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LI »» Agency	U.S. Environmental protection Agency »
2021 SmartWay
Shipper Company
Partner Tool:
User Guide
U.S. Version 2.0.20 (Data Year 2020)
EPA-420-B-21-042 I October 20211 SmartWay Transport Partnership I epa.gov/smartway

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^CPA Envlronmetntal Protection	^^\XSmartWay
* mAgency	U.S. Environmental Protection Agency^
2021 SmartWay
Shipper Company Partner Tool:
User Guide
U.S. Version 2.0.20
(Data Year 2020)
Transportation and Climate Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
EPA-420-B-21-042
October 2021

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Table of Contents
INTRODUCTION	l
What Is The SmartWay Transport Partnership?	l
Why Do Shippers Join The SmartWay Transport Partnership?	l
How Do Shippers Join The SmartWay Transport Partnership?	2
How Do I Join If My Parent Company Has MuLtipLe Subsidiaries?	3
What Data Do I Need To Gather To Complete The Shipper Tool?	3
What Software & Hardware Is Required For Completing The Shipper Tool?	5
How do I set the Security Level When Opening SmartWay Tools?	6
What Is IncLuded In The SmartWay Shipper Company Partnership Agreement?	7
STEP l DATA COLLECTION REQUIREMENTS	9
Introductory Screens	9
Auto-Population	9
Requirements For Establishing Your Data CoLLection Year	9
Requirements For Section l: Specify Official Partner Name	10
Requirements For Section 2: Enter Contact Information	10
Requirements For Section 3: Company Description	11
Requirements For Section 4: Download the Latest Carrier Data File	12
Requirements For Section 5: Participation Level and Data Input Method	12
Requirements For Section 6: Data Entry	13
STEP 2 DATA ENTRY	19
Downloading The SmartWay Shipper Tool	19
Entering Partner Name	19
Entering Contact Information	19
Completing The Company Description Screen	21
Downloading the Latest SmartWay Carrier Data File	21
Selecting a participation Level	22
Selecting the Data Input Method	23
Selecting A Company For Data Entry	23
Inputting Carriers for a Company	24
Completing The ManuaL Input SmartWay Carriers Screen	25
Completing The ManuaL Input Non-SmartWay Carriers Screen	25
Completing The Carrier Subdivision Screen	26
Completing The Activity Data Screen	27
Completing the % SmartWay Screen	28
Completing the Mile & Weight Improvements Screen	28
Completing the ModaL Shift Impacts Screen	29
Reviewing Your ResuLts	32
Submitting Your Tool To EPA	32
STEP 3 ADDITIONAL SMARTWAY RESOURCES	34
APPENDIX A: WORKSHEETS FOR DATA COLLECTION	A-l
Worksheet #1: Contact Information	A-l
Worksheet #2: Shipper Company Characterization	A-3
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Table of Contents (Continued)
Worksheet #3A: Select Carrier(s) (page l of 2)	A-4
Worksheet #3A: Select Carrier(s) (page 2 of 2)	A-5
Worksheet #3B: Activity Data (page 1 of 2)	A-6
Worksheet #3B: Enter Activity Data (page 2 of 2)	A-7
Worksheet #4: Enter % SmartWay ALLocation Data	A-8
Worksheet #5: Enter Mile & Weight Improvements Data	A-g
Worksheet #6: Enter ModaL Shift Impacts Data	A-10
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INTRODUCTION
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)
V- Truck carriers
Rail carriers
Barge carriers
^ Multimodal carriers
Air carriers
Companies join the SmartWay Transport Partnership by submitting a Partner Tool to SmartWay. The
SmartWay Tools (1) assess freight operations; (2) calculate fuel consumption and carbon footprints; and (3)
track fuel-efficiency and emission reductions. SmartWay Tools must be submitted each year for the
company to remain a Partner in good standing. Tools submitted and approved on time qualify partners to
use the SmartWay Logo.
SmartWay ranks Partners' efficiency and environmental performance and recognizes superior performance
through the SmartWay Excellence Awards.
WHY DO SHIPPERS JOIN THE SMARTWAY TRANSPORT PARTNERSHIP?
The SmartWay Transport Partnership provides shipper companies with ways to reduce the environmental
impact of their freight operations and address costs. Designed with and for the freight sector, the SmartWay
Transport Partnership delivers solutions to marketplace needs and challenges. With access to the latest in
EPA-tested technologies and peer-provided success stories, carriers that join the SmartWay Transport
Partnership can gain a better understanding of their environmental footprint and assert their corporate
leadership.
13PLS/4PLS Third party Logistics/fourth-party Logistics companies
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Additionally, SmartWay Partners are associated with an internationally recognized and respected brand that
symbolizes cleaner, more efficient transportation choices.
Shipper companies that join SmartWay move significant amounts of freight with SmartWay Carriers. The
higher efficiency of carriers in SmartWay compared to non-SmartWay carriers gives SmartWay shipper
companies an opportunity to improve corporate freight efficiency, reduce their carbon footprint, and
voluntarily advance freight sustainability for themselves and their customers.
Participation in SmartWay helps SmartWay Shipper Partners
identify opportunities to improve efficiency,
demonstrate efficiency to customers and stakeholders,
evaluate and compare carrier performance, and
% determine the company's transportation carbon footprint.
SmartWay provides shippers with free tools that help assess and compare various freight transportation
options with detailed reports and analyses that support better business decision making.
HOW DO SHIPPERS JOIN THE SMARTWAY TRANSPORT PARTNERSHIP?
Shipper companies join SmartWay by submitting a SmartWay Shipper Tool (hereafter known as the "Shipper
Tool," or simply, the "Tool")
Shipper companies that submit tools that are approved by EPA are known as "SmartWay Shipper Company
Partners."
When a shipper company submits a Shipper Tool to EPA, they agree to the requirements stipulated in the
SmartWay Shipper Partnership Agreement--notably, that they will measure and report the emissions
performance of their company annually and provide supporting documentation to EPA upon request.
All SmartWay Shipper Partners agree to complete and submit the SmartWay Shipper Tool to
^ define company composition,
characterize company activity,
^ individually benchmark multiple companies, and
track annual changes in performance.
Upon approval of a Shipper Tool submission, a shipper company will be identified as SmartWay Shipper
Partner on EPA's website, on the SmartWay Partner List, and in a database used to identify companies that
meet SmartWay's annual requirements. On-time submission and approval of the Tool also qualifies Shipper
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Partners for use of the SmartWay Logo. The carrier will also receive information on how to access its current
SmartWay registration document and other information through the Partner Portal
HOW DO I JOIN IF MY PARENT COMPANY HAS MULTIPLE SUBSIDIARIES?
Shippers with subsidiaries may submit a single tool for their parent company and all of its subsidiaries. If a
shipper chooses to do this, the entire organization will be considered a SmartWay Partner and the
performance rating will be assigned to the entire organization. The partner will be Listed on the SmartWay
website under the parent company's name.
Individual subsidiaries may join as separate partners if the parent company wishes to have them Listed
individually on the SmartWay website. Each subsidiary would submit a separate tool.
SmartWay highly recommends developing your list of subsidiary companies beforehand by
using an organization chart or perhaps a customer interface web page. For example, evaluate
how your organization contracts with carriers, identify your companies' different NA/CS codes,
and determine how they choose what carriers to hire.
The best strategy is to have a clear idea of how to define your companies before filling out the
tool.
WHAT DATA DO I NEED TO GATHER TO COMPLETE THE SHIPPER TOOL?
To participate in SmartWay shippers need to gather the following essential information to complete the
Shipper Tool:
The official company name to be used on the SmartWay website for public recognition of participation in
SmartWay;
V- Company contact information:
¦	Contact details for your Working Contact'
¦	Contact details for an Executive Contact (cannot be the same as the working contact)'
¦	Contact details for your Sustainability Contact and Other contacts (optional)'
SmartWay ID number (if this is not your first toolsubmission);
North American Industry Classification System (NAICS) codes for the company;
The level at which the shipper chooses to participate in SmartWay; and
A comprehensive list of all SmartWay carriers that the shipper uses to haul their freight for the
reporting calendar year (this list should include all truck, rail, multimodal, barge, air, and logistics
companies hired by the shipper).
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Additional information is needed depending on the shipper's selected level of participation. There are 4 ways
shippers can participate in SmartWay. Way 1, the SmartWay Candidate level, is only for companies who want
to learn more about SmartWay before joining as a SmartWay Shipper Partner. To become a SmartWay
Shipper Partner, you select Way 2, Way 3, or Way 4. Under Way 2, 3, or 4, shippers participate as full
SmartWay partners and submit activity and performance data using the SmartWay Shipper Tool. Note that
Way 2 participants will not generate an emissions footprint and will not be eligible for an annual SmartWay
Award.
V- Way 2 data requirements:
¦	A non-mileage-based measure of how much business you do with each carrier. Examples
include the amount of money you spend with each carrier, or the number of shipments per
carrier
¦	Description of data sources used to compile the alternative activity metric
Way 3 data requirements:
¦	Activity data for all the carriers the shipper uses including:
o Total miles contracted, ton-miles contracted, and/or average payload data for each
SmartWay and non-SmartWay carrier
o Description of data sources used to compile activity data
V- Way 4 data requirements:
¦	All data required for Way 3 participation, plus at least one of the following:
o Information to differentiate the freight the company moves with any individual carrier by
various methods, such as inbound versus outbound, domestic versus international, business
unit, internal ID code, or other custom method
o Information to evaluate company operational strategies to eliminate miles or weight from the
freight operations to reduce the shipper's carbon footprint that were implemented during the
reporting year
o Information to evaluate strategies to shift freight transportation from one mode to another
(e.g., from truck to rail) that were implemented during the reporting year
This data should be provided for all of the shipper's companies. 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.
SmartWay Shipper partners are encouraged to participate at the Way 4 level and use the performance
assessment and strategy evaluation tools as a core element of their businesses1 environmental sustainability
planning processes as well as core corporate decision-making.
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WHAT SOFTWARE & HARDWARE IS REQUIRED FOR COMPLETING THE SHIPPER TOOL?
The Shipper Tool was designed in Microsoft Excel using forms and Visual Basic for Applications (VBA)
macros and code. Completing the Shipper 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 should also be compatible with Windows XP if all other requirements are met as well.
However, Windows XP has reached end of support at Microsoft and this may affect tool
performance.
System Requirements
IBM Pentium processor or newer
2 GB Ram
V- 100 MB disk space
^ Monitor display setting of 1,024 x 768 or larger
Software Requirements
^ Microsoft Excel 2013 or later
¦	Includes 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 should also be compatible with Excel 2007 and Excel 2010 if all other requirements are
met as well. However, Excel 2007 and Excel 2010 has reached end of support and Microsoft no
longer provides technical support, bug fixes, or security fixes. This may affect tool performance.
¦	Please download the tool and save it to your desktop, or a location on your hard drive if your
desktop is in the cloud. The tool will not run if saved to the cloud or certain other locations.
Please check with the user specifications for your computer, online support, or your company's IT
department to make sure your system is set up to use the Shipper Tool.
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HOW DO I SET THE SECURITY LEVEL WHEN OPENING SMARTWAY TOOLS?
Macros must be enabled on your computer to use the Shipper 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
1,	When you open the tool, the yellow message bar appears with a shield icon and the Enable
Content button.
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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.
Once macros are enabled (and you are not in Protected View), you can proceed with running the Tool.
if the Tool does not open, review the "Software and Hardware Requirements". If after reviewing this
section you cannot determine how to correct the problem, contact your SmartWay Partner Account
Manager.
WHAT IS INCLUDED IN THE SMARTWAY SHIPPER COMPANY PARTNERSHIP
AGREEMENT?
To join the SmartWay Transport Partnership as a shipper company, you must agree to the language on the
"Partnership Agreement for Shippers." When you begin working with the tool, you will be asked to check a
box stating that you agree to the terms of the partnership agreement. This agreement must be renewed
annually.
Please review this language with the appropriate personnel within your organization before completing or
submitting a Tool to EPA.
Partnership Agreement
for Shippers
With this agreement, your company joins EPA's SmartWay Transport Partnership and commits to:
1. Measure and report to EPA on an annual basis the emissions performance of your company using
EPA's SmartWay Shipper Tool, (Existing companies must report the 12 months of data for the prior
SmartWay User Guide | Introduction 7
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year ending December 31. Newly formed companies require a minimum of 3 months of
operational data.)
2.	Agree to SmartWay listing your name on the SmartWay Transport Partnership website as a Partner
company.
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.
4.	Treat individual corporate data as sensitive business information.
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.2
3.	Assist Partners in achieving emission and fuel usage reduction goals (subject to Federal
Government Appropriations).
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 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 Shipper Tool constitutes agreement to all terms in this Partnership
Agreement. No separate agreement need be submitted.
2 Individual corporate data witt be treated as sensitive business information.
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Data Collection Requirements
This section will identify data needed for completing the required sections of the Shipper Tool The Shipper
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.
Upon opening the 2021 Tool, you will see a Welcome screen, followed by four 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 data collection needs, Tool help and
navigation, and the SmartWay Partner Tool Schedule for 2021. 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 for Shippers.
AUTO-POPULATION
As you progress through the Tool, you will see an Auto-Population screen. This screen allows partners and
applicants to input their SmartWay ID and automatically load the information for the initial steps of the Tool
(Partner Name, Contact Information, and for established Partners, Fleet Information), based on the prior
year's submittal, or for applicants, information entered through the online SmartWay Shipper Application.3
The Auto-Population option can save time and ensure naming consistency for your contacts and company
(or companies) from year to year. A popup screen will appear displaying all the contact and company data
uploaded for your review before proceeding. Corrections and revisions may be made on the Home screen if
needed. If you do not have a SmartWay ID, or prefer to enter this data manually, you may skip this step.
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
INTRODUCTORY SCREENS
REQUIREMENTS FOR ESTABLISHING YOUR DATA COLLECTION YEAR
data.
3 You may access the SmartWay Shipper Application at
httns://annA. ern.com/smartwavonramn/onramnShinner/sten1 .cfm?CFID-?M6A6^8iCFTOKFN-e?cfQfh1aA1enca8-?^F6?RAF-AnFQ-6A1^-
76C4E22EFB26B410
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REQUIREMENTS FOR SECTION l: 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 l of the Home screen, exactly as you
want it to appear on the SmartWay website.
For example, you may enter:
% ABC Company
V- ABC Company, Inc.
Your company will be listed exactly as you've entered in Section l. Therefore, it is important to pay special
attention to proper capitalization, abbreviations, annotations, and punctuation.
If you selected the Auto-populate option, please review the Partner Name as it appears on the Home screen,
revising it as necessary.
REQUIREMENTS FOR SECTION 2: ENTER CONTACT INFORMATION
The SmartWay Tool asks for:
V- General company information such as location, web address, phone number, etc.
V. A Working Contact^for any questions about your company's participation and Toolsubmissions
^ An Executive Contact5 for participation in awards and recognition events
A SustainabiLity Contact (optional)5 for information on company sustainability programs and
outreach
Additional contacts (optional): Additional contacts may include anyone who is not the Working,
Executive, or Sustainability contact but may be involved with SmartWay (e.g., press/media contact,
fleet manager, etc.).
4	The Working Contact is the individual designated by the Executive Contact to directly interface with SmartWay regarding specific tasks involved in the
timely submission of the Tool. The Working Contact is responsible for coordinating the assembly of information to complete/update company data;
completing and updating the Tool itself; maintaining direct communication with SmartWay; and keeping interested parties within the company apprised of
relevant developments with SmartWay.) NOTE: To ensure that emails from SmartWay/EPA are not blocked, new Working Contacts may need to add
SmartWay/EPA to their preferred List of trusted sources.)
5	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.
6	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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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, in order to proceed. SmartWay recommends deveLoping
an internaL succession pLan to make sure that your Logistics TooL submission scheduLe is maintained, in the
event that a Working Contact is reassigned, or Leaves the company for any reason.
Note: If you selected the auto-populate option you still MUST review the Contact Information that pops up
before leaving the Auto-population screen, and revise any entries on the Home screen as needed.
REQUIREMENTS FOR SECTION 3: COMPANY DESCRIPTION
This section of the TooL aLLows you to create muLtipLe company data records. If you operate more than one
separate and distinct company you may wish to track each company separateLy. Each individuaL data fiLe has
the abiLity to track companies, inbound/outbound freight, and internationaL/domestic freight as weLL as other
user-defined distinctions.
Most Partners shouLd create one company. However, if you are a gLobaL congLomerate that, for exampLe, has
a Large home goods retaiL company, a whoLesaLe parts suppLy company, and a product manufacturer, aLL with
separate corporate identities and transportation systems, you may want to create three companies.
However, note that these companies wiLL not be Listed separateLy on the Partner Listing on the SmartWay
website. If you wouLd Like muLtipLe companies dispLayed on the Partner Listing, submit separate TooLs for
each company.
The Company Description(s) screen requires the foLLowing information:
^ Company Name(s): Name your companies, beginning with your partner name foLLowed by the
specific company name. ExampLe: Shipper Company 1 - RetaiL.
NAICS Code: NAICS, or North American Industry CLassification System codes, are the FederaL
standard for cLassifying businesses by activity type. NAICS codes can be from two or three up to six
digits in Length, and are organized hierarchicaLLy, with successive digits providing greater specificity in
its description. Use the NAICS code(s) that most appropriateLy describes your company. You can use
the search icon to the right of the data entry fieLd to identify and seLect NAICS code(s). If you need to
enter muLtipLe NAICS codes, you may check muLtipLe boxes on the popup screen whiLe hoLding down
the "CtrL" key on your keyboard, or simpLy enter them directLy and separate them with commas.
^ DetaiLed information on NAICS codes can be found at http://www.census.gov/eos/www/naics/.
ALternativeLy, you may Locate your NAICS code:
1.	On your company's 1120 corporate tax return, fiLed with IRS, ScheduLe K, Lines 2a, b and c.
2.	Or, on the 1120S corporate tax return, fiLed with IRS, ScheduLe B, Lines 2a and b.
If you selected the auto-populate option you still MUST review the Company Description information that pops
up before leaving the Auto-population screen, and revise the entries on the Home screen as needed.
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REQUIREMENTS FOR SECTION 4: DOWNLOAD THE LATEST CARRIER DATA FILE
To ensure that the Shipper Tool gives you the most current List of SmartWay carriers to select from, you must
select the Download Latest SmartWay Carrier Data File button on the Home screen. A new box will appear
next to the button indicating the "Date of Current Carrier File." You are now ready to go on to selecting
carriers and entering activity data for each shipper company.
You will not be able to input the required shipper company data in Section 5 without this file. You must have
an active Internet connection to perform this step.
REQUIREMENTS FOR SECTION 5: PARTICIPATION LEVEL AND DATA INPUT METHOD
No data are needed to complete section 5, however you must choose the level at which you wish to
participate and select how you would like to input data into the Tool. These choices will affect data needed
to complete the next section. On the Participation Level screen, you have the option to choose to participate
at the Way 2, Way 3, or Way 4 level. The table below summarizes the three options and describes who the
option is best for, the benefits, inputs needed, and the input methods available.
Option
Way 2: Basic Freight
Assessment
Way 3: Standard Freight
Assessment
Way 4: Advanced Freight
Assessment
Best for:
Shippers with limited
data that want to start
freight efficiency
planning.
Shippers that want a freight
emissions footprint to guide
their freight decision making.
Shippers that want a more-
detailed freight emissions
footprint and added analysis.
Inputs
needed:
Carrier names and
relative data (e.g.,
amount spent, number
of shipments, volume
shipped, or another
custom metric)
Carrier names; mileage, ton-
miles and/or payload data
per carrier
Carrier names; mileage, ton-
miles and/or payload data
per carrier; and additional
operational strategies and
mode split data
Input
methods:
Manual only
Manual or data import
Manual or data import
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Option
Way 2: Basic Freight
Assessment
Way 3: Standard Freight
Assessment
Way 4: Advanced Freight
Assessment
Benefits:
• Define a relative
• All the benefits of Way 2
• All the benefits of Way 3

