'^vSmartWay Transport Partnership U.S. Environmental Protection Agency 2018 SmartWay Multimodal Carrier Partner Tool: User Guide U. S. Version 2.0.17 (Data Year 2017) ggEES www.epa.gov/smartway SmartWayy .SmartWay^ vSmarlWuyj vvEPA United States Environmental Protection Agency ------- "^^SmartWay Transport Partnership U.S. Environmental Protection Agency 2018 SmartWay Multimodal Carrier Partner Tool: User Guide U. S. Version 2.0.17 (Data Year 2017) Transportation and Climate Division Office of Transportation and Air Quality U.S. Environmental Protection Agency United States Environmental Protection ^1 Agency Office ofTransportation and Air Quality EPA-420-B-18-026 May 2018 ------- Table of Contents PRE-CHECKLIST - BEFORE GETTING STARTED 2 IS THIS THE RIGHT SMARTWAY TOOL FOR ME? 2 WHAT IS THE SMARTWAY TRANSPORT PARTNERSHIP? 2 WHY DO MULTIMODAL CARRIERS JOIN THE SMARTWAY TRANSPORT PARTNERSHIP? 3 HOW DO MULTIMODAL CARRIERS JOIN THE SMARTWAY TRANSPORT PARTNERSHIP? 3 HOW DO I JOIN IF MY PARENT COMPANY HAS MULTIPLE FLEETS? 4 WHAT DATA DO I NEED TO GATHER TO COMPLETE THE MULTIMODAL CARRIER TOOL? 4 WHAT SOFTWARE & HARDWARE IS REQUIRED FOR COMPLETING THE MULTIMODAL CARRIER TOOL? 5 HOW DO I SET THE SECURITY LEVEL WHEN OPENING SMARTWAY TOOLS? 5 WHAT IS INCLUDED IN THE SMARTWAY CARRIER PARTNERSHIP AGREEMENT? 17 STEP 1-DATA COLLECTION REQUIREMENTS 19 INTRODUCTORY SCREENS 19 AUTO-POPULATION 19 DATA REQUIREMENTS FOR ESTABLISHING YOUR DATA COLLECTION YEAR 19 DATA REQUIREMENTS FOR SECTION 1: SPECIFY OFFICIAL PARTNER NAME 20 DATA REQUIREMENTS FOR SECTION 2: ENTER CONTACT INFORMATION 20 DATA REQUIREMENTS FOR SECTION 3: DEFINE YOUR COMPONENT FLEETS 21 DATA REQUIREMENTS FOR SECTION 4: DOWNLOAD LATEST SMARTWAY CARRIER DATA FILE 25 DATA REQUIREMENTS FOR SECTION 5: DATA ENTRY FOR COMPONENT FLEETS 26 DATA REQUIREMENTS FOR SECTION 6: DEFINE YOUR COMPOSITE FLEETS 26 STEP 2—DATA ENTRY 27 DOWNLOADING THE SMARTWAY MULTIMODAL CARRIER TOOL 27 HOW TO SET SECURITY LEVELS FOR THE SMARTWAY TOOLS 27 ENTERING PARTNER NAME 27 ENTERING CONTACT INFORMATION 27 ENTERING COMPONENT FLEET CHARACTERISTICS 29 ENTERING COMPONENT FLEET ACTIVITY INFORMATION 33 ENTERING COMPOSITE FLEET DATA 33 STEP 3 - RESULTS AND SUMMARY REPORTS 36 STEP 4 - SUBMITTING YOUR TOOL TO EPA 37 APPENDIX A - CALCULATING COMPOSITE FLEET PERFORMANCE METRICS 38 APPENDIX B: WORKSHEETS FOR DATA COLLECTION 40 WORKSHEET #1: COMPANY AND CONTACT INFORMATION 40 WORKSHEET #2: COMPONENT FLEET CHARACTERIZATION 41 WORKSHEET #3A: IDENTIFY COMPOSITE FLEETS AND COMPOSITE FLEET DETAILS 42 WORKSHEET #3B: ALLOCATE COMPONENT FLEETS 43 1 | P a g e ------- PRE-CHECKLIST — BEFORE GETTING STARTED WARNING: ***Before beginning, use this chart to make sure you are choosing the right tool for your operations! *** IS THIS THE RIGHT SMARTWAYTOOL FOR ME? YES NO YES NO YES NO Use Truck Tool Use Logistics Tool Use Multimodal Tool Contact SmartWay for more information You contract out more than 5% of your freight (i.e., you are a 3PL, broker, freight forwarder or non-asset based carrier. You operate your own managed fleet (owned or leased) with less than 5% of your freight contracted with outside companies. You operate your own managed fleet and: Move 5% or more of your freight with a third-party provider, or move more than 10% of your freight via rail, barge, and/or air. If none of the above statements is applicable, contact EPA SmartWay at 734-214-4647 for assistance. What Is The SmartWay Transport Partnership? Launched in 2003, the SmartWay Transport Partnership is a public/private collaboration between the EPA and the freight industry to improve fuel efficiency, increase environmental performance, and encourage supply chain sustainability. Seven types of freight transport companies can join SmartWay. • Freight shippers 2 | P a g e ------- • Logistics companies (including 3PLS/4PLS1) • Truck carriers • Rail carriers • Barge carriers • Multimodal carriers • Air carriers Companies join the SmartWay Transport Partnership by submitting a Partner Tool to SmartWay. The SmartWay Tools (1) assess freight operations; (2) calculate fuel consumption and carbon footprints; and (3) track fuel-efficiency and emission reductions. SmartWay Tools must be submitted each year for the company to remain a Partner in good standing. Tools submitted and approved on time qualify partners to use the SmartWay Logo. SmartWay ranks Partners' efficiency and environmental performance and recognizes superior performance through the SmartWay Excellence Awards. Why Do Multimodal Carriers Join The SmartWay Transport Partnership? The SmartWay Transport Partnership provides multimodal carriers with ways to reduce the environmental impact of their freight operations and address costs. Designed with and for the freight sector, the SmartWay Transport Partnership delivers solutions to marketplace needs and challenges. With access to the latest in EPA-tested technologies and peer-provided success stories, carriers that join the SmartWay Transport Partnership can gain a better understanding of their environmental footprint and assert their corporate leadership. Additionally, SmartWay Partners are associated with an internationally recognized and respected brand that symbolizes cleaner, more efficient transportation choices. How Do Multimodal Carriers Join The SmartWay Transport Partnership? Multimodal Carriers join SmartWay by submitting a SmartWay Multimodal Carrier Tool (hereafter known as the "Multimodal Carrier Tool.") Multimodal Carriers that submit tools that are approved by EPA are known as "SmartWay Multimodal Carrier Partners." When a multimodal carrier submits a Multimodal Carrier Tool to EPA, they agree to the requirements stipulated in the SmartWay Carrier Partnership Agreement-notably, that they will measure and report the emissions performance of their company annually and provide supporting documentation to EPA upon request. 1 3PLs/4PLs Third party logistics/fourth-party logistics companies 3 | P a g e ------- All SmartWay Multimodal Carrier Partners agree to complete and submit the SmartWay Multimodal Carrier Tool to: • define company composition • characterize company activity • individually benchmark fleets • track annual changes in performance Upon approval of a Multimodal Carrier Tool submission, multimodal carriers will be identified as SmartWay Multimodal Carriers Partners on EPA's website on the SmartWay Partner List and in a database used to identify companies that meet SmartWay's annual requirements. The carrier will also receive information on how to access its current SmartWay Registration Document. How Do I Join If My Parent Company Has Multiple Fleets? Companies that join the SmartWay Partnership should include all of their fleets and trucks in their submission. If a company wishes to list multiple fleets in the Multimodal Carrier Tool, they should list these fleets as their customers can hire them. Internal fleets invisible to a customer should not be listed separately. Companies will be listed at the Company level in the SmartWay Partner list on the SmartWay website, and each individually defined fleet will appear as a separate entity in the SmartWay Carrier Data file that customers use to identify which fleets they do business with in the Shipper and/or Logistics Tools. SmartWay highly recommends developing your list of fleets before beginning your data entry process. Any fleet that a shipper or logistics company could hire directly should be listed as a separate fleet in your Truck Carrier Tool submission. The best strategy is to have a clear idea of how to define your companies before filling out the Tool. What Data Do I Need To Gather To Complete The Multimodal Carrier Tool? To participate in SmartWay, multimodal carriers need to gather the following essential information to complete the Multimodal Carrier Tool: • The official company name EXACTLY as you would like it presented on the EPA website and other EPA communications • Company contact information • Contact details for your Working Contact (see page 5 for definition) • Contact details for an Executive, Sustainability, and/or Other Contact(s) (Executive cannot be the same as the Working Contact) (see page 10 for definition) • Fleet details: o Types of equipment o Vehicle/vessel/aircraft use by type o Fuel types and amount used 4 | P a g e ------- o Engine information, total ton-miles and total miles) plus: o Operation categories o Body Types o Business Unit Focus (e.g., logistics provider, freight forwarder, freight broker, or truck carrier) for the Logistics Tool only o Composite fleet names and associated component fleets o Component fleet allocation percentages o SCAC, Motor Carrier Numbers (MCNs), DOT numbers, and/or National Safety Codes (NSCs, for Canadian-registered trucks) for composite fleets o Split between US/Canada operations for composite fleets • Data sources • SmartWay ID number (if this is not your first tool submission) This data should be provided for all of your company's fleets. This data reflects the amount of freight carried