406

For the reasons set forth in the preamble, 40 CFR part 80 is amended as follows: 

PART 80—REGULATION OF FUELS AND FUEL ADDITIVES 

1. The authority citation for part 80 continues to read as follows: 

Authority: 42 U.S.C. 7414, 7542, 7545, and 7601(a). 

2. A new subpart M is added to part 80 to read as follows: 

Subpart M—Renewable Fuel Standard

Sec. 

80.1400 Applicability. 

80.1401 Definitions. 

80.1402 [Reserved] 

80.1403 Which fuels are not subject to the 20% GHG thresholds? 

80.1404 [Reserved] 

80.1405 What are the Renewable Fuel Standards? 

80.1406 Who is an obligated party under the RFS program? 

80.1407 How are the Renewable Volume Obligations calculated? 

80.1408-80.1414 [Reserved] 

80.1415 How are equivalence values assigned to renewable fuel? 

80.1416 Treatment of parties who produce or import new renewable fuels and 

pathways. 

80.1417-80.1424 [Reserved] 

80.1425 Renewable Identification Numbers (RINs). 

80.1426 How are RINs generated and assigned to batches of renewable fuel by 

renewable fuel producers or importers? 

80.1427 How are RINs used to demonstrate compliance? 

80.1428 General requirements for RIN distribution. 

80.1429 Requirements for separating RINs from volumes of renewable fuel. 

80.1430 Requirements for exporters of renewable fuels. 

80.1431 Treatment of invalid RINs. 

80.1432 Reported spillage or disposal of renewable fuel. 

80.1433-80.1439 [Reserved] 

80.1440 What are the provisions for blenders who handle and blend less than 

125,000 gallons of renewable fuel per year? 

80.1441 Small refinery exemption. 

80.1442 What are the provisions for small refiners under the RFS program? 

80.1443 What are the opt-in provisions for noncontiguous states and territories? 

80.1444-80.1448 [Reserved] 

80.1449 What are the Production Outlook Report requirements? 

80.1450 What are the registration requirements under the RFS program? 

80.1451 What are the reporting requirements under the RFS program? 
 407

80.1452 What are the requirements related to the EPA Moderated Transaction 

System (EMTS)? 

80.1453 What are the product transfer document (PTD) requirements for the RFS 

program? 

80.1454 What are the recordkeeping requirements under the RFS program? 

80.1455 What are the provisions for renewable fuel production facilities and 

importers who produce or import less than 10,000 gallons of renewable 

fuel per year? 

80.1456 What are the provisions for cellulosic biofuel waiver credits? 

80.1457-80.1459 [Reserved] 

80.1460 What acts are prohibited under the RFS program? 

80.1461 Who is liable for violations under the RFS program? 

80.1462 [Reserved] 

80.1463 What penalties apply under the RFS program? 

80.1464 What are the attest engagement requirements under the RFS program? 

80.1465 What are the additional requirements under this subpart for foreign small 

refiners, foreign small refineries, and importers of RFS-FRFUEL? 

80.1466 What are the additional requirements under this subpart for foreign 

producers and importers of renewable fuels? 

80.1467 What are the additional requirements under this subpart for foreign RIN 

owners? 

Subpart M—Renewable Fuel Standard

§ 80.1400 Applicability. 

The provisions of this subpart M shall apply for all renewable fuel produced on or after 

April 1, 2010, for all RINs generated on or after April 1, 2010, and for all renewable 

volume obligations and compliance periods starting with January 1, 2010. Except as 

provided otherwise in this subpart M, the provisions of subpart K of this Part 80 shall not 

apply for such renewable fuel, RINs, renewable volume obligations, or compliance 

periods. 

§ 80.1401 Definitions. 

The definitions of §80.2 and of this section apply for the purposes of this subpart M. The 

definitions of this section do not apply to other subparts unless otherwise noted. Note 

that many terms defined here are common terms that have specific meanings under this 

subpart M. The definitions follow: 

Advanced biofuel means renewable fuel, other than ethanol derived from cornstarch, that 

qualifies for a D code of 5 pursuant to §80.1426(d). 
 408

Areas at risk of wildfire are those areas defined as wildland-urban interface in 2000, as 

depicted and mapped at http://silvis.forest.wisc.edu/Library/WUILibrary.asp. 

Biodiesel means a mono-alkyl ester that meets ASTM D-6751-09, entitled "Standard 

Specification for Biodiesel Fuel Blendstock (B100) for Middle Distillate Fuels." ASTM 

D-6751-09 is incorporated by reference. This incorporation by reference was approved 

by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 

Part 51. A copy may be obtained from the American Society for Testing and Materials, 

100 Barr Harbor Drive, West Conshohocken, Pennsylvania. A copy may be inspected at 

the EPA Docket Center, Docket No. EPA-HQ-OAR-2005-0161, EPA/DC, EPA West, 

Room 3334, 1301 Constitution Ave., NW, Washington DC, or at the National Archives 

and Records Administration (NARA). For information on the availability of this material 

at NARA, call 866-272-6272, or go to: http://www.archives.gov/federal-register/cfr/ibrlocations.html. 

Biogas means a mixture of hydrocarbons that is a gas at 60 degrees Fahrenheit and 1 

atmosphere of pressure that is produced through the conversion of organic matter from 

renewable biomass or from the processing of renewable feedstocks used to produce 

renewable fuel. Biogas also includes landfill gas and sewage waste treatment gas. 

Biomass-based diesel means a renewable fuel which qualifies for a D code of 4 pursuant 

to §80.1426(d) and meets all of the following requirements: 

(1) It is a transportation fuel or fuel additive. 

(2) It is intended for use in engines that are designed to run on conventional diesel 

fuel. 

(3) It meets the definition of either biodiesel or non-ester renewable diesel. 

(4) If the fuel or fuel additive is intended for use in a motor vehicle it must be 

registered as a motor vehicle fuel or fuel additive under 40 CFR part 79. 

(5) Renewable fuel that is co-processed with petroleum is not biomass-based diesel. 

Cellulosic biofuel means renewable fuel derived from any cellulose, hemi-cellulose, or 

lignin that is derived from renewable biomass and that qualifies for a D code of 3 

pursuant to §80.1426(d). 

Cellulosic diesel is any fuel which qualifies for a D code of 7 pursuant to §80.1426(d) 

and meets both the definitions of cellulosic biofuel and biomass-based diesel, as defined 

in this section 80.1401. 

Combined heat and power (CHP), also known as cogeneration, refers to industrial 

processes in which byproduct heat that would otherwise be released into the environment 

is used for process heating and/or electricity production. 

Co-processed means that renewable biomass was simultaneously processed with fossil 

fuels or other non-renewable feedstock in the same unit or units to produce a fuel that is 

partially renewable. 
 409

Corn oil extraction means the recovery of corn oil from the thin stillage and/or the DGS 

produced by a dry mill corn ethanol plant, most often by mechanical separation.

Crop residue is the biomass left over from the harvesting or processing of planted crops 

from existing agricultural land and any biomass removed from existing agricultural land 

that facilitates crop management (including biomass from such lands in relation to 

invasive species control or fire management), whether or not the biomass includes any 

portion of a crop or crop plant. 

 

Cropland is land used for production of crops for harvest and includes cultivated 

cropland, such as for row crops or close-grown crops, and non-cultivated cropland, such 

as for horticultural crops. 

Diesel refers to any and all of the products specified at §80.1407(f). 

Ecologically sensitive forestland means forestland that is: 

(1) An ecological community listed in either document entitled "Listing of Forest 

Ecological Communities Pursuant to 40 CFR 80.1401; S1-S3 communities," or 

“Listing of Forest Ecological Communities Pursuant to 40 CFR 80.1401; G1-G2 

communities,” (available in public docket EPA-HQ-OAR-2005-0161); or 

(2) Old growth or late successional, characterized by trees at least 200 years in age. 

EPA Moderated Transaction System, or EMTS, means a closed, EPA moderated system 

that provides a mechanism for screening and tracking Renewable Identification Numbers 

(RINs) as per §80.1452. 

Existing agricultural land is cropland, pastureland, and land enrolled in the Conservation 

Reserve Program (administered by the U.S. Department of Agriculture’s Farm Service 

Agency) that was cleared or cultivated prior to December 19, 2007, and that, on 

December 19, 2007, was: 

(1) Nonforested; and 

(2) Actively managed as agricultural land or fallow, as evidenced by any of the 

following records that are traceable to the land in question: 

(i) Records of sales of planted crops, crop residue, or livestock, or records of 

purchases for land treatments such as fertilizer, weed control, or reseeding. 

(ii) A written management plan for agricultural purposes. 

(iii) Documented participation in an agricultural management program 

administered by a Federal, state, or local government agency. 

(iv) Documented management in accordance with a certification program for 

agricultural products. 

Exporter of renewable fuel means: 

(1) A party that transfers any renewable fuel to a location outside the contiguous 48 

states and Hawaii; and 

(2) A party that transfers any renewable fuel from a location in the contiguous 48 

states or Hawaii to Alaska or a United States territory, unless that state or territory 
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has received an approval from the Administrator to opt-in to the renewable fuel 

program pursuant to §80.1443. 

Facility means all of the activities and equipment associated with the production of 

renewable fuel starting from the point of delivery of feedstock material to the point of 

final storage of the end product, which are located on one property, and are under the 

control of the same party (or parties under common control). 

Fallow means cropland, pastureland, or land enrolled in the Conservation Reserve 

Program (administered by the U.S. Department of Agriculture’s Farm Service Agency) 

that is intentionally left idle to regenerate for future agricultural purposes with no seeding 

or planting, harvesting, mowing, or treatment during the fallow period. 

Forestland is generally undeveloped land covering a minimum area of 1 acre upon which 

the primary vegetative species are trees, including land that formerly had such tree cover 

and that will be regenerated and tree plantations. Tree covered areas in intensive 

agricultural crop production settings, such fruit orchards or tree-covered areas in urban 

settings such as city parks, are not considered forestland. 

Fractionation of feedstocks means a process whereby seeds are divided in various 

components and oils are removed prior to fermentation for the production of ethanol. 

Fuel intended for use in an ocean-going vessel means, for this subpart only, fuel allowed 

by 40 CFR part 80 subpart I to have sulfur content greater than 500 ppm and which is 

intended for use in marine vessels. For the period beginning January 1, 2010 through 

December 1, 2010, distillate fuel is not considered fuel intended for use in an oceangoing vessel. 

Gasoline refers to any and all of the products specified at §80.1407(c). 

Heating oil has the meaning given in §80.2(ccc). 

Importers. An importer of transportation fuel or renewable fuel is: 

(1) Any party who brings transportation fuel or renewable fuel into the 48 contiguous 

states of the United States or Hawaii, from a foreign country or from an area that 

has not opted in to the program requirements of this subpart pursuant to §80.1443; 

and 

(2) Any party who brings transportation fuel or renewable fuel into an area that has 

opted in to the program requirements of this subpart pursuant to §80.1443. 

Motor vehicle has the meaning given in Section 216(2) of the Clean Air Act (42 U.S.C. 

7550(2)). 

Neat renewable fuel is a renewable fuel to which 1% or less of gasoline (as defined in 

Section 211(k)(10)(F) of the Clean Air Act (42 U.S.C. 7550)) or diesel fuel has been 

added. 
 411

Non-ester renewable diesel means renewable fuel which is all the following: 

(1) Registered as a motor vehicle fuel or fuel additive under 40 CFR Part 79, if the 

fuel or fuel additive is intended for use in a motor vehicle. 

(2) Not a mono-alkyl ester. 

(3) Intended for use in engines that are designed to run on conventional diesel fuel. 

(4) Derived from nonpetroleum renewable resources. 

Nonforested land means land that is not forestland. 

Nonpetroleum renewable resources include, but are not limited to the following: 

(1) Plant oils. 

(2) Animal fats and animal wastes, including poultry fats and poultry wastes, and 

other waste materials. 

Nonroad vehicle has the meaning given in Section 216(11) of the Clean Air Act (42 

U.S.C. 7550(11)). 

Partial esterification means renewable additive which is all the following: 

(1) Registered as a motor vehicle fuel or fuel additive under 40 CFR Part 79, if the 

fuel or fuel additive is intended for use in a motor vehicle. 

(2) Not a mono-alkyl ester, but undergoes transesterification. 

(3) Intended for use in engines that are designed to run on conventional diesel fuel. 

(4) Derived from nonpetroleum renewable resources. 

Pastureland is land managed for the production of indigenous or introduced forage plants 

for livestock grazing or hay production, and to prevent succession to other plant types. 

Planted crops are all annual or perennial agricultural crops from existing agricultural land 

that may be used as feedstocks for renewable fuel, such as grains, oilseeds, sugarcane, as 

well as energy crops, such as switchgrass, prairie grass, duckweed, and other species (but 

not including algae species or planted trees), providing that they were intentionally 

applied by humans to the ground, a growth medium, or a pond or tank, either by direct 

application as seed or plant, or through intentional natural seeding or vegetative 

propagation by mature plants introduced or left undisturbed for that purpose. 

Planted trees are trees harvested from a tree plantation. 

Pre-commercial thinnings are trees, including unhealthy or diseased trees, primarily 

removed to reduce stocking to concentrate growth on more desirable, healthy trees, or 

other vegetative material that is removed to promote tree growth. 

Renewable biomass means each of the following: 

(1) Planted crops and crop residue harvested from existing agricultural land cleared 

or cultivated prior to December 19, 2007 and actively managed on December 19, 

2007. 
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(2) Planted trees and tree residue from a tree plantation located on non-federal land 

(including land belonging to an Indian tribe or an Indian individual that is held in 

trust by the U.S. or subject to a restriction against alienation imposed by the U.S.) 

that was cleared at any time prior to December 19, 2007 and actively managed on 

December 19, 2007. 

(3) Animal waste material and animal byproducts. 

(4) Slash and pre-commercial thinnings from non-federal forestland (including 

forestland belonging to an Indian tribe or an Indian individual, that are held in 

trust by the United States or subject to a restriction against alienation imposed by 

the United States) that is not ecologically sensitive forestland. 

(5) Biomass (organic matter that is available on a renewable or recurring basis) 

obtained from those areas defined as wildland-urban interface in 2000, as depicted 

and mapped at http://silvis.forest.wisc.edu/Library/WUILibrary.asp. 

(6) Algae. 

(7) Separated yard waste or food waste, including recycled cooking and trap grease 

and incidental material and post-recycled paper and food waste. 

Renewable fuel means a fuel which meets all of the following: 

(1) Registered as a motor vehicle fuel or fuel additive under 40 CFR Part 79, if the 

fuel or fuel additive is intended for use in a motor vehicle. 

(2) Fuel that is produced from renewable biomass. 

(3) Fuel that is used to replace or reduce the quantity of fossil fuel present in a 

transportation fuel, heating oil, or jet fuel. 

(4) Ethanol covered by this definition shall be denatured as required and defined in 

27 CFR parts 19 through 21. Any volume of denaturant added to the undenatured 

ethanol by a producer or importer in excess of 2 volume percent shall not be 

included in the volume of ethanol for purposes of determining compliance with 

the requirements under this subpart. 

Renewable Identification Number (RIN), is a unique number generated to represent a 

volume of renewable fuel pursuant to §§ 80.1425 and 80.1426. 

(1) Gallon-RIN is a RIN that represents an individual gallon of renewable fuel; and 

(2) Batch-RIN is a RIN that represents multiple gallon-RINs. 

Slash is the residue, including treetops, branches, and bark, left on the ground after 

logging or accumulating as a result of a storm, fire, delimbing, or other similar 

disturbance. 

Small refinery means a refinery for which the average aggregate daily crude oil 

throughput for calendar year 2006 (as determined by dividing the aggregate throughput 

for the calendar year by the number of days in the calendar year) does not exceed 75,000 

barrels. 

Transportation fuel means fuel for use in motor vehicles, motor vehicle engines, nonroad 

vehicles, or nonroad engines (except for ocean-going vessels). 
 413

Tree plantation is a stand of no less than 1 acre composed primarily of trees established 

by hand- or machine-planting of a seed or sapling, or by coppice growth from the stump 

or root of a tree that was hand- or machine-planted. Tree plantations must be cleared 

prior to December 19, 2007 and must be actively managed as evidenced by any of the 

following records that can be traced back to the land: 

(1) Sales records for planted trees or slash together with other written 

documentation connecting the land in question to these purchases; 

(2) Purchasing records for seeds, seedlings, or other nursery stock together 

with other written documentation connecting the land in question to these 

purchases; 

(3) A written management plan for silvicultural purposes; 

(4) Documentation of participation in a silvicultural program sponsored by a 

Federal, state or local government agency; 

(5) Documentation of land management in accordance with an agricultural or 

silvicultural product certification program; 

(6) An agreement for land management consultation with a professional 

forester that identifies the land in question; or 

(7) Evidence of the existence and ongoing maintenance of a road system or 

other physical infrastructure designed and maintained for logging use, 

together with one of the above-mentioned documents. 

Tree residue is slash and any woody residue generated during the processing of planted 

trees from actively managed tree plantations for use in lumber, paper, furniture or other 

applications, provided that such woody residue is not mixed with similar residue from 

trees that do not originate in actively managed tree plantations. 

Yard waste is leaves, sticks, pine needles, grass and hedge clippings, and similar waste 

from residential, commercial, or industrial areas. 

§ 80.1402 [Reserved]

§ 80.1403 Which fuels are not subject to the 20% GHG thresholds? 

(a) For purposes of this section, the following definitions apply: 

(1) Baseline volume means the greater of nameplate capacity or actual peak 

capacity of a specific renewable fuel production facility. 

(2) Nameplate capacity means: 

(i) 105% of the maximum rated volume output of renewable fuel 

produced by a renewable fuel production facility under specific 

conditions as indicated in applicable air permits issued by the U.S. 

Environmental Protection Agency, state, or local air pollution 

control agencies and that govern the construction and/or operation 

of the renewable fuel facility, reported as: 

(A) Annual volume output on a calendar year basis; or 
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(B) If the permit associates maximum rated volume output on 

an hourly basis, then multiplying the hourly output by 

8,322 hours per year to obtain the annual output. 

(ii) If the maximum rated annual volume output of renewable fuel is 

not specified in any applicable air permits issued by the U.S. 

Environmental Protection Agency, state, or local air pollution 

control agencies, then nameplate capacity is the actual peak 

capacity of the facility on an annual basis. 

(3) Actual peak capacity means 105% of the maximum annual volume of 

renewable fuels produced from a specific renewable fuel production 

facility on an annual basis. 

(i) For facilities that commenced construction prior to December 19, 

2007 the maximum annual volume is for any year prior to 2008. 

(ii) For facilities that commenced construction after December 19, 

2007, and are fired with natural gas, biomass, or a combination 

thereof, the maximum annual volume may be for any year after 

startup during the first three years of operation. 

(4) Commence construction, as applied to facilities that produce renewable 

fuel, means that the owner or operator has all necessary preconstruction 

approvals or permits (as defined at 40 CFR 52.21(b)(10)), that for multiphased projects, the commencement of construction of one phase does not 

constitute commencement of construction of any later phase, unless each 

phase is mutually dependent for physical and chemical reasons only, and 

has satisfied either of the following: 

(i) Begun, or caused to begin, a continuous program of actual 

construction on-site (as defined in 40 CFR 52.21(b)(11)) and did 

not discontinue construction for a period of 18 months or more and 

completed construction within a reasonable time, not to exceed 36 

months. 

(ii) Entered into binding agreements or contractual obligations, which 

cannot be cancelled or modified without substantial loss to the 

owner or operator, to undertake a program of actual construction of 

the facility to be completed within a reasonable time, not to exceed 

36 months. 

(b) The baseline volume of renewable fuel that is produced from facilities and their 

expansions, all of which commenced construction on or before December 19, 

2007, shall not be subject to the requirement of 20 percent reduction in GHG 

emissions and shall be deemed grandfathered for purposes of generating RINs 

pursuant to §80.1426 if the owner or operator: 

(1) Did not discontinue construction for a period of 18 months after 

commencement of construction; and 

(2) Completed construction within 36 months of commencement of 

construction. 
 415

(c) The baseline volume of ethanol that is produced from facilities which commenced 

construction after December 19, 2007 and on or before December 31, 2009, shall 

not be subject to the requirement of 20 percent reduction in GHG emissions and 

shall be deemed grandfathered for purposes of generating RINs pursuant to 

§80.1426 only if such facilities are fired with natural gas, biomass, or a 

combination thereof and if the owner or operator: 

(1) Did not discontinue construction for a period of 18 months after 

commencement of construction; and 

(2) Completed construction within 36 months of commencement of 

construction. 

(3) Continues to be fired with natural gas, biofuel, or combination thereof. 

(d) The annual volume of renewable fuel during a calendar year from facilities 

described in paragraphs (a) and (b) of this section that exceeds the baseline 

volume shall be subject to the 20 percent reduction in GHG emissions and such 

volume shall not be deemed grandfathered for purposes of generating RINs 

pursuant to §80.1426. 

(e) If there are any changes in the mix of renewable fuels produced by those facilities 

described in paragraph (b) of this section, only the ethanol volume will not be 

subject to the 20 percent reduction in GHG emissions and shall be deemed 

grandfathered for purposes of generating RINs pursuant to §80.1426. 

§ 80.1404 [Reserved]

§ 80.1405 What are the Renewable Fuel Standards? 

(a) Renewable Fuel Standards for 2010.

(1) The value of the cellulosic biofuel standard for 2010 shall be 0.004 

percent. 

(2) The value of the biomass-based diesel standard for 2010 shall be 1.10 

percent. 

(3) The value of the advanced biofuel standard for 2010 shall be 0.61 percent. 

(4) The value of the renewable fuel standard for 2010 shall be 8.25 percent. 

(b) Beginning with the 2011 compliance period, EPA will calculate the value of the 

annual standards and publish these values in the Federal Register by November 30 

of the year preceding the compliance period. 

(c) EPA will calculate the annual renewable fuel percentage standards using the 

following equations: 

Gi − RGi + GSi − RGSi − GEi + Di − RDi + DSi − RDSi − DEi

= ( ) ( ) ( ) ( )

RFV Std 100* CB, i

CB, i
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Gi − RGi + GSi − RGSi − GEi + Di − RDi + DSi − RDSi − DEi

× = ( ) ( ) ( ) ( )RFV 1.5 Std 100* BBD, i 

BBD, i

Gi − RGi + GSi − RGSi − GEi + Di − RDi + DSi − RDSi − DEi

= ( ) ( ) ( ) ( )

RFV Std 100* AB, i

AB, i

Gi − RGi + GSi − RGSi − GEi + Di − RDi + DSi − RDSi − DEi

= ( ) ( ) ( ) ( )

RFV Std 100 * RF, i

RF, i

Where: 

StdCB,i = The cellulosic biofuel standard for year i, in percent. 

StdBBD,i = The biomass-based diesel standard for year i, in percent. 

StdAB,i = The advanced biofuel standard for year i, in percent. 

StdRF,i = The renewable fuel standard for year i, in percent. 

RFVCB,i = Annual volume of cellulosic biofuel required by section 211(o)(2)(B) of 

the Clean Air Act for year i, in gallons.

RFVBBD,i = Annual volume of biomass-based diesel required by section 211(o)(2)(B) 

of the Clean Air Act for year i, in gallons. 

RFVAB,i = Annual volume of advanced biofuel required by section 211(o)(2)(B) of 

the Clean Air Act for year i, in gallons. 

RFVRF,i = Annual volume of renewable fuel required by section 211(o)(2)(B) of the 

Clean Air Act for year i, in gallons. 

Gi = Amount of gasoline projected to be used in the 48 contiguous states and 

Hawaii, in year i, in gallons. 

Di = Amount of diesel projected to be used in the 48 contiguous states and 

Hawaii, in year i, in gallons. 

RGi = Amount of renewable fuel blended into gasoline that is projected to be 

consumed in the 48 contiguous states and Hawaii, in year i, in gallons. 

RDi = Amount of renewable fuel blended into diesel that is projected to be 

consumed in the 48 contiguous states and Hawaii, in year i, in gallons. 
 417

GSi = Amount of gasoline projected to be used in Alaska or a U.S. territory, in 

year i, if the state or territory has opted-in or opts-in, in gallons. 

RGSi = Amount of renewable fuel blended into gasoline that is projected to be 

consumed in Alaska or a U.S. territory, in year i, if the state or territory 

opts-in, in gallons. 

DSi = Amount of diesel projected to be used in Alaska or a U.S. territory, in year 

i, if the state or territory has opted-in or opts-in, in gallons. 

RDSi = Amount of renewable fuel blended into diesel that is projected to be 

consumed in Alaska or a U.S. territory, in year i, if the state or territory 

opts-in, in gallons. 

GEi = The amount of gasoline projected to be produced by exempt small 

refineries and small refiners, in year i, in gallons in any year they are 

exempt per §§80.1441 and 80.1442, respectively. Assumed to equal 

0.119*(Gi-RGi). 

DEi = The amount of diesel fuel projected to be produced by exempt small 

refineries and small refiners in year i, in gallons, in any year they are 

exempt per §§80.1441 and 80.1442, respectively. Assumed to equal 

0.152*(Di-RDi). 

(d) The 2010 price for cellulosic biofuel waiver credits are $1.56 per waiver credit. 

§ 80.1406 Who is an obligated party under the RFS program?

(a) (1) An obligated party is any refiner that produces gasoline or diesel fuel 

within the 48 contiguous states or Hawaii, or any importer that imports 

gasoline or diesel fuel into the 48 contiguous states or Hawaii. A party 

that simply blends renewable fuel into gasoline or diesel fuel, as defined in 

§80.1407(c) or (f), is not an obligated party. 

 (2) If the Administrator approves a petition of Alaska or a United States 

territory to opt-in to the renewable fuel program under the provisions in 

§80.1443, then "obligated party" shall also include any refiner that 

produces gasoline or diesel fuel within that state or territory, or any 

importer that imports gasoline or diesel fuel into that state or territory. 

(b) For each compliance period starting with 2010, an obligated party is required to 

demonstrate, pursuant to §80.1427, that it has satisfied the Renewable Volume 

Obligations for that compliance period, as specified in §80.1407(a). 

(c) An obligated party may comply with the requirements of paragraph (b) of this 

section for all of its refineries in the aggregate, or for each refinery individually. 
 418

(d) An obligated party must comply with the requirements of paragraph (b) of this 

section for all of its imported gasoline or diesel fuel in the aggregate. 

(e) An obligated party that is both a refiner and importer must comply with the 

requirements of paragraph (b) of this section for its imported gasoline or diesel 

fuel separately from gasoline or diesel fuel produced by its refinery or refineries. 

(f) Where a refinery or import facility is jointly owned by two or more parties, the 

requirements of paragraph (b) of this section may be met by one of the joint 

owners for all of the gasoline or diesel fuel produced/imported at the facility, or 

each party may meet the requirements of paragraph (b) of this section for the 

portion of the gasoline or diesel fuel that it produces or imports, as long as all of 

the gasoline or diesel fuel produced/imported at the facility is accounted for in 

determining the Renewable Volume Obligations under §80.1407. 

(g) The requirements in paragraph (b) of this section apply to the following 

compliance periods: Beginning in 2010, and every year thereafter, the compliance 

period is January 1 through December 31. 

§ 80.1407 How are the Renewable Volume Obligations calculated?

(a) The Renewable Volume Obligations for an obligated party are determined 

according to the following formulas: 

(1) Cellulosic biofuel.

RVOCB,i = (RFStdCB,i * (GVi + DVi)) + DCB,i-1

Where: 

RVOCB,i = The Renewable Volume Obligation for cellulosic biofuel for an 

obligated party for calendar year i, in gallons. 

RFStdCB,i = The standard for cellulosic biofuel for calendar year i, 

determined by EPA pursuant to §80.1405, in percent. 

GVi = The non-renewable gasoline volume, determined in accordance 

with paragraphs (b), (c), and (f) of this section, which is 

produced in or imported into the 48 contiguous states or 

Hawaii by an obligated party in calendar year i, in gallons. 

DVi = The non-renewable diesel volume, determined in accordance 

with paragraphs (d), (e), and (f) of this section, produced in or 
 419

imported into the 48 contiguous states or Hawaii by an 

obligated party in calendar year i, in gallons. 

DCB,i-1 = Deficit carryover from the previous year for cellulosic 

biofuel, in gallons. 

(2) Biomass-based diesel.

RVOBBD,i = (RFStdBBD,i * (GVi + DVi)) + DBBD,i-1

Where: 

RVOBBD,i = The Renewable Volume Obligation for biomass-based diesel 

for an obligated party for calendar year i, in gallons. 

RFStdBBD,i = The standard for biomass-based diesel for calendar year i, 

determined by EPA pursuant to §80.1405, in percent. 

GVi = The non-renewable gasoline volume, determined in accordance 

with paragraphs (b), (c), and (f) of this section, which is 

produced in or imported into the 48 contiguous states or 

Hawaii by an obligated party in calendar year i, in gallons. 

DVi = The non-renewable diesel volume, determined in accordance 

with paragraphs (d), (e), and (f) of this section, produced in or 

imported into the 48 contiguous states or Hawaii by an 

obligated party in calendar year i, in gallons. 

