A FPA Protection ^\xSmartWay
\r ^1 # %Agency	U.S.Environmental Protection agency»
2019 SmartWay
Rati Carrier Partner Tool:
Technical Documentation
U.S. Version 2.0.18 (Data Year 2018)
EPA-420-B-19-017 1 March 2019 1 SmartWay Transport Partnership 1 epa.gov/smartway

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^CDA Environmental Protection	^^X^SlTiartWclV
* mAgency	U.S. Environmental Protection Agency^
2019 SmartWay
Rail Carrier Partner Tool:
Technical Documentation
U.S. Version 2.0.18
(Data Year 2018)
Transportation and Climate Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
EPA-420-B-19-017
March 2019

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^\NSmartWay
U.S. Environmental Protection Agency»
Table of Contents
1.0 DATA SOURCES	l
2.0 EMISSION ESTIMATION	2
3.0 ACTIVITY INPUT VALIDATION	11
REFERENCES	13
APPENDIX A: LOCOMOTIVE EMISSION FACTORS	A-l
APPENDIX B: SURROGATE LOCOMOTIVE DATA	B-l
APPENDIX C: DERIVATION OF NATIONAL AVERAGE G/KW-HR EMISSION FACTORS	C-l
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List of Tables
Table l. Example Operation Hour Allocation by Tier Level	3
Table 2. Emission Factors by Tier Level and Unit Type	3
Table 3. Emission Factors by Engine Tier Only	5
Table 4. National Average Railcar Volume Data (Tool Defaults)	7
Table 5. 2011 Ri Activity Data and Rail Tool Validation Ranges	12
Table A-i. Line Haul Locomotive Emission Factors (grams per gal)	A-i
Table A-2. Small Line-haul Locomotive Emission Factors (grams per gal)	A-i
Table A-3. Yard Locomotive Emission Factors (grams per gal)	A-i
Table B-i. Fuel Usage Surrogates	B-i
Table B-2. Surrogates for Estimating Annual Miles and Ton-Miles	B-2
Table C-i. Electric Generation Mix (From Annual Energy Outlook 2016)	C-i
Table C-2. Power Plant Emissions: in Grams per kWh of Electricity Available at Power Plant Gate	C-i
Table C-3. Power Plant Emissions: Grams per kWh of Electricity Available at User Sites (wall outlets)	C-i
SmartWay Technical. Documentation | ListofTables ii

