EMTS Flow Configuration Document

Version: 1.5
EPA420-B-11-057

December 2011

Compliance Division

Office of Transportation and Air Quality

U.S. Environmental Protection Agency

Prepared for EPA by

SRA International, Inc.

EPA Contract No. EP-C-11-007

Work Assignment No. 0-06

EMTS Flow Configuration Document

Version: 1.5

IMPORTANT REMINDER:

Regulated parties are urged to conduct due diligence investigations and 

exercise caution when conducting Renewable Identification Number (RIN) 

transactions. Neither EPA nor its systems, including the EPA Moderated 

Transaction System (EMTS), certify or validate RINs or make any provision for 

parties who, despite good faith, transfer or receive invalid RINs. As specified 

in the regulations at 40 CFR 80.1431(b)(2), invalid RINs cannot be used to 

achieve compliance with the Renewable Volume Obligations of an obligated 

party or exporter, regardless of the party’s good faith belief that the RINs 

were valid at the time they were acquired. Additionally, the regulations at 40 

CFR 80.1460(b)(2) prohibit the creation or transfer to any person of a RIN that 

is invalid.
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Table of Contents

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

1.1 Version and Component Alignment .............................................................................................. 2

2 Introduction........................................................................................................................................... 3

2.1 How to Use This FCD ................................................................................................................... 4

3 Submission File Structure .................................................................................................................... 5

3.1 Overview ....................................................................................................................................... 5

3.2 Exchange Network Document Structure....................................................................................... 5

3.3 Document Header......................................................................................................................... 5

3.3.1 Namespace and Schema...................................................................................................... 5

3.3.2 Document Header Specifications.......................................................................................... 6

3.4 EMTS Namespace ........................................................................................................................ 8

3.5 Payload ......................................................................................................................................... 9

3.5.1 Validating the EMTS XML ...................................................................................................10

4 EMTS Flow Datasheet .......................................................................................................................10

5 Submission Processing and Feedback ..............................................................................................11

5.1 Submission Using a Node or Node Client...................................................................................11

5.2 Submission from the EMTS Website ..........................................................................................14

5.3 Get Submission Status................................................................................................................17

5.4 Retrieve QA Feedback Report....................................................................................................18

5.5 Obtain Document History ............................................................................................................21

5.6 Download Document...................................................................................................................22

6 Data Publishing ..................................................................................................................................22

6.1 Overview .....................................................................................................................................22

6.2 EMTS Solicit Flow Steps.............................................................................................................23

7 EMTS Archive Flow............................................................................................................................30

7.1 Overview .....................................................................................................................................30

7.2 Archive Submission.....................................................................................................................30

7.3 EMTS-ARCHIVE Flow ................................................................................................................31

7.4 Download Archived Documents ..................................................................................................32

8 Web Service Methods ........................................................................................................................33

8.1 Authenticate ................................................................................................................................33

8.2 Submit .........................................................................................................................................33

8.3 GetStatus ....................................................................................................................................34

8.4 Query...........................................................................................................................................35

8.5 Solicit...........................................................................................................................................35

8.6 Download ....................................................................................................................................36

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

Node Options ........................................................................................................................................ A-1

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

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

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

B–2 Node Client Registration ....................................................................................................... B-1

B–3 Full Node Registration........................................................................................................... B-2

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

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

C-1 Procedure for Testing a Node in the Testing Environment............................................................ C-1
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C-2 Procedure for Acquiring Credentials in the Production Environment ............................................ 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 Organization vs. Agent Documents........................................................................................ F-1

F–3 Document Parameters ........................................................................................................... F-1

F–4 Summary of Web Service Documents ................................................................................... F-3

F–5 Pending Trades ...................................................................................................................... F-7

F-6 Pending Trade Details ........................................................................................................... F-8

F–7 RIN Holdings ........................................................................................................................ F-10

F–8 Monthly Transaction History................................................................................................. F-10

F–9 Expired Trades ..................................................................................................................... F-13

F–10 Completed Trades............................................................................................................ F-14

F–11 Cancelled Trades ............................................................................................................. F-16

F–12 RIN Batches ..................................................................................................................... F-17

F–13 Transaction Status ........................................................................................................... F-18

F–14 Agent Pending Trades ..................................................................................................... F-20

F–15 Agent Pending Trade Details ........................................................................................... F-20

F–16 Agent RIN Holdings.......................................................................................................... F-20

F–17 Agent Expired Trades Daily ............................................................................................. F-21

F–18 Agent Completed Trades ................................................................................................. F-21

F–19 Agent Cancelled Trades................................................................................................... F-21

F–20 Agent RIN Batches Weekly.............................................................................................. F-21

F–21 Agent Transaction Status................................................................................................. F-22

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

EMTS Support ...................................................................................................................................... G-1
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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.a Solicit and Archive flow. CGI

March 31, 2010 1.0.a Updates to Solicit and 

Archive flows. Update to 

Notifications and Web 

Service Documents.

PQA

June 2, 2010 1.1 Modification to schema. 

Updates to the solicit flow. 

Correction to web service 

parameter lists. Change in 

EMTS support email 

address.

SRA

July 28, 2011 1.4 Updates to Solicit, 

Notifications, and 

Documents. 

SRA

October 7, 2011 1.4.6 Updates to submission 

processing to remove XML 

validation

SRA

November 23, 2011 1.5 Updates for the EMTS 1.5 

release, including schema 

changes and new Agent 

reports. 

SRA
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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

Description of Updates

FCD V1.5 EMTS XSD 2.0 support.

Agent reports.

E_BackendXsdValidationError error code in the Notify to CDX when 

EMTS encounters a schema validation error.

EMTS 

Schema

V2.0 EMTS XSD 2.0 schema.

DET V2.0 Per the EMTS XSD 2.0 schema.
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2 Introduction 

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

Moderated Transaction System (EMTS) flow across the Exchange Network between industry users, the 

CDX Node, and the EPA's EMTS system. The EMTS flow fulfills the Renewable Fuel Standard (RFS2) 

submission requirements.

An FCD describes the operational aspects of an Exchange Network data exchange. The specifications 

included in this document define the approaches, supported data services, and protocols that are used to 

exchange information between submitters and EPA. 

The document describes the data exchange processes by which industry users submit XML files to EMTS

and retrieve documents from EMTS from an EPA Exchange Network 2.0 compliant node, such as the 

EMTS website, or third-party node software application. 

At a high-level, the EMTS data flow includes the following steps (Note: “User” refers to a person or a 

software application): 

1. An EMTS-registered user authenticates to the Exchange Network's Network Authentication and 

Authorization Services (NAAS). 

2. The user submits EMTS transaction data as an XML file to the CDX Node using an Exchange 

Network 2.0-compliant node client.

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

EMTS for authentication. 

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

5. EMTS validates the structure of the XML file and processes the contents of the file. 

6. EMTS notifies the submitter regarding the status of the submission via email. 

7. The user downloads the resulting QA Feedback report.

To retrieve documents from EMTS, the steps are:

1. An EMTS user subscribes to available documents from the EMTS website.

2. An EMTS-registered user authenticates to NAAS.

3. The user solicits the CDX node for a daily, 3 per day, weekly, or monthly document.

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

for authentication.

5. The CDX Node forwards the document Solicit request to EMTS. 

6. EMTS processes the Solicit request, and either submits the solicited document back to the CDX 

Node, or sends a notification to the CDX Node that the document is unavailable.
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7. The user queries the CDX Node for the status of the Solicit request, and downloads the 

document from the CDX Node when it is ready. 

2.1 How to Use This FCD

This document provides guidance on implementing and using the EMTS data flow. The document 

includes the following main sections:

Submission File Structure

This section describes the EMTS submission XML file structure. The submission file must adhere to this 

structure in order to be properly processed in route through the Exchange Network to EMTS. 

EMTS Flow “Datasheet” 

This section provides a datasheet that summarizes the main characteristics of the EMTS flow.

Submission Processing and Feedback

This section 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 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.

Web Service Methods

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

EMTS flow.

Related Documents

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. 

● EMTS Data Exchange Template

● EMTS XSD

● EMTS Transaction Instructions

Help and Technical Assistance

If you have questions about reporting your transactions to EMTS or using the EMTS website, contact

EMTS Support: 

• support@epamts-support.com

• 1-800-385-6164
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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 submitted file must adhere to the Exchange Network Document 

v2.0 specifications. Information on the document structure can be found on the Exchange Network 

website at http://www.exchangenetwork.net/dev_schema/HeaderSpecification_v2.0.doc. The Exchange 

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

3.2 Exchange Network Document Structure

The document structure is required for all Submit operations through the Exchange Network. Every 

submission file sent to EMTS must use the document structure to meet EPA CDX processing 

requirements. The root element is the Document element, with two child elements, Header and Payload. 