by each carrier, the distance that freight is carried, and the fuel consumed to carry the freight. What Software & Hardware Is Required For Completing The Multimodal Carrier Tool? The Multimodal Carrier Tool was designed in "Microsoft Excel Forms." Completing the Multimodal Carrier Tool requires the following software and hardware: • A 2003 or later version of Microsoft Excel* • Excel security level set at Medium or lower • A PC running Windows XP or newer operating system (The Tool does not currently work using the Mac operating system) • A minimum of 15 megabytes of free disk space. More disk space may be required based on the number of companies you define in yourTool • A monitor resolution of at least 1,024 x 768 *The Excel web application in MS Office 365 (the cloud-based version of the Office operating system) does not currently support the macros used in the SmartWay tools. Therefore, SmartWay tools do not function in Office 365 at this time. Please check with the user guides for your computer, online support, or your company's IT department to make sure your system is set up to use the Multimodal Carrier Tool. HOW DO I SET THE SECURITY LEVEL WHEN OPENING SMARTWAY TOOLS? When you first open the Tool you may see a new "Protected View" security warning from Microsoft: 5 | P a g e ------- IXl 2016-09-21_shipper - Copyjcfe [Protected V Home Insert Page Layout Formulas Data Review View Developer A & \3 J *) - r* - /¦= ffl w * § p- J41 $3,$. i3i T 1 EJ Protected View Office has detei our computer. Click for more de tails. AH19 Jfv [dickfor more details] NOTE - THE SMARTWAY TOOL IS IN THE SAME FORMAT AS PRIOR YEARS AND IS SAFE TO OPEN ON YOUR COMPUTER. FOLLOW THESE STEPS TO PROCEED. 1) Select the "Click for more details" iirsk at the end of the message in the menu bar shown above. 2) In the Microsoft Office File menu, choose the large "Edit Anyway" button located on the left next to the Protected View information section as shown below. 2016-09-21_shipper - Copy.xls [Protected View] - Microsoft Excel Page Layout Formulas Save [i^S. Save As Open P31 Close Recent New Print Help jsj Options Q Exit Information about 2016-09-21_shipper - Copy R:\ECON\brielle.bkm\SmartWay\Shipper\2016\2016-09-21_shipper - Copy jets [> Edit Anyway Protected View Office has detected a problem with this file. Editing it may be dangerous. To help keep your computer safe this file has been opened in Protected View. You should only enable editing if you trust the contents of the file. Protected View Settings . Learn more about Protected View Properties - Size Title Tags Categories 12.9MB None None Related Dates Last Modified Today, 11:12 AM Created 4/16/2015 11:16 AM Last Printed 9/19/2016 3:51 AM Related People Author BMeade Last Modified By BMeade Related Documents j Open File Location Show All Properties Next, the following instructions should appear on your screen //you need to change additional security settings before running the Tool. The instructions differ depending upon what version of Excel you use (Excel 2003, 2007, 2010, or 2013). 6 | P a g e ------- Security Settings for Excel 2003 Users To use the ShipperTool in Microsoft Excel 2003, you will need to have your security levels set to "Medium." D wkjcwir Ercai Macro Setting Tabs in Excel 2003 1. When using Excel 2003, on the menu bar, go to Tools Macro Security Level. 2. When the "Security" window opens, select the "Medium" level, and select OK. Security | ? I| X | !.S^yr!ty.Leve! j Trusted Publishers O Very High. Only macros installed in trusted locations will be allowed to run, All other signed and unsigned macros are disabled. O High. Only signed macros from trusted sources will be allowed to run. Unsigned macros are automatically disabled. ® Medium. You can choose whether or not to run potentially unsafe macros. O Low (not recommended). You are not protected from potentially unsafe macros. Use this setting only if you have virus scanning software installed, or you have checked the safety of all documents you open. OK I [ Cancel Security Level Setting Screen in Excel 2003 7 | P a g e ------- Running the Tool in Microsoft Excel 2003 1. Save the Tool to your computer in a folder on your hard drive. 2. Go to that folder and double-click on the file to open the Tool. 3. You will see a security-warning box appear. Select the security-warning box. Security Warning "S:\5martWay\Shipper.xls" contains macros, Enable Macros button in the Macros may contain viruses, It is usually safe to disable macros, but if the macros are legitimate., you might lose some functionality, Disable Macros Enable Macros More Info Screen showing "Enable Macros" button The Welcome Screen for the Shipper Tool should then appear and you will be ready to begin working on your tool. Security Settings for Excel 2007 Users The default settings for Excel 2007 should enable you to run the Tool without any changes. Running the Tool in Microsoft Excel 2007 1) Save the Tool to your computer. 2) Open the file, and select the Options,,, button that appears after the Security Warning just below the menu bar. Detailed instructions are also provided on the screen itself. 8 | P a g e ------- ppertooLvideo version JM-14.xlsjCompatibility ModelVMitrosoft Exc Data Review View Develop! M m gi 3'Wrap T, S « if tp: rjj Merge & Cente 3* Delete * ffl rmattlng" as Table * Styles * format ¦ Security Warning Some ac f*\ Security Settings for the Tool I Security Settings for the Tool 2 (Pour des instructions en frangais, failes defiler vers la droite.->) 3 In order to run this application, you must have macros enabled. , For Excel 2007. Excel 2010. and Excel 2013 Users: (If you are using Excel 2003. please scroll down.l If an "Options..." button appears in the menu bar above, follow these instructions: 1 Click the Options button. This button appears after the Security Warning in the Excel 2007 menu bar s 2 Enable content In the Microsoft Office Security Options dialog box, choose "Enable this content" and click OK If the "Options..." button does not appear, use the instructions below. [NOTE: If you do not have a round Office button (a shown in the picture below), you are probably using an earlier version of Excel, in which case you need to scroll to the instructions for Excel 2003 users.] 1. Click the Office button. This button appears in the top left comer of the screen in Excel 2007/2010. 2. Go to Excel Options. Click the "Excel Options" button in the bottom right corner of the pull-down menu: 3. Go to the Trust Center. On the Excel Options screen, click on Trust Center in the left navigation bar. 4. Go to the Trust Center Settings. Click on Trust Center Settings in the bottom right portion of the screen 5. Change security settings. Choose the setting "Disable all macros with notification" and click OK. 6. Reopen the file. Close the Excel file and then re-open it , For Excel 2003 Users: Security Warning Screen 3) In the Microsoft Office Security Options dialog box, choose "Enable this content" and select OK. Microsoft Office Security Options Security Alert Macro Macro Macros have been disabled. Macros might contain viruses or other security hazards. Do not enable this content unless you trust the source of this file. Warning: It is not possible to determine that this content came from a trustworthy source. You should leave this content disabled unless the content provides critical functionality and you trust its source. More information File Path: C: ^martway Shipper. xis O Help protect me from unknown content (recommended) 0 iEnable this content! PnpnttieTnmtf>ntfT [ OK | | Cancel Security Options Dialogue Box The Welcome Screen for the Shipper Tool should then appear and you will be ready to begin working on your tool. 9 | P a g e ------- Troubleshooting the Security Settings in Microsoft Excel 2007 If you reach this point and the Tool does NOT open, you may have your security set too high. To adjust your security settings, select the button (in the top left corner of the screen) and then select the button in the bottom right corner of the pull-down menu. _ Select the "Excel Options" button / Excel Options Drop-Down Menu On the Excel Options screen, select Trust Center in the left navigation bar: Excel Options Popular —4 Formulas Proofing Save Advanced / Customize Add-Ins ~ Trust Center Change the most popular options in Excel. Top options for working with Excel Select the "Trust Center" lection luioi bLiiyniy. ScreenTip style: Show feature descriptions in ScreenTips Create lists for use in sorts and fill sequences: When creating new workbooks Edit Custom Lists... Use this font: Font size: [ Body Font I" ail Default view for new sheets: Normal View Include this many sheets: |3 Personalize your copy of Microsoft Office User name: |MHeyward Choose the languages you want to use with Microsoft Office: | Language Settings... | | Cancel Excel Options Drop-Down Menu 10 | P a g e ------- When the Trust Center options display opens, select Trust Center Settings in the bottom right portion of the screen: Excel Options Popular Formulas Proofing Save Advanced Customize Add-Ins Q J Help keep your documents safe and your computer secure and healthy. Protecting your privacy Microsoft cares about your privacy. For more information about how Microsoft Office Excel helps to protect your privacy, please see the privacy statements. Show the Microsoft Office Excel privacy statement Microsoft Office Online privacy statement Customer Experience Improvement Program ^ Security & more Learn more about protecting your privacy and security from Micros Microsoft Windows Security Center Microsoft Trustworthy Computing Microsoft Office Excel Trust Center Select the "Trust Center Settings" button The Trust Center contains security and privacy settings. These settings help keep your computer secure. We recommend that you do not change these settings. Jrust Center Settings., Trust Center Settings Screen 11 | P a g e ------- Choose the setting "Disable all macros with notification" and select OK. Trust Center [~?