Transport Partnership
U.S. ENVIRONMENTAL PROTECTION AGENCY
Rail Partner 2.O.II Tool:
Technical Documentation
2011 Data Year - United States Version
&EPA
United States
Environmental Protection
Agency

-------
Transport Partnership
U.S. ENVIRONMENTAL PROTECTION AGENCY
Rail Partner 2.O.II Tool:
Technical Documentation
2011 Data Year - United States Version
Transportation and Climate Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
        United States                    Office ofTransportation and Air Quality
        Environmental Protection                        EPA-420-B-12-054a
        Agency
                                            September 2012

-------
SmartWay 2.0.11
Rail Tool - BETA
Technical Documentation
2-24-12
1.0  Data Sources

The SmartWay Rail Tool was developed to encourage railroad participation in
SmartWay by providing methods to calculate emissions, fuel consumption, and
comparison metrics based, to the extent possible, on data the participating railroad
companies have on hand and provide annually to the Department of Transportation's
Surface Transportation Board (STB). For example, while other data may be used, the
approach presented uses data elements that Class 1 railway companies submit in their
annual R-i reports (http://stb.dot.gov/stb/industry/econ_reports.html). The relevant data
reported annually on the R-1 forms include:

    Power Unit Information - Form 710

    Locomotive Unit Miles - Form 755, lines 8-14

    Railcar Miles by Type - Form 755, lines 15-30

    Fuel  Consumption by Fuel Type and Unit Type - Form 750, lines 1-3

    Ton-Mile Data- Form 755, lines 104, 110, 113

As Class 2 and 3 railroads do not submit R1 reports, in order for them to participate in
the SmartWay program they need to develop and submit the required data specific for
their operations. Where a Class 2 or 3 railroad company does not have all of the
required information, surrogate  data are provided in the appendix of this report that may
be useful to develop some of the basic data required for the tool.  Some information
may also be available from the American Shortline and Regional Railroad Association
(www.aslrra.org).

-------
2.0  Emission Estimation
Regardless of the locomotive class, the SmartWay Rail Tool was designed to calculate
C02 performance metrics based on fuel consumption estimates, and NOx and PM
emissions based on tier-specific engine operation information.
In the SmartWay Rail Tool, the data for line-haul (including short line-haul and
passenger rail) and yard operations are handled separately,  even though many of the
data elements are the same. Line-haul and yard operations are sufficiently different that
they require separate emission factors associated with the different duty cycles. If
operational surrogates are needed, then these should be compiled specific to either
line-haul or yard operations.
The specific Rail Tool calculation outputs include:
          a. total mass emissions (CC^, NOx, PM-m and PM2.5)
          b. g/ton-mile (gross, revenue, non-revenue)
          c. g/railcar-mile (just total miles)
          d. g/truck-equivalent-mile (just total miles)
The following presents the calculation procedures used to estimate these performance
metrics.

    1.  Calculating mass emissions (total grams)
          a.  CO21
                 \.  Diesel fuel: grams of CO2 = total gallons diesel (freight + passenger + switching) x
                    10,217 g CO2/gallon.
                ii.  Biodiesel: The tool uses the biodiesel blend percentage to interpolate between
                    regular diesel and 100% biodiesel fuel factors, with 100% biodiesel = 9,460
                    g/gallon. Therefore 20% biodiesel (B20) has a fuel factor of

                    10,217 - (10,217 - 9,460) x (20/100) =  10,066 g CO2/gallon

                iii.  LNG: grams of CO2 = total gallons LNG (freight + passenger + switching) x 4,394 g
                    CO2/gallon.
                iv.  CNG: If input in cubic feet, grams of CO2 = total cubic feet (freight + passenger +
                    switching) x 57.8. If CNG input is in equivalent gallons, the tool multiplies total
                    gallons by  7,030 g CO2/gallon.
                v.  Electric: grams of CO2 = total kWh x 682 g CO2/kWhr. See Appendix C for
                    details.
1 With the exception of the electricity factors, the source of the fuel-based CO2 factors are discussed in the
SmartWay Truck Tool Technical Documentation.

-------
b.   NOx and PM
        i.  Diesel - Data Input Methods 2 and 4 (inputs differentiated by line haul and
           switcher)
               1.  The tool first calculates the proportion of hrs/units by Tier level.
                       a.   The following provides an example for line haul units -
Tier Level
Non-Tier -
0
0+
1
1+
2
2+
3
Total
Hrs
3,000 hrs
Ohrs
1,000 hrs
2,000 hrs
5,000 hrs
Ohrs
4,000 hrs
5,000 hrs
20,000 hrs
Fraction
0.15
0.0
0.05
0.1
0.25
0.0
0.2
0.25
1.00
                      b.  The tool repeats this calculation for the switcher distribution
                      c.  The tool then calculates weighted average fuel factors for NOx
                          and PM, using the following table (source:
                          http://www.epa.gov/oms/regs/nonroad/locomotv/420f09025.pdf).

