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2020 SmartWay
Rail Carrier Partner Tool:
User Guide
U.S. Version 2.0.19 (Data Year 2019)
EPA-420-B-20-024 I April 2020 I SmartWay Transport Partnership I epa.gov/smartway
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2020 SmartWay
Rail Carrier Partner Tool:
User Guide
U.S. Version 2.0.19
(Data Year 2019)
Transportation and Climate Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
EPA-420-B-20-024
ApriL 2020
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Table of Contents
PRE-CHECKLIST - BEFORE GETTING STARTED 2
What is the SmartWay Transport Partnership? 2
How do RaiL Companies Join the SmartWay Transport Partnership? 2
What Data Do I need to Gather to CompLete the RaiL Carrier TooL? 3
What Software & Hardware Is Required For CompLeting The RaiL Carrier TooL? 4
How do I set the Security LeveL When Opening SmartWay TooLs? 5
What is IncLuded in the SmartWay Carrier Partnership Agreement? 7
STEP l DATA COLLECTION REQUIREMENTS 9
Introductory Screens 9
Data Requirements for Establishing Your Data CoLLection Year 9
Data Requirements for Section l: Specify OfficiaL Partner Name 9
Data Requirements for Section 2: Enter Company Contact Information 10
Data Requirements for Section 3: Characterize Your FLeets 10
Data Requirements for Section 4: FLeet Data 11
STEP 2 DATA ENTRY 12
DownLoading the SmartWay RaiL Carrier TooL 12
How to Set Security Levels For The SmartWay TooLs 12
Entering Partner Name 12
Entering Contact Information 12
CompLeting The FLeet Description(s) Screen 14
SeLecting a FLeet for Data Entry 15
CompLeting The Power Units Screen 15
CompLeting The Operations Screen 17
Submitting Your TooL to EPA 18
STEP 3 RESULTS AND SUMMARY REPORTS 19
APPENDIX A: WORKSHEETS FOR DATA COLLECTION A-l
Worksheet #1: Contact Information A-l
Worksheet #2: FLeet Characterization A-3
Worksheet #3: Power Units Information A-4
Worksheet #4: Operations Data A-6
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Pre-Checklist - Before Getting Started
WHAT IS THE SMARTWAY TRANSPORT PARTNERSHIP?
Launched in 2003, the SmartWay Transport Partnership is a public/private collaboration between the EPA
and the freight industry to improve fuel efficiency increase environmental performance, and encourage
supply chain sustainability.
Seven types of freight transport companies can join SmartWay.
^ Freight shippers
^ Logistics companies (including 3PLS/4PLS1)
^ Truck carriers
Rail carriers
Barge carriers
^ Multimodal carriers
Air carriers
Companies join the SmartWay Transport Partnership by submitting a Partner Tool to SmartWay. The
SmartWay Tools:
assess freight operations;
calculate fuel consumption and carbon footprints; and
track fuel-efficiency and emission reductions. SmartWay Tools must be submitted each year for the
company to remain a Partner in good standing. Tools submitted and approved on time qualify partners to
use the SmartWay Logo.
SmartWay ranks Partners' efficiency and environmental performance and recognizes superior performance
through the SmartWay Excellence Awards.
HOW DO RAIL COMPANIES JOIN THE SMARTWAY TRANSPORT PARTNERSHIP?
Rail companies that join the SmartWay Transport Partnership are known as "SmartWay Rail Partners."
Participation in SmartWay helps SmartWay Rail Partners:
13PLS/4PLS Third party Logistics/fourth-party Logistics companies
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^ identify opportunities to improve efficiency;
demonstrate efficiency to potential customers; and
^ reduce emissions and fuel costs.
ALL SmartWay RaiL Partners agree to compLete and submit the SmartWay RaiL TooL to:
^ define fleet composition;
characterize fleet activity;
^ individually benchmark multiple fleets; and
track annual changes in performance.
SmartWay Rail Partners also agree to follow the guidelines in the Carrier Partnership Agreement. A copy of
the Agreement is included in this document on page 5 and is also included in the Rail Tool.
Upon approval of a Rail Tool submission, rail companies will be identified as SmartWay Rail Partners on
EPA's website on the "SmartWay Partner List" and in a database used by freight shippers to identify
companies that meet SmartWay's annual requirements.
SmartWay Rail Partners in good standing are allowed to use the SmartWay Partner logo on marketing and
promotional material.
