EPA Moderated Transaction System (EMTS) 

Flow Configuration Document

Version: 1.0.1
EPA-420-B-10-013a

March 2010

Compliance and Innovative Strategies Division

Office of Transportation and Air Quality

U.S. Environmental Protection Agency

Prepared for EPA by

PQA, part of 

SRA International, Inc.

EPA Moderated Transaction System (EMTS)

Flow Configuration Document

Version: 1.0.1
Table of Contents

Table of Contents.......................................................................................................................................... 1

1 Change Tracking Log ........................................................................................................................... 3

1.1 Version and Component Alignment .............................................................................................. 3

2 Introduction........................................................................................................................................... 4

2.1 How to Use This FCD ................................................................................................................... 5

3 Submission File Structure .................................................................................................................... 7

3.1 Overview ....................................................................................................................................... 7

3.2 Implementing the Header Document ............................................................................................ 7

3.3 Header Document Structure ......................................................................................................... 7

3.3.1 Namespace and Schema...................................................................................................... 8

3.3.2 Document Header Definitions ............................................................................................... 8

3.4 EMTS Namespace ......................................................................................................................11

3.5 Payload .......................................................................................................................................12

3.5.1 Validating the EMTS XML ...................................................................................................12

4 Configuring the Network Exchange....................................................................................................13

5 Submission Processing and Feedback ..............................................................................................14

5.1 Submission Using a Node or Node Client...................................................................................14

5.2 Submission from the EMTS Website ..........................................................................................17

5.3 Get Submission Status................................................................................................................19

5.4 Retrieve QA Feedback Report....................................................................................................21

5.5 Obtain Transaction History..........................................................................................................23

5.6 Obtain Document History ............................................................................................................24

5.7 Download Document...................................................................................................................25

6 Solicit Flow for Documents.................................................................................................................26

6.1 Overview .....................................................................................................................................26

6.2 EMTS Solicit Flow Steps.............................................................................................................27

7 The EMTS Archive Flow.....................................................................................................................32

7.1 Overview .....................................................................................................................................32

7.2 Archive Submission.....................................................................................................................32

7.3 EMTS-ARCHIVE Flow ................................................................................................................33

7.4 Download Archived Documents ..................................................................................................34

8 Web Service Methods ........................................................................................................................35

8.1 Authenticate ................................................................................................................................35

8.2 Submit .........................................................................................................................................35

8.3 GetStatus ....................................................................................................................................36

8.4 Query...........................................................................................................................................37

8.5 Solicit...........................................................................................................................................37

8.6 Download ....................................................................................................................................38

Appendix A................................................................................................................................................ A-1

Node Options ........................................................................................................................................ A-1
EMTS Flow Configuration Document

03/31/10

2

Appendix B................................................................................................................................................ B-1

OTAQ Registration Process ................................................................................................................. B-1

B–1 New User Registration ........................................................................................................ B-1

B–2 NAAS Node Clients User Registration.................................................................................. B-1

B–3 NAAS Full Nodes User Registration ..................................................................................... B-2

B–4 NAAS User Revocation......................................................................................................... B-3

Appendix C................................................................................................................................................ C-1

Procedure for Testing the EMTS Flow ................................................................................................. C-1

Appendix D................................................................................................................................................ D-1

Accessing EMTS from MyCDX Web .................................................................................................... D-1

Appendix E................................................................................................................................................ E-1

Notifications for EMTS Flow ................................................................................................................. E-1

Appendix F ................................................................................................................................................. F-1

EMTS Web Service Documents ............................................................................................................ F-1

F–1 Intervals for Documents ......................................................................................................... F-1

F–2 Document Parameters ........................................................................................................... F-1

F–3 Summary of Web Service Documents ................................................................................... F-2

F–4 Pending Trades ...................................................................................................................... F-2

F–5 RIN Holding ............................................................................................................................ F-4

F–6 Transaction History ................................................................................................................ F-4

F–7 Expired Trades ....................................................................................................................... F-6

F–8 Confirmed Trades................................................................................................................... F-7

Appendix G................................................................................................................................................ G-1

EMTS Support ...................................................................................................................................... G-1
EMTS Flow Configuration Document

03/31/10

3

1 Change Tracking Log

Date Version Description Author

October 12, 2009 1.0 Original Draft. PQA

November 18, 2009 1.0 Updates. PQA

December 23, 2009 1.0 Updates describing the 

OTAQ Registration process. 

Clarification provided in 

section 5 on the EMTS data 

flow. 

PQA

January 11, 2010 1.0 Updates for submission and 

registration. 

CGI

January 15, 2010 1.0 Updates. CGI

January 18, 2010 1.0 Updates and addition of 

notifications. 

PQA

March 12, 2010 1.0.1 Solicit and Archive flow. CGI

March 31, 2010 1.0.1 Updates to Solicit and 

Archive flows. Update to 

Notifications and Web 

Service Documents.

PQA

1.1 Version and Component Alignment

The following table indicates the version of related documents and components to which this document 

applies.

Component Version(s) Supported

FCD V1.0

EMTS Schema V1.0

DET V1.0
EMTS Flow Configuration Document

03/31/10

4

2 Introduction 

The purpose of this Flow Configuration Document (FCD) is to describe the operation of the EMTS flow 

across the Exchange Network to the CDX Node. This includes data flow between industry users and 

EPA that meet the RFS submission requirements.

An FCD is intended to describe the operational aspects of an Exchange Network data exchange. The 

specifications included in this document define the supported data services, the approaches, and 

processes that are used to exchange information between the EPA and submitters. 

This document will describe the data exchange process by which industry users will submit XML files to 

the EMTS and retrieve documents from the EMTS. 

The EMTS intends to offer outbound services that will allow Exchange Network partners to query data 

collected and managed by the EMTS. These outbound data services will continue to be documented 

once these capabilities have been designated and developed in a future release. 

The scope of this document describes the process of submitting electronically reported EMTS 

submissions to EMTS from an EPA Exchange Network 2.0 compliant node, such as the EMTS website, 

node, or node client. This document also describes the process for the retrieval of documents available 

from the EMTS using the EMTS reports flow.

The high-level process for the EMTS data flow includes the following steps:

1. An EMTS-registered user authenticates to NAAS.

2. The user submits EMTS transaction data to the CDX Node using an Exchange Network 2.0 node 

or node client.

3. The user's NAAS credentials are mapped to the user's Web CDX credentials, which are used by 

the EMTS for authentication. 

4. The CDX Node validates the structure of the XML file.

5. The CDX Node submits the XML file to the EMTS.

6. The EMTS processes the contents of the file. 

7. The EMTS notifies the submitter regarding the status of the submission.

8. The user downloads the resulting QA Feedback report.

To obtain documents from the EMTS, the steps are:

1. An EMTS user subscribes to document in the EMTS website.

2. An EMTS-registered user authenticates to NAAS.

3. The user solicits the CDX node for daily/weekly or monthly documents.
EMTS Flow Configuration Document

03/31/10

5

4. The user's NAAS credentials are mapped to the Web CDX credentials, which are used by the 

EMTS for authentication.

5. The EMTS receives a solicit for documents and either submits these documents to the CDX 

Node, or sends a notification that the document was unavailable.

6. The user downloads the documents from the CDX Node.

2.1 How to Use This FCD

This document provides guidance on implementing and using the EMTS flows, an XML-based 

submission process through the CDX Node to the EMTS. 

The document includes the following main sections:

Submission File Structure

This section describes the various portions that need to be implemented in the EMTS submission file, in 

addition to the EMTS XML document. The submission file must adhere to this structure in order to be 

processed properly in route through the exchange network to the EMTS. The EMTS flow makes use of 

the Exchange Network Header Document to describe the payload content of a Network message. Every 

submission to the EMTS must adhere to the Header Document structure. 

Configuring the Network Exchange 

This section describes how the EMTS Network Exchange is configured for the EMTS data flows. 

In addition to this FCD, the submitter should obtain the following documents related to the EMTS Flow. 

These documents can be downloaded from http://www.exchangenetwork.net/exchanges/air/emts.htm. 

Additional help can be requested from EMTS Support at emts_testing@PQA.com or contacting the EMTS 

Support line at 1-800-385-6164.

● EMTS Data Exchange Template

● EMTS XSD

● EMTS Transaction Instructions

Submission Processing and Feedback

This section of the FCD provides a description of the EMTS flow including submitting files from a node or 

node client and submitting files from the EMTS website. 

Solicit Flow for Documents

This section of the FCD provides a description of the EMTS flow used for the retrieval of documents.

Archived Files

This section describes how the CDX archives all submitted XML files and the process for users to retrieve 

these documents.
EMTS Flow Configuration Document

03/31/10

6

Web Service Methods

This section describes the web service methods utilized by the Exchange Network node in support of the 

EMTS flow.

Help and Technical Assistance

If you have questions on how to report your transactions to the EMTS or how to use the EMTS website, 

technical assistance can be provided by sending your question to emts_testing@PQA.com or by 

contacting the EMTS Support line at 1-800-385-6164.
EMTS Flow Configuration Document

03/31/10

7

3 Submission File Structure

3.1 Overview

The EMTS submission file consists of a single XML document that can only be submitted from a node, 

node client, or the EMTS website. The submission must adhere to the Exchange Header v2.0 document 

structure. Information on the header can be found on the Exchange Network website at 

http://www.exchangenetwork.net/dev_schema/HeaderSpecification_v2.0.doc. The Exchange Header xsd

is available at http://www.exchangenetwork.net/schema/header/2/header_v2.0.xsd. 

The header document provides the following information:

● Description of payload; and

● Information regarding the submitter and date of submission.

3.2 Implementing the Header Document 

The header is required for all Submit operations through the Exchange Network. Every submission file 

sent to the EMTS must use the Header Document structure to meet EPA CDX processing requirements. 

The header contains information about the submitter and the contents of the payload. The root element 

of the header document is the Document element, with two child elements, Header and Payload. The 

Payload contains the actual EMTS data, adhering to the structure of the EMTS schema. The figure below 

shows the file submission structure.

Figure 1: Submission File Structure

3.3 Header Document Structure

The following table describes the Header Document elements and how they are used for the purposes of 

an EMTS submission. Note that most of these elements are not required to be reported in the header, 

these data are used as metadata. 
EMTS Flow Configuration Document

03/31/10

8

3.3.1 Namespace and Schema

The XML namespace for the Exchange Network Document is

http://www.exchangenetwork.net/schema/header/2. 