~||X| Trusted Publishers Trusted Locations Add-ins ActiveX Settings Macro Settings Message Bar External Content Privacy Options Macro Settings For macros in documents not in a trusted location: O Disable all macros without notification ® Disable all macros with notification O Disable all macros except digitally signed macros O Enable all macros (not recommended; potentially dangerous— Select "Disable all macros with notification." Developer Macro Settings I I Trust access to the VBA project object model | OK 1 | Cancel Macro Settings Screen Then run the Tool. If, at this point, the Tool does not open, review the "Software and Hardware Requirements". If you after reviewing this section, you cannot determine how to correct the problem, contact your SmartWay Partner Account Manager. 12 | P a g e ------- Security Settings for Excel 2010 and newer Users The default settings for Excel 2010 and newer Excel versions should enable you to run the tool without any changes. To run the tool: 1) Save the tool to your computer. 2) Open the file. Depending on your Office settings, you may receive an "Enable Editing" popup. If you do, simply select the button. This will allow you to enter data into the tool. You may only receive this popup the very first time you open the tool. Home Insert Page Layout References Mailings Review View Developer Add-Ins ^ Protected View This file originated as an e-mail attachment and might be unsafe. Click for more details, Enable Editing The Enable Editing Button 3) Depending on your Excel macro security settings, you may receive a popup. If you do, simply select the button. This will enable macros in the tool you just opened. ! Security Warning Some active content has been disabled. Click for more details, Enable Content A1 - fx Security Settings forthe Tool A 1 | Security Settings for the Tool I 2 (Pour des instructions en frangais, faites defiler vers la droite.->) In nrrlar fr» run thie annlir*afrir»n wrui mnct haws marrrie anahiarl Security Warning Popup If you reach this point and the Tool does NOT open, you may have your security set too high. To adjust your security settings, select the File tab from the menu bar (in the top left corner Options of the screen) and then select the button in the bottom left-hand menu of the tab. 13 | P a g e ------- m Bookl - Microsoft Excel X ~ I 1 Home nsert Page Layout Formulas Data Review View Developer Q a |]P SS A Save Recent Workbooks Recent Places (jj^ Save As To browse for a file, click Open. £3? Open 1^ Close Info Recent 4 New f N Select the "Options" Print button Save & Send Help i Options 0 Exit Excel 2010 and Newer Options Drop-Down Menu On the Excel Options screen, select Trust Center in the left navigation bar: Excel Options Popular Change the most popular options in Excel. Top options for working with Excel 1^1 Show Mini Toolbar on selection ; 0 Enable Live Preview ; l~1 Show Developer tab in the Ribbon • 0 Always use ClearType Color scheme: I Blue v ScreenTip style: Show feature descriptions in ScreenTips Select "Trust Center" Excel 2010 and Newer Options Drop-Down Menu 14 | P a g e ------- When the Trust Center options display opens, select Trust Center Settings in the bottom right portion of the screen: Excel Options 0B Popular Formulas Proofing Save Advanced Customize Add-Ins Trust Center 9 Help keep your documents safe and your computer secure and healthy. Protecting your privacy Microsoft cares about your privacy. For more information about how Microsoft Office Excel helps to protect your privacy, please see the privacy statements. Show the Microsoft Office Excel privacy statement Microsoft Office Online privacy statement Customer Experience Improvement Program Security & more Learn more about protecting your privacy and security from Microsoft Office Online. Microsoft Windows Security Center Microsoft Trustworthy Computing Microsoft Office Excel Trust Center The Trust Center contains security and privacy settings. These settings help keep your computer secure. We recommend that you do not change these settings. Trust Center Settings.. Select the "Trust Center Settings" button OK ] | Cancel Trust Center Settings Screen 15 | P a g e ------- Choose the setting "Disable all macros with notification" and select OK. Trust Center Trusted Publishers Trusted Locations Add-ins ActiveX Settings Macro Settings Message Bar External Content Privacy Options Macro Settings For macros in documents not in a trusted location: O Disable all macros without notification 0 Disable all macros with notification ^ "" O Disable all macros except digitally signed macros O Enable all macros (not recommended; potentially dangerous code can run) Developer Macro Settings I I Trust access to the VBA project object model Select "Disable all macros with notification" Macro Settings Screen 16 | P a g e ------- What Is Included In The SmartWay Carrier Partnership Agreement? To join the SmartWay Transport Partnership as a truck carrier, you must agree to the language on the "Partnership Agreement for Carriers." When you begin working within the Tool, you will be asked to check a box stating that you agree to the terms of the Partnership Agreement. This agreement must be renewed annually. Please review this language with the appropriate personnel within your organization before completing or submitting a Tool to EPA. Partnership Agreement for Carriers With this agreement, your company joins EPA's SmartWay Transport Partnership and commits to: 1. Measure and report to EPA on an annual basis the environmental performance of your fleet(s) using EPA's SmartWay Truck tool. (Existing fleets must report the 12 months of data for the prior year ending December 31. Newly formed companies require a minimum of 3 months of operational data.) 2. Have performance results and tool submittal status posted on the EPA SmartWay website/database. 3. Agree to submit supporting documentation to EPA for any data used to complete this Tool and agree to EPA audit of this data upon request by EPA. In return, EPA commits to: 1. Promote company participation in the Partnership by posting Partner names on the EPA SmartWay Website and in related educational, promotional, and media materials. EPA will obtain express written consent from the Partner before using the Partner's name other than in the context of increasing public awareness of its participation as described here. 2. Provide companies with industry-wide performance benchmark data as this data becomes available to EPA. 3. Assist Partners in achieving emission and fuel usage reduction goals (subject to Federal Government Appropriations). 4. Treat individual corporate data as sensitive businessinformation. General Terms 1. If the Partner or EPA defaults upon this agreement at any point, the agreement shall be considered null and void. 2. Either party can terminate the agreement at any time without prior notification or penalties or any further obligation. 3. EPA agrees not to comment publicly regarding the withdrawal of specificpartners. 4. EPA reserves the right to suspend or revoke Partner status for any Partner that fails to accomplish the specific actions to which it committed in the SmartWay Transport Partnership Agreement and subsequent annual Agreements. 5. The Partner agrees that it will not claim or imply that its participation in the SmartWay Transport Partnership constitutes EPA approval or endorsement of anything other than the Partner's commitment to the program. The Partner will not make statements or imply that EPA 17 | P a g e ------- endorses the purchase or sale of the Partner's products and services or the views ofthe organization. 6. Submittal of this SmartWay Truck Tool annually constitutes agreement to all terms in this Partnership Agreement. No separate agreement need be submitted. 