Transport Partnership
U.S. ENVIRONMENTAL PROTECTION AGENCY
Rail Carrier 2.O.I2 Tool:
Data Collection Overview and
Workbook ^^^S^
2012 Data Year - United States Version
Part 2 ^
&EPA
United States
Environmental Protection
Agency
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Transport Partnership
U.S. ENVIRONMENTAL PROTECTION AGENCY
Rail Carrier 2.O.I2 Tool:
Data Collection Overview and
Workbook
2012 Data Year - United States Version
Part 2
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-13-011
Agency
February 2013
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Introduction to Part 2: DATA COLLECTION OVERVIEW AND
WORKBOOK
This guide is Part 2 of a three-part series to help trucking companies participate in the SmartWay
Transport Partnership.
In this guide you will learn about:
1. The general organization of the SmartWay Rail Carrier Tool, and
2. Data needs for each section of the Tool.
You will also have the opportunity to collect your data using our data collection worksheets in
preparation for the data entry step (Part 3).
Please review this guide carefully BEFORE attempting to use the Tool or enter data. Understanding
the data requirements and gathering all data in advance will save considerable time and frustration
while completing your Tool submission.
If you wish to explore the Rail Tool in preparation for joining the program, please review Part 3: Data
Entry Guide and return to this workbook to prepare for gathering your data.
In the event that you have a question about any of the data collection activities, you can contact
SmartWay Email Support at smartway transport@epa.gov and a member of our SmartWay Partner
Support Team will assist you.
WARNING!
I
Completing the Rail Tool requires a considerable amount of information about your company
and the fleets/divisions that are joining SmartWay. There are multiple sections and screens
to complete for each fleet/division that you operate.
While you will have the ability to save your Tool along the way and return to it at anytime, we
STRONGLY ENCOURAGE you to review Part 1 to understand key information about joining the
Partnership. Then, use Part 2 of this series to learn about the data requirements and gather your data
BEFORE attempting to use Part 3 to complete the Tool.
Rail Carrier Tool Users Guide Part 2 I P. 3
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Overview of Data Collection Requirements
The SmartWay Rail Tool is the data collection and calculation system for rail carriers that join the
SmartWay Transport Partnership. There are four sections of the SmartWay Rail Tool that require data
about your company's operations:
1. Specify Official Partner Name
2. Enter Company Contact Information
3. Characterize Your Fleets/Divisions
4. Enter Activity and Fuel Information for Each of Your Fleets/Divisions
This guide will explore the data required for completing these four sections. Part 3 of the three-part user
guide series explains more about the structure of the Tool and the data entry process; this guide will
focus primarily on what you need to do to prepare for completing the Tool.
Section 1: Specify Official Partner Name
To begin, you must specify you company's Partner Name, exactly as you want it to appear on the
SmartWay website. For example, if your company's name includes "Inc." or "Ltd.", you may choose not
to include that in your Partner Name. Please also pay special attention to proper capitalization,
abbreviations, and punctuation.
Section 2: Enter Company Contact Information
SmartWay needs complete contact information for correspondence, web posting, press releases, and
awards and recognition (where applicable). The SmartWay Tool asks for:
General company information (e.g., location, web address, etc.)
A Primary Contact1 for any questions about your company's participation and Tool submissions
An Executive Contact2 for participation in awards and recognition events
Additional contacts (optional): Additional contacts may include your press/media contact, your
fleet/division manager, etc.anyone who is not the Primary Contact for Tool and participation
issues but may be involved in your involvement with SmartWay.
Please use Worksheet #1 in this guide to prepare for filling out the Contact Information Screen in the
Rail Tool.
The Primary Contact is the individual designated by the Executive Contact to directly interface with SmartWay regarding specific tasks
involved in the timely submission of the Tool. The Primary Contact is responsible for coordinating the assembly of information to
complete/update fleet/division data; completing and updating the tool itself; maintaining direct communication with SmartWay; and keeping
interested parties within the company apprised of relevant developments with SmartWay.) NOTE: To ensure that emails from SmartWay/EPA
are not blocked, new Primary Contacts may need to add SmartWay/EPA to their preferred list of trusted sources.)
