EMTS Transaction Instructions
EPA420-B-11-058

December 2011

Compliance Division

Office of Transportation and Air Quality

U.S. Environmental Protection Agency

EMTS Transaction Instructions

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.
Table of Contents

Page

Section 1: What Is the RFS?.......................................................................................................................................... 1-1 

1.1 What Are RINs? ....................................................................................................................................................................... 1-1 

1.2 What Are All the Characteristics of a RIN? .................................................................................................................. 1-2 

Section 2: What Is EMTS? ............................................................................................................................................. 2-1 

2.1 How Are RINs Moderated and Screened? .................................................................................................................... 2-1 

2.2 What Tasks Can I Do with EMTS?.................................................................................................................................... 2-1 

2.3 Do I Need to Keep Separate Records of My Transactions? ................................................................................... 2-2 

Section 3: What Are the Key Reporting Deadlines?............................................................................................ 3-1 

3.1 When Do I Send in Reports to EPA?................................................................................................................................ 3-1 

3.2 What Is the Expected Response Time to Interacting with EMTS? ..................................................................... 3-3 

3.2.1 Registration to Use EMTS........................................................................................................................................... 3-3 

3.2.2 Real Time Reporting .................................................................................................................................................... 3-3 

3.2.3 Responding to Buy/Sell Transactions .................................................................................................................. 3-3 

3.2.4 Quarterly and Annual Reports ................................................................................................................................. 3-4 

Section 4: How Do I Interact with EMTS? ............................................................................................................... 4-1 

4.1 How Do I Get Started? .......................................................................................................................................................... 4-1 

4.1.1 Browser Requirements............................................................................................................................................... 4-1 

4.1.2 Node Requirements...................................................................................................................................................... 4-1 

4.1.3 CDX Registration............................................................................................................................................................ 4-1 

4.1.3.1 Obtaining a CDX Account........................................................................................................................................ 4-2 

4.1.3.2 Registering with OTAQ Fuels Programs........................................................................................................... 4-2 

4.1.4 OTAQ DC Fuels................................................................................................................................................................ 4-3 

4.2 How Does EMTS Process My Transactions? ............................................................................................................... 4-3 
Table of Contents ii

Table of Contents (cont.)

Page

4.2.1 What Are the Methods for Submitting Data to EMTS?................................................................................... 4-3 

4.2.2 Submitting Data through the EMTS Website ..................................................................................................... 4-3 

4.2.3 Submitting Files via a Node....................................................................................................................................... 4-4 

4.2.4 What Is the Quality Assurance Process?.............................................................................................................. 4-4 

4.2.5 How Do I Review Notifications?.............................................................................................................................. 4-5 

Section 5: What Can I Do in the EMTS Website?................................................................................................... 5-1

5.1 Where Can I Find Information Specific to My Organization?............................................................................... 5-2 

5.1.1 Viewing Your Organization Information ............................................................................................................. 5-2

5.1.2 Viewing Your Organization's RIN Holding Account........................................................................................ 5-4

5.1.3 Viewing RIN Batch Details......................................................................................................................................... 5-5

5.2 Where Can I Find Information on My Submitted Data? ......................................................................................... 5-6

5.2.1 Viewing Node Submissions and Feedback Results.......................................................................................... 5-7

5.2.2 Viewing Web Submissions......................................................................................................................................... 5-8 

5.2.3 Managing Subscriptions ............................................................................................................................................. 5-9 

5.2.4 View Reports ................................................................................................................................................................ 5-10

5.2.5 Manage Agent Subscriptions ................................................................................................................................. 5-11

5.2.6 View Agent Reports................................................................................................................................................... 5-13 

5.3 How Do I Submit Transactions on the EMTS Website?....................................................................................... 5-13 

5.3.1 The Transaction Bin.................................................................................................................................................. 5-13 

5.3.2 How Will EMTS Assist with Data Entry and Screening?............................................................................. 5-16 

5.3.3 Can I Submit Multiple Transactions for the Same Organization?........................................................... 5-17 

5.3.4 Can I See a Record of All My Submitted Transactions?............................................................................... 5-17

5.3.5 What Happens to My RINs after the Time Period Expires? ...................................................................... 5-18

5.4 Creating Transactions ....................................................................................................................................................... 5-18

5.4.1 What Information Is Required to Generate RINs?........................................................................................ 5-18

5.4.1.1 How Do I Generate RINs as an Importer? ................................................................................................ 5-20

5.4.1.2 How Do I Report Equivalence Value? ........................................................................................................ 5-22

5.4.2 What Information Is Required to Separate RINs?......................................................................................... 5-22
Table of Contents iii

5.4.3 What Information Is Required to Retire RINs?.............................................................................................. 5-23

Table of Contents (cont.)

Page

5.4.3.1 What Happens to My RINs When I Retire for Compliance?.............................................................. 5-27

5.4.4 What Information Is Required to Report RIN Trades? ............................................................................... 5-29

5.4.4.1 Creating a Sell Transaction............................................................................................................................. 5-29

5.4.4.2 Accepting a Pending Buy or Sell Transaction......................................................................................... 5-30

5.4.4.3 Denying a Pending Buy or Sell Transaction ............................................................................................ 5-33

5.4.4.4 Can I Cancel My Buy and Sell Transactions?........................................................................................... 5-33

5.4.4.5 Initiating a Trade Transaction with a Buy Transaction ..................................................................... 5-34

5.4.5 Which RINs Will Be Used in a Transaction? .................................................................................................... 5-35

5.4.6 Can I Block RINs That Were Generated By a Specific Organization? .................................................... 5-36

5.4.7 How Do I Report an Invalid Batch of RINs?..................................................................................................... 5-37

5.4.8 How Do I Reverse a Transaction?........................................................................................................................ 5-37

5.4.9 How Do I Report an Error?..................................................................................................................................... 5-37

5.5 Where Can I Go to Get Help?........................................................................................................................................... 5-39

Section 6: How Do I Report Transactions Using XML Files? ............................................................................ 6-1

6.1 What Are the Steps to Submitting My File?................................................................................................................. 6-1

6.2 What Is the Purpose of an XML Schema? ..................................................................................................................... 6-2

6.2.1 General Principles Used in Developing EMTS ................................................................................................... 6-2

6.3 Codes, Identifiers, and Data Types.................................................................................................................................. 6-3

6.3.1 How Do I Report Codes?............................................................................................................................................. 6-3

6.3.2 How Do I Report Comments and Additional Information?.......................................................................... 6-3

6.3.3 How Do I Report Identifiers?.................................................................................................................................... 6-3

6.3.3.1 Organization Identifiers ..................................................................................................................................... 6-3

6.3.4 Data Types........................................................................................................................................................................ 6-4

6.3.4.1 Dates and Years ...................................................................................................................................................... 6-4

6.3.4.2 Reporting Numbers.............................................................................................................................................. 6-4
Table of Contents iv

6.4 Constructing the XML File .................................................................................................................................................. 6-5

Table of Contents (cont.)

Page

6.4.1 Will the Conversion Tool Create a Valid XML File? ......................................................................................... 6-5

6.4.2 Is There a Limit on the Size of the Submission File?....................................................................................... 6-5

6.4.3 Schema Validation......................................................................................................................................................... 6-6

6.4.3.1 Validating Your File Prior to Submission.................................................................................................... 6-6

6.4.4 Submitting Your File .................................................................................................................................................... 6-6

6.4.5 Quality Assurance and Receiving Feedback....................................................................................................... 6-6

6.5 Overview of Major Data Blocks ........................................................................................................................................ 6-7

6.5.1 EMTS Root Elements.................................................................................................................................................... 6-7

6.5.2 Generating RINs ............................................................................................................................................................. 6-9

6.5.3 Separating RINs........................................................................................................................................................... 6-21

6.5.4 Selling RINs................................................................................................................................................................... 6-27 

6.5.5 Buying RINs .................................................................................................................................................................. 6-35 

6.5.6 Retiring RINs ................................................................................................................................................................ 6-41

6.6 What Is the FIFO Process for Finding RINs? ............................................................................................................ 6-50

6.7 How Do I Cancel a Buy or Sell Transaction? ............................................................................................................. 6-50

Section 7: How Can I Access Information about My Organization's RINs?................................................. 7-1 

7.1 What Documents Does EMTS Provide?......................................................................................................................... 7-1 

7.2 How Do I Certify My Transactions? ................................................................................................................................ 7-2 

7.2.1 What Quarterly Reports Does EMTS Provide?.................................................................................................. 7-2

7.2.2 What Annual Reports Does EMTS Provide? ....................................................................................................... 7-3

Section 8: How Do I Contact EMTS Support? ......................................................................................................... 8-1 

8.1 How Does EPA Communicate Changes to Me?........................................................................................................... 8-1 

8.2 Where Do I Go If I Have a Question about EMTS?..................................................................................................... 8-2 

8.3 Where Do I Go If I Have a Question about the Renewable Fuel Standard? .................................................... 8-2 

8.4 Who Should I Contact If I Need Help Resolving a Problem in EMTS?............................................................... 8-2 
Table of Contents v 

Table of Contents (cont.)

Page

Appendix A: Referenced Documents ..................................................................................................................................... A-1 

Appendix B: Glossary ................................................................................................................................................................... B-1 

Appendix C: QA Checks ............................................................................................................................................................... C-1 

Appendix D: Business Activities by Transaction Type................................................................................................... D-1 

Appendix E: Sample Transactions .......................................................................................................................................... E-1 

E-1 Generate Transaction .......................................................................................................................................................... E-1 

E-1.1 Reporting the Originating Source .......................................................................................................................... E-3 

E-1.2 Feedstocks ....................................................................................................................................................................... E-4 

E-1.3 Reporting Co-product................................................................................................................................................. E-5 

E-2 Separate Transaction........................................................................................................................................................... E-6 

E-3 Sell Transaction...................................................................................................................................................................... E-7 

E-3.1 Supporting Document Information.................................................................................................................... E-10

E-4 Buy Transaction.................................................................................................................................................................. E-10

E-5 Retire Transaction.............................................................................................................................................................. E-13

E-5.1 Retire for Spillage ...................................................................................................................................................... E-13

E-5.2 Retire for Compliance, Aggregated Refiner .................................................................................................... E-15

E-5.3 Retire for Compliance, Facility Level................................................................................................................. E-17

E-6 Advanced Options .............................................................................................................................................................. E-20

E-6.1 Batch Specific Transactions................................................................................................................................... E-20

E-6.1.1 Batch Specific Sell Transaction......................................................................................................................... E-20

E-6.1.2 Batch Specific Buy Transaction........................................................................................................................ E-23

E-6.2 Non-One-to-One Ratio ............................................................................................................................................. E-26
Table of Contents vi

Table of Contents (cont.)

Page

E-6.2.1 Separate Fuel and RINs in a Non-One-to-One Ratio................................................................................ E-26

E-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio........................................................................................... E-28

E-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio .......................................................................................... E-30

Appendix F: User Roles and Permissions ............................................................................................................................ F-1 

Appendix G: Cross-reference Tables...................................................................................................................................... G-1 
Who should read Section 1: 

All users unfamiliar with the RFS. 

What you will find in Section 1: 

This section is a general overview of the 

Renewable Fuel Standards program and 

includes information on important changes 

to reporting RINs.

Important Dates

Renewable Fuel Standard (RFS2) began 

on July 1, 2010.

0BSection 1: What Is the RFS?

The Renewable Fuel Standard (RFS) was mandated by 

the Energy Policy Act of 2005 and revised in the Energy 

Independence and Security Act of 2007. RFS2 

regulations apply to annual periods beginning July 1, 

2010, changing initial RFS regulations which covered the 

May 1, 2007 – June 30, 2010 period.

The RFS is a volume standard (expressed in gallons) and 

requires definition of an annual percentage of total 

projected gasoline or diesel fuel refined or imported that 

must comprise renewable fuel. Renewable fuels are 

defined on the basis of feedstock and production process. EPA sets the RFS2 standards as percentages for 

cellulosic biofuel, biomass-based diesel, advanced biofuel, and renewable fuel annually. Application of the 

standard percentage to the volume of transportation fuel produced or imported, plus any deficit carryover 

from the preceding year, defines the Renewable Volume Obligation (RVO) for obligated parties. Obligated 

parties are defined as refiners that produce gas or diesel 

fuel within the 48 contiguous states and Hawaii, or 

importers that import gas or diesel fuel into the 48 

contiguous states and Hawaii. Alaska and U.S. territories 

can opt-in by petition. Obligated parties must demonstrate 

compliance with the RVO annually. 

The RFS also defines an RVO for exporters of renewable fuels as equivalent to the standardized volume of 

renewable fuel exported (plus any deficit carryover from the previous year). The purpose of this RVO is to 

ensure that RINs associated with renewable fuels produced and exported are not used for compliance 

because the renewable fuel was not used in the domestic market.

1B1.1 What Are RINs?

Compliance with the RVO is demonstrated through the use of renewable identification numbers, known as 

RINs, which are assigned to each gallon of renewable fuel produced or possibly imported. RINs track the 

volume of renewable fuel produced or imported. Obligated parties must acquire sufficient RINs to 

demonstrate compliance with the RVO. If an obligated party does not meet its RVO and if it did not carry a 

deficit for the same RVO in the preceding year then it is permitted to carry a deficit into the next year. The 

RVO must be satisfied in the subsequent year.

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, 
Section 1 1-2 

Change in RIN characteristics

The 38-character RIN will not be traded 

and tracked in the same form as RFS1.

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.

2B1.2 What Are All the Characteristics of a RIN?

The RFS1 program used a single 38-character numeric code 

to uniquely identify each gallon of renewable fuel produced 

or imported. This was represented in the form of 

KYYYYCCCCFFFFFBBBBBRRDSSSSSSSSEEEEEEEE. These 

characteristics still exist in the new RFS reporting format, 

however, parties do not need to reference a specific RIN once 

it is the EMTS. 

The following table shows the old 38-digit numeric code and the new equivalent data names that are 

reported. The RIN information will still be reported and kept for each batch and RIN trade, but this 

information will not be used to create a 38-digit code. (Note: Knowing the new equivalent data names are 

not necessary for all the different ways to report.) For more information on how these data are reported, 

please read Section 5.3, "How Do I Submit Transactions on the EMTS Website?" and Section 6, "How Do I 

Report Transactions Using XML Files?"

Table 1-1: Cross-Reference Mapping of the 38-Character RIN to the New Reporting Format

Old Code New Code Example Data

K Assignment Code Code that indicates whether the RINs are 

assigned or separated. 1 = Assigned to a volume 

of fuel; 2 = Separated.

YYYY Production Date

RIN Year

For RIN generation only, the production date will 

be reported. During all other RIN transactions, 

the RIN Year will be reported. 

CCCC Organization Identifier The public identifier for the organization as 

registered with OTAQ.

FFFFF Facility Identifier The public identification number of the facility 

registered with OTAQ.

BBBBB Batch Number A unique number assigned by the fuel producer. 

(cont.)
Section 1 1-3 

Table 1-1: Cross Reference Mapping of the 38-Character RIN to the New Reporting Format (cont.)

Old Code New Code Example Data

RR Equivalence Value A multiplier (as per §80.1415), based on the type 

of renewable fuel produced, applied to the Batch 

Volume that determines the number of RINs 

generated per gallon of fuel produced. 

D Fuel Code The renewable fuel code for RINs as defined in 

Part M §80.1426. New fuel codes reported for 

RFS2 are: 3 = Cellulosic Biofuel; 4 = Biomassbased Diesel; 5 = Advanced Biofuel; 6 = 

Renewable Fuel; and 7 = Cellulosic Diesel.

SSSSSSSS RIN Quantity The EMTS will calculate a total quantity from the 

volume of fuel reported.

EEEEEEEE RIN Quantity The EMTS will calculate a total quantity from the 

volume of fuel reported.
Section 1 1-4 

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Section 2: What Is EMTS?

In the Renewable Fuel Standard (RFS2) program, EPA 

Moderated Transaction System (EMTS) is an 

electronic platform that screens the generation and 

moderates the transfer of RINs between renewable 

fuel producers, importers, exporters, obligated 

parties, and RIN owners. EMTS screens submitted 

RINs, based on registration information, and provides 

a structured environment in which to conduct RIN 

transactions. 

2.1 How Are RINs Moderated and Screened?

EMTS monitors and logs all transactions between registered parties and performs quality assurance checks 

for the purpose of preventing discrepancies. Users may submit their transactions individually and in batch 

files, accessing EMTS through EPA's Central Data Exchange (CDX). 

All RINs are characterized and tracked based on user-supplied company and facility registrations such as 

fuel category, production date, and the organization and facility that produced the fuel. EMTS stores and 

tracks this data, moderating the life of all RINs used in separating, buying, selling, and retiring RINs. 

2.2 What Tasks Can I Do with EMTS?

As an industry user, you may submit generate, separate, sell, buy, and retire transactions through the EMTS 

user interface based on your organization's permissions as registered with EPA. Alternatively, XML file 

submissions may be ideal for organizations that transact frequently. These batch submissions can be sent 

through EPA's Exchange Network in a data flow using the EMTS reporting schema. You may also submit 

these files through the EMTS user interface. Your user permissions, as determined by your registration 

with EPA in addition to your organization's business activities, will restrict your user capabilities on the 

EMTS website. 

EMTS provides a variety of services to promote easy and accurate reporting of RIN transactions. Once 

EMTS has processed a transaction, the results of that transaction will be placed into your organization's 

"RIN Holding Account." You may view your current RIN holdings, along with various other reports, on the 

EMTS website. All transactions that you have initiated, or responded to, are available for you to review in 

the system. Other EMTS services include providing feedback on any critical errors that were identified in a 

batch file, a variety of downloadable reports, notifications regarding your submissions, and access to 

support from EPA. 

Who should read Section 2: 

Section 2 applies to all users who take 

ownership of RINs. 

What you will find in Section 2: 

This section provides an overview of EMTS and 

how to submit RIN transactions through the 

web interface or XML and review the 

transactions processed by EMTS. 
Section 2 2-2 

2.3 Do I Need to Keep Separate Records of My Transactions?

Though EMTS logs and archives all transactions processed, recordkeeping is still a requirement as per 40 

CFR §80.1454. It is important to remember that EMTS is the system for trades and transactions that have 

occurred outside of the EMTS system. EMTS will process only trade transactions where the buyer and 

seller have already engaged in a transfer of ownership of RINs.

Although EMTS will greatly minimize errors and the occurrence of invalid RINs, EMTS only screens RINs 

that are being generated. EMTS will also provide users with an advanced option to specify that they would 

not like to buy RINs that are generated by specific producers or importers as RFS is a "buyer beware" 

program. 
Who should read Section 3: 

Section 3 is of interest to all RIN owners 

and obligated parties. 

What you will find in Section 3: 

The timeline for a typical annual 

reporting cycle.

Section 3: What Are the Key Reporting Deadlines?

3.1 When Do I Send in Reports to EPA?

Your organization is required to report quarterly and annual 

reports to EPA indicating your RIN holdings, total fuel 

volume owned, and annual compliance obligation. In 

addition to quarterly and annual reports, you are expected to 

send all transactions, except buy transactions, within five 

business days of a reportable event such as fuel production. 

Only buy transactions get an additional five business days to 

submit the information to EMTS. At any time, you may 

review your RIN holdings in EMTS to ensure the RINs 

recorded match your recordkeeping.

The following figure shows the dates when quarterly and annual reports are due. Dates that appear in the 

top half of the timeline indicate the previous year's RFS deadlines. For example, in the year 2011, annual 

2010 reports are due by February 28, 2011. Each date or milestone is discussed in detail below.

January February March April May June July August September October November December

1/1 – 12/31

Open Transaction Period 

for Current Year

2/28

Quarterly 

Report Due

5/31

Quarterly 

Report Due

8/31

Quarterly 

Report Due

11/30

Quarterly 

Report Due

2/28

Annual 

Report 

Due

5/31

Attest 

Engagement 

Report Due

2/28

Last Day to 

Retire RINs 

for RVO

3/31

Annual 

Production 

Outlook 

Report Due
Section 3 3-2 

Note: EMTS could experience high transaction volumes near due dates. It is recommended that parties 

report all transactions to EMTS prior to the deadlines. It is a violation if quarterly or annual transaction 

information is not downloaded from EMTS and submitted through DC Fuels by the due date. EMTS will 

have reports available within a week of the end of the quarter.

Quarterly Reports

May 31, August 31, November 30, and February 28

EMTS will generate RFS2 RIN reports including your organization's current RIN holdings available for 

download at the end of every quarter. All parties have two months in which to review these reports and 

submit them to EPA. RFS1 RIN reports must be generated by the organization. (Please see the RFS 

reporting web page for more information: http://www.epa.gov/otaq/regs/fuels/rfsforms.htm) 

Annual Statement Available for Download

March 1

EMTS will send a notification when the annual statement including a list of RIN batches and the total 

number of RINs retired for compliance is available. This statement is for informational purposes only and 

does not need to be submitted to EPA. EPA receives all annual compliance data via the RFS0301: 2010 

RFS2 Annual Compliance Report, or RFS0302: 2011 RFS2 Annual Compliance Report

Attest Engagement Report

May 31 

RFS requires Attest Engagements to provide regulated parties an independent review of their compliance 

with the fuel requirements, including a review of the regulated party's internal systems to monitor and 

document compliance. Attest engagements are intended to identify compliance problems to a company, so 

the company can implement early remedial actions and prevent the problem from growing into larger 

regulatory violations. This report is required to be mailed to EPA by May 31. For more information, please 

visit http://www.epa.gov/otaq/regs/fuels/attestengage.htm. 

Open Transaction Period for Current Year

January – December

EMTS is open to receive and process any type of transaction for the current year. 

Year End Closing Period

January – February

The first two months of the current year may be used to finalize the buying, selling, and retiring of the 

previous year's RINs in order to meet an RVO. Any RINs generated in this time period will apply to the 

current year. RINs generated in those first two months cannot be retired for the previous year RVO (i.e., 

2012 RINs cannot be used to meet an RVO for 2011 compliance).
Section 3 3-3 

Retire RINs to Meet RVO

February 28

All transactions involving RINs that are being retired to meet an RVO must be completed and reported no 

later than February 28, by both parties. Please note, you also must submit your annual compliance report 

and retire the necessary RINs on or before February 28. 

3.2 What Is the Expected Response Time to Interacting with EMTS?

There are various key dates and response times that stakeholders must be aware of to send transaction 

information in a timely manner. 

3.2.1 Registration to Use EMTS 

All users must register through EPA's registration website to submit files or interact with EMTS. 

Please review http://www.epa.gov/otaq/regs/fuels/fuelsregistration.htm for detailed instructions on the 

registration process. Per §80.1450 and §80.1452, each party is required to send information to EMTS and 

must establish an account with EMTS 30 or 60 days prior to engaging in any RIN transactions, depending 

on business activities. 

In addition, companies that produce a fuel or fuel additive for on-road use must be registered for health 

effects under title 40 CFR part 79 Fuels and Fuel Additives Registration (FFARs) prior to manufacture or 

import. Depending on the fuel or additive, timelines may vary. These RIN generators will not be 

registered to use EMTS until they are registered under title 40 CFR part 79. Please see 

http://www.epa.gov/otaq/regs/fuels/ffarsfrms.htm for more information.

3.2.2 Real Time Reporting

RIN generation and RIN transactions are reported in "real time" to EMTS. Users are required to enter the 

reportable transactions to EMTS within five business days, or ten business days for buy transactions only, 

of the title transfer (buy and sell transactions) or reportable event (generate, separate, and retire 

transactions). Real time reporting applies to producers and importers who generate RINs and to any party 

that participates in a RIN buy/sell transaction.

3.2.3 Responding to Buy/Sell Transactions

When an organization receives a request for a buy or sell transaction, an authorized submitter for that 

organization has ten business days to accept or deny the trade before the transaction will expire. If a 

response is not provided within the specified number of days, the transaction will time out and both parties 

will be notified. 
Section 3 3-4 

Remember: Parties are required to submit buy transactions within ten business days of the date on the 

PTD and sell transactions within five business days of the date on the PTD per 40 CFR 80.1452(b). 

3.2.4 Quarterly and Annual Reports

Users will continue to comply with reporting quarterly and annual reports as established in the RFS 

regulation. These reports are submitted to EPA through DC Fuels or alternatively through mail. Additional 

information can be found at http://www.epa.gov/otaq/regs/fuels/rfsforms.htm for submitting quarterly and 

annual reports to EPA.
Who should read Section 4: 

Section 4 applies to all RIN owners.

What you will find in Section 4: 

This section provides an overview of the EMTS 

system requirements, a summary of what is 

needed before transactions can be submitted to 

EMTS, and an overview of how transactions can 

be submitted and reviewed. 

Section 4: How Do I Interact with EMTS?

Users may interact with EMTS in the following ways: 

through the submission of batch XML files with the 

Exchange Network or the EMTS website, or the use of the 

EMTS website to report transactions. This section 

provides an overview of these methods. More detailed 

instructions can be found in Section 5, "What Can I Do in 

the EMTS Website?" and in Section 6, "How Do I Report 

Transactions Using XML Files?"

4.1 How Do I Get Started?

Before you can use EMTS, there are several prerequisites 

you need to complete. This section provides information on these steps. 

4.1.1 Browser Requirements

If you intend to use the EMTS user interface, you may use one of the following browsers: 

● Internet Explorer (Version 7.0 or later); or

● Firefox (Version 2.0 or later). 

You must also have internet access and an email account in order to receive notifications from EMTS. 

Please note that DC Fuels, the system you will use to submit your quarterly and annual reports, supports

Internet Explorer up to Version 7.0 and does not support Firefox.

4.1.2 Node Requirements

If you intend to submit batch XML files to the Exchange Network you may use either a node or a 

node client, or upload files via the EMTS website. The EMTS node only accepts files that meet 

Exchange Header 2.0 specifications. Details can be found at the Exchange Network website at 

http://www.exchangenetwork.net. You may also find additional information on these requirements in 

Section 6, "How Do I Report Transactions Using XML Files?" Information on preparing and submitting XML 

files can be found in Section 6 of these instructions as well.

4.1.3 CDX Registration 

Access to EMTS requires registration with CDX and OTAQ Fuels.
Section 4 4-2 

4.1.3.1 Obtaining a CDX Account

Every user who intends to use EMTS must first obtain a CDX account. If you do not yet have a CDX account, 

first navigate to http://cdx.epa.gov/epa_home.asp. 