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MENTAL PROTECTION AGENCY »
U.S. Environmental Protection Agency
Data Sources
The technical approach recommended for the SmartWay railroad model was developed to encourage
railroad participation by providing methods to calculate emissions, fuel consumption, and comparison
metrics based, to the extent possible, based on data the participating railroad companies have on hand and
provide annually to the Department of Transportation's Federal Railroad Administration (FRA). For example,
the approach presented uses data elements that Class l railway companies submit in their annual R-i
reports. Class I Railroad companies can use their most recent R-i data for this SmartWay Tool. The relevant
data reported annually to the FRA's R-i forms include:
^ Power Unit Information - Form 710
^ Locomotive Unit Miles - Form 755, lines 8-14
Railcar Miles - Form 755, line 30
^ Fuel Consumption by Fuel Type and Unit Type - Form 750, lines 1-3
^ Ton-Mile Data - Form 755, lines 104,110,113
As Class 2 and 3 railroads do not need to provide detailed information to the FRA, in order for them to
participate in the SmartWay Program they need to develop and submit the required data specific for their
operations. Where a Class 2 or 3 railroad company does not have all of the required information, surrogate
data are provided in the Appendix B of this report that may be useful to develop some of the basic data
required for the Tool.
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9 Emission Estimation
Regardless of the Locomotive class, the SmartWay Rail Tool was designed to calculate C02 performance
metrics based on fuel consumption estimates, and NOx and PM emissions based on tier-specific engine
operation information.
In the SmartWay Rail Tool, the data for line-haul (including short line-haul and passenger rail) and yard
operations are handled separately, even though many of the data elements are the same. Line-haul and yard
operations are sufficiently different that they require separate emission factors associated with the different
duty cycles. If operational surrogates are needed, then these should be compiled specific to either line-haul
or yard operations.
The specific Rail Tool calculation outputs include:
total mass emissions (C02, NOx, PMi0 and PM2,5)
^ g/ton-mile (gross, revenue, non-revenue)
^ g/railcar-mile (just total miles)
g/truck-equivalent-mile (just total miles)
The following presents the calculation procedures used to estimate these performance metrics.
l Calculating mass emissions (total grams)
a. C021
i.	Diesel fuel: grams of C02 = total gallons diesel (freight + passenger + switching) x 10,180 g
C02/gallon.
ii.	Biodiesel: The Tool uses the biodiesel blend percentage to interpolate between regular diesel
and 100% biodiesel fuel factors, with 100% biodiesel = 9,460 g/gallon. Therefore 20% biodiesel
(B20) has a fuel factor of 10,180 - (10,180 - 9,460) x (20/100) = 10,036 g C02/gallon
iii.	LNG: grams of C02 = total gallons LNG (freight + passenger + switching) x 4,394 g C02/gallon.
iv.	CNG: If input in cubic feet, grams of C02 = total cubic feet (freight + passenger + switching) x 57.8.
If CNG input is in equivalent gallons, the Tool multiplies total gallons by 7,030 g C02/gallon.
v.	Electric: grams of C02 = total kWh x 607 g C02/kWhr. See Appendix C for details.
1 With the exception of the electricity factors, the source of the fuel-based C02 factors are discussed in the SmartWay Truck Tool Technical Documentation.
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X-
b. NOx and PM
vi. Diesel - Data Input Methods 2 and 4 (inputs differentiated by Line haul and switcher)
1) The Tool first calculates the proportion of hrs/units by Tier level,
a) The following provides an example for line haul units:
Table 1. Example Operation Hour
Allocation by Tier Level
Tier Level	Hrs	Fraction
Non-Tier -
3,000
0.15
0
0
0
0+
1,000
0.05
l
2,000
0.1
i*
5,000
0.25
2
0
0
Z*
4,000
0.2
3
5,000
0.25
4
0
0
Total
20,000
1.00
b)	The Tool repeats this calculation for the switcher distribution
c)	The Tool then calculates weighted average fuel factors for NOx and PM, using the
following table.2
Table 2. Emission Factors by Tier Level and Unit Type


