Registration, Recordkeeping and Reporting Requirements

RFS-CFCH-RRRR-Christian-10302007.ppt

Renewable Fuels Standard (RFS2) Program (Proposed Rule)

Registration, Recordkeeping and Reporting Requirements

OMB: 2060-0640

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  1. Registration, Recordkeeping, and Reporting Requirements

  1. U.S. EPA

    Office of Transportation and Air Quality

 

  1. Compliance Period

  • RFS Program is Based on a Calendar Year 

  • Annual Compliance Period; January 1 – December 31. 

    • Q1; January 1 – March 31 (Reports Due May 31) 

    • Q2; April 1 – June 30 (Reports Due August 31) 

    • Q3; July1 – September 30 (Reports Due
      November 30) 

    • Q4; October 1 – December 31 (Reports Due
      February 28) 

    • Annual Reports Due February 28 

 

  1. Compliance Period

  • 2007 Compliance Starts September 1 

    • The First Quarter of the Program is Q3, Month of September 

    • First Reports Due November 30 

    • Q4 Reports, October – December, Due February 28, 2008 

    • 2007 Annual Compliance Reports Due February 28, 2008 

    • 2007 List of RINs Used to Demonstrate Compliance Due May 31, 2008 

  •  

 

  1. Reporting: Basics

  • EPA Provides Guidance Documents, Report Instructions and Report Templates
     http://www.epa.gov/otaq/regs/fuels/forms.htm 

  • All Reports Must be Signed and Certified as Meeting Applicable Requirements by the Owner or a Responsible Corporate Officer of the Renewable Producer/Importer, Obligated Party, or RIN Owner. 

  • Submission Through EPA’s Central Data Exchange (CDX) Web Portal 

    • Personal Accounts 

    • Closed Registration (EPA Controlled) 

    • Electronic Signature  

      • Business Owner/RCO or Their Delegate(s) 

      • Digital Certificate Assigned Each Individual 

    • Reports Submitted as an Encrypted File Attachment 

      • Encryption Performed by a CDX JAVA Applet on the Client Machine Prior to Submission (FIPS 140-2 compliant). 

      • File Remains Encrypted Until Processed in OTAQ CBI Facility 

 

  1. Report Content: Common Requirements for All Parties

  • If you did not have any RIN transactions in a quarter, there is no need to report for that quarter 

  • RIN Transaction Reports 

    • Submitter’s Name, Company ID, and (if applicable) Facility ID 

    • Transaction Type (Sale, Purchase, Retire) 

    • Transaction Date 

    • Trading Partners Name and Company ID (for a sale/purchase) 

    • Identification of the RIN  

    • Retirement Information (e.g. for Spill, Enforcement Obligation, Use in a Boiler or Heater) 

  1. Common Recordkeeping requirement for all regulated parties (parties with an RFS obligation)

  • •Renewable Producers  

  • •Obligated Parties (Gasoline Refiners and Importers) 

  • •RIN owners other than producers and obligated parties 

 

  1. Report Content: Common Requirements for All Parties

  • Quarterly Gallon-RIN Activity Reports 

    • Submitter’s Name, Company ID, and (if applicable) Facility ID 

    • Summary of Current-Year RINS (Beginning/Ending Inventory, Sales, Purchases, etc.) 

    • Summary of Prior-Year RINS (Beginning/Ending Inventory, Sales, Purchases, etc.) 

    • Volume of Renewable Fuel Owned at the End of the Quarter 

 

  1. Report Content: Renewable Producer/Importer – Additional Reports

  • RIN Generation Reports 

  • For Each Batch Produced/Imported: 

    • Company Name and Company ID 

    • Facility ID 

    • Reporting Period 

    • RINs Generated for Batch 

    • Production Date of Batch (Imports – Date Denaturant was Added) 

    • Renewable Fuel Type (per 80.1101(d)) 

    • Information Related to   

      • Volume of Denaturant 

      • Applicable Equivalence Value 

    • Volume of Batch Produced/Imported 

  1. 80.1151-

 

  1. Report Content: Renewable Producer/Importer – A Batch?

  • What is a Batch? 

    • A Discreet Quantity of Renewable Fuel Produced or Imported and Assigned a Unique RIN 

  • Are There Limits on a Batch’s Quantity? 

