Transport Partnership
U.S. ENVIRONMENTAL PROTECTION AGENCY
Rail Carrier Partner 2.O.I4Tool:
Data Collection Overview and
Workbook                ^^^S^
2OI4 Data Year - United States Version
      Unilc-d 5'.n:es
      Errijiron
      Agency

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Transport Partnership
U.S. ENVIRONMENTAL PROTECTION AGENCY
Rail Carrier Partner 2.O.I4Tool:
Data Collection Overview and
Workbook                    ^      ^
2OI4 Data Year - United States Version
Transportation and Climate Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
        i:wJ Stales                   Office ofTransportation and Air Quality
       ErYvironmerU*! PtnatBCtion                        EPA-420-B-15-015
                                          .- .   -.-
                                          February 2015

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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!

          Completing the Rail Tool requires a considerable amount of information about your company
          and the fleets that are joining SmartWay.  There are multiple sections and screens to
complete for each fleet 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. 1

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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
    4.  Enter Activity and Fuel Information for Each of Your Fleets

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 such as location, web address, phone number, etc.
       A Working 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 anyone who is not the Working
        contact but may be involved with SmartWay (e.g., press/media contact, fleet manager, etc.).
Note that you MUST have at least two contacts listed in the contact information section of the Tool, and
the Working and Executive Contacts must be different.  SmartWay recommends developing an internal
1 The Working 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 Working Contact is responsible for coordinating the assembly
of information to complete/update company 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 Working contacts may need to add SmartWay/EPA to their
preferred list of trusted sources.)

2 The Executive Contact is the company executive who is responsible for agreeing to the requirements in the SmartWay
Partnership Agreement, overseeing the Working 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. 2

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succession plan to make sure that your Truck Carrier Tool submission  schedule is maintained, in the
event that a Working Contact is reassigned, or leaves the company for any reason.

Please use Worksheet #1 in this guide to prepare for filling out the Contact Information Screen in the
Rail Tool.
                                                         Rail Carrier Tool Users Guide Part 2 I P. 3

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Section 3:  Characterize Your Fleets

The SmartWay Rail Tool allows you to characterize your operations at the fleet level. In the Rail Tool, a
fleet 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
      If you are a large rail company (e.g., Class 1), you may have several fleets

NOTE: You may enter multiple fleets into a single Tool submission.

SmartWay highly recommends developing your list of fleets 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 before filling out the Tool.

Your company's name and your fleet 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(s) in the Tool as 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.

Data Requirements for "Fleet  Characterization" Screen

For each fleet, you will need to specify:

      Fleet (Partner Name): On the SmartWay website, each of your fleet names will begin with the
       name of your company. This fleet name 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 name. (For
       example, if your company's name includes "Inc." or "Ltd.", you may choose not to include that in
       your fleet names.)  Please pay special attention to proper capitalization, abbreviations, and
       punctuation.

      Fleet Identifier: Specify each fleet 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 (1, 2, or 3).

      Fleet Contact: This contact should be one of the contacts you  already identified in the Contact
       Information section as the contact for each fleet. NOTE: A drop-down menu in the tool will
                                                        Rail Carrier Tool Users Guide Part 2 I P. 4

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       supply this information; if you need a contact for the fleet 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

Once you have identified and characterized your fleets, you will be asked to provide additional
information for EACH fleet 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).

You will need to provide power unit information about the selected fleet.

             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
              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.
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. 5

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              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).

Class 1 operators will need to provide power unit information about the selected fleet. (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).

NOTE:  Hopper Open Top cars should include activity for both general service hoppers and special
service hoppers.

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).

You will need to provide power unit information about the selected fleet:

              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).

NOTE: Switch engine fuel usage should also include fuels used by Work Trains involved  in track
maintenance (Schedule 750 line 6).
                                                         Rail Carrier Tool Users Guide Part 2 I P. 6

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Worksheets for Data Collection
List of Worksheets




   #1: Company Contact Information	8




   #2: Fleet Characterization	9




   #3: Power Units Information	10




   #4: Car Data	11




   #5: Operations Data	13
                                                   Rail Carrier Tool Users Guide Part 2 I  P. 7

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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
Working Contact Information
Working Contact Name
Working Contact Mailing
Address
City
Working 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
Other Contact Name
Other Contact Mailing
Address
City
Other Contact Phone Number
Contact's role in program




State/Province


Email
Address
Zip Country


                                               Rail Carrier Tool Users Guide Part 2 I P. 8

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Worksheet #2: Fleet Characterization
Complete this worksheet for each fleet you will be submitting in the Rail Tool.




Specify Company/ Fleet Name (exactly as it should appear on the SmartWay website):




Fleet (Partner) Name	




Fleet Identifier	
Railroad Class (1, 2, 3).




Fleet Contact:	
                                                    Rail Carrier Tool Users Guide Part 2 I P. 9

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Worksheet #3: Power Units Information
Complete this worksheet for each fleet 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. 10

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Worksheet #4 Car Data (page 1 of 2)
Complete this worksheet for each fleet you will be submitting in the Rail Tool.
Fleet 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*
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


















                *lncludes both general and special service
                                                                                                                       11 | Page

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Worksheet #4: Car Data (page 2 of 2)
For each fleet, 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*
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)


















                     *lncludes both general and special service
                                                                                12 | P a g e

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Worksheet #5: Operations Data
Complete this worksheet for each fleet 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)
                                                                            13 | P a g e

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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/forpartners/index.htm to download Part 3: Data Entry Guide and the
Rail Tool if you haven't already.
                                                                               14 |  P a g e

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