A FPA "nvi—,sa, Protection ^\xSmartWay
LI Agency U.S. Environmental protection Agency''
2020 SmartWay
Log istics Company
Partner Tool:
Technical Documentation
U.S. Version 2.0.19 (Data Year 2019)
EPA-420-B-20-042 I July 2020 I SmartWay Transport Partnership I epa.gov/smartway
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United States
Environmental Protection
^1 M ^Agency
^\xSmartWay
U.S. Environmental Protection Agency^
2020 SmartWay
Logistics Company Partner Tool:
Technical Documentation
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-20-042
JuLy 2020
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U.S. Environmental Protection Agency +
Table of Contents
1.0 OVERVIEW l
2.0 TOOL INPUTS AND CALCULATIONS 2
Emission Inventory and Performance Metric Calculations 2
Ton-Mile CaLcuLation 3
Carrier Emissions Performance Data 4
% SmartWay Value 20
PubLic Disclosure Reports 20
3-0 DATA VALIDATION 21
Payload Validation 21
Ton-Mile Validation 23
APPENDIX A: BACKGROUND ON INDUSTRY AVERAGE U.S. RAIL FACTORS A-l
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List of Tables
Table l. Emissions Calculation Basis by SmartWay Category 2
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 and Results (2017 R-i Data) 12
Table 5. Rail Carrier Average Payload 12
Table 6. Rail Carrier Average Volume Determination 13
Table 7. Truck Carrier Payload Validation Ranges 21
List of Figures
Figure 1. SmartWay Carrier Categories and Data Specificity - 2018 Calendar Year 8
Figure 2. Logistics Partner Payload Distribution 22
SmartWay Technical. Documentation | List of Tables & Figures iv
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Overview
The SmartWay Logistics Tool is intended to help Logistics companies estimate and assess their carbon, PM,
and NOx emission performance Levels as well as their total emissions associated with goods movement in
the U.S. freight rail, barge, air and trucking sectors.1
The new SmartWay truck, air and barge carrier emissions performance data that EPA has included in the
Tool, along with publicly available Class I rail data, will allow logistics companies to generate more accurate
emissions performance estimates and mass emissions inventories. The Tool will allow logistics companies to
track their freight-related emissions performance from year to year, and also help optimize their emissions
performance by allowing them to better estimate the emissions impact of individual carriers.
1 While this Tool is primarily focused on freight movements in the U.S. rail, air, barge and trucking freight sectors, SmartWay anticipates providing
performance data for ocean-going marine freight in the future as well.
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Tool Inputs and Calculations
After Logistics companies enter their company and contact information, they provide basic information about
each company they operate, including name, SCAC, MCN, NSC, and US DOT Number. Logistics companies
then identify each carrier that they use for each Logistics business unit. Next, users proceed to input activity
data for each carrier specified.
EMISSION INVENTORY AND PERFORMANCE METRIC CALCULATIONS
After inputting the required mileage and/or ton-mile information for each carrier used, the Tool will calculate
the associated total mass emissions (i.e., an emissions inventory) based on the mileage-related activity data
entered, as well as various emission performance metrics (e.g., composite 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 mile basis (miles x grams per mile), depending on the category as shown in Table l.2 Any
modes/categories not listed have a limited data availability and their emissions are calculated using ton-
miles.
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
Ton-Miles
1
0
General
Specialized
Miles
0
1
Expedited
Miles
0
1
Auto
Miles
0
1
Tanker
Miles
0
1
Heavy/Bulk
Miles
0
1
The 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.
2 Note that the Tool doesn't need partners to enter a payLoad or ton-miLe estimate for SmartWay Categories whose emissions are based on Miles, as the
pay Load 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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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 * TonMiles * gtm + Dm * Miles * gm
Total emissions:
Etot = Ec
C
Emission factors and average payload (APL):
Etot
gtm =
£c TonMiles c
_ tot
®m £cMiJesc
yr TonMllesc
API =
'ZcMilesc
The emissions inventory for each carrier/mode combination displayed on the Emissions Summary, Carrier
Performance, and SmartWay Category Details screens is calculated by multiplying the appropriate unit of
activity data (i.e., truck, air or barge-miles, railcar-miles, or ton-miles) by the corresponding carrier emissions
performance data. To calculate composite, business unit-wide emissions performance metrics on the Carrier
Performance screen (i.e., overall g/mile and g/ton-mile performance), the Tool 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.
Note that the composite emissions performance values are the numbers that will be used to
place logistics partners into performance bins within the logistics category.