    • Yes – Whichever Comes First … 

      • Up to a Month’s Production; OR 

      • Total RINs Generated Up to 99,999,999 gallon RINs 

        • Example 1:
          99,999,999 Gallons of Biodiesel with an
          EV = 1.5, Yields 149,999,997 RINs 

        • Example 2:  
          66,666,666 Gallons of Biodiesel with an
          EV = 1.5, Yields 99,999,999 RINs 

 

  1. Report Content: Obligated Parties & Renewable Exporters – Additional Reports

  • Annual Compliance Demonstration 

    • Obligated Party’s Name 

    • Company ID 

    • Compliance Basis 

      • Corporate (Aggregated) 

      • Facility-By-Facility (Separate Report for Each Facility) 

        • Include Facility ID 

    • Production Volume of ALL Products Listed in 80.1107(c) 

    • Renewable Volume Obligation (RVO) 

      • Obligated Parties – 80.1127(a) 

      • Exporters of Renewable Fuel  - 80.1130(b) 

    • Deficit RVO Carried Over from the Prior Year 

    • Total Current-Year RINs Used for Compliance 

    • Total Prior-Year RINs Used for Compliance 

    • Deficit RVO to be Carried into the Next Compliance Year 

  • Annual List of RINs Used for Compliance 

 

  1. Report Content: Obligated Parties & Renewable Exporters – Compliance Basis

  • Separate Compliance Reporting for Refining and Importing 

  • For an Importer – Compliance is Always on the Aggregate 

  • For a Refiner - There are Two Options for Compliance 

    • Corporate (Aggregated) 

    • Facility-By-Facility (Separate Report for Each Facility) 

    • There is no Hybrid Compliance Model – Either All Aggregated or All Facility-By-Facility 

 

  1. RFS Reports: Basics

  • Electronic Reports – Simple, Spreadsheet (Flat File) Format 

  • Key Components 

    • Instructions – Roadmap, List of Codes, References 

      • Overhead Information (Common Information) 

      • Individual Report Instructions 

    • Templates 

      • Spreadsheet Version of each Complete Report 

        • Use as a Reference, or 

        • Enter Report Information Directly 

 

  1. RFS Reports: Instructions –Overhead

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 1.

  1. Report Form ID

 

  1. AAAAAAA; Character. Enter the one appropriate Report Form ID from the following.

    RFS0100:         Renewable Fuel Standard Activity Report

    RFS0200:        Renewable Fuel Standard Transfer Report

    RFS0300:        Renewable Fuel Standard Obligated Party Annual
                         Compliance Report

    RFS0400:        Renewable Fuel Standard Batch Report

  1. 2.

  1. Report Type

 

  1. A; Character.  Indicate whether this is the original report or a resubmission.  Submit only one original report.  Submit any corrections or updates as resubmission(s):

    O:  Original

    R:  Resubmission

  1. 3.

  1. CBI

 

  1. A; Character.  Specify if the data contained within the report is claimed as Confidential Business Information (CBI) under 40 CFR Part 2, subpart B:

    Y: Confidential Business Information

    N: Non-Confidential Business Information

  1. 4.

  1. Report Date

 

  1. MM/DD/YYYY; Character.  Enter the date the original or resubmitted report is being submitted.

  1. 5.

  1. Report Year

 

  1. YYYY; Character.  Indicate the compliance period (year) of the report.

 

  1. RFS Reports: Instructions –Overhead

  1. 6.

  1. Company/Entity ID

 

  1. AAAA; Character.  Enter your four-digit, EPA-assigned company/entity ID.

  1. 7.

  1. Company Name

 

  1. AAAAAAA…; Character (125 max.).  Enter the reporting party’s name (your company name).

 

  1. RFS Reports: Instructions – RIN Activity Report (RFS0100)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 8.

  1. Compliance Period Code

 

  1. AA; Character. Compliance Period Codes. General month ranges are provided below to assist in labeling quarters:

    Quarterly

    Q1: First Quarter (January – March)

    Q2: Second Quarter (April – June)

    Q3: Third Quarter (July – September)

    Q4: Fourth Quarter/Annual (October – December)

  1. 9.

  1. Compliance Basis/ Facility ID

 

  1. AAAAA; Character. Obligated Parties: Indicate the compliance basis if aggregating facilities in a single report, or submit separate facility reports referencing individual facility ID numbers.  Please include all zeros in the five-digit facility ID numbers. Non-Obligated Parties, including producers of renewable fuels and other RIN Owners: Use “NOTOP”.    

