Renewable Fuel Standard EMTS User’s Guide Version 5.5


Renewable Fuel Standard
EMTS User's Guide

Version 5,5

A	United States

Environmental Protection
*m Agency

-------
Renewable Fuel Standard
EMTS User's Guide

Version 5.5

Compliance Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency

IMPORTANT REMINDER:

Regulated parties are urged to conduct due diligence investigations and
exercise caution when conducting Renewable Identification Number
(RIN) transactions. Neither EPA nor its systems, including the EPA
Moderated Transaction System (EMTS), certify or validate RINs or make
any provision for parties who, despite good faith, transfer or receive
invalid RINs. As specified in the regulations at 40 CFR 80.1431(b)(2),
invalid RINs cannot be used to achieve compliance with the Renewable
Volume Obligations of an obligated party or exporter, regardless of the
party's good faith belief that the RINs were valid at the time they were
acquired. Additionally, the regulations at 40 CFR 80.1460(b)(2) prohibit
the creation or transfer to any person of a RIN that is invalid.

SEPA

United States	EPA-420-B-22-047

Environmental Protection	n . , onoo

Agency	October 2022

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Table of Contents

Accessing EMTS	1

Selecting an Organization	2

Viewing Registered Data	3

Viewing RIN Holdings	6

Viewing RIN Batch Details and Locking RINs	8

Viewing Expired RIN Holdings	12

Generating RINs	13

Managing the Transaction Bin	18

Separating RINs	21

Retiring RINs	27

Trading RINs	32

Managing the Blocked List	43

Viewing Historic RIN Holdings	45

Viewing Web Submissions	47

Submitting XML Files	48

Converting Excel Files to XML	49

Processing by EMTS	54

Receiving Notifications	56

Receiving Documents	58

On-Demand Reports	62

Quarterly Reports	62

Annual Reports	72

Agent Reports	73

EMTS Technical Support	76

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Accessing EMTS

To support the Renewable Fuel Standard (RFS2) program, the EPA Moderated Transaction System (EMTS)
has been developed to screen the generation and transfer of RINs between renewable fuel producers,
importers, exporters, obligated parties, and non-obligated RIN owners.

Access to EMTS requires registration with both the Central Data Exchange (CDX) and OTAQ Fuels. For
instructions on settingup these accounts, see the "Getting Started - MyCDX" and "To Add DC FUELS Program"
documents under Registration on the EMTS Documents website. You can access the EMTS website only
through the CDX. To do so, open your Internet browser, either Internet Explorer 7.0 and higher or Firefox
2.0 and higher (no other browsers are currently supported), and enter the following URL:
https://cdx.epa.aov/CDX/Loain. Log in using your MyCDX user name and password. From your account
profile, click the "OTAQ EMTS Application" link under Available Account Profiles (see Figure 1). If you do
not see the "OTAQ EMTS Application" link, refer to "Getting Started - MyCDX" on the EMTS Documents
website for further instructions.

Figure 1: OTAQ EMTS Application Link

Central Data Exchange

MyCDX

inbox (5)

My Profile

Submission History

Services

Manage Your Program Services

Status Program Service Name

QTAQEMTS: Office of Transportation and Air Quality EPA
Moderated Transaction System

QTAQREG: Office of Transportation and Air Quality Fuels
Registration

Clicking the link will take you to the EMTS Home screen (see Figure 2).

Fuels Programs
Registration

RFS EMTS User's Guide

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Figure 2: EMTS Home Screen

Logged in as: TutorialDemo forJ)emo 0rganization 1 (20)

v°/EPA

Moderated Transaction System

Organization

Submissions

Good Morning Tutorial Demo,

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.

~ Transaction Bin

Your organization has 0 un
-submitted transactions in
the transaction bin.

View Transaction Bin

~ Organizations

~ Announcements

To view pending transaction details, click the following link: View Trades

flfo* You can submit your XML file here. Submit File

Selecting an Organization

Upon accessing the EMTS Home screen, you will need to select an organization to represent if you are
affiliated with two or more organizations. To do so, click one of the organizations in the Select an
Organization popup (see Figure 3). You must select an organization to represent before you can perform any
actions on the EMTS website.

Figure 3: Select an Organization Popup

Select an Organization

Cavinatori Dairy Products LLC - (47672);
Mendeso Fuels Co-operative - (40998)

To confirm that you are now representing the selected organization, verify that the statement in the upper
right corner of the screen -- "Logged in as:" -- contains your CDX user ID followed by the name of the
appropriate organization. Note that you may change the organization you are representing by clicking on
the Organizations tab of the accordion on the right side of select screens (see Figure 4].

RFS EMTS User's Guide

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Figure 4: Organizations Accordion Tab

Selected Organization: Cavington
Dairy Products LLC (47672)

gelect a Different Ore

The Organizations tab will appear in this accordion on the following screens:

• Home screen;

• View Blocked List;

• View Node Submissions;

• View Web Submissions;

• Review T rades;

• Manage Subscriptions;

• View Reports;

• Compliance Data;

• Manage RIN Holdings; and

• Transaction Bin.

After you open the Organizations tab of the accordion, click "Select a Different Organization." In the Select
an Organization popup, click the name of the organization you wish to represent. Upon doing so, the
organization name in the upper right corner of the screen should reflect the new organization you selected.
Once you have selected an organization, you are ready to begin using the EMTS website functionality.

Viewing Registered Data

To view the data for which your organization is registered in the OTAQ Registration system, hover over the
Organizations menu options, and select View Organization Affiliations. On the View Organization Affiliations
screen, a grid displays a list of the organizations you have been associated with in OTAQReg: Fuels Programs
Registration application. A Search feature is provided that allows you to search your affiliated organizations
by Organization Identifier, Organization Name, User Role, or Agent. For each organization, you may use the
"I want to..." drop-down menu to select an organization or to view the registered data for that organization.
If you choose the Select Organization option, the organization name in the upper right corner of the screen
should change to reflect the organization that you identified, and the activities and reports on the EMTS
website will be limited to that organization. The View Registered Data screen displays your organization's
registered business activities, users and their roles, and facilities. From this screen, you can view the details
for the organization's registered facilities. Choosing the View Registered Data option will take you to the
View Registered Data screen for the selected organization (see Figure 5).

RFS EMTS User's Guide 3

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Figure 5: View Registered Data

^ivERA Moderated Transaction System ^







• * ' ' jfl

Organization Submissions Trades

Reports

RINs





View Registered Data

Select a facility to view registered data for that facility.

The company and facility information shown below is not a complete representation of the OTAQReg registration for this organization. There are
additional fields not shown that can only be found in OTAQReg: Fuels Programs Registration application.

Organization Name:

Demo Organization 1 (20)

Address:



Bonded:

Yes

Business Activities:

Foreign Renewable Fuel Producer, Renewable Fuel



Importer, Refiner

Users

Last Name

$ First Name

^ Login

^ Email

^ Role

~

Demo

Tutorial

TutorialDemo

em ts-test@pqa.com

RFS Submitter



Facilities

Facility Name

3

Facility ID ±

Location ^

I want to... ^

Bio Blast Plant -5552
C-ville -5222
Stauton -5555
Waynesboro -5008

View Details ~ | Go
View Details ~ Go
View Details ~ [ Go
ViewDetails ~ | Go |

«Back	| | View Pathways

The View Facility Data screen displays the Facility, Identifier, Address, Total Capacity - Baseline Volume
Total Capacity - Actual Peak, and Registered Co-products (see Figure 6).

RFSEMTS User's Guide

4

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Figure 6: View Facility Data

Organization	Submissions	Trades	Reports	RINs

View Facility Data

Facility data as registered with OTAQ.

Facility:	Valley Medico Plant 12

Identifier:	46711

Address:	3 Test Fuel Ln

Fresno, California 93650
Total Capacity - Baseline Volume: 200000 gallons
Total Capacity - Actual Peak: 200000 gallons

Registered Co-products

Co-product Code

±1

Co-product



20

Dry Distillers Grains





20

Dry Distillers Grains





«Back	| | View Pathways

To view the pathways associated with your facility click "View Pathways". Users can search for a specific
pathway The View Registered Pathways screen displays the Facility, Fuel(D Code), Fuel Category, Process,
Feedstock, QAP Provider, QAP Service Type, and if the Pathway is suspended (see Figure 7).

Figure 7: View Registered Pathways

View Registered Pathways

Enter criteria and click Search, For QAP Coverage End Date, the 'to' and 'from' fields can be used to specify a range for the date on which QAP coverage is no longer effective,

Your organization has 0
un-submitted transactions
in the tr

View Transaction Bin

| Search Criteria |



Facility Name:



QAP Provider Name:



QAP Provider Company ID:



Fuel (D Code):

Biomass-Based Diesel (D=4)

Fuel Category:

Non-ester Renewable Diesel (EV 1,7) (40) ~

Process:

— Select—

Feedstock:

— Select — i

Suspended?:

--Select-- ~

QAP Coverage End Date



(From):

(MM/DO/WVY}

QAP Coverage End Date (To):



Clear	]	Search

Fuel Pathways

|J Facility

Fuel(D Code)

Fuel Category 1 Process

Feedstock 1 QAP Provider 1 QAP Ser



Ml 1 M

Valley Medico Plant 12 Bii

3mass-Based Diesel (D=4) Non-es

ter Renewable Diesel (EV 1.7) (40) Hydrotreating, Dedicated Renewable Bior

Tiass Facility (200) Biogenic Waste Oils.'Fats/Greases (160)

No

View Pathway Details » Go

Export options: CSV I Excel I PDF

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5

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To view the Pathway Details select the View Pathway Details from the drop-down and click "Go". Users can
view the QAP Provider, QAP Service Type, Coverage Start Date, Coverage End Date, Fuel (D Code), Fuel
Category Code, Process Code, Feedstock Code, Activated by EPA, If the Pathway is Suspended, and if it was
suspended the Suspend Date (see Figure 8),

FigureS: View Pathway Details

Organization	Submissions	Trades	Reports	RINs

View Pathway Details

Below are the details of the Fuel Pathway you selected.

| View Pathway Details~_

QAP Provider:
QAP Service Type:
Coverage Start Date:
Coverage End Date:
Fuel (D Code):

Fuel Category Code:
Process Code:
Feedstock Code:
Activated by EPA:
Suspended:
Suspended Date:

Biomass-Based Diesel (4)

Non-ester Renewable Diesel (EV 1.7)

200

160

Yes

No

You can only view your facility and pathway data in EMTS; you cannot make edits to the data in EMTS. You
may only edit your registered data through OTAQReg: Fuels Programs Registration. The registered data in
EMTS is updated nightly from OTAQReg: Fuels Programs Registration. If you make changes to your
registration in OTAQReg, the changes will be reflected in EMTS the morning after they have been activated
by EPA.

Viewing RIN Holdings

To view your RIN holdings, hover over RINs on the main menu of the EMTS website and select View RIN
Holdings (Current). The Manage RIN Holdings screen is organization-specific (indicated by the organization
name above the RIN Holdings grid, circled in Figure 9 below). To switch the organization for which you are
viewing RIN holdings, open the Organizations tab of the accordion, and click "Select a Different Organization."

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6

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Figure 9: Manage RIN Holdings Screen

Manage RIN Holdings

Select one of the transaction actions for each fuel year and assignment for your RIN Holdings.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

•	Organizations

•	Quick Search

RIN Holdings for:	RAP Inc. GEN Biodiesel (4671)

| Fuel (0 Code)

^1 RIN Year

^1 Assignment

^1 QAP Service Type

Available

1 Pending

I Reserved

1 Locked

I Total

I want to...



Advanced Biofuel (D=5)

2014

Assigned

Unverified (30)

150

0

0

0

150

- Select-

*

Biomass-Based Diesel (D=4)

2014

Assigned

Unverified (30)

169,999

0

0

0

169,999

- Select-



Renewable Fuel (D=6)

2014

Assigned

Unverified (30)

30

0

0

0

30

-Select-

- &]

Renewable Fuel (D=6)

2014

Separated

Unverified (30)

40

0

0

0

40

-Select-



Generate j j	Buy

If you view the Manage RIN Holdings screen before your organization has completed any generate or buy
transactions, the RIN Holdings grid will be empty (see Figure 9). At this point, you can generate or buy RINs
(the only valid transaction types when there are no RIN Holdings) either by clicking the Generate or Buy
button or by selecting Generate or Buy in the "I want to..." drop-down and clicking Go.

Once you have completed a generate transaction or successfully purchased RINs from a trading partner, the
RIN Holdings grid will now display your RINs (see Figure 10 for an example}. Each row in the RIN Holdings
grid represents a unique combination of Fuel (D Code], RIN Year, Assignment, and QAP Service Type. For
each row, the sum of RINs in the Available, Pending, Reserved, and Locked columns should equal the number
of RINs in the Total column. The RINs in the Available column are RINs that are available for you to use in
transactions. The RINs in the Pending column are RINs that are involved in a pending sell transaction that
you have initiated (see the Trading RINs section). The RINs in the Reserved column are RINs that are
associated with transactions in the Transaction Bin (see the Managing the Transaction Bin section). Finally,
the RINs in the Locked column are RINs that have been locked either by your organization or by the EPA.
Various sorting and filtering capabilities allow you work with this RIN data. For example, you can arrange
data in order to compare the total number of RINs EMTS has processed in your account to your own off-line
transaction records. These data are also available for download in a variety of formats.

Home | Contact Us | Help | Logout

Logged in as: NatRogers for RAP Inc. GEN Bjodiesel (4671)

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7

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Figure 10: Populated RIN Holdings Grid Example

Organization	Submissions	Trades	Reports	RINs

Manage RIN Holdings

Select one of the transaction actions for each fuel year and assignment for your RIN Holdings.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

~	Organizations

~	Quick Search

RIN Holdings for:

RAP Inc. GEN Biodiesel (4671)

Fuel (D Code)

±1 RIN Year

^1 Assignment

^ 1 QAP Service Type

^1 Available

1 Pending

I Reserved

1 Locked

I Total

I want to-.



Advanced Biofuel (D=5)

2014

Assigned

Unverified (30)

150

0

0

0

150

-Select-

.[go]

Biomass-Based Diesel (D=4)

2014

Assigned

Unverified (30)

186,999

0

0

0

186,999

— Select—

~ -H

Renewable Fuel (D=6)

2014

Assigned

Unverified (30)

30

0

0

0

30

— Select—



Renewable Fuel (D=6)

2014

Separated

Unverified (30)

40

0

0

0

40

-Select-



Export options: CSV I Excel I PDF

Buy

The final column in the RIN Holdings grid is the "I want to..." column. The drop-down for each row contains
the options View Details, Generate, Buy, Separate, Separate (Upward delegation), Sell, Retire (Obligation),
and Retire (Other). The options that are not applicable to the corresponding row of RIN s will be grayed out
For example, Retire (Obligation) is only applicable for separated RINs being retired by Non-renewable Fuel
Importers, Renewable Fuel Exporters, and Refiners, so in all other instances, the option will be grayed out
If you select a transaction in the "I want to..." column for a row of RINs, the Fuel (D Code), RIN Year,
Assignment, and QAP Service Type fields in the resulting transaction wizard will be pre-populated with the
data from that row.

Viewing RIN Batch Details and Locking RINs

To view all of the RIN batches that make up a row in the RIN Holdings grid, select View Details in the "I want
to..." column and click Go. This opens the View RIN Holding Details screen (see Figure 11).

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8

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Figure 11: View RIN Holding Details Screen

View RIN Holding Details

;elect a batch of RINs to either

wthe details of that batch or lock/unlock the RINs.

Your organization has 0
un-submitted transactions
in the

w Transaction

—D

Originating Organization:
Originating Facility:
Submission Start Date:

Submission End Date:

Transaction ID:
RIN Status:

Results Per Page:

RIN Holding Details for:

RAP Inc. GEN Biodiesel (4671)

Displaying records 1 through 1 of 1 total.

Fuel (D Code)

QAP Service
Type

Assignment

Originating
Organization

Originating
Facility

Generating
Organization

Generating
Facility

Quantity

Batch
Number

Production
Date

Submission
Date

Transaction
ID

Status

Lacked 1
By

I want to ... ||

Advanced , Unverified . . Biodiesel Company Bio Blast Plant Biodiesel Company Bio Blast Plant .