TON-MILE CALCULATION
Correctly calculating Ton-Miles is critically important for the accurate determination of your carbon foot-
print. You can calculate your business unit'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.
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Many companies track their ton-miles and can report them directly without further calculation. For example,
logistics company systems are typically 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:
l. 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
(total miLes per carrier x totaL tons per carrier)
2) Set Ton-miLes per carrier =
totaL # of trips 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.
CARRIER EMISSIONS PERFORMANCE DATA
The current SmartWay program provides C02, NOx and PM gram per mile and gram per ton-mile emission
factors for truck, barge, air, and rail freight transport providers. These data are provided in the
SmartWayCarrierData2019.xls file, which should be downloaded to the user's computer using the
appropriate button on the Tool's Home page. Performance data for truck, barge, air,3 and multimodal
partners correspond to data submittals for the 2019 calendar year, while current Logistics partner
performance may correspond to submittals for 2018, depending on whether the 2019 data year performance
information for logistics companies has been released at the time of tool download. (Within a given data
year, logistics tools are released after the multimodal tool.) Performance for Rail companies are modal
averages, based on publicly available R-i data.
It is envisioned that SmartWay will incorporate emission factors ocean-going vessel transport providers in
the future.
Truck Carrier Performance
Truck carrier performance data utilized by the Logistics 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 by SmartWay
Category, with a top ranking indicating the top 20 percent performance level for a given
pollutant/performance category. 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:
3 As of 5-21-2019 no air carrier data had been approved by SmartWay.
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ll.b. tN VI RON MENTAL PROTECTION AGENCY *
U.S. tN VI RON MENTAL PROTECTION AGENCY
^ TL Dry Van
% LTL Dry Van
^ Refrigerated
^ Flatbed
*"*> Tanker
Dray
Heavy/Bulk
^ Package
Auto Carrier
Moving
^ Specialized
V Mixed
Expedited
Truck fleets are placed into a SmartWay Category and ranked with other SmartWay truck partner fleets in
that same category based on the following rules:
1. If 75% or more of the fleet's Operation is Drayage, the fleet will be categorized as a Drayage fleet,
regardless of what is specified for fleet's Body Type.
Otherwise;
2. If 75% or more of the fleet's Body Type is Moving, Heavy/Bulk, Refrigerated, Tanker, Auto Carrier, or
Flatbed, then the fleet will be categorized as that matching body type.
3. If the sum of the fleet's Utility Body Type and Special Hauler Body Type is 75% or more, then the fleet
will be categorized as Specialized/Utility.
4. If 75% or more of the fleet's Body Type is Dry Van or Chassis then:
a. If 75% or more of the fleet's Operation is Truckload then the fleet will be categorized as TL/Dry
Van.
b. If 75% or more of the fleet's Operation is Less than Truckload then the fleet will be categorized as
LTL/Dry Van.
c. If 75% or more of the fleet's Operation is Package then the fleet will be categorized as Package.
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d. If 75% or more of the fleet's Operation is Expedited then the fleet will be categorized as
Expedited.
e. If none of the above (a through d) are true, then the fleet will be categorized as Mixed.
5. Otherwise if none of the above conditions are met, the fleet will be categorized as a Mixed fleet.
The following provides an overview of the truck carrier ranking process used to estimate the carrier-specific
performance bins.
Truck Performance Ranking
In the 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,
package delivery, or expedited, and C.) equipment type: dry van, refrigerated van, flatbed, tanker,
heavy/bulk, chassis (container), auto carrier, moving, utility, or specialized (e.g., hopper, livestock, other). The
possible categories are shown below.
For Hire
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto Carrier
Moving
Specialized
TL
LTL
PD
Expedited
Dray
Private
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto Carrier
Moving
Specialized
TL
LTL
PD
Expedited
Dray
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 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
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was determined that ranking 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.
Ranking for-hire and private separately would have doubled the number of categories. Therefore, the fleets
can thus be categorized as shown below.
For Hire / Private
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto Carrier
Moving
Specialized
TL
LTL
PD
Expedited
Dray
To be categorized in a particular category, a fleet must have at least 75% of its operations by mileage in a
single category, otherwise it is classified as a "Mixed" fleet. Fleets could 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 category are placed in the Mixed category.
Individual fleets were then placed into categories. The following graphic illustrates the population of the
various categories. The darker the shade of the intersection, the higher the number of fleets in that category.