The Header contains information about the submitter and the contents of the payload. The Payload 

contains the actual EMTS data, adhering to the structure of the EMTS XSD 2.0 schema. Figure 1 below 

shows the file submission structure.

Figure 1: Submission File Structure

3.3 Document Header 

3.3.1 Namespace and Schema

The XML namespace for the Exchange Network Document is located at:

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. 
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Table 1 below specifies the Document tag attributes.

Table 1: Exchange Network Document 2.0 Attributes

Document (the root element of an Exchange Network Document)

Name Description Example

Required

by the 

Schema

Notes

ID A submitter-chosen identifier 

for the XML file. This may 

be a file name or a 

submitter-specific 

identification number that 

can be used to identify the 

document.

ID123456789 Yes This ID is not used 

by EMTS.

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 an 

appropriate 

schema 

specification 

document for 

validation. 

3.3.2 Document Header Specifications 

The document header provides the following information, or meta-data, pertaining to the submission: 

● Description of payload; and

● Information regarding the submitter and date of submission.
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The document header is the first child of the Document tag. The header contains the elements specified 

in Table 2. Note that EMTS does not use any of the header elements in its processing business rules. 

However, the submitter is free to populate these fields for their own purposes, either prior to, and/or after 

processing by EMTS.

Table 2: Exchange Document 2.0 Header Elements

Name Description Example Required by

XSD

Required by 

EMTS

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. The tag 

must be 

present but a 

null string can 

be provided.

No

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.

XYZ Fuels, Co. Yes. The tag 

must be 

present but a 

null string can 

be provided.

No

DocumentTitle Title of the document. EMTS Yes. The tag 

must be 

present but a 

null string can 

be provided.

No

CreationDate

Time

This is a timestamp that 

marks when the document, 

including the payload and 

header, was created.

2006-04-05T09:30:47-

05:00

Yes . Must be 

in valid xsd:

datetime 

format. 

No

Keywords Description of the payload. 

Multiple keywords should be 

separated by commas. This 

is used only for document 

categorization and searching.

Ethanol No No

Comment Additional comments for 

processors.

Generation No No

DataFlowName The name of the data flow 

associated with the payload. 

EMTS No No

DataService

Name

Name of the data service. GetEMTSDocument No No
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Name Description Example Required by

XSD

Required by 

EMTS

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 No

Application

UserIdentifier

Application specific submitter 

identification.

JohnSmith No No

SenderAddress A well-formed URI where 

results or reports can be sent. 

N/A No No

Property Other properties of the 

document using named value 

pairs.

N/A No No

Signature An XML signature associated 

with the document.

N/A No No

3.4 EMTS Namespace 

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

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

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 EMTS. 
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Figure 3: EMTS XML File Example

3.5 Payload

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

submissions including more than one submission file. However, the payload within the single submission 

file may contain multiple EMTS transactions. The format of the payload must be constructed in 

accordance with the EMTS XSD 2.0 schema. 
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3.5.1 Validating the EMTS XML 

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

can be accomplished using either or both of the following methods: 

● 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 XML and valid against the 

EMTS schema specifications.

4 EMTS Flow Datasheet

There are two data flows for EMTS on the Exchange Network (see Table 3). 

Table 3: EMTS Flow Datasheet

Specification

Data Flows

EMTS EMTS-ARCHIVE

FCD Specifications Sections 5, 6 Section 7

Flow Name Submit and Solicit Parameters

● securityToken: A security token

issued by NAAS. 

● dataflow: The name of target 

dataflow: “EMTS”. 

Node Submission supports one 

document (file) per submission, and 

within the document, one payload 

only. 

Submit Parameters

● securityToken: A security token 

issued by NAAS. 

● dataflow: The name of target 

dataflow: “EMTS-ARCHIVE”. 

Node Submission supports one 

document (file) per submission, and 

within the document, one payload 

only. 

Payload Schema EMTS_EMTS_v2.0.xsd N/A

Header Property N/A N/A

Payload Formatting 

Structure

The submitted document must be an 

XML document that is compressed 

as a .ZIP document type.

The submitted document must 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.

(cont.)
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Table 3: EMTS Flow Datasheet

Specification

Data Flows

EMTS EMTS-ARCHIVE

Timing See flow specifications in Sections 5 

and 6.

See flow specifications in Section 7.

Authentication and User 

ID Mapping

All node users must be registered in 

NAAS and their CDX user IDs must 

be mapped to their NAAS IDs. 

Contact EMTS Support or see 

Appendix B for details.

This flow allows access through a 

single NAAS account from the EMTS 

node to submit XML files to the CDX 

node for archiving. This flow is not 

used by industry nodes.

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 OTAQReg Fuels 

Programs Registration application. 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 NAAS accounts registered 

for the EMTS data flow. The submitter’s NAAS ID must be mapped to his CDX 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 

Figure 4 illustrates how an EMTS submitter submits an XML file using a node or node client.
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Figure 4: Submission from Node or Node Client

1. The submitter logs into her node client or full node application, referred to as the industry node, or 

“Node” in Figure 4. Depending on the node application, this step may or may not be required. 

2. On behalf of the submitter, the industry node authenticates to NAAS via the CDX Node using the 

submitter provided NAAS User ID, or a per-industry-node NAAS User ID. The following CDX 

Node 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 in the following parameters in the Authentication request: 

- 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 submission ends.

3. The industry node submits an XML file to the CDX Node. The following CDX Node end-point 

URLs are used:
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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 in the Submit request: 

- security token: Security token received in Step 2. 

- transactionId: Empty (not used) 

- dataflow: EMTS

- flowOperation: Empty (not used)

- recipient: Empty (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 EMTS. 

5. The CDX Node validates the submitted document. The submission may contain one document

only, 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. The CDX Node provided “Transaction ID” should not be confused with 

EMTS Transaction IDs. A CDX Transaction ID is application agnostic, and uniquely identifies a 

given submission between the submitter and the EMTS Node. EMTS Transaction IDs are EMTS 

application specific, and have no meaning outside of EMTS.

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 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. 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 

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

validation fails, the CDX Node sends an email to the submitter 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 sends an email to the 

submitter regarding the failure.

11. 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.
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12. The CDX Node submits the XML file to the EMTS Node, using the security token created in Step

13. The CDX Node will resubmit two times, with a one hour interval between the two attempts,

for a total of three submission attempts 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 an email to the submitter regarding the failure. 

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

ID from the security token. 

14. The EMTS Node queues the submission for processing. 

15. If Steps 15 and 16 were successful, the EMTS Node returns a successful Submit response 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. 

16. EMTS processes the submission.

17. 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 the transaction. 

18. 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.

- Note: Starting with the EMTS 1.4.6 release, the CDX Node is no longer performing the XSD 

schema validation. Instead, EMTS is performing such function, and in the case of a failed 

XSD schema validation, EMTS creates a corresponding QA check error and notifies the 

submitter of the error according to the normal QA Feedback Report mechanism described 

above.

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.
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Figure 5: Submission from EMTS Website

1. The user logs into the MyCDX Website. 

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

website for auto sign-on to 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. For more information about registering for 

EMTS, see Appendix B.

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

4. The user selects an XML file to submit. The CDX Node URL, data flow name, and other 

submission parameters are filled in automatically by EMTS. EMTS verifies that the XML file

conforms to the Exchange Network Header 2.0 and EMTS .XSD specifications, and compresses 

the file if it is not already compressed.

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

affiliation.

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

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

and authorize the submission to EMTS.
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8. The CDX Node validates the payload. The submission payload must contain one document only, 

and 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 

EMTS: 

- transactionId: The unique CDX Transaction ID. 

- status: RECEIVED

- statusDetail: Your submission has been accepted and can be tracked using the CDX 

Transaction ID. See Section 5.3, “Get Submission Status,” for additional information 

regarding the submission status.

If the previous operation fails, the CDX Node returns a SOAP fault to EMTS, and an error 

message is displayed to the end-user. 

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

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

registered and active in the OTAQ Registration database. If the submitter 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 an email to the submitter and the CDX Node 

Administrator regarding the failure.

14. 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.

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

16. The CDX Node will retry two 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 an email to the submitter and the CDX Node 

Administrator regarding the failure.

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

user ID from the security token. 

17. The EMTS Node queues the submission for processing. 

18. If Steps 18 and 19 were successful, the EMTS Node returns a successful submission response to 

the CDX Node. If Step 18 or 19 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 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 19.
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19. EMTS processes the submission.

20. 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 the transaction.

21. If processing fails, the following steps are 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. 

- Note: Starting with the EMTS 1.4.6 release, the CDX Node is no longer performing the XSD 

schema validation. Instead, EMTS is performing such function, and in the case of a failed 

XSD schema validation, EMTS creates a corresponding QA check error and notifies the 

submitter of the error according to the normal QA Feedback Report mechanism described 

above.