To participate in SmartWay, rail carriers need to gather the following essential information to complete the
Rail Carrier Tool:
The official company name EXACTLY as you would like it presented on the EPA website and other EPA
communications
Company contact information
Contact details for your Working Contact (see page 10 for definition)
Contact details for an Executive, Sustainability and/or Other Contact(s) (Executive cannot be the same as
the Working Contact) (see page 10 for definition)
Fleet details for all fleets you control:
¦ Fleet name and fleet class (1, 2, or 3)
¦ Geographic areas of operation
¦ Power unit information:
WHAT DATA DO I NEED TO GATHER TO COMPLETE THE RAIL CARRIER TOOL?
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o Activity (number of units or hours per year)
• By type
• By engine tier Level
o Locomotive unit miles per year
• Unit, way and through trains
• Train and yard switching
o Operations information
o Gallons per year by fuel type (diesel, biodiesel, LNG, CNG, electric) and by category (freight,
passenger, switching)
o Ton-miles per year
• Gross, revenue, and non-revenue totals
• Total railcar miles per year
¦ Data sources
¦ SmartWay ID number (if this is not your first tool submission)
This data should be provided for all of your company's fleets. This data reflects the amount of freight carried
by each carrier, the distance that freight is carried, and the fuel consumed to carry the freight.
WHAT SOFTWARE & HARDWARE IS REQUIRED FOR COMPLETING THE RAIL CARRIER
The Rail Carrier Tool was designed in Microsoft Excel using forms and Visual Basic for Applications (VBA)
macros and code. Completing the Rail Carrier Tool requires the following software and system requirements:
Supported Operating Systems
Microsoft Windows 7 or later
¦ Includes Windows 7, Windows 8 and 8.1, and Windows 10
¦ The Tool may also be compatible with Windows XP if all other requirements are met as well.
However, Windows XP has reached end of support and Microsoft and this may affect tool
performance.
System Requirements
IBM Pentium processor or greater
^ 2 GB Ram
100 MB disk space
Monitor display setting of 1,024 x 768 or greater
TOOL?
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Software Requirements
Microsoft Excel 2010 or Later
¦ Includes Excel 2010, Excel 2013, Excel 2016 and Excel in Office 365
¦ Must be the one-time purchase version of Microsoft Excel installed on a PC or the Office 365
subscription desktop version of the application; cannot run with Microsoft Excel online or through
OneDrive online
¦ The Tool may also be compatible with Excel 2007 if all other requirements are met as well. However,
Excel 2007 has reached end of support and Microsoft no longer provides technical support, bug
fixes, or security fixes. This may affect tool performance.
¦ Excel 2010 will also reach end of support by Microsoft on October 13, 2020.
Please check with the user guides for your computer, online support, or your company's IT department to
make sure your system is set up to use the Rail Carrier Tool.
HOW DO I SET THE SECURITY LEVEL WHEN OPENING SMARTWAY TOOLS?
Since the Tool employs macros, Excel macros must be enabled to use the Tool. If necessary, follow the
directions on the first screen of the Tool to enable macros, follow directions provided on the Microsoft
Support website:
https://support.office.com/en-us/article/Enable-or-disable-macros-in-Office-files-12B036FD-D140-4E74-
B4fiE-i6FEDiA7Ef;C6. or follow the directions below:
Macros must be enabled on your computer to use the Rail Tool.
^ The default macro security setting in Excel is "Disable all macros with notification."
When you open the tool, you may get a security alert that macros are present, and you need to choose
to enable the macros for this file to work. The steps below describe how to enable macros for different
versions of Excel, first if the message bar or security dialog appear, and alternatively in the Trust Center if
the message/dialog do not appear.
Enable macros when the Message Bar appears (Excel 2016, 2013, and 2010)
1. When you open the tool, the yellow message bar appears with a shield icon and the Enable Content
button.
! SwwWy Warning Maaoi taw* Ihcn diwbicd. Cnablt Control
2. On the Message Bar, click Enable Content.
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Note: if the file opens in Protected View, click Enable Editing on the message bar. If there is no Enable
Editing option, click for more details and then click Edit Anyway. The Protected View message will look
similar to the image below:
PROTECTED VIEW Office has detected a problem with this file. Editing it may harm your computer, Click for more details.
0 PROTECTED VIEW This file was opened in Protected View. Click for more details.
Once editing is enabled, follow Steps l and 2 above to enable content on the macro message bar.
