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-12-054b Agency October 2012 ------- 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. ------- 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. ------- 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 ------- 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. ------- 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. ------- 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). ------- 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). ------- 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). ------- 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 ------- 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 ------- All emission factors listed here reflect uncontrolled (i.e., pre-Tier 0) emission levels. B-2 ------- 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 ------- 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 ------- 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 ------- |