A FPA , protection ^^SmartWay
# % Agency U.S. Environmental Protection Agency^
2019 SmartWay
Shipper Company
Partner Tool:
Technical Documentation
U.S. Version 2.0.18 (Data Year 2018)
EPA-420-B-19-052 I October 2019 I SmartWay Transport Partnership I epa.gov/smartway
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Environmental Protection ^^\XSmartWaY
*mAgency U.S. Environmental Protection Agency^
2019 SmartWay
Shipper Company 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-19-052
October 2019
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Table of Contents
OVERVIEW l
1.0 TOOL INPUTS AND CALCULATIONS 2
Emission Inventory and Performance Metric Calculations 2
Ton-Mile Calculation 4
Carrier Emissions Performance Data 4
Truck Carrier Performance 5
Logistics and Multimodal Carrier Performance 10
Air and Barge Carrier Performance 10
Rail Carrier Performance n
% SmartWay Value 20
Public Disclosure Reports 20
2.0 CALCU LATOR TOOLS 21
Mile and Weight Improvements 21
Modal Shift Impacts 22
Background On Illustrative U.S. Modal Average Factors 24
Outside Sources of Ocean-Going Marine Emission Factors 26
3.0 SHIPPER PAYLOADS AND DATA VALIDATION 30
Payload Validation 30
Ton-Mile Validation 31
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List of Tables
Table 1. Emissions Calculation Basis by SmartWay Category 3
Table 2. Emission Factor Ranges for One Performance Category (2013 Data) 9
Table 3. Assumed Performance Metrics for Non-SmartWay Air Carriers 11
Table 4. Rail Carrier Performance Metric Calculation Inputs & Results (2017 R-i Data) 12
Table 5. Rail Carrier Average Payload 12
Table 6. Railcar Volume Assumptions and Sources 13
Table 7. Rail Carrier Average Volume Determination 16
Table 8. U.S. Freight Truck Industry Average Factors Used in Modal Shift 25
Table 9. Underlying Data for Freight Truck Industry Average Factors (2019) 25
Table 10. Modal Average Barge Emission Factors 26
Table 11. Modal Average Performance Metric Estimates for Rail, Truck, Barge, Air, and Intermodal 26
Table 12. BSR Marine Emission Factors (g C02/short ton-mile) 27
Table 13. IMO Marine Emission Factors 28
Table 14. Shipper Payload Validation Ranges 30
Table A-i. U.S. Freight Rail Industry Average Factors (2010) A-i
Table A-2. Underlying Data Used to Estimate U.S. Rail Industry Average Factors A-2
Table A-3. Updated U.S. Freight Rail Industry Average Factors in Modal Shift (2017) A-2
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Overview
The SmartWay Shipper Tool is intended to help shippers estimate and assess their carbon, PM, and NOx
emissions associated with goods movement in the U.S. freight trucking, rail, air and barge sectors1 Shippers
can track their freight-related emissions performance from year-to-year using the Tool and assess a range of
strategies to improve the emissions performance of their freight operations, including selection of low-
emissions carriers and implementation of operational strategies such as (but not limited to) packaging
improvements, load optimization and logistical improvements.
The SmartWay truck, barge, air, logistics and multimodal carrier emissions performance data that EPA has
included in the Tool, along with industry average Class I rail C02 data, will allow shippers to generate
accurate emissions inventories. The data will also help shippers optimize their emissions performance by
allowing them to better estimate the emissions impact of individual carriers, modal shifts, and operational
strategies.
1 Future versions of the tool will help Shippers evaluate the emissions performance associated with ocean going vessels.
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Tool Inputs and Calculations
After shippers enter their company and contact information, they provide basic information about each
company they operate, including the name and NAICS code for each of these companies. For these
individual companies to show up on the SmartWay Partner list on the EPA website, shippers should submit
separate Shipper Tools, one for each company.
For each company, shippers need to indicate their participation level. If they have annual mileage-related
activity data by carrier (miles or ton-miles), they should select Way 3 or Way 4, and proceed to input activity
data for each carrier. Otherwise, they must select the Way 2 option, which only requires them to report the
portion of goods they move with SmartWay carrier partners based on money spent, weight shipped,
packages shipped, or another custom metric.
If shippers select the Way 2 option, they will not be eligible for a SmartWay Excellence Award, nor will they
be able to calculate an emissions inventory or develop emissions performance metrics (e.g. g/mile or g/ton-
mile) for their freight operations.2 All shippers - regardless of participation level - will be able to see the
SmartWay Category-level emissions performance data for their truck, logistics and multimodal carriers as
well as available industry average rail emissions factors. Emissions performance data for barge and air
carriers are reported on a carrier-specific basis.
After identifying and selecting all of their SmartWay and non-SmartWay carriers, Way 4 shippers can then
identify each carrier that they use for each company and the service that the carrier provides (e.g., Inbound or
Outbound hauls, International and/or Domestic service, etc.). These optional parameters serve as "tags"
which allows shippers to filter their emission data as desired using the screen tools discussed below.
EMISSION INVENTORY AND PERFORMANCE METRIC CALCULATIONS
If shippers choose the Way 3 or 4 option, the Tool will calculate their total mass emissions (i.e., an emissions
inventory) based on the mileage-related activity data entered for each carrier, as well as various emission
performance metrics (e.g., grams/mile and grams/ton-mile - see below).
Carrier-specific emissions are first calculated either on a ton-mile basis (as ton miles x grams per ton-mile), or
on a miles basis (miles x grams per mile), depending on the category as shown in Table 1.3 Any
modes/categories not listed have a limited data availability and their emissions are calculated using ton-
miles.
2 Shipper partners are encouraged to select the Way 3 or 4Way 3 or 4 reporting option for all their companies whenever possible. When a shipper has
multiple companies the participation level chosen for the % SmartWay Value calculation must be the same for all companies in order for the Tool to
calculate a Partner level % SmartWay Value.
3 Note that the Tool doesn't need shippers to enter a payload or ton-mile estimate for SmartWay Categories whose emissions are based on Miles, as the
payload estimate will not affect the overall emissions footprint. However, the calculated emission factors and average payload estimate are affected by the
assigned payload.
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Table l. Emissions Calculation Basis by SmartWay Category
SmartWay Category
Activity Basis
Dtm
Dm
Refrigerated
Ton-miles
1
0
Mixed
Ton-miles
1
0
TL/DryVan
Ton-miles
1
0
Flatbed
Miles
0
1
Moving
Miles
0
1
Dray
Miles
0
1
Non-SW Truck General
Ton-Miles
1
0
Specialized
Miles
0
1
Expedited
Miles
0
1
Auto
Miles
0
1
Tanker
Miles
0
1
Heavy/Bulk
Miles
0
1
The Shipper partner's mass emissions are calculated by summing the individual carrier emissions. Then, fleet
average emission factors are calculated by dividing mass emissions by total ton-miles and total miles to
obtain grams per ton-mile and grams per mile, respectively. The fleet average payload is calculated by
dividing total ton-miles by total miles.
Overall, carrier emissions are calculated using the following equations, where Dtm and Dm are dummy
variables with values of either o or 1, as shown in Table l above.
Ec = Dtm * TonMlles * gtm + Dm * Miles * gm
Total emissions:
Etot=
c
-I
Emission factors and average payload (APL):
. '-•tot
gtm
'ZcTonMilesc
'-•tot
gm
APL =
Y,cMilesc
£c TonMilesc
XcMilesc
The emissions inventory for each carrier/mode combination displayed on the Emissions Summary, Carrier
Performance and SmartWay Category Details screens is calculated using the equations show above. To
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calculate composite emissions and associated performance metrics on the Carrier Performance screens (i.e.,
overall g/mile and g/ton-mile performance), the Tool weights simply sums the emissions, miles and ton-
miles for the associated group ((e.g. all Inbound carriers) and divides the total emissions by total miles and
ton-miles as appropriate.
Correctly calculating Ton-Miles is critically important for the accurate determination of your carbon footprint.
You can calculate your company's ton-miles as follows.
Determine the ton-miles hauled per year attributable to each carrier. A ton-mile is one ton moving one mile.
DO NOT ESTIMATE TON-MILES BY SIMPLY MULTIPLYING TOTAL MILES BY TOTAL TONS - this calculation
effectively assumes your entire tonnage is transported on EACH AND EVERY shipment, and will clearly
overstate your ton-miles.
Many companies track their ton-miles and can report them directly without further calculation. For example,
shipper company systems are often set up to associate a payload with the mileage traveled on each trip by
carrier, and are then summed at the end of the year. If such information is not available, there are two ways
to calculate ton-miles:
1. Companies can determine their average payload per carrier, multiply the average payload by the
total miles per carrier, and sum the results for all carriers for the reporting year; or
2. Set Ton-miles per carrier = (total miles per carrier x total tons per carrier)
NOTE: In both ton-mile calculations, empty miles are not factored in while the fuel used to drive those empty
miles is factored in.
To check your estimate, divide ton-miles by miles. The result is your fleet-average payload. If this number is
not reasonable, (e.g., typically between 15 and 25 tons for Class 8b trucks), please check your calculations.
The current SmartWay program provides C02, NOx and PM gram per mile, and gram per ton-mile emission
factors for truck, rail, multimodal, logistics, air and barge freight transport providers. These data are provided
in the SmartWayCarrierData2018ST.xls file, which is downloaded to the user's computer using the button on
the Tool's Home screen.
It is envisioned that SmartWay will incorporate emission factors from ocean-going vessel transport providers
in the future.
TON-MILE CALCULATION
total # of trips per carrier
CARRIER EMISSIONS PERFORMANCE DATA
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TRUCK CARRIER PERFORMANCE
Truck carrier performance data utilized by the current Shipper Tool is based on 2019 Truck Partner Tool
submittals for activity in 2018. Performance data includes g/mile and g/ton-mile for each truck carrier. Note
that g/mile and g/ton-mile values represent midpoints for the appropriate SmartWay Category rather than
exact performance levels for a given carrier. Truck SmartWay Categories include:
TL Dry Van
LTL Dry Van
Refrigerated
FLatbed
Tanker
Dray
Package
Auto Carrier
Expedited
Heavy/BuLk
Moving
Specialized
Mixed
Your fleet will be placed into a SmartWay Category and ranked with other SmartWay partner's fleet in that
same category based on the following rules:
1. If 75% or more of fleet's Operation is Drayage your fleet will be categorized as a Drayage fleet,
regardless of what you specify for fleet's Body Type.
