a


renewable fuel


importer, then they


must provide an


Import Facility


Identifier.


If the Import Facility
3051

Identifier is populated,


then the submitting


organization must be a


renewable fuel


importer.


The import facility
3053

number specified must


be unique for the


organization.

(cont.)
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Figure 3: Data Elements for GenerateTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
Transaction DetailCommentText
No
Comment
provided by
the user on the
transaction.


complex
GenerateSupportingDocumentDetail
No
Information for
the industry
user to create
user defined
data to report
supporting
document
identifiers.


complex
GenerateOriginatingSourceDetail
Yes
Information on
the original
renewable fuel
production.


complex
FeedstockDetail
Yes
Information on
the types of
feedstock used
to produce
fuel.


complex
CoProductDetail
No
Information on
the one or
more co-
products that
result from the
renewable fuel
production
process.


(cont.)
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Figure 4: Data Elements for GenerateOriginatingSourceDetail
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
GenerateOrganization Identifier
No
The organization
identifier, as registered
in OTAQReg, for the
organization that
produced the fuel.
If the generate
organization is
different than the
submitting
organization
identifier, then the
organization must be
an importer.
3000




If the generate
organization is
provided, then it
must be registered
with EPA and be
active.
3001




If the generate
organization differs
from the submitting
organization then
the generating
organization must be
a Foreign Producer.
3045
xsd:string
GenerateFacility Identifier
Yes
The facility identifier, as
registered in OTAQReg,
for the facility that
produced the fuel.
For generate
transactions, the
generate facility
identifier must be
provided.
3002
(cont.)
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Figure 4: Data Elements for GenerateOriginatingSourceDetail (cont.)
Data Element
QA Checks
Required
Description
Description
Number
Name




If generate
organization is
provided, then
generate facility
must be actively
associated with the
generate
organization.
3004
If generate
organization is not
provided, then the
generate facility
must be actively
associated with the
submitting
organization.
3005
The generate facility
number specified
must be unique for
the organization.
3052
xsd:string
Batch NumberText
Yes
The batch number for
the renewable fuel as
designated by the
producing facility.
Batch number must
be provided.
3018
Batch number must
be unique for an
organization, facility,
and RIN year.
3019
(cont.)
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Figure 5: Data Elements for FeedstockDetail
Data Element
QA Check
Required Description
Description Number
Name
xsd:string
FeedstockCode
Yes
A code that
identifies the
feedstock used to
produce the
renewable fuel
associated with the
batch number.
The feedstock
code reported in
the production of
fuel must be a
valid code that is
recognized by
EPA.
3023




The feedstock
reported must be
compatible with
the fuel code, fuel
category, and
process used in
the production of
fuel.
3042
xsd:boolean
RenewableBiomasslndicator
Yes
An indicator whether
the feedstock used
qualifies as
renewable biomass.
If RINsare
generated (RIN
Quantity greater
than or equal to
"1"), then at least
one of the
specified
feedstocks must
be indicated as
"Renewable
Biomass."
3030
(cont.)
Submitting EMTS Transactions using XML
19

-------
Figure 5: Data Elements for FeedstockDetail (cont.)
Data Element
QA Check
Data Type
Name
Required
Description
Description
Number
xsd:decimal
FeedstockQuantity
Yes
Total quantity of
feedstock used in
production of the
fuel.


xsd:string
FeedstockMeasure
Yes
The unit of measure
for the feedstock
volume.
The feedstock
measure code
reported in the
production of fuel
must be a valid
code that is
recognized by
EPA.
3027
xsd:string
CoProductCode
No
A code that
identifies the co-
product created
from the renewable
fuel process.
The co-product
code reported in
the production of
fuel must be a
valid code that is
recognized by
EPA.
3025
xsd:boolean
RemedialAction Indicator
No
An indicator of
whether the
generate transaction
is for a remedial
action.
A remedial
generate
transaction must
have a
corresponding
remedial
generate
authorization.
3077
Submitting EMTS Transactions using XML
20

-------
5.3 Separating RINs
To identify that RINs have been separated from the fuel, you will report this information using the
SeparateTransactionDetail complex type.
How these data elements are processed: Separating RINs requires that you identify the number of RINs
being separated and the volume of fuel from which the RINs are being separated. The preferred method to
separate a quantity of RINs from any fuel is to specify the RINQuantity, batch volume, QAP service type code,
fuel code, and the year in which the fuel was produced. By default, EMTS will find the oldest batch of assigned
fuel in your inventory and separate the RINs. This ensures that you are separating, on a first-in, first-out
(FIFO) basis, the earliest RINs that you own as defined by production date.
If you as a party have been delegated to perform the separate transaction by a small blender (a blender that
blends less than 125,000 gallons per year), then you must report both the name and public identifier of the
small blender in the BlenderOrganizationldentifier and BlenderOrganizationName data elements.
If you need to provide supporting information regarding the separation, such as document identifiers or
notes, use the SeparateSupportingDocumentDetail complex type. Use this complex type to create user-
defined information by providing the type of document that contains the information and an identification
number or code for the document For example, if you wish to report an invoice number, place "invoice" as
the text for SupportingDocumentText and the invoice number for SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be separated, you can do so by using the
SeparateOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to
match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the batch
cannot be found, the transaction will fail.
Figure 7 shows the data elements for SeparateTransactionDetail.
Submitting EMTS Transactions using XML
21

-------
Figure 7: Data Elements for SeparateTransactionDetail
Data Element
QA Check
Data Type
Name
Required
Description
Description
Number
xsd:positivelnteger
RINQuantity
Yes
The total
number of
RINs specified
in the
transaction.
The organization
must have
enough available
RINs in its holding
account to
complete the
transaction.
5900




For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than"0"
but less than
"2.5."
5032
xsd:decimal
BatchVolume
Yes
The volume of
renewable
fuel for which
RINs are being
separated.
For assigned RINs
that are being
separated from a
volume of fuel,
the ratio of RINs
to fuel must be
greater than"0"
but less than
"2.5."
5032
xsd:string
FuelCode
Yes
The
renewable
fuel code for
the RINs being
separated as
defined in
Part M
Section
80.1426.
The fuel code
reported must be
a valid code that
is recognized by
EPA.
5024
(cont.)
Submitting EMTS Transactions using XML
22

-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Element
QA Check
Data Type
Name
Required
Description
Description
Number
xsd:string
QAPServiceTypeCode
Yes
A code that
identifies the
level of QAP
service for the
RINs in the
transaction.
QAP Service Type
Code must be a
valid code that is
recognized by
EPA.
5064
xsd:gYear
RINYear
Yes
The RIN year
is the year in
which the fuel
is produced.
The RIN year
cannot be in the
future.
5019




The requested
RIN Year must fall
within the RIN
Year range
defined by the
RIN Years Allowed
parameter.
5028
xsd:string
SeparateReasonCode
Yes
This code
identifies the
reason for a
separate
transaction.
The allowable
reason code
reported by an
organization
when separating
RINS are
dependent on
their business
activities as
registered with
EPA.
5035




The reason code
reported must be
a valid code that
is recognized by
EPA.
5037
(cont.)
Submitting EMTS Transactions using XML
23

-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Element
QA Check
Data Type
Name
Required
Description
Description
Number




If a Blender
Organization ID or
Blender Name is
reported then
separate reason
"Upward
Delegation" must
also be reported.
5040




If the organization
specifies "Delayed
RIN Separate" as
the reason code,
then the fuel code
may not be
Renewable Fuel
(D = 6).
5046
xsd:date
TransactionDate
Yes
The date of
the RIN
transaction.
The Transaction
Date must be
within the last 10
business days.
5055
xsd:string
BlenderOrganization Identifier
No
The public
identification
number for
the blending
organization
as designated
by OTAQReg.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.
5033
(cont.)
Submitting EMTS Transactions using XML
24

-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Element
QA Check
Data Type
Name
Required
Description
Description
Number




If a blender
organization is
provided, then it
must be
registered with
EPA and be
active.
5034




If a Blender
organization is
specified then the
organization must
have a business
activity of small
blender.
5036
xsd:string
BlenderOrganizationName
No
Name of the
organization
that is
blending the
fuel.
The blender
organization
name and blender
organization
identifier must be
specified when
identifying
"Upstream
Delegation for
Blending" as the
separation
reason.
5033
xsd:string
TransactionDetailCommentText
No
Comment
provided by
the user on
the
transaction.


(cont.)
Submitting EMTS Transactions using XML
25

-------
Figure 7: Data Elements for SeparateTransactionDetail (cont.)
Data Element
QA Check
Required Description Description Number
Name
complex
SeparateSupportingDocumentDetail
No
Information
for the
industry user
to create user
defined data
to report
supporting
document
identifiers.


complex
SeparateOriginatingSourceDetail
No
Information
on the original
renewable
fuel
production.


Submitting EMTS Transactions using XML
26

-------
5.4 Selling RINs
The complex type SellTransactionDetail is used to report RINs that are being traded to another organization
as a result of a sell transaction. This transaction type requires basic information regarding the quantity of
RINs, QAP service type code, fuel code, and year in which the fuel was produced.
How these data elements are processed: Selling RINs requires that you identify the number of RINs being
sold and the trading partner (or buyer) to whom you are selling the RINs. The preferred method to sell a
quantity of RINs is to specify the RINQuantity, batch volume (required if the RINs are assigned), fuel code,
QAP service type code, assignment code, and the year in which the fuel was produced. EMTS will find the
oldest batch of fuel you acquired that matches these characteristics in your inventory. This ensures that you
are selling one or more batches, on a first-in, first-out (FIFO) basis, the earliest RINs thatyou own as defined
by production date. You must provide a reason for why you are selling the RINs. In addition, you must
provide either the agreed upon price per RIN or the price per gallon established between you and the buyer.
If you need to provide supporting information regarding the sale of RINs, such as document identifiers or
notes, use the SellSupportingDocumentDetail complex type. Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to
make this information available to your trading partner, use the PublicSupportingDocumentDetail complex
type.
If you wish to identify a specific batch of fuel to be sold, you can do so by using the
SellOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to match
the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the batch cannot
be found, the transaction will fail.
Figure 8 shows the data elements for SellTransactionDetail.
Submitting EMTS Transactions using XML
27

-------
Figure 8: Data Elements for SellTransactionDetail
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
TransactionPartnerOr
ganization
Identifier
Yes
Identifies the buyer organization
for a sell transaction or the selling
organization for a buy transaction
using the Organizationldentifier
designated by OTAQReg.
The transaction
partner
organization must
be registered at
EPA and be
active.
6018
xsd:string
TransactionPartnerOr
ganizationName
Yes
The name of the organization
trading partner.
The transaction
partner
organization must
have enabled
business activity
that allows a buy.
6022
xsd:positive
Integer
RINQuantity
Yes
The total number of RINs
specified in the transaction.
The organization
must have
enough available
RINs in its holding
account to
complete the
transaction.
6900
xsd:decimal
BatchVolume
No
The volume of renewable fuel
sold in the transaction.
If the assignment
code is "1," then
batch volume
must be specified.
6011




For assigned RINs
that are being
sold, the ratio of
RINs to fuel must
be greater than 0
but less than 2.5.
6032




Batch Volume
must be specified
if Gallon Price is
specified.
6054
(cont.)
Submitting EMTS Transactions using XML
28

-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
FuelCode
Yes
The renewable fuel code for the
RINs being sold as defined in 40
CFR Section 80.1426.
The fuel code
reported must be
a valid code that
is recognized by
EPA.
6024
xsd:string
QAPServiceTypeCode
Yes
A code that identifies the level of
QAP service for the RINs in the
transaction.
QAP Service Type
Code must be a
valid code that is
recognized by
EPA.
6064
xsd:string
AssignmentCode
Yes
A code that indicates whether the
RIN is transacting as an assigned
RIN or a separated RIN.
If the assignment
code is "1," then
batch volume
must be specified.
6011
xsd:gYear
RINYear
Yes
The RIN year is the year in which
the fuel is produced.
RIN Year may not
be greater than
the year
associated with
the specified
Transfer Date.
6019




The requested
RIN Year must fall
within the RIN
Year range
defined by the
RIN Years Allowed
parameter.
6028
(cont.)
Submitting EMTS Transactions using XML
29

-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
SellReasonCode
Yes
This code identifies the reason for
a sell transaction.
The allowable
reason code
reported by an
organization
when selling RINS
are dependent on
their business
activities as
registered with
EPA.
6035




A "Cancel" trade
must match a
pending trade.
6041




"Incorrect Trading
Partner" can only
be reported for
assigned RINs.
6045
xsd:decimal
RINPriceAmount
No
Price paid per RIN.
The RIN price or
gallon price must
be provided.
6036




The transaction
must contain only
one price.
6047
xsd:decimal
GallonPriceAmount
No
Price paid per gallon of
renewable fuel.
The RIN price or
gallon price must
be provided.
6036




The transaction
must contain only
one price.
6047
(cont.)
Submitting EMTS Transactions using XML
30

-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:date
TransferDate
No
The date of the RIN transaction.
The transfer date
specified may not
be in the future.
6020




Transfer date
must be within
the last 5
business days per
40CFR
80.1452(b).
6055
xsd:string
PTDNumber
No
The PTD number associated with
the transaction.


xsd:string
BillofLading
No
The Bill Of Lading associated with
the transaction.


xsd:string
Invoice
No
The Invoice associated with the
transaction.


(cont.)
Submitting EMTS Transactions using XML
31

-------
Figure 8: Data Elements for SellTransactionDetail (cont.)
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
MatchingTransactionl
dentifier
No
The EMTS Transaction ID of the
pending buy transaction.
If the sell
transaction has a
matched buy
transaction ID,
the transaction
must be in a
pending state.
6016




If the sell
transaction has a
matched buy
transaction ID,
the transaction
must match on
trade matching
criteria.
6017
xsd:string
TransactionDetailCom
mentText
No
Comment provided by the user
on the transaction.
If reason
"Standard Trade"
or "Cancel" is not
provided for a sell
transaction then a
comment must be
provided.
6037
complex
PublicSupportingDocu
mentDetail
No
Industry user defined data to
report supporting document
identifiers which are visible to the
organization's trading partner.


complex
SellSupportingDocum
entDetail
No
Information for the industry user
to create user defined data to
report supporting document
identifiers.


complex
SellOriginatingSource
Detail
No
Information on the original
renewable fuel production.