                                 Table 1
Engine Tier
Non-tier
TierO
Tier 0 +
Tierl
Tier 1 +
Tier 2
Tier 2+
Tier3
Unit Type
Line-Haul/Passenger
Switcher
Line-Haul/Passenger
Switcher
Line-Haul/Passenger
Switcher
Line-Haul/Passenger
Switcher
Line-Haul/Passenger
Switcher
Line-Haul/Passenger
Switcher
Line-Haul/Passenger
Switcher
Line-Haul/Passenger
Switcher
g/gai
NOx
270.40
264.48
178.88
191.52
149.76
161.12
139.36
150.48
139.36
150.48
102.96
110.96
102.96
110.96
102.96
68.40
PM10
6.66
6.69
6.66
6.69
4.16
3.50
6.66
6.54
4.16
3.50
3.74
2.89
1.66
1.67
1.66
1.22
PM2.5
6.46
6.49
6.46
6.49
4.04
3.40
6.46
6.34
4.04
3.40
3.63
2.80
1.61
1.62
1.61
1.18

-------
iii.
                                                    Example calculation for the weighted NOx
                                                    factor for line-haul case above:
                                                    Weighted average = 270.4 x 0.15 + 178.88 x 0.0
                                                    + 149.76 x 0.05 + 139.36 x 0.1 + 139.36 x 0.25 +
                                                    102.96 x 0.0 + 102.96 x 0.1 + 102.96 x 0.25 =
                                                    132.86 g/gal NOx
                                                    The tool repeats these calculations for PMi0 and
                                                    PM2.5.
                                                    All calculations are then repeated for switchers
                      2. The tool multiplies gallons of (freight + passenger) diesel by weighted
                      average fuel factors for line-haul/passenger category.

                      3. The tool multiplies gallons of switcher diesel by weighted average fuel factors
                      for switchers.

                      4. The tool sums grams for line-haul/passenger and switchers to obtain total
                      tons for NOx, PMi0 and PM2.5.
                      Diesel - Data Input Methods 1 and 3 (inputs NOT differentiated by line haul and
                      switcher)

                          1.  The tool uses Table 2 to calculate the weighted average fuel factors2
                                             Table 2
Engine Tier
Non-Tier
TierO
Tier 0+
Tierl
Tier 1+
Tier 2
Tier 2+
TierS
g/gal
NOx
269.96
179.83
150.61
140.19
140.19
103.56
103.56
100.37
PM10
6.66
6.66
4.11
6.65
4.11
3.68
1.66
1.63
PM2.5
6.46
6.46
3.99
6.45
3.99
3.57
1.61
1.58
2 The factors in Table 2 are calculated by weighting the line haul/passenger and switcher values from Table 1 by the
national average relative fuel consumption levels for these categories (0.925 and 0.075, respectively). National
average values were obtained from 2010 Rl reports.

-------
                         2.  The tool follows the same process as for Data Input Methods 2 and 4,
                             but there is no need to sum across unit types (step 4 above).
                  iii.   Biodiesel -
                         1.  Biodiesel NOx and PM10/2.5 emissions are calculated by applying an
                             adjustment factor to diesel emissions. Therefore the first is to multiply
                             the biodiesel gallons by the diesel fuel factors as described above to
                             calculate an unadjusted estimates for grams of NOx, PM10 and PM2.5.
                         2.  Next the tool calculates adjustment factors based on % biodiesel blend
                             specified - see Truck Tool Technical Documentation for references.
                                a.   % change in emissions = {exp[a x (vol% biodiesel)] -1} x 100%
                                    Where a = 0.0009794 for NOx, and a = -0.006384 for PM10/2.5
                                b.   The tool applies the adjustment factor to the unadjusted grams
                                    of NOx and PM10/2.5 calculated above. In general PM emissions
                                    are somewhat lower than diesel emissions, while NOx emissions
                                    increase slightly.
                  iv.   LNG-3
                         1.  The tool first sums total gallons of LNG across line-haul, passenger, and
                             switchers
                         2.  The tool then multiplies total gallons by 20.3 g/gal to obtain grams  NOx;
                             and by 1.35 g/gal to obtain PMi0. The tool multiplies the PMi0 value by
                             1.31 to obtain PM2.5. See Appendix A regarding the source of these fuel-
                             based  factors.
                  v.   CNG -
                         1.  The tool converts cubic feet of CNG to gallons if necessary with 1
                             standard cubic foot of CNT = 0.00823 equivalent gallons.
                         2.  The tool sums total gallons of CNG across line-haul, passenger, and
                             switchers
                         3.  The tool multiplies total gallons by 20.3 g/gal to obtain grams NOx; and
                             by 1.35 g/gal to obtain PMi0. The tool multiplies the PMi0 value by 1.31
                             to obtain PM2.5. See Appendix A regarding the source of these fuel-
                             based  factors.
                  vi.   Electricity -
                         1.  The tool sums total kWh of electricity across line-haul, passenger, and
                             switchers
                         2.  The tool then multiplies total kWh by 0.690 to obtain grams NOx; by
                             0.058 for grams PM10; and by 0.033 for grams PM2 5. See Appendix C for
                             details.
3 LNG, CNG, and Electricity factors do not vary with engine tier.  Therefore the tool does not calculate
weighted averages based on tier level distributions, but simply uses the gallons and/or kWh amounts from
the Operations screen.