DBBD,i-1 = Deficit carryover from the previous year for biomass-based 

diesel, in gallons. 

(3) Advanced biofuel.

RVOAB,i = (RFStdAB,i * (GVi + DVi)) + DAB,i-1

Where: 

RVOAB,i = The Renewable Volume Obligation for advanced biofuel for an 

obligated party for calendar year i, in gallons. 

RFStdAB,i = The standard for advanced biofuel for calendar year i, 

determined by EPA pursuant to §80.1405, in percent. 

GVi = The non-renewable gasoline volume, determined in accordance 

with paragraphs (b), (c), and (f) of this section, which is 
 420

produced in or imported into the 48 contiguous states or 

Hawaii by an obligated party in calendar year i, in gallons. 

DVi = The non-renewable diesel volume, determined in accordance 

with paragraphs (d), (e), and (f) of this section, produced in or 

imported into the 48 contiguous states or Hawaii by an 

obligated party in calendar year i, in gallons. 

DAB,i-1 = Deficit carryover from the previous year for advanced 

biofuel, in gallons. 

(4) Renewable fuel.

RVORF,i = (RFStdRF,i * (GVi + DVi)) + DRF,i-1

Where: 

RVORF,i = The Renewable Volume Obligation for renewable fuel for an 

obligated party for calendar year i, in gallons. 

RFStdRF,i = The standard for renewable fuel for calendar year i, determined 

by EPA pursuant to §80.1405, in percent. 

GVi = The non-renewable gasoline volume, determined in accordance 

with paragraphs (b), (c), and (f) of this section, which is 

produced in or imported into the 48 contiguous states or 

Hawaii by an obligated party in calendar year i, in gallons. 

DVi = The non-renewable diesel volume, determined in accordance 

with paragraphs (d), (e), and (f) of this section, produced in or 

imported into the 48 contiguous states or Hawaii by an 

obligated party in calendar year i, in gallons. 

DRF,i-1 = Deficit carryover from the previous year for renewable fuel, in 

gallons. 

(b) The non-renewable gasoline volume, GVi, for an obligated party for a given year 

as specified in paragraph (a) of this section is calculated as follows: 

∑ ∑ = =

= −

m

y

y

n

x

GVi Gx RBG

1 1

 

 

Where: 

x = Individual batch of gasoline produced or imported in calendar year 

i. 
 421

n = Total number of batches of gasoline produced or imported in 

calendar year i. 

Gx = Volume of batch x of gasoline produced or imported, as defined in 

paragraph (c) of this section, in gallons. 

y = Individual batch of renewable fuel blended into gasoline in 

calendar year i. 

m = Total number of batches of renewable fuel blended into gasoline in 

calendar year i. 

RBGy = Volume of batch y of renewable fuel blended into gasoline, in 

gallons. 

 

(c) All of the following products that are produced or imported during a compliance 

period, collectively called “gasoline” for the purposes of this section (unless 

otherwise specified), are to be included (but not double-counted) in the volume 

used to calculate a party’s Renewable Volume Obligations under paragraph (a) of 

this section, except as provided in paragraph (f) of this section: 

(1) Reformulated gasoline, whether or not renewable fuel is later added to it. 

(2) Conventional gasoline, whether or not renewable fuel is later added to it. 

(3) Reformulated gasoline blendstock that becomes finished reformulated 

gasoline upon the addition of oxygenate (RBOB). 

(4) Conventional gasoline blendstock that becomes finished conventional 

gasoline upon the addition of oxygenate (CBOB). 

(5) Blendstock (including butane and gasoline treated as blendstock (GTAB)) 

that has been combined with other blendstock and/or finished gasoline to 

produce gasoline. 

(6) Any gasoline, or any unfinished gasoline that becomes finished gasoline 

upon the addition of oxygenate, that is produced or imported to comply 

with a state or local fuels program. 

 

(d) The diesel non-renewable volume, DVi, for an obligated party for a given year as 

specified in paragraph (a) of this section is calculated as follows: 

∑ ∑ = =

= −

m

y

y

n

x

DVi Dx RBD

1 1

 

 

Where: 

x = Individual batch of diesel produced or imported in calendar year i. 

n = Total number of batches of diesel produced or imported in calendar 

year i. 

Dx = Volume of batch x of diesel produced or imported, as defined in 

paragraph (e) of this section, in gallons. 

y = Individual batch of renewable fuel blended into diesel in calendar 

year i. 

m = Total number of batches of renewable fuel blended into diesel in 

calendar year i. 
 422

RBDy = Volume of batch y of renewable fuel blended into diesel, in 

gallons. 

(e) All products meeting the definition of MVNRLM diesel fuel at §80.2(qqq) that 

are produced or imported during a compliance period, collectively called “diesel 

fuel” for the purposes of this section (unless otherwise specified), are to be 

included (but not double-counted) in the volume used to calculate a party’s 

Renewable Volume Obligations under paragraph (a) of this section. 

(f) The following products are not included in the volume of gasoline or diesel fuel 

produced or imported used to calculate a party’s Renewable Volume Obligations 

according to paragraph (a) of this section: 

(1) Any renewable fuel as defined in §80.1401. 

(2) Blendstock that has not been combined with other blendstock, finished 

gasoline, or diesel to produce gasoline or diesel. 

(3) Gasoline or diesel fuel produced or imported for use in Alaska, the 

Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American 

Samoa, and the Commonwealth of the Northern Marianas, unless the area 

has opted into the RFS program under §80.1443. 

(4) Gasoline or diesel fuel produced by a small refinery that has an exemption 

under §80.1441 or an approved small refiner that has an exemption under 

§80.1442. 

(5) Gasoline or diesel fuel exported for use outside the 48 United States and 

Hawaii, and gasoline or diesel fuel exported for use outside Alaska, the 

Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American 

Samoa, and the Commonwealth of the Northern Marianas, if the area has 

opted into the RFS program under §80.1443. 

(6) For blenders, the volume of finished gasoline, finished diesel fuel, RBOB, 

or CBOB to which a blender adds blendstocks. 

(7) The gasoline or diesel fuel portion of transmix produced by a transmix 

processor, or the transmix blended into gasoline or diesel fuel by a 

transmix blender, under §80.84. 

§§ 80.1408-80.1414 [Reserved] 

§ 80.1415 How are equivalence values assigned to renewable fuel? 

(a) (1) Each gallon of a renewable fuel, or gallon equivalent pursuant to 

paragraph (c) of this section, shall be assigned an equivalence value by the 

producer or importer pursuant to paragraph (b) or (d) of this section. 

 (2) The equivalence value is a number that is used to determine how many 

gallon-RINs can be generated for a batch of renewable fuel according to 

§80.1426. 
 423

(b) Equivalence values shall be assigned for certain renewable fuels as follows: 

(1) Ethanol which is denatured shall have an equivalence value of 1.0. 

(2) Biodiesel (mono-alkyl ester) shall have an equivalence value of 1.5. 

(3) Biodiesel (partial esterification) shall have an equivalence value of 1.6. 

(4) Butanol shall have an equivalence value of 1.3. 

(5) Non-ester renewable diesel with a lower heating value of at least 123,500 

Btu/gal shall have an equivalence value of 1.7. 

(6) For all other renewable fuels, a producer or importer shall submit an 

application to the Agency for an equivalence value following the 

provisions of paragraph (d) of this section. A producer or importer may 

also submit an application for an alternative equivalence value pursuant to 

paragraph (d) if the renewable fuel is listed in this paragraph (b), but the 

producer or importer has reason to believe that a different equivalence 

value than that listed in this paragraph (b) is warranted. 

 

(c) (1) A gallon of renewable fuel is a physically measured unit of volume for 

any fuel that exists as a liquid at 60 o

F and 1 atm. 

 (2) A gallon of renewable fuel represents 77,000 Btu (lower heating value) for 

any fuel that exists as a gas at 60 oF and 1 atm. 

 (3) A gallon of renewable fuel represents 22.6 kW-hr of electricity. 

(d) Calculation of new equivalence values. 

(1) The equivalence value for renewable fuels described in paragraph (b)(5) of 

this section shall be calculated using the following formula: 

EV = (R / 0.972) * (EC / 77,000) 

 Where: 

EV = Equivalence Value for the renewable fuel, rounded to the nearest 

tenth. 

R = Renewable content of the renewable fuel. This is a measure of the 

portion of a renewable fuel that came from a renewable source, 

expressed as a percent, on an energy basis. 

EC = Energy content of the renewable fuel, in Btu per gallon (lower 

heating value). 

(2) The application for an equivalence value shall include a technical 

justification that includes a description of the renewable fuel, feedstock(s) 

used to make it, and the production process. 

(3) The Agency will review the technical justification and assign an 

appropriate equivalence value to the renewable fuel based on the 

procedure in this paragraph (d). 

(4) Applications for equivalence values must be sent to one of the following 

addresses: 

(i) For US Mail: U.S. EPA, Attn: RFS2 Program Equivalence Value 

Application, 6406J, 1200 Pennsylvania Avenue, NW, Washington, 
 424

DC 20460. 

(ii) For overnight or courier services: U.S. EPA, Attn: RFS2 Program 

Equivalence Value Application, 6406J, 1310 L Street, NW, 6th 

floor, Washington, DC 20005. (202) 343-9038. 

(5) All applications required under this section shall be submitted on forms 

and following procedures prescribed by the Administrator. 

§ 80.1416 Petition Process for parties who produce or import new renewable 

fuels and pathways. 

(a) (1) Each renewable fuel producer or importer that produces or imports a new 

renewable fuel, or uses a new pathway that can not qualify for a D code as 

defined in §80.1426(d), must apply to use a D code as specified in this 

section. 

(2) Renewable fuel producers or importers that produce or import that use a 

new pathway that may qualify for a D code as defined in §80.1426(d), but 

have implemented significant process improvements and can document 

significant differences between the fuel production processes outlined in 

this rule may also submit a petition. 

(b) (1) The petition for a new renewable fuel or pathway shall include all the 

following: 

(i) A completed facility registration under §80.1450(b). 

(ii) A technical justification that includes a description of the 

renewable fuel, feedstock(s) used to make it, and the production 

process. The justification must include process modeling flow 

charts. 

(iii) A mass energy balance equation for the pathway, including 

feedstocks, fuels produced, co-products, and waste materials 

production. 

(iv) Information on co-products, including their expected use and 

market value. 

(v) Any energy and process heat inputs and outputs used in the 

pathway, including such sources produced off site or by another 

entity. 

(vi) Any other relevant information, including information pertaining 

to energy saving technologies or other process improvements. 

(vii) The Administrator may ask for additional information to complete 

the lifecycle Greenhouse Gas assessment of the new fuel or 

pathway. 

(2) For companies using a new feedstock in their pathway, the petition must 

include all the following in addition to the requirements in paragraph 

(b)(1) of this section: 

(i) Type of feedstock and description of how it meets the definition of 

renewable biomass. 
 425

(ii) Identify the market value of the feedstock. 

(iii) List of other uses for the feedstock. 

(iv) List chemical inputs needed to create the source and prepare the 

feedstock for processing. 

(v) List energy need to obtain the feedstock and deliver it to the 

facility. If applicable, energy needed to plant and harvest the 

feedstock source and modify the source to create the feedstock. 

(vi) Current and projected national yields of the feedstock in the 

country where the fuel is produced or the feedstock is procured. 

(vii) The Administrator may ask for additional information to complete 

the lifecycle Greenhouse Gas assessment of the new fuel or 

pathway. 

 

(c) (1) A company may only submit one petition per pathway. If EPA determines 

the petition to be incomplete, per paragraph (b)(4) of this section, then the 

company may resubmit. 

(2) The petition must be signed and certified as meeting all the applicable 

requirements of this subpart by the responsible corporate officer of the 

applicant organization. 

(3) If EPA determines that the petition is incomplete then EPA will notify the 

applicant in writing that the petition is incomplete and will not be 

reviewed further. However, an amended petition that corrects the 

omission may be re-submitted for EPA review. 

(4) If the fuel or pathway described in the petition does not meet the definition 

of renewable fuel in §80.1401, then EPA will notify the applicant in 

writing that the petition is denied and will not be reviewed further. 

(d) The petition under this section shall be submitted on forms and following 

procedures as prescribed by EPA. 

§§ 80.1417-80.1424 [Reserved] 

§ 80.1425 Renewable Identification Numbers (RINs). 

Each RIN is a 38-character numeric code of the following form: 

KYYYYCCCCFFFFFBBBBBRRDSSSSSSSSEEEEEEEE 

(a) K is a number identifying the type of RIN as follows: 

(1) K has the value of 1 when the RIN is assigned to a volume of renewable 

fuel pursuant to §§ 80.1426(e) and 80.1428(a). 

(2) K has the value of 2 when the RIN has been separated from a volume of 

renewable fuel pursuant to §80.1429. 
 426

(b) YYYY is the calendar year in which the batch of renewable fuel was produced or 

imported. YYYY also represents the year in which the RIN was originally 

generated. 

(c) CCCC is the registration number assigned, according to §80.1450, to the producer 

or importer of the batch of renewable fuel. 

(d) FFFFF is the registration number assigned, according to §80.1450, to the facility 

at which the batch of renewable fuel was produced or imported. 

(e) BBBBB is a serial number assigned to the batch which is chosen by the producer 

or importer of the batch such that no two batches have the same value in a given 

calendar year. 

(f) RR is a number representing 10 times the equivalence value of the renewable fuel 

as specified in §80.1415. 

(g) D is a number determined according to §80.1426(d) and identifying the type of 

renewable fuel, as follows: 

(1) D has the value of 3 to denote fuel categorized as cellulosic biofuel. 

(2) D has the value of 4 to denote fuel categorized as biomass-based diesel. 

(3) D has the value of 5 to denote fuel categorized as advanced biofuel. 

(4) D has the value of 6 to denote fuel categorized as renewable fuel. 

(5) D has the value of 7 to denote fuel categorized as cellulosic diesel. 

(h) SSSSSSSS is a number representing the first gallon-RIN associated with a batch 

of renewable fuel. 

(i) EEEEEEEE is a number representing the last gallon-RIN associated with a batch 

of renewable fuel. EEEEEEEE will be identical to SSSSSSSS if the batch-RIN 

represents a single gallon-RIN. Assign the value of EEEEEEEE as described in 

§80.1426. 

§ 80.1426 How are RINs generated and assigned to batches of renewable fuel by 

renewable fuel producers or importers? 

(a) General requirements. 

 (1) Producers and importers of qualifying renewable fuel (as defined in 

§80.1401) may generate RINs to represent that fuel if it is demonstrated to 

be produced from renewable biomass (as defined in §80.1401), unless the 

feedstock is deemed to be renewable biomass through the aggregate 

compliance provision at §80.1454(h). 

(i) Domestic producers may generate RINs for renewable fuel that 

they produce. 
 427

(ii) Importers may generate RINs for renewable fuel that they import 

that has not been assigned RINs by a foreign producer, including 

any renewable fuel contained in imported transportation fuel. 

Importers must obtain information from a foreign producer 

sufficient to make the appropriate determination regarding the 

applicable D code and compliance with the renewable biomass 

definition for each imported batch for which RINs are generated. 

(iii) Foreign producers may generate RINs for any renewable fuel that 

they export to the 48 contiguous states of the United States or 

Hawaii. 

(2) A party generating a RIN shall specify the appropriate numerical values 

for each component of the RIN in accordance with the provisions of 

§80.1425(a) and paragraph (f) of this section. 

(b) Regional applicability.

(1) Except as provided in paragraph (c) of this section, a RIN may be 

generated by a renewable fuel producer or importer for a batch of fuel that 

is produced or imported for use as transportation fuel, heating oil, or jet 

fuel in the 48 contiguous states or Hawaii. 

(2) If the Administrator approves a petition of Alaska or a United States 

territory to opt-in to the renewable fuel program under the provisions in 

§80.1443, then the requirements of paragraph (b)(1) of this section shall 

also apply to renewable fuel produced or imported for use as 

transportation fuel, heating oil, or jet fuel in that state or territory 

beginning in the next calendar year. 

(c) Cases in which RINs are not generated. 

(1) Fuel producers and importers may not generate RINs for fuel that is not 

designated or intended for use as transportation fuel, heating oil, or jet 

fuel. 

(2) Small producer/importer threshold. Pursuant to §80.1455(a) and (b), 

renewable fuel producers that produce less than 10,000 gallons a year of 

renewable fuel, and importers that import less than 10,000 gallons a year 

of renewable fuel, are not required to generate and assign RINs to batches 

of renewable fuel that they produce or import. 

(3) Temporary new producer threshold. Pursuant to §80.1455(c) and (d), 

renewable fuel producers that produce less than 125,000 gallons a year of 

renewable fuel are not required to generate and assign RINs to batches of 

renewable fuel produced from a new facility for a maximum of three years 

beginning with the calendar year in which the production facility produces 

its first gallon of renewable fuel. 

(4) Importers shall not generate RINs for fuel imported from a foreign 

producer that is not registered with EPA as required in §80.1450. 

(5) Importers shall not generate RINs for renewable fuel that has already been 

assigned RINs by a registered foreign producer. 
 428

(6) (i) A party is prohibited from generating RINs for a volume of fuel 

that it produces if: 

(A) The fuel has been produced from a chemical conversion 

process that uses another renewable fuel as a feedstock, the 

renewable fuel used as a feedstock was produced by 

another party, and RINs with a K code of 1 were received 

with the renewable fuel; or 

(B) The fuel is not produced from renewable biomass. 

(ii) Parties who produce renewable fuel made from a feedstock which 

itself was a renewable fuel received with RINs, shall assign the 

original RINs to the new renewable fuel. 

(d) (1) Definition of batch. For the purposes of this section and §80.1425, a 

"batch of renewable fuel" is a volume of renewable fuel that has been 

assigned a unique RIN code BBBBB within a calendar year by the 

producer or importer of the renewable fuel in accordance with the 

provisions of this section and §80.1425. 

(i) The number of gallon-RINs generated for a batch of renewable 

fuel may not exceed 99,999,999. 

(ii) A batch of renewable fuel cannot represent renewable fuel 

produced or imported in excess of one calendar month. 

(3) Multiple gallon-RINs generated to represent a given volume of renewable 

fuel can be represented by a single batch-RIN through the appropriate 

designation of the RIN volume codes SSSSSSSS and EEEEEEEE. 

(i) The value of SSSSSSSS in the batch-RIN shall be 00000001 to 

represent the first gallon-RIN associated with the volume of 

renewable fuel. 

(ii) The value of EEEEEEEE in the batch-RIN shall represent the last 

gallon-RIN associated with the volume of renewable fuel, based on 

the RIN volume determined pursuant to paragraph (d)(4) of this 

section. 

(e) Assignment of RINs to batches.

(1) The producer or importer of renewable fuel must assign all RINs 

generated to volumes of renewable fuel. 

(2) A RIN is assigned to a volume of renewable fuel when ownership of the 

RIN is transferred along with the transfer of ownership of the volume of 

renewable fuel, pursuant to §80.1428(a). 

(3) All assigned RINs shall have a K code value of 1. 

(f) Generation of RINs. 

 (1) Applicable pathways. D codes shall be used in RINs generated by 

producers or importers of renewable fuel according to the pathways listed 

in Table 1 to this section. 
 429

Table 1 to §80.1426 

Applicable D Codes For Each Fuel Pathway for Use in Generating RINs 

Fuel Type Feedstock Production Process D-Code 

Ethanol Corn starch All of the following: 

Drymill process, 

using natural gas or 

biomass for process 

energy and at least 

two advanced 

technologies from 

Table 2 to this 

section. 

6 

Ethanol Corn starch All of the following: 

Dry mill process, 

using natural gas or 

biomass for process 

energy and at least 

one of the advanced 

technologies from 

Table 2 to this section 

plus drying no more 

than 65% of the DGS 

it markets annually. 

6 

Ethanol Corn starch All of the following: 

Dry mill process, 

using natural gas or 

biomass for process 

energy and drying no 

more than 50% of the 

DGS it markets 

annually. 

6 

Ethanol Corn starch Wet mill process 

using biomass for 

process energy. 

6 
 430

Ethanol Waste ethanol from 

beverage production 

Fermentation 6 

Ethanol Waste starches from 

food production and 

agricultural residues; 

starches from 

secondary annual 

crops 

Fermentation using 

natural gas or biomass 

for process energy 

6 

Biodiesel, and 

renewable diesel 

Soy bean oil; 

Oil from secondary 

annual crops; 

Algal oil; 

Waste 

oils/fats/greases 

One of the following: 

Trans-Esterification 

Partial TransEsterification 

Hydrotreating 

4 

Ethanol Sugarcane; waste 

sugar from food and 

beverage production 

Fermentation (Any) 5 

Ethanol Cellulosic Biomass 

from agricultural 

residues; slash, forest 

thinnings and forest 

product residues; 

secondary annual 

crops; switchgrass 

and miscanthus; 

separated food and 

yard wastes and food 

and beverage 

production wastes 

Any 3 

Cellulosic 

Diesel, Jet Fuel 

and Heating Oil 

Cellulosic Biomass 

from agricultural 

residues; slash, forest 

thinnings and forest 

product residues; 

secondary annual 

crops; switchgrass 

Any 7 
 431

and miscanthus; 

separated food and 

yard wastes and food 

and beverage 

production wastes 

 Butanol Corn starch Fermentation; dry 

mill using natural gas 

or biomass for 

process energy 

6 

Cellulosic 

Naptha 

Cellulosic Biomass 

from agricultural 

residues; slash, forest 

thinnings and forest 

product residues; 

secondary annual 

crops; switchgrass 

and miscanthus; 

separated food and 

yard wastes and food 

and beverage 

production wastes 

Fischer-Tropsch 

process 

3 

Table 2 to §80.1426 

Advanced Technologies 

Corn oil fractionation 

Corn oil extraction 

Membrane separation 

Raw starch hydrolysis 

Combined heat and power 

(2) Producers whose operations can be described by a single pathway. 

(i) The number of gallon-RINs that shall be generated by a producer 

or importer for a batch of renewable fuel shall be equal to a 

volume calculated according to the following formula: 

VRIN = EV * Vs

Where: 

VRIN = RIN volume, in gallons, for use in determining the number 

of gallon-RINs that shall be generated for the batch. 
 432

EV = Equivalence value for the batch of renewable fuel per 

§80.1415. 

Vs = Standardized volume of the batch of renewable fuel at 60 o

F, in gallons, calculated in accordance with paragraph 

(f)(9) of this section. 

(ii) The D code that shall be used in the RINs generated shall be the D 

code specified in Table 1 to this section which corresponds to the 

pathway that describes the producer's operations. 

(3) Producers whose operations can be described by two or more pathways. 

(i) The D codes that shall be used in the RINs generated by the 

producer or importer within a calendar year shall be the D codes 

specified in Table 1 to this section which correspond to the 

pathways that describe the producer's operations throughout that 

calendar year. 

(ii) If all the pathways describing the producer's operations have the 

same D code and each batch is of a single fuel type, then that D 

code shall be used in all the RINs generated and the number of 

gallon-RINs that shall be generated for a batch of renewable fuel 

shall be equal to a volume calculated according to the following 

formula: 

VRIN = EV * Vs

Where: 

VRIN = RIN volume, in gallons, for use in determining the number 

of gallon-RINs that shall be generated for the batch. 

EV = Equivalence value for the batch of renewable fuel per 

§80.1415. 

Vs = Standardized volume of the batch of renewable fuel at 60 o

F, in gallons, calculated in accordance with paragraph 

(f)(9) of this section. 

(iii) If all the pathways describing the producer's operations have the 

same D code but individual batches are comprised of a mixture of 

fuel types with different equivalence values, then that D code shall 

be used in all the RINs generated and the number of gallon-RINs 

that shall be generated for a batch of renewable fuel shall be equal 

to a volume calculated according to the following formula: 

VRIN = ∑(EVi * Vs,i) 

Where: 

VRIN = RIN volume, in gallons, for use in determining the number 

of gallon-RINs that shall be generated for the batch. 
 433

EVi = Equivalence value for fuel type i in the batch of renewable 

fuel per §80.1415. 

Vs,i = Standardized volume of fuel type i in the batch of 

renewable fuel at 60 o

F, in gallons, calculated in 

accordance with paragraph (f)(8) of this section. 

(iv) If the pathway applicable to a producer changes on a specific date, 

such that one pathway applies before the date and another pathway 

applies on and after the date, and each batch is of a single fuel 

type, then the applicable D code used in generating RINs must 

change on the date that the change in pathway occurs and the 

number of gallon-RINs that shall be generated for a batch of 

renewable fuel shall be equal to a volume calculated according to 

the following formula: 

VRIN = EV * Vs

Where: 

VRIN = RIN volume, in gallons, for use in determining the number 

of gallon-RINs that shall be generated for a batch with a 

single applicable D code. 

EV = Equivalence value for the batch of renewable fuel per 

§80.1415. 

Vs = Standardized volume of the batch of renewable fuel at 60 o

F, in gallons, calculated in accordance with paragraph 

(f)(9) of this section. 

(v) If a producer produces batches that are comprised of a mixture of 

fuel types with different equivalence values and different 

applicable D codes, then separate values for VRIN shall be 

calculated for each batch of each category of renewable fuel 

according to formulas in Table 3 to this section: 

Table 3 to §80.1426 

Number of gallon-RINs to assign to batch-RINs with D codes dependent on fuel type 

D code to use in batch-RIN Number of gallon-RINs 

D = 3 VRIN , CB = EVCB ∗Vs, CB

D = 4 VRIN , BBD = EVBBD ∗Vs, BBD

D = 5 VRIN, AB = EVAB ∗Vs, AB

D = 6 VRIN, RF = EVRF ∗Vs, RF

D = 7 VRIN, CD = EVCD ∗Vs, CD

Where: 

VRIN,CB = RIN volume, in gallons, for use determining the 

number of gallon-RINs that shall be generated for 
 434

the cellulosic biofuel portion of the batch with a D 

code of 3. 

VRIN,BBD = RIN volume, in gallons, for use determining the 

number of gallon-RINs that shall be generated for 

the biomass-based diesel portion of the batch with a 

D code of 4. 

VRIN,AB = RIN volume, in gallons, for use determining the 

number of gallon-RINs that shall be generated for 

the advanced biofuel potion of the batch with a D 

code of 5. 

VRIN,RF = RIN volume, in gallons, for use determining the 

number of gallon-RINs that shall be generated for 

the renewable fuel potion of the batch with a D code 

of 6. 

VRIN,CD = RIN volume, in gallons, for use determining the 

number of gallon-RINs that shall be generated for 

the cellulosic diesel portion of the batch with a D 

code of 7. 

EVCB = Equivalence value for the cellulosic biofuel portion 

of the batch per §80.1415. 

EVBBD = Equivalence value for the biomass-based diesel 

portion of the batch per §80.1415. 

EVAB = Equivalence value for the advanced biofuel portion 

of the batch per §80.1415. 

EVRF = Equivalence value for the renewable fuel portion of 

the batch per §80.1415. 

EVCD = Equivalence value for the cellulosic diesel portion 

of the batch per §80.1415. 

Vs,CB = Standardized volume at 60 oF of the portion of the 

batch that must be assigned a D code of 3, in 

gallons, calculated in accordance with paragraph 

(f)(9) of this section. 

Vs,BBD = Standardized volume at 60 o

F of the portion of the 

batch that must be assigned a D code of 4, in 

gallons, calculated in accordance with paragraph 

(f)(8) of this section. 

Vs,AB = Standardized volume at 60 o

F of the portion of the 

batch that must be assigned a D code of 5, in 

gallons, calculated in accordance with paragraph 

(f)(8) of this section. 

Vs,RF = Standardized volume at 60 oF of the portion of the 

batch that must be assigned a D code of 6, in 

gallons, calculated in accordance with paragraph 

(f)(8) of this section. 

Vs,CD = Standardized volume at 60 o

F of the portion of the 

batch that must be assigned a D code of 7, in 
 435

gallons, calculated in accordance with paragraph 

(f)(8) of this section. 

(vi) If a producer produces a single type of renewable fuel using two or 

more different feedstocks which are processed simultaneously, and 

each batch is comprised of a single type of fuel, then the number of 

gallon-RINs that shall be generated for a batch of renewable fuel 

and assigned a particular D code shall be determined according to 

the formulas in Table 4 to this section. 

Table 4 to §80.1426 

Number of gallon-RINs to assign to batch-RINs with D codes dependent on feedstock 

D code to use in batch-RIN Number of gallon-RINs 

D = 3 ⎟

⎠

⎞ ⎜

⎝

⎛

+ + + + = ∗ ∗

3 4 5 6 7

3

,

FE FE FE FE FE

FE VRIN CB EV Vs

D = 4 ⎟

⎠

⎞ ⎜

⎝

⎛

+ + + + = ∗ ∗

3 4 5 6 7

4

,

FE FE FE FE FE

FE VRIN BBD EV Vs

D = 5 ⎟

⎠

⎞ ⎜

⎝

⎛

+ + + + = ∗ ∗

3 4 5 6 7

5

,

FE FE FE FE FE

FE VRIN AB EV Vs

D = 6 ⎟

⎠

⎞ ⎜

⎝

⎛

+ + + + = ∗ ∗

3 4 5 6 7

6

,

FE FE FE FE FE

FE VRIN RF EV Vs

D = 7 ⎟

⎠

⎞ ⎜

⎝

⎛

+ + + + = ∗ ∗

3 4 5 6 7

7

,

FE FE FE FE FE

FE VRIN CD EV Vs

Where: 

VRIN,CB = RIN volume, in gallons, for use in determining the 

number of gallon-RINs that shall be generated for a 

batch of cellulosic biofuel with a D code of 3. 