Submitting EMTS Transactions using XML
32

-------
5.5 Buying RINs
The complex type BuyTransactionDetail is used to acquire RINs that are being traded from another
organization as a result of a sell transaction. This transaction type requires basic information regarding the
quantity of RINs, fuel code, and year in which the fuel was produced.
How these data elements are processed: Buying RINs requires that you identify the number of RINs being
sold and the trading partner (or seller) you are buying RINs from.
One method is to wait for a sell transaction to be sent to you with the specifications for the quantity of RINs,
batch volume, fuel code, QAP service type code, assignment code, the year in which the fuel was produced,
reason code, and either the agreed upon price per RIN or the price per gallon. You should use these exact
specifications when responding to the sell transaction. EMTS will match these specifications to any existing
sell transactions that are pending with your trading partner and complete the trade. You may also initiate a
buy transaction prior to the seller sending you a notification. If your buy transaction is received by EMTS
before the seller has initiated a sell transaction, your request will be queued until a matching sell has been
submitted to EMTS by the seller. If the seller does not respond to your buy request within ten business days,
the trade will expire. In both cases, a record of this incomplete submission is recorded in EMTS.
You must provide a reason for why you are buying RINs. In addition, you must provide either the agreed
upon price per RIN or the price per gallon established between you and the seller.
If you need to provide supporting information regarding the trade, such as document identifiers or notes,
use the BuySupportingDocumentDetail complex type. Use this complex type to create user-defined
information by providing the type of document that contains the information and an identification number
or code for the document For example, if you wish to report an invoice number, place "invoice" as the text
for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to
make this information available to your trading partner, use the PublicSupportingDocumentDetail complex
type.
If you wish to identify a specific batch of fuel to be sold, you can do so by using the
BuyOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to match
the specific batch in the seller's RIN Holding Account; however, if the batch cannot be found, the transaction
will fail.
Figure 9 shows the data elements for BuyTransactionDetail.
Submitting EMTS Transactions using XML
33

-------
Figure 9: Data Elements for BuyTransactionDetail
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
Transaction PartnerOrganization
Identifier
Yes
This identifies the
buyer organization for
a sell transaction or the
selling organization for
the buy transaction
using either the
Organization Identifier
designated by
OTAQReg.
The transaction
partner
organization must
be registered at
EPA and be active.
4018
xsd:string
Transaction PartnerOrganization
Name
Yes
The name of the
organization trading
partner.
The transaction
partner
organization must
have enabled
business activity
that allows a sell.
4022
xsd:positive
Integer
RINQuantity
Yes
The total number of
RINs specified in the
transaction.


xsd:decimal
BatchVolume
No
The volume of
renewable fuel sold in
the transaction.
If the assignment
code is "1," then
batch volume
must be specified.
4011




For assigned RINs
that are being
bought, the ratio
of RINs to fuel
must be greater
than 0 but less
than 2.5.
4032




Batch Volume
must be specified
if Gallon Price is
specified.
4054
(cont.)
Submitting EMTS Transactions using XML
34

-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
FuelCode
Yes
The renewable fuel
code for the RINs being
sold as defined in 40
CFR Section 80.1426.
Must be a valid
code recognized
by EPA.
4024
xsd:string
AssignmentCode
Yes
A code that indicates
whether the RIN is
transacting as an
assigned RIN or a
separated RIN.
If assignment code
is "1," then the
batch volume
must be specified.
4011
xsd:string
QAPServiceTypeCode
Yes
A code that identifies
the level of QAP service
for the RINs in the
transaction.
QAP Service Type
Code must be a
valid code that is
recognized by
EPA.
4064
xsd:gYear
RINYear
Yes
The RIN year is the year
in which the fuel is
produced.
RIN Year may not
be greater than
the year
associated with
the specified
Transfer date.
4019




The requested RIN
Year must fall
within the RIN
Year range
defined by the RIN
Years Allowed
parameter.
4028
(cont.)
Submitting EMTS Transactions using XML
35

-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
QA Checks
Data Type
Name

Required
Description
Description
Number
xsd:string
BuyReasonCode

Yes
This code identifies the
reason for a buy
transaction.
The allowable
reason code
reported by an
organization when
buying RINS are
dependent on
their business
activities as
registered with
EPA.
4035





A cancel trade
must match a
pending trade.
4041





"Incorrect Trading
Partner" can only
be reported for
assigned RINs.
4045
xsd:decimal
RINPriceAmount

No
Price paid per RIN.
The RIN price or
gallon price must
be provided.
4036





The transaction
must contain only
one price.
4047
xsd:decimal
GallonPriceAmount

No
Price paid per gallon of
renewable fuel.
The RIN price or
gallon price must
be provided.
4036





The transaction
must contain only
one price.
4047
(cont.)
Submitting EMTS Transactions using XML
36

-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:date
TransferDate
Yes
The date of the RIN
transaction.
The date specified
may not occur in
the future.
4020




Must be within
last 10 business
days per 40 CFR
80.1452(b).
4055
xsd:string
PTDNumber
No
The PTD number
associated with the
transaction.


xsd:string
Billof Lading
No
The Bill Of Lading
associated with the
transaction.


xsd:string
Invoice
No
The Invoice associated
with the transaction.


xsd:string
MatchingTransaction Identifier
No
The EMTS Transaction
ID of the pending sell
transaction.
If the buy
transaction has a
matched sell
transaction ID, the
transaction must
be in a pending
state.
4016




If the buy
transaction has a
matched sell
transaction ID, the
transaction must
match on trade
matching criteria.
4017
(cont.)
Submitting EMTS Transactions using XML
37

-------
Figure 9: Data Elements for BuyTransactionDetail (cont.)
Data Element
QA Checks
Required
Description
Description Number
Name
xsd:string
Transaction DetailCommentText
No
Comment provided by
the user on the
transaction.
A comment is
required for
transactions with
a Buy Reason
Code of "Remedial
Action - Incorrect
Trading Partner
(30)/' "Deny Trade
(50)/' or
"Remedial Action
- Duplicate Trade
(80)."
4037
complex
PublicSupportingDocumentDet
ail
No
Industry user defined
data to report
supporting document
identifiers which are
visible to the
organization's trading
partner.


complex
BuySupportingDocumentDetail
No
Information for the
industry user to create
user defined data to
report supporting
document identifiers.


complex
BuyOriginatingSourceDetail
No
Information on the
original renewable fuel
production.


Submitting EMTS Transactions using XML
38

-------
5.6 Retiring RINs
To identify RINs thatyou wish to retire, in order to meetyour RVO, or to record a batch of RINs that are no
longer valid due to spillage or other issue, report this information using the RetireTransactionDetail
complex type.
How these data elements are processed: Retiring RINs requires that you identify the number of RINs
being retired, the fuel code, QAP service type code, assignment code, year in with the fuel was produced, and
the compliance year which the RINs are being retired. EMTS will find the oldest batch of fuel in your
inventory and transfer ownership of the RINs to an EPA RIN Holding Account This ensures that you are
retiring, on a first-in, first-out (FIFO) basis, the earliest RINs that you own as defined by production date. In
addition to the RINs thatyou identify to retire, you must provide a reason for retirement
If you are retiring RINs to meet an obligation, you must also provide the level of compliance being met. You
may retire RINs to meet an organization's overall obligation, or a specific facility level obligation (refiners
only). If you are retiring RINs for a specific facility site, report the public facility identifier for the site.
If you are retiring RINs for non-obligation purposes, do not report the compliance year or compliance level.
In both cases, provide a reason for the retirement of the RINs.
If you need to provide supporting information regarding the retire transaction, such as document identifiers
or notes, use the RetireSupportingDocumentDetail complex type. Use this complex type to create user-
defined information by providing the type of document that contains the information and an identification
number or code for the document For example, if you wish to report an invoice number, place "invoice" as
the text for SupportingDocumentText and the invoice number for SupportingDocumentNumber.
If you wish to identify a specific batch of fuel to be retired (particularly for spillage or spoilage of fuel
batches), you can do so by using the RetireOriginatingSourceDetail complex type to identify the facility and
batch number. EMTS will try to match the specific batch in your RIN Holding Account; however, if you no
longer own these RINs, or the batch cannot be found, the transaction will fail.
Figure 10 shows the data elements for RetireTransactionDetail.
Submitting EMTS Transactions using XML
39

-------
Figure 10: Data Elements for RetireTransactionDetail
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:positive
Integer
RINQuantity
Yes
The total number
of RINs specified in
the transaction.
If Batch Volume is
provided, then the
ratio of RINs to fuel
must be greater than
"0" but less than "2.5."
7032




The organization must
have enough available
RINs in its holding
account to complete
the transaction.
7900
xsd:decimal
BatchVolume
No
The volume of
renewable fuel, if
any, associated
with the RINs that
are being retired.
If reason code
"Reportable Spill,"
"Contaminated or
Spoiled Fuel," "Import
Volume Correction,"
"Renewable Fuel Used
in a Boiler or an
Ocean-Going Vessel,"
or "Volume error
correction" is provided
for a retire transaction
then Batch Volume
must also be provided.
7040
xsd:string
FuelCode
Yes
The renewable
fuel code for the
RINs being retired
as defined in 40
CFR Section
80.1426.
Must be a valid code
recognized by EPA.
7024
(cont.)
Submitting EMTS Transactions using XML
40

-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
QAPServiceTypeCode
Yes
A code that
identifies the level
of QAP service for
the RINs in the
transaction.
QAP Service Type
Code must be a valid
code that is
recognized by EPA.
7064
xsd:string
AssignmentCode
Yes
Indicates whether
the RIN is
transacting as an
assigned RIN or a
separated RIN.


xsd:gYear
RINYear
Yes
The RIN year is the
year in which the
fuel is produced.
Must fall within RIN
Year range as defined
by RIN Years Allowed
parameter.
7028




May only equal the
Compliance Year or
one year prior. Check
executed only if
reason code is
"Demonstrate Annual
Compliance."
7041
xsd:string
RetireReasonCode
Yes
This code
identifies the
reason for a retire
transaction.
Allowable codes when
retiring RINs are
dependent on an
organization's
business activities
registered with EPA.
7035




Must be a valid code
recognized by EPA.
7039
(cont.)
Submitting EMTS Transactions using XML
41

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Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number




The "Delayed RIN
Retire" reason code
may only be used with
Separated Renewable
Fuel (D = 6) RINs.
7046




The "Remedial action
as specified by EPA"
reason may only be
used 5 times per
calendar year.
7057
xsd:date
TransactionDate
Yes
The date of the
RIN transaction.
Must be within the
last 5 business days.
7055




The "Remedial action
as specified by EPA"
reason code 110 may
only be used 5 times
per calendar year.
7056
(cont.)
Submitting EMTS Transactions using XML
42

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Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:gYear
ComplianceYear
No
The compliance
year for which the
transaction is
applied.
Required if the reason
code "Demonstrate
Annual Compliance" is
reported.
7016




If submittal date is
7017




on/between Apr 1 and





Dec 31, the





compliance year must





be the current year. If





submittal date is





on/between Jan 1 and





Feb 28, the





compliance year must





be the previous year.1

xsd:string
ComplianceLevelCode
No
The compliance
basis for the
submitting
organization:
If the code is "Refinery
by Refinery," the
facility identifier must
be reported.
7021



Facility,
Aggregated
Importer,
Must be a valid code
recognized by EPA.
7042



Aggregated
The reported code
7034



Refiner,
when retiring RINs is




Aggregated
dependent on an




Exporter, Non-
organization's




Obligated Party.
business activities that
are registered with
EPA.





A compliance level
7047




code must be





provided when





retiring for





compliance.

(cont.)
Submitting EMTS Transactions using XML
43

-------
Figure 10: Data Elements for RetireTransactionDetail (cont.)
Data Elements
QA Checks
Data Type
Name
Required
Description
Description
Number
xsd:string
ComplianceFacility Identifier
No
The facility
identifier, as
registered in
OTAQReg, for the
facility that has a
If reported, then the
compliance level code
must be "Facility
Level."
7022



compliance
obligation.
If reported, an active
facility identifier must
be registered at EPA.
7023
xsd:string
TransactionDetailComment
No
Comment
provided by the
user on the
transaction.
Required for reason
codes: "Reportable
Spill" "Contaminated
or Spoiled Fuel"
"Import Volume
Correction" "Invalid
RINs" "Volume error
correction"
"Enforcement
Obligation" "Remedial
action as specified by
EPA" or "Remedial
Action - Retire for
Compliance"
7037
complex
RetireSupportingDocumentDetail
No
Information for
the industry user
to create user
defined data to
report supporting
document
identifiers.


complex
RetireOriginatingSourceDetail
No
Information on the
original renewable
fuel production.


1 No RINs may be retired for compliance during the month of March.
Submitting EMTS Transactions using XML
44

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6.0 What Is the FIFO Process for Finding RINs?
When you identify a quantity of RINs that you wish to sell, separate, or retire, EMTS will find the closest
match of available RINs in your holding account for the specified fuel, RIN year, and assignment code. From
these RINs, EMTS will select the oldest batch of RINs based on the fuel production date. If the number of
RINs that you have specified in your transaction is smaller than the oldest batch EMTS finds in your account,
then that batch will be split into two smaller batches, one of which will be used for the transaction. The batch
not used in the transaction will remain in your RIN Holding Account with all the characteristics of the original
batch. As a consequence of this action, the number of RIN batches in your account may grow as larger batches
split into several smaller batches.
Alternatively, if the quantity requested is larger than one or more of the batches in your account, EMTS will
sum as many of the oldest batches together to reach the quantity desired.
If you specify an exact batch of RINs by reporting the originating source of the fuel (organization identifier,
facility identifier, and batch number), then EMTS will not use the first-in, first-out method, but look for the
specific batch.
7.0 How Do I Cancel a Buy or Sell Transaction?
EMTS has the capability to allow parties to cancel initiated buy and sell transactions if any party deems it
appropriate to cancel the transaction(s). A user may cancel transactions they have initiated either through
the EMTS website, or they can submit XML files through the node to cancel the transactions. Cancel
transactions must be identical (with the exception of the reason code) to the original transaction they are
intended to cancel. A cancel transaction must be submitted as a single transaction in a submission file. If a
cancel transaction is submitted in an XML file with other transactions (including other cancel transactions),
then the entire submission will fail.
Submitting EMTS Transactions using XML
45

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Appendix A: Glossary
EMTS Glossary
Title
Definition
Agent
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.
Assigned RIN
A RIN attached to a gallon of renewable fuel that can only be transferred
along with a volume of fuel.
Asynchronous
Communication between two parties or systems in which data can be
transmitted intermittently rather than in a steady stream.
Audit Trail
The set of data that has been stored in EMTS providing historical details
about specific actions.
Authentication
The process to confirm the identity of the user.
Authorization
The process to verify a user's permission to perform some functionality.
Batch
A volume of renewable fuel.
Batch RIN
A RIN number that represents a specific batch of renewable fuel produced
or imported.
Blender
Party who blends renewable fuel into gasoline or diesel fuel at or below
the levels that allow the separation of RINs.
Business Activities
The characteristics of a company that determine the type of transactions it
can do in EMTS.
CDX Central Data Exchange (CDX)
Central Data Exchange. EPA's gateway for receiving environmental
information through the Web. Serves as the EPA node on the Exchange
Network.
(cont.)
Appendix A
A-l