18 | P a g e ------- Step 1—Data Collection Requirements This section will identify data needed to complete the sections of the Multimodal Carrier Tool. Introductory Screens Upon opening the 2017 Tool, you will see a Welcome screen. On this screen current partners may input their SmartWay ID number, and new partners will indicate how they heard about the SmartWay program. The Welcome screen is followed by five screens which orient you to the Tool. The Assistance for New Users screen appears first, and allows users to view an orientation video. Additional screens may be accessed from this screen, including Tool selection guidance, data collection needs, Tool help and navigation, and the SmartWay Partner Tool Schedule for 2018. These are general information screens and may be skipped if you are already familiar with the Tool. However, upon proceeding you MUST select the box at the bottom of the Partnership Agreement screen, indicating that you agree to the terms of the Partnership Agreement. A UTO-POPULA TION As you progress through the Tool, you will see an "Auto-Population" screen. This screen allows partners and applicants to input their SmartWay ID (if not already entered on the Welcome screen), and automatically load the information for the initial steps of the Tool (Partner Name, Contact Information, and for established Partners, Truck and Logistics Fleet Information), based on the prior year's submittal or, for applicants, information entered through the online SmartWay Carrier Application.2The Auto-Population option can save time and ensure naming consistency for your contacts and fleet(s) from year to year. A popup screen will appear displaying all the contact and fleet data uploaded for your review before proceeding. Corrections and revisions may be made on the HOME screen if needed. If you do not have a SmartWay ID, or prefer to enter this data manually, you may skip this step. Data Requirements For Establishing Your Data Collection Year Before beginning your data collection, identify the last calendar year for which you have full annual (12 months) data. This means that you have data from January of the calendar year through December of the same year. If you have not been in operation for a full year, you must collect a minimum of three months' data for input into the SmartWay Tool. In your next update year, you will be expected to submit a full year's data. 2 You may access the SmartWay carrier application at http://app4.ere.com/smartwavonramp/onramp/index.cfm?CFID=708106&CFTQKEN=14cl3f056f84b32c-C1172202-F7AC-091B- 019982BF6AE1A5ED. 19 | P a g e ------- Data Requirements For Section 1: Specify Official Partner Name Your Partner Name is the official name that your customers would recognize for your company—in other words, the name someone hiring you would look for. You must specify your company's official Partner Name under Section 1 of the Home screen, exactly as you want it to appear on the SmartWay website. Your company will be listed exactly as you've entered in Section 1. Therefore, it is important to pay special attention to proper capitalization, abbreviations, annotations, and punctuation. If you selected the auto-populate option please review the Partner Name as it appears on the screen, revising it as necessary. Data Requirements For Section 2: Enter Contact Information The SmartWay Tool asks for: • General company information such as location, web address, phone number, etc. • A Working Contact3for any questions about your company's participation and Tool submissions • An Executive Contact4for participation in awards and recognition events • A Sustainability Contact (optional)5 for information on company sustainability programs and outreach • Additional contacts (optional): Additional contacts may include anyone who is not the Working, Executive, or Sustainability contact but may be involved with SmartWay (e.g., press/media contact, fleet manager,etc.). Note 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, in order to proceed. SmartWay recommends developing an internal succession plan to make sure that your Multimodal CarrierTool submission schedule is maintained, in the event that a Working Contact is reassigned, or leaves the company for any reason. 3 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.) 4 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. 5 The Sustainability Contact may be the same as the Working or Executive Contact, but not the same as any Other Contacts. 20 | P a g e ------- If you selected the auto-populate option you still MUST review the Contact Information summary screen that pops up upon completion of this step, and revise any entries on the Home screen as needed. Data Requirements For Section 3: Define Your Component Fleets Understanding Component and Composite Fleets Multimodal companies are somewhat more complicated to characterize than truck, rail, air, or barge- only companies. Often, multimodal services are comprised of a wide range of truck, rail, barge, and/or dray services that may be provided by the company or purchased from third party providers by the company. To properly characterize the emission rates for multimodal companies, one must account for this wide variety of operations and service levels. Multimodal rail freight is defined as any freight transported by a multimodal carrier, which may include intermodal containers as well as cargo configurations such as boxcars, tanker cars, etc. To accomplish this SmartWay has developed the concept of "component" and "composite" fleets. Composite fleets are entities that your customers can hire to move their freight. For example you may have a Truckload Division and an Intermodal Division, whereas Component fleets are organized around your internal management of the company. In the Multimodal Carrier Tool you will be asked to input data for all of your component fleets which will include those you own and manage as well as any hired services you purchase. Once these component fleets have been characterized you will be asked to build your composite fleets (the ones the public sees and can hire) from your component fleets. This process will attribute the appropriate weighted emission factors to your composite fleets, and demonstrate to your customers the benefits of using your multimodal freight services. Example: Company "J" has a Truckload Division, an Intermodal Division, and a Dray Division that the public can hire. Internally the company has its own truckload fleet, it hires a 3PL, it hires rail services, it has its own dray fleet, and it hires dray companies. The Truckload Division's services are provided by its own truckload fleet and its hired 3PL fleet. The Dray Division's services are provided by its own dray fleet and hired dray services The Intermodal Division's services are provided for by its own truckload fleet, its own dray fleet, its hired rail services, and its hired dray services. Therefore the partner defines the following component fleets: 1. For its truckload fleet (using the Truck Mode selection) 2. For its dray fleet (using the Truck Mode selection) 3. For its 3PL fleet and hired dray operations (using the Logistics Mode selection) 21 | P a g e ------- 4. For its rail operations (using the Rail Mode selection) The partner will then assign the appropriate operations of these component fleets to define the composite fleets that the public can hire: Composite Fleet One: Truckload Division 60% of its truckload fleet, 70% of its 3PL fleet Composite Fleet Two: Intermodal Division 40% of its truckload fleet, 30% of its 3PL fleet, 100% of its hired rail, 80% of its hired dray fleet, and 40% of its own dray fleet Composite Fleet Three: Dray Division 20% of its hired dray fleet, 60% of its own dray fleet Drayage operations should be included in the SmartWay Multimodal Carrier Tool if your company controls drayage movements (e.g., receives payments directly to move the freight using your own drayage trucks, or purchases drayage services directly from a third party). Data Requirements for Component Truck and Logistics Fleets There are four screens in the Truck Fleet Characterization section of the Tool. The first two screens are also common to the Logistics Mode: 1. Identify Fleets 2. Fleet Details 3. Operation 4. Body Types To characterize truck and logistics component fleets you will need to specify: • Fleet (Partner) Name: Each of your component fleet names will begin with the name of your company. • Fleet Identifier: Each fleet identifier will automatically be combined with the Fleet Name (Partner Name) field. • 95% Control: Determine if your company controls over 95% of the operation of each fleet, weighted by miles. "Control" means that you operate/route the fleet, regardless of ownership status. Control includes dedicated fleets that you operate for other parties. If you contract out more than 5% of the fleet's operation, the Logistics mode should be selected instead of Truck for that fleet. The key question regarding definition of "control" is: Am I able to influence the fuel efficiency of 22 | P a g e ------- the trucks, and can I collect data on the trucks? SmartWay understands that control within the trucking business exists along a continuum. On one hand, some fleets purchase their own