Biofuel(D=5) 2014 [30) ****** (5001) (-5552) (5001) (-5552) 150 0001 03/07/2014 03/07/2014 355

Available -Select- -y [ Go |

Export options: CSV I Excel I PDF

« Back

The View RIN Holding Details screen includes a Search box that allows you to search for RIN batches that
satisfy a specific set of criteria. The RIN Holding Details grid displays the originating source information
(originating organization, facility, and batch number) for each batch of RINs with the Fuel (D Code), RIN Year,
QAP Service Type and Assignment that you selected on the RIN Holdings screen. It also includes the status
of each RIN batch. For pending and reserved RINs, the options in the "I want to..." drop-down are View Details
and Transaction. Selecting Transaction opens the screen that details the last transaction that acted on that
RIN batch. Selecting View Details opens the RIN Batch Details screen, where you will have access to
information such as fuel category code, equivalence value, originating organization, and facility. From the
Batch Details screen, you may also select "Transaction" next to any batch of RINs to access the same
aforementioned screen. For available RINs, the "I want to..." drop-down options are View Details,
Transaction, and Lock RINs. Selecting Lock RINs opens the Lock RINs Confirmation screen (see Figure 12).

RFSEMTS User's Guide

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Figure 12: Lock RINs Confirmation Screen

Lock RINs Confirmation

Please confirm that you would like to lock the following batch of RINs. The comment entered may be viewed by the EPA and individuals within your organization.

1 R1N Batch Details [_

Fuel (D Code):

Advanced Biofuel (D= 5)

RIN Year:

2014

QAP Provider:

QAP Service Type:

Unverified (30)

Assignment:

Assigned

Originating Organization:

Biodiesel Company (SOOl)

Originating Facility:

Bio Blast Plant (-5552)

Quantity:

150

Batch Number:

0001

Owned By:

RAP Inc. GEN Biodiesel

Production Date:

03/07/2014

Status:

Available

8 Comment:

«Back j ( Confirm

The screen contains the details of the RINs that you are about to lock along with a required Comment field.
After you enter a comment and click Confirm, you will return to the View RIN Holding Details screen. For the
RIN batch that you locked, the Status field will display Locked, and the Locked By field will include the name
and organization of the individual that locked the RIN batch. Locked RINs will not be available for any
transactions.

The EPA has the capability to lock any organization's available or locked RIN batches. If the EPA locks one of
your organization's RIN batches, the Status field for that row will display Locked, and the Locked By field will
display EPA. RINs locked by the EPA cannot be used in transactions and cannot be unlocked by your
organization.

If you wish to unlock a batch of RINs locked by your organization and not locked by the EPA, select Unlock
RINs in the "I want to..." drop-down. Like the Lock RINs Confirmation screen, the Unlock RINs Confirmation
screen requires a comment. Once you confirm the unlock action, the RINs will have a status of Available, and
you will be able to use them to complete transactions. Note that if the EPA locks a batch of RINs that your
organization had already locked, the EPA will need to unlock the RINs before you will have the ability to
unlock the RIN batch.

To lock or unlock multiple batches of RINS, hover over RINs on the main menu and click Lock RIN Batches
(see Figure 13).

RFSEMTS User's Guide 10

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Figure 13: Select Lock RIN Batches

View RIN Holding Details

Please select a batch of RINs to either vl

'/the details of that batch or lock/unlcx

—0

Vi^ j Holdings (Current)
View RIN Holdings (History)
View RIN Holdings (Expired)

Lock RIN Batches

w Transaction Bin

Originating Organization:
Originating Facility:
Submission Start Date:

Submission End Date:

Transaction ID:
RIN Status:

Results Per Page:

~
"3

RIN Holding Details for:

RAP Inc. GEN Biodiesel (4671)

The Lock RIN Batches screen allows you to lock batches of RINs by organization, facility, RIN batch or QAP
Provider. RIN Year, under Basic Filter Options is a required search field. In the example below, the
organization was selected (RAP Inc. Gen Biodiesel) as well as the facility (Valley Medico Plant 12) (see
Figure 14). By clicking the search button, all batches that originated at the Waynesboro facility will appear
in the grid at the bottom of the screen (see Figure 15),

Figure 14: Lock RIN Batches

Lock RIN Batches

SslKt a RIN Year artJ ar srijiratir.g source ta view all RIN batches frai

Kte3 a RIN batch yt

ill *esiJt5. Orsty RINa with a status available' may be tacked. RINs iccfced by EPA may not be L^tecked.

i,r oroariration haa G

All Facilities;

Selected Facility;

Valley Medico Plant 13 (46711)



1 1



I		I

RIN Batches:

RFSEMTS User's Guide

11

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Figure 15: Lock R1N Batches

In the status column, you can see that the RINs in the grid are "Available." To lock all of these RIN batches
at one time, click the Lock All button (see Figure 15).

Viewing Expired RIN Holdings

To view your Expired RIN Holdings, hover over RINs on the main menu of the EMTS and click View Expired
RIN Holdings (see Figure 16):

Figure 16: Select View Expired RIN Holdings

v-»EPA Moderated Transaction System

Organization Submissions Trades

Reports

Good Afternoon Mr. Nat Rogers,

Regulated parties are urged to conduct du
Neither EPA nor its systems, including the
faith, transfer or receive invalid RINs. As sp
Renewable Volume Obligations of an oblige Lock RIN Batches

acquired. Additionally, the regulations at 4

V', WINS IN Holdings (Current)
View RIN Holdings (History)

(ViewMH Holdings (ExpiredX>

ise caution when conducting Renewable Identification Number (RIN) transactions.
(EMTS), certify or validate RINs or make any provision for parties who, despite good
80.1431(b)(2), invalid RINs cannot be used to achieve compliance with the
f the party's good faith belief that the RINs were valid at the time they were

Selected Organization: RAP Inc. GEN
Biodiesel (4671)

Select a Different Organization

ou.inuotujuj piumuii uig ueation or transfer to any person of a RIN that is invalid.

¦ Your organization has 0 pending received trades and 0 pending initiated trades. View Pending Transactions.
* You can submit your XML file here. Submit File

The Expired RIN Holdings screen is organization-specific (indicated by the organization name at the top of
the screen). To switch the organization for which you are viewing expired RIN holdings, open the
Organizations tab of the accordion on the right side of the screen, and click "Select a Different Organization."

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If you view the RIN Holdings screen before your organization has retired any RINs, the RIN Holdings grid will
contain the message "Nothing found to display." To filter on Fuel, RIN Year, Assignment Code, and/or QAP
Service Type select the filter options and click Filter (see Figure 17}.

Figure 17: View Expired RIN Holdings

View Expired RIN Holdings

This page provides the RIN details for all RINs that have expired out of your company's account. These RINs were NOT used for compliance or retired for any reason, and have expired pursuant to
40 CFR 80.1428 (c). Enter criteria and dick Search.

Expired RIN Holdings

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

1 ' Basic Fitter Options (

Fuel (D Code):

-- Select — ~

RIN Year:

— Select — ~

Assignment:

- Select — »

QAP Service Type:

— Select — »

Results Per Page:

Clear |

Filter

I Fuel (D Code) 1

1 RIN Year

1 Assignment 1

1 QAP Service Type

Originating Organization

Originating Facility

1 Generating Organization

1 Generating Facility

Quantity 1

1 Production Date It

Nothing found to display.

Note: A RIN is valid for compliance during the year that it was generated and the following calendar year.
The time period for retiring a RIN for a particular year extends two months into the following year. The
maximum amount of time a RIN can be valid in EMTS is two years and two months.

Generating RINs

From the Manage RIN Holdings screen, you have the option to generate RINs if your organization is a
Domestic Renewable Fuel Producer, a Renewable Fuel Importer, or a bonded Foreign Renewable Fuel
Producer. There are two different kinds of RIN generation, generating as an importer and generating as a
producer. To generate RINs as a producer, either click the Generate (Producer) button or select Generate as
a Producer in the "I want to..." drop-down and click Go. This opens the first screen (Report Fuel) of the three-
step Generate Wizard (see Figure 18).

RFS EMTS User's Guide

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Figure 18: Generate Wizard, Report Fuel Screen (Step 1)

* = Required Field

« RIN Holdings | | Report Feedstocks »

RFSEMTS User's Guide

14

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The green boxes on the right side of the screen indicate which of the three generate steps you are completing.
The following information is required to generate RINs:

•	Type of fuel produced;

•	Code that specifies the process used to create the renewable fuel;

•	Date the renewable fuel was produced;

•	Renewable fuel type as defined in Part M Section 80.1426;

•	QAP Service Type for the RINs;

•	Volume of renewable fuel produced;

•	Volume of denaturant added to the renewable fuel (ethanol only);

•	Number of RINs associated with the renewable fuel;

•	Facility ID;

•	Batch number;

•	Codes for all feedstocks used to produce the renewable fuel;

•	Quantity of all feedstocks used to produce the renewable fuel;

•	Units of measure for all feedstock quantities;

•	Company ID and Facility ID of biointermediate feedstock producer (biointermediate feedstocks only)

•	Affirmation that each feedstock meets the definition of renewable biomass; and

•	Codes for all co-products produced along with the renewable fuel, if there are any.

All required fields are marked with a red asterisk. In the dropdown fields, the invalid options are grayed out
For example, in Figure 19, the organization can produce only Advanced Biofuel, Renewable Fuel, and
Cellulosic Diesel, so the remaining Fuel (D Code) options are disabled.

You are not required to report an equivalence value. EMTS will automatically calculate the equivalence value
based on the type of fuel for which you are generating RINs. The number of RINs you are allowed to generate
for a specific fuel type will be determined by the volume of the batch of fuel multiplied by the equivalence
value. EMTS checks that the RINs you generate do not exceed your fuel volume by the equivalence value
multiplier. If you report an equivalence value, EMTS will re-calculate and check this value.

In the panel for Remedial Action, the "Is this an authorized Remedial Action" checkbox is used to indicate
that you are submitting a transaction for a "missed RIN generation" that has been authorized by EPA. The
following fields must match the EPA authorization in the system to generate a "missed" batch of RINs:

•	Production Date;

•	RIN Quantity;

•	D Code;

•	QAP status;

•	Batch Number;

•	Originating Organization;

•	Originating Facility; and

RFS EMTS User's Guide

15

-------
• Import Facility (if applicable).Figure 19: Drop-down Example for Generate Wizard

*	Fuel (D Code):

*	Production Process:

*	Production Date:

*	Fuel Category:

*	QAP Service Type:

-Select- M



1-Select-

Advanced Biofuel (D=5)
Renewable Fuel (D=6)
Cellulosic Diesel (D=7)





~

Select ¦

Once you have completed all of the required fields, click Report Feedstocks at the bottom of the screen to
move to the second screen of the Generate Wizard. If all of the information on the Report Fuel screen is valid,
you will be redirected to the Report Feedstocks screen. Otherwise, you will remain on the Report Fuel screen,
and you will see a list of QA Check Errors at the top of the screen (see Figure 20). Once you correct the errors,
you will be able to move to the Report Feedstocks screen.

Figure 20: QA Check Errors

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

*	Fuel (D Code):

*	Production Process:

*	Production Date:

*	Fuel Category:

*	QAP Service Type:

Biomass-Based Diesel (D=4) ¦

Hydrotreating. Dedicated Renewable Biomass Facility(200) »

03/06/2014

(MM/DD/mY)

Non-cellulosic Ethanol (EV 1.0) (10)
Unverified (30) »

2 Report Feedstocks

^ Report Co-products

On the Report Feedstocks screen, you must enter all of the feedstocks used to generate the fuel specified on
the Report Fuel screen. To add a feedstock, you must populate the three required fields (and the
biointerrnediate Company and Facility ID if applicable), check the checkbox for renewable biomass (when
generating RINs, all feedstock(s) must meet the definition of 'renewable biomass'), and then click the Add
button. In the Feedstock dropdown, the feedstocks that your organization is not registered for are grayed
out. After you have clicked the Add button, the feedstock information will be displayed in the grid (see Figure
21).

• 3013: Denaturant volume must be reported for an "Ethanol" or "Cellulosic Ethanol" fuel.

|Q22: The RIN quantity is not equal to the product of batch volume and the allowed equivalence value (0.9). Based on supplied criteria the RIN quantity should be 9000.

Generate RINs - Report Fuel

| Report Fuel [_

RFS EMTS User's Guide

16

-------
Figure 21: Generate Wizard - Report Feedstocks Screen (Step 2)

oEPA Moderated Transaction System

-—fia*

Organization Submissions Trades

Reports RE

Ms E Signature

Generate RINs Report Feedstocks
Report one or more feedstocks used (or the generation of the fuel.

Your organization has 0 tm-
Sfebmitted transactions in the
P.F52 transaction bin.

Vtov RFS2 transaction Bin

1 1

II feedstock

¦FEE?

¦intermediate facility 1 At

MilKmat Information

1 Renewable Bnntass

1 CeBulosic Biomass - Annual Cover Crops

500

Liter

Yes

Remove 1

1 I

—[ Hejwrt Feedstocks ¦

• F**dstocSc(Codfl): | ~ S+toCt" vj

Quantity: j

Unit ol Measure; : -- Sated — v |

BiointcmiedMte Producer: *

Riointwiiediate Facility: v
Additional Information:

Does this feedstock meet the definition of renewable biomass in 40 CFR 80.1401?

« Report Fuel Report Co-products »

Once you have added all of the feedstocks used to generate the RINs specified on the Report Fuel screen, click
the Report Co-products button at the bottom of the screen. The Report Co-products screen, which is Step 3
of the Generate Wizard, behaves similarly to the Report Feedstocks screen. You must add any co-products
produced by your organization's fuel generation process. If there are no co-products to report, leave all fields
blank. To complete the Generate Wizard, click the Add to Transaction Bin button. Note: In addition, parties
must complete the RFS0701: RFS2 Renewable Fuel Producer Co-products Report and submit it quarterly.

If your organization is a Renewable Fuel Importer, you have the option to generate RINs as an importer. The
Generate Wizard for Importers is similar to the Generate Wizard for Renewable Fuel Producers, except when
you identify the production source on the Report Fuel screen, you must provide the originating organization
and facility (the Importer's organization and facility) and the generating organization and facility (the
Foreign Producer's organization and facility). The Foreign Fuel Producer Facility ID that you enter must be
registered for the Process, Fuel (D Code), Fuel Category, Feedstock, and QAP Service Type that you enter,
otherwise QA checks will prohibit RIN generation.

Foreign Fuel Producers that are identified by importers as the generating organization in a generate
transaction can view the details of the transaction by selecting View Importer Transactions under the
Submissions menu. The View Transactions screen (see Figure 22) includes an overview of all of the generate
transactions in which an importer has identified that organization as the generating organization. Selecting
"View Details" for a transaction displays the details of the transaction.

RFSEMTS User's Guide

-------
Figure 22: View Importer Transactions

Moderated Transaction System

Organization Submissions Trades

View Transactions

The following grid shows RIN generations by renewable fuel importers that have generated RINs for
renewable fuel and/or undenatured ethanol produced at your renewable fuel production facility.

Please immediately contact EPA Fuels Programs Support, 1 -800-385-6164, if you see an invalid or
incorrect RIN generation referencing your renewable fuel facility.

Generate Transactions for Shandler Oil Company (43247)

Displaying records 1 through 1 of 1 total.

RFS2 Transaction Bin

fa Vourc

un-su
j.J i n th e

organization has 0
bmitted transactions
RFS2 transaction

bin.

View RFS2 Transaction Bin

Production a

Fuel (D ^

RIN A

QAP
Service
Type

j*.

RIN a.

Batch a

Date w

Code) w

Year w

Quantity *"

Volume *

05/18/2015 , . , Renewable _ Unverified

03:1 Os43 PM US/W/^U1D Fue| ^ ^15

(30)

1000000 1000000 Organization View Details ~ | Uo
1.1 (IT-Org 1.1)

Foreign Fuel Producers can also subscribe to the Foreign Producer RIN Generation notification. This
notification is sent to the Foreign Fuel Producer every time an importer identifies their organization in a
generate transaction. For information on how to subscribe to notifications, see the Receiving Notifications
section of this document.

Managing the Transaction Bin

After you click Add to Transaction Bin, you are taken to the Transaction Bin, where transactions will be
stored temporarily until you are ready for EMTS to process them (see Figure 23 ).

RFSEMTS User's Guide

-------
Figure 23: Transaction Bin

Transaction Bin

A transaction that is acting upon a large number of RIN batches may take several minutes, causing your browser to timeout. Please be patient and do not submit another transaction until the
transaction has completed.

