A FPA,sa, Protection ^\xSmartWay
M %Agency U.S. Environmental Protection agency *
2024 SmartWay
Online Shipper Tool:
Technical Documentation
U.S. Version 1.0
(Data Year 2023)
EPA-420-B-24-048 ! November 2024 I SmartWay Transport Partnership I epa.gov/smartway
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^CPA EnvlronmemaI Protection ^^\XSmartWay
* mAgency U.S. Environmental Protection Agency^
2024 SmartWay
Online Shipper Tool:
Technical Documentation
U.S. Version 1.0
(Data Year 2023)
Transportation and Climate Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
EPA-420-B-24-048
November 2024
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Table of Contents
OVERVIEW l
1.0 TOOL INPUTS AND CALCULATIONS 2
Emission Inventory and Performance Metric Calculations 2
Ton-Mile Calculation 4
Carrier Emissions Performance Data 4
Truck Carrier Performance 5
Logistics Carrier Performance n
Air and Barge Carrier Performance 12
Rail Carrier Performance 12
% SmartWay Value 22
Public Disclosure Reports 23
2.0 CALCULATOR TOOLS 25
Mile and Weight Improvements 25
Modal Shift Impacts 26
Background On Illustrative U.S. Modal Average Factors 29
Outside Sources of Ocean-Going Marine Emission Factors 30
3.0 SHIPPER PAYLOADS AND DATA VALIDATION 34
Payload Validation 34
Ton-Mile Validation 35
APPENDIX A - BACKGROUND ON INDUSTRY AVERAGE U.S. RAIL FACTORS A-l
APPENDIX B - CALCULATION OF TRUCK-EQUIVALENT MILEAGE FACTORS FOR RAIL B-l
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List of Tables
Table 1. Emissions Calculation Basis by SmartWay Category 3
Table 2. Emission Factor Ranges for TL Dry Van C02 g/mile (2023 Data) 9
Table 3. Non-SmartWay Truck Carrier Performance Metrics (Data Year 2023) 10
Table 4. Non-SmartWay Logistics Carrier Performance Metrics (Data Year 2023) 12
Table 5. Performance Metrics for Non-SmartWay Air and Barge Carriers 12
Table 6. Rail Carrier Performance Metric Calculation Inputs & Results (2017 R-i Data) 13
Table 7. Rail Carrier Average Payload 13
Table 8. Railcar Volume Assumptions and Sources 14
Table 9. Rail Carrier Average Volume Determination 17
Table 10. BC/PM Ratios for Logistics Business Units 22
Table 11. U.S. Freight Truck Industry Average Factors Used in Modal Shift 29
Table 12. Underlying Data for Freight Truck Industry Average Factors (2019) 29
Table 13. Modal Average Barge Emission Factors 30
Table 14. Modal Average Performance Metric Estimates for Air Carriers 30
Table 15. BSR Marine Emission Factors (g C02/short ton-mile) 31
Table 16. IMO Marine Emission Factors 32
Table 17. Shipper Payload Validation Ranges 34
Table A-i. U.S. Freight Rail Industry Average Factors (2017) A-i
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Overview
The SmartWay Shipper Tool is intended to help shippers estimate and assess their carbon, PM, and NOx
emissions associated with goods movement in the U.S. freight trucking, rail, air and barge sectors.1 Shippers
can track their freight-related emissions performance from year-to-year using the Tool and assess a range of
strategies to improve the emissions performance of their freight operations, including selection of low-
emissions carriers and implementation of operational strategies such as (but not limited to) packaging
improvements, load optimization and logistical improvements.
The SmartWay truck, barge, air, Class II and III rail, and logistics carrier emissions performance data that EPA
has included in the Tool, along with industry average Class I rail C02 data, will allow shippers to generate
accurate emissions inventories. The data will also help shippers optimize their emissions performance by
allowing them to better estimate the emissions impact of individual carriers, modal shifts, and
mileage/weight reduction strategies.
1 Future versions of the tool may help shippers evaluate the emissions performance associated with ocean going vessels.
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Tool Inputs and Calculations
After shippers enter their company and contact information, they provide basic information about each
company they operate, including the name and NAICS code for each of these companies. For these
individual companies to show up on the SmartWay Partner list on the EPA website, shippers should submit
separate Shipper Tools, one for each company.
For each company, shippers need to indicate their participation level. If they have annual mileage-related
activity data by carrier (miles or ton-miles), they should select Way 3 or Way 4, and proceed to input activity
data for each carrier. Otherwise, they must select the Way 2 option, which only requires them to report the
portion of goods they move with SmartWay carrier partners based on money spent, weight shipped,
packages shipped, or another custom metric.
If shippers select the Way 2 option, they will not be eligible for a SmartWay Excellence Award, nor will they
be able to calculate an emissions inventory or develop emissions performance metrics (e.g. g/mile or g/ton-
mile) for their freight operations.2 All shippers - regardless of participation level - will be able to see the
SmartWay Category-level emissions performance data for their truck and logistics carriers as well as
available industry average Class I rail emissions factors. Emissions performance data for barge, air and Class
II and III carriers are reported on a carrier-specific basis.
After identifying and selecting their SmartWay and non-SmartWay carriers, Way 4 shippers can then identify
each carrier that they use for each company and the service that the carrier provides (e.g., Inbound or
Outbound hauls, International and/or Domestic service, etc.). These optional parameters serve as "tags"
which allows shippers to filter their emission data as desired using the screen tools discussed below.
EMISSION INVENTORY AND PERFORMANCE METRIC CALCULATIONS
If shippers choose the Way 3 or 4 option, the Tool will calculate their total mass emissions (i.e., an emissions
inventory) based on the mileage-related activity data entered for each carrier, as well as various emission
performance metrics (e.g., grams/mile and grams/ton-mile - see below).
Carrier-specific emissions are first calculated either on a ton-mile basis (as ton miles x grams per ton-mile), or
on a miles basis (miles x grams per mile), depending on the SmartWay Category as shown in Table 1.3
2 Shipper partners are encouraged to select the Way 3 or 4 reporting option for all their companies whenever possible. When a shipper has multiple
companies the participation level chosen for the % SmartWay Value calculation must be the same for all companies in order for the Tool to calculate a
Partner level % SmartWay Value.
3 Note that the Tool does not need shippers to enter a payload or ton-mile estimate for SmartWay Categories whose emissions are based on Miles, as the
payload value will not affect the overall emissions calculation. However, the calculated gram per ton-mile emission factors and average payload estimates
are affected by the assigned payload.
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Table l. Emissions Calculation Basis by SmartWay Category
SmartWay Category
Activity Basis
Dtm
Dm
Refrigerated
Ton-miles
1
0
Mixed
Ton-miles
1
0
TL/Dry Van
Ton-miles
1
0
LTL/Package
Ton-miles
1
0
Flatbed
Miles
0
1
Moving
Miles
0
1
Dray
Miles
0
1
Non-SW Truck General
Ton-Miles
1
0
Specialized
Miles
0
1
Expedited
Miles
0
1
Auto Carrier
Miles
0
1
Tanker
Miles
0
1
Heavy/Bulk
Miles
0
1
Logistics Carriers
Ton-Miles
1
0
The Shipper partner's mass emissions are calculated by summing the individual carrier emissions. Then, fleet
average emission factors are calculated by dividing mass emissions by total ton-miles and total miles to
obtain grams per ton-mile and grams per mile, respectively. The fleet average payload is calculated by
dividing total ton-miles by total miles.
Overall, carrier emissions are calculated using the following equations, where Dtm and Dm are dummy
variables with values of either o or 1, as shown in Table l above.
Ec = Dtm * TonMlles * gtm + Dm * Miles * gm
Total emissions:
Etot = Ec
C
Emission factors and average payload (APL):
Etot
YjCTonMilesc
_ Etot
®m £cMiJesc
Y.rTonMilesr
APL = —
YjCMilesc
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The emissions inventory for each carrier/mode combination displayed on the Emissions Summary, Carrier
Performance and SmartWay Category Details screens is calculated using the equations shown above. To
calculate composite emissions and associated performance metrics on the Carrier Performance screens (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.