From this page, you should click on the link "If you are new to CDX and wish to register." After continuing 

through several pages that include setting up a user account and providing other information, you will be 

brought to the "CDX Registration: Add Program" page from which the option "Office of Transportation and 

Air Quality Fuels Registration (OTAQReg)" can be selected. 

If you already have a CDX account, navigate to the CDX login page at https://cdx.epa.gov/SSL/cdx/login.asp. 

Once logged in, you should add "Office of Transportation and Air Quality Fuels Registration (OTAQReg)" to 

your profile. 

Additional information on the registration process can be found at 

http://www.epa.gov/otaq/regs/fuels/420b10022.pdf

General information regarding fuels program registration can be found at 

http://www.epa.gov/otaq/regs/fuels/fuelsregistration.htm

4.1.3.2 Registering with OTAQ Fuels Programs

Once your CDX user account has been established, you need to be associated with your organization and 

identify its business characteristics (e.g., whether the company is a Refiner, Domestic Renewable Fuel 

Producer, etc.). This is done through the OTAQ Fuels Programs Registration (OTAQReg) system that should 

have been added to your user profile (see Section 4.1.3). You will not be able to interact with EMTS until 

this step is completed. 

Upon successful log in to My CDX, select "OTAQReg Fuels Programs Registration." This will bring first-time 

users to a page with a "New User" link. After a series of pages that request entry of personal and 

organization information, you must either select an existing organization (if the organization has 

previously registered), or add new company information. 

● If you add a new company, then you will need to select the initial role of "Submitter" under the 

"User Info" tab in order to perform transactions in EMTS. If you associate with an existing 

company, you must select the company's name tab in order to select the initial role of "Submitter." 

Without selecting "Submitter" a user will not be able to perform transactions in EMTS. 

● You will need to select only the initial role of "Company Viewer" if you do not wish to perform 

transactions in EMTS, but you still wish to view information such as RIN holdings. 
Section 4 4-3 

● If EPA finds errors in your registration submission, EPA will deny your request and you will need to 

restart the process. A list of common errors and the Fuels Registration User Guide may be found at 

the following website: http://www.epa.gov/OMS/regs/fuels/fuelsregistration.htm. 

Once the information has been submitted, the resulting forms must be printed and mailed to EPA as 

instructed. Access to EMTS will only be granted once the submitted documents have been reviewed and 

activated by EPA. This process may take several days after all the information on the forms is verified. You 

should initiate this process well in advance of the time when access to EMTS is actually needed. 

4.1.4 OTAQ DC Fuels

Once the steps described in Sections 4.1.3.1 and 4.1.3.2 have been completed, you will have access to EMTS 

and can submit transactions. Completion of the steps described in 4.1.3.1 and 4.1.3.2 will also provide 

access to the OTAQ DC Fuels application. This program is used to submit quarterly reports and your annual 

statement to EPA. To activate this link, call the CDX help desk and follow the steps outlined in 

the "User Manual for CDX/OTAQ Fuels Reporting System -- Phase II." This manual is available at 

http://www.epa.gov/otaq/regs/fuels/420b07012.pdf. 

4.2 How Does EMTS Process My Transactions?

There are three distinct stages associated with RIN transactions. In the first stage, the user submits the 

transaction data to EMTS. The methods by which this can be done are described in Section 4.2.1. In the 

second stage, the submitted data is processed by EMTS. The various steps associated with this processing 

are described in Section 4.2.2. In the third stage, the user is notified that the transaction has been 

processed, and any necessary follow-up is indicated. This is described in more detail in Section 4.2.3. 

4.2.1 What Are the Methods for Submitting Data to EMTS?

There are three basic methods for submitting data to EMTS. You can submit your transactions in the EMTS 

user interface, or submit an XML file via the EMTS user interface or from your node or node client via the 

Exchange Network. Usage instructions for submitting data can be found in Section 5, "What Can I Do in the 

EMTS Website?" and in Section 6, "How Do I Report Transactions Using XML Files?"

4.2.2 Submitting Data through the EMTS User Interface

To submit data via the EMTS user interface, log into CDX at https://cdx.epa.gov/SSL/cdx/login.asp. 

Enter your CDX user name and password. Once you are logged into the CDX portal, click the link 

"OTAQEMTS: OTAQ EMTS Application." You can review your holding account information and create 

transactions. The functions available to you are limited by your organization's business activities as 

registered with EPA as described in Section 4.1.3.2. 
Section 4 4-4 

In addition to being able to create RIN transactions, you can also use the EMTS user interface to load XML 

files. It is important that any XML files created for uploading into EMTS follow the XML conventions 

described in Section 6, "How Do I Report Transactions Using XML Files?"

4.2.3 Submitting Files via a Node

If you wish to submit your XML files to EMTS without interacting with the EMTS user interface, you can 

submit your files via a node. A node is a piece of software that allows you to browse for XML files and uses 

Web Services to authenticate your CDX account and send XML files over the Exchange Network. Some node 

vendors allow the installation of only the node client in lieu of the full node software. If you wish to submit 

files via the Exchange Network, but do not want the overhead associated with a full node, you might 

consider installing just a node client. Contact the CDX Node support help desk for more information on 

node client providers. The node client allows the user to browse for XML files and submit them to EMTS, as 

well. For more information on using nodes, see Section 6.

More technical information can be obtained on the Exchange Network website which you can find at 

http://www.exchangenetwork.net/. 

4.2.4 What Is the Quality Assurance Process?

Whether you submit batch XML files or create online transactions via the EMTS user interface, all data is 

checked for critical errors before it is processed by EMTS. QA checks apply not only to the batch files, but 

also to the data entered on the EMTS website. 

There are three different ways that your data is checked for errors. These are:

● XML file validation;

● XML batch submissions; and

● EMTS website data entry.

The XML schema has several built-in checks that are applied to the XML files to ensure that the files are 

valid and well-formed. 

For transactions submitted via a batch XML file, EMTS runs QA checks after the file is retrieved from the 

queue. If the file passes the EMTS QA checks, the file is processed. If the file does not pass all of the QA 

checks, a notification is sent to the user that the submitted file was denied and that it should be corrected. 

No transactions in your file will be processed if any critical errors are identified. You can review a detailed 

feedback report about each submitted file on the EMTS user interface to help identify and correct errors. 

Checks are also executed when a user enters data via the EMTS user interface. QA checks prevent data 

from being submitted if critical errors are discovered on each screen. 
Section 4 4-5 

4.2.5 How Do I Review Notifications?

Notifications to EMTS users will be sent via email. The following are examples of different types of 

notifications you might receive from EMTS: 

● A file has been received by EMTS.

● A group of files has been processed successfully.

● A group of files has not been processed successfully, and you should go to the EMTS website for 

additional details.

● A trade transaction has been initiated, and you should go to the EMTS website to complete the 

transaction. 

Notifications may be sent immediately, or may be aggregated and sent nightly. You may also receive 

notifications regarding deadlines for submitting quarterly and annual reports. Transactional information 

will not be sent to you from EMTS due to the fact that some corporate email servers block attachments. 

Notifications may instruct you to review or download a report from the EMTS website. Due to the timecritical nature of some of the notifications, it is important that you check your email on a regular basis. In 

most cases email will be sent to all individuals who have registered as submitters for your organization. If 

you will be unable to check your email or access the EMTS for any required follow-up actions, consider 

having other submitters from your organization perform these tasks. Organizations have the option to 

unsubscribe to certain notifications. For more information see Section 5.2.3 “Managing Subscriptions.”
Section 4 4-6 

[This page intentionally left blank.]
Who should read Section 5: 

Section 5 applies to all users that intend to view or 

submit RIN transactions using the EMTS website. 

What you will find in Section 5: 

This section provides an overview of how RIN holdings, 

organization information, and reports can be viewed, 

and how transactions can be reported using the EMTS 

website.

Section 5: What Can I Do in the EMTS Website?

You can use the EMTS website/user interface

for a variety of purposes, including managing 

your RIN transactions and viewing information 

about your RINs. This section provides an 

overview of the features of the EMTS website, 

all of which can easily be accessed via the 

EMTS homepage. Please note that all screen 

shots of the EMTS website are subject to 

change.

Figure 5-1 shows the EMTS homepage. 

Figure 5-1: EMTS Homepage
Section 5 5-2 

5.1 Where Can I Find Information Specific to My Organization?

EMTS stores information about your organization as it is registered with OTAQReg Fuels Programs 

Registration through CDX. This information includes the business activities in which your organization is 

engaged (e.g., Refiner, Producer, Importer), your facilities, the fuels you can produce, the processes and 

feedstocks you can use, and any co-products that may be produced. In addition, you will have a role which 

defines your ability to submit or view your organization's RIN holdings. Additional information regarding 

your current RIN holdings and various reports on transactions involving your organization is available on 

the EMTS website. 

5.1.1 Viewing Your Organization Information

One of the main menu items on the EMTS website is "Organization." This link has several items of interest 

to you, including: 

● Your organization's address; 

● Your organization's business activities; 

● A list of all users affiliated with your organization; 

● The name and location of your organization's facilities; and

● The registered fuel, fuel category, process, feedstock, and co-product for each facility.

To update this information, you must edit the information in OTAQReg Fuels Programs Registration 

through CDX.

If you are an agent and represent several organizations, you will first see a list of all of the organizations 

you have been approved to represent. You must choose "View Registered Data" from the drop-down menu 

in the "I want to..." column to access information specific to the organization. You may also choose "Select 

Organization" from this drop-down menu. Once you select an organization from the list, the activities and 

reports on the EMTS website will be limited to that organization. You may switch to another organization 

in your list at any time; however, EMTS will not combine transactions from one user for many 

organizations in a report or data entry screen.

Figure 5-2 shows where to select your organization.
Section 5 5-3 

Figure 5-2: View Organizations

Figure 5-3 shows the information page for one organization. 
Section 5 5-4 

Figure 5-3: Organization Information

5.1.2 Viewing Your Organization's RIN Holding Account

Your organization has a single "RIN Holding Account" to which you and any other registered users for your 

organization have access. The RIN Holding Account contains all of the current RIN holdings and provides 

access to holdings that were previously in your RIN Holding Account, such as RINs that you have sold or 

RINs that you have retired. The RIN Holding Account data are aggregated showing your total RINs grouped 

by fuel code (D code), assignment code, and RIN year. The total number of RINs for a row of data is broken 

down into four categories: Available, Pending, Reserved, and Locked. Various sorting and filtering 

capabilities allow you work with this RIN data. For example, you can arrange data to compare the total 

number of RINs EMTS has processed in your account to your own off-line transaction records. These data 

are also available for download in a variety of formats. 

Figure 5-4 shows the RIN Holding Account.
Section 5 5-5 

Figure 5-4: RIN Holding Account

5.1.3 Viewing RIN Batch Details

For any combination of Fuel, RIN Year, and Assignment in your RIN Holding Account, you can view RIN 

batch details by selecting "View Details" from the drop-down menu. The resulting page will display all RIN 

batches your organization owns for the selected criteria (see Figure 5-5). You may view additional details 

of each batch by selecting "View Details" once again. Doing so will give you access to information such as 

fuel category code, equivalence value, originating organization, and facility. From the Batch Details page, 

you may also select "Transaction" next to any batch of RINs to see the details of the transaction that 

resulted in those RINs entering your RIN Holding Account. This page will only display the most recent 

transaction involving that batch of RINs. 

Figure 5-5 shows RIN Holding Details
Section 5 5-6 

Figure 5-5: RIN Holding Details

5.2 Where Can I Find Information on My Submitted Data?

There are two methods for submitting transactions to EMTS (by batch file submission or by online entries 

on the website). You can review the status of transactions submitted under each method as EMTS 

processes them. 
Section 5 5-7 

5.2.1 Viewing Node Submissions and Feedback Results

You may view a log of all files that have been submitted to EMTS by you or other submitters representing 

your organization. This log can be accessed by navigating to "Submissions" on the main menu and then 

selecting "View Node Submissions." This page displays the date and time XML files were submitted, CDX 

and Submission IDs, the file names, and whether the files were successfully processed. You can also view 

detailed information regarding any submitted file and the results of the QA checks that were applied to the 

contents of the file using the drop-down menu in the "I want to..." column. If the file was processed 

successfully, no QA Feedback report is produced. Only files that have critical errors will have a feedback 

report. 

Figure 5-6 shows a log of all file submissions from one organization to EMTS.

Figure 5-6: View Node Submissions
Section 5 5-8 

5.2.2 Viewing Web Submissions

Under the Submissions menu, you have the option to "View Web Submissions." Here you will find all 

transactions that your organization has entered and submitted via the EMTS website. For each transaction 

you will see the submission ID, submission date, submitter, and current status. You may also view the 

details of any of your web transactions.

Figure 5-7 shows a log of all web transactions from one organization to EMTS.

Figure 5-7: View Web Submissions
Section 5 5-9 

5.2.3 Managing Subscriptions

Various reports, documents, and notifications are available on the EMTS website that includes information 

about data submitted for your organization. EMTS allows you to manage subscriptions to reports, 

documents, and notifications. You may select the frequency, delivery method, and format that best suit 

your organization's needs. Please note that subscriptions are managed on the organization level; any 

submitter in your organization may subscribe or unsubscribe all users to a report, notification, or 

document. For more information on the types of reports and documents available, see Section 7, "How Can 

I Access Information about My Organization's RINs?" 

Figure 5-8 shows the Manage Subscriptions page. 
Section 5 5-10

Figure 5-8: Manage Subscriptions

5.2.4 View Reports 

After you have subscribed to a report or document, it can be downloaded from the "View Reports" page 

found under the "Reports" menu. There you will be able to see the frequency you have selected for each 

report or document and the last run time for each document. You may choose "Download Document" to 

get the most recent version or "View All Documents" to see previously generated versions of that document 

or report. 

Figure 5-9 shows the View Reports page.
Section 5 5-11

Figure 5-9: View Reports

5.2.5 Manage Agent Subscriptions

If you have an “agent” affiliation with two or more organizations, you may download a single zip file 

containing documents for multiple organizations. You will find an “Agent” option on the main menu. From 

the Agent menu you may navigate to pages where you can manage your subscriptions and download the 

zipped report files. In order to successfully subscribe to and download agent reports, you must first 

subscribe your organizations on the organization-specific “Manage Subscriptions” page. 

Figure 5-10 shows the Manage Agent Subscriptions page.
Section 5 5-12

Figure 5-10: Manage Agent Subscriptions
Section 5 5-13

Submitting Transactions: 

You have five business days to submit 

a transaction, after which time your 

transaction will be cleared from the 

Transaction Bin. 

5.2.6 View Agent Reports

To retrieve the documents you requested as an agent, click “View Reports” under the Agent menu and 

select “Download” from the “I want to...” menu next to the desired document. 

Figure 5-11 shows the View Agent Reports page. 

Figure 5-11: View Agent Reports

5.3 How Do I Submit Transactions on the EMTS Website?

You can use the EMTS website to report any type of RIN 

transaction for which you have permission. Based on the 

business activities your organization registered with the 

OTAQReg Fuels Programs Registration, some transactions 

may not be available to you. See Appendix D, "Business 

Activities by Transaction Type," to see what transactions you 

can perform based on your role and your organization's 

business activities. 

5.3.1 The Transaction Bin

Any transaction can be created from your "RIN Holding Account" page. As you create a transaction, the 

RINs in your holding account are placed in "reserve" so they cannot be used by other transactions. Your 

RIN Holding Account will show the status of your RINs, indicating how many are available for transactions 

and how many are reserved by transactions you have created during your web session. As you create 
Section 5 5-14

transactions, the RINs are placed in a "Transaction Bin" where they will be stored temporarily until you are 

ready for EMTS to process these transactions. Your Transaction Bin will not be cleared until you are ready 

to review, confirm, and submit these transactions. At any time you can review the list of transactions in 

your Transaction Bin and remove a transaction. However, you cannot edit a transaction in the Transaction 

Bin; you must remove it and then create a new transaction. 

If you exit EMTS or close your browser prior to submitting the transactions in your Transaction Bin, these 

transactions will remain in a reserved state for five business days or until you return to the website and 

submit or remove them. If you do not submit these transactions within five business days, EMTS will 

automatically remove them from your bin and "un-reserve" the RINs in your RIN Holding Account. For this 

reason, it is important that you complete your transactions as soon as possible to avoid loss of any 

transaction data that you have been working on during multiple web sessions. 

Any submitter in your organization has the same permission to manage transactions for your RIN Holding 

Account. It is possible for you to create a transaction and have another person in your organization review, 

confirm, and submit the transaction. 

Figure 5-12 shows the Transaction Bin.
Section 5 5-15

Figure 5-12: Transaction Bin

Figure 5-13 shows how to confirm and submit the transactions from the Transaction Bin.
Section 5 5-16

Available Codes: 

Available codes will be determined 

based on your organization's 

registration information. 

Figure 5-13: Confirm and Submit

5.3.2 How Will EMTS Assist with Data Entry and 

Screening?

Whenever possible, EMTS will auto-fill information into your 

transaction data entry form. For example, the fuel type that 

you can generate is limited based on your registered 

processes and feedstocks; therefore the choices available in 

your drop-down data entry box will be limited by your registration information. For this reason, it is 

imperative that your registration with EPA be up-to-date. The choices that your organization is not 

registered for will be grayed out.

Quality assurance checks are built into each page and assure valid data entry. In addition, available code 

values may be restricted based on business rule checks. For example, unless you are a Foreign Renewable 

Fuel Producer or a Renewable Fuel Importer, you will not be given the option to select "Import Volume 

Correction" as a reason code in a retire transaction.

Figure 5-14 shows a submission that has failed quality assurance checks.
Section 5 5-17

Figure 5-14: QA Check Failure

5.3.3 Can I Submit Multiple Transactions for the Same Organization?

There is no restriction on the number of transactions that you can add to the Transaction Bin, provided 

they are originated on behalf of a single organization and that organization has sufficient RINs in its RIN 

Holding Account. Multiple transactions for the same organization can be entered, reviewed, and submitted 

at one time. If you are an agent and are reporting on behalf of several organizations, you may only submit 

transactions for one organization at a time. 

5.3.4 Can I See a Record of All My Submitted Transactions?

EMTS will keep active logs of all of your submitted transactions. To access a previously submitted 

transaction, you can either find the actual file that was submitted and review the contents of that file under 

the "Submissions" menu, or you can view the detailed Transaction History document, which provides 

information about the transactions your organization has participated in within the last 14 days. 
Section 5 5-18

5.3.5 What Happens to My RINs after the Time Period Expires?

If you have initiated a sell transaction, and RINs have been placed on reserve for the pending buy 

transaction, the buyer has ten business days to complete the pending trade before expiration. If the buyer 

fails to do so, your transaction will expire, and RINs are un-reserved and available for you to use in other 

transactions. Remember, you must submit transactional information within five days of the transfer date 

as specified on the Product Transfer Document (PTD). 

EMTS will also periodically clear your Transaction Bin, meaning that any transactions that you have 

entered but not yet confirmed will be lost. Once you place a transaction in your bin you have five days in 

which to confirm the transaction before EMTS will remove it from the bin. However, parties are required 

to send transactional information within five days of the transfer date or reportable event per §80.1452, 

except for buy transactions, which must be submitted within ten business days of the transfer date. 

Lastly, at the end of a compliance period, RINs that were produced two years before the beginning of the 

new trading period will expire. For example, RINs produced in 2010 will expire immediately after 

February 28, 2012, and all transactions should be completed by that time. 

5.4 Creating Transactions

EMTS requires specific data for all transaction types: generate, separate, retire, sell, and buy.

5.4.1 What Information Is Required to Generate RINs?

The following information is required to generate RINs as a Producer: 

● The type of fuel produced;

● The code that specifies the process used to create the renewable fuel; 

● The date the renewable fuel was produced;

● The volume of renewable fuel produced;

● The volume of denaturant added to the renewable fuel (ethanol only);

● The number of RINs associated with the renewable fuel;

● The facility ID;

● The batch number;

● The codes for all feedstocks used to produce the renewable fuel;

● The quantity of all feedstocks used to produce the renewable fuel;

● The units of measure for all feedstock quantities; 

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

● The codes for all co-products produced along with the renewable fuel.

Figure 5-15 shows how to report information about the fuel for which RINs are being generated. 
Section 5 5-19

Figure 5-15: Generate RINs – Report Fuel

Figure 5-16 shows how to report feedstocks in a generate transaction.
Section 5 5-20

Figure 5-16: Generate RINs – Report Feedstocks

5.4.1.1 How Do I Generate RINs as an Importer?

Additional information is required if you are generating RINs as an Importer:

● The Facility to which the fuel was imported;

● The Organization that produced the fuel; and 

● The Facility where the fuel was produced.

It is important to note that when generating as an Importer, all fuel, fuel category, process, and feedstock 

codes are available for selection. However, the selections you make must be registered for the foreign 

facility that you specify in the transaction.
Section 5 5-21

Figure 5-17 shows how to generate RINs as an Importer.

Figure 5-17: Generate RINs (as an Importer)
Section 5 5-22

5.4.1.2 How Do I Report Equivalence Value?

You are not required to report an equivalence value. EMTS will automatically calculate the equivalence 

value based on the type of fuel for which you are generating RINs. The number of RINs you are allowed to 

generate for a specific fuel type will be determined by the volume of the batch of fuel multiplied by the 

equivalence value. EMTS checks that the RINs you generate do not exceed your fuel volume by the 

equivalence value multiplier. If you report an equivalence value, EMTS will re-calculate and check this 

value. The equivalence values (multipliers) are as follows:

Non-cellulosic Ethanol = 1.0

Biodiesel (mono-alkyl ester) = 1.5

Non-ester Renewable Diesel = 1.6 or 1.7

Cellulosic Ethanol = 1.0

Butanol = 1.3

Biogas = 1.0

Electricity = 1.0

Renewable Heating Oil = 1.1, 1.2, or 1.6

5.4.2 What Information Is Required to Separate RINs?

The following information is required to separate RINs: 

● The number of RINs being separated;

● The volume of fuel associated with the RINs being separated;

● The renewable fuel code (D code);

● A code which specifies the reason for the separate transaction; 

● The date the RINs were separated; and

● The year the RINs being separated were generated. 

Figure 5-18 shows how to separate RINs.
Section 5 5-23

Figure 5-18: Separate RINs

5.4.3 What Information Is Required to Retire RINs?

Depending on your organization's business activities you may choose to retire RINs for compliance or for 

other reasons. From the RIN Holdings page, select either "Retire (Obligation)" or "Retire (Other)" from the 

drop-down menu. If you have multiple business activities that allow you to retire RINs for compliance then 

you will see these activities in the drop-down beneath the "Retire (Obligation)" header. 
Section 5 5-24

Figure 5-19 shows how to select the appropriate Retire wizard from the RIN Holdings page. Please note 

that the Retire "as Refiner" wizard will not be available until an update is made to the OTAQReg: Fuels 

Programs Registration application. This functionality will be available in a future release of EMTS.

Figure 5-19: Select a Retire Option

The following information is required to retire RINs for compliance: 

● The number of RINs being retired;

● The renewable fuel code (D code);

● The year the RINs being retired were generated; 

● The date the RINs were retired; and

● The compliance level at which you are retiring.

Figure 5-20 shows how to retire RINs for compliance as an Importer.
Section 5 5-25

Figure 5-20: Retire RINs (Obligation)

The following information is required to retire RINs for reasons other than compliance:

● The number of RINs being retired;

● The renewable fuel code (D code);
Section 5 5-26

● A code which indicates whether the RINs being retired are assigned or separated;

● The year the RINs being retired were generated; 

● A code which specifies the reason for the retire transaction; and

● The date the RINs were retired. 

Figure 5-21 shows how to retire RINs for reasons other than compliance.
Section 5 5-27

Figure 5-21: Retire RINs (Other)

5.4.3.1 What Happens to My RINs When I Retire for Compliance?

After you retire RINs for compliance, you will still be able to view these RINs in your RIN Holdings 

(History) but you will be unable to use these RINs for any future transactions. Should you find an error or 

miscalculation in the number of RINs you retired, you should contact EPA to resolve the issue. 
Section 5 5-28

To view aggregate information about the RINs you have retired for compliance, select “Compliance Data” 

from the Reports menu.

Figure 5-22 shows how to view aggregate compliance data.

Figure 5-22: View Aggregate RINs Retired for Obligation
Section 5 5-29

RIN Trades: 

You must Accept or Deny a pending 

trade within ten business days or EMTS 

will cancel the trade.

5.4.4 What Information Is Required to Report RIN Trades?

The information required for a RIN trade will differ 

somewhat depending on whether you have initiated the 

trade through a sell transaction, have accepted an invitation 

to buy, or have initiated the trade through a buy transaction. 

The preferred business process is for the seller to initiate the 

transaction by preparing an offer to sell first, followed by the 

buyer accepting the offer. Trades must be responded to 

within ten business days or EMTS will expire the trade and notify both parties. In all cases, the actual 

purchase, sale, and transfer of ownership of the RINs will have occurred outside of EMTS. You must send 

all trade information within five business days of the transfer date pursuant to 40 CFR 80.1452(c).

5.4.4.1 Creating a Sell Transaction

The following information is required to initiate a trade through a sell transaction: 

● The identifier of the organization to which you are selling RINs;

● The name of the organization to which you are selling RINs;

● The number of RINs that were sold;

● The volume of renewable fuel sold with the RINs (for assigned RINs only);

● The renewable fuel code;

● A code which indicates whether the RINs that were sold were assigned or separated;

● The year in which the RINs that were sold were generated;

● A code which specifies the reason the RINs have been sold;

● Either the price per RIN or the price per gallon of renewable fuel that was agreed upon by both 

parties. Price must be rounded to two decimal places; and

● The date on which the trade occurred as recorded on the Product Transfer Document (PTD).

Figure 5-23 shows how to sell RINs in EMTS.
Section 5 5-30

Figure 5-23: Sell RINs

5.4.4.2 Accepting a Pending Buy or Sell Transaction

By clicking the "View Trades" link on the homepage, you will have access to a list of all of the trades for 

which your organization has been identified as the buying partner or the selling partner. For each trade, 

information on both the buying and selling partners are displayed. You should check to verify that this 

information is correct before clicking the "Accept Trade" button next to the specified trade. 