The Executive Contact is the company executive who is responsible for agreeing to the requirements in the SmartWay Partnership
Agreement, overseeing the Primary Contact (as appropriate), and ensuring the timely submission of the tool to SmartWay. The Executive
Contact also represents the company at awards/recognition events. This person should be a Vice President or higher level representative for
the company.
Rail Carrier Tool Users Guide Part 2 I P. 4
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Section 3: Characterize Your Fleets/Divisions
The SmartWay Rail Tool allows you to characterize your operations at the fleet/division level. In the Rail
Tool, a fleet/division is defined as any business unit that a customer has discretion to hire.
If you are a small company (e.g., Class 3) you will only have one fleet/division
If you are a large rail company (e.g., Class 1), you may have several fleets/divisions
NOTE: You may enter multiple fleets/divisions into a single Tool submission.
SmartWay highly recommends developing your list of fleets/divisions offline using a company
organization chart or perhaps a customer interface webpage. The best strategy is to have a clear idea of
how to define your fleets/divisions before filling out the Tool.
Your company's name and your fleet/division name(s) will be listed on the SmartWay website to
indicate your participation in the SmartWay Transport Partnership. Your shipper and logistics customers
can also use the SmartWay Online Database to search for your company by the name you submit in the
Tool.
\ Therefore, it is critical that you identify your company and fleet/division(s) in the Tool as
3 you would have them appear on the SmartWay website.
The data requirements for the "Characterize Your Fleets" section are described below.
Please use the Worksheet #2 provided in this guide to prepare for filling out the Characterize Fleets
section in the Rail Tool.
NOTE: You may wish to print multiple copies of Worksheet #2 if you have multiple fleets/divisions.
Data Requirements for "Fleet Characterization" Screen
For each fleet/division, you will need to specify:
Partner Name: On the SmartWay website, each of your fleet/division names will begin with the
name of your company. This fleet/division "prefix" will be whatever you enter in the Partner
Name field on the Fleet Characterization screen. By default, this field is automatically
populated with the first 50 characters of the Partner Name that is entered on the Home screen.
You should specify the name so that it appears EXACTLY as it you want it to show within each
fleet/division name. (For example, if your company's name includes "Inc." or "Ltd.", you may
choose not to include that in your fleet/division names.) Please pay special attention to proper
capitalization, abbreviations, and punctuation.
Fleet/Division Identifier: Specify each fleet/division identifier exactly as you want it displayed
on the SmartWay website, including proper capitalization, any abbreviations, and punctuation.
Remember that it will automatically be combined with the Partner Name field.
Class: Enter the Class of the associated rail fleet/division (1, 2, or 3).
Rail Carrier Tool Users Guide Part 2 I P. 5
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Fleet Contact: This contact should be one of the contacts you already identified in the Contact
Information section as the contact for each fleet/division. NOTE: A drop-down menu in the
tool will supply this information; if you need a contact for the fleet/division that is not already
listed in the Contacts Information screen, you will need to go back to that screen to add the
required contact information.
Section 4: Enter Activity and Fuel Information for Each of Your Fleets/Divisions
Once you have identified and characterized your fleets/divisions, you will be asked to provide additional
information for EACH fleet/division separately. Much of this information will be directly available for
Class 1 rail carriers from their most recent R-l report data.
NOTE: If you are a new SmartWay Partner you should enter the most recent 12 months of
data into the Tool. If you do not have a full year of operational data, please collect a
minimum of three months' data for input into the SmartWay Tool. In your next update year,
you will be required to submit a full year's data.
Data Requirements for "Power Units" Screen
Please use the Worksheet #3 provided in this guide to prepare for filling out the Power Units section
in the Rail Tool (make one copy for each fleet/division).
You will need to provide power unit information about the selected fleet/division.
Specify the number of power units or hours per year operated during the
reporting period, by engine tier level. Depending up the Data Input Method
selected, this information may be broken out by line haul and switch engines.