TON-MILE CALCULATION
Correctly calculating Ton-Miles is critically important for the accurate determination of your carbon footprint.
You can calculate your company's ton-miles as follows.
Determine the ton-miles hauled per year attributable to each carrier. A ton-mile is one ton moving one mile.
DO NOT ESTIMATE TON-MILES BY SIMPLY MULTIPLYING TOTAL MILES BY TOTAL TONS - this calculation
effectively assumes your entire tonnage is transported on EACH AND EVERY shipment and will clearly
overstate your ton-miles.
Many companies track their ton-miles and can report them directly without further calculation. For example,
shipper company systems are often set up to associate a payload with the mileage traveled on each trip by
carrier and are then summed at the end of the year. If such information is not available, there are two ways to
calculate ton-miles for a given carrier:
1. Companies can determine their average payload per carrier and then multiply by the total miles per
carrier for the reporting year -
Ton-miles per carrier = annual average payload per carrier x total annual miles per carrier
or;
2. Sum the annual mileage for each carrier, multiply by the sum of the total annual tonnage hauled for
each carrier, and divide the product by the total number of trips per carrier -
Ton-miles per carrier = (total annual miles per carrier x total annual tons per carrier)
total annual # 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, rail, logistics, air and barge freight transport providers.
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SmartWay may incorporate emission factors from ocean-going vessel transport providers in the future.
TRUCK CARRIER PERFORMANCE
Truck carrier performance data utilized by the current Shipper Tool is based on 2024 Truck Partner Tool
submittals for activity in 2023. Performance data includes g/mile and g/ton-mile for each truck carrier. Note
the g/mile and g/ton-mile values represent midpoints for each performance "bin" for the appropriate
SmartWay Category, rather than exact performance levels for a given carrier. Truck SmartWay Categories
include:
TL Dry Van
LTL Dry Van
Refrigerated
Flatbed
Tanker
Dray
Package
Auto Carrier
Expedited
Heavy/Bulk
Moving
Specialized
Mixed
Carrier fleets are placed into a SmartWay Category and ranked with other SmartWay partners' fleets in that
same category based on the following rules:
1. If 75% or more of fleet's Operation is Drayage the fleet is categorized as a Drayage fleet, regardless of
what is specified for fleet's Body Type.
Otherwise
1. If 75% or more of the fleet's Body Type is Moving, Heavy/Bulk, Refrigerated, Tanker, Auto Carrier, or
Flatbed then the fleet is categorized as that matching body type.
2. If the sum of the fleet's Utility Body Type and Special Hauler Body Type is 75% or more, then the fleet
is categorized as Specialized/Utility.
3. 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 is categorized as TL/Dry Van.
b. If 75% or more of the fleet's Operation is Less than Truckload then the fleet is categorized as
LTL/Dry Van.
c. If 75% or more of the fleet's Operation is Package then the fleet is categorized as Package.
d. If 75% or more of the fleet's Operation is Expedited then the fleet is categorized as Expedited.
4. Otherwise, if none of the above conditions exist the fleet is categorized as a Mixed fleet.
The following provides an overview of the process used to estimate the carrier-specific performance ranges.
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Truck Performance Categories
In the 2024 SmartWay Truck Tool, data is collected at the individual company fleet level. Fleets are
characterized by a) business type: for-hire or private, b) operational type: truckload/expedited, less than
truckload, dray, expedited, or package delivery, and c) equipment type: dry van, refrigerated van, flatbed,
tanker, chassis (container), heavy/bulk, auto carrier, moving, or specialized (e.g., hopper, livestock, others.)
The possible categories are shown below.
For Hire
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
TL
LTL
Dray
Expedited
Package
Private
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
TL
LTL
Dray
Expedited
Package
Note that while Specialized fleets have disparate operations/equipment types and thus do not compare
well, they are also unlikely to compete with one another, so it was deemed acceptable to aggregate these
disparate fleets into one category.
For-hire and private fleets are combined in the SmartWay Categories. There are relatively few private fleets
compared to for-hire fleets. Because owners of private fleets generally hire their own fleets exclusively, it
was determined that grouping for-hire and private fleets together would not be detrimental to for-hire fleets,
and the simplicity of one for-hire and private category outweighed the benefits of listing fleets separately.
Grouping for-hire and private separately would have doubled the number of SmartWay Categories.
Therefore, fleets can thus be categorized as shown below.
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For Hire and Private
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
TL
LTL
Dray
Expedited
Package
Individual fleets were then placed into SmartWay Categories. The following shows the relative number of
fleets for the various category intersections, with darker shadings indicating more fleets.
Dry Van
Reefer
Flatbed
Tanker
Chassis
Heavy/Bulk
Auto
Carrier
Moving
Specialized
Mixed
TL
LTL
-
-
-
-
Dray
-
-
-
-
-
Expedited
-
-
-
-
-
-
-
Package
-
-
-
-
-
-
-
Mixed
-
-
-
-
-
SmartWay then considered combining categories with similar characteristics for simplification purposes. One
prerequisite was that there needed to be a minimum number of fleets in each category. SmartWay
determined that a category needed a minimum of 25 fleets to be created. It was also determined that dry
van and chassis (i.e., intermodal container) groups functioned primarily as dry van transport, so these
categories were combined. While most refrigerated carriers were truckload, a few less than truckload
refrigerated fleets exist, so these categories were combined. Although no expedited or package refrigerated
fleets were identified, these categories were also combined into one overall refrigerated category so that no
operation and equipment type intersections would be left undefined. A similar situation was identified with
flatbed, tanker, heavy/bulk, auto carrier, moving, and specialized fleets. All dray fleets were collapsed into
one category. Any fleet that had mixed operation and/or mixed equipment was placed into a single mixed
category. Finally, logistics fleets were also included and retained as unique categories.
The final performance categories for 2023 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 or logistics. 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
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equipment and operation type in these cases. All other equipment/operation type percentage distributions
are assigned to the Mixed category.
Figure 1. SmartWay Carrier Categories and Data Specificity 2023 Data 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
in any category
Rail
Single Modal Average for All Rail
(No company differentiation allowed per Association of American Railroads)
Barge
Company Specific Data
Air
Company Specific Data
Logistics
10 Performance Levels
Marine
To be determined
It is possible that SmartWay will expand these categories in the future based on in-use experience or as a
result of further data analysis, and/or requests from industry.
Fleets within a SmartWay Category have been ranked from lowest emission factor (best) to highest emission
factor (worst) for each of the following metrics: C02 g/mile, C02 g/ton-mile, NOx g/mile, NOx g/ton-mile.
PM10 g/mile and PM10 g/ton-mile. When SmartWay Categories are established, fleets within a category are
separated into ranges (or bins) such that an approximately equal number of fleets are in each bin. Each bin
thus represents a group of emission factors. The bins and their associated "cutpoints" (i.e., transition points
from one bin to the next) are displayed as numbers with significant digits appropriate to the emission factors
in that bin. The midpoint of the bin is used as the emission factor for all fleets in that range.
It would be simpler and more straightforward to use fleet-specific emission factors. However, the trucking
industry expressed concern that revealing exact performance data could be used to back-calculate mile per
gallon numbers, which is considered confidential information. The methodology described above prevents a
determination of an exact mpg figure, while at the same time attributing an emission factor much more
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precisely than a modal default number. Given the large number of trucking fleets, and thus the opportunity
for fleets to be very close to each other in performance, SmartWay believes it is acceptable and appropriate
to break truck fleets into performance bins for each SmartWay Category. Five bins are used to characterize
SmartWay Truck Carriers, while 10 bins are used for non-rail logistics carriers. Logistics-Rail partners were
removed from the binning process for other logistics carriers due to the much lower C02 per ton-mile levels
for the rail mode. Given the small sample size (21), the performance metrics for Logistics-Rail partners were
not binned but were set equal to the median value for these partners.