freight performance
plus the ability to:
plus the ability to:

metric (% SmartWay)
• Build a freight performance
• Subdivide freight activity

• Be recognized as a
assessment based on per
based on inbound vs

SmartWay Partner
carrier mileage and
outbound, domestic vs


payload
international, discrete


• Compete for recognition
business units, and/or


through the SmartWay
other criteria


Excellence Awards
• Compare emissions



savings from various mode



and operational strategy



changes retrospectively



and prospectively



• Receive additional credit



for SmartWay Excellence



Award
REQUIREMENTS FOR SECTION 6: DATA ENTRY
In Section 6 of the Shipper Tool, you will identify the carriers included in each of your shipper companies, and
then enter either detailed activity data or relative carrier data depending on the participation Level
selected. The screens you must complete will depend on the participation level and data input method you
specified in the previous section.
Requirements for Inputting Carriers
In this section, you must specify the carriers that your shipper company uses. There are different methods to
select carriers depending on your level of participation and input method selected in the previous section,
but regardless of the method you choose, you will need to first identify the mode of transport for the carrier.
Six carrier mode selections are available, including:
V Rail
Truck
Multimodal
Logistics
^ Barge
V- Air
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Next, you may also specify a SmartWay Category for the Truck and Multimodal modes. Truck SmartWay
Categories include:
%
Auto Carrier
%
Dray
%
Expedited
%
Flatbed
%
Heavy/Bulk
%
LTL Dry Van
%
Mixed