g/gal
Engine Tier
Unit Type
z
o
X
PM10
PM2.5
Non-tier
Line-Haul/Passenger
270.40
6.66
6.46
Switcher
264.48
6.69
6.49
Tier o
Line-Haul/Passenger
178.88
6.66
6.46
Switcher
191.52
6.69
6.49
Tier o +
Line-Haul/Passenger
14976
4.16
4.04
Switcher
161.12
350
340
2 EPA 2009, Emission Factors for Locomotives.
https://nepis.epa.gov/Exe/ZvN ET.exe/PiQ0fi00B.TXT?ZyActionD=ZyDocument&CLient=EPA&lndex=2006+Thru+20i0&Docs=&Query=&Time=&EndTime=&Se
archMethod=i&TocRestrict=n&Toc=&TocEntry=&QFieLd=&QFieLdYear=&QFieLdMonth=&QFieLdDay=&lntQFieLdOp=0&ExtQFieLdOp=0&XmLQuery=&FiLe=D%?A%
^C7yfiLes%^CIndex%20Data%^Co6thrulo%^CTxt%^Cooooooio%^CPloo^ooB.txt&User=ANONYMOUS&Password=anonymous&SortMethod=h%7C-
&MaximumDocu ments=i& Fuzzv Pea ree=o&l maa eQualitv=r75a8/r75a8/xi50vi50ai6/i425& Pi sptav=h pfr&DefSeek Paa e=x&SearchBack=ZvActionL&Back=Zv
ActionS&BackDesc=ResuLts%20paae&MaximumPaaes=l&ZvEntrv=l&SeekPaae=x&ZvPURL.
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Table 2. Emission Factors by Tier Level and Unit Type
g/gal
Engine Tier
Unit Type
z
0
X
PM10
PM2.5
Tier 1
Line-Haul/Passenger
139.36
6.66
6.46
Switcher
150.48
6.54
6.34
Tier 1 +
Line-Haul/Passenger
139.36
4.16
4.04
Switcher
150.48
350
340
Tier 2
Line-Haul/Passenger
102.96
374
363
Switcher
110.96
2.89
2.80
Tier 2*
Line-Haul/Passenger
102.96
1.66
1.61
Switcher
110.96
1.67
1.62
Tier 3
Line-Haul/Passenger
102.96
1.66
1.61
Switcher
68.40
1.22
1.18
Tier 4
Line-Haul/Passenger
20.80
0.31
0.30
Switcher
15.20
0.23
0.22
i)	Example calculation for the weighted NOx factor for line-haul case above:
Weighted average = 270.4 x 0.15 +178.88 x 0.0 +149.76 x 0.05 +139.36 x 0.1 +
139.36 x 0.25 +102.96 x 0.0 +102.96 x 0.1 +102.96 x 0.25 = 132.86 g/gal NOx
ii)	The Tool repeats these calculations for PMio/2,5
iii)	All calculations are then repeated for switchers
2)	The Tool multiplies gallons of (freight + passenger) diesel by weighted average fuel
factors for line-haul/passenger category.
3)	The Tool multiplies gallons of switcher diesel by weighted average fuel factors for
switchers.
4)	The Tool sums grams for line-haul/passenger and switchers to obtain total tons for NOx,
PM10 and PM2.5.
ii. Diesel - Data Input Methods 1 and 3 (inputs NOT differentiated by line haul and switcher)
1) The Tool uses Table 2 to calculate the weighted average fuel factors3
3 The factors in Table 2 are calculated by weighting the Line haul/passenger and switcher values from Table 1 by the national average relative fuel
consumption levels for these categories (0.925 and 0.075, respectively). National average values were obtained from 2010 R-i reports.
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Table 3. Emission Factors by Engine Tier
Only