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EMTS Glossary (cont.)
Title
Definition
Check
A discrete unit of logic used to implement a business rule, or other
validation of data.
Company
A business entity with one or more users in EMTS.
Data Exchange Standard
Specification identifying content and format of data that will be exchanged
between multiple parties or systems.
Dataflow
Within CDX, the identification of how data moves from one specified
location to another specified location.
Deficit Carryover
Deficit of RINs from a previous year RVO that is added to a current year
RVO as specified in 40 CFR §80.1407.
Delegation (Upward)
The act by which a party that would normally be responsible for RIN
management transfers this responsibility to another party. For instance, a
blender may delegate this responsibility to a renewable fuel producer.
There is a limit of 125,000 gallons per year that a company can delegate
upwards as per 40 CFR §80.1440.
Delegation (User)
The act by which a responsible corporate officer of a regulated party
authorizes another party to perform transactions on the regulated party's
behalf.
EPA Moderated Transaction System
(EMTS)
EPA's centralized messaging, screening, and transaction system that
moderates RIN transactions.
Facility
An actual or virtual location where renewable fuel is produced or
imported.
Fuel Category
The code that identifies the type of fuel for which an organization is
generating RINs.
Fuel (D Code)
The code that identifies the category of renewable fuel. There are five
different fuel types: Cellulosic Biofuel D = 3, Biomass-based Diesel D = 4,
Advanced Biofuel D = 5, Renewable Fuel D = 6 and Cellulosic Diesel D = 7.
(cont.)
Appendix A
A-2

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EMTS Glossary (cont.)
Title
Definition
Gallon-RIN
A RIN that represents one gallon of renewable fuel.
Generate Transaction
A transaction that creates a batch RIN. RINs may only be generated when
a batch of renewable fuel is produced or imported.
Importer
An entity that imports transportation fuel.
Industry User
An EMTS user represents a regulated party.
Invalid RIN
A RIN described in 40 CFR §80.1431(a).
Logging
Functionality of a software system that stores information on the system
for auditing and tracking.
Message
A communication between a registered party and EMTS using EPA's
exchange network. It includes all the data needed to process a
transaction.
Node
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."
Node Client
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.
Notification
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.
Obligated Party
A party which is subject to a RVO(s) and produces gasoline or diesel, or
imports gasoline or diesel as per 40 CFR §80.1406.
Permissions
The ability to perform certain actions within EMTS.
(cont.)
Appendix A
A-3

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EMTS Glossary (cont.)
Title
Definition
Quality Assurance Program (QAP)
A voluntary program that improves the efficiency and effectiveness of the
RFS program by providing a structured way to assure the valid generation
of RINs.
QAP Provider
The organization that provides a level of quality assurance for the RIN
owner.
QAP Service Type
The service level of QAP for RINs involved in a transaction. Q-RINs have
been reviewed by a QAP Provider in accordance with §80.1469(c). If RINs
are not verified, then they are categorized as Unverified
Refiner
A company who refines gasoline or diesel fuel.
Registered Party
Any user of EMTS who has gained access through the registration process
with EPA.
RFS Regulated Party
Any party that takes ownership of a RIN.
Renewable Fuel
Transportation, heating oil, or jet fuel that is used to replace or reduce the
quantity of fossil fuel present in a fuel mixture used to operate a motor
vehicle, and which meets the definition in 40 CFR §80.1401.
Renewable Fuel Exporter
A party that exports renewable fuel and therefore has an RVO as per 40
CFR §80.1430
Renewable Fuel Producer
A party that produces renewable fuel.
Renewable Fuel Standard (RFS)
The rule which sets the percentage of fuel produced which must be
renewable, for parties that produce gasoline or diesel, or import gasoline
or diesel.
Renewable Identification Number (RIN)
An identifier that uniquely identifies a gallon of renewable fuel, generated
by a renewable fuel producer or importer. RINs are assigned to batches of
renewable fuel and are transferred to other regulated parties.
(cont.)
Appendix A
A-4

-------
EMTS Glossary (cont.)
Title
Definition
Renewable Volume Obligation (RVO)
The volume of renewable fuel, represented by RINs, that an obligated
party must obtain to be in compliance with the RFS.
Retire Transaction
A transaction where a regulated party removes a RIN from trading in
EMTS.
RIN Account
An account in EMTS used to store RINs.
RIN Assignment Code
A code that identifies whether or not a RIN is assigned to a gallon of
renewable fuel.
RIN Block
A group of sequential RINs identified by a start number and end number.
Larger RIN blocks can be split into smaller blocks, each block being
contiguous and sequential. RIN blocks cannot contain duplicate RINs.
RIN Credit
Credits that are transacted between renewable fuel producers to refiners,
importers exporters, and other obligated parties. RIN credits are identified
by unique identification numbers (RINs).
RIN Generation
See Generate Transaction.
RIN Owner
An owner of either assigned and/or separated RINs.
Role
A set of permissions for functions that a person is allowed to perform. A
role is assigned to a user (person).
Separate Transaction
A transaction that terminates the assignment of the RIN to a volume of
renewable fuel. The resulting RINs are thereafter "separated."
Separated RIN
A RIN which has been separated from a gallon of renewable fuel. RINs may
only be separated if a party has met the requirements in §80.1429. A
separated RIN can be transferred without an associated volume of fuel.
Small Refiner
A refiner that processes <75,000 bpd crude, or who has <1500 employees
and processes <155,000 bpd crude.
(cont.)
Appendix A
A-5

-------
EMTS Glossary (cont.)
Title
Definition
Splash Blending
The act of transferring and blending fuel simultaneously. Either party
involved in the transfer can separate the RINs if the requirements in
§80.1429 are met. However, both parties must agree on who will separate
the RINs.
Stage
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.
Submission
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.
Submission Date
The date an XML file is sent to EMTS, for the purpose of completing a
transaction.
Trade
A two-part transaction, consisting of a sell transaction initiated by one
party and a buy transaction initiated by another party.
Transaction
A transaction describes an operation on a batch RIN or gallon-RIN. A
transaction comprises a series of actions related to a specific process. Each
transaction is processed in stages and results in the return of a message to
the sending party identifying subsequent data on the transaction.
Transaction Date
The date on which a transaction occurs outside of EMTS. This is the date
recorded on the Product Transfer Document (PTD).
Transaction Instructions
A document made available to EMTS users that identifies procedures
needed to ensure adherence with the data exchange standard.
Transaction Log
The history of all of transactions which have been processed by EMTS.
Transfer
The process of deducting RINs from one RIN account and adding the same
RINs to a different RIN account.
User
A person who interacts with EMTS. A person authorized to use EMTS.
(cont.)
Appendix A
A-6

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EMTS Glossary (cont.)
Title
Definition
XML
A markup language for documents containing structured information. The
XML specifications define a standard way to add markup to documents. Its
primary purpose is to facilitate the sharing of structured data across
different information systems, particularly over the internet.
XML Document
An XML document is a file containing data organized into a structured
document. An XML document is considered "well-formed" if it conforms
to all XML syntax rules. An XML document is considered valid if it
conforms to all the semantic rules defined by an associated XML schema.
An XML document cannot be processed if it is not well-formed. XML
documents have the extension .xml.
XML Schema
An XML schema describes the structure of an XML document. An XML
schema defines the set of rules to which the XML document must conform
in order to be considered "valid" according to the schema. An instance of
an XML schema is an XML document and is a file with the extension .xsd.
Appendix A
A-7

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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
3000-3999
4000-4999
5000-5999
6000-6999
7000-7999
9000-9999
Submission File
Generate RINs
Buy RINs
Separate RINs
Sell RINs
Retire RINs
Lock RINs
10000-10999 Unlock RINs
EMTS QA Checks
Number
Check Group
Name
Description
1000
XML Validation
XML Validation
The XML document must adhere to EMTS xsd and be
well-formed and valid.
1010
Invalid Code
XML Validation
The XML document must contain valid codes.
1020
No XML File Found
XML Validation
XML document must be in the SUBMISSION_FILE table.
2000
User must be Registered
with CDX and Active
Submission
The user specified in the submission file must be
actively registered with CDX and have permission to
participate in EMTS.
(cont.]
Appendix B	B-l

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

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EMTS QA Checks (cont.)
Number
Name
Check Group
Description
2014
Organization must specify
a single valid RIN year for
submission.
Submission
An organization must specify a single valid RIN year for
a submission.
3000
Generate Organization
differs from Organization
Generate
If the generate organization is different than the
submitting organization identifier or RIN Pin, then the
organization must be a renewable fuel importer.
3001
Generate Organization
must be Registered with
EPA and Active
Generate
If the generate organization is provided, then it must
be registered with EPA and be active.
3002
Generate Facility must be
provided
Generate
For generate transactions, the generate facility
identifier must be provided.
3004
Generate Facility
Association with Generate
Organization
Generate
If generate organization is provided, then generate
facility must be actively associated with the generate
organization.
3005
Generate Facility
Association with
Organization
Generate
If generate organization is not provided, then the
generate facility must be actively associated with the
submitting organization.
3010
CoProduct Code Matches
Registration
Generate
If the co-product is reported for a fuel, it must be
registered with EPA.
3011
Production Date within
Range
Generate
The production date must not occur after the date
specified in submittal data.
3012
Organization Permissions
Generate
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
(cont.)
Appendix B
B-3

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
3013
Ethanol Production
Generate
If "Non-cellulosic Ethanol" or "Cellulosic Ethanol" RINs
are reported in the generate transaction, then
denaturant volume must be reported.
3014
Denaturant Volume
Generate
If denaturant volume is reported, then "Non-cellulosic
Ethanol" or "Cellulosic Ethanol" must be reported.
3016
Denaturant Volume within
Allowed Range
Generate
When denaturant gallons are reported for ethanol fuel,
the amount specified cannot exceed the percent
specified in GLOBAL_PARAMETER.PERCENT_DENATURANT of
the total volume of fuel produced.
3018
Batch Number must be
Provided
Generate
Batch number must be provided.
3019,
3021
Batch Number must be
Unique
Generate
Batch number must be unique for an organization,
facility, and RIN year.
3022
RIN Quantity must equal
the Product of
Equivalence Value and
Batch Volume
Generate
If Equivalence Value is reported then RIN Quantity
must equal the product of Batch Volume and the
allowed Equivalence Value.
3023
Feedstock Code must be
valid
Generate
The feedstock code reported in the production of fuel
must be a valid code that is recognized by EPA.
3024
Process Code must be
valid
Generate
The process code reported in the production of fuel
must be a valid code that is recognized by EPA.
3025
CoProduct Code must be
valid
Generate
The co-product code reported in the production of fuel
must be a valid code that is recognized by EPA.
(cont.)
Appendix B
B-4

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
3026
Equivalence Value Range
Generate
The equivalence value reported must equal the
specified value for the fuel category produced.
3027
Feedstock Measure Code
must be valid
Generate
The feedstock measure code reported in the
production of fuel must be a valid code that is
recognized by EPA.
3030
Renewable Biomass
Generate
If RINs are generated (RIN Quantity greater than or
equal to "1"), then all specified feedstocks must be
indicated as "Renewable Biomass."
3032
Fuel Code must be
registered
Generate
The fuel code reported must be registered with EPA.
3033
Fuel Category Code must
be valid
Generate
The fuel category code reported in the production of
fuel must be a valid code that is recognized by EPA.
3034
Fuel Code must be valid
Generate
The fuel code reported in the production of fuel must
be a valid code that is recognized by EPA.
3040
Fuel Code Compatible
with Fuel Category
Generate
The fuel code reported must be compatible with the
fuel category used in the production of fuel.
3041
Fuel Code, Fuel Category
Compatible with Process
Generate
The fuel code and fuel category reported must be
compatible with the process used in fuel production.
3042
Feedstock Compatible
with Fuel Code, Fuel
Category and Process
Generate
The feedstock reported must be compatible with the
fuel code, fuel category, and process used in the
production of fuel.
3043
Foreign Producer Cannot
be a Small Blender
Generate
If the generate organization differs from the submitting
organization then the generating organization must not
be a Small Blender.
(cont.)
Appendix B
B-5

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
3044
Foreign Producer must be
Bonded
Generate
If the Submission Organization is a Foreign Producer,
they must be bonded.
3045
Foreign Producer
Generate Organization
Generate
If the generate organization differs from the submitting
organization then the generating organization must be
a Foreign Producer.
3047
Import Facility Required
Generate
If the generate organization differs from the submitting
organization then the ImportFacilityld is required.
3048
Import Facility must be
Registered with the EPA
and active
Generate
If the import facility is provided, it must be registered
with the EPA and active
3049
Import Facility not
allowed
Generate
Import Facility Identifier not allowed if not importing
fuel.
3050
Import Facility Required
Generate
If the submitting organization is only a renewable fuel
importer, then they must provide an Import Facility
Identifier.
3051
Import Facility Not
Allowed
Generate
If the Import Facility Identifier is populated, then the
submitting organization must be a renewable fuel
importer.
3052
Generate Public Facility
Number must be unique
Generate
The generate facility number specified must be unique
for the organization.
3053
Import Public Facility
Number must be unique
Generate
The import facility number specified must be unique
for the organization.
3055
Production Date must be
within Allowed Range
Generate
Production date must be within the last 5 business days
per 40 CFR 80.1452(b).
(cont.)
Appendix B
B-6

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
3056
Pathways must have same
QAP Provider
Generate
Each feedstock must belong to a pathway with the
same QAP Provider, or all must have none.
3064
QAP Service Type Code
must be valid
Generate
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
3066
Pathways must have same
QAP Service Type
Generate
Each feedstock must belong to a pathway with the
same QAP Service Type Code, or all must have none.
3067
Fuel Pathway Matches
Registration
Generate
The Fuel Category Code, Fuel Code, and Process Code
reported in the production of fuel must match a
registered fuel pathway.
3069
Feedstock Matches
Registration
Generate
The Feedstock Code reported in the production of fuel
must be part of a registered fuel pathway.
3070
No Registered Feedstock
for Specified Pathway and
Facility
Generate
There must be at least one Feedstock registered for the
specified Facility, Fuel Code, Fuel Category Code,
Process Code, and QAP Service Type Code.
3071
Check for suspended
pathway
Generate
The Fuel Category Code, Fuel Code, and Process Code
reported in the production of fuel cannot be
suspended unless QAP Service Type is 30.
3072
Check for suspended
pathway
Generate
The Fuel Category Code, Fuel Code, Process Code and
Feedstock reported in the production of fuel cannot be
suspended unless QAP Service Type is 30.
3075
QAP Service Type Code is
required if QAP is live.
Generate
A QAP Service Type Code is required if the QAP
program is live.
(cont.)
(cont.)
Appendix B
B-7

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EMTS QA Checks (cont.)
Number
Name
Check Group
Description
3076
QAP service type Code
must be 30 if QAP is not
live.
Generate
When QAP is not live, QAP Service Type Code must be
30.
3077
Remedial Generate
Transaction must be
authorized.
Generate
A remedial generate transaction must have a
corresponding remedial generate authorization.
3900
Sufficient RINs
Generate
Runs reservation step for generate transaction.
Needed for Transaction_Status_Log entry.
4001
Generate Organization
must be Registered with
EPA and Active
Buy
If the generate organization is provided, then it must
be registered with EPA and be active.
4003
Generate Facility must be
Registered with EPA
Buy
If the generate facility is provided in the submission file
then it must be registered with EPA.
4006
Batch Number
Buy
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must be reported as well.
4007
Generate Facility
Buy
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
4011
Assignment Code of "1"
Buy
If assignment is "1," then the batch volume must be
specified.
4012
Organization Permissions
Buy
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
(cont.)
Appendix B
B-8