The table below illustrates the bins in the For Hire/Private Truckload/Expedited Dry Van SmartWay
Category, using 2023 Truck Partner data as an example.
Table 2. Emission Factor Bins for TL Dry Van CO2 g/mile (2023 Data)
Bin #
Fleets Per
Bin
Grams Per
Mile Min
Grams Per
Mile Max
Grams Per Mile
Midpoint
1
239
0
1,388
1,346
2
249
1,388
1,472
1,430
3
294
1,472
1,562
1,517
4
265
1,562
1,669
1,615
5
242
1,669
3,360
1,711
Similar tables have been developed for all performance SmartWay Categories. The midpoint of each
performance bin is the data that a shipper downloads into their SmartWay Shipper Tool to represent the
emission performance of a specific fleet that is in the associated range. Once the categories and bins have
been established, the fleets of any new companies joining SmartWay will fall into one of the predefined
categories/bins for that reporting year. SmartWay expects to update the category/bin structure periodically.
Performance estimates for non-SmartWay truck carriers were calculated based on the lowest performing
truck partners. Since no data exist to define non-SmartWay fleets, SmartWay believes the prudent approach
is to assign conservative emission factors to non-SmartWay companies. Also, this policy makes it likely that
any 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 bin range within each SmartWay Category and using the delta to calculate a non-
SmartWay carrier midpoint for each Category. For truck carriers, the midpoint for non-SmartWay carriers is
the midpoint for Bin 5 plus the standard bin delta. For example, if the Bin 5 midpoint was 10.5 and the range
delta was 1.0, then the non-SmartWay midpoint is calculated to be 11.5.4 Table 3 summarizes the 2023 data
year performance metrics for non-SmartWay Truck Carriers.
4 The performance metrics for the Non-SmartWay "General" Truck Category, which can be selected by shippers when a carrier's SmartWay Category is
unknown, is set equal to the performance metrics for the Non-SmartWay Mixed Truck Category within the tool.
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Table 3. Non-SmartWay Truck Carrier Performance Metrics (Data Year 2023)
Category
COzg/tmi
COz g/mi
NOx g/tmi
NOx g/mi
PM2.5
g/tmi
PM2.5 g/mi
Auto Carrier
131
2,290
0.320
6.000
0.00310
0.05180
Dray
112
1,983
0.636
12.000
0.01250
0.25400
Expedited
831
1,866
0.570
5100
0.00720
0.02450
Flatbed
96
2,031
0.355
7.800
0.00580
0.12400
Heavy/Bulk
106
2,479
0.345
9.500
0.00620
0.14230
LTL/Dry Van
265
1,714
0.595
4290
0.00280
0.01820
Mixed/General
125
1,966
0.340
5700
0.00330
0.05950
Moving
455
1,749
0.535
7.000
0.01150
0.25750
Package
1115
1,348
0.970
3.150
0.00800
0.00850
Refrigerated
109
2,057
0.275
5100
0.00200
0.03650
Specialized
152
2,158
0.475
6.200
0.00460
0.04320
Tanker
80
1,902
0.206
4.730
0.00220
0.04900
TL/Dry Van
108
1,795
0.286
4.510
0.00140
0.01920
As discussed in the Online Shipper Tool User Guide, depending upon the type of data available for a given
carrier, the user may input ton-miles or miles, and rely on carrier data to back-calculate the other value. For
example, providing ton-miles and average payload allows the Tool to estimate total miles, by dividing the
former by the latter.
When the "Miles Only" data availability option is selected, the Shipper Tool uses a default payload saved in
the carrier file for the associated SmartWay Category. Default values were determined by first plotting the
range of reported payloads for all carriers within a SmartWay Category that were hired by Shipper Partners in
the 2019 calendar year. The default payload value for each Category was selected to minimize the sum of
the differences between each carrier's reported payload and the default value.5 This approach effectively
equalizes the areas above and below the 0% line in the plots - see Figure 2 for an example.
5 The default payload value for the General Truck category is set equal to the average payload reported by shippers across all truck SmartWay Categories.
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Figure 2. Reported Shipper PayLoad (2019) vs Default (15.24 tons)
Category = Flatbeds
Table 4 presents the default payloads used for "Miles Only" selections for each SmartWay Truck Category.
Table 4. Default "Miles Only" Shipper Tool Payload Values (Data Year 2019)
Category
Tons
Dray
12.97
Expedited
3.37
Specialized
20.72
LTL
12.68
Auto Carrier
16.44
Heavy Bulk
21.47
TL/DryVan
14.41
Moving
11.15
Flatbed
15.24
Mixed/General
11.81
Package
3.29
Tanker
22.91
Refrigerated
16.04
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LOGISTICS CARRIER PERFORMANCE
Logistic carriers have their own performance bins based on the carrier tool submittals for the most recent
available calendar year.
Non-SmartWay carrier performance for the SmartWay Categories is estimated in the same way as is done
for non-SmartWay Truck carriers. Table 5 summarizes the 2023 data year performance metrics for non-
SmartWay Logistics Carriers.
Table 5. Non-SmartWay Logistics Carrier Performance Metrics (Data Year 2023)
Category
C02g/tmi
COz g/mi
NOx g/tmi
NOx g/mi
PM2.5 g/tmi
PM2.5 g/mi
Logistics
140
2,512
0.441
705
0.0057
0.0795
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 Shipper Tool are carrier-specific. The gram per mile performance values for
barge carriers correspond to individual barge (nautical) miles travelled, rather than miles travelled by a string
of barges or the associated tug(s).
Non-SmartWay barge carrier gram per mile and gram per ton-mile performance is set to be 25% higher than
the worst performing SmartWay barge carrier.
Performance levels for non-SmartWay air freight are based on partner submittals, increasing the highest
values reported by partners to provide a reasonable margin of error. These values will be reassessed as
more air partner data are obtained. The performance metrics are shown in Table 6.
Table 6. Performance Metrics for Non-SmartWay Air and Barge Carriers
C02/tmi
C02/mi
NOx/tmi
NOx/mi
PM/tmi
PM/mi
Short-haul Air
4,300
100,000
40
900
2
35
Long-haul Air
1,500
50,000
20
650
1
25
Barge
18.58
23,295
0.64
672
0.02
22.24
RAIL CARRIER PERFORMANCE
For Class 1 railroads, rail carrier performance data are collected and displayed in the Shipper Tool at the
industry average level derived from Class 1 rail company data. Carrier performance data for Class 2 and 3
railroads are actual values calculated from their submitted tools. 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, to
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estimate gram per railcar-mile factors. Industry average values are currently assumed for all rail carriers in the
carrier 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 7 below.
Table 7. Rail Carrier Performance Metric Calculation Inputs & Results
(2017 R-i Data)
Rail Company
Gal/Yr (000)
Sch. 750 Line 4
Freight Ton
Mi/Yr('ooo)
Sch. 755 line
110
Railcar Mi/Yr
(000) Sch. 755
sum of lines 30,
46, 64 & 82
g
COz/railcar
mile
g
C02/short
ton mile
BNSF Railway
1,353,897
665,948,516
11,606,520
1,187
20.70
CSX T ransportation
426,721
208,127,221
4,713,411
922
20.87
Grand Trunk
116,986
62,708,628
1,486,205
801
18.99
Kansas City Southern
68,873
34,582,626
724,012
968
20.27
Norfolk Southern*
458,179
201,451,969
4,383,081
1,064
2315
Soo Line
65,299
35,244,079
745,550
892
18.86
Union Pacific
1,016,161
466,721,215
10,090,926
1,025
22.16
Total/Industry Average
3,506,116
1,674,784,254
33,749,705
980
20.72
* and combined subsidiaries
NOx and PM emission factors for rail carriers are also based on industry averages. Please see the
"Background on Illustrative (Modal Average) U.S. Truck and Rail Factors" in Appendix A for further details.