Moving
%
Package
%
Refrigerated

Specialized
%
Tanker
%
TL Dry Van
Multimodal SmartWay Categories include:
^ Surface
Surface-Air
^ Surface Marine
Surface-Air-Marine
SmartWay Category selections are not currently available for other modes but may be added in the future.
After identifying the mode (and SmartWay Category, if available), you should identify each carrier's specific
fleet name, as listed in the SmartWay Carrier Data file, along with any associated SCACs, DOT numbers,
MCNs, and NSCs.
After identifying your SmartWay carriers, you must also enter the number of non-SmartWay carriers used by
the shipper company. Only include carriers used during the reporting year. If this company has non-SmartWay
carriers, you will also select the carrier mode(s) the non-SmartWay carrier(s) belong to. For truck carriers,
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specify the appropriate carrier type (e.g., non-SmartWay Dray). If you are not sure of the appropriate truck
carrier type, select the "General" option.
Details on data entry and which screens you will have to complete depending on your participation level and
input method selections are described in the Step 2 - Data Entry section below.
Requirements for Carrier Subdivision Screen
NOTE: This screen is only applicable to the Way 4 participation level.
If you selected the Way 4 participation level, you may specify supplemental information to help you further
characterize your carrier use on this screen. For example, you can designate certain carriers used for
domestic or international routes. The optional information may be applied to any carrier and include the
following:
%
Company Identifier
%
ID Code
%
Inbound/Outbound/Internal
%
Domestic/International
%
Internal Shipper Segment 1
%
Internal Shipper Segment 2
You must complete this screen, the Mile & Weight Improvements screen, or the Modal Shift Impacts
screen if you selected the Way 4 level. If you select Way 4 but do not enter data for Mile & Weight
Improvements of Modal Shifts then you must differentiate activity for at least one of your carriers, rather than
just specifying descriptors. For example - you can specify both inbound and outbound activity for a particular
carrier.
Requirements for Activity Data
NOTE: This screen is only applicable to the Way 3 and Way 4 level.
After identifying your carriers, you will be taken to the Activity Data screen. First provide a detailed text data
source description for the sources used to estimate your mileage, ton-mile and payload data for your carriers
by selecting the Describe Data Source button. Be sure to indicate how you calculated the values, and where
this data was obtained. For example, you may use carrier reports or accounting/purchasing records to
determine miles. Payload and ton-mile estimates may be based on bills of lading or other internal records.
Next, identify any carrier fleets operated directly by your shipper company by checking the "Shipper Carrier"
box. This allows the Tool to exclude these carriers from the Scope 3 emissions calculations provided in the
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Public Disclosure Report See the Shipper Tool Technical Documentation for further details on the Public
Disclosure Reports
Next you must specify a Data Availability option for each carrier. There are four Data Availability options:
1.	Enter ton-miles and total miles (preferred option)
2.	Enter ton-miles and average payload
3.	Enter total miles and average payload
4.	Enter total miles only7
You should use the option for which you have the most reliable data:
^ If you have reliable data for both ton-miles and miles, you should select Option a.
*1- If you don't have reliable miles data, but do have reliable ton-mile data, select Option b.
If you don't have reliable ton-miles data, but do have reliable miles data, select from options c or d.
NOTE: LTL and Package carriers may not select Option d, due to the importance of estimating precise
payloads for these carrier types.
Choose the method that uses the most accurate data at your disposal for each carrier. In this way the T ool
will utilize the most accurate data available for the ton-mile and mile comparison metrics as well as for the
emissions footprint calculations.
If the carrier mode is rail, you will need to record total railcar-miles, or if barge, then barge-miles, otherwise
you must specify total truckload-miles. Enter the data to the nearest whole number.
Data Availability Option a - Enter total ton-miles and total miles. Total miles corresponds to truck
miles, railcar miles, or barge miles, as appropriate. For rail carriers, DO NOT enter train miles, and for
barge carriers, DO NOT enter miles for the entire string of barges - enter the sum of miles for each
individual railcar and/or barge load.
Data Availability Option b - Enter total ton-miles along with your estimated average payload (per
truck or railcar, as appropriate) in short tons (2,000 lbs.)
Data Availability Option c - Enter total miles along with your estimated average payload (per truck,
barge or railcar, as appropriate) in short tons (2,000 lbs.)
Data Availability Option d - Enter total miles.
7 Option d is available for TL/Dry Van, Expedited, Heavy/Butk, Mixed, Speciatized, Refrigerated, Ftatbed, Tanker, Moving, Dray, and Auto carrier categories
only.
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IMPORTANT: 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:
Enter 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 truck, and will clearly
overstate your ton-miles.
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)
total # of trips per carrier
To check your estimate, divide ton-miles by miles. The result is your fleet-average payload. If this number
is not reasonable, please check your calculations.
Requirements for"% SmartWay"
Carriers identified in the Input Carriers screens are automatically carried over to this screen. If you selected
the Way 3 or Way 4 participation level, the fractional mileage and ton-mile amounts attributable to each
carrier are also shown here and may be used as weighting factors across your carriers to calculate your %
SmartWay Value. There are no data requirements for the ton-miles and total miles weighting factors on this
screen.
If you selected the Way 2 participation level you must specify an alternative weighting factor to apply across
the different carriers, such as the percentage of total payments, the percentage of total weight or total
packages, or an alternative "custom" for calculating your % SmartWay Value. In this case you must enter the
type of data you use for your percentage allocation estimates using the drop-down menu at the top of the
screen, and then enter the percent allocated to each carrier. Percentages must sum to 100. You must also
document the custom factor methodology in the text box presented at the lower left of the screen.
Note: If you are participating at the Way 2 level, you will not see the Ton-Mile or Total Mile columns
presented on the % SmartWay screen.
Requirements for Mile & Weight Improvements
NOTE: This screen is only applicable to the Way 4 participation level.
This screen allows you to estimate the emissions savings impacts for a range of retrospective and/or
prospective activities and best practices which impact the emission footprint of the transportation supply
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chain (e.g., reducing miles traveled in the transportation network through route or cube optimization, or
reducing weight through package reduction, among others). You should have data about your company's
activities or possible activities to complete this screen. You must complete this screen with an activity that
was implemented during the reporting year, the Carrier Subdivision screen, or the Modal Shift Impacts
screen if you selected the Way 4 level.
Requirements for Modal Shift Impacts
NOTE: This screen is only applicable to the Way 4 participation level.
The Modal Shift Impacts screen allows partners to evaluate the emissions impact of moving to different
modes (e.g. truck-to-rail or rail-to-barge) retrospectively or prospectively. You need data about modal shifts
or potential modal shifts in order to complete this screen. You must complete this screen with a shift that
was implemented during the reporting year, the Carrier Subdivision screen, or the Mile & Weight
Improvements screen if you selected the Way 4 level.
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OMENTAL PROTECTION AGENCY"'
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Step 2
Data Entry
DOWNLOADING THE SMARTWAY SHIPPER TOOL
To download the SmartWay Logistics Tool, visit: https://www.epa.gov/smartwav/smartwav-shipper-
partner-tools-and-resources. Save the Tool in a folder on your hard drive; this folder will house copies of
your data and future updates.
ENTERING PARTNER NAME
Under Step l 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
Note: Use the Tabs at the top of the window to navigate between the 5 information screens
SmartWay: Contact Information




X
Partner Information
Working Contact
Executive Contact
Sustajnability Contact
Other Contacts