5.3 Get Submission Status

The following steps demonstrate how the industry node obtains the status of a submission from the CDX 

Node. This functionality is applicable to all nodes and node clients. 

1. The submitter logs into NAAS using her NAAS User ID. NAAS returns a security token to the 

submitter's 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

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. 
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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 string that provides a human readable description of the failure if the CDX 

Node returns FAILED as transaction status. For example: "E_BackendProcessing: The 

EMTS submission with transaction ID 123456789 completed with submission status: Failed"

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

details from the GetStatus response (see Table 4). 

Table 4: Status Detail Codes and Descriptions

StatusDetail Prefix Description Initiated By

E_ApplicationIdMapping CDX is unable to find a CDX Web user 

identification based on the NAAS identification.

CDX

E_OtaqRegNotRegistered The CDX was unable to verify that the submitter 

is a registered user in the OTAQ Registration 

database.

CDX

E_OtaqRegNotApproved The CDX was unable to verify that the submitter 

is activated in the OTAQ Registration database.

CDX

E_Distribution The CDX Node was unable to distribute the 

document to EMTS.

CDX

E_BackendXsdValidationError The submitted document does not conform to 

the EMTS XSD 2.0 schema.

EMTS

E_BackendProcessing The Document failed processing in EMTS. EMTS

5.4 Retrieve QA Feedback Report 

EMTS will submit a QA Feedback report to the CDX Node upon a failed submission. 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, including the case of an XML schema validation 

error. The following steps demonstrate how the industry node obtains the QA Feedback report using web 

services methods (see Figure 6). 
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Figure 6: Retrieve QA Feedback Report

1. When a submitted file fails due to violated EMTS business rules, EMTS automatically generates a 

QA feedback report. QA feedback reports are generated by EMTS every 10 minutes.

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. 

6. If the industry node receives the status detail value of “E_BackendProcessing” or 

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

node invokes the Query web service to obtain the document ID for the QA Feedback report.

The following parameters are used:

- securityToken: Security token. 

- dataflow: NODE
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- request: GetDocuments 

- parameters: 

o TransactionIdParam: Submission CDX Transaction ID

o Category: REPORT

7. 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>transaction 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>

8. The industry node invokes 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: An array of

NodeDocumentType, which contains the following parameters:

o documentName: Empty string

o documentFormat: Empty string

o documentContent: Empty string

o documentId: document ID retrieved in Step 5 above. When the documents parameter is 

empty, the CDX Node will return all documents associated with the Transaction ID. 

When a document identifier is specified as the document's parameter, the node will 

return only the associated document.

9. 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.

The industry node receives and stores the QA Feedback report.

Note that the data flow for this service is NODE and not EMTS. This service may not return the 

same responses or operate the same using any other data flow name.
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5.5 Obtain Document History

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

submission 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 TransactionIdParam: Transaction ID returned by the CDX Node in Step 9 of Section 5.1.

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

When the category parameter is null the node will return all associated documents.

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/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>
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5.6 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 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: 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 of Section 5.1). 

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

CDX Node returns all documents associated with the Transaction ID. When a document

identifier is specified in ‘documents,’ the node returns the associated document.

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

4. If the authentication or authorization with NAAS fails, the CDX Node returns an 

Authentication/Authorization SOAP fault to the industry node.

5. The CDX Node returns the requested document(s). 

6 Data Publishing

6.1 Overview

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

CDX Node implements the EMTS Solicit service as a part of the EMTS data flow, and makes it available

to all industry nodes.

Industry users must register for the types of reports they wish to retrieve by utilizing the report 

subscription functionality on the EMTS website. Subscription services should be reviewed periodically 

and updated to reflect the industry users’ needs for retrievable reports. The industry user can subscribe 

to several reports, each of which is described in Appendix F, “EMTS Web Service Documents.” 

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

Note that the data flow for this service is EMTS. If you use the NODE data flow for this service, you will 

receive a different response status and message.
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Figure 7: Solicit Reports from the EMTS

EMTS runs scheduled jobs nightly, generating reports as requested by subscribers. Generated reports 

are available for download from the EMTS website, or for Solicit requests from a node. The industry node 

invokes the Solicit web service method to the CDX Node using the procedure described in the next 

section. 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 report request information. The EMTS 

Node will log the Solicit request then retrieve the report that was created during the overnight scheduled 

job. This report 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 reports 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. EMTS creates reports in accordance with industry users' subscriptions. 

2. 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.
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- dataflow: EMTS

- request: GetEMTSDocument

- recipient: Empty (not used)

- notificationURI: Empty (not used)

- parameters: 

o documentName: Report name (see Appendix F, “EMTS Web Service Documents”). This 

is a mandatory parameter

o organizationIdentifier: OTAQ Registration “Company ID” of the organization for which the 

report is being solicited, or the keyword "Agent" (Case insensitive) for Agent reports. 

This is a 

. 

mandatory parameter

o documentDate: Creation date of the report (“YYYY-MM-DD”). This is an optional 

parameter. A non-specified or empty documentDate defaults to the current date.

. 

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

No key and no value; or ii) With the key and an empty string value. 

Note: The EMTS Solicit parameter names were created before the reporting capability in EMTS 

was fully designed and implemented. The parameter names were initially created using the term 

“document” as it is a common term used in the EPA Exchange Network literature. However, as 

the documents creation, subscription, and retrieval capability was fully developed in EMTS, the 

capability was renamed using the term “report.” For backward compatibility with early Beta 

industry nodes and the corresponding implementation in the CDX Node, the EMTS Solicit 

parameter names were not renamed accordingly.

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

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 a parameter validation error occurred. 

- statusDetail: Empty

The industry node stores the returned CDX Transaction ID for later querying of the status of the 

Solicit request. 

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 ID. 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 end-points:

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

Prod: https://cdxnodengn.epa.gov/ngn-enws20/services/Dataflow2Service
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The following parameters are used: 

- securityToken: Security token with the submitter's Web CDX user ID, email address, and 

affiliation. 

- dataflow: EMTS

- request: GetEMTSDocument

- recipient: Empty

- notificationURI: Empty

- parameters: 

o documentName: Report name (see Appendix F, “EMTS Web Service Documents”). This 

is a mandatory parameter. 

o organizationIdentifier: OTAQ Registration “Company ID” of the organization for which the 

report is being solicited, or the keyword "Agent" (Case insensitive) for Agent reports. 

This is a mandatory parameter.

o documentDate: Creation date of the report (“YYYY-MM-DD”). This is an optional 

parameter. A non-specified or empty documentDate defaults to the current date.

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

security token and queues the request’s transaction ID and Solicit parameters for asynchronous 

processing by EMTS. 

7. The EMTS Node returns a Solicit response to the CDX Node. 

8. A periodic EMTS job de-queues the next Solicit request in a FIFO mode, and processes it. The 

EMTS Node either submits the document to the CDX Node, or sends a Notify to indicate failure

when the Solicit request has an invalid parameter, the solicitor is not authorized to retrieve the 

specified document, or the solicited document is not available (e.g., has not been generated yet).

The following sequence is performed if the Solicit request results in failure.

9. If the EMTS Node sends a NOTIFY of “FAILURE”, this indicates 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

- dataflow: EMTS

- messages: An array of notification messages consisting of one message. The message XML 

structure contains the following elements:

- objectId: EMTS Solicit Transaction ID obtained in Step 7

- messageCategory: The string “Status”. 

- messageName: The string “Status Notification” 

- status: The string “Failed”. 

- statusDetail: EMTS processing failure reason as shown in the table below. Note: The 

“<solicit parameter name>“ notation represents the value of a solicit parameter, which is 

dynamically inserted in the status detail string.
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Table 7: Notify Failure Processing Reason

E_EmtsUser: The CDX Web User ID <cdxWebId> is not a valid 

EMTS user ID.

E_Affiliation: The EMTS user <cdxWebId> is not affiliated with 

the organization <organizationIdentifier>. 

E_AgentAffiliation: The EMTS user <cdxWebId> has not 

enabled agent affiliations.

E_Organization: The organization ID < organizationIdentifier>

was not found. 

E_DocumentName: No document name was passed in the 

Solicit request.

E_DocumentName: The requested document name 

<documentName> is invalid. 

E_AgentDocumentName: The requested document name 

<documentName> is not an agent document.

E_Date: The date in the request is in an invalid format.

E_OrganizationDocumentSubscription: The organization 

<organizationIdentifier> is currently not subscribing to 

document <documentName>. 

E_IndividualDocumentSubscription: The EMTS user 

<cdxWebId> is currently not subscribing to agent document 

<documentName>

E_NoOrganizationSubscribed: The EMTS user <cdxWebId> 

has no organization currently subscribing to document 

<documentName> and frequency <frequency>

E_DocumentNotAvailable: The requested document 

<documentName> for organization <organizationIdentifier> and 

date <documentDate> is currently not available.