Selected Organization: RAP Inc. GEN
EtOH (4670)

Select a Different Organization

j Submit» |

Generate Transactions

Production
Date

RIN
Year

Fuel Category

Fuel (D Code)

QAP Service
Type

Equivalence
Value

Status

Status Date

I want to... 1

03/05/2014 2014 Non-cellulosic Ethanol (EV Renewable Fuel ^ (30) 10000

9000 Ready 03/09/2014 5:49:12 PM EDT -Select- ~ | Go |

Buy Transactions

1 Transfer Date

RIN Year

1 Fuel (D Code)

1 QAP Service Type

1 Quantity

1 Assignment

1 Trading Partner

1 Status

Status Date

I want to...

There are no buy transactions.

Separate Transactions

RIN Year

Fuel (D Code)

QAP Service Type

1 Quantity

1 Volume

Reason Code

1 Status

Status Date

I want to... 1

There are no separate transactions.

Sell Transactions

1 Transfer Date

RIN Year

1 Fuel (D Code)

1 QAP Service Type

1 Quantity

Assignment

Trading Partner

1 Status

Status Date

I want to... 1

There are no sell transactions.

Retire Transactions

RIN Year

Fuel (D Code)

QAP Service Type

1 Quantity

1 Volume

Reason Code

1 Status

Status Date

I want to...

There are no retire transactions.

j Submit» |

The Transaction Bin is organization-specific, so transactions added to the Transaction Bin by any of your
organization's submitters will be displayed on the screen. To switch the organization for which the
Transaction Bin is displayed, click Select a Different Organization. There is no restriction on the number of
transactions that you can add to the Transaction Bin, provided they are originated on behalf of a single
organization and that organization has sufficient RINs in its RIN Holding Account

For each transaction in the Transaction Bin, you have the option to View Details, complete another
transaction of that transaction type (i.e., Generate RINs), or Remove the transaction (see Figure 24).

Figure 24: Transaction Bin Options

Transaction Bin

Selected Organization: RAP Inc. GEN

transaction has completed.

Generate Transactions

Submit» j

QAP Service
Type

Volume I Quantity

03/05/2014 2014

Buy Transactions

Non-cellulosic Ethanol (EV
1.0}

Renewable Fuel
(0=6)

03/09/2014 5:49:12 PM EOT

Quantity Assignment

View Details
Generate RINs
I Remove

There are no buy transactions.

If you select View Details, you will be taken to a screen that displays all of the details of the transaction. This
screen can be used to verify the contents of the transaction before submitting it If you select Generate RINs,
you will be taken to the first screen of the Generate Wizard so that you can complete an additional generate
transaction before you submit the transactions from the Transaction Bin. You cannot edit a transaction in
the T ransaction Bin; you must remove it and then create a new transaction. If you select Remove, you will be
taken to a screen that contains the transaction details. At the bottom of the screen, you will be able to click

RFSEMTS User's Guide

-------
a Confirm Remove button. This opens the Transaction Bin screen and the removed transaction is no longer
available.

Along with accessing the Transaction Bin at the end of each wizard, you can navigate to the Transaction Bin
from multiple screens of the EMTS website using the Transaction Bin accordion tab on the right side of the
screen (see Figure 25). The tab contains the number of un-submitted transactions and a link to the
Transaction Bin.

Figure 25: Accessing the Transaction Bin

Clicking the View Transaction Bin link opens the Transaction Bin screen. Note that the RINs associated with
each separate, sell, and retire transaction in the Transaction Bin are Reserved rather than Available (they
show up in the Reserved column of the View RIN Holdings grid). As a result, these RINs may not be used for
any other transactions. If a separate, sell, or retire transaction is removed from the Transaction Bin, the
associated RINs return to an Available status. RINs associated with a generate transaction do not show up
in the View RIN Holdings grid until the transaction is submitted from the Transaction Bin, and RINs
associated with a buy transaction do not show up in the View RIN Holdings grid until the transaction is
submitted from the Transaction Bin and accepted by the trading partner.

To complete a transaction, you must submit it from the Transaction Bin by clicking the Submit button at the
bottom of the screen. If you have multiple transactions in the Transaction Bin, you must submit all of the
transactions at once. If you do not wish to submit one of the transactions in the bin, you can remove that
transaction and submit the remaining transactions. In addition, if you have multiple transactions acting on
different RIN years, you need to select a RIN year before submitting your transactions from your Transaction
Bin. For example, if you have multiple sell transactions in your Transaction Bin that will act on RIN batches
for years 2011 or 2012, you must submit each year-specific batch separately. You may not submit all
transactions across multiple years as part of a single transaction bin submission.

Note: Submitting a transaction that is acting upon a large number of RIN batches may take several minutes,
causing your browser to timeout Please be patient and do not submit another transaction until the
transaction has completed and your RIN Holdings and Transaction Bin reflect the results of that transaction.
After you click Submit, you will be taken to a Confirm and Submit screen, which displays an overview of the
transactions you are about to submit. You must click the Confirm Submit button circled in Figure 26 to
complete the submission.

RFS EMTS User's Guide 20

Your organization has 1
un-submitted
transactions in the
transaction bin.

View Transaction Bin

-------
Figure 26: Confirm and Submit Screen

Confirm and Submit

I confirm that the information shown is a correct and accurate account of the transacbon(s) that have taken place.

A transaction that is acting upon a large number of RIN batches may take several minutes, causing vour browser to timeout, Please be patient and do not submit another transaction until the
transaction has completed.

Transactions

Your organization has 1
un-submitted transactions
in the transaction bin.

View Transaction Bin

Renewable Fuel (D-6)

Once you confirm the submission, the View RIN Holdings (Current) screen will reflect the results of the
submitted transactions, and the Transaction Bin will be empty.

Note: Unconfirmed transactions in the Transaction Bin expire after five business days. At that point, the
transactions will be removed from the Transaction Bin, and all reserved RINs associated with expired
separate, sell, and retire transactions will return to the "Available" state. For this reason, it is important that
you complete your transactions as soon as possible to avoid loss of any transaction data that you have been
working on during multiple web sessions.

Separating RINs

Assigned RINs may be separated from the Manage RIN Holdings screen (see Figure 27). To separate RINs in
your RIN Holdings, select Separate in the "I want to..." drop-down, and click Go. Doing so will take you to the
first screen of the Separate Wizard (see Figure 28).

Figure 27: Separate Option for Available Assigned RINs

Man>i{)i' RIN Holriinfj*

an* el ntnuKltm *<

i: RAP Inc. OrN

RFS EMTS User's Guide

-------
Figure 28: Separate Wizard - Identify RINs (Step 1)

Separate RINs - Identify RINs

Identify the RINs for separation by entering the required information belov

Your organization has 0
un-submitted transaction
in the transaction bin.

View Transaction Bin

	| Identify RINs |	

•	Foe! (D Code):

•	RIN Year:

•	QAP Service Type:

•	RIN Quantity:

•	Batch Volume:

•	Transaction Date:

•	Reason for Separation:
Additional Information:

Renewable Fuel (D=6)
2014

Unverified (30) <*>

(MM/DD/V
- Select -

[jST|

« RIN Holdings j | Advanced Options »

r-E

Add Document Information

Document Type:
Document Identification:

The green boxes on the right side of the screen indicate which of the two steps of the Separate Wizard you
are completing. The following information is required to separate RINs:

•	Renewable fuel code (D code);

•	Year the RINs being separated were generated;

•	QAP Service Type Code;

•	Number of RINs being separated;

•	Volume of fuel associated with the RINs being separated;

•	Date the RINs were separated; and

•	Code which specifies the reason for the separate transaction.

All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, and QAP Service Type fields
are automatically populated with the information from the row of RINs in the RIN Holdings grid that you
selected to separate. In the Reason for Separation drop-down, only the reasons that are applicable to your
organization's registered business activities are available (the remaining options are disabled). The Separate
Wizard also contains a document grid; you can use this grid to specify the name and identifier of one or more
documents that support the separate transaction. Note that the document itself cannot be uploaded. To add
document information to the grid, fill in the Document Type and Document Identification fields, and click
Add (see Figure 29).

RFSEMTS User's Guide

22

-------
Figure 29: Supporting Document Information

Document Type



Identifier



test document

123



| Remove |

Add Document Information

Document Type:
Document Identification:



| Add |

When you complete the Identify RINs screen, click Advanced Options at the bottom of the screen to navigate
to the second step of the Separate Wizard (see Figure 27). On the Advanced RIN Selection screen, you have
the option to specify a batch of RINs to separate. If you do not wish to make any selections on this screen
(this step is optional), click Add to Transaction Bin at the bottom of the screen to continue. In this situation,
EMTS will automatically separate RINs using the First-in, First-out (FIFO) accounting method (i.e., the oldest
RINs, based on production date, are used first, for the RIN Year, Fuel Code, Fuel Category and QAP Service
Type chosen). Alternatively, you may use this screen to identify a specific originating organization, or
organization and facility, or organization, facility, and batch number. To specify an organization, click the
originating organization's name, and click Select (see Figure 30).

RFS EMTS User's Guide

23

-------
Figure 30: Optional Advanced RIN Selection Screen

oERA Moderated Transaction System - ^



L



ass9i



Organization Submissions Trades

Reports

RINs







Separate RINs - Advanced RIN Selection (Optional)

This step is optional. If you choose not to complete this step, EMTS will automatically select RINs
with the oldest production date from your RIN Holding Account for this separate transaction. Only
complete this step if you would like to separate RINs that were produced from a specific
organization, facility or batch. If you do not wish to select specific RINs to separate, then you can
skip this step by clicking the Add to Transaction Bin button below. To select a facility, you must first

~ Transaction Bin

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

<< Identify RINs j | Add to Transaction Bin »|

After you click Select, the Selected Organization field and the Organization accordion tab will contain the
name of the organization you selected (see Figure 31).

RFS EMTS User's Guide

24

-------
Figure 31: Selected Organization Example

*' Organization: [RAP Inc. GEN Cellulosic (4672)]

All Organizations:

Selected Organization:

Select (L~RAP Inc- Cellulosic (4672)

Remove

~ Facility

~ Batch Number

<< Identify	| | Add to Transaction Bin >>]

To select a Facility, click the Facility tab of the Advanced RIN Selection accordion, and follow the same steps.
Repeat the steps to identify a particular batch from a specified organization and facility. Once you have
specified the originating source information, click Add to Transaction Bin to continue. After you submit the
separate transaction from the Transaction Bin, your RIN Holdings grid will reflect the results of the
separation.

From your RIN Holding Account, you may also separate assigned RINs on behalf of a Small Blender by
selecting the Separate (Upward delegation) option in the "I want to..." drop-down (see Figure 32). Doing so
will take you to the first step of the Separate Wizard for upward delegation (see Figure 33).

RFSEMTS User's Guide

25

-------
Figure 32: Separate (Upward delegation) Option for Available Assigned RINs

Manage R1N Holdings

Select one of the transaction actions for each fuel year and assignment for your RIN Holdings.

Select a Different Organization

Figure 33: Separate Wizard - Identify RINs (Step 1)

Separate RINs - Identify RINs

« RIto-relates! respsraiDsfities to the separate party pursuant to 40 CFR §

¦ QAP Service Type;
N Quantity;

Renewable Fi» (D=6)
2014

Unverified (30) Z

Reason for Separatioi

• Blender ID:
Additional Informatioi

Document Type;
Document Identify

[w]

| «HIN Hodavgs | [ Aeyanoed Options » |

In the first step of the Separate Wizard for upward delegation, the Reason for Separation is pre-populated
with "Upstream Delegation for Blending," and the screen includes fields for the blender name and identifier.
You must provide this information in order to separate for upward delegation. Apart from the Identify RINs
section of Step 1, the Separate Wizard for upward delegation is identical to the Separate Wizard used for all
other reasons for separation.

Small Blenders that are identified in separate transactions for upward delegation can view the details of
those transactions by selecting View Blender Transactions under the View Transactions menu option. The
View Transactions screen (see Figure 34} includes an overview of all of the separate transactions in which
that organization has been identified as the blender. Selecting "View Details" for a transaction displays the
details of the transaction.

RFSEMTS User's Guide

-------
Figure 34: View Blender Transactions

Moderated Transaction System

Organization View Transactions Reports

View Transactions

The following grid shows the transactions that have been separated by the party directly upstream per 30,1440 (b)(1),

Please immediately contact EPA Fuels Programs Support- 1-800-385-6164, if you see an invalid or incorrect RIN separation that references your
company.

Separate Transactions for Bizo Blenders (4352)

Displaying records 1 through 1 of 1 total.

Transaction A
ID v

Transaction
Date

Fuel (D A

RIN A

QAP
Service
Type

RIN A

Batch A

Code) *

Year »

Quantity *

Volume **

05/18/2015
03:32:18 PM

Renewable
Fuel (6)

Unverified
(30)

Separating
Organization

M:ron1,1 ViewDetails -i G° i

Small Blenders can also subscribe to the Small Blender RIN Separation notification. This notification is sent
to the Small Blender every time their organization is identified in a separate transaction for upward
delegation. For information on how to subscribe to notifications, see the Receiving Notifications section of
this document.

Retiring RINs

Depending on your organization's business activities you may choose to retire RINs for compliance or for
other reasons from your RIN Hol ding Account. If your organization is an obligated party (a Non-renewable
Fuel Importer, a Refiner, or a Renewable Fuel Exporter) your organization may retire separated RINs for
obligation (Retire (Obligation}} and assigned or separated RINs for other reasons (Retire (Other)). If your
organization is registered as more than one type of obligated party, you must choose from the drop-down
the compliance level you would like to use (see Figure 35). For organizations with any other business
activities (i.e., non-obligated parties), the only enabled retire option in your RIN Holdings grid will be Retire
(Other) (see Figure 36).

Figure 35: Retire Options for a Refiner (Obligated Party) with Separated RINs

RIN ItuMimi* lor:

RAP Inc. GEN ElOll {4670)

{^¦E5BKd^KIBK£HEI^E^^3EIHESE53E5iHGHEB&3HME^&SME3iflHH^5IHIB&9HH^HECSQ9HHH

Renewable fuel (D«6)

2014

Assigned

unverified (30)

Setoet

Renewable Fuel (0-6)

201-1

Sepjuted

Unverified (30)

-SMwl-

Go j

Export options: CSV 1 Excel 1 EC£

-------
Figure 36: Retire Options for a Non-Obligated Party with Separated RINs

RIN Holdings for: RAP Inc. Obligated Party (4675)

For a row of RINs in your RIN Holdings, select the Retire (Other) option in the "I want to.,," drop-down, and
click Go. Doing so will take you to the first step of the Retire Wizard (see Figure 37).

Figure 37: Retire (Other) Wizard - Identify RINs (Step 1)

Retire RINs - Identify RINs (Other)

iJerWy the RENs for retirement by entering tfce requires

Fuel (D Cade}:
RIN Yean
Assignment:
QAP Service Type:
RIN Quantity;

Batch Volume:

• Transaction Date:

' Reason far Retire:
Additional Information

Bomass-Basea Diesel (D=4) ,
2014

Separata: w
Unverified (30) t

in the transactor br

The green boxes on the right side of the screen indicate which of the two steps of the Retire Wizard you are
completing. The following information is required to retire RINs for reasons other than compliance:

• Renewable fuel code (D code);

• Year the RINs being retired were generated;

• Assignment of the RINs;

• QAP service type code;

• Number of RINs being retired;

• Date the RINs were retired; and

• Reason for the retire transaction.

All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, Assignment, and QAP Service
Type fields are automatically populated with the information from the row of RINs in the RIN Holdings grid
that you selected to retire. In the Reason for Retire field, only the reasons that are applicable to your

RFSEMTS User's Guide

-------
organization's registered business activities are available (the remaining options are disabled). The Retire
Wizard also contains a document grid you can use to specify the name and identifier of one or more
documents that support the retire transaction. Note that the document itself cannot be uploaded. To add
document information to the grid, fill in the Document Type and Document Identification fields, and click
Add. Doing so will add a row to the documents grid (see the Separating RINs section for more details).

When you complete the Identify RINs screen, click Advanced RIN Selection at the bottom of the screen to
navigate to the second screen of the Retire Wizard. On the Advanced RIN Selection screen, you have the
option of specifying the batch of RINs that you wish to retire. If you do not wish to make any selections on
this screen, click Add to Transaction Bin at the bottom of the screen to continue. In this situation, EMTS will
automatically retire the RINs in your RIN Holding Account using the FIFO accounting method. Alternatively,
you may use this screen to identify a specific originating organization, or organization and facility, or
organization, facility, and batch number. See the Separating RINs section for details on how to use the
Advanced RIN Selection screen to specify originating source information. Once you have specified the
originating source information, click Add to Transaction Bin to continue. After you submit the retire
transaction from the Transaction Bin, the RINs will be removed from your RIN Holdings.