Average payloads per loaded railcar were calculated for all Class 1 carriers by dividing the value for annual
ton-miles hauled by an estimate for loaded railcar-miles, based on 2008 R-i data. The calculation uses the
Total Revenue and Non-Revenue Ton-Miles as listed in the R-i Report on line 114 of schedule 755 divided by
the Total loaded Railcar-Miles (the sum of lines 30 and 64 of schedule 755) along with the factor for fuel
gallons consumed for loaded freight that is created based on the percentage of loaded freight to total freight
multiplied by the total diesel fuel value listed on schedule 750 Line 4. The following table summarizes the
estimated average payload per railcar, by carrier.
Table 8. Rail Carrier Average Payload
Carrier
Avg Payload/Loaded
Railcar (tons)
BNSF Railway
108
CSX T ransportation
85
Grand Trunk
80
Kansas City Southern
91
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Carrier
Avg Payload/Loaded
Railcar (tons)
Norfolk Southern
76
Soo Line
77
Union Pacific
91
Industry Average
93
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 9. 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 10.
Table g. Railcar Volume Assumptions and Sources
Railcar Type
Cubic
Feet
Source/Method
Key: Norfolk Southern Railroad (NS)6, Union Pacific Railroad (UP)7, Burlington Northern
Santa Fe Railroad (BNSF)8, CSX Transportation Railroad (CSX)9, World Trade Press
Guide to Railcars (GTRC)10, Chicago Rail Car Leasing (CRCL)11, Union Tank Car Company
(UTCC)12, U.S Department of Agriculture (USDA)13
Boxcar 50 ft and
longer including
equipped boxcars
7,177
Based on the average of the following boxcar types:
EjQft assumed to be 5694 [reflecting the average of 5355 (NS), 5431 (UP), 5238
(CSX), 6175 (BSNF), 6269 (GTRC)].
60ft assumed to be 6,648 [reflecting the average of 6618 (NS), 6389 (UP), 6085
(CSX), 7500 (BNSF)].
c;oft hiah cube assumed to be 6.?04 [reflectina the averaae of 6??Q (NS) and
6269 (CSX)].
60 ft. hiah cube assumed to be 6017 [reflectina the averaae of 74QQ (NS). 6646
(CSX), and 6607 (GTRC)].
86ft assumed to be 9999 (NS).
Auto oarts assumed to be 74QQ (NS).
Boxcar 40ft
4,555
Based on estimate of 50ft boxcar volume described above. Assumed 40ft length
would result in 20% reduction in volume.
6 Norfolk Southern Shipping Tools/Equipment Guide/Merchandise Equipment, https://www.norfolksouthern.com/en/ship-by-rail/shipping-
tools/equipment/railcar-guide. Accessed 10-22-24.
7UP Rail Equipment Descriptions, UP Rail Equipment Descriptions. https://www.uprr.com/customers/equip-resources/cartvpes/index.shtmL Accessed
10-22-24.
8 BNSF Individual Railcar Equipment, http://www.bnsf.com/ship-with-bnsf/wavs-of-shipping/individual-railcar.html#subtabs-3. Accessed 10-22-24.
9CSX Railroad Equipment, https://www.csx.com/index.cfm/customers/resources/equipment/railroad-equipment/. Accessed 10-22-24.
10 World Trade Press, World Trade Resources Guide to Railcars 2010.
11 Chicago Freight Car Leasing Company, Railcar Types. https://chicaaofreiahtcar.cotn/raiLcars/. Accessed 10-22-24.
12 UTLXTank Car Designs and Descriptions, https://www.utlx.com/tank-car-overview/. Accessed 10-22-24.
13 U.S. Department of Agriculture (USD A), 1992, Weights, Measures, and Conversion Factors for Agricultural Commodities and Their Products, Agricultural
Handbook Number 697, Economic Research Service, Washington, DC. Available at:
https://www.ers.usda.aov/webdocs/publications/41880/^^1^2 ah6Q7 002.pdf?v=42487. Accessed 10-22-24.
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Table g. RaiLcar Volume Assumptions and Sources
RaiLcar Type
Cubic
Feet
Source/Method
Key: Norfolk Southern Railroad (NS)6, Union Pacific Railroad (UP)7, Burlington Northern
Santa Fe Railroad (BNSF)8, CSX Transportation Railroad (CSX)9, World Trade Press
Guide to Railcars (GTRC)10, Chicago Rail Car Leasing (CRCL)11, Union Tank Car Company
(UTCC)12, U.S Department of Agriculture (USDA)13
Flat car - all types
except for multi-level
6,395
Based on the average of the following flat car types:
60ft assumed to be 6739 (BNSF).
89ft assumed to be 9372(BNSF).
Coil assumed to be 3387(NS).
Covered coil assumed to be ^204 [reflectina the averaae of 8^28 (NS) and 2260
(BNSF)].
Center beam assumed to be 6m6 [reflectina the averaae of ^8^7 (UP) and 72^6
(BNSF)].
Bulkhead assumed to be 7010 (BNSF).
Multi-level flat car
13.625
Based on the average of the following multi-level flat car types:
Unilevel (that carrv verv larae carao. such as vehicles/tractors) assumed to be
12183 (NS).
Bi-level assumed to be 14?8i(NS).
Tri-level assumed to be 14? 1? (based on averaae of 1^287 (NS) and i???q (BNSF).
Flat Car - all types-
including multi-level
[not used in analysis,
except for estimating
volume of "All Other
Cars"]
7,428
Based on the average volumes of the flatcar types described above including
multi-level as a single flat car type.
Gondola - all types
Including equipped
5,190
Based on the average of the following gondola car types:
^2-^ft assumed to be 2626 [based on averaae of 266^ (NS). 274? (CSX). 2400
(BNSF), and 26g7(CRLC)].
6o-66ft assumed to be ?T72 [based on averaae of ^281 (NS). ^242 (CSX). 11^0
(BNSF), CRCL-3670, and 3366 (GTRC)].
Municipal Waste assumed to be 7QQQ (NS).
Woodchio assumed to be 778i[based on averaae of 7862 (NS) and 7700 (CRCL)l.
Coal assumed to be 4170 [based on averaae of 178^ (NS) and 4^6 (BNSF)l.
Refrigerated -
Mechanical /non-
Mechanical
6,202
Based on the average of the following refrigerated car types:
48-72ft assumed to be 6q6? [based on averaae of 604? (UP) and 788? (BNSF)l.
50ft assumed to be 5i67(GTRC).
40-Q0 ft. assumed to be 6476 [based on averaae of 60^2 (UP) and 6000 (BNSF)l.
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Table g. RaiLcar Volume Assumptions and Sources
RaiLcar Type
Cubic
Feet
Source/Method
Key: Norfolk Southern Railroad (NS)6, Union Pacific Railroad (UP)7, Burlington Northern
Santa Fe Railroad (BNSF)8, CSX Transportation Railroad (CSX)9, World Trade Press
Guide to Railcars (GTRC)10, Chicago Rail Car Leasing (CRCL)11, Union Tank Car Company
(UTCC)12, U.S Department of Agriculture (USDA)13
Open Top Hopper
4,220
Based on the average of the following open top hopper car types:
42ft assumed to be 3000 (UP).
54ft assumed to be 3700 (UP).
60ft assumed to be 5188 [based on averaae of 5125 (UP) and 5250 (GTRC)l. 45ft+
assumed to be 4105 [based on average of 4500 (UP) and 3710 (BNSF).
Woodchio assumed to be 7075 [based on averaae of 7525 (NS). 5QQQ (UP), and
7700 (CRCL)].
Small Aaareaate assumed to be 2252 [based on averaae of 2150 (NS). 2106
(BNSF), and 2500 (CRCL)].
Covered Hopper
4,188
Based on the average of the following covered top hopper car types:
45ft assumed to be 5250 (GTRC).