E_DocumentNotAvailable: The requested individual 

<cdxWebId> document <documentName> and date <date> is 

currently not available.

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 request results in success.

11. 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
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The EMTS Node passes the following parameters:

- securityToken: Security token received in Step 2.

- transactionId: Solicit Transaction ID provided by the CDX Node in Step 6. 

- dataflow: “EMTS” 

- flowOperation: “solicitResponse” 

- recipient: Empty

- notification: 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”. 

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 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 during authentication. 

- transactionId: CDX Solicit Transaction ID obtained in Step 4. 

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 PENDING: The solicit request was successfully sent to EMTS.

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

available for download. 

o FAILED: The process failed. 
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- statusDetail: One of the error messages shown below.

statusDetail Prefix Description Initiated 

By

E_ApplicationIdMapping CDX is unable to find the CDX 

Web User Identification based on 

the provided NAAS Identification. 

CDX

E_Solicit The CDX Node was unable to 

issue the Solicit to EMTS.

CDX

E_EmtsUser The solicitor's user id does not 

exist.

EMTS

E_Affiliation The solicitor is not affiliated with 

the specified organization. 

EMTS

E_AgentAffiliation The user has no agent affiliation 

that is currently enabled.

EMTS

E_Organization The specified organization does 

not exist.

EMTS

E_DocumentName No document name was passed in 

the Solicit request, or the solicited 

document name does not exist.

EMTS

E_AgentDocumentName The solicited document name is 

not an agent document.

EMTS

E_Date The specified document date 

format is invalid.

EMTS

E_OrganizationDocumentSubscription The soliciting organization is 

currently not subscribing to the 

solicited document.

EMTS

E_IndividualDocumentSubscription The user is currently not 

subscribing to the solicited agent 

document.

EMTS

E_NoOrganizationSubscribed The solicitor has no organization 

currently subscribing to the 

solicited document and frequency.

EMTS

E_DocumentNotAvailable The solicited document has not 

been generated, or does not 

exist..

EMTS
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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 transaction ID issued by the CDX 

node in the Solicit response. 

- documents: Empty

16. The CDX Node returns the document to the industry node.
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7 EMTS Archive Flow

7.1 Overview

In order to archive EMTS transactions performed by industry users from the EMTS website, EMTS 

periodically submits EMTS schema-based XML documents to the CDX Node that contain these EMTS 

transactions. The archiving frequency is every hour. Industry nodes may retrieve archived Web-based 

EMTS transactions using the Query and Download web services. As the Web submitter's identity (CDX 

Web User ID) is communicated in the archive flow to the CDX Node via the NAAS token, the CDX Node 

authenticates and authorizes archived EMTS transactions retrievals. 

The flow described in Section 7.2 is used by the EMTS Node only. Industry users that wish to retrieve 

archived documents from the CDX Node should use the query and download services described in 

Section 7.3. 

7.2 Archive Submission 

1. The EMTS Node issues the CreateSecurityToken web service using following end-point URLs: 

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

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

The following parameters are passed:

- trustee: EMTS Node administrator's NAAS ID. 

- credential: EMTS Node administrator's NAAS password. 

- tokenType: “csm” 

- issuer: “CDX-Web RSO” 

- authMethod: “password” 

- subject: EMTS Node operator's NAAS ID. 

- subjectData: URL-encoded key value pairs consisting of:

o cdxWebId=Web submitter's CDX Web User ID

o cdxWebAffiliation=“CDX” 

o cdxWebEmail=Web submitter's email address

- ip: EMTS Node's IP address. 

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

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: Empty (not used)

- dataflow: “EMTS-ARCHIVE” 
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- flowOperation: Empty (not used)

- recipient: Empty (not used) 

- notificationURI: Empty (not used)

- Documents: One document containing zipped EMTS XML document. 

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 CDX 

Transaction ID. 

9. If failed, the CDX Node returns a SOAP Fault to the EMTS Node.

10. EMTS Node archives returned transaction for further processing.

7.3 EMTS-ARCHIVE Flow

The following steps demonstrate how the industry node obtains the document IDs of archived files for a 

specified user using the Query web service method. A document ID is then used to download it from 

CDX.

1. Industry Node invokes the Query web service method using 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:

- 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 (“YYYY-MM-DD”). If a date is not specified, all 

transactions are returned. 
EMTS Flow Configuration Document

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o endDate: The end date requested (“YYYY-MM-DD”). If a date is not specified, all 

transactions are returned. 

o user: CDX Web User ID

o 

2. The CDX Node validates the Industry Node user via NAAS. 

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 the 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: An EMTS-ARCHIVE submission's CDX Transaction ID It is the CDX 

Transaction ID returned in the submit response of the EMTS-ARCHIVE submission flow (see 

Step 8 of Section 7.2). 

- documents: Empty (not used)
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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.

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. 

WSDL’s for these web service methods can be obtained at:

http://exchangenetwork.net/schema/node/2/node_v20.wsdl

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: “Default” 

● authenticationMethod: “Password” 

Returns:

● securityToken: A security token used to authenticate and authorize 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
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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: Empty (The transaction ID is returned by CDX in the submit response).

● dataflow: EMTS

● flowOperation: Empty (not used)

● recipient: Empty (not used)

● notificationURI: Empty (not used)

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

submission file. EMTS requires a single nodeDocument. 

Returns: 

A Submit response with the following data:

● transactionId: The submission's unique CDX Transaction ID. 

● status: Text describing the submission's status (“Received” or “Failed”).

● statusDetail: 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.
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Table 5: Status Detail Codes and Descriptions

Status Details Prefix Description

E_ApplicationIdMapping CDX is unable to find a CDX Web User identification based on 

the NAAS identification.

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

user in the OTAQ Registration database.

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

the OTAQ Registration database.

E_Distribution The CDX Node was unable to distribute the document to EMTS.

E_BackendXsdValidationE

rror

The submitted document does not conform to the EMTS XSD 

2.0 schema.

E_BackendProcessing The Document failed processing in 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/GetDocuments. 

● parameters: See Sections 5.4 and 5.5 for parameters.

 

Returns: 

The XML representing transaction or document history. See Sections 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
EMTS Flow Configuration Document

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Solicit Parameters:

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

● dataflow: EMTS

● request: GetEMTSDocument

● recipient: Empty (not used)

● notificationURI: Empty (not used)

● parameters:

o documentName: Report name (see Appendix F, “EMTS Web Service Documents”). This 

is a mandatory parameter.

o organizationIdentifier: OTAQ Registration “Company ID” of the organization on behalf of 

whom the report is being solicited. This is a mandatory parameter.

o documentDate: Creation date of the report (“YYYY-MM-DD”). A non-specified or empty 

documentDate defaults to the current date.

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 an error occurred. 

● statusDetail: Empty

8.6 Download 

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

● Original submission● QA Feedback report

● Web Service documents

● Archived XML files

The following URLs may 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 or Solicit 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

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A-1 

Appendix A 

Node Options

There are several options for how to submit an XML file to EMTS through the EPA Exchange Network.

Exchange Network (“Full”) Node: A server that facilitates the interface between an EMTS participant's

– or partner’s -- backend system and the EPA 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 EMTS website 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 provides a node client interface that allows an EMTS enduser to submit EMTS XML files to CDX. The EMTS Web node interface supports:

● Submission of data via file uploads (XML file only);

● History of submitted files.
EMTS Flow Configuration Document: Appendix B

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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 at https://cdx.epa.gov

Once a CDX Web account is acquired, the user must login to MyCDX. The user is prompted to register 

for one or more programs. To register for EMTS:

• Click “Edit Current Account Profile.” 

• Click “Add New Program.” 

• Select “Office of Transportation and Air Quality EPA Moderated Transaction System 

(OTAQEMTS).” 

• On the “Add Program ID” screen, type “N/A” into the ID field and click Add.

• Click Finished.

• Print appropriate document prior to submitting registration information and mail the document to 

the address provided on the screen.

• EPA will review and activate the registration.

• User requests registration with NAAS (see Section B-2).

• Once activated, the user receives permissions to submit documents to the EMTS flow and access 

the EMTS website.

B–2 Node Client Registration 

EMTS users who plan to use Node clients to submit files must be affiliated with the CDX Node “EMTS” 

domain. These users are registered and managed by the CDX Node Administrator. For example, the 

CDX Node Administrator performs the following functions from a NAAS Web interface: i) Setting access 

rights to the EMTS flow; and ii) Mapping between the EMTS user's Web CDX user ID and NAAS User ID 

. 

The following registration procedure is required for all users who are not registered with CDX, or are 

registered with CDX for programs other than the EMTS/OTAQ REG flows and do not have NAAS IDs:

1. Register with CDX Web for the EMTS flow (see Section B-1). The user will be automatically 

registered for the OTAQ Registration flow.