VRIN,BBD = RIN volume, in gallons, for use in determining the 

number of gallon-RINs that shall be generated for a 

batch of biomass-based diesel with a D code of 4. 

VRIN,AB = RIN volume, in gallons, for use in determining the 

number of gallon-RINs that shall be generated for a 

batch of advanced biofuel with a D code of 5. 

VRIN,RF = RIN volume, in gallons, for use in determining the 

number of gallon-RINs that shall be generated for a 

batch of renewable fuel with a D code of 6. 

VRIN,CD = RIN volume, in gallons, for use in determining the 

number of gallon-RINs that shall be generated for a 

batch of cellulosic diesel with a D code of 7. 

EV = Equivalence value for the renewable fuel per 

§80.1415. 
 436

Vs = Standardized volume of the batch of renewable fuel 

at 60 oF, in gallons, calculated in accordance with 

paragraph (f)(9) of this section. 

FE3 = Feedstock energy from all feedstocks whose 

pathways have been assigned a D code of 3 under 

Table 1 to this section, in Btu. 

FE4 = Feedstock energy from all feedstocks whose 

pathways have been assigned a D code of 4 under 

Table 1 to this section, in Btu. 

FE5 = Feedstock energy from all feedstocks whose 

pathways have been assigned a D code of 5 under 

Table 1 to this section, in Btu. 

FE6 = Feedstock energy from all feedstocks whose 

pathways have been assigned a D code of 6 under 

Table 1 to this section, in Btu. 

FE7 = Feedstock energy from all feedstocks whose 

pathways have been assigned a D code of 7 under 

Table 1 to this section, in Btu. 

Feedstock energy values, FE, shall be calculated according to the 

following formula: 

FE = M * CF * E 

Where: 

FE = Feedstock energy, in Btu. 

M = Mass of feedstock on a zero moisture basis, in pounds, 

measured on a daily or per-batch basis. 

CF = Converted Fraction in annual average mass percent, 

representing that portion of the feedstock that is determined 

to be converted into renewable fuel by the producer. 

E = Energy content of the components of the feedstock that are 

converted to renewable fuel, in annual average Btu/lb, 

determined according to paragraph (f)(7) of this section. 

(4) Producers who co-process renewable biomass and non-renewable 

feedstocks simultaneously to produce a transportation fuel that is partially 

renewable. 

(i) The number of gallon-RINs that shall be generated for a batch of 

partially renewable transportation fuel shall be equal to a volume 

VRIN calculated according to Method A or Method B. 

(A) Method A. 

(1) VRIN shall be calculated according to the following 

formula: 
 437

VRIN = EV * Vs * FER / (FER + FENR) 

Where: 

VRIN = RIN volume, in gallons, for use in determining the 

number of gallon-RINs that shall be generated for 

the batch. 

EV = Equivalence value for the batch of renewable fuel 

per §80.1415. 

Vs = Standardized volume of the batch of renewable fuel 

at 60 oF, in gallons, calculated in accordance with 

paragraph (f)(9) of this section. 

FER = Feedstock energy from renewable biomass used to 

make the transportation fuel, in Btu. 

FENR = Feedstock energy from non-renewable feedstocks 

used to make the transportation fuel, in Btu. 

(2) The value of FE for use in paragraph (f)(4)(i)(A)(1)

of this section shall be calculated from the following 

formula: 

FE = M * CF * E 

Where: 

FE = Feedstock energy, in Btu. 

M = Mass of feedstock on a zero moisture basis, in 

pounds, measured on a daily or per-batch basis. 

CF = Converted Fraction in annual average mass percent, 

representing that portion of the feedstock that is 

determined to be converted into transportation fuel 

by the producer. 

E = Energy content of the components of the feedstock 

that are converted to fuel, in annual average Btu/lb, 

determined according to paragraph (f)(7) of this 

section. 

(B) Method B. VRIN shall be calculated according to the 

following formula: 

VRIN = EV * Vs * R 

Where: 
 438

VRIN = RIN volume, in gallons, for use in determining the 

number of gallon-RINs that shall be generated for 

the batch. 

EV = Equivalence value for the batch of renewable fuel 

per §80.1415. 

Vs = Standardized volume of the batch of renewable fuel 

at 60 oF, in gallons, calculated in accordance with 

paragraph (f)(8) of this section. 

R = The renewable fraction of the fuel as measured by a 

carbon-14 dating test method as provided in 

paragraph (f)(9) of this section. 

(ii) The D code that shall be used in the RINs generated to represent 

partially renewable transportation fuel shall be the D code 

specified in Table 1 to this section which corresponds to the 

pathway that describes a producer's operations. In determining the 

appropriate pathway, the contribution of fossil fuel feedstocks to 

the production of partially renewable fuel shall be ignored. 

(5) Producers who use separated yard and food waste as a feedstock to 

produce a fuel that is partially renewable.

(i) Separated yard waste and food waste means, for purposes of this 

paragraph, waste that is: 

(A) A feedstock stream consisting solely of separated yard or 

food waste with only incidental other components (e.g., paper 

and plastics); or 

(B) Biogenic material remaining from municipal solid waste after 

separation and recycling actions have been taken to remove 

recyclable paper, cardboard, plastics, rubber, textiles, metals, 

and glass. 

(ii) A feedstock qualifies under paragraph (f)(5)(i)(A) of this section 

only if it is considered to occur if the feedstock stream consisting 

solely of separated yard or food waste is collected according to an 

approved plan submitted to and approved by U.S. EPA under the 

registration procedures specified in §1450(b)(vii). 

(iii) Separation and recycling actions specified in paragraph (f)(5)(i)(B) 

of this section, are considered to occur if:

(A) Paper, cardboard, textiles, and non-biogenic materials that 

can be recycled are separated and removed from the 

municipal waste stream to the extent reasonably practicable 

according to an approved plan submitted to and approved 

by U.S. EPA under the registration procedures specified in 

§1450(b)(viii); and 

(B) The fuel producer has evidence of all contractual 

arrangements for paper, cardboard, textiles and nonbiogenic material that are recycled.
 439

(iv) The number of gallon-RINs that shall be generated for a batch of 

partially renewable transportation fuel shall be equal to a volume 

VRIN calculated according paragraph (f)(4) of this section. 

(A) Method A shall be used for separated food and yard waste 

as defined in paragraph (f)(5)(i)(A) of this section; and 

(B) Method B shall be used for separated food and yard waste 

as defined in paragraph (f)(5)(i)(B) of this section. 

 (6) Producers without an applicable pathway. 

 If none of the pathways described in Table 1 to this section apply to a 

producer's operations, the party may generate RINs if the fuel from its 

facility qualifies for grandfathering as provided in §80.1403. 

(i) The number of gallon-RINs that shall be generated for a batch of 

grandfathered renewable fuel shall be equal to a volume calculated 

according to the following formula: 

VRIN = EV * Vs

Where: 

VRIN = RIN volume, in gallons, for use in determining the number of 

gallon-RINs that shall be generated for the batch. 

EV = Equivalence value for the batch of renewable fuel per §80.1415. 

Vs = Standardized volume of the batch of renewable fuel at 60 o

F, in 

gallons, calculated in accordance with paragraph (f)(9) of this 

section. 

(ii) A D code of 6 shall be used in the RINs generated under this 

paragraph (f)(6). 

 (7) Determination of feedstock energy content factors. 

(i) For purposes of paragraphs (f)(3)(vi), (f)(4)(i)(A)(2), and 

(f)(5)(i)(A)(2) of this section, producers must specify the value for 

E, the energy content of the components of the feedstock that are 

converted to renewable fuel, used in the calculation of the 

feedstock energy value FE. 

(ii) The value for E shall represent the higher or gross calorific heating 

value for a feedstock on a zero moisture basis. 

(iii) Producers must specify the value for E for each type of feedstock 

at least once per calendar year. 

(iv) A producer may use default values for E as provided in paragraph 

(d)(9)(vi) of this section, or may determine alternative values for 

its own feedstocks according to paragraph (d)(9)(v) of this section. 

(v) Producers may use the following test methods to determine the 

value of E, or alternative test methods as approved by EPA. 
 440

(A) ASTM E-870 or E-711 for gross calorific value. ASTM E870 and E-711are incorporated by reference. This 

incorporation by reference was approved by the Director of 

the Federal Register in accordance with 5 U.S.C. 552(a) 

and 1 CFR Part 51. A copy may be obtained from the 

American Society for Testing and Materials, 100 Barr 

Harbor Drive, West Conshohocken, Pennsylvania. A copy 

may be inspected at the EPA Docket Center, Docket No. 

EPA-HQ-OAR-2005-0161, EPA/DC, EPA West, Room 

3334, 1301 Constitution Ave., NW, Washington DC, or at 

the National Archives and Records Administration 

(NARA). For information on the availability of this 

material at NARA, call 866-272-6272, or go to: 

http://www.archives.gov/federal-register/cfr/ibrlocations.html. 

(B) ASTM D-4442 or D-4444 for moisture content. ASTM D4442 and D-4444 are incorporated by reference. This 

incorporation by reference was approved by the Director of 

the Federal Register in accordance with 5 U.S.C. 552(a) 

and 1 CFR Part 51. A copy may be obtained from the 

American Society for Testing and Materials, 100 Barr 

Harbor Drive, West Conshohocken, Pennsylvania. A copy 

may be inspected at the EPA Docket Center, Docket No. 

EPA-HQ-OAR-2005-0161, EPA/DC, EPA West, Room 

3334, 1301 Constitution Ave., NW, Washington DC, or at 

the National Archives and Records Administration 

(NARA). For information on the availability of this 

material at NARA, call 866-272-6272, or go to: 

http://www.archives.gov/federal-register/cfr/ibrlocations.html. 

(vi) Default values for E. 

(A) Starch: 7600 Btu/lb. 

(B) Sugar: 7300 Btu/lb. 

(C) Vegetable oil: 17,000 Btu/lb. 

(D) Recycled cooking oil or trap grease: 16,600 Btu/lb. 

(E) Tallow or fat: 16,200 Btu/lb. 

(F) Manure: 6900 Btu/lb. 

(G) Woody biomass: 8400 Btu/lb. 

(H) Herbaceous biomass: 7300 Btu/lb. 

(I) Yard wastes: 2900 Btu/lb. 

(J) Biogas: 11,000 Btu/lb. 

(K) Food waste: 2000 Btu/lb. 

(L) Paper: 7200 Btu/lb. 

(M) Crude oil: 19,100 Btu/lb. 

(N) Coal - bituminous: 12,200 Btu/lb. 

(O) Coal - anthracite: 13,300 Btu/lb. 
 441

(P) Coal - lignite or sub-bituminous: 7900 Btu/lb. 

(Q) Natural gas: 19,700 Btu/lb. 

(R) Recycled tires or rubber: 16,000 Btu/lb. 

(S) Plastic: 19,000 Btu/lb. 

(8) Standardization of volumes. In determining the standardized volume of a 

batch of renewable fuel for purposes of generating RINs under this 

paragraph (d), the batch volumes shall be adjusted to a standard 

temperature of 60 o

F. 

(i) For ethanol, the following formula shall be used: 

Vs,e = Va,e * (-0.0006301 * T + 1.0378) 

Where: 

Vs,e = Standardized volume of ethanol at 60 oF, in gallons. 

Va,e = Actual volume of ethanol, in gallons. 

T = Actual temperature of the batch, in o

F. 

(ii) For biodiesel (mono alkyl esters), one of the following two 

methods for biodiesel temperature standardization to 60 

°Fahrenheit (°F ) shall be used: 

(A) Vs,b = Va.b * (-0.00045767 * T + 1.02746025) 

Where: 

V s,b = Standardized volume of biodiesel at 60 °F, in 

gallons. 

 V a,b = Actual volume of biodiesel, in gallons. 

T = Actual temperature of the batch, in °F. 

(B) The standardized volume of biodiesel at 60 °F, in gallons, 

as calculated from the use of the American Petroleum 

Institute Refined Products Table 6B, as referenced in 

ASTM D1250-08, entitled, “Standard Guide for Use of the 

Petroleum Measurement Tables.” ASTM test method 

D1250-08 is incorporated by reference. This incorporation 

by reference was approved by the Director of the Federal 

Register in accordance 5 U.S.C. 552(a) and 1 CFR part 51. 

Copies may be obtained from the American Society for 

Testing and Materials, 100 Barr Harbor Dr., West 

Conshohocken, PA 19428-2959. Copies may be inspected 

at the Air Docket, EPA/DC, EPA West, Room 3334, 1301 

Constitution Ave., NW, Washington, D.C., or at the 

National Archives and Records Administration (NARA). 

For information on the availability of this material at 

NARA, call 202-741-6030 or go to: 

http://www.archives.gov/federal_register/code_of_federal_r

egulations/ibr_locations.html.
 442

(iii) For other renewable fuels, an appropriate formula commonly 

accepted by the industry shall be used to standardize the actual 

volume to 60 oF. Formulas used must be reported to EPA, and 

may be reviewed for appropriateness. 

(9) Use of radiocarbon dating test methods. 

(i) Parties may use a radiocarbon dating test method for determination 

of the renewable fraction of a fuel R used to determine VRIN as 

provided in paragraph (d)(6)(i)(B) of this section. 

(ii) Parties must use Method B or Method C of ASTM D-6866-08, or 

an alternative test method as approved by the EPA. ASTM D6866-08 is incorporated by reference. This incorporation by 

reference was approved by the Director of the Federal Register in 

accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. A copy may 

be obtained from the American Society for Testing and Materials, 

100 Barr Harbor Drive, West Conshohocken, Pennsylvania. A 

copy may be inspected at the EPA Docket Center, Docket No. 

EPA-HQ-OAR-2005-0161, EPA/DC, EPA West, Room 3334, 

1301 Constitution Ave., NW, Washington DC, or at the National 

Archives and Records Administration (NARA). For information 

on the availability of this material at NARA, call 866-272-6272, or 

go to: http://www.archives.gov/federal-register/cfr/ibrlocations.html. 

(iii) The value of R may be based on: 

(A) A single test of an aggregate sample of fuel; or 

(B) An average of tests of every batch of fuel. 

(iv) The aggregate sample of fuel must be comprised of a combination 

of samples from every batch of partially renewable transportation 

fuel produced by the party over a period not to exceed one calendar 

month. 

(A) All individual batch samples must be of equal volume. 

(B) The aggregate sample must be well mixed prior to testing. 

(C) A volume of each aggregate sample must be retained for a 

minimum of two years. The retained volume must be 

sufficient to permit two additional tests to be conducted. 

(v) The value of R must be recalculated on at least a monthly basis 

based on the most recent aggregate sample or batch tests. 

(vi) The value of R calculated on the basis on the previous month's 

aggregate sample shall be used for the current month in the 

determination of VRIN. 

(10) (i) For purposes of this section, electricity, biogas, and propane that is 

used as transportation fuel is considered renewable fuel and the 

producer may generate RINs if all of the following apply: 

(A) The renewable electricity, biogas, or propane is not placed 

in a commercial distribution system along with fuels 

derived from nonrenewable feedstocks. 
 443

(B) The fuel is produced from renewable biomass. 

(C) The fuel producer has entered into a written contract for the 

sale and use as transportation fuel of a specific quantity of 

electricity, biogas, or propane. 

 (ii) Electricity that is generated by co-firing a combination of 

renewable biomass and fossil fuel may generate RINs only for the 

portion attributable to the renewable biomass portion, using the 

procedure described in paragraph (f)(4) of this section. 

 (11) (i) For purposes of this section, electricity, natural gas and propane that is 

made available through commercial distribution systems and used for 

transportation is considered derived from renewable biomass and the 

producer may generate RINs if: 

 (A) The fuel producer has entered into a written contract for the 

sale of a specific quantity of fuel derived from renewable 

biomass sources and that such fuel has been introduced into 

a commercial distribution system (e.g., pipeline, 

transmission line); and 

 (B) The commercial distribution system into which the fuel is 

introduced ultimately serves a transportation fueling 

facility. 

 (ii) With respect to natural gas used for transportation, the following 

conditions must be met: 

 (A) The volume of biogas has been gathered, processed and 

injected into a common carrier pipeline and delivered to the 

transportation fueling facility and withdrawn from the 

pipeline in a manner and timing consistent with the 

transport of fuel between the injection and withdrawal 

points; 

 (B) The volume and heat content of biogas injected into the 

pipeline and the volume of gas used as transportation fuel 

are measured by continuous metering. 

 (iii) The fuel used for transportation purposes is considered produced 

from renewable biomass only to the extent that the amount of fuel 

used at the transportation fueling facility matches the amount of 

fuel derived from biomass that the producer contracted to have 

placed into the commercial distribution system. 

(iv) Electricity that is generated by co-firing a combination of 

renewable biomass and fossil fuel may generate RINs only for the 

portion attributable to the renewable biomass portion, using the 

procedure described in paragraph (f)(4) of this section. 

§ 80.1427 How are RINs used to demonstrate compliance? 

(a) Renewable Volume Obligations.
 444

(1) Except as specified in paragraph (b) of this section or §80.1455, each party 

that is an obligated party under §80.1406 and is obligated to meet the 

Renewable Volume Obligations under §80.1407, or each party that is an 

exporter of renewable fuels that is obligated to meet Renewable Volume 

Obligations under §80.1430, must demonstrate pursuant to §80.1452(a)(1) 

that it is retiring for compliance purposes a sufficient number of RINs to 

satisfy the following equations: 

(i) Cellulosic biofuel. 

(∑RINNUM)CB,i + (∑RINNUM)CB,i-1 = RVOCB,i

Where: 

(∑RINNUM)CB,i = Sum of all owned gallon-RINs that are valid for 

use in complying with the cellulosic biofuel 

RVO, were generated in year i, and are being 

applied towards the RVOCB,i, in gallons. 

(∑RINNUM)CB,i-1 = Sum of all owned gallon-RINs that are valid for 

use in complying with the cellulosic biofuel 

RVO, were generated in year i-1, and are being 

applied towards the RVOCB,i, in gallons. 

RVOCB,i = The Renewable Volume Obligation for 

cellulosic biofuel for the obligated party or 

renewable fuel exporter for calendar year i, in 

gallons, pursuant to §80.1407 or §80.1430. 

(ii) Biomass-based diesel. 

(∑RINNUM)BBD,i + (∑RINNUM)BBD,i-1 = RVOBBD,i

Where: 

(∑RINNUM)BBD,i = Sum of all owned gallon-RINs that are valid for 

use in complying with the biomass-based diesel 

RVO, were generated in year i, and are being 

applied towards the RVOBBD,i, in gallons. 

(∑RINNUM)BBD,i-1 = Sum of all owned gallon-RINs that are valid for 

use in complying with the biomass-based diesel 

RVO, were generated in year i-1, and are being 

applied towards the RVOBBD,i, in gallons. 

RVOBBD,i = The Renewable Volume Obligation for 

biomass-based diesel for the obligated party or 

renewable fuel exporter for calendar year i after 

2010, in gallons, pursuant to §80.1407 or 

§80.1430. 
 445

(iii) Advanced biofuel. 

(∑RINNUM)AB,i + (∑RINNUM)AB,i-1 = RVOAB,i

Where: 

(∑RINNUM)AB,i = Sum of all owned gallon-RINs that are valid for 

use in complying with the advanced biofuel 

RVO, were generated in year i, and are being 

applied towards the RVOAB,i, in gallons. 

(∑RINNUM)AB,i-1 = Sum of all owned gallon-RINs that are valid for 

use in complying with the advanced biofuel 

RVO, were generated in year i-1, and are being 

applied towards the RVOAB,i, in gallons. 

RVOAB,i = The Renewable Volume Obligation for 

advanced biofuel for the obligated party or 

renewable fuel exporter for calendar year i, in 

gallons, pursuant to §80.1407 or §80.1430. 

(iv) Renewable fuel. 

(∑RINNUM)RF,i + (∑RINNUM)RF,i-1 = RVORF,i

Where: 

(∑RINNUM)RF,i = Sum of all owned gallon-RINs that are valid for 

use in complying with the renewable fuel RVO, 

were generated in year i, and are being applied 

towards the RVORF,i, in gallons. 

(∑RINNUM)RF,i-1 = Sum of all owned gallon-RINs that are valid for 

use in complying with the renewable fuel RVO, 

were generated in year i-1, and are being 

applied towards the RVORF,i, in gallons. 

RVORF,i = The Renewable Volume Obligation for 

renewable fuel for the obligated party or 

renewable fuel exporter for calendar year i, in 

gallons, pursuant to §80.1407 or §80.1430. 

(2) Except as described in paragraph (a)(4) of this section, RINs that are valid for 

use in complying with each Renewable Volume Obligation are determined by 

their D codes. 

(i) RINs with a D code of 3 or 7 are valid for compliance with the 

cellulosic biofuel RVO. 

(ii) RINs with a D code of 4 or 7 are valid for compliance with the 

biomass-based diesel RVO. 
 446

(iii) RINs with a D code of 3, 4, 5, or 7 are valid for compliance with the 

advanced biofuel RVO. 

(iv) RINs with a D code of 3, 4, 5, 6, or 7 are valid for compliance with the 

renewable fuel RVO. 

(3) A party may use the same RIN to demonstrate compliance with more than one 

RVO so long as it is valid for compliance with all RVOs to which it is 

applied. 

(4) For purposes of demonstrating compliance for calendar years 2010 or 2011, 

RINs generated pursuant to §80.1126 that are not used for compliance 

purposes for calendar year 2009 or earlier may be used for compliance in 

2010 or 2011, as follows, insofar as permissible pursuant to paragraphs (a)(5) 

and (a)(7)(iii) of this section: 

(i) A RIN generated pursuant to §80.1126 with a D code of 2 and an RR 

code of 15 or 17 is deemed equivalent to a RIN generated pursuant to 

§80.1426 having a D code of 4. 

(ii) A RIN generated pursuant to §80.1126 with a D code of 1 is deemed 

equivalent to a RIN generated pursuant to §80.1426 having a D code 

of 3. 

(iii) All other RINs generated pursuant to §80.1126 are deemed equivalent 

to RINs generated pursuant to §80.1426 having D codes of 6. 

(iv) A RIN generated pursuant to §80.1126 that was retired pursuant to 

§80.1129(e) because the associated volume of fuel was not used as 

motor vehicle fuel may be reinstated pursuant to §80.1429(f)(1). 

(5) The value of (∑RINNUM)i-1 may not exceed values determined by the 

following inequalities except as provided in paragraph (a)(7)(iv) of this 

section and §80.1442(d): 

(∑RINNUM)CB,i-1 ≤ 0.20 * RVOCB,i

(∑RINNUM)BBD,i-1 ≤ 0.20 * RVOBBD,i

(∑RINNUM)AB,i-1 ≤ 0.20 * RVOAB,i

(∑RINNUM)RF,i-1 ≤ 0.20 * RVORF,i

 

(6) Except as provided in paragraph (a)(7) of this section: 

(i) RINs may only be used to demonstrate compliance with the RVOs for 

the calendar year in which they were generated or the following 

calendar year. 

(ii) RINs used to demonstrate compliance in one year cannot be used to 

demonstrate compliance in any other year. 

(7) Biomass-based diesel in 2010. 

(i) Prior to determining compliance with the 2010 biomass-based diesel 

RVO, obligated parties may reduce the value of RVOBBD,2010 by an 

amount equal to the sum of all 2008 and 2009 RINs that they used for 
 447

compliance purposes for calendar year 2009 which have a D code of 2 

and an RR code of 15 or 17. 

(ii) For calendar year 2010 only, the following equation shall be used 

to determine compliance with the biomass-based diesel RVO 

instead of the equation in paragraph (a)(1)(ii) of this section: 

(∑RINNUM)BBD,2010 + (∑RINNUM)BBD,2009 + (∑RINNUM)BBD,2008 = 

RVOBBD,2010

Where: 

(∑RINNUM)BBD,2010 = Sum of all owned gallon-RINs that are valid 

for use in complying with the biomass-based 

diesel RVO, were generated in year 2010, 

and are being applied towards the 

RVOBBD,2010, in gallons. 

(∑RINNUM)BBD,2009 = Sum of all owned gallon-RINs that are valid 

for use in complying with the biomass-based 

diesel RVO, were generated in year 2009, 

have not previously been used for 

compliance purposes, and are being applied 

towards the RVOBBD,2010, in gallons. 

(∑RINNUM)BBD,2008 = Sum of all owned gallon-RINs that are valid 

for use in complying with the biomass-based 

diesel RVO, were generated in year 2008, 

have not previously been used for 

compliance purposes, and are being applied 

towards the RVOBBD,2010, in gallons. 

RVOBBD,2010 = The Renewable Volume Obligation for 

biomass-based diesel for the obligated party 

or renewable fuel exporter for calendar year 

2010, in gallons, pursuant to §80.1407 or 

§80.1430, as adjusted by paragraph (a)(7)(i) 

of this section. 

(iii) The values of (∑RINNUM)2008 and (∑RINNUM)2009 may not exceed 

values determined by both of the following inequalities: 

(∑RINNUM)BBD,2008 ≤ 0.087 * RVOBBD,2010

(∑RINNUM)BBD,2008 + (∑RINNUM)BBD,2009 ≤ 0.20 * RVOBBD,2010

(8) A party may only use a RIN for purposes of meeting the requirements of 

paragraph (a)(1) of this section if that RIN is a separated RIN with a K code of 

2 obtained in accordance with §§ 80.1428 and 80.1429. 
 448

(9) The number of gallon-RINs associated with a given batch-RIN that can be 

used for compliance with the RVOs shall be calculated from the following 

formula: 

RINNUM = EEEEEEEE - SSSSSSSS + 1 

Where: 

RINNUM = Number of gallon-RINs associated with a batch-RIN, where 

each gallon-RIN represents one gallon of renewable fuel for 

compliance purposes. 

EEEEEEEE = Batch-RIN component identifying the last gallon-RIN 

associated with the batch-RIN. 

SSSSSSSS = Batch-RIN component identifying the first gallon-RIN 

associated with the batch-RIN. 

(b) Deficit carryovers.

(1) An obligated party or an exporter of renewable fuel that fails to meet the 

requirements of paragraph (a)(1) or (a)(5) of this section for calendar year i is 

permitted to carry a deficit into year i+1 under the following conditions: 

(i) The party did not carry a deficit into calendar year i from calendar year 

i-1 for the same RVO. 

(ii) The party subsequently meets the requirements of paragraph (a)(1) of 

this section for calendar year i+1 and carries no deficit into year i+2 

for the same RVO. 

(iii) For compliance with the biomass-based diesel RVO in calendar year 

2011, the deficit which is carried over from 2010 is no larger than 57% 

of the party's 2010 biomass-based diesel RVO as determined prior to 

any adjustment applied pursuant to paragraph (a)(7)(i) of this section. 

(2) A deficit is calculated according to the following formula: 

Di = RVOi - [(∑RINNUM)i + (∑RINNUM)i-1] 

Where: 

Di = The deficit, in gallons, generated in calendar year i 

that must be carried over to year i+1 if allowed to 

do so pursuant to paragraph (b)(1) of this section. 

RVOi = The Renewable Volume Obligation for the obligated 

party or renewable fuel exporter for calendar year i, in 

gallons. 

(∑RINNUM)i = Sum of all acquired gallon-RINs that were generated in 

year i and are being applied towards the RVOi, in 

gallons. 
 449

(∑RINNUM)i-1 = Sum of all acquired gallon-RINs that were generated in 

year i-1 and are being applied towards the RVOi, in 

gallons. 

§ 80.1428 General requirements for RIN distribution. 

(a) RINs assigned to volumes of renewable fuel.

(1) Assigned RIN, for the purposes of this subpart, means a RIN assigned to a 

volume of renewable fuel pursuant to §80.1426(e) with a K code of 1. 

 (2) Except as provided in §80.1429, no party can separate a RIN that has been 

assigned to a batch pursuant to §80.1426(e). 

(3) An assigned RIN cannot be transferred to another party without 

simultaneously transferring a volume of renewable fuel to that same party. 

(4) No more than 2.5 assigned gallon-RINs with a K code of 1 can be 

transferred to another party with every gallon of renewable fuel transferred 

to that same party. 

(5) (i) On each of the dates listed in paragraph (a)(5)(ii) of this section in 

any calendar year, the following equation must be satisfied for 

assigned RINs and volumes of renewable fuel owned by a party: 

∑(RIN)D ≤ ∑(Vsi * 2.5)D

Where: 

D = Applicable date. 

∑(RIN)D = Sum of all assigned gallon-RINs with a K 

code of 1 that are owned on date D. 

(Vsi)D = Volume i of renewable fuel owned on date 

D, standardized to 60 oF, in gallons. 

∑(Vsi * 2.5)D = Sum of all volumes of renewable fuel owned 

on date D, multiplied by an equivalence 

value of 2.5. 