Aaareaate assumed to be 2575 [based on averaae of 2150 (NS) and ?ooo
(CRCL)].
Small Cube Gravel assumed to be 2Q?Q [based on averaae of 2655 (NS). ?ioo
(CSX), and 3063 (BNSF).
Med-Larae Cube Ores and Sand assumed to be 4160 [based on averaae of T750
(NS) and 4589 (BNSF)].
Jumbo assumed to be 5147 [based on averaae of 4875 (NS). 4462 (CSX). 5175
(BNSF), and 6075 (CRCL)].
Pressure Differential (flour) assumed to be 5050 [based on averaae of 5124 (NS)
and 4975 (CRCL)].
Tank Cars under
22,000 gallons
2,314
Assumes 1 gallon=o.i337 cubic foot (USDA).
Based on small tank car average volume of 17304 gallons, which is the average
of the following currently manufactured tank car volume design capacities of
13470,13710,15100,15960,16410,17300,19900, 20000, 20590, and 20610 gallons
(GTRC).
Tank Cars over 22,000
gallons
3,857
Assumes 1 gallon=o.i337 (USDA).
Based on large tank car volume of 28851 gallons, which is the average of the
following currently manufactured tank car volume design capacities of 23470,
25790, 27200, 28700, 30000, 33000, and 33800 gallons (GTRC).
All Other Cars
5,014
Based on average volume presented above for each of the nine railcar types (all
flatcars are represented by the line item that includes multi-level flatcars - 7428).
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Table 10. Rail Carrier Average Volume Determination
Freight Car Types oiNar
(Ri Schedule 755) Avg. Cu Ft. Railcar Miles (xiK) Cu Ft Miles (xiK)
Box-Plain 40-Foot
4,555
l
4,555
Box-Plain 50-Foot & Longer
7,177
9,338
67,018,826
Box-Equipped
7,177
147,226
1,056,641,002
Gondola-Plain
5,190
379,762
1,970,964,780
Gondola-Equipped
5,190
75,894
393,889,860
Hopper-Covered
4,188
758,442
3,176,355,096
Hopper-Open Top-General Service
4,220
65,077
274,624,940
Hopper-Open Top-Special Service
4,220
137,449
580,034,780
Refrigerator-Mechanical
6,202
19,272
119,524,944
Refrigerator-Non-Mechanical
6,202
32,910
204,107,820
Flat-TOFC/COFC
6,395
520,521
3,328,731,795
Flat-Multi-Level
13,625
38,624
526,252,000
Flat-General Service
6,395
357
2,283,015
Flat-All Other
6,395
71,826
459,327,270
All Other Car Types-Total
5,772
20,146
116,282,712
Average Railcar Cubic Feet
5,811
CSX
Freight Car Types (Ri Schedule 755)
Railcar Miles (xiK)
Cu Ft Miles (xiK)
Box-Plain 40-Foot
-
-
Box-Plain 50-Foot & Longer
6,987
50,145,699
Box-Equipped
144,631
1,038,016,687
Gondola-Plain
137,256
712,358,640
Gondola-Equipped
64,532
334,921,080
Hopper-Covered
153,315
642,083,220
Hopper-Open Top-General Service
78,412
330,898,640
Hopper-Open Top-Special Service
35,451
149,603,220
Refrigerator-Mechanical
17,H7
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
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
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
Total (for Industry Average)
Freight Car Types (Ri Schedule 755)
Railcar Miles (xiK)
Cu Ft Miles (xiK)
Box-Plain 40-Foot
1
4,555
Box-Plain 50-Foot & Longer
42,485
304,914,845
Box-Equipped
790,717
5,674,975,909
Gondola-Plain
940,900
4,883,271,000
Gondola-Equipped
382,728
1,986,358,320
Hopper-Covered
1,588,265
6,651,653,820
Hopper-Open Top-General Service
428,890
1,809,915,800
Hopper-Open Top-Special Service
341,531
1,441,260,820
Refrigerator-Mechanical
123,267
764,501,934
Refrigerator-Non-Mechanical
78,233
485,201,066
Flat-TOFC/COFC
1,812,221
11,589,153,295
Flat-Multi-Level
144,251
1,965,419,875
Flat-General Service
1,058
6,765,910
Flat-All Other
244,806
1,565,534,370
All Other Car Types-Total
274,614
1,585,072,008
Industry Average Railcar Cubic Feet
6,091
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Black Carbon Emissions Estimation
Air, rail, barge, and truck carrier black carbon (BC) emissions are estimated using either emission factors (e.g.,
grams of BC per mile for truck carriers) or by scaling from PM emission estimates (e.g., for air carriers). BC
emissions are also estimated for logistics business units assuming BC emission rates scale directly with PM
(e.g., tons BC = scaling factor x tons PM). Average scaling factors for logistics business units are estimated for
each selected carrier's mode/SmartWay Category combination, based on the following:
• The BC/PM2.5 ratios for air and rail carriers are constant for each mode and are the same as those
used to estimate BC emissions in the SmartWay Air and Rail Tools, respectively. Estimates assume
jet fuel use for air carriers, and ultra-low sulfur diesel for rail carriers.
• Factors for barge carriers are based on the average BC/PM10 ratio across all propulsion engine
age groups and sizes in EPA's 2020 Port Emission Inventory Guidance.14 Estimates assume ultra-
low sulfur diesel fuel use.
• Factors for each Truck/SmartWay Category combination are based on average BC/PM25 ratio for
SmartWay truck carrier submissions for Data Year 2019.
• Factors for logistics business units are determined by calculating a weighted average of the
BC/PM ratios for all other modes/SmartWay Categories. First, the ton-miles attributed to the air,
rail, barge, and truck carriers selected by SmartWay logistics business units for the 2019 data year
were summed by mode.15 Then the fraction of ton-miles for each mode were applied to the BC
factors for each mode to estimate a weighted average BC/PM ratio for all logistics carriers. The
resulting weighting factors are as follows:
- Air - 0.04%
Barge - 0.06%
- Rail - 4.07%
- Truck (all Categories) - 88.99%
Table 11 presents the average scaling factors used to estimate logistics business unit BC emissions. The table
also presents the minimum and maximum BC/PM ratios observed in the various data sources to provide a
measure of the potential variability associated a logistic business unit's carrier selections. BC estimates are
particularly uncertain for truck carriers selected by logistics business units, due to the large variation in
BC/PM ratios across engine model years and truck classes.
14 See Table H-6. https://nepis.epa.aov/Exe/ZvPDF.cai?Dockev=PioiQ2Uo.pdf. Accessed 10-22-24.
15 Logistics business units selected by other logistics business units were excluded to simplify the analysis. This exclusion adds an unspecified degree of
uncertainty to the final BC/PM ratio estimate.