Obligated parties can retire separated RINs for obligation by selecting the Retire (Obligation) option in the
"I want to..." drop-down on the Mange RIN Holdings screen. The following information is required to retire
RINS for compliance:

• Renewable fuel code (D code);

• Year the RINs being retired were generated;

• QAP service type code;

• Number of RINs being retired; and

• Date the RINs were retired.

All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, and QAP Service Type fields
are automatically populated with the information from the row of RINs in the RIN Holdings grid that you
selected to retire. Additionally, the Assignment, Reason for Retire, Compliance Year, and Compliance Level
are automatically hard-coded based on your selections from the RIN Holdings grid although Compliance Year
is editable for Renewable Fuel Exporters (see Figure 38).

RFS EMTS User's Guide

-------
Figure 38: Retire as Exporter - Identify RINs (Obligation)

oERA Moderated Transaction System

* *

fag

Organization Submissions Trades

Reports

RINs

Retire as Exporter - Identify RINs (Obligation)

Identify the RINs for retirement by entering the required information below.

~ Transaction Bin

Your organization has 0
un-submitted transactions
in the transaction bin.

Vi-v: ! ransaction Bin

Identify RINs

Identify RINs (Obligation)

* Fuel (D Code):

* RIN Year:
Assignment:

* QAP Service Type:

* RIN Quantity:

* Transaction Date:

Reason for Retire:

* Compliance Year:
Compliance Level:
Additional Information:

Renewable Fuel (D=6)

2015

Separated

Unverified (30)

(MM/DD/YYYY)

Demonstrate annual compliance

2015

Aggregated Exporter

Advanced RIN Selection (Optional)

To view the total number of RINs your organization has retired for obligation, select RFS2 Compliance under
the Reports main menu option. On the View Aggregate RINs Retired for Obligation screen, the retired RIN
quantities are aggregated by Fuel Code, RIN Year, Compliance Year, and Compliance Level. For Refiners with
a "Refinery by Refinery" compliance level, the RIN quantities are also aggregated by Facility. For
organizations that have not retired any RINs for obligation, the grid on this screen will be empty. You can
also view your retired RINs on the RIN Holdings (History) screen under the RINs menu (see Figure 39).

RFSEMTS User's Guide

-------
Figure 39: View RIN Holdings History

Moderated Transaction System

Organization Submissions Trades

View RIN Holdings History

The following retire and sell transactions were processed for Biodiesel Company in the past. These
retire and sell transactions contain RINs that are no longer in your holding account. Enter criteria and
click Search. Specifying the Originating Company ID, Originating Facility Number, or Originating Batch
Number in the search criteria will only return transactions if this information was specified when the
transaction was submitted.

~ Transaction Bin

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

~ Organizations

^ Basic Filter Options

Search For Transactions

Transaction Type:

RIN Year:

QAP Service Type:

Fuel (D Code):

Reason for Retire:

Begin Date:

End Date:

Originating Company Id:
Originating Facility Number:
Originating Batch Number:
Results Per Page:

- Select -

-- Select —

— Select --

(MM/DD/YYYY)

As Selected in Advanced
Options or Originating
Source detail elements

~ Trading Partner

Clear

Filter

RIN Holdings History for: Biodiesel Company

Displaying records 1 through 3 of 3 total.

Transaction A Submission

Sell

A RIN A A Fuel (D _

~ Year - Servlce » Code) ~ Quantity
Type

2015 STified ™ed 150

11:45:03 AM (30; (D=5)

01/29/2015 7mt- Unverified Renewable -n

11:44:56 AM (30) Fuel (D=6)

01/29/2015 9nis Unverified Renewable -n
11:44:55 AM (30) Fuel (D=6)

150

Trading
Partner

RAP Inc.
Standard GEN
Trade (10) Biodiesel
(4671)
RAP Inc.
GEN

Standard
Trade (10) Biodiesel
(4671)

RAP Inc.
Standard GEN
Trade (10) Biodiesel
(4671)

View Details ~

Go |i

View Details ~

View Details ~( Go

Export options: CSV I Excel I PDF

RFSEMTS User's Guide

-------
Trading RINs

You can initiate a trade from your RIN Holdings screen. To initiate a sell transaction, you must have RINs in
your RIN Holdings. The following information is required to initiate a trade through a sell transaction:

• Renewable fuel code;

• Year in which the RINs that were sold were generated;

• Assignment of the RINs;

• QAP service type code;

• Number of RINs that were sold;

• Volume of renewable fuel sold with the RINs (for assigned RINs only);

• Identifier of the organization to which you are selling RINs;

• Name of the organization to which you are selling RINs;

• Date on which the trade occurred as recorded on the Product Transfer Document (PTD);

• Price per RIN or the price per gallon of renewable fuel that was agreed upon by both parties (price
must be rounded to two decimal places)*; and

• Reason the RINs have been sold+.

* For transactions completed on or after January 1, 2020, if the transaction contains Separated RINs
AND the Reason Code is either "Spot" or "Term Contract," the Price Element must use "Per RIN"
units and the price cannot be $0.00, and the price must match between buyers and sellers.

+ The reason "Standard Trade" 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.

The reason "Spot", "Term Contract", or "Consignment" 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.

o A spot is a transaction with a fixed price, fixed quantity, and single delivery,
o A term transaction would be any transaction where at least one of the above is untrue.

For a row of RIN data in your RIN Holdings grid, select Sell in the "I want to..." drop-down, and click Go. Doing
so will take you to the first screen of the Sell Wizard (see Figure 40).

RFSEMTS User's Guide

-------
Figure 40: Sell RINs - Identify RINs Screen (Step 1)

Organization Submissions Trades Reports Agent RINs Fuels ABT Credits

Sell RINs - Identify RINs

Enter Fuel (D Code), RIN Year, Assignment, QAP Service Type, Quantity of RINs, and Sell Reason. Also,
enter Batch Volume if Assignment = Assigned. To cancel a trade that your organization has already
initiated, go to the Pending Initiated Transactions on your Review Trades page and select 'Cancel
Offer' for the appropriate transaction.

| Identify RINs~

* Fuel (D Code):

* RIN Year:

* Assignment:

* QAP Service Type:

* Quantity of RINs:

* Sell Reason:

Batch Volume:

Cellulosic Biofuel (D=3)

2015

Assigned ~
Q-RIN (10)

- Select-

Required for assigned
RINs or if price per
Gallon is specified.

(Gallons)

~ RFS2 Transaction Bin

Your organization has 0
un-submitted transactions
in the RFS2 transaction bin.

View RFS2 Transaction Bin

~ Fuels ABT Transaction Bin

Identify RINs

Select Trading Partner

1
§

« RIN Holdings

Select Trading Partner»

» Transaction Details and Documents
I

Advanced RIN Selection (Optional)

The green boxes on the right side of the screen indicate which of the four steps of the Sell Wizard you are
completing. All required fields are marked with a red asterisk. The Fuel (D Code), RIN Year, Assignment, and
QAP Service Type fields are automatically populated with the information from the row of RINs in the RIN
Holdings grid that you selected to sell. Once you complete the information on this screen, click Select Trading
Partner to move to the next screen. On the Select Trading Partner screen, you must identify a trading partner
from a list of organizations that satisfy the search criteria. You can search for an organization by Organization
Name or Organization ID. In Figure 41, the organization names were filtered on the word "Better," and Better
Fuel Corporation was selected from the options. The trading partner organization must have an enabled
business activity that allows it to buy RINs.

RFS EMTS User's Guide 33

-------
Figure 41: Sell RINs - Select Trading Partner

SEFA

Moderated Transaction System

Organization

Submissions

Sell RINs - Select Trading Partner

Select a trading partner by searching on the Organization. You may search data by 'Begins with',
'Contains' or 'Equals' (Equals is an exact match). To search by Organization Identifier, choose the
Contains option and enter the Organization Identifier number. To view all organizations, clear the
search criteria and click the 'Search' button. Viewing all organizations may take some time for the
list to load,

~ Transaction Bin

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

| Search for Organization

Clear

Organization: Begins with v f Better

Select Organization

O Better Bio from Uzbekistan (4328)

Better Fuel Corporation (4410)

O Better Petroleum (4322)

Selected Organization:

Better Fuel Corporation
(4410)

« Identify RINs ] | Transaction Details >>

When you have selected your trading partner, click the Transaction Details button to move to the next screen.
On the Sell RINs - Transaction Details and Documents screen, you must enter the Transfer Date, Price Paid
(either price per RIN or price per gallon], and Sell Reason. The value entered for Price Paid must have exactly
two digits after the decimal place. Note that you may not enter both price per RIN and price per gallon.

You may also enter a Matching Transaction Identifier. This element allows users to accept specific buy/sell
transactions in the case of several similar transactions. It is the unique transaction identifier assigned by
EMTS to an initiated trade. When accepting a trade, users can include this element in the trade matching
criteria (along with the other trade matching criteria currently in effect). If this element is reported, EMTS
will attempt to locate a matching transaction based on the MatchedTransactionldentifier and the other
matching criteria provided. If a match is not found, then the transaction will fail. If this element is not
reported, then it will not be used in the trade matching (but all other required matching elements will still
apply].

You can also provide a Product Transfer Document (PTD] number, Bill of Lading, Invoice, and other
additional information. The Transaction Details and Documents screen contains a document grid you can
use to specify the name and identifier of one or more documents that support the sell transaction. Note that
the document itself cannot be uploaded. To add document information to the grid, fill in the Document Type
and Document Identification fields, and click Add (see the Separating RINs section for more details]. When
you have completed this screen, click Advanced RIN Selection to move to the final screen of the Sell Wizard.

RFS EMTS User's Guide

-------
On the Advanced RIN Selection screen, you have the option of specifying the batch of RINs that you wish to
sell. If you do not wish to specify originating source information, click Add to Transaction Bin at the bottom
of the screen to continue. In this situation, EMTS will automatically sell the RINs in your RIN Holding Account
using the FIFO accounting method. Alternatively, you may use this screen to identify a specific originating
organization, or organization and facility, or organization, facility, and batch number. See the Separating
RINs section for details on how to use the Advanced RIN Selection screen to specify originating source
information. Once you have specified the originating source information, click Add to Transaction Bin to
continue. After you submit the sell transaction from the Transaction Bin, the transaction will be in a pending
state, and the RINs associated with the sale will be in the Pending column of the RIN Holdings grid (see Figure
42). The RINs will remain in the Pending column until the trading partner accepts the sell transaction.

Figure 42: Pending RINs in RIN Holdings Grid

RIN Holdings for: RAP Inc. Obligated Party (4675)

| Fuel (D Code) ^

RIN Yea

Assignment

QAP Service Type

Available Pending Reserved

Locked

Total

I wa

ntto... |

Biomass-Based Diesel (D=4) 2014 Separated Unverified (30) 15,000 2,000 0 0 17,000 —Select— ~ | Go

Export options: CSV I Excel I PDF

The following information is required to initiate a buy transaction:

• Renewable fuel code;

• Year in which the RINs that were bought were generated;

• Assignment of the RINs;

• QAP service type code;

• Number of RINs that were bought;

• Volume of renewable fuel bought with the RINs (for assigned RINs only);

• Identifier of the organization that has sold the RINs;

• Name of the organization that has sold the RINs;

• Date on which the trade occurred as recorded on the PTD;

• Price per RIN or the price per gallon of renewable fuel that was agreed upon by both parties. Price
must be recorded to two decimal places*; and

• Reason the RINs have been bought+.

+ The reason "Standard Trade" 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.

The reason "Spot", "Term Contract", or "Consignment" 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.

o A spot is a transaction with a fixed price, fixed quantity, and single delivery,
o A term transaction would be any transaction where at least one of the above is untrue.

RFS EMTS User's Guide

-------
To initiate a buy transaction, go to the Manage RIN Holdings screen, and either click the Buy button below
the RIN Holdings grid or select Buy in the "I wantto..." drop-down for a row in the RIN Holdings and click Go.
If you select Buy for an existing row in the RIN Holdings grid, the Fuel (D Code), RIN Year, Assignment, and
QAP Service Type in the Buy Wizard will be pre-populated with information from that row.

The green boxes on the right side of the screen indicate which of the three steps you are completing. All
fields marked with a red asterisk are required. On the Identify RINs screen, you must provide the Fuel (D
Code), RIN Year, Assignment, and Quantity of RINs.

You also have the option of using the Advanced Options fields to specify originating source information for
the RINs that you wish to buy. To access the Advanced Options fields, click the Advanced Options tab circled
in Figure 43.

RFS EMTS User's Guide

-------
Figure 43: Buy RINs - Identify RINs Screen (Step 1)

Organization Submissions Trades Reports Agent RINs Fuels ABT Credits

Buy RINs - Identify RINs

Enter Fuel (D Code), RIN Year, Assignment, QAP Service Type, Quantity of RINs, and Buy Reason. Also, enter
Batch Volume if Assignment = Assigned. To cancel a trade that your organization has already initiated, go to
the Pending Initiated Transactions on your Review Trades page and select 'Cancel Offer' for the appropriate
transaction.

| Identify RINs~

* Fuel (D Code):

* RIN Year:

* Assignment:

* QAP Service Type:

* Quantity of RINs:

* Buy Reason:

Batch Volume:

- Select -

- Select- ~

- Select -

Required for assigned
RINs or if price per
Gallon is specified.

S3 Advanced Options (optional)

~ RFS2 Transaction Bin

Your organization has 0
un-submitted transactions
in the RFS2 transaction bin.

View RF52 Transaction Bin

~ Fuels ABT Transaction Bin

« RIN Holdings | | Select Trading Partner» ]

Once you click this tab, you will be able to access the Advanced Options fields (see Figure 44),

Figure 44: Buy RINs - Advanced Options

S Advanced Options (optional)

Generating Organization
Identifier:

Generating Facility Identifier:
Batch Number:

To specify the originating source for a buy transaction, you will need to know the Generating Organization
Identifier, the Generating Facility Identifier, and the Batch Number (unlike the Sell Wizard where you have
options available to you). Once you complete the Identify RINs screen of the Buy Wizard, click Select Trading
Partner. The Select Trading Partner and the Transaction Details and Documents screens of the Buy Wizard
have the same behavior as the corresponding screens in the Sell Wizard, For buy transactions, the trading
partner organization must have an enabled business activity that allows it to sell RINs. From the Transaction
Details and Documents screen, click Add to Transaction Bin. Submit the transaction from the Transaction
Bin to complete the buy transaction. At this point, the transaction will be in a pending state, but the transfer
of RINs will not be reflected in your RIN Holdings grid until the trading partner accepts the buy transaction.

RFS EMTS User's Guide

-------
To view the pending transaction(s) that your organization has initiated or received (as the result of another
organization initiating a transaction with your organization as the trading partner), hover over Trades on
the main menu and select Review Trades. The Review Trades screen is organization-specific (see tabs in
Figure 45), so to switch the organization for which the screen is displayed, open the Organizations tab of the
accordion on the right side of the screen, and click Select a Different Organization.

Figure 45: Review RFS2 Trades Screen

Review RFS2 Trades

~ Transaction Bin

The following Fuels ABT trade transactions were either received or initiated by Demo Organization 1. You can
act upon any of these transactions by selecting the appropriate action in the "I want to ..." column, located
next to each transaction.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

~ Organizations

Basic Filter Options

RIN Year:

QAP Service Type:

Fuel (D Code):
Assignment:

Transaction Type:
Transaction Identifier:
Transfer Date (Begin):

Transfer Date (End):

Submission Date (Begin):

Submission Date (End):

PTD Number:

CDX ID:

-- Select —

— Select --

- Select —

- Select — ~

- Select -- ~

(MM/DD/YYYY)

Initiated trades only.

~ Trading Partner

Clear

Filter

* (0) Pending Received Transactions for [Demo Organization 1 (20)]

Submission ^
Date

RIN A

Year w

QAP Service ^
Type

Fuel (D ^
Code) *

Assignment ^

Reason

Org A
Id ~

Trading ^
Partner

I want to

Nothing found to display.

~ (0) Pending Initiated Transactions from [Demo Organization 1 (20)]

The Review Trades screen includes a number of filter options that you can use to search for specific initiated
or received buy or sell transactions. The labels on the Pending Transactions tabs include the number of

RFSEMTS User's Guide

-------
transactions within each tab. In Figure 46, the organization has two Pending Initiated Transactions and zero
Pending Received Transactions. In the Review Trades accordion, only one tab can be open at a time, so to
open the Pending Received Transactions tab of the accordion, you would click Pending Received
Transactions. As a result, the Pending Initiated Transactions tab would close.