Figure 5-24 shows pending trades awaiting confirmation, denial, or cancellation.
Section 5 5-31

Figure 5-24: Review Trades
Section 5 5-32

Figure 5-25 shows how to accept a trade transaction.

Figure 5-25: Accept Trade
Section 5 5-33

5.4.4.3 Denying a Pending Buy or Sell Transaction

You can deny any trade transaction initiated by a buyer or seller by viewing your pending trades. If the 

transaction does not contain accurate information based on information regarding the trade negotiated 

with the trading partner, you may deny the trade. To do this, navigate to "Trades" in the main menu and 

then select "Review Trades." In the "I want to..." column, select the "Deny" option. You must provide the 

reason for the denial in a comment box. 

Figure 5-26 shows how to deny a trade transaction.

Figure 5-26: Deny Trade 

5.4.4.4 Can I Cancel My Buy and Sell Transactions?

You can cancel any trade transactions you have initiated if the buyer or seller has not yet accepted the 

transaction. Select "Review Trades" from the Trades menu to see all of your trades awaiting confirmation. 

From the initiated trades list, select the buy or sell transaction that you wish to cancel and click "Cancel" in 

the "I want to..." column. You and your trading partner have the option to subscribe to cancelled trade 

notifications.
Section 5 5-34

5.4.4.5 Initiating a Trade Transaction with a Buy Transaction

The preferred method for processing trades is for the seller to initiate the trade first and the buyer to 

respond to the invitation by accepting or denying the trade. However, it is possible that the buyer has 

submitted his part of the transaction prior to the seller initiating the trade. The following information is 

required to initiate a buy transaction: 

● The identifier of the organization that has sold the RINs;

● The name of the organization that has sold the RINs;

● The number of RINs that were bought;

● The volume of renewable fuel sold with the RINs (for assigned RINs only);

● The renewable fuel code;

● A code which indicates whether the RINs that were bought were attached or separated;

● The year in which the RINs that were bought were generated;

● A code which specifies the reason the RINs have been bought;

● Either the price per RIN or the price per gallon of renewable fuel that was agreed upon by both 

parties. Price must be recorded to two decimal places; and

● The date on which the trade occurred as recorded on the PTD.

Figure 5-27 shows how to buy RINs on EMTS.
Section 5 5-35

Figure 5-27: Buy RINs

5.4.5 Which RINs Will Be Used in a Transaction?

When you create a sell transaction, at a minimum you will have to identify the fuel code (D code), 

assignment code, RIN year (the year in which the RINs were generated), and the number of RINs you are 

selling. EMTS will find the oldest RINs based on production date in your holding account that match your 

criteria and reserve these for the trade. By default, EMTS will always use the oldest RINs you have in your 

account when separating, retiring, or trading RINs. This assures that you are trading or retiring RINs that 

have the shortest expiration date. However, should you wish to specify a specific batch that you want to 

sell, separate, or retire, you may do so by using the advanced selection option for identifying RINs. This 

allows you to specify a quantity of RINs by: 

● The organization that produced the fuel;

● The facility that produced the fuel; and

● The specific batch number of the fuel. 
Section 5 5-36

When you provide these specifications, EMTS will attempt to identify RINs that meet these characteristics 

and reserve them for the transaction. 

Figure 5-28 shows how to select specific RINs for use in a retire transaction.

Figure 5-28: Advanced Options

5.4.6 Can I Block RINs That Were Generated By a Specific Organization?

In some cases, you may wish to ensure that you do not buy or own RINs that have been generated by a 

specific fuel producer or importer. EMTS has the capability for you to "block" trades involving RINs from a 

specified producer or importer. In order to use this feature, you must create a list of organizations that you 

wish to block. When a transaction includes RINs from a blocked fuel producer or importer, the transaction 

will automatically be denied by EMTS and notification will be sent to both parties indicating that the 

transaction was not processed. 

Figure 5-29 shows how to manage the blocked list. 
Section 5 5-37

Figure 5-29: Manage Blocked List

5.4.7 How Do I Report an Invalid Batch of RINs?

You must report all invalid RINs to EPA prior to retiring any RINs. 

In certain events, EPA will ask you to submit a retire transaction indicating an appropriate "Retire Reason 

Code." If you select "Reportable Spill," "Contaminated or Spoiled Fuel," "Import Volume Correction," 

"Invalid RINs," "Volume Error Correction," or "Enforcement Obligation," then you must provide a comment 

further explaining the reason for the retire transaction in the Additional Comments field. Once the 

transaction is complete, the RINs will no longer be available for future transactions.

It is not necessary to report a specific batch of fuel when retiring for spillage or spoilage, although, you do 

have the option to identify the generating source of the RINs. 

5.4.8 How Do I Reverse a Transaction?

EMTS is a forward moving system, so a true "reversal" is not possible. However, RINs may be 

transferred back to the original selling party if an appropriate remedial action has been discussed 

and agreed upon with EPA. Any situation that involves a reason code other than Standard Trade should 

first be reported to EPA. Please see the remedial actions web page for more information: 

http://www.epa.gov/otaq/fuels/renewablefuels/compliancehelp/rfs2remedialactions.htm. 

5.4.9 How Do I Report an Error?

At the end of each quarter, should you find any discrepancies between the EMTS quarterly reports and 

your internal records, you have a two month period of time to reconcile errors. To report errors, go to 

"Transaction Errors" under the Reports menu. There you can search transactions from the previous 
Section 5 5-38

quarter and provide information about any errors associated with a particular transaction. Once you 

confirm and submit your errors, EMTS will generate a Transaction Error Report. After the report is 

generated, you will not be able to edit the report or access the error reporting pages. The Transaction 

Error Report will be made available on the View Reports page. You must submit this report to DC Fuels 

along with your other quarterly reports. More information about submitting reports can be found in 

Section 3, "What Are the Key Reporting Deadlines?"

Figure 5-30 shows how to search for transactions and Figure 5-31 shows how to input transaction error 

information.

Figure 5-30: Search Transactions
Section 5 5-39

Figure 5-31: Identify Transaction Errors

5.5 Where Can I Go to Get Help?

Each screen of EMTS contains instructions to help you understand how to use the website and what data 

the system is expecting. In addition, there are "Help" links on each screen of EMTS that provide access to 

EMTS resources on the EPA's EMTS website. To access contact information for the various EMTS support 

lines, you can click the "Contact Us" link located on each screen of EMTS. Further information can be found 

in Section 8 of these transaction instructions, "How Do I Contact EMTS Support?"

Figure 5-32 shows where to find help on EMTS and Figure 5-33 is the Help page.
Section 5 5-40

Figure 5-32: Help Links
Section 5 5-41

Figure 5-33: Help Page
Who should read Section 6: 

Information Technology and Data Preparers who 

are responsible for implementing the EMTS 

schema and submitting XML files to EMTS.

What you will find in Section 6: 

This section provides an overview of the EMTS 

schema and detailed instructions on how to 

report data using the new file format. This 

section also includes instructions on how to 

submit your file using a node on EPA's Exchange 

Network.

Exchange Node 2.0

The EMTS node is 2.0 compliant. 

This section includes specifications 

for 2.0 exchanges.

Section 6: How Do I Report Transactions Using XML Files?

This section provides instructions on using EPA 

Moderated Transaction System (EMTS) schema to 

submit data to EMTS. This includes:

● A brief overview of using EPA's exchange 

network;

● Best practices for preparing and formatting 

data for EMTS;

● How to submit your file; and

● Detailed instructions for all transaction 

types.

For information on the resources available from EPA to convert your data into an XML document, see 

http://www.epa.gov/otaq/fuels/renewablefuels/epamts.htm. 

6.1 What Are the Steps to Submitting My File?

The following are basic steps to submitting your file to EMTS. 

Please note that these are general instructions; personal nodes 

and node clients may behave differently.

1. Create a single XML file which includes both the Exchange 

Header 2.0 document and your EMTS XML file.

2. Compress the XML file. This step may be done automatically by your node client software. 

3. Log into your node client or the CDX Exchange Network web client with your CDX credentials, and 

select the "submit" option.

4. Create a description for the submission, select the EMTS destination node and dataflow, and choose 

your file to submit.

5. After you submit the file, the node will transmit your submit request to the EMTS node via the 

Exchange Network.

6. EMTS will receive the submit request, decompress the XML file, and process its contents.
Section 6 6-2 

6.2 What Is the Purpose of an XML Schema?

An XML schema is the definition that constrains the structure and content of an XML document. It is 

written in XML schema language as defined by the World Wide Web Consortium (W3C). An XML schema 

defines:

● The elements and attributes that are expected;

● The allowable data types for each element;

● The hierarchy and order in which elements must appear; 

● Which elements are optional and which are required; and

● The maximum number of occurrences allowed for each element.

Like the architectural blueprint that describes the structural design of a house, an XML schema describes 

the structural design of an XML file. Files submitted to EMTS are accepted or not accepted based on their 

conformity to the EMTS XML schema. 

6.2.1 General Principles Used in Developing EMTS

XML schemas can be created in many different ways; however, there are principles that govern the 

definition and use of the EMTS schema for reporting transactions. The following approach to developing 

and managing the EMTS XML schema has been adopted.

● XML element tag names adhere as closely as possible to EPA's XML data standards. Information 

about EPA's XML data standards can be found at EPA Data Registry Services: 

http://iaspub.epa.gov/sor_internet/registry/datastds/findadatastandard/epaapproved/.

● XML element tag names are specific to a transaction category where possible in order to minimize 

ambiguity (e.g., "GenerateTransactionComment" rather than "Comment").

● No two elements share the same tag name. XML elements are defined unambiguously. 

● Tag names are understandable to both data preparers and information technology staff.

● The EMTS schema was not designed to minimize submitted file size. See Section 6.5.3 for best 

practices on the size and content limits for file submission.

● The EMTS schema contains few restrictions on the content of the submission, and is limited 

primarily to indicating whether the submission is a valid and well-formed XML file. The schema 

contains some business rules; however, these are limited to the semantic properties of the file 

structure. Additional business rules are applied to the content of the XML file after the data have 

been submitted to EMTS. This allows more flexible management of quality assurance checks and 

more informative feedback on check results. The submitter will receive feedback on all business 

checks and technical checks through a feedback report available on the EMTS website. For 
Section 6 6-3 

more information on the EMTS QA approach, see Appendix C, "QA Checks."

● Conforms to EPA Guidelines.

6.3 Codes, Identifiers, and Data Types

The following section provides guidance on how to report certain types of data content.

6.3.1 How Do I Report Codes? 

If the last word in an XML tag is "code," the element must contain a value from a code 

list. A complete list of codes can be found on EPA's EMTS website at 

http://www.epa.gov/otaq/fuels/renewablefuels/emtshtml/emtsdocuments.htm. Codes are validated by the 

EMTS QA check process for appropriate use given an organization's business activities. Some code tables 

may change over time. If codes change, a new version of the schema will be released; the new codes will be 

published in the EMTS Transaction Instructions and incorporated in the QA Check process. 

6.3.2 How Do I Report Comments and Additional Information? 

If an XML tag contains the word "comment," it is generally an optional element in which you can provide 

explanations, caveats, or any other information about the data in the schema. In some cases, you may be 

required to provide a comment based on the reason code you provide. 

6.3.3 How Do I Report Identifiers?

If an XML tag contains the word "identifier," it must contain the specific alphanumeric identifier assigned 

by EPA to an organization or facility site. Both Organization and Facility identifiers are assigned by EPA 

once you have completed registration through the OTAQReg Fuels Programs Registration system. These 

identifiers should always be included in your submission file when identifying your organization, or if you 

are identifying the generating source of the renewable fuel. You must always identify your organization as 

the source of the submission. 

6.3.3.1 Organization Identifiers

The four-digit numeric public identifier assigned by EPA is used to identify your organization and should be 

reported for all submission files. 

Several transaction types require you to either identify an organization's identification number as a trading 

partner (sell and buy transactions) or give you the option to identify the originating source of the fuel. In 

either case, you must identify the trading partner organization or originating source organization using the 

public identifier. 
Section 6 6-4 

6.3.4 Data Types

Most data types in the EMTS schema are string, date, year, and number. Each data element will have a 

length or a precision assigned that is constrained in the schema. Data which are not consistent with the 

formats defined in the schema will fail schema validation, causing the submission file to fail.

6.3.4.1 Dates and Years

All date and year tags are handled as xsd:date and xsd:gYear in the schema. 

● Date – If a tag name contains the word "date," the data element is for a specific day. These should 

be represented as an eight-digit sequence of numeric characters in a string format of YYYY-MM-DD 

and should include leading zeros between the representative elements containing only one digit. 

For example August 7, 2009 is 2009-08-07. 

● Year – If a tag name contains the word "year," the data element is for a calendar year. This data 

should be reported as a four-digit sequence of numeric characters in a string format of YYYY, 

otherwise, if not required, it may be left null. 

6.3.4.2 Reporting Numbers

There are several different reporting formats for numbers. The schema allows for various precisions; 

however, you are expected to report numeric values as prescribed in the schema for each numeric data 

type. 

The following table describes each numeric data type and an example of what to report in EMTS.
Section 6 6-5 

Figure 6-1: Reporting Formats for Numbers

Content Type Reporting Format Example

Integer (width) Whole number (no decimal places, preceding zeroes 

not retained).

Width = Maximum number of digits allowed.

Int (3)

Valid: 2, 15, 930

Invalid: 4000, -1 

Decimal (width, scale) Decimal number with fixed number of decimal places.

Width = Maximum number of digits including 

those on both sides of the decimal point, and 

includes the decimal point.

Scale = Number of decimal places; that is, digits to 

the right of the decimal point.

Dec (5, 1)

Valid: 100.0, 34.6, 0.3, 0.0

Invalid: 99.75, 256.45

● Precision – Precision refers to the number of significant digits provided in the number of decimal 

places for a fixed decimal number. The EMTS schema will enforce numbers be reported in the 

proper precision. 

6.4 Constructing the XML File

The following section explains how to create an EMTS conformant XML document. It includes advice on 

best practices for reporting your data as well as how to construct your XML document. 

6.4.1 Will the Conversion Tool Create a Valid XML File?

For users that do not have the technical capabilities to modify their systems to produce valid XML, EPA 

provides a conversion tool that will convert XLS, CSV, or TXT files. EPA provides a standard template for 

the XLS or TXT data. You can output your data into the XLS template then use these data files as inputs to 

the Conversion Tool. The tool will output valid EMTS XML files; however, the tool will not check 

for business content or valid code numbers. For more information on the Conversion Tool, see 

http://www.epa.gov/otaq/fuels/renewablefuels/epamts.htm. 

6.4.2 Is There a Limit on the Size of the Submission File?

There are no business rules that limit the size of the file during transport through the Exchange Network. 

However, you are strongly encouraged to submit sell transactions prior to the receiving party submitting 

their corresponding buy transactions, so you may consider categorizing your submissions into two 

submission types: all sell transactions and all other transactions. During peak submission periods, which 

are expected to occur in January and February, a substantially larger number of files are expected to be 
Section 6 6-6 

submitted which may delay EMTS's response time. These files will be placed in the system's queue and 

processed as in a first-come, first-serve order. 

If your file contains one or more critical errors, the file will not be processed and you will receive a 

notification indicating that your submission has failed. You must correct the critical errors and resubmit 

your file. Therefore, limiting the contents of your file to include a smaller number of transactions is a good 

practice, likely resulting in smaller feedback reports and fewer submission failures. You can also expect 

better response times submitting smaller files over the Exchange Network and when downloading your 

feedback reports.

6.4.3 Schema Validation

The following section describes the various tools that are available and validation rules you should 

implement prior to submitting your XML document to EMTS. This includes information on how to validate 

your XML document, the built-in constraints that the schema will enforce, and the cardinality rules that you 

should avoid when constructing your data.

6.4.3.1 Validating Your File Prior to Submission

Before submitting your file to the EMTS dataflow, you should validate your XML file against the 

EMTS_Schema_v1.1.xsd file structure. This will ensure that your file is well-formed and valid. You can do 

this by using one of several tools found at EPA's http://tools.epacdxnode.net/.

EMTS contains few validation business rules regarding the content of the submission; however, data types 

are constrained. You will receive all business logic checks, including invalid reporting codes used through a 

feedback report available on the EMTS website once the quality assurance checking process has completed. 

For more information on the QA approach with EMTS, see Section 4.2.4.

6.4.4 Submitting Your File

All file submissions require the user to have an authorized CDX account and access to the EMTS dataflow. 

All files must utilize EPA's Exchange Network to transport files. EPA's network of nodes makes it possible 

for users to exchange data with other exchanges, providing their organizations have nodes. However, not 

all organizations will have nodes. 

Once files are pushed into the data flow, CDX will submit the XML document to the EMTS back-end node. 

Once the EMTS back-end node accepts the XML file it generates submittal identification information and 

begins processing the data content within the payload. For more information regarding obtaining and 

installing a node on your server, please see www.epa.gov/cdx.

6.4.5 Quality Assurance and Receiving Feedback

After you have submitted your file, you will receive an email with information about your submission. If 

there were errors in processing the data, you will receive information in a feedback report, which indicates 
Section 6 6-7 

Converter Tool

Data that have been converted by 

EPA's XML Converter Tool may not 

contain all the required data 

based on the content of the input 

files used. 

critical errors and potential issues. You are expected to correct the problems with your data content or the 

XML document structure and resubmit the file. After EMTS processes the payload content, the resulting 

data can be viewed on the EMTS website. In all cases, you will receive notification when the processing of 

your data is complete; however during peak load periods, the response time may be slow.

6.5 Overview of Major Data Blocks

The following section contains information on the major groupings of data in the EMTS schema. This 

section describes the basic XML blocks that are used for reporting the various transaction types: generate, 

separate, sell, buy, and retire. For each transaction type, a table of data elements including the data type, 

name of the XML tag name, required indicator, and description is provided. In addition, if a critical check is 

applied to the data, the description and reference number to the check is provided. You can see the 

complete list of checks in Appendix C, "QA Checks." If a data element is referenced as a complex type, there 

will be another table that documents the elements for that complex type.

Supporting implementation documents can be found on the following website: 

http://www.exchangenetwork.net/exchanges/air/. In addition to EMTS, the flow configuration document 

(FCD), data exchange template (DET), and sample XML documents are available for download on the 

Exchange Network site.

6.5.1 EMTS Root Elements

The elements under the EMTS root must be included in every 

submission. These XML elements identify the person who 

prepared the data along with organization identifiers. If different 

people within your organization are responsible for different 

transactions, consider submitting separate submission files for 

each person responsible for the preparation of the data.

How these data elements are processed: The root elements 

identify the person who has prepared the data, and the date on 

which the file was created by the user. The identity of the organization can be referenced by the public 

identifier.

The root elements are reported once in the entire submission file; however, you must report at least one 

associated transaction (such as a generate transaction). The root elements in the submission file will be 

stored in the EMTS website in association with each transaction submitted in the file.
Section 6 6-8 

Figure 6-8: EMTS Root Elements

Data Element QA Check

Data Type Name Required Description Description Number

xsd:string UserLoginText Yes The CDX user login of 

the party responsible 

for preparing the 

submission file.

The user specified 

in the submission 

file must be 

actively registered 

with CDX and have 

permission to 

participate in 

EMTS.

2000

The user specified 

in the submission 

file must have an 

active association 

with the 

organization for 

which he is 

submitting data.

2001

The user specified 

in the submission 

file must be 

authorized to 

perform the 

requested 

transactions on 

behalf of the 

organization.

2002

xsd:date SubmittalCreationDate Yes The date that the 

submission file was 

created.

The submission 

date associated 

with the 

submission file 

may not be a date 

occurring in the 

future.

2008

(cont.)
Section 6 6-9 

Figure 6-8: EMTS Root Elements (cont.)

Data Element QA Check

Data Type Name Required Description Description Number

xsd:string OrganizationIdentifier Yes The public 

identification number 

for the organization as 

designated by 

OTAQReg. 

The organization in 

the submission file 

must be registered 

with EPA and be 

2005

The organization's 

RIN Holding 

Account must be 

active.

2006

xsd:string SubmittalCommentText No Comment provided by 

the user on submission 

file.

complex GenerateTransactionDetail No Information on the 

RINs being generated.

complex SeparateTransactionDetail No Information on RINs 

being separated.

complex SellTransactionDetail No Information on RINs 

being sold.

complex BuyTransactionDetail No Information on RINs 

being bought.

complex RetireTransactionDetail No Information on RINs 

being retired.

6.5.2 Generating RINs

The complex type GenerateTransactionDetail is used to report RINs that have been generated as a result 

of fuel production. This transaction type requires basic information regarding the production of the fuel, 

the feedstock used, and the co-products that were created from the process. For each generate transaction, 

you must report at least one feedstock. 

How these data elements are processed: All data elements that are identified as required must be 

reported. The fuel, feedstock, and process that you report to EMTS must be one of the fuels, feedstocks, and 

processes you registered for your organization in the OTAQReg Fuels Programs Registration system. If you 

report an unregistered code, your submission file will not pass critical QA checks and your file will fail to be 

processed. In some cases, based on fuel reported and process identified, you will need to report denaturant 
Section 6 6-10

volume in addition to the batch volume. The equivalence value that you report must also be applicable for 

the fuel type, process, and biomass indication for feedstock used. See Section 5.4.1.1 for determining how 

to determine your equivalence value.

By default, it is assumed that your organization is the producer of the renewable fuel. You need only report 

the number of the facility where the fuel was produced and the unique identification of the batch number 

for the fuel in the complex type GenerateOriginatingSourceDetail. If, however, you are an importer and 

the fuel has been produced at a foreign facility, you will need to identify both the organization identifier 

and the facility identifier of the foreign producer. These identifiers are required to be provided on records 

by the foreign producer.

Report the feedstock used in the production of the fuel using the FeedstockDetail complex type. You must 

report at least one feedstock, including the volume and unit of measure. In addition, you must affirm that 

the feedstock meets the definition of renewable biomass. If any co-products result from the process, you 

must report the co-product code in the CoProductDetail complex type. 

If you need to provide supporting information regarding the generation, such as document 

identifiers or notes, use the GenerateSupportingDocumentDetail complex type. Use this 

complex type to create user-defined information by providing the type of document that contains 

the information and an identification number or code for the document. 

Figures 6-9, 6-10, 6-11, and 6-12 below show the data elements for GenerateTransactionDetail, 

GenerateOriginatingSourceDetail, FeedstockDetail, and CoProductDetail.
Section 6 6-11

Figure 6-9: Data Elements for GenerateTransactionDetail

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:positiveInteger RINQuantity Yes The total number 

of RINs specified 

in the 

transaction.

RIN Quantity 

must equal the 

product of 

Batch Volume 

and 

Equivalence 

Value.

3022

xsd:positiveInteger BatchVolume Yes The volume of 

renewable fuel 

associated with a 

batch number 

designated by 

the producing 

facility.

RIN Quantity 

must equal the 

product of 

Batch Volume 

and 

Equivalence 

Value.

3022

xsd:string FuelCode Yes The renewable 

fuel code for the 

RINs being 

separated as 

defined in Part M 

Section 80.1426.

The fuel code 

reported must 

be registered 

with EPA.

3032

The fuel code 

reported in the 

production of 

fuel must be a 

valid code that 

is recognized by 

EPA.

3034

The fuel code 

reported must 

be compatible 

with the fuel 

category used 

in the 

production of 

fuel.

3040

(cont.)
Section 6 6-12

Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

 The fuel code 

and fuel 

category 

reported must 

be compatible 

with the 

process used in 

the production 

of fuel.

3041

xsd:string FuelCategory Yes The type of fuel 

that has been 

produced.

If "Ethanol" or 

"Cellulosic 

Ethanol" RINs 

are reported in 

the generate 

transaction, 

then 

denaturant 

volume must 

be reported.

3013

The fuel 

category code 

reported in the 

production of 

fuel must be a 

valid code that 

is recognized by 

EPA.

3033

xsd:date ProductionDate Yes The date the 

renewable fuel 

was produced as 

designated by 

the producing 

facility.

The production 

date must not 

occur after the 

date specified 

in submittal 

data.

3011

(cont.)
Section 6 6-13

Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:date ProductionDate Yes The date the 

renewable fuel 

was produced as 

designated by 

the producing 

facility.

The production 

date must not 

occur after the 

date specified 

in submittal 

data.

3011

The production 

date of the fuel 

must fall within 

the RIN Year 

range defined 

by the RIN 

Years Allowed 

parameter.

3028

Production 

date must be

within the last 

five business 

days per 40 CFR 

80.1452(b). 

3055

xsd:string ProcessCode Yes A code that 

identifies the 

process used for 

producing the 

renewable fuel.

The process 

code reported 

in the 

production of 

fuel must be 

registered with 

EPA.

3007

(cont.)
Section 6 6-14

Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

 The process 

code reported 

in the 

production of 

fuel must be a 

valid code that 

is recognized 

by EPA.

3024

xsd:positiveInteger DenaturantVolume No The volume of 

non-renewable 

fuel added to a 

volume of 

ethanol to create

the BatchVolume 

for a given 

BatchNumber of 

renewable fuel.

If denaturant 

volume is 

reported, then 

"Ethanol" or 

"Cellulosic 

Ethanol" must 

be reported.

3014

When 

denaturant 

gallons are 

reported for 

ethanol fuel, 

the amount 

specified 

cannot exceed 

two percent of 

the total 

volume of fuel 

produced.

3016

(cont.)
Section 6 6-15

Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:decimal EquivalenceValue No A multiplier 

applied to Batch 

Volume to 

determine the 

number of RINs 

that will be 

generated per 

gallon of 

renewable fuel.

The 

equivalence 

value reported 

may not exceed 

the specified 

value for the 

fuel type 

produced.

3026

xsd:string ImportFacilityIdentifier No The facility 

identifier, as 

registered in 

OTAQReg, of the 

plant from which 

the fuel was 

imported.

If the generate 

organization 

differs from the 

submitting 

organization 

then the Import 

Facility 

Identifier is 

required.

3047

If the import 

facility is 

provided, it 

must be 

registered with 

the EPA and 

active.

3048

Import Facility 

Identifier not 

allowed if not 

importing fuel.

3049

(cont.)
Section 6 6-16

Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

 If the 

submitting 

organization is 

only a 

renewable fuel 

importer, then 

they must 

provide an 

Import Facility 

Identifier.