All documents that use the Header 2.0 specification must use this namespace URL. The schema file is 

located at:

http://www.exchangenetwork.net/schema/header/2/header_v2.0.xsd. 

3.3.2 Document Header Definitions 

The document header is the first child of the Document tag. The header may contain the elements 

defined below:
EMTS Flow Configuration Document

03/31/10

9

Table 1: Exchange Header 2.0 Document Elements

Document (the root element of an Exchange Network Header Document)

Name Description Example Required Notes

ID A unique identifier for the 

XML document that is the 

payload. This may be a file 

name or a unique 

identification number that 

can be used to identify the 

document.

ID123456789 Yes

hdr XML 

Namespace

The Exchange Header 2.0 

namespace. This is 

different from the EMTS 

namespace which is 

contained in the EMTS 

document.

xmlns:hdr = 

"http://www.exchangene

twork.net/schema/heade

r/2" 

Yes Must be 

http://www.exchan

genetwork.net/sch

ema/header/2. 

All documents that 

use the Header 

2.0 specification 

must use this 

namespace URL.

xsi XML 

Namespace

The w3c 2001 XML schema 

instance namespace.

xmlns:xsi = 

"http://www.w3.org/2001

/XMLSchema-instance" 

Yes

Schema 

Location

References an XML 

Schema document that has 

a target namespace.

xsi:schemaLocation = 

"http://www.exchangene

twork.net/schema/heade

r/2 

http://www.exchangenet

work.net/schema/header

/2/header_v2.0.xsd" 

No The first member 

of each pair is the 

namespace for 

which the second 

member is the hint 

describing where 

to find to an 

appropriate 

schema document.

The following table describes the Header Document elements and how they are used for the purposes of 

an EMTS submission.
EMTS Flow Configuration Document

03/31/10

10

Table 2: Exchange Header 2.0 Elements

Header

Name Description Example Required Notes

AuthorName Originator of the document. 

This should be the name of a 

person or a network node ID 

if the document is 

automatically generated. 

John Smith Yes. Tag 

must be 

present 

but null 

string can 

be 

provided.

Used for reference 

only.

Organization

Name

The organization to which the 

author belongs. It may be a 

state name, an organization 

name, or a company name. 

For submissions to the CDX 

node, this should be the 

name of the organization.

Yes. Tag 

must be 

present 

but null 

string can 

be 

provided.

Used for reference 

only.

DocumentTitle Title of the document. EMTS Yes. Tag 

must be 

present 

but null 

string can 

be 

provided.

Reference to the 

flow.

CreationDate

Time

This is a timestamp that 

marks when the document, 

including the payload and 

header part, was created.

2006-04-05T09:30:47-

05:00

Yes 

(Cannot 

be 

empty). 

Must be in valid 

xsd:datetime 

format.

Keywords Description of the payload. 

Multiple keywords should be 

separated by commas. This 

is used only for document 

categorization and searching.

No.

Comment Additional comments for 

processors.

No.

DataFlowName The name of the data flow 

associated with the payload. 

EMTS No.

DataService

Name

Not used by EMTS. No.

(cont.)
EMTS Flow Configuration Document

03/31/10

11

Table 2: Exchange Header 2.0 Elements (cont.)

Name Description Example Required Notes

SenderContact The sender's additional 

contact information. It can

contain sender's electronic 

address and/or telephone 

numbers where the author 

can be reached.

P.O. Box 1234

Richmond, VA

No. Element is not 

used by EMTS. If 

data is provided it 

will be ignored.

Application

UserIdentifier

Application specific submitter 

identification.

JohnSmith No. The submitter may 

supply his CDX 

registered account 

information that is 

used to access 

MyCDX. The CDX 

user ID is the 

equivalent of the 

EMS user 

identifier.

SenderAddress A well-formed URI where 

results or reports can be sent. 

No. Element is not 

used by the 

EMTS.

Property Other properties of the 

document using named value 

pairs.

No. Element is not 

used by the 

EMTS.

Signature An XML signature associated 

with the document.

No. Element is not 

used by the 

EMTS.

3.4 EMTS Namespace 

The EMTS namespace uses a URL to reference the location of the current version of the EMTS on the 

CDX network, and allows the user to reference it through a prefix "emts:". The major version number of 

the EMTS is also included in the namespace. Without this reference, all complex types and XML 

elements cannot be validated resulting in an XML file validation error.

Figure 2 provides an XML example which declares the EMTS namespace through the use of the xmlns 

(XML Namespace) schema attribute and assigns the namespace a prefix of "emts:". 

Figure 2: Declaring the EMTS Namespace
EMTS Flow Configuration Document

03/31/10

12

The declaration of the namespace is included at the top of each XML file, and allows the user to 

reference the EMTS complex types and elements with the "emts:" prefix followed by a colon (as in 

emts:GenerateTransactionDetail). Each complex type and XML element, including root elements, must 

contain the namespace prefix.

The following XML example demonstrates an XML submission file that contains the Exchange Network 

Header with an EMTS payload. This file should be zipped before it is submitted to the EMTS. 

Figure 3: Header Example

3.5 Payload

The EMTS supports the inclusion of only one payload per submission file. The CDX node will not route

submissions including more than one payload. However, a payload can contain multiple EMTS 

transactions. The format of the payload must be constructed in accordance with the EMTS schema. 

3.5.1 Validating the EMTS XML 

Prior to transmitting any XML files to EPA, the XML document should be checked for validity. This can be 

accomplished using either or both of the following:

● EPA's XML schema validation tool. This web-based validation tool is a set of XML web services 

for validating XML documents against the associated schemas and custom rules. This can be 

found at http://tools.epacdxnode.net/. 

● A third party XML validation tool (e.g., XML Spy, Liquid XML, etc.) is strongly encouraged. The 

validation tool must validate that an XML document is both well-formed and valid against the 

EMTS schema specifications.
EMTS Flow Configuration Document

03/31/10

13

4 Configuring the Network Exchange

There two data flows for the EMTS on the Exchange Network which are detailed in the following table. 

Table 3: Configuration of Network Exchange Parameters

Specification

Data Flows

EMTS EMTS-ARCHIVE

FCD Specifications Section 5, 6 Section 7

Flow Name Submit and Solicit Parameters

● SecurityToken: A security ticket 

issued by the service provider or 

a trusted service provider.

● Dataflow: The name of target 

dataflow: "EMTS". 

Node Submission will support one 

payload per document. Only one 

document will be provided, 

comprised of the payload.

Download Parameters

●SecurityToken: A security ticket 

issued by the service provider or 

a trusted service provider.

● Dataflow: The name of target 

dataflow: "EMTS-ARCHIVE". 

Node Submission will support one 

payload per document. Only one

document will be provided, 

comprised of the payload.

Payload Schema EMTS_EMTS_v1.0.xsd N/A

Header Property N/A N/A

Payload Formatting 

Structure

The payload must be an XML 

document that is compressed as a 

ZIP document type.

The payload will be an XML 

document that is compressed as a 

ZIP document type.

Payload File Naming 

Convention

N/A N/A

GetStatus Responses All standard GetStatus responses. All standard GetStatus responses.

Timing See flow specifications in section 5 

and 6.

See flow specifications in section 7.

Authentication and User 

IDs Mapping

All node users must be registered in 

NAAS and their CDX user IDs must 

be mapped to their NAAS IDs. 

Contact the EMTS Support Desk or 

Appendix B for details.

All node users must be registered in 

NAAS and their CDX user IDs must 

be mapped to their NAAS IDs. 

Contact the EMTS Support Desk or 

Appendix B for details.

NAAS Authorized User 

Accounts

CDX must authorize Submit, 

GetStatus, Query, Solicit and 

Download to EMTS. 

CDX must authorize Download to 

EMTS. 
EMTS Flow Configuration Document

03/31/10

14

5 Submission Processing and Feedback

In order to initiate an EMTS flow submission, the user must have a CDX web account to access the 

MyCDX website and have registered their organization and facilities through the OTAQ Fuel Registration 

process. The user must also have a NAAS account and have permission to participate in the EMTS data 

flow. Both node clients and full nodes must use user NAAS accounts registered for EMTS data flow. The 

submitter’s NAAS ID must be mapped to his CDX Web user ID. See Appendix B: EMTS Registration 

Process, for more information on acquiring account and permissions. 

5.1 Submission Using a Node or Node Client 

The following diagram and steps demonstrate how an EMTS submitter submits an XML file using a node 

or node client.

Figure 4: Submission from Node or Node Client

1. The submitter logs onto their node client or full node application. Depending on the node 

application, this step may or may not be required. 

2. The submitter logs in to NAAS via the CDX Node using his NAAS user ID. The industry node 

issues the authentication web service to the CDX Node. The following end point URL are used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
EMTS Flow Configuration Document

03/31/10

15

The industry node must pass the following parameters:

- UserId: NAAS user ID

- Credential: Password

- Domain: '"default" 

- AuthenticationMethod: "Password" 

On success, the CDX Node will return a security token to the industry node. Upon failure, the

CDX Node will return an Authentication SOAP Fault. 

The following sequence is performed as a synchronous set of actions. If an action fails, the CDX 

Node returns a failed submission response containing error information and the transaction ends.

3. The industry node submits an XML file to the CDX Node. The following end point URLs are used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

The industry node must pass the following parameters:

- Security token: Security token received in step 2. 

- Transaction ID: Not used. 

- Dataflow: "EMTS" 

- FlowOperation: Not used. 

- Recipient: Not used. 

- Documents: One document containing the zipped EMTS XML document. 

4. The CDX Node validates the security token against NAAS. This will authenticate the submitter 

and authorize the submission to the EMTS. 

5. The CDX Node validates the payload. The submission payload can contain only one document

which must be compressed and be a ZIP document type. 

6. The CDX Node archives the submitted document.

7. The CDX Node generates a unique transaction ID and assigns it the status of "RECEIVED". The 

submission CDX Transaction ID uniquely identifies the submission, and can be used to check the 

status of the submission.

8. If previous operations were successful the CDX Node returns a Submit response to the industry

node: 

- TransactionId: The unique CDX Transaction ID for the submission.

- Status: RECEIVED

- StatusDetails: Your submission has been accepted and can be tracked using the following 

id:[cdx transaction id]. The submitter node is expected to store the returned CDX transaction 

ID for further processing.