Otherwise
1. If 75% or more of your fleet's Body Type is Moving, Heavy/Bulk, Refrigerated, Tanker, Auto Carrier, or
Flatbed then your fleet will be categorized as that matching body type.
2. If the sum of your fleet's Utility Body Type and Special Hauler Body Type is 75% or more, then your
fleet will be categorized as Specialized/Utility.
3. If 75% or more of your fleet's Body Type is Dry Van or Chassis then:
a. If 75% or more of your fleet's Operation is Truckload then your fleet will be categorized as TL/Dry
Van.
b. If 75% or more of your fleet's Operation is Less than Truckload then your fleet will be categorized
as LTL/Dry Van.
c. If 75% or more of your fleet's Operation is Package then your fleet will be categorized as Package.
d. If 75% or more of your fleet's Operation is Expedited then your fleet will be categorized as
Expedited.
e. If none of the above (a through d) are true, then your fleet will be categorized as Mixed.
4. Otherwise if none of the above conditions exist your fleet will be categorized as a Mixed fleet.
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The following provides an overview of the process used to estimate the carrier-specific performance ranges.
Truck Performance Categories
In the 2019 SmartWay Truck Tool, data is collected at the individual company fleet level. Fleets are
characterized by a) business type: for-hire or private, b) operational type: truckload/expedited, less than
truckload, dray, expedited, or package delivery, and c) equipment type: dry van, refrigerated van, flatbed,
tanker, chassis (container), heavy/bulk, auto carrier, moving, or specialized (e.g., hopper, livestock, others.)
The possible categories are shown below.
For-Hire
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
TL
LTL
Dray
Expedited
Package
Private
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
TL
LTL
Dray
Expedited
Package
Note that while Specialized fleets have disparate operations/equipment types and thus do not compare
well, they are also unlikely to compete with one another, so it was deemed acceptable to aggregate these
disparate fleets into one category.
For-hire and private fleets are combined in the SmartWay Categories. There are relatively few private fleets
compared to for-hire fleets. Because owners of private fleets generally hire their own fleets exclusively, it
was determined that grouping for-hire and private fleets together would not be detrimental to for-hire fleets,
and the simplicity of one for-hire and private category outweighed the benefits of listing fleets separately.
Grouping for-hire and private separately would have doubled the number of SmartWay Categories.
Therefore, fleets can thus be categorized as shown below.
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For-Hire and Private
Dry Van
Reefer
FLatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
TL
LTL
Dray
Expedited
Package
To be categorized in a particular category, a fleet must have at least 75% of its mileage in a single category,
otherwise it is classified as a "Mixed" fleet. Fleets may be mixed via their operational or equipment type.
Fleets are generally segregated by their operational type, but some mixing does occur via equipment type,
especially with smaller carriers that do not differentiate their fleet. Fleets that do not have 75% of their
operations in a specific SmartWay Category are placed in the Mixed category.
Individual fleets were then placed into SmartWay Categories. The following shows the relative number of
fleets for the various category intersections, with darker shadings indicating more fleets.
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
Mixed
LTL
-
-
-
-
Dray
-
-
-
-
-
Expedited
-
-
-
-
-
-
-
Package
-
-
-
-
-
-
-
Mixed
-
-
-
-
-
SmartWay then considered combining categories with similar characteristics for simplification purposes. One
prerequisite was that there needed to be a minimum number of fleets in each category. SmartWay
determined that a category needed a minimum of 25 fleets to be created. It was also determined that dry
van and chassis (i.e. intermodal container) groups functioned primarily as dry van transport, so these
categories were combined. While most refrigerated carriers were truckload, a few less than truckload
refrigerated fleets exist, so these categories were combined. Although no expedited or package refrigerated
fleets were identified, these categories were also combined into one overall refrigerated category so that no
operation and equipment type intersections would be left undefined. A similar situation was identified with
flatbed, tanker, heavy/bulk, auto carrier, moving, and specialized fleets. All dray fleets were collapsed into
one category. Any fleet that had mixed operation and/or mixed equipment was placed into a single mixed
category. Finally, logistics and multimodal fleets were also included and retained as unique categories.
The final performance categories for 2018 are illustrated below. The solid colors indicate how operation and
equipment type assignments vary by performance category. For example, if 75% or more of a fleet's mileage
is associated with reefer trucks, the fleet is assigned to the Reefer category regardless of the operation
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percentage across truckload, expedited, LTL. and package categories. However, the Reefer category
assignment is overridden if the operation category is greater than or equal to 75% dray, Logistics, or
multimodal Similar assignment rules apply to flatbed, tanker, heavy/bulk, auto carrier, moving, and
specialized equipment types, as described above. Only the Dry Van/Chassis equipment category is
subdivided by the truckload, expedited, LTL, and package operation categories, meaning that the 75%
threshold must be met for both equipment and operation type in these cases. All other equipment/operation
type percentage distributions are assigned to the Mixed category.
Figure 1. SmartWay Carrier Categories and Data Specificity - 2018 Data Year
TRUCK
Dry Van
Heavy
Auto
Specialized
& Chassis
Reefer
Flatbed
Tanker
81 Bulk
Carrier
Moving
& Utility
Mixed
Dray
Dray
5 Performance Levels
Truckload
Truckload DryVan
5 Performance Levels
Reefer
Flatbed
Tanker
Heavy
Auto
Moving
Specialized
Mixed
Expedited
Expedited
& Bulk
Carrier
& Utility
5 Performance Levels
5
5
5
5
5
5
5
5
LTL
LTL
Performance
Performance
Performance
Performance
Performance
Performance
Performance
Performance
5 Performance Levels
Levels
Levels
Levels
Levels
Levels
Levels
Levels
Levels
Package
Package Delivery
5 Performance Levels
Less than 75%
Mixed
Mixed
in any category
Rail
Single Modal Average for All Rail
(No company differentiation allowed per Association of American Railroads)
Barge
Air
Company Specific Data
Logistics
5 Performance Levels
Multimodal!
Emission Factor Data Only
(No 5 Performance Level Ranking)
Marine
To Be Determined
It is possible that SmartWay will expand these categories in the future based on in-use experience or as a
result of further data analysis, and/or requests from industry.
Fleets within a SmartWay Category have been ranked from lowest emission factor (best) to highest emission
factor (worst) for each of the following metrics: C02 g/miLe, C02 g/ton-mile, NOx g/miLe, NOx g/ton-mile.
PM10 g/miLe and PMi0 g/ton-mile. When SmartWay Categories are first established, fleets within a category
are separated into 5 ranges such that an equal number of fleets were in each range. Each range thus
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represents a group of emission factors. These ranges, and associated ranking "outpoints" (transition points
from one rank to the next) were then modified so that each range had an equal difference between upper
and Lower bounds, and the new outpoints remained as close to the originals as possible. The new range
outpoints are displayed as numbers with significant digits appropriate to emission factors in that range. The
midpoint of the range is used as the emission factor for all fleets in that range.
It would be simpler and more straightforward to use fleet-specific emission factors, however the trucking
industry expressed concern that revealing exact data could be used to back-calculate mile per gallon
numbers. The above described methodology prevents a determination of an exact mpg figure, while at the
same time attributing an emission factor much more precisely than a modal default number. Given the large
number of trucking fleets, and thus opportunity for fleets to be very close to each other in performance,
SmartWay believes it is acceptable and appropriate to break truck fleets into 5 performance ranges for each
SmartWay Category.
The table below illustrates the ranges in the For Hire/Private Truckload/Expedited Dry Van SmartWay
Category, using 2013 Truck Partner data as an example.
Table 2. Emission Factor Ranges for One Performance Category (2013 Data)
Group ID
Fleets Per
Bin
For-Hire/Private Truckload/ Dry Van COz g/mile
Grams Per Grams Per Grams Per Grams Per Mile
Mile Min Mile Max MiLeAvg Midpoint
Grams Per Mile
Std Dev
1
186
944
1.549
1.452
1,500
118
2
227
1.551
1,650
1,601
1,600
28
3
194
1,651
1.749
1,692
1,700
29
4
140
1.751
1,848
1.798
1,800
29
5
115
1,851
5.090
2,010
1,900
359
Similar tables have been developed for all performance SmartWay Categories. The midpoint of each
performance range is the data that a shipper downloads into their SmartWay Shipper Tool to represent the
emission performance of a specific fleet that is in the associated range. Once the categories and ranges have
been established, the fleets of any new companies joining SmartWay will fall into one of the predefined
categories/ranges for that reporting year. SmartWay expects to update the category/range structure
periodically.
Performance estimates for non-SmartWay truck carriers were calculated based on the lowest performing
truck partners. Since no data exist to define non-SmartWay fleets, SmartWay believes the prudent approach
is to assign conservative emission factors to non-SmartWay companies. Also, this policy makes it likely that
any companyjoining SmartWay will see better emission factors displayed than the non-SmartWay default
emission factors.
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The non-SmartWay performance metrics were calculated by taking a standard performance range delta
(max - min) for each range within each SmartWay Category and using the delta to calculate a non-SmartWay
carrier midpoint for each category. This midpoint was the midpoint for Range 5 plus the standard range delta.
For example, if the Range 5 midpoint was 10.5 and the category's standard delta was 1, then the non-
SmartWay midpoint was calculated to be 11.5. Once the non-SmartWay midpoints for each pollutant were
calculated for all SmartWay Categories, the non-SmartWay performance metric was calculated by using the
average value of these mid-points, weighted by the number of fleets in each category. This approach does
not require the shipper to identify the appropriate SmartWay Category for their non-SmartWay carrier(s),
which they may not know, while still ensuring that the performance of their non-SmartWay carriers reflects
the distribution of the different categories within the truck population.
As discussed in the Shipper Tool Quick Start Guide, depending upon the type of data available for a given
carrier, the user may input ton-miles or miles, and rely on carrier data to back-calculate the other value. For
example, providing ton-miles and average payload allows the Tool to estimate total miles, by dividing the
former by the latter.