1 1
Each field marked with an asterisk must be filled out. You will not be able to submit the Tool to
SmartWay without this information.
Under the Partner Information tab:
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
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.
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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.
5. Enter Other Contact names and titles.
Under the Working Contact tab:
Enter the Working Contact information. If the Working Contact shares the same address as the company, you
may select the Partner Address button to auto-populate the address section of this record. Enter the email
address twice to confirm its accuracy.
Under the Executive Contact tab:
Enter the Executive Contact information, including the contact email address. The same buttons and fields
are available as described for the Working Contact tab.
Under the SustainabiLity Contact tab:
If applicable, enter the SustainabiLity Contact information including the contact email address. The same
buttons and fields are available as described for the Working Contact tab.
Under the Other Contacts tab:
1,	Enter Other Contacts (if applicable) by selecting the Add New Contact button.
2.	Enter the first Other Contact then select the OK button 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.
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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 the Delete
Selected Contact button.
To make sure you have filled out all required contact information, select the Validate Screen button 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 proceed to Step 3.
COMPLETING THE COMPANY DESCRIPTION SCREEN
1.	On the Home screen, select the Company Description(s) button to display the Company Description
screens.
2.	Enter the "Company Name" for your first (or only) company.
3.	Enter the NAICS code for each of your companies. You may enter multiple NAICS codes if
appropriate. You may enter NAICS codes in two ways:
a.	Manually type in two- to six-digit NAICS codes, separated by commas, in the space provided.
b.	For help finding your NAICS code, select the binoculars button to the right of the data entry field.
A separate form that includes all NAICS codes and their descriptions will appear. You may select
one or multiple NAICS codes from this screen. To select multiple codes, press the "Ctrl" button on
your keyboard (and keep it pressed) and then select the items from the list box with your mouse.
Select OK when finished to insert the selected NAICS onto the main screen.
4.	Enter additional companies as needed:
a.	To enter another company, select the Add Company button.
b.	To delete a company, select the box next to the row you wish to delete, and then select the
Delete Checked Rows button
c.	Once you have entered the Company Name and specified the associated NAICS code(s), select
the CREATE COMPANIES button and return to the Home screen.
DOWNLOADING THE LATEST SMARTWAY CARRIER DATA FILE
1.	On the Home screen, select the Download Latest SmartWay Carrier Data File button under Step 4
and allow the Tool to download the latest carrier data (SmartWayCarrierData2020ST.xlsx).
2.	Proceed to Step 6 to enter data for your company (or companies).
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SELECTING A PARTICIPATION LEVEL
1.	On the Home screen, select the "Participation Level and Data Input Method" button to proceed to
the Participation Level screen.
2.	There are three program participation levels from which to choose when filling out the Shipper Tool.
All choices allow you to be a SmartWay partner. Some choices will require more data entry than
others but will give you better and more useful results. The Participation Level screen walks you
through your choices, described below.
Note: carefully consider the information you have available for your carriers in order to select the
best option for your company. Your participation level will determine your eligibility for the
various types of SmartWay performance awards.
¦	Way 2 - Basic Freight Assessment: This option allows you to input your carriers and a non-
mileage-based measure of how much business you do with each carrier. Examples may include
the amount of money you spend with each carrier, or the number of shipments per carrier.
Partners participating at the Way 2 level will learn what percentage of their freight is with
SmartWay-registered carriers, although they are not eligible for an annual SmartWay
performance award.
¦	Way 3 - Standard Freight Assessment: This option allows you to input your carriers and how
much freight they move for you, expressed in miles and/or ton-miles. This option provides
partners with information on total mass emissions generated and the associated efficiency for
C02, NOx and PM emissions. Partners can view emissions and performance by carrier, mode of
transport, or at the company level. Partners can also import data rather than input it manually, as
described on the next screen. Partners participating at the Way 3 level are eligible for SmartWay
annual awards.
¦	Way 4 - Advanced Freight Assessment: This option allows you to differentiate your freight
movement with individual carriers by various methods such as inbound versus outbound,
domestic versus international, business unit, internal ID code or other custom method. This
selection also provides the option of determining emission savings from specific retrospective
and/or prospective operational practices and mode shifts such as moving freight from truck to
rail. Partners participating at the Way 4 level will earn extra points towards SmartWay
performance awards for submission of detailed carrier differentiation and operational strategy
information. Partners must complete at least one of the following screens: Carrier Subdivision,
Mile & Weight Improvements (with an activity that was implemented during the reporting
year), or Modal Shift Impacts (with a shift that was implemented during the reporting year)
3.	Select the SmartWay Awards Information button at the bottom of the screen for further details.
4.	Select a participation level before proceeding. If you select Way 3 or Way 4, click the "NEXT" button
to proceed to the INPUT METHOD screen. If you select Way 2, click the HOME button to proceed to
the next step. If you want to change your mind, you can return to the Participation Level screen at
any time and update your selection.
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SELECTING THE DATA INPUT METHOD
1.	If you selected the Way 3 or Way 4 participation Level you will need to complete the Input Method
screen. Select the data input method based on the number of carriers you use, and your ability to
process and import carrier-specific data in the proper format (CSV). Input options include:
¦	Manual Input Only - This option is best for Shippers with fewer than 100 carriers, or for those who
are not comfortable with the Data Import option (see below). By choosing Manual Input you will
add your carriers to a data entry list by selecting them from a listbox. There are various ways to
sort and filter carriers for selection (e.g. by carrier mode, SCAC, etc.) After selection you will enter
data for each carrier, namely miles, ton-miles, and/or average payload. If you already have your
carrier activity data compiled, entry time should be about one minute or less per carrier for most
people.
¦	Data Import - This option is best for shippers that have over 100 carriers, and/or you are
participating at the Way 4 level. This option involves creating a data file for import into the
Shipper Tool. It can save time if you are able to export data from your own information
technology system. There are several ways to create these files and they are explained in detail
within the Tool. This option provides users with the ability to use the Manual Input screens as
well in order to edit data. If you are not comfortable with creating external data files, then the
Manual Input option may be better suited to you. The Data Import Method is described in detail in
the Guide to Importing Carrier Data Using the Outside Data Import Function.
2.	Select your preferred data input method and click the HOME button to proceed to the next step. You
may return to this screen later to select a different option if needed.
SELECTING A COMPANY FOR DATA ENTRY
On the Home screen, you will now see all the shipper companies you created listed in the window below
item # 6: Data Entry. There will be a status message after each company, indicating whether or not the data
entry for that company is complete. The following information may appear beside a company name,
depending upon where you are in the data entry process:
^ Not checked - Data has not been entered yet.
Incomplete - Some data is still missing and/or inconsistent.
Complete - All data requirements have been met and validation has occurred.
In addition to the status indicators above, you may also see one of two qualifiers: "Errors" or "Warnings."
Errors will prevent you from checking your emissions and performance under the Review Your
Results section (Step 7), and must be addressed before you can submit your Tool to EPA.
Warnings will still allow you to proceed and submit your data to EPA. However, it is strongly
recommended that you carefully review each warning message before sending your data to EPA so
that you can anticipate questions that may come from a Partner Account Manager as a result of your
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data being outside the expected ranges. The method addressing errors and warnings is described for
subsequent input screens in the following sections.
To begin your data entry:
1.	Using your mouse, on the Home screen select and highlight the name of the shipper company for
which you wish to enter data.
2.	Double click the name; you will then be taken to the data entry screens for that company.
INPUTTING CARRIERS FOR A COMPANY
1.	If you selected the Manual Input Only option on the Input Method screen, you will arrive on the
Manual Input SmartWay Carriers screen after you double-click a company on the Home screen.
You will use this screen to identify the SmartWay partners utilized by your shipper company, and
then you will proceed to the Manual Input Non-SmartWay Carriers screen to enter your non-
SmartWay carriers. See "Completing the Manual Input SmartWay Carriers Tab" and "Completing
the Manual Input Non-SmartWay Carriers Tab" below for details.
2.	If you selected Data Import option on the Input Method screen, you will arrive on the Instructions
screen which describes the two ways to populate the Tool with company information via Data
Import/Export and Carrier Matching.
a.	The Data Import/Export approach allows partners to export and import carrier lists in a
standardized format, as described in detail on the Outside Data Import and Export Carriers
screens See the Guide to Importing Carrier Data Using the Outside Data Import Function for
detailed instructions on the export/import process.
b.	The Carrier Matching approach utilizes a function (described on the Match My Carriers screen) to
find and match SmartWay carriers based on a wide range of criteria, including their own internal
carrier identification, such as carrier ID codes, with records in their Tool submission from a prior
year. The carrier matching function provides an efficient, reliable means of linking a company's
carrier list to the correct records in the carrier data file, ensuring shipper companies obtain full
credit for their use of SmartWay carriers. Partners may also enter new codes for matching
carriers in future years. Your company-specific match data is not shared with other companies.
The matching process is explained in detail on the Match My Carriers screen.
c.	After using the Data Import/Export and/or Carrier Matching screens, you will also be directed
through the two manual input screens. You may review selected carriers that were imported on
the Manual Input SmartWay Carriers screen if you like (and add/delete selected carriers), and
you also must complete the Manual Input Non-SmartWay Carriers screen as well before
proceeding.
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COMPLETING THE MANUAL INPUT SMARTWAY CARRIERS SCREEN
