Submitting RFS EMTS Transactions Using XML oEPA United States Environmental Protection Agency ------- 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 ------- 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 Submitting EMTS Transactions using XML i ------- 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 ------- 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. Submitting EMTS Transactions using XML 1 ------- 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." Submitting EMTS Transactions using XML 2 ------- • Conforms to EPA Guidelines. 3.0 Codes, Identifiers, and Data Types The following section provides guidance on how to report certain types of data content 3.1 How Do I Report Codes? If the last word in an XML tag is "code," the element must contain a value from a code list. A complete list of codes can be found on EPA's EMTS website at 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. Submitting EMTS Transactions using XML 3 ------- 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 Submitting EMTS Transactions using XML 4 ------- • 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. Submitting EMTS Transactions using XML 5 ------- 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. Submitting EMTS Transactions using XML 6 ------- 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. Submitting EMTS Transactions using XML 7 ------- 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.) Submitting EMTS Transactions using XML 8 ------- 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. Submitting EMTS Transactions using XML 9 ------- 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. Submitting EMTS Transactions using XML 10 ------- 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.) Submitting EMTS Transactions using XML 11 ------- 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.) Submitting EMTS Transactions using XML 12 ------- 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.) Submitting EMTS Transactions using XML 13 ------- 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.) Submitting EMTS Transactions using XML 14 ------- 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.) Submitting EMTS Transactions using XML 15 ------- 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.) Submitting EMTS Transactions using XML 16 ------- 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.) Submitting EMTS Transactions using XML 17 ------- 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.) Submitting EMTS Transactions using XML 18 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- • 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- • 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- |