(ii) The applicable dates are March 31, June 30, September 30, and 

December 31. 

(6) Any transfer of ownership of assigned RINs must be documented on 

product transfer documents generated pursuant to §80.1453. 

(i) The RIN must be recorded on the product transfer document used 

to transfer ownership of the volume of renewable fuel to another 

party; or 

(ii) The RIN must be recorded on a separate product transfer document 

transferred to the same party on the same day as the product 

transfer document used to transfer ownership of the volume of 

renewable fuel. 

 
 450

(b) RINs separated from volumes of renewable fuel.

(1) Separated RIN, for the purposes of this subpart, means a RIN with a K 

code of 2 that has been separated from a volume of renewable fuel 

pursuant to §80.1429. 

(2) Any party that has registered pursuant to §80.1450 can hold title to a 

separated RIN. 

(3) Separated RINs can be transferred from one party to another any number 

of times. 

(c) RIN expiration. Except as provided in §80.1427(a)(7), a RIN is valid for 

compliance during the calendar year in which it was generated, or the following 

calendar year. Any RIN that is not used for compliance purposes for the calendar 

year in which it was generated, or for the following calendar year, will be 

considered an expired RIN. Pursuant to §80.1431(a)(3), an expired RIN that is 

used for compliance will be considered an invalid RIN. 

(d) Any batch-RIN can be divided by its owner into multiple batch-RINs, each 

representing a smaller number of gallon-RINs, if all of the following conditions 

are met: 

(1) All RIN components other than SSSSSSSS and EEEEEEEE are identical 

for the original parent and newly formed daughter RINs. 

(2) The sum of the gallon-RINs associated with the multiple daughter batchRINs is equal to the gallon-RINs associated with the parent batch-RIN. 

§ 80.1429 Requirements for separating RINs from volumes of renewable fuel. 

(a) (1) Separation of a RIN from a volume of renewable fuel means termination 

of the assignment of the RIN to a volume of renewable fuel. 

(2) RINs that have been separated from volumes of renewable fuel become 

separated RINs subject to the provisions of §80.1428(b). 

(b) A RIN that is assigned to a volume of renewable fuel can be separated from that 

volume only under one of the following conditions: 

(1) Except as provided in paragraph (b)(7) of this section, a party that is an 

obligated party according to §80.1406 must separate any RINs that have 

been assigned to a volume of renewable fuel if that party owns that 

volume. 

(2) Except as provided in paragraph (b)(6) of this section, any party that owns 

a volume of renewable fuel must separate any RINs that have been 

assigned to that volume once the volume is blended with gasoline or diesel 

to produce a transportation fuel, heating oil, or jet fuel. A party may 

separate up to 2.5 RINs per gallon of renewable fuel. 

(3) Any party that exports a volume of renewable fuel must separate any RINs 

that have been assigned to the exported volume. 
 451

(4) Any party that produces, imports, owns, sells, or uses a volume of neat 

renewable fuel, or a blend of renewable fuel and diesel fuel, must separate 

any RINs that have been assigned to that volume of neat renewable fuel or 

that blend if: 

(i) The party designates the neat renewable fuel or blend as 

transportation fuel, heating oil, or jet fuel; and 

(ii) The neat renewable fuel or blend is used without further blending, 

in the designated form, as transportation fuel, heating oil, or jet 

fuel. 

(5) Any party that produces, imports, owns, sells, or uses a volume of 

renewable electricity, biogas, or propane must separate any RINs that have 

been assigned to that volume of renewable electricity, biogas, or propane 

if: 

(i) The party designates the renewable electricity, biogas, or propane 

as transportation fuel; and 

(ii) The renewable electricity, biogas, or propane is used as 

transportation fuel. 

(6) RINs assigned to a volume of biodiesel (mono-alkyl ester) can only be 

separated from that volume pursuant to paragraph (b)(2) of this section if 

such biodiesel is blended into diesel fuel at a concentration of 80 volume 

percent biodiesel (mono-alkyl ester) or less. 

(i) This paragraph (b)(6) shall not apply to obligated parties or 

exporters of renewable fuel. 

(ii) This paragraph (b)(6) shall not apply to parties meeting the 

requirements of paragraph (b)(4) of this section. 

(7) For RINs that an obligated party generates for renewable fuel that has not 

been blended into gasoline or diesel to produce a transportation fuel, the 

obligated party can only separate such RINs from volumes of renewable 

fuel if the number of gallon-RINs separated in a calendar year is less than 

or equal to a limit set as follows: 

(i) For RINs with a D code of 3, the limit shall be equal to RVOCB. 

(ii) For RINs with a D code of 4, the limit shall be equal to RVOBBD. 

(iii) For RINs with a D code of 7, the limit shall be equal to the larger 

of RVOBBD or RVOCB. 

(iv) For RINs with a D code of 5, the limit shall be equal to RVOAB - 

RVOCB - RVOBBD.

(v) For RINs with a D code of 6, the limit shall be equal to RVORF - 

RVOAB. 

 (8) Small refiners and small refineries may only separate RINs that have been 

assigned to volumes of renewable fuel that the party blends into gasoline 

or diesel to produce transportation fuel, or that the party used as heating 

oil or jet fuel. This paragraph (b)(8) shall apply only under the following 

conditions: 

(i) During the calendar year in which the party has received a small 

refinery exemption under §80.1441 or a small refiner exemption 

under §80.1442, and 
 452

(ii) The party is not otherwise an obligated party during the period of 

time that the small refinery or small refiner exemption is in effect. 

 

(c) The party responsible for separating a RIN from a volume of renewable fuel shall 

change the K code in the RIN from a value of 1 to a value of 2 prior to 

transferring the RIN to any other party. 

(d) Upon and after separation of a RIN from its associated volume of renewable fuel, 

the separated RIN must be accompanied by documentation when transferred. 

(1) When transferred, the separated RIN shall appear on documentation that 

includes all the following information: 

 (i) The name and address of the transferor and transferee. 

(ii) The transferor’s and transferee’s EPA company registration 

numbers. 

 (iii) The date of the transfer. 

 (iv) A list of separated RINs transferred. 

(2) [Reserved] 

(e) Upon and after separation of a RIN from its associated volume of renewable fuel, 

product transfer documents used to transfer ownership of the volume must 

continue to meet the requirements of §80.1453(a)(6)(iii). 

(f) Any party that uses a renewable fuel in any application that is not transportation 

fuel, heating oil, or jet fuel, or designates a renewable fuel for use as something 

other than transportation fuel, heating oil, or jet fuel, must retire any RINs 

received with that renewable fuel and report the retired RINs in the applicable 

reports under §80.1451. 

(g) Any 2009 RINs retired pursuant to §80.1129 because renewable fuel was used in 

a non-motor vehicle application, heating oil, or jet fuel may be reinstated by the 

retiring party for sale or use to demonstrate compliance with a 2010 RVO. 

§ 80.1430 Requirements for exporters of renewable fuels. 

(a) Any party that owns any amount of renewable fuel, whether in its neat form or 

blended with gasoline or diesel, that is exported from any of the regions described 

in §80.1426(a) shall acquire sufficient RINs to offset all applicable Renewable 

Volume Obligations representing the exported renewable fuel. 

(b) Renewable Volume Obligations. An exporter of renewable fuel shall determine 

its Renewable Volume Obligations from the volumes of the renewable fuel 

exported. 

(1) For exported volumes of biodiesel (mono-alkyl ester) or non-ester 

renewable diesel, a renewable fuel exporter's Renewable Volume 
 453

Obligation for biomass-based diesel shall be calculated according to the 

following formula: 

RVOBBD,i = ∑(VOLk * EVk)i + DBBD,i-1

Where: 

RVOBBD,i = The Renewable Volume Obligation for biomass-based diesel for the 

exporter for calendar year i, in gallons. 

k = A discrete volume of biodiesel (mono-alkyl ester) or non-ester 

renewable diesel fuel. 

VOLk = The standardized volume of discrete volume k of exported 

biodiesel (mono-alkyl ester) or non-ester renewable diesel, in 

gallons, calculated in accordance with §80.1426(d)(11). 

EVk = The equivalence value associated with discrete volume k. 

∑ = Sum involving all volumes of biodiesel (mono-alkyl ester) or nonester renewable diesel exported. 

DBBD,i-1 = Deficit carryover from the previous year for biomass-based diesel, in 

gallons. 

 

(2) For exported volumes of all renewable fuels, a renewable fuel exporter's 

Renewable Volume Obligation for total renewable fuel shall be calculated 

according to the following formula: 

RVORF,i = ∑(VOLk * EVk)i + DRF,i-1

Where: 

RVORF,i = The Renewable Volume Obligation for renewable fuel for the exporter 

for calendar year i, in gallons of renewable fuel. 

k = A discrete volume of renewable fuel. 

VOLk = The standardized volume of discrete volume k of exported 

renewable fuel, in gallons, calculated in accordance with 

§80.1426(d)(11). 

EVk = The equivalence value associated with discrete volume k. 

∑ = Sum involving all volumes of renewable fuel exported. 

DRF,i-1 = Deficit carryover from the previous year for renewable fuel, in gallons. 

(3) (i) If the equivalence value for a volume of exported renewable fuel 

can be determined pursuant to §80.1415 based on its composition, 

then the appropriate equivalence value shall be used in the 

calculation of the exporter's Renewable Volume Obligations. 

(ii) If the composition of a volume of exported renewable fuel cannot 

be determined, the value of EVk shall be 1.0. 
 454

(4) For renewable fuels that are in the form of a blend with gasoline or diesel 

at the time of export, the exporter shall determine the volume of exported 

renewable fuel based on one of the following: 

(i) Information from the supplier of the blend of the concentration of 

renewable fuel in the blend. 

(ii) Determination of the renewable portion of the blend using Method 

B or Method C of ASTM D-6866-08, or an alternative test method 

as approved by the EPA. ASTM D-6866-08 is incorporated by 

reference. This incorporation by reference was approved by the 

Director of the Federal Register in accordance with 5 U.S.C. 

552(a) and 1 CFR Part 51. A copy may be obtained from the 

American Society for Testing and Materials, 100 Barr Harbor 

Drive, West Conshohocken, Pennsylvania. A copy may be 

inspected at the EPA Docket Center, Docket No. EPA-HQ-OAR2005-0161, EPA/DC, EPA West, Room 3334, 1301 Constitution 

Ave., NW, Washington DC, or at the National Archives and 

Records Administration (NARA). For information on the 

availability of this material at NARA, call 866-272-6272, or go to: 

http://www.archives.gov/federal-register/cfr/ibr-locations.html. 

(iii) Assuming the maximum concentration of the renewable fuel in the 

blend as allowed by law and/or regulation. 

 (c) Each exporter of renewable fuel must demonstrate compliance with its RVOs using 

RINs it has acquired, pursuant to §80.1427. 

§ 80.1431 Treatment of invalid RINs. 

(a) Invalid RINs. 

(1) An invalid RIN is a RIN that is any of the following: 

(i) A duplicate of a valid RIN. 

(ii) Was based on incorrect volumes or volumes that have not been 

standardized to 60 °F. 

(iii) Has expired, as provided in §80.1428(c). 

(iv) Was based on an incorrect equivalence value. 

(v) Deemed invalid under §80.1467(g). 

(vi) Does not represent renewable fuel as defined in §80.1401. 

(vii) Was assigned an incorrect “D” code value under §80.1426(d) for 

the associated volume of fuel. 

(viii) Was otherwise improperly generated. 

(2) In the event that the same RIN is transferred to two or more parties, all 

such RINs are deemed invalid, unless EPA in its sole discretion 

determines that some portion of these RINs is valid. 

(b) In the case of RINs that are invalid, the following provisions apply: 
 455

(1) Upon determination by any party that RINs owned are invalid, the party 

must adjust its records, reports, and compliance calculations in which the 

invalid RINs were used as necessary to reflect the deletion of the invalid 

RINs. The party must retire the invalid RINs in the applicable RIN 

transaction reports under §80.1451(c)(2) for the quarter in which the RINs 

were determined to be invalid. 

(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. 

(3) Any valid RINs remaining after deleting invalid RINs must first be 

applied to correct the transfer of invalid RINs to another party before 

applying the valid RINs to meet the party’s Renewable Volume 

Obligations at the end of the compliance year. 

§ 80.1432 Reported spillage or disposal of renewable fuel. 

(a) A reported spillage or disposal under this subpart means a spillage or disposal of 

renewable fuel associated with a requirement by a federal, state, or local authority 

to report the spillage or disposal. 

(b) Except as provided in paragraph (c) of this section, in the event of a reported 

spillage or disposal of any volume of renewable fuel, the owner of the renewable 

fuel must retire a number of RINs corresponding to the volume of spilled or 

disposed of renewable fuel multiplied by its equivalence value. 

(1) If the equivalence value for the spilled or disposed of volume may be 

determined pursuant to §80.1415 based on its composition, then the 

appropriate equivalence value shall be used. 

(2) If the equivalence value for a spilled or disposed of volume of renewable 

fuel cannot be determined, the equivalence value shall be 1.0. 

(c) If the owner of a volume of renewable fuel that is spilled or disposed of and 

reported establishes that no RINs were generated to represent the volume, then no 

RINs shall be retired. 

(d) A RIN that is retired under paragraph (b) of this section: 

(1) Must be reported as a retired RIN in the applicable reports under 

§80.1451. 

(2) May not be transferred to another party or used by any obligated party to 

demonstrate compliance with the party’s Renewable Volume Obligations. 

§§ 80.1433-80.1439 [Reserved]
 456

§ 80.1440 What are the provisions for blenders who handle and blend less than 

125,000 gallons of renewable fuel per year? 

(a) Renewable fuel blenders who handle and blend less than 125,000 gallons of 

renewable fuel per year, and who do not have Renewable Volume Obligations, 

are permitted to delegate their RIN-related responsibilities to the party directly 

upstream of them who supplied the renewable fuel for blending. 

(b) The RIN-related responsibilities that may be delegated directly upstream include 

all the following: 

(1) The RIN separation requirements of §80.1429. 

(2) The reporting requirements of §80.1451. 

(3) The recordkeeping requirements of §80.1454. 

(4) The attest engagement requirements of §80.1464. 

(c) For upstream delegation of RIN-related responsibilities, both parties must agree 

on the delegation, and a quarterly written statement signed by both parties must be 

included with the reporting party’s reports under §80.1451. 

(1) Both parties must keep copies of the signed quarterly written statement 

agreeing to the upward delegation for 5 years. 

(2) Parties delegating their RIN responsibilities upward shall keep copies of 

their registration forms as submitted to EPA. 

(3) If EPA finds that a renewable fuel blender improperly delegated its RINrelated responsibilities under this subpart M, the blender will be held 

accountable for any RINs separated and will be subject to all RIN-related 

responsibilities under this subpart. 

(d) Renewable fuel blenders who handle and blend less than 125,000 gallons of 

renewable fuel per year and who do not opt to delegate their RIN-related 

responsibilities will be subject to all requirements stated in paragraph (b) of this 

section, and all other applicable requirements of this subpart M. 

§ 80.1441 Small refinery exemption.

(a) (1) Transportation fuel produced at a refinery by a refiner, or foreign refiner 

(as defined at §80.1465(a)), is exempt from January 1, 2010 through 

December 31, 2010 from the renewable fuel standards of §80.1405; and 

the refinery, or foreign refinery, is exempt from the requirements that 

apply to obligated parties under this subpart M if that refinery meets the 

definition of a small refinery under §80.1401 for calendar year 2006. 

(2) This exemption shall apply unless a refiner chooses to waive this 

exemption (as described in paragraph (f) of this section), or the exemption 

is extended (as described in paragraph (e) of this section). 

(3) For the purposes of this section, the term “refiner” shall include foreign 

refiners. 
 457

(4) This exemption shall only apply to refineries that process crude oil 

through refinery processing units. 

(5) The small refinery exemption is effective immediately, except as specified 

in paragraph (b)(3) of this section. 

(6) Refiners who qualified as small under 40 CFR 80.1141 do not need to 

reapply for small refiner status under this subpart M. This paragraph (a) 

does not supersede §80.1141. 

(b) (1) A refiner owning a small refinery must submit a verification letter to EPA 

containing all of the following information: 

(i) The annual average aggregate daily crude oil throughput for the 

period January 1, 2006 through December 31, 2006 (as determined 

by dividing the aggregate throughput for the calendar year by the 

number 365). 

(ii) A letter signed by the president, chief operating or chief executive 

officer of the company, or his/her designee, stating that the 

information contained in the letter is true to the best of his/her 

knowledge, and that the refinery was small as of December 31, 

2006. 

(iii) Name, address, phone number, facsimile number, and e-mail 

address of a corporate contact person. 

(2) Verification letters must be submitted by April 1, 2010 to one of the 

addresses listed in paragraph (h) of this section. 

(3) For foreign refiners the small refinery exemption shall be effective upon 

approval, by EPA, of a small refinery application. The application must 

contain all of the elements required for small refinery verification letters 

(as specified in paragraph (b)(1) of this section), must satisfy the 

provisions of §80.1465(f) through (h) and (o), and must be submitted by 

April 1, 2010 to one of the addresses listed in paragraph (h) of this section. 

(4) Small refinery verification letters are not required for those refiners who 

have already submitted a verification letter under subpart K of this Part 80. 

(c) If EPA finds that a refiner provided false or inaccurate information regarding a 

refinery’s crude throughput (pursuant to paragraph (b)(1)(i) of this section) in its 

small refinery verification letter, the exemption will be void as of the effective 

date of these regulations. 

(d) If a refiner is complying on an aggregate basis for multiple refineries, any such 

refiner may exclude from the calculation of its Renewable Volume Obligations 

(under §80.1407) transportation fuel from any refinery receiving the small 

refinery exemption under paragraph (a) of this section. 

(e) (1) The exemption period in paragraph (a) of this section shall be extended by 

the Administrator for a period of not less than two additional years if a 

study by the Secretary of Energy determines that compliance with the 
 458

requirements of this subpart would impose a disproportionate economic 

hardship on a small refinery. 

(2) A refiner may petition the Administrator for an extension of its small 

refinery exemption, based on disproportionate economic hardship, at any 

time. 

(i) A petition for an extension of the small refinery exemption must 

specify the factors that demonstrate a disproportionate economic 

hardship and must provide a detailed discussion regarding the 

hardship the refinery would face in producing transportation fuel 

meeting the requirements of §80.1405 and the date the refiner 

anticipates that compliance with the requirements can reasonably 

be achieved at the small refinery. 

(ii) The Administrator shall act on such a petition not later than 90 

days after the date of receipt of the petition. 

(f) At any time, a refiner with an approved small refinery exemption under paragraph 

(a) of this section may waive that exemption upon notification to EPA. 

(1) A refiner’s notice to EPA that it intends to waive its small refinery 

exemption must be received by November 1 to be effective in the next 

compliance year. 

(2) The waiver will be effective beginning on January 1 of the following 

calendar year, at which point the gasoline produced at that refinery will be 

subject to the renewable fuels standard of §80.1405 and all other 

requirements that apply to obligated parties under this Subpart M. 

(3) The waiver must be sent to EPA at one of the addresses listed in paragraph 

(h) of this section. 

(g) A refiner that acquires a refinery from either an approved small refiner (as defined 

under §80.1442(a)) or another refiner with an approved small refinery exemption 

under paragraph (a) of this section shall notify EPA in writing no later than 20 

days following the acquisition. 

(h) Verification letters under paragraph (b) of this section, petitions for small refinery 

hardship extensions under paragraph (e) of this section, and small refinery 

exemption waivers under paragraph (f) of this section shall be sent to one of the 

following addresses: 

(1) For US mail: U.S. EPA, Attn: RFS2 Program, 6406J, 1200 Pennsylvania 

Avenue, NW, Washington, DC 20460. 

(2) For overnight or courier services: U.S. EPA, Attn: RFS2 Program, 6406J, 

1310 L Street, NW, 6th floor, Washington, DC 20005. (202) 343-9038. 

§ 80.1442 What are the provisions for small refiners under the RFS program? 

(a) (1) To qualify as a small refiner under this section, a refiner must meet all of 

the following criteria: 
 459

(i) The refiner produced transportation fuel at its refineries by 

processing crude oil through refinery processing units from 

January 1, 2006 through December 31, 2006. 

(ii) The refiner employed an average of no more than 1,500 people, 

based on the average number of employees for all pay periods for 

calendar year 2006 for all subsidiary companies, all parent 

companies, all subsidiaries of the parent companies, and all joint 

venture partners. 

(iii) The refiner had a corporate-average crude oil capacity less than or 

equal to 155,000 barrels per calendar day (bpcd) for 2006. 

 (2) For the purposes of this section, the term “refiner” shall include foreign 

refiners. 

(3) Refiners who qualified as small under 40 CFR 80.1142 do not need to 

reapply for small refiner status under this subpart M. This paragraph (a) 

does not supersede §80.1142. 

(b) Applications for small refiner status.

(1) Applications for small refiner status under this section must be submitted 

to EPA by April 1, 2010. 

(2) Small refiner status applications under this section must include all the 

following information for the refiner and for all subsidiary companies, all 

parent companies, all subsidiaries of the parent companies, and all joint 

venture partners: 

(i) A listing of the name and address of each company location where 

any employee worked for the period January 1, 2006 through 

December 31, 2006. 

(ii) The average number of employees at each location based on the 

number of employees for each pay period for the period January 1, 

2006 through December 31, 2006. 

(iii) The type of business activities carried out at each location. 

(iv) For joint ventures, the total number of employees includes the 

combined employee count of all corporate entities in the venture. 

(v) For government-owned refiners, the total employee count includes 

all government employees. 

(vi) The total corporate crude oil capacity of each refinery as reported 

to the Energy Information Administration (EIA) of the U.S. 

Department of Energy (DOE), for the period January 1, 2006 

through December 31, 2006. The information submitted to EIA is 

presumed to be correct. In cases where a company disagrees with 

this information, the company may petition EPA with appropriate 

data to correct the record when the company submits its 

application. 

(vii) A letter signed by the president, chief operating or chief executive 

officer of the company, or his/her designee, stating that the 

information contained in the application is true to the best of 
 460

his/her knowledge, and that the company owned the refinery as of 

December 31, 2006. 

(viii) Name, address, phone number, facsimile number, and e-mail 

address of a corporate contact person. 

(3) In the case of a refiner who acquires or reactivates a refinery that was 

shutdown or non-operational between January 1, 2005 and January 1, 

2006, the information required in paragraph (b)(2) of this section must be 

provided for the time period since the refiner acquired or reactivated the 

refinery. 

(4) EPA will notify a refiner of its approval or disapproval of the application 

for small refiner status by letter. 

(5) For foreign refiners the small refiner exemption shall be effective upon 

approval, by EPA, of a small refiner application. The application must 

contain all of the elements required for small refiner status applications (as 

specified in paragraph (b)(2) of this section), must satisfy the provisions of 

§80.1465(f) through (h) and (o), must demonstrate compliance with the 

crude oil capacity criterion of paragraph (a)(1)(iii) of this section, and 

must be submitted by April 1, 2010 to one of the addresses listed in 

paragraph (j) of this section. 

(c) Small refiner temporary exemption.

(1) Transportation fuel produced by a refiner, or foreign refiner (as defined at 

§80.1465(a)), is exempt from January 1, 2010 through December 31, 2010 

from the renewable fuel standards of §80.1405 and the requirements that 

apply to obligated parties under this subpart if the refiner or foreign refiner 

meets all of the following criteria: 

(i) The refiner produced transportation fuel at its refineries by 

processing crude oil through refinery processing units from 

January 1, 2006 through December 31, 2006. 

(ii) The refiner employed an average of no more than 1,500 people, 

based on the average number of employees for all pay periods for 

calendar year 2006 for all subsidiary companies, all parent 

companies, all subsidiaries of the parent companies, and all joint 

venture partners. 

(iii) The refiner had a corporate-average crude oil capacity less than or 

equal to 155,000 barrels per calendar day (bpcd) for 2006. 

(2) The small refiner exemption shall apply to an approved small refiner 

unless that refiner chooses to waive this exemption (as described in 

paragraph (d) of this section). 

(d) (1) A refiner with approved small refiner status may, at any time, waive the 

small refiner exemption under paragraph (c) of this section upon 

notification to EPA. 

(2) A refiner’s notice to EPA that it intends to waive the small refiner 

exemption must be received by November 1 of a given year in order for 

the waiver to be effective for the following calendar year. The waiver will 
 461

be effective beginning on January 1 of the following calendar year, at 

which point the refiner will be subject to the renewable fuel standards of 

§80.1405 and the requirements that apply to obligated parties under this 

subpart. 

(3) The waiver must be sent to EPA at one of the addresses listed in paragraph 

(j) of this section. 

(e) Refiners who qualify as small refiners under this section and subsequently fail to 

meet all of the qualifying criteria as set out in paragraph (a) of this section are 

disqualified as small refiners as of the effective date of this subpart, except as 

provided under paragraphs (d) and (e)(2) of this section. 

(1) In the event such disqualification occurs, the refiner shall notify EPA in 

writing no later than 20 days following the disqualifying event. 

(2) Disqualification under this paragraph (e) shall not apply in the case of a 

merger between two approved small refiners. 

(f) If EPA finds that a refiner provided false or inaccurate information in its 

application for small refiner status under this subpart M, the refiner will be 

disqualified as a small refiner as of the effective date of this subpart. 

(g) Any refiner that acquires a refinery from another refiner with approved small 

refiner status under paragraph (a) of this section shall notify EPA in writing no 

later than 20 days following the acquisition. 

(h) Extensions of the small refiner temporary exemption.

(1) A small refiner may apply for an extension of the temporary exemption of 

paragraph (c)(1) of this section based on a showing of all the following: 

(i) Circumstances exist that impose disproportionate economic 

hardship on the refiner and significantly affects the refiner’s ability 

to comply with the RFS standards. 

(ii) The refiner has made best efforts to comply with the requirements 

of this subpart. 

(2) A refiner must apply, and be approved, for small refiner status under this 

section. 

(3) A small refiner’s hardship application must include all the following 

information: 

(i) A plan demonstrating how the refiner will comply with the 

requirements of §80.1405 (and all other requirements of this 

subpart applicable to obligated parties), as expeditiously as 

possible. 

(ii) A detailed description of the refinery configuration and operations 

including, at a minimum, all the following information: 

(A) The refinery's total crude capacity. 

(B) Total crude capacity of any other refineries owned by the 

same entity. 
 462

(C) Total volume of gasoline and diesel produced at the 

refinery. 

(D) Detailed descriptions of efforts to comply. 

(E) Bond rating of the entity that owns the refinery. 

(F) Estimated investment needed to comply with the 

requirements of this subpart. 

(4) A small refiner shall notify EPA in writing of any changes to its situation 

between approval of the extension application and the end of its approved 

extension period. 

(5) EPA may impose reasonable conditions on extensions of the temporary 

exemption, including reducing the length of such an extension, if 

conditions or situations change between approval of the application and 

the end of the approved extension period. 

(i) Applications for small refiner status, small refiner exemption waivers, or 

extensions of the small refiner temporary exemption under this section must be 

sent to one of the following addresses: 

(1) For US Mail: U.S. EPA, Attn: RFS2 Program, 6406J, 1200 Pennsylvania 

Avenue, NW, Washington, DC 20460. 

(2) For overnight or courier services: U.S. EPA, Attn: RFS2 Program, 6406J, 

1310 L Street, NW, 6th floor, Washington, DC 20005. (202) 343-9038. 

§ 80.1443 What are the opt-in provisions for noncontiguous states and 

territories?

(a) Alaska or a United States territory may petition the Administrator to opt-in to the 

program requirements of this subpart. 

 

(b) The Administrator will approve the petition if it meets the provisions of 

paragraphs (c) and (d) of this section. 

(c) The petition must be signed by the Governor of the state or his authorized 

representative (or the equivalent official of the territory). 

(d) (1) A petition submitted under this section must be received by EPA by 

November 1 for the state or territory to be included in the RFS program in 

the next calendar year.

(2) A petition submitted under this section should be sent to either of the 

following addresses: 

(i) For US Mail: U.S. EPA, Attn: RFS Program, 6406J, 1200 

Pennsylvania Avenue, NW, Washington, DC 20460. 

(ii) For overnight or courier services: U.S. EPA, Attn: RFS Program, 

6406J, 1310 L Street, NW, 6th floor, Washington, DC 20005. 

(202) 343-9038. 

 
 463

(e) Upon approval of the petition by the Administrator: 

(1) EPA shall calculate the standards for the following year, including the 

total gasoline and diesel fuel volume for the state or territory in question. 

(2) Beginning on January 1 of the next calendar year, all gasoline and diesel 

fuel refiners and importers in the state or territory for which a petition has 

been approved shall be obligated parties as defined in §80.1406. 

(3) Beginning on January 1 of the next calendar year, all renewable fuel 

producers in the state or territory for which a petition has been approved 

shall, pursuant to §80.1426(a)(2), be required to generate RINs and 

comply with other requirements of this subpart M that are applicable to 

producers of renewable fuel. 

§§ 80.1444-80.1448 [Reserved] 

§ 80.1449 What are the Production Outlook Report requirements?