3050

 If the Import 

Facility 

Identifier is 

populated, 

then the 

submitting 

organization 

must be a 

renewable fuel 

importer.

3051

 The import 

facility number 

specified must 

be unique for 

the 

organization.

3053

xsd:string TransactionDetailCommentText No Comment 

provided by the 

user on the 

transaction.

(cont.)
Section 6 6-17

Figure 6-9: Data Elements for GenerateTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

complex GenerateSupportingDocumentDetail No Information for 

the industry user 

to create user 

defined data to 

report 

supporting 

document 

identifiers.

complex GenerateOriginatingSourceDetail Yes Information on 

the original 

renewable fuel 

production.

complex FeedstockDetail Yes Information on 

the types of 

feedstock used 

to produce fuel.

complex CoProductDetail No Information on 

the one or more 

co-products that 

result from the 

renewable fuel 

production 

process.
Section 6 6-18

Figure 6-10: Data Elements for GenerateOriginatingSourceDetail

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:string GenerateOrganizationIdentifier No The organization 

identifier, as registered 

in OTAQReg, for the 

organization that 

produced the fuel.

If the generate 

organization is 

different than the 

submitting 

organization 

identifier, then the 

organization must be 

an importer.

3000

If the generate 

organization is 

provided, then it 

must be registered 

with EPA and be 

active.

3001

If the generate 

organization differs 

from the submitting 

organization then 

the generating 

organization must be 

a Foreign Producer.

3045

xsd:string GenerateFacilityIdentifier Yes The facility identifier, as 

registered in OTAQReg, 

for the facility that 

produced the fuel.

For generate 

transactions, the 

generate facility 

identifier must be 

provided.

3002

The generate facility 

specified in the 

submission file must 

be registered with 

EPA and be active.

3003

(cont.)
Section 6 6-19

Figure 6-10: Data Elements for GenerateOriginatingSourceDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

 If generate 

organization is 

provided, then

generate facility 

must be actively 

associated with the 

generate 

organization.

3004

If generate 

organization is not 

provided, then the 

generate facility 

must be actively 

associated with the 

submitting 

organization.

3005

The generate facility 

number specified 

must be unique for 

the organization.

3052

xsd:string BatchNumberText Yes The batch number for 

the renewable fuel as 

designated by the 

producing facility.

Batch number must 

be provided.

3018

Batch number must 

be unique for an 

organization, facility, 

and RIN year.

3019
Section 6 6-20

Figure 6-11: Data Elements for FeedstockDetail

Data Element QA Check

Data Type Name Required Description Description Number

xsd:string FeedstockCode Yes A code that 

identifies the 

feedstock used to 

produce the 

renewable fuel 

associated with the 

batch number.

The feedstock 

reported in the 

production of 

fuel must be 

registered with 

EPA.

3008

The feedstock 

code reported in 

the production of 

fuel must be a 

valid code that is 

recognized by 

EPA.

3023

The feedstock 

reported must be 

compatible with 

the fuel code, 

fuel category, 

and process used 

in the production 

of fuel.

3042

xsd:boolean RenewableBiomassIndicator Yes An indicator 

whether the 

feedstock used 

qualifies as 

renewable biomass.

If RINs are 

generated (RIN 

Quantity greater 

than or equal to 

"1"), then at least 

one of the 

specified 

feedstocks must 

be indicated as 

"Renewable 

Biomass."

3030

(cont.)
Section 6 6-21

Figure 6-11: Data Elements for FeedstockDetail (cont.)

Data Element QA Check

Data Type Name Required Description Description Number

xsd:decimal FeedstockQuantity Yes Total quantity of 

feedstock used in 

production of the 

fuel.

xsd:string FeedstockMeasure Yes The unit of measure 

for the feedstock 

volume.

The feedstock 

measure code 

reported in the 

production of 

fuel must be a 

valid code that is 

recognized by 

EPA.

3027

Figure 6-12: Data Elements for CoProductDetail

Data Element QA Check

Data Type Name Required Description Description Number

xsd:string CoProductCode Yes A code that 

identifies 

the coproduct 

created from 

the 

renewable 

fuel process.

The co-product code 

reported in the 

production of fuel must 

be a valid code that is 

recognized by EPA.

3025

6.5.3 Separating RINs

To identify that RINs have been separated from the fuel, you will report this information using the 

SeparateTransactionDetail complex type.

How these data elements are processed: Separating RINs requires that you identify the number of RINs 

being separated and the volume of fuel from which the RINs are being separated. The preferred method to 

separate a quantity of RINs from any fuel is to specify the RINQuantity, batch volume, fuel code, and the 

year in which the fuel was produced. By default, EMTS will find the oldest batch of assigned fuel in your 
Section 6 6-22

inventory and separate the RINs. This ensures that you are separating, on a first-in, first-out (FIFO) basis, 

the earliest RINs that you own as defined by production date. 

If you as a party have been delegated to perform the separate transaction by a small blender (a blender that 

blends less than 125,000 gallons per year), then you must report both the name and public identifier of the 

small blender in the BlenderOrganizationIdentifier and BlenderOrganizationName data elements.

If you need to provide supporting information regarding the separation, such as document identifiers or 

notes, use the SeparateSupportingDocumentDetail complex type. Use this complex type to create userdefined information by providing the type of document that contains the information and an identification 

number or code for the document. For example, if you wish to report an invoice number, place "invoice" as 

the text for SupportingDocumentText and the invoice number for SupportingDocumentNumber.

If you wish to identify a specific batch of fuel to be separated, you can do so by using the 

SeparateOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try 

to match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the 

batch cannot be found, the transaction will fail. 

Figure 6-13 shows the data elements for SeparateTransactionDetail.
Section 6 6-23

Figure 6-13: Data Elements for SeparateTransactionDetail

Data Element QA Check

Data Type Name Required Description Description Number

xsd:positiveInteger RINQuantity Yes The total 

number of 

RINs specified 

in the 

transaction.

The organization 

must have 

enough available 

RINs in its holding 

account to 

complete the 

transaction.

5900

For assigned RINs 

that are being 

separated from a 

volume of fuel, 

the ratio of RINs 

to fuel must be 

greater than "0" 

but less than 

"2.5."

5032

xsd:decimal BatchVolume Yes The volume of 

renewable 

fuel for which 

RINs are being 

separated.

For assigned RINs 

that are being 

separated from a 

volume of fuel, 

the ratio of RINs 

to fuel must be 

greater than "0" 

but less than 

"2.5."

5032

xsd:string FuelCode Yes The 

renewable 

fuel code for 

the RINs being 

separated as 

defined in 

Part M 

Section 

80.1426.

The fuel code 

reported must be 

a valid code that 

is recognized by 

EPA.

5024

(cont.)
Section 6 6-24

Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)

Data Element QA Check

Data Type Name Required Description Description Number

xsd:gYear RINYear Yes The RIN year 

is the year in 

which the fuel 

is produced.

The RIN year 

cannot be in the 

future.

5019

The requested 

RIN Year must fall 

within the RIN 

Year range 

defined by the 

RIN Years Allowed 

parameter.

5028

xsd:string SeparateReasonCode Yes This code 

identifies the 

reason for a 

separate 

transaction.

The allowable 

reason code 

reported by an 

organization 

when separating 

RINS are 

dependent on 

their business 

activities as 

registered with 

EPA.

5035

The reason code 

reported must be 

a valid code that 

is recognized by 

EPA.

5037

(cont.)
Section 6 6-25

Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)

Data Element QA Check

Data Type Name Required Description Description Number

 If a Blender 

Organization ID or 

Blender Name is 

reported then 

separate reason 

"Upward 

Delegation" must 

also be reported.

5040

If the organization 

specifies "Delayed 

RIN Separate" as 

the reason code, 

then the fuel code 

may not be 

Renewable Fuel 

(D = 6).

5046

xsd:date TransactionDate Yes The date of 

the RIN 

transaction.

The Transaction 

Date must be 

within the last 10

business days. 

5055

xsd:string BlenderOrganizationIdentifier No The public 

identification 

number for 

the blending 

organization 

as designated 

by OTAQReg. 

The blender 

organization 

name and blender 

organization 

identifier must be 

specified when 

identifying 

"Upstream 

Delegation for 

Blending" as the 

separation 

reason.

5033

(cont.)
Section 6 6-26

Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)

Data Element QA Check

Data Type Name Required Description Description Number

 If a blender 

organization is 

provided, then it 

must be 

registered with 

EPA and be 

active.

5034

If a Blender 

organization is 

specified then the 

organization must 

have a business 

activity of small 

blender.

5036

xsd:string BlenderOrganizationName No Name of the 

organization 

that is 

blending the 

fuel.

The blender 

organization 

name and blender 

organization 

identifier must be 

specified when 

identifying 

"Upstream 

Delegation for 

Blending" as the 

separation 

reason.

5033

xsd:string TransactionDetailCommentText No Comment 

provided by 

the user on 

the 

transaction.

(cont.) 
Section 6 6-27

Figure 6-13: Data Elements for SeparateTransactionDetail (cont.)

Data Element QA Check

Data Type Name Required Description Description Number

complex SeparateSupportingDocumentDetail No Information 

for the 

industry user 

to create user 

defined data 

to report 

supporting 

document 

identifiers.

complex SeparateOriginatingSourceDetail No Information 

on the original 

renewable 

fuel 

production.

6.5.4 Selling RINs

The complex type SellTransactionDetail is used to report RINs that are being traded to another 

organization as a result of a sell transaction. This transaction type requires basic information regarding the 

quantity of RINs, fuel code, and year in which the fuel was produced.

How these data elements are processed: Selling RINs requires that you identify the number of RINs 

being sold and the trading partner (or buyer) to whom you are selling the RINs. The preferred method to 

sell a quantity of RINs is to specify the RINQuantity, batch volume (required if the RINs are assigned), fuel 

code, assignment code, and the year in which the fuel was produced. EMTS will find the oldest batch of fuel 

you acquired that matches these characteristics in your inventory. This ensures that you are selling one or 

more batches, on a first-in, first-out (FIFO) basis, the earliest RINs that you own as defined by production 

date. You must provide a reason for why you are selling the RINs. In addition, you must provide either the 

agreed upon price per RIN or the price per gallon established between you and the buyer.

If you need to provide supporting information regarding the sell of RINs, such as document identifiers or 

notes, use the SellSupportingDocumentDetail complex type. Use this complex type to create user-defined 

information by providing the type of document that contains the information and an identification number 

or code for the document. For example, if you wish to report an invoice number, place "invoice" as the text 

for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to 

make this information available to your trading partner, use the PublicSupportingDocumentDetail

complex type. 
Section 6 6-28

If you wish to identify a specific batch of fuel to be sold, you can do so by using the 

SellOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to 

match the specific batch in your RIN Holding Account; however, if you no longer own these RINs or the 

batch cannot be found, the transaction will fail. 

Figure 6-14 shows the data elements for SellTransactionDetail.

Figure 6-14: Data Elements for SellTransactionDetail

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:string TransactionPa

rtnerOrganiza

tion

Identifier

Yes This identifies 

the buyer 

organization 

for a sell 

transaction or 

the selling 

organization 

for the buy 

transaction 

using either 

the 

OrganizationI

dentifier 

designated by 

OTAQReg.

The 

transaction 

partner 

organization 

must be 

registered at 

EPA and be 

active.

6018

xsd:string TransactionPa

rtnerOrganiza

tionName

Yes The name of 

the 

organization 

trading 

partner.

(cont.)
Section 6 6-29

Figure 6-14: Data Elements for SellTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:positive

Integer

RINQuantity Yes The total 

number of 

RINs specified 

in the 

transaction.

The 

organization 

must have 

enough 

available RINs 

in its holding 

account to 

complete the 

transaction.

6900

xsd:decimal BatchVolume No The volume of 

renewable 

fuel sold in 

the 

transaction.

If the 

assignment 

code is "1," 

then batch 

volume must 

be specified.

6011

For assigned 

RINs that are 

being sold, 

the ratio of 

RINs to fuel 

must be 

greater than 0 

but less than 

2.5.

6032

Batch Volume 

must be 

specified if 

Gallon Price is 

specified.

6054

(cont..)
Section 6 6-30

Figure 6-14: Data Elements for SellTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:string FuelCode Yes The 

renewable 

fuel code for 

the RINs 

being sold as 

defined in 40 

CFR Section 

80.1426.

The fuel code 

reported 

must be a 

valid code 

that is 

recognized by 

EPA.

6024

xsd:string AssignmentCo

de

Yes A code that 

indicates 

whether the 

RIN is 

transacting as 

an assigned 

RIN or a 

separated 

RIN.

If the 

assignment 

code is "1," 

then batch 

volume must 

be specified.

6011

The 

assignment 

code reported 

must be a 

valid code 

that is 

recognized by 

EPA.

6025

(cont.)
Section 6 6-31

Figure 6-14: Data Elements for SellTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:gYear RINYear Yes The RIN year 

is the year in 

which the fuel 

is produced.

RIN Year may 

not be greater 

than the year 

associated 

with the 

specified 

Transfer Date. 

6019

The 

requested RIN 

Year must fall 

within the RIN 

Year range 

defined by 

the RIN Years 

Allowed 

parameter.

6028

(cont.)
Section 6 6-32

Figure 6-14: Data Elements for SellTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:string SellReasonCo

de

Yes This code 

identifies the 

reason for a 

sell 

transaction.

The allowable 

reason code 

reported by 

an 

organization 

when selling 

RINS are 

dependent on 

their business 

activities as 

registered 

with EPA.

6035

A “Cancel” 

trade must 

match a 

pending 

trade.

6041

"Incorrect 

Trading 

Partner" can 

only be 

reported for 

assigned RINs.

6045

xsd:decimal RINPriceAmo

unt

No Price paid per 

RIN.

The RIN price 

or gallon price 

must be 

provided. 

6036

xsd:decimal GallonPriceA

mount

No Price paid per 

gallon of 

renewable 

fuel.

The RIN price 

or gallon price 

must be 

provided. 

6036

(cont.)
Section 6 6-33

Figure 6-14: Data Elements for SellTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:date TransferDate Yes The date of 

the RIN 

transaction.

The transfer 

date specified 

may not occur 

in the future.

6020

Transfer date 

must be 

within the last 

5 business 

days per 40 

CFR 

80.1452(b). 

6055

xsd:string PTDNumber No The PTD 

number 

associated 

with the 

transaction.

xsd:string MatchingTran

sactionIdentifi

er

No The EMTS 

Transaction ID 

of the 

pending buy 

transaction.

If the sell 

transaction 

has a 

matched buy 

transaction 

ID, the 

transaction 

must be in a 

pending state.

6016

(cont.)
Section 6 6-34

Figure 6-14: Data Elements for SellTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

If the sell 

transaction 

has a 

matched buy 

transaction 

ID, the 

transaction 

must match 

on trade 

matching 

criteria.

6017

xsd:string TransactionD

etailComment

Text

No Comment 

provided by 

the user on 

the 

transaction.

If reason 

"Standard 

Trade" or 

"Cancel" is 

not provided 

for a sell 

transaction 

then a 

comment 

must be 

provided.

6037

complex PublicSupport

ingDocument

Detail

No Industry user 

defined data 

to report 

supporting 

document 

identifiers 

which are 

visible to the 

organization’s 

trading 

partner.

(cont.)
Section 6 6-35

Figure 6-14: Data Elements for SellTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

complex SellSupportin

gDocumentD

etail

No Information 

for the 

industry user 

to create user 

defined data 

to report 

supporting 

document 

identifiers.

complex SellOriginatin

gSourceDetail

No Information 

on the 

original 

renewable 

fuel 

production.

6.5.5 Buying RINs

The complex type BuyTransactionDetail is used to acquire RINs that are being traded from another 

organization as a result of a sell transaction. This transaction type requires basic information regarding the 

quantity of RINs, fuel code, and year in which the fuel was produced.

How these data elements are processed: Buying RINs requires that you identify the number of RINs 

being sold and the trading partner (or seller) you are buying RINs from. 

One method is to wait for a sell transaction to be sent to you with the specifications for the quantity of RINs, 

batch volume, fuel code, assignment code, and the year in which the fuel was produced. You should use 

these exact specifications when responding to the sell transaction. EMTS will match these specifications to 

any existing sell transactions that are pending with your trading partner and complete the trade. You may 

also initiate a buy transaction prior to the seller sending you a notification. If your buy transaction is 

received by EMTS before the seller has initiated a sell transaction, your request will be queued until a 

matching sell has been submitted to EMTS by the seller. If the seller does not respond to your buy request 

within ten business days, the trade will expire. In both cases, a record of this incomplete submission is 

recorded in EMTS.
Section 6 6-36

You must provide a reason for why you are buying RINs. In addition, you must provide either the agreed 

upon price per RIN or the price per gallon established between you and the seller.

If you need to provide supporting information regarding the trade, such as document identifiers or notes, 

use the BuySupportingDocumentDetail complex type. Use this complex type to create user-defined 

information by providing the type of document that contains the information and an identification number 

or code for the document. For example, if you wish to report an invoice number, place "invoice" as the text 

for SupportingDocumentText and the invoice number for SupportingDocumentNumber. If you wish to 

make this information available to your trading partner, use the PublicSupportingDocumentDetail

complex type. 

If you wish to identify a specific batch of fuel to be sold, you can do so by using the 

BuyOriginatingSourceDetail complex type to identify the facility and batch number. EMTS will try to 

match the specific batch in the seller's RIN Holding Account; however, if the batch cannot be found, the 

transaction will fail. 

Figure 6-15 shows the data elements for BuyTransactionDetail. 
Section 6 6-37

Figure 6-15: Data Elements for BuyTransactionDetail

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:string TransactionPartnerOrganization

Identifier

Yes This identifies the buyer 

organization for a sell 

transaction or the selling 

organization for the buy 

transaction using either 

the 

OrganizationIdentifier 

designated by OTAQReg.

The transaction 

partner 

organization 

must be 

registered at 

EPA and be 

active.

4018

xsd:string TransactionPartnerOrganization

Name

Yes The name of the 

organization trading 

partner.

xsd:positive

Integer

RINQuantity Yes The total number of RINs 

specified in the 

transaction.

xsd:decimal BatchVolume No The volume of 

renewable fuel sold in 

the transaction.

If the 

assignment code 

is "1," then 

batch volume 

must be 

specified.

4011

For assigned 

RINs that are 

being bought, 

the ratio of RINs 

to fuel must be 

greater than 0 

but less than 

2.5.

4032

Batch Volume 

must be 

specified if 

Gallon Price is 

specified.

4054

(cont.)
Section 6 6-38

Figure 6-15: Data Elements for BuyTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:string FuelCode Yes The renewable fuel code 

for the RINs being sold 

as defined in 40 CFR 

Section 80.1426.

The fuel code 

reported must 

be a valid code 

that is 

recognized by 

EPA.

4024

xsd:string AssignmentCode Yes A code that indicates 

whether the RIN is 

transacting as an 

assigned RIN or a 

separated RIN.

If assignment 

code is "1," then 

the batch 

volume must be 

specified.

4011

The assignment 

code reported 

must be a valid 

code that is 

recognized by 

EPA.

4025

xsd:gYear RINYear Yes The RIN year is the year 

in which the fuel is 

produced.

RIN Year may 

not be greater 

than the year 

associated with 

the specified 

Transfer date. 

4019

The requested 

RIN Year must 

fall within the 

RIN Year range 

defined by the 

RIN Years 

Allowed 

parameter.

4028

(cont.)
Section 6 6-39

Figure 6-15: Data Elements for BuyTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

xsd:string BuyReasonCode Yes This code identifies the 

reason for a buy 

transaction.

The allowable 

reason code 

reported by an 

organization 

when buying 

RINS are 

dependent on 

their business 

activities as 

registered with 

EPA.

4035

A cancel trade 

must match a 

pending trade.

4041

"Incorrect 

Trading Partner" 

can only be 

reported for 

assigned RINs. 

4045

xsd:decimal RINPriceAmount No Price paid per RIN. The RIN price or 

gallon price 

must be 

provided. 

4036

xsd:decimal GallonPriceAmount No Price paid per gallon of 

renewable fuel.

The RIN price or 

gallon price 

must be 

provided. 

4036

xsd:date TransferDate Yes The date of the RIN 

transaction.

The transfer 

date specified 

may not occur in 

the future.

4020

(cont.)
Section 6 6-40

Figure 6-15: Data Elements for BuyTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

Transfer date

must be within

the last 10 

business days 

per 40 CFR 

80.1452(b).

4055

xsd:string PTDNumber No The PTD number 

associated with the 

transaction.

xsd:string MatchingTransactionIdentifier No The EMTS Transaction ID 

of the pending buy 

transaction.

If the sell 

transaction has 

a matched buy 

transaction ID, 

the transaction 

must be in a 

pending state.

6016

If the sell 

transaction has 

a matched buy 

transaction ID, 

the transaction 

must match on 

trade matching 

criteria.

6017

xsd:string TransactionDetailCommentText No Comment provided by 

the user on the 

transaction.

If reason 

"Standard 

Trade" or 

"Cancel" is not 

provided for a 

buy transaction 

then a comment 

must be 

provided.

4037

(cont.)
Section 6 6-41

Figure 6-15: Data Elements for BuyTransactionDetail (cont.)

Data Element QA Checks

Data Type Name Required Description Description Number

complex PublicSupportingDocumentDet

ail

No Industry user defined 

data to report 

supporting document 

identifiers which are 

visible to the 

organization’s trading 

partner.

complex BuySupportingDocumentDetail No Information for the 

industry user to create 

user defined data to 

report supporting 

document identifiers.

complex BuyOriginatingSourceDetail No Information on the 

original renewable fuel 

production.

6.5.6 Retiring RINs

To identify RINs that you wish to retire, in order to meet your RVO, or to record a batch of RINs that are no 

longer valid due to spillage or other issue, report this information using the RetireTransactionDetail 

complex type. 

How these data elements are processed: Retiring RINs requires that you identify the number of RINs 

being retired, the fuel code, assignment code, year in with the fuel was produced, and the compliance year 

which the RINs are being retired. EMTS will find the oldest batch of fuel in your inventory and transfer 

ownership of the RINs to an EPA RIN Holding Account. This ensures that you are retiring, on a first-in, firstout (FIFO) basis, the earliest RINs that you own as defined by production date. In addition to the RINs that 

you identify to retire, you must provide a reason for retirement. 

If you are retiring RINs to meet an obligation, you must also provide the level of compliance being met. You 

may retire RINs to meet an organization's overall obligation, or a specific facility level obligation (refiners 

only). If you are retiring RINs for a specific facility site, report the public facility identifier for the site. 

If you are retiring RINs for non-obligation purposes, do not report the compliance year or compliance level. 

In both cases, provide a reason for the retirement of the RINs.
Section 6 6-42

If you need to provide supporting information regarding the retire transaction, such as document 

identifiers or notes, use the RetireSupportingDocumentDetail complex type. Use this complex type to 

create user-defined information by providing the type of document that contains the information and an 

identification number or code for the document. For example, if you wish to report an invoice number, 

place "invoice" as the text for SupportingDocumentText and the invoice number for

SupportingDocumentNumber.

If you wish to identify a specific batch of fuel to be retired (particularly for spillage or spoilage of fuel 

batches), you can do so by using the RetireOriginatingSourceDetail complex type to identify the facility 

and batch number. EMTS will try to match the specific batch in your RIN Holding Account; however, if you 

no longer own these RINs, or the batch cannot be found, the transaction will fail. 

Figure 6-16 shows the data elements for RetireTransactionDetail.
Section 6 6-43

Figure 6-16: Data Elements for RetireTransactionDetail

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:positive

Integer

RINQuantity Yes The total number of 

RINs specified in the 

transaction.

If Batch Volume is 

provided, then the 

ratio of RINs to 

fuel must be 

greater than "0" 

but less than 

"2.5."

7032

The organization 

must have enough 

available RINs in 

its holding 

account to 

complete the 

transaction.

7900

xsd:decimal BatchVolume No The volume of 

renewable fuel, if 

any, associated with 

the RINs that are 

being retired.

If reason code 

"Reportable Spill," 

"Contaminated or 

Spoiled Fuel," 

"Import Volume 

Correction," 

"Renewable Fuel 

Used in a Boiler or 

an Ocean-Going 

Vessel," or 

"Volume error 

correction" is 

provided for a 

retire transaction 

then Batch 

Volume must also 

be provided.

7040

(cont.)
Section 6 6-44

Figure 6-16: Data Elements for RetireTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:string FuelCode Yes The renewable fuel 

code for the RINs 

being retired as 

defined in 40 CFR 

Section 80.1426.

The fuel code 

reported must be 

a valid code that is 

recognized by

EPA.

7024

xsd:string AssignmentCode Yes A code that indicates 

whether the RIN is 

transacting as an 

assigned RIN or a 

separated RIN.

The assignment 

code reported 

must be a valid 

code that is 

recognized by 

EPA.

7025

xsd:gYear RINYear Yes The RIN year is the 

year in which the 

fuel is produced.

The requested RIN 

Year must fall 

within the RIN 

Year range 

defined by the RIN 

Years Allowed 

parameter.

7028

RIN Year may only 

equal the 

Compliance Year 

or one year prior 

to the Compliance 

Year. This check 

should only be 

executed if reason 

code equals 

"Demonstrate 

Annual 

Compliance."

7041

(cont.)
Section 6 6-45

Figure 6-16: Data Elements for RetireTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:string RetireReasonCode Yes This code identifies 

the reason for a 

retire transaction.

The allowable 

reason codes 

reported by an 

organization when 

retiring RINs are 

dependent on its 

business activities 

registered with 

EPA.

7035

The reason code 

reported must be 

a valid code that is 

recognized by 

EPA.

7039

If an organization 

retires for 

obligation, it must 

be registered for 

either a 

compliance level 

code of 20 or 50.

7045

The "Delayed RIN 

Retire" reason 

code may only be 

used with 

Separated 

Renewable Fuel (D 

= 6) RINs.

7046

The “Remedial 

action as specified 

by EPA” reason 

may only be used 

5 times per 

calendar year. 

7057

(cont.)
Section 6 6-46

Figure 6-16: Data Elements for RetireTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:date TransactionDate Yes The date of the RIN 

transaction.

The Transaction 

Date must be 

within the last 5 

business days.

7055

The “Remedial 

action as specified 

by EPA” reason 

code 110 may only 

be used 5 times 

per calendar year. 