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Table 11. BC/PM Ratios for Logistics Business Units
Mode/Category
Basis
Average
Min
Max
Range
Data Source/Basis
Rail
PM2.5
0.677
N/A
N/A
N/A
SmartWay Rail Tool
Air
PM2.5
0.130
N/A
N/A
N/A
SmartWay Air Tool
Barge
PM10
0.746
0.733
0.754
0.021
2020 EPA Port Emissions Inventory Guidance
Truck/Auto
PM2.5
0.366
0.088
0.760
0.671
2019 Data Year Truck Partner submissions
Truck/Dray
PM2.5
0.442
0.085
0.782
0.697
2019 Data Year Truck Partner submissions
Truck/Expedited
PM2.5
0.295
0.071
0.720
0.649
2019 Data Year Truck Partner submissions
Truck/Flatbed
PM2.5
0.366
0.083
0.815
0.732
2019 Data Year Truck Partner submissions
Truck/Heavy-Bulk
PM2.5
0.335
0.088
0.764
0.676
2019 Data Year Truck Partner submissions
Truck/LTL
PM2.5
0.330
0.063
0.746
0.684
2019 Data Year Truck Partner submissions
Truck/Mixed
PM2.5
0.355
0.077
0.785
0.708
2019 Data Year Truck Partner submissions
Truck/Moving
PM2.5
0.361
0.077
0.673
0.596
2019 Data Year Truck Partner submissions
Truck/Package
PM2.5
0.162
0.088
0.576
0.488
2019 Data Year Truck Partner submissions
Truck/Refrigerated
PM2.5
0.330
0.090
0.799
0.710
2019 Data Year Truck Partner submissions
Truck/Specialized
PM2.5
0.353
0.077
0.733
0.656
2019 Data Year Truck Partner submissions
Truck/Tanker
PM2.5
0.330
0.088
0.767
0.680
2019 Data Year Truck Partner submissions
Truck/TL-Dry Van
PM2.5
0.295
0.059
0.826
0.768
2019 Data Year Truck Partner submissions
Truck/General
PM2.5
0.329
0.059
0.826
0.768
Average across all SmartWay Truck Categories
Logistics
PM2.5
0.355
0.130
0.746
0.616
Weighted average of all category ratios
%SMARTWAY VALUE
The % SmartWay screen presents the portion of goods that shippers move with SmartWay Partners
(expressed as a percentage between o and 100). Shippers select the basis for calculating the percentage
shipped with SmartWay Partners, including the following options for Way 3 and 4 participants:
Total annual miles (the Tool will automatically populate the % SmartWay screen with any carrier
activity data that shippers entered in the freight Activity Data screen). Miles correspond to truck-miles
for trucks, a ire raft-miles for air, barge-miles for barge, and railcar-miles for rail;
Total annual ton-miles (the Tool will automatically populate the % SmartWay screen with any carrier
activity data that shippers entered on the freight Activity Data screen);
Note 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 your first company will be chosen as the
basis for your other companies as well, so that a Partner-level % SmartWay Value can be calculated. The
Partner-level % SmartWay Value is used to determine Excellence Award eligibility in the SmartWay
program. To see your Partner-level % SmartWay Value, calculated across all companies, go to the %
SmartWay Report in the Reports Menu via the Home page.
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Shippers participating at the Way 2 Level must characterize their carrier activity using one of the following
metrics:
Percent Spent;
Percent Weight Shipped;
Percent Packages Shipped;
Other Custom Metric (as defined by Shipper).
PUBLIC DISCLOSURE REPORTS
The Shipper Tool now provides a report summarizing Scope 3 emissions for public disclosure purposes.
Mass emissions are presented in metric tons for C02 (biogenic and non-biogenic), NOXl and PM16 for all
carriers NOT specifically designated as "My Own Carriers" on the Tool's Identify Your In House Carrier Fleets
screen.17 The percent of C02 attributable to SmartWay Carriers is also provided, again excluding any Shipper
Carriers. Biogenic C02 emissions estimates are assumed to equal approximately 2 percent of total C02
emissions, as per U.S. requirements for biomass-based diesel from the EPA Renewable Fuel Standard
program final volume requirements.18
COze
CO2 equivalent (C02e) emissions are also provided in the Public Disclosure report, and are calculated by
multiplying carrier C02 values by scaling factors which vary by mode:
• Truck and Logistics-Truck carrier emissions: C02e = CO2 x 1.0235
• Rail and Logistics-Rail carrier emissions: C02e = CO2 x 1.0171
• Air and Logistics-Air carrier emissions: C02e = CO2 x 1.0085
• Barge and Logistics-Barge carrier emissions: C02e = CO2 x 1.1239
• Logistics-Mixed carrier emissions: C02e = CO2 x 1.0433
The above scaling factors are based on data for the year 2022 from Table 2-13 in the EPA Emissions and
Sinks Report.19 The T ruck and Logistics-T ruck factor was derived by dividing the medium and heavy-duty
16 Emissions from CH4, N20, HFC's, PFC's, SFe and NF3 have been deemed immaterial, comprising Less than 5% of overall GHG emissions and are therefore
EXCLUDED for reporting purposes.
17 "My Own Carriers" refer to fleets directly operated by the Shippers themselves. These fleets are associated with Scope 1 emissions which are not reported
in the Shipper Tool. For purposes of developing a corporate inventory using the SmartWay Shipper Tool, the relevant Scope 3 category only includes
upstream transportation and distribution and therefore excludes downstream transportation and distribution as falling outside of the system boundary.
18 As stated in the Final Rule (Table I.A.2-1 - see https://www.govinfo.gov/content/pkg/FR-2023-07-i2/pdf/2023-i3462.pdf, Accessed 10-22-24.), the
volume requirements for biomass-based diesel in 2023 is 2.58%, rounded to equal 3% for calculation purposes.
19 U.S. EPA, Inventory of U.S. Greenhouse Gas Emissions and Sinks 1990-2022, https://www.epa.gov/system/files/documents/2024-04/us-ghg-inventory-
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truck emissions for each greenhouse gas excluding C02 (CH4, N20, and HFCs) by the total emissions
including C02, and then summing the ratios to obtain the total adjustment factor. The factors for the other
modes were calculated similarly for the appropriate mode types (Rail, Commercial Aircraft, and Ships/Boats),
with the exception of the factor for Logistics-Mixed carriers which is a simple average of the other factors.
2024-main-text_04-18-2024.pdf. Accessed 11-1-2024.
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9 Calculator Tools
In addition to estimating a shipper's emissions inventory and performance metrics, the Shipper Tool also
allows shippers to estimate the emissions impact of mileage and weight reduction strategies as well as
modal shifts, if the user provides mileage-related activity data under the Way 4 option. Reductions can be
estimated for retrospective actions (i.e., activities that occurred during the current reporting year) or for
prospective actions (activities to be implemented in the coming year). Only actions occurring within the
current reporting year satisfy the Way 4 reporting requirements.
The Mile & Weight Improvements screen is optional and is intended for reference purposes only. On this
screen, shippers may estimate emission reduction benefits for the following options:
Miles Removed from the System
¦ Distribution center relocation
¦ Retail sales relocation
¦ Routing optimization
¦ Cube optimization
¦ Larger vehicles and/or multiple trailers
Weight Removed from System
¦ Product weight reduction
¦ Package weight reduction
¦ Vehicle weight reduction
For each activity selected, shippers must provide an estimate of the percentage reduction in freight activity
(in miles or weight), for each mode of interest, along with a detailed text description of the strategy. The Tool
assumes that total mass emissions are reduced in direct proportion with the specified mileage or weight
reduction.20 Shippers must also specify if the activity (or activities) are retrospective or prospective.
20 This assumption should be accurate for weight reduction strategies when applied to truckload shipments that weigh out. Additional uncertainty arises in
the case of LTL and package delivery shipments, where weight reductions may not result in one-to-one reductions in miles hauled. Uncertainties are even
greater for non-truck modes, where the shipper commonly does not control the entire content of the container. Likewise, this assumption may not hold if
shippers reduce freight by loading more products (i.e., more weight) on trucks that were previously cubing out, since the increase in payload wilt negatively
impact the truck's fuel economy and g/mile emissions performance.