Dry
Van
Reefe
r
Flatbe
d
Tanke
r
Chassi
s
Heavy/Bui
k
Auto
Carrier
Movin
g
Specialize
d
Mixe
d
TL
LTL
PD
Expedite
d
Dray
Mixed
SmartWay then looked at combining categories that exhibited 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 (intermodal container) 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 two categories were combined. A similar situation was identified with flatbed, and flatbed
truckload and less than truckload were combined. Although no less than truckload tanker fleets were
identified, tanker truckload and less than truckload were combined into one category so that no intersections
would be left undefined. Similar aggregations were made for the remaining, less common body types
including heavy/bulk, auto carrier, moving and specialized. All dray was collapsed into one category, and
package delivery was restricted to dry van body types. 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.
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The final performance categories for the 2019 Data Year 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 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 l. SmartWay Carrier Categories and Data Specificity 2019 Calendar Year
TRUCK
Dry Van
Heavy
Auto
Specialized
& Chassis
Reefer
Flatbed
Tanker
& 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
(Proposed availability in 2016 calendar year)
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It is possible that SmartWay will expand these categories based on in-use experience or as a result of further
data analysis, and/or requests from industry.
Companies within a 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, PMi0
g/mile and PM10 g/ton-mile. When SmartWay Categories are established, fleets within a category are
separated into 5 ranges where each range represents a group of emission factors. These ranges, and
associated ranking "cutpoints" (transition points from one rank to the next) are then modified so that each
range has an equal difference between upper and lower bounds, and the new cutpoints remain as close to
the originals as possible. The new range cutpoints 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 company-specific emission factors, however the
trucking industry expressed concern with revealing exact data that 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 exact than a modal default number. Given the
large number of trucking companies, and thus opportunity for companies to be very close to each other in
performance (for example 0.001 g/mile of C02), SmartWay believes it is acceptable and appropriate to break
truck fleets into 5 performance rankings.
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)
For Hire/Private Truckload/ Dry Van CO2 g/mile
Group
ID
Fleets
Per Bin
Grams Per
Mile Min
Grams Per
Mile Max
Grams Per
Mile Avg
Grams Per Mile
Midpoint
Grams Per Mile
Std Dev
l
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 were developed for all SmartWay performance categories. The midpoint of each ranking
category is the data that a logistics company will download into their SmartWay Logistics Tool to represent
the emission performance of a specific carrier fleet that is in the associated rank/category. Once the
categories and ranks have been established, the carrier fleets of any new companies joining SmartWay will
fall into one of the predefined categories/ranks for that reporting year. SmartWay expects to update the
category/range structure periodically.
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Performance estimates for non-SmartWay truck carriers were calculated based on the lowest performing
truck partners. Since no data exists 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 company joining SmartWay will see better emission factors displayed than the non-SmartWay
default emission factors.
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.
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.
Logistics and Multimodal Carrier Performance
Logistic and multimodal carriers have their own performance bins based on the carrier tool submittals for the
most recent available calendar year (2018 for logistics, and 2019 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
fleet.
Non-SmartWay carrier performance for these 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 Carrier Performance
Air and barge carriers have agreed to have their actual emissions results made public, and, barge
performance values used in the Logistics Tool are carrier-specific. The gram per mile performance values for
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.
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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.
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 PM10 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 PM10).10 The resulting performance metrics are shown in Table
3 below.
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 Logistics 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, Freight Facts and Figures
201?.http://www.ops.fhwa.dot.aov/freiaht/freiaht analvsis/nat freight stats/docs/i?factsfiaures/pdfs/fff20i? hiahres.pdf. Accessed 6-1-20.
9 U.S. DOT, Bureau of Transportation Statistics, U.S. Air Carrier Traffic Statistics.: https://www.transtats.bts.aov/TRAFFIC/. Accessed 6-1-20.
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 and Results
(2017 R-i Data)
Rail Company
Gal/Yr Cooo)
Sch. 750 Line 4
Freight Ton
Mi/Yr('ooo) Sch.
755 line 110
Railcar Mi/Yr
( 000) 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
23-15
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. Rail Factors" in Appendix A for further details.
Average payload 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 Railcar
Carrier (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 below. 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 below.