2. Enter all necessary information into OTAQ Registration application.

3. EPA reviews and activates the user.
EMTS Flow Configuration Document: Appendix B

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B-2 

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

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

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. 

- 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 IDs, see 

Section 4.4. For all users registered with CDX Web for the EMTS flow with existing NAAS User IDs, see 

Sections 4.5.3 through 4.5.5.

B–3 Full Node 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 the CDX Node Administrator. 

The following procedures demonstrate how all users who are not registered with CDX or are registered 

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

1. Register with CDX for the EMTS flow (see Section B-1). The user will be automatically registered 

for the OTAQ Registration flow.

2. Enter all necessary information into OTAQ Registration application.

3. EPA reviews and activates the user.
EMTS Flow Configuration Document: Appendix B

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B-3 

4. Once activates, 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/GetDocuments 

• parameters: Any

• 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 IDs, 

see Section 4.4. For all the users registered with CDX Web for the EMTS Flow with existing NAAS User

IDs, 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 user’s privileges.

1. EPA will send the CDX Node Administrator an email to revoke user privileges and provide 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/GetDocuments 

o parameters: Any

o download: EMTS documents.

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

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C-1 

Appendix C 

C-1 Procedure for Testing a Node in the Testing Environment

The following steps describe how a user should test a node in the testing environment.

 

1. Contact EMTS Support at support@epamts-support.com and request a pre-production NAAS ID. 

You will be assigned a temporary NAAS ID to test the Authenticate and Submit web services.

2. You will be provided with test’ organization and facility registered data that you will use to create 

your test XML files for your file submission testing in the test environment. Do not submit any 

other XML files in the test environment as the files provided have CDX web users specifically 

mapped to the test NAAS ID you have been provided. 

3. At a minimum, test both the Authenticate service and the Submit service. Contact EMTS support 

when you have completed these two tests. EMTS Support will verify that the submitted file has 

been received and processed correctly in the staging environment.

4. Upon successful completion, EMTS Support will direct you to the CDX Node Help Desk with 

instructions for setting up production NAAS credentials.

C-2 Procedure for Acquiring Credentials in the Production 

Environment

In order to test node submissions in the production environment, a submitter for your organization 

will need to have a valid NAAS ID and CDX web account. 

 

1. Contact the CDX Node Help Desk (nodehelpdesk@epacdx.net) to request a production 

NAAS ID, and provide the following:

• The CDX Transaction ID of one node submission that successfully completed processing 

by EMTS in the stage/test CDX environment.

• The preproduction NAAS ID used to conduct the test (e.g., jordangrey@epa.gov). CDX 

Node Help Desk will verify the test submission was successful.

• Request that a production NAAS ID be created and mapped to your production CDX 

account. Your production CDX account must also be registered and activated in 

OTAQREG prior to providing this information (see Appendix B for further information on 

the OTAQ Registration process). Provide your production CDX account to the CDX Node 

Help Desk so that they may cross-map these two accounts. 

• Request that the prod NAAS ID have all access privileges (Submit, GetStatus, Solicit, 

Query, and Download). 

2. The CDX Node Help Desk will provide you a production NAAS ID.
EMTS Flow Configuration Document: Appendix D

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D-1 

Appendix D 

Accessing EMTS from MyCDX Web

This section describes how users access the EMTS website from MyCDX Web. Users may only access 

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

shown below in Figure D-1 using the "TEST" MyCDX environment. 

Figure D-1: MyCDX Account Profile

All users that have registered for EMTS and Fuels Programs Registration, and have been activated by 

EPA to participate in the EMTS flow, can access the EMTS website through the “OTAQEMTS: OTAQ 

EMTS Application” link. Delays may occur for new users waiting for approval of their registration 

materials by EPA.
EMTS Flow Configuration Document: Appendix E 

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E-1 

Appendix E 

Notifications for EMTS Flow

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

submitter.

The "ID" column is for EPA internal use only.

Table E-1: Emails Sent Regarding File Submission Status

Sender Recipient(s) Notification Subject Line Content ID

CDX Submitter, 

CDX Help 

Desk

CDX Node Failure to 

Distribute Document to 

EMTS. 

CDX Node failed to distribute the following 

document to 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.

n/a

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.

n/a

(cont.)
EMTS Flow Configuration Document: Appendix E 

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E-2 

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

Sender Recipient Notification Subject Line Content ID

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 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.

n/a

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 EMTS

containing additional information regarding 

your submission document.

n/a

(cont.)
EMTS Flow Configuration Document: Appendix E 

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E-3 

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

Sender Recipient Notification Subject Line Content ID

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>

Additional information regarding your 

submission is provided below.

Submission Comment: 

<SubmittalCommentText>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>. 

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

70

(cont.)
EMTS Flow Configuration Document: Appendix E 

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E-4 

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

Sender Recipient Notification Subject Line Content ID

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}

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

80

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 

trades before <date>. 

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

90

(cont.)
EMTS Flow Configuration Document: Appendix E 

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E-5 

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

with an 

Organization 

and all 

submitters 

with the 

Trading 

Partner

Blocked Party - Trade Not 

Processed

The following trade has not been processed. 

The RINs identified in this trade originated 

from a source that is on the blocked list for 

<trading partner>. 

Submission Date: <Submission date/time>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<selling organization>

<user name>

<user name>

<user name>

<buying organization>

<user name>

<user name>

<user name>

100

(cont.)
EMTS Flow Configuration Document: Appendix E 

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E-6 

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

associated 

with an 

Organization

Blocked Party - Partner's 

Trade Not Processed

The following trade has not been processed. 

The RINS identified in this trade originated 

from a source that is on the blocked list for 

<Transaction Partner's Name> (<Transaction

Parter's organization's company ID>).

180

EMTS All 

Submitters 

associated 

with an 

Organization

EMTS Submission Level 

Failure

The following document submitted on <date> 

on behalf of <organization> could not be 

processed due to one or more critical errors 

that were identified in the submission 

information. Due to these errors, no 

transactions in the file were processed. 

 

File name: <file name>

Submission Date/Time: <Submission 

date/time>

Submitter: <submitter>

Submission Status: <Submission Status>

Additional information regarding your 

submission is provided below.

Submission Comment: 

<SubmissionCommentText> {Show only if 

SubmissionCommentText is not null}

QA Check ID:<QA Check ID>

Issue: <QA Check Message>

QA Check ID:<QA Check ID>

Issue: <QA Check Message>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

110

(cont.)
EMTS Flow Configuration Document: Appendix E 

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E-7 

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

within an 

Organization

EMTS Notification of 

Locked RINs

RINS held by <organization> have recently 

been locked by EPA. For more information 

regarding your RIN Holdings and the status of 

RIN batches, please visit the EMTS website. 

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

320

EMTS All 

Submitters 

within an 

Organization

EMTS Notification of 

Unlocked RINs

RINS held by <organization name> 

(<organization's company id>) have recently 

been unlocked by EPA. For more information 

regarding your RIN Holdings and the status of 

RIN batches, please visit the EMTS web site. 

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

400

EMTS All 

Submitters 

within an 

Organization

EMTS Reminder -

Outstanding Trade 

Transactions

There are <pending trade count> trade 

transactions initiated by <organization> that 

have not yet been accepted. Your trading 

partner has up to 2 business days to accept 

these trades before they expire.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

120

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-8 

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

within an 

Organization

EMTS Trade Expired There are<number of expired trades> trades 

for <organization> that have expired as of 

<date>.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

130

EMTS All 

Submitters 

within an 

Organization 

Initiated Trade Cancelled A trade initiated by <organization> for a 

transaction on <transfer date> has been 

cancelled. 

EMTS Transaction ID: <Transaction ID>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<selling organization>

<user name>

<user name>

<buying organization>

<user name>

<user name>

140

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-9 

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

within an 

Organization

Trade Cancelled A trade initiated by <organization> for a 

transaction on <transfer date> has been 

cancelled. 

EMTS Transaction ID: <Transaction ID>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<selling organization>

<user name>

<user name>

<buying organization>

<user name>

<user name>

190

EMTS All 

Submitters 

within an 

Organization

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

has been denied by <trading partner>.

EMTS Transaction ID: <Transaction ID>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<selling organization>

<user name>

<user name>

<buying organization>

<user name>

<user name>

150

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-10

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

within an 

Organization

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

has been denied by <trading partner>.

EMTS Transaction ID: <Transaction ID>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<selling organization>

<user name>

<user name>

<buying organization>

<user name>

<user name>

200

EMTS All 

Submitters 

within an 

Organization

EMTS Notification of 

Outstanding Trade 

Transactions

Your organization, <organization>, has been 

identified as a trading partner for <number of 

pending or received trades> trade(s) that will 

expire within 2 business days. 