Logistic and multimodal carriers have their own performance bins based on the carrier tool submittals for the
most recent available calendar year (2017 for logistics, and 2018 for multimodal). Multimodal carrier
categories are also differentiated by mode combinations, including Surface;4 Surface-Air; Surface-Marine;
and Surface-Air-Marine. Multimodal composite fleets with 10% or more of their ton-miles coming from air or
marine carriers are designated Surface-Air/Marine.5 If a composite fleet does not meet the above
Multimodal criteria, and if it has 75% of its ton-miles derived from one or more Logistics component fleets, it
is binned as a Logistics fleet. If a composite fleet does not meet any of these criteria, it is binned as a Truck
Non-SmartWay carrier performance for the SmartWay Categories is estimated in the same way as is done
for non-SmartWay Truck carriers (i.e., averaging the bin midpoints to calculate a fleet average value).
Air and barge carriers have agreed to have their actual emissions results made public, and, barge
performance values used in the Shipper Tool are carrier-specific. The gram per mile performance values for
barge carriers correspond to individual barge (nautical) miles travelled, rather than miles travelled by a string
of barges or the associated tug(s).
Non-SmartWay barge carrier gram per mile and gram per ton-mile performance is set to be 25% higher than
the worst performing SmartWay barge carrier.
4 Surface muLtimodal carriers utilize road and rail modes.
5 Air and/or marine carriers may be utilized directly by the multimodal carrier, or may be utilized indirectly by Logistics business units hired by the
multimodal carrier.
LOGISTICS AND MULTIMODAL CARRIER PERFORMANCE
fleet.
AIR AND BARGE CARRIER PERFORMANCE
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Since no air carrier data submittals have been approved as of this date, performance Levels for non-
SmartWay air freight are based on publicly available data. First upper bound estimates for grams of C02 per
ton-mile were obtained for short and long-haul air freight (-4,236 g/t-mi and -1,461 g/t-mi, respectively)67
Values for C02 g/mile were calculated by multiplying the g/t-mi value by an average cargo payload value of
22.9 short tons. The average payload value was estimated by dividing total air freight tonnage in 2012 (15M
tons)8 by the total number of cargo departures in the same year (654,956 LTOs).9 Corresponding
performance metrics for NOx and PMi0 were based on the ratio of these pollutants to C02 from the EDMS
5.1.4.1 model (0.009 for NOx and 0.000059 for PMi0)10 The resulting performance metrics are shown in Table
3.
Table 3. Assumed Performance Metrics for Non-SmartWay Air Carriers
C02/tmi
C02/mi
NOx/mi
NOx/tmi
PM/mi
PM/tmi
Short-haul
4.236
96,998
8732713
38.1341
5743247
0.250797
Long-haul
1,461
33.448
301.1280
13.1497
1.980430
0.086482
RAIL CARRIER PERFORMANCE
Rail carrier performance data are collected and displayed in the Shipper Tool at the industry average level
derived from Class 1 rail company data. Gram per ton-mile factors were determined by dividing total fuel use
by total ton-miles and multiplied by a rail diesel C02 factor (10,180 g C02/gal diesel fuel), from publicly
available data submitted in the 2017 railroad R-i reports to the Department of Transportation. 2017 R-i data
was also used to obtain total railcar-miles per year for all Class 1 carriers, in order to estimate gram per
railcar-mile factors. Industry average values are currently assumed for all rail carriers in the carrier data file,
regardless of SmartWay Partnership status. Specific rail companies may have the opportunity to provide
company-specific data in the future. The R-i data and corresponding C02 performance data are presented in
Table 4 below.
6 Short haul air freight assumed to be Less than 3,000 miles, covering most domestic air routes in the U.S.
7 Estimates from Figure 8.6 in Sims R., R. Schaeffer, F. Creutzig, X. Cruz-Nunez, M. D'Agosto, D. Dimitriu, M. J. Figueroa Meza, L. Fulton, S. Kobayashi, O. Lah, A.
McKinnon, P. Newman, M. Ouyang, J. J. Schauer, D. Sperling, and G. Tiwari, 2014: Transport. In: Climate Change 2014: Mitigation of Climate Change.
Contribution of Working Group III to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Edenhofer, O., R. Pichs-Madruga, Y.
Sokona, E. Farahani, S. Kadner, K. Seyboth, A. Adler, I. Baum, S. Brunner, P. Eickemeier, B. Kriemann, J. Savolainen, S. Schlomer, C. von Stechow, T. Zwickel
and J.C. Minx (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
8 U.S. DOT Bureau of Transportaion Statistics, Fregiht Facts and Figures 2013. Accessed 8-28-19.:
http://www.Qps.fhwa.dot.gov/freight/freight analvsis/nat freight stats/docs/i?factsfiaures/pdfs/fff20i? highres.pdf
9 U.S. DOT, Bureau of Transportation Statistics, U.S. Air Carrier Traffic Statistics, Accessed 8-28-19.: https://www.transtats.bts.aov/TRAFFIC/
10 EDMS outputs for take-off mode, assumed to be equal to cruising mode. (Cruise emissions are not output by EDMS). Take-off mode emission rates were
averaged across all aircraft/engine combinations in the Heavy (Max Takeoff Weight over 255,000 Lbs) and Large (Max Takeoff Weight 41,001 to 255,000 Lbs.)
weight classes.
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Table 4. Rail Carrier Performance Metric Calculation Inputs & Results
(2017 R-i Data)
Rail Company
Gal/Yr (000)
Sch. 750 Line 4
Freight Ton-
Mi/Yr('ooo)
Sch. 755 line
110
Railcar-Mi/Yr
( OOO) Sch. 755
sum of lines 30,
46, 64 & 82
g
C02/railcar-
mile
g
C02/short
ton-mile
BNSF Railway
1.353.897
665,948,516
11,606,520
1,187
20.70
CSX T ransportation
426,721
208,127,221
4.713.411
922
20.87
Grand Trunk
116,986
62,708,628
1,486,205
801
18.99
Kansas City Southern
68,873
34.582,626
724,012
968
20.27
Norfolk Southern*
458,179
201,451.969
4,383.081
1,064
2315
Soo Line
65,299
35.244.079
745.550
892
18.86
Union Pacific
1,016,161
466,721,215
10,090,926
1,025
22.16
Total/Industry Average
3,506,116
1,674.784,254
33.749.705
980
20.72
* and combined subsidiaries
NOx and PM emission factors for rail carriers are also based on industry averages. Please see the
"Background on Illustrative (Modal Average) U.S. Truck and Rail Factors" in Appendix A for further details.
Average payloads per loaded railcar were calculated for all Class 1 carriers by dividing the value for annual
ton-miles hauled by an estimate for loaded railcar-miles, based on 2008 R-i data. The calculation uses the
Total Revenue and Non-Revenue Ton-Miles as listed In the R-i Report on line 114 of schedule 755 divided by
the Total loaded Railcar-Miles (the sum of lines 30 and 64 of schedule 755) along with the factor for fuel
gallons consumed for loaded freight that is created based on the percentage of loaded freight to total freight
multiplied by the total diesel fuel value listed on schedule 750 Line 4. The following table summarizes the
estimated average payload per railcar, by carrier.
Table 5. Rail Carrier Average Payload
Avg Payload/Loaded
Carrier
Railcar (tons)
BNSF Railway
108
CSX T ransportation
85
Grand Trunk
80
Kansas City Southern
91
Norfolk Southern
76
Soo Line
77
Union Pacific
91
Industry Average
93
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Average railcar volumes were calculated for all carriers by first estimating an average volume for each major
railcar type listed in the R-i forms (schedule 755, lines 15-81). The assumptions used to estimate these
volumes are provided in Table 6. The railcar-miles reported for each railcar type were multiplied by these
average volumes to estimate annual cubic foot-miles travelled by car type for each company and for the
industry average. The distribution of cubic foot-miles across car types was used as the weighting factor to
estimate a single average railcar volume for each company. These values and the resulting volume
estimates are presented in Table 7.
Table 6. Railcar Volume Assumptions and Sources
Railcar Type
Cubic
Feet
Source/Method
Key: Norfolk Southern Railroad (NS)11, Union Pacific Railroad (UP)12, Burlington Northern
Santa Fe Railroad (BNSF)13, CSX Transportation Railroad (CSX)14, World Trade Press
Guide to Railcars (GTRC)15, Chicago Rail Car Leasing (CRCL)16, Union Tank Car Company
(UTCC)17, U.S Department of Agriculture (USDA)18
Boxcar 50 ft and
Longer inducting
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)].
50ft hiah cube assumed to be 6.^04 [reflectina the averaae of 6??q (NS) and
6269 (CSX)].
60 ft. hiah cube assumed to be 6Q17 [reflectina the averaae of74QQ (NS). 6646
(CSX), and 6607 (GTRC)].
86ft assumed to be 9999 (NS).
Auto parts assumed to be 74QQ (NS).
Boxcar 40ft
4,555
Based on estimate of 50ft boxcar volume described above. Assumed 40ft length
would result in 20% reduction in volume.
11 Norfolk Southern Shipping Tools/Equipment Guide/Merchandise Equipment. http://www.nscorp.com/content/nscorp/en/shippina-tooLs/equipment-
auide/merchandise-equipment.htmL Accessed 8-28-19.
12UP Rail Equipment Descriptions, UP Rail Equipment Descriptions. https://www.uprr.com/customers/equip-resources/cartvpes/index.shtmL Accessed
8-28-19.
13 BNSF Individual Railcar Equipment. http://www.bnsf.c0m/ship-with-bnsf/ways-0f-shipping/individuaL-raiLcar.htmL#subtabs-3. Accessed 5-25-18.
*4 CSX RaiLroad Equipment. https://www.csx.com/index.cfm/customers/resources/equipment/raiLroad-equipment/. Accessed 8-28-19.