Table 6. Rail Carrier Average Volume Determination
BNSF
Freight Car Types (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
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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)
Railcar 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
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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 (xiK)
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
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Soo Line
Freight Car Types (Ri Schedule 755)
Railcar Miles (xiK)
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 (xiK)
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
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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
Average Railcar Cubic Feet
6,091
%SMARTWAY VALUE
The % SmartWay screen tracks the portion of goods that shippers move with SmartWay Partners (expressed
as a percentage between o and 100). You may select either ton-miles or total miles as the basis for
determining your % SmartWay Value. Note that the Tool will automatically populate the % SmartWay screen
with any carrier activity data entered in the Activity Data screen. In addition, the metric selected for the first
business unit (miles or ton-miles) will be chosen as the basis for your other business units as well, so that a
company-level % SmartWay Value can be calculated. To see your company-level % SmartWay Value,
calculated across all business units, go to the % SmartWay Report in the Reports Menu via the Home page.
PUBLIC DISCLOSURE REPORTS
The Logistics Tool now provides a report summarizing Scope 3 emissions for public disclosure purposes.
Mass emissions are presented in metric tonnes for C02 (biogenic and non-biogenic), NOx, and PM11 for all
carriers. The percent of C02 attributable to SmartWay Carriers is also provided. Biogenic C02 emissions
estimates are assumed to equal 1.73 percent of total C02 emissions, as per U.S. requirements for biomass-
based diesel from the EPA Renewable Fuel Standard program final volume requirements.12
11 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.
12 As stated in the Final Rule (Table I.B.6-1 - see https://www.aovinfo.aov/content/pka/FR-2018-12-11/pdf/2018-26R66.pdf). the volume requirements for
biomass-based diesel in 2019 is 1.73%, rounded to equal 2% for calculation purposes. The percentage will be updated annually in the Tool.
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Data Validation
The Logistics 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
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 specified for each carrier
in the Carrier Data File. For Truck carriers, the payload checks are consistent with the Class 8b payload
checks currently in the Truck Tool and are shown below in Table 10. (See the Truck Tool Technical
Documentation for additional information.) Note that Ranges l and 5 are colored red in the Tool and require
explanations before proceeding. Ranges 2 and 4 are colored yellow, and explanations are optional.
Table 7. Truck Carrier Payload Validation Ranges
Truck Bin Category
Range 1
Low
Range 1
High/2
Low
Range 2
High / 3
Low
Range 3
High / 4
Low
Range 4
High / 5
Low
Range 5
High
(Max)
LTL Dry Van (from Dry Van
Single - LTL-Moving-Package)13
0.0
4.1
6.3
15-4
177
150.0
Package (from Dry Van Single -
LTL-Moving-Package)
0.0
0.0
0.0
135
20.8
150.0
TL Dry Van (from Dry Van Single
- other bins)
0.0
10.5
145
22.4
26.4
150.0
Refrigerated
0.0
14.5
17.3
22.9
257
82.5
Flatbed
0.0
14.0
18.3
26.7
310
999
Tanker
0.0
191
22.0
278
30.7
103.8
Moving (from Dry Van Single -
LTL-Moving-Package)
0.0
6.9
11.0
191
23.2
837
Specialized (from Specialty -
Other bins)
0.0
20.2
22.9
28.3
311
111.0
Dray (from Chassis)
0.0
11.2
16.5
27.1
32.4
735
Auto Carrier
0.0
57
11.0
21.4
26.6
735
13 Since LTL and package shipments can be very small, no Lower-bound "red/yellow" ranges are designated for LTL and package carrier payloads. Upper
bound yellow and red ranges for package (and muLti-modal) carriers were set equal to the average payload (6.20) plus twice the standard deviation (7.33)
for Logistics companies using these carrier types (from 2013 data). Values for LTL carriers are based on average weight per Load and Loads per shipment
reported by LTL Truck Partners for 2017.
1
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Table 7. Truck Carrier Payload Validation Ranges
Truck Bin Category
Range 1
Low
Range 1
High/2
Low
Range 2
High / 3
Low
Range 3
High / 4
Low
Range 4
High / 5
Low
Range 5
High
(Max)
Heavy-Bulk
0.0
2.7
16.5
44.0
57.8
120.0
Utility (from Specialty - Other
bins)
0.0
20.2
22.9
28.3
311
111.0
Mixed (from Other - Heavy-
FLatbed-Mixed bins)
0.0
14.7
21.1
338
40.1
993
Expedited (from Dry Van Single
- other bins)
0.0
10.5
14.5
22.4
26.4
150.0
With the exception of the LTL and package categories (see footnote 13), all other Logistic carrier payload
validations are based on 2011 Logistics Partner data and use simple cutoffs from the cumulative payload
distribution shown in Figure 2 below.
Figure 2. Logistics Partner Payload Distribution
Cumulative Payload Distribution - 2011 Logistics
o
'+¦»
3
Q.
o
Q.