MILE AND WEIGHT IMPROVEMENTS
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Mass emission reductions are calculated by using the appropriate mass emissions estimates from the
Emissions Summary screen (based on reported activity data and associated carrier emissions performance
data). The emission savings calculation differs for retrospective and prospective actions, as shown below:
SR = EM x (l / (l - Reduction) -1)
SP = EM x Reduction
Where:
SR = Retrospective Savings (tons of C02, NOx, or PM)
SP = Prospective Savings (tons of C02, NOx, or PM)
EM = Mass Emissions value for current Data Year (tons of C02, NOx, or PM from
Emissions Summary screen)
Reduction = Reduction in total miles or weight as a result of the strategy (expressed as
fraction)
Fractional reduction estimates must be documented in the Shipper Tool. An example calculation is provided
below:
A shipper changes the shape of its milk cartons from round to square. As a result, the shipper can pack 20%
more milk cartons per truck trailer than the rounded milk cartons. This reduces 20% of the loads associated
with that product line (corresponding to the "Cube Optimization" activity selection for the "Miles removed
from system" category). However, the company sells many products, and the total truckloads associated
with milk shipments is 1,000 out of 50,000 overall truckloads. The efficiency gain is thus 20% x
(1,000/50,000), or a 0.4% system improvement. Therefore, the shipper would enter "0.4" in the Percent
Improvement column. This assumes that all loads on average travel an equivalent distance. If milk loads
were significantly shorter than other loads, then a mileage-based weighting per trip would need to be
applied to arrive at a percent improvement. The burden of proof on demonstrating an accurate percent
reduction and modal allocation is the shipper's. The data sources and methodology should be briefly
described in the Tool under Data Source/Methodology. The shipper should, at a minimum, keep detailed
records electronically within the company to document the estimate upon EPA request. The shipper can also
submit any documentation in electronic text format along with the Tool to its Partner Account Manager.
MODAL SHIFT IMPACTS
Overview
The Modal Shift Impacts screen in the Tool is optional and is intended for reference purposes only. Shippers
should develop their carrier emissions inventories (and associated emissions factors for their companies) by
inputting activity data in the Activity Data screen.
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Shippers wishing to conduct scenario analyses can use the Modal Shift Impacts screen to estimate the
emissions impacts associated with modal shifts by specifying the mode from which they are considering
shifting their freight ("From Mode"), as well as the target mode ("To Mode"). Shippers must also specify if the
modal shifts are retrospective or prospective. Shippers have several options for selecting an emissions factor
for both the "From Mode" and "To Mode". First, the Tool automatically calculates and displays the average
emission factors for truck, barge, air and rail modes corresponding to the carrier file values used on the
Activity Data screen (corresponding to the "Shipper's Carrier Average" Emission Factor Source selection). In
this case partners can also adjust their estimates of emission impacts from modal shifts by applying different
filters for the "From" Mode (e.g., just considering inbound international freight). Second, partners may select
illustrative industry average emission factors (discussed in the section below) from the drop-down menu
(corresponding to the "Modal Average" selection). Third, the shipper can input a set of alternative emissions
factors of their choice (corresponding to the "User Input" selection). In this instance the user must also
provide a description of the source of the information used to develop the alternate factors (by selecting the
"User Input Data Source" button).
Some modal shifts may include some form of drayage activity. To properly account for all emissions in these
cases, you may need to add additional lines - the first line will be for the main leg of the trip, while a second
or third may account for changes in drayage miles. Additionally, due to the location of infrastructure (roads,
rail lines, etc.) the distances across the different modal shifts may not be the same; for example, the mileage
for trucks will very likely be different from the mileage for rail.
Note: the emissions factors that automatically appear on the Modal Shift Impacts screen do not include all
potential emissions impacts; for example, the factors do not include emissions specifically associated with
drayage (i.e., short-distance trips often required to move freight from one mode to another), or operations at
intermodal facilities.
While EPA has populated the Tool with illustrative modal average freight emission factors, we recommend
partners use more representative emission factors to analyze scenarios whenever possible. For example,
partners may wish to evaluate the emissions impact from moving freight from rail to a specific truck fleet by
consulting the SmartWay Category average emissions factors associated with that truck fleet (available on
the SmartWay website), or by inputting data that partners receive directly from a carrier. For better estimates
of emission impacts from modal shifts, partners are encouraged to use a factor that reflects the full
emissions impact (e.g., including anticipated drayage emissions) and that best represents the fleet
equipment and operational type that they are most likely to work with for their unique freight movement.
While we have not provided modal average ocean-going vessel factors in the Tool, there are several
external resources that partners can consult. Some selected sources for ocean-going vessel factors are
presented in the following section.
To calculate the emissions impact associated with a modal shift, shippers input the activity data
corresponding with their modal shift scenario expressed in a given unit (miles or ton-miles) and the Tool
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combines that data with a corresponding emission factor (described above) in the same unit. The Tool then
displays the change in emissions in tons per year as shown in the equation below.21
Total Emission Impact (tons/yr) = [(Efficiency Before x "From Mode" Amount) - (Efficiency After x "To Mode"
Amount)] x g to tons conversion factor22
If the shipper is evaluating a mode shift between truck and rail or barge, and if the available activity units are
in miles rather than ton-miles, then the activity data entered must be expressed in terms of railcar-miles or
barge-miles, as appropriate to be consistent with the g/mile factors included in the carrier file. Determination
of railcar and barge-miles for any particular container/commodity type and route should be made in
consultation with carriers or logistics service providers in order to account for volume differences compared
to truck carriers.
If you need to convert truck-miles to railcar and/or barge-mile equivalents for your assessment, a railcar-to-
truck equivalency factor can be calculated by first identifying the average cargo volume for a given rail
carrier (see Table 9 above). These volumes estimates should be weighted by the miles associated with each
rail carrier to estimate a single weighted-average railcar volume for the carrier company in question.
Similarly, weighted average volumes can also be calculated for the different truck carriers associated with
the given shipping company. (Company-specific volume data is contained within the carrier file for
SmartWay truck carriers.) The weighting calculations should involve all carriers used by the company if no
filters are selected on the Modal Shift Impacts screen (only relevant for the "From" mode). Otherwise, the
weighted average calculation should only be performed for the filtered subset (e.g., inbound domestic truck
carriers).
Once the weighted average volumes are determined for both rail and truck modes, you can calculate the
ratio of the average railcar volume to the average truck volume (R). Using industry average volume estimates
as described in Appendix B, we estimate R to equal approximately 1.41, meaning that the average railcar has
1.41 times the volume of an average truck trailer/container. Next, you can convert your truck-equivalent mile
estimates to railcar equivalent miles by dividing truck miles by the ratio R.23 Enter the corresponding railcar-
mile activity estimate in the "Amounts" column.
The same process is used to convert truck-miles to barge-mile equivalents, although national average barge
volume information was not identified for this analysis. In this case volume estimates may be used for
specific barge carriers from the carrier file. In addition, the value for truck miles should also be divided by 1.15
to convert from statute to nautical miles.24
21 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.
221.1023 x 10"6 short tons/gram
23 Any route mileage differences must be adjusted for separately.
24 Barge performance values are expressed in grams per nautical mile, to be consistent with barge carrier reporting practices.
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BACKGROUND ON ILLUSTRATIVE U.S. MODAL AVERAGE FACTORS
Modal Average performance metrics were estimated for rail and truck modes (both gram per mile and gram
per ton-mile), as well as for barge and air modes (gram per ton-mile only) in order to estimate emission
impacts using the Modal Shift Impacts screen. We developed the truck g/mile factors for C02, NOXl and
PM2525 using EPA's 2014b version of the Motor Vehicle Emissions Simulator model (MOVES20i4b). The model
was run at the national level for calendar year 2019, with emissions estimated and summed across the diesel
short-haul single unit, short-haul combination unit, long-haul single unit, and long-haul combination unit
truck categories.26 27 MOVES does not contain ton-mile data, so we divided the MOVES-based mass emission
estimates by national freight truck ton-mile estimates from the Bureau of Transportation Statistics (BTS) to
obtain the truck g/ton-mile factors.28 The most recent BTS ton-mile data were for 2017, so estimates for 2019
were based on a linear interpolation of the 2012 and 2017 values.
Table 12 presents the illustrative freight truck emissions factors in the tool and Table 13 presents the key
underlying data. (Note that the modal average factors calculated for truck carriers were assumed valid for
logistics carriers as well.)