trucks, spec, maintain, and route the trucks, and have full operational control over the trucks, for example controlling the speed the trucks are allowed to drive, when and where they can idle, etc. These fleets have a high degree of control. On the other end of the continuum, some companies hire other parties to move the freight, and other than assigning a load with a pickup/destination point, have no interaction with the freight delivery, or ability to influence the fuel efficiency of the truck or the collection of data on the truck. If you can actively affect the fuel efficiency of the truck and collect the data necessary on that truck to include in this Tool, you have control. SmartWay understands that there are many organizational/ operational permutations in the trucking industry and there may be "gray" areas that need further clarification. If you still have questions, you may contact your assigned SmartWay Partner Account Manager or the SmartWay help line at 734-214-4767. • Standard Carrier Alpha Codes (SCACs): The Standard Carrier Alpha Code is a unique 2-4 alphabetic character code used by the transportation industry to identify transportation companies. SCACs are assigned by the National Motor Freight Traffic Association, Inc., (NMFTA). If you cannot remember your SCAC(s), please contact NMFTA before proceeding. You can find NMFTA contact information at http://www.nmfta.org/Pages/ContactUs.aspx. • Motor Carrier Number (MCN): The Motor Carrier Number is a 5, 6, or 7 digit number provided by the Federal Motor Carrier Safety Administration. • Department of Transportation (DOT) Numbers: The carrier identification number issued to all carriers in the U.S. by the Federal Motor Carrier Safety Administration, and can be up to 7 digits in length. • National Safety Code (NSC) Numbers are carrier identification numbers issued to fleets with Canadian registration. Entering SCACs, MCNs, DOT, and NSC numbers are optional; however, if you have this information you are encouraged to supply it to make sure SmartWay Shippers and Logistics companies can identify you. • Fleet Type: Fleet Type is defined as the service type for your fleet. There are three options accepted by the Tool—"For-Hire," "Private," and "Dedicated." If your company has only one fleet, your "Fleet Type" selection will reflect your company's operations as a whole. If there are multiple fleets, each will have its fleet type defined separately. You will also need to indicate the percentage of operation on a mileage basis. Operational categories include: • Truckload (TL) - Truckload shipping is the movement of large amounts of homogeneous cargo, generally the amount necessary to fill an entire semi-trailer or intermodal container. A truckload carrier is a trucking company that generally contracts an entire trailer-load to a single customer. 23 | P a g e ------- • Less-than-truckload (LTL) - Less-than-truckload carriers collect freight from various shippers and consolidate that freight onto enclosed trailers for linehaul to the delivering terminal or to a hub terminal where the freight will be further sorted and consolidated for additional linehauls. • Drayage - Predominantly associated with port, or rail-head connections where freight is picked up, and moved to another transfer facility or transport mode terminal. Often these moves are short in nature, but can be longer depending on specific situations. • Package delivery (PD) - Covers operations characterized by residential or business package delivery/pickup consisting primarily of single or small groups of packages. It does not include larger scale pickup delivery operations that are more properly characterized as LTL operations. Common examples of this type of operation are the brown UPS and white FedEx delivery vehicles. • Expedited - Time-sensitive freight shipments, with trucks typically on stand-by. Estimate the percent of each operational category based on approximate mileage. This percentage calculation does not need to be exact but should be reasonably reflective of your fleet. Next you will need to provide the percentage by body type for each component fleet. Body Type categories include: • Dry van/box van • Refrigerated (Reefer) • Flatbed • Tanker • Intermodal chassis containers (pooled and owned) • Heavy/Bulk hauler • Auto carriers • Moving • Utility6 • Special hauler (e.g., Hopper, Livestock, and other specialized carriers) The percentages specified can be approximate, based on vehicle populations. Data Requirements for Business Unit Characterization Screen (Logistics Only) For each Logistics business unit you will need to specify the percent of total activity associated with the different Business Unit Focus categories, listed below. 6 The utility category encompasses class 2b to 8b vehicles that do not carry typical commercial freight. Examples include garbage, recycle, service, work, dump, landscape, cement, bucket, boom, ambulance, armored, fire, farm, wrecker and other similar trucks. Because these trucks do not carry traditional freight payload, the user should self-define their payloads so as to make the emissions per payload efficiency useful to the user. SmartWay will not use the emissions per payload results for the utility category. Users may experience yellow or red warning labels on the Activity screen due to the unique nature of utility "payload." In the case of red alerts, simply input text defining your special conditions in the required text boxes that appear. 24 | P a g e ------- • Logistics Provider: Logistics providers are non-asset based third parties that provide multiple, bundled logistics services. They may be involved in material management, transportation management, inbound and outbound freight, inventory management, 4PL activities, warehousing, cross dock, kitting, packaging, and sub assembly processes. • Freight Forwarder: Freight forwarders are documentation specialists and consolidators of freight such as LTL (less than truckload) and LCL (less than container load). Freight forwarders normally provide pickup and delivery for domestic and international shipments, and provide the property transportation for a compensation or fee basis. • Freight Broker: A freight broker buys and sells transportation services and normally works on behalf of a carrier or shipper. • Truck Carrier: Truck carriers operate their own managed fleet (owned or leased). These fleets can be for-hire or private/dedicated. Refer to "Choosing the Right Tool for your Business Units" in Part I of this guide to determine if you should complete the SmartWay Truck Tool for the Truck Carrier portion of your operations. • Rail Freight Broker: Freight broker specializing in rail mode services. Data Requirements for Other Components (Air, Barge, and Rail Modes) The Air, Barge, and Rail component tools require similar information to identify and characterize individual fleets. The Air component requests information on: • Fleet Type (dedicated freight, mixed operations, or passenger) • Service area (international, national, or regional) • Revenue category (large <$lB/yr; medium $100M - $lB/yr; small $20M - $100M/yr; and micro < $20M/yr) • Number of aircraft The Barge component requests: • Fleet Type (open water or river barge) • Number of barges • Number of tugs • Annual tons of cargo shipped by commodity type The Rail component requests: • Class of the fleet (1, 2, or 3) Data Requirements for Section 4: Download Latest SmartWay Carrier Data File To ensure that the Multimodal Tool gives you the most current list of SmartWay carriers to select from, you must select the I Download Latest SmartWay Carrier Data File I button on the Home 25 | P a g e ------- screen. A new box will appear next to the button indicating the "Date of Current Carrier File." You are now ready to select carriers and enter activity data for each fleet. You will not be able to input the required logistics fleet data in Step 5 without this file. You must have an active Internet connection to perform this step. Data Requirements for Section 5: Data Entry for Component Fleets PLEASE REFER TO THE TRUCK. LOGISTICS. BARGE. RAIL. AND AIR TOOL USER GUIDES FOR DETAILED INSTRUCTIONS REGARDING DATA REQUIREMENTS FOR YOUR COMPONENT FLEETS. Data Requirements for Section 6: Define Your Composite Fleets After identifying and characterizing your component fleets, you will provide information for EACH composite fleet. Required information includes the name of each composite fleet. You must also allocate component fleet activity based on the percentage of total miles and total ton-miles attributable to each composite fleet. Total Miles refers to truckload miles for the Truck mode, railcar- miles for the Rail mode, barge-miles for the Barge mode, and aircraft miles for the Air mode. Please refer to Appendix A for a description of the procedure used to calculate the gram per mile and gram per ton-mile performance metrics for composite fleets. You will also need to specify the SCAC, MCN, DOT, and NSC values for each composite fleet, if