1.	To select carriers manually, you can enter all or part of the carrier's name directly into the Carrier
Name input box and the select the Apply Filter button. A new filtered list will appear in the Available
SmartWay Carriers box. Double click on the carrier name to add it to the Selected SmartWay
Carriers box.
2.	You may also search for carriers by filtering using carrier mode, SmartWay Category, SCAC, MCN,
DOT, NSC, and/or various address fields to find your carriers in the SmartWay Carrier data file.
3.	To search by Carrier Mode, select the mode of transport from which you wish to choose a carrier.
Seven carrier mode selections are available, including "All," "Rail," "Truck," "Multimodal", "Barge,"
"Logistics," and "Air".
a.	Note that by selecting "All", you may search across all carriers, regardless of mode.
b.	Next, if you select the Truck mode, you may also specify a SmartWay Category. Truck ranking
categories include TL Dry Van, LTL Dry Van, Refrigerated, Flatbed, Tanker, Dray, Heavy/Bulk,
Package, Auto Carrier, Moving, Specialized, Mixed, and Expedited. Alternatively, if you select the
Multimodal mode, available SmartWay Categories include Surface (i.e. truck/rail), Surface-Air,
Surface-Marine, and Surface-Air-Marine.
4.	Once you have applied the desired filters, a list of available SmartWay carriers meeting your filter
criterion appears in the Available SmartWay Carriers box. Using your mouse, double click on the
carrier name to add it to the "Selected SmartWay Carriers" box. You may also use the Add Selected
Carriers to List Below button to add selected carriers to the Selected SmartWay Carriers box.
5.	Once you have successfully identified your carriers, proceed to the Manual Input Non-SmartWay
Carriers tab.
COMPLETING THE MANUAL INPUT NON-SMARTWAY CARRIERS SCREEN
1,	Enter the total number of Non-SmartWay Carriers for the company into the data field.
2.	Using your mouse, double-click on each non-SmartWay carrier type used by this company; double
clicking will add it to the "Selected Non SmartWay Carriers" list. You may also use the Add Selected
Carrier Types to List Below button to add selected carrier types to the Selected Non-SmartWay
Carriers box.
a.	For truck and multimodal carriers, select the appropriate SmartWay Category (e.g., TL/Dry Van,
Refrigerated, Dray, etc.). If you are not sure about a specific truck carrier's category, select the
"General" option.
b.	Also distinguish your air carriers by "long haul" (cross-country/overseas flights, > -2,300 miles)
and "short haul" (generally regional/domestic flights, < -2,300 miles).
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3. Once the required data has been entered on the Manual Input Non-SmartWay Carriers screen, you
can proceed to the Activity Data screen.
COMPLETING THE CARRIER SUBDIVISION SCREEN
1. If you have selected the Way 4 participation Level, you must complete this screen, or the Mile &
Weight Improvements screen, or the Modal Shift Impacts screen. You will not see these screens if
you have selected Way 2 or Way 3. If you select Way 4 but do not enter data for Mile & Weight
Improvements of Modal Shifts then you must differentiate activity for at least one of your carriers,
rather than just specifying descriptors. For example - you can specify both inbound and outbound
activity for a particular carrier.
2.	Look near the top of the screen for the complete list of the carrier names you have specified up to
this point, along with carrier information such as mode, SmartWay Category, and
SCAC/MCN/DOT/NSC.
3.	To provide additional information for a given carrier, highlight the carrier name in the upper list box
and you will see the carrier name appear in the lower list box. There will be only one row per carrier if
you have not added carrier subdivision yet.
4.	Choose a row for the carrier in the bottom list box to enable the fields that allow you to add
information to differentiate your carriers, such as inbound/outbound, domestic/international, etc.
5.	Type in or select from the drop-down menus the additional information for the selected carrier row.
When you are through editing, select the "Apply Descriptive Data to Selected Carrier" button to
save your changes. You will see your changes added to the bottom list box for the selected carrier
row.
6.	If you wish to differentiate the activity associated with a single carrier (e.g., splitting inbound and
outbound freight movements), highlight the carrier name in the upper list box select the Add Row for
Selected Carrier button immediately below the box.
7.	You will now see an additional row appear in the lower list box with the same carrier name. Enter the
different information for each row as described above and repeat the process as many times as
necessary.
8.	Rows in the lower text box may be deleted by highlighting them and selecting the Delete Selected
Carrier's Optional Information button at the bottom right. Once finalized, your complete list of
differentiated carrier rows will be brought forward to the Activity Data screen.
g. Proceed to the Activity Data screen to input the mile, ton-mile and/or payload data associated with
each of your carriers using the Tool itself. If you subdivided a given carrier, you must provide
separate activity data inputs for each carrier row.
NOTE: Before proceeding to the Activity Data screen, check your carrier listing to be sure the list includes all
carriers that your company uses, and that the names, SCACs, MCNs, NSC, and DOT numbers match exactly.
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You may review your carrier list using the Input Summary Report available under the View Summary Data
Reports button on the Home screen.
COMPLETING THE ACTIVITY DATA SCREEN
1.	Select the Describe Data Source button.
2.	Enter a detailed description of the sources used for your Activity data information, including a
description of how you calculated miles, ton-miles, payload, density and load percent (if applicable)
in the space provided.
3.	Select the CLOSE button.
4.	Next, identify any carrier fleets operated directly by the shipper company by checking the Shipper
Carrier box. This allows the Tool to exclude these carriers from the Scope 3 emissions calculations
provided in the Public Disclosure Report (included in the View Summary Data Reports menu). See
the Shipper Tool Technical Documentation for further details on the Public Disclosure Reports
5.	For each carrier listed, specify your data availability:
a.	I know both Ton-miles and Total Miles
b.	I know Ton-miles and Average Payload
c.	I know Total Miles and Average Payload
d.	I know Total Miles only (excluding LTL, and Package Truck Carriers due to the difficulty in
adjusting mileage for partial loads)
6.	For carriers where you have selected Data Availability Option a, enter total ton-miles along with
total miles.
7.	For carriers where you have selected Data Availability Option b, enter total ton-miles along with
your estimated average payload (per truck, barge or railcar, as appropriate) in short tons (2,000 lbs).
8.	For carriers where you have selected Data Availability Option c, enter total miles along with your
estimated average payload (per truck, barge or railcar, as appropriate) in short tons (2,000 lbs).
9.	For carriers where you have selected Data Availability Option d, enter total miles.
10.	Select the VALIDATE SCREEN button and correct any errors.
a.	If you have errors, they will appear either as red boxes for significant errors, or as yellow warning
boxes for less-extreme errors. Red errors will prevent you from submitting your Tool.
b.	If your values are out of range, but you are confident that they are correct, double click the box
with the error. A comment box will then appear. Enter an explanation for the value and click OK.
The box will become yellow, and you will be able to proceed to submit your Tool.
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ll. Select the NEXT button to proceed to the % SmartWay screen.
COMPLETING THE % SMARTWAY SCREEN
1.	Select the weighting factor you wish the Tool to use to determine your % SmartWay Value,
corresponding to the percent of your activity attributable to SmartWay carriers. Comparing your %
SmartWay Value over time provides a useful way of gauging your company's progress in reducing
its overall emissions or footprint. Select the radio button for Ton-Miles or Total Miles to choose the
weighting factor for all your shipper companies.
2.	If you selected the Way 2 participation level, you must specify an alternative weighting factor to
apply across the different carriers, such as the percentage of total payments, the percentage of total
weight or total packages, or an alternative "custom" factor for calculating your % SmartWay Value,
by selecting one of the options in the drop-down menu. Enter the type of data used for your
percentage allocation estimates using the drop-down menu at the top of the screen, and then enter
the percent allocated to each carrier. Percentages must sum to 100. The resulting weighted average
% SmartWay Value is displayed at the bottom right of the screen. You must also document the
custom factor methodology in the text box presented at the lower left of the screen.
Note: If you are participating at the Way 2 level, you will not see the Ton-Mile or Total Mile columns
presented on the % SmartWay screen.
3.	If you have selected the Way 3 or Way 4 level, select the radio button for Ton-Miles or Total Miles to
choose the weighting factor for all your companies. The default value will be set to ton-miles.
4.	Once you have entered your % SmartWay selections you may return to the Home screen if you are
participating at the Way 2 or Way 3 levels. If you have defined multiple shipper companies, repeat
the data entry process described above for each company.
COMPLETING THE MILE & WEIGHT IMPROVEMENTS SCREEN
1.	If you are participating in SmartWay at the Way 4 level, select the Mile & Weight Improvements tab
at the top right of the screen. You must complete this screen, or the Carrier Subdivision screen, or
the Modal Shift Impacts screen, or any combination of these. You will not see these screens if you
have selected Way 2 or Way 3.
2.	To add an activity that your company instituted during the reporting year (counts toward Way 4
participation requirement), before last year (for your information only), or will institute
prospectively (in the coming year, for your information only), select an activity category from the
drop-down menu at the upper left, then choose a specific activity from the options provided, and
then select the time frame of the activity (retrospective or prospective). You may select from the
following activities:
a. Miles Removed from the System
¦ Distribution center relocation
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¦	Retail sales relocation
¦	Routing optimization
¦	Cube optimization
¦	Larger vehicles and/or trailers
¦	Other (specify)
b. Weight Removed from System
¦	Product weight reduction
¦	Package weight reduction
¦	Vehicle weight reduction
¦	Other (specify)
3.	For each strategy selected, provide an estimate of the percentage impact (in terms of miles or ton-
miles, as appropriate), for each mode of interest.
4.	Provide a text description for strategy selected, including the methods and assumptions used to
estimate the changes. Based on actual data from your current carriers, the Tool will calculate the
quantity of emissions changed for each pollutant.8
5.	Repeat the process for each strategy that your company has implemented or plans to implement.
6.	Use the Basic Quantification and Documentation of System Activities button on the upper right of
the screen to obtain additional information regarding how operational strategies should be quantified
and documented. If you have questions regarding calculations and/or documentation, contact your
SmartWay Partner Account Manager.
7.	Select NEXT to proceed to the Modal Shift screen.
COMPLETING THE MODAL SHIFT IMPACTS SCREEN
1.	The Shipper Tool allows users to calculate the emissions impacts of retrospective and prospective
modal shifts. You may estimate these impacts by making one or more modal shifts between air,
marine, truck, rail, barge, and multimodal operations, as well as logistics providers.