(a) A registered renewable fuel producer or importer, for each of its facilities, must 

submit all the following information, as applicable, to EPA by March 31 of each 

year beginning in, 2010: 

(1) The type, or types, of renewable fuel expected to be produced or imported 

at each facility owned by the renewable fuel producer or importer. 

(2) The volume of each type of renewable fuel expected to be produced or 

imported at each facility. 

(3) The number of RINs expected to be generated by the renewable fuel 

producer or importer for each type of renewable fuel. 

(4) Information about all the following: 

(i) Existing and planned production capacity. 

(ii) Long-range plans for expansion of production capacity at existing 

facilities or construction of new facilities. 

(iii) Feedstocks and production processes to be used at each production 

facility. 

(iv) Changes to the facility that would raise or lower emissions of any 

greenhouse gases from the facility. 

(5) For expanded production capacity that is planned or underway at each 

existing facility, or new production facilities that are planned or underway, 

information on all the following, as available: 

(i) Strategic planning. 

(ii) Planning and front-end engineering. 

(iii) Detailed engineering and permitting. 

(iv) Procurement and construction. 

(v) Commissioning and startup. 

(6) Whether capital commitments have been made or are projected to be 

made. 
 464

(b) The information listed in paragraph (a) of this section shall include the reporting 

party’s best estimates for the five following calendar years. 

(c) Production outlook reports must provide an update of the progress in each of the 

areas listed in paragraph (a) of this section in comparison to information provided 

in previous year production outlook reports. 

(d) Production outlook reports shall be sent to one of the following addresses: 

(1) For US Mail: U.S. EPA, Attn: RFS2 Program- Production Outlook 

Reports, 6406J, 1200 Pennsylvania Avenue, NW, Washington, DC 20460. 

(2) For overnight or courier services: U.S. EPA, Attn: RFS2 ProgramProduction Outlook Reports, 6406J, 1310 L Street, NW, 6th floor, 

Washington, DC 20005. (202) 343-9038. 

§ 80.1450 What are the registration requirements under the RFS program?

(a) General provisions. Any obligated party described in §80.1406, and any exporter 

of renewable fuel described in §80.1430, must provide EPA with the information 

specified for registration under §80.76, if such information has not already been 

provided under the provisions of this part. An obligated party or an exporter of 

renewable fuel must receive EPA-issued identification numbers prior to engaging 

in any transaction involving RINs. Registration information may be submitted to 

EPA at any time after publication of this rule in the Federal Register, but must be 

submitted and accepted by the EPA by April 1, 2010, or 60 days prior to RIN 

ownership, whichever date comes later. 

(b) Producers. Any foreign or domestic producer of renewable fuel, regardless of 

whether RINs will be generated for that renewable fuel, must provide EPA the 

information specified under §80.76 if such information has not already been 

provided under the provisions of this part, and must receive EPA-issued company 

and facility identification numbers prior to generating or assigning any RINs. All 

the following registration information may be submitted to EPA at any time after 

promulgation of this rule in the Federal Register, but must be submitted and 

accepted by the EPA by April 1, 2010, or 60 days prior to a producer producing 

any renewable fuel, whichever date comes later, subject to this subpart: 

(1) A description of the types of renewable fuels and co-products produced at 

the facility and all the following for each product type: 

(i) A list of all the feedstocks the facility is capable of utilizing 

without significant modification to the existing facility. 

 (ii) A description of the facility’s renewable fuel production processes. 

 (iii) The facility’s renewable fuel production capacity as specified in 

applicable air permits issued by the U.S. Environmental Protection 

Agency, state, or local air pollution control agencies and that 

govern the construction and/or operation of the renewable fuel 

facility: 
 465

(A) Issued or revised no later than December 19, 2007 for 

facilities described in §80.1403(b). 

(B) Issued or revised no later than December 31, 2009 for 

facilities described in §80.1403(c). 

 (iv) Copies of applicable air permits issued by the U.S. Environmental 

Protection Agency, state, or local air pollution control agencies 

that provide evidence that such permits were issued prior to 

December 19, 2007 for facilities described in §80.1403(b), and 

prior to December 31, 2009 for facilities described in §80.1403(c). 

 (v) A list of the facility’s process energy sources. 

 (vi) Records relevant to generation of RINs from: 

 (A) Producers providing biogas, or electricity to transportation 

fueling facilities as described in §80.1426(f)(10); and 

 (B) Producers providing biogas, or electricity to transportation 

fueling facilities via commercial distribution systems as 

described in §80.1426(f)(11). 

(vii) For a producer of renewable fuel made from separated yard and 

food waste per §80.1426(f)(5)(i)(A). 

(A) The location of any municipal waste facility or other 

facility from which the waste stream consisting solely of 

separated yard or food waste is collected; and 

(B) A plan documenting how the waste will be collected and 

for ongoing verification that such waste consists only of 

separated food and yard wastes.

(viii) For a producer of renewable fuel made from separated yard and 

food waste per §80.1426(f)(5)(i)(B). 

(A) The location of the municipal waste facility from which the 

separated food and yard waste is collected. 

(B) A plan providing ongoing verification that there is 

reasonably practicable separation of recyclable paper, 

cardboard, textile, and non-biogenic wastes and which 

documents the following: 

 (1) Extent and nature of recycling that may have occurred 

prior to receipt of the waste material by the renewable 

fuel producer; 

 (2) Identification of available recycling technology and 

practices that are appropriate for recycling materials 

from the waste stream; and 

(3) Identification of the technology or practices selected 

including an explanation for such selection, and reasons 

why other technologies or practices were not. 

(C) Contracts relevant to non-biogenic materials and paper that 

are recycled from municipal waste streams as described in 

§80.1426(f)(5)(iii). 
 466

(D) Certification that recycling is conducted in a manner 

consistent with goals and requirements of applicable State 

and local laws relating to recycling and waste management. 

(2) An independent third party engineering review and written verification of 

the descriptions made pursuant to paragraph (b)(1) of this section. 

(i) The verifications required under this section must be conducted by 

a Professional Chemical Engineer who is based in the United 

States and is licensed by an appropriate state agency, unless the 

renewable fuel producer is a foreign producer subject to §80.1466. 

(ii) To be considered an independent third party under this paragraph 

(b)(2): 

(A) The third party shall not be operated by the renewable fuel 

producer or any subsidiary or employee of the renewable 

fuel producer. 

(B) The third party shall be free from any interest in the 

renewable fuel producer’s business. 

(C) The renewable fuel producer shall be free from any interest 

in the third party’s business. 

(D) Use of a third party that is debarred, suspended, or 

proposed for debarment pursuant to the Government-wide 

Debarment and Suspension regulations, 40 CFR part 32, or 

the Debarment, Suspension and Ineligibility provisions of 

the Federal Acquisition Regulations, 48 CFR, part 9, 

subpart 9.4, shall be deemed noncompliance with the 

requirements of this section. 

(iii) The independent third party shall retain all records pertaining to 

the verification required under this section for a period of five 

years from the date of creation and shall deliver such records to the 

Administrator upon request. 

(iv) The renewable fuel producer must retain records of the review and 

verification, as required in §80.1454(b)(6). 

 (3) A Fuel Supply Plan that includes all the following information:

(i) Name of source of each and every fuel that the renewable fuel 

producer intends to be co-fired or used in a fuel blend. 

(ii) Anticipated proportion of each fuel in the mix or in the fuel blend. 

(iii) Anticipated net heat content of each, including any expected 

seasonal variations, such as those due to moisture content or wood 

species. 

(iv) Seasonal variation, if any, of the fuel mix or blend. 

(v) An affidavit from the biogas supplier stating its intent to supply 

biogas to the renewable fuel producer, the quantity and energy 

content of the biogas that it intends to provide to the renewable 

fuel producer, and a statement that this volume of biogas will not 

be used for the creation of a Renewable Energy Credit, or of any 

other type of environmental or energy attribute or credit. 
 467

(c) Importers. Importers of renewable fuel must provide EPA the information 

specified under §80.76, if such information has not already been provided under 

the provisions of this part and must receive an EPA-issued company identification 

number prior to owning any RINs. Registration information may be submitted to 

EPA at any time after promulgation of this rule in the Federal Register, but must 

be submitted and accepted by EPA by April 1, 2010, or 60 days prior to an 

importer importing any renewable fuel, whichever dates comes later. 

(d) Registration updates. 

(1) Any producer of renewable fuel who makes changes to his facility that 

will qualify his renewable fuel for a renewable fuel category or D code as 

defined in §80.1425(g) that is not reflected in the producer’s registration 

information on file with EPA must update his registration information and 

submit a copy of an updated independent engineering review at least 60 

days prior to producing the new type of renewable fuel. 

(2) Any producer of renewable fuel who makes any other changes to a facility 

not affecting the renewable fuel category for which the producer is 

registered must update his registration information 7 days prior to the 

change. 

(3) All producers of renewable fuel must update registration information and 

submit a copy of an updated independent engineering review every 3 years 

after initial registration. 

(e) Any party who owns, intends to own RINs, or intends to allow another party to 

separate RINs as per §80.1440, but who is not covered by paragraphs (a), (b), or 

(d) of this section, must provide EPA the information specified under §80.76, if 

such information has not already been provided under the provisions of this part 

and must receive an EPA-issued company identification number prior to owning 

any RINs. Registration information may be submitted to EPA at any time after 

promulgation of this rule in the Federal Register, but must be submitted at least 30 

days prior to RIN ownership. 

(f) Renewable fuel producers described in Section 1403(b) or (c) that do not submit a 

complete facility registration within three years from (DATE OF PUBLICATION 

IN FR) will not qualify as a grandfathered facility and will be subject to the 20% 

GHG reduction standards. 

(g) Registration shall be on forms, and following policies, established by the 

Administrator. 

§ 80.1451 What are the reporting requirements under the RFS program?

(a) Obligated parties and exporters. Any obligated party described in §80.1406 or 

exporter of renewable fuel described in §80.1430 must submit to EPA reports 

according to the schedule, and containing all the information, that is set forth in 

this paragraph (a). 
 468

(1) Obligated party annual compliance reports for the previous compliance 

period shall be submitted by February 28 of each year and shall include all 

of the following information: 

(i) The obligated party’s name. 

(ii) The EPA company registration number. 

(iii) Whether the obligated party, as defined in §80.1406, is complying 

on a corporate (aggregate) or facility-by-facility basis. 

(iv) The EPA facility registration number, if complying on a facilityby-facility basis. 

(v) The production volume of all of the products listed in §80.1407(c) 

and (e) for the reporting year. 

(vi) The RVOs, as defined in §80.1427(a) for obligated parties and 

§80.1430(b) for exporters of renewable fuel, for the reporting year. 

(vii) Any deficit RVOs carried over from the previous year. 

(viii) The total current-year RINs by category of renewable fuel, as those 

fuels are defined in §80.1401 (i.e., cellulosic biofuel, biomassbased diesel, advanced biofuel, and renewable fuel), retired for 

compliance. 

(ix) The total prior-year RINs by renewable fuel category, as those 

fuels are defined in §80.1401, used for compliance. 

(x) The total cellulosic biofuel waiver credits used to meet the party’s 

cellulosic biofuel RVO. 

(xi) A list of all RINs retired for compliance in the reporting year. 

(A) RIN information provided by the EPA Moderated 

Transaction System (EMTS) that is retired to meet 

compliance conveyed via the EMTS as per §80.1452. 

(B) [Reserved] 

(xii) Any deficit RVO(s) carried into the subsequent year. 

(xiii) Any additional information that the Administrator may require. 

(2) The RIN transaction reports required under paragraph (c)(1) of this 

section. 

(3) The quarterly RIN activity reports required under paragraph (c)(2) of this 

section. 

(4) Reports required under this paragraph (a) must be signed and certified as 

meeting all the applicable requirements of this subpart by the owner or a 

responsible corporate officer of the obligated party. 

(b) Renewable fuel producers (domestic and foreign) and importers. Any domestic 

producer or importer of renewable fuel, or foreign renewable fuel producer who 

generates RINs, must submit to EPA reports according to the schedule, and 

containing all the information, that is set forth in this paragraph (b). 

(1) (i) For RINs generated beginning on April 1, 2010, RIN generation 

reports for each facility owned by the renewable fuel producer or 

importer shall be submitted according to the schedule specified in 

paragraph (g)(2) of this section. 
 469

(ii) The RIN generation reports shall include all the following 

information for each batch of renewable fuel produced, where 

“batch” means a discrete quantity of renewable fuel produced and 

assigned a unique batch-RIN per §80.1426(d): 

(A) The RIN generator’s name. 

(B) The EPA company registration number. 

(C) The renewable fuel producer EPA facility registration 

number. 

(D) The importer EPA facility registration number if 

applicable. 

(E) The applicable reporting period. 

(F) The quantity of RINs generated for each batch according to 

§80.1426. 

(G) The production date of each batch. 

(H) The category of renewable fuel of each batch, as defined in 

§80.1401. 

(I) Information related to the volume of denaturant and 

applicable equivalence value of each batch. 

(J) The volume of each batch produced. 

(K) The process(es) and feedstock(s) used and proportion of 

renewable volume attributable to each process and 

feedstock. 

(L) The type of co-products produced with each batch of 

renewable fuel. 

(M) The volume of co-products produced in each quarter. 

(N) A list of the RINs generated and an affirmation that the 

feedstock(s) used for each batch meets the definition of 

renewable biomass as defined in §80.1401. 

 (O) Any additional information the Administrator may require. 

(2) The RIN transaction reports required under paragraph (c)(1) of this 

section. 

(3) The RIN activity reports required under paragraph (c)(2) of this section. 

(4) Reports required under this paragraph (b) must be signed and certified as 

meeting all the applicable requirements of this subpart by the owner or a 

responsible corporate officer of the renewable fuel producer. 

(c) All RIN-owning parties. Any party, including any party specified in paragraphs 

(a) and (b) of this section, that owns RINs during a reporting period, must submit 

reports to EPA according to the schedule, and containing all the information, that 

is set forth in this paragraph (c). 

(1) (i) For RIN transactions beginning on April 1, 2010, RIN transaction 

reports listing each RIN transaction shall be submitted according to 

the schedule in paragraph (g)(2) of this section. 

(ii) As per §80.1452, RIN transaction information listing each RIN 

transaction shall be submitted to the EMTS. 
 470

(iii) Each report required by paragraph (c)(1)(i) of this section shall 

include all of the following information: 

(A) The submitting party’s name. 

(B) The party’s EPA company registration number. 

(C) [Reserved] 

(D) The applicable reporting period. 

(E) Transaction type (i.e., RIN buy, RIN sell, RIN separation, 

RIN retire, reinstated 2009 RIN). 

(F) Transaction date. 

(G) For a RIN purchase or sale, the trading partner’s name. 

(H) For a RIN purchase or sale, the trading partner’s EPA 

company registration number. For all other transactions, 

the submitting party’s EPA company registration number. 

(I) RIN subject to the transaction. 

(J) For a RIN purchase or sale, the per gallon RIN price and/or 

the per gallon renewable price if the RIN price is included. 

(K) The reason for retiring RINs, separating RINs, buying 

RINs, or selling RINs. 

(L) Any additional information that the Administrator may 

require. 

 (2) RIN activity reports shall be submitted to EPA according to the schedule 

specified in paragraph (g)(2) of this section. Each report shall summarize 

RIN activities for the reporting period, separately for RINs separated from 

a renewable fuel volume and RINs assigned to a renewable fuel volume. 

The quarterly RIN activity reports shall include all of the following 

information: 

(i) The submitting party’s name. 

(ii) The party’s EPA company registration number. 

(iii) The number of current-year RINs owned at the start of the month. 

(iv) The number of prior-year RINs owned at the start of the month. 

(v) The total current-year RINs purchased. 

(vi) The total prior-year RINs purchased. 

(vii) The total current-year RINs sold. 

(viii) The total prior-year RINs sold. 

(ix) The total current-year RINs retired. 

(x) The total prior-year RINs retired. 

(xi) The number of current-year RINs owned at the end of the quarter. 

(xii) The number of prior-year RINs owned at the end of the quarter. 

(xiii) The number of RINs generated. 

(xiv) For parties reporting RIN activity under this paragraph for RINs 

generated, but not assigned to a renewable fuel volume and/or 

RINs assigned to a volume of renewable fuel, and the volume of 

renewable fuel (in gallons) owned at the end of the quarter. 

 (xv) The total 2009 retired RINs reinstated. 

(xvi) Any additional information that the Administrator may require. 
 471

(3) All reports required under this paragraph (c) must be signed and certified 

as meeting all the applicable requirements of this subpart by the RIN 

owner or a responsible corporate officer of the RIN owner. 

(d) Producers of renewable electricity and biogas that is used for transportation as 

described in §1426(f)(10) shall submit quarterly reports that include the energy 

content produced and supplied to the transportation fueling facility. Reporting 

shall be in units of energy (for example, MMBtu or MW) based on metering of 

gas volume or electricity. 

(e) Producers of renewable electricity and biogas that is used for transportation and 

placed into commercial distribution systems as described in §1426(f)(11) shall 

submit quarterly reports that include the energy content produced and supplied to 

the transportation fueling facility. Reporting shall be in units of energy (for 

example, MMBtu or MW) based on metering of gas volume or electricity. 

(f) Producers of renewable fuel made from separated yard and food waste as 

described in §1426(f)(5), shall submit quarterly reports that include the amount of 

paper, cardboard and non-biogenic wastes separated from municipal solid waste 

that is recycled. Reporting shall be in units of weight. 

(g) Except for those producers subject to the aggregate compliance approach 

described in 40 CFR 80.1454(h), producers of renewable fuel and RIN-generating 

importers must submit quarterly reports according to the schedule in paragraph 

(g)(2) of this section that include all the following: 

(1) A summary of the types and volumes of feedstocks used in that quarter; 

(2) Maps or electronic data identifying the land from which each type of 

feedstock listed per paragraph (e)(1) above was harvested. 

(i) If maps or electronic data identifying a plot of land have been 

submitted previously, producers and RIN-generating importers 

may submit a cross-reference to that map or electronic data. 

(ii) [Reserved] 

(h) If EPA finds that the 2007 baseline amount of agricultural land has been 

exceeded, beginning on the first day of July of the following calendar year any 

domestic producers of renewable fuel as defined in §80.1401 who use planted 

crops and/or crop residue from existing agricultural lands must submit quarterly 

reports according to the schedule in paragraph (g)(2) of this section that include 

all the following: 

(1) A summary of the types and volumes of feedstocks used in that quarter; 

(2) Maps or electronic data identifying the land from which each type of 

feedstock listed per paragraph (f)(1) above was harvested. 

(i) If maps or electronic data identifying a plot of land have been 

submitted previously, producers and RIN-generating importers 

may submit a cross-reference to that map or electronic data. 

(ii) [Reserved] 
 472

(i) Report submission deadlines. The submission deadlines for reports shall be as 

follows: 

(1) [Reserved.] 

(2) Quarterly reports shall be submitted to EPA by the last day of the second 

month following the compliance period (i.e., the report covering January – 

March would be due by May 31st, the report covering April - June would 

be due by August 31st, the report covering July - September would be due 

by November 30th and the report covering October - December would be 

due by February 28th). 

(j) All reports required under this section shall be submitted on forms and following 

procedures prescribed by the Administrator. 

§ 80.1452 What are the requirements related to the EPA Moderated 

Transaction System (EMTS)?

(a) Each party required to report under this section must establish an account with the 

EPA Moderated Transaction System (EMTS) at least 60 days prior to engaging in 

any RIN transactions, or April 1, 2010, whichever is later. 

(b) Starting April 1, 2010, each time a domestic producer or importer of renewable 

fuel, or foreign renewable fuel producer who generates RINs, produces or imports 

a batch of renewable fuel, all the following information must be submitted to EPA 

within five (5) business days: 

(1) The renewable fuel producer’s or importer’s name. 

(2) The renewable fuel producer’s EPA company registration number. 

(3) The importer’s EPA company registration number if applicable. 

(4) The renewable fuel producer’s EPA facility registration number. 

(5) The importer’s EPA facility registration number. 

(6) Quantity of RINs generated for the batch. 

(7) The production date of the batch. 

(8) The category of renewable fuel of the batch, as defined in §80.1401. 

(9) Information related to the volume of denaturant and applicable 

equivalence value of each batch. 

(10) The volume of the batch. 

(11) The process(es) and feedstock(s) used and proportion of renewable 

volume attributable to each process and feedstock. 

(12) An affirmation that the feedstock(s) used for each batch meets the 

definition of renewable biomass as defined in §80.1401. 

(13) The type and volume of co-products produced with the batch of renewable 

fuel. 

(14) A list of the RINs generated and an affirmation that the feedstock(s) used 

for each batch meets the definition of renewable biomass as defined in 

§80.1401. 

(15) The batch number. 
 473

(16) Any additional information the Administrator may require. 

(c) Starting April 1, 2010, each time any party engages in a transaction involving 

RINs, all the following information must be submitted to EPA within five (5) 

business days: 

(1) The submitting party’s name. 

(2) The party’s EPA company registration number. 

(3) The generation year of the RINs. 

(4) The RIN assignment (Assigned or Separated) 

(5) The category, or D code, of the RIN (cellulosic biofuel D=3, biomassbased diesel D=4, advanced biofuel D=5, renewable fuel D=6, cellulosic 

diesel D=7). 

(6) Transaction type (i.e., RIN buy, RIN sell, RIN separation, RIN retire). 

(7) Transaction date. 

(8) For a RIN purchase or sale, the trading partner’s name. 

(9) For a RIN purchase or sale, the trading partner’s EPA company 

registration number. For all other transactions, the submitting party’s EPA 

company registration number. 

(10) For an assigned RIN purchase or sale, the renewable fuel volume 

associated with the sale. 

(11) The number of RINs for which a transaction is performed. 

(12) The per gallon RIN price or the per gallon renewable price if the RIN 

price is included 

(13) The reason for retiring RINs, separating RINs, buying RINs, or selling 

RINs. 

(14) Any additional information that the Administrator may require. 

(d) Report submissions. 

(1) EMTS generated quarterly reports shall be submitted to EPA by the last 

day of the second month following the compliance period (i.e., the report 

covering January – March would be due by May 31st, the report covering 

April - June would be due by August 31st, the report covering July - 

September would be due by November 30th and the report covering 

October - December would be due by February 28th). 

(2) Reports required must be signed and certified as meeting all the applicable 

requirements of this subpart by the owner or a responsible corporate 

officer of the obligated party. 

(e) All information required under this section shall be submitted on forms and 

following procedures prescribed by the Administrator. 

§ 80.1453 What are the product transfer document (PTD) requirements for the 

RFS program?
 474

(a) On each occasion when any party transfers ownership of renewable fuels subject 

to this subpart, the transferor must provide to the transferee documents identifying 

the renewable fuel and any assigned RINs which include all of the following 

information, as applicable: 

(1) The name and address of the transferor and transferee. 

(2) The transferor’s and transferee’s EPA company registration number. 

(3) The volume of renewable fuel that is being transferred. 

(4) The date of the transfer. 

(5) For separated or assigned RINs, the per gallon RIN price or the per gallon 

renewable price if the RIN price is included. 

(6) The quantity of RINs being traded. 

(7) The volume of renewable fuel that is being transferred. 

(8) Category and/or D code (cellulosic biofuel D=3, biomass-based diesel 

D=4, advanced biofuel D=5, renewable fuel D=6, cellulosic diesel D=7). 

 (9) Assignment and/or Assignment Code (Assigned or Separated). 

 (10) RIN generation year. 

 (11) The associated reason code for the sell or buy transaction. 

(12) Whether any RINs are assigned to the volume, as follows: 

(i) If the assigned RINs are being transferred on the same PTD used to 

transfer ownership of the renewable fuel, then the assigned RINs 

shall be listed on the PTD. 

(ii) If the assigned RINs are being transferred on a separate PTD from 

that which is used to transfer ownership of the renewable fuel, then 

the PTD which is used to transfer ownership of the renewable fuel 

shall state the number of gallon-RINs being transferred as well as a 

unique reference to the PTD which is transferring the assigned 

RINs. 

(iii) If no assigned RINs are being transferred with the renewable fuel, 

the PTD which is used to transfer ownership of the renewable fuel 

shall state "No assigned RINs transferred". 

(iv) If RINs have been separated from the renewable fuel or blend 

pursuant to §80.1429(b)(4), then all PTDs which are at any time 

used to transfer ownership of the renewable fuel or blend shall 

state “This volume of fuel must be used in the designated form, 

without further blending.”. 

(b) Except for transfers to truck carriers, retailers, or wholesale purchaser-consumers, 

product codes may be used to convey the information required under paragraphs 

(a)(1) through (a)(4) of this section if such codes are clearly understood by each 

transferee. 

(c) For fuels and fuel additives that are not registered as motor vehicle fuel under 40 

CFR Part 79, the PTD which is used to transfer ownership of the renewable fuel 

shall state "This volume of fuel may not be used as a motor vehicle fuel.”. 
 475

§ 80.1454 What are the recordkeeping requirements under the RFS program?

(a) Requirements for obligated parties. Beginning [insert effective date], any 

obligated party (as described at §80.1406) or exporter of renewable fuel (as 

described at §80.1401) must keep all of the following records: 

(1) Product transfer documents consistent with §80.1453 and associated with 

the obligated party’s activity, if any, as transferor or transferee of 

renewable fuel. 

(2) Copies of all reports submitted to EPA under §§80.1449 and 80.1451(a). 

(3) Records related to each RIN transaction, including all the following: 

(i) A list of the RINs owned, purchased, sold, separated, retired, or 

reinstated. 

(ii) The parties involved in each RIN transaction including the 

transferor, transferee, and any broker or agent. 

(iii) The date of the transfer of the RIN(s). 

(iv) Additional information related to details of the transaction and its 

terms. 

(4) Records related to the use of RINs (by facility, if applicable) for 

compliance, including all the following: 

(i) Methods and variables used to calculate the Renewable Volume 

Obligations pursuant to §80.1407 or §80.1430. 

(ii) List of RINs used to demonstrate compliance. 

(iii) Additional information related to details of RIN use for 

compliance. 

(5) Records related to the separation of assigned RINs from renewable 

volume. 

 (b) Requirements for all producers of renewable fuel. Beginning April 1, 2010, any 

domestic or RIN-generating foreign producer of a renewable fuel as defined in 

§80.1401 must keep all of the following records: 

(1) Product transfer documents consistent with §80.1453 and associated with 

the renewable fuel producer’s activity, if any, as transferor or transferee of 

renewable fuel. 

(2) Copies of all reports submitted to EPA under §§80.1449 and 80.1451(b). 

(3) Records related to the generation and assignment of RINs for each facility, 

including all of the following: 

(i) Batch volume in gallons. 

(ii) Batch number. 

(iii) RIN as assigned under §80.1426. 

(iv) Identification of batches by renewable category. 

(v) Date of production. 

(vi) Results of any laboratory analysis of batch chemical composition 

or physical properties. 

(vii) Additional information related to details of RIN generation. 

(4) Records related to each RIN transaction, including all of the following: 

(i) A list of the RINs owned, purchased, sold, retired, or reinstated. 
 476

(ii) The parties involved in each transaction including the transferor, 

transferee, and any broker or agent. 

(iii) The date of the transfer of the RIN(s). 

(iv) Additional information related to details of the transaction and its 

terms. 

(5) Records related to the production, importation, ownership, sale or use of 

any volume of renewable fuel or blend of renewable fuel and gasoline or 

diesel fuel that any party designates for use as transportation fuel, jet fuel, 

or home heating oil and the use of the fuel or blend as transportation fuel, 

jet fuel, or home heating oil without further blending, in the designated 

form. 

(6) Copies of registration documents required under §80.1450, including 

information on fuels and products, feedstocks, facility production 

processes and capacity, energy sources, and independent third party 

engineering review. 

(c) Additional requirements for imports of renewable fuel. Beginning April 1, 2010, 

any foreign producer of a renewable fuel or importer (as defined in §80.1401) that 

generates RINs must keep documents associated with feedstock purchases and 

transfers, sufficient to verify that feedstocks used are renewable biomass (as 

defined in §80.1401) if the importer generates RINs. 

(1) Renewable fuel producers that use feedstocks that are use planted crops or 

crop residue from existing agricultural land, planted trees or tree residue 

from actively managed tree plantations, slash and pre-commercial 

thinnings from forestlands or biomass obtained from wildland-urban 

interface must maintain all the following records to verify the location 

where these feedstocks were produced: 

(i) Maps or electronic data indentifying the boundaries of the land 

where the feedstock was produced. 

(ii) Bills of lading, product transfer documents or other commercial 

documents showing the quantity of feedstock purchased from each 

area identified in paragraph (c)(1)(i)(A) of this section, and 

showing each transfer of custody of the feedstock from the location 

where it was produced to the renewable fuel facility. 