15 WorLd Trade Press, WorLd Trade Resources Guide to RaiLcars 2010.
16 Chicago Freight Car Leasing Company, RaiLcar Types. http://www.crdx.com/Service5/RaiLcar. Accessed 8-28-19.
17 UTLX Tank Car Designs and Descriptions. https://www.utLx.com/tank-car-overview/. Accessed 8-28-19.
18 U.S. Department of AgricuLture (USDA), 1992, Weights, Measures, and Conversion Factors for Agricultural Commodities and Their Products, AgricuLturaL
Handbook Number 697, Economic Research Service, Washington, DC. AvaiLabLe at:
https://www.ers.usda.aov/webdocs/pubLications/4i88o/??i?2 ah6Q7 002.pdf?v=42487. Accessed 8-28-19.
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Table 6. RaiLcar Volume Assumptions and Sources
Railcar Type
Cubic
Feet
Source/Method
Key: Norfolk Southern Railroad (NS)11, Union Pacific Railroad (UP)12, Burlington Northern
Santa Fe Railroad (BNSF)13, CSX Transportation Railroad (CSX)14, World Trade Press
Guide to Railcars (GTRC)15, Chicago Rail Car Leasing (CRCL)16, Union Tank Car Company
(UTCC)17, U.S Department of Agriculture (USDA)18
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).
8oft assumed to be 9372(BNSF).
Coil assumed to be 3387(NS).
Covered coil assumed to be R2QA Ireflectina the averaae of 8^28 (NS) and 2260
(BNSF)].
Center beam assumed to be 6m6 Ireflectina the averaae of r8fj (UP) and 72^6
(BNSF)].
Bulkhead assumed to be 7Cno (BNSF).
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
12183 (NS).
Bi-level assumed to be 14?8i(NS).
Tri-level assumed to be 14?1? (based on averaae of 15287 (NS) and i???q (BNSF).
Flat Car - all types-
incLuding multi-Level
[not used in analysis,
except for estimating
volume of "All Other
Cars"]
7,428
Based on the average volumes of the flatcar types described above including
multi-level as a single flat car type.
GondoLa - all types
Including equipped
5,190
Based on the average of the following gondola car types:
52-5?ft assumed to be 2626 (based on averaae of 2665 (NS). 274? (CSX). 2400
(BNSF), and 26g7(CRLC)].
6o-66ft assumed to be ?T72 (based on averaae of ?28i (NS). ?242 (CSX), ??50
(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)l.
Coal assumed to be 4170 [based on averaae of T785 (NS) and 4556 (BNSF)].
Refrigerated -
Mechanical /non-
MechanicaL
6,202
Based on the average of the following refrigerated car types:
48-72ft assumed to be 6q6? [based on averaae of 604? (UP) and 788? (BNSF)].
50ft assumed to be 5i67(GTRC).
40-Q0 ft. assumed to be 6476 [based on averaae of 6Q52 (UP) and 6000 (BNSF)l.
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Table 6. RaiLcar Volume Assumptions and Sources
Railcar Type
Cubic
Feet
Source/Method
Key: Norfolk Southern Railroad (NS)11, Union Pacific Railroad (UP)12, Burlington Northern
Santa Fe Railroad (BNSF)13, CSX Transportation Railroad (CSX)14, World Trade Press
Guide to Railcars (GTRC)15, Chicago Rail Car Leasing (CRCL)16, Union Tank Car Company
(UTCC)17, U.S Department of Agriculture (USDA)18
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 ^188 (based on averaae of R12R (UP) and R2R0 (GTRC)l. 4ftft+
assumed to be 4105 [based on average of 4500 (UP) and 3710 (BNSF).
Woodchio assumed to be 7075 [based on averaae of 7525 (NS). rqqq (UP), and
7700 (CRCL)].
Small Aaareaate assumed to be 2252 [based on averaae of 2150 (NS). 2106
(BNSF), and 2500 (CRCL)].
Covered 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 2R7R [based on averaae of 2150 (NS) and ?000
(CRCL)].
Small Cube Gravel assumed to be 2crq [based on averaae of 2655 (NS). ?ioo
(CSX), and 3063 (BNSF).
Med-Larae Cube Ores and Sand assumed to be 416Q [based on averaae of T750
(NS) and 4589 (BNSF)].
Jumbo assumed to be 5147 [based on averaae of 4875 (NS). 4462 (CSX). 5175
(BNSF), and 6075 (CRCL)].
Pressure Differential (flour) assumed to be 5050 [based on averaae of 5124 (NS)
and 4975 (CRCL)].
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 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
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).
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Table 7. Rail Carrier Average Volume Determination
Freight Car Types oiNur
(Ri - Schedule 755) Avg. Cu Ft. Railcar Miles (xiK) Cu Ft Miles (xiK)
Box-Plain 40-Foot
4.555
l
4,555
Box-Plain 50-Foot & Longer
7.177
9,338
67,018,826
Box-Equipped
7.177
147,226
1,056,641,002
Gondola-Plain
5.190
379,762
1,970,964,780
Gondola-Equipped
5.190
75,894
393,889,860
Hopper-Covered
4,188
758,442
3,176,355,096
Hopper-Open Top-General Service
4.220
65,077
274,624,940
Hopper-Open Top-Special Service
4.220
137,449
580,034,780
Refrigerator-Mechanical
6,202
19,272
119,524,944
Refrigerator-Non-Mechanical
6,202
32,910
204,107,820
Flat-TOFC/COFC
6,395
520,521
3,328,731,795
Flat-Multi-Level
13,625
38,624
526,252,000
Flat-General Service
6,395
357
2,283,015
Flat-All Other
6,395
71,826
459,327,270
All Other Car Types-Total
5,772
20,146
116,282,712
Average Railcar Cubic Feet
5,811
CSX
Freight Car Types (Ri - Schedule 755)
Railcar Miles (xiK)
Cu Ft Miles (xiK)
Box-Plain 40-Foot
-
-
Box-Plain 50-Foot & Longer
6,987
50,145,699
Box-Equipped
144,631
1,038,016,687
Gondola-Plain
137,256
712,358,640
Gondola-Equipped
64,532
334,921,080
Hopper-Covered
153,315
642,083,220
Hopper-Open Top-General Service
78,412
330,898,640
Hopper-Open Top-Special Service
35,451
149,603,220
Refrigerator-Mechanical
17,117
106,159,634
Refrigerator-Non-Mechanical
11,923
73,946,446
Flat-TOFC/COFC
125,828
804,670,060
Flat-Multi-Level
29,956
408,150,500
Flat-General Service
162
1,035,990
Flat-All Other
31,913
204,083,635
All Other Car Types-Total
19,861
114,637,692
Average Railcar Cubic Feet
6,389
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Grand Trunk
Freight Car Types (Ri - Schedule 755) RaiLear Miles (xiK) Cu Ft Miles (xiK)
Box-Plain 40-Foot
0
-
Box-Plain 50-Foot & Longer
2,119
15,208,063
Box-Equipped
66,110
474.471.470
Gondola-Plain
6,467
33.563.730
Gondola-Equipped
19,201
99.653.190
Hopper-Covered
44.239
185,272,932
Hopper-Open Top-General Service
9.114
38,461,080
Hopper-Open Top-Special Service
32,621
137,660,620
Refrigerator-Mechanical
312
1.935.024
Refrigerator-Non-Mechanical
205
1,271,410
Flat-TOFC/COFC
2,779
17,771.705
Flat-Multi-Level
4.831
65,822,375
Flat-General Service
20
127,900
Flat-All Other
31.744
203,002,880
All Other Car Types-Total
4.755
27,445.860
Average Railcar Cubic Feet
6,309
Kansas City Southern
Freight Car Types (Ri - Schedule 755)
Railcar Miles (xiK)
Cu Ft Miles (xiK)
Box-Plain 40-Foot
0
-
Box-Plain 50-Foot & Longer
3.383
24.279.791
Box-Equipped
39.792
285,587.184
Gondola-Plain
16,628
86,299.320
Gondola-Equipped
11,150
57,868,500
Hopper-Covered
50,346
210,849,048
Hopper-Open Top-General Service
626
2,641,720
Hopper-Open Top-Special Service
943
3.979.460
Refrigerator-Mechanical
21
130,242
Refrigerator-Non-Mechanical
52
322,504
Flat-TOFC/COFC
10,736
68,656,720
Flat-Multi-Level
629
8,570,125
Flat-General Service
12
76,740
Flat-All Other
2,321
14,842,795
All Other Car Types-Total
247
1,425,684
Average Railcar Cubic Feet
5.938
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Norfolk Southern
Freight Car Types (Ri - Schedule 755)
Railcar Miles (xilO
Cu Ft Miles (xiK)
Box-Plain 40-Foot
0
-
Box-Plain 50-Foot & Longer
7.622
54,703,094
Box-Equipped
136,745
981,418,865
Gondola-Plain
193.214
1,002,780,660
Gondola-Equipped
111,320
577,750,800
Hopper-Covered
116,848
489,359,424
Hopper-Open Top-General Service
84,557
356,830,540
Hopper-Open Top-Special Service
30,078
126,929,160
Refrigerator-Mechanical
3,512
21,781,424
Refrigerator-Non-Mechanical
5,392
33,441,184
Flat-TOFC/COFC
114,928
734,964,560
Flat-Multi-Level
20,349
277,255,125
Flat-General Service
145
927,275
Flat-All Other
24,563
157,080,385
All Other Car Types-Total
212,408
1,226,018,976
Average Railcar Cubic Feet
6,065
Soo Line
Freight Car Types (Ri - Schedule 755)
Railcar Miles (xilO
Cu Ft Miles (xiK)
Box-Plain 40-Foot
0
-
Box-Plain 50-Foot & Longer
725
5,203,325
Box-Equipped
17,972
128,985,044
Gondola-Plain
1,203
6,243,570
Gondola-Equipped
8,856
45,962,640
Hopper-Covered
94,146
394,283,448
Hopper-Open Top-General Service
3,077
12,984,940
Hopper-Open Top-Special Service
20
84,400
Refrigerator-Mechanical
159
986,118
Refrigerator-Non-Mechanical
742
4,601,884
Flat-TOFC/COFC
11,178
71,483,310
Flat-Multi-Level
2,973
40,507,125
Flat-General Service
12
76,740
Flat-All Other
10,068
64,384,860
All Other Car Types-Total
428
2,470,416
Average Railcar Cubic Feet
5,667
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Union Pacific
Freight Car Types (Ri - Schedule 755)
Railcar Miles (xilO
Cu Ft Miles (xiK)
Box-Plain 40-Foot
0
-
Box-Plain 50-Foot & Longer
12,311
88,356,047
Box-Equipped
238,241
1.709.855.657
Gondola-Plain
206,370
1,071,060,300
Gondola-Equipped
91.775
476,312,250
Hopper-Covered
370,929
1.553.450,652
Hopper-Open Top-General Service
188,027
793.473.940
Hopper-Open Top-Special Service
104,969
442,969,180
Refrigerator-Mechanical
82,874
513.984.548
Refrigerator-Non-Mechanical
27,009
167.509,818
Flat-TOFC/COFC
1,026,251
6,562,875.145
Flat-Multi-Level
46,889
638,862,625
Flat-General Service
350
2,238,250
Flat-All Other
72,371
462,812,545
All Other Car Types-Total
16,769
96,790,668
Average Railcar Cubic Feet
6,248
Total (for Industry Average)
Freight Car Types (Ri - Schedule 755)
Railcar Miles (xiK)
Cu Ft Miles (xiK)
Box-Plain 40-Foot
1
4.555
Box-Plain 50-Foot & Longer
42,485
304,914.845
Box-Equipped
790,717
5.674.975.909
Gondola-Plain
940,900
4,883,271,000
Gondola-Equipped
382,728
1,986,358,320
Hopper-Covered
1,588,265
6,651,653,820
Hopper-Open Top-General Service
428,890
1,809,915,800
Hopper-Open Top-Special Service
341.531
1,441.260,820
Refrigerator-Mechanical
123,267
764,501,934
Refrigerator-Non-Mechanical
78,233
485,201,066
Flat-TOFC/COFC
1,812,221
11,589,153.295
Flat-Multi-Level
144.251
1.965.419.875
Flat-General Service
1,058
6,765,910
Flat-All Other
244.806
1.565.534.370
All Other Car Types-Total
274.614
1.585,072,008
Industry Average Railcar Cubic Feet
6,091
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U.S. Environmental Protection Agency
% SMARTWAY VALUE
The % SmartWay screen presents the portion of goods that shippers move with SmartWay Partners
(expressed as a percentage between o and 100). Shippers select the basis for calculating the percentage
shipped with SmartWay Partners, including the following options for Way 3 and 4 participants:
Total annual miles (the Tool will automatically populate the % SmartWay screen with any carrier
activity data that shippers entered in the freight Activity Data screen). Miles correspond to truck-miles
for trucks, aircraft-miles for air, barge-miles for barge, and railcar-miles for rail;
¦*> Total annual ton-miles (the Tool will automatically populate the % SmartWay screen with any carrier
activity data that shippers entered on the freight Activity Data screen);
Shippers participating at the Way 2 level must characterize their carrier activity using one of the following
metrics:
Percent Spent;
^ Percent Weight Shipped;
Percent Packages Shipped;
Other Custom Metric (as defined by Shipper).