Enable macros when the Security Options dialog appears (Excel 2007)
1 When the Security Options dialog appears, click Enable this content.
Excel 2007 Security Options dialog window:
r i
Microsoft Office Security Options
Security Alert - Macro
Macro
Macros Saw been disabled. Macros irtght contain viruses or ether security hazards, [>o
not enable this content unless you trust the source of this Ne.
Note; The content signature is valid, but you have not chosen to trust the
entity that published this content.
More information
NePaSi: C:\Oocumtrifci and StttingsVW UserAw&srd.wi*
Signature
Signed by: Microsoft Corporation
Certificate exprabon: 11/24/2003
Certificate sssued by: Mcrosoft Code Sigrnng PCA
Shov, Sanatmre Petals
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2. Click Options (Excel 2016. 2013, 2010) or Excel Options (Excel 2007)
3. Click Trust Center, and then click Trust Center Settings.
4. in the Trust Center, click Macro Settings.
5. Click the option "Disable all macros with notification,8
6. Click OK,
7. Close out of the Excel file and then re-open it.
8. Follow the previous instructions to Enable macros when the Message Bar or Security Options dialog
appears
The following image is the Macro Settings area of the Trust Center.
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Once macros are enabled (and you are not in Protected View), you should be able to proceed with running
the Tool.
If, at this point, the Tool does not open, review the "Software and Hardware Requirements." if you after
reviewing this section, you cannot determine how to correct the problem, contact your SmartWay Partner
Account Manager.
WHAT IS INCLUDED IN THE SMARTWAY CARRIER PARTNERSHIP AGREEMENT?
To join the SmartWay Transport Partnership as a rail company, you must agree to the language on the
"Partnership Annual Agreement for Carriers." When you begin working within the Tool, you will be asked to
check a box stating that you agree to the terms of the Partnership Annual Agreement. This agreement must
be renewed annually.
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Please review this Language with the appropriate personnel within your organization before completing or
submitting a Carrier Tool to EPA.
Partnership Agreement
for Carriers
With this annual agreement, your company joins EPA's SmartWay Transport Partnership and commits to:
1. Measure and report to EPA on an annual basis the environmental performance of your fleet(s) using
EPA's SmartWay Tool. (Existing fleets must report the 12 months of data for the prior year ending
December 31. Newly formed companies require a minimum of 3 months of operational data.)
2. Have performance results and Tool submittal status posted on the EPA SmartWay
website/database.
3. Agree to submit supporting documentation to EPA for any data used to complete this Tool and agree
to EPA audit of this data upon request by EPA.
In return, EPA commits to:
1. Promote company participation in the Partnership by posting Partner names on the EPA SmartWay
Website and in related educational, promotional, and media materials. EPA will obtain express
written consent from the Partner before using the Partner's name other than in the context of
increasing public awareness of its participation as described here.
2. Provide companies with industry-wide performance benchmark data as this data becomes available
to EPA.
3. Assist Partners in achieving emission and fuel usage reduction goals (subject to Federal Government
Appropriations).
4. Treat individual corporate data as sensitive business information.
General Terms
1. If the Partner or EPA defaults upon this agreement at any point, the agreement shall be considered
null and void.
2. Either party can terminate the agreement at any time without prior notification or penalties or any
further obligation.
3. EPA agrees not to comment publicly regarding the withdrawal of specific Partners.
4. EPA reserves the right to suspend or revoke Partner status for any Partner that fails to accomplish the
specific actions to which it committed in the SmartWay Transport Partnership Agreement and
subsequent annual agreements.
5. The Partner agrees that it will not claim or imply that its participation in the SmartWay Transport
Partnership constitutes EPA approval or endorsement of anything other than the Partner's
commitment to the program. The Partner will not make statements or imply that EPA endorses the
purchase or sale of the Partner's products and services or the views of the Partner.
6. Submittal of this SmartWay Tool annually constitutes agreement to all terms in this Partnership
Agreement. No separate agreement need be submitted.
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Step 1
Data Collection Requirements
This section will identify data needed for completing the required sections of the Rail Carrier Tool The Rail
Carrier Tool Technical Documentation explains more about the methodological structure and technical
aspects of the Tool and the data entry process; this guide will focus primarily on the essentials for
completing the Tool.
INTRODUCTORY SCREENS
Upon opening the 2019 Tool, you will see a Welcome screen, followed by five screens which orient you to
the Tool. The Assistance for New Users screen appears first, and allows users to view an orientation video.