If the previous operation fails, the CDX Node returns a SOAP Fault to the industry node and 

archives the returned transaction for further processing. See section 5.3, "Get Submission 

Status", for more details on the submit web service.

The following sequence is performed asynchronously after the submit response is sent back to the 

submitting node.

9. The CDX Node updates the status to “PROCESSING”. The CDX Node maps the submitter's 

NAAS credentials to his Web CDX credentials. The submitter's Web CDX credentials will be 
EMTS Flow Configuration Document

03/31/10

16

submitted to the EMTS and used by the EMTS for submission authentication and authorization. If 

validation fails, the CDX Node will send an email to the submitter and the CDX Node 

Administrator regarding the failure. 

10. The CDX Node verifies that the user is registered and active in the OTAQ Registration database. 

If the user is not active or not registered in the OTAQ Registration database, the transaction 

status is set to "FAILED" and the transaction is ended. The CDX Node will send an email to the 

submitter and the CDX Node Administrator regarding the failure.

11. The CDX Node validates the XML file against the QA Server, which is performed asynchronously. 

After completion, the QA Server submits an XML Validation report to the CDX Node. The CDX 

Node archives the XML Validation report. This XML validation report can be downloaded by the 

submitter node using the download web service. See section 5.7, "Download Document", for 

more details on the download web service.

12. If the XML document does not pass XML validation, then the transaction status is set to "FAILED" 

and the transaction is ended. The CDX Node sends an email to the submitter regarding the 

failure. The email text contains a list of XML validation errors. 

13. The CDX Node creates a security token that includes the submitter's Web CDX user ID, email 

address, and affiliation. This is mapped from the submitter's NAAS user ID in step 9 above.

14. The CDX Node submits the XML file to the EMTS node, using the security token created in step

13. The CDX Node will resubmit three times if the submission to the EMTS node is not 

successful. If the CDX Node successfully submits the document to the EMTS Node, the 

transaction status is set to "PENDING". If the submission fails, the transaction status is set to 

"FAILED" and the transaction is ended. The CDX Node sends email to the submitter and the 

CDX Node administrator regarding the failure. 

15. The EMTS Node validates the security token with NAAS and extracts the submitter's Web CDX 

user ID from the security token. 

16. The EMTS Node queues the submission for processing. 

17. If steps 15–16 were successful, the EMTS Node returns the CDX transaction ID to the CDX 

Node. If processing fails, the EMTS Node returns a SOAP fault to the CDX Node. The CDX 

Node sets the transaction status to "FAILED" and the transaction is ended. The CDX Node 

sends an email to the submitter and the CDX Node administrator regarding the failure. 

The following sequence is performed asynchronously after the submit response action in step 17. 

18. The EMTS processes the submission.

19. If processing is successful, the following steps are performed: 

- A Notify request is sent to the CDX Node providing the final status of the submission. 

- The CDX Node ends the transaction and updates the transaction status to "COMPLETED". 

- The CDX Node sends an email to the submitter regarding the completion of transaction. 
EMTS Flow Configuration Document

03/31/10

17

20. If processing fails, the following steps will be performed: 

- The EMTS Node submits the QA Feedback report to the CDX Node. The document contains

a zipped QA Feedback report. See section 5.4, "Retrieve QA Feedback Report", for 

additional information regarding retrieving the report.

- The CDX Node archives the QA Feedback report. 

- The EMTS Node issues a Notify request to inform the CDX Node of the failure. 

- The CDX Node ends the transaction and updates Transaction status to "FAILED". 

- The CDX Node sends an email to the submitter regarding the failure of a transaction.

5.2 Submission from the EMTS Website

The following diagram and steps demonstrate how an EMTS submitter submits an XML file from the 

EMTS Website. The EMTS Website has a node client interface customized for the EMTS flow.

Figure 5: Submission from EMTS Website

1. The user logs in to the MyCDX Website. 

2. The user clicks the OTAQEMTS:OTAQ EMTS link. The user's CDX credentials are passed to the 

EMTS website for auto sign-on to the EMTS. 

3. If the user does not have permission to operate in the EMTS website, the user is given an error 

message and redirected back to the MyCDX website.
EMTS Flow Configuration Document

03/31/10

18

The following sequence is performed as a synchronous set of actions: 

4. The user selects an XML file to submit. The File Submission interface is customized for the 

EMTS data flow. The CDX Node URL, data flow name, and other submission parameters are 

provided automatically by the EMTS. The EMTS verifies that the document is zipped, and that 

the XML conforms to the Exchange Network Header 2.0 and EMTS xsd specifications. 

5. The EMTS creates a security token that contains the user's CDX Web user ID, email address, 

and affiliation.

6. The EMTS submits the XML file to the CDX Node, using the security token created in step 5. 

7. The CDX Node validates security token against NAAS which will authenticate the submitter and 

authorize the submission to the EMTS.

8. The CDX Node validates the payload. The submission payload can contain only one document. 

The document must be compressed and be a ZIP document type. 

9. The CDX extracts the submitter's Web CDX user ID, email address, and affiliation and archives 

this information for future use. 

10. The CDX Node archives the submitted document.

11. The CDX Node generates a unique transaction ID and updates the status to "RECEIVED". The 

submission CDX Transaction ID uniquely identifies the submission, and can be used to check the 

status of the submission.

12. If previous operations are successful, the CDX Node returns the following Submit response to the 

EMTS: 

- TransactionId: The unique CDX Transaction ID. 

- Status: RECEIVED

- StatusDetails: Your submission has been accepted and can be tracked using the following 

id:[cdx transaction id]. 

If the previous operation fails, the CDX Node returns a SOAP fault to the submitter node. The 

submitter node archives the returned transaction for further processing. See section 5.3, "Get 

Submission Status", for additional information regarding the submission status.

The following sequence is performed asynchronously after the submit response is sent back to the 

EMTS. 

13. The CDX Node updates the status to “PROCESSING”, and verifies that the user is registered and 

active in the OTAQ Registration database. If the user is not active or not registered in the OTAQ 

Registration database, the transaction status is set to "FAILED" and the transaction is ended. 

The CDX Node sends email to the submitter and the CDX Node Administrator regarding the 

failure.

14. The CDX Node performs XML validation against the QA Server. The QA Server performs XML 

validation asynchronously. After completion, the QA Server submits an XML validation report to 

the CDX Node. The CDX Node archives the XML validation report.

15. If the document did not pass XML Validation, the transaction status is set to "FAILED" and the 

transaction is ended. The CDX Node will send an email to the submitter regarding the failure. 

XML validation content is provided within the email. 
EMTS Flow Configuration Document

03/31/10

19

16. The CDX Node creates a security token that includes the submitter's Web CDX user ID, email 

address, and affiliation. This is extracted from the security token in step 8 above.

17. The CDX Node submits the XML file to the EMTS Node, using the security token created in step 

16. The CDX Node will retry three times if submission to the EMTS Node is not successful. If the 

CDX Node successfully submits the document to the EMTS Node, the transaction status is set to 

"PENDING". If the submission fails, the transaction status is set to "FAILED" and the transaction 

is ended. The CDX Node sends email to the submitter and the CDX Node Administrator 

regarding the failure.

18. The EMTS Node validates the security token with NAAS and extracts the submitter's Web CDX 

user ID from security token. 

19. The EMTS Node queues the submission for processing. 

20. If steps 18–19 were successful, the EMTS Node returns the CDX transaction ID to the CDX 

Node. If failed, the EMTS Node returns a SOAP fault to the CDX Node. The CDX Node sets the 

transaction status to "FAILED" and the transaction is ended. 

The following sequence is performed asynchronously after the submit response action in step 19.

21. The EMTS processes the submission.

22. If processing was successful, the following steps are performed: 

- A Notify request is sent to the CDX Node providing the final status of the submission. 

- The CDX Node ends the transaction and updates the transaction status to "Completed". 

- The CDX Node sends an email to the submitter regarding the completion of transaction.

23. If processing fails, the following steps will be performed:

The EMTS Node submits the QA Feedback report to the CDX Node. The document contains a 

zipped QA Feedback report. See section 5.4, "Retrieve QA Feedback Report", for additional 

information regarding retrieving the report.

- The CDX Node archives the QA Feedback report.

- The EMTS Node issues a Notify request to inform the CDX Node of the failure. 

- The CDX Node ends the transaction and updates Transaction status to "FAILED". 

- The CDX Node sends an email to the submitter regarding the failure of a transaction. 

5.3 Get Submission Status

The following steps demonstrate how the industry node obtains the current transaction status. This 

functionality is applicable to all node and node clients. 

1. The submitter logs into NAAS using his NAAS user ID. NAAS returns a security token to the 

submitter node.

2. The industry node issues the GetStatus request using one of the following end point URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service
EMTS Flow Configuration Document

03/31/10

20

The following parameters are used:

- SecurityToken: Security token returned in step 1.

- TransactionId: Transaction ID returned in section 5.1, step 8.

3. The CDX Node validates the security token against NAAS. 

4. If the user was authenticated and authorized, the CDX Node returns a StatusResponse 

containing status information:

- TransactionId: Passed Transaction ID. 

- Status: CDX Node returns any of the following statuses:

o RECEIVED: Submission was received and steps 4–8 from section 5.1 were successfully 

performed.

o PROCESSING: Submission was received and steps 9–13 were successfully performed. 

o PENDING: Submission was successfully distributed to EMTS Node. 

o COMPLETED: Submission was received by EMTS Node and processed.

o FAILED: Submission failed.

- StatusDetail: A value that describes the failure if the CDX Node returns FAILED as 

transaction status. 

If the transaction status is "FAILED" then the submitter node can extract the following status 

details from the GetStatus response. 

Table 4: Status Detail Codes and Descriptions

Error 

Number

Status Details Value Description

1 E_XmlValidation An XML schema validation failure occurred on the EMTS 

document. 

2 E_ApplicationIdMapping CDX is unable to find a CDX Web user identification based on 

the NAAS identification. 

3 E_OtaqRegNotRegistered The CDX was unable to verify that the submitter is a registered 

user in the OTAQ Registration database.

4 E_OtaqRegNotApproved The CDX was unable to verify that the submitter is approved in 

the OTAQ Registration database.

5 E_Distribution The CDX Node was unable to distribute the document to the 

EMTS.