           AGIMP:  Aggregated Importer Compliance
    AGREF: Aggregated Refiner Compliance
    ##### :  Five-digit EPA-assigned facility ID  
    EXPRT: Exporter Compliance

           NOTOP:  Non-Obligated Party (RIN Generator or Owner)

 

  1. RFS Reports: Instructions – RIN Activity Report (RFS0100)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 10.

  1. RIN Status

 

  1. 9; Number.  Indicate whether the report is being submitted for RINs assigned to a volume of renewable fuel (K code = 1) or for RINs that have been separated from or are otherwise unassigned to a volume of renewable fuel (K code = 2).  See 40 CFR 80.1125(a).  A separate RFS Activity Report must be submitted for each type of RIN owned.  

            1:   Assigned RINs
    2:   Separated RINs

  1. 11.

  1. Volume of renewable fuel owned at the end of the quarter

  1. gallons

  1. 9999999…; Number (16 max.).  Enter the total volume of renewable fuel owned at the end of the period per §80.1152(c)(2)(xviii).  If not applicable, enter “0”.

  1. 12.

  1. Current-year gallon-RINs owned at the start of the quarter

 

  1. 9999999…; Number (16 max.).  Enter the total number of current-year gallon-RINs owned at the start of the period.  If not applicable, enter “0”.

  1. 13.

  1. Current-year gallon-RINs purchased

 

  1. 9999999…; Number (16 max.).  Enter the total number of current-year gallon-RINs purchased for the period.  If not applicable, enter “0”.

  1. 14.

  1. Current-year gallon-RINs sold

 

  1. 9999999…; Number (16 max.).  Enter the total number of current-year gallon-RINs sold for the period.  If not applicable, enter “0”.

  1. 15.

  1. Current-year gallon-RINs retired

 

  1. 9999999…; Number (16 max.).  Enter the total number of current-year gallon-RINs retired for the period.  If not applicable, enter “0”.

  1. 16.

  1. Current-year gallon-RINs owned at the end of the quarter

 

  1. 9999999…; Number (16 max.).  Enter the total number of current-year gallon-RINs owned at the end of the period.  If not applicable, enter “0”.

 

  1. RFS Reports: Instructions – RIN Activity Report (RFS0100)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 17.

  1. Prior-year gallon-RINs owned at the start of the quarter

 

  1. 9999999…; Number (16 max.).  Enter the total number of prior-year gallon-RINs owned at the start of the period.  If not applicable, enter “0”.

  1. 18.

  1. Prior-year gallon-RINs purchased

 

  1. 9999999…; Number (16 max.).  Enter the total number of prior-year gallon-RINs purchased for the period.  If not applicable, enter “0”.

  1. 19.

  1. Prior-year gallon-RINs sold

 

  1. 9999999…; Number (16 max.).  Enter the total number of prior-year gallon-RINs sold for the period.  If not applicable, enter “0”.

  1. 20.

  1. Prior-year gallon-RINs retired

 

  1. 9999999…; Number (16 max.).  Enter the total number of prior-year gallon-RINs retired for the period.  If not applicable, enter “0”.

  1. 21.

  1. Prior-year gallon-RINs owned at the end of the quarter

 

  1. 9999999…; Number (16 max.).  Enter the total number of prior-year gallon-RINs owned at the end of the period.  If not applicable, enter “0”.

 

  1. RFS Reports: Instructions – RIN Transaction Report (RFS0200)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 8.

  1. Compliance Period Code

 

  1. AA; Character. Compliance Period Codes. General month ranges are provided below to assist in labeling quarters:

    Quarterly

    Q1: First Quarter (January – March)

    Q2: Second Quarter (April – June)

    Q3: Third Quarter (July – September)

    Q4: Fourth Quarter/Annual (October – December)

  1. 9.

  1. Compliance Basis/ Facility ID

 

  1. AAAAA; Character. Obligated parties: Indicate the compliance basis if aggregating facilities in a single report, or submit separate facility reports referencing individual facility ID numbers.  Please include all zeros in the five-digit facility ID numbers. Non-obligated parties, including producers of renewable fuels and other RIN owners: Enter “NOTOP”.

    AGIMP: Aggregated Importer Compliance (Obligated Parties)

    AGREF: Aggregated Refiner Compliance (Obligated Parties)

    ##### : The five Character EPA-assigned facility ID (Obligated Parties)

    EXPRT: Aggregated Exporter Compliance (Obligated Parties (Exporters of renewable fuel))

    NOTOP: Non Obligated Party (RIN Generator or Owner)

 

  1. RFS Reports: Instructions – RIN Transaction Report (RFS0200)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 10.

  1. Transfer Type

 

  1. AAA; Character.  Separately report deliveries and receipts.  Specify whether this report is for RINs delivered to or RINs received from the identified partner or if this report is documenting Retried RINs.

    BUY: Purchased RIN

    SEL: Sold RIN

    RET: Retired RIN

  1. 11.