7056

xsd:gYear ComplianceYear No The compliance year 

for which the 

transaction is 

applied.

Compliance year is 

required if the 

reason code 

"Demonstrate 

Annual 

Compliance" is 

reported.

7016

If the submittal 

date is 

on/between April 

1 and December 

31, then the 

compliance year 

must be the 

current year. If 

the submittal date 

is on/between 

January 1 and 

February 28, the 

compliance year 

must be the 

previous year.1

 

7017

(cont.)
Section 6 6-47

Figure 6-16: Data Elements for RetireTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

xsd:string ComplianceLevelCode No The compliance 

basis for the 

submitting 

organization: 

Facility, Aggregated 

Importer, 

Aggregated Refiner, 

Aggregated 

Exporter, NonObligated Party.

If the compliance 

level code 

reported is 

"Refinery by 

Refinery," the 

facility identifier 

must be reported.

xsd:string

The compliance 

level code 

reported must be 

a valid code that is 

recognized by 

EPA.

7042

The allowable 

compliance level 

code reported by

an organization 

when retiring RINs 

is dependent on 

their business 

activities 

registered with 

EPA.

7034

xsd:string ComplianceFacilityIdentifier No The facility 

identifier, as 

registered in 

OTAQReg, for the 

facility that has a 

compliance 

obligation.

If a compliance 

facility identifier is 

reported, then the 

compliance level 

code must be 

"Facility Level."

7022

(cont.)
Section 6 6-48

Figure 6-16: Data Elements for RetireTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

 If a compliance 

facility identifier is 

reported, then the 

facility identifier 

must be 

registered at EPA 

and be active.

7023

xsd:string TransactionDetailComment No Comment provided 

by the user on the 

transaction.

If reason code 

"Reportable Spill," 

"Contaminated or 

Spoiled Fuel," 

"Import Volume 

Correction," 

"Invalid RINs," 

"Volume error 

correction," 

"Enforcement 

Obligation," 

“Remedial action 

as specified by 

EPA,” or 

“Remedial Action 

– Retire for 

Compliance” is 

provided for a 

retire transaction,

then a comment 

must be provided.

7037

complex RetireSupportingDocumentDetail No Information for the 

industry user to 

create user defined 

data to report 

supporting 

document 

identifiers.

(cont.)
Section 6 6-49

Figure 6-16: Data Elements for RetireTransactionDetail (cont.)

Data Elements QA Checks

Data Type Name Required Description Description Number

complex RetireOriginatingSourceDetail No Information on the 

original renewable 

fuel production.

1 No RINs may be retired for compliance during the month of March.
Section 6 6-50

6.6 What Is the FIFO Process for Finding RINs?

When you identify a quantity of RINs that you wish to sell, separate, or retire, EMTS will find the closest 

match of available RINs in your holding account for the specified fuel, RIN year, and assignment code. From 

these RINs, EMTS will select the oldest batch of RINs based on the fuel production date. If the number of 

RINs that you have specified in your transaction is smaller than the oldest batch EMTS finds in your 

account, then that batch will be split into two smaller batches, one of which will be used for the transaction. 

The batch not used in the transaction will remain in your RIN Holding Account with all the characteristics 

of the original batch. As a consequence of this action, the number of RIN batches in your account may grow 

as larger batches split into several smaller batches. 

Alternatively, if the quantity requested is larger than one or more of the batches in your account, EMTS will 

sum as many of the oldest batches together to reach the quantity desired. 

If you specify an exact batch of RINs by reporting the originating source of the fuel (organization identifier, 

facility identifier, and batch number), then EMTS will not use the first-in, first-out method, but look for the 

specific batch. 

6.7 How Do I Cancel a Buy or Sell Transaction?

EMTS has the capability to allow parties to cancel initiated buy and sell transactions if any party deems it 

appropriate to cancel the transaction(s). A user may cancel transactions they have initiated either through 

the EMTS website, or they can submit XML files through the node to cancel the transactions. Cancel 

transactions must be identical (with the exception of the reason code) to the original transaction they are 

intended to cancel. A cancel transaction must be submitted as a single transaction in a submission file. If a 

cancel transaction is submitted in an XML file with other transactions (including other cancel transactions), 

then the entire submission will fail.
Who should read Section 7: 

Section 7 applies to all users responsible for 

preparing data for EPA reports. 

What you will find in Section 7: 

This section includes information on how to 

access the information you need from EMTS and 

what information is available through standard 

reports. 

Section 7: How Can I Access Information about My Organization's RINs?

EMTS provides you with a variety of documents to 

access information regarding your organization's 

RIN holdings, and current and past transactions. 

These documents may be downloaded from the 

"Reports" page of the EMTS user interface. Some 

data, such as your RIN holdings, can also be 

exported from the "RIN Holdings" page. 

7.1 What Documents Does EMTS Provide?

For each organization with which you are affiliated, 

EMTS provides downloadable data to aid in 

recordkeeping and reporting. Documents should be used to supplement your organization's internal 

records and to check that EMTS has properly recorded your transactions. (Note: EMTS does not take the 

place of the recordkeeping provisions as specified in 40 CFR 80.1454 or reporting in 40 CFR 80.1451; those 

recordkeeping requirements are in addition to reporting through EMTS.) "Quick Search" options on any 

report allow you to filter or constrain data to meet your needs. The following is a list and short description 

of all documents available on the EMTS user interface. 

Transaction History. Summary information on all transactions in which your organization initiated a 

transaction or is the recipient of a trade. This document includes both transactions sent by XML file 

submission or through online transactions on the EMTS user interface within the past 14 days. 

Monthly Transaction History. This monthly document lists all generate, separate, buy, sell and retire 

transactions submitted by your organization through XML files or the EMTS user interface during the prior 

month.

Pending Trades. A list of all pending buy and sell transactions that your organization has either initiated 

or received. 

Pending Trade Details. A list of all pending buy and sell transactions that includes originating source 

detail information for every batch that will be used in the transaction.

Completed Trades. A list of all of your organization's trades that have been completed in the last ten days. 

This document includes trades that were initiated by your organization and trades that were initiated by 

your trading partner.

Expired Trades. A list 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.
Section 7 7-2 

Submit Certified Transactions:

Certified reports of all transactions must 

be certified and submitted to EPA on a 

quarterly basis through the OTAQ DC 

Fuels Submission (CDX: DCFuels).

QA Feedback Report. A detailed list of all quality assurance check failures for a single submission file. 

This document is available for download from the View Node Submissions page.

RIN Holdings. This document lists the current aggregate total RIN holdings for an organization grouped 

by fuel code, assignment, and RIN year.

RIN Batches. A list of all RIN batches currently owned by your organization. 

Cancelled Trades. A list of all initiated and received trades that you or our trading partner cancelled 

before the completion date.

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

Information about the number of RINs in your organization's account can be found on your "RIN Holding" 

page. This page is accessible from the EMTS homepage. RINs are grouped by fuel code, RIN year, and 

assignment code. By selecting a group of RINs you may navigate to more detailed information about those 

RINs. 

7.2 How Do I Certify My Transactions?

All transactions processed by EMTS must be certified by 

your organization on a quarterly basis. EMTS will send you a 

notification at the end of a quarter. Quarterly reports of 

your RIN holdings will be generated for you and are 

available for download on the EMTS user interface. A 

recommended practice is to periodically review your 

current RIN holdings on the EMTS user interface, checking the total quantity of RINs against your own 

transaction records. You may download data from this page at any time. 

It is your organization's responsibility to verify that all transactions represented in the quarterly reports 

are true and accurate. After resolving any discrepancies between the downloaded reports from EMTS and 

your organization's internal records, you must sign and submit the reports to EPA through the OTAQ DC 

Fuels Submission program (CDX: DCFuels). Reports are due May 31, August 31, November 30, and 

February 28. 

7.2.1 What Quarterly Reports Does EMTS Provide?

EMTS will generate up to four quarterly reports for your organization based on its registered business 

activities. Quarterly reports contain transactional information reported by your organization. Should this 

data differ from your organization’s internal records, you must report the errors in EMTS. Once you have 

submitted these errors, EMTS will generate a Transaction Error Report that must also be submitted to DC 

Fuels with your other reports. 
Section 7 7-3 

EMTS offers all reports in PDF and CSV format. Some reports such as the RIN Generation Report and the 

RIN Transaction Report are also available in XML format for easier data management. However, the 

reports you submit to DC Fuels must be in PDF format.

RIN Generation. Details of all generate transactions that your organization has submitted for the quarter.

RIN Transaction. Details of all separate, buy, sell, and retire transactions that your organization has 

submitted for the quarter.

RIN Activity (Assigned). The total number of assigned RFS2 RINs owned at the start of the quarter; the 

aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at 

the end of the quarter.

RIN Activity (Separated). The total number of separated RFS2 RINs owned at the start of the quarter; the 

aggregate number of RINs bought, sold, and retired for the quarter; and the total number of RINs owned at 

the end of the quarter.

Transaction Error. A list of all transaction errors reported for the quarter. Errors are reported using the

EMTS web application. For information on how to report transaction errors, please see Section 5.4.9 of 

these instructions.

NOTE: The Monthly Transaction History document is created for the prior month’s transactions on the first 

Saturday of every month. Once the prior month’s Monthly Transaction History document has been created, 

the Cancelled Trades, Completed Trades, Expired Trades, Pending Trades, Pending Trade Details, 

Transaction History, and Transaction Status documents for that month are purged. 

7.2.2 What Annual Reports Does EMTS Provide?

In support of the RFS2 Annual Compliance Reporting requirements, EMTS will generate an aggregate 

report and a batch-level report for all RINs retired for the most recent Compliance Year. 

Annual Statement. An aggregate view of all RIN batches retired for compliance. It is broken down by Fuel 

Code, Compliance Year, Compliance Level, and Compliance Facility (if applicable).

Annual Report. A list of all RIN Batches retired for compliance for a single Compliance Year.

More information about submitting reports can be found in Section 3, "What Are the Key Reporting 

Deadlines?"

Note: These EMTS annual reports do not need to be submitted to EPA. This information is already 

submitted via the quarterly reports (Activity and Transaction reports) and the Annual Compliance report.
Section 7 7-4 

[This page intentionally left blank.]
Who should read Section 8: 

All EMTS users.

What you will find in Section 8: 

Directions on how to obtain help and 

information regarding changes in 

EMTS.

Section 8: How Do I Contact EMTS Support?

EMTS provides you with several avenues for obtaining 

support for all of your EMTS and RFS questions. Access to the 

"Help" page is available via the "Help" link in the upper right 

corner of each screen of the EMTS website. From the Help 

page, you can find contact information for EMTS Support and 

EPA Fuels Programs Support. There are also links to 

meetings, presentations, tutorials, documentation, frequent 

questions, and the EMTS Conversion Tool located on the 

EMTS Support website, which can be found at 

http://www.epa.gov/otaq/fuels/renewablefuels/epamts.htm. 

8.1 How Does EPA Communicate Changes to Me?

EPA will keep you informed on the latest developments to EMTS and the RFS program. Upon entering

EMTS you can find current notices and information in “Announcements,” located to the right of the 

homepage. Here, EPA will post the latest EMTS news and reminders of upcoming deadlines. Each 

announcement can be viewed in detail by clicking on it to retrieve the full text. You may also sign 

up to receive the latest EMTS and RFS news through Enviroflash email notifications at 

https://enviroflash.epa.gov/enviroflashOTAQPublic/Subscriber.do?method=start. 

Figure 8-1 shows the Announcements feature.

Figure 8-1: Announcements
Section 8 8-2 

When changes necessitate updates to the conversion tool or the EMTS schema, you will be notified of this 

and the newest version of the tool and the schema will be made available for download on the EMTS user 

interface. 

8.2 Where Do I Go If I Have a Question about EMTS?

Answers to most of your EMTS questions may be found on the EMTS website or in these Transaction 

Instructions. If you need additional information, you also have the option of emailing the EMTS Support 

Line. In the header of every page of EMTS you will find a link to "Help" where you will find the email and 

phone number of the EMTS Support Line. 

8.3 Where Do I Go If I Have a Question about the Renewable Fuel Standard?

For RFS questions, just as with EMTS questions, you may always email EPA Fuels Programs Support or the 

EMTS Support Line. Emails may be sent to EPAFuelsPrograms@epa.gov. If you require immediate 

assistance, you may call 202-343-9755.

The Renewable Fuel Standard is available to view and download from the U.S. Federal Register website. 

Further information regarding the RFS rule can be obtained from the EPA website at 

http://www.epa.gov/otaq/fuels/renewablefuels/index.htm.

8.4 Who Should I Contact If I Need Help Resolving a Problem in EMTS?

If you are experiencing a technical problem with EMTS, please first view the Frequent Questions web page 

which provides solutions to common issues users encounter. If you cannot find the appropriate 

information, or if you have questions regarding the data that appears in your RIN Holding Account, you 

may wish to contact the support lines for help. The "Help" link at the top of each page of EMTS opens the 

Help page which contains a "Contact Us" link. Emails may be sent to support@epamts-support.com. If you 

require immediate assistance and wish to speak to a technical representative to help you troubleshoot an 

issue, you may call the EMTS Support Line at 1-800-385-6164. 
Appendix A: Referenced Documents

● Attest Engagements

http://www.epa.gov/otaq/regs/fuels/attestengage.htm

● OTAQ Fuel Registration Instructions

http://www.epa.gov/otaq/regs/fuels/fuelsregistration.htm

● OTAQ Fuel and Fuels Additives Registration (FFARs)

http://www.epa.gov/otaq/regs/fuels/ffarsfrms.htm

● Quarterly and Annual Report Forms

http://www.epa.gov/otaq/regs/fuels/rfsforms.htm

● Central Data Exchange

http://www.cdx.epa.gov/epa_home.asp

● OTAQ Fuels Registration Process

http://www.epa.gov/otaq/regs/fuels/fuelsregistration.htm

http://www.epa.gov/OMS/regs/fuels/420b09011.pdf

● User Manual for CDX/OTAQ Fuels Reporting System -- Phase II

http://www.epa.gov/otaq/regs/fuels/420b07012.pdf

● EPA Exchange Network

http://www.exchangenetwork.net

● EPA Data Registry Services

http://iaspub.epa.gov/sor_internet/registry/datastds/findadatastandard/epaapproved/

● EMTS Website

http://www.epa.gov/otaq/fuels/renewablefuels/epamts.htm
Appendix A A-2 

[This page intentionally left blank.]
Appendix B: Glossary

EMTS Transaction Instructions Glossary

Title Definition

Agent An agent acts on behalf of a company or facility. An agent has one 

user account and can be associated with one or more companies or 

facilities.

Assigned RIN A RIN attached to a gallon of renewable fuel that can only be 

transferred along with a volume of fuel.

Asynchronous Communication between two parties or systems in which data can be 

transmitted intermittently rather than in a steady stream.

Audit Trail The set of data that has been stored in EMTS providing historical 

details about specific actions.

Authentication The process to confirm the identity of the user.

Authorization The process to verify a user's permission to perform some 

functionality.

Batch A volume of renewable fuel. 

Batch RIN A RIN number that represents a specific batch of renewable fuel 

produced or imported.

Blender Party who blends renewable fuel into gasoline or diesel fuel at or 

below the levels that allow the separation of RINs.

Business Activities The characteristics of a company that determine the type of 

transactions it can do in EMTS.

CDX Central Data Exchange (CDX) Central Data Exchange. EPA's gateway for receiving environmental 

information through the Web. Serves as the EPA node on the 

Exchange Network.

Check A discrete unit of logic used to implement a business rule, or other 

validation of data.

Company A business entity with one or more users in EMTS.

Data Exchange Standard Specification identifying content and format of data that will be 

exchanged between multiple parties or systems.

Dataflow Within CDX, the identification of how data moves from one specified 

location to another specified location.

Deficit Carryover Deficit of RINs from a previous year RVO that is added to a current 

year RVO as specified in 40 CFR §80.1407.

(cont.)
Appendix B B-2 

EMTS Reporting Instructions Glossary (cont.)

Title Definition

Delegation (Upward) The act by which a party that would normally be responsible for RIN 

management transfers this responsibility to another party. For 

instance, a blender may delegate this responsibility to a renewable 

fuel producer. There is a limit of 125,000 gallons per year that a 

company can delegate upwards as per 40 CFR §80.1440.

Delegation (User) The act by which a responsible corporate officer of a regulated party 

authorizes another party to perform transactions on the regulated 

party's behalf.

EPA Moderated Transaction System (EMTS) EPA's centralized messaging, screening, and transaction system that 

moderates RIN transactions.

Facility An actual or virtual location where renewable fuel is produced or 

imported.

Fuel Category The code that identifies the type of fuel for which an organization is 

generating RINs.

Fuel (D Code) The code that identifies the category of renewable fuel. There are 

five different fuel types: Cellulosic Biofuel D = 3, Biomass-based 

Diesel D = 4, Advanced Biofuel D = 5, Renewable Fuel D = 6 and 

Cellulosic Diesel D = 7.

Gallon-RIN A RIN that represents one gallon of renewable fuel.

Generate Transaction A transaction that creates a batch RIN. RINs may only be generated 

when a batch of renewable fuel is produced or imported.

Importer An entity that imports transportation fuel.

Industry User An EMTS user represents a regulated party.

Invalid RIN A RIN described in 40 CFR §80.1431(a).

Logging Functionality of a software system that stores information on the 

system for auditing and tracking.

Message A communication between a registered party and EMTS using EPA's 

exchange network. It includes all the data needed to process a 

transaction.

Node A web server that facilitates the interface between database systems 

and the Exchange Network. It is a registered party's "point of 

presence" on the Exchange Network. Occasionally referred to as 

"network node" or "Exchange Network Node."

(cont.)
Appendix B B-3 

EMTS Reporting Instructions Glossary (cont.)

Title Definition

Node Client The software program that provides integration with the Exchange 

Network Directory Service (ENDS). Within the node client, the user 

selects a dataflow, enters the dataflow, enters authentication 

information, and then uses the Exchange Network and CDX services. 

Notification The communication that is returned by EMTS to the sender or 

receiver of a transaction. Notifications may occur before the 

message is evaluated in any way other than format checks.

Obligated Party A party which is subject to a RVO(s) and produces gasoline or diesel, 

or imports gasoline or diesel as per 40 CFR §80.1406.

Permissions The ability to perform certain actions within EMTS.

Refiner A company who refines gasoline or diesel fuel.

Registered Party Any user of EMTS who has gained access through the registration 

process with EPA.

RFS Regulated Party Any party that takes ownership of a RIN.

Renewable Fuel Transportation, heating oil, or jet fuel that is used to replace or 

reduce the quantity of fossil fuel present in a fuel mixture used to 

operate a motor vehicle, and which meets the definition in 40 CFR 

§80.1401.

Renewable Fuel Exporter A party that exports renewable fuel and therefore has an RVO as per 

40 CFR §80.1430

Renewable Fuel Producer A party that produces renewable fuel.

Renewable Fuel Standard (RFS) The rule which sets the percentage of fuel produced which must be 

renewable, for parties that produce gasoline or diesel, or import 

gasoline or diesel.

Renewable Identification Number (RIN) An identifier that uniquely identifies a gallon of renewable fuel, 

generated by a renewable fuel producer or importer. RINs are 

assigned to batches of renewable fuel and are transferred to other 

regulated parties.

Renewable Volume Obligation (RVO) The volume of renewable fuel, represented by RINs, that an 

obligated party must obtain to be in compliance with the RFS. 

Retire Transaction A transaction where a regulated party removes a RIN from trading in 

EMTS. 

RIN Account An account in EMTS used to store RINs.

RIN Assignment Code A code that identifies whether or not a RIN is assigned to a gallon of 

renewable fuel.

(cont.)
Appendix B B-4 

EMTS Reporting Instructions Glossary (cont.)

Title Definition

RIN Block A group of sequential RINs identified by a start number and end 

number. Larger RIN blocks can be split into smaller blocks, each 

block being contiguous and sequential. RIN blocks cannot contain 

duplicate RINs.

RIN Credit Credits that are transacted between renewable fuel producers to 

refiners, importers exporters, and other obligated parties. RIN 

credits are identified by unique identification numbers (RINs).

RIN Generation See Generate Transaction.

RIN Owner An owner of either assigned and/or separated RINs.

Role A set of permissions for functions that a person is allowed to 

perform. A role is assigned to a user (person).

Separate Transaction A transaction that terminates the assignment of the RIN to a volume 

of renewable fuel. The resulting RINs are thereafter "separated."

Separated RIN A RIN which has been separated from a gallon of renewable fuel. 

RINs may only be separated if a party has met the requirements in 

§80.1429. A separated RIN can be transferred without an associated 

volume of fuel.

Small Refiner A refiner that processes <75,000 bpd crude, or who has <1500 

employees and processes <155,000 bpd crude.

Splash Blending The act of transferring and blending fuel simultaneously. Either party 

involved in the transfer can separate the RINs if the requirements in 

§80.1429 are met. However, both parties must agree on who will 

separate the RINs.

Stage The stage of a transaction defines where in the process of data 

exchange a particular message or evaluation occurs. A stage ends 

and a new stage begins when a message has been successfully 

transmitted, queued, checked, processed, routed, and finalized.

Submission Sending an XML file to EMTS, for the purposes of completing a 

transaction. "Sending" can potentially occur via a node, a node 

client, or a webform that takes inputted data and creates an XML file.

Submission Date The date an XML file is sent to EMTS, for the purpose of completing a 

transaction.

Trade A two-part transaction, consisting of a sell transaction initiated by 

one party and a buy transaction initiated by another party.

(cont.)
Appendix B B-5 

EMTS Reporting Instructions Glossary (cont.)

Title Definition

Transaction A transaction describes an operation on a batch RIN or gallon-RIN. A 

transaction comprises a series of actions related to a specific process. 

Each transaction is processed in stages and results in the return of a 

message to the sending party identifying subsequent data on the 

transaction.

Transaction Date The date on which a Separate or Retire transaction occurs outside of 

EMTS. 

Transaction Instructions A document made available to EMTS users that identifies procedures 

needed to ensure adherence with the data exchange standard.

Transaction Log The history of all of transactions which have been processed by 

EMTS.

Transfer The process of deducting RINs from one RIN account and adding the 

same RINs to a different RIN account.

Transfer Date The date on which a Buy or Sell transaction occurs outside of EMTS. 

This is the date recorded on the Product Transfer Document (PTD).

User A person who interacts with EMTS. A person authorized to use 

EMTS.

XML A markup language for documents containing structured 

information. The XML specifications define a standard way to add 

markup to documents. Its primary purpose is to facilitate the sharing 

of structured data across different information systems, particularly 

over the internet.

XML Document An XML document is a file containing data organized into a 

structured document. An XML document is considered "wellformed" if it conforms to all XML syntax rules. An XML document is 

considered valid if it conforms to all the semantic rules defined by an 

associated XML schema. An XML document cannot be processed if it 

is not well-formed. XML documents have the extension .xml.

XML Schema An XML schema describes the structure of an XML document. An 

XML schema defines the set of rules to which the XML document 

must conform in order to be considered "valid" according to the 

schema. An instance of an XML schema is an XML document and is a 

file with the extension .xsd.
Appendix B B-6 

[This page intentionally left blank.]
Appendix C: QA Checks

The following table shows the checks that EMTS will apply to all data. Checks are categorized by functional 

area or "Check Group." The check number indicates the type of transaction for which the check applies.

Checks by transaction type are as follows:

1000 – 1999 XSD Validation

2000 – 2999 Submission File

3000 – 3999 Generate RINs

4000 – 4999 Buy RINs

5000 – 5999 Separate RINs

6000 – 6999 Sell RINs

7000 – 7999 Retire RINs

EMTS QA Checks

Number Name Check Group Description

1000 XML Validation XML Validation The XML document must adhere to EMTS xsd and be 

well-formed and valid.

1010 Invalid Code XML Validation The XML document must contain valid codes. 

2000 User must be 

Registered with CDX 

and Active

Submission The user specified in the submission file must be 

actively registered with CDX and have permission to 

participate in EMTS.

2001 User is associated with 

the Submitting 

Organization and Active

Submission The user specified in the submission file must have an 

active association with the organization for which he is 

submitting data.

2002 User Privileges Submission The user specified in the submission file must be 

authorized to perform the requested transactions on 

behalf of the organization.

2005 Organization must be 

Registered with EPA 

and Active

Submission The organization in the submission file must be 

registered with EPA and be active.

2006 Organization RIN 

Holding Account is 

Enabled

Submission The organization's RIN Holding Account must be 

active.

(cont.)
Appendix C C-2 

EMTS QA Checks (cont.)

Number Name Check Group Description

2008 Submittal Date Within 

Range

Submission The submission date associated with the submission 

file may not be a date occurring in the future.

2009 At least one 

Transaction per 

Submission 

Submission There must be at least one transaction in the 

submission file.

2011 Submitter must be 

Registered with EPA 

and Active

Submission The data submitter must be registered with EPA and 

be active.

2012 Submitter is associated 

with the Submitting 

Organization and Active

Submission The user specified in the submission file header must 

be authorized to perform the requested transactions 

on behalf of the organization.

3000 Generate Organization 

differs from 

Organization

Generate If the generate organization is different than the 

submitting organization identifier or RINPin, then the 

organization must be an importer.

3001 Generate Organization 

must be Registered 

with EPA and Active

Generate If the generate organization is provided, then it must 

be registered with EPA and be active.

3002 Generate Facility must 

be provided

Generate For generate transactions, the generate facility 

identifier must be provided.

3004 Generate Facility 

Association with 

Generate Organization

Generate If generate organization is provided, then generate 

facility must be actively associated with the generate 

organization. 

3005 Generate Facility 

Association with 

Organization

Generate If generate organization is not provided, then the 

generate facility must be actively associated with the 

submitting organization.

3007 Process Code Matches 

Registration

Generate The process reported in the production of fuel must 

be registered with EPA.

3008 Feedstock Code 

Matches Registration

Generate The feedstock reported in the production of fuel must 

be registered with EPA.

3009 Fuel Category Code 

Matches Registration

Generate The fuel category reported in the production of fuel 

must be registered with EPA.

(cont.)
Appendix C C-3 

EMTS QA Checks (cont.)

Number Name Check Group Description

3010 CoProduct Code 

Matches Registration

Generate If the co-product is reported for a fuel, it must be 

registered with EPA.