The Shipper Tool now provides a report summarizing Scope 3 emissions for public disclosure purposes.
Mass emissions are presented in metric tons for C02 (biogenic and non-biogenic), NOx, and PM19 for all
carriers NOT specifically designated as "Shipper Carriers" on the Tool's Activity screen.20 The percent of C02
attributable to SmartWay Carriers is also provided, again excluding any Shipper Carriers. Biogenic C02
emissions estimates are assumed to equal 2 percent of total C02 emissions, as per U.S. requirements for
biomass-based diesel from the EPA Renewable Fuel Standard program final volume requirements.21
19 Emissions from CH4, N20, HFC's, PFC's, SF6 and NF3 have been deemed immaterial, comprising Less than 5% of overall GHG emissions and are therefore
EXCLUDED for reporting purposes.
20 "Shipper Carriers" refer to fleets directly operated by the Shippers themselves. These fleets are associated with Scope 1 emissions which are not reported
in the Shipper Tool. For purposes of developing a corporate inventory using the SmartWay Shipper Tool, the relevant Scope 3 category only includes
upstream transportation and distribution and therefore excludes downstream transportation and distribution as falling outside of the system boundary.
21 As stated in the Final Rule (Table I.B.7-1 - see https://www.apo.aov/fdsvs/pka/FR-2017-12-12/pdf/2017-26426.pdf. Accessed 8-28-19.), the volume
requirements for biomass-based diesel in 2018 is 1.74%, rounded to equal 2% for calculation purposes. The percentage will be updated annually in the Tool.
PUBLIC DISCLOSURE REPORTS
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9 Calculator Tools
In addition to estimating a shipper's emissions inventory and performance metrics, the Shipper Tool also
allows shippers to estimate the emissions impact of system activity strategies as well as modal shifts, if the
user provides mileage-related activity data under the Way 4 option.
The Mile & Weight Improvements screen is optional and is intended for reference purposes only. On this
screen, shippers may estimate emission reduction benefits for the following options:
¦*> Miles Removed from the System
¦ Distribution center relocation
¦ Retail sales relocation
¦ Routing optimization
¦ Cube optimization
¦ Larger vehicles and/or multiple trailers
¦*> Weight Removed from System
¦ Product weight reduction
¦ Package weight reduction
¦ Vehicle weight reduction
For each activity selected, shippers must provide an estimate of the percentage reduction in freight activity
(in miles or weight), for each mode of interest, along with a detailed text description of the strategy. The Tool
assumes that total mass emissions are reduced in direct proportion with the specified mileage or weight
reduction.22
22 This assumption should be accurate for weight reduction strategies when applied to truckload shipments that weigh out. Additional uncertainty arises in
the case of LTL and package delivery shipments, where weight reductions may not result in one-to-one reductions in miles hauled. Uncertainties are even
greater for non-truck modes, where the shipper commonly does not control the entire content of the container. Likewise, this assumption may not hold if
shippers reduce freight by Loading more products (i.e., more weight) on trucks that were previously cubing out, since the increase in payload will negatively
impact the truck's fuel economy and g/mile emissions performance.
MILE AND WEIGHT IMPROVEMENTS
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Mass emission reductions are calculated by using the appropriate emissions inventory from the Emissions
Summary screen (based on reported activity data and associated carrier emissions performance data) as
shown below:
S = EM x (l / (l - Reduction) -1)
Where:
S = Savings (tons of C02, NOx, or PM)
EM = Emissions inventory vaLue (tons of C02, NOx, or PM from Emissions
Summary screen)
Reduction = the reduction in totaL miLes or weight as a resuLt of the strategy (expressed
as fraction)
Fractional reduction estimates must be documented in the Shipper Tool. An example calculation is provided
below:
A shipper changes the shape of its milk cartons from round to square. As a result, the shipper can pack 20%
more milk cartons per truck trailer than the rounded milk cartons. This reduces 20% of the loads associated
with that product line (corresponding to the "Cube Optimization" activity selection for the "Miles removed
from system" category). However, the company sells many products, and the total truckloads associated
with milk shipments is 1,000 out of 50,000 overall truckloads. The efficiency gain is thus 20% x
(1,000/50,000), or a 0.4% system improvement. Therefore, the shipper would enter "0.4" in the Percent
Improvement column. This assumes that all loads on average travel an equivalent distance. If milk loads
were significantly shorter than other loads, then a mileage-based weighting per trip would need to be
applied to arrive at a percent improvement. The burden of proof on demonstrating an accurate percent
reduction and modal allocation is the shipper's. The data sources and methodology should be briefly
described in the Tool under Data Source/Methodology. The shipper should, at a minimum, keep detailed
records electronically within the company to document the estimate upon EPA request. The shipper can also
submit any documentation in electronic text format along with the Tool to its Partner Account Manager.
MODAL SHIFT IMPACTS
Overview
The Modal Shift Impacts screen in the Tool is optional and is intended for reference purposes only. Shippers
should develop their carrier emissions inventories (and associated emissions factors for their companies) by
inputting activity data in the Activity Data screen.
Shippers wishing to conduct scenario analyses can use the Modal Shift Impacts screen to estimate the
emissions impacts associated with modal shifts by specifying the mode from which they are considering
shifting their freight ("From Mode"), as well as the target mode ("To Mode"). Shippers have several options for
selecting an emissions factor for both the "From Mode" and "To Mode". First, the Tool automatically
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calculates and displays the average emission factors for truck, barge, air and rail modes corresponding to the
carrier data file values used on the Activity Data screen (corresponding to the "Shipper's Carrier Average"
Emission Factor Source selection). In this case partners can also adjust their estimates of emission impacts
from modal shifts by applying different filters for the "From" Mode (e.g., just considering inbound international
freight). Second, partners may select illustrative industry average emission factors (discussed in the section
below) from the drop-down menu (corresponding to the "Modal Average" selection). Third, the shipper can
input a set of alternative emissions factors of their choice (corresponding to the "User Input" selection). In this
instance the user must also provide a description of the source of the information used to develop the
alternate factors (by selecting the "User Input Data Source" button).
Some modal shifts may include some form of drayage activity. To properly account for all emissions in these
cases, you may need to add additional lines - the first line will be for the main leg of the trip, while a second
or third may account for changes in drayage miles. Additionally, due to the location of infrastructure (roads,
rail lines, etc.) the distances across the different modal shifts my not be the same; for example, the mileage
for trucks will very likely be different from the mileage for rail.
Note: the emissions factors that automatically appear on the Modal Shift Impacts screen do not include all
potential emissions impacts; for example, the factors do not include emissions specifically associated with
drayage (i.e., short-distance trips often required to move freight from one mode to another), or operations at
intermodal facilities.
While EPA has populated the Tool with illustrative modal average freight emission factors, we recommend
that partners use more representative emission factors to analyze scenarios whenever possible. For
example, partners may wish to evaluate the emissions impact from moving freight from rail to a specific
truck fleet by consulting the SmartWay Category average emissions factors associated with the fleet
(available on the SmartWay website), or by inputting data that partners receive directly from a carrier. For
better estimates of emission impacts from modal shifts, partners are encouraged to use a factor that reflects
the full emissions impact (e.g., including anticipated drayage emissions) and that best represents the fleet
equipment and operational type that they are most likely to work with for their unique freight movement.