For Pending Initiated Transactions, you can select View Details in the "I want to..." drop-down to view the
details of the transaction, or you can select Cancel Offer to cancel the trade (see Figure 43). If you choose
Cancel, you will be prompted to confirm the cancellation, and the transaction will no longer appear in your
Pending Initiated Transactions (or your trading partner's Pending Received Transactions).

Figure 46: Pending Initiated Transactions Options

~ Trading Partner

Clear | | Filter

| ~ (0) Pending Received Transactions for [RAP

. Obligated Party (4675)]

| * (1) Pending Initiated Transactions from [RAP Inc. Obligated Party (4675)]

Submission a
Date T

RIN Year

QAP Service Type

Fuel (D Code)

Type

Quantity

Org Id

Trading Partner ^

I w

„„

"""

03/09/2014 2014 Unverified (30) Biomass-Bssed Separated Sell 2000 Standard Trade 4671 RAP Inc. SEN Biodiesel —Select — | -r i

Diesel (D=4) ,4 = -

Co |

^Cancel Offer

For Pending Received Transactions, you can select View Details, Accept Offer, or Deny Offer in the "I want
to..." drop-down (see Figure 47).

Figure 47: Pending Received Transactions Options

T (2) Pending Received Transactions for [

• (0) Pending Initiated Transactions from [RAP Inc. GEN Biodiesel (4671)]

If you deny the offer, you will see the details of the transaction that you are denying, and you will need to
provide an explanation for denying the trade (see Figure 48). Once you click Confirm Deny, the transaction
will no longer appear in your Pending Received Transactions (or your trading partner's Pending Initiated
Transactions).

RFSEMTS User's Guide

-------
Figure 48: Deny Trade Screen

Moderated Transaction System

Organization

Submissions

Deny Trade

~ Transaction Bin

To deny the received trade, please provide an explanation and select the 'Confirm Deny' button located at the bottom
of the page. If you wish to return to the list of your pending transactions, select the 'Back' button.

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

You are denying the following Buy pending trade:

300 2010 Assigned Renewable Fuel RINs from

RAP Inc. GEN Cellulosic (4672) submitted on Fri Jan 08 08:14:01 EST 2010
for $0.12 per Gallon.

* Please provide an explanation for denying the trade:

<< Back I ( Confirm Deny »

If you select Accept Offer, you will also see the details of the transaction, and you will be prompted to provide
the price of the transaction (see Figure 49). For transactions completed on or after January 1, 2020 that
contain Separated RINs AND the Reason Code is either "Spot" or "Term Contract," the Price Element must
use "Per RIN" units, the price cannot be $0,00, and the price must match between buyers and sellers.
Additionally, you will have the option of adding transaction details and document information. Note that the
document itself cannot be uploaded. To add document information to the grid, fill in the Document Type and
Document Identification fields, and click Add (see the Separating RINs section for more details].

RFSEMTS User's Guide

-------
Figure 49: Accept Trade Screen

«>ERA Moderated Transaction System

'I,'-, :

Organization Submissions Trades

Reports

RINs

Accept Trade

Please review the selected transaction and provide any additional information about the trade. To
report a PTD number for your transaction, you must enter it into the 'PTD' field. If you do not enter a
number, your transaction details will not include a PTD number. Note that this field is not
automatically carried over from your trading partner's transaction.

•* Transaction Bin

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

You are accepting the following Sell pending trade:

12 2014 Unverified Assigned Renewable Fuel RINs from

RAP Inc. GEN EtOH (4670) submitted on 09/22/2014 1:02:23 PM EDT

for $0.55 per Gallon.

Reason: Standard Trade (10)

Transfer Date: 09/22/2014

* Confirm the price per Gallon for this transaction:

Transaction Details

Additional Information:

Additional Information required when Trade Reason is not Standard Trade.

PTD:

Document Type

Identifier

Public/Private

Nothing found to display.

Add Document Information

Document Type:
Document Identification:
Public

Add

« Back

Confirm Accept»

To report a PTD number for your transaction, enter the number in the "PTD" field. If you do not enter a
PTD number, your transaction details will not include a PTD number. Note that this field is not
automatically carried over from your trading partner's transaction.

Once you click Confirm Accept, the transaction will no longer appear in your Pending Received Transactions
(or your trading partner's Pending Initiated Transactions), and the results of the trade will be reflected in
your RIN Holdings.

RFSEMTS User's Guide

-------
If you select View Details for a Pending Received transaction, you will see the details of the transaction along
with the option to either accept the trade or deny the trade. Clicking Deny Trade will take you to the Deny
Trade screen (see Figure 48), and clicking Accept Trade will take you to the Accept Trade screen (see Figure
49).

If a trade is not accepted, cancelled, or denied within ten business days of the submission date (the date that
you or your trading partner initiated the trade), the trade will expire, and it will no longer appear on your
Review Trades screen.

As described earlier in this section, a trade can be completed if one trading partner initiates a trade through
a Buy/Sell Wizard, and the other partner then accepts the initiated trade from the Review Trades screen.
Trades can also be completed in the following ways:

• Both trading partners submit XML files for a trade (one buy and one sell);

• One trading partner completes a buy/sell transaction on the web application, and the other trading
partner submits a matching XML file for the corresponding transaction; or

• One trading partner completes a buy transaction on the web application, and the other trading
partner completes a matching sell transaction on the web application.

In all of these instances, the following fields must match for the trades to match:

1. RINYear;

2. Fuel Code;

3. RIN Quantity;

4. Reason Code;*

5. Assignment Code;

6. QAP Service Type; and

7. Transaction Date.

* If the buy or sell reason is Deny Trade or Cancel Trade, then the Reason Codes do not need to
match.

In addition:

1) The Trading Partner Organization Identifiers must agree (e.g., the sell transaction should list
the buying organization as the Trading Partner, and the buy transaction should list the selling
organization as the Trading Partner); and

2) If one Trading Partner specifies Originating Source information, then the other Trading Partner
must specify the same Originating Source information.

3) For transactions completed on or after January 1, 2020 that contain Separated RINs AND the Reason
Code is either "Spot" or "Term Contract," the Price Element must use "Per RIN" units, the price cannot be
$0.00, and the price must match between buyers and sellers.

RFSEMTS User's Guide

-------
If these fields do not match, then the trades submitted by both trading partners via XML or web application
will be considered pending initiated trades. For more information on using XML files to interact with EMTS,
see the Submitting XML Files Section.

Managing the Blocked List

In some cases, you may wish to ensure that your organization does not buy or own RINs that were generated
by a specific renewable fuel producer, importer, or facility. To do so, you can add a producer or facility to
your organization's Blocked List. When a trade includes RINs that originated from a producer, importer, or
facility on the buying organization's Blocked List, the transaction will automatically be denied by EMTS, and
a notification will be sent to both parties indicating that the transaction was not processed. You can access
your organization's Blocked List by selecting View Blocked List under Organization in the EMTS main menu.

Figure 50: View Blocked List Screen

Moderated Transaction System

Organization Submissions Trades

Reports

RINs

Help

View Blocked List

~ Transaction Bin

The following list identifies renewable fuel producers and/or generating facilities whose RINs you have chosen not to buy, You
will not be able to buy RINs that originated from these sources, no matter which organization is selling the RINs.

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

Organization ^

Facility

¦W

Date Blocked ±

I want to...

You have not chosen any fuel producers to block.

| Add Blocked Producer | [ Add Blocked Facility

From the View Blocked List screen (see Figure 50), click the Add Blocked Producer or Add Blocked Facility
button to add a producer or facility to your organization's Blocked List. Clicking Add Blocked Producer opens
the Add Producer to Blocked List screen (see Figure 51). On the Add Producer to Blocked List screen, you
must identify a renewable fuel producer from a list of organizations (the list includes only renewable fuel
producers). You can filter the list by Organization Name or Organization ID. To select a producer to add to
your Blocked List, click the organization name in the list, and click Select In Figure 48, the organization list
was filtered with the word "Better," and Better Fuel Corporation was selected.

RFS EMTS User's Guide

-------
Figure 51: Add Producer to Blocked List Screen

oBA Moderated Transaction System

Organization Submissions Trades Reports

RINs

Add Producer to Blocked List

Select an organization by searching on the Organization. You may search data by 'Begins with'.,
'Contains' or 'Equals' (Equals is an exact match). To view all organizations, clear the search criteria
and click the 'Search' button. Viewing all organizations may take some time for the list to load. Note
that you will not be able to acquire RINs from any of this organization's facilities.

Search for Organization

Organization: [-Select- v] [betterfuel~

Clear

I Select Organization

£~:; Better Fuel Corporation (4410)

Selected Organization:

! Comment:

Better Fuel Corporation
(4410)

~ Transaction Bin

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

* = Required Field

[ « Back ~] | Submit

After you enter a comment in the Comment field and click Submit, you will return to the View Blocked List
screen, and the producer that you blocked will be added to the View Blocked List grid (see Figure 52).

Figure 52: View Blocked List Grid

©ERA Moderated Transaction System

^ -

Organization Submissions Trades Reports

RINs

Help

View Blocked List

The following list identifies renewable fuel producers and/or generating facilities whose RINs you have chosen not to buy. You
will not be able to buy RINs that originated from these sources, no matter which organization is selling the RINs.

' Transaction Bin

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Trans action Bin

Organization

Better Fuel Corporation (4410)
Export options: CSV I Excel I PDF

Date Blocked

02/26/2010 10:31:30 AM EST

RFSEMTS User's Guide

-------
When you add a producer to your organization's Blocked List, the Facility column in the View Blocked List
grid will contain the text "All facilities," indicating that your organization has chosen to block RINs that
originate at all of the producer's facilities. If you add a facility to the Blocked List, the Facility column will
display the name of the facility that you have blocked, and the Organization column will display the name of
the organization associated with that facility. Note that you may select an organization on the View Blocked
List screen regardless of whether that organization has produced RINS or has been enabled as a current
producer.

For each row in the View Blocked List grid, you have the option to either View Details or Remove. Selecting
View Details opens the View Blocked List Details screen that includes the Organization, Facility, and Date
Blocked information displayed in the grid along with the name of the person that added the
organization/facility to the Blocked List and the comment provided with the action. Selecting Remove opens
the Confirm Removal screen (see Figure 53}. The screen displays all of the information included on the View
Details screen. You must click Confirm Remove at the bottom of the screen to remove the
organization/facility from the Blocked List. Upon doing so, you will return to the View Blocked List grid, and
the removed organization/facility will no longer be included in the grid.

Figure 53: Confirm Removal Screen

Moderated Transaction System

Confirm Removal

~ Transaction Bin

Please confirm that you would like to remove the following from your blocked list.

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

Organization:

Better Fuel Corporation (4410)

Facility:

All Facilities

Blocked by:

Wise, Edgar

Date Blocked:

~2/26/2010

Comment:

test

Back ] [ Confirm Remove

Viewing Historic RIN Holdings

To view information for RINs that your organization previously owned but has since removed from its RIN
Holding Account, select View RIN Holdings (History) under RINs on the EMTS main menu. The View RIN
Holding History screen contains details of your organization's retire and sell transactions (i.e., transactions
that remove RINs from your RIN holdings) (see Figure 54).

RFS EMTS User's Guide

-------
Figure 54: View RIN Holding History Screen

View RIN Holdings History

The following retire and sell transactions were processed for Test Organization 1.1 in the past. These retire
and sell transactions contain RINs that are no longer in your holding account. Enter criteria and click Filter.
Specifying the Originating Company ID, Originating Facility Number, or Originating Batch Number in the
search criteria will only return transactions if this information was specified when the transaction was
submitted.

"*¦ Basic Filter Options

,r RFS2 Transaction Bin

Your organization has 0
un-submitted transactions
in the RFS2 transaction bin.

View RF52 Transaction Bin

~ Fuels ABT Transaction Bin

~ Organizations

Search For Transactions

Transaction Type:

RIN Year:

QAP Service Type:

Fuel (D Code):

Assignment:

Reason for Retire:

Begin Date:

End Date:

Originating Company Id:
Originating Facility Number:
Originating Batch Number:
Results Per Page:

— Select — ~

— Select -- ~

— Select --

— Select —

— Select — ~

-- Select —

(MM/DD/YYYY)

As Selected in Advanced
Options or Originating
Source detail elements

~ Trading Partner

RIN Holdings History for: Test Organization 1.1 (IT-Orgl.l)

Displaying records 1 through 1 of 1 total.

Transaction a.
Type ^

Submission ~
Date *

RIN ^
Year ^

QAP
Service ^
Type

Fuel
-------
Viewing Web Submissions

For every set of transactions that you submit from the Transaction Bin, EMTS will create and store a
submission details screen (a submission contains one or more transactions). To access the details of
Transaction Bin submissions, select View Web Submissions under Submissions on the EMTS main menu.

Figure 55: View Web Submissions Screen

«>ER^ Moderated Transaction System '

Organization Submissions Trades

Reports

RINs

View Web Submissions

~ Transaction Bin

The following are all of the submissions from the Transaction Bin for your organization RAP Inc. GEN
EtOH. Choose the View Details option in the I want to... column of the grid below to see more
information about a submission and the list of transactions within the submission. You will be able to
view transaction details from the submission details page.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

~ Organizations

CDX Submission ID:
Submission ID:
Submission Date (Begin):

Submission Date (End):

Results Per Page:

Clear

(MM/DD/YYYY)

Filter

Web Submissions for:

RAP Inc. GEN EtOH Number of Submissions: 3

Displaying records 1 through 3 of 3 total.

Submission ID

^ Submission Date

^ Submitter

^ Submission Status

^ I want to...

9/17/14 4:31 PM

Rogers, Nat

Processed

- Select—

'1 Go I

9/17/14 4:26 PM

Rogers, Nat

Processed

- Select-

-1 Go

9/10/14 1:47 PM

Rogers, Nat

Processed

- Select-

Go |

Export options: CSV I Excel I PDF

The View Web Submissions screen is organization-specific, so it includes Transaction Bin submissions
completed by any of an organization's submitters. To switch the organization for which the View Web
Submissions screen is displayed, open the Organizations tab of the accordion on the right side of the screen,
and click Select a Different Organization. To filter the View Web Submissions grid to look for a particular
submission, use the options in the Search box, and click Filter. The Web Submissions grid includes an
overview of each submission from the Transaction Bin. For each transaction, you will see the submission ID,
submission date, submitter, and status. To view the details of a submission, select View Details in the "I want
to..." drop-down and click Go. This opens the View Submission Log Details screen, which contains the details
of the submission and an overview of each transaction in the Submission (see Figure 56). You can also

RFS EMTS User's Guide

-------
download the submitted XML file the View Node Submissions screen by selecting "Download Submitted
XML" from the "I want to..." drop-down. The submitted files are stored and available for download for a
limited amount of time.

Figure 56: View Submission Log Details

Moderated Transaction System

— !

Organization Submissions Trades

Reports

RINs

View Submission Log Details

Submission Details

CDX Transaction ID:
Submission ID:
Organization Name:
Submission Date:
Submission Status:
Submitter Name:

_a91310ab-0al8-009c-5bad-af35bf99c63e
308

RAP Inc. GEN Biodiesel (4671)

03/09/2014

Processed as of 03/09/2014 6:19:27 PM EDT
Nat Rogers

Sell Transactions

Transaction

ID 1 Transfer Date

1 RIN Year

Fuel (D Code)

J QAP Service Type

1 Assignment

[ Quantity

Trading Partner

I want to...

365

03/06/2014

2014

Biomass-Based Diesel (D=4)

Unverified (30)

Assigned

17000

RAP Inc. Obligated Party

View Details ~ | Go j

Export options: CSV I Excel I PDF

« Back

To view the details of a transaction in the submission, select View Details in the "I want to..." drop-down and
click Go.

Submitting XML Files

If you wish to submit data to EMTS without using the website transaction wizards, you may do so by
submitting valid XML files from the EMTS web application, a personal node, or a node client. For more details
on XML file submission, please go to http://www.exchanaenetwork.net/exchanaes/air/emts.htm and
download the implementation resources available on the site. The Flow Configuration Document (FCD)
describes the different methods of file submission and contains details on the Exchange Network Header
v2.0, which must be included in an XML file for it to be valid. The XML Schema and Data Exchange Template
provide additional information on the structure and content requirements for a valid XML file. Please see
the Sample XML Instance File for an example of a valid XML file. In addition, please see the document titled
"Submitting EMTS Transactions Using XML."