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EMTS QA Checks (cont.)
Number
Name
Check Group
Description
4013
Organization Identifier on
Blocked List
Buy
If you have created a list of organizations for which you
do not want to own any fuel, should a transaction
include the organization as the originating source, the
transaction will automatically fail.
4014
Facility Identifier on
Blocked List
Buy
If you have created a list of facilities for which you do
not want to own any fuel, should a transaction include
the organization as the originating source, the
transaction will automatically fail.
4015
Trade Contains Blocked
RINs
Buy
If the buy transaction has a matched sell transaction,
the RINs reserved for the Sell cannot have been
generated by an organization or facility on the
submitting organizations blocked list.
4016
Matched Transaction
Must Be a Pending Sell
Buy
If the Buy Transaction has a matched Sell transaction
ID, the transaction must be in a pending state.
4017
Matched Transaction ID
Must Belong to a
Matching Sell
Buy
If the Buy Transaction has a matched Sell transaction
ID, the transaction must match on trade matching
criteria.
4018
Transaction Partner
Organization Registered at
EPA and Active
Buy
The transaction partner organization must be
registered at EPA and be active.
4019
RIN Year and Transfer
Date
Buy
RIN Year may not be greater than the year associated
with the specified Transfer Date.
4020
Transfer Date Consistent
Buy
The transfer date specified may not occur in the future.
(cont.)
Appendix B
B-9

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
4021
Matching Trade pending
RINs count validation
Buy
The user provided matching trade must have the
correct number of pending RINs.
4022
Transaction Partner
Organization Must Have
Correct Business Activity
Buy
The transaction partner organization must have
enabled business activity that allows a sell.
4024
Fuel Code must be valid
Buy
The fuel code reported must be a valid code that is
recognized by EPA.
4028
RIN Year must be valid
Buy
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter.
4032
RIN Quantity Ratio to
Batch Volume
Buy
For assigned RINs that are being bought, the ratio of
RINs to fuel must be greater than "0" but less than
"2.5."
4034
Reason Code must be
valid
Buy
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
4035
Allowable Reason Code
Buy
The allowable reason code reported by an organization
when buying RINs are dependent on their business
activities as registered with EPA.
4036
RIN Price or Gallon Price
Provided
Buy
The RIN price or gallon price must be provided.
4037
Reason Comment
Buy
If reason "Standard Trade" or "Cancel" is not provided
for a buy transaction then a comment must be
provided.
(cont.)
Appendix B
B-10

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
4041
Cancel Trade
Buy
A Cancel trade must match a pending trade.
4042
Same Buy and Sell
Organization
Buy
The buying organization cannot be the same as the
selling organization.
4043
One Cancel per
Submission
Buy
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
4045
Incorrect Trading Partner
Buy
"Incorrect Trading Partner" can only be reported for
assigned RINs.
4046
Advanced Options
"Improper Generation"
Buy
Originating source information (generating
organization, generating facility, and batch number)
must be specified when the Buy Reason is "Improper
Generation".
4047
Only one of RIN Price and
Gallon Price is allowed
Buy
The user may not provide both a RIN price and a gallon
price.
4052
Public Facility Number
must be unique
Buy
The facility number specified must be unique for the
organization.
4054
Batch Volume Gallon Price
Buy
Batch Volume must be specified if Gallon Price is
specified.
4055
Transfer Date must be
within Allowed Range
Buy
The Transfer Date must be within the last n days based
on TRANSFER_DATE_DAYS_BACK parameter
4064
QAP Service Type Code
must be valid
Buy
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
(cont.)
Appendix B
B-ll

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
4066
RIN Price or Gallon Price
Prohibited
Buy
The RIN price or gallon price must not be provided with
selected reason code.
4075
QAP Service Type Code is
required when final QAP
rule is in effect
Buy
A QAP Service Type Code is required when the final
QAP rule is in effect.
4076
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Buy
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
4077
Price must be greater than
0 when Buy Reason Code
is 11 or 12.
Buy
A price other than $0.00 must be reported for a buy
transaction with a reason of "Spot Trade" (11) or "Term
Contract" (12).
4078
Price Unit must be Price
Per RIN when Buy reason
Code is 11 or 12.
Buy
The price of a buy transaction with a reason of "Spot
Trade" (11) or "Term Contract" (12) must be reported
in per RIN units.
4079
Buy Reason Code cannot
be 10 for separated RINS
on or after 01/01/2020
Buy
The reason "Standard Trade" (10) must not be reported
for a buy transaction if Transfer Date is on or after
01/01/2020 and the RIN Assignment Code is Separated.
4080
Buy Reason Code cannot
be 11,12, or 13 for RINs
transferred before
01/01/2020 or for RINs
that are Assigned
Buy
The reason "Spot" (11), "Term Contract" (12), or
"Consignment" (13) must not be reported for a buy
transaction if the Transfer Date is prior to 01/01/2020
or the RIN Assignment Code is Assigned.
4800
Reserve Pending Trade
Buy
The transaction specified by the matching transaction
identifier must be available to be reserved.
(cont.)
Appendix B
B-12

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
4900
Sufficient RINs
Buy
Runs reservation step for generate transaction.
Needed for Transaction_Status_Log entry.
5001
Generate Organization
must be Registered with
EPA and Active
Separate
If the generate organization is provided, then it must
be registered with EPA and be active.
5003
Generate Facility must be
Registered with EPA
Separate
If the generate facility is provided then it must be
registered with EPA.
5007
Generate Facility
Separate
If a generate facility is reported, then the organization
where the fuel was produced must be reported as well.
5012
Organization Permissions
Separate
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
5019
RIN Year and Transaction
Date
Separate
RIN Year may not be greater than the year associated
with the specified Transaction Date.
5020
Transaction Date
Consistent
Separate
The transaction date specified may not occur in the
future.
5024
Fuel Code must be valid
Separate
The fuel code reported must be a valid code that is
recognized by EPA.
(cont.)
Appendix B
B-13

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
5028
RIN Year must be valid
Separate
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter.
5032
RIN Quantity Ratio to
Batch Volume
Separate
For assigned RINs that are being separated from a
volume of fuel, the ratio of RINs to fuel must be greater
than "0" but less than "2.5."
5033
Upstream Delegation for
Blending
Separate
The blender organization name and blender
organization identifier must be specified when
identifying "Upstream Delegation for Blending" as the
separation reason.
5034
Blender Organization
must be Registered with
EPA and Active
Separate
If a blender organization is provided, then it must be
registered with EPA and be active.
5035
Allowable Reason Code
Separate
The allowable reason code reported by an organization
when separating RINs are dependent on their business
activities as registered with EPA.
5036
Blender Organization
Business Activity
Separate
If a Blender organization is specified then the
organization must have a business activity of small
blender.
5037
Reason Code must be
valid
Separate
The reason code reported must be a valid code that is
recognized by EPA.
5038
Sufficient RINs
Separate
The organization must have enough available RINs in its
holding account for the specified Fuel and RIN Year to
complete the transaction.
(cont.)
Appendix B
B-14

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
5039
Small Blender Volume
Separate
RIN separated on behalf of a small blender may not
exceed the volume in gallons per calendar year as
determined by the Small Blender Maximum Volume
parameter.
5040
Blender Organization
Separate
If a Blender Organization Identifier or Blender Name is
reported then separate reason "Upward Delegation"
must also be reported.
5041
Reason Comment
Separate
If reason "Remedial action as specified by EPA" is
provided for a buy transaction then a comment must
be provided.
5046
Delayed RIN Separation
Separate
If the organization specifies "Delayed RIN Separate" as
the reason code, then the fuel code may not be
Renewable Fuel (D = 6).
5052
Public Facility Number
must be unique
Separate
The facility number specified must be unique for the
organization.
5055
Transaction Date must be
within Allowed Range
Separate
The Transaction Date must be within the last n
business days based on TRANSACTION_DATE_DAYS_
BACK_SEPARATED_RINS parameter
5064
QAP Service Type Code
must be valid
Separate
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
5075
QAP Service Type Code is
required when final QAP
rule is in effect
Separate
A QAP Service Type Code is required when the final
QAP rule is in effect.
(cont.)
Appendix B
B-15

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
5076
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Separate
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
5900
Sufficient RINs (FIFO)
Separate
The organization must have enough available RINs in its
holding account to complete the transaction.
5901
Sufficient RINs
(Organization)
Separate
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
5902
Sufficient RINs (Facility)
Separate
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
5903
Sufficient RINs (Batch)
Separate
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
6001
Generate Organization
must be Registered with
EPA
Sell
If the generate organization is provided, then it must
be registered with EPA.
6003
Generate Facility must be
Registered with EPA
Sell
If the generate facility is provided, then it must be
registered with EPA.
6006
Batch Number
Sell
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
6007
Generate Facility
Sell
If a generate facility is reported, then the organization
where the fuel was produced must be reported as well.
(cont.)
Appendix B
B-16

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
6011
Assignment Code of "1"
Sell
If the assignment is "1," then batch volume must be
specified.
6012
Organization Permissions
Sell
The transactions that can be reported by an
organization are dependent on its active business
activities as registered with EPA.
6016
Matched Transaction
Must Be a Pending Buy
Sell
If the Sell Transaction has a matched Buy transaction
ID, the transaction must be in a pending state.
6017
Matched Transaction ID
Must Belong to a
Matching Buy
Sell
If the Sell Transaction has a matched Buy transaction
ID, the transaction must match on trade matching
criteria.
6018
Transaction Partner
Organization Registered at
EPA and Active
Sell
The transaction partner organization must be
registered at EPA and be active.
6019
RIN Year and Transfer
Date
Sell
RIN Year may not be greater than the year associated
with the specified Transfer Date.
6020
Transfer Date Consistent
Sell
The transfer date specified may not occur in the future.
6022
Transaction Partner
Organization Registered is
allowed to buy
Sell
The transaction partner organization must be
registered at EPA and be active.
6024
Fuel Code must be valid
Sell
The fuel code reported must be a valid code that is
recognized by EPA.
6028
RIN Year must be valid
Sell
The requested RIN Year must fall within the
RIN_EXPIRATION_YEARS range defined by the
RIN_EXPIRATION_YEARS global parameter.
(cont.)
Appendix B
B-17

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
6032
RIN Quantity Ratio to
Batch Volume
Sell
For assigned RINs that are being sold, the ratio of RINs
to fuel must be greater than "0" but less than "2.5."
6034
Reason Code must be
valid
Sell
The reason code reported in the production of fuel
must be a valid code that is recognized by EPA.
6035
Allowable Reason Code
Sell
The allowable reason code reported by an organization
when selling RINs are dependent on their business
activities as registered with EPA.
6036
RIN Price or Gallon Price
Provided
Sell
The RIN price or gallon price must be provided.
6037
Reason Comment
Sell
A comment is required for transactions with a Sell
Reason Code of "Remedial Action - Incorrect Trading
Partner (30)/' "Deny Trade (50)/' or "Remedial Action -
Duplicate Trade (80)."
6038
Sufficient RINs
Sell
The organization must have enough available RINs in its
holding account for the specified Fuel, RIN Year, and
Assignment Code to complete the transaction.
6040
Trading Partner Blocked
RINs
Sell
One or more of your RIN batches are blocked by your
trading partner.
6041
Cancel Trade
Sell
A Cancel trade must match a pending trade.
6042
Same Buy and Sell
Organization
Sell
The selling organization cannot be the same as the
buying organization.
6043
One Cancel per
Submission
Sell
If a Cancel transaction is reported then no other
transaction may be reported in the submission.
(cont.)
Appendix B
B-18

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
6044
Improper Generation
Sell
If a Trade due to "Improper Generation" reason is
reported then RINs must be sold to the originating
organization of those RINs.
6045
Incorrect Trading Partner
Sell
"Incorrect Trading Partner" can only be reported for
assigned RINs.
6046
Advanced Options
"Improper Generation"
Sell
Originating source information (generating
organization, generating facility, and batch number)
must be specified when the Sell Reason is "Improper
Generation".
6047
Only one of RIN Price and
Gallon Price is allowed
Sell
The user may not provide both a RIN price and a gallon
price.
6052
Public Facility Number
must be unique
Sell
The facility number specified must be unique for the
organization.
6054
Batch Volume Gallon Price
Sell
Batch Volume must be specified if Gallon Price is
specified.
6055
Transfer Date must be
within Allowed Range
Sell
The Transfer Date must be within the last n days based
on TRANSFER_DATE_DAYS_BACK parameter
6064
QAP Service Type Code
must be valid
Sell
The QAP Service Type Code reported must be a valid
code that is recognized by EPA.
6075
QAP Service Type Code is
required when final QAP
rule is in effect
Sell
A QAP Service Type Code is required when the final
QAP rule is in effect.
(cont.)
Appendix B
B-19

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
6076
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Sell
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
6077
Price must be greater than
0 when Sell Reason Code
is 11 or 12.
Sell
A price other than $0.00 must be reported for a sell
transaction with a reason of "Spot Trade" (11) or "Term
Contract" (12).
6078
Price Unit must be Price
Per RIN when Sell Reason
Code is 11 or 12.
Sell
The price of a sell transaction with a reason of "Spot
Trade" (11) or "Term Contract" (12) must be reported
in per RIN units.
6079
Sell Reason Code cannot
be 10 for separated RINS
on or after 01/01/2020
Sell
The reason "Standard Trade" (10) must not be reported
for a sell transaction if Transfer Date is on or after
01/01/2020 and the RIN Assignment Code is Separated.
6080
Sell Reason Code cannot
be 11,12, or 13 for RINs
transferred before
01/01/2020 or for RINs
that are Assigned
Sell
The reason "Spot" (11), "Term Contract" (12), or
"Consignment" (13) must not be reported for a sell
transaction if the Transfer Date is prior to 01/01/2020
or the RIN Assignment Code is Assigned.
6800
Reserve Pending Trade
Sell
The transaction specified by the matching transaction
identifier must be available to be reserved.
6900
Sufficient RINs (FIFO)
Sell
The organization must have enough available RINs in its
holding account to complete the transaction.
6901
Sufficient RINs
(Organization)
Sell
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
(cont.)
Appendix B
B-20

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
6902
Sufficient RINs (Facility)
Sell
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
6903
Sufficient RINs (Batch)
Sell
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
6904
RIN Price or Gallon Price
Prohibited
Sell
The RIN price or gallon price must not be provided with
selected reason code.
7001
Generate Organization
must be Registered with
EPA and Active
Retire
If the generate organization is provided, then it must
be registered with EPA and be active.
7003
Generate Facility must be
Registered with EPA
Retire
If the generate facility is provided then it must be
registered with EPA.
(cont.)
Appendix B
B-21

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
7006
Batch Number
Retire
If a batch number is reported, then both the
organization and facility identifiers where the fuel was
produced must also be reported.
7007
Generate Facility
Retire
If a generate facility is reported, then the organization
where the fuel was produced must also be reported.
7012
Organization Permissions
Retire
The transactions that can be reported by an
organization are dependent on their active business
activities as registered with EPA.
7016
Compliance Year
Retire
Compliance year is required if the reason code
"Demonstrate Annual Compliance" is reported.
7017
Valid Compliance Year
Retire
If the submittal date is on/between April 1 and
December 31, then the compliance year must be the
current year. If the submittal date is on/between
January 1 and February 28, the compliance year must
be the previous year.
7019
RIN Year and Transaction
Date
Retire
RIN Year may not be greater than the year associated
with the specified Transaction Date.
7020
Transaction Date
Consistent
Retire
The transaction date specified may not occur in the
future.
7021
Reporting Compliance at
the Refinery Level
Retire
If the compliance level code reported is "Refinery by
Refinery," the facility identifier must be reported.
7022
Refinery Level Compliance
Retire
If a facility identifier is reported for compliance, then
the compliance level code must be "Refinery by
Refinery."
(cont.)
Appendix B
B-22