Additional screens may be accessed from this screen, including Tool selection guidance, data collection
needs, Tool help and navigation, and the SmartWay Partner Tool Schedule for 2020. These are general
information screens and may be skipped if you are already familiar with the Tool. However, upon proceeding
you MUST select the box at the bottom of the Partnership Agreement screen, indicating that you agree to
the terms of the Partnership Agreement.
DATA REQUIREMENTS FOR ESTABLISHING YOUR DATA COLLECTION YEAR
Before beginning your data collection, identify the last calendar year for which you have full annual (12
months) data. This means that you have data from January of the calendar year through December of the
same year. If you have not been in operation for a full year, you must collect a minimum of three months'
data for input into the SmartWay Tool. In your next update year, you will be expected to submit a full year's
data.
DATA REQUIREMENTS FOR SECTION 1: SPECIFY OFFICIAL PARTNER NAME
Your Partner Name is the official name that your customers would recognize for your company—in other
words, the name someone hiring you would look for.
You must specify your company's official Partner Name under Section 1 of the HOME screen, exactly as you
want it to appear on the SmartWay website.
For example, you may enter:
^ ABC Company
ABC Company, Inc.
Your company will be listed exactly as you've entered in Section 1. Therefore, it is important to pay special
attention to proper capitalization, abbreviations, annotations, and punctuation.
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DATA REQUIREMENTS FOR SECTION 2: ENTER COMPANY CONTACT INFORMATION
The SmartWay Tool asks for:
^ General company information such as Location, web address, phone number, etc.
^ A Working Contact2 for any questions about your company's participation and Tool submissions
^ An Executive Contact3 for participation in awards and recognition events
^ A SustainabiLity Contact (optional)4 for information on company sustainability programs and outreach
^ Other Contacts (optional): Additional contacts may include anyone who is not the Working, Executive, or
Sustainability contact but may be involved with SmartWay (e.g., press/media contact, fleet manager,
etc.).
Note that you MUST have at least two contacts listed in the contact information section of the Tool, and the
Working and Executive Contacts must be different. SmartWay recommends developing an internal
succession plan to make sure that your Tool submission schedule is maintained, in the event that a Working
Contact is reassigned, or leaves the company for any reason.
DATA REQUIREMENTS FOR SECTION 3: CHARACTERIZE YOUR FLEETS
The SmartWay Rail Tool allows you to characterize your freight operations at the fleet level. In the Rail Tool,
a fleet is defined as any business unit that a customer has discretion to hire.
NOTE: You may include multiple fleets in a single Tool submission.
SmartWay highly recommends developing your list of fleets offline using a company
organization chart or perhaps a customer interface webpage. The best strategy is to ha ve a clear
idea of how to define your fleets before filling out the Tool.
For each fleet that a customer can hire, you will be asked to establish names for each of your fleets. Each
Fleet Name will begin with your Partner Name and will include a Fleet Identifier. Use a Fleet Identifier that is
recognizable by yourcustomers. Next you need to specify the class for each fleet.
Once you have defined your fleets, create the data entry forms for your fleet by selecting the Create Fleet(s)
button at the bottom of the screen.
2 The Working Contact is the individual designated by the Executive Contact to directly interface with SmartWay regarding specific tasks involved in the
timely submission of the Tool. The Working Contact is responsible for coordinating the assembly of information to complete/update fleet data; completing
and updating the Tool itself; maintaining direct communication with SmartWay; and keeping interested parties within the company apprised of relevant
developments with SmartWay.) NOTE: To ensure that emails from SmartWay/EPA are not blocked, new Working Contacts may need to add SmartWay/EPA
to their preferred list of trusted sources.
3 The Executive Contact is the company executive who is responsible for agreeing to the requirements in the SmartWay Partnership Agreement, overseeing
the Working Contact (as appropriate), and ensuring the timely submission of the Tool to SmartWay. The Executive Contact also represents the company at
awards/recognition events. This person should be a Vice President or higher level representative for the company.
4 The SustainabiLity Contact may be the same as the Working or Executive Contact, but not the same as any Other Contacts.
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DATA REQUIREMENTS FOR SECTION 4: FLEET DATA
Once you have identified and characterized your fleets you will be asked to provide additional information
for EACH fleet separately.