3011 Production Date within 

Range

Generate The production date must not occur after the date 

specified in submittal data.

3012 Organization 

Permissions

Generate The transactions that can be reported by an 

organization are dependent on its active business 

activities as registered with EPA.

3013 Ethanol Production Generate If "Non-cellulosic Ethanol" or "Cellulosic Ethanol" RINs 

are reported in the generate transaction, then 

denaturant volume must be reported.

3014 Denaturant Volume Generate If denaturant volume is reported, then "Non-cellulosic 

Ethanol" or "Cellulosic Ethanol" must be reported.

3016 Denaturant Volume 

within Allowed Range

Generate When denaturant gallons are reported for ethanol 

fuel, the amount specified cannot exceed two percent 

of the total volume of fuel produced.

3018 Batch Number must be 

Provided

Generate Batch number must be provided.

3019 Batch Number must be 

Unique

Generate Batch number must be unique for an organization, 

facility, and RIN year.

3022 RIN Quantity must 

equal the Product of 

Equivalence Value and 

Batch Volume

Generate RIN Quantity must equal the product of Batch Volume 

and Equivalence Value.

3023 Feedstock Code must 

be valid 

Generate The feedstock code reported in the production of fuel 

must be a valid code that is recognized by EPA.

3024 Process Code must be 

valid

Generate The process code reported in the production of fuel 

must be a valid code that is recognized by EPA.

3025 CoProduct Code must 

be valid

Generate The co-product code reported in the production of 

fuel must be a valid code that is recognized by EPA.

3026 Equivalence Value 

Range 

Generate The equivalence value reported may not exceed the 

specified value for the fuel type produced.

(cont.)
Appendix C C-4 

EMTS QA Checks (cont.)

Number Name Check Group Description

3027 Feedstock Measure 

Code must be valid

Generate The feedstock measure code reported in the 

production of fuel must be a valid code that is 

recognized by EPA.

3028 Fuel Production Date 

must be valid

Generate The production date of the fuel must fall within the 

RIN Year range defined by the RIN Years Allowed 

parameter.

3030 Renewable Biomass Generate If RINs are generated (RIN Quantity greater than or 

equal to "1"), then at least one of the specified 

feedstocks must be indicated as "Renewable 

Biomass."

3032 Fuel Code Matches 

Registration

Generate The fuel code reported must be registered with EPA.

3033 Fuel Category Code 

must be valid

Generate The fuel category code reported in the production of 

fuel must be a valid code that is recognized by EPA.

3034 Fuel Code must be valid Generate The fuel code reported in the production of fuel must 

be a valid code that is recognized by EPA.

3040 Fuel Code Compatible 

with Fuel Category

Generate The fuel code reported must be compatible with the 

fuel category used in the production of fuel.

3041 Fuel Code, Fuel 

Category Compatible 

with Process

Generate The fuel code and fuel category reported must be 

compatible with the process used in the production of 

fuel.

3042 Feedstock Compatible 

with Fuel Code, Fuel 

Category and Process

Generate The feedstock reported must be compatible with the 

fuel code, fuel category, and process used in the 

production of fuel.

3043 Foreign Producer 

Cannot be a Small 

Blender

Generate If the generate organization differs from the 

submitting organization then the generating 

organization must not be a Small Blender.

3044 Foreign Producer must 

be Bonded

Generate If the Submission Organization is a Foreign Producer, 

they must be bonded.

3045 Foreign Producer 

Generate Organization

Generate If the generate organization differs from the 

submitting organization then the generating 

organization must be a Foreign Producer.

(cont.)
Appendix C C-5 

EMTS QA Checks (cont.)

Number Name Check Group Description

3047 Import Facility 

Required

Generate If the generate organization differs from the 

submitting organization then the ImportFacilityId is 

required.

3048 Import Facility must be 

Registered with the 

EPA and active

Generate If the import facility is provided, it must be registered 

with the EPA and active

3049 Import Facility not 

allowed

Generate Import Facility Identifier not allowed if not importing 

fuel.

3050 Import Facility 

Required

Generate If the submitting organization is only a renewable fuel 

importer, then they must provide an Import Facility 

Identifier.

3051 Import Facility Not 

Allowed

Generate If the Import Facility Identifier is populated, then the 

submitting organization must be a renewable fuel 

importer.

3052 Generate Public Facility 

Number must be 

unique

Generate The generate facility number specified must be unique 

for the organization.

3053 Import Public Facility 

Number must be 

unique

Generate The import facility number specified must be unique 

for the organization.

3055 Production Date must 

be within Allowed 

Range

Generate Production date must be within the last 5 business 

days per 40 CFR 80.1452(b). 

4001 Generate Organization 

must be Registered 

with EPA and Active

Buy If the generate organization is provided, then it must 

be registered with EPA and be active.

4003 Generate Facility must 

be Registered with EPA

Buy If the generate facility is provided in the submission 

file then it must be registered with EPA.

4006 Batch Number Buy If a batch number is reported, then both the 

organization and facility identifiers where the fuel was 

produced must be reported as well.

(cont.)
Appendix C C-6 

EMTS QA Checks (cont.)

Number Name Check Group Description

4007 Generate Facility Buy If a generate facility is reported, then the organization 

where the fuel was produced must also be reported.

4011 Assignment Code of "1" Buy If assignment is "1," then the batch volume must be 

specified.

4012 Organization

Permissions

Buy The transactions that can be reported by an 

organization are dependent on its active business 

activities as registered with EPA.

4013 Organization Identifier 

on Blocked List

Buy If you have created a list of organizations for which 

you do not want to own any fuel, should a transaction 

include the organization as the originating source, the 

transaction will automatically fail.

4014 Facility Identifier on 

Blocked List

Buy If you have created a list of facilities for which you do 

not want to own any fuel, should a transaction include 

the organization as the originating source, the 

transaction will automatically fail.

4015 Trade Contains Blocked 

RINs

Buy If the buy transaction has a matched sell transaction, 

the RINs reserved for the Sell cannot have been 

generated by an organization or facility on the 

submitting organizations blocked list.

4016 Matched Transaction 

must be a pending Sell

Buy If the Buy transaction has a matched Sell transaction 

ID, the transaction must be in a pending state.

4017 Matched Transaction 

Identifier must belong 

to a matching Sell

Buy If the Buy transaction has a matched Sell transaction 

Identifier, the transaction must match on trade 

matching criteria.

4018 Transaction Partner 

Organization 

Registered at EPA and 

Active

Buy The transaction partner organization must be 

registered at EPA and be active.

4019 RIN Year Range Buy RIN Year may not be greater than the year associated 

with the specified transfer date. 

(cont.)
Appendix C C-7 

EMTS QA Checks (cont.)

Number Name Check Group Description

4020 Transfer Date 

Consistent

Buy The transfer date specified may not occur in the 

future.

4024 Fuel Code must be valid Buy The fuel code reported must be a valid code that is 

recognized by EPA. 

4025 Assignment Code must 

be valid

Buy The assignment code reported must be a valid code 

that is recognized by EPA.

4028 RIN Year must be valid Buy The requested RIN Year must fall within the RIN Year 

range defined by the RIN Years Allowed parameter.

4032 RIN Quantity Ratio to 

Batch Volume

Buy For assigned RINs that are being bought, the ratio of 

RINs to fuel must be greater than "0" but less than 

"2.5."

4034 Reason Code must be 

valid

Buy The reason code reported in the production of fuel 

must be a valid code that is recognized by EPA.

4035 Allowable Reason Code Buy The allowable reason code reported by an 

organization when buying RINs are dependent on their 

business activities as registered with EPA.

4036 RIN Price or Gallon 

Price Provided

Buy The RIN price or gallon price must be provided. 

4037 Reason Comment Buy If reason "Standard Trade" or "Cancel" is not provided 

for a buy transaction then a comment must be 

provided.

4041 Cancel Trade Buy A Cancel trade must match a pending trade.

4042 Same Buy and Sell 

Organization

Buy The buying organization cannot be the same as the 

selling organization.

4043 One Cancel per 

Submission

Buy If a Cancel transaction is reported then no other 

transaction may be reported in the submission.

4045 Incorrect Trading 

Partner

Buy “Incorrect Trading Partner" can only be reported for 

assigned RINs.

4046 Advanced Options 

“Improper Generation”

Buy Originating source information (generating 

organization, generating facility, and batch number) 

must be specified when the Buy Reason is "Improper 

Generation".

(cont.)
Appendix C C-8 

EMTS QA Checks (cont.)

Number Name Check Group Description

4052 Public Facility Number 

must be unique

Buy The facility number specified must be unique for the 

organization.

4054 Batch Volume Gallon 

Price

Buy Batch Volume must be specified if Gallon Price is 

specified.

4055 Transfer Date must be 

within Allowed Range

Buy The Transfer Date must be within the last 10 business 

days per 40 CFR 80.1452(b).

4800 Reserve Pending Trade Buy The transaction specified by the matching transaction 

identifier must be available to be reserved.

5001 Generate Organization 

must be Registered 

with EPA and Active

Separate If the generate organization is provided, then it must 

be registered with EPA and be active.

5003 Generate Facility must 

be Registered with EPA

Separate If the generate facility is provided then it must be 

registered with EPA.

5006 Batch Number Separate If a batch number is reported, then both the 

organization and facility identifiers where the fuel was 

produced must also be reported.

5007 Generate Facility Separate If a generate facility is reported, then the organization 

where the fuel was produced must be reported as 

well.

5012 Organization 

Permissions

Separate The transactions that can be reported by an 

organization are dependent on their active business 

activities as registered with EPA.

5019 RIN Year Range Separate The RIN year cannot be in the future.

5020 Transaction Date 

Consistent

Separate The transaction date specified may not occur in the 

future.

5024 Fuel Code must be valid Separate The fuel code reported must be a valid code that is 

recognized by EPA. 

5028 RIN Year must be valid Separate The requested RIN Year must fall within the RIN Year 

range defined by the RIN Years Allowed parameter.

(cont.)
Appendix C C-9 

EMTS QA Checks (cont.)

Number Name Check Group Description

5032 RIN Quantity Ratio to 

Batch Volume 

Separate For assigned RINs that are being separated from a 

volume of fuel, the ratio of RINs to fuel must be 

greater than "0" but less than "2.5."

5033 Upstream Delegation 

for Blending

Separate The blender organization name and blender 

organization identifier must be specified when 

identifying "Upstream Delegation for Blending" as the 

separate reason.

5034 Blender Organization 

must be Registered 

with EPA and Active

Separate If a blender organization is provided, then it must be 

registered with EPA and be active.

5035 Allowable Reason Code Separate The allowable reason code reported by an 

organization when separating RINs are dependent on 

their business activities as registered with EPA.

5036 Blender Organization 

Business Activity

Separate If a Blender organization is specified then the 

organization must have a business activity of small 

blender.

5037 Reason Code must be 

valid

Separate The reason code reported must be a valid code that is

recognized by EPA.

5038 Sufficient RINs Separate The organization must have enough available RINs in 

its holding account for the specified Fuel and RIN Year 

to complete the transaction.

5039 Small Blender Volume Separate RIN separated on behalf of a small blender may not 

exceed the volume in gallons per calendar year as 

determined by the Small Blender Maximum Volume 

parameter.

5040 Blender Organization Separate If a Blender Organization Identifier or Blender Name is 

reported then separate reason "Upward Delegation" 

must also be reported.

5041 Reason Comment Separate If reason “Remedial action as specified by EPA” is 

provided for a separate transaction then a comment 

must be provided.

(cont.)
Appendix C C-10

EMTS QA Checks (cont.)

Number Name Check Group Description

5046 Delayed RIN Separation Separate If the organization specifies "Delayed RIN Separate" as 

the reason code, then the fuel code may not be 

Renewable Fuel (D = 6).

5052 Public Facility Number 

must be unique

Separate The facility number specified must be unique for the 

organization.

5055 Transaction Date must 

be within allowed 

range

Separate The Transaction Date must be within the last 10

business days. 

5900 Sufficient RINs (FIFO) Separate The organization must have enough available RINs in 

its holding account to complete the transaction.

5901 Sufficient RINs 

(Organization) 

Separate The organization must have enough available RINs 

from the specified organization in its holding account 

to complete the transaction.

5902 Sufficient RINs (Facility) Separate The organization must have enough available RINs 

from the specified facility in its holding account to 

complete the transaction.

5903 Sufficient RINs (Batch) Separate The organization must have enough available RINs 

from the specified batch in its holding account to 

complete the transaction.

6001 Generate Organization 

must be Registered 

with EPA and Active

Sell If the generate organization is provided, then it must 

be registered with EPA and be active.

6007 Generate Facility Sell If a generate facility is reported, then the organization 

where the fuel was produced must be reported as 

well.

6011 Assignment Code of "1" Sell If the assignment is "1," then batch volume must be 

specified.

6012 Organization 

Permissions

Sell The transactions that can be reported by an 

organization are dependent on its active business 

activities as registered with EPA.

6016 Matched Transaction 

must be a pending Buy

Sell If the Sell transaction has a matched Buy transaction 

ID, the transaction must be in a pending state.

(cont.)
Appendix C C-11

EMTS QA Checks (cont.)

Number Name Check Group Description

6017 Matched Transaction 

Identifier must belong 

to a matching Buy

Sell If the Sell transaction has a matched Buy transaction 

Identifier, the transaction must match on trade 

matching criteria.

6018 Transaction Partner 

Organization 

Registered at EPA and 

Active

Sell The transaction partner organization must be 

registered at EPA and be active.

6019 RIN Year Range Sell RIN Year may not be greater than the year associated 

with the specified Transfer Date.

6020 Transfer Date 

Consistent

Sell The transfer date specified may not occur in the 

future.

6024 Fuel Code must be valid Sell The fuel code reported must be a valid code that is 

recognized by EPA.

6025 Assignment Code must 

be valid

Sell The assignment code reported must be a valid code 

that is recognized by EPA.

6028 RIN Year must be valid Sell The requested RIN Year must fall within the RIN Year 

range defined by the RIN Years Allowed parameter.

6032 RIN Quantity Ratio to 

Batch Volume

Sell For assigned RINs that are being sold, the ratio of RINs 

to fuel must be greater than "0" but less than "2.5."

6034 Reason Code must be 

valid

Sell The reason code reported in the production of fuel 

must be a valid code that is recognized by EPA.

6035 Allowable Reason Code Sell The allowable reason code reported by an 

organization when selling RINs are dependent on their 

business activities as registered with EPA.

6036 RIN Price or Gallon 

Price Provided

Sell The RIN price or gallon price must be provided. 

6037 Reason Comment Sell If reason "Standard Trade" or "Cancel" is not provided 

for a sell transaction then a comment must be 

provided.

6038 Sufficient RINs Sell The organization must have enough available RINs in 

its holding account for the specified Fuel, RIN Year, 

and Assignment Code to complete the transaction.

(cont.)
Appendix C C-12

EMTS QA Checks (cont.)

Number Name Check Group Description

6040 Trading Partner Cannot 

Accept RINs

Sell The trading partner was unable to complete the 

transaction.

6041 Cancel Trade Sell A Cancel trade must match a pending trade.

6042 Same Buy and Sell 

Organization

Sell The selling organization cannot be the same as the 

buying organization.

6043 One Cancel per 

Submission

Sell If a Cancel transaction is reported then no other 

transaction may be reported in the submission.

6044 Improper Generation Sell If a trade is reported due to an "Improper Generation" 

reason, then the RINs must be sold to the originating 

organization of those RINs.

6045 Incorrect Trading 

Partner

Sell "Incorrect Trading Partner" can only be reported for 

assigned RINs.

6046 Advanced Options 

“Improper Generation”

Sell Originating source information (generating 

organization, generating facility, and batch number) 

must be specified when the Sell Reason is "Improper 

Generation".

6052 Public Facility Number 

must be unique

Sell The facility number specified must be unique for the 

organization.

6054 Batch Volume Gallon 

Price

Sell Batch Volume must be specified if Gallon Price is 

specified.

6055 Transfer Date must be 

within Allowed Range

Sell Transfer date must be within the last 5 business days 

per 40 CFR 80.1452(b).

6800 Reserve Pending Trade Sell The transaction specified by the matching transaction 

identifier must be available to be reserved.

6900 Sufficient RINs (FIFO) Sell The organization must have enough available RINs in 

its holding account to complete the transaction.

6901 Sufficient RINs 

(Organization) 

Sell The organization must have enough available RINs 

from the specified organization in its holding account 

to complete the transaction.

6902 Sufficient RINs (Facility) Sell The organization must have enough available RINs 

from the specified facility in its holding account to 

complete the transaction.

(cont.)
Appendix C C-13

EMTS QA Checks (cont.)

Number Name Check Group Description

6903 Sufficient RINs (Batch) Sell The organization must have enough available RINs 

from the specified batch in its holding account to 

complete the transaction.

7001 Generate Organization 

must be Registered 

with EPA and Active

Retire If the generate organization is provided, then it must 

be registered with EPA and be active.

7003 Generate Facility must 

be Registered with EPA

Retire If the generate facility is provided then it must be 

registered with EPA.

7006 Batch Number Retire If a batch number is reported, then both the 

organization and facility identifiers where the fuel was 

produced must also be reported.

7007 Generate Facility Retire If a generate facility is reported, then the organization 

where the fuel was produced must also be reported.

7012 Organization 

Permissions

Retire The transactions that can be reported by an 

organization are dependent on their active business 

activities as registered with EPA.

7016 Compliance Year Retire Compliance year is required if the reason code 

"Demonstrate Annual Compliance" is reported.

7017 Valid Compliance Year Retire If the submittal date is on/between April 1 and 

December 31, then the compliance year must be the 

current year. If the submittal date is on/between 

January 1 and February 28, the compliance year must 

be the previous year.

7019 RIN Year and 

Transaction Date

Retire RIN Year may not be greater than the year associated 

with the specified Transaction Date.

7021 Reporting Compliance 

at the Refinery Level

Retire If the compliance level code reported is "Refinery by 

Refinery," the facility identifier must be reported.

7022 Refinery Level 

Compliance

Retire If a compliance facility identifier is reported, then the 

compliance level code must be "Refinery by Refinery."

7023 Compliance Facility 

Registered at EPA and 

Active

Retire If a compliance facility identifier is reported, then the 

facility identifier must be registered at EPA and be 

active.

(cont.)
Appendix C C-14

EMTS QA Checks (cont.)

Number Name Check Group Description

7024 Fuel Code must be valid Retire The fuel code reported must be a valid code that is 

recognized by EPA. 

7025 Assignment Code must 

be valid

Retire The assignment code reported must be a valid code 

that is recognized by EPA.

7028 RIN Year must be valid Retire The requested RIN Year must fall within the RIN Year 

range defined by the RIN_YEARS_ALLOWED parameter

7032 RIN Quantity Ratio to 

Batch Volume

Retire If Batch Volume is provided, then the ratio of RINs to 

fuel must be greater than "0" but less than "2.5."

7034 Allowable Compliance 

Level Code

Retire The allowable compliance level code reported by an 

organization when retiring RINs are dependent on 

their business activities registered with EPA.

7035 Allowable Reason Code Retire The allowable reason code reported by an 

organization when retiring RINs are dependent on 

their business activities registered with EPA.

7037 Reason Code Comment Retire If reason code "Reportable Spill," "Contaminated or 

Spoiled Fuel," "Import Volume Correction," "Invalid 

RINs," "Volume error correction," "Enforcement 

Obligation," or “Remedial Action – Retire for 

Compliance” is provided for a retire transaction, then 

a comment must be provided.

7038 Sufficient RINs Retire The organization must have enough available RINs in 

its holding account for the specified Fuel, RIN Year, 

and Assignment Code to complete the transaction.

7039 Reason Code must be 

valid

Retire The reason code reported must be a valid code that is 

recognized by EPA.

7040 Reason Code Batch 

Volume

Retire If reason code "Reportable Spill," "Contaminated or 

Spoiled Fuel," "Import Volume Correction," 

"Renewable Fuel Used in an Ocean-Going Vessel," or 

"Volume error correction" is provided for a retire 

transaction then Batch Volume must also be provided.

(cont.)
Appendix C C-15

EMTS QA Checks (cont.)

Number Name Check Group Description

7041 Compliance RIN Year Retire RIN Year may only equal the Compliance Year or one 

year prior to the Compliance Year. This check should 

only be executed if reason code equals "Demonstrate 

Annual Compliance."

7042 Compliance Level Code 

must be valid

Retire The compliance level code reported must be a valid 

code that is recognized by EPA.

7043 Retire for Annual 

Compliance

Retire If retire for reason code "Demonstrate annual 

compliance" is reported then the RINs must have an 

assignment code of "2."

7045 Retire for Obligation 

Registered Compliance 

Code

Retire If an organization retires for obligation, it must be 

registered for either a compliance level code of 20 or 

50.

7046 Delayed RIN Retire Retire The "Delayed RIN Retire" reason code may only be 

used with Separated Renewable Fuel (D = 6) RINs.

7052 Public Facility Number 

must be unique

Retire The facility number specified must be unique for the 

organization.

7055 Transaction Date must 

be within allowed 

range

Retire The Transaction Date must be within the last 5 

business days.

7056 Transaction Date must 

be within allowed 

range when using 

reason 110

Retire The Transaction Date must be within the last 30 

calendar days when using the “Remedial action as 

specified by EPA” reason code.

7057 Reason Code 110 only 

allowed 5 times

Retire The “Remedial action as specified by EPA” reason 

code 110 may only be used 5 times per calendar year. 

7900 Sufficient RINs (FIFO) Retire The organization must have enough available RINs in 

its holding account to complete the transaction.

7901 Sufficient RINs 

(Organization) 

Retire The organization must have enough available RINs 

from the specified organization in its holding account 

to complete the transaction.

(cont.)
Appendix C C-16

EMTS QA Checks (cont.)

Number Name Check Group Description

7902 Sufficient RINs (Facility) Retire The organization must have enough available RINs 

from the specified facility in its holding account to 

complete the transaction.

7903 Sufficient RINs (Batch) Retire The organization must have enough available RINs 

from the specified batch in its holding account to 

complete the transaction.
Appendix D: Business Activities by Transaction Type

The following chart shows the types of transactions allowed based on an organization's business activities. One organization may register for 

multiple business activities.
Appendix D D-2 

[This page intentionally left blank.]
Appendix E: Sample Transactions

E-1 Generate Transaction

Generate transactions allow renewable fuel producers to generate RINs for a newly produced batch of fuel. 

The characteristics of this new batch of fuel are used to identify the RINs for future transactions. Once 

EMTS has successfully processed a generate transaction, the submitter can see the new RINs in the 

organization's RIN Holding Account.

Figure E-1 shows the basic structure of a generate transaction. In this example, an ethanol Producer is 

sending information about a batch of RINs and identifies the feedstock used to produce the fuel. 

Figure E-1: General Structure of a Generate Submission

Root User = Lucy Pelt

Organization = Ethanol Producers

RIN Quantity = 5,000

Batch Volume = 5,000 Gallons

Fuel = Renewable Fuel

Fuel Category = Ethanol

Production Date = Jan. 7, 2009

Process = Nat. Gas (Wet Distiller)

Denaturant Volume = 238 Gallons

FeedstockDetail

Feedstock = Starch - Corn

Renewable Biomass = Yes

Feedstock Volume = 93,216

Feedstock Measure = lbs

FeedstockDetail

Feedstock = Starch - Annual Covercrops

Renewable Biomass = Yes

Feedstock Quantity = 31,072

Feedstock Measure = lbs

GenerateTransactionDetail

 CoproductDetail Coproduct = Wet Distiller Grains

GenerateOriginatingSourceDetail Generate Organization = Ethanol Producers

Generate Facility = Cornish Plant

Batch Number = 300
Appendix E E-2 

Objective: Ethanol Producer generates 5,000 RINs.

Information to deliver:

● RIN Quantity – The total number of RINs being generated in this transaction calculated by 

multiplying the Batch Volume by the Equivalence Value.

● Batch Volume – The total volume in gallons of renewable fuel. For ethanol, batch volume includes 

both the volume in gallons of un-denatured fuel and the volume in gallons of denaturant. 

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Fuel Category – Indicates the type of renewable fuel produced.

● Production Date – The year of production is the RIN year which can be used by buyers and sellers to 

specify RINs for a trade.

● Process Code – The process code which describes how the renewable fuel was made. 

● Denaturant Volume (for non-cellulosic ethanol and cellulosic ethanol fuel only) – The total volume 

in gallons of denaturant added to the fuel.

● Equivalence Value – A multiplier directly related to the fuel code.

Figure E-2 shows how these data would appear in a generate transaction data block.

Figure E-2: Generate Transaction Data Elements

Data Element Value Reference Required Instructions

FuelCode 6 Renewable 

Fuel

Yes Enter a valid fuel code.

ProcessCode 10 Grandfathered 

(Dry Mill, 

Natural Gas 

Fired)

Yes Enter a valid process code.

ProductionDate 2009-01-07 Yes Enter the date in YYYY-MM-DD 

format.

(cont.)
Appendix E E-3 

Figure E-2: Generate Transaction Data Elements (cont.)

Data Element Value Reference Required Instructions

FuelCategory 10 Non-cellulosic 

Ethanol

Yes Enter a valid fuel type.

BatchVolume 5000 Yes Enter the volume of fuel in gallons of 

fuel in the batch. It must be a whole 

number less than 99,999,999.

DenaturantVolume 238 No Enter the volume in gallons of 

denaturant added to the renewable 

fuel.

EquivalenceValue 1.0 Yes Enter a valid equivalence value from 

Section 5 of this document. This is a 

multiplier directly related to fuel 

code.

RINQuantity 5000 Yes Enter the total number of RINs. This 

must be a whole number.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

E-1.1 Reporting the Originating Source

Every generate transaction requires information regarding the source of the fuel. For each generate 

transaction, the following are required:

● Generate Organization Identifier – The public identifier of the organization that produced the fuel 

associated with the RINs being generated.

● Generate Facility Identifier – The public facility identifier for the plant that produced the renewable 

fuel associated with the RINs being generated.

● Batch Number Text – An internal tracking number assigned by the organization responsible for 

producing the fuel associated with the RINs being generated.

Figure E-3 shows how the originating source data would appear in a generate transaction.
Appendix E E-4 

Figure E-3: Generate Originating Source Data Elements

Data Element Value Reference Required Instructions

GenerateOrganizationIdentifier 1111 Ethanol 

Producers

Yes Provide the public organization 

identifier for the producer of the 

fuel as registered with EPA.