6 E_BackendProcessing The Document failed processing in the EMTS.
EMTS Flow Configuration Document

03/31/10

21

5.4 Retrieve QA Feedback Report 

The EMTS will submit a QA Feedback report to the CDX Node upon a failed submission file. A QA 

Feedback report is not generated if the submission was successfully processed. The report contains a 

complete list of errors encountered when processing a submitted file. The following steps demonstrate 

how the industry node obtains the QA Feedback report using web services methods. 

Figure 6: Retrieve QA Feedback Report

1. The EMTS generates a QA Feedback report if a submission file contains one or more critical 

errors and could not be successfully processed. Upon failure, the EMTS generates the QA 

Feedback report. 

2. The EMTS Node submits the QA Feedback Report to the CDX Node.

3. The CDX Node archives the report.

4. The industry node issues a GetStatus request using one of the following end point URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service 

5. The industry node receives a response. If the industry node receives the status details value of 

"E_BackendProcessing" as a result of the GetStatus web service method, the industry node

invokes a Query web service to obtain the document ID for the QA Feedback report. 
EMTS Flow Configuration Document

03/31/10

22

The following parameters are used:

- SecurityToken: Security token. 

- Dataflow: NODE

- Request (GetDocuments)

- Parameters: 

o TransactionId: Submission CDX transaction ID. 

o Category: REPORT

6. The CDX Node returns a document history XML file to the industry node. This XML will contain 

transaction and document information, as shown below. The industry node uses the document 

ID contained in the document history file to retrieve the document from the CDX Node. 

<DocumentList xmlns=""> 

<TransactionId>transction id</TransactionId> 

<Document> 

<Id>document id</Id> 

<Name>document name</Name> 

<Category>REPORT</Category> 

<Status>FAILED</Status> 

<Type>XML/ZIP</Type> 

<CreationTime> yyyy-mm-ddThh:mm:cc </CreationTime> 

<Size>document size</Size> 

<DocumentProperties xmlns=""> 

<Property> 

<Name>property name</Name> 

<Value>property value</Value> 

</Property> 

</DocumentProperties> 

</Document> 

</DocumentList>

7. The industry node issues the Download web service to the CDX Node. 

The following parameters are used:

- SecurityToken: A security token received in authentication step.

- Dataflow: "EMTS" 

- TransactionId: The submission CDX transaction ID. 

- Documents: User the following parameters:

o DocumentName: Empty string. 

o DocumentFormat: Empty string. 

o DocumentContent: Empty string. 

o Documented: Document ID retrieved in step 5 above.

8. The CDX Node retrieves the QA Feedback report from the archive using the CDX transaction ID

and document ID and returns the QA Feedback report to the industry node.

9. The industry node receives and stores the QA Feedback report.
EMTS Flow Configuration Document

03/31/10

23

5.5 Obtain Transaction History

The following steps demonstrate how the submitter node can obtain the transaction history using the

Query web service. This functionality is applicable to node and node clients.

1. The submitter logs into NAAS using his NAAS user ID. NAAS returns a security token. 

2. The industry node invokes the Query web service method using one of the following end point 

URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

The following parameters are used:

- SecurityToken: Security token returned in step 1.

- Dataflow: NODE

- Request (GetTransactionHistoryByTransactionId).

- Parameters: Transaction ID (Transaction ID returned by CDX Node in step 9 section 5.1).

3. The CDX Node validates the submitter node user via NAAS.

4. The CDX Node returns a SOAP fault to the industry node if validation fails.

5. The CDX Node returns a transaction history XML to the industry node. This XML contains the 

transaction and document information as shown below: 

<?xml version="1.0" encoding="UTF-8" standalone="yes" ?> 

<TransactionList>

<Transaction xmlns="">

<Id>transaction id</Id> 

<Status>Received/Processing/Pending/Pending/Completed/Failed</Status> 

<Dataflow>EMTS</Dataflow> 

<CreationTime>yyyy-mm-ddThh:mm:cc</CreationTime> 

<DocumentList>

<Id>document id</Id> 

<Name>file name</Name> 

<Type>file type</Type> 

<Status>document status</Status> 

</DocumentList>

</Transaction>

</TransactionList> 

6. The industry node archives the transaction history.
EMTS Flow Configuration Document

03/31/10

24

5.6 Obtain Document History

The following steps demonstrate how the industry node obtains the document history for a transaction

using the Query web service method. This functionality is applicable to node and node clients.

1. The submitter logs into NAAS using his NAAS user ID. NAAS returns a security token.

2. The industry node invokes the Query web service method using one of the following end point 

URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

The following parameters are used:

- SecurityToken: Security token returned in step 1.

- Dataflow: NODE

- Request: (GetDocuments)

- Parameters: 

o TransactionId: Transaction ID returned by the CDX Node in step 9 section 5.1.

o Category: Document category (SUBMISSION, VALIDATION_REPORT, REPORT).

3. The CDX Node validates the industry node user via NAAS.

4. The CDX Node returns a SOAP fault to the industry node if validation fails. 

5. The CDX Node returns the document history for a submission. The XML contains the 

Transaction ID and document information as shown below: 

<DocumentList xmlns="">

<TransactionId>transction id</TransactionId> 

<Document>

<Id>document id</Id> 

<Name>document name</Name> 

<Category>SUBMISSION/VALIDATION_REPORT</Category> 

<Status>PENDING/PROCESSED/COMPLETED/FAILED</Status> 

<Type>XML/ZIP</Type> 

<CreationTime> yyyy-mm-ddThh:mm:cc </CreationTime> 

<Size>document size</Size> 

<DocumentProperties xmlns="">

<Property>

<Name>property name</Name> 

<Value>property value</Value> 

</Property>

</DocumentProperties>

</Document>

</DocumentList>
EMTS Flow Configuration Document

03/31/10

25

5.7 Download Document 

The following steps demonstrate how the industry node downloads a document using the Download web 

service method. This functionality is applicable to node and node clients.

1. The submitter logs into NAAS using his NAAS user ID. NAAS returns a security.

2. The industry node invokes the Query web service method using one of the following end point 

URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

The following parameters are used:

- SecurityToken: The security token received in step 1.

- Dataflow: EMTS

- TransactionId: The CDX transaction ID for the submission. The transaction ID must be the 

same Transaction ID issued by the CDX Node (see step 8, section 5.1). 

- Documents: An array of NodeDocumentType. When the documents parameter is empty, the 

CDX Node will return all documents associated with the Transaction ID. When a Document 

ID is specified in the document's parameter, the node will return only the associated 

document.

3. The CDX Node authenticates and authorizes the industry user via NAAS.

4. The CDX Node returns an Authentication/Authorization SOAP fault to the industry node.

5. The CDX Node shall return the requested document. 
EMTS Flow Configuration Document

03/31/10

26

6 Solicit Flow for Documents 

6.1 Overview

The CDX Node supports the capability for industry nodes to request and retrieve EMTS documents. The

CDX Node implements the EMTS Solicit service as a part of the EMTS flow which is available to all 

industry nodes.

Industry users must register for the types of documents they wish to retrieve by utilizing the subscription 

functionality on the EMTS website. Subscription services should be reviewed periodically and updated to 

reflect the industry users need for retrievable documents. The industry user can select from several 

reports, each of which is described in Appendix F, "EMTS Web Service Documents". For each 

document, the user must identify the time interval and format requested. 

The following section describes the process for subscribing to and retrieving documents from the EMTS.

Figure 7: Solicit Reports from the EMTS

During the EMTS testing period, all documents will only be available in CSV format and are generated

on either a daily or weekly basis. More documents, formats, and time intervals will be available in future

releases. This FCD will be updated periodically as additional documents and options become available.
EMTS Flow Configuration Document

03/31/10

27

The EMTS will run scheduled jobs nightly, generating documents as requested by subscribers. 

Documents are available for download early the following day. The industry node invokes the Solicit web 

service method to the CDX Node using the procedures below. The CDX Node will archive the solicit 

request for asynchronous processing. The CDX Node will then send a Solicit request to the EMTS Node 

containing the document request information. The EMTS Node will log the Solicit request then retrieve 

the document that was created during the overnight scheduled job. This document is then submitted to 

the CDX Node. The CDX Node will archive the report and wait for a GetStatus request from the industry 

node. In the response, the document identifier information is provided and the industry user issues a 

Download request. These documents may also be retrieved manually from the EMTS website should the 

user not wish to use the Solicit flow services.

6.2 EMTS Solicit Flow Steps

1. The EMTS creates documents in accordance with an industry user's subscription request. These 

documents are generated on a regularly scheduled basis and are available for subscribers the 

following morning. The name of the document, date of creation, and the document contents are 

stored in the EMTS document log.

2. To determine if subscription documents are available on the EMTS Node, the industry node 

invokes the Solicit web service method using following end point URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

The following parameters are used:

- SecurityToken: The security token received from the Authentication response.

- Dataflow: EMTS

- Request: GetEMTSDocument

- Recipient: Leave empty.

- NotificationURI: Leave empty.

- Parameters: 

o DocumentName: Name of one of the web service documents (see Appendix F, "EMTS 

Web Service Documents"). This is a mandatory string. 

o OrganizationIdentifier: Conditionally required string parameter. 

o DocumentDate: Leave empty. 

When specifying an optional parameter, you may pass the empty parameter in one of two ways; 

no key and no value, or with the key and an empty string.

3. The CDX Node validates the Solicit request ensuring it contains valid and required parameters. 

The CDX Node archives the Solicit request.
EMTS Flow Configuration Document

03/31/10

28

4. The CDX Node generates a CDX Transaction ID associated with the Solicit request. The status 

to set to "RECEIVED". The CDX Node returns a StatusResponse to the industry node containing 

the following information:

- TransactionId: CDX Solicit Transaction ID. 

- Status: "RECEIVED" if successful, "FAILED" if error occurs.

- StatusDetail: Empty. 

The industry node stores the returned CDX Transaction ID for reference. 

The following sequence is performed asynchronously after the solicit response action in step 4.

5. The CDX Node issues a Solicit request to the EMTS Node. As part of this solicit request, the 

CDX Node maps the NAAS user ID to the CDX Web user. If the mapping is successful, the CDX 

Node creates a security token that includes the submitter's Web CDX user ID, email address, and 

affiliation. The CDX Node issues the Solicit service using the following endpoints:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/Dataflow2Service

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/Dataflow2Service

The following parameters are used: 

- SecurityToken: Received in 2.1. 