g/gal

Engine Tier
z
0
X
PM10
PM2.5
Non-Tier
269.96
6.66
6.46
Tier 0
179.83
6.66
6.46
Tier 0+
150.61
4.11
399
Tier 1
140.19
6.65
6.45
Tier 1*
140.19
4.11
399
Tier 2
103.56
368
357
Tier 2*
103.56
1.66
1.61
Tier 3
100.37
1.63
1.58
Tier 4
20.38
O.31
0.30
2) The Tool follows the same process as for Data Input Methods 2 and 4, but there is no
need to sum across unit types (step 4 above).
iii.	Biodiesel -
1)	Biodiesel NOx and PMio/2,5 emissions are calculated by applying an adjustment factor to
diesel emissions. Therefore the first is to multiply the biodiesel gallons by the diesel fuel
factors as described above to calculate an unadjusted estimate for grams of NOx, PMi0
and PM2.5.
2)	Next the Tool calculates adjustment factors based on % biodiesel blend specified - see
Truck Tool Technical Documentation for references.
a)	% change in emissions = (exp[a * (vol% biodiesel)] -1} * 100%
Where a = 0.0009794 for NOx, and a = -0.006384 for PMio/2,5
b)	The Tool applies the adjustment factor to the unadjusted grams of NOx and PMio/2,5
calculated above. In general PM emissions are somewhat lower than diesel
emissions, while NOx emissions increase slightly.
iv.	LNG - 4
1)	The Tool first sums total gallons of LNG across line-haul, passenger, and switchers
2)	The Tool then multiplies total gallons by 20.3 g/gal to obtain grams NOx; and by 1.35
g/gal to obtain PMi0. The Tool multiplies the gallons value by 1.31 to obtain PM2,5. See
Appendix A regarding the source of these fuel-based factors.
4 LNG, CNG, and Electricity factors do not vary with engine tier. Therefore the Tool does not calculate weighted averages based on tier Level distributions,
but simply uses the gallons and/or kWh amounts from the Operations screen.
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U.S. Environmental Protection Agency
v. CNG -
1)	The Tool converts cubic feet of CNG to gallons if necessary with l standard cubic foot of
CNT = 0.00823 equivalent gallons.
2)	The Tool sums total gallons of CNG across line-haul, passenger, and switchers
3)	The Tool multiplies total gallons by 20.3 g/gal to obtain grams NOx; and by 1.35 g/gal to
obtain PM10. The Tool multiplies the gallons value by 1.31 to obtain PM2.5. See Appendix A
regarding the source of these fuel-based factors.
2	Calculate g/ton-mile for each pollutant (three types of "ton-miles")
a.	Grams per gross ton-mile: the Tool divides the grams of each pollutant (fleet total) by gross ton
miles entered on Operations screen.
b.	Grams per revenue ton-mile: the Tool divides the grams of each pollutant (fleet total) by revenue
ton miles entered on Operations screen.5
c.	Grams per non-revenue ton-mile: the Tool divides the grams of each pollutant (fleet total) by
non-revenue ton miles entered on Operations screen.
3	Calculate g/railcar-mile for each pollutant6
a. The Tool divides the grams of each pollutant by total railcar miles entered
4	Calculate g/truck-equivalent-mile
a.	Since rail operators do not provide railcar type/volume information, a national default value of
6,091 cubic feet per car is assumed for all carriers - see the Shipper Tool Technical
Documentation for details.
b.	Calculate the "truckload equivalents" factor (TE): divide the national average railcar volume by
3,780 cubic feet.7
c.	g/truck-equivalent-mile = g/railcar-mile / TE, and is calculated for each pollutant.
5	Value reported in SmartWay Public Bin Export Report.
6	Ibid.
7	Truck industry average freight volume is 2.78 TEU = 3,780 cubic feet (see Shipper Tool Technical Documentation).
vi. Electricity -
1)	The Tool sums total kWh of electricity across line-haul, passenger, and switchers
2)	The Tool then multiplies total kWh by 0.400 to obtain grams NOx; by 0.091 for grams
PMi0; and by 0.037 for grams PM2,5. See Appendix C for details.
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Table 4. National Average Railcar Volume Data (Tool Defaults)
Type in Tool
Railcar Type
Cubic
Feet
Source/Assumption
Key: Norfolk Southern (NS), Union Pacific (UP),
Burlington Northern Santa Fe (BNSF), CSX
Transportation (CSX), Guide to Railcars (GTRC),
Chicago Rail Car Leasing (CRCL), Union Tank Car
Company (UTCC), U.S Department of Agriculture
(USDA)
Box-Plain 50' +
Box Equipped
Boxcar 50 ft and
longer including
equipped
boxcars
7,177
Based on the average of the following boxcar types:
50ft assumed to be 5694 [reflecting the average of 5355
(NS), 5431 (UP), 5238 (CSX), 6175 (BSNF), 6269 (GTRC)].
60ft assumed to be 6,648 [reflecting the average of 6618
(NS), 6389 (UP), 6085 (CSX), 7500 (BNSF)].
c;oft hiah cube assumed to be 6.^04 freflectina the
average of 6339 (NS) and 6269 (CSX)].
60 ft hiah cube assumed to be 6Q17 freflectina the
average of 7499 (NS), 6646 (CSX), and 6607 (GTRC)].
86ft assumed to be 9999 (NS).
Autoparts assumed to be 74QQ (NS).
Box-Plain 40'
Boxcar 40ft
4,555
Based on estimate of 50ft boxcar volume described
above. Assumed 40ft length would result in 20%
reduction in volume.
Flat TOFC/COFC
Flat General
Service
Flat all other
Flat car - all
types except for
multi-level
6,395
Based on the average of the following flat car types:
60ft assumed to be 6739 (BNSF).
89ft assumed to be 9372(BNSF).
Coil assumed to be 3387(NS).
Covered coil assumed to be R2QA [reflectina the averaae
of 8328 (NS) and 2260 (BNSF)].
Centerbeam assumed to be 6^46 [reflectina the averaae
of 5857 (UP) and 7236 (BNSF)].
Bulkhead assumed to be 7030 (BNSF).
Flat Multi level
Multi-level flat
car
13,625
Based on the average of the following multi-level flat
car types:
Unilevel (that carrv verv larae carao. such as
vehicles/tractors) assumed to be 1218? (NS).
Bi-level assumed to be 14?8i(NS).
Tri-level assumed to be 14?1? (based on averaae of
15287 (NS) and 13339 (BNSF).