RFS EMTS User's Guide

-------
Converting Excel Files to XML

EMTS includes functionality to convert an MS Excel file into a valid XML file, EPA provides a blank Excel
template, which allows users to include all transaction types in one file. It includes general notes about
submitting transactions, user-specific submittal information, and a tab for each transaction type.
The EMTS Excel Conversion Template is located on the EPA's website here:

https://www.epa.gov/fuels-registration-reporting-and-compliance-help/template-converting-ms-excel-
files-xml-epa.

Important Notes: The transaction types must remain in the same order presented in the template:
Generate, Buy, Separate, Sell, Retire, Lock, and Unlock. The template header rows also must remain
unchanged to allow EMTS to process the file.

Required columns have a header that is highlighted yellow. Additional information is included in column
header comments and in the Notes tab. To view comments, hover over the header, as shown in Figure 57
below.

Figure 57: Excel Template Comment

RIN Quantity ^

REQUIRED

Amount of RINs

Fuel Code

that are involved

with the

transaction.

To convert an Excel file into XML, navigate to Submissions-^ Submit File from the main EMTS menu or the
EMTS home screen (see Figure 58).

Figure 58: EMTS Home Screen Submit File Options

V>EPA Moderated Transaction System

Organization Trades

Reports

Agent

RINs

View Importer Transactions
Submit File
Submit File History
View Node Submissions

!TC View WebSubmissions

: Test Userl,

are urged to conduct due diligence investigations ant
ing the EPA Moderated Transaction System (EMTS), «
in the regulations at 40 CFR 80.1431(b)(2), invalid RIf
ss of the party's good faith belief that the RINs were
r to any person of a RIN that is invalid.

"" _: Your organization has 0 pending received trades and 0 pending in
UK You can submit your XML file here.lSubmit Fiie

RFS EMTS User's Guide

-------
The Submit File screen is user-specific, so if you represent multiple organizations, you can submit files for
all of your organizations from the Submit File screen without changing the organization that you represent.
However, submissions for each organization must be included in a separate file submission. From this
screen, you may submit only one Excel file at a time. In addition, you may not submit multiple files with the
same file name in a given calendar year (to prevent accidental duplication].

On the Submit File screen (see Figure 59), click the Browse button to identify the Excel file you would like
to convert. The tab order and name, as well as the header rows, must remain unchanged from the Excel
Template.

Figure 59: Submit File Screen

Moderated Transaction System

Organization Submissions Trades Reports Rills

Submit File

Select a We to submit, if the file is an XML file, then the file mtfst indude ?he Exchange teetworic
Header v2.G and must pass EMTS v3-0 XSG schema vabdatam for rt to be submitted to the EMTS
Nod*. IF you are submitting an Excel file, cfcck "Convert",. then c6ck ~SUb
-------
Figure 60: Submit File Screen - Loading the File

Moderated Transaction System

Submissions

Trades

Organization

Reports

Submit File

Select a file to submit. If the file is an XML file, then the file must include the Exchange Network Header
v2.0 and must pass EMTS v3.0 XSD schema validation for it to be submitted to the EMTS Node. If you are
submitting an Excel file, click "Convert", then click "Submit" after downloading the XML file to your local
system. If you represent multiple organizations, you may submit a file for any of your organizations from
this page.

~ Transaction Bin

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

If your file was successfully converted from Excel to XML, you will see the following screen pop up (see
Figure 61), which provides you with an opportunity to save the XML file for your records. If your file had
any errors during conversion, you will see the corresponding QA Check Errors pop up on the Submit File
screen. Once you have corrected your errors, re-submit the file and click the Convert button.

Figure 61: Successful Conversion - Opportunity to Save XML File

Opening Test_file.xls.zip

You have chosen to open:

¦ Test_file.xls.zip

which is: Compressed [zipped] Folder

from: https://ep a n ccd ev-01600, a ppdev. ep a. gov

What should Firefox do with this file?

o | Open with; Windows Explorer (default)

Save File

Do this automatically for files like this from now on.

Cancel

RFS EMTS User's Guide

-------
Once you have saved the XML file for your records, you are ready to submit it for processing. Click the
Submit button from the Submit File screen, as shown in Figure 62. It may take some time to process, so
please be patient and avoid clicking the Submit button again.

Figure 62: Submit Converted Excel File

Moderated Transaction System

Submissions

Trades

Organization

Reports

Submit File

Transaction Bin

Select a file to submit. If the file is an XML file, then the file must include the Exchange Network Header
v2.0 and must pass EMTS v3.0 XSD schema validation for it to be submitted to the EMTS Node. If you are
submitting an Excel file, click "Convert", then click "Submit" after downloading the XML file to your local
system. If you represent multiple organizations,, you may submit a file for any of your organizations from
this page.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

[ Identify File

RFS EMTS User's Guide

-------
The file must first pass through the CDX node before it can be processed by the EMTS node. If your file does
not pass schema validation, you will receive an error message on the Submit File screen. If your file is valid,
the message on the Submit File screen will be updated to indicate that your file has been submitted, as seen
in the figure below.

Figure 63: Submit File Screen

v>EPA Moderated Transaction System .

Organization Submissions Trades

Submit File

Your file Test_file.xml has been submitted. Please see the Submit File History page for the latest status of
^your submission.

| Identify File

View Submit File History

Convert | | Submit

~ Transaction Bin

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

To view the CDX node status details for your submission, click the View Submit File History button. You can
also access the Submit File History screen by hovering over the Submissions menu option and clicking
Submit File History, The Submit File History screen (see Figure 64), like the Submit File screen, is user-
specific (not organization-specific), so it will include records for your submissions for all of your
organizations.

It will display information only for files submitted from the Submit File screen and not for files submitted
using a personal node or node client. If the 'Recei ved By CDX' column displays 'Yes' for a submission, the
submission was successfully received by the CDX node and has been sent to the EMTS node for processing.

RFS EMTS User's Guide

-------
Figure 64: Submit File History screen

Moderated Transaction System

Organization Submissions Trades

Reports

RINs

Submit File History

~ Transaction Bin

The following grid displays status information for all of the files submitted by you through the Submit File
page on the EMTS Website.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

[ Search for Submitted Files |_

CDX Submission ID
Begin Date:

End Date:

Results Per Page:

| Clear | | Filter

(MM/DD/YYYY)

Submit File History For: Test Company

Displaying records 1 through 3 of 3 total.

CDX Transaction ID

^ File Name

^ Received By CDX

^ Status Date

_5119912c-8643-fl35-0f7f-8dd096941215

Test_file.zip

/^Yes

"^^9/24/13 1:52 PM

_50f91944-8643-fl35-550c-le6a69945942

Test_file.zip

f Yes

9/24/13 1:16 PM

_504fbb88-8643-fl35-6d8a-e93bd90b81a8

Test_file2.zip

\Yes

^^9/24/13 10:11 AM

Export options: CSV 1 Excel I PDF

Processing by EMTS

After confirming that the file was successfully received by CDX, you will need to check whether the file was
processed by EMTS. It is possible for your file to have been successfully received by CDX, but not
successfully processed by EMTS.

In order to confirm whether your transaction has been successfully processed by EMTS, hover over the
Submissions menu option and click View Node Submissions. The View Node Submissions screen displays
the results of XML files submitted from a person al node or node client along with XML files submi tted from
the Submit File screen, which acts as a node client.

In the example shown in Figure 65, the submission was successfully sent to CDX, but failed to be processed
by EMTS, as seen in the results circled in the "Submission Status" column.

RFS EMTS User's Guide

-------
Figure 65: View Node Submissions

Moderated Transaction System

Organization

Reports

View Node Submissions

~ Transaction Bin

The following are all of the files submitted on behalf of your organization RAP Inc. GEN EtOH. Choose the
View Details option in the I want to... column of the grid below to see more information about a submission
and the list of transactions within the submission. You will be able to view transaction details from the
submission details page. NOTE: The time it takes to process and load an XML file submission into EMTS will
vary depending on current system activity.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

~ Organizations

| Search [_

CDX Submission ID:
Submission ID:

Status:

Submission Date (Begin):

Submission Date (End):

Results Per Page:

Clear

- Select-

(MM/DD/YYYY)

Filter

XML File Submissions for: Test Company

Number of Files Received:

Displaying records 1 through 2 of 2 total.

CDX ID

:1 File Name ^

[ Submitter

_50f91944-8643-fl35-550c-le6a69945942

9/24/13 1:16 PM

Test_file.zip

Tester, Demo

C!!^Failed

^ - Select- ~ | Go |

_504fbb88-8643-fl35-6d8a-e93bd90b81a8

9/24/13 10:11 AM

Test_file2.zip

Tester, Demo

Processed

View Details ~ [ Go |

Export options: CSV I Excel I PDF

The View Node Submissions screen is organization-specific (and not user-specific), which means that the
screen displays the status of all files submitted by representatives of the organization specified above the
View Node Submissions grid. To switch organizations, click Select a Different Organization in the
Organizations tab of the accordion. To filter the View Web Submissions grid to look for a particular
submission, use the options in the Search box, and click Filter.

This screen displays the date and time XML files were submitted, CDX and Submission IDs, the file names,
and whether the files were successfully processed. The Submission Status column of the View Node
Submissions grid displays the EMTS node status of each XML file submission. A status of Processed
indicates that the file passed all QA checks, and a status of Failed indicates that the file failed one or more
EMTS QA checks. For processed and failed files, you can select View Details in the "I want to..." column to
see more information about the submission and a list of transactions within the submission (see Figure 66),

RFS EMTS User's Guide

-------
Figure 66: View Node Submissions Options

Submission Status ^

I want to...

Failed
Processed

-Select- ~

- Select -

Download Submitted XML
View Details
QA Results

Processed

:—

From the submission details screen, you will be able to view transaction details for each transaction in the
submission. For processed and failed files, you can also download the submitted XML file the View Node
Submissions screen. The submitted files are stored and available for download for a limited amount of time.
From the View Node Submissions screen, you can also select QA Results in the "I want to..." column for a
failed submission. This will take you to a QA Feedback Report, which contains a list of QA checks that the
submission failed.

Receiving Notifications

EMTS can communicate information to users by sending notifications via email. Some notifications will be
sent immediately while others will be aggregated and sent nightly. The current version of EMTS includes a
number of immediate notifications, such as the EMTS Trade Cancelled notification and the EMTS Trade
Denied notification, along with several aggregated daily notifications, such as the EMTS Notification of
Pending Trades and the Daily Processed Document Summary. For a complete list of notifications, see
Appendix E of the Flow Configuration Document, on the EMTS Documents screen.

To receive these notifications, you must first subscribe to the notifications from the RFS2 Subscriptions
screen (see Figure 67] (click RFS2 Subscriptions under the Reports menu option). Users will be automatically
subscribed to some notifications.

RFS EMTS User's Guide

-------
Figure 67: RFS2 Subscriptions

Moderated Transaction System

Organization Submissions Trades

RFS2 Subscriptions

Select 'Manage Subscription' and click 'Go' to subscribe or unsubscribe. There are three types of subscriptions: Document,
Notification, and Compliance Report. Document subscriptions may be generated 3-per-day, daily, weekly, and monthly, depending
on the specific document.

Selected Organization: Biodiesel
Company (5001)

Select a Different Organization

Subscription Name j

1 Type ^

&d ^1 Last Updated 1 Updated By 1 I want to...

Cancelled Trades

Document

Manage Subscription

-dm

Completed Trades

Document

Manage Subscription

.|_GoJ

Expired Trades

Document

Manage Subscription

'ESE3

Monthly RIN Generation

Document

Manage Subscription

-dm

Monthly RIN Holdings

Document

Manage Subscription

Monthly Transaction History

Document

Manage Subscription

-d°D

Pathway Status

Document

Manage Subscription

-dm

Pending Trade Details

Document

Manage Subscription

-USD

Pending Trades

Document

Manage Subscription

'fG°1

RIN Batches

Document

Manage Subscription

-~Ell

RIN Generation

Document

Manage Subscription

RIN Holdings

Document

Manage Subscription

-dm

Transaction History

Document

Manage Subscription

-dm

Transaction Status

Document

Manage Subscription

-[Ml

Annual Statement Available

Notification

Manage Subscription

-dm

Blocked Party - Initiated Trade Not Processed

Notification

Manage Subscription

Blocked Party - Partner's Trade Not Processed

Notification

Manage Subscription

-d°1

Daily Processed Document Summary

Notification

Manage Subscription

Initiated Trade Cancelled

Notification

Manage Subscription

-Tail

Initiated Trade Denied

Notification

Manage Subscription

.[GoJ

Locked RINs

Notification

Manage Subscription

-dm

Notification of Outstanding Trade Transactions

Notification

Manage Subscription

-dm

Notification of Pathway Association Restore

Notification

Manage Subscription

'dm

Notification of Pathway Association Suspension

Notification

Manage Subscription

-dm

Notification of Pending Trades

Notification

Manage Subscription

;fG°1

Notification of QAP Provider Pathway Association About To Expire

Notification

Manage Subscription

-fGoJ

Processing Failure

Notification

Manage Subscription

-~IE]

Quarterly Reports Available

Notification

Manage Subscription

'~Ell

Received Trade Cancelled

Notification

Manage Subscription

'~ED

Received Trade Denied

Notification

Manage Subscription

-dm

Reminder - Outstanding Initiated Trade Transactions

Notification

Manage Subscription

-dm

Submission Level Failure

Notification

Manage Subscription

Tdm

Subscription Status

Notification

Manage Subscription

-dm

Trade Expired

Notification

Manage Subscription

-dm

Transaction Error Report Available

Notification

Manage Subscription

-dm

Unlocked RINs

Notification

Manage Subscription

-dm

Unused Documents

Notification

Manage Subscription

-dm

RFS2 EMTS Activity Report (Assigned RINS)

Compliance Report

Manage Subscription

-dm

RFS2 EMTS Activity Report (Separated RINS)

Compliance Report

Manage Subscription

-dm

RFS2 EMTS Annual Report

Compliance Report

Manage Subscription

-dm

RFS2 EMTS Annual Statement

Compliance Report

Manage Subscription

-dm

RFS2 EMTS RIN Generation CSV/XML Report

Compliance Report

Manage Subscription

-dm

RFS2 EMTS RIN Generation Report

Compliance Report

Manage Subscription

-dm

RFS2 EMTS RIN Transaction CSV/XML Report (Buy, Sell, Separate, Retire)

Compliance Report

Manage Subscription

-dm

RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire)

Compliance Report

Manage Subscription

-dm

RFS2 EMTS Transaction Error Report

Compliance Report

Manage Subscription

- Go

Export options: CSV I Excel I PDF

RFSEMTS User's Guide 57

-------
To subscribe to a notification, click Go in the "I want to..." column. On the Manage Subscription screen for
that notification, check the "Subscribed" checkbox. For the immediate notifications, the frequency will be
"Immediate," and for the daily notifications, the frequency will be "Daily." All notifications will be text format
and will be delivered via email. All subscriptions are organization specific, so if one submitter for an
organization subscribes to a notification, then all submitters for that organization will receive the
notification.

Receiving Documents

EMTS also creates various reports and documents that include information about data submitted for your
organization. These documents can be accessed from the EMTS website (click View Reports under the
Reports menu item) or retrieved from the EMTS node.

To download the documents from the EMTS website or retrieve them using a personal node or node client,
you must first subscribe to them from the RFS2 Subscriptions screen (see Figure 68) (click RFS2
Subscriptions under the Reports menu option).

Note: If you subscribe to a document and then do not download the document within 22 business days, you
will be automatically unsubscribed from that document You will receive an email notification before and
after the system performs this action. You may re-subscribe to the document at any time.

On the RFS2 Subscriptions screen, click Go in the "I want to..." column to update the subscription for a specific
document On the Manage Subscription screen for that document, check the "Subscribed" checkbox to
subscribe to the document. If the document is available at multiple frequencies (i.e. Daily and three-per-day),
select the desired frequency. Documents can be received in CSV or XML format and can be downloaded from
the EMTS website or from the EMTS node using a node or a node client

After you subscribe to a document, you will be able to download the documents with a daily subscription
frequency the following morning and the documents with a subscription frequency of three times per day at
the next document generation interval. Three-per-day reports are generated at 1AM, 1PM, and 6PM. Weekly
reports are generated Sunday mornings. You can download the documents from the View RFS2 Reports
screen (see Figure 68) (click View RFS2 Reports under the Reports menu option).