- Dataflow: "EMTS" 

- Request: "GetEMTSDocument" 

- Recipient: CDX Node endpoint for report submission. 

- NotificationURI: Empty. 

- Parameters: 

o DocumentName: Name of one of the web service documents (see Appendix F, "EMTS 

Web Service Documents"). A document name is required.

o OrganizationIdentifier: Conditionally required string parameter.

o DocumentDate: Leave empty. 

6. The EMTS Node validates the CDX Node and extracts the CDX Web user ID from the security 

token and logs the request.

7. The EMTS Node generates a new CDX transaction ID and returns it with the response. 

8. The EMTS queries the document log for the associated document. The EMTS Node either 

submits the document to the CDX Node, or sends a Notify of failure. 

The following sequence is performed if the solicit results in failure.

9. If the EMTS Node sends a NOTIFY of "FAILURE", this indicates the EMTS did not have a 

document that matched the parameters supplied in the Solicit request. The EMTS Notify 

response contains the following information sent to the CDX Node. 

The following parameters are used:

- SecurityToken: Security token will be received from regular authenticate against CDX Node. 

- NodeAddress: Empty. 
EMTS Flow Configuration Document

03/31/10

29

- Dataflow: "EMTS" 

- Messages (An array of notification messages consisting of one message). 

- ObjectId: EMTS Solicit transaction ID obtained in step 7. 

- MessageCategory: "Status" 

- MessageName: "Status Notification" 

- Status: "FAILED" 

- StatusDetail: EMTS processing failure reason as shown in the table below. 

Table 7: Notify Failure Processing Reason

The user does not exist.

The user is not affiliated with the organization.

The organization does not exist.

The document name does not exist.

The organization has not subscribed to the document.

The document does not exist.

10. The CDX Node extracts the EMTS Solicit transaction ID from the set of passed parameters and 

retrieves the CDX Node Solicit transaction. The CDX Node updates the status details of the 

transaction. 

The following sequence is performed if the solicit results in success.

11. The EMTS submits the requested document to the CDX Node using the following end point 

URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/Dataflow2Service

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/Dataflow2Service

The EMTS Node passes the following parameters:

- SecurityToken: Security token received in step 2.

- TransactionId: Solicit transaction ID returned to CDX Node in step 2.9.

- Dataflow: "EMTS" 

- FlowOperation: "solicitResponse" 

- Recipient: Leave empty. 

- Notification: Leave empty. 

- Documents: One document containing a zipped document.

12. The CDX Node receives the document and extracts the EMTS solicit transaction ID from the 

parameter list. The CDX Node associates the transaction related to the EMTS Solicit transaction

and sets the CDX transaction status to "COMPLETED". 
EMTS Flow Configuration Document

03/31/10

30

The following sequence is performed at the CDX Node after the response from the industry node Solicit 

request.

13. The industry node issues a GetStatus request to the CDX Node using the following endpoint 

URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

The following parameters are used:

- SecurityToken: Security token returned during authentication. 

- TransactionId: CDX Solicit transaction ID. 

14. The CDX Node validates the user via NAAS. If the user is validated, the CDX Node returns a 

StatusResponse containing the status information using the following parameters:

- TransactionId: Passed transaction ID. 

- Status: One of the following statuses: 

o RECEIVED: Solicit request was successfully received, however the request to EMTS 

Node has not been sent yet.

o PROCESSING: The EMTS Node received the request from the CDX Node and is 

currently processing the request. 

o COMPLETED: The EMTS Node has processed the request and the document is 

available for download. 

o FAILED: The process failed. 

- StatusDetails: One of the errors messages shown below.

Error 

Number

Status Details Value Description

1 E_ApplicationIdMapping CDX is Unable to Find CDX Web User Identification based on 

NAAS Identification. 

2 E_Solicit CDX Node Failure to perform Solicit to EMTS.

3 E_User The user does not exist.

4 E_Affiliation The user is not affiliated with the organization.

5 E_Organization The organization does not exist.

6 E_DocumentName The document name does not exist.

7 E_OrganizationDocument The organization has not subscribed to the document.

8 E_DocumentNotAvailable The document does not exist.
EMTS Flow Configuration Document

03/31/10

31

15. If the transaction status is "COMPLETED", the industry node invokes the Download web service

method using following end point URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

The following parameters are used:

- SecurityToken: A security token. 

- Dataflow: "EMTS" 

- TransactionId: The Solicit transaction ID. It must be the same transaction ID issued by the 

CDX node as response to the Solicit request. 

- Documents: Empty. 

16. The CDX Node returns the document to the industry node. The document returned will be either 

the requested document or the resulting error report containing the reason for failure.
EMTS Flow Configuration Document

03/31/10

32

7 The EMTS Archive Flow

7.1 Overview

The EMTS submits XML documents to the CDX Node containing transactions performed by the industry 

users from the EMTS website. The EMTS Node submits these documents on a weekly basis to the CDX 

Node for archiving. Industry nodes can retrieve the transaction history, using the Query web service and 

download documents using the Download web service. The EMTS will pass the user credentials (CDX 

Web User ID, email, and affiliation) as a part of security token. The CDX Node will archive the 

submission together with the user credentials. Industry Nodes can retrieve transaction history using the 

Query web service and download documents using the Download web service. The CDX Node will 

authenticate and authorize document submission and retrieval.

7.2 Archive Submission

1. The EMTS Node issues the CreateSecurityToken web service using following endpoint URL:

Test: https://naas.epacdxnode.net/xml/securityToken_v30.wsdl

Prod: https://cdxnodenaas.epa.gov/xml/securityToken_v30.wsdl 

The following parameters are passed:

- Trustee: Admin user ID. 

- Credential: EMTS node admin user password. 

- Domain: "default" 

- Token: "csm" 

- Issuer: “CDX-Web RSO”

- AuthMethod: "password" 

- Subject: EMTS node operator NAAS ID. 

- SubjectData: URL encoded key value pair consisting of:

o CDX Web user ID; 

o User email; and

o User affiliation. 

- IP: IP address of the EMTS node. 

2. The EMTS submits a zipped document to the CDX Node using the following end point URL:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/WebIntegrationService 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/WebIntegrationService, 

The following parameters are used:

- SecurityToken: Security token received in step 1. 

- TransactionId: Not used. 

- Dataflow: "EMTS-ARCHIVE" 

- FlowOperation: Empty. 

- Recipient: Not used. 

- Documents: One document containing zipped EMTS XML document. 
EMTS Flow Configuration Document

03/31/10

33

3. The CDX Node validates the security token via NAAS. This authenticates and authorizes EMTS 

to archive.

4. The CDX Node validates the payload. The submission payload can contain only one document

which must be compressed and be a ZIP document type. 

5. The CDX Node archives the submitted document.

6. The CDX Node generates a CDX Transaction ID and assigns it the status of "COMPLETED". 

The submission CDX Transaction ID identifies the submission, and can be used later by EMTS to 

check the status of the submission, obtain transaction history, and download the document. 

7. The CDX Node archives the CDX Web user ID, email, and affiliation in association with the CDX 

Transaction ID. 

8. If successful, the CDX Node returns the following Submit response to the EMTS Node: 

- TransactionId: The CDX Transaction ID.

- Status: COMPLETED

- StatusDetails: Your submission has been accepted and can be tracked using the following 

id:[transaction id]. If failed, the CDX Node returns a SOAP Fault to the EMTS Node. 

9. EMTS Node archives returned transaction for further processing.

7.3 EMTS-ARCHIVE Flow

The following steps demonstrate how the industry node obtains archived files for a specified user using

the Query web service method. 

1. Industry Node invokes the Query web service method using following end point URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service 

The following parameters are used:

- Security Token: The security token received in authentication. 

- Dataflow: "NODE" 

- Request (GetTransactions). 

- Parameters: 

o Dataflow: "EMTS-ARCHIVE" 

o Status: COMPLETED 

o StartDate: The start date requested (format: "yyyy-mm-dd"). If a date is not specified, 

all transactions are returned. 

o EndDate: The end date requested (format: "yyyy-mm-dd"). If a date is not specified, all 

transactions are returned. 

o User: CDX Web user ID. 

2. The CDX Node validates the Industry Node user via NAAS. 
EMTS Flow Configuration Document

03/31/10

34

3. The CDX Node returns a SOAP Fault to the Industry Node if validation fails.

4. The CDX Node returns a transaction history XML to the Industry Node in the following format:

<TransactionList xmlns=""> 

<Transaction xmlns=""> 

 <Id>_8208d68b-972f-4183-af35-82b3224deceb</Id>

 <CreationTime>2009-12-17T10:10:58</CreationTime>

 <Status>COMPLETED</Status>

 <Dataflow>EMTS-ARCHIVE</Dataflow>

 </Transaction>

<Transaction xmlns=""> 

 <Id>_91a30409-6c4c-4ead-8b0f-79d4c80c9274</Id>

 <CreationTime>2009-12-16T21:10:35</CreationTime>

 <Status>FAILED/COMPLETED</Status>

 <Dataflow> EMTS-ARCHIVE </Dataflow>

 </Transaction>

<Transaction xmlns=""> 

 <Id>_79b2f0a9-ba83-4cd2-84ad-27d7389104f6</Id>

 <CreationTime>2009-12-04T11:45:38</CreationTime>

 <Status>COMPLETED</Status>

 <Dataflow>EMTS-ARCHIVE</Dataflow>

 </Transaction>

</TransactionList>

7.4 Download Archived Documents 

The following steps demonstrate how the industry node downloads archived documents using the 

download web service method. 

1. The industry node invokes the Download web service method using following end point URLs:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/Dataflow2Service

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/Dataflow2Service

The following parameters are used:

- SecurityToken: A security token received in authentication. 

- Dataflow: EMTS-ARCHIVE

- TransactionId: A transaction ID for the submission. It is transaction ID returned in step 4 of 

Obtain EMTS-ARCHIVE Transaction section. 

- Documents: Documents parameter is empty. 

2. The CDX Node validates the user via NAAS. 

3. The CDX Node returns a SOAP fault to industry node if validation fails. 

4. The CDX Node returns the requested document to the industry node.
EMTS Flow Configuration Document

03/31/10

35

8 Web Service Methods

The following section describes the web service methods utilized by an Exchange Network 2.0 node to 

participate in the EMTS flow.