Flat Car - all
types-including
multi-level
7,428
Based on the average volumes of the flatcar types
described above including multi-level as a single flat car
type.
Gondola Plain
Gondola Equipped
Gondola - all
types
Including
equipped
5,190
Based on the average of the following gondola car
types:
^2-^ft assumed to be 2626 [based on averaae of 266^
(NS), 2743 (CSX), 2400 (BNSF), and 2697(CRLC)].
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Table 4. National Average Railcar Volume Data (Tool Defaults)
Type in Tool
Railcar Type
Cubic
Feet
Source/Assumption
Key: Norfolk Southern (NS), Union Pacific (UP),
Burlington Northern Santa Fe (BNSF), CSX
Transportation (CSX), Guide to Railcars (GTRC),
Chicago Rail Car Leasing (CRCL), Union Tank Car
Company (UTCC), U.S Department of Agriculture
(USDA)



6o-66ft assumed to be 3372 [based on averaae of 3281
(NS), 3242 (CSX), 3350 (BNSF), CRCL-3670, and 3366
(GTRC)].
Municipal Waste assumed to be 7QQQ (NS).
Woodchip assumed to be 778i[based on averaae of
7862 (NS) and 7700 (CRCL)].
Coal assumed to be 4170 [based on averaae of ^78^ (NS)
and 4556 (BNSF)].
Refrigerator
Mechanical
Refrigerated non-
mechanical
Refrigerated -
Mechanical
/non-
Mechanical
6,202
Based on the average of the following refrigerated car
types:
48-72ft assumed to be 6q6^ fbased on averaae of 604^
(UP) and 7883 (BNSF)].
50ft assumed to be 5i67(GTRC).
40-Q0 ft assumed to be 6476 fbased on averaae of 6q^2
(UP) and 6000 (BNSF)].
Hopper Open Top-
General Service
Open Top
Hopper
4,220
Based on the average of the following open top hopper
car types:
42ft assumed to be 3000 (UP).
54ft assumed to be 3700 (UP).
60ft assumed to be 5188 [based on average of 5125 (UP)
and ^2^0 (GTRC)l. 4^ft+ assumed to be 410^ [based on
average of 4500 (UP) and 3710 (BNSF).
Woodchip assumed to be 707^ [based on averaae of
7525 (NS), 5999 (UP), and 7700 (CRCL)].
Small Aaareaate assumed to be 22^2 [based on averaae
of 2150 (NS), 2106 (BNSF), and 2500 (CRCL)].
Hopper Covered
Covered Top
Hopper
4,188
Based on the average of the following covered top
hopper car types:
45ft assumed to be 5250 (GTRC).
Aaareaate assumed to be 2^7^ [based on averaae of
2150 (NS) and 3000 (CRCL)].
Small Cube Gravel assumed to be 2crq [based on
average of 2655 (NS), 3100 (CSX), and 3063 (BNSF).
Med-Larae Cube Ores and Sand assumed to be 416Q
[based on average of 3750 (NS) and 4589 (BNSF)].
Jumbo assumed to be ^147 [based on averaae of 487^
(NS), 4462 (CSX), 5175 (BNSF), and 6075 (CRCL)].
Pressure Differential (flour) assumed to be roro [based
on average of 5124 (NS) and 4975 (CRCL)].
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Table 4. National Average Railcar Volume Data (Tool Defaults)
Type in Tool
Railcar Type
Cubic
Feet
Source/Assumption
Key: Norfolk Southern (NS), Union Pacific (UP),
Burlington Northern Santa Fe (BNSF), CSX
Transportation (CSX), Guide to Railcars (GTRC),
Chicago Rail Car Leasing (CRCL), Union Tank Car
Company (UTCC), U.S Department of Agriculture
(USDA)
Tank under 22,000
gallons
Tank Cars under
22,000 gallons
2,314
Assumes 1 gallon=0.i337 cubic foot (USDA).
Based on small tank car average volume of 17304
gallons, which is the average of the following currently
manufactured tank car volume design capacities of
13470,13710,15100,15960,
16410,17300,19900,20000,20590, and 20610 gallons
(GTRC).
Tank over 22,000
gallons
Tank Cars over
22,000 gallons
3,857
Assumes 1 gallon=0.i337 (USDA).
Based on large tank car volume of 28851 gallons, which
is the average of the following currently manufactured
tank car volume design capacities of 23470, 25790,
27200, 28700, 30000, 33000, and 33800 gallons (GTRC).
All other cars
Work Equip &
company Freight
No payment car-
miles
All Other Cars
5.014
Based on average volume presented above for each of
the nine railcar types (all flatcars are represented by the
line item that includes multi-level flatcars - 7428).
References
Burlington Northern Santa Fe Railway (BNSF), Available at: http://www.bnsf.com/customers/how-can-i-
ship/individual-railcar/#%2^subtabs-^
CSX Transportation (CSXT), Customer Equipment. Available at:
https://www.csx.com/index.cfm/customers/resources/equipment/
Norfolk Southern Railway Company (NS), Customer Equipment. Available at:
http://www.nscorp.com/content/nscorp/en/shippina-tools/equipment-auide/merchandise-
equipment.html
Union Pacific Railroad (UP), Customer Equipment, Car Types. Available at:
http://www.uprr.com/customers/equip-resources/cartypes/index.shtml
Chicago Rail Car Leasing (CRCL), Rail Car Types. Available at: https://www.crdx.com/railcars
Surface Transportation Board (STB), Industry Data, Economic Data and Statistical Reports, Class 1 Annual
Report Financial Form R-i. Available at http://www.stb.dot.aov/stb/industry/econ reports.html
United States Department of Agriculture, Economic Research Service,20005-4788, June 1992, Agricultural
Handbook Number 697, Washington, DC. Available at: https://www.ers.usda.aov/publications/pub-
details/?pubid=4i88i
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X-
Union Tank Car Company, Chicago, IL, Basic Design Specifications. Available at: https://www.utlx.com/
SmartWay Technical. Documentation | Section 2