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
7023
Compliance Facility
Registered at EPA and
Active
Retire
If a compliance facility identifier is reported, then the
facility identifier must be registered at EPA and be
active.
7024
Fuel Code must be valid
Retire
The fuel code reported must be a valid code that is
recognized by EPA.
7028
RIN Year must be valid
Retire
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter
7032
RIN Quantity Ratio to
Batch Volume
Retire
If Batch Volume is provided, then the ratio of RINs to
fuel must be greater than "0" but less than "2.5."
7034
Allowable Compliance
Level Code
Retire
The allowable compliance level code reported by an
organization when retiring RINs are dependent on their
business activities registered with EPA.
7035
Allowable Reason Code
Retire
The allowable reason code reported by an organization
when retiring RINs are dependent on their business
activities registered with EPA.
7037
Reason Code Comment
Retire
If reason code 10, 20, 50, 60, 70,110,120,130,140, or
150 is used in a retire transaction then a comment
must be provided.
7038
Sufficient RINs
Retire
The organization must have enough available RINs in its
holding account for the specified Fuel, RIN Year, and
Assignment Code to complete the transaction.
7039
Reason Code must be
valid
Retire
The reason code reported must be a valid code that is
recognized by EPA.
(cont.)
Appendix B
B-23

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
7040
Reason Code Batch
Volume
Retire
If reason code "Reportable Spill," "Contaminated or
Spoiled Fuel," "Import Volume Correction,"
"Renewable Fuel Used in a Boiler or an Ocean-Going
Vessel," or "Volume error correction" is provided for a
retire transaction then Batch Volume must also be
provided.
7041
Compliance RIN Year
Retire
RIN Year may only equal the Compliance Year or one
year prior to the Compliance Year. This check should
only be executed if reason code equals "Demonstrate
Annual Compliance."
7042
Compliance Level Code
must be valid
Retire
The compliance level code reported must be a valid
code that is recognized by EPA.
7043
Retire for Annual
Compliance
Retire
If retire for reason code "Demonstrate annual
compliance" is reported then the RINs must have an
assignment code of "2."
7046
Delayed RIN Retire
Retire
The "Delayed RIN Retire" reason code may only be
used with Separated Renewable Fuel (D = 6) RINs.
7047
Compliance Level Code
Required
Retire
A compliance level code must be provided when
retiring for compliance.
7052
Public Facility Number
must be unique
Retire
The facility number specified must be unique for the
organization.
7055
Transaction Date must be
within Allowed Range
Retire
The Transaction Date must be within the last n days
based on
TRANSACTION_DATE_DAYS_BACK_RETIRED_RINS
parameter
(cont.)
Appendix B
B-24

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
7056
Transaction Date must be
within Allowed Range
when using reason 110
Retire
Reason Code 110 must be used within n days based on
the RETIRE_REASON_110_DAYS_BACK parameter.
7057
Reason Code 110 only
allowed 5 times
Retire
Reason Code 110 may only be used 5 times based on
the RETIRE_REASON_110_USES parameter.
7064
QAP Service Type Code
must be valid
Retire
The QAP Service Type Code reported must be a valid
code that is recognized by EPA.
7075
QAP Service Type Code is
required when final QAP
rule is in effect
Retire
A QAP Service Type Code is required when the final
QAP rule is in effect.
7076
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Retire
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
7077
Compliance Year cannot
be in the future
Retire
If retiring for compliance, the Compliance Year cannot
be in the future.
7078
Compliance Year cannot
be before 2010 if Retiring
for Compliance as an
Aggregated Exporter
Retire
Compliance Year cannot be before 2010 if Retiring
for Compliance as an Aggregated Exporter.
7079
RIN Year cannot be
greater than Compliance
Year if Retiring for
Compliance as an
Aggregated Exporter
Retire
RIN Year cannot be greater than Compliance Year if
Retiring for Compliance as an Aggregated Exporter.
(cont.)
Appendix B
B-25

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
7900
Sufficient RINs (FIFO)
Retire
The organization must have enough available RINs in
its holding account to complete the transaction.
7901
Sufficient RINs
(Organization)
Retire
The organization must have enough available RINs
from the specified organization in its holding account
to complete the transaction.
7902
Sufficient RINs (Facility)
Retire
The organization must have enough available RINs
from the specified facility in its holding account to
complete the transaction.
7903
Sufficient RINs (Batch)
Retire
The organization must have enough available RINs
from the specified batch in its holding account to
complete the transaction.
9001
Originate Organization
must be Registered with
EPA
Lock
If the originate organization is provided then it must
be registered with EPA.
9003
Originate Facility must be
Registered with EPA
Lock
If the originate facility is provided then it must be
registered with EPA.
9006
Batch Number
Lock
If a batch number is reported then both the
organization and facility identifiers where the fuel was
produced must also be reported.
9007
Originate Facility
Lock
If an originate facility is reported then the organization
where the fuel was produced must also be reported.
(cont.)
Appendix B
B-26

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
9024
Fuel Code must be valid
Lock
The fuel code reported must be a valid code that is
recognized by EPA.
9028
RIN Year must be valid
Lock
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter
9064
QAP Service Type Code
must be valid
Lock
The QAP Service Type code reported must be a valid
code that is recognized by EPA.
9076
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Lock
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
9077
Fuel Code must be
specified.
Lock
Fuel Code must be specified.
9078
QAP service type Code
must be specified.
Lock
QAP service type Code must be specified.
9079
Assignment Code must
be specified.
Lock
Assignment Code must be specified.
9900
Sufficient RINs (FIFO)
Lock
The organization must have available RINs in its
holding account to complete the transaction.
9901
Sufficient RINs
(Organization)
Lock
The organization must have available RINs from the
specified organization in its holding account to
complete the transaction.
(cont.)
Appendix B
B-27

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
9902
Sufficient RINs (Facility)
Lock
The organization must have available RINs from the
specified facility in its holding account to complete the
transaction.
9903
Sufficient RINs (Batch)
Lock
The organization must have available RINs from the
specified batch in its holding account to complete the
transaction.
10001
Originate Organization
must be Registered with
EPA
Unlock
If the originate organization is provided then it must
be registered with EPA.
10003
Originate Facility must be
Registered with EPA
Unlock
If the originate facility is provided then it must be
registered with EPA.
10006
Batch Number
Unlock
If a batch number is reported then both the
organization and facility identifiers where the fuel was
produced must also be reported.
10007
Originate Facility
Unlock
If a originate facility is reported then the organization
where the fuel was produced must also be reported.
10024
Fuel Code must be valid
Unlock
The fuel code reported must be a valid code that is
recognized by EPA.
10028
RIN Year must be valid
Unlock
The requested RIN Year must fall within the RIN Year
range defined by the RIN_EXPIRATION_YEARS
parameter.
10064
QAP Service Type Code
must be valid
Unlock
The QAP Service Type Code reported must be a valid
code that is recognized by EPA.
(cont.)
Appendix B
B-28

-------
EMTS QA Checks (cont.)
Number
Name
Check Group
Description
10076
QAP Service Type Code
must be 30 when final
QAP rule is not in effect
Unlock
QAP Service Type Code must be 30 when the final QAP
rule is not in effect.
10077
Fuel Code must be
specified.
Unlock
Fuel Code must be specified.
10078
QAP service type Code
must be specified.
Unlock
QAP service type Code must be specified.
10079
Assignment Code must
be specified.
Unlock
Assignment Code must be specified.
10900
Sufficient RINs (FIFO)
Unlock
The organization must have RINs in its holding account
that match the criteria specified to complete the
transaction.
10901
Sufficient RINs
(Organization)
Unlock
The organization must have available RINs from the
specified organization in its holding account to
complete the transaction.
10902
Sufficient RINs (Facility)
Unlock
The organization must have available RINs from the
specified facility in its holding account to complete the
transaction.
10903
Sufficient RINs (Batch)
Unlock
The organization must have available RINs from the
specified batch in its holding account to complete the
transaction.
Appendix B
B-29

-------
Appendix C: Business Activities by Transaction Type
The following chart shows the types of transactions allowed based on an organization's business activities. One organization may register for multiple
business activities.
Transaction Types
Domestic
Renewable
Fuel
Producer
Renewable
Fuel
Importer
Non-
renewable
Fuel
Importer
Foreign
Renewable
Fuel
Producer
(Bonded)
Foreign
Renewable
Fuel
Producer
(Unbonded)
Renewable
Fuel
Exporter
Refiner
Small
Refiner*
RIN
Owner
Small
Blender**
Quality
Assurance
Provider
Generate
0
0

0







Separate (Receipt of Renewable Fuel)


0



0




Separate (Blending)
0
0
0


0
0
0
0


Separate (Designation as Transportation Fuel)
0
0
0


0
0
0
0


Separate (Upstream Delegation for Blending)
0
0
0


0
0
0
0


Separate (Export)





0





Separate (Use as Heating Oil or Jet Fuel)
0
0
0


0
0
0
0


Separate (Use in Non-road Engine or Vehicle)
0
0
0


0
0
0
0


Separate (Designation as Heating Oil or Jet Fuel)
0
0
0


0
0
0
0


Trade Assigned RINs
0
0
0
0

0
0
0
0


Trade Separated RINs
0
0
0


0
0
0
0


Retire (Reported Spill)
0
0
0
0

0
0
0
0


Retire (Contaminated or Spoiled Fuel)
0
0
0
0

0
0
0
0


Retire (Import Volume Correction)

0

0







Retire (Demonstrate Annual Compliance)


0


0
0




Retire (Invalid RIN)
0
0
0
0

0
0
0
0


Retire (Volume Error Correction)
0


0







Retire (Enforcement Obligation)
0
0
0
0

0
0
0
0


Retire (Fuel Used in an Ocean-Going Vessel)
0
0
0
0

0
0
0
0


Retire (Renewable fuel used or designated to be used
in any application that is not transportation fuel,
heating oil, or jet fuel
0
0
0
0

0
0
0
0


*Less than 155,000 gallons per year and has a small refiner exemption

**May view information about transactions performed on their behalf.






0
Yes



No

Appendix C
C-l

-------
Appendix D: Sample Transactions
D-l Generate Transaction
Generate transactions allow renewable fuel producers to generate RINs for a newly produced batch of fuel. The
characteristics of this new batch of fuel are used to identify the RINs for future transactions. Once EMTS has
successfully processed a generate transaction, the submitter can see the new RINs in the organization's RIN
Holding Account.
In this example, an ethanol Producer is sending information about a batch of RINs and identifies the feedstock
used to produce the fuel.
Objective: Ethanol Producer generates 5,000 RINs.
Information to deliver:
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Process Code - The process code which describes how the renewable fuel was made.
•	Production Date-The year of production is the RIN year which can be used by buyers and sellers to specify
RINs for a trade.
•	Fuel Category - Indicates the type of renewable fuel produced.
•	Batch Volume - The total volume in gallons of renewable fuel. For ethanol, batch volume includes both
the volume in gallons of un-denatured fuel and the volume in gallons of denaturant.
•	Denaturant Volume (for non-cellulosic ethanol and cellulosic ethanol fuel only) - The total volume in
gallons of denaturant added to the fuel.
•	Equivalence Value - A multiplier directly related to the fuel code.
•	RIN Quantity-The total number of RINs being generated in this transaction calculated by multiplying the
Batch Volume by the Equivalence Value.
Figure D-l shows how these data would appear in a generate transaction data block.
Appendix D
D-l

-------
Figure D-l: Generate Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
FuelCode
6
Renewable
Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
ProcessCode
10
Grandfathered
(Dry Mill,
Natural Gas
Fired)
Yes
Enter a valid process code.
ProductionDate
2014-01-07

Yes
Enter the date in YYYY-MM-DD
format.
FuelCategory
10
Non-cellulosic
Ethanol
Yes
Enter a valid fuel type.
BatchVolume
5000

Yes
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
DenaturantVolume
238

No
Enter the volume in gallons of
denaturant added to the renewable
fuel.
EquivalenceValue
1.0

Yes
Enter a valid equivalence value from
Section 5 of this document. This is a
multiplier directly related to fuel
code.
RINQuantity
5000

Yes
Enter the total number of RINs. This
must be a whole number.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
D-l.l Reporting the Originating Source
Every generate transaction requires information regarding the source of the fuel. For each generate transaction,
the following are required:
•	Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being generated.
•	Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being generated.
•	Batch Number Text - An internal tracking number assigned by the organization responsible for producing
the fuel associated with the RINs being generated.
Figure D-2 shows how the originating source data would appear in a generate transaction.
Appendix D
D-2

-------
Figure D-2: Generate Originating Source Data Elements
Data Element
Value
Reference
Required
Instructions
GenerateOrganization Identifier
1111
Ethanol
Producers
Yes
Provide the public organization
identifier for the producer of the
fuel as registered with EPA.
GenerateFacility Identifier
77777
Cornish Plant
Yes
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Batch NumberText
300

Yes
Enter the batch number associated
with the batch at fuel production.
D-1.2 Feedstocks
The generate transaction requires that additional information be provided regarding the kind of feedstocks used
to produce the fuel, the volume of each feedstock, and whether those feedstocks are renewable biomass. In this
example, two different feedstocks were used and information must be provided for both. For each feedstock, the
following are required:
•	Feedstock Code - The Feedstock Code categorizes the type of material used to produce the renewable
fuel.
•	Renewable Biomass Indicator - Enter "true" if the feedstock meets the definition of renewable biomass
as per §80.1401.
•	Feedstock Volume - The total volume of the feedstock.
•	Feedstock Measure Code - The unit of measure for the feedstock volume.
Figure D-3 shows how these data would appear for two feedstocks for a batch of RINs.
Appendix D
D-3

-------
Figure D-3: Feedstock Data Elements
Data Element
Value
Reference
Required
Instructions
FeedstockCode
10
Starch — Corn
Yes
Enter a valid feedstock code. Enter as
many feedstocks as applicable.
RenewableBiomasslndicator
true
Yes
Yes
Enter "true" if the feedstock qualifies
as renewable biomass.
FeedstockVolume
46.6

Yes
Enter the total volume of the
feedstock used in production of the
fuel.
FeedstockMeasureCode
60
Ton
Yes
Enter a valid unit of measure code.
FeedstockCode
310
Starch - Annual
Covercrops
Yes
Enter a valid feedstock code found.
Enter as many feedstocks as
applicable.
RenewableBiomasslndicator
true
Yes
Yes
Enter "true" if the feedstock qualifies
as renewable biomass.
FeedstockVolume
15.5