  1. Retired RIN Code

 

  1. AAA; Character.  Categorize retired RINs or enter “NA” if the reported transaction is a “BUY” or “SEL” (in Field 10).

    RSP: Reportable spill under § 80.1132

    RCF: Contaminated or spoiled fuel that is not usable

    RIV: Import volume correction under § 80.1166(k)

    RBH: Renewable fuel used in boiler or heater under -§ 80.1129(e)

    RNR: Renewable fuel designated for non-road use

    RIR: Invalid RIN per §80.1131

    RVC: Volume error correction per §80.1131

    REO: Enforcement obligation as defined by the federal government

    USE: RIN used to demonstrate annual compliance

  1. 12.

  1. Transaction date

 

  1. MM/DD/YYYY; Character.  Enter the date that the RIN transaction was completed.

  1. 13.

  1. Transaction partner name

 

  1. AAAAA…; Character (125 Max).  Enter the name of the company you conducted the transaction with.  In the case of a retired RIN, enter “NA”.

 

  1. RFS Reports: Instructions – RIN Transaction Report (RFS0200)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 14.

  1. Transaction partner company ID

 

  1. AAAA; Character.  Enter the four-digit, EPA-assigned company ID for your transaction partner. In the case of a retired RIN, enter ”NA”.

  1. 15

  1. RIN

 

  1. KYYYYCCCCFFFFFBBBBBRRDSSSSSSSSEEEEEEEE; Number (38 Digits).  Renewable Identification Number (RIN).  Refer to § 80.1125.  

    Create one report for each batch or for each continuous sequence of RINS within a batch which was transferred to your transaction partner.

    Example 1: Gallon-RINs 1-100 from one batch are traded, therefore the batch RIN would look like this:

    12007999979999000011020000000100000100.

    Example 2: Gallon-RINs 1-50 and 76-125 from one batch have been traded, therefore two reports should be submitted for the transaction and the two batch-RINs would look like this:

    12007999979999000021020000000100000050

    12007999979999000021020000007600000125

 

  1. RFS Reports: Instructions – RIN Transaction Report (RFS0400)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 8.

  1. Compliance Period Code

 

  1. AA; Character. Compliance Period Codes. General month ranges are provided below to assist in labeling quarters:

    Quarterly

    Q1: First Quarter (January – March)

    Q2: Second Quarter (April – June)

    Q3: Third Quarter (July – September)

    Q4: Fourth Quarter/Annual (October – December)

  1. 9.

  1. Facility ID

 

  1. AAAAA; Character.  Enter the five-digit EPA-assigned facility ID of the facility that produced or imported the renewable fuel for which the batch of RINs was generated.

  1. 10.

  1. Production Date

 

  1. MM/DD/YYYY; Character.  Enter the date the reported batch was produced or imported.

 

  1. RFS Reports: Instructions – RIN Transaction Report (RFS0400)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 11

  1. Equivalence Value

 

  1. 9.9; Number.  Enter the equivalence value for the reported batch of renewable fuel as defined in §80.1115.

  1. 12

  1. Batch Volume

  1. gallons

  1. 99999999; Number.  Enter the production or import volume of the reported batch of renewable fuel.

  1. 13

  1. Denaturant Volume

  1. gallons

  1. 9999999; Number.  Enter the volume of denaturant added to the reported batch of renewable fuel prior to the generation of RINs.  Enter “0” if not applicable.

  1. 14

  1. RIN

 

  1. KYYYYCCCCFFFFFBBBBBRRDSSSSSSSSEEEEEEEE; Number (38 Digits).  Renewable Identification Number (RIN) per § 80.1126.

    Create one report for each batch of RINS generated.  For example, for a 1000 gallon batch of denatured ethanol, show the entire batch-RIN like in the following example:

    12007999979999000011020000000100001000

 

  1. RFS Reports: Instructions – RIN Transaction Report (RFS0400)

  1. No.

  1. Field Name

  1. Units

  1. Field Formats, Codes, & Special Instructions

  1. 15

  1. Renewable Fuel Type

 

  1. AAA999; Character.  Enter the type of renewable fuel in the reported batch as defined in §80.1101(d).  This field contains 2 parts.  The first part is a character code corresponding to the renewable fuel type.  The second part is a number corresponding to the feedstock used to produce the renewable fuel.