-------
    2.  Calculate g/ton-mile for each pollutant (three types of "ton-miles")
           a.   Grams per gross ton-mile: the tool divides the grams of each pollutant (fleet total) by
               gross ton miles entered on Operations screen.
           b.   Grams per revenue ton-mile: the tool divides the grams of each pollutant (fleet total) by
               revenue ton miles entered on Operations screen.
           c.   Grams per non-revenue ton-mile: the tool divides the grams of each pollutant (fleet
               total) by non-revenue ton miles entered on Operations screen.
    3.  Calculate g/railcar-mile for each pollutant
           a.   The tool divides the grams of each pollutant by total railcar miles (the bold total on the
               Cars screen)
    4.  Calculate g/truck-equivalent-mile
           a.   The tool first calculates the weighted average railcar volume for the entire fleet.
                   i.  The tool uses the final volumes for each car type - these may be the defaults,
                      provided by the user, or a combination thereof. The defaults represent the
                      national average values derived from the 2010 Rl reports, weighted by railcar
                      miles - see Table 3 below.
                   ii.  Using the distribution of total  railcar miles by type as the weighting factors, the
                      total railcar miles are summed (across Owned and Leased + private / Loaded +
                      Empty - that is, the far right column on the Cars screen) for each type to
                      determine the fractional contribution.  Fractions must sum to 1.00.
                  iii.  The tool applies weighting factors to final volumes by car type and sums across
                      all car types to obtain final weighted average railcar volumes (in cubic feet).
           b.   Calculate the "truckload equivalents" factor (TE): divide the weighted average railcar
               volume by 3,780  cubic feet.4
           c.   g/truck-equivalent-mile = g/railcar-mile / TE, and is calculated for each pollutant.
4 Truck industry average freight volume is 2.78 TEU = 3,780 cubic feet (see Shipper Tool Technical
Documentation, p. 24).