Yes
Enter the total volume of the
feedstock used in production of the
fuel.
FeedstockMeasureCode
60
Ton
Yes
Enter a valid unit of measure code.
D-1.3 Reporting Co-product
If fuel production results in the creation of a co-product, this information must be reported in the generate
transaction. For each co-product, provide:
• Co-product Code - Code that categorizes the type of co-product.
Figure D-4 shows how co-product data would appear in a generate transaction.
Figure D-4: Co-product Data Elements
Data Element
Value
Reference
Required
Instructions
CoProductCode
10
Wet Distiller
Grains
No
Enter a valid co-product code. Enter
as many co-products as applicable.
D-2 Separate Transaction
RINs are separated on a first-in-first-out basis in EMTS, unless additional information on the RIN batch is provided.
EMTS searches the organization's RIN holdings for RINs that match the fuel type and assignment code specified
Appendix D
D-4

-------
and selects the quantity of RINs from the earliest acquired dates available. After EMTS has processed the separate
transaction, the organization's RIN holdings will display an assignment code of "2" or "separated" for these RINs.
In this example, a Refiner is separating 16,000 RINs from 16,000 gallons of fuel.
Objective: Petroleum Refiner separates 16,000 assigned RINs.
Required Information:
•	RIN Quantity - The total number of RINs being separated in this transaction.
•	Batch Volume - The total volume of renewable fuel.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Separate Reason Code - Code that explains why the fuel is being separated.
•	Transaction Date - The date on which the separate transaction occurred outside of EMTS.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
Figure D-5 shows how these data would appear in the separate transaction data block.
Appendix D
D-5

-------
Figure D-5: Separate Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
RINQuantity
16000

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume
16000

Yes
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
SeparateReasonCode
10
Receipt of
renewable fuel
by obligated
party
Yes
Enter a valid separate reason code.
TransactionDate
2014-01-
01

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
RINYear
2014

Yes
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
Appendix D
D-6

-------
D-3 Sell Transactions
When a user submits a sell transaction, information on the buying organization must be identified. EMTS will
check to make sure that the selling organization has the necessary RINs to complete the requested transaction
and will then place these RINs in a "pending" status until it receives the buyer's matching transaction.
In this example, an Ethanol Producer is selling 1,000 gallons of fuel with 1,000 assigned RINs to a Blender.
Objective: Renewable Fuel Producer sells 1,000 gallons of fuel and 1,000 RINs
Required Information:
•	Trading Partner Organization Identifier - The public identification number for the buying organization
obtained through EPA.
•	Trading Partner Organization Name -The name of the buying organization.
•	RIN Quantity - The total number of RINs being sold in this transaction.
•	Batch Volume - The volume of renewable fuel associated with the RINs.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Sell Reason Code - Code that explains why these RINs are being sold.
•	Gallon Price Amount - The price at which the RINs and fuel were sold.
•	Transfer Date - The date on which the RINs were transferred outside of EMTS.
Figure D-6 shows how these data would appear in the sell transaction data block.
Appendix D
D-7

-------
Figure D-6: Sell Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
TransactionPartnerOrganization
Identifier
2222
Big Bob's
Blending
Yes
Enter the organization identifier of the
buying party. This is the organization
number obtained through EPA.
TransactionPartnerOrganization
Name
Big Bob's

Yes
Enter the name of the buying party.
RINQuantity
1000

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume
1000

Yes
Enter volume of fuel in gallons of fuel in
the batch. It must be a whole number
less than 99,999,999.
FuelCode
6
Renewable
Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
AssignmentCode
1
Assigned to
Fuel
Yes
Enter "1" if the RINs are assigned and "2"
if they are separated.
RINYear
2014

Yes
Enter the year in YYYY format. This is the
year in which the RIN was generated and
can be derived from the production date.
Sell Reason Code
10
Standard
Trade
Yes
Enter a valid sell reason code.
GallonPriceAmount
2.50

Yes
Enter the price per gallon of renewable
fuel in USD.
TransferDate
2014-01-
15

Yes
Enter the date in YYYY-MM-DD format.
This is the date on which the RINs were
transferred outside of EMTS.
PTDNumber
8960

No
Enter the PTD number associated with
the transaction.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
D-3.1 Supporting Document Information
The user may wish to provide additional documentation numbers associated with the buy or sell transaction. The
supporting document data block allows the user to create user-defined document names to report these numbers.
In the example below, the user reported an invoice number for the sell.
Figure D-7 shows how data would appear in the supporting document information.
Appendix D
D-8

-------
Figure D-7: Supporting Document Detail
Data Element
Value

Instructions
SupportingDocumentText
Invoice

No
Enter the type of document to which
the document number applies.
SupportingDocumentN umber
1001

No
Enter the identification number for
the supporting document.
D-4 Buy Transactions
When a user submits a basic buy transaction, EMTS will match key data elements to the corresponding sell
transaction. EMTS will match on trading partner information, assignment code, QAP service type, RIN quantity,
and fuel type. If these fields do not match, the trade will fail.
In this example, a Blender is buying 1,000 gallons of fuel with 1,000 assigned RINs from a Producer.
Objective: Renewable Fuel Blender buys 1,000 gallons of fuel and 1,000 RINs.
Required Information:
•	Trading Partner Organization Identifier - The public identification number for the selling organization
obtained through EPA.
•	Trading Partner Organization Name -The name of the selling organization.
•	RIN Quantity - The total number of RINs being sold in this transaction.
•	Batch Volume - The total volume of renewable fuel associated with the RINs.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Buy Reason Code - Code that explains why these RINs are being bought.
•	Gallon Price Amount - The price at which the RINs and fuel were bought.
•	Transfer Date - The date on which the transfer of RINs occurred outside of EMTS.
Figure D-8 shows how these data would appear in the buy transaction data block.
Appendix D
D-9

-------
Figure D-8: Buy Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
TransactionPartnerOrganization
Identifier
1111
Ethanol
Producers
Yes
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
TransactionPartnerOrganization
Name
Ethanol
Producers

Yes
Enter the name of the selling party.
RINQuantity
1000

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume
1000

Yes
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable
Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
AssignmentCode
1
Assigned to
Fuel
Yes
Enter "1" if the RINs are assigned
and "2" if they are separated.
RINYear
2014

Yes
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
BuyReasonCode
10
Standard
Trade
Yes
Enter a valid buy reason code.
GallonPriceAmount
2.50

Yes
Enter the price per gallon of
renewable fuel in USD.
TransferDate
2014-01-15

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which
the RINs were transferred outside of
EMTS.
PTDNumber
8960

No
Enter the PTD number associated
with the transaction.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
Appendix D
D-10

-------
D-5 Retire Transactions
D-5.1 Retire for Other
Retire transactions must include a reason for the retirement of a RIN batch.
In this example, a Producer is retiring 1,000 RINs because of spillage.
Objective: Renewable Fuel Producer retires 1,000 gallons of fuel for spillage.
Required Information:
•	RIN Quantity - The total number of RINs being retired in this transaction.
•	Batch Volume - The total volume of renewable fuel.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	Transaction Date - The date on which the spill occurred.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Retire Reason Code - Code that explains why the fuel is being retired.
Figure D-9 shows how these data would appear in the retire transaction data block.
Appendix D
D-ll

-------
Figure D-9: Retire Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
RINQuantity
1000

Yes
Enter the total number of RINs. This
must be a whole number.
Batch Volume
1000

Yes
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
AssignmentCode
1
Assigned to Fuel
Yes
Enter "1" if the RINs are assigned and
"2" if they are separated.
RINYear
2014

Yes
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
RetireReasonCode
10
Spillage
Yes
Enter a valid retire reason code.
TransactionDate
2014-
01-01

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
TransactionDetailComment

Spill occurred
while fuel was
in transit.
No
Provide any additional information
regarding this transaction.
A transaction comment is not required for all retire transactions. However, with certain reason codes such as
retire for spillage, a comment must be provided explaining the use of that reason code. Additional information
about the originating source of the RINs may also be provided, but is not required. To specify the batch, indicate:
•	Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
•	Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being sold.
•	Batch Number Text - An internal tracking number assigned by the organization responsible for producing
the fuel associated with the RINs being sold.
Figure D-10 shows how these data would appear in the originating source information for a batch of RINs.
Appendix D
D-12

-------
Figure D-10: Retire Originating Source Data Elements
Data Element
Value
Reference
Required
Instructions
GenerateOrganization Identifier
1111
Ethanol
Producers
Yes
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
GenerateFacility Identifier
77777
Cornish Plant
No
Provide the public facility identifier
for the plant that produced the
renewable fuel.
BatchNumber
300

No
Enter the batch number associated
with the batch at fuel production.
D-5.2 Retire for Compliance, Aggregated Refiner
To fulfill its Renewable Volume Obligation (RVO) for a particular year, an organization must retire RINs to EPA's
RIN Holding Account. The submitter for the organization must indicate the compliance year, the compliance level
code, and the reason code for the retire transaction. Upon completion of this transaction, EPA will be the holder
of the RINs.
In this example, a Refiner is retiring 1,000 RINs for compliance.
Objective: Aggregated Refiner retires 1,000 RINs for compliance.
Required Information:
•	RIN Quantity - The total number of RINs being retired in this transaction.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated. RINs must be separated when retiring
for compliance.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Retire Reason Code - Code that indicates the RINs are retired for compliance.
•	Transaction Date - The date on which the RINs were retired for compliance.
•	Compliance Year - The year in which the RINs are being used for compliance.
•	Compliance Level Code - The compliance basis for the submitting organization.
Appendix D
D-13

-------
Figure D-ll shows how these data would appear in the retire transaction data block.
Figure D-ll: Retire Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
RINQuantity
1000

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume


No
Enter the volume gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
AssignmentCode
2
Separated
Yes
Enter "1" if the RINs are assigned and
"2" if they are separated.
RINYear
2014

Yes
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
RetireReasonCode
90
Demonstrate
annual
compliance
Yes
Enter a valid retire reason code.
TransactionDate
2014-
01-01

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
ComplianceYear
2014

Yes
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
ComplianceLevelCode
20
Aggregated
refiner
Yes
Enter a valid compliance level code.
ComplianceFacility Identifier


No
Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
D-5.3 Retire for Compliance, Facility Level
When an organization wants to report compliance at the facility level, the user must submit a retire transaction
indicating a facility level reason code and the facility for which RINs are being retired.
In this example, a Refiner is retiring 1,000 RINs for compliance at the facility level.
Objective: Petroleum Refiner retires 1,000 RINs for compliance at the facility level.
Appendix D
D-14

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Required Information:
•	RIN Quantity - The total number of RINs being retired in this transaction.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Retire Reason Code - Code that indicates the RINs are being used for compliance.
•	Transaction Date - The date on which the RINs were retired for compliance.
•	Compliance Year - The year in which the RINs are being used for compliance.
•	Compliance Level Code - The compliance basis for the submitting organization.
•	Compliance Facility Identifier - The public facility identifier of the facility that is retiring RINs for
compliance.
Figure D-12 shows how these data would appear in the retire transaction data block.
Appendix D
D-15

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Figure D-12: Retire Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
RINQuantity
1000

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume


No
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
AssignmentCode
2
Separated
Yes
Enter "1" if the RINs are assigned and
"2" if they are separated.
RINYear
2014

Yes
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
RetireReasonCode
90
Demonstrate
annual
compliance
Yes
Enter a valid retire reason code.
TransactionDate
2014-
01-01

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
ComplianceYear
2014

Yes
Enter the year in YYYY format. This is
the year in which the RINs are being
used for compliance.
ComplianceLevelCode
50
Facility Level
Yes
Enter a valid compliance level code.
ComplianceFacility Identifier
22222
Rex's Small
Refinery
Yes
Provide the public facility identifier of
the facility that is retiring RINs for
compliance.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
Appendix D
D-16

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D-6 Advanced Options
D-6.1 Batch Specific Transactions
"Advanced Options" will be available to users who wish to submit separate, buy, sell, or retire transactions for a
specific batch of RINs. These transactions require the user to provide a greater level of detail than the basic
transaction as shown in this document. RINs can be specified by organization only, organization and facility, or by
organization, facility, and batch.
D-6.1.1 Batch Specific Sell Transaction
When a trade occurs involving a specific batch of RINs, the buying and selling organizations report the additional
information in the Originating Source data block, providing specifics on the organization and facility that produced
the fuel and the batch number.
In this example, a Producer is selling 8,000 RINs from a specific batch to a Refiner.
Objective: Renewable Fuel Producer sells 8,000 separated RINs from a specific generating facility.
Required Information:
•	Trading Partner Organization Identifier - The identification number for the buying organization obtained
through EPA.
•	Trading Partner Organization Name -The name of the buying organization.
•	RIN Quantity - The total number of RINs being retired in this transaction.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Sell Reason Code - Code that explains why these RINs are being sold.
•	RIN Price Amount - The price at which the RINs were sold.
•	Transfer Date - The date on which the sell transaction occurred outside of EMTS.
Figure D-13 shows how these data would appear in the sell transaction data block for a specified batch of RINs.
Appendix D
D-17

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Figure D-13: Batch Specific Sell Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
TransactionPartnerOrganization
Identifier
3333
Ralph's Refiner
Yes
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
TransactionPartnerOrganization
Name
Ralph's

Yes
Enter the name of the buying party.
RINQuantity
8000

Yes
Enter the total number of RINs.
This must be a whole number.
BatchVolume


No
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type
Code
AssignmentCode
2
Separated
Yes
Enter "1" if the RINs are assigned
and "2" if they are separated.
RINYear
2014

Yes
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
SellReasonCode
10
Standard Trade
Yes
Enter a valid sell reason code.
RINPriceAmount
0.18

Yes
Enter the price per RIN in USD.
TransferDate
2014-01-15

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
PTDNumber
2495

No
Enter the PTD number associated
with the transaction.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
Appendix D
D-18

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A batch specific transaction requires additional information about the originating source of the RINs. To specify
the batch, include:
•	Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
•	Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being sold.
•	Batch Number Text - An internal tracking number assigned by the organization responsible for producing
the fuel associated with the RINs being sold.
Figure D-14 shows how these data would appear in the originating source information for a batch of RINs.
Figure D-14: Sell Originating Source Detail
Data Element
Value
Reference
Required
Instructions
GenerateOrganization Identifier
1111
Ethanol
Producer
Yes
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
GenerateFacility Identifier
77777
Cornish Plant
No
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Batch NumberText
301

No
Enter the batch number associated
with the batch at fuel production.
D-6.1.2 Batch Specific Buy Transaction
Users submitting a buy transaction for specific RINs must identify the same information as the selling organization
as these fields will be used by EMTS to match the transactions. If any of these fields identifying the RINs are
incorrect, then the transaction will not be matched with its corresponding sell transaction and the trade will not
be processed.
Figure D-23 shows the basic structure of a batch specific buy transaction. In this example, a Refiner is buying 8,000
RINs from a specific batch from a Producer.
Objective: Petroleum Refiner buys 8,000 separated RINs from a specific generating facility.
Required Information:
•	Trading Partner Organization Identifier - The identification number for the selling organization obtained
through EPA.
•	Trading Partner Organization Name -The name of the selling organization.
•	RIN Quantity - The total number of RINs being retired in this transaction.
Appendix D
D-19