    Renewable Fuel

    ETH: Ethanol other than cellulosic biomass                                                                                                                          or waste-derived ethanol

    CBE: Cellulosic biomass ethanol

    WDE: Waste-derived ethanol

    BDS: Biodiesel (mono-alky ester)

    NRD: Non-ester renewable diesel

    BTL:   Butanol

    BCR:        Blending components derived from renewable fuel

    Feedstock

    001:         Grain

    002:        Starch

    003:        - 014:         See instructions online

    1XX:    Multiple feedstocks used in a batch (select the 3-digit number that represents the majority feedstock and replace the leading 0 with a 1 -- e.g. 101 if grain is the majority feedstock)

 

  1. RFS Reports: Templates

  1. ## Test Refiner Third Quarter 2007 RIN Transfer Report

  1. ## 1

  1. 2

  1. 3

  1. 4

  1. 5

  1. 6

  1. 7

  1. 8

  1. 9

  1. 10

  1. 11

  1. 12

  1. 13

  1. 14

  1. 15

  1. RFS0200

  1. O

  1. Y

  1. 11/21/2007

  1. 2007

  1. 1234

  1. Test Refiner

  1. Q3

  1. NOTOP

  1. BUY

  1. NA

  1. 09/10/2007

  1. Test Seller

  1. 9876

  1. 12007999979999000011020000000100000050

  1. RFS0200

  1. O

  1. Y

  1. 11/21/2007

  1. 2007

  1. 1234

  1. Test Refiner

  1. Q3

  1. NOTOP

  1. BUY

  1. NA

  1. 09/10/2007

  1. Test Seller

  1. 9876

  1. 12007999979999000011020000007500000125

 

  1. RFS Reports: Packaging & Submitting

  • Any and All Reports may be Combined into a Single File (Single Worksheet) 

  1. ## Test Refiner Third Quarter 2007 RIN Transfer Report

  1. ## 1

  1. 2

  1. 3

  1. 4

  1. 5

  1. 6

  1. 7

  1. 8

  1. 9

  1. 10

  1. 11

  1. 12

  1. 13

  1. 14

  1. 15

  1. RFS0200

  1. O

  1. Y

  1. 11/21/2007

  1. 2007

  1. 1234

  1. Test Refiner

  1. Q3

  1. NOTOP

  1. BUY

  1. NA

  1. 09/10/2007

  1. Test Seller

  1. 9876

  1. 12007999979999000011020000000100000050

  1. RFS0100

  1. Insert Activity Reports

  1. RFS0300

  1. Insert Annual Reports and List of RINs

  1. ETC

  1. Insert any Number of Reports in any Order

 

  1. CDX Overview

  • Highly Secure online submission and signature system 

  • Can be used to submit all your EPA part 79 and 80 fuels reports (RFG, Diesel Sulfur, Gasoline Sulfur, Fuels and Fuel Additives) at the same time 

  • Used by all 50 states and other EPA organizations 

  • Free to you* 

  • Easy to use 

  1. * (OTAQ will cover the digital certification costs for up to 5 submitters per entity)

 

  1. CDX Agent Delegation

  • Third Party’s may submit reports via CDX on behalf their clients.  

    • In order to do so they must follow the instructions on the CDX Information Page to register http://epa.gov/otaq/regs/fuels/cdxinfo.htm 

    • Their Clients must mail in a properly filled out responsible corporate officer submission letter which is located at http://epa.gov/otaq/regs/fuels/cdxinfo.htm#rcoletter 

 

  1. How to Register

  • Reminder this is different from Company Registration! 

  • Don’t wait until the last minute! 

  • Please note CDX is a highly secure system and that it will take a few business days for EPA and our partners to establish your accounts and digital signatures.   

  • Once set up the CDX is not only very safe but very easy to use. 

 

  1. How to Register (Delegation)

 

  1. How to Register (CDX Registration)

  • After we receive your delegation via mail or the internet we will process it.   

  • With in a few days expect an email from the CDX HELP DESK inviting you to retrieve your Customer Retrieval Key (CRK) to register with CDX. 

  • Go to http://cdx.epa.gov and follow the instructions that will be provided to you 

 

  1. How to Register (Digital Signatures)

  • After registering for CDX you will be asked to sign a digital signature agreement please sign, fax and mail it to us ASAP (see below) 

  • After we receive your digital signature agreement we go through a process to create your signature. 

  • A digital signature is the digital equivalent of your wet ink signature. Keep it safe. 

     

 

  1. Need More Information?

  1. Q&A Document – RFS Web page: http://www.epa.gov/otaq/renewablefuels/

    Fuels Programs Reporting Forms Web Page – “RFS Reporting Forms”:

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

    For extra assistance call (202) 343-9755

    or email: [email protected]

 
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