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MENTAL PROTECTION AGENCY »
U.S. Environmental Protection Agency
Q Activity Input Validation
SmartWay has developed general validation criteria based on 2011 R-i report data in order to perform range
checks on Partner activity inputs. These range checks are simply intended to identify unreasonable data
entries only. Table 4 summarizes the R-i data used for each Class 1 Rail Line, as well as the range check
values derived from the carrier-specific data. Range check values are displayed in bold.
Maximum acceptable values for fuel use, ton-miles, car-miles, and unit miles for Class 1 operators were set
equal to three times the rail-line specific maximum shown in the table. Similarly, minimum acceptable values
for Class 1 operators were set equal to one tenth for fuel use, ton-miles, car-miles, and unit miles. Maximum
acceptable values for Class 2 and 3 operators were set at one tenth of the Class 1 maximum value.
SmartWay will re-evaluate validation ranges to make them more precise, comprehensive, and consistent as
Rail Partner data is collected in the future.
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Table 5. 2011 Ri Activity Data and Rail Tool Validation Ranges
Total Fuel Use Gross ton
(gallons diesel miles total
Rail Line	oil)	(thousands)
Non
Revenue revenue	Total
Freight ton Freight ton	freight car
miles miles	miles
(thousands) (thousands)	(thousands)
Locomotive	Locomotive
Total Train Yard
Locomotive switching switching
unit miles unit miles unit miles
BNSF
1,340,634.00
0
1,200,654.47
8
648,431.637
6,117,197
11,316,277
495.865,213
2,161,568
14,323,105
CSX
500,735.225
456,207.620
228,394.651
1,216,165
4.789.143
186,017,342
6,557,484
14,352,854
GTC
124.776,076
105.195.469
51,253.084
518,201
1,241,217
31.375.934
2,686,536
4,714,915
KCSR
64.833.378
55.889,957
30,485.863
1.338,343
628,431
23,846,725
516,654
26,504,929
NS
473.887.662
392,056,820
191,712,562
1,267.931
4,327.021
170,767.368
7,042,003
14,060,355
Soo
72,442,000
70,325.676
34.581,354
333.090
807.927
27.407.979
2,686,353
2,577,600
UP
1,117.851,152
1,072,705.76
4
544.397.317
5,485.720
11,012,608
424,786,444
12,635,406
19,169,964