-------
            Table 3. National Average Railcar Volume Data (Tool Defaults)
Type in Tool
                 Railcar Type
                 Cubic
                 Feet
Source/Assumption
Key: Norfolk Southern (NS), Union Pacific (UP), Burlington
Northern Santa Fe (BNSF), CSX Transportation (CSX), Guide
to Railcars (GTRC), Chicago Rail Car Leasing (CRCL), Union
Tank Car Company (UTCC), U.S Department of Agriculture
(USDA)	
                 Boxcar 50 ft and
                 longer including
                 equipped
                 boxcars
                 7177
Box-Plain 50' +
Box Equipped
Based on the average of the following boxcar types:
50ft assumed to be 5694 [reflecting the average of 5355
(NS), 5431 (UP), 5238 (CSX), 6175 (BSNF), 6269 (GTRC)].
60ft assumed to be 6,648 [reflecting the average of 6618
(NS), 6389 (UP), 6085 (CSX), 7500 (BNSF)].
50ft high cube assumed to be 6,304 [reflecting the average
of 6339 (NS) and 6269 (CSX)].
60 ft high cube assumed to be 6917 [reflecting the average
of 7499 (NS), 6646 (CSX),  and 6607 (GTRC)].
86ft assumed to be 9999 (NS).
Autoparts assumed to be 7499 (NS).
                 Boxcar 40ft
                 4555
Box-Plain 40'
Based on estimate of 50ft boxcar volume described above.
Assumed 40ft length would result in 20% reduction in
volume.
Flat
TOFC/COFC
Flat General
Service
Flat all other
Flat car- all
types except for
multi-level
                                   6395
Based on the average of the following flat car types:
60ft assumed to be 6739 (BNSF).
89ft assumed to be 9372(BNSF).
Coil assumed to be 3387(NS).
Covered coil assumed to be 5294 [reflecting the average of
8328 (NS) and 2260 (BNSF)].
Centerbeam assumed to be 6546 [reflecting the average of
5857 (UP) and 7236 (BNSF)].
Bulkhead assumed to be 7030 (BNSF).
                 Multi-level flat
                 car
                 13625
Flat Multi level
Based on the average of the following multi-level flat car
types:
Unilevel (that carry very large cargo, such as
vehicles/tractors) assumed to be 12183 (NS).
Bi-level assumed to be 14381(NS).
Tri-level assumed to be 14313 (based on average of 15287
(NS) and 13339 (BNSF).
                 Flat Car-all
                 types-including
                 multi-level
                 7428
Based on the average volumes of the flatcar types
described above including multi-level as a single flat car
type.	
Gondola Plain
Gondola
Equipped
Gondola - all
types
Including
equipped
                                   5190
Based on the average of the following gondola car types:
52-53ft assumed to be 2626 [based on average of 2665 (NS),
2743 (CSX), 2400 (BNSF), and 2697(CRLC)].
60-66ft assumed to be 3372 [based on average of 3281 (NS),
3242 (CSX), 3350 (BNSF), CRCL-3670,and 3366 (GTRC)].
Municipal Waste assumed to be 7999 (NS).
Woodchip assumed to be 7781 [based on average of 7862
(NS) and 7700 (CRCL)].
Coal assumed to be 4170 [based on average of 3785 (NS)
and 4556 (BNSF)].	
Refrigerator
Mechanical
Refrigerated
non-
mechanical
Refrigerated -
Mechanical /non-
Mechanical
                                   6202
Based on the average of the following refrigerated car
types:
48-72ft assumed to be 6963 [based on average of 6043 (UP)
and 7883 (BNSF)].
50ft assumed to be 5167(GTRC).
40-90 ft  assumed to be 6476 [based on average of 6952 (UP)
and 6000 (BNSF)].	

-------
Hopper Oper
Top-General
Service
                 Open Top
                 Hopper
                 4220
       Based on the average of the following open top hopper car
       types:
       42ft assumed to be 3000 (UP).
       54ft assumed to be 3700 (UP).
       60ft assumed to be 5188 [based on average of 5125 (UP) and
       5250 (GTRC)]. 45ft+ assumed to be 4105 [based on average
       of 4500 (UP) and 3710 (BNSF).
       Woodchip assumed to be 7075 [based on average of 7525
       (NS), 5999 (UP), and 7700 (CRCL)].
       Small Aggregate assumed to be 2252 [based on average of
       2150 (NS), 2106 (BNSF), and 2500 (CRCL)].	
                 Covered Top
                 Hopper
                 4188
Hopper
Covered
       Based on the average of the following covered top hopper
       car types:
       45ft assumed to be 5250 (GTRC).
       Aggregate assumed to be 2575 [based on average of 2150
       (NS) and 3000 (CRCL)].
       Small Cube Gravel assumed to be 2939 [based on average
       of 2655 (NS), 3100 (CSX), and 3063 (BNSF).
       Med-Large Cube Ores and Sand assumed to be 4169 [based
       on average of 3750 (NS) and 4589 (BNSF)].
       Jumbo assumed to be 5147 [based on average of 4875 (NS),
       4462 (CSX), 5175 (BNSF), and 6075 (CRCL)].
       Pressure Differential (flour) assumed to be 5050 [based on
       average of 5124 (NS) and 4975 (CRCL)].	
Tank under
22,000 gallons
                 Tank Cars under
                 22,000 gallons
                 2314
       Assumes 1 gallon=0.1337 cubic foot (USDA).
       Based on small tank car average volume of 17304 gallons,
       which is the average of the following currently
       manufactured tank car volume design capacities of 13470,
       13710, 15100,15960, 16410,17300,19900,20000,20590, and
       20610 gallons (GTRC).	
Tank over
22,000 gallons
                 Tank Cars over
                 22,000 gallons
                 3857
       Assumes 1 gallon=0.1337 (USDA).
       Based on large tank car volume of 28851 gallons, which is
       the average of the following currently manufactured tank car
       volume design capacities of 23470, 25790, 27200, 28700,
       30000, 33000, and 33800 gallons (GTRC).	
All other cars
Work Equip &
company
Freight
No payment
car-miles
All Other Cars
5014
Based on average volume presented above for each of the
nine railcar types (all flatcars are represented by the line
item that includes multi-level flatcars - 7428).