available. These values are not mandatory but will assist Shippers and Logistics Companies in identifying your fleets. Finally, for each composite fleet, you must estimate the percentage of operations that occur in the United States and Canada. Please use the worksheets in Appendix B to help compile your information before entering your data into the Multimodal Tool. 26 | P a g e ------- Step 2—Data Entry Downloading The SmartWayMultimodal Carrier Tool To download the SmartWay Multimodal Tool, visit: https://www.epa.gov/smartwav/smartwav- multimodal-carrier-tools-and-resources. Save the Tool in a folder on your hard drive; this folder should house copies of your data and future updates. How To Set Security Levels For The SmartWay Tools In some cases, Microsoft Excel will ask you to adjust your security settings before opening the Tool. Instructions should appear on your screen //you need to change your security settings before running the Tool. The instructions differ depending upon what version of Excel you use (Excel 2003, 2007, 2010, 2013, or 2016). If you need additional assistance with your security settings, download the guidance document labeled "Multimodal Carrier Partner 2.0.17 Tool: User Guide.2017 Data Year—United States Version" from https://www.epa.gov/smartwav/smartwav-multimodal-carrier-tools-and-resources and review the screen-by-screen guidance in Part 1: Downloading and Setting Up the Tool. Entering Partner Name Under Step 1 on the Home screen: 1. Type your Partner Name EXACTLY as you would like it to appear on the SmartWay website and in other EPA communications in the field as indicated. 2. Proceed to Section 2 to enter Contact Information. Entering Contact Information Under the Partner Information tab: SmartWay: Contact Information X Partner Information Working Contact Executive Contact Sustajnability Contact Other Contacts _j Note: Use the Tabs at the top of the window to navigate between the 5 information screens Each field marked with an asterisk must be filled out. You will not be able to submit the Tool to SmartWay without this information. 1. Enter the Company address, phone numbers, and website (optional). 2. Enter the Working Contact name and title. The Working Contact is the individual designated by the Executive Contact to directly 27 | P a g e ------- 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 fleet 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. To ensure that e-mails from SmartWay/EPA are not blocked, new contacts may need to add SmartWay/EPA to their preferred list of trusted sources. 1. Enter the Executive Contact name and title. The Executive Contact is the company executive who is responsible for agreeing to the requirements in the SmartWay Partnership Annual 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. 2. Enter the Sustainability Contact name and title (optional). The Sustainability Contact is the individual assigned responsibility for monitoring the company's environmental performance. The Sustainability Contact may be the same as the Working or Executive Contact (and specified by checking the "Same as" boxes in the Sustainability Contact section), but cannot be the same as any Other Contact. Under the Working Contact tab: SmartWay: Contact Information X Partner Information Working Contact Executive Contact Sustajnability Contact Other Contacts Enter the Working Contact information. If the Working Contact shares the same address as the company, you may select the button to auto-populate the address section of this record. Enter the email address twice to confirm its accuracy. When confirmed a will appear to theright. Under the Executive Contact tab: SmartWay: Contact Information X Partner Information Working Contact Executive Contact Sustajnability Contact Other Contacts i Enter the Executive Contact information. If the Executive Contact shares the same address as the button to auto-populate the company, you may select the! address section of this record. Use Partner Address Under the Sustainability Contact tab: 28 | P a g e ------- 1 SmartWay: Contact Information X Partner Information Working Contact Executive Contact Sustajnability Contact Other Contacts zn Enter the Sustainability Contact information, if applicable. If the Sustainability Contact shares the same address as the company, you may select the auto-populate the address section of this record. button to Under the Other Contacts tab: PlrtWT JnlwmAliOB Werftbg Contact Executive ConUd Enter Other Contacts (if applicable) by selectin button. Enter the first Other Contact then select when done. OK Add New Contact Use Partner Address You must supply at least two unique contacts on the contact screen to ensure EPA has access to at least two people for Tool submission follow-up. In some cases, companies with multiple fleets will gather information from different sources within the company. You may find it useful to have this additional contact information stored within the Tool. You can add more contacts to the Other Contacts box by repeating this process. If you wish to edit an existing contact's information, highlight the name you wish to edit and then select the Edit Selected Contact button. You can remove an existing contact by highlightingthe contact and then VALIDATE SSCREEN To make sure you have filled out all required contact information, select at the bottom of the screen on the Partner Information tab. If any information is missing or invalid, a dialogue box will appear informing you what additional information isrequired. HOME Next select the HlBi button to return to the Home screen and go to Step 3. Entering Component Fleet Characteristics Identify Fleets Screen 1. On the Home screen select the pull-down menu for Define Your Component Fleets to display the available component fleet modes. Options include truck, logistics, rail, barge, and air modes. A commercial marine module will be added to the Tool in the future. Note that some terminology on the Define Component Fleets screens are slightly inconsistent between the Truck Mode and 29 | P a g e ------- the Logistics Mode, however the two modes work and act the same. For example, "fleets" within the Truck Mode are referred to as "Business Units" within the Logistics Mode. 2. Enter data for your first component fleet including: • Fleet (Partner) Name: Each of your component fleet names will begin with the name of your company. This fleet name will be whatever you enter in the Fleet Name (Partner Name) field on the Identify Fleets screen. By default, this field is automatically populated with the first 50 characters of the Partner Name that was entered on the Home screen. Whatever you enter for Fleet Name for the first fleet will automatically be used for any additional fleets you add. Similarly, any edits you make to the Fleet Name for the first fleet will automatically be reflected on each subsequent fleet. Note that this field is called Company Name for Logistics component fleets. • Fleet Identifier: Please make sure to specify each fleet identifier name 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 Fleet Name (Partner Name) field. NOTE: If you have only one fleet, you may leave the Fleet Identifier field blank, in which case your fleet name will simply be your Partner Name. This field is called the Business Unit Identifier for Logistics component fleets. Add Another Fleet 3. To enter another component fleet, select the button. To delete a component fleet, select the box next to the row you wish to delete, and then select the Delete Checked Rows button. Once you have confirmed or modified the Partner Name and specified the Fleet Identifiers, the full Fleet Names will be displayed on the screen to the right of the screen. Note the button located at the bottom of the screen. This allows you to enter notes about the collection process, your assumptions and methods, data, or other information. These details could prove useful for your reviewer when you or someone else fills out the Tool next year. If comments have been added for a particular screen, the button will now read to indicate to your reviewer that there are comments to be read. button is also available should you need assistance. You will also notice small gray VIEW/EDIT COMMENTS HELP A button is also available should you need assistance. You will also notice small gray icons with question marks [?] displayed throughout the Tool. When clicked, these icons provide additional information about specific items located on the screen. 4. Proceed by selecting the Fleet Details tab at the top of the screen, or select the at the bottom of the screen. button Fleet Details Screen For each fleet specify the following: 1. 95% Control (mandatory): Select this box if your company controls over 95% of the operation of each fleet, weighted by miles. If you contract out more than 5% of the fleet's operation, the Logistics mode should be selected instead for that fleet. This box is not included in the Fleet 30 | P a g e ------- Details screen for the Logistics Mode selection. 