1
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
J
1
/
10 20 30 40 50 60
Short Tons
70
80
90
100
As can be seen in the figure, the payload distribution is highly non-normal, so use of validation cutoffs based
on standard deviation is not appropriate. However, rough inflection points appear at approximately 10%, 20%,
80%, and 90%. As such, these values were used to specify the following payload validation cutoffs for
logistics carriers.
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Range l Red: o - 12.0 tons
Range 2 Yellow: 12.0 - 16.7 tons
Range 3:16.7 - 21.0 tons
Range 4 Yellow: 21.0 - 27.2 tons
Range 5 Red: 27.2 - 150 tons (150 absolute max)
Validation levels 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 cutpoints for rail payloads are based on the distribution of average values estimated for
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
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.
iSs
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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.14 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.15
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.16 To calculate g PM2.5/gaL, it was assumed that 95% of PMi0 is PM2,5, 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.
14 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/ZvN ET.exe/Pi0024CN.TXT?ZvActionD=ZvDocument&Client=EPA&lndex=2006+Thru+20i0&Docs=&Querv=&Time=&EndTime=&S
earchMethod=i&TocRestrict=n&Toc=&TocEntrv=&QField=&QFieldYear=&QFieldMonth=&QFieldDav=&lntQFieldOp=0&ExtQFieldOp=0&XmlQuerv=&File=D%?A
%^C7vfiles%^CIndex%2oData%^Co6thruio%^CTxt%^Cooooooos;%g;CPioo2,dCN.txt&User=ANQNYMQUS£Password=anonvmous&SortMethod=h%7C-
&MaximumDQCuments=l&FuzzvDegree=o8JmageQualitv=r7fig8/r7fig8/xlfiOvlfiOgl6/U2fi&Displav=hpfr&DefSeekPage=x&SearchBack=ZvActior)L&Back=Zv
ActionS&BackDesc=Results%20paae&MaximumPaaes=i&ZvEntrv=i&SeekPaae=x&ZvPURL. Accessed 6-1-20.
15 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 6-1-20.
16 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.gov/Exe/ZvN ET.exe/Pi00500BTXT?ZvActionD=ZvDocument&Client=EPA&lndex=2006+Thru+20i0&Docs=&Querv=&Time=&EndTime=&Se
archMethod=i&TocRestrict=n&Toc=&TocEntrv=&QField=&QFieldYear=&QFieldMonth=&QFieldDav=&lntQFieldOp=0&ExtQFieldOp=0&XmlQuerv=&File=D%?A%
^C7vfiles%^CIndex%2oData%^Co6thruio%^CTxt%s;Cooooooio%g;CPioo500B.txt&User=ANQNYMQUS&Password=anonvmous&SortMethod=h%7C-
&MaximumDocuments=i&FuzzyDegree=o&lmageQuality=r7fig8/r7fig8/xifioyifiogi6/i42fi&Display=hpfr&DefSeekPage=x&SearchBack=ZyActionL&Back=Zy
ActionS&BackDesc=Results%20page&MaximumPages=i&ZvEntrv=i&SeekPage=x&ZvPURL Accessed 6-1-20.
SmartWay Technical Documentation | Appendix A A-1
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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
NOx
PM2.5
gram/short ton-mile
O.4270
0.0120
gram/railcar mile
18.6
0.503
gram/TEU-mile
4.745
0.1284
Table A-2. Underlying Emissions Inventories and Activity 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
Note that 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.
Table A-3. Modal Average Performance Metric Estimates for Rail Freight
g/mi
g/ton mi
co2
NOx
PM10
PM2.5
co2
NOx
PM10
PM2.5
666.1
11.558
0.322
O.313
157
0.292
0.014
0.024
SmartWay Technical. Documentation | Appendix A A-2
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U.S. Environmental Protection Agency *
For more information:
U. S. Environmental Protection Agency
Office of Transportation and Air Quality
1200 Pennsylvania Ave. NW
Washington, DC 20460
(734)214-4333
www.epa.aov/transportation-air-pollution-and-
climate-chanae
U. S. Environmental Protection Agency
National Vehicle and Fuel Emissions Laboratory
2565 Plymouth Rd.
Ann Arbor, Ml 48105
(734) 214-4200
www.epa.gov/aboutepa/about-national-
vehicle-and-fuel-emissions-laboratory-nvfel
EPA 420 B 20 042 | July 2020 | SmartWay Transport Partnership | epa.gov/smartway
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