Please see the Exchange Network 2.0 functional specifications for detailed information of Web services.

8.1 Authenticate 

The Authenticate method is used to obtain a security token from the CDX Node. This token is passed in 

any subsequent method calls in the exchange between the submitting node and the CDX Node. 

The following URLs may be used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

Authenticate Parameters:

● UserId: The submitter's NAAS user ID. 

● Credential: The submitter's NAAS password.

● Domain: EMTS uses "default". 

● AuthenticationMethod: EMTS uses "password". 

Returns:

● SecurityToken: A security token used to identify the submitter. 

8.2 Submit

The Submit method is used to submit an XML file to EMTS. 

The following URLs may be used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

Submit Parameters:

● SecurityToken: The security token issued by NAAS and returned from the Authenticate method. 

This security token can be used for several submissions as long as the token has not expired.

● TransactionId: Leave empty.

● Dataflow: "EMTS". 

● FlowOperation: Leave empty.

● Recipient: Leave empty. 

● NotificationURI: Leave empty. 

● Documents: An array of type nodeDocument. Each nodeDocument structure contains a single 

submission file. The EMTS requires a single nodeDocument. 
EMTS Flow Configuration Document

03/31/10

36

Returns: 

A Submit response with the following data:

● TransactionId: A unique CDX Transaction ID. 

● Status: Text describing the submission's status ("Received" or "Failed").

● StatusDetails: Additional details regarding the submission.

8.3 GetStatus

The GetStatus method is used to obtain the transaction status of a submission. 

The following URLs may be used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

GetStatus Parameters:

● SecurityToken: The security token issued by NAAS and returned from the Authenticate method.

● TransactionId: The Transaction ID issued by the CDX Node from the Submit or Solicit service.

Returns: 

A GetStatus response with the following data:

● StatusResponseType containing following information:

o TransactionId: The Transaction ID issued by the CDX Node from the Submit service.

o Status: Text describing the submission's status ("Received", or "Failed").

o StatusDetail: Additional details on the Status description shown in the table below.

Table 5: Status Detail Codes and Descriptions

Error 

Number

Status Details Value Description

1 E_XmlValidation An XML schema validation failure occurred on the EMTS 

document.

2 E_ApplicationIdMapping CDX is unable to find a CDX Web user identification based on 

the NAAS identification.

3 E_OtaqRegNotRegistered The CDX was unable to verify that the submitter is a registered 

user in the OTAQ Registration database.

4 E_OtaqRegNotApproved The CDX was unable to verify that the submitter is approved in 

the OTAQ Registration database.

 (cont.)
EMTS Flow Configuration Document

03/31/10

37

Table 5: Status Detail Codes and Descriptions (cont.)

Error 

Number

Status Details Value Description

5 E_Distribution The CDX Node was unable to distribute the document to the 

EMTS.

6 E_BackendProcessing The Document failed processing in the EMTS.

8.4 Query

The Query method is used to obtain transaction and document history.

The following URLs may be used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

Query Parameters:

● SecurityToken: The security token issued by NAAS and returned from the Authenticate method.

● Dataflow: NODE

● Request: GetTransactionHistoryByTransactionId/GetDocument. 

● Parameters: See sections 5.4 and 5.5 for parameters.

 

Returns: 

The XML representing transaction or document history. See 5.4 and 5.5 for details.

8.5 Solicit 

The Solicit method is used to request EMTS documents.

The following URLs may be used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

Query Parameters:

● SecurityToken: The security token issued by NAAS and returned from the Authenticate method.

● Dataflow: EMTS

● Request: GetEMTSDocuments

● Recipient: Empty. 

● NotificationURI: Empty. 
EMTS Flow Configuration Document

03/31/10

38

● Parameters: 

o DocumentName: Mandatory parameter of string type. See Appendix F for list of document 

names for the EMTS.

o OrganizationIdentifier: Conditionally required parameter of string type. Provide an empty 

string if no organization or multiple organizations are associated with the document contents.

o DocumentDate: Optional parameter of string type in following format: YYYY-MMDDThh:mm:ss±hh:mm. Leave empty for EMTS documents.

Returns: 

The CDX Node returns a StatusResponseType to the node containing the following information:

● TransactionId: CDX Solicit transaction ID. 

● Status: "RECEIVED" if successful, "FAILED" if error occurs.

● StatusDetail: Empty. 

8.6 Download 

The Download method is used to download document. The following documents can be downloaded:

● Original submission

● XML Validation report

● QA Feedback report

● Web Service documents

● Archived XML files

The following URLs will be used:

Test: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service 

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/NetworkNode2Service

Download Parameters:

● SecurityToken: The security token issued by NAAS and returned from the Authenticate method.

● Dataflow: EMTS or EMTS-ARCHIVE

● TransactionId: The Transaction ID issued by the CDX Node from the Submit service. 

● Documents: An array of NodeDocumentType. When the documents parameter is empty, the 

CDX Node will return all documents associated with the Transaction ID. When a Document ID is 

specified in the documents parameter, the Node will return only the associated document.

Returns: 

A message contains an array of zero or more NodeDocumentType. 
EMTS Flow Configuration Document: Appendix A

03/31/10

A-1

Appendix A 

Node Options

There are several options for how to transport the XML file through the Exchange Network.

CDX Network Node: A server that facilitates the interface between database systems and the Exchange 

Network. It is a partner's "point of presence" on the Exchange Network. Each partner has only one node. 

Nodes support:

● Server accessibility on the Web;

● Protocols to ensure secure exchanges;

● Sending and receiving standards-based messages; and

● Returning requested information as XML.

Exchange Network Web Client: EPA's site for submitting environmental information via standard web 

browsers. The web client supports:

● Users to submit data via web-based forms and file uploads (flat file, XML file);

● Users to receive submission confirmation and processing reports;

● XML for the payload;

● Simple Object Access Protocol (SOAP) as a wrapper for the payload;

● Web Services Description Language (WSDL) for network exchange functions and services; and

● Hypertext Transfer Protocol (HTTP) for secure communication via the Internet.

EMTS Web Client: The EMTS Website also supports a submittal environment which allows:

● Users to submit data via file uploads (XML file only); and

● XML for the payload. 
EMTS Flow Configuration Document: Appendix B

03/31/10

B-1

Appendix B 

OTAQ Registration Process 

This section describes the business processes for obtaining a CDX and NAAS account and the 

permissions to participate in the EMTS flow.

B–1 New User Registration

The following procedures are for all new users that are currently not registered with CDX.

All users must register for a CDX Web account by self-registering in the following two available 

environments:

Test: https://test.epacdx.net/ 

Prod: https://epacdx.net/ 

Once the user has acquired a CDX Web account, they are prompted to register for one or more 

programs. To register for the EMTS program, the steps are as follows:

● The user registers for the EMTS flow. This will automatically register the user for the OTAQ 

Registration Fuels flow.

● The user enters all necessary information into OTAQ Registration Fuel application.

● The user prints appropriate document prior to submitting registration information and mail the 

document to the address provided on the screen.

● EPA will review and approve registration materials. 

● User will request registration with NAAS (See section B-2).

● Once approved, the user will receive permissions to submit documents to the EMTS flow and 

access the EMTS website.

B–2 NAAS Node Clients User Registration 

Users who plan to use Node Clients to submit files must be affiliated with the CDX Node EMTS Domain. 

These users will be registered and managed by CDX Node Administrator. Setting access privileges for 

the EMTS flow will be managed by the CDX Node Administrator via NAAS Web UI. The mapping 

between Web CDX user ID's and NAAS user ID's will be managed by the CDX Node Administrator via 

NAAS application mapping UI.

The following procedures will be required for all the users which were not registered with CDX or 

registered with CDX for other than EMTS/OTAQ REG flows and does not have NAAS EMTS user ID: 

1. Register with CDX Web for the EMTS flow. The user will be automatically registered for OTAQ 

Reg flow. (See Appendix B-1 for details). 

2. Enter all necessary information into OTAQ Reg application.

3. The OTAQ Registration Approver reviews and approves the user.
EMTS Flow Configuration Document: Appendix B

03/31/10

B-2

4. Once approved, request the Node Administrator to register with NAAS and request privileges for 

accessing EMTS flow and user mapping between the NAAS and CDX Web user ID's. Provide 

following information to the Node Administrator:

- Email address to receive communications from the EMTS flow associated with the user 

NAAS ID. 

- EMTS Web CDX user ID. 

- Application: EMTS

5. The CDX Node Administrator will register the user with NAAS. This includes:

- Creating the NAAS user ID using email provided by the user. 

- Activating the user. 

- Setting privileges for the user to be able to:

o Submit EMTS data; and

o Get EMTS transaction status.

- Query the CDX Node for the following: 

o Flow: "NODE" 

o Services: "GetTransactionHistoryByTransactionId" and "GetDocuments" 

o Parameters: Any. 

o Download EMTS documents. 

- Map the NAAS user ID to CDX Web user ID for the EMTS Application using NAAS 

application mapping UI.

- Send confirmation email to the user. 

For users already registered with CDX Web for the EMTS flow and who do not have NAAS user ID's, see 

sections 4.4. For all users registered with CDX Web for the EMTS flow with existing NAAS user ID's see 

sections 4.5.3 through 4.5.5.

B–3 NAAS Full Nodes User Registration 

Full node users must be registered by the CDX Node Administrator. Setting access privileges for EMTS 

and mapping NAAS user ID and CDX web user ID is managed by CDX Node Administrator. 

The following procedures demonstrate how all users which were not registered with CDX Web or are 

registered with CDX Web for flows other than EMTS/OTAQ REG and do not have NAAS EMTS user ID. 

1. Register with CDX Web for the EMTS flow. The user will be automatically registered for OTAQ 

Reg flow. (See Appendix B-1 for details). 

2. Enter all necessary information into OTAQ Registration application.

3. The OTAQ Registration Approver reviews and approves the user.
EMTS Flow Configuration Document: Appendix B

03/31/10

B-3

4. Once approved, request the Node Administrator to register with NAAS and request privileges for 

accessing EMTS flow and user mapping between the NAAS and CDX Web user ID's. The user 

must provide the following information to the Node Administrator:

- Email address to receive communications from the EMTS flow associated with the user 

NAAS ID; 

- EMTS Web CDX user ID; and

- Identify the application as EMTS.