GenerateFacilityIdentifier 77777 Cornish Plant Yes Provide the public facility identifier 

for the plant that produced the 

renewable fuel.

BatchNumberText 300 Yes Enter the batch number associated 

with the batch at fuel production.

E-1.2 Feedstocks

The generate transaction requires that additional information be provided regarding the kind of feedstocks 

used to produce the fuel, the volume of each feedstock, and whether those feedstocks are renewable 

biomass. In this example, two different feedstocks were used and information must be provided for both. 

For each feedstock, the following are required:

● Feedstock Code – The Feedstock Code categorizes the type of material used to produce the 

renewable fuel.

● Renewable Biomass Indicator – Enter "true" if the feedstock meets the definition of renewable 

biomass as per §80.1401. 

● Feedstock Quantity – The total volume of the feedstock.

● Feedstock Measure Code – The unit of measure for the feedstock volume.

Figure E-4 shows how these data would appear for two feedstocks for a batch of RINs. 
Appendix E E-5 

Figure E-4: Feedstock Data Elements

Data Element Value Reference Required Instructions

FeedstockCode 10 Starch -- Corn Yes Enter a valid feedstock code. Enter as 

many feedstocks as applicable.

RenewableBiomassIndicator true Yes Yes Enter "true" if the feedstock qualifies 

as renewable biomass.

FeedstockQuantity 46.6 Yes Enter the total volume of the 

feedstock used in production of the 

fuel.

FeedstockMeasureCode 60 Ton Yes Enter a valid unit of measure code.

FeedstockCode 310 Starch – Annual 

Covercrops

Yes Enter a valid feedstock code found. 

Enter as many feedstocks as 

applicable.

RenewableBiomassIndicator true Yes Yes Enter "true" if the feedstock qualifies 

as renewable biomass.

FeedstockQuantity 15.5 Yes Enter the total volume of the 

feedstock used in production of the 

fuel.

FeedstockMeasureCode 60 Ton Yes Enter a valid unit of measure code.

E-1.3 Reporting Co-product

If fuel production results in the creation of a co-product, this information must be reported in the generate 

transaction. For each co-product, provide:

● Co-product Code – Code that categorizes the type of co-product.

Figure E-5 shows how co-product data would appear in a generate transaction.
Appendix E E-6 

Figure E-5: Co-product Data Elements

Data Element Value Reference Required Instructions

CoProductCode 10 Wet Distiller 

Grains

No Enter a valid co-product code. Enter 

as many co-products as applicable.

E-2 Separate Transaction

RINs are separated on a first-in-first-out basis in EMTS, unless additional information on the RIN batch is 

provided. EMTS searches the organization's RIN holdings for RINs that match the fuel type and assignment 

code specified and selects the quantity of RINs from the earliest acquired dates available. After EMTS has 

processed the separate transaction, the organization's RIN holdings will display an assignment code of "2" 

or "separated" for these RINs.

Figure E-6 shows the basic structure of a separate transaction. In this example, a Refiner is separating 

16,000 RINs from 16,000 gallons of fuel.

Figure E-6: General Structure of Separate Transaction

Root

SeparateTransactionDetail

User = Sam Smith

Organization = Ralph’s Refiner

RIN Quantity = 16,000

Batch Volume = 16,000 Gallons

Fuel = Renewable Fuel

RIN Year = 2009

Reason = Receipt

Transaction Date= Sept. 29, 2009

Objective: Petroleum Refiner separates 16,000 assigned RINs.

Required Information:

● RIN Quantity – The total number of RINs being separated in this transaction.

● Batch Volume – The total volume of renewable fuel.

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● RIN Year – The year in which the RIN was generated reflecting the year of the production date.
Appendix E E-7 

 ● Separate Reason Code – Code that explains why the fuel is being separated.

● Transaction Date – The date the fuel was separated.

Figure E-7 shows how these data would appear in the separate transaction data block.

Figure E-7: Separate Transaction Data Elements

Data Element Value Reference Required Instructions

RINQuantity 16000 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume 16000 Yes Enter the volume of fuel in gallons of 

fuel in the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable Fuel Yes Enter a valid fuel code.

RINYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RIN was 

generated and can be derived from 

the production date.

SeparateReasonCode 10 Receipt of 

renewable fuel 

by obligated 

party

Yes Enter a valid separate reason code.

TransactionDate 2009-09-

29

Yes Enter the date of the RIN transaction 

in YYYY-MM-DD format.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section 

of this document.

E-3 Sell Transaction

When a user submits a sell transaction, information on the buying organization must be identified. EMTS 

will check to make sure that the selling organization has the necessary RINs to complete the requested 

transaction and will then place these RINs in a "pending" status until it receives the buyer's matching 

transaction.
Appendix E E-8 

Figure E-8 shows the basic structure of a sell transaction. In this example, an Ethanol Producer is selling 

1,000 gallons of fuel with 1,000 assigned RINs to a Blender.

Figure E-8: General Structure of a Sell Transaction

Root

SellTransactionDetail

User = Lucy Pelt

Organization = Ethanol Producers

Partner = Big Bob’s Blending

RIN Quantity = 1,000

Batch Volume = 1,000 Gallons

Fuel = Renewable Fuel

Assignment = Assigned

RIN Year = 2009

Reason = Standard Trade

Transfer Date = Jan. 15, 2009

SupportingDocumentDetail Supporting Document = Invoice

Supporting Document ID = 1001

Objective: Renewable Fuel Producer sells 1,000 gallons of fuel and 1,000 RINs.

Required Information:

● Trading Partner Organization Identifier – The public identification number for the buying 

organization obtained through EPA.

● Trading Partner Organization Name – The name of the buying organization. 

● RIN Quantity – The total number of RINs being sold in this transaction. 

● Batch Volume – The volume of renewable fuel associated with the RINs. 

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date.

● Sell Reason Code – Code that explains why these RINs are being sold.
Appendix E E-9 

● Gallon Price Amount – The price at which the RINs and fuel were sold.

● Transfer Date – The date on which the sell transaction occurred outside of EMTS.

Figure E-9 shows how these data would appear in the sell transaction data block.

Figure E-9: Sell Transaction Data Elements

Data Element Value Reference Required Instructions

TransactionPartnerOrganization

Identifier

2222 Big Bob's 

Blending

Yes Enter the organization identifier of 

the buying party. This is the 

organization number obtained 

through EPA.

TransactionPartnerOrganization

Name

Big Bob's Yes Enter the name of the buying party.

RINQuantity 1000 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume 1000 Yes Enter volume of fuel in gallons of fuel 

in the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable 

Fuel

Yes Enter a valid fuel code.

AssignmentCode 1 Assigned to 

Fuel

Yes Enter "1" if the RINs are assigned and 

"2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RIN was 

generated and can be derived from 

the production date.

Sell Reason Code 10 Standard 

Trade

Yes Enter a valid sell reason code.

GallonPriceAmount 2.50 Yes Enter the price per gallon of 

renewable fuel in USD.

TransferDate 2009-01-15 Yes Enter the date in YYYY-MM-DD 

format. This is the date on which the 

transaction occurred.

(cont.)
Appendix E E-10

Figure E-9: Sell Transaction Data Elements (cont.)

Data Element Value Reference Required Instructions

PTDNumber 8960 No Enter the PTD number associated 

with the transaction.

MatchingTransactionIdentifier No Enter the matching EMTS transaction 

identifier of a pending buy 

transaction.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section 

of this document.

E-3.1 Supporting Document Information

The user may wish to provide additional documentation numbers associated with the buy or sell 

transaction. The supporting document data block allows the user to create user-defined document names 

to report these numbers. In the example below, the user reported an invoice number for the sell. Please 

note that users may choose to supply public supporting document information if they would like the 

information made available to the trading partner.

Figure E-10 shows how data would appear in the supporting document information.

Figure E-10: Supporting Document Detail

Data Element Value Reference Required Instructions

SupportingDocumentText Invoice No Enter the type of document to which 

the document number applies.

SupportingDocumentNumber 1001 No Enter the identification number for 

the supporting document.

E-4 Buy Transaction

When a user submits a basic buy transaction, EMTS will match key data elements to the corresponding sell 

transaction. EMTS will match on trading partner information, assignment code, RIN quantity, and fuel type. 

If these fields do not match, the trade will fail.

Figure E-11 shows the basic structure of a buy transaction. In this example, a Blender is buying 1,000 

gallons of fuel with 1,000 assigned RINs from a Producer.
Appendix E E-11

Figure E-11: General Structure of a Buy Transaction

Root

BuyTransactionDetail

User = Eddie Howard

Organization = Big Bob’s Blending

Partner = Ethanol Producers

RIN Quantity = 1,000

Batch Volume = 1,000 Gallons

Fuel = Renewable Fuel

Assignment = Assigned

RIN Year = 2009

Reason = Standard Trade

Transfer Date = Jan. 15, 2009

Objective: Renewable Fuel Blender buys 1,000 gallons of fuel and 1,000 RINs.

Required Information:

● Trading Partner Organization Identifier – The public identification number for the selling 

organization obtained through EPA.

● Trading Partner Organization Name – The name of the selling organization. 

● RIN Quantity – The total number of RINs being sold in this transaction. 

● Batch Volume – The total volume of renewable fuel associated with the RINs. 

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date.

● Buy Reason Code – Code that explains why these RINs are being bought.

● Gallon Price Amount – The price at which the RINs and fuel were bought.

● Transfer Date – The date on which the buy transaction occurred outside of EMTS.

Figure E-12 shows how these data would appear in the buy transaction data block.
Appendix E E-12

Figure E-12: Buy Transaction Data Elements

Data Element Value Reference Required Instructions

TransactionPartnerOrganization 

Identifier

1111 Ethanol 

Producers

Yes Enter the organization identifier of 

the selling party. This is the 

organization number obtained 

through EPA.

TransactionPartnerOrganization

Name

Ethanol 

Producers

Yes Enter the name of the selling party.

RINQuantity 1000 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume 1000 Yes Enter the volume in gallons of fuel in 

the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable 

Fuel

Yes Enter a valid fuel code.

AssignmentCode 1 Assigned to 

Fuel

Yes Enter "1" if the RINs are assigned 

and "2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This 

is the year in which the RIN was 

generated and can be derived from 

the production date.

BuyReasonCode 10 Standard 

Trade

Yes Enter a valid buy reason code.

GallonPriceAmount 2.50 Yes Enter the price per gallon of 

renewable fuel in USD.

TransferDate 2009-01-15 Yes Enter the date in YYYY-MM-DD 

format. This is the date on which 

the transaction occurred.

PTDNumber 8960 No Enter the PTD number associated 

with the transaction.

MatchingTransactionIdentifier No Enter the matching EMTS 

transaction identifier of a pending 

sell transaction.

TransactionDetailComment No Provide any additional information 

regarding this transaction.
Appendix E E-13

* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section 

of this document.

E-5 Retire Transaction

E-5.1 Retire for Spillage

Retire transactions must include a reason for the retirement of a RIN batch. 

Figure E-13 shows the basic structure of a retire transaction. In this example, a Producer is retiring 1,000 

RINs because of spillage.

Figure E-13: General Structure of a Retire for Spillage Transaction

Root

RetireTransactionDetail

OriginatingSourceDetail

User = Lucy Pelt

Organization = Ethanol Producers

Generating Organization = Ethanol Producers

Generation Facility = Cornish Plant

Batch Number = 300

RIN Quantity = 1,000

Batch Volume = 1,000

Fuel Code= Renewable Fuel

Assignment = Assigned

RIN Year = 2009

Reason = Spillage

Transaction Date= Aug. 14, 2009

Objective: Renewable Fuel Producer retires 1,000 gallons of fuel for spillage.

Required Information:

● RIN Quantity – The total number of RINs being retired in this transaction. 

● Batch Volume – The total volume of renewable fuel.

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date. 

● Retire Reason Code – Code that explains why the fuel is being retired.
Appendix E E-14

● Transaction Date – The date on which the spill occurred.

Figure E-14 shows how these data would appear in the retire transaction data block.

Figure E-14: Retire Transaction Data Elements

Data Element Value Reference Required Instructions

RINQuantity 1000 Yes Enter the total number of RINs. This 

must be a whole number.

Batch Volume 1000 Yes Enter the volume in gallons of fuel in 

the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable Fuel Yes Enter a valid fuel code.

AssignmentCode 1 Assigned to Fuel Yes Enter "1" if the RINs are assigned and 

"2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RIN was 

generated and can be derived from 

the production date.

RetireReasonCode 10 Spillage Yes Enter a valid retire reason code.

TransactionDate 2009-

08-14

Yes Enter the date of the RIN transaction 

in YYYY-MM-DD format.

TransactionDetailComment Spill occurred 

while fuel was 

in transit.

No Provide any additional information 

regarding this transaction.

A transaction comment is not required for all retire transactions. However, with certain reason codes such 

as retire for spillage, a comment must be provided explaining the use of that reason code. Additional 

information about the originating source of the RINs may also be provided, but is not required. To specify 

the batch, indicate: 

● Generate Organization Identifier – The public identifier of the organization that produced the fuel 

associated with the RINs being sold.
Appendix E E-15

● Generate Facility Identifier – The public facility identifier for the plant that produced the renewable 

fuel associated with the RINs being sold.

● Batch Number Text – An internal tracking number assigned by the organization responsible for 

producing the fuel associated with the RINs being sold.

Figure E-15 shows how these data would appear in the originating source information for a batch of RINs.

Figure E-15: Retire Originating Source Data Elements

Data Element Value Reference Required Instructions

GenerateOrganizationIdentifier 1111 Ethanol 

Producers

Yes Provide the public organization 

identifier for the producer of the fuel 

as registered with EPA.

GenerateFacilityIdentifier 77777 Cornish Plant No Provide the public facility identifier 

for the plant that produced the 

renewable fuel.

BatchNumber 300 No Enter the batch number associated 

with the batch at fuel production.

E-5.2 Retire for Compliance, Aggregated Refiner

To fulfill its Renewable Volume Obligation (RVO) for a particular year, an organization must retire RINs to 

EPA's RIN Holding Account. The submitter for the organization must indicate the compliance year, the 

compliance level code, and the reason code for the retire transaction. Upon completion of this transaction, 

EPA will be the holder of the RINs.

Figure E-16 shows the basic structure of a retire transaction. In this example, a Refiner is retiring 1,000 

RINs for compliance.

Figure E-16: General Structure of Retire Transaction for Compliance, Aggregated Refiner

Root

RetireTransactionDetail

User = Sam Smith

Organization = Ralph’s Refiner

RIN Quantity = 1,000

Fuel = Renewable Fuel

Assignment = Separated

RIN Year = 2009

Reason = Compliance

Transaction Date = Oct. 11, 2009

Compliance Year = 2009

Compliance Level = Aggregated
Appendix E E-16

Objective: Aggregated Refiner retires 1,000 RINs for compliance.

Required Information:

● RIN Quantity – The total number of RINs being retired in this transaction. 

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7). 

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date. 

● Retire Reason Code – Code that indicates the RINs are retired for compliance.

● Transaction Date – The date on which the retire transaction occurred.

● Compliance Year – The year in which the RINs are being used for compliance.

● Compliance Level Code – The compliance basis for the submitting organization.

Figure E-17 shows how these data would appear in the retire transaction data block.

Figure E-17: Retire Transaction Data Elements

Data Element Value Reference Required Instructions

RINQuantity 1000 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume No Enter the volume gallons of fuel in 

the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable Fuel Yes Enter a valid fuel code.

AssignmentCode 2 Separated Yes Enter "1" if the RINs are assigned and 

"2" if they are separated.

(cont.)
Appendix E E-17

Figure E-17: Retire Transaction Data Elements (cont.)

Data Element Value Reference Required Instructions

RINYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RIN was 

generated and can be derived from 

the production date.

RetireReasonCode 90 Demonstrate 

annual 

compliance

Yes Enter a valid retire reason code.

TransactionDate 2009-

10-11

Yes Enter the date of the RIN transaction 

in YYYY-MM-DD format.

ComplianceYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RINs are being 

used for compliance.

ComplianceLevelCode 20 Aggregated 

refiner

Yes Enter a valid compliance level code.

ComplianceFacilityIdentifier No Provide the public facility identifier of 

the facility that is retiring RINs for 

compliance.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section 

of this document.

E-5.3 Retire for Compliance, Facility Level 

When an organization wants to report compliance at the facility level, the user must submit a retire 

transaction indicating a facility level reason code and the facility for which RINs are being retired.

Figure E-18 shows the basic structure of a retire transaction. In this example, a Refiner is retiring 1,000 

RINs for compliance at the facility level.
Appendix E E-18

Figure E-18: General Structure of a Retire Transaction for Compliance, Facility Level

Root

RetireTransactionDetail

User = Sam Smith

Organization = Ralph’s Refiner

RIN Quantity = 1,000

Fuel = Renewable Fuel

Assignment = Separated

RIN Year = 2009

Reason = Compliance

Transaction Date = Oct. 20, 2009

Compliance Year = 2009

Compliance Level = Aggregated

Compliance Facility = Rex’s Small Refinery

Objective: Petroleum Refiner retires 1,000 RINs for compliance at the facility level.

Required Information: 

● RIN Quantity – The total number of RINs being retired in this transaction. 

● Batch Volume – The total volume of renewable fuel.

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7). 

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date. 

● Retire Reason Code – Code that indicates the RINs are being used for compliance.

● Transaction Date – The date on which the transaction occurred outside EMTS.

● Compliance Year – The year in which the RINs are being used for compliance.

● Compliance Level Code – The compliance basis for the submitting organization.

● Compliance Facility Identifier – The public facility identifier of the facility that is retiring RINs for 

compliance.

Figure E-19 shows how these data would appear in the retire transaction data block.
Appendix E E-19

Figure E-19: Retire Transaction Data Elements

Data Element Value Reference Required Instructions

RINQuantity 1000 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume No Enter the volume in gallons of fuel in 

the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable Fuel Yes Enter a valid fuel code.

AssignmentCode 2 Separated Yes Enter "1" if the RINs are assigned and 

"2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RIN was 

generated and can be derived from 

the production date.

RetireReasonCode 90 Demonstrate 

annual 

compliance

Yes Enter a valid retire reason code.

TransactionDate 2009-

10-20

Yes Enter the date of the RIN transaction 

in YYYY-MM-DD format.

ComplianceYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RINs are being 

used for compliance.

ComplianceLevelCode 50 Facility Level Yes Enter a valid compliance level code.

ComplianceFacilityIdentifier 22222 Rex's Small 

Refinery

Yes Provide the public facility identifier of 

the facility that is retiring RINs for 

compliance.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

* Instructions for users who wish to specify a batch for a transaction can be found in the "Advanced Options" section 

of this document.
Appendix E E-20

E-6 Advanced Options

E-6.1 Batch Specific Transactions

"Advanced Options" will be available to users who wish to submit separate, buy, sell, or retire transactions 

for a specific batch of RINs. These transactions require the user to provide a greater level of detail than the 

basic transaction as shown in this document. RINs can be specified by organization only, organization and 

facility, or by organization, facility, and batch.

E-6.1.1 Batch Specific Sell Transaction

When a trade occurs involving a specific batch of RINs, the buying and selling organizations report the 

additional information in the Originating Source data block, providing specifics on the organization and 

facility that produced the fuel and the batch number.

Figure E-20 shows the basic structure of a batch specific sell transaction. In this example, a Producer is 

selling 8,000 RINs from a specific batch to a Refiner.

Figure E-20: General Structure of a Batch Specific Sell Transaction

Root

SellTransactionDetail

OriginatingSourceDetail

User = Lucy Pelt

Organization = Ethanol Producers

Generating Organization = Ethanol Producers

Generation Facility: Cornish Plant

Batch Number: 301

Partner: Ralph’s Refiner

RIN Quantity = 8,000

Fuel = Renewable Fuel

Assignment Status = Separated

RIN Year = 2009

Reason = Standard Trade

Transfer Date = Jan. 15, 2009

Objective: Renewable Fuel Producer sells 8,000 separated RINs from a specific generating facility.

Required Information:

● Trading Partner Organization Identifier – The identification number for the buying organization 

obtained through EPA.

● Trading Partner Organization Name – The name of the buying organization. 

● RIN Quantity – The total number of RINs being retired in this transaction. 
Appendix E E-21

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date. 

● Sell Reason Code – Code that explains why these RINs are being sold.

● RIN Price Amount – The price at which the RINs were sold.

● Transfer Date – The date on which the sell transaction occurred outside of EMTS. 

Figure E-21 shows how these data would appear in the sell transaction data block for a specified batch of 

RINs.

Figure E-21: Batch Specific Sell Transaction Data Elements

Data Element Value Reference Required Instructions

TransactionPartnerOrganization

Identifier

3333 Ralph's Refiner Yes Enter the organization identifier of 

the buying party. This is the 

organization number obtained 

through EPA.

TransactionPartnerOrganization

Name

Ralph's Yes Enter the name of the buying party.

RINQuantity 8000 Yes Enter the total number of RINs. 

This must be a whole number.

BatchVolume No Enter the volume in gallons of fuel 

in the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable Fuel Yes Enter a valid fuel code.

AssignmentCode 2 Separated Yes Enter "1" if the RINs are assigned 

and "2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This 

is the year in which the RIN was 

generated and can be derived from 

the production date.

(cont.)
Appendix E E-22

Figure E-21: Batch Specific Sell Transaction Data Elements (cont.)

Data Element Value Reference Required Instructions

SellReasonCode 10 Standard Trade Yes Enter a valid sell reason code.

RINPriceAmount 0.18 Yes Enter the price per RIN in USD.

TransferDate 2009-01-15 Yes Enter the date in YYYY-MM-DD 

format. This is the date on which 

the transaction occurred.

PTDNumber 2495 No Enter the PTD number associated 

with the transaction.

MatchingTransactionIdentifier No Enter the matching EMTS 

transaction identifier of a pending 

buy transaction.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

A batch specific transaction requires additional information about the originating source of the RINs. To 

specify the batch, include:

● Generate Organization Identifier – The public identifier of the organization that produced the fuel 

associated with the RINs being sold.

● Generate Facility Identifier – The public facility identifier for the plant that produced the renewable 

fuel associated with the RINs being sold.

● Batch Number Text – An internal tracking number assigned by the organization responsible for 

producing the fuel associated with the RINs being sold.

Figure E-22 shows how these data would appear in the originating source information for a batch of RINs.
Appendix E E-23

Figure E-22: Sell Originating Source Detail

Data Element Value Reference Required Instructions

GenerateOrganizationIdentifier 1111 Ethanol 

Producer

Yes Provide the public organization 

identifier for the producer of the fuel 

as registered with EPA.

GenerateFacilityIdentifier 77777 Cornish Plant No Provide the public facility identifier 

for the plant that produced the 

renewable fuel.

BatchNumberText 301 No Enter the batch number associated 

with the batch at fuel production.

E-6.1.2 Batch Specific Buy Transaction

Users submitting a buy transaction for specific RINs must identify the same information as the selling 

organization as these fields will be used by EMTS to match the transactions. If any of these fields 

identifying the RINs are incorrect, then the transaction will not be matched with its corresponding sell 

transaction and the trade will not be processed. 

Figure E-23 shows the basic structure of a batch specific buy transaction. In this example, a Refiner is 

buying 8,000 RINs from a specific batch from a Producer.

Figure E-23: General Structure of a Batch Specific Buy Transaction

Root

BuyTransactionDetail

OriginatingSourceDetail

User = Sam Smith

Organization = Ralph’s Refiner

Generating Organization = Ethanol Producers

Generation Facility = Cornish Plant

Batch Number = 301

Partner = Ethanol Producers

RIN Quantity = 8,000

Fuel = Renewable Fuel

Assignment = Separated

RIN Year = 2009

Reason = Standard Trade

Transfer Date =Jan. 15, 2009

Objective: Petroleum Refiner buys 8,000 separated RINs from a specific generating facility.
Appendix E E-24

Required Information:

● Trading Partner Organization Identifier – The identification number for the selling organization 

obtained through EPA.

● Trading Partner Organization Name – The name of the selling organization. 

● RIN Quantity – The total number of RINs being retired in this transaction. 

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date. 

● Buy Reason Code – Code that explains why these RINs are being bought.

● RIN Price Amount – The price at which the RINs were bought.

● Transfer Date – The date on which the buy transaction occurred outside of EMTS.

Figure E-24 shows how these data would appear in the buy transaction data block for a specified batch of 

RINs.

Figure E-24: Batch Specific Buy Transaction Data Elements

Data Element Value Reference Required Instructions

TransactionPartnerOrganization

Identifier

1111 Ethanol 

Producers

Yes Enter the organization identifier of 

the selling party. This is the 

organization number obtained 

through EPA.

TransactionPartnerOrganization

Name

Ethanol 

Producers

Yes Enter the name of the selling party.

RINQuantity 8000 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume No Enter the volume of fuel in gallons of 

fuel in the batch. It must be a whole 

number less than 99,999,999.

(cont.)
Appendix E E-25

Figure E-24: Batch Specific Buy Transaction Data Elements (cont.)

Data Element Value Reference Required Instructions

FuelCode 6 Renewable 

Fuel

Yes Enter a valid fuel code.

AssignmentCode 2 Separated Yes Enter "1" if the RINs are assigned 

and "2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This 

is the year in which the RIN was 

generated and can be derived from 

the production date.

BuyReasonCode 10 Standard 

Trade

Yes Enter a valid buy reason code.

RINPriceAmount 0.18 Yes Enter the price per RIN in USD.

TransferDate 2009-01-15 Yes Enter the date in YYYY-MM-DD 

format. This is the date on which 

the transaction occurred.

PTDNumber 2495 No Enter the PTD number associated 

with the transaction.

MatchingTransactionIdentifier No Enter the matching EMTS 

transaction identifier of a pending 

sell transaction.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

Batch specific transactions require additional information about the originating source of the RINs. To 

specify the batch, include: 

● Generate Organization Identifier – The public identifier of the organization that produced the fuel 

associated with the RINs being sold.

● Generate Facility Identifier – The public facility identifier for the plant that produced the renewable 

fuel associated with the RINs being sold.

● Batch Number Text – An internal tracking number assigned by the organization responsible for 

producing the fuel associated with the RINs being sold.