(2) Renewable fuel producers who use planted crops or crop residue from 

existing agricultural land, or who use planted trees or tree residue from 

actively managed tree plantations must keep records that serve as evidence 

that the land from which the feedstock was obtained was actively managed 

or fallow, and nonforested, since December 19, 2007. The records must 

be provided by the feedstock producer and consist of at least one of the 

following documents: sales records for planted crops or trees, crop or tree 

residue, or livestock; purchasing records for fertilizer, weed control, or 

reseeding, including seeds, seedlings, or other nursery stock, together with 

other written documents connecting the land in question to these 

purchases; a written management plan for agricultural or silvicultural 

purposes; documentation of participation in an agricultural, or silvicultural 
 477

program sponsored by a Federal, state or local government agency; or 

documentation of land management in accordance with an agricultural or 

silvicultural product certification program, an agreement for land 

management consultation with a professional forester that identifies the 

land in question; or evidence of the existence and ongoing maintenance of 

a road system or other physical infrastructure designed and maintained for 

logging use, together with one of the aforementioned documents. 

(3) Renewable fuel producers that use any other type of renewable biomass 

must have documents from their feedstock supplier certifying that the 

feedstock qualifies as renewable biomass as defined in §80.1401, 

describing the feedstock and identifying the process that was used to 

generate the feedstock. 

(d) Requirements for domestic producers of renewable fuel. Except as provided in 

paragraph (i) of this section, beginning April 1, 2010, any domestic producer of 

renewable fuel as defined in §80.1401 must keep documents associated with 

feedstock purchases and transfers that identify where the feedstocks were 

produced and are sufficient to verify that feedstocks used are renewable biomass 

(as defined in §80.1401) if RINs are generated. 

(1) Renewable fuel producers that use feedstocks that are planted trees or tree 

residue from actively managed tree plantations, slash and pre-commercial 

thinnings from forestlands or biomass obtained from wildland-urban 

interface must maintain all the following records to verify the location 

where these feedstocks were produced: 

(i) Maps or electronic data indentifying the boundaries of the land 

where the feedstock was produced. 

(ii) Bills of lading, product transfer documents or other commercial 

documents showing the quantity of feedstock purchased from each 

area identified in paragraph (c)(1)(i)(A) of this section, and 

showing each transfer of custody of the feedstock from the location 

where it was produced to the renewable fuel facility. 

(2) Renewable fuel producers who use planted trees or slash from actively 

managed tree plantations must keep records that serve as evidence that the 

land from which the feedstock was obtained was cleared prior to 

December 19, 2007 and actively managed on December 19, 2007. The 

records must be provided by the feedstock producer and consist of at least 

one of the following documents: sales records for planted trees or tree 

residue; purchasing records for fertilizer, weed control, or reseeding, 

including seeds, seedlings, or other nursery stock, together with other 

written documents connecting the land in question to these purchases; a 

written management plan for silvicultural purposes; documentation of 

participation in a silvicultural program sponsored by a Federal, state or 

local government agency; or documentation of land management in 

accordance with a silvicultural product certification program, an 

agreement for land management consultation with a professional forester 

that identifies the land in question; or evidence of the existence and 
 478

ongoing maintenance of a road system or other physical infrastructure 

designed and maintained for logging use, together with one of the 

aforementioned documents. 

(3) Renewable fuel producers that use any other type of renewable biomass 

must have documents from their feedstock supplier certifying that the 

feedstock qualifies as renewable biomass as defined in §80.1401, 

describing the feedstock and identifying the process that was used to 

generate the feedstock. 

 (e) Additional requirements for imported renewable fuel. Beginning [insert effective 

date], any RIN-generating importer of a renewable fuel (as defined in §80.1401) 

must keep all of the following records: 

(1) Product transfer documents consistent with §80.1453 and associated with 

the renewable fuel importer’s activity, if any, as transferor or transferee of 

renewable fuel. 

(2) Copies of all reports submitted to EPA under §§80.1449 and 80.1451(b); 

however, duplicate records are not required. 

(3) Records related to the generation and assignment of RINs for each facility, 

including all of the following: 

(i) Batch volume in gallons. 

(ii) Batch number. 

(iii) RIN as assigned under §80.1426. 

(iv) Identification of batches by renewable category. 

(v) Date of import. 

(vi) Results of any laboratory analysis of batch chemical composition 

or physical properties. 

(vii) The EPA registration number of the foreign renewable fuel 

producers producing the fuel. 

(viii) Additional information related to details of RIN generation. 

(4) Records related to each RIN transaction, including all of the following: 

(i) A list of the RINs owned, purchased, sold, separated, retired, or 

resurrected. 

(ii) The parties involved in each transaction including the transferor, 

transferee, and any broker or agent. 

(iii) The date of the transfer of the RIN(s). 

(iv) Additional information related to details of the transaction and its 

terms. 

(5) Copies of registration documents required under §80.1450. 

(6) Records related to the import of any volume of renewable fuel that the 

importer designates for use as transportation fuel, jet fuel, or home heating 

oil. 

(f) Requirements for grandfathered production facilities. Beginning April 1, 2010, 

any production facility with a baseline volume of fuel that is not subject to the 

20% GHG threshold, pursuant to §80.1403(a), must keep all of the following: 

(1) Detailed engineering plans for the facility. 
 479

(2) Federal, State, and local preconstruction approvals and permitting. 

(3) Procurement and construction contracts and agreements. 

(4) Records of electricity consumption and energy use. 

(5) Records showing costs of additions, replacements, and repairs inclusive of 

labor costs conducted at the facility since December 19, 2007. 

(6) Records estimating the life of the existing facility. 

(g) Requirements for other parties that own RINs. Beginning April 1, 2010, any 

party, other than those parties covered in paragraphs (a) and (b) of this section, 

that owns RINs must keep all of the following records: 

(1) Product transfer documents consistent with §80.1453 and associated with 

the party’s activity, if any, as transferor or transferee of renewable fuel. 

(2) Copies of all reports submitted to EPA under §80.1451(c). 

(3) Records related to each RIN transaction by renewable fuel category, 

including all of the following: 

(i) A list of the RINs owned, purchased, sold, retired, or resurrected. 

(ii) The parties involved in each RIN transaction including the 

transferor, transferee, and any broker or agent. 

(iii) The date of the transfer of the RIN(s). 

(iv) Additional information related to details of the transaction and its 

terms. 

(4) Records related to any volume of renewable fuel that the party designated 

for use as transportation fuel, jet fuel, or home heating oil and from which 

RINs were separated pursuant to §80.1429(b)(4). 

(h) Aggregate compliance with renewable biomass requirement. Any domestic 

renewable fuel producer as defined in §80.1401 that uses planted crops or crop 

residue from agricultural land is subject to the aggregate compliance approach 

and is not required to maintain feedstock records unless EPA publishes a finding 

that the 2007 baseline amount of agricultural land has been exceeded. 

(1) Beginning with the 2010 compliance period, EPA will make a finding 

concerning whether the 2007 baseline amount of agricultural land has 

been exceeded and will publish this finding in the Federal Register by 

November 30 of the year preceding the compliance period. 

(2) If EPA finds that the 2007 baseline amount of agricultural land has been 

exceeded, beginning on the first day of July of the following calendar year 

any domestic producers of renewable fuel as defined in §80.1401 who use 

planted crops and/or crop residue from agricultural lands must keep all the 

following records: 

(i) Records that serve as evidence that the land from which the 

feedstock was obtained was actively managed or fallow, and 

nonforested on December 19, 2007. The records must be provided 

by the feedstock producer and consist of at least one of the 

following documents: sales records for planted crops, crop residue, 

livestock; purchasing records for fertilizer, weed control, or 

reseeding, including seeds, seedlings, or other nursery stock; a 
 480

written management plan for agricultural purposes; documentation 

of participation in an agricultural program sponsored by a Federal, 

state or local government agency; documentation of land 

management in accordance with an agricultural product 

certification program. 

(ii) Records to verify the location where the feedstocks were produced: 

(A) Maps or electronic data indentifying the boundaries of the 

land where the feedstock was produced; 

(B) Bills of lading, product transfer documents or other 

commercial documents showing the quantity of feedstock 

purchased from each area identified in paragraph 

(c)(1)(i)(A) of this section, and showing each transfer of 

custody of the feedstock from the location where it was 

produced to the renewable fuel facility. 

(i) Alternative renewable biomass tracking requirement. Any foreign or domestic 

renewable fuel producer or importer as defined in §80.1401 may comply with the 

following alternative renewable biomass tracking requirement instead of the 

recordkeeping requirements in paragraphs (c) through (e) of this section: 

(1) To comply with the alternative renewable biomass tracking requirement 

under this paragraph (i), a renewable fuel producer or importer must either 

arrange to have an independent third party conduct a comprehensive 

program of annual compliance surveys, or participate in the funding of an 

organization which arranged to have an independent third party conduct a 

comprehensive program of annual compliance surveys, to be carried out in 

accordance with a survey plan which has been approved by EPA. 

(2) The annual compliance surveys under this paragraph (i) must be all the 

following: 

(i) Planned and conducted by an independent surveyor that meets the 

requirements in §80.68(c)(13)(i). 

(ii) Conducted at renewable fuel production and import facilities and 

their feedstock suppliers. 

(iii) Representative of all renewable fuel producers and importers in the 

survey area. 

(iv) Designed to achieve at least the same level of quality assurance 

required in paragraphs (c) through (e) of this section. 

(3) The compliance survey program shall require the independent surveyor 

conducting the surveys to do all the following: 

(i) Conduct feedstock audits of renewable fuel production facilities in 

accordance with the survey plan approved under this paragraph (i), 

or immediately notify EPA of any refusal of these facilities to 

allow an audit to be conducted. 

(ii) Obtain the records and product transfer documents associated with 

the feedstocks being audited. 

(iii) Determine the feedstock supplier(s) that supplied the feedstocks to 

the renewable fuel producer. 
 481

(iv) Confirm that feedstocks used for renewable fuels under the RFS2 

program meet the definition of renewable biomass as defined in 

§80.1401. 

(v) Immediately notify EPA of any case where the feedstocks do not 

meet the definition of renewable biomass as defined in §80.1401; 

(vi) Immediately notify EPA of any instances where a renewable fuel 

producer or feedstock supplier fails to cooperate in the manner 

described in this section. 

(vii) Submit to EPA a report of each survey, within thirty days 

following the completion of each survey, such report to include all 

the following information: 

(A) The identification of the person who conducted the survey. 

(B) An attestation by the officer of the surveyor company that 

the survey was conducted in accordance with the survey 

plan and the survey results are accurate. 

(C) Identification of the parties for whom the survey was 

conducted. 

(D) The identification of the covered area surveyed. 

(E) The dates on which the survey was conducted. 

(F) The address of each facility at which the survey audit was 

conducted and the date of the audit. 

(G) A description of the methodology used to select the 

locations for survey audits and the number of audits 

conducted. 

(viii) Maintain all records relating to the survey audits conducted under 

this section (i) for a period of at least 5 years. 

(ix) At any time permit any representative of EPA to monitor the 

conduct of the surveys, including audit conducting, records 

reviews, and analysis. 

(4) A survey plan under this section (i) must include all the following: 

(i) Identification of the parties for whom the survey is to be 

conducted. 

(ii) Identification of the independent surveyor. 

(iii) A methodology for determining all the following: 

(A) When the audits will be conducted. 

(B) The audit locations. 

(C) The number of audits to be conducted during the annual 

compliance period. 

(iv) A process for notifying all feedstock suppliers in the affected area 

of the requirement in paragraph __ of this section. 

(v) Any other elements determined by EPA to be necessary to achieve 

the level of quality assurance required under paragraphs (c)-(e) of 

this section. 

(5) (i) Each renewable fuel producer and importer who participates in the 

alternative renewable biomass tracking under this section (i) must take all 

reasonable steps to ensure that each feedstock producer, aggregator, 
 482

distributor, or supplier cooperates with this program by allowing the 

independent surveyor to audit their facility and by providing to the 

independent surveyor and/or EPA, upon request, copies of management 

plans, product transfer documents, and other records or information 

regarding the source of any feedstocks received. 

(ii) Reasonable steps under paragraph (i)(5)(i) of this section must 

include, but typically should not be limited to: contractual 

agreements with feedstock producers, aggregators, distributors, 

and suppliers, which require them to cooperate with the 

independent surveyor and/or EPA in the manner described in 

paragraph (i)(5)(i) of this section. 

(6) The procedure for obtaining EPA approval of a survey plan under this 

paragraph (i), and for revocation of any such approval, are as follows: 

(i) A detailed survey plan which complies with the requirements of 

this paragraph (i) must be submitted to EPA, no later than 

September 1 of the year preceding the calendar year in which the 

surveys will be conducted. 

(ii) The survey plan must be signed by a responsible corporate officer 

of the renewable fuel producer or importer, or responsible officer 

of the organization which arranges to have an independent 

surveyor conduct a program of renewable biomass compliance 

surveys, as applicable. 

(iii) The survey plan must be sent to the following address: Director, 

Compliance and Innovative Strategies Division, U.S. 

Environmental Protection Agency, 1200 Pennsylvania Ave., NW 

(6406J), Washington, DC 20460. 

(iv) EPA will send a letter to the party submitting a survey plan under 

this section, either approving or disapproving the survey plan. 

(v) EPA may revoke any approval of a survey plan under this section 

for cause, including an EPA determination that the approved 

survey plan had proved inadequate in practice or that it was not 

diligently implemented. 

(vi) The approving official for an alternative quality assurance program 

under this section is the Director of the Compliance and Innovative 

Strategies Division, Office of Transportation and Air Quality. 

(vii) Any notifications required under this paragraph (i) must be 

directed to the officer designated in paragraph (i)(6)(iii) of this 

section. 

(7) (i) No later than December 1 of the year preceding the year in which 

the surveys will be conducted, the contract with the independent 

surveyor shall be in effect, and an amount of money necessary to 

carry out the entire survey plan shall be paid to the independent 

surveyor or placed into an escrow account with instructions to the 

escrow agent to pay the money to the independent surveyor during 

the course of the conduct of the survey plan. 
 483

(ii) No later than December 15 of the year preceding the year in which 

the surveys will be conducted, EPA must receive a copy of the 

contract with the independent surveyor, proof that the money 

necessary to carry out the survey plan has either been paid to the 

independent surveyor or placed into an escrow account, and, if 

placed into an escrow account, a copy of the escrow agreement, to 

be sent to the official designated in paragraph (i)(6)(iii) of this 

section. 

(8) A failure of any renewable fuel producers or importer to fulfill or cause to 

be fulfilled any of the requirements of this paragraph (i) will cause the 

option to use the alternative quality assurance requirements under this 

paragraph (i) to be void ab initio. 

(j) Beginning April 1, 2010, all parties must keep transaction information sent to 

EMTS in addition to the required records under paragraphs (a) through (e) of this 

section. 

(k) A renewable fuel producer that produces fuel from separated yard and food waste as 

described in §80.1426(f)(5) shall keep all the following additional records: 

(i) Contracts and documents memorializing the sale of paper, cardboard and 

non-biogenic material separated from municipal solid waste for recycling. 

(ii) Documents demonstrating the amounts by weight purchased of 

separated yard and food waste for use as a feedstock in producing 

renewable fuel. 

(iii) Such other records as may be requested by the Administrator. 

(l) A renewable fuel producer that produces biogas (including propane) or electricity 

produced from renewable biomass (renewable electricity) for purposes of 

transportation pursuant to §80.1426(f)(10) and (11), shall keep the following 

additional records: 

(i) Contracts and documents memorializing the sale of biogas or renewable 

electricity relied upon in §80.1426(f)(10) or (11), and the transfer of title 

of the biogas or renewable electricity and all associated environmental 

attributes from the point of generation to the transportation fueling facility. 

(ii) Documents demonstrating the volume and energy content of biogas, , or 

energy content of renewable electricity relied upon under §80.1426(f)(10) 

that was delivered to the transportation fueling facility. 

 (iii) Documents demonstrating the volume and energy content of biogas, or 

energy content of renewable electricity relied upon under §80.1426(f)(11) 

that was placed into the common carrier pipeline (for biogas and 

renewable propane) or transmission line (for renewable electricity). 

(iv) Documents demonstrating the volume and energy content of biogas, or 

energy content of renewable electricity used for transportation purposes at 

the point of distribution. 

(v) Affidavits from the biogas, or renewable electricity producer and all 

parties that held title to the biogas or renewable electricity confirming that 
 484

title and environmental attributes of to the biogas or renewable electricity 

relied upon under §80.1426(d)(10) and (11) were delivered to the 

transportation fueling facility and only to the transportation fueling 

facility. The renewable fuel provider shall obtain these affidavits at least 

once per calendar quarter. 

(vi) The biogas or renewable electricity producer’s Compliance Certification 

required under Title V of the Clean Air Act. 

(vii) Such other records as may be requested by the Administrator. 

(m) The records required under paragraphs (a) through (c) of this section and under 

§80.1453 shall be kept for five years from the date they were created, except that 

records related to transactions involving RINs shall be kept for five years from the 

date of transfer. 

(n) The records required under paragraphs (d) and (f) of this section shall be kept 

through calendar year 2022. 

(o) On request by EPA, the records required under this section and under §80.1453 

must be made available to the Administrator or the Administrator’s authorized 

representative. For records that are electronically generated or maintained, the 

equipment or software necessary to read the records shall be made available; or, if 

requested by EPA, electronic records shall be converted to paper documents. 

(p) The records required in paragraphs (b)(6) and (b)(7) of this section must be 

transferred with any renewable fuel sent to the importer of that renewable fuel by 

any foreign producer not generating RINs for his renewable fuel. 

§ 80.1455 What are the provisions for renewable fuel production facilities and 

importers who produce or import less than 10,000 gallons of 

renewable fuel per year? 

(a) Standard volume threshold. Renewable fuel production facilities located within 

the United States that produce less than 10,000 gallons of renewable fuel each 

year, and importers who import less than 10,000 gallons of renewable fuel each 

year, are not required to generate RINs or to assign RINs to batches of renewable 

fuel. Except as stated in paragraph (b) of this section, such production facilities 

and importers that do not generate and/or assign RINs to batches of renewable 

fuel are also exempt from all the following requirements of this subpart: 

(1) The registration requirements of §80.1450. 

(2) The reporting requirements of §80.1451. 

(3) The EMTS requirements of §80.1452. 

(4) The recordkeeping requirements of §80.1454. 

(5) The attest engagement requirements of §80.1464. 

(6) The production outlook report requirements of §80.1449. 
 485

(b) (1) Renewable fuel production facilities and importers who produce or import 

less than 10,000 gallons of renewable fuel each year and that generate 

and/or assign RINs to batches of renewable fuel are subject to the 

provisions of §§ 80.1449 through 80.1452, 80.1454, and 80.1464. 

(2) Renewable fuel production facilities and importers who produce or import 

less than 10,000 gallons of renewable fuel each year but wish to own RINs 

will be subject to all requirements stated in paragraphs (a)(1) through 

(a)(6) of this section, and all other applicable requirements of this subpart 

M. 

(c) Temporary volume threshold. Renewable fuel production facilities located within 

the United States that produce less than 125,000 gallons of renewable fuel each 

year are not required to generate RINs or to assign RINs to batches of renewable 

fuel for up to three years, beginning with the calendar year in which the 

production facility produces its first gallon of renewable fuel. Except as stated in 

paragraph (d) of this section, such production facilities that do not generate and/or 

assign RINs to batches of renewable fuel are also exempt from all the following 

requirements of this subpart for a maximum of three years: 

(1) The registration requirements of §80.1450. 

(2) The reporting requirements of §80.1451. 

(3) The EMTS requirements of §80.1452. 

(4) The recordkeeping requirements of §80.1454. 

(5) The attest engagement requirements of §80.1464. 

(6) The production outlook report requirements of §80.1449. 

(d) (1) Renewable fuel production facilities who produce less than 125,000 

gallons of renewable fuel each year and that generate and/or assign RINs 

to batches of renewable fuel are subject to the provisions of §§ 80.1449 

through 80.1452, 80.1454, and 80.1464. 

(2) Renewable fuel production facilities who produce less than 125,000 

gallons of renewable fuel each year but wish to own RINs will be subject 

to all requirements stated in paragraphs (c)(1) through (c)(6) of this 

section, and all other applicable requirements of this subpart M. 

§ 80.1456 What are the provisions for cellulosic biofuel waiver credits? 

(a) If EPA reduces the applicable volume of cellulosic biofuel pursuant to section 

211(o)(7)(D)(i) of the Clean Air Act (42 U.S.C. 7545(o)(7)(D)(i)) for any given 

compliance year, then EPA will provide cellulosic biofuel waiver credits for 

purchase for that compliance year. 

(1) The price of these cellulosic biofuel waiver credits will be set by EPA on 

an annual basis in accordance with paragraph (d) of this section. 

(2) The total cellulosic biofuel waiver credits available will be equal to the 

reduced cellulosic biofuel volume established by EPA for the compliance 

year. 
 486

(b) Use of cellulosic biofuel waiver credits.

(1) Cellulosic biofuel waiver credits are only valid for use in the compliance 

year that they are made available. 

(2) Cellulosic biofuel waiver credits are nonrefundable. 

(3) Cellulosic biofuel waiver credits are nontransferable except if forfeiting 

the cellulosic biofuel waiver credits to EPA. 

(4) Cellulosic biofuel waiver credits may only be used for an obligated party’s 

current year cellulosic biofuel RVO and not towards any prior year deficit 

cellulosic biofuel volume obligations. 

(c) Purchase of cellulosic biofuel waiver credits.

(1) Only parties with an RVO for cellulosic biofuel may purchase cellulosic 

biofuel waiver credits. 

(2) Cellulosic biofuel waiver credits shall be purchased from EPA at the time 

that a party submits its annual compliance report to EPA pursuant to 

§80.1451(a)(1). 

(3) Parties may not purchase more cellulosic biofuel waiver credits than their 

current year cellulosic biofuel RVO minus cellulosic biofuel RINs with a 

D code of 3 that they own. 

(4) Cellulosic biofuel waiver credits may only be used to meet an obligated 

party’s cellulosic biofuel RVO. 

(d) Setting the price of cellulosic biofuel waiver credits.

(1) The price for cellulosic biofuel waiver credits shall be set equal to the 

greater of: 

(i) $0.25 per cellulosic biofuel waiver credit, adjusted for inflation in 

comparison to calendar year 2008; or 

(ii) $3.00 less the wholesale price of gasoline per cellulosic biofuel 

waiver credit, adjusted for inflation in comparison to calendar year 

2008. 

(2) The wholesale price of gasoline will be calculated by averaging the most 

recent twelve monthly values for U.S. Total Gasoline Bulk Sales (Price) 

by All Sellers as provided by the Energy Information Administration that 

are available as of September 30 of the year preceding the compliance 

period. 

(3) The inflation adjustment will be calculated by comparing the most recent 

Consumer Price Index for All Urban Consumers (CPI-U) for All Items 

expenditure category as provided by the Bureau of Labor Statistics that is 

available as of September 30 of the year preceding the compliance period 

to the most recent comparable value reported prior to December 31, 2008. 

When EPA must set the price of cellulosic biofuel waiver credits for a 

compliance year, EPA will calculate the new amounts for paragraphs 

(d)(1)(i) and (ii) of this section for each year after 2008 and every month 

where data is available for the year preceding the compliance period. 
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(e) Cellulosic biofuel waiver credits under this section will only be able to be 

purchased on forms and following procedures prescribed by EPA. 

§§ 80.1457-80.1459 [Reserved] 

§ 80.1460 What acts are prohibited under the RFS program?

(a) Renewable fuels producer or importer violation. Except as provided in §80.1455, 

no party shall produce or import a renewable fuel without assigning the proper 

number of gallon-RINs or identifying it by a batch-RIN as required under 

§80.1426. 

(b) RIN generation and transfer violations. No party shall do any of the following: 

(1) Generate a RIN for a fuel that is not a renewable fuel, or for which the 

applicable renewable fuel volume was not produced. 

(2) Create or transfer to any party a RIN that is invalid under §80.1431. 

(3) Transfer to any party a RIN that is not properly identified as required 

under §80.1425. 

(4) Transfer to any party a RIN with a K code of 1 without transferring an 

appropriate volume of renewable fuel to the same party on the same day. 

(5) Introduce into commerce any renewable fuel produced from a feedstock or 

through a process that is not described in the party’s registration 

information. 

(c) RIN use violations. No party shall do any of the following: 

(1) Fail to acquire sufficient RINs, or use invalid RINs, to meet the party’s 

RVOs under §80.1427. 

(2) Fail to acquire sufficient RINs to meet the party’s RVOs under §80.1430. 

(3) Use a validly generated RIN to meet the party’s RVOs under §80.1427, or 

separate and transfer a validly generated RIN, where the party ultimately 

uses the renewable fuel volume associated with the RIN in an application 

other than for use as transportation fuel (as defined in §80.1401). 

(d) RIN retention violation. No party shall retain RINs in violation of the 

requirements in §80.1428(a)(5). 

(e) Causing a violation. No party shall cause another party to commit an act in 

violation of any prohibited act under this section. 

(f) Failure to meet a requirement. No party shall fail to meet any requirement that 

applies to that party under this subpart. 

§ 80.1461 Who is liable for violations under the RFS program?
 488

(a) Parties liable for violations of prohibited acts.

(1) Any party who violates a prohibition under §80.1460(a) through (d) is 

liable for the violation of that prohibition. 

(2) Any party who causes another person to violate a prohibition under 

§80.1460(a) through (d) is liable for a violation of §80.1460(e). 

(b) Parties liable for failure to meet other provisions of this subpart.

(1) Any party who fails to meet a requirement of any provision of this subpart 

is liable for a violation of that provision. 

(2) Any party who causes another party to fail to meet a requirement of any 

provision of this subpart is liable for causing a violation of that provision. 

(c) Parent corporation liability. Any parent corporation is liable for any violation of 

this subpart that is committed by any of its subsidiaries. 

(d) Joint venture liability. Each partner to a joint venture is jointly and severally 

liable for any violation of this subpart that is committed by the joint venture 

operation. 

§ 80.1462 [Reserved] 

§ 80.1463 What penalties apply under the RFS program?

(a) Any party who is liable for a violation under §80.1461 is subject a to civil penalty 

of up to $37,500, as specified in sections 205 and 211(d) of the Clean Air Act, for 

every day of each such violation and the amount of economic benefit or savings 

resulting from each violation. 

(b) Any party liable under §80.1461(a) for a violation of §80.1460(c) for failure to 

meet its RVOs, or §80.1460(e) for causing another party to fail to meet their 

RVOs, during any averaging period, is subject to a separate day of violation for 

each day in the averaging period. 

(c) Any party liable under §80.1461(b) for failure to meet, or causing a failure to 

meet, a requirement of any provision of this subpart is liable for a separate day of 

violation for each day such a requirement remains unfulfilled. 

§ 80.1464 What are the attest engagement requirements under the RFS 

program?

The requirements regarding annual attest engagements in §§80.125 through 80.127, and 

80.130, also apply to any attest engagement procedures required under this subpart M. In 
 489

addition to any other applicable attest engagement procedures, such as the requirements 

in §80.1465, the following annual attest engagement procedures are required under this 

subpart. 

(a) Obligated parties and exporters. The following attest procedures shall be 

completed for any obligated party as stated in §80.1406(a) or exporter of 

renewable fuel that is subject to the renewable fuel standard under §80.1405: 

(1) Annual compliance demonstration report.

(i) Obtain and read a copy of the annual compliance demonstration 

report required under §80.1451(a)(1) which contains information 

regarding all the following: 

(A) The obligated party’s volume of all products listed in 

§80.1407(c) and (f). 

(B) RVOs. 

(C) RINs used for compliance. 

(ii) Obtain documentation of any volumes of renewable fuel used in 

products listed in §80.1407(c) and (f) at the refinery or import 

facility or exported during the reporting year; compute and report 

as a finding the total volumes of renewable fuel represented in 

these documents. 

(iii) Compare the volumes of products listed in §80.1407(c) and (f) 

reported to EPA in the report required under §80.1451(a)(1) with 

the volumes, excluding any renewable fuel volumes, contained in 

the inventory reconciliation analysis under §80.133, and verify that 

the volumes reported to EPA agree with the volumes in the 

inventory reconciliation analysis. 

 (iv) Compute and report as a finding the obligated party’s or exporter’s 

RVOs, and any deficit RVOs carried over from the previous year 

or carried into the subsequent year, and verify that the values agree 

with the values reported to EPA. 

(v) Obtain the database, spreadsheet, or other documentation for all 

RINs by type of renewable fuel (as defined in §80.1401),used for 

compliance during the year being reviewed; calculate the total 

number of RINs associated with each type of renewable fuel (as 

defined in §80.1401) used for compliance by year of generation 

represented in these documents; state whether this information 

agrees with the report to EPA and report as a finding any 

exceptions. 

(2) RIN transaction reports.

(i) Obtain and read copies of a representative sample, selected in 

accordance with the guidelines in §80.127, of each RIN transaction 

type (RINs purchased, RINs sold, RINs retired, RINs reinstated) 

included in the RIN transaction reports required under 

§80.1451(a)(2) for the compliance year. 

(ii) Obtain contracts, invoices, or other documentation for the 

representative samples of RIN transactions; compute the 
 490

transaction types, transaction dates, and RINs traded; state whether 

the information agrees with the party’s reports to EPA and report 

as a finding any exceptions. 

 (3) RIN activity reports.

(i) Obtain and read copies of all quarterly RIN activity reports 

required under §80.1451(a)(3) for the compliance year. 