Data Requirements for "Power Units" Screen
You will need to provide power unit information about the selected fleet:
The number of power units or hours per year operated during the reporting period, by engine tier level.
This may be broken out by line haul and switch engines. For Class 1 operators, please refer to Ri form,
schedule 710 for details.
Class 1 operators must provide total locomotive unit miles per year for each fleet. This data is available in
the R-i forms for Class 1 railroads (see lines 8-14 of Schedule 755). Class 2 and 3 operators do not enter
this information.
Detailed description of the data sources used to obtain your power unit data (e.g., R-i Form section and
line numbers).
Data Requirements for "Operations" Screen
You will need to provide operations information about the selected fleet:
Your fleet's annual fuel consumption by fuel type (diesel, biodiesel, LNG, CNG, and electric) and train
category (freight, passenger, and switch). For Class 1 operators, please refer to R-i form, schedule 750,
lines 1 - 3 for details.
Your gross, revenue, and non-revenue ton-mile data. This data is available for Class 1 operators from R-i
Report Section 755, lines 104,110, and 113, respectively.
Total railcar miles for each fleet.
NOTE: AU ton-mile data should be entered as actual ton-miles, NOT 1,000s of ton-miles (as
presented in the R-i Report).
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Step 2
Data Entry
DOWNLOADING THE SMARTWAY RAIL CARRIER TOOL
To download the SmartWay Rail Tool, visit: https://www.epa.aov/smartway/smartway-rail-carrier-tools-
and-resources. Save the Tool in a folder on your hard drive; this folder should house copies of your data and
future updates.
HOW TO SET SECURITY LEVELS FOR THE SMARTWAY TOOLS
In some cases, Microsoft Excel will ask you to adjust your security settings before opening the Tool.
Instructions should appear on your screen if you need to change your security settings before running the
Tool. The instructions differ depending upon what version of Excel you use (Excel 2007, 2010, 2013, or 2016).
If you need additional assistance with your security settings, contact your Partner Account manager.
ENTERING PARTNER NAME
Under Step 1 on the HOME screen:
1. Type your Partner Name EXACTLY as you would like it to appear on the SmartWay website and in
other EPA communications in the field as indicated.
2. Proceed to Section 2 to enter Contact Information.
ENTERING CONTACT INFORMATION
Under the Partner Information tab:
SmartWay: Contact Information
X
Partner Information
Working Contact
Executive Contact
Sustajnability Contact
Other Contacts
=n
Note: Use the Tabs at the top of the window to navigate between the 5 information screens
Each field marked with an asterisk must be filled out. You will not be able to submit the Tool to
SmartWay without this information.
1. Enter the Company address, phone numbers, and website (optional).
2 Enter the Working Contact name and title.
The Working Contact is the individual designated by the Executive Contact to directly interface with
SmartWay regarding specific tasks involved in the timely submission of the Tool. The Working
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Contact is responsible for coordinating the assembly of information to complete/update fleet data;
completing and updating the Tool itself; maintaining direct communication with SmartWay; and
keeping interested parties within the company apprised of relevant developments with SmartWay.
(NOTE: To ensure that e-mails from SmartWay/EPA are not blocked, new contacts may need to add
SmartWay/EPA to their preferred list of trusted sources.)
3 Enter the Executive Contact name and title.
The Executive Contact is the company executive who is responsible for agreeing to the
requirements in the SmartWay Partnership Annual Agreement, overseeing the Working Contact (as
appropriate), and ensuring the timely submission of the Tool to SmartWay. The Executive Contact
also represents the company at awards/recognition events. This person should be a Vice President
or higher level representative for the company
4 Enter the SustainabiLity Contact name and title (optional).
The SustainabiLity Contact is the individual assigned responsibility for monitoring the company's
environmental performance. The SustainabiLity Contact may be the same as the Working or
Executive Contact (and specified by checking the "Same as" boxes in the SustainabiLity Contact
section), but cannot be the same as any Other Contact.
Under the Working Contact tab:
SmartWay: Contact Information
X
Partner Information
Working Contact
Executive Contact
Sustajnabffity Contact
Other Contacts
l. Enter the Working Contact information. If the Working Contact shares the same address as the
company, you may select the Use Partner Address button to auto-populate the address section of
this record. Enter the email address twice to confirm its accuracy. When confirmed a will appear
to the right.