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

160

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-11

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

within an 

Organization

EMTS Reminder -

Outstanding Trade 

Transactions (24 Hr)

There are <pending_trades_count> trade 

transaction(s) initiated by <organization's 

name> (<organization's company Id>) that 

have not yet been accepted. Your trading 

partner has 24 hours to accept these trades 

before they expire.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

170

EMTS All 

Submitters 

within an 

Organization

EMTS Quarterly Reports Quarterly Reports have been generated for 

<organization>. This statement must be 

verified and submitted to EPA no later than 

<date>. If you are a node user, you may 

retrieve these reports from the CDX node 

using the document download service. If you 

are a web user, you may download the 

document from the EMTS website. 

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

300

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-12

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

within an 

Organization

EMTS Annual Statement The Annual RIN Holding Statement has been 

generated for <organization>. This statement 

must be verified and submitted to EPA no 

later than <date>. If you are a node user, you 

may retrieve the Annual RIN Holding 

Statement from the CDX node using the 

document download service. If you are a web 

user, you may download the document from 

the EMTS website. 

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>.

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

<user name>

310

EMTS All 

Submitters 

within an 

Organization

EMTS Notification of 

Transaction Error Web 

Form Availability

Your organization, <organization>, is required 

to report any RIN transaction errors that 

occurred during <Quarter><Year>. You must 

login to the EPA Moderated Transaction 

System (EMTS) and complete the 

Transaction Error web form. The report must 

be submitted to DC Fuels prior to the 

quarterly reporting deadline.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

330

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-13

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

within an 

Organization

EMTS Notification of 

Unreported Transaction 

Errors

Your organization, <organization>, has not 

reported transaction errors that occurred 

during <Quarter><Year>. You must login to 

the EPA Moderated Transaction System 

(EMTS) and complete the Transaction Error 

web form. The RFS2 Transaction Error 

Report must be submitted to DC Fuels prior to 

the quarterly reporting deadline.

If you do not have any transaction errors to 

report, you do not need to submit the RFS2 

Transaction Error Report.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

340

EMTS All 

Submitters 

within an 

Organization

EMTS Notification of 

RFS2 Transaction Error 

Report Availability

The RFS2 Transaction Error Report for your 

organization, <organization>, is available for 

download through the EPA Moderated 

Transaction System (EMTS). You must 

download and submit the form to DC Fuels 

prior to the quarterly reporting deadline.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

350

(cont.) 
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-14

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

and Viewers 

within an 

Organization

EMTS Notification of 

Small Blender RIN 

Separation

Your organization, <organization>, was 

identified as the Small Blender in a Separate 

Transaction on <date>.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

360

EMTS All 

Submitters 

and Viewers 

within an 

Organization

EMTS Notification of 

Foreign Producer RIN 

Generation

Your organization, <organization>, was 

identified as the Foreign Producer in a 

Generate Transaction on <date>.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

390

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-15

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

and Viewers 

within an 

Organization

EMTS Notification of 

Unused Document

Your organization, <organization's name> 

(<organization's companyId>), has not 

downloaded the following document in 

<number of days> business days:

<document name> 

EMTS will cancel your subscription after 

<cancellation days> business days of 

inactivity. If you wish to keep your 

subscription, please log in to EMTS and 

download the document. 

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

410

EMTS All 

Submitters 

and Viewers 

within an 

Organization

EMTS Notification of 

Subscription Status

Your organization, <organization's name> 

(<organization's company Id>), has not 

downloaded the following document in 

<number of days> business days:

<document name> 

EMTS has canceled your subscription. You 

may re-subscribe on the "Manage 

Subscriptions" page of the EMTS user 

interface.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

420

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-16

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

Sender Recipient Notification Subject Line Content ID

EMTS EPA only EMTS Notification of 

Metadata Update

Changes were made to the metadata on 

<date>. Please view the following tables for 

details:

Table Name: <name> 

Table Name: <name> 

Table Name: <name> 

...

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

--------------------

Sent by: <emts Url>

440

EMTS All 

Submitters 

and Viewers 

within an 

Organization

EMTS Notification of 

Unretire Transaction

Your organization, <organization's name> 

(<organization's company Id>), has RINs that 

have been unretired by EPA. Please log in to 

EMTS to view details of this transaction.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<user name>

<user name>

640

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-17

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

and Viewers 

within the 

agent's 

organizations

EMTS Notification of 

Unused Agent Documents

You have not downloaded the following 

document in <number of days> business 

days:

<document name> 

EMTS will cancel your subscription after 

<cancellation days> business days of 

inactivity. If you wish to keep your 

subscription, please log in to EMTS and 

download the document.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<Organization's name> (<Organization's 

company ID>:

<user name>

<user name>

...

<Organization's name> (<Organization's 

company ID>:

<user name>

<user name>

...

...

650

(cont.)
EMTS Flow Configuration Document: Appendix E 

11/23/2011

E-18

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

Sender Recipient Notification Subject Line Content ID

EMTS All 

Submitters 

and Viewers 

within the 

agent's 

organizations

EMTS Notification of 

Agent Subscription Status

You have not downloaded the following 

document in <number of days> business 

days:

<document name> 

EMTS has canceled your subscription. You 

may re-subscribe on the "Manage Agent 

Subscriptions" page of the EMTS user 

interface.

For additional support regarding EMTS, 

please contact <contact_email> or 

<contact_phone_number>

The following individuals were sent a copy of 

this notification:

<Organization's name> (<Organization's 

company ID>:

<user name>

<user name>

...

<Organization's name> (<Organization's 

company ID>:

<user name>

<user name>

...

...

660
EMTS Flow Configuration Document: Appendix F 

10/23/2011

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. All documents are available in .CSV or .XML file format. 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, three times per day, once per week, or once per month. 

Each document will include information on the last full day of transactions contained in the report and the 

date in which EMTS created the document. 

F–2 Organization vs. Agent Documents 

EMTS offers two types of documents: Organization- and Agent-based.

Organization-based documents, which have been available in EMTS since its initial 1.0 release on July 

1st, 2010, pertain to organization-specific EMTS data.

Agent documents were introduced in the EMTS release 1.5, and allow a user who is an "agent" for one or 

more distinct organizations (See the OTAQ Registration documentation on how to become an agent) to 

issue one solicit request only to retrieve all the documents for a given subscription for all the 

organizations that the user is an agent for. For example, if an EMTS user is a agent for Organizations O1 

and O2, and both O1 and O2 are currently subscribing to document D1, then the user is able to issue one 

solicit request only to retrieve a zip file containing 2 D1 organization documents: O1's and O2's.

Notes:

• The organization documents inside an agent zip document are not themselves zipped. Unzipping 

an agent document produces the contained organization documents in clear.

• The organization documents in a given agent document may be of a variety of formats (e.g., 

CSV, XML) depending on the specifics of each organization's subscription.

• Similarly to how a user subscribes to a document for a given affiliated organization, an agent-type 

user must subscribe to each agent document that she wishes to have built by EMTS.

In the rest of the document, an organization for which a user is an agent is referred to as an agentaffiliated organization.

F–3 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.
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-2 

Parameter Required Format Description Example

documentName Yes See document 

names in this 

section.

The name of the 

document.

PENDING 

TRADES

organizationIdentifier Yes String The public identification 

number of the 

organization, or the 

keyword "Agent" (Case 

insensitive) for Agent 

reports. This must be 

reported for all 

documents, with the 

exception of agency 

reports.

1234, or "Agent"

documentDate No YYYY-MM-DD Creation date of the 

document. An empty 

documentDate will return 

the document created on 

the current system date

(e.g., today). This field is 

required to obtain 

documents generated 

prior to the current 

system date. 

2011-02-15
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-3 

F–4 Summary of Web Service Documents 

Note: Document names are case insensitive. 

Document Name Description Frequencies Content

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. 

Daily,

3 Per Day

Not date sensitive as 

pending trades expire 

within ten days.

Format(s): CSV, XML.

PENDING TRADE 

DETAILS

This document lists additional 

details for all trades in a pending 

state. The document displays 

Originating Source information 

(GenerateOrganizationIdentifier, 

GenerateFacilityIdentifier, and 

BatchNumber) for all sell 

transactions. Additionally, for each 

sell transaction, the document 

contains as many rows as there are 

RIN batches involved in the 

transaction. 

Daily,

3 Per Day

Not date sensitive as 

pending trades expire 

within ten days.

Format(s): CSV, XML.

RIN HOLDINGS This document lists the current 

aggregate total RIN Holdings for an 

organization, grouped by fuel code, 

assignment, and RIN year.

Daily,

3 Per Day

Not date sensitive as this 

document always captures 

the current aggregate 

totals.

Format(s): CSV, XML.

(cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-4 

Summary of Web Service Documents (cont.)

Document Name Description Frequencies Content

MONTHLY 

TRANSACTION 

HISTORY

This document includes all 

generate, separate, buy, sell and 

retire transactions submitted by an 

organization through XML files or 

online transactionsduring the prior 

month. The prior month's 

Transaction History report will be 

generated on the first Saturday of 

the current month (e.g., the 

Transaction History report of 

October will be generated on the 

first Saturday in November). 

First Saturday 

of every 

month

Always contains the last 

calendar month’s EMTS 

transaction activity.

Format(s): CSV, XML.

EXPIRED TRADES This document lists the pending 

initiated and received trades that 

have expired in the previous ten 

days, as well as all pending trades 

that will expire within the next 24 

hours

Daily,

3 Per Day

Always contains the last 

ten days of expired 

transaction activity.

Format(s): CSV, XML.

COMPLETED 

TRADES

This document lists all trades that 

have been completed. 

Weekly, 

Daily,

3 Per Day

Always contains the last 

ten days of completed 

trade activity.

Format(s): CSV, XML.

CANCELLED 

TRADES

This document lists all initiated and 

received trades that have been 

cancelled within the past 10 

calendar days.

Daily Always contains the last 

10 days of cancelled 

trades.

Format(s): CSV, XML.

RIN BATCHES This document lists all RIN batches 

that an organization owns.

Weekly Not date sensitive as it 

contains all RIN batches 

owned by an organization 

when the document is 

generated.

Format(s): CSV, XML.

TRANSACTION

STATUS

This document includes all 

generate, separate, buy, sell and 

retire transactions submitted by 

your organization through XML files 

or online transactions with a status 

change in the past day.

Daily, 3 Per 

Day

Format(s): CSV, XML.

(cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-5 

Summary of Web Service Documents (cont.)

Document Name Description Frequencies Content

Agent Pending 

Trades Daily

This document lists all trades that 

are in a pending state. Pending 

trades are buy or sell transactions 

for which the trading party has not 

yet submitted a matching 

transaction.

Daily Formats: CSV, XML.

Agent Pending 

Trades Hourly

This document lists all trades that 

are in a pending state. Pending 

trades are buy or sell transactions 

for which the trading party has not 

yet submitted a matching 

transaction.

Hourly Formats: CSV, XML.

Agent Pending Trade 

Details Daily

This document lists all pending 

trades for your organization. It 

includes batch detail information for 

each transaction.

Daily Formats: CSV, XML.

Agent Pending Trade 

Details Hourly 

This document lists all pending 

trades for your organization. It 

includes batch detail information for 

each transaction.

Hourly Formats: CSV, XML.

Agent RIN Holdings 

Daily

This document lists the current 

aggregate total RIN Holdings for an 

organization grouped by fuel code, 

assignment and RIN year.

Daily Formats: CSV, XML.

Agent RIN Holdings 

Hourly

This document lists the current 

aggregate total RIN Holdings for an 

organization grouped by fuel code, 

assignment and RIN year.

Hourly Formats: CSV, XML.

Agent Monthly 

Transaction History

A document including all generate, 

separate, buy, sell and retire 

transactions submitted by your 

organization through XML files or 

online transactions during the last 

calendar month.

Monthly Formats: CSV, XML.

Agent Expired Trades 

Daily

This document lists all transactions 

that will expire within 1 business 

day as well as all trades that have 

expired in the last 10 days.

Daily Formats: CSV, XML.

(cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-6 

Summary of Web Service Documents (cont.)

Document Name Description Frequencies Content

Agent Completed 

Trades Daily

This document lists all trades that 

were completed (i.e., no longer 

pending) over the last 10 days.

Daily Formats: CSV, XML.

Agent Completed 

Trades Hourly

This document lists all trades that 

were completed (i.e., no longer 

pending) over the last 10 days.

Hourly Formats: CSV, XML.

Agent Completed 

Trades Weekly

This document lists all trades that 

were completed (i.e., no longer 

pending) over the last 10 days.

Weekly Formats: CSV, XML.

Agent Cancelled 

Trades Daily

This document lists trades that 

have recently been cancelled.

Daily Formats: CSV, XML.

Agent Cancelled 

Trades Hourly

This document lists trades that 

have recently been cancelled.

Hourly Formats: CSV, XML.

Agent RIN Batches 

Weekly

This document lists all RIN batches 

that your organization owns.

Weekly Formats: CSV, XML.

Agent Transaction 

Status Daily

A document including all generate, 

separate, buy, sell and retire 

transactions submitted by your 

organization through XML files or 

online transactions with a status 

change in the past day.

Daily Formats: CSV, XML.

Agent Transaction 

Status Hourly

A document including all generate, 

separate, buy, sell and retire 

transactions submitted by your 

organization through XML files or 

online transactions with a status 

change in the past day.

Hourly Formats: CSV, XML.
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-7 

F–5 Pending Trades 

The Pending Trades 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 Comment Text, and Supporting Document information are intended for 

internal use. These fields are populated only for initiated trades.

Table F-5: Data Elements in the Pending Trades Document

CDXTransactionIdentifier

OrganizationName

OrganizationIdentifier

SubmissionIdentifier

SubmissionDate

ExpirationDate

SubmissionMethod

TransactionIdentifier

TransactionTypeCode

TradeSource

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

RINPriceAmount

GallonPriceAmount

TransferDate

PTDNumber

GenerateOrganizationIdentifier

(cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-8 

Table F-5: Data Elements in the Pending Trades 

Document (cont.)

GenerateFacilityIdentifier

BatchNumberText

SubmissionCommentText

TransactionDetailCommentText

PublicSupportingDocumentText1

PublicSupportingDocumentNumberText1

PublicSupportingDocumentText2

PublicSupportingDocumentNumberText2

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2

F-6 Pending Trade Details 

The Pending Trade Details 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 are intended for internal use. These fields are populated only for 

initiated trades. The document also displays Originating Source information 

(GenerateOrganizationIdentifier, GenerateFacilityIdentifier, and BatchNumber) for all sell transactions. 

Additionally, for each sell transaction, the document contains as many rows as there are RIN batches 

involved in the transaction.

Table F-6: Data Elements in the Pending Trade Details Document

CDXTransactionIdentifier

OrganizationName

OrganizationIdentifier

SubmissionIdentifier

SubmissionDate

 (cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-9 

Table F-6: Data Elements in the Pending Trade

Details Document (cont.)

ExpirationDate

SubmissionMethod

TransactionIdentifier

TransactionTypeCode

TradeSource

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

RINPriceAmount

GallonPriceAmount

TransferDate

PTDNumber

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

ProductionDate

FuelCategoryCode

EquivalenceValue

SubmissionCommentText

TransactionDetailCommentText

PublicSupportingDocumentText1

PublicSupportingDocumentNumberText1

PublicSupportingDocumentText2

PublicSupportingDocumentNumberText2

 (cont.) 
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-10

Table F-6: Data Elements in the Pending Trade 

Details Document (cont.)

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2

F–7 RIN Holdings 

The RIN Holdings 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-7: Data Elements in the RIN Holding Document

OrganizationName

OrganizationIdentifier

FuelCode

RINYear

AssignmentCode

TotalAvailableRINs

TotalPendingRINs

TotalReservedRINs

TotalLockedRINs

TotalRINs

F–8 Monthly Transaction History 

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

submitted by an organization for the most recent prior calendar month. 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. 
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-11

Table F-8: Data Elements in the Monthly Transaction History Document

CDXTransactionIdentifier

OrganizationName

OrganizationIdentifier

SubmissionIdentifier

SubmissionDate

SubmissionMethod

TransactionIdentifier

TransactionStatusCode

TransactionStatusDate

TransactionTypeCode

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINPriceAmount

GallonPriceAmount

TransactionDate or TransferDate

PTDNumber

TradingPartnerPTD

MatchedTransactionIdentifier

MatchingTransactionIdentifier

ExpirationDate

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

ProcessCode

 (cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-12

Table F-8: Data Elements in the Monthly 

Transaction History Document (cont.)

ProductionDate

FuelCategoryCode

DenaturantVolume

EquivalenceValue

SubmissionCommentText

TransactionDetailCommentText

PublicSupportingDocumentText1

PublicSupportingDocumentNumberText1

PublicSupportingDocumentText2

PublicSupportingDocumentNumberText2

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-13

F–9 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 a trading partner. 

Table F-9: Data Elements in the Expired Trades Document

CDXTransactionIdentifier

OrganizationName

OrganizationIdentifier

SubmissionIdentifier

SubmissionDate

ExpirationDate

SubmissionMethod

TransactionIdentifier

TransactionStatusCode

TransactionStatusDate

TransactionTypeCode

TradeSource

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

(cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-14

Table F-9: Data Elements in the Expired Trades 

Document (cont.)