2.	On this screen you can specify the mode from which you wish to shift your freight, as well as the new
mode. Depending upon the modes and emission factor data sources you select, the tool can
automatically present the emission factors for each of these modes, in grams per mile or grams per
ton-mile, corresponding to the average across all carriers used by your company in that mode, or
8 The T00L assumes that totat mass emissions are changed in direct proportion with the specified miteage or weight reductions. This assumption shoutd be
accurate for weight reduction strategies when applied to truck-Load shipments that weigh out. Additional uncertainty arises though in the case of LTL and
package delivery shipments, where such reductions may not result in one-to-one impact in miles hauled. Uncertainties are even greater for non-truck
modes, where the shipper commonly does not control the entire content of the container.
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corresponding to an industry modal average value. Total impact estimates may be adjusted by
applying different filters, e.g., just considering carriers used for inbound/international freight
(applicable for "Shipper Carrier Average" Emission Factor Source selections only). If you are
investigating moving freight to a mode not currently utilized by your company, industry modal
averages or user-specified values must be used. (See the Shipper Tool Technical Documentation for
additional information.) If you have carrier-specific gram per mile or gram per ton-mile performance
information that you wish to use in your calculations, you may enter this data in the white cells in the
"Before" or "After" columns on the right by selecting the "User Input" source option.
3.	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.
The steps for estimating Modal Shift impacts are described below.
NOTE: The Modal Shift Impacts screen is intended for scoping purposes and scenario evaluations only.
Shippers should develop carrier emissions inventories (and associated average emissions factors for
their company) by inputting activity data in the Activity Data screen. The resulting estimates of
emissions impacts displayed on this screen are for partner information only and are not used in
determining performance estimates. Only shifts that were implemented during the reporting year
will count toward the Way 4 participation requirement.
4.	If you have selected the Way 4 level, you must complete this screen, or the Carrier Subdivision
screen, or the Mile & Weight Improvements screen. You will not see this screen if you have selected
Way 2 or Way 3.
5.	On the Modal Shift Impacts screen specify the mode from which you have shifted freight or are
considering shifting freight ("From Mode"), as well as the target mode ("To Mode"). You have several
options for selecting an emissions factor for both the "From Mode" and "To Mode":
a.	Shipper's Carrier Average - This option will utilize the weighted average gram per mile or grams
per ton-mile metric from your carriers, for a specified mode (e.g., rail or truck), based on data you
provided in the Activity Data screen. If this option is selected for the "From" mode, filters can also
be applied to evaluate a subset of your current operations (e.g., inbound/domestic only). Note
that in most cases performance metrics represent midpoints for the given ranking category
range, rather than the precise value for a given carrier, as described above. If you have data
specific to your carriers, select the User Input option (see below). Note that the Shipper Carrier
Average option is not available for the commercial marine mode at this time.
b.	Modal Average - This option will use an industry-average performance metric for the mode in
question. Metric options include g/ton-mile and g/mile (or g/railcar-mile / g/barge-mile, as
appropriate) and are currently available for truck, rail, multimodal, logistics, air (short and long-
haul), and barge modes. The data sources and assumptions used to derive these values are
discussed in the Shipper Tool Technical Documentation. You may want to use this option to
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investigate shifting freight to a transportation mode that you have not used previously, although
we recommend that you use a more representative emission factor to analyze scenarios
whenever possible.
Note: Modal averages for the multimodal selection are specific to intermodal truck/rail moves. Use
the User Input option to provide performance metrics for other multimodal movements (e.g.
truck/barge).
c. User Input - This option allows you to input performance metric estimates for any carrier mode,
using alternative data sources. This option may prove particularly useful in those cases when you
have access to carrier-specific performance estimates. You are encouraged to use this option
when you have access to an emissions factor that reflects the full emissions impact (e.g.,
including likely drayage emissions) and/or that best represents the fleet equipment and
operational type that you are most likely to work with for your unique freight movement.
Note: The emission factors that automatically appear in 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 the operation of intermodal facilities.
6.	Indicate whether the shift occurred during the reporting year (counts toward Way 4 participation
requirement), before last year (for your information only), or is prospective (will be implemented in
the coming year, for your information only) in the drop-down menu provided. Note that the emission
calculations are the same for retrospective and prospective shifts, assuming the mode-specific
emission factors for the prior year are equal those for the current data year.
7.	Select the basis for performing the emission impact calculations, using either miles or ton-miles as
inputs, by specifying the Units in the drop-down menu under the Amounts column. Mile inputs for
truck, logistics, and multimodal modes correspond to truckload miles, barge-miles for barge modes,
and railcar-miles for rail modes.
8.	Once the Units are selected for the calculation, the screen will present the "Before" and "After"
efficiency factors for the "From" and "To" modes for each of the four pollutants, in the table on the
right. If you specified the User Input option, enter the required efficiency factors in the empty white
cells.
9.	Next, specify the actual amount of freight to be shifted for both the "From" and "To" modes, in terms
of miles or ton-miles, as appropriate. (Note that these two values can be different, since the point to
point distance travelled is likely to be different across modes.) The corresponding emissions impact
is then presented in tons per year for each pollutant. Emissions increases are shown as negative
values. Note the mileage estimates under "Amounts" for railcar, barge and air freight need to be
adjusted to reflect truckload-equivalents (on a volume basis) for accurate comparison with the truck
mode. Refer to the Shipper Tool Technical Documentation for details.
10.	If you selected the User Input option, provide a description of the data sources that you used to
develop these estimates by selecting the User Input Data Source button.
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ll. Select the HOME button to return to the Home screen.
REVIEWING YOUR RESULTS
1.	Now that you have identified your carriers and provided the required activity information, you must
examine your company's emission performance and mass emission estimates by selecting the
Review Your Results button under Step 7 on the Home screen. Carefully review the three reports
shown on the Emissions Summary, Carrier Performance, and Truck Carrier Performance
(SmartWay Category Detail) screens. These reports provide high level emissions and performance
summaries as well as detailed breakouts by mode and for specific carriers, as well as by other
category groupings. Review the results carefully for any anomalous results that may indicate
possible carrier and/or activity data entry errors.
2.	You will not be allowed to proceed through the Tool until you view each of these three screens.
Once complete you can return to the Home screen.
SUBMITTING YOUR TOOL TO EPA
1.	From the Home screen, select the Generate a (.xml) data file button which will open a new screen.
2.	Select the checkbox to indicate you understand the terms of the SmartWay Partnership Agreement
once again.
3.	Specify if you are an existing SmartWay Partner. Select No if you did not have an approved tool
submittal the prior year.
4.	If you select Yes, you may enter your SmartWay ID number.
5.	If you select No, specify how you initially heard about SmartWay using the drop-down menu.
6.	When ready, select NEXT to create a file with the following naming convention:
Shipper_PartnerName_Year_Vo.xml,9 where PartnerName is your partner name as entered in Step 1
on the Home screen, and Year indicates the year for which you are submitting data.
For example, "Shipper_ABCompany_2020_V0.xml"
NOTE: DO NOT CHANGE THE NAME OF THE XML OR XLSM FILES.
7.	Next specify the folder where you would like to save the .xml file, and a screen will appear.
8.	Follow these instructions for submitting your .xml and .xlsm files to SmartWay. Note that the .xml file
is approximately 10 times smaller than the .xlsm file.
9 If you create the XML fite multiple times the file name will increment each time (e.g., Shipper_ABCompany_2020_Vl.XML for the second iteration, etc.
SmartWay User Guide | Step 2 32
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g. Upon selecting NEXT, a screen will appear that allows you to close the 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.
Please visit https://www.epa.aov/smartwav/smartwav-shipper-partner-tools-and-resources for additional
resources, including printable data collection worksheets, and technical documentation, for more in depth
exploration of each section of the Shipper Tool.
SmartWay User Guide | Step 2 33
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OMENTAL PROTECTION AGENCY"'
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Step 3
Additional SmartWay Resources
After completing Steps l - 7 on the Home screen, EPA strongly encourages you to explore the optional
sections of the Tool available at the bottom of the screen before completing your submission. Four options
are provided in this section including the following.
View Summary Data Reports - this button gives you access to 14 reports to help you understand your data
and use it to make better performance decisions, including the new Public Disclosure Report containing
Scope 3 emissions.
Feedback and Recruiting Assistance - On the Suggestions screen, you may respond to some or all of these
questions in order to provide feedback regarding the various aspects of the SmartWay program. SmartWay
values your feedback. Any information you provide will be used to improve the program, and will be kept
confidential. Use the scroll bar to the right to display additional questions. On the Recruiting Targets screen,
you may select up to 10 of your largest non-SmartWay carriers to help target companies for potential
recruitment into the program.
Year-to-Year Comparison - The Year-to-Year Comparison Report allows the user to compare the
company characteristics and activity values, as well as performance metrics for the current year with those
of the prior year. This report is particularly helpful in identifying any changes that may have occurred since
your last reporting period, determining trends in activity and performance over multiple years, and
performing general quality assurance of the inputs used for your current Tool.
Visit the Partner Portal - You may select the Visit the SmartWay Partner Portal button which will open a
web browser to the login page of the EPA SmartWay Portal. The portal provides access to a range of useful
documents and functions including the partner registration document, the SmartWay Partner Logo, a sample
press release, an online version of the feedback survey, and Awards information if applicable.
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Appendix A: Worksheets For Data Collection
WORKSHEET #1: 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