Under the Executive Contact tab:
SmartWay: Contact Information
X
Partner Information
Working Contact
Executive Contact
Sustajnability Contact
Other Contacts
1
l. Enter the Executive Contact information. If the Executive Contact shares thesame address as the
company, you may select the Use Partner Address button to auto- populate the address section of
this record.
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Under the SustainabiLity Contact tab:
SmartWay: Contact Information
X
Partner Information
Working Contact
Executive Contact
Sustajnability Contact
Other Contacts
l. Enter the SustainabiLity Contact information, if applicable. If the Sustainability Contact shares the
same address as the company, you may select the Use Partner Address button to auto-populate the
address section of this record.
Under the Other Contacts tab:
Partner IflfarfMtfcM Wnriting CftvtftCt Exvculivc Cental
1. Enter Other Contacts (if applicable) by selecting the Add New contact button.
2. Enter the first Other Contact then select OK when done.
Note: You must supply at least two unique contacts on the contact screen to ensure EPA has
access to at least two people for Tool submission follow-up.
NOTE: In some cases, companies with multiple fleets will gather information from different
sources within the company. You may find it useful to ha ve this additional contact information
stored within the Tool.
You can add more contacts to the Other Contacts box by repeating this process. If you wish to edit an
existing contact's information, highlight the name you wish to edit and then select the Edit Selected Contact
button. You can remove an existing contact by highlighting the contact and then selecting Delete Selected
Contact
To make sure you have filled out all required contact information, select VALIDATE SCREEN at the bottom of
the screen on the Partner Information tab. If any information is missing or invalid, a dialogue box will appear
informing you what additional information is required.
Next select the HOME button to return to the Home screen and go to Step 3.
COMPLETING THE FLEET DESCRIPTION(S) SCREEN
1. On the Home screen, select the Fleet Description(s) button to display the Fleet Descriptions
screens.
2. Confirm that the Partner Name that appears automatically is correct and appropriate for your fleet. If
not, make changes in the field under the heading "Partner Name."
3. Enter the "Fleet Identifier" for your first (or only) fleet. This field may be left blank if you only have one
fleet. In this case your final Fleet Name will simply be your Partner Name.
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4. Enter additional fleets as needed:
a. To enter another fleet, select the Add Another Fleet button.
b. To delete a fleet, select the box next to the row you wish to delete, and then select the Delete
Checked Rows button.
c. Once you have confirmed or modified the Partner Name and specified the Fleet Identifiers, the
full Fleet Names will be displayed on the screen to the right, exactly how they will be displayed
on the SmartWay website.
5. Next, enter the Class of the associated rail fleet (1, 2, or 3):
a. Class 1 includes the largest North American rail companies;
b. Class 2 includes mid-sized, regional companies; and
c. Class 3 includes local shortline companies.
6. Once all fleet information has been input correctly, you may select the CREATE FLEET(S) button at
the bottom of the page. You will be prompted then to confirm that you have identified all of your
fleets. Return to the Fleet Description(s) screen if needed, otherwise select OK and you will
automatically be returned to the Home screen.
1. Using your mouse, on the Home screen select and highlight the name of the fleet for which you wish
to enter data.
2. Double click the name; you will then be taken to the Power Units data entry screen for that fleet.
SELECTING A FLEET FOR DATA ENTRY
COMPLETING THE POWER UNITS SCREEN
1. You will need to provide power unit information about the selected fleet.
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2. Specify the number of power units or hours per year operated
during the reporting period, by engine tier Level. Depending up
the Data Input Method selected, this information may be broken
out by line haul and switch engines. Under method l you may
aggregate your fleet's line-haul and switch units together, while
method 2 requires that you report the unit type counts separately.
Methods 3 and 4 are similar, but require inputting hours of
operation by tier, rather than unit counts.5 For Class 1 operators,
please refer to Ri form, schedule 710 for details. The different
engine tier level definitions are provided below:
¦ Non-tier - manufactured before 1972
¦ Tier 0 - manufactured between 1972 and 2001
¦ Tier 0+ - manufactured between 1972 and 2001, and
remanufactured after 2010
¦ Tier 1 - manufactured between 2002 and 2004
¦ Tier 1 - manufactured between 2002 and 2004 and
remanufactured after 2010
¦ Tier 2 - manufactured between 2005 and 2011
¦ Tier 2+ - manufactured between 2005 and 2011 and remanufactured after 2013
¦ Tier 3 - manufactured between 2012 and 2014
¦ Tier 4 - manufactured after 2014
Part A: Power Unit Inventory
Select Data Input Method
(* 1. # of total Power Units
r 2. # Power units - line haul vs, switch
C 3. hours per tier
(' 4, hours per tier - line haul and switch
? | Engine Tier ^ Gf power units
non-tier
0
0+
1
1+
2
2+
3
4
3. Next, Class l operators must enter your fleet's Total
Locomotive Unit Miles/Year data under Part B, Break out
your unit miles data by line haul and switching categories, as
appropriate. This data is available in the R-i forms for Class
1 railroads (see lines 8-14 of Schedule 755). Class 2 and 3
operators do not enter this information,
4. Finally, you will need to provide a detailed description of the
data sources used to obtain your power unit data (e.g., R-i
Form section and line numbers).