While we have not provided modal average ocean-going vessel factors in the Tool, there are several
external resources that partners can consult. We have included some selected sources of ocean-going
vessel factors in the following section.
In order to calculate the emissions impact associated with a modal shift, shippers input the activity data
corresponding with their modal shift scenario expressed in a given unit (miles or ton-miles) and the Tool
combines that data with a corresponding emission factor (described above) in the same unit. The Tool then
displays the change in emissions (as calculated below) in tons per year.
Total Emission Impact (tons/yr) =
[(Efficiency Before x "From Mode" Amount) -
(Efficiency After x "To Mode" Amount)] x grams to short tons conversion factor23
231.1023 x 10_6 short tons/gram
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If the shipper is evaluating a mode shift between truck and rail or barge, and if the available activity units are
in miles rather than ton-miles, then the activity data entered must be expressed in terms of railcar-miles or
barge-miles, as appropriate in order to be consistent with the g/mile factors included in the carrier data file.
Determination of railcar and barge-miles for any particular container/commodity type and route should be
made in consultation with carriers or logistics service providers in order to account for volume differences
compared to truck carriers.
If you need to convert truck-miles to railcar and/or barge-mile equivalents for your assessment, a railcar-to-
truck equivalency factor can be calculated by first identifying the average cargo volume for a given rail
carrier (see Table 5 above). These volumes estimates should be weighted by the miles associated with each
rail carrier in order to estimate a single weighted-average railcar volume for the carrier company in question.
Similarly, weighted average volumes can also be calculated for the different truck carriers associated with
the given shipping company. (Company-specific volume data is contained within the carrier data file for
SmartWay truck carriers.) The weighting calculations should involve all carriers used by the company if no
filters are selected on the Modal Shift Impacts screen (only relevant for the "From" mode). Otherwise the
weighted average calculation should only be performed for the filtered subset (e.g., inbound domestic truck
carriers).
Once the weighted average volumes are determined for both rail and truck modes, you can calculate the
ratio of the average railcar volume to the average truck volume (R). Using industry average volume estimates
as described in Appendix B, we estimate R to equal approximately 1.41, meaning that the average railcar has
1.41 times the volume of an average truck trailer/container. Next, you can convert your truck-equivalent mile
estimates to railcar equivalent miles by dividing truck miles by the ratio R.24 Enter the corresponding railcar-
mile activity estimate in the "Amounts" column.
The same process is used to convert truck-miles to barge-mile equivalents, although national average barge
volume information was not identified for this analysis. In this case volume estimates may be used for
specific barge carriers from the carrier data file. In addition, the value for truck miles should also be divided
by 1.15 to convert from statute to nautical miles.25
Modal Average performance metrics were estimated for rail, truck and multimodal modes (both gram per
mile and gram per ton-mile), as well as for barge and air modes (gram per ton-mile only) in order to estimate
emission impacts using the Modal Shift Impacts screen. We developed the truck g/mile factors for C02, NOx,
and PM2526 using EPA's 2014b version of the Motor Vehicle Emissions Simulator model (MOVES20i4b). The
model was run at the national level for calendar year 2019, with emissions estimated and summed across the
diesel short-haul single unit, short-haul combination unit, long-haul single unit, and long-haul combination
24 Any route mileage differences must be adjusted for separately.
25 Barge performance values are expressed in grams per nautical mile, to be consistent with barge carrier reporting practices.
26 Corresponding PMio emission factors were estimated assuming PM2.5 values were 97% of PM10 values, based on MOVES model outputs for diesel fueled
trucks.
BACKGROUND ON ILLUSTRATIVE U.S. MODAL AVERAGE FACTORS
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unit truck categories.27 28 MOVES does not contain ton-mile data, so we divided the MOVES-based mass
emission estimates by national freight truck ton-mile estimates from the Bureau of Transportation Statistics
(BTS) to obtain the truck g/ton-mile factors29 The most recent BTS ton-mile data were for 2017, so estimates
for 2019 were based on a linear interpolation of the 2012 and 2017 values.
Table 8 presents the illustrative freight truck emissions factors in the tool and Table 8 presents the key
underlying data. (Note that the modal average factors calculated for truck carriers were assumed valid for
logistics carriers as well.)
Table 8. U.S. Freight Truck Industry Average Factors Used in Modal Shift
Units
co2
z
0
X
PM2.5
gram/short ton-
mile
210
0.744
0.027
gram/mile
1.578
5.586
0.199
Table 9. Underlying Data for Freight Truck Industry Average Factors (2019)
C02 (grams)
436,853.902,968,783
NOx (grams)
1,547.043.757.414
PM2.5 (grams)
55.183.809.776
Miles
276,927.898,414
short ton-miles
2,078,299,600,000
We developed the freight rail g C02/ton-mile and g C02/mile factors using the 2017 data summarized in
Table 4 above. We then developed the freight rail NOx and PM g/mile and g/ton-mile factors as described in
Appendix A.
The modal average barge emissions factors presented in Table 10 are from a study prepared by the Texas
Transportation Institute (TTI) for the U.S. Maritime Administration30 and reflect inland waterway towing
operations in the U.S. We converted the PMi0 factor in the TTI study into PM2.5 by assuming 95% of PMi0 is
PM2.5, which we determined was a good approximation of the share of overall PMi0 emissions represented by
particulate matter that is 2.5 micrometers in diameter or smaller.
27 These four truck categories are coded as 52, 53, 61, and 62 in the MOVES model, respectively.
28 EPA's MOVES model and accompanying resources, including technical documentation, are available at: www.epa.aov/otaq/models/moves/index.htm.
Accessed 8-28-19.
29 Bureau of Transportation Statistics, U.S. Ton-Miles of Freight, https://www.bts.aov/us-ton-miles-freiaht Accessed 8-28-19.
30 U.S. Maritime Administration and the National Waterways Foundation (U.S. MARAD), amended January 2017. A Modal Comparison of Domestic Freight
Transportation Effects on the General Public. Prepared by Center for Ports & Waterways, Texas Transportation Institute, Table 10. Available at:
http://www.portsofindiana.com/wp-content/uploads/20i7/06/Final-TTI-Report-200i-20i4-Approved.pdf. Accessed 8-28-19.
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Table 10. Modal Average Barge Emission Factors
co2
NOx
PM2.5 1
gram/short ton-mile
17.48
0.4691
0.0111
Estimates of average g/mi performance metrics were not identified for barge carriers.
Modal average estimates for air freight are based on EDMS outputs, presented in Table 3 above.
Modal average estimates for multimodal carriers were calculated for intermodal truck/rail freight
movements by estimating the average length of haul for rail freight (990 miles)31 and truck drayage carriers
(398 miles).32 Based on these estimates we assume a "typical" intermodal container shipment will travel 71%
by rail, and 29% by truck. These percentages are applied as weights to the modal average rail and truck
mode values calculated above in order to estimate modal average performance metrics for intermodal
shipments (see Table 11).
Table 11. Modal Average Performance Metric Estimates for Rail, Truck, Barge,
Air, and Intermodal
g/mi g/ton-mi
Mode
co2
z
0
X
PM10
PM2.5
co2
z
0
X
PM10
PM2.5
Rail
666.1
11.558
O.322
O.313
15.7
0.292
0.014
0.024
Truck
960.6
5.251
O.214
0.208
143.9
0.784
O.032
0.031
Intermodal
751.5
97
0.3
0.3
52.9
0.4
0.02
0.01
Barge
12.0
0.321
0.008
0.008
Air
817
2.702
0.082
0.082
Air - Long haul
20,784
1870
1.230
1.230
1,001
8.974
0.059
0.059
Air - short haul
60,272
542.5
3567
3567
2,902
26.099
0.172
0.172
OUTSIDE SOURCES OF OCEAN-GOING MARINE EMISSION FACTORS
There are many sources of marine emission factors available in research literature and other GHG estimation
tools. For reference, we have included below the g C02/ton-mile marine factors from the Business for Social
Responsibility's (BSR) Clean Cargo Tool as well as factors from a study prepared for the International
Maritime Organization (IMO).33
31 Class I Rail average Length of haul for 2013 - https://transportaeoaraphv.ora/7paae id=27?5. accessed 8-28-19.
32 Harrison, R. et aL, Characteristics of Drayage Operations at the Port of Houston, University of Texas Center for Transportation Research, Table 4,
September 2008. Available at https://static.tti.tamu.edu/swutc.tamu.edu/publications/technicalreports/47?700-00075-i.pdf. Accessed 8-28-19.
33 Buhaug, et aL for the International Maritime Organization (IMO), 2009. Second IMO GHG Study 2009, International Maritime Organization (IMO), London, UK,
April 2009. Available at: http://www.imQ.Qrg/en/OurWQrk/EnvirQnment/pQLLutiQnPreventiQn/AirpQLLutiQn/DQCuments/SecondlMOGHGStudv200Q.pdf.
Accessed 8-28-19.
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Note that the factors from BSR and IMO are published in units of kg C02/metric ton-km, so we converted this
data into g C02/ton-mile by first multiplying by 1,000 (to convert from kilograms to grams), then multiplying
by 0.9072 (to convert from metric tonnes to short tons), and then multiplying by 1.609 (to convert from
kilometers to miles) to prepare the tables below.
BSR developed average 2009 marine emission factors for various shipping corridors, as well as global
defaults that are applicable outside those corridors, based on surveys from marine carriers. The BSR marine
factors in Table 12 below are from the "Emission Factors & Distances" tab in their tool.