Figure E-25 shows how these data would appear in the originating source information for a batch of RINs.
Appendix E E-26

Figure E-25: Originating Source Detail

Data Element Value Reference Required Instructions

GenerateOrganizationIdentifier 1111 Ethanol 

Producers

Yes Provide the public organization 

identifier for the producer of the fuel 

as registered with EPA.

GenerateFacilityIdentifier 77777 Cornish Plant No Provide the public facility identifier 

for the plant that produced the 

renewable fuel.

BatchNumberText 301 No Enter the batch number associated 

with the batch at fuel production.

E-6.2 Non-One-to-One Ratio

Within the advanced options, it is also possible for organizations to separate, buy, and sell fuel and RINs at 

a non-one-to-one ratio. Organizations may separate or sell up to two-and-a-half times as many RINs as the 

associated fuel volume in a single transaction.

E-6.2.1 Separate Fuel and RINs in a Non-One-to-One Ratio

As an advanced option, users may choose to separate a quantity of RINs that exceeds the volume of 

renewable fuel. The quantity of RINs may not be more than two-and-a-half times the volume of fuel. The 

user will need to specify an assignment code of "1" to indicate that these RINs are assigned to fuel at the 

time of the transaction.

Figure E-26 shows the basic structure of a non-one-to-one separate transaction. In this example, a Blender 

is separating 2,500 RINs from 1,000 gallons of renewable fuel.

Figure E-26: General Structure of a Non-One-to-One Separate Transaction

Root

SeparateTransactionDetail

User = Eddie Howard

Organization = Big Bob’s Blending

RIN Quantity = 2,500

Batch Volume = 1,000 Gallons

Fuel = Renewable Fuel

RIN Year = 2009

Reason = Receipt

Transaction Date = Aug. 23, 2009

Objective: Renewable Fuel Blender separates 2,500 RINs from 1,000 gallons of fuel.
Appendix E E-27

Required Information:

● RIN Quantity – The total number of RINs being retired in this transaction. 

● Batch Volume – The total volume of renewable fuel.

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● RIN Year – The year in which the RIN was generated reflecting the year of the production date.

● Separate Reason Code – Code that explains why the fuel is being separated.

● Transaction Date – The date on which the transaction occurred outside EMTS.

Figure E-27 shows how these data would appear in the separate transaction data block.

Figure E-27: Non-One-to-One Separate Transaction Data Elements

Data Element Value Reference Required Instructions

RINQuantity 2500 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume 1000 Yes Enter the volume in gallons of fuel in 

the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable 

Fuel

Yes Enter a valid fuel code.

RINYear 2009 Yes Enter the year in YYYY format. This is 

the year in which the RIN was 

generated and can be derived from 

the production date.

SeparateReasonCode 10 Receipt of 

renewable fuel 

by obligated 

party

Yes Enter a valid separate reason code 

found in Appendix A of this 

document.

TransactionDate 2009-08-

23

Yes Enter the date of the RIN transaction 

in YYYY-MM-DD format.

TransactionDetailComment No Provide any additional information 

regarding this transaction.
Appendix E E-28

E-6.2.2 Sell Fuel and RINs in a Non-One-to-One Ratio

Users may submit a sell transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by 

entering the appropriate Batch Volume and RIN Quantity. If the organization intends to sell RINs of 

multiple fuel types, then the user will need to submit one transaction for each fuel type. 

Figure E-28 shows the basic structure of a non-one-to-one sell transaction. In this example, a producer is 

selling 10,000 RINs and 5,000 gallons of renewable fuel to a Refiner.

Figure E-28: General Structure of a Non-One-to-One Sell Transaction

Root

SellTransactionDetail

User = Lucy Pelt

Organization = Ethanol Producers

Partner = Ralph’s Refiner

RIN Quantity = 10,000

Batch Volume = 5,000 Gallons

Fuel = Renewable Fuel

Assignment = Assigned

RIN Year = 2009

Reason = Standard Trade

Transfer Date = Jan. 15, 2009

Objective: Producer sells 5,000 gallons of fuel and 10,000 RINs.

Required Information:

● Trading Partner Organization Identifier – The identification number for the buying organization 

obtained through EPA.

● Trading Partner Organization Name – The name of the buying organization. 

● RIN Quantity – The total number of RINs being retired in this transaction. 

● Batch Volume – The total volume of renewable fuel.

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date.
Appendix E E-29

● Sell Reason Code – Code that explains why these RINs are being sold.

● Gallon Price Amount – The price at which the RINs and fuel were sold.

● Transfer Date – The date on which the sell transaction occurred outside of EMTS.

Figure E-29 shows these data would appear in the sell transaction data block.

Figure E-29: Non-One-to-One Sell Transaction Data Elements

Data Element Value Reference Required Instructions

TransactionPartnerOrganization

Identifier

3333 Ralph's Refiner Yes Enter the organization identifier of 

the buying party. This is the 

organization number obtained 

through EPA.

TransactionPartnerOrganization

Name

Ralph's Yes Enter the name of the buying 

organization.

RINQuantity 10000 Yes Enter the total number of RINs. 

This must be a whole number.

BatchVolume 5000 Yes Enter the volume in gallons of fuel 

in the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable 

Fuel

Yes Enter a valid fuel code.

AssignmentCode 1 Assigned to 

Fuel

Yes Enter "1" if the RINs are assigned 

and "2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This 

is the year in which the RIN was 

generated and can be derived from 

the production date.

SellReasonCode 10 Standard 

Trade

Yes Enter a valid sell reason code.

GallonPriceAmount 2.75 Yes Enter the price per gallon of 

renewable fuel in USD.

TransferDate 2009-01-15 Yes Enter the date in YYYY-MM-DD 

format. This is the date on which 

the transaction occurred.

(cont.)
Appendix E E-30

Figure E-29: Non-One-to-One Sell Transaction Data Elements (cont.)

Data Element Value Reference Required Instructions

PTDNumber 3462 No Enter the PTD number associated 

with the transaction.

MatchingTransactionIdentifier No Enter the matching EMTS 

transaction identifier of a pending 

buy transaction.

TransactionDetailComment No Provide any additional information 

regarding this transaction.

E-6.2.3 Buy Fuel and RINs in a Non-One-to-One Ratio

Users may submit a buy transaction in a non-one-to-one ratio of fuel to RINs. The ratio will be indicated by 

entering the appropriate Batch Volume and RIN Quantity. These values must match the values in the 

corresponding sell transaction in order to be processed. If the organization intends to buy RINs of multiple 

fuel types, then the user will need to submit one transaction for each fuel type. 

Figure E-30 shows the basic structure of a non-one-to-one buy transaction. In this example, a Refiner is 

buying 10,000 RINs and 5,000 gallons of renewable fuel from a Producer.

Figure E-30: Sample Structure of a Non-One-to-One Buy Transaction

Root

BuyTransactionDetail

User = Sam Smith

Organization = Ralph’s Refiner

Partner = Ethanol Producers

RIN Quantity = 10,000

Batch Volume = 5,000 Gallons

Fuel = Renewable Fuel

Assignment = Assigned

RIN Year = 2009

Reason = Standard Trade

Transfer Date = Jan. 15, 2009

Objective: Petroleum Refiner buys 5,000 gallons and 10,000 RINs. 

Required Information:

● Trading Partner Organization Identifier – The identification number for the selling organization 

obtained through EPA.
Appendix E E-31

● Trading Partner Organization Name – The name of the selling organization. 

● RIN Quantity – The total number of RINs being retired in this transaction. 

● Batch Volume – The total volume of renewable fuel.

● Fuel Code – Indicates the category of fuel to which the renewable fuel belongs: Cellulosic Biofuel 

(D = 3), Biomass-based Diesel (D = 4), Advanced Biofuel (D = 5), Renewable Fuel (D = 6), or 

Cellulosic Diesel (D = 7).

● Assignment Code – Identifies if the RINs are assigned or separated.

● RIN Year – The year in which the RIN was generated reflecting the year of the production date. 

● Buy Reason Code – Code that explains why these RINs are being bought.

● Gallon Price Amount – The price at which the RINs and fuel were bought.

● Transfer Date – The date on which the buy transaction occurred outside of EMTS.

Figure E-31 shows how these data would appear in the submission file.

Figure E-31: Non-One-to-One Buy Transaction Data Elements

Data Element Value Reference Required Instructions

TransactionPartnerOrganization

Identifier

1111 Ethanol 

Producers

Yes Enter the organization identifier of 

the selling party. This is the 

organization number obtained 

through EPA.

TransactionPartnerOrganization

Name

Ethanol 

Producers

Yes Enter the name of the selling party.

RINQuantity 10000 Yes Enter the total number of RINs. This 

must be a whole number.

BatchVolume 5000 Yes Enter the volume in gallons of fuel in 

the batch. It must be a whole 

number less than 99,999,999.

FuelCode 6 Renewable 

Fuel

Yes Enter a valid fuel code.

(cont.)
Appendix E E-32

Figure E-31: Non-One-to-One Buy Transaction Data Elements (cont.)

Data Element Value Reference Required Instructions

AssignmentCode 1 Assigned to 

Fuel

Yes Enter "1" if the RINs are assigned 

and "2" if they are separated.

RINYear 2009 Yes Enter the year in YYYY format. This 

is the year in which the RIN was 

generated and can be derived from

the production date.

BuyReasonCode 10 Standard 

Trade

Yes Enter a valid buy reason code.

GallonPriceAmount 2.75 Yes Enter the price per gallon of 

renewable fuel in USD.

TransferDate 2009-01-15 Yes Enter the date in YYYY-MM-DD 

format. This is the date on which 

the transaction occurred.

PTDNumber 3462 No Enter the PTD number associated 

with the transaction.

MatchingTransactionIdentifier No Enter the matching EMTS 

transaction identifier of a pending 

sell transaction.

TransactionDetailComment No Provide any additional information 

regarding this transaction.
Appendix F: User Roles and Permissions

Just as your organization's business activities dictate the transactions that it can perform in EMTS, your 

User Role defines your permissions. Your user role is determined when you register your login ID with 

EPA through the OTAQReg Fuels Programs Registration system. The following is a list of all the user roles 

in EMTS, accompanied by a brief description of the actions each user can take.

Viewer – A viewer has limited permissions in EMTS and is restricted to read-only access. As a viewer, you 

may view information about your organization but you may not change any information. You may view 

your profile, organization information, RIN holdings, reports, transactions, submission log, announcements, 

and any of the help features.

Submitter – A submitter has the ability to create transactions either through the EMTS user interface or 

via batch file submissions. Any data you enter in a transaction will be stored in your organization's 

Transaction Bin. A submitter has the same rights as a viewer in EMTS.
Appendix F F-2 

[This page intentionally left blank.]
Appendix G: Cross-reference Tables

The following tables show cross-reference codes for reporting transactions to EMTS.

The Business Activity by Separate Reason Code table shows which reasons can be reported for a separate transaction for a specific organization's 

business activity.

Figure G-1: Business Activity by Separate Reason Code

Business 

Activity 

Code Description

Separate 

Reason 

Code Description

10 Domestic Renewable Fuel Producer 20 Blending to produce a transportation fuel

10 Domestic Renewable Fuel Producer 30 Designation of renewable fuel as transportation fuel 

10 Domestic Renewable Fuel Producer 40 Upstream Delegation for Blending 

10 Domestic Renewable Fuel Producer 60 Use as Home Heating Oil or Jet Fuel

10 Domestic Renewable Fuel Producer 70 Use in a non-road engine or vehicle

10 Domestic Renewable Fuel Producer 80 Designation of Renewable Fuel as Home Heating Oil or Jet Fuel

10 Domestic Renewable Fuel Producer 90 Delayed RIN Separation

30 Renewable Fuel Importer 20 Blending to produce a transportation fuel

30 Renewable Fuel Importer 30 Designation of renewable fuel as transportation fuel 

30 Renewable Fuel Importer 40 Upstream Delegation for Blending 

30 Renewable Fuel Importer 60 Use as Home Heating Oil or Jet Fuel

30 Renewable Fuel Importer 70 Use in a non-road engine or vehicle

(cont.)
Appendix G G-2 

Figure G-1: Business Activity by Separate Reason Code (cont.)

Business 

Activity 

Code Description

Separate 

Reason 

Code Description

30 Renewable Fuel Importer 80 Designation of Renewable Fuel as Heating Oil or Jet Fuel

30 Renewable Fuel Importer 90 Delayed RIN Separation

40 Non-renewable Fuel Importer 10 Receipt of renewable fuel by obligated party

40 Non-renewable Fuel Importer 20 Blending to produce a transportation fuel

40 Non-renewable Fuel Importer 30 Designation of renewable fuel as transportation fuel 

40 Non-renewable Fuel Importer 40 Upstream Delegation for Blending 

40 Non-renewable Fuel Importer 60 Use as Heating Oil or Jet Fuel

40 Non-renewable Fuel Importer 70 Use in a non-road engine or vehicle

40 Non-renewable Fuel Importer 80 Designation of Renewable Fuel as Heating Oil or Jet Fuel

50 Renewable Fuel Exporter 20 Blending to produce a transportation fuel

50 Renewable Fuel Exporter 30 Designation of renewable fuel as transportation fuel 

50 Renewable Fuel Exporter 40 Upstream Delegation for Blending

50 Renewable Fuel Exporter 50 Export of Renewable Fuel

50 Renewable Fuel Exporter 60 Use as Heating Oil or Jet Fuel

50 Renewable Fuel Exporter 70 Use in a non-road engine or vehicle

50 Renewable Fuel Exporter 80 Designation of Renewable Fuel as Heating Oil or Jet Fuel

60 Refiner 10 Receipt of renewable fuel by obligated party

60 Refiner 20 Blending to produce a transportation fuel

(cont.)
Appendix G G-3 

Figure G-1: Business Activity by Separate Reason Code (cont.)

Business 

Activity 

Code Description

Separate 

Reason 

Code Description

60 Refiner 30 Designation of renewable fuel as transportation fuel 

60 Refiner 40 Upstream Delegation for Blending 

60 Refiner 60 Use as Heating Oil or Jet Fuel

60 Refiner 70 Use in a non-road engine or vehicle

60 Refiner 80 Designation of Renewable Fuel as Heating Oil or Jet Fuel

70 Small Refiner 20 Blending to produce a transportation fuel

70 Small Refiner 30 Designation of renewable fuel as transportation fuel 

70 Small Refiner 40 Upstream Delegation for Blending 

70 Small Refiner 60 Use as Heating Oil or Jet Fuel

70 Small Refiner 70 Use in a non-road engine or vehicle

70 Small Refiner 80 Designation of Renewable Fuel as Heating Oil or Jet Fuel

80 RIN Owner 20 Blending to produce a transportation fuel

80 RIN Owner 30 Designation of renewable fuel as transportation fuel 

80 RIN Owner 40 Upstream Delegation for Blending 

80 RIN Owner 60 Use as Heating Oil or Jet Fuel

80 RIN Owner 70 Use in a non-road engine or vehicle

80 RIN Owner 80 Designation of Renewable Fuel as Heating Oil or Jet Fuel
Appendix G G-4 

The Business Activity by Buy Reason Code table shows which reasons can be reported for a buy transaction for a specific organization's business 

activity.

Figure G-2: Business Activity by Buy Reason Code

Business 

Activity Code Description

Buy Reason 

Code Description

10 Domestic Renewable Fuel Producer 10 Standard Trade

10 Domestic Renewable Fuel Producer 30 Incorrect Trading Partner

10 Domestic Renewable Fuel Producer 40 Remedial Action Specified by EPA

10 Domestic Renewable Fuel Producer 50 Deny

10 Domestic Renewable Fuel Producer 60 Cancel

20 Foreign Renewable Fuel Producer 10 Standard Trade

20 Foreign Renewable Fuel Producer 30 Incorrect Trading Partner

20 Foreign Renewable Fuel Producer 40 Remedial Action Specified by EPA

20 Foreign Renewable Fuel Producer 50 Deny

20 Foreign Renewable Fuel Producer 60 Cancel

30 Renewable Fuel Importer 10 Standard Trade

30 Renewable Fuel Importer 30 Incorrect Trading Partner

30 Renewable Fuel Importer 40 Remedial Action Specified by EPA

30 Renewable Fuel Importer 50 Deny

30 Renewable Fuel Importer 60 Cancel

40 Non-renewable Fuel Importer 10 Standard Trade

(cont.)
Appendix G G-5 

Figure G-2: Business Activity by Buy Reason Code (cont.)

Business 

Activity Code Description

Buy Reason 

Code Description

40 Non-renewable Fuel Importer 30 Incorrect Trading Partner

40 Non-renewable Fuel Importer 40 Remedial Action Specified by EPA

40 Non-renewable Fuel Importer 50 Deny

40 Non-renewable Fuel Importer 60 Cancel

50 Renewable Fuel Exporter 10 Standard Trade

50 Renewable Fuel Exporter 30 Incorrect Trading Partner

50 Renewable Fuel Exporter 40 Remedial Action Specified by EPA

50 Renewable Fuel Exporter 50 Deny

50 Renewable Fuel Exporter 60 Cancel

60 Refiner 10 Standard Trade

60 Refiner 30 Incorrect Trading Partner

60 Refiner 40 Remedial Action Specified by EPA

60 Refiner 50 Deny

60 Refiner 60 Cancel

70 Small Refiner 10 Standard Trade

70 Small Refiner 30 Incorrect Trading Partner

70 Small Refiner 40 Remedial Action Specified by EPA

70 Small Refiner 50 Deny

(cont.)
Appendix G G-6 

Figure G-2: Business Activity by Buy Reason Code (cont.)

Business 

Activity Code Description

Buy Reason 

Code Description

70 Small Refiner 60 Cancel

80 RIN Owner 10 Standard Trade

80 RIN Owner 30 Incorrect Trading Partner

80 RIN Owner 40 Remedial Action Specified by EPA

80 RIN Owner 50 Deny

80 RIN Owner 60 Cancel
Appendix G G-7 

The Business Activity by Sell Reason Code table shows which reasons can be reported for a sell transaction for a specific organization's business 

activity.

Figure G-3: Business Activity by Sell Reason Code

Business 

Activity Code Description

Sell Reason 

Code Description

10 Domestic Renewable Fuel Producer 10 Standard Trade

10 Domestic Renewable Fuel Producer 30 Incorrect Trading Partner

10 Domestic Renewable Fuel Producer 40 Remedial Action Specified by EPA

10 Domestic Renewable Fuel Producer 50 Deny

10 Domestic Renewable Fuel Producer 60 Cancel

20 Foreign Renewable Fuel Producer 10 Standard Trade

20 Foreign Renewable Fuel Producer 30 Incorrect Trading Partner

20 Foreign Renewable Fuel Producer 40 Remedial Action Specified by EPA

20 Foreign Renewable Fuel Producer 50 Deny

20 Foreign Renewable Fuel Producer 60 Cancel

30 Renewable Fuel Importer 10 Standard Trade

30 Renewable Fuel Importer 30 Incorrect Trading Partner

30 Renewable Fuel Importer 40 Remedial Action Specified by EPA

30 Renewable Fuel Importer 50 Deny

30 Renewable Fuel Importer 60 Cancel

40 Non-renewable Fuel Importer 10 Standard Trade

(cont.)
Appendix G G-8 

Figure G-3: Business Activity by Sell Reason Code (cont.)

Business 

Activity Code Description

Sell Reason 

Code Description

40 Non-renewable Fuel Importer 30 Incorrect Trading Partner

40 Non-renewable Fuel Importer 40 Remedial Action Specified by EPA

40 Non-renewable Fuel Importer 50 Deny

40 Non-renewable Fuel Importer 60 Cancel

50 Renewable Fuel Exporter 10 Standard Trade

50 Renewable Fuel Exporter 30 Incorrect Trading Partner

50 Renewable Fuel Exporter 40 Remedial Action Specified by EPA

50 Renewable Fuel Exporter 50 Deny

50 Renewable Fuel Exporter 60 Cancel

60 Refiner 10 Standard Trade

60 Refiner 30 Incorrect Trading Partner

60 Refiner 40 Remedial Action Specified by EPA

60 Refiner 50 Deny

60 Refiner 60 Cancel

70 Small Refiner 10 Standard Trade

70 Small Refiner 30 Incorrect Trading Partner

70 Small Refiner 40 Remedial Action Specified by EPA

70 Small Refiner 50 Deny

(cont.)
Appendix G G-9 

Figure G-3: Business Activity by Sell Reason Code (cont.)

Business 

Activity Code Description

Sell Reason 

Code Description

70 Small Refiner 60 Cancel

80 RIN Owner 10 Standard Trade

80 RIN Owner 30 Incorrect Trading Partner

80 RIN Owner 40 Remedial Action Specified by EPA

80 RIN Owner 50 Deny

80 RIN Owner 60 Cancel
Appendix G G-10

The Business Activity by Retire Reason Code table shows which reasons can be reported for a retire transaction for a specific organization's 

business activity.

Figure G-4: Business Activity by Retire Reason Code

Business 

Activity 

Code Description

Retire 

Reason 

Code Description

10 Domestic Renewable Fuel Producer 10 Reportable spill

10 Domestic Renewable Fuel Producer 20 Contaminated or spoiled fuel

10 Domestic Renewable Fuel Producer 40 Renewable Fuel Used in an Ocean-going Vessel

10 Domestic Renewable Fuel Producer 50 Invalid RIN

10 Domestic Renewable Fuel Producer 60 Volume error correction

10 Domestic Renewable Fuel Producer 70 Enforcement Obligation

10 Domestic Renewable Fuel Producer 90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.

10 Domestic Renewable Fuel Producer 100 Delayed RIN Retire

20 Foreign Renewable Fuel Producer 

(Bonded)

10 Reportable spill

20 Foreign Renewable Fuel Producer 

(Bonded)

20 Contaminated or spoiled fuel

20 Foreign Renewable Fuel Producer 

(Bonded)

30 Import volume correction

20 Foreign Renewable Fuel Producer 

(Bonded)

40 Renewable Fuel Used in an Ocean-going Vessel

(cont.)
Appendix G G-11

Figure G-4: Business Activity by Retire Reason Code (cont.)

Business 

Activity 

Code Description

Retire 

Reason 

Code Description

20 Foreign Renewable Fuel Producer 

(Bonded)

50 Invalid RIN

20 Foreign Renewable Fuel Producer 

(Bonded)

60 Volume error correction

20 Foreign Renewable Fuel Producer 

(Bonded)

70 Enforcement Obligation

20 Foreign Renewable Fuel Producer 

(Bonded)

90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.

30 Renewable Fuel Importer 10 Reportable spill

30 Renewable Fuel Importer 20 Contaminated or spoiled fuel

30 Renewable Fuel Importer 30 Import volume correction

30 Renewable Fuel Importer 40 Renewable Fuel Used in an Ocean-going Vessel

30 Renewable Fuel Importer 50 Invalid RIN

30 Renewable Fuel Importer 70 Enforcement Obligation

30 Renewable Fuel Importer 90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.

30 Renewable Fuel Importer 100 Delayed RIN Retire

40 Non-renewable Fuel Importer 10 Reportable spill

40 Non-renewable Fuel Importer 20 Contaminated or spoiled fuel

(cont.)
Appendix G G-12

Figure G-4: Business Activity by Retire Reason Code (cont.)

Business 

Activity 

Code Description

Retire 

Reason 

Code Description

40 Non-renewable Fuel Importer 40 Renewable Fuel Used in an Ocean-going Vessel

40 Non-renewable Fuel Importer 50 Invalid RIN

40 Non-renewable Fuel Importer 70 Enforcement Obligation

40 Non-renewable Fuel Importer 80 Demonstrate annual compliance

40 Non-renewable Fuel Importer 90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.

50 Renewable Fuel Exporter 10 Reportable spill

50 Renewable Fuel Exporter 20 Contaminated or spoiled fuel

50 Renewable Fuel Exporter 40 Renewable Fuel Used in an Ocean-going Vessel

50 Renewable Fuel Exporter 50 Invalid RIN

50 Renewable Fuel Exporter 70 Enforcement Obligation

50 Renewable Fuel Exporter 80 Demonstrate annual compliance

50 Renewable Fuel Exporter 90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.

60 Refiner 10 Reportable spill

60 Refiner 20 Contaminated or spoiled fuel

60 Refiner 40 Renewable Fuel Used in an Ocean-going Vessel

60 Refiner 50 Invalid RIN

(cont.)
Appendix G G-13

Figure G-4: Business Activity by Retire Reason Code (cont.)

Business 

Activity 

Code Description

Retire 

Reason 

Code Description

60 Refiner 70 Enforcement Obligation

60 Refiner 80 Demonstrate annual compliance

60 Refiner 90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.

70 Small Refiner 10 Reportable spill

70 Small Refiner 20 Contaminated or spoiled fuel

70 Small Refiner 40 Renewable Fuel Used in an Ocean-going Vessel

70 Small Refiner 50 Invalid RIN

70 Small Refiner 70 Enforcement Obligation

70 Small Refiner 90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.

80 RIN Owner 10 Reportable spill

80 RIN Owner 20 Contaminated or spoiled fuel

80 RIN Owner 40 Renewable Fuel Used in an Ocean-going Vessel

80 RIN Owner 50 Invalid RIN

80 RIN Owner 70 Enforcement Obligation

80 RIN Owner 90 Renewable fuel used or designated to be used in any application 

that is not transportation fuel, heating oil, or jet fuel.
Appendix G G-14

The Business Activity by Compliance Level Code table shows which compliance levels can be reported for a retire transaction for a specific 

organization's business activity.

Figure G-5: Business Activity by Compliance Level Code

Business Activity 

Code Description

Compliance 

Level 

Code Description

10 Domestic Renewable Fuel Producer 40 Non-Obligated Party

20 Foreign Renewable Fuel Producer 40 Non-Obligated Party

30 Renewable Fuel Importer 40 Non-Obligated Party

40 Non-renewable Fuel Importer 10 Aggregated Importer

50 Renewable Fuel Exporter 30 Exporter

60 Refiner 20 Aggregated Refiner

60 Refiner 50 Facility Level

70 Small Refiner 40 Non-Obligated Party

80 RIN Owner 40 Non-Obligated Party

For a list of valid combinations of fuel categories, processes, and feedstocks that can be reported for a fuel code (D code), please refer to the 

"Reporting Codes and Fuel Pathways" document at http://www.epa.gov/otaq/fuels/renewablefuels/epamts.htm.