Part B. Total Locomotive Unit Miles/Year
0
Unit Trains
7
Way Trains
7
Through Trains
Subtotal
Train Switching
I
Yard Switching
Subtotal
Total
5 In general method 4 will provide the most accurate estimate for NOj, and PM emissions.
Smartway User Guide | Step 2
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COMPLETING THE OPERATIONS SCREEN
You will need to provide operations information about the selected fleet:
1. Specify your fleet's annual fuel consumption and ton-mile data. Record annual fuel use per year by
fuel type (diesel, biodiesel, LNG, CNG, and electric) and train category (freight, passenger, and
switch).
a. Petroleum diesel, biodiesel, and LNG entries must be in gallons per year.
b. Specify CNG units indicating standard cubic feet or gasoline-equivalent gallons per year.
c. Electricity use is specified in kWh/year.
d. If you indicate biodiesel consumption data, you must also specify the fleet average fuel blend
level (between o and 100).
e. For Class l operators, please refer to R-i form, schedule 750, lines 1 - 3 for details.
2. Specify your gross, revenue, and non-revenue ton-mile data. This data is available for Class 1
operators from R-i Report Section 755, lines 104,110, and 113, respectively.
3. Specify your total annual railcar miles for the fleet.
All Freight
Fuel Used
Units
Freight
Passenger
Switching
jJ
Total
Diesel ? (gallons/year)
1
Biodiesel: B | 7J (gallons/year)
1
LNG [gallons/year)
1
CNG (cubic feet/year) ~ | ?
1
Electric (kWh/year)
t | Gross Ton Miles/Year
7 | Revenue FreightTon Miles/Year
7 | Non-Revenue FreightTon Miles/Year
Rl: 755-104
Rl: 755-110
Rl: 755-113
jJ
Enter Total Railcar Miles:
r
NOTE: All ton-mile data should be entered as actual ton-miles, NOT 1,000s of ton-miles (as
Smartway User Guide | Step 2 17
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presented in the R-i Report).
SUBMITTING YOUR TOOL TO EPA
Once you have entered data for each of your rail fleets in Step 4 of the Home screen, you may create final
submittal files.
1. Select the Generate a (.xmL) data file which will open a new screen.
2. Select the checkbox to indicate you understand the terms of the SmartWay Partnership Agreement
once again.
3. When ready, select NEXT to create a file with the following naming convention: Rail_PartnerName_
Year_ Vo.xml6
where PartnerName is your company's name as entered for Step 1 on the Home screen, and Year
indicates the year for which you are submitting your data.
4. Next specify the folder where you would like to save the .xml file, and a screen will appear.
5. Follow these instructions for submitting your .xml and .xlsm files to SmartWay. Note that the .xml file
is approximately 10 times smaller than the .xlsmfile.
6. Upon selecting NEXT, a screen will appear that allows you to close the Rail Carrier Tool or return to
the Home screen.
¦ NOTE: DO NOT ZIP the .xlsm and .xml files. Send them to EPA as normal files attached in an e-
mail. EPA security will not allow zipped files through the EPA firewall.
¦ NOTE: DO NOT CHANGE THE NAME OF THE XML OR XLS FILES.
Please visit https://www.epa.aov/smartway/smartway-rail-carrier-tools-and-resourcesfor additional
resources, including printable data collection worksheets, and technical documentation, for more in depth
exploration of each section of the Rail Carrier Tool.
For example, Rail_ABCompany_ 2019 _Vo.xml
6 If you create the XML file multiple times the file name will increment each time (e.g., Rail_ABCompany_20i9_Vi.XML for the second iteration, etc.