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•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Buy Reason Code - Code that explains why these RINs are being bought.
•	RIN Price Amount - The price at which the RINs were bought.
•	Transfer Date - The date on which the buy transaction occurred outside of EMTS.
Figure D-15 shows how these data would appear in the buy transaction data block for a specified batch of RINs.
Figure D-15: Batch Specific Buy Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
TransactionPartnerOrganization
Identifier
1111
Ethanol
Producers
Yes
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
TransactionPartnerOrganization
Name
Ethanol
Producers

Yes
Enter the name of the selling party.
RINQuantity
8000

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume


No
Enter the volume of fuel in gallons of
fuel in the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable
Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
AssignmentCode
2
Separated
Yes
Enter "1" if the RINs are assigned
and "2" if they are separated.
(cont.)
Appendix D
D-20

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Figure D-15: Batch Specific Buy Transaction Data Elements (cont.)
Data Element
Value
Reference
Required
Instructions
RINYear
2014

Yes
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
BuyReasonCode
10
Standard
Trade
Yes
Enter a valid buy reason code.
RINPriceAmount
0.18

Yes
Enter the price per RIN in USD.
TransferDate
2014-01-15

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
PTDNumber
2495

No
Enter the PTD number associated
with the transaction.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
Batch specific transactions require additional information about the originating source of the RINs. To specify the
batch, include:
•	Generate Organization Identifier - The public identifier of the organization that produced the fuel
associated with the RINs being sold.
•	Generate Facility Identifier - The public facility identifier for the plant that produced the renewable fuel
associated with the RINs being sold.
•	Batch Number Text - An internal tracking number assigned by the organization responsible for producing
the fuel associated with the RINs being sold.
Figure D-16 shows how these data would appear in the originating source information for a batch of RINs.
Figure D-16: Originating Source Detail
Data Element
Value
Reference
Required
Instructions
GenerateOrganization Identifier
1111
Ethanol
Producers
Yes
Provide the public organization
identifier for the producer of the fuel
as registered with EPA.
GenerateFacility Identifier
77777
Cornish Plant
No
Provide the public facility identifier
for the plant that produced the
renewable fuel.
Batch NumberText
301

No
Enter the batch number associated
with the batch at fuel production.
Appendix D
D-21

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D-6.2 Non-One-to-One Ratio
Within the advanced options, it is also possible for organizations to separate, buy, and sell fuel and RINs at a non-
one-to-one ratio. Organizations may separate or sell up to two-and-a-half times as many RINs as the associated
fuel volume in a single transaction.
D-6.2.1 Separate Fuel and RINs in a Non-One-to-One Ratio
As an advanced option, users may choose to separate a quantity of RINs that exceeds the volume of renewable
fuel. The quantity of RINs may not be more than two-and-a-half times the volume of fuel. The user will need to
specify an assignment code of "1" to indicate that these RINs are assigned to fuel at the time of the transaction.
In this example, a Blender is separating 2,500 RINs from 1,000 gallons of renewable fuel.
Objective: Renewable Fuel Blender separates 2,500 RINs from 1,000 gallons of fuel.
Required Information:
•	RIN Quantity - The total number of RINs being retired in this transaction.
•	Batch Volume - The total volume of renewable fuel.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Separate Reason Code - Code that explains why the fuel is being separated.
•	Transaction Date - The date on which the RINs were separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
Figure D-17 shows how these data would appear in the separate transaction data block.
Appendix D
D-22

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Figure D-17: Non-One-to-One Separate Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
RINQuantity
2500

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume
1000

Yes
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable
Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
SeparateReasonCode
10
Receipt of
renewable fuel
by obligated
party
Yes
Enter a valid separate reason code.
TransactionDate
2014-01-
01

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which the
transaction occurred.
RINYear
2014

Yes
Enter the year in YYYY format. This is
the year in which the RIN was
generated and can be derived from
the production date.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
D-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio
Users may submit a sell transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by entering
the appropriate Batch Volume and RIN Quantity. If the organization intends to sell RINs of multiple fuel types,
then the user will need to submit one transaction for each fuel type.
In this example, a producer is selling 10,000 RINs and 5,000 gallons of renewable fuel to a Refiner.
Objective: Producer sells 5,000 gallons of fuel and 10,000 RINs.
Required Information:
•	Trading Partner Organization Identifier - The identification number for the buying organization obtained
through EPA.
•	Trading Partner Organization Name -The name of the buying organization.
•	RIN Quantity - The total number of RINs being retired in this transaction.
•	Batch Volume - The total volume of renewable fuel.
Appendix D
D-23

-------
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Sell Reason Code - Code that explains why these RINs are being sold.
•	Gallon Price Amount - The price at which the RINs and fuel were sold.
•	Transfer Date - The date on which the sell transaction occurred outside of EMTS.
Figure D-18 shows these data would appear in the sell transaction data block.
Figure D-18: Non-One-to-One Sell Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
TransactionPartnerOrganization
Identifier
3333
Ralph's Refiner
Yes
Enter the organization identifier of
the buying party. This is the
organization number obtained
through EPA.
TransactionPartnerOrganization
Name
Ralph's

Yes
Enter the name of the buying
organization.
RINQuantity
10000

Yes
Enter the total number of RINs.
This must be a whole number.
BatchVolume
5000

Yes
Enter the volume in gallons of fuel
in the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable
Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type
Code
AssignmentCode
1
Assigned to
Fuel
Yes
Enter "1" if the RINs are assigned
and "2" if they are separated.
(cont.)
Appendix D
D-24

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Figure D-18: Non-One-to-One Sell Transaction Data Elements (cont.)
Data Element
Value
Reference
Required
Instructions
RINYear
2014

Yes
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
SellReasonCode
10
Standard
Trade
Yes
Enter a valid sell reason code.
GallonPriceAmount
2.75

Yes
Enter the price per gallon of
renewable fuel in USD.
TransferDate
2014-01-15

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
PTDNumber
3462

No
Enter the PTD number associated
with the transaction.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
D-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio
Users may submit a buy transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by
entering the appropriate Batch Volume and RIN Quantity. These values must match the values in the
corresponding sell transaction in order to be processed. If the organization intends to buy RINs of multiple fuel
types, then the user will need to submit one transaction for each fuel type.
In this example, a Refiner is buying 10,000 RINs and 5,000 gallons of renewable fuel from a Producer.
Objective: Petroleum Refiner buys 5,000 gallons and 10,000 RINs.
Required Information:
•	Trading Partner Organization Identifier - The identification number for the selling organization obtained
through EPA.
•	Trading Partner Organization Name -The name of the selling organization.
•	RIN Quantity - The total number of RINs being retired in this transaction.
•	Batch Volume - The total volume of renewable fuel.
•	Fuel Code - Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel
(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or Cellulosic Diesel
(D = 7).
Appendix D
D-25

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•	QAP Service Type Code - Indicates level of QAP service for RINs generated: RINs generated for a pathway
that has been verified by a registered QAP Provider are Q-RINs (10). If RINs are not verified, then they are
categorized as Unverified (30).
•	Assignment Code - Identifies if the RINs are assigned or separated.
•	RIN Year - The year in which the RIN was generated reflecting the year of the production date.
•	Buy Reason Code - Code that explains why these RINs are being bought.
•	Gallon Price Amount - The price at which the RINs and fuel were bought.
•	Transfer Date - The date on which the buy transaction occurred outside of EMTS.
Figure D-19 shows how these data would appear in the submission file.
Figure D-19: Non-One-to-One Buy Transaction Data Elements
Data Element
Value
Reference
Required
Instructions
TransactionPartnerOrganization
Identifier
1111
Ethanol
Producers
Yes
Enter the organization identifier of
the selling party. This is the
organization number obtained
through EPA.
TransactionPartnerOrganization
Name
Ethanol
Producers

Yes
Enter the name of the selling party.
RINQuantity
10000

Yes
Enter the total number of RINs. This
must be a whole number.
BatchVolume
5000

Yes
Enter the volume in gallons of fuel in
the batch. It must be a whole
number less than 99,999,999.
FuelCode
6
Renewable
Fuel
Yes
Enter a valid fuel code.
QAP Service Type Code
30
Unverified
Yes
Enter a valid QAP Service Type Code
AssignmentCode
1
Assigned to
Fuel
Yes
Enter "1" if the RINs are assigned
and "2" if they are separated.
RINYear
2014

Yes
Enter the year in YYYY format. This
is the year in which the RIN was
generated and can be derived from
the production date.
(cont.)
Appendix D
D-26

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Figure D-19: Non-One-to-One Buy Transaction Data Elements (cont.)
Data Element
Value
Reference
Required
Instructions
BuyReasonCode
10
Standard
Trade
Yes
Enter a valid buy reason code.
GallonPriceAmount
2.75

Yes
Enter the price per gallon of
renewable fuel in USD.
TransferDate
2014-01-15

Yes
Enter the date in YYYY-MM-DD
format. This is the date on which
the transfer occurred.
PTDNumber
3462

No
Enter the PTD number associated
with the transaction.
TransactionDetailComment


No
Provide any additional information
regarding this transaction.
Appendix D
D-27

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Appendix E: Cross-reference Tables
The following tables show cross-reference codes for reporting transactions to EMTS. Business activities Small
Blender (90) and Quality Assurance Provider (100) cannot perform any transactions, and thus are not included in
any of the cross-reference tables.
The Business Activity by Separate Reason Code table shows which reasons can be reported for a separate
transaction for a specific organization's business activity.
Figure E-l: Business Activity by Separate Reason Code
Business Activity
Code
Description
Separate Reason
Code
Description
10
Domestic Renewable Fuel
Producer
20
Blending to produce a transportation fuel
10
Domestic Renewable Fuel
Producer
30
Designation of renewable fuel as transportation
fuel
10
Domestic Renewable Fuel
Producer
40
Upstream Delegation for Blending
10
Domestic Renewable Fuel
Producer
60
Use as Home Heating Oil or Jet Fuel
10
Domestic Renewable Fuel
Producer
70
Use in a non-road engine or vehicle
10
Domestic Renewable Fuel
Producer
80
Designation of Renewable Fuel as Home
Heating Oil or Jet Fuel
10
Domestic Renewable Fuel
Producer
90
Delayed RIN Separation
30
Renewable Fuel Importer
20
Blending to produce a transportation fuel
30
Renewable Fuel Importer
30
Designation of renewable fuel as transportation
fuel
30
Renewable Fuel Importer
40
Upstream Delegation for Blending
30
Renewable Fuel Importer
60
Use as Home Heating Oil or Jet Fuel
30
Renewable Fuel Importer
70
Use in a non-road engine or vehicle
30
Renewable Fuel Importer
80
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
30
Renewable Fuel Importer
90
Delayed RIN Separation
40
Non-renewable Fuel
Importer
10
Receipt of renewable fuel by obligated party
(cont.)
Appendix E
E-l

-------
Figure E-l: Business Activity by Separate Reason Code (cont.)
Business Activity
Code
Description
Separate Reason
Code
Description
40
Non-renewable Fuel
Importer
20
Blending to produce a transportation fuel
40
Non-renewable Fuel
Importer
30
Designation of renewable fuel as transportation
fuel
40
Non-renewable Fuel
Importer
40
Upstream Delegation for Blending
40
Non-renewable Fuel
Importer
60
Use as Heating Oil or Jet Fuel
40
Non-renewable Fuel
Importer
70
Use in a non-road engine or vehicle
40
Non-renewable Fuel
Importer
80
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
50
Renewable Fuel Exporter
20
Blending to produce a transportation fuel
50
Renewable Fuel Exporter
30
Designation of renewable fuel as transportation
fuel
50
Renewable Fuel Exporter
40
Upstream Delegation for Blending
50
Renewable Fuel Exporter
50
Export of Renewable Fuel
50
Renewable Fuel Exporter
60
Use as Heating Oil or Jet Fuel
50
Renewable Fuel Exporter
70
Use in a non-road engine or vehicle
50
Renewable Fuel Exporter
80
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
60
Refiner
10
Receipt of renewable fuel by obligated party
60
Refiner
20
Blending to produce a transportation fuel
60
Refiner
30
Designation of renewable fuel as transportation
fuel
60
Refiner
40
Upstream Delegation for Blending
60
Refiner
60
Use as Heating Oil or Jet Fuel
60
Refiner
70
Use in a non-road engine or vehicle
60
Refiner
80
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
70
Small Refiner
20
Blending to produce a transportation fuel
(cont.)
Appendix E
E-2

-------
Figure E-l: Business Activity by Separate Reason Code (cont.)
Business Activity
Code
Description
Separate Reason
Code
Description
70
Small Refiner
30
Designation of renewable fuel as transportation
fuel
70
Small Refiner
40
Upstream Delegation for Blending
70
Small Refiner
60
Use as Heating Oil or Jet Fuel
70
Small Refiner
70
Use in a non-road engine or vehicle
70
Small Refiner
80
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
80
RIN Owner
20
Blending to produce a transportation fuel
80
RIN Owner
30
Designation of renewable fuel as transportation
fuel
80
RIN Owner
40
Upstream Delegation for Blending
80
RIN Owner
60
Use as Heating Oil or Jet Fuel
80
RIN Owner
70
Use in a non-road engine or vehicle
80
RIN Owner
80
Designation of Renewable Fuel as Heating Oil or
Jet Fuel
Appendix E
E-3

-------
The Business Activity by Buy Reason Code table shows which reasons can be reported for a buy transaction for a
specific organization's business activity.
Figure E-2: Business Activity by Buy Reason Code
Business Activity Code
Description
Buy Reason Code
Description
10
Domestic Renewable Fuel Producer
10
Standard Trade
10
Domestic Renewable Fuel Producer
11
Spot Trade
10
Domestic Renewable Fuel Producer
12
Term Contract
10
Domestic Renewable Fuel Producer
13
Consignment Trade
10
Domestic Renewable Fuel Producer
30
Incorrect Trading Partner
10
Domestic Renewable Fuel Producer
40
Remedial Action Specified by EPA
10
Domestic Renewable Fuel Producer
50
Deny
10
Domestic Renewable Fuel Producer
60
Cancel
10
Domestic Renewable Fuel Producer
80
Required True-Up
10
Domestic Renewable Fuel Producer
100
Tolling Agreement
10
Domestic Renewable Fuel Producer
110
Intra-Company Transfer
20
Foreign Renewable Fuel Producer
10
Standard Trade
20
Foreign Renewable Fuel Producer
11
Spot Trade
20
Foreign Renewable Fuel Producer
12
Term Contract
20
Foreign Renewable Fuel Producer
13
Consignment Trade
20
Foreign Renewable Fuel Producer
30
Incorrect Trading Partner
20
Foreign Renewable Fuel Producer
40
Remedial Action Specified by EPA
20
Foreign Renewable Fuel Producer
50
Deny
20
Foreign Renewable Fuel Producer
60
Cancel
20
Foreign Renewable Fuel Producer
80
Required True-Up
20
Foreign Renewable Fuel Producer
100
Tolling Agreement
20
Foreign Renewable Fuel Producer
110
Intra-Company Transfer
30
Renewable Fuel Importer
10
Standard Trade
30
Renewable Fuel Importer
11
Spot Trade
30
Renewable Fuel Importer
12
Term Contract
(cont.)
Appendix E
E-4