-------
References
California Air Resource Board, Rail Yard Agreement, Sacramento California 2007.

U.S. Department of Transportation, Bureau of Transportation Statistics, Freight in
America, January 2006.

U.S. Department of Transportation, Surface Transportation Board, Form R-1
http://stb.dot.gov/stb/industry/econ_reports.html

United States Code of Federal Regulations Title 40 Section Chapter 1, Subchapter Q,
Part 600.113,- Fuel Economy Calculations

U.S. Environmental Protection Agency, Regulatory Support Document: Locomotive
Emission Standards Final Rule, 1997.

U.S. Environmental Protection Agency, 2009 Locomotive Emission Factor Study, Ann
Arbor, MI.2009.

U.S. Environmental Protection Agency, MARKAL Input Data for non-Light Duty
Vehicles, Research Triangle Park, NC 2009

-------
Appendix A:  Locomotive Emission Factors

-------
                      A-1. Fuel-based emission Factors
             Table A-1.1 - Line Haul Locomotive Emission Factors
                        (grams of pollutant per gallon)
Pollutant
Diesel
Biodiesel
(B-20)
CNG
LNG
NOy
270.402
1731

20.33
PM1(,
6.662
7.881

1.353
CO,
10,2172
9,4604
7,0304
3,8654
                  1. MARKAL data (2009)
                  2. EPA Locomotive Emission Factors (2009)
                  3. ARE Rail Yard Agreement (2007) in terms of diesel equivalents
                  4. 40 CFR 600.113
          Table A-1.2-Small Line-haul Locomotive Emission Factors
                        (grams of pollutant per gallon)
Small Line-
Haul
NOV
PMin
CO,
Emission Factor
g/gal
236.60
5.82
10,217
Small Line-haul locomotive emission factors were obtained from EPA's Locomotive
Emission Factors (2009).
               Table A-1.3 -Yard Locomotive Emission Factors
                        (grams of pollutant per gallon)
Yard
NOV
PMin
CO,
Emission Factor
g/gal
264.48
6.69
10,217
Uncontrolled yard locomotive emission factors were obtained from EPA's Locomotive
Emission Factors (2009).

-------
Appendix B:  Surrogate Locomotive Data

-------
Surrogate Data for Emission Estimation

Data provided in the R-1 reports have been compiled and evaluated to identify useful
surrogates that may help partners gap-fill missing data. Because the data is from
Class I operations, it may be biased to larger operations.
B-1  Surrogates for Calculating Fuel Consumption

The basic approach allows for emission calculations that roughly approximate
emissions using reported total annual fuel consumption. If annual fuel consumption data
are unknown, surrogate data, such as locomotive population, miles traveled, annual ton-
miles or TEU-miles, can be used to provide an estimate for line-haul locomotive fuel
consumption, as noted in the following table.
                       Table B-1 Fuel Usage Surrogates
Line-Haul
Surrogate Data
Options in
Absence of
Annual Fuel
Usage
Multiplication
Factor for
estimating Annual
Fuel Usage (gal/yr)


Number of
Locomotives
209,165
(gal/yr*locomotive)

Total
Annual
Miles
0.199
(gal/yr*total
miles)

Total Annual
Ton Miles
Freight
Transported
0.002
(gal/yr*ton
miles freight
transported)

Total Annual
TEU-mile
Equivalents
0.026
(gal/yr*TEU-mile
Equivalents)
When using the basic approach to estimate yard locomotive emissions, the number of
locomotives can be applied to the fuel consumption factors noted in the following
equation to estimate annual fuel usage:

Yard Fuel Use (gal/yr) = 195,451 (gal/yr*yard locomotive) x Number of Yard Locomotives
B-2  Surrogates for Metric Comparisons

The railroad model is designed to apply calculated emissions to a variety of operational
parameters. This allows the derivation of metrics that can be used as a reference point
to evaluate a partner's environmental performance relative to others.

In instances where the necessary information has not been provided, surrogate data
presented in Table B-2,  may be used to estimate total miles traveled or the total annual
ton-miles, based on the  number of active line-hail locomotives in the partner's fleet.
                                      B-1

-------
B-2

-------
Table B-2 Surrogates for Estimating Annual Miles and Ton-Miles
Metric for Which
Surrogate Data is
Needed
Multiplication
Factor for
Estimating Annual
Fuel Usage Based
on Number of
Locomotives
Total Annual Miles
Traveled
879,200
(miles/yr*locomotive)
Total Annual
Ton-Miles
70,276,700 (ton-
miles/yr*locomotive)
                            B-3

-------