Table 12. BSR Marine Emission Factors (g C02/short ton-mile)
Ship.general
International
13.0678
Ship. Barge
International
29.1937
Ship. Feeder
International
29.1937
Ship.inland.Germany
Germany
41.5280
Ship.inland.China
China
35.0578
Ship.Asia-Africa
Asia—Africa
11.9227
Ship.Asia-South America (EC/WC)
Asia—South America (EC/WC)
13.1897
Ship.Asia-Oceania
Asia—Oceania
13.4028
Ship.Asia-North Europe
Asia—North Europe
10.8586
Ship.Asia-Mediterranean
Asia—Mediterranean
12.1358
Ship.Asia-North America EC
Asia—North America EC
12.9854
Ship.Asia-North America WC
Asia—North America WC
12.0818
Ship.Asia-MiddLe East/India
Asia—Middle East/India
13.5459
Ship.North Europe-North America EC
North Europe—North America EC (incl. Gulf)
14.1823
Ship.North Europe-North America WC
North Europe—North America WC
13.0642
Ship.Mediterranean-North America EC
Mediterranean—North America EC (incl. Gulf)
12.6788
Ship.Mediterranean-North America WC
Mediterranean—North America WC
10.1433
Ship.Europe (North & Med)-MiddLe East/India
Europe (North & Med)—Middle East/India
134276
Ship.Europe (North & Med)-Africa
Europe (North & Med)—Africa
15-8361
Ship.Europe (North & Med)-Oceania (via Suez
/ via Panama)
Europe (North & Med)—Oceania (via Suez /
via Panama)
14.4056
Ship.Europe (North & Med)-Latin
America/South America
Europe (North & Med)—Latin America/South
America
12.6146
Ship.North America-Africa
North America—Africa
17.4549
Ship.North America EC-Middle East/India
North America EC—Middle East/India
12.8788
Ship.North America-South America (EC/WC)
North America—South America (EC/WC)
13.4379
Ship.North America-Oceania
North America—Oceania
15.0552
Ship.South America (EC/WC)-Africa
South America (EC/WC)—Africa
11.7432
Ship.lntra-Americas (Caribbean)
Intra-Americas (Caribbean)
15-9222
Ship.lntra-Asia
Intra-Asia
15.2012
Ship.lntra-Europe
Intra-Europe
17.1790
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The marine factors in the IMO study reflect commonly-used equipment sizes and types. The factors in
Tables 13 below come from Table 9.14 in the IMO study.
Table 13. IMO Marine Emission Factors
TYPE
SIZE
AVERAGE
CARGO
CAPACITY
(metric
tonne)
Average
yearly
capacity
utilization
Average
service
speed
(knots)
Transport work
per ship
(tonne NM)
Loaded
efficiency
(g of C02/
ton-mile)
Total
efficiency
(gof
C02/ton-
mile)
Crude oil tanker
2000,000+dwt
295.237
48%
15.4
14,197,046,742
2.34
4.23
Crude oil tanker
120,000-199,99 dwt
151.734
48%
15
7,024,437,504
3.21
6.42
Crude oil tanker
80,000-119,999 dwt
103,403
48%
14.7
4,417,734,613
4.38
8.61
Crude oil tanker
60,000-79,999 dwt
66,261
48%
14.6
2,629,911,081
6.28
10.95
Crude oil tanker
10,000-59,999 dwt
38,631
48%
14.5
1,519,025,926
759
1328
Crude oil tanker
0-9,999 dwt
3668
48%
12.1
91,086,398
30.22
48.61
Products tanker
60,000+ dwt
101,000
55%
15.3
3.491,449,962
4.82
8.32
Products tanker
20,000-59,999 dwt
40,000
55%
14.8
1.333.683,350
10.51
15.03
Products tanker
10,000-19,999 dwt
15,000
50%
14.1
464,013,471
16.49
27.30
Products tanker
5,000-9,999 dwt
7,000
45%
12.8
170,712,388
21.60
42.62
Products tanker
0-49,999 dwt
1,800
45%
11
37,598,072
38.68
65.69
Chemical
tanker
20,000 + dwt
32,200
64%
14.7
1,831,868,715
8.32
12.26
Chemical
tanker
10,000-19,999 dwt
15,000
64%
14.5
820,375.271
10.66
15.76
Chemical
tanker
5,000-9,999 dwt
7,000
64%
14.5
382,700,554
1562
22.04
Chemical
tanker
0-4,999 dwt
1,800
64%
14.5
72,147,958
2715
32.41
LPG tanker
50,000 + m3
46,656
48%
16.6
2,411,297,106
759
13.14
LPG tanker
0-49,999 m3
3.120
48%
14
89,631,360
39.41
63.50
LNG tanker
200,00 + m3
97,520
48%
19.6
5,672,338,333
7.88
13.58
LNG tanker
0-199,999 m3
62,100
48%
19.6
3.797,321,655
12.26
21.17
Bulk carrier
200,000 +dwt
227,000
50%
14.4
10,901,043,017
2.19
3.65
Bulk carrier
100,000-199,999 dwt
163,000
50%
14.4
7,763,260,284
2.63
4.38
Bulk carrier
60,000-99,999 dwt
74,000
55%
14.4
3,821,361,703
3.94
5.98
Bulk carrier
35.000-59,999 dwt
45,000
55%
14.4
2,243.075.236
5.55
8.32
Bulk carrier
10,000-34,999 dwt
26,000
55%
14.3
1,268,561,872
774
11.53
Bulk carrier
0-9,999 dwt
2,400
60%
11
68,226,787
33.43
42.62
General cargo
10,000 + dwt
15,000
60%
15.4
866,510,887
11.09
1737
General cargo
5,000-9,999 dwt
6,957
60%
13.4
365.344,150
14.74
23.06
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Table 13. IMO Marine Emission Factors
AVERAGE
Total
CARGO
Average
Average
Loaded
efficiency
CAPACITY
yearly
service
Transport work
efficiency
(gof
(metric
capacity
speed
per ship
(g of C02/
C02/ton-
TYPE
SIZE
tonne)
utilization
(knots)
(tonne NM)
ton-mile)
mile)
General cargo
0-4,999 dwt
2,545
60%
11.7
76,645,792
15.91
20.29
General cargo
10,000+ dwt, 100+ TEU
18,000
60%
15.4
961,054,062
12.55
16.06
General cargo
5,000-9,999 dwt, 100+TEU
7,000
60%
13.4
243,599,799
20.14
25.54
General cargo
0-4,999 dwt, dwt+TEU
4,000
60%
11.7
120,938,043
22.63
28.90
Refrigerated
cargo
All
6,400
50%
20
392,981,809
18.83
18.83
Container
8000+TEU
68,600
70%
25.1
6,968,284,047
16.20
18.25
Container
5,000-7,999 TEU
40,355
70%
253
4,233,489,679
22.19
24.23
Container
3,000-4,999 TEU
28,784
70%
233
2,280,323,533
22.19
24.23
Container
2,000-2,999 TEU
16,800
70%
20.9
1,480,205,694
26.71
29.19
Container
1,000-1,999 TEU
7,000
70%
19
578,339,367
42.91
46.86
Container
0-999 TEU
3,500
70%
17
179,809,363
48.61
52.99
Vehicle
4000 +ceu
7,908
70%
19.4
732,581,677
36.78
46.71
Vehicle
0-3999 ceu
2,808
70%
177
226,545,399
68.90
84.08
Ro-Ro
2,000 + Im
5,154
70%
19.4
368,202,021
66.12
72.25
Ro-Ro
0-1,999 lm
1432
70%
13.2
57,201,146
80.57
88.02
Note: "Loaded efficiency" is the theoretical maximum efficiency when the ship is fully loaded at service speed/85% Load.
Since engine load at the fully loaded condition is higher than the average including ballast and other voyages, the
difference between the columns "loaded efficiency" and "total efficiency cannot be explained by differences in utilization
only.
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^ Shipper Payloads and Data Validation
The Shipper Tool contains data validation checks designed to identify missing and potentially erroneous
data. At this time the only validation involves payload checks and total ton-mile checks, on the Activity Data
screen.
PAYLOAD VALIDATION
The Shipper Tool also contains data validation checks designed to identify missing and potentially erroneous
data. At this time the only validation involves payload checks and total ton-mile checks, on the Activity Data
screen.'
Payload validation cutpoints were set with the intention of identifying those payloads that are somewhat
outside typical industry values (yellow flag warnings) and those that are far outside industry averages (red
flag warnings). The payload check only apples to Data Availability selections a, b, and c where payloads are
either entered by the user, or calculated based on other inputs. Checks are applied at the carrier (row) level.
Payload checks are specific to the truck carrier fleet's SmartWay Category, which is available for each carrier
category from the Carrier Data File. Note that payload Ranges l (very low) and 5 (very high) are colored red
on the Activity screen and require explanations before proceeding. Ranges 2 (low) and (high) 4 are colored
yellow, and explanations are optional.
Reported Shipper payloads were compiled for each shipper carrier for the 2014 - 2016 reporting years. The
data was broken down for each SmartWay carrier category. Next, for every category a histogram was
developed and the distribution of the data was reviewed. By adjusting the size of the bins outliers were
identified and the histograms adjusted to exclude those points. In most cases specific cutpoints were then
selected for each SmartWay Category to represent 5,10, 90, and 95 percentiles. (Certain highly skewed
distributions such as that for package carriers did not define low end cutpoints). The resulting cutpoints used
to establish the "red" and "yellow" validation ranges are provided below.
Table 14. Shipper Payload Validation Ranges
Carrier Category
Low red
Low yellow
high yellow
high red
Dray
2.90
6.47
22.00
23.00
Expedited
N/A
N/A
20.16
21.61
Specialized
1.00
495
24.00
28.00
LTL34
4.10
6.30
15.40
17.70
Auto Carrier
4.10
4.60
20.95
21.83
Heavy Bulk
545
10.24
2503
25.20
34 Values for LTL carriers are based on average weight per Load and average number of Loads per shipment reported by LTL Truck Partners for 2017.
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Table 14. Shipper PayLoad Validation Ranges
Carrier Category
low red
low yellow
high yellow
high red
TL
4.00
733
22.00
24.00
Moving
N/A
N/A
20.13
20.54
Flatbed
4.34
759
23.00
26.00
Mixed
1.00
443
22.50
2393
General
10.00
1445
21.00
28.00
Package
N/A
N/A
2.20
11.00
Tanker
7.86
14.06
24.56
26.28
Reefer
387
933
22.00
24.00
Logistics
O.40
1.16
22.00
24.00
Validation cutoffs for rail and surface multimodal carriers are summarized below. The upper bound outpoints
for surface multimodal payloads are based on a qualitative review of 2011 Multimodal carrier Tool submittals.
The upper bound outpoints for rail payloads are based on the distribution of average values estimated for all
Class 1 carriers (see Table 5 above).