5. The CDX Node Administrator will register the user with NAAS. This includes:

- Creating the NAAS user ID using email provided by the user. 

- Activating the user. 

- Setting privileges for the user to be able to:

o Submit EMTS data. 

o Get EMTS transaction status. 

o Query the CDX Node for the following: 

• Flow: "NODE"; 

• Services: "GetTransactionHistoryByTransactionId" and "GetDocuments"; 

• Parameters: Any; and

• Download EMTS documents.

- Map the NAAS user ID to CDX Web user ID for the EMTS Application using NAAS 

application mapping UI.

- Send confirmation email to the user. 

For all the users already registered with CDX Web for EMTS Flow and does not have NAAS user ID's, 

see sections 4.4 through 4.8. For all the users registered with CDX Web for EMTS Flow with existing 

NAAS user ID see sections 4.5.3 through 4.8.

B–4 NAAS User Revocation 

If a user is deactivated from OTAQ Registration application, the user’s privileges to access EMTS flow are 

also revoked. The following describes the steps taken to revoke a users privileges.

1. The OTAQ Reg Approver will send CDX Node Administrator email to revoke user privileges 

providing the user NAAS user ID. 

2. The CDX Node Administrator will revoke the following user privileges:

- Submit EMTS data.

- Get EMTS transaction status.

- Query THE CDX Node for the following:

o Flow: "NODE"; 

o Services: "GetTransactionHistoryByTransactionId" and "GetDocuments"; and

o Parameters: Any.

- Download EMTS documents.

3. The CDX Node Administrator will email OTAQ Reg Approver upon completion of revocation.
EMTS Flow Configuration Document: Appendix C

03/31/10

C-1

Appendix C 

Procedure for Testing the EMTS Flow

The following describe how a user should test their connectivity to the EMTS flow. The following steps 

apply to the TEST environment and not Production.

1. If the user is not registered in either CDX or the OTAQ Registration, the user will create a Web 

CDX account and register their information in the OTAQ Registration application at 

https://test.epacdx.net/. See Appendix B-1 for more details.

2. The user will register their NAAS credentials. See Appendix B-2 for more details.

3. The user will produce a valid EMTS XML document for submission. See section 3 for more 

details.

4. The user will validate XML document via QA Server Web UI at https://tools.epacdxnode.net/ or 

using any local XML validation tool.

5. The user will submit the XML document to the CDX Node using their submitter node. The

submitter node will submit the XML document to the CDX Node. The following end point URL will 

be used: https://testngn.epacdxnode.net/ngn-enws20/services/NetworkNode2Service. 

6. The CDX Node will process the submission and returns Transaction ID to the submitter node. 

The submitter node retains the Transaction ID for future processing. See section 5.1 for more 

details. 

7. The user obtains the current transaction status using submitter node. See section 5.2 for more 

details.

8. The user can obtain the transaction history for the Transaction ID. See section 5.3 for more 

details.

9. The user can download submission documents. See section 5.4 for more details.
EMTS Flow Configuration Document: Appendix D

03/31/10

D-1

Appendix D 

Accessing EMTS from MyCDX Web

This section describes how users access the EMTS website from MyCDX Web. During the EMTS beta 

testing period, select users will have access to the EMTS application. Users may only access the EMTS 

through a registered account profile. An example of an account profile with access to the EMTS is shown 

below in Figure D-1.

Figure D-1: MyCDX Account Profile

The EMTS URL link will be active for all registered OTAQ Fuels Registration participants. During the beta 

testing period, active beta testers will have access to the EMTS by clicking on the OTAQEMTS:OTAQ 

EMTS Application link. Users that are not approved beta testers will receive an error message indicating 

that you are not a registered EMTS user. 

After the end of the beta testing period, all users that have registered for EMTS and Fuels and have been 

approved by EPA to participate in the EMTS flow can access the EMTS website through this link. Delays 

may occur for new users waiting for approval of their registration materials by EPA.
EMTS Flow Configuration Document: Appendix E

03/31/10

E-1

Appendix E 

Notifications for EMTS Flow

The following table outlines the notifications that are sent from either the CDX Node or the EMTS to the 

submitter. 

Table E-1: Emails Sent Regarding File Submission Status

Sender Recipient Notification Subject Line Content

CDX Submitter, 

CDX Help 

Desk

CDX Node Failure to 

Distribute Document to 

EMTS. 

CDX Node failed to distribute the following 

document to the EMTS.

EMTS submission with transaction ID of: <cdx 

transaction id> On: <DEV/TEST/PROD> 

Submission time: <mm/dd/yyyy hh:mm:ss> 

Document name: <Document Name>

Submitter NAAS user ID: <NAAS user id>

Submitter CDX Web user ID: <CDX Web user 

id>

Submission status: FAILED.

CDX Node may be experiencing some 

technical difficulties. Please resubmit your 

document at a later time. Contact the CDX 

Help Desk at <CDX email> if the problem 

persists.

CDX Submitter CDX Node XML Schema 

Validation Failure on EMTS 

Document. 

Document: <Document Name> did not pass 

XML schema validation.

EMTS submission with transaction ID of: <cdx 

transaction id> On: <DEV/TEST/PROD> 

Submission time: <mm/dd/yyyy hh:mm:ss>

Submitter NAAS user ID: <NAAS user id>

Submitter CDX Web user ID: <CDX Web user 

id>

Submission status: FAILED.

The following XML error report <XML 

validation Report> is available for download. 

Please check the format of your XML 

document against the EMTS schema to ensure 

that it is valid and well-formed before resubmitting your file. 

(cont.)
EMTS Flow Configuration Document: Appendix E

03/31/10

E-2

Table E-1: Emails Sent Regarding File Submission Status (cont.)

Sender Recipient Notification Subject Line Content

CDX Submitter CDX is unable to Find CDX 

Web User Identification 

based on NAAS 

Identification. 

CDX Node was unable to map NAAS user ID

<NAAS user id> to CDX Web user ID. 

EMTS submission with transaction ID of: <cdx 

transaction id> On: <DEV/TEST/PROD> 

Submission time: <mm/dd/yyyy hh:mm:ss>

Submitter NAAS user ID: <NAAS user id>

Submitter CDX Web user ID: <unknown>

Submission status: FAILED.

Please contact the CDX Node help desk at 

<CDX Node email> to verify that your NAAS 

account has been completed properly.

EMTS CDX EMTS has completed is 

processing of the document.

EMTS submission with transaction ID of: <cdx 

transaction id>

Document: <Document Name>

Submission status: COMPLETED/FAILED.

CDX Submitter CDX was unable to verify 

that the submitter is a 

registered user in 

OTAQReg. 

CDX is unable to verify that you are a 

registered user in the OTAQ Registration 

system with permission to submit documents 

to the EMTS. 

EMTS submission with transaction ID of: <cdx 

transaction id> 

Document: <Document Name>

Submission time: <mm/dd/yyyy hh:mm:ss>

Submitter NAAS user ID: <NAAS user id>

Submitter CDX Web user ID: <CDX Web user 

id>

Submission status: FAILED

Please contact the OTAQ Registration Help 

desk at <OTAQReg Help email> for 

assistance.

(cont.)
EMTS Flow Configuration Document: Appendix E

03/31/10

E-3

Table E-1: Emails Sent Regarding File Submission Status (cont.)

Sender Recipient Notification Subject Line Content

CDX Submitter CDX Node has completed 

transaction. 

EMTS submission of: <cdx transaction id> 

Document: <Document Name>

Submission time: <mm/dd/yyyy hh:mm:ss>

Submitter NAAS user ID: <NAAS user id>

Submitter CDX Web user ID: <CDX Web user 

id>

Submission status: COMPLETED/FAILED

You will receive additional email from the 

EMTS containing additional information 

regarding your submission document.

CDX Submitter CDX Node XML schema 

validation failure on EMTS 

document. 

Document: <Document Name> did not pass 

XML schema validation.

EMTS submission with transaction ID of: <cdx 

transaction id> On: <DEV/TEST/PROD> 

Submission time: <mm/dd/yyyy hh:mm:ss>

Submitter NAAS user ID: <NAAS user id>

Submitter CDX Web user ID: <CDX Web user 

id>

Submission status: FAILED.

The following XML error report <XML 

validation Report> is available for download. 

Please check the format of your XML 

document against the EMTS schema to ensure 

that it is valid and well-formed before 

resubmitting your file. 

(cont.)
EMTS Flow Configuration Document: Appendix E

03/31/10

E-4

Table E-1: Emails Sent Regarding File Submission Status (cont.)

Sender Recipient Notification Subject Line Content

EMTS All Submitters 

with an 

Organization

EMTS Processing Failure. The following document submitted on <date> 

on behalf of <organization> could not be 

processed due to one or more critical errors. 

Information regarding the document is shown 

below.

File name: <file name >

Submission Date/Time: <Submission 

date/time>

Submitter: <user name>

If you are a node user, you may retrieve the 

full QA Feedback report from the CDX node 

using the document download service. If you 

are a web user, you may view the feedback 

results online or download the document from 

the EMTS website. Additional information 

regarding your submission is provided below.

Submission Comment: 

<SubmittalCommentText>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

For additional support regarding the EMTS, 

please contact <contact_email> or 

<contact_phone_number>. 

(cont.)
EMTS Flow Configuration Document: Appendix E

03/31/10

E-5

Table E-1: Emails Sent Regarding File Submission Status (cont.)

Sender Recipient Notification Subject Line Content

EMTS All Submitters 

with an 

Organization

EMTS Daily Processed 

Document Summary. 

The following documents submitted on <date> 

on behalf of <organization> have been 

processed.

File name: <file name>

Submission Date/Time: <Submission 

date/time>

Submitter: <submitter>

Submission Status: <Submission Status>

Submission Comment: 

<SubmissionCommentText

File name: <file name>

Submission Date/Time: <Submission 

date/time>

Submitter: <submitter>

Submission Status: <Submission Status>

Submission Comment: 

<SubmissionCommentText> {Show only if 

SubmissionCommentText is not null}

If you are a node user, you may retrieve the 

full QA Feedback report from the CDX node 

using the document download service. If you 

are a web user, you may view these results 

online or download the document from the 

EMTS website. 