2. Standard Carrier Alpha Codes (SCACs - optional): If your fleet has a SCAC, please input that information. If you have a single fleet that has multiple SCACs, enter all of the codes into the SCAC field, and separate them with commas. It is not required to enter SCAC information for each component fleet. 3. Motor Carrier Number (MCN - optional): If your fleet has a Motor Carrier Number, please input that information. It is not required to enter MCN information for each component fleet. 4. Department of Transportation (DOT) Numbers (optional): If your fleet has a DOT Number, please input that information. It is not required to enter DOT information for each component fleet. 5. National Safety Code (NSC) Numbers (optional): If your fleet has a NSC Number, please input that information. It is not required to enter NSC information for each component fleet. Entering SCACs, MCNs, DOT, and NSC numbers are optional; however, if you have this information you are encouraged to supply it to make sure SmartWay Shippers and Logistics companies can identify you. 6. Fleet Type (mandatory): Specify the fleet type - "For-Hire," "Private," or "Dedicated." Operation Screen 1. For each component fleet, fill out the Operation Category (%) information by indicating the percentage of operation on a mileage basis. Enter the percent of each operational category based on approximate mileage. This percentage calculation does not need to be exact but should be reasonably reflective of your fleet. Body Types Screen 1. Fill out the Body Type fields, indicating the percentage by body type for each component fleet. The percentages specified can be approximate, based on vehicle populations. The percentages for each fleet must sum to 100%. 2. Once you are sure your information is input correctly, select the (button near bottom of the page. CREATE FLEFJTS) If, at a point later in the data entry process, you realize that you need to add a new fleet or delete an existing fleet, you can return to the Identify Fleets screen. To add a new fleet, follow all of the instructions on the screen regarding defining your fleets, including selecting the CREATE FLEETfS] I button. When you select this button, the system will create blank data entry forms only for the new fleet(s) you have added; the existing fleets will not be affected. 31 | P a g e ------- If you need to delete an existing fleet, simply select the box next to the fleet and then select the Delete Checked Rows button. Note that, if you have already generated data entry forms for the fleet you are deleting, the system will prompt you to confirm the deletion. If you choose to delete a component fleet, and if you have allocated any of this fleet's activity to a composite multimodal fleet (defined under Step 6 on the Home screen) then you must re-allocate your composite fleet activity to reflect this change. Similarly, adding a new component fleet may require modifying your composite fleet activity allocations under Step 6. As on the other screens there is a HOME HELP button as well as an ADD COMMENTS button. Selecting I will take you back to the Home screen. At this point you may define another component fleet following the same process, or proceed to Step 4 on the Home screen. Business Unit Characterization Screen (Logistics Only) 1. For each Logistics business unit specify the percent of total activity associated with the different Business Unit Focus categories. Other Component Screens (Air, Barge, and Rail Modes) The Air, Barge, and Rail component tools require similar information to identify and characterize individual fleets. Provide the following information for Air component fleets using the drop-down menus: • Fleet Type • Service area • Revenue category • Number of aircraft (enter value) Provide the following information for Barge component fleets: • Fleet Type • Number of barges • Number of tugs • Annual tons of cargo shipped by commodity type Provide the following information for Air component fleets: • Class of the fleet 32 | P a g e ------- Entering Component Fleet Activity In forma tion On the Home screen, you will now see all the fleets you created listed in the window below item # 5: Select Component Fleet for Data Entry. There will be a status message after each fleet, indicating whether or not the data entry for that fleet is complete. The following information may appear beside a fleet name: • Not checked - Data has not been entered yet. • Incomplete - Some data is still missing and/or inconsistent. • Complete - All data requirements have been met and validation has occurred. In addition to the status indicators above, you may also see one of two qualifiers: "Errors" or "Warnings." • Errors will prevent you from defining your composite fleet under Step 6, and must be addressed before you can submit your Tool to EPA. • Warnings will still allow you to proceed and submit your data to EPA. However, it is strongly recommended that you carefully review each warning message before sending your data to EPA so that you can anticipate questions that may come from a Partner Account Manager as a result of your data being outside the expected ranges. The method addressing errors and warnings is described for subsequent input screens in the following sections. To add data to a particular fleet file, highlight the fleet name and then double-click. You will then proceed to the Tool Data Entry Screens. PLEASE REFER TO THE TRUCK. LOGISTICS. BARGE. RAIL. AND AIR TOOL USER GUIDES FOR DETAILED INSTRUCTIONS REGARDING DATA ENTRY REQUIREMENTS FOR YOUR COMPONENT FLEETS. Entering Composite Fleet Data Once you have entered data for all of your component fleets, and resolved any error notifications, you may proceed to Step 6, Define Your Composite Fleets. This step allows you to group your component fleets into larger, composite fleets operating across one or more modes. Composite fleets are entities that your customers can hire to move their freight. For example you may have a Truckload Division and an Intermodal Division for hire. The "Define Your Composite Fleet" section of the Tool has three subsections: 1. Identify Composite Fleets 2. Allocate Component Fleets 3. Composite Fleet Details 33 | P a g e ------- Identify Composite Fleets 1. Enter the name of your composite fleets. Names include your Partner Name combined with your Composite Fleet Identifier. Remember to enter your composite fleet names exactly as you want them to be seen on the SmartWay website. Your company's name and your composite fleet(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, yourSCAC, Motor Carrier Number, DOT Number, and/or NSC. Therefore, it is critical that you identify your company and composite fleet(s) in the Tool as you would have them appear on the SmartWay website and within other SmartWay Tools. 2. Add more fleets by selecting the Add Another composite Fleet button. To proceed to the next Egfr. screen, select the Allocate Component Fleets tab or select ~ Allocate Component Fleets 1. Proceed to the Allocate Component Fleets screen to see a list all of the component fleets defined under Step 3 (Define Your Component Fleets). Allocate component fleet activity based on the percentage of total miles and total ton-miles attributable to each composite fleet. The total miles and ton-miles listed for each component fleet is automatically calculated from Step 5 where you entered the activity data for your component fleets. The percentage allocations must sum to 100 for each component fleet. In addition, if you enter a non-zero percentage for a particular total miles assignment, and zero percent for the corresponding ton-mile assignment (or vice versa), the Tool will display an error and you will not be allowed to proceed until reconciling the discrepancy. 2. Select the s'low Allocations button located below the component fleet list to view a summary of your composite fleet percentage allocations across all of your different component fleets, in order to confirm the accuracy of your assignments. VALIDATE SCREEN 3. Select the button to validate the information entered on this screen. The ratio of total allocated ton-miles to total miles is checked for each composite fleet. If any of these ratios differ substantially from industry average payload standards, you will receive a warning message. These warning messages are intended to flag possible data entry errors; however these warning messages will not prevent you from submitting your completed Multimodal Carrier Tool to EPA.7 4. Select the Return to Entry Form button to leave the spreadsheet and return to the 7 Validation warnings are issued for low payloads if the average payload for a composite fleet is < 14.5 tons (based on the out of range warning for Class 8b TL/Dry Vans - see Truck Tool Technical Documentation for details). Warnings are issued at the high end if the average composite fleet payloads are > 60 tons. This value was chosen based on the distribution of payloads reported by Multimodal Partners in 2012, with approximately two thirds of Partners having payloads less than this cutoff. 