SmartWay User Guide | Appendix A A-l
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SUSTAlNABILITY 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

SmartWay User Guide | Appendix A A-2
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WORKSHEET #2: SHIPPER COMPANY CHARACTERIZATION
Complete this worksheet for each shipper company you will be submitting in the Shipper Tool
#2: Define your Shipper Companies
Company Name (Partner Name followed by specific company name)
NAICS:	
Company Name (Partner Name followed by specific company name)
NAICS:	
Company Name (Partner Name followed by specific company name)
NAICS:	
Company Name (Partner Name followed by specific company name)
NAICS:	
SmartWay User Guide | Appendix A A-3
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WORKSHEET #3A: SELECT CARRIER(S) (PAGE l OF 2)
Complete the following for each shipper company you will be submitting in the Shipper Tool. Make multiple
copies of the table below to enter all carriers used by the company if needed.
#3A: Identify your Shipper Carriers
Shipper Company Name	
Total number of Non-SmartWay carriers used during current reporting year	
Non-SmartWay Carrier modes (circle all that apply)
Truck	Logistics	Multimodal	Barge	Air
SmartWay User Guide | Appendix A A-4
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WORKSHEET #3A: SELECT CARRIER(S) (PAGE 2 OF 2)
List SmartWay Carriers
Carrier
Name*