Under method 1 you may aggregate your fleet's line-haul and switch units together,
while method 2 requires that you report the unit type counts separately. Methods 3
and 4 are similar, but require inputting hours of operation by tier, rather than unit
counts.3 For Class 1 operators, please refer to Rl form, schedule 710 for details. The
different engine tier level definitions are provided below:
o Non-tier - manufactured before 1972
o Tier 0 - manufactured between 1972 and 2001
o Tier 0+ - manufactured between 1972 and 2001, and remanufactured after 2010
o Tier 1 - manufactured between 2002 and 2004
o Tier 1 - manufactured between 2002 and 2004 and remanufactured after 2010
o Tier 2 - manufactured between 2005 and 2011
o Tier 2+ - manufactured between 2005 and 2011 and remanufactured after 2013
o Tier 3- manufactured between 2012 and 2014
Next, Class 1 operators must enter your fleet's Total Locomotive Unit Miles/Year data
under Part B. Break out your unit miles data by line haul and switching categories, as
3 In general, method 4 will provide the most accurate estimate for NOx and PM emissions.
Rail Carrier Tool Users Guide Part 2 I P. 6
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appropriate. This data is available in the R-l forms for Class 1 railroads (see lines 8-14 of
Schedule 755). Class 2 and 3 operators do not enter this information.
Finally, you will need to provide a detailed description of the data sources used to
obtain your power unit data (e.g., R-l Form section and line numbers).
Data Requirements for "Cars" Screen
Please use the Worksheet #4 provided in this guide to prepare for filling out the Cars section in the
Rail Tool (make one copy for each fleet/division).
Class 1 operators will need to provide power unit information about the selected fleet/division. (Class 2
and 3 operators do not enter this information.)
Specify your fleet's annual railcar miles for the reporting year, by car type (e.g., box,
gondola, etc.) and ownership type (Owned/Leased or Private). These data may be
obtained from R-l Report Section 755 (see lines 15 - 84).
If available, also provide your fleet-specific railcar volumes by car type.
NOTE: All car-mile data should be entered as actual miles, NOT 1,000s of miles (as presented in the R-
1 Report).
Data Requirements for "Operations" Screen
Please use the Worksheet #5 provided in this guide to prepare for filling out the Operations section in
the Rail Tool (make one copy for each fleet/division).
You will need to provide power unit information about the selected fleet/division:
Specify your fleet's annual fuel consumption and ton-mile data. Record annual fuel use
per year by fuel type (diesel, biodiesel, LNG, CNG, and electric) and train category
(freight, passenger, and switch). Petroleum diesel, biodiesel, and LNG entries must be in
gallons per year. Specify CNG units indicating standard cubic feet or gasoline-equivalent
gallons per year. Electricity use is specified in kWh/year. If you indicate biodiesel
consumption data, you must also specify the fleet average fuel blend level (between 0
and 100). For Class 1 operators, please refer to R-l form, schedule 750, lines 1-3 for
details.
Specify your gross, revenue, and non-revenue ton-mile data. This data is available for
Class 1 operators from R-l Report Section 755, lines 104, 110, and 113, respectively.
NOTE: All ton-mile data should be entered as actual ton-miles, NOT 1,000s of ton-miles (as presented
in the R-l Report).
Rail Carrier Tool Users Guide Part 2 I P. 7
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Worksheets for Data Collection
List of Worksheets
#1: Contact Worksheet 9
#2: Fleet/Division Characterization Worksheet 10
#3: Power Units Information Worksheet 11
#4: Cars Information Worksheet 12
#5: Operations Information Worksheet 14
Rail Carrier Tool Users Guide Part 2 I P. 8
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Worksheet #1: Company Contact Information
#1. Enter your Contact Information:
General Company Contact Information
Company Name
Headquarters
Mailing Address
City
Main Phone
Number
State/Province Zip Country
Toll-free Number Cell Web Address
number
Primary Contact Information
Primary Contact Name
Primary Contact Mailing
Address
City
Primary Contact Phone
Number
State/Province Zip Country
Email
Address
Executive Contact Information
Executive Contact Name
Executive Contact Mailing
Address
City
Executive Contact Phone
Number
State/Province Zip Country
Email
Address
Other Contact Information
Executive Contact Name
Executive Contact Mailing
Address
City
Executive Contact Phone
Number
Contact's role in program
State/Province
Email
Address
Zip Country
Rail Carrier Tool Users Guide Part 2 I P. 9
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Worksheet #2: Fleet/Division Characterization
Complete this worksheet for each fleet/division you will be submitting in the Rail Tool.