ReasonCode

RINPriceAmount

GallonPriceAmount

TransferDate

PTDNumber

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

SubmissionCommentText

TransactionDetailCommentText

PublicSupportingDocumentText1

PublicSupportingDocumentNumberText1

PublicSupportingDocumentText2

PublicSupportingDocumentNumberText2

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2

F–10 Completed Trades 

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

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

the organization. 
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-15

Table F-10: Data Elements in the Completed Trades Document

CDXTransactionIdentifier

OrganizationName

OrganizationIdentifier

SubmissionIdentifier

SubmissionDate

SubmissionMethod

TransactionIdentifier

MatchedTransactionIdentifier

MatchingTransactionIdentifier

TransactionStatusCode

TransactionStatusDate

TransactionTypeCode

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

RINPriceAmount

GallonPriceAmount

TransferDate

PTDNumber

TradingPartnerPTD

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

SubmissionCommentText

TransactionDetailCommentText

(cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-16

Table F-10: Data Elements in the Completed

Trades Document (cont.)

PublicSupportingDocumentText1

PublicSupportingDocumentNumberText1

PublicSupportingDocumentText2

PublicSupportingDocumentNumberText2

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumberText2

F–11 Cancelled Trades

The Cancelled Trades document lists all initiated and received trades that have been cancelled within the 

past 10 calendar days.

Table F-11: Data Elements in the Cancelled Trades Document

CDXTransactionIdentifier

OrganizationName

OrganizationIdentifier

SubmissionIdentifier

SubmissionDate

ExpirationDate

SubmissionMethod

TransactionIdentifier

MatchedTransactionIdentifier

TransactionStatusCode

TransactionStatusDate

TransactionTypeCode

TradeSource

TransactionPartnerOrganizationIdentifier

 (cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-17

Table F-11: Data Elements in the Cancelled

Trades Document (cont.)

TransactionPartnerOrganizationName

RINQuantity

BatchVolume

FuelCode

AssignmentCode

RINYear

ReasonCode

RINPriceAmount

GallonPriceAmount

TransferDate

PTDNumber

TradingPartnerPTD

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

SubmissionCommentText

TransactionDetailCommentText

CancelledTradeCommentText

PublicSupportingDocumentText1

PublicSupportingDocumentNumberText1

PublicSupportingDocumentText2

PublicSupportingDocumentNumberText2

SupportingDocumentText1

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumber2

F–12 RIN Batches

The RIN Batches document lists all RIN batches that an organization owns.
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-18

Table F-12: Data Elements in the RIN Batches Document

RINQuantity

FuelCode

AssignmentCode

RINYear

EquivalenceValue

FuelCategoryCode

ProductionDate

OriginatingOrganizationIdentifier

OriginatingFacilityIdentifier

BatchNumberText

TransactionIdentifier

RINStatusCode

F–13 Transaction Status 

The Transaction Status document includes all generate, separate, buy, sell and retire transactions 

submitted by your organization through XML files or online transactions with a status change in the past 

day.

Table F-13: Data Elements in the Transaction Status Document

CDXTransactionIdentifier

OrganizationName

OrganizationIdentifier

SubmissionIdentifier

SubmissionDate

SubmissionMethod

TransactionIdentifier

TransactionStatusCode

TransactionStatusDate

TransactionTypeCode

RINQuantity

BatchVolume

 (cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-19

Table F-13: Data Elements in the Transaction 

Status Document (cont.)

FuelCode

AssignmentCode

RINYear

ReasonCode

TransactionPartnerOrganizationIdentifier

TransactionPartnerOrganizationName

RINPriceAmount

GallonPriceAmount

TransactionDate or Transfer Date

PTDNumber

TradingPartnerPTD

MatchedTransactionIdentifier

MatchingTransactionIdentifier

ExpirationDate

GenerateOrganizationIdentifier

GenerateFacilityIdentifier

BatchNumberText

ProcessCode

ProductionDate

FuelCategoryCode

DenaturantVolume

EquivalenceValue

SubmissionCommentText

TransactionDetailCommentText

PublicSupportingDocumentText1

PublicSupportingDocumentNumberText1

PublicSupportingDocumentText2

PublicSupportingDocumentNumberText2

SupportingDocumentText1

 (cont.)
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-20

Table F-13: Data Elements in the Transaction 

Status Document (cont.)

SupportingDocumentNumberText1

SupportingDocumentText2

SupportingDocumentNumber2

F–14 Agent Pending Trades 

The Agent Pending Trades zipped document contains one or more organization Pending Trades 

documents corresponding to the subscriber's agent-affiliated organizations' Pending Trades 

subscriptions.

There are two distinct Agent Pending Trades documents:

• Agent Pending Trades Daily

•

: Contains the Pending Trades documents built according to the 

"Daily" frequency.

Agent Pending Trades Hourly

F–15 Agent Pending Trade Details 

: Contains the Pending Trades documents built according to the 

"Three times a day" frequency.

The Agent Pending Trade Details zipped document contains one or more organization Pending Trade 

Details documents corresponding to the subscriber's agent-affiliated organizations' Pending Trade Details 

subscriptions.

There are two distinct Agent Pending Trade Details documents:

• Agent Pending Trade Details Daily: Contains the Pending Trade Details documents built 

according to the "Daily" frequency.

• Agent Pending Trade Details Hourly: Contains the Pending Trade Details documents built 

according to the "Three times a day" frequency.

F–16 Agent RIN Holdings 

The Agent RIN Holdings zipped document contains one or more organization RIN Holdings documents 

corresponding to the subscriber's agent-affiliated organizations' RIN Holdings subscriptions.

There are two distinct Agent RIN Holdings documents:

• Agent RIN Holdings Daily: Contains the RIN Holdings documents built according to the "Daily" 

frequency.

• Agent RIN Holdings Hourly: Contains the RIN Holdings documents built according to the "three 

times a day" frequency.
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-21

F–17 Agent Expired Trades Daily

The Agent Expired Trades Daily zipped document contains one or more organization Expired Trades

documents corresponding to the subscriber's agent-affiliated organizations' Expired Trades subscriptions

in the "Daily" frequency. 

There is only one Agent Expired Trades document:

• Agent Expired Trades Daily: Contains the Expired Trades documents built according to 

the "Daily" frequency.

Note: At the time of writing, the organization Expired Trades document is built on a daily basis only.

F–18 Agent Completed Trades 

The Agent Completed Trades zipped document contains one or more organization Completed Trades 

documents corresponding to the subscriber's agent-affiliated organizations' Completed Trades 

subscriptions.

There are three distinct Agent Completed Trades documents:

• Agent Completed Trades Daily: Contains the Completed Trades documents built according 

to the "Daily" frequency.

• Agent Completed Trades Hourly: Contains the Completed Trades documents built according 

to the "Three times a day" frequency.

• Agent Completed Trades Weekly: Contains the Completed Trades documents built according 

to the "Weekly" frequency.

F–19 Agent Cancelled Trades

The Agent Cancelled Trades zipped document contains one or more organization Cancelled Trades 

documents corresponding to the subscriber's agent-affiliated organizations' Cancelled Trades 

subscriptions.

There are two distinct Agent Cancelled Trades documents:

• Agent Cancelled Trades Daily: Contains the Cancelled Trades documents built according to 

the "Daily" frequency.

• Agent Cancelled Trades Hourly: Contains the Cancelled Trades documents built according to 

the "Three times a day" frequency.

F–20 Agent RIN Batches Weekly

The Agent RIN Batches Weekly zipped document contains one or more organization RIN Batches 

documents corresponding to the subscriber's agent-affiliated organizations' RIN Batches subscriptions in 

the "Weekly" frequency.

There is only one Agent RIN Batches document:

• Agent RIN Batches Weekly: Contains the RIN Batches documents built according to the "Weekly" 

frequency.

Note: At the time of writing, the organization RIN Batches document is built on a weekly basis only.
EMTS Flow Configuration Document: Appendix F 

10/23/2011

F-22

F–21 Agent Transaction Status 

The Agent Transaction Status zipped document contains one or more organization Transaction Status 

documents corresponding to the subscriber's agent-affiliated organizations' Transaction Status 

subscriptions.

There are two distinct Agent Transaction Status documents:

Agent Transaction Status Daily: Contains the Transaction Status documents built according to the "Daily" 

frequency.

Agent Transaction Status Hourly: Contains the Transaction Status documents built according to the 

"Three times a day" frequency.
EMTS Flow Configuration Document: Appendix G

10/23/2011

G-1 

Appendix G 

EMTS Support

EMTS – Registration, Reporting, and Technical Support Questions

- EMTS Technical Support 

o support@epamts-support.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. 

- EPA Fuels Programs Support Line

o EPAFuelsPrograms@epa.gov

o 1-202-343-9755