Class 1 max
4,021,902,00
0
3,601,963,43
4
1.945.294.911
18,351.591
33.948,831
1.487,595.63
9
37,906,218
79,514,787
Class 1 min
6,483.338
5,588,996
3,048,586
33.309
62,843
2,384,673
51,665
257,760









Class 2/3 max
134,063,400
120,065,448
64.843,164
611,720
1,131,628
49,586,521
1,263,541
2,650,493
Class 2/3 min
> 0
> 0
> 0
> 0
> 0
> 0
> 0
> 0
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SmartWay
MENTAL PROTECTION AGENCY »
U.S. Environmental Protection Agency
References
California Air Resource Board
Rail Yard Agreement, Sacramento California 2007.
U.S. Department of Transportation
Bureau of Transportation Statistics, Freight in America, January 2006.
U.S. Department of Transportation
Surface Transportation Board, Form R-i
United States Code of Federal Regulations
Title 40 Section Chapter 1, Subchapter Q, Part 600.113, Fuel Economy Calculations
U.S. Environmental Protection Agency
Regulatory Support Document: Locomotive Emission Standards Final Rule, 1997.
U.S. Environmental Protection Agency
2009 Locomotive Emission Factor Study, Ann Arbor, Ml.2009.
U.S. Environmental Protection Agency
MARKAL Input Data for non-Light Duty Vehicles, Research Triangle Park, NC 2009
SmartWay Technical. Documentation | References

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U.S. Environmental Protection Agency»
Appendix A: Locomotive Emission Factors
A-l. FUEL-BASED EMISSION FACTORS
Table A-l. Line Haul Locomotive Emission Factors (grams per gal)
Pollutant
Diesel
270.402
6.662
10,180
Biodiesel
(B-20)
1731
7.881
9.4604
CNG


7.0304
LNG
20.33
1.353
3.8654
1.	MARKAL data (2009)
2.	EPA Locomotive Emission Factors (2009)
3.	ARB Rail Yard Agreement (2007) in terms of diesel equivalents
4.40 CFR 600.113
Table A-2. Small Line-haul Locomotive Emission Factors (grams per gal)
Small Line
Emission Factor
Haul
g/gal
z
0
X
236.60
PM10
582
co2
10,180
Uncontrolled yard locomotive emission factors were obtained from EPA's Locomotive Emission Factors
(2009).
Table A-3. Yard Locomotive Emission Factors (grams per gal)

Emission Factor
Yard
g/gal
z
0
X
264.48
PM10
6.69
co2
10,180
Uncontrolled yard locomotive emission factors were obtained from EPA's Locomotive Emission Factors
(2009). All emission factors listed here reflect uncontrolled (i.e., pre-Tier 0) emission levels.
SmartWay Technical. Documentation | Appendix A A-1