RFS EMTS User's Guide

-------
Figure 68: View RFS2 Reports Screen

Trades

oEPA

Moderated Transaction System

Organization

Submissions

RINs

Home | Contact Us | Help | Logout

Logged in as: TutorialDemo_for Demo Organization 1 (20)

View RFS2 Reports

For the desired document, please select 'Download Document'. To view all available versions of a document, select
'View All Documents'.

~ Organizations

Selected Organization: Demo
Organization 1 (20)

Select a Different Organization

Pending Trades

Pending Trade Details
RIN Holdings

Transaction History

Expired Trades

Completed Trades

RFS2 EMTS RIN Generation
Report

RFS2 EMTS RIN Transaction
Report (Buy, Sell, Separate,
Retire)

RFS2 EMTS Activity Report

(Assigned RINS)

RFS2 EMTS Activity Report

(Separated RINS)

RFS2 EMTS Transaction Error

Report

This document lists all trades that are in a pending state,

Pending trades are buy or sell transactions for which the trading
party has not yet submitted a matching transaction.

This document lists all pending trades for your organization, It
includes batch detail information for each transaction.

This document lists the current aggregate total RIN Holdings for
an organization grouped by fuel code, assignment and RIN year.
A document including all generate, separate, buy, sell and retire
transactions submitted by your organization through XML files or
online transactions during the last 14 days.

This document lists all transactions that will expire within 1
business day as well as all trades that have expired in the last
10 days.

This document lists all trades that were completed (i.e., no longer
pending) over the last 10 days.

The quarterly RFS2 EMTS RIN Generation Report.

The quarterly RFS2 EMTS RIN Transaction Report (Buy, Sell,
Separate, Retire).

3 per day

3 per day
Daily

RFS2 EMTS Activity Report (Assigned RINS)
RFS2 EMTS Activity Report (Separated RINS)
RFS2 EMTS Transaction Error Report

Daily
Daily

3 per day
Quarterly

Quarterly

Quarterly
Quarterly
Quarterly

09/03/2010
3:54:13 PM EDT

09/03/2010
3:54:13 PM EDT
09/03/2010
3:54:10 PM EDT

09/03/2010
3:54:04 PM EDT

09/03/2010
3:54:32 PM EDT

09/03/2010
3:54:00 PM EDT
09/03/2010
3:18:49 PM EDT

09/03/2010
3:19:26 PM EDT

09/03/2010
3:20:06 PM EDT
09/03/2010
3:20:33 PM EDT

- Select-

-Select-

- Select-

-Select-

- Select -

| — Select—

-Select-

No valid actions

vl Go

-j_Go_

v l G°

'J G°

"i G°

'|_Go_

HjE

Export options: CSV I Excel I PDF

RFS EMTS User's Guide

-------
The grid on the View RFS2 Reports screen displays the documents to which you have subscribed. You will
also be able to see the frequency you have selected for each report or document and the last run time for
each document To access the latest version of a document, select Download Document in the "I want to..."
drop-down. To access a prior version of the document, select View All Documents in the "I want to..." drop-
down.

When you select Download Document and click Go, you will see a window asking you to either open or save
the ZIP file (see Figure 69). After you open the ZIP file, you will be able to access the document

Figure 69: Download Document Window

Opening RIN Holdings.zip

You have chosen to open
I RIN Holdings.zip

which is a: WinZip File

from: http://mts-app-stage.pqa.local

What should Firefox do with this file?

®; Open with: WinZip (default)

0 bave File

1 I Do this automatically for files like this from now on.

Cancel

For information on how to retrieve these documents using your personal node or node client, please refer to
Section 6 of the EMTS Flow Configuration Docum ent, which can be downloaded from the Exchange Network
website http://www.exchanaenetwork.net/exchanaes/air/emts.htm.

The following documents are available to RFS users:

Cancelled Trades: This document, available on a nightly basis, lists all initiated and received trades
that have been cancelled within the past 10 calendar days.

Completed Trades: This document, available weekly, nightly, or three times per day, lists all trades
that have reached their final status (completed, cancelled, expired, or denied) within the past 10
calendar days.

Expired Trades: This nightly document lists all pending trades that will expire within 1 business day
as well as all trades that have expired within the past 10 calendar days.

Monthly RIN Generation Report: Both organizations and agents may subscribe to the report This
report is available monthly and contains detailed information on the RIN batches generated by the
subscribed organization during the prior month. The Monthly RIN Generation Report document is
created for the prior month's transactions on the first Saturday of every month.

RFS EMTS User's Guide

-------
# Monthly Transaction History: This document, available on a monthly basis, lists all generate,
separate, buy, sell and retire transactions submitted by an organization through XML files or the
EMTS web interface during the prior month. The Monthly Transaction History document is created
for the prior month's transactions on the first Saturday of every month.

# Monthly Verified RINs Generate Activity: This document, available on a monthly basis, is only
available to QAP Providers. It includes detailed information on RIN batches that were generated on
a verified pathway during the prior month. The Monthly Verified RINs Generate Activity document is
created for the prior month's transactions on the first Saturday of every month.

# Pathway Status: This document, available on a nightly basis, lists all of a fuel producer's registered
pathways and the QAP status of those pathways.

# Pending Trade Details: This document, available on a nightly basis or three times per day, lists the
RIN batch details of all pending initiated and pending received trades for an organization.

# Pending Trades: This document, available on a nightly basis or three times per day, lists the details
of all pending initiated and pending received trades for an organization. This report is also available
"on-Demand" for node users (see section called "On-Demand Reports" below).

# QA Feedback: This immediate document shows the failed QA check results for a given failed
submission. Note that you do not need to subscribe to this document because it is created after every
failed submission.

# RIN Batches: This document, available on a daily or weekly basis, lists all RIN batches that an
organization owns.

# RIN Generation: Both organizations and agents may subscribe to the report These reports are
available in 3-per-day, daily, and weekly formats, and contain detailed information on the RIN
batches that were generated by the subscribed organization.

# RIN Holdings: This document, available on a nightly basis or three times per day, lists the current
aggregate total RIN Holdings for an organization grouped by fuel code, assignment and RIN year. This
report is also available "on-Demand" for node users (see section called "On-Demand Reports" below).

# Transaction History: This document, available weekly, nightly, or three times per day lists all
generate, separate, buy, sell and retire transactions submitted by an organization through XML files
or the EMTS web interface within the past 14 days.

# Transaction Status: This document, available nightly, includes transaction activity for the previous
day.

# Verified RINs Generate Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on RIN batches that were generated on a verified pathway
during the previous 10 days.

# Verified RINs Retire Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on verified RIN batches that were retired by the RIN
Generator during the previous 10 days.

RFS EMTS User's Guide

-------
• Verified RINs Sell Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on verified RIN batches that were sold by the RIN
Generator during the previous 10 days.

• Verified RINs Separate Activity: This document, available on a nightly basis, is only available to QAP
Providers. It includes detailed information on verified RIN batches that were separated by the RIN
Generator during the previous 10 days.

Once the prior month's Monthly Transaction History document is created, the Cancelled Trades, Completed
Trades, Expired Trades, Pending Trades, Pending Trade Details, and Transaction Status documents for that
month are purged. For more information on the available documents, please see the EMTS Document
Descriptions file on the EMTS Documents screen.

On-Demand Reports

Node users can solicit two "on-demand" reports. These reports are only available in XML format and cannot
be subscribed to through the EMTS web application. After a node user sends a solicit request to the EMTS
node, EMTS will generate a report of all transactions up to the second that the solicit request was received.

• On-Demand RIN Holdings: This document, available on-demand to node users, matches the Daily RIN
Holdings report. It lists the current aggregate total RIN Holdings for an organization grouped by fuel
code, assignment and RIN year.

• On-Demand Pending RIN Trades: This document, available on-demand to node users, matches the
Daily Pending Trades report It lists the RIN batch details of all pending initiated and pending
received trades for an organization.

Quarterly Reports

NOTE: Beginning with 2018 Quarter 4 reports, EPA implemented a revised procedure for signing RIN
Transaction Reports in EMTS. For more information, refer to the job aid titled "How to Use e-Signature to
Sign RIN Transaction Reports in EMTS" on EPA's Fuels Registration, Reporting, and Compliance Help web
page.

Overview

EMTS generates the following quarterly reports:

• RFS2 EMTS Activity Report (Assigned RINs)

• RFS2 EMTS Activity Report (Separated RINs)

• RFS2 EMTS RIN Transaction Report (Buy, Sell, Separate, Retire)

• RFS2 EMTS RIN Generation Report

• RFS2 EMTS Transaction Error Report

RFS EMTS User's Guide

-------
Examples of each report are contained in the appendix of the EMTS Quarterly Reports: Getting Started
Guide. All reports are generated automatically by EMTS, with the exception of the RFS2 EMTS Transaction
Error Report. See the section "How do I create a Transaction Error Report?" for guidance on how to
generate this report Important: Once a Transaction Error Report is generated for your organization,
it cannot be changed in any way.

Figure 70 describes the reports and indicates how they are related to the reporting forms. All reporting
forms pursuantto requirements in 80.1451 are available athttps://www.epa.gov/fuels-registration-
reporting-and-compliance-help/list-quarterly-and-annual-reports-renewable-fuel. Quarterly reports must
be submitted within two months of the end of the quarter.

Figure 70: EMTS Quarterly Report Descriptions

EMTS Report

Availability in
EMTS

Description

Old

RFS1 Reporting
Form

New RFS2
Reporting Form

RFS2 EMTS
Activity Report
(Assigned RINs)

Generated by
EMTS within 10
business days of
the end of the
quarter.

RFS2 RIN information for the
RFS0101 report. EMTS provides
the total number of assigned RINs
owned at the start of the reporting
period; the aggregate number of
RINs bought, sold, and retired for
the quarter; and the total number of
RINs owned at the end of the
quarter.

RFS0100: RFS
Activity Reporting
Form (40 CFR
80.1152(c)(2))

RFS0102 (40 CFR
80.1451(c)(2))

RFS2 EMTS
Activity Report
(Separated
RINs)

Generated by
EMTS within 10
business days of
the end of the
quarter.

RFS2 RIN information for the
RFS0101 report. EMTS provides
the total number of separated RINs
owned at the start of the reporting
period; the aggregate number of
RINs bought, sold, and retired for
the quarter; and the total number of
RINs owned at the end of the
quarter.

RFS0100: RFS
Activity Reporting
Form (40 CFR
80.1152(c)(2))

RFS0102 (40 CFR
80.1451(c)(2))

RFS2 EMTS RIN
Transaction
Report (Buy,
Sell, Separate,
Retire)

Generated by
EMTS within 10
business days of
the end of the
quarter.

Detailed transactions grouped by
transaction type for an
organization. Includes Buy, Sell,
Separate and Retire transactions.

RFS0200: RIN

Transaction

Report.

No Excel version;
only EMTS PDF
version. Note that
RFS1 RIN
transactions are
reported in the new
RFS0201. (40 CFR
80.1451(c)(1))

(cont.)

RFS EMTS User's Guide

-------
EMTS Report

Availability in
EMTS

Description

Old

RFS1 Reporting
Form

New RFS2
Reporting Form

RFS2 EMTS RIN

Generation

Report

Generated by
EMTS within 10
business days of
the end of the
quarter.

Detailed batches of RINs generated
for an organization. Includes only
Generate transactions for the
quarter.

RFS0400: RFS RIN
Generation
Reporting Form
(40 CFR
80.1152(b)(1))

No Excel version;
only EMTS PDF
version. The
RFS0400 may only
be used for RFS1
RINs generated prior
to July 1,2010. RFS2
RINs are reported in
the new RFS2 EMTS
RIN Generation
Report. (40 CFR
80.1451(b))

RFS2 EMTS
Transaction
Error Report

Can be created in
EMTS following
the quarter.
Deadline to create
is the quarterly
reports
submission
deadline.

Detailed transactions for which a
discrepancy exists between the
EMTS and the organization's
internal record-keeping system, as
reported by the organization.

No equivalent.

New report in RFS2.

When are the quarterly reports available?

Quarterly reports will be available to download within ten business days of the end of a quarter. An email
notification will be sent when the quarterly reports are available to download from the EMTS website. To
subscribe to the "Quarterly Reports Available" notification, access the Manage Subscriptions screen from the
Reports menu on the EMTS web interface.

How do I subscribe to quarterly reports?

You must login to the EMTS web application to subscribe to quarterly reports. In the EMTS main menu, select
Reports, and then select Manage Subscriptions.

All of the reports are available in PDF format In addition, the RFS2 EMTS RIN Generation Report and the
RFS2 EMTS RIN Transaction Report are available in XML and CSV format You can subscribe to the PDF
format and either the XML or the CSV format if you wish. Subscriptions are organization specific, so all
submitters for an organization can download the reports.

To change the subscription for a quarterly report, click the Go button in the "I want to..." column for the
report. On the Manage Subscription screen for that report, check or uncheck the "Subscribed" box (see Figure
71).

RFS EMTS User's Guide

-------
Figure 71: Manage Subscriptions Screen

oEWV Moderated Transaction System ^

0S9P"

Organization Submissions Trades

Reports

RINs

Manage Subscription

Modify and click Update

~ Transaction Bin

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

Subscription Name:

RFS2 EMTS RIN Generation Report

Type:

Report

Description:

The quarterly RFS2 EMTS RIN Generation Report.

Subscribed:

* Frequency:

| Quarterly v

* Method:

| Download v

* Format:

[PDF v

* = Required Field

| << Back J | Update |

How do I access my quarterly reports?

You can access your quarterly reports either by downloading them from the EMTS web application or by
sending a Solicit request for them using your node. To download the reports from the EMTS web application,
select Reports, and then select View Reports. The View RFS2 Reports screen displays all of the reports to
which your organization has subscribed (see Figure 72).

RFS EMTS User's Guide

-------
Figure 72: View RFS2 Reports Screen

Moderated Transaction System

Submissions

Organization

Home | Contact Us | Help | Logout

Logged in as: TutorialPemo for Demo Organization 1 (20)

View RFS2 Reports

For the desired document,, please select 'Download Document'. To view all available versions of a
document, select 'View All Documents'.

~ Organizations

Selected Organization: Demo
Organization 1 (20)

Select a Different Organization

Document Description ^

Frequency

Last Run
Time

I want to...

RFS2 EMTS RIN

The quarterly RFS2 EMTS RIN Transaction Report (Buy,
Sell, Separate, Retire).

09/10/2010
11:21:17 AM

Transaction Report (Buy,

Quarterly

| — Select—

i V

1 Go 1

Sell, Separate, Retire)

EDT

- Select-

RFS2 EMTS RIN
Generation Report

The quarterly RFS2 EMTS RIN Generation Report.

Quarterly

09/10/2010
11:20:31 AM

¦ View All Documents

jjGo |

EDT

RFS2 EMTS Activity Report
(Assigned RINS)

09/10/2010
11:21:25 AM

RFS2 EMTS Activity Report (Assigned RINS)

Quarterly

-Select—

1 Go |

EDT

RFS2 EMTS Activity Report
(Separated RINS)

09/10/2010
11:21:28 AM

RFS2 EMTS Activity Report (Separated RINS)

Quarterly

- Select-

1 Go |

EDT

RFS2 EMTS Transaction
Error Report

RFS2 EMTS Transaction Error Report

Quarterly

No valid actions

This document lists all trades that are in a pending

09/10/2010
11:22:05 AM

Pending Trades

state. Pending trades are buy or sell transactions for
which the trading party has not yet submitted a
matching transaction.

3 per day

-Select-

1 Go |

EDT

This document lists all pending trades for your
organization. It includes batch detail information for

09/10/2010
11:22:05 AM

Pending Trade Details

3 per day

—Select—

1 Go |

each transaction.

EDT

To download a report, select Download Document in the "I want to..." drop-down menu and click the Go
button. Note that if the "I want to..." column for a report says "No valid actions," the report is not yet available
to be downloaded. To view reports from previous quarters, select View All Documents.

You will be prompted to open or save the ZIP file (see Figure 73). You must open the ZIP file to extract the
report

RFSEMTS User's Guide

-------
Figure 73: Download Document Window

Opening RIN HoLdings.zip

You have chosen to open
J RIN Holdings.zip

which is a: WinZip File

from: http: //mts-app-stage, pqa, local

What should Firefox do with this file?

0 Save File

1 I Do this automatically for files lite this from

now on.

Cancel

How do I create a Transaction Error Report?