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

For additional support regarding the EMTS, 

please contact <contact_email> or 

<contact_phone_number>

(cont.)
EMTS Flow Configuration Document: Appendix E

03/31/10

E-6

Table E-1: Emails Sent Regarding File Submission Status (cont.)

Sender Recipient Notification Subject Line Content

EMTS All Submitters 

within an 

Organization

EMTS Notification of 

Pending Trades. 

Your organization, <organization>, has been 

identified as a trading partner for <pending 

trades count> trades. Please accept or deny 

these trades no later than <date>. 

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

For additional support regarding the EMTS, 

please contact <contact_email> or 

<contact_phone_number>. 

EMTS All Submitters 

within an 

Organization

EMTS has Changed Status 

of RINs. 

The following RINS held by <organization>

have recently had a change in lock status: 

Fuel: <fuel code>

Assignment: <assignment>

RIN Quantity: <RIN Quantity>

RIN Year: <RIN Year>

Current Status: <locked status>

Status Comment: <Status Comment>

Changed by: <user name>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

For additional support regarding the EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

(cont.)
EMTS Flow Configuration Document: Appendix E

03/31/10

E-7

Table E-1: Emails Sent Regarding File Submission Status (cont.)

Sender Recipient Notification Subject Line Content

EMTS All Submitters 

within an 

Organization

EMTS Trade Expired. There are five trades for <organization> that 

have expired as of <date>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

For additional support regarding the EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

EMTS All Submitters 

within an 

Organization/

All Submitters 

within the 

Trading 

Partner.

EMTS Trade Denied. A trade initiated by <organization> on <date> 

has been denied by <trading partner>.

The reason for denial is as follows: 

<TransactionDetailCommentText>

The following individuals were sent a copy of 

this notification:

<selling organization>

<user name>

<user name>

<buying organization>

<user name>

<user name>

For additional support regarding the EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

EMTS All Submitters 

within an 

Organization

EMTS Organization Account 

has been locked/unlocked. 

The EMTS account for <organization> has 

been <lock status> on <date> by EPA.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

For additional support regarding the EMTS, 

please contact <contact_email> or 

<contact_phone_number>.
EMTS Flow Configuration Document: Appendix F

03/31/10

F-1

Appendix F

EMTS Web Service Documents 

If you are a node or node client user, you may subscribe to several documents that you can retrieve from 

the CDX Node on a scheduled basis. The procedures for retrieving documents are described in section 

6. These documents are available in several file formats, CSV being the first format available for node 

users during the testing period for the EMTS. Since the documents are intended for node users, they 

contain code values rather than text descriptions. 

F–1 Intervals for Documents

Document subscriptions may be provided daily, once per week, or once per month. If the report contains

log or a history of transactions, these documents always contain the last ten days of transaction activity. 

If the document is an aggregate report such as the RIN Holding document, the contents contain a 

snapshot of the most recent aggregate information. In all cases, do not provide a date in the solicit 

request. Each document will include information on the last full day of transactions contained in the

report and the date in which the EMTS created the document. 

F–2 Document Parameters 

When invoking the Solicit web service method to request a document, you must identify the name of the 

document, the organization identifier, and the date in which the document was created. The following 

table demonstrates how these parameters are used.

Parameter Required Format Description Example

DocumentName Yes See document 

names in this 

section.

The name of the 

document.

PENDING 

TRADES

OrganizationIdentifier No String The public identification 

number of the 

organization. This must 

be reported for all 

documents, with the 

exception of agency 

reports.

1234

DocumentDate YYYY-MM-DD Not used.
EMTS Flow Configuration Document: Appendix F

03/31/10

F-2

F–3 Summary of Web Service Documents 

Document Name Description Intervals Available Contents

PENDING TRADES This document lists all trades that 

are in a pending state. Pending 

trades are either transactions that 

the seller has offered on one or 

more batches of RINS for which the 

buyer has not accepted yet, or the 

buyer has initiated a transaction 

and the trading partner has not yet 

issued a matching sell transaction 

yet. 

Available on a daily or 

weekly basis.

Not date sensitive 

as pending trades 

expire within ten 

days.

RIN HOLDINGS This document lists the current 

aggregate total RIN Holdings for an 

organization, grouped by fuel code, 

assignment, and RIN year.

Available on a daily,

weekly, or monthly 

basis.

Not date sensitive 

as this document 

always captures 

the current 

aggregate totals.

TRANSACTION 

HISTORY

The document includes all 

generate, separate, buy, sell and 

retire transactions submitted by an 

organization through XML files or 

online transactions.

Available on a daily or 

weekly basis.

Always contains 

the last ten days 

of transaction 

activity.

EXPIRED TRADES This document lists all transactions 

that will expire within 1 business 

day as well as all trades that have 

recently expired.

Available on a daily or 

weekly basis.

Always contains 

the last ten days 

of transaction 

activity.

CONFIRMED 

TRADES

This document lists all trades that 

have been completed. 

Available on a daily or 

weekly basis.

Always contains 

the last ten days 

of transaction 

activity.

F–4 Pending Trades 

This document includes all pending trades initiated and received for an organization. The trades with 

TradeSource of "Initiated" show trades that were offered by the organization to their trading partner. 

When a transaction includes advanced options for RIN selection, the originating organization, facility, and 

batch number are shown. The CDX transaction identifier, submission identifier, submission comment 

text, transaction identifier, transaction comment text, and supporting document information is intended for 

internal use. These fields are populated only for initiated trades.
EMTS Flow Configuration Document: Appendix F

03/31/10

F-3

Table F-4: Data Elements in the Pending Trades Document

CDXTransactionIdentifier

SubmissionIdentifier

SubmissionDate

SubmissionMethod

TransactionIdentifier

TransactionTypeCode

TradeSource

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

RINPriceAmount

GallonPriceAmount

TransactionDate

PTDNumber

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

SubmissionCommentText

TransactionDetailCommentText

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2
EMTS Flow Configuration Document: Appendix F

03/31/10

F-4

F–5 RIN Holding 

This document is an aggregate view of the total number of RINs held by an organization, grouped by fuel 

code, assignment code, and RIN year. The total available RINs are the number of RINs that can be used 

for transactions. The total pending RINs are RINs that have been designated for a sell transaction that 

are still pending. These RINs are not available for any other transaction until the trade is cancelled, 

denied, or expired. The total reserved RINs are RINs that are associated with a separate, sell, or retire 

transaction that has not been submitted from the EMTS Transaction Bin. These RINs cannot be used for 

any other transactions until the user removes the transaction from the EMTS Transaction Bin. The 

number of total locked RINs are RINs that have been locked (by either the industry user or EPA) and 

cannot be used for any transactions until they are unlocked. 

Table F-5: Data Elements in the RIN Holding Document

FuelCode

RINYear

AssignmentCode

TotalAvailableRINs

TotalPendingRINs

TotalReservedRINs

TotalLockedRINs

TotalRINs

F–6 Transaction History 

The Transaction History document contains generate, separate, retire, buy and sell transactions 

submitted by an organization for the most recent ten day period. The document includes buy and sell 

transactions submitted by that organization that are in a pending state. If two or more batches are used 

in a single trade or separate transaction then multiple batches are identified with the same transaction ID. 

Table F-6: Data Elements in the Transaction History Document

CDXTransactionIdentifier

SubmissionIdentifier

SubmissionDate

SubmissionMethod

TransactionIdentifier

TransactionStatusCode

TransactionTypeCode

RINQuantity

(cont.)
EMTS Flow Configuration Document: Appendix F

03/31/10

F-5

Table F-6: Data Elements in the Transaction 

History Document (cont.)

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINPriceAmount

GallonPriceAmount

TransactionDate

PTDNumber

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

ProcessCode

ProductionDate

FuelCategoryCode

DenaturantVolume

EquivalenceValue

SubmissionCommentText

TransactionDetailCommentText

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2

CDXTransactionIdentifier

SubmissionIdentifier

SubmissionDate

SubmissionMethod

(cont.)
EMTS Flow Configuration Document: Appendix F

03/31/10

F-6

Table F-6: Data Elements in the Transaction 

History Document (cont.)

TransactionIdentifier

TransactionStatusCode

TransactionTypeCode

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINPriceAmount

GallonPriceAmount

F–7 Expired Trades

The Expired Trades document lists all of an organization's pending trades that have expired in the 

previous ten days as well as all pending trades that will expire within the next 24 hours. The trades with a 

TradeSource of "Initiated" show trades that were offered by the organization to their trading partner. 

Table F-7: Data Elements in the Expired Trades Document

CDXTransactionIdentifier

SubmissionIdentifier

SubmissionDate

ExpirationDate

SubmissionMethod

TransactionIdentifier

TransactionStatusCode

TransactionStatusDate

TransactionTypeCode

TradeSource

(cont.)
EMTS Flow Configuration Document: Appendix F

03/31/10

F-7

Table F-7: Data Elements in the Expired Trades 

Document (cont.)

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

RINPriceAmount

GallonPriceAmount

TransactionDate

PTDNumber

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

SubmissionCommentText

TransactionDetailCommentText

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2

F–8 Confirmed Trades 

The confirmed trades document shows all of an organization's trades that have been completed 

(processed, cancelled or denied) in the last ten days. This includes trades that were initiated by the 

organization and trades that were initiated by the organization's trading partner. 
EMTS Flow Configuration Document: Appendix F

03/31/10

F-8

Table F-8: Data Elements in the Confirmed Trades Document

CDXTransactionIdentifier

SubmissionIdentifier

SubmissionDate

SubmissionMethod

TransactionIdentifier

TransactionStatusCode

TransactionStatusDate

TransactionTypeCode

TradeSource

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

RINPriceAmount

GallonPriceAmount

TransactionDate

PTDNumber

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

SubmissionCommentText

TransactionDetailCommentText

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2
EMTS Flow Configuration Document: Appendix G

03/31/10

G-1

Appendix G 

EMTS Support

Using EMTS

- EMTS Technical Support 

o emts-testing@pqa.com

o 1-800-385-6164 

o (Monday through Friday 9:00 a.m. until 5:00 p.m. ET) 

Establishing CDX Login

- CDX Helpdesk 

o helpdesk@epacdx.net

o 1-888-890-1995, then select Option 1. 

NAAS Authentication and Node Questions

- CDX Node Support 

o nodehelpdesk@epacdx.net

o 1-888-890-1995, then select Option 2.