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Appendix B: Surrogate Locomotive Data
SURROGATE DATA FOR EMISSION ESTIMATION
Data provided in the R-i reports have been compiled and evaluated to identify useful surrogates that may
help Partners gap-fill missing data. Because the data is from Class I operations, it may be biased to larger
operations.
SURROGATES FOR CALCULATING FUEL CONSUMPTION
The basic approach allows for emission calculations that roughly approximate emissions using reported total
annual fuel consumption. If annual fuel consumption data are unknown, surrogate data, such as locomotive
population, miles traveled, annual ton-miles or TEU-miles, can be used to provide an estimate for line-haul
locomotive fuel consumption, as noted in the following table.
Table B-i. Fuel Usage Surrogates
Line Haul Surrogate
Data Options in
Absence of Annual
Fuel Usage
Number of
Locomotives
Total Annual
Locomotive
Miles
Total Annual
Ton Miles
Freight
T ransported
Total Annual TEU
mile Equivalents
Multiplication Factor
for estimating
Annual Fuel Usage
(gal/yr)
132,800
(gal/yr*locomotive)
2.44 (gal/
locomotive
miles)
0.002 (gal/ton
miles freight
transported)
0.053
(gal/TEU-mile
Equivalents)
Values used to develop the surrogates were derived from the Bureau of Transportation Statistics 2012
National Transportation Statistics Table 4-17
(http://www.bts.aov/publications/national transportation statistics/html/table 04 17.html)
When using the basic approach to estimate yard locomotive emissions, the number of locomotives can be
applied to the fuel consumption factors noted in the following equation to estimate annual fuel usage:
Yard Fuel Use (gal/yr) = 195,451 (gal/yr*yard locomotive) x Number of Yard Locomotives
SURROGATES FOR METRIC COMPARISONS
The railroad model is designed to apply calculated emissions to a variety of operational parameters. This
allows the derivation of metrics that can be used as a reference point to evaluate a Partner's environmental
performance relative to others.
SmartWay Technical. Documentation | Appendix B B-1

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SmartWay
U.S. Environmental Protection Agency»
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In instances where the necessary information has not been provided, surrogate data presented in Table B-2,
may be used to estimate total miles traveled or the total annual ton-miles, based on the number of active
line-hail locomotives in the Partner's fleet.
Table B-2. Surrogates for Estimating Annual Miles and Ton-Miles
Metric for Which
Surrogate Data is
Needed
Total Annual Train
Miles Traveled
Total Annual
Ton Miles
Multiplication Factor
for Estimating Train
miles or ton-miles
based on the
Number of
Locomotives
54.400
(miles/yr'locomotive)
63,744.000 (ton-
miles/yr'locomotive)
SmartWay Technical. Documentation | Appendix B B-2

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Appendix C: Derivation of National Average
g/kW-hr Emission Factors
FROM ARGONNE GREET MODEL Version 2016. http://areet.es.anL.aov/
Table C-i. Electric Generation Mix (From Annual Energy Outlook 2016)

U.S. Mix
Residual oil
0.7%
Natural gas
32.9%
Coal
33.5%
NucLear power
197%
Biomass
1.0%
Others
12.2%
Others = Hydro, Wind, GeothermaL, SoLar PV etc.
ELectric Transmission and Distribution Loss = 8.0%
Table C-2. Power Plant Emissions: in Grams per kWh of
Electricity Available at Power Plant Gate

GREET CaLcuLated Emission Factors

By Fuel Type Plants (Stationary and Transportation)






43
O.41
0.49

O.366
PM10
0.18
0.01379
0.16
2.08
0.083
PM2.5
0.13
0.01344
0.062
0.6l
0.034
co2
950
440
960
1.530
559
C02 in burnt biomass from atmosphere
-750

Assumes no emissions from nucLear power pLants or "Others"
Table C-3. Power Plant Emissions: Grams per kWh of Electricity
Available at User Sites (wall outlets)

TotaL delivered based on US electric generation mix
NOx
0.40
PM10
0.091
PM2.5
0.037
co2
607
TotaL power pLant gate emissions/(i-eLectric transmission and distribution Loss)
SmartWay Technical. Documentation | Appendix C C-1

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U.S. Environmental Protection Agency»
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For more information:
U. S. Environmental Protection Agency
Office of Transportation and Air Quality
1200 Pennsylvania Ave. NW
Washington, DC 20460
(734) 214-4333
www.epa.aov/transportation-air-pollution-and-
climate-chanae
U. S. Environmental Protection Agency
National Vehicle and Fuel Emissions Laboratory
2565 Plymouth Rd.
Ann Arbor, Ml 48105
(734) 214-4200
www.epa.aov/aboutepa/about-national-
vehicle-and-fuel-emissions-laboratory-nvfel
EPA 420 B 19 017 | March 2019 | SmartWay Transport Partnership | epa.gov/smartway

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