Average surface multimodal payloads less than 9.4 tons (error - red)
Average surface multimodal payloads greater than 95 tons (error - red)
Average railcar payloads less than 9.4 tons or greater than 125 tons (error - red)
Average surface multimodal payloads between 9.4 and 15.5 tons (warning - yellow)
¦*> Average surface multimodal payloads between 60 and 95 tons (warning - yellow)
In addition, the absolute upper bound for rail and surface multimodal carriers have both been set at 200 tons.
Multimodal carriers with an air component have their maximum average payload set to 220,000 lbs.,
corresponding to the maximum payload capacity for the largest aircraft make/model specified by
SmartWay partners in 2017. Payloads above this amount will trigger a "red" out of range error that must be
explained by the partner in order to proceed, although no value has been set for a maximum allowable
payload at this time. Payloads between 110,000 and 220,000 lbs. will receive a "yellow" warning which may
be explained if the partner chooses. Any payload value less than or equal to zero will be flagged as an error
and must be changed.
Finally, barge carrier payloads are flagged for verification if their density is greater than 0.6 tons per cubic
foot or less than 0.003 tons per cubic foot, consistent with the payload validation used in the Barge Tool.
TON-MILE VALIDATION
2011 Logistics Partner data was evaluated to establish absolute upper bounds for ton-mile inputs. The ton-
mile validation applies at the carrier (row) and total fleet (summation of rows) level, with the same values
SmartWay Technical. Documentation | Section 3 31
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applied to both. The maximum allowable ton-mile value was set to twice the observed maximum value in
the 2011 data set: 209,207,446,000 ton-miles.
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Appendix A: Background on Industry Average
U.S. Rail Factors
Industry average freight rail g NOx/ton-mile and g PM2,5/ton-mile factors were developed using 2010
inventory data from Tables 3-82 and 3-83, respectively, in EPA's 2008 Regulatory Impact Analysis for a
locomotive diesel engine rule.35 This inventory data represents 2010 emission projections for all U.S. rail
except for passenger and commuter rail (i.e., large line-haul, large switch, and small railroads), which was
determined to closely align with the freight rail sector. The emissions inventory data was then divided by the
2007 BTS ton-mile data described above.
The freight rail g/mile factors for NOx and PM2.5 were estimated by using 2008 railcar mileage data from lines
15 through 81 of R-i forms that Class I railroad companies submitted to the Surface Transportation Board.36
The NOx and PM inventories were developed using the average 2010 locomotive g PMi0/gal and g NOx/gal
factors from Tables 5 and 6, respectively, in EPA's 2009 Technical Highlights: Emissions Factors for
Locomotives.37 To calculate g PM2i5/gal, it was assumed that 95% of PMi0 is PM25, which was determined to
be a good approximation of the share of overall PMi0 emissions represented by particulate matter that is 2.5
micrometers in diameter or smaller.
Table A-i presents the average freight rail emissions factors used by the SmartWay Tools and Table A-2
presents the key underlying data.
Table A-i. U.S. Freight Rail Industry Average Factors (2010)
gram/short ton-mile
0.4270
0.0120
gram/railcar mile
18.6
0.503
35 U.S. EPA, Office of Transportation and Air Quality, 2008. Regulatory Impact Analysis: Control of Emissions of Air Pollution from Locomotive Engines and
Marine Compression Ignition Engines Less than 30 Liters Per Cylinder, EPA420-R-o8-ooia, Washington DC. Available at:
https://nepis.epa.aov/Exe/ZvNET.exe/Pi0024CN.TXT7Zv Action D=ZvDocument&Client=EPA&lndex=2006+Thru+20i0&Docs=&Querv=&Time=&EndTime=&S
earchMethod=l&TocRestrict=n&Toc=&TocEntrv=&QFieLd=&QFieLdYear=&QFieLdMonth=&QFieLdDav=&lntQFieLdOp=0&ExtQFieLdOp=0&XmLQuerv=&FiLe=D%^A
%^C7vfiles%^CIndex%2oData%^Co6thruio%^CTxt%s;Cooooooog;%g;CPioo2,dCN.txt&User=ANQNYMQUS£Password=anonvmous&SortMethod=h%7C-
&MaximumDocuments=i&FuzzvDearee=0&lmaaeQualitv=r75a8/r75a8/xi50vi50ai6/U25&Displav=hpfr&DefSeekPaae=x&SearchBack=ZvActionL&Back=Zv
ActionS&BackDesc=Results%20paae&MaximumPaaes=i&ZvEntrv=i&SeekPaae=x&ZvPURL. Accessed 5-21-19.
36 Surface Transportation Board (STB), Industry Data, Economic Data, Financial and Statistical Reports, Class 1 Annual Report, Form R-i. Available at:
http://www.stb.dot.aov/stb/industrv/econ reports.html. Accessed 5-21-19.
37 U.S. EPA, Office of Transportation and Air Quality, 2009. Technical Highlights: Emission Factors for Locomotives, EPA-420-F-09-025, Washington DC.
Available at:
https://nepis.epa.aov/Exe/ZvN ET.exe/Pi00500B.TXT?ZvActionD=ZvDocument&Client=EPA&lndex=2006+Thru+20i0&Docs=&Querv=&Time=&EndTime=&Se
arch Method =i&TocRestrict=n&Toc=&TocEntrv=&QField=&QFieldYear=&QFieldMonth=&QField Da v=&lntQFieldOp=o&ExtQFieldOp=o&XmlQuerv=&File=D%?A%
^C7vfiles%^CIndex%2oData%^Co6thruio%g;CTxt%g;Cooooooio%g;CPioo500B.txt&User=ANQNYMQUS&Password=anonvmous&SortMethod=h%7C-
&Maximum Documents=l&FuzzvDegree=0&lmageQuaLitv=r7fig8/r7fig8/xlfi0vlfi0gl6/i42fi&DispLav=hpfr&DefSeekPage=x&Search Back=Zv Action L&Back=Zv
ActionS&BackDesc=Results%20page&MaximumPages=i&ZvEntrv=i&SeekPage=x&ZvPURL Accessed 5-21-19.
SmartWay Technical Documentation | Appendix A A-i
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Table A-2. Underlying Data Used to Estimate U.S. Rail Industry Average Factors
short ton-miles
1,819,633,000,000
Class l-only railcar miles (total)
34,611,843,000
50' and Larger Box Plain + Box Equipped
2,223,402,000
40' Box Plain
22,000
Flat TOFC/COFC, General, and Other
5,057,466,000
Flat Multi Level
1.725,998,000
Gondola Plain and Equipped
7,893,684,000
Refrigerated Mechanical and Non-Mechanical
495.3ii.ooo
Open Top Hopper General and Special Service
5,913,012,000
Covered Hopper
7,210,656,000
Tank under 22,000 gallons
1,295,482,000
Tank 22,000 gallons and over
2,394.565.000
All Other Car Types
402,245,000
NOx and PM emission factors are not available at the carrier level for the rail mode. Accordingly, the industry
average emission factors for NOx and PM are assumed to apply equally for all rail carriers.
NOTE: EPA updated the rail industry average g/ton-mile and g/mile factors for NOx and PM included in the
Modal Shift Calculator using data released in August of 2019 for EPA's 2017 National Emission Inventory
(NEI).38 The factors were developed using emission estimates specifically for Class I (line-haul and yard
switching) locomotives - 534,847 tons NOx, and 15,058 tons PM2,5. These data were then divided by railcar-
mile and ton-mile data for 2017 Class I rail carriers shown in Table 4 to obtain the corresponding NOx and PM
performance metrics. Table A-3 presents the industry average freight rail emissions factors used in the
Modal Shift section of the Tool. These factors will also be used in the Carrier Data File starting in 2020.39
Table A-3. Updated U.S. Freight Rail Industry Average Factors in Modal Shift
(2017)
co2
z
0
X
PM2.5
gram/short ton-
mile
20.72
0.2897
0.0082
gram/railcar mile
980
14.38
0.405
s8 Emissions Modeling Platform Collaborative, Specification Sheet: Rail 2017 National Emissions Inventory, August 2019 - Table 1.
39 The updated rail NOx and PM performance factors are not being used to calculate Shipper rail carrier emissions for Data Year 2018 in order to be
consistent with the Multimodal and Logistics carrier tools, which still use the earlier rail performance factors.
SmartWay Technical Documentation | Appendix A A-2
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Appendix B: CaLcuLation of Truck-Equivalent
Mileage Factors for Rail
Truck-equivalent can be converted into railcar-miles, so that partners can more readily estimate emissions
impacts from shifting freight between truck and rail modes, by estimating the average volume capacity of
Class I railcars and dividing it by an average freight truck volume capacity. This results in a rough estimate
that does not take into consideration the utilized volume of railcars or the comparative freight truck, but we
determined that this was the best available data and method to estimate modal average railcar-equivalent
miles.
To estimate the average volume capacity of railcars, we multiplied the railcar miles reported by each
company for each railcar type in their respective 2008 R-i reports (lines 15-81) by the volume-per-railcar
assumptions in Table 6 to obtain total Class I TEU-miles. We then divided the total railcar TEU-miles by the
total railcar-miles to estimate the average railcar volume capacity. We then divided this average railcar
volume capacity (3.92 TEUs) by the average freight truck volume capacity that we developed for the truck
g/TEU-mile factor discussed above (2.78 TEUs) to develop the conversion factor -1.41 railcar-miles-to-truck-
miles. In the absence of more specific data, this factor can be used to convert truck miles to railcar miles for
use on the Modal Shift screen of the Shipper Tool. Note that no equivalent information was identified for the
estimation of industry-average barge or air volumes.
SmartWay Technical. Documentation | Appendix B B-i
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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.gov/transportation-air-pollution-and-
climate-chanoe
U. S. Environmental Protection Agency
National Vehicle and Fuel Emissions Laboratory
2565 Plymouth Rd.
Ann Arbor, Ml 48105
(734) 214-4200
www.epa.gov/aboutepa/about-national-
vehicle-and-fuel-emissions-laboratory-nvfel
EPA-420-B-19-052 | October 2019 | SmartWay Transport Partnership | epa.gov/smartway
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