34 | P a g e ------- allocation screen. Composite Fleet Details 1. Proceed by entering the SCAC, MCN, DOT, and NSC values for each composite fleet, if available. Separate multiple values by a comma if necessary. These values are not mandatory but will assist Shippers and Logistics Companies in identifying your fleets. 2. For each composite fleet, enter the percentage of operations that occur in the United States and Canada. 3. Once you have allocated all of your component fleets across the composite fleets, select the ¦¦¦¦¦¦button to return to the Home screen. 35 | P a g e ------- Step 3 - Results and Summary Reports After completion of the above steps, review the available reports to ensure the accuracy of your data entry. The Year-to-Year Comparison Report allows you to compare the fleet characteristics, activity values, and performance metrics from your current reporting year with your prior reporting year. This report is particularly helpful in identifying any changes that may have occurred since your last reporting period, determining trends in activity and performance, and performing general quality assurance of the inputs use for your current Tool. You can access this report by selecting Review your Year-to-Year Performance at the bottom of the Home screen. The View Your Data Reports section gives you access to 12 reports to help you understand your data and use it to make better performance decisions. You can access these reports by selecting at the bottom of the Home screen. View Your Data Reports Finally, the Feedback section allows you to provide EPA with general feedback regarding the SmartWay program. This information is optional and is not required in order to submit your Multimodal Carrier Tool data to EPA. Selecting the I screen will open this form. Give us Feedback button on the Home 36 | P a g e ------- Step 4 - Submitting Your Tool to EPA 1. Select the to open a new screen. 2. Select the checkbox to indicate you understand the terms of the SmartWay Partnership Agreement once again. 3. When ready, select to create a file with the following naming convention: Multimodal_PartnerName_Year_V0.xml8 For example, Multimodal _ABCompany_2017_V0.xml where PartnerName is your company's name as entered for Step 1 on the Home screen, and Year indicates the year for which you are submitting your data. 4. Next specify the folder where you would like to save the .xml file, and a screen will appear. 5. Follow these instructions for submitting your .xml and .xls files to SmartWay. Note that the .xml file is approximately 10 times smaller than the .xls file. Carrier Tool or return to the Home screen. • NOTE: DO NOT ZIP the .xls and .xml files. Send them to EPA as normal files attached in an e- mail. EPA security will not allow zipped files through the EPAfirewall. • NOTE: DO NOT CHANGE THE NAME OF THE XML OR XLS FILES. Please visit https://www.epa.gov/smartwav/smartway-multimodal-carrier-tools-and-resources for additional resources, including printable data collection worksheets, for more in depth exploration of each section of the Multimodal Carrier Tool. 8 If you create the XML file multiple times the file name will increment each time (e.g., Multimodal_ABCompany_2017_Vl.XML forthe second iteration, etc. 6. Upon selecting a screen will appear that allows you to close the Multimodal 37 | P a g e ------- Appendix A-Calculating Composite Fleet Performance Metrics The Multimodal Carrier Tool calculates gram per mile and gram per ton-mile performance metrics for composite fleets using the carrier-specific performance metrics associated with the component fleets. The percentage distributions provided for miles and for ton-miles are used as weighting factors in developing these composite values. The following example illustrates how the composite metrics are calculated for C02 grams per mile. 1. Three Component Fleets are defined: Logistics 1, Truck 1, and Logistics 2 2. Three Composite Fleets are defined: Composite 1, Composite 2, Composite 3 3. Component fleet activity is allocated across the composite fleets as summarized below: Total Miles Allocation Component Fleets Total Miles Composite 1 Composite 2 Composite 3 Total Logistics 1 6,679,941 30% 50% 20% 100% Truck 1 1,234,567 50% 50% 0% 100% Logistics 2 1,000,000 35% 12% 53% 100% Total 8,914,508 1) The mileage associated with each component/composite fleet combination is calculated by multiplying the total miles in the table above by the associated fraction, with the results summarized as follows: Miles Logistics 1 Truck 1 Logistics 2 Total Composite 1 2,003,982 617,284 350,000 2,971,266 Composite 2 3,339,971 617,284 120,000 4,077,254 Composite 3 1,335,988 0 530,000 1,865,988 Total 6,679,941 1,234,567 1,000,000 8,914,508 2) The corresponding composite-based mileage fractions are as follows: Miles Logistics 1 Truck 1 Logistics 2 Total Composite 1 67% 21% 12% 100% Composite 2 82% 15% 3% 100% Composite 3 72% 0% 28% 100% 3) The C02 grams per mile values calculated for each component fleet are as follows: • Logistics 1: 2,261 g/mi • Truck 1: 1,649 g/mi • Logistics 2: 1,163 g/mi 38 | P a g e ------- 4) Using the composite-based mileage distributions and component fleet grams per mile values, the grams per mile value for Composite Fleet 1 is calculated as follows: Composite 1 g/mi = (0.67 x 2,261 + 0.21 x 1,649 + 0.12 x 1,163) = 2,001 g/mi Gram per mile values for Composite Fleets 2 and 3 are calculated in a similar fashion, as are the corresponding gram per ton-mile values. Values for NOx and PM are calculated in an identical fashion. Note: Emission factors for all rail fleets within the Multimodal Carrier Tool are reported in grams per truck-equivalent mile to facilitate compositing with truck fleets. Therefore the grams per railcar-mile values for Rail Carriers are converted to grams per truck-equivalent mile, using the fleet average rail car volume value of 6,091 cubic feet and the average truck trailer volume of 3,180 cubic feet, resulting in the following modal average gram per mile factors used for all rail fleets: • C02 g/mi = 1,072 • NOx g/mi = 18.6 • PMio g/mi = 0.52 • PM2.5 g/mi = 0.50 Please see the Rail Tool Technical Documentation for details. 39 | P a g e ------- APPENDIX B: WORKSHEETS FOR DATA COLLECTION Worksheet #1: Company and Contact Information #1. Enter your Contact Information: General Company Contact Information Company Name Headquarters Mailing Address City State/Province Zip Country Main Phone Number Toll-free Number Cell number Web Address Working Contact Information Working Contact Name Working Contact Mailing Address City State/Province Zip Country Working Contact Phone Number Email Address Executive Contact Information Executive Contact Name Executive Contact Mailing Address City State/Province Zip Country Executive Contact Phone Number Email Address Sustainability Contact Information Sustainability Contact Name Sustainability Contact Mailing Address City State/Province Zip Country Sustainability Contact Phone Number Email Address Other Contact Information Other Contact Name Other Contact Mailing Address City State/Province Zip Country Other Contact Phone Number Email Address Other Contact's role in program 40 | P a g e ------- Worksheet #2: Component Fleet Characterization Complete this worksheet for each component truck and/or logistics fleet you will be submitting in the Multimodal Carrier Tool.9 #2: Define your Fleets Partner Name and Fleet Identifier 95% Control* SCAC: MCN: DOT#: NSC: FLEET TYPE: Operation Percentages (must sum to 100): Truckload LTL Drayage Package Delivery Expedited Body Type Percentages (must sum to 100): Dry Van Reefer Flatbed Tanker Chassis Heavy Bulk Auto Carrier Moving Utility Special Hauler If Special Hauler is selected, please describe type: Business Focus Percentages (Logistics Only): Logistics Provider Freight Forwarder Freight Broker Truck Carrier Rail Freight Broker * Applicable for Truck fleets, not Logistics fleets 9 Component Rail fleets only require Partner Name, Fleet Identifier and Rail Class (1, 2, or 3). 41 | P a g e ------- Worksheet #3A: Identify Composite Fleets and Composite Fleet Details Complete the following for each composite fleet you will be submitting in the Multimodal Carrier Tool. #3A: Define Your Composite Fleets Company Name / Component Fleet Identifier SCAC: Motor Carrier Number: DOT Number: NSC: Percent US Operation: Percent Canadian Operation: 42 | P a g e ------- Worksheet #3B: Allocate Component Fleets Complete the following table for each component fleet you will be assigning to the composite fleets listed in Worksheet 3A. #3B: Allocate Your Component Fleets List each composite fleet identified in Worksheet 3A. Add lines to the table below or copy the table multiple times if necessary. "% Miles" and "% Ton-Miles" columns must each sum to exactly 100% for each component fleet. Composite Fleet Name % Miles % Ton-Miles 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 43 | P a g e ------- |