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
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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-12-054b
Agency
October 2012
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SmartWay 2.0.11 Rail Tool
Technical Documentation
7-6-12
1.0 Data Sources
The technical approach recommended for the SmartWay railroad model was developed
to encourage railroad participation by providing methods to calculate emissions, fuel
consumption, and comparison metrics based, to the extent possible, based on data the
participating railroad companies have on hand and provide annually to the Department
of Transportation's Federal Railroad Administration (FRA). For example, the approach
presented uses data elements that Class 1 railway companies submit in their annual R-
1 reports. Class I Railroad companies can use their most recent R-1 data for this
SmartWay tool. The relevant data reported annually to the FRA's R-1 forms include:
Power Unit Information - Form 710
Locomotive Unit Miles - Form 755, lines 8-14
Railcar Miles by Type - Form 755, lines 15-84
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 need to provide detailed information to the FRA, 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.
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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 (CCb, NOx, PM-m and
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
10,180 gCO2/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
10,180 - (10,180 - 9,460) x (20/100) = 10,036 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.
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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/420fD9025.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
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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 PM10/2.5
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, PM10 and PM2.5.
ii. 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.
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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 estimate for grams of NOx, PMi0 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 PMi0/2.5 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 PM10. The tool multiplies the gallons 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 PM10. The tool multiplies the gallons 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 PMi0; 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.
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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.4
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 pollutant5
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 "Total" 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.6
c. g/truck-equivalent-mile = g/railcar-mile / TE, and is calculated for each pollutant.
4 Value reported in Smart Way Public Bin Export Report.
5 Value reported in Smart Way Public Bin Export Report.
6 Truck industry average freight volume is 2.78 TEU = 3,780 cubic feet (see Shipper Tool Technical
Documentation, p. 24).
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Table 3. National Average Railcar Volume Data (Tool Defaults)
Type in Tool
Box-Plain 50' +
Box Equipped
Box-Plain 40'
Flat
TOFC/COFC
Flat General
Service
Flat all other
Flat Multi level
Gondola Plain
Gondola
Equipped
Refrigerator
Mechanical
Refrigerated
non-mechanical
Hopper Oper
Top-General
Service
Railcar Type
Boxcar 50 ft and
longer including
equipped boxcars
Boxcar 40ft
Flat car -all types
except for multi-
level
Multi-level flat car
Flat Car -all
types-including
multi-level
Gondola- all
types
Including equipped
Refrigerated -
Mechanical /non-
Mechanical
Open Top Hopper
Cubic
Feet
7177
4555
6395
13625
7428
5190
6202
4220
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
(US DA)
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 hiqh cube assumed to be 6,304 [reflectinq the averaqe of
6339 (NS) and 6269 (CSX)].
60 ft hiqh 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).
Based on estimate of 50ft boxcar volume described above.
Assumed 40ft length would result in 20% reduction in volume.
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 [reflectinq the averaqe of 5857
(UP) and 7236 (BNSF)].
Bulkhead assumed to be 7030 (BNSF).
Based on the average of the following multi-level flat car types:
Unilevel (that carry very larqe carqo, such as vehicles/tractors)
assumed to be 12183 (NS).
Bi-level assumed to be 14381(NS).
Tri-level assumed to be 14313 (based on averaqe of 15287 (NS)
and 13339 (BNSF).
Based on the average volumes of the flatcar types described
above including multi-level as a single flat car type.
Based on the average of the following gondola car types:
52-53ft assumed to be 2626 [based on averaqe of 2665 (NS),
2743 (CSX), 2400 (BNSF), and 2697(CRLC)].
60-66ft assumed to be 3372 [based on averaqe 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)].
Based on the average of the following refrigerated car types:
48-72ft assumed to be 6963 [based on averaqe of 6043 (UP)
and 7883 (BNSF)].
50ft assumed to be 5167(GTRC).
40-90 ft assumed to be 6476 [based on averaqe of 6952 (UP)
and 6000 (BNSF)].
Based on the average of the following open top hopper car
types:
42ft assumed to be 3000 (UP).
54ft assumed to be 3700 (UP).
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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
(US DA)
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).
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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
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
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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,
10,180
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
C02
Emission Factor
g/gal
236.60
5.82
10,180
Uncontrolled yard 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
10,180
Uncontrolled yard locomotive emission factors were obtained from EPA's Locomotive
Emission Factors (2009).
B-1
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All emission factors listed here reflect uncontrolled (i.e., pre-Tier 0) emission levels.
B-2
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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
132,800
(gal/yr*locomotive)
Total
Annual
Locomotive
Miles
2.44 (gal/
locomotive
miles)
Total Annual
Ton Miles
Freight
Transported
0.002 (gal/ton
miles freight
transported)
Total Annual
TEU-mile
Equivalents
0.053
(gal/TEU-mile
Equivalents)
Values used to develop the surrogates were derived from the Bureau of Transportation
Statistics 2012 National Transportation Statistics Table 4-17
(http://www.bts.gov/publications/national_transportation_statistics/html/table_04_17.htm
I)
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-3
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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.
Table B-2 Surrogates for Estimating Annual Miles and Ton-Miles
Metric for Which
Surrogate Data is
Needed
Multiplication
Factor for
Estimating Train
miles or ton-miles
based on the
Number of
Locomotives
Total Annual Train
Miles Traveled
54,400
(miles/yr*locomotive)
Total Annual
Ton-Miles
63,744,000 (ton-
miles/yr*locomotive)
B-4
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Appendix C - Derivation of National Average g/kW-hr Emission Factors
From Argonne GREET Model Version 1 2011.
http://greet.es.anl.gov/
1. Electric Generation Mix (From Annual Energy Outlook 2010)
Residual oil
Natural gas
Coal
Nuclear power
Biomass
Others
U.S. Mix
1.0%
22.9%
46.4%
20.3%
0.2%
9.2%
Biomass Type assumed = 100% forest residue
Others = Hydro, Wind, Geothermal, Solar PV etc.
2. Electric Transmission and Distribution Loss = 8.0%
3. Power Plant Emissions: in Grams per kWh of Electricity Available at Power Plant Gate
NOx
PM10
PM2.5
CO2
GREET-Calculated Emission Factors
By Fuel-Type Plants (Stationary and Transportation)
Biomass- Biomass-
Coal- Fired: Fired:
Oil-Fired NG-Fired Fired Woody Herbaceous
0.833 0.578 1.058
0.157 0.023 0.100
0.118 0.023 0.050
834 505 1,083 1,086 1,016
CO2 in burnt biomass from atmosphere -1,086 -1,016
Biomass-
Fired:
Forest
Residue
1.169
0.135
0.067
1,379
-1,379
TOTAL based
on US Mix
0.634
0.054
0.030
627
Assumes no emissions from nuclear power plants or "Others"
4. Power Plant Emissions: Grams per kWh of Electricity Available at User Sites (wall
outlets)
Total power plant gate emissions/(l-electric transmission and distribution loss)
NOx
PM10
PM2.5
CO2
Total delivered based on US
electric generation mix
0.690
0.058
0.033
682
B-5
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