The RFS2 EMTS Transaction Error Report is used to report discrepancies that exist between the EMTS and
your organization's internal record-keeping system, A recommended practice is to review your current RIN
holdings periodically on the EMTS user interface, checking the total quantity of RINs against your own
transaction records. You may download data from this screen at any time. You can report transaction errors
following the end of the quarter. When you have entered and submitted your transaction errors, EMTS will
create a Transaction Error Report for your organization. If you do not enter any errors or if you do not submit
the reported errors, EMTS will not generate a Transaction Error Report for your organization. Note that you
may edit your transaction errors and request the Transaction Error Report for the prior quarter any number
of times until the quarterly report submittal deadline, is two months after the quarter ends. Reports are due
May 31, August 31, November 30, and February 28.

You must login to the EMTS web application to report transaction errors. In the EMTS main menu, select
Reports, and then select Transaction Errors. If the compliance period is closed or you have previously
submitted a Transaction Error Report for the quarter, you will see a message indicating that transaction
error reporting is not available. If the Compliance period is open and you have not yet submitted a
Transaction Error Report for the quarter, click Continue.

On the View Reported Errors screen, you can add transaction errors to the Reported Errors grid (see Figure
74). If you have already entered errors for the quarter, but have not yet submitted them, you can view and
edit the errors on this screen. You can also enter multiple errors at a time by uploading a properly formatted
CSV file on the View Reported Errors screen. The file must only include errors for transactions that have not
already been reported, transactions for the user's organization, and from the current quarter.

RFS EMTS User's Guide

-------
Figure 74: View Reported Errors Screen

otm Moderated Transaction System /

Organization Submissions Trades Reports RINs Fuels ABT Credits

View Reported Errors for Fourth Quarter 2016

~ RFS2 Transaction Bin

Below are the errors you have reported for the most recent quarter, To report a single error for an transaction, please click 'Add Error,' To submit multiple transaction errors, please click 'Upload
Errors'. Otherwise, please dick 'Submit Errors' to confirm your reported errors and generate a Transaction Error Report,

Your organization has 0
un-submitted transactions
in the RFS2 transaction bin.

View RFS2 Transaction Bin

• Fuels ABT Transaction Bin
> Organizations

| Error Options [

Submit Errors

Add Error

Upload Errors

| Search for Errors']

Transaction ID:
Submission ID:
CDX Transaction ID:
Submission Date (Begin):

Submission Date (End):

Transaction Type:

(MM/DDAYff)
-Select-- *

Clear

Reported Errors

Transaction ID $1

Transaction Type

Submission Date

Modified By $1

Date Modified ^1

I want to...

Nothing found to display,

To add a new transaction error to the Reported Errors grid, click Add Error. On the Search Transactions
screen (see Figure 75), use the Search for Transactions filters to identify the transaction for which you wish
to report an error.

RFSEMTS User's Guide

-------
Figure 75: Search Transactions Screen

Moderated Transaction System

Organization

Submissions

Search Transactions

Please use the filter to search for transactions. Your search will be limited to transactions from Second
Quarter 2Q10. To view all of your organization's transactions for the quarter, please click 'Search'
without selecting any criteria.

~ Transaction Bin

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

Search for Transactions

Submission ID:
Transaction ID:
CDX Transaction ID:
Transaction Type:

Fuel:

RIN Year:

Assignment:

Submission Date (Begin):
Submission Date (End):

Clear

- Select -

2010 v

-Select- v

(MM/DD/YYYY)

Transactions

Displaying records 1 through 3 of 3 total.

Submission ^
ID *

Transaction a
ID ^

Transaction ^
Type ^

Submission ^
Date

Fuel ^
(D-Code) ^

RIN ^
Year ^

Assignment ^

Trading a.
Partner ^

I want to...

21 20 Generate 9^5"mam EDT FueUD-eT 2010 Assil3ned -Select- vj Go J

Separate

09/21/2010 Renewable onm
9:25:42 AM EDT Fuel (D=6)

Assigned

Identify Error v | Go |

The Transactions grid will display your organization's transactions that match the search criteria. The "1
want to..." drop-down will contain the Identify Error option for transactions without previously reported
errors and the Edit Details and Remove options for transactions with previously reported errors. To report
an error for a transaction without a previously reported error, click Go in the "I want to..." column.

On the Identify Transaction Errors screen, you can view the details of the transaction by clicking the "+" on
the Transaction Details panel (see Figure 76).

RFSEMTS User's Guide

-------
Figure 76: Identify Transaction Errors

V>ER\ Moderated Transaction System ^

Organization Submissions Trades

Reports

RINs

Identify Transaction Errors

After reviewing the details of the selected transaction, please provide information regarding the error
in the fields provided, Please note that all errors must be discussed with EPA before being reported
to the EMTS.

~ Transaction Bin

Your organization has 0
un-submitted
transactions in the
transaction bin.

View Transaction Bin

Transaction Details

Submission ID:
Submission Date:
Transaction ID:
Transaction Type:
Fuel (D Code):

09/21/2010 9:25:42 AM EDT
21

Separate

Renewable Fuel (D=6)

Report Errors

* Explanation of Errors:

Document Information:

* = Required Field

[ « Back ] | Save

Provide an explanation of the error(s) in the "Explanation of Errors" field, and add any additional information
in the "Document Information" field (optional), then click Save. You will then return to the View Reported
Errors screen, and the error will appear in the Reported Errors grid. On the View Reported Errors screen,
you can use the filters to search for transactions for which you have already reported errors.

To edit the details of an error that you have already reported, select Edit Details in the "I want to..." drop-
down menu. The Identify Transaction Errors screen will display the details that you previously provided.
Click Save to keep any updates.

To remove an error from the Reported Errors grid, select Remove in the "I want to..." drop-down menu. The
Confirm Remove screen will display the transaction details and reported errors. Click Remove to confirm
removal of the error.

RFS EMTS User's Guide

-------
Once you have reported all transaction errors for the quarter, click Submit Errors on the View Reported
Errors screen. After you click the Submit button, you must confirm the transaction errors (see Figure 77).

Figure 77: Confirm Transaction Errors

Moderated Transaction

Organization

Submissions

Confirm Transaction Errors

EPA reserves the right to bring enforcement actions for any violations, regardless of filing a transaction error report or taking remedial action.
Please confirm your reported transaction errors. Note that after selecting Confirm EMTS will generate your Transaction Error Report and you
will no longer be able to add/edit transaction errors for this compliance period.

Once confirmed - no additional errors may be submitted. v

Transaction Errors

Displaying records 1 through 3 of 3 total.

Transaction ID

Transaction Type ^

Submission Date ^

20 Generate 09/21/2010 9:25:26 AM EDT

21 Separate 09/21/2010 9:25:42 AM EDT

22 Retire 09/21/2010 9:26:04 AM EDT

Export options: CSV I Excel I PDF

I « Back I I Confirm

Once you confirm the transaction errors, EMTS will generate your organization's Transaction Error Report,
and you will be able to add or edit transaction errors until the end of the quarterly compliance period. EMTS
will generate the report within one business day of your confirmation. At that time, the Transaction Error
Report will be available for you to download from the View Reports screen (select View Reports under the
Reports menu option). To download the Transaction Error Report, select Download Document in the "I want
to..." drop-down menu. Note that if the "I want to..." column for the report says "No valid actions," the report
is not yet available to be downloaded. When you select Download Document and click Go, you will see a
window asking you to either open or save the ZIP file (see Figure 78). After you open the ZIP file, you will be
able to access the PDF report

Trades

RINs

Reports

RFS EMTS User's Guide

-------
Figure 78: Download Document Window

You have chosen to open
J RIN Holdings.zip

which is a: WinZip File

from: http: //mts-app-stage, pqa, local
What should Firefox do with this file?

Open with; WinZip (default)

o Save File

I I Do this automatically for files lite this from now on.

Cancel

Which transactions are included in the quarterly reports?

The reports include transactions that were submitted and completed during the quarter. Thus, generate,
buy, and sell transactions with a generation date or transaction date in one quarter and a submission date in
another quarter will be included in the quarterly reports from the quarter that contains the submission date.
Retire and separate transactions are always included in the report from the quarter during which they were
submitted.

How do I submit quarterly reports?

You must submit your reports through the DC Fuels application, which is accessed through MyCDX. For more
information, visit https://www.epa.gov/fuels-registration-reporting-and-compliance-help/how-report-
quarteiiv-and-annuallv-renewable-fuel. You are required to submit the reports in PDF format within two
months of the end of the quarter. Note that the XML and CSV versions of the quarterly reports should be
used for verification purposes only.

Are examples of the quarterly reports available?

For examples of the quarterly reports, please see the document "EMTS Quarterly Reports - Getting Started
Guide."

Annual Reports

EMTS generates two organization-specific annual reports, both of which are provided in PDF format. The
RFS2 EMTS Annual Report shows details for every R1N batch that an organization has retired for compliance,
and the RFS2 EMTS Annual Statement shows aggregate values for the number of RINs an organization has
retired for compliance.

RFS EMTS User's Guide

-------
Users must be subscribed to the reports to be able to download them after they are generated by EMTS.
Subscriptions are organization specific, so all submitters for an organization can download the reports. You
can subscribe to the annual reports on the Manage Subscriptions screen by selecting Manage Subscriptions
under Reports on the EMTS main menu.

To change the subscription for an annual report, click the Go button in the "I wantto..." column for the report.
On the Manage Subscription screen for that report, check or uncheck the "Subscribed" box.

To download the annual reports, you must login to the EMTS web application. In the EMTS main menu, select
Reports, and then select View Reports. The View Reports screen displays all of the reports to which your
organization has subscribed. For the annual report that you wish to download, select Download Document
in the "I wantto..." drop-down menu and click the Go button. Note that if the "I wantto..." column for a report
says "No valid actions," the report is not yet available to be downloaded. You will be prompted to open or
save the ZIP file (see Figure 79). You must open the ZIP file to extract the report. EMTS quarterly reports
are provided in PDF format

Agent Reports

EMTS users registered as Agents in the OTAQ Registration system see an additional menu item in the EMTS
main menu called "Agents," This tab includes the option to subscribe and download EMTS documents for
all of their associated organizations, rather than having to switch organizations and download each
organization's documents separately. The .ZIP files contain all EMTS documents - daily, three per day,
weekly, and monthly - for all organizations associated with the Agent Note that the. ZIP file will only
include documents that have active subscriptions. Quarterly reports are not available as Agent Reports.

To subscribe to Agent reports, click the "Agent" menu item in the main menu (only visible to registered
Agents), and select "Manage Subscriptions" (see Figure 79).

Figure 79: Managing Agent Report Subscriptions

Moderated Transaction System

Organization Submissions Trades

Reports

Regulated parties are urged to conduct due view Reports
and exercise caution when conducting Renel,^,..

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.

msaction Bin

Your organization has 0 un
-submitted transactions in
the transaction bin.

View Transaction Bin

~ Organizations

~ Announcements

To view pending transaction details, click the following link: View Trades

' You can submit your XML file here. Submit File

Note: Agents must manage document subscriptions for individual organizations on the Manage
Subscriptions screen located under the Reports menu for each organization.

In the "I want to..." column, click the Go button to manage the subscription for a report (see Figure 80).

RFS EMTS User's Guide 73

-------
Fuels ABT Credits

* RFS2 Transaction Bin

Your organisation has 0
_T I un-submitted transactions
I.— jiJ in the RFS2 transaction
bin.

View RFS2 Transaction Bin

> Fuels ABT Transaction Bin

Subscription Name

iESCESl

3IK

Subscribed ^ 1 Last Updated

1 Updated By

I wan t to...

Agent Cancelled Trades Daily

Daily

Agent

Manage Subscription

| Go |

Agent Cancelled Trades Hourly

3 per day

Agent

Manage Subscription

1 Go I

Agent Completed Trades Daily

Daily

Agent

Manage Subscription

1 Go |

Agent Completed Trades Hourly

3 per day

Agent

Manage Subscription

1 Go I

Agent Completed Trades Weekly

Weekly

Agent

Manage Subscription

Agent Expired Trades Daily

Daily

Agent

Manage Subscription

1 Go |

Agent Monthly RIN Generation

Monthly

Agent

Manage Subscription

1 Go |

Agent Monthly RIN Holdings

Monthly

Agent

Manage Subscription

1 Go I

Agent Monthly Transaction History

Monthly

Agent

Manage Subscription

| Go I

Agent Pathway Status Daily

Daily

Agent

Manage Subscription

Go |

Agent Pending Trade Details Daily

Daily

Agent

Manage Subscription

I Go 1

Agent Pending Trade Details Hourly

3 per day

Agent

Manage Subscription

1 Go I

Agent Pending Trades Daily

Daily

Agent

Manage Subscription

¦w

1 Go |

Agent Pending Trades Hourly

3 per day

Agent

Manage Subscription

•v

1 Go 1

Agent RIN Batches Weekly

Weekly

Agent

Manage Subscription

1 Go I

Agent RIN Generation Daily

Daily

Agent

Manage Subscription

l"Go~ |

Agent RIN Generation Hourly

3 per day

Agent

Manage Subscription

r§E)

Agent RIN Generation Weekly

Weekly

Agent

Manage Subscription

! Go 1

Agent RIN Holdings Daily

Daily

Agent

Manage Subscription

1 Go |

Agent RIN Holdings Hourly

3 per day

Agent

Manage Subscription

1 Go |

Agent Transaction History Daily

Daily

Agent

Manage Subscription

1 Go |

Agent Transaction History Hourly

3 per day

Agent

Manage Subscription

reri

Agent Transaction History Weekly

Weekly

Agent

Manage Subscription

Go |

Agent Transaction Status Daily

Daily

Agent

Manage Subscription

! Go i

Agent Transaction Status Hourly

3 per day

Agent

Manage Subscription

Go '

Agent Subscription Status

Daily

Notification

Manage Subscription

l~Go~1

Unused Agent Documents

Daily

Notification

Manage Subscription

1 Go I

Export options: CSV I Excel I PDF

Click the "Subscribed" check box and then click Update (see Figure 81).

Figure 80: List of Agent Reports

Organization

Manage RFS2 Agent Subscriptions

Select subscription and click Go to subscribe or unsubscribe.

RFS EMTS User's Guide 74

-------
Figure 81: Manage Agent Subscription

SEFA Moderated Transaction System

Organization Submissions Trades Reports

Manage Agent Subscription

Modify and click Update.

NOTE: In order to receive documents in your agent file, you must first subscribe each organization
individually to the document you wish to receive and then subscribe to that document as an agent.

~ Transaction Bin

Your organization has 0 un
-submitted transactions in
the transaction bin.

View Transaction Bin

Subscription Name:
Type:

Description:

Subscribed:

Frequency:

Agent Cancelled Trades Daily
Agent

This document lists trades that have recently been
cancelled.

Daily

« Back

Displaying records 1 through 1 of 1 total.

Organization

~.1
~

Subscribed

Format

Export options: CSV I Excel I PDF

To retrieve Agent reports, select "View Reports" from the Agent menu. In the "I want to..." column, select
View Reports and click Go (see Figure 82).

Figure 82: Manage Agent Subscription

Home | Contact Us | Help \ Logout

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WEPA Moderated Transaction System

¦ t * 1

Organization Submissions Trades

Reports

Agent

RINs

View Agent Reports

~ Transaction Bin

For the desired document, please select 'Download Document'. To view all available versions of a document, select View All
Documents'.

Your organization has 0
un-submitted transactions
in the transaction bin.

View Transaction Bin

Document Name

Agent Cancelled Trades Daily

Document Description

This document lists trades that have recently been cancelled,

^ Last Run Time

11/21/11 5:00 PM

Export options: CSV I Excel I PDF

Open the compressed .ZIP file to access the documents. When Agent Reports are downloaded, EMTS will
automatically update the 22-day subscription expiration clock for each document included in the .ZIP file. If
an Agent is associated with an organization in a submitting role other than "Agent," that organization's

RFS EMTS User's Guide

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documents will not be included in the Agent Reports. It is still possible to access documents for individual
organizations without retrieving documents for all organizations associated with an Agent

EMTS Technical Support

If you have any questions or want to report defects, comments, enhancements, or feedback, you may
contact EMTS Technical Support at support@epamts-support.com. Monday - Friday, 9:00 a.m. to 5:00 p.m.
(EST). Additionally, to access contact information for the various EMTS support lines, you can click the
"Contact Us" link located on each screen of EMTS. When reporting defects or issues, please provide the
detailed steps that were taken to create the problem or issue, and provide screen shots to document the
screen and information entered. In addition, there are "Help" links on each screen of EMTS that provide
access to EMTS resources on the EPA's EMTS website.

RFS EMTS User's Guide

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