(ii) Obtain the database, spreadsheet, or other documentation used to 

generate the information in the RIN activity reports; compare the 

RIN transaction samples reviewed under paragraph (a)(2) of this 

section with the corresponding entries in the database or 

spreadsheet and report as a finding any discrepancies; compute the 

total number of current-year and prior-year RINs owned at the start 

and end of each quarter, purchased, sold, retired and reinstated, and 

for parties that reported RIN activity for RINs assigned to a 

volume of renewable fuel, the volume and type of renewable fuel 

(as defined in §80.1401) of renewable fuel owned at the end of 

each quarter; as represented in these documents; and state whether 

this information agrees with the party’s reports to EPA. 

(b) Renewable fuel producers and RIN-generating importers. The following attest 

procedures shall be completed for any renewable fuel producer or RIN-generating 

importer: 

(1) Renewable fuel production reports. 

(i) Obtain and read copies of the renewable fuel production reports 

required under §§80.1451(b)(1) and (e)(2) for the compliance year. 

(ii) Obtain production data for each renewable fuel batch by type of 

renewable fuel (as defined in §80.1401) that was produced or 

imported during the year being reviewed; compute the RIN 

numbers, production dates, types, volumes of denaturant and 

applicable equivalence values, and production volumes for each 

batch; state whether this information agrees with the party’s 

reports to EPA and report as a finding any exceptions. 

(iii) Verify that the proper number of RINs were generated and 

assigned for each batch of renewable fuel produced or imported, as 

required under §80.1426. 

(iv) Obtain product transfer documents for a representative sample, 

selected in accordance with the guidelines in §80.127, of 

renewable fuel batches produced or imported during the year being 

reviewed; verify that the product transfer documents contain the 

applicable information required under §80.1453; verify the 

accuracy of the information contained in the product transfer 

documents; report as a finding any product transfer document that 

does not contain the applicable information required under 

§80.1453. 

(v) Obtain documentation, as required under §80.1451(b)(6), 

associated with feedstock purchases and transfers for a 
 491

representative sample, selected in accordance with the guidelines 

in §80.127, of renewable fuel batches produced or imported during 

the year being reviewed. 

(A) If RINs were generated for a given batch of renewable fuel, 

verify that feedstocks used meet the definition of renewable 

biomass in §80.1401. 

(B) If no RINs were generated for a given batch of renewable 

fuel, verify that feedstocks used do not meet the definition 

of renewable biomass in §80.1401 or that there was another 

reason that the fuel produced without RINs was not 

renewable fuel. 

(2) RIN transaction reports. 

(i) Obtain and read copies of a representative sample, selected in 

accordance with the guidelines in §80.127, of each transaction type 

(RINs purchased, RINs sold, RINs retired, RINs reinstated) 

included in the RIN transaction reports required under 

§80.1451(b)(2) for the compliance year. 

(ii) Obtain contracts, invoices, or other documentation for the 

representative samples of RIN transactions; compute the 

transaction types, transaction dates, and the RINs traded; state 

whether this information agrees with the party’s reports to EPA 

and report as a finding any exceptions. 

(3) RIN activity reports. 

(i) Obtain and read copies of the quarterly RIN activity reports 

required under §80.1451(b)(3) for the compliance year. 

(ii) Obtain the database, spreadsheet, or other documentation used to 

generate the information in the RIN activity reports; compare the 

RIN transaction samples reviewed under paragraph (b)(2) of this 

section with the corresponding entries in the database or 

spreadsheet and report as a finding any discrepancies; compute the 

total number of current-year and prior-year RINs owned at the start 

and end of each quarter, purchased, sold, retired and reinstated, and 

for parties that reported RIN activity for RINs assigned to a 

volume of renewable fuel, the volume of renewable fuel owned at 

the end of each quarter, as represented in these documents; and 

state whether this information agrees with the party’s reports to 

EPA. 

(4) Independent Third Party Engineering Review.

(i) Obtain documentation of independent third party engineering 

reviews required under §80.1450(b)(2) and (3). 

(ii) Review and verify the written verification and records generated as 

part of the independent third party engineering review. 

(c) Other parties owning RINs. The following attest procedures shall be completed 

for any party other than an obligated party or renewable fuel producer or importer 

that owns any RINs during a calendar year: 
 492

 (1) RIN transaction reports. 

(i) Obtain and read copies of a representative sample, selected in 

accordance with the guidelines in §80.127, of each RIN transaction 

type (RINs purchased, RINs sold, RINs retired, RINs separated, 

RINs reinstated) included in the RIN transaction reports required 

under §80.1451(c)(1) for the compliance year. 

(ii) Obtain contracts, invoices, or other documentation for the 

representative samples of RIN transactions; compute the 

transaction types, transaction dates, and the RINs traded; state 

whether this information agrees with the party’s reports to EPA 

and report as a finding any exceptions. 

 (2) RIN activity reports. 

(i) Obtain and read copies of the quarterly RIN activity reports 

required under §80.1451(c)(2) for the compliance year. 

(ii) Obtain the database, spreadsheet, or other documentation used to 

generate the information in the RIN activity reports; compare the 

RIN transaction samples reviewed under paragraph (c)(1) of this 

section with the corresponding entries in the database or 

spreadsheet and report as a finding any discrepancies; compute the 

total number of current-year and prior-year RINs owned at the start 

and end of each quarter, purchased, sold, retired separated, and 

reinstated and for parties that reported RIN activity for RINs 

assigned to a volume of renewable fuel, the volume of renewable 

fuel owned at the end of each quarter, as represented in these 

documents; and state whether this information agrees with the 

party’s reports to EPA. 

(d) The following submission dates apply to the attest engagements required under 

this section: 

(1) For each compliance year, each party subject to the attest engagement 

requirements under this section shall cause the reports required under this 

section to be submitted to EPA by May 31 of the year following the 

compliance year. 

(2) [Reserved] 

(e) The party conducting the procedures under this section shall obtain a written 

representation from a company representative that the copies of the reports 

required under this section are complete and accurate copies of the reports filed 

with EPA. 

(f) The party conducting the procedures under this section shall identify and report as 

a finding the commercial computer program used by the party to track the data 

required by the regulations in this subpart, if any. 
 493

§ 80.1465 What are the additional requirements under this subpart for foreign 

small refiners, foreign small refineries, and importers of RFSFRFUEL?

 

(a) Definitions. The following additional definitions apply for this subpart: 

(1) Foreign refinery is a refinery that is located outside the United States, the 

Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American 

Samoa, and the Commonwealth of the Northern Mariana Islands 

(collectively referred to in this section as ‘‘the United States’’). 

(2) Foreign refiner is a party that meets the definition of refiner under §80.2(i) 

for a foreign refinery. 

(3) Foreign small refiner is a foreign refiner that has received a small refinery 

exemption under §80.1441 for one or more of its refineries or a foreign 

refiner that has received a small refiner exemption under §80.1442. 

(4) RFS-FRFUEL is transportation fuel produced at a foreign refinery that has 

received a small refinery exemption under §80.1441 or by a foreign refiner 

with a small refiner exemption under §80.1442. 

(5) Non-RFS-FRFUEL is one of the following: 

(i) Transportation fuel produced at a foreign refinery that has received 

a small refinery exemption under §80.1441 or by a foreign refiner 

with a small refiner exemption under §80.1442. 

(ii) Transportation fuel produced at a foreign refinery that has not 

received a small refinery exemption under §80.1441 or by a 

foreign refiner that has not received a small refiner exemption 

under §80.1442. 

(b) General requirements for RFS-FRFUEL for foreign small refineries and small 

refiners. A foreign refiner must do all the following: 

(1) Designate, at the time of production, each batch of transportation fuel 

produced at the foreign refinery that is exported for use in the United 

States as RFS-FRFUEL. 

(2) Meet all requirements that apply to refiners who have received a small 

refinery or small refiner exemption under this subpart. 

(c) Designation, foreign small refiner certification, and product transfer documents. 

(1) Any foreign small refiner must designate each batch of RFS-FRFUEL as 

such at the time the transportation fuel is produced. 

(2) On each occasion when RFS-FRFUEL is loaded onto a vessel or other 

transportation mode for transport to the United States, the foreign small 

refiner shall prepare a certification for each batch of RFS-FRFUEL that 

meets all the following requirements: 

(i) The certification shall include the report of the independent third 

party under paragraph (d) of this section, and all the following 

additional information: 

(A) The name and EPA registration number of the refinery that 

produced the RFS-FRFUEL. 
 494

(B) [Reserved] 

(ii) The identification of the transportation fuel as RFS-FRFUEL. 

(iii) The volume of RFS-FRFUEL being transported, in gallons. 

(3) On each occasion when any party transfers custody or title to any RFSFRFUEL prior to its being imported into the United States, it must include 

all the following information as part of the product transfer document 

information: 

(i) Designation of the transportation fuel as RFS-FRFUEL. 

(ii) The certification required under paragraph (c)(2) of this section. 

(d) Load port independent testing and refinery identification. 

(1) On each occasion that RFS-FRFUEL is loaded onto a vessel for transport 

to the United States the foreign small refiner shall have an independent 

third party do all the following: 

(i) Inspect the vessel prior to loading and determine the volume of any 

tank bottoms. 

(ii) Determine the volume of RFS-FRFUEL loaded onto the vessel 

(exclusive of any tank bottoms before loading). 

(iii) Obtain the EPA-assigned registration number of the foreign 

refinery. 

(iv) Determine the name and country of registration of the vessel used 

to transport the RFS-FRFUEL to the United States. 

(v) Determine the date and time the vessel departs the port serving the 

foreign refinery. 

(vi) Review original documents that reflect movement and storage of 

the RFS-FRFUEL from the foreign refinery to the load port, and 

from this review determine: 

(A) The refinery at which the RFS-FRFUEL was produced; and 

(B) That the RFS-FRFUEL remained segregated from NonRFS-FRFUEL and other RFS-FRFUEL produced at a 

different refinery. 

(2) The independent third party shall submit a report to all the following: 

(i) The foreign small refiner, containing the information required 

under paragraph (d)(1) of this section, to accompany the product 

transfer documents for the vessel. 

(ii) The Administrator, containing the information required under 

paragraph (d)(1) of this section, within thirty days following the 

date of the independent third party’s inspection. This report shall 

include a description of the method used to determine the identity 

of the refinery at which the transportation fuel was produced, 

assurance that the transportation fuel remained segregated as 

specified in paragraph (j)(1) of this section, and a description of the 

transportation fuel’s movement and storage between production at 

the source refinery and vessel loading. 

(3) The independent third party must do all the following: 
 495

(i) Be approved in advance by EPA, based on a demonstration of 

ability to perform the procedures required in this paragraph (d). 

(ii) Be independent under the criteria specified in §80.65(f)(2)(iii). 

(iii) Sign a commitment that contains the provisions specified in 

paragraph (f) of this section with regard to activities, facilities, and 

documents relevant to compliance with the requirements of this 

paragraph (d). 

(e) Comparison of load port and port of entry testing. 

(1) (i) Any small foreign small refiner or foreign small refinery and any 

United States importer of RFS-FRFUEL shall compare the results 

from the load port testing under paragraph (d) of this section, with 

the port of entry testing as reported under paragraph (k) of this 

section, for the volume of transportation fuel, except as specified in 

paragraph (e)(1)(ii) of this section. 

(ii) Where a vessel transporting RFS-FRFUEL off loads this 

transportation fuel at more than one United States port of entry, the 

requirements of paragraph (e)(1)(i) of this section do not apply at 

subsequent ports of entry if the United States importer obtains a 

certification from the vessel owner that the requirements of 

paragraph (e)(1)(i) of this section were met and that the vessel has 

not loaded any transportation fuel or blendstock between the first 

United States port of entry and the subsequent port of entry. 

(2) If the temperature-corrected volumes determined at the port of entry and at 

the load port differ by more than one percent, the United States importer 

and the foreign small refiner or foreign small refinery shall not treat the 

transportation fuel as RFS-FRFUEL and the importer shall include the 

volume of transportation fuel in the importer’s RFS compliance 

calculations. 

(f) Foreign refiner commitments. Any small foreign refiner shall commit to and 

comply with the provisions contained in this paragraph (f) as a condition to being 

approved for a small refinery or small refiner exemption under this subpart. 

(1) Any United States Environmental Protection Agency inspector or auditor 

must be given full, complete, and immediate access to conduct inspections 

and audits of the foreign refinery. 

(i) Inspections and audits may be either announced in advance by 

EPA, or unannounced. 

(ii) Access will be provided to any location where: 

(A) Transportation fuel is produced; 

(B) Documents related to refinery operations are kept; and 

(C) RFS-FRFUEL is stored or transported between the foreign 

refinery and the United States, including storage tanks, 

vessels and pipelines. 

(iii) Inspections and audits may be by EPA employees or contractors to 

EPA. 
 496

(iv) Any documents requested that are related to matters covered by 

inspections and audits must be provided to an EPA inspector or 

auditor on request. 

(v) Inspections and audits by EPA may include review and copying of 

any documents related to all the following: 

(A) The volume of RFS-FRFUEL. 

(B) The proper classification of transportation fuel as being 

RFS-FRFUEL or as not being RFS-FRFUEL. 

(C) Transfers of title or custody to RFS-FRFUEL. 

(D) Testing of RFS-FRFUEL. 

(E) Work performed and reports prepared by independent third 

parties and by independent auditors under the requirements 

of this section, including work papers. 

(vi) Inspections and audits by EPA may include interviewing 

employees. 

(vii) Any employee of the foreign refiner must be made available for 

interview by the EPA inspector or auditor, on request, within a 

reasonable time period. 

(viii) English language translations of any documents must be provided 

to an EPA inspector or auditor, on request, within 10 working 

days. 

(ix) English language interpreters must be provided to accompany EPA 

inspectors and auditors, on request. 

(2) An agent for service of process located in the District of Columbia shall be 

named, and service on this agent constitutes service on the foreign refiner 

or any employee of the foreign refiner for any action by EPA or otherwise 

by the United States related to the requirements of this subpart. 

(3) The forum for any civil or criminal enforcement action related to the 

provisions of this section for violations of the Clean Air Act or regulations 

promulgated thereunder shall be governed by the Clean Air Act, including 

the EPA administrative forum where allowed under the Clean Air Act. 

(4) United States substantive and procedural laws shall apply to any civil or 

criminal enforcement action against the foreign refiner or any employee of 

the foreign refiner related to the provisions of this section. 

(5) Submitting an application for a small refinery or small refiner exemption, 

or producing and exporting transportation fuel under such exemption, and 

all other actions to comply with the requirements of this subpart relating to 

such exemption constitute actions or activities covered by and within the 

meaning of the provisions of 28 U.S.C. 1605(a)(2), but solely with respect 

to actions instituted against the foreign refiner, its agents and employees in 

any court or other tribunal in the United States for conduct that violates 

the requirements applicable to the foreign refiner under this subpart, 

including conduct that violates the False Statements Accountability Act of 

1996 (18 U.S.C. 1001) and section 113(c)(2) of the Clean Air Act (42 

U.S.C. 7413). 
 497

(6) The foreign refiner, or its agents or employees, will not seek to detain or to 

impose civil or criminal remedies against EPA inspectors or auditors, 

whether EPA employees or EPA contractors, for actions performed within 

the scope of EPA employment related to the provisions of this section. 

(7) The commitment required by this paragraph (f) shall be signed by the 

owner or president of the foreign refiner business. 

(8) In any case where RFS-FRFUEL produced at a foreign refinery is stored 

or transported by another company between the refinery and the vessel 

that transports the RFS-FRFUEL to the United States, the foreign refiner 

shall obtain from each such other company a commitment that meets the 

requirements specified in paragraphs (f)(1) through (f)(7) of this section, 

and these commitments shall be included in the foreign refiner’s 

application for a small refinery or small refiner exemption under this 

subpart. 

(g) Sovereign immunity. By submitting an application for a small refinery or small 

refiner exemption under this subpart, or by producing and exporting 

transportation fuel to the United States under such exemption, the foreign refiner, 

and its agents and employees, without exception, become subject to the full 

operation of the administrative and judicial enforcement powers and provisions of 

the United States without limitation based on sovereign immunity, with respect to 

actions instituted against the foreign refiner, its agents and employees in any court 

or other tribunal in the United States for conduct that violates the requirements 

applicable to the foreign refiner under this subpart, including conduct that violates 

the False Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 

113(c)(2) of the Clean Air Act (42 U.S.C. 7413). 

(h) Bond posting. Any foreign refiner shall meet the requirements of this paragraph 

(h) as a condition to approval of a small foreign refinery or small foreign refiner 

exemption under this subpart. 

(1) The foreign refiner shall post a bond of the amount calculated using the 

following equation: 

Bond = G * $ 0.01 

Where: 

Bond = amount of the bond in United States dollars. 

G = the largest volume of transportation fuel produced at the foreign 

refinery and exported to the United States, in gallons, during a single 

calendar year among the most recent of the following calendar years, up to 

a maximum of five calendar years: the calendar year immediately 

preceding the date the refinery’s or refiner’s application is submitted, the 

calendar year the application is submitted, and each succeeding calendar 

year. 

(2) Bonds shall be posted by: 

(i) Paying the amount of the bond to the Treasurer of the United 

States; 
 498

(ii) Obtaining a bond in the proper amount from a third party surety 

agent that is payable to satisfy United States administrative or 

judicial judgments against the foreign refiner, provided EPA 

agrees in advance as to the third party and the nature of the surety 

agreement; or 

(iii) An alternative commitment that results in assets of an appropriate 

liquidity and value being readily available to the United States, 

provided EPA agrees in advance as to the alternative commitment. 

(3) Bonds posted under this paragraph (h) shall: 

(i) Be used to satisfy any judicial judgment that results from an 

administrative or judicial enforcement action for conduct in 

violation of this subpart, including where such conduct violates the 

False Statements Accountability Act of 1996 (18 U.S.C. 1001) and 

section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413); 

(ii) Be provided by a corporate surety that is listed in the United States 

Department of Treasury Circular 570 ‘‘Companies Holding 

Certificates of Authority as Acceptable Sureties on Federal 

Bonds’’; and 

(iii) Include a commitment that the bond will remain in effect for at 

least five years following the end of latest annual reporting period 

that the foreign refiner produces transportation fuel pursuant to the 

requirements of this subpart. 

(4) On any occasion a foreign refiner bond is used to satisfy any judgment, the 

foreign refiner shall increase the bond to cover the amount used within 90 

days of the date the bond is used. 

(5) If the bond amount for a foreign refiner increases, the foreign refiner shall 

increase the bond to cover the shortfall within 90 days of the date the bond 

amount changes. If the bond amount decreases, the foreign refiner may 

reduce the amount of the bond beginning 90 days after the date the bond 

amount changes. 

(i) English language reports. Any document submitted to EPA by a foreign refiner 

shall be in English, or shall include an English language translation. 

(j) Prohibitions. 

(1) No party may combine RFS-FRFUEL with any Non-RFS-FRFUEL, and 

no party may combine RFS-FRFUEL with any RFS-FRFUEL produced at 

a different refinery, until the importer has met all the requirements of 

paragraph (k) of this section. 

(2) No foreign refiner or other party may cause another party to commit an 

action prohibited in paragraph (j)(1) of this section, or that otherwise 

violates the requirements of this section. 

(k) United States importer requirements. Any United States importer of RFSFRFUEL shall meet the following requirements: 
 499

(1) Each batch of imported RFS-FRFUEL shall be classified by the importer 

as being RFS-FRFUEL. 

(2) Transportation fuel shall be classified as RFS-FRFUEL according to the 

designation by the foreign refiner if this designation is supported by 

product transfer documents prepared by the foreign refiner as required in 

paragraph (c) of this section. Additionally, the importer shall comply with 

all requirements of this subpart applicable to importers. 

(3) For each transportation fuel batch classified as RFS-FRFUEL, any United 

States importer shall have an independent third party do all the following: 

(i) Determine the volume of transportation fuel in the vessel. 

(ii) Use the foreign refiner’s RFS-FRFUEL certification to determine 

the name and EPA-assigned registration number of the foreign 

refinery that produced the RFS-FRFUEL. 

(iii) Determine the name and country of registration of the vessel used 

to transport the RFS-FRFUEL to the United States. 

(iv) Determine the date and time the vessel arrives at the United States 

port of entry. 

(4) Any importer shall submit reports within 30 days following the date any 

vessel transporting RFS-FRFUEL arrives at the United States port of entry 

to: 

(i) The Administrator, containing the information determined under 

paragraph (k)(3) of this section; and 

(ii) The foreign refiner, containing the information determined under 

paragraph (k)(3)(i) of this section, and including identification of 

the port at which the product was off loaded. 

(5) Any United States importer shall meet all other requirements of this 

subpart for any imported transportation fuel that is not classified as RFSFRFUEL under paragraph (k)(2) of this section. 

(l) Truck imports of RFS-FRFUEL produced at a foreign refinery. 

(1) Any refiner whose RFS-FRFUEL is transported into the United States by 

truck may petition EPA to use alternative procedures to meet all the 

following requirements: 

(i) Certification under paragraph (c)(2) of this section. 

(ii) Load port and port of entry testing requirements under paragraphs 

(d) and (e) of this section. 

(iii) Importer testing requirements under paragraph (k)(3) of this 

section. 

(2) These alternative procedures must ensure RFS-FRFUEL remains 

segregated from Non-RFS-FRFUEL until it is imported into the United 

States. The petition will be evaluated based on whether it adequately 

addresses all the following: 

(i) Provisions for monitoring pipeline shipments, if applicable, from 

the refinery, that ensure segregation of RFS-FRFUEL from that 

refinery from all other transportation fuel. 
 500

(ii) Contracts with any terminals and/or pipelines that receive and/or 

transport RFS-FRFUEL that prohibit the commingling of RFSFRFUEL with Non-RFS-FRFUEL or RFS-FRFUEL from other 

foreign refineries. 

(iii) Attest procedures to be conducted annually by an independent 

third party that review loading records and import documents 

based on volume reconciliation, or other criteria, to confirm that all 

RFS-FRFUEL remains segregated throughout the distribution 

system. 

(3) The petition described in this section must be submitted to EPA along with 

the application for a small refinery or small refiner exemption under this 

subpart. 

(m) Additional attest requirements for importers of RFS-FRFUEL. The following 

additional procedures shall be carried out by any importer of RFS-FRFUEL as 

part of the attest engagement required for importers under this subpart M. 

(1) Obtain listings of all tenders of RFS-FRFUEL. Agree the total volume of 

tenders from the listings to the transportation fuel inventory reconciliation 

analysis required in §80.133(b), and to the volumes determined by the 

third party under paragraph (d) of this section. 

(2) For each tender under paragraph (m)(1) of this section, where the 

transportation fuel is loaded onto a marine vessel, report as a finding the 

name and country of registration of each vessel, and the volumes of RFSFRFUEL loaded onto each vessel. 

(3) Select a sample from the list of vessels identified per paragraph (m)(2) of 

this section used to transport RFS-FRFUEL, in accordance with the 

guidelines in §80.127, and for each vessel selected perform all the 

following: 

(i) Obtain the report of the independent third party, under paragraph 

(d) of this section. 

(A) Agree the information in these reports with regard to vessel 

identification and transportation fuel volume. 

(B) Identify, and report as a finding, each occasion the load 

port and port of entry volume results differ by more than 

the amount allowed in paragraph (e)(2) of this section, and 

determine whether all of the requirements of paragraph 

(e)(2) of this section have been met. 

(ii) Obtain the documents used by the independent third party to 

determine transportation and storage of the RFS-FRFUEL from the 

refinery to the load port, under paragraph (d) of this section. 

Obtain tank activity records for any storage tank where the RFSFRFUEL is stored, and pipeline activity records for any pipeline 

used to transport the RFS-FRFUEL prior to being loaded onto the 

vessel. Use these records to determine whether the RFS-FRFUEL 

was produced at the refinery that is the subject of the attest 

engagement, and whether the RFS-FRFUEL was mixed with any 
 501

Non-RFS-FRFUEL or any RFS-FRFUEL produced at a different 

refinery. 

(4) Select a sample from the list of vessels identified per paragraph (m)(2) of 

this section used to transport RFS-FRFUEL, in accordance with the 

guidelines in §80.127, and for each vessel selected perform all the 

following: 

(i) Obtain a commercial document of general circulation that lists 

vessel arrivals and departures, and that includes the port and date 

of departure of the vessel, and the port of entry and date of arrival 

of the vessel. 

(ii) Agree the vessel’s departure and arrival locations and dates from 

the independent third party and United States importer reports to 

the information contained in the commercial document. 

(5) Obtain separate listings of all tenders of RFS-FRFUEL, and perform all 

the following: 

(i) Agree the volume of tenders from the listings to the transportation 

fuel inventory reconciliation analysis in §80.133(b). 

(ii) Obtain a separate listing of the tenders under this paragraph (m)(5) 

where the transportation fuel is loaded onto a marine vessel. Select 

a sample from this listing in accordance with the guidelines in 

§80.127, and obtain a commercial document of general circulation 

that lists vessel arrivals and departures, and that includes the port 

and date of departure and the ports and dates where the 

transportation fuel was off loaded for the selected vessels. 

Determine and report as a finding the country where the 

transportation fuel was off loaded for each vessel selected. 

(6) In order to complete the requirements of this paragraph (m), an auditor 

shall do all the following: 

(i) Be independent of the foreign refiner or importer. 

(ii) Be licensed as a Certified Public Accountant in the United States 

and a citizen of the United States, or be approved in advance by 

EPA based on a demonstration of ability to perform the procedures 

required in §§ 80.125 through 80.127, 80.130, 80.1464, and this 

paragraph (m). 

(iii) Sign a commitment that contains the provisions specified in 

paragraph (f) of this section with regard to activities and 

documents relevant to compliance with the requirements of §§ 

80.125 through 80.127, 80.130, 80.1464, and this paragraph (m). 

(n) Withdrawal or suspension of foreign small refiner or foreign small refinery status. 

EPA may withdraw or suspend a foreign refiner’s small refinery or small refiner 

exemption where: 

(1) A foreign refiner fails to meet any requirement of this section; 

(2) A foreign government fails to allow EPA inspections as provided in 

paragraph (f)(1) of this section; 
 502

(3) A foreign refiner asserts a claim of, or a right to claim, sovereign 

immunity in an action to enforce the requirements in this subpart; or 

(4) A foreign refiner fails to pay a civil or criminal penalty that is not satisfied 

using the foreign refiner bond specified in paragraph (h) of this section. 

(o) Additional requirements for applications, reports and certificates. Any 

application for a small refinery or small refiner exemption, alternative procedures 

under paragraph (l) of this section, any report, certification, or other submission 

required under this section shall be: 

(1) Submitted in accordance with procedures specified by the Administrator, 

including use of any forms that may be specified by the Administrator. 

(2) Signed by the president or owner of the foreign refiner company, or by 

that party’s immediate designee, and shall contain the following 

declaration: 

 “I hereby certify: (1) That I have actual authority to sign on behalf of and 

to bind [insert name of foreign refiner] with regard to all statements 

contained herein; (2) that I am aware that the information contained herein 

is being Certified, or submitted to the United States Environmental 

Protection Agency, under the requirements of 40 CFR part 80, subpart M, 

and that the information is material for determining compliance under 

these regulations; and (3) that I have read and understand the information 

being Certified or submitted, and this information is true, complete and 

correct to the best of my knowledge and belief after I have taken 

reasonable and appropriate steps to verify the accuracy thereof. I affirm 

that I have read and understand the provisions of 40 CFR part 80, subpart 

M, including 40 CFR 80.1465 apply to [INSERT NAME OF FOREIGN 

REFINER]. Pursuant to Clean Air Act section 113(c) and 18 U.S.C. 1001, 

the penalty for furnishing false, incomplete or misleading information in 

this certification or submission is a fine of up to $10,000 U.S., and/or 

imprisonment for up to five years.”. 

§ 80.1466 What are the additional requirements under this subpart for foreign 

producers and importers of renewable fuels?

 

(a) Foreign producer of renewable fuel. For purposes of this subpart, a foreign 

producer of renewable fuel is a party located outside the United States, the 

Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and 

the Commonwealth of the Northern Mariana Islands (collectively referred to in 

this section as ‘‘the United States’’) that has been approved by EPA to produce 

and export renewable fuel to the United States, hereinafter referred to as a 

“foreign producer” under this section. 

 

(b) General requirements. An approved foreign producer under this section must 

meet all requirements that apply to renewable fuel producers under this subpart. 
 503

(c) Designation, foreign producer certification, and product transfer documents. 

(1) Any approved foreign producer under this section that generates RINs 

must designate each batch of renewable fuel as “RFS-FRRF” at the time 

the renewable fuel is produced. 

(2) On each occasion when RFS-FRRF is loaded onto a vessel or other 

transportation mode for transport to the United States, the RIN-generating 

foreign producer shall prepare a certification for each batch of RFS-FRRF; 

the certification shall include the report of the independent third party 

under paragraph (d) of this section, and all the following additional 

information: 

(i) The name and EPA registration number of the company that 

produced the RFS-FRRF. 

(ii) The identification of the renewable fuel as RFS-FRRF. 

(iii) The volume of RFS-FRRF being transported, in gallons. 

(3) On each occasion when any party transfers custody or title to any RFSFRRF prior to its being imported into the United States, it must include all 

the following information as part of the product transfer document 

information: 

(i) Designation of the renewable fuel as RFS-FRRF. 