SmartWay
Category"


DOT
#AA
Company
Identified
A

Inbound/
Outbound
/
lnternalAA
Domestic/
International
A
Internal
Shipper
Segments*
A


























































































































































* ExactLy as it appears in SmartWay Carrier Data file
A Truck, RaiL, Logistics, Barge, MuLtimodaL
" Truck categories incLude: Auto Carrier, Dray, Expedited, FLatbed, Heavy/BuLk, LTL Dry Van, Mixed,
Moving, Package, Refrigerated, Specialized, Tanker, TL Dry Van
Note - MuLtimodaL SmartWay Categories incLude: Surface, Surface-Air; Surface-Marine; Surface-Air-
Marine
AA OptionaL fieLds
SmartWay User Guide | Appendix A A-5
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WORKSHEET #3B: ACTIVITY DATA (PAGE l OF 2)
Complete the following for each shipper company you will be submitting in the Shipper Tool. Make multiple
copies of the tables if needed to enter all carriers used by the company.
#3B: Enter Activity Data
Shipper Company Name	
Provide Data Source Description:
SmartWay User Guide | Appendix A A-6
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WORKSHEET #3B: ENTER ACTIVITY DATA (PAGE 2 OF 2)
Data Availability Option, Miles, Ton-Miles, and Average Payload
Carrier Name
Shipper
Carrier
(Y/N)
Data
Availability
Option (a d)*
Ton
milesAA
Miles
Average
Payload**








































































Options include:
a - Ton-miles and Total miles,
b - Ton-miles and Average Payload,
c - Total miles and Average Payload, and
d - Total miles only
** For Options b and c only
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WORKSHEET #4: ENTER % SMARTWAY ALLOCATION DATA
Make multiple copies of this worksheet as needed to enter all carriers used by the company in the reporting
year.
Shipper Company Name	
For each company, select the basis for allocating your % SmartWay Value across your carriers (circle one).
Ton-Miles	Miles	Custom Metric (% Spent, % Weight, % Packages, % Custom)
Describe Custom Metric (if applicable):	
If using a Custom Metric, enter % allocation factors for each carrier, for % Spent, % Weight, %
Packages, or % Custom allocations. Totals must sum to 100.
Carrier Name
% Allocation




























SmartWay User Guide | Appendix A A-8
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WORKSHEET #5: ENTER MILE & WEIGHT IMPROVEMENTS DATA
Make multiple copies of this worksheet as needed to enter all shipper strategies used by the company.
Shipper Company Name	
Provide Name of Shipper Strategy	
Select Activity Category (mark one):
•	Miles Removed from the System
o	Distribution center relocation
o	RetaiLsaLes relocation
o	Routing optimization
o	Cube optimization
o	Larger vehicLes and/or traiLers
o	Other (must specify)
•	Weight Removed from System
o Product weight reduction
o Package weight reduction
o VehicLe weight reduction
o Other (must specify)
Specify the Activity Time Frame (mark one):
•	This reporting year (Counts toward Way 4 requirement)
•	Before last year (For your information only)
•	Prospective (For your information only)
Specify Percent Improvement:
Mode
% Improvement
Air

Truck

Rail

Logistics

Multimodal

Barge

Describe Data Source/Methodology for % Improvement estimate(s):,
SmartWay User Guide | Appendix A A-g
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WORKSHEET #6: ENTER MODAL SHIFT IMPACTS DATA
Make multiple copies of this worksheet as needed to enter all modal shifts used by the company.
Shipper Company Name	
Select "From" Mode (circle one):
Truck Rail Logistics Multimodal Air Barge
Select "To" Mode (circle one):
Truck Rail Logistics Multimodal Air (short or long-haul) Barge Marine - OGV
Select Emission Factor Source - "From" Mode (circle one):
Shipper Carrier's Average Modal (industry) Average	User Input
Select Emission Factor Source - "To" Mode (circle one):
Shipper Carrier's Average Modal (industry) Average	User Input
Select Shift Time Frame (circle one):
This reporting year (Counts toward Way 4 requirement)
Before last year (For your information only)
Prospective (For your information only)
Select Activity Units (circle one):
Miles	Ton-Miles
Specify Activity Amount - "From" Mode:	
Specify Activity Amount - "To" Mode: 	
SmartWay User Guide | Appendix A A-10
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For more information:
U. S. Environmental Protection Agency
Office of Transportation and Air Quality
1200 Pennsylvania Ave. NW
Washington, DC 20460
(734)214-4333
www.epa.aov/transportation-air-pollution-and-
climate-chanae
U. S. Environmental Protection Agency
National Vehicle and Fuel Emissions Laboratory
2565 Plymouth Rd.
Ann Arbor, Ml 48105
(734) 214-4200
www.epa.gov/aboutepa/about-national-
vehicle-and-fuel-emissions-laboratory-nvfel
EPA -420 -B -21- 042 | October 20211 SmartWay Transport Partnership | epa.gov/smartway
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