Smartway User Guide | Step 2 18
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Step 3
Results and Summary Reports
The View Summary Data Reports section gives you access to 7 reports to help you understand your data
and use it to make better performance decisions. You can access these reports by selecting View Summary
Data Reports at the bottom of the Home screen.
Please select the report you would like to view:
zmsamm
Power Units
Fleet Summary
Estimates fleet-level C02, NOx, and PM performance, expressed in grams per ton-mile (gross, revenue
and non-revenue), and grams per mile (railcar and truck-equiiralent miles).
Displays the name. Class and contact for each fleet defined.
Partner Feedback Summary
Public Disclosure Report
Displays all of the data you entered in the Power Units Information section.
Displays all of the data you entered in the Operations section.
Displays all of the comments that have been entered throughout the tool.
Displays the feedback you provided in the Feedback section.
Displays the Scope 1, Scope 2, biogenic and non-carbon emissions.
The Feedback section allows you to provide EPA with general feedback regarding the SmartWay program.
This information is optional and is not required in order to submit your Rail Carrier Tool data to EPA, Selecting
the Give Us Feedback button under item #5 on the Home screen will open this form.
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Appendix A: Worksheets
WORKSHEET #i: CONTACT INFORMATION
#1. Enter your Contact Information:
GENERAL COMPANY CONTACT INFORMATION
Company Name
Headquarters
Mailing Address
City
State/Province
Zip Country
Main Phone
Number
Toll-free
Number
Cell
number
Web
Address
WORKING CONTACT INFORMATION
Working Contact Name
Working Contact
Mailing Address
City
State/Province
Zip Country
Working Contact Phone
Number
Email
Address
EXECUTIVE CONTACT INFORMATION
Executive Contact
Name
Executive Contact
Mailing Address
City
State/Province
Zip Country
Executive Contact
Phone Number
Email
Address
for Data Collection
Smartway User Guide | Appendix A A-i
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SUSTAINABILITY CONTACT INFORMATION
Sustainability Contact
Name
Sustainability Contact
Mailing Address
City
State/Province
Zip Country
Sustainability Contact
Phone Number
Email
Address
OTHER CONTACT INFORMATION
Other Contact Name
Other Contact Mailing
Address
City
State/Province
Zip Country
Other Contact Phone
Number
Email
Address
Contact's role in program
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WORKSHEET #2: FLEET CHARACTERIZATION
CompLete this worksheet for each fleet you wiLL be submitting in the RaiL Tool
Specify Partner / Fleet Name (exactly as it should appear on the SmartWay website):
Partner Name
Fleet Identifier
Railroad Class (l, 2, 3)
Smartway User Guide | Appendix A A-3
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WORKSHEET #3: POWER UNITS INFORMATION
Complete this worksheet for each fleet you will be submitting in the Rail Tool.
Specify Power Unit Inventory by Engine Tier
Inventory Basis (circle one): # Units Hours/Yr
Engine Tier Line Haul Switch Total
Non-Tier
0
0+
1
1*
2
2*
3
4
* If you cannot differentiate line haul and switch inventories, enter # Units or Hours/Yr for Totals only
Smartway User Guide | Appendix A A-4
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Total Locomotive Unit Miles/Year (Class l Operators Only):
Unit Trains
Way Trains
Through Trains
Train Switching
Yard Switching
Describe the data source used to develop the above data:
Smartway User Guide | Appendix A A-5
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WORKSHEET #4: OPERATIONS DATA
Complete this worksheet for each fleet you will be submitting in the Rail Carrier Tool.
Enter Fuel Use/Yr:
Fuel Type
Units
Freight
Passenger
Switching
Diesel
gaL/yr
BiodieselA
gaL/yr
LNG
gaL/yr
CNG
gaL/yr
cu ft/yr *
Electricity
kWh/yr
* circLe one
A Biodiesel blend % (if applicable):
Gross Ton-Miles/Yr
Revenue Reight Ton-Miles/Yr
Non-Revenue Freight Ton-Miles/Yr
Total Railcar Miles per year
(Ri, Schedule 755, Line 104)
(Ri, Schedule 755, line 110)
(Ri, Schedule 755, line 113)
(Ri, Schedule 755, line 30)
Smartway User Guide | Appendix A A-6
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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.qov/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.gov/aboutepa/about-national-
vehicle-and-fuel-emissions-laboratorv-nvfel
EPA-420-B-20-024 | April 2020 | SmartWay Transport Partnership | epa.gov/smartway
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