(ii) The certification required under paragraph (c)(2) of this section. 

(d) Load port independent testing and refinery identification. 

(1) On each occasion that RFS-FRRF is loaded onto a vessel for transport to 

the United States the RIN-generating foreign producer shall have an 

independent third party do all the following: 

(i) Inspect the vessel prior to loading and determine the volume of any 

tank bottoms. 

(ii) Determine the volume of RFS-FRRF loaded onto the vessel 

(exclusive of any tank bottoms before loading). 

(iii) Obtain the EPA-assigned registration number of the foreign 

producer. 

(iv) Determine the name and country of registration of the vessel used 

to transport the RFS-FRRF to the United States. 

(v) Determine the date and time the vessel departs the port serving the 

foreign producer. 

(vi) Review original documents that reflect movement and storage of 

the RFS-FRRF from the RIN-generating foreign producer to the 

load port, and from this review determine all the following: 

(A) The facility at which the RFS-FRRF was produced. 

(B) That the RFS-FRRF remained segregated from Non-RFSFRRF and other RFS-FRRF produced by a different foreign 

producer. 

 (2) The independent third party shall submit a report to the following: 

(i) The RIN-generating foreign producer, containing the information 

required under paragraph (d)(1) of this section, to accompany the 

product transfer documents for the vessel. 
 504

(ii) The Administrator, containing the information required under 

paragraph (d)(1) of this section, within thirty days following the 

date of the independent third party’s inspection. This report shall 

include a description of the method used to determine the identity 

of the foreign producer facility at which the renewable fuel was 

produced, assurance that the renewable fuel remained segregated 

as specified in paragraph (j)(1) of this section, and a description of 

the renewable fuel’s movement and storage between production at 

the source facility and vessel loading. 

(3) The independent third party must: 

(i) Be approved in advance by EPA, based on a demonstration of 

ability to perform the procedures required in this paragraph (d); 

(ii) Be independent under the criteria specified in §80.65(e)(2)(iii); and 

(iii) Sign a commitment that contains the provisions specified in 

paragraph (f) of this section with regard to activities, facilities and 

documents relevant to compliance with the requirements of this 

paragraph (d). 

(e) Comparison of load port and port of entry testing. 

(1) (i) Any RIN-generating foreign producer and any United States 

importer of RFS-FRRF shall compare the results from the load port 

testing under paragraph (d) of this section, with the port of entry 

testing as reported under paragraph (k) of this section, for the 

volume of renewable fuel, except as specified in paragraph 

(e)(1)(ii) of this section. 

(ii) Where a vessel transporting RFS-FRRF off loads the renewable 

fuel at more than one United States port of entry, the requirements 

of paragraph (e)(1)(i) of this section do not apply at subsequent 

ports of entry if the United States importer obtains a certification 

from the vessel owner that the requirements of paragraph (e)(1)(i) 

of this section were met and that the vessel has not loaded any 

renewable fuel between the first United States port of entry and the 

subsequent port of entry. 

(2) (i) If the temperature-corrected volumes determined at the port of 

entry and at the load port differ by more than one percent, the 

number of RINs associated with the renewable fuel shall be 

calculated based on the lesser of the two volumes in paragraph 

(e)(1)(i) of this section. 

(ii) Where the port of entry volume is the lesser of the two volumes in 

paragraph (e)(1)(i) of this section, the importer shall calculate the 

difference between the number of RINs originally assigned by the 

foreign producer and the number of RINs calculated under 

§80.1426 for the volume of renewable fuel as measured at the port 

of entry, and retire that amount of RINs in accordance with 

paragraph (k)(4) of this section. 

 
 505

(f) Foreign producer commitments. Any foreign producer, whether generating RINs 

or not, shall commit to and comply with the provisions contained in this 

paragraph (f) as a condition to being approved as a foreign producer under this 

subpart. 

(1) Any United States Environmental Protection Agency inspector or auditor 

must be given full, complete, and immediate access to conduct inspections 

and audits of the foreign producer facility. 

(i) Inspections and audits may be either announced in advance by 

EPA, or unannounced. 

(ii) Access will be provided to any location where: 

(A) Renewable fuel is produced; 

(B) Documents related to renewable fuel producer operations 

are kept; and 

(C) RFS-FRRF is stored or transported between the foreign 

producer and the United States, including storage tanks, 

vessels and pipelines. 

(iii) Inspections and audits may be by EPA employees or contractors to 

EPA. 

(iv) Any documents requested that are related to matters covered by 

inspections and audits must be provided to an EPA inspector or 

auditor on request. 

(v) Inspections and audits by EPA may include review and copying of 

any documents related to the following: 

(A) The volume of RFS-FRRF. 

(B) The proper classification of renewable fuel as being RFSFRRF. 

(C) Transfers of title or custody to RFS-FRRF. 

(D) Work performed and reports prepared by independent third 

parties and by independent auditors under the requirements 

of this section, including work papers. 

(vi) Inspections and audits by EPA may include interviewing 

employees. 

(vii) Any employee of the foreign producer must be made available for 

interview by the EPA inspector or auditor, on request, within a 

reasonable time period. 

(viii) English language translations of any documents must be provided 

to an EPA inspector or auditor, on request, within 10 working 

days. 

(ix) English language interpreters must be provided to accompany EPA 

inspectors and auditors, on request. 

(2) An agent for service of process located in the District of Columbia shall be 

named, and service on this agent constitutes service on the foreign 

producer or any employee of the foreign producer for any action by EPA 

or otherwise by the United States related to the requirements of this 

subpart. 
 506

(3) The forum for any civil or criminal enforcement action related to the 

provisions of this section for violations of the Clean Air Act or regulations 

promulgated thereunder shall be governed by the Clean Air Act, including 

the EPA administrative forum where allowed under the Clean Air Act. 

(4) United States substantive and procedural laws shall apply to any civil or 

criminal enforcement action against the foreign producer or any employee 

of the foreign producer related to the provisions of this section. 

(5) Applying to be an approved foreign producer under this section, or 

producing or exporting renewable fuel under such approval, and all other 

actions to comply with the requirements of this subpart relating to such 

approval constitute actions or activities covered by and within the meaning 

of the provisions of 28 U.S.C. 1605(a)(2), but solely with respect to 

actions instituted against the foreign producer, its agents and employees in 

any court or other tribunal in the United States for conduct that violates 

the requirements applicable to the foreign producer under this subpart, 

including conduct that violates the False Statements Accountability Act of 

1996 (18 U.S.C. 1001) and section 113(c)(2) of the Clean Air Act (42 

U.S.C. 7413). 

(6) The foreign producer, or its agents or employees, will not seek to detain or 

to impose civil or criminal remedies against EPA inspectors or auditors, 

whether EPA employees or EPA contractors, for actions performed within 

the scope of EPA employment related to the provisions of this section. 

(7) The commitment required by this paragraph (f) shall be signed by the 

owner or president of the foreign producer company. 

(8) In any case where RFS-FRRF produced at a foreign producer facility is 

stored or transported by another company between the refinery and the 

vessel that transports the RFS-FRRF to the United States, the foreign 

producer shall obtain from each such other company a commitment that 

meets the requirements specified in paragraphs (f)(1) through (7) of this 

section, and these commitments shall be included in the foreign producer’s 

application to be an approved foreign producer under this subpart. 

 

(g) Sovereign immunity. By submitting an application to be an approved foreign 

producer under this subpart, or by producing and exporting renewable fuel to the 

United States under such approval, the foreign producer, and its agents and 

employees, without exception, become subject to the full operation of the 

administrative and judicial enforcement powers and provisions of the United 

States without limitation based on sovereign immunity, with respect to actions 

instituted against the foreign producer, its agents and employees in any court or 

other tribunal in the United States for conduct that violates the requirements 

applicable to the foreign producer under this subpart, including conduct that 

violates the False Statements Accountability Act of 1996 (18 U.S.C. 1001) and 

section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413). 
 507

(h) Bond posting. Any RIN-generating foreign producer shall meet the requirements 

of this paragraph (h) as a condition to approval as a foreign producer under this 

subpart. 

(1) The RIN-generating foreign producer shall post a bond of the amount 

calculated using the following equation: 

 Bond = G * $ 0.01 

 Where: 

 Bond = amount of the bond in U.S. dollars. 

G = the largest volume of renewable fuel produced at the RIN-generating 

foreign producer’s facility and exported to the United States, in gallons, 

during a single calendar year among the most recent of the following 

calendar years, up to a maximum of five calendar years: the calendar year 

immediately preceding the date the refinery’s application is submitted, the 

calendar year the application is submitted, and each succeeding calendar 

year. 

(2) Bonds shall be posted by any of the following methods: 

(i) Paying the amount of the bond to the Treasurer of the United 

States. 

(ii) Obtaining a bond in the proper amount from a third party surety 

agent that is payable to satisfy United States administrative or 

judicial judgments against the foreign producer, provided EPA 

agrees in advance as to the third party and the nature of the surety 

agreement. 

(iii) An alternative commitment that results in assets of an appropriate 

liquidity and value being readily available to the United States 

provided EPA agrees in advance as to the alternative commitment. 

(3) Bonds posted under this paragraph (h) shall: 

(i) Be used to satisfy any judicial judgment that results from an 

administrative or judicial enforcement action for conduct in 

violation of this subpart, including where such conduct violates the 

False Statements Accountability Act of 1996 (18 U.S.C. 1001) and 

section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413); 

(ii) Be provided by a corporate surety that is listed in the United States 

Department of Treasury Circular 570 ‘‘Companies Holding 

Certificates of Authority as Acceptable Sureties on Federal 

Bonds’’; and 

(iii) Include a commitment that the bond will remain in effect for at 

least five years following the end of latest annual reporting period 

that the foreign producer produces renewable fuel pursuant to the 

requirements of this subpart. 

(4) On any occasion a foreign producer bond is used to satisfy any judgment, 

the foreign producer shall increase the bond to cover the amount used 

within 90 days of the date the bond is used. 

(5) If the bond amount for a foreign producer increases, the foreign producer 

shall increase the bond to cover the shortfall within 90 days of the date the 

bond amount changes. If the bond amount decreases, the foreign refiner 
 508

may reduce the amount of the bond beginning 90 days after the date the 

bond amount changes. 

(i) English language reports. Any document submitted to EPA by a foreign producer 

shall be in English, or shall include an English language translation. 

(j) Prohibitions. 

(1) No party may combine RFS-FRRF with any Non-RFS-FRRF, and no 

party may combine RFS-FRRF with any RFS-FRRF produced at a 

different refinery, until the importer has met all the requirements of 

paragraph (k) of this section. 

(2) No foreign producer or other party may cause another party to commit an 

action prohibited in paragraph (j)(1) of this section, or that otherwise 

violates the requirements of this section. 

(k) Requirements for United States importers of RFS-FRRF. Any United States 

importer shall meet all the following requirements: 

(1) Each batch of imported RFS-FRRF shall be classified by the importer as 

being RFS-FRRF. 

(2) Renewable fuel shall be classified as RFS-FRRF according to the 

designation by the foreign producer if this designation is supported by 

product transfer documents prepared by the foreign producer as required 

in paragraph (c) of this section. 

(3) For each renewable fuel batch classified as RFS-FRRF, any United States 

importer shall have an independent third party do all the following: 

(i) Determine the volume of renewable fuel in the vessel. 

(ii) Use the foreign producer’s RFS-FRRF certification to determine 

the name and EPA-assigned registration number of the foreign 

producer that produced the RFS-FRRF. 

(iii) Determine the name and country of registration of the vessel used 

to transport the RFS-FRRF to the United States. 

(iv) Determine the date and time the vessel arrives at the United States 

port of entry. 

(4) Where the importer is required to retire RINs under paragraph (e)(2) of 

this section, the importer must report the retired RINs in the applicable 

reports under §80.1452. 

(5) Any importer shall submit reports within 30 days following the date any 

vessel transporting RFS-FRRF arrives at the United States port of entry to 

all the following: 

(i) The Administrator, containing the information determined under 

paragraph (k)(3) of this section. 

(ii) The foreign producer, containing the information determined under 

paragraph (k)(3)(i) of this section, and including identification of 

the port at which the product was off loaded, and any RINs retired 

under paragraph (e)(2) of this section. 
 509

(6) Any United States importer shall meet all other requirements of this 

subpart for any imported ethanol or other renewable fuel that is not 

classified as RFS-FRRF under paragraph (k)(2) of this section. 

(l) Truck imports of RFS-FRRF produced by a foreign producer. 

(1) Any foreign producer whose RFS-FRRF is transported into the United 

States by truck may petition EPA to use alternative procedures to meet all 

the following requirements: 

(i) Certification under paragraph (c)(2) of this section. 

(ii) Load port and port of entry testing under paragraphs (d) and (e) of 

this section. 

(iii) Importer testing under paragraph (k)(3) of this section. 

(2) These alternative procedures must ensure RFS-FRRF remains segregated 

from Non-RFS-FRRF until it is imported into the United States. The 

petition will be evaluated based on whether it adequately addresses the 

following: 

(i) Contracts with any facilities that receive and/or transport RFSFRRF that prohibit the commingling of RFS-FRRF with NonRFS-FRRF or RFS-FRRF from other foreign producers. 

(ii) Attest procedures to be conducted annually by an independent 

third party that review loading records and import documents 

based on volume reconciliation to confirm that all RFS-FRRF 

remains segregated. 

(3) The petition described in this section must be submitted to EPA 

along with the application for approval as a foreign producer under 

this subpart. 

(m) Additional attest requirements for producers of RFS-FRRF. The following 

additional procedures shall be carried out by any producer of RFS-FRRF as part 

of the attest engagement required for renewable fuel producers under this subpart 

M. 

(1) Obtain listings of all tenders of RFS-FRRF. Agree the total volume of 

tenders from the listings to the volumes determined by the third party 

under paragraph (d) of this section. 

(2) For each tender under paragraph (m)(1) of this section, where the 

renewable fuel is loaded onto a marine vessel, report as a finding the name 

and country of registration of each vessel, and the volumes of RFS-FRRF 

loaded onto each vessel. 

(3) Select a sample from the list of vessels identified in paragraph (m)(2) of 

this section used to transport RFS-FRRF, in accordance with the 

guidelines in § 80.127, and for each vessel selected perform all the 

following: 

(i) Obtain the report of the independent third party, under paragraph 

(d) of this section, and of the United States importer under 

paragraph (k) of this section. 
 510

(A) Agree the information in these reports with regard to vessel 

identification and renewable fuel volume. 

(B) Identify, and report as a finding, each occasion the load 

port and port of entry volume results differ by more than 

the amount allowed in paragraph (e) of this section, and 

determine whether the importer retired the appropriate 

amount of RINs as required under paragraph (e)(2) of this 

section, and submitted the applicable reports under 

§80.1452 in accordance with paragraph (k)(4) of this 

section. 

(ii) Obtain the documents used by the independent third party to 

determine transportation and storage of the RFS-FRRF from the 

foreign producer’s facility to the load port, under paragraph (d) of 

this section. Obtain tank activity records for any storage tank 

where the RFS-FRRF is stored, and activity records for any mode 

of transportation used to transport the RFS-FRRF prior to being 

loaded onto the vessel. Use these records to determine whether the 

RFS-FRRF was produced at the foreign producer’s facility that is 

the subject of the attest engagement, and whether the RFS-FRRF 

was mixed with any Non-RFS-FRRF or any RFS-FRRF produced 

at a different facility. 

(4) Select a sample from the list of vessels identified in paragraph (m)(2) of 

this section used to transport RFS-FRRF, in accordance with the 

guidelines in §80.127, and for each vessel selected perform the following: 

(i) Obtain a commercial document of general circulation that lists 

vessel arrivals and departures, and that includes the port and date 

of departure of the vessel, and the port of entry and date of arrival 

of the vessel. 

(ii) Agree the vessel’s departure and arrival locations and dates from 

the independent third party and United States importer reports to 

the information contained in the commercial document. 

(5) Obtain a separate listing of the tenders under this paragraph (m)(5) where 

the RFS-FRRF is loaded onto a marine vessel. Select a sample from this 

listing in accordance with the guidelines in §80.127, and obtain a 

commercial document of general circulation that lists vessel arrivals and 

departures, and that includes the port and date of departure and the ports 

and dates where the renewable fuel was off loaded for the selected vessels. 

Determine and report as a finding the country where the renewable fuel 

was off loaded for each vessel selected. 

(6) In order to complete the requirements of this paragraph (m) an auditor 

shall: 

(i) Be independent of the foreign producer; 

(ii) Be licensed as a Certified Public Accountant in the United States 

and a citizen of the United States, or be approved in advance by 

EPA based on a demonstration of ability to perform the procedures 
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required in §§ 80.125 through 80.127, 80.130, 80.1464, and this 

paragraph (m); and 

(iii) Sign a commitment that contains the provisions specified in 

paragraph (f) of this section with regard to activities and 

documents relevant to compliance with the requirements of §§ 

80.125 through 80.127, 80.130, 80.1464, and this paragraph (m). 

(n) Withdrawal or suspension of foreign producer approval. EPA may withdraw or 

suspend a foreign producer’s approval where any of the following occur: 

(1) A foreign producer fails to meet any requirement of this section. 

(2) A foreign government fails to allow EPA inspections as provided in 

paragraph (f)(1) of this section. 

(3) A foreign producer asserts a claim of, or a right to claim, sovereign 

immunity in an action to enforce the requirements in this subpart. 

(4) A foreign producer fails to pay a civil or criminal penalty that is not 

satisfied using the foreign producer bond specified in paragraph (g) of this 

section. 

(o) Additional requirements for applications, reports and certificates. Any 

application for approval as a foreign producer, alternative procedures under 

paragraph (l) of this section, any report, certification, or other submission required 

under this section shall be: 

(1) Submitted in accordance with procedures specified by the Administrator, 

including use of any forms that may be specified by the Administrator. 

(2) Signed by the president or owner of the foreign producer company, or by 

that party’s immediate designee, and shall contain the following 

declaration: 

“I hereby certify: (1) That I have actual authority to sign on behalf 

of and to bind [INSERT NAME OF FOREIGN PRODUCER] with 

regard to all statements contained herein; (2) that I am aware that 

the information contained herein is being Certified, or submitted to 

the United States Environmental Protection Agency, under the 

requirements of 40 CFR part 80, subpart M, and that the 

information is material for determining compliance under these 

regulations; and (3) that I have read and understand the 

information being Certified or submitted, and this information is 

true, complete and correct to the best of my knowledge and belief 

after I have taken reasonable and appropriate steps to verify the 

accuracy thereof. I affirm that I have read and understand the 

provisions of 40 CFR part 80, subpart M, including 40 CFR 

80.1465 apply to [INSERT NAME OF FOREIGN PRODUCER]. 

Pursuant to Clean Air Act section 113(c) and 18 U.S.C. 1001, the 

penalty for furnishing false, incomplete or misleading information 

in this certification or submission is a fine of up to $10,000 U.S., 

and/or imprisonment for up to five years.”. 
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§ 80.1467 What are the additional requirements under this subpart for a foreign 

RIN owner?

 

(a) Foreign RIN owner. For purposes of this subpart, a foreign RIN owner is a party 

located outside the United States, the Commonwealth of Puerto Rico, the Virgin 

Islands, Guam, American Samoa, and the Commonwealth of the Northern 

Mariana Islands (collectively referred to in this section as ‘‘the United States’’) 

that has been approved by EPA to own RINs. 

(b) General Requirement. An approved foreign RIN owner must meet all 

requirements that apply to parties who own RINs under this subpart. 

(c) Foreign RIN owner commitments. Any party shall commit to and comply with 

the provisions contained in this paragraph (c) as a condition to being approved as 

a foreign RIN owner under this subpart. 

(1) Any United States Environmental Protection Agency inspector or auditor 

must be given full, complete, and immediate access to conduct inspections 

and audits of the foreign RIN owner’s place of business. 

(i) Inspections and audits may be either announced in advance by 

EPA, or unannounced. 

(ii) Access will be provided to any location where documents related 

to RINs the foreign RIN owner has obtained, sold, transferred or 

held are kept. 

(iii) Inspections and audits may be by EPA employees or contractors to 

EPA. 

(iv) Any documents requested that are related to matters covered by 

inspections and audits must be provided to an EPA inspector or 

auditor on request. 

(v) Inspections and audits by EPA may include review and copying of 

any documents related to the following: 

(A) Transfers of title to RINs. 

(B) Work performed and reports prepared by independent 

auditors under the requirements of this section, including 

work papers. 

(vi) Inspections and audits by EPA may include interviewing 

employees. 

(vii) Any employee of the foreign RIN owner must be made available 

for interview by the EPA inspector or auditor, on request, within a 

reasonable time period. 

(viii) English language translations of any documents must be provided 

to an EPA inspector or auditor, on request, within 10 working 

days. 

(ix) English language interpreters must be provided to accompany EPA 

inspectors and auditors, on request. 
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(2) An agent for service of process located in the District of Columbia shall be 

named, and service on this agent constitutes service on the foreign RIN 

owner or any employee of the foreign RIN owner for any action by EPA 

or otherwise by the United States related to the requirements of this 

subpart. 

(3) The forum for any civil or criminal enforcement action related to the 

provisions of this section for violations of the Clean Air Act or regulations 

promulgated thereunder shall be governed by the Clean Air Act, including 

the EPA administrative forum where allowed under the Clean Air Act. 

(4) United States substantive and procedural laws shall apply to any civil or 

criminal enforcement action against the foreign RIN owner or any 

employee of the foreign RIN owner related to the provisions of this 

section. 

(5) Submitting an application to be a foreign RIN owner, and all other actions 

to comply with the requirements of this subpart constitute actions or 

activities covered by and within the meaning of the provisions of 28 

U.S.C. 1605(a)(2), but solely with respect to actions instituted against the 

foreign RIN owner, its agents and employees in any court or other tribunal 

in the United States for conduct that violates the requirements applicable 

to the foreign RIN owner under this subpart, including conduct that 

violates the False Statements Accountability Act of 1996 (18 U.S.C. 1001) 

and section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413). 

(6) The foreign RIN owner, or its agents or employees, will not seek to detain 

or to impose civil or criminal remedies against EPA inspectors or auditors, 

whether EPA employees or EPA contractors, for actions performed within 

the scope of EPA employment related to the provisions of this section. 

(7) The commitment required by this paragraph (c) shall be signed by the 

owner or president of the foreign RIN owner business. 

(d) Sovereign immunity. By submitting an application to be a foreign RIN owner 

under this subpart, the foreign entity, and its agents and employees, without 

exception, become subject to the full operation of the administrative and judicial 

enforcement powers and provisions of the United States without limitation based 

on sovereign immunity, with respect to actions instituted against the foreign RIN 

owner, its agents and employees in any court or other tribunal in the United States 

for conduct that violates the requirements applicable to the foreign RIN owner 

under this subpart, including conduct that violates the False Statements 

Accountability Act of 1996 (18 U.S.C. 1001) and section 113(c)(2) of the Clean 

Air Act (42 U.S.C. 7413). 

(e) Bond posting. Any foreign entity shall meet the requirements of this paragraph 

(e) as a condition to approval as a foreign RIN owner under this subpart. 

(1) The foreign entity shall post a bond of the amount calculated using the 

following equation: 

 Bond = G * $ 0.01 

 Where: 
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 Bond = amount of the bond in U.S. dollars. 

G = the total of the number of gallon-RINs the foreign entity expects to 

sell or transfer during the first calendar year that the foreign entity is a 

RIN owner, plus the number of gallon-RINs the foreign entity expects to 

sell or transfer during the next four calendar years. After the first calendar 

year, the bond amount shall be based on the actual number of gallon-RINs 

sold or transferred during the current calendar year and the number held at 

the conclusion of the current averaging year, plus the number of gallonRINs sold or transferred during the four most recent calendar years 

preceding the current calendar year. For any year for which there were 

fewer than four preceding years in which the foreign entity sold or 

transferred RINs, the bond shall be based on the total of the number of 

gallon-RINs sold or transferred during the current calendar year and the 

number held at the end of the current calendar year, plus the number of 

gallon-RINs sold or transferred during any calendar year preceding the 

current calendar year, plus the number of gallon-RINs expected to be sold 

or transferred during subsequent calendar years, the total number of years 

not to exceed four calendar years in addition to the current calendar year. 

(2) Bonds shall be posted by doing any of the following: 

(i) Paying the amount of the bond to the Treasurer of the United 

States. 

(ii) Obtaining a bond in the proper amount from a third party surety 

agent that is payable to satisfy United States administrative or 

judicial judgments against the foreign RIN owner, provided EPA 

agrees in advance as to the third party and the nature of the surety 

agreement. 

(iii) An alternative commitment that results in assets of an appropriate 

liquidity and value being readily available to the United States, 

provided EPA agrees in advance as to the alternative commitment. 

(3) All the following shall apply to bonds posted under this paragraph (e); 

bonds shall: 

(i) Be used to satisfy any judicial judgment that results from an 

administrative or judicial enforcement action for conduct in 

violation of this subpart, including where such conduct violates the 

False Statements Accountability Act of 1996 (18 U.S.C. 1001) and 

section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413). 

(ii) Be provided by a corporate surety that is listed in the United States 

Department of Treasury Circular 570 “Companies Holding 

Certificates of Authority as Acceptable Sureties on Federal 

Bonds”. 

(iii) Include a commitment that the bond will remain in effect for at 

least five years following the end of latest reporting period in 

which the foreign RIN owner obtains, sells, transfers, or holds 

RINs. 
 515

(4) On any occasion a foreign RIN owner bond is used to satisfy any 

judgment, the foreign RIN owner shall increase the bond to cover the 

amount used within 90 days of the date the bond is used. 

(f) English language reports. Any document submitted to EPA by a foreign RIN 

owner shall be in English, or shall include an English language translation. 

(g) Prohibitions. 

(1) A foreign RIN owner is prohibited from obtaining, selling, transferring, or 

holding any RIN that is in excess of the number for which the bond 

requirements of this section have been satisfied. 

(2) Any RIN that is sold, transferred, or held that is in excess of the number 

for which the bond requirements of this section have been satisfied is an 

invalid RIN under §80.1431. 

(3) Any RIN that is obtained from a party located outside the United States 

that is not an approved foreign RIN owner under this section is an invalid 

RIN under §80.1431. 

(4) No foreign RIN owner or other party may cause another party to commit 

an action prohibited in this paragraph (g), or that otherwise violates the 

requirements of this section. 

(h) Additional attest requirements for foreign RIN owners. The following additional 

requirements apply to any foreign RIN owner as part of the attest engagement 

required for RIN owners under this subpart M. 

 (i) The attest auditor must be independent of the foreign RIN owner. 

(ii) The attest auditor must be licensed as a Certified Public Accountant in the 

United States and a citizen of the United States, or be approved in advance 

by EPA based on a demonstration of ability to perform the procedures 

required in §§80.125 through 80.127, 80.130, and 80.1464. 

(iii) The attest auditor must sign a commitment that contains the provisions 

specified in paragraph (c) of this section with regard to activities and 

documents relevant to compliance with the requirements of §§80.125 

through 80.127, 80.130, and 80.1464. 

(i) Withdrawal or suspension of foreign RIN owner status. EPA may withdraw or 

suspend its approval of a foreign RIN owner where any of the following occur: 

(1) A foreign RIN owner fails to meet any requirement of this section, 

including, but not limited to, the bond requirements. 

(2) A foreign government fails to allow EPA inspections as provided in 

paragraph (c)(1) of this section. 

(3) A foreign RIN owner asserts a claim of, or a right to claim, sovereign 

immunity in an action to enforce the requirements in this subpart. 

(4) A foreign RIN owner fails to pay a civil or criminal penalty that is not 

satisfied using the foreign RIN owner bond specified in paragraph (e) of 

this section. 
 516

(j) Additional requirements for applications, reports and certificates. Any 

application for approval as a foreign RIN owner, any report, certification, or other 

submission required under this section shall be: 

(1) Submitted in accordance with procedures specified by the Administrator, 

including use of any forms that may be specified by the Administrator. 

(2) Signed by the president or owner of the foreign RIN owner company, or 

by that party’s immediate designee, and shall contain the following 

declaration: 

“I hereby certify: (1) That I have actual authority to sign on behalf of and 

to bind [INSERT NAME OF FOREIGN RIN OWNER] with regard to all 

statements contained herein; (2) that I am aware that the information 

contained herein is being Certified, or submitted to the United States 

Environmental Protection Agency, under the requirements of 40 CFR part 

80, subpart M, and that the information is material for determining 

compliance under these regulations; and (3) that I have read and 

understand the information being Certified or submitted, and this 

information is true, complete and correct to the best of my knowledge and 

belief after I have taken reasonable and appropriate steps to verify the 

accuracy thereof. I affirm that I have read and understand the provisions 

of 40 CFR part 80, subpart M, including 40 CFR 80.1467 apply to 

[INSERT NAME OF FOREIGN RIN OWNER]. Pursuant to Clean Air 

Act section 113(c) and 18 U.S.C. 1001, the penalty for furnishing false, 

incomplete or misleading information in this certification or submission is 

a fine of up to $10,000 U.S., and/or imprisonment for up to five years.”.