Specify Company/ Division Name (exactly as it should appear on the SmartWay website):
Partner Name
Fleet/Division Identifier
Railroad Class (1, 2, 3)
Fleet/Division Contact:,
Rail Carrier Tool Users Guide Part 2 I P. 10
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Worksheet #3: Power Units Information
Complete this worksheet for each fleet/division you will be submitting in the Rail Tool.
Specify Power Unit Inventory by Engine Tier
Inventory Basis (circle one): # Units Hours/Yr
Engine Tier Line Haul Switch Total*
non-Tier
0
0+
1
1+
2
2+
3
* If you cannot differentiate line haul and switch inventories, enter # Units or Hours/Yr for Totals only
Total Locomotive Unit Miles/Year (Class 1 Operators Only):
Unit Trains
Way Trains
Through Trains
Train Switching
Yard Switching
Describe the data source used to develop the above data:
Rail Carrier Tool Users Guide Part 2 I P. 11
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Worksheet #4 Car Data (page 1 of 2)
Complete this worksheet for each fleet/division you will be submitting in the Rail Tool.
Fleet/Division Name:_
Railcar Miles/Year (Class 1 Operators only):
Box -Plain 40'
Box -Plain 50'
Box Equipped
Gondola Plain
Gondola Equipped
Hopper Covered
Hopper Open Top - General
Refrigerated Mechanical
Refrigerated Non-Mechanical
Flat TOFC/COFC
Flat Multi-Level
Flat General Service
Flat All Other
Tank Under 22,000 gallons
Tank Over 22,000 gallons
All Other Cars
Work Equipment and Company Freight
No Payment Car-Miles
Owned and Leased
Loaded
Empty
Private
Loaded
Empty
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Worksheet #4: Car Data (page 2 of 2)
For each fleet/division, enter the fleet-specific volume in cubic feet for each car type. If you do not have this data,
the Rail Tool will apply national average volume estimates.
Box -Plain 40'
Box -Plain 50'
Box Equipped
Gondola Plain
Gondola Equipped
Hopper Covered
Hopper Open Top - General
Refrigerated Mechanical
Refrigerated Non-Mechanical
Flat TOFC/COFC
Flat Multi-Level
Flat General Service
Flat All Other
Tank Under 22,000 gallons
Tank Over 22,000 gallons
All Other Cars
Work Equipment and Company Freight
No Payment Car-Miles
Volume (cu ft)
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Worksheet #5: Operations Data
Complete this worksheet for each fleet/division you will be submitting in the Rail Carrier FLEET Tool.
Enter Fuel Use/Yr:
Fuel Type
Diesel
BiodieselA
LNG
CNG
Electricity
Units
gal/yr
gal/yr
gal/yr
gal/yr cu ft/yr *
kWh/yr
Freight
Passenger
Switching
* circle one
A Biodiesel blend % (if applicable):
Gross Ton-Miles/Yr
Revenue Freight Ton-Miles/Yr
Non-Revenue Freight Ton-Miles/Yr
. (Rl, Schedule 755, line 104)
. (Rl, Schedule 755, line 110)
. (Rl, Schedule 755, line 113)
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Next Steps
Now that you understand the data collection requirements for the SmartWay Rail Tool, and you have
collected the data you need in the worksheets, you are ready to download the Tool and begin the data
entry process. Part 3 of the user guide series will guide you through the Tool screens, and help you
enter the data and troubleshoot any problems you may have with your submission. Please visit
http://www.epa.gov/smartway/partnership/rail.htm to download Part 3: Data Entry Guide and the Rail
Tool if you haven't already.
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