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Figure E-2: Business Activity by Buy Reason Code
Business Activity Code
Description
Buy Reason Code
Description
30
Renewable Fuel Importer
13
Consignment Trade
30
Renewable Fuel Importer
30
Incorrect Trading Partner
30
Renewable Fuel Importer
40
Remedial Action Specified by EPA
30
Renewable Fuel Importer
50
Deny
30
Renewable Fuel Importer
60
Cancel
30
Renewable Fuel Importer
80
Required True-Up
30
Renewable Fuel Importer
100
Tolling Agreement
30
Renewable Fuel Importer
110
Intra-Company Transfer
40
Non-renewable Fuel Importer
10
Standard Trade
40
Non-renewable Fuel Importer
11
Spot Trade
40
Non-renewable Fuel Importer
12
Term Contract
40
Non-renewable Fuel Importer
13
Consignment Trade
40
Non-renewable Fuel Importer
30
Incorrect Trading Partner
40
Non-renewable Fuel Importer
40
Remedial Action Specified by EPA
40
Non-renewable Fuel Importer
50
Deny
40
Non-renewable Fuel Importer
60
Cancel
40
Non-renewable Fuel Importer
80
Required True-Up
40
Non-renewable Fuel Importer
100
Tolling Agreement
40
Non-renewable Fuel Importer
110
Intra-Company Transfer
50
Renewable Fuel Exporter
10
Standard Trade
50
Renewable Fuel Exporter
11
Spot Trade
50
Renewable Fuel Exporter
12
Term Contract
50
Renewable Fuel Exporter
13
Consignment Trade
50
Renewable Fuel Exporter
30
Incorrect Trading Partner
(cont.)
Figure E-2: Business Activity by Buy Reason Code (cont.)
Appendix E
E-5

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Business Activity Code
Description
Buy Reason Code
Description
50
Renewable Fuel Exporter
40
Remedial Action Specified by EPA
50
Renewable Fuel Exporter
50
Deny
50
Renewable Fuel Exporter
60
Cancel
50
Renewable Fuel Exporter
80
Required True-Up
50
Renewable Fuel Exporter
100
Tolling Agreement
50
Renewable Fuel Exporter
110
Intra-Company Transfer
60
Refiner
10
Standard Trade
60
Refiner
11
Spot Trade
60
Refiner
12
Term Contract
60
Refiner
13
Consignment Trade
60
Refiner
30
Incorrect Trading Partner
60
Refiner
40
Remedial Action Specified by EPA
60
Refiner
50
Deny
60
Refiner
60
Cancel
60
Refiner
80
Required True-Up
60
Refiner
100
Tolling Agreement
60
Refiner
110
Intra-Company Transfer
70
Small Refiner
10
Standard Trade
70
Small Refiner
11
Spot Trade
70
Small Refiner
12
Term Contract
70
Small Refiner
13
Consignment Trade
70
Small Refiner
30
Incorrect Trading Partner
70
Small Refiner
40
Remedial Action Specified by EPA
70
Small Refiner
50
Deny
70
Small Refiner
60
Cancel
70
Small Refiner
80
Required True-Up
(cont.)
Figure E-2: Business Activity by Buy Reason Code (cont.)
Appendix E
E-6

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Business Activity Code
Description
Buy Reason Code
Description
70
Small Refiner
100
Tolling Agreement
70
Small Refiner
110
Intra-Company Transfer
80
RIN Owner
10
Standard Trade
80
RIN Owner
11
Spot Trade
80
RIN Owner
12
Term Contract
80
RIN Owner
13
Consignment Trade
80
RIN Owner
30
Incorrect Trading Partner
80
RIN Owner
40
Remedial Action Specified by EPA
80
RIN Owner
50
Deny
80
RIN Owner
60
Cancel
80
RIN Owner
80
Required True-Up
80
RIN Owner
100
Tolling Agreement
80
RIN Owner
110
Intra-Company Transfer
Appendix E
E-7

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The Business Activity by Sell Reason Code table shows which reasons can be reported for a sell transaction for a
specific organization's business activity.
Figure E-3: Business Activity by Sell Reason Code
Business Activity Code
Description
Sell Reason Code
Description
10
Domestic Renewable Fuel Producer
10
Standard Trade
10
Domestic Renewable Fuel Producer
11
Spot Trade
10
Domestic Renewable Fuel Producer
12
Term Contract
10
Domestic Renewable Fuel Producer
13
Consignment Trade
10
Domestic Renewable Fuel Producer
30
Incorrect Trading Partner
10
Domestic Renewable Fuel Producer
40
Remedial Action Specified by EPA
10
Domestic Renewable Fuel Producer
50
Deny
10
Domestic Renewable Fuel Producer
60
Cancel
10
Domestic Renewable Fuel Producer
80
Required True-Up
10
Domestic Renewable Fuel Producer
100
Tolling Agreement
10
Domestic Renewable Fuel Producer
110
Intra-Company Transfer
20
Foreign Renewable Fuel Producer
10
Standard Trade
20
Foreign Renewable Fuel Producer
11
Spot Trade
20
Foreign Renewable Fuel Producer
12
Term Contract
20
Foreign Renewable Fuel Producer
13
Consignment Trade
20
Foreign Renewable Fuel Producer
30
Incorrect Trading Partner
20
Foreign Renewable Fuel Producer
40
Remedial Action Specified by EPA
20
Foreign Renewable Fuel Producer
50
Deny
20
Foreign Renewable Fuel Producer
60
Cancel
20
Foreign Renewable Fuel Producer
80
Required True-Up
(cont.)
Appendix E
E-8

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Figure E-3: Business Activity by Sell Reason Code
Business Activity Code
Description
Sell Reason Code
Description
30
Renewable Fuel Importer
10
Standard Trade
30
Renewable Fuel Importer
11
Spot Trade
30
Renewable Fuel Importer
12
Term Contract
30
Renewable Fuel Importer
13
Consignment Trade
30
Renewable Fuel Importer
30
Incorrect Trading Partner
30
Renewable Fuel Importer
40
Remedial Action Specified by EPA
30
Renewable Fuel Importer
50
Deny
30
Renewable Fuel Importer
60
Cancel
30
Renewable Fuel Importer
80
Required True-Up
30
Renewable Fuel Importer
100
Tolling Agreement
30
Renewable Fuel Importer
110
Intra-Company Transfer
40
Non-renewable Fuel Importer
10
Standard Trade
40
Non-renewable Fuel Importer
11
Spot Trade
40
Non-renewable Fuel Importer
12
Term Contract
40
Non-renewable Fuel Importer
13
Consignment Trade
40
Non-renewable Fuel Importer
30
Incorrect Trading Partner
40
Non-renewable Fuel Importer
40
Remedial Action Specified by EPA
40
Non-renewable Fuel Importer
50
Deny
40
Non-renewable Fuel Importer
60
Cancel
(cont.)
Appendix E
E-9

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Figure E-3: Business Activity by Sell Reason Code (cont.)
Business Activity Code
Description
Sell Reason Code
Description
40
Non-renewable Fuel Importer
80
Required True-Up
40
Non-renewable Fuel Importer
100
Tolling Agreement
40
Non-renewable Fuel Importer
110
Intra-Company Transfer
50
Renewable Fuel Exporter
10
Standard Trade
50
Renewable Fuel Exporter
11
Spot Trade
50
Renewable Fuel Exporter
12
Term Contract
50
Renewable Fuel Exporter
13
Consignment Trade
50
Renewable Fuel Exporter
30
Incorrect Trading Partner
50
Renewable Fuel Exporter
40
Remedial Action Specified by EPA
50
Renewable Fuel Exporter
50
Deny
50
Renewable Fuel Exporter
60
Cancel
50
Renewable Fuel Exporter
80
Required True-Up
50
Renewable Fuel Exporter
100
Tolling Agreement
50
Renewable Fuel Exporter
110
Intra-Company Transfer
60
Refiner
10
Standard Trade
60
Refiner
11
Spot Trade
60
Refiner
12
Term Contract
60
Refiner
13
Consignment Trade
60
Refiner
30
Incorrect Trading Partner
60
Refiner
40
Remedial Action Specified by EPA
60
Refiner
50
Deny
60
Refiner
60
Cancel
60
Refiner
80
Required True-Up
60
Refiner
100
Tolling Agreement
60
Refiner
110
Intra-Company Transfer
(cont.)
Appendix E
E-10

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Figure E-3: Business Activity by Sell Reason Code (cont.)
Business Activity Code
Description
Sell Reason Code
Description
70
Small Refiner
10
Standard Trade
70
Small Refiner
11
Spot Trade
70
Small Refiner
12
Term Contract
70
Small Refiner
13
Consignment Trade
70
Small Refiner
30
Incorrect Trading Partner
70
Small Refiner
40
Remedial Action Specified by EPA
70
Small Refiner
50
Deny
70
Small Refiner
60
Cancel
70
Small Refiner
80
Required True-Up
70
Small Refiner
100
Tolling Agreement
70
Small Refiner
110
Intra-Company Transfer
80
RIN Owner
10
Standard Trade
80
RIN Owner
11
Spot Trade
80
RIN Owner
12
Term Contract
80
RIN Owner
13
Consignment Trade
80
RIN Owner
30
Incorrect Trading Partner
80
RIN Owner
40
Remedial Action Specified by EPA
80
RIN Owner
50
Deny
80
RIN Owner
60
Cancel
80
RIN Owner
80
Required True-Up
80
RIN Owner
100
Tolling Agreement
80
RIN Owner
110
Intra-Company Transfer
The Business Activity by Retire Reason Code table shows which reasons can be reported for a retire transaction
for a specific organization's business activity.
Appendix E
E-ll

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Figure E-4: Business Activity by Retire Reason Code
Business
Activity
Code
Description
Retire
Reason
Code
Description
10
Domestic Renewable
Fuel Producer
10
Reportable spill
10
Domestic Renewable
Fuel Producer
20
Contaminated or spoiled fuel
10
Domestic Renewable
Fuel Producer
40
Renewable Fuel Used in an Ocean-going Vessel
10
Domestic Renewable
Fuel Producer
50
Invalid RIN
10
Domestic Renewable
Fuel Producer
60
Volume error correction
10
Domestic Renewable
Fuel Producer
70
Enforcement Obligation
10
Domestic Renewable
Fuel Producer
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
10
Domestic Renewable
Fuel Producer
100
Delayed RIN Retire
20
Foreign Renewable
Fuel Producer
(Bonded)
10
Reportable spill
20
Foreign Renewable
Fuel Producer
(Bonded)
20
Contaminated or spoiled fuel
20
Foreign Renewable
Fuel Producer
(Bonded)
30
Import volume correction
20
Foreign Renewable
Fuel Producer
(Bonded)
40
Renewable Fuel Used in an Ocean-going Vessel
20
Foreign Renewable
Fuel Producer
(Bonded)
50
Invalid RIN
(cont.)
Appendix E
E-12

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Figure E-4: Business Activity by Retire Reason Code (cont.)
Business
Activity
Code
Description
Retire
Reason
Code
Description
20
Foreign Renewable
Fuel Producer
(Bonded)
60
Volume error correction
20
Foreign Renewable
Fuel Producer
(Bonded)
70
Enforcement Obligation
20
Foreign Renewable
Fuel Producer
(Bonded)
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
30
Renewable Fuel
Importer
10
Reportable spill
30
Renewable Fuel
Importer
20
Contaminated or spoiled fuel
30
Renewable Fuel
Importer
30
Import volume correction
30
Renewable Fuel
Importer
40
Renewable Fuel Used in an Ocean-going Vessel
30
Renewable Fuel
Importer
50
Invalid RIN
30
Renewable Fuel
Importer
70
Enforcement Obligation
30
Renewable Fuel
Importer
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
30
Renewable Fuel
Importer
100
Delayed RIN Retire
40
Non-renewable Fuel
Importer
10
Reportable spill
40
Non-renewable Fuel
Importer
20
Contaminated or spoiled fuel
40
Non-renewable Fuel
Importer
40
Renewable Fuel Used in an Ocean-going Vessel
(cont.)
Appendix E
E-13

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Figure E-4: Business Activity by Retire Reason Code (cont.)
Business
Activity
Code
Description
Retire
Reason
Code
Description
40
Non-renewable Fuel
Importer
50
Invalid RIN
40
Non-renewable Fuel
Importer
70
Enforcement Obligation
40
Non-renewable Fuel
Importer
80
Demonstrate annual compliance
40
Non-renewable Fuel
Importer
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
50
Renewable Fuel
Exporter
10
Reportable spill
50
Renewable Fuel
Exporter
20
Contaminated or spoiled fuel
50
Renewable Fuel
Exporter
40
Renewable Fuel Used in an Ocean-going Vessel
50
Renewable Fuel
Exporter
50
Invalid RIN
50
Renewable Fuel
Exporter
70
Enforcement Obligation
50
Renewable Fuel
Exporter
80
Demonstrate annual compliance
50
Renewable Fuel
Exporter
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
60
Refiner
10
Reportable spill
60
Refiner
20
Contaminated or spoiled fuel
60
Refiner
40
Renewable Fuel Used in an Ocean-going Vessel
60
Refiner
50
Invalid RIN
(cont.)
Appendix E
E-14

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Figure E-4: Business Activity by Retire Reason Code (cont.)
Business
Activity
Code
Description
Retire
Reason
Code
Description
60
Refiner
70
Enforcement Obligation
60
Refiner
80
Demonstrate annual compliance
60
Refiner
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
70
Small Refiner
10
Reportable spill
70
Small Refiner
20
Contaminated or spoiled fuel
70
Small Refiner
40
Renewable Fuel Used in an Ocean-going Vessel
70
Small Refiner
50
Invalid RIN
70
Small Refiner
70
Enforcement Obligation
70
Small Refiner
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
80
RIN Owner
10
Reportable spill
80
RIN Owner
20
Contaminated or spoiled fuel
80
RIN Owner
40
Renewable Fuel Used in an Ocean-going Vessel
80
RIN Owner
50
Invalid RIN
80
RIN Owner
70
Enforcement Obligation
80
RIN Owner
90
Renewable fuel used or designated to be used in any
application that is not transportation fuel, heating oil, or jet
fuel.
Appendix E
E-15

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The Business Activity by Compliance Level Code table shows which compliance levels can be reported for a retire
transaction for a specific organization's business activity.
Figure E-5: Business Activity by Compliance Level Code
Business Activity
Code
Description
Compliance Level
Code
Description
10
Domestic Renewable Fuel Producer
40
Non-Obligated Party
20
Foreign Renewable Fuel Producer
40
Non-Obligated Party
30
Renewable Fuel Importer
40
Non-Obligated Party
40
Non-renewable Fuel Importer
10
Aggregated Importer
50
Renewable Fuel Exporter
30
Exporter
60
Refiner
20
Aggregated Refiner
60
Refiner
50
Facility Level
70
Small Refiner
40
Non-Obligated Party
80
RIN Owner
40
Non-Obligated Party
For a list of valid combinations of fuel categories, processes, and feedstocks that can be reported for a fuel code
(D code), please refer to the "Reporting Codes and Fuel Pathways" document.
Appendix E
E-16

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