Table 12. U.S. Freight Truck Industry Average Factors Used in Modal Shift
Units
O
O
N
X
O
z
pm25
gram/short ton-mile
210
0.744
0.027
gram/mile
1,578
5.586
0.199
Table 13. Underlying Data for Freight Truck Industry Average Factors (2019)
COz (grams)
436,853,902,968,783
NOx (grams)
1,547,043757,414
PM2.5 (grams)
55,183,809,776
Miles
276,927,898,414
short ton-miles
2,078,299,600,000
SmartWay developed the freight rail g C02/ton-mile and g C02/mile factors using the 2017 data summarized
in Table 6 above. SmartWay then developed the freight rail NOx and PM g/mile and g/ton-mile factors as
described in Appendix A.
The modal average barge emissions factors presented in Table 14 are from a study prepared by the Texas
Transportation Institute (TTI) for the U.S. Maritime Administration29 and reflect inland waterway towing
25 Corresponding PMi0 emission factors were estimated assuming PM2.5 values were 97% of PM10 values, based on MOVES model outputs for diesel fueled
trucks.
26 These four truck categories are coded as 52, 53, 61, and 62 in the MOVES model, respectively.
27 EPA's MOVES model and accompanying resources, including technical documentation, are available at: https://www.epa.aov/moves. Accessed 10-22-24.
28 Bureau of Transportation Statistics, U.S. Ton-Miles of Freight, https://www.bts.aov/us-ton-miles-freiaht Accessed 10-22-24.
29 U.S. Maritime Administration and the National Waterways Foundation (U.S. MARAD), amended January 2017. A Modal Comparison of Domestic Freight
Transportation Effects on the General Public. Prepared by Center for Ports & Waterways, Texas Transportation Institute, Table 10. Available at:
http://www.nationalwaterwavsfoundation.ora/documents/Final%20TTI%20Report%20200i-20M%20Approved.pdf. Accessed 10-22-24.
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operations in the U.S. We converted the PMi0 factor in the TTI study into PM25by assuming 95% of PMi0 is
PM2.5, which we determined was a good approximation of the share of overall PMj0 emissions represented by
particulate matter that is 2.5 micrometers in diameter or smaller.
Table 14. Modal Average Barge Emission Factors
co2
NOx
pm25
gram/short ton-mile
1748
0.4691
0.0111
Estimates of average g/mi performance metrics were not identified for barge carriers.
Modal average estimates for air freight are based on EDMS outputs, presented in Table 15 below.
Table 15. Modal Average Performance Metric Estimates for Air Carriers
g/mi
g/ton m
Mode
O
O
N
NOx
PM
O
O
N
X
O
z
PM
Short Haul Air
96,998
878.37
5743
4,236
38.134
O.251
Long Haul Air
33,448
301.13
1.98
1,461
13.15
0.086
OUTSIDE SOURCES OF OCEAN-GOING MARINE EMISSION FACTORS
There are many sources of marine emission factors available in research literature and other GHG estimation
tools. For reference, we have included below the g C02/ton-mile marine factors from the Business for Social
Responsibility's (BSR) Clean Cargo Tool as well as factors from a study prepared for the International
Maritime Organization (IMO).30
Note that the factors from BSR and IMO are published in units of kg C02/metric ton-km, so we converted this
data into g C02/ton-mile by first multiplying by 1,000 (to convert from kilograms to grams), then multiplying
by 0.9072 (to convert from metric tonnes to short tons), and then multiplying by 1.609 (to convert from
kilometers to miles) to prepare the tables below.
BSR developed average 2009 marine emission factors for various shipping corridors, as well as global
defaults that are applicable outside those corridors, based on surveys from marine carriers. The BSR marine
factors in Table 16 below are from the "Emission Factors & Distances" tab in their tool.
30 Buhaug, et at. for the International Maritime Organization (IMO), 2009. Second IMO GHG Study 2009, International Maritime Organization (IMO), London, UK,
April 2009. Available at: https://www.imo.ora/en/OurWork/Environment/Paaes/Greenhouse-Gas-Studv-200Q.aspx. Accessed 10-22-24.
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Table 16. BSR Marine Emission Factors (g COz/short ton-mile)
Ship.general
International
13.0678
Ship.Barge
International
29.1937
Ship.Feeder
International
29.1937
Ship_inland_Germany
Germany
41.5280
Ship_inland_China
China
35.0578
Ship_Asia-Africa
Asia—Africa
11.9227
Ship_Asia-South America (EC/WC)
Asia—South America (EC/WC)
13.1897
Ship_Asia-Oceania
Asia—Oceania
13.4028
Ship_Asia-North Europe
Asia—North Europe
10.8586
Ship_Asia-Mediterranean
Asia—Mediterranean
12.1358
Ship_Asia-North America EC
Asia—North America EC
12.9854
Ship_Asia-North America WC
Asia—North America WC
12.0818
Ship.Asia-Middle East/India
Asia—Middle East/India
13.5459
Ship.North Europe-North America EC
North Europe—North America EC (incl. Gulf)
14.1823
Ship.North Europe-North America WC
North Europe—North America WC
13.0642
Ship_Mediterranean-North America EC
Mediterranean—North America EC (incl. Gulf)
12.6788
Ship_Mediterranean-North America WC
Mediterranean—North America WC
10.1433
Ship.Europe (North & Med)-Middle East/India
Europe (North & Med)—Middle East/India
134276
Ship.Europe (North & Med)-Africa
Europe (North & Med)—Africa
15-8361
Ship.Europe (North & Med)-Oceania (via Suez
/ via Panama)
Europe (North & Med)—Oceania (via Suez /
via Panama)
144056
Ship.Europe (North & Med)-Latin
America/South America
Europe (North & Med)—Latin America/South
America
12.6146
Ship.North America-Africa
North America—Africa
17.4549
Ship.North America EC-Middle East/India
North America EC—Middle East/India
12.8788
Ship.North America-South America (EC/WC)
North America—South America (EC/WC)
13.4379
Ship.North America-Oceania
North America—Oceania
15.0552
Ship.South America (EC/WC)-Africa
South America (EC/WC)—Africa
11.7432
Shipjntra-Americas (Caribbean)
Intra-Americas (Caribbean)
15-9222
Ship_lntra-Asia
Intra-Asia
15.2012
Shipjntra-Europe
Intra-Europe
17.1790
The marine factors in the IMO study reflect commonly-used equipment sizes and types. The factors in Table
17 below come from Table 9.14 in the IMO study.
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Table 17. IMO Marine Emission Factors
TYPE
SIZE
AVERAGE
CARGO
CAPACITY
(metric
tonne)
Average
yearly
capacity
utilization
Average
service
speed
(knots)
T ransport work
per ship
(tonne NM)
Loaded
efficiency
(g of C02/
ton mile)
Total
efficiency
(g of
C02/ton
mile)
Crude oil tanker
2000,000+dwt
295,237
48%
15.4
14,197,046,742
2.34
4.23
Crude oil tanker
120,000-199,99 dwt
151,734
48%
15
7,024,437,504
3.21
6.42
Crude oil tanker
80,000-119,999 dwt
103,403
48%
14.7
4,417,734,613
4.38
8.61
Crude oil tanker
60,000-79,999 dwt
66,261
48%
14.6
2,629,911,081
6.28
10.95
Crude oil tanker
10,000-59,999 dwt
38,631
48%
14.5
1,519,025,926
7.59
1328
Crude oil tanker
0-9,999 dwt
3668
48%
12.1
91,086,398
30.22
48.61
Products tanker
6o,ooo+ dwt
101,000
55%
15.3
3,491,449,962
4.82
8.32
Products tanker
20,000-59,999 dwt
40,000
55%
14.8
1,333,683,350
10.51
15.03
Products tanker
10,000-19,999 dwt
15,000
50%
14.1
464,013,471
16.49
27.30
Products tanker
5,000-9,999 dwt
7,000
45%
12.8
170,712,388
21.60
42.62
Products tanker
0-49,999 dwt
1,800
45%
11
37,598,072
38.68
65.69
Chemical
tanker
20,000 + dwt
32,200
64%
14.7
1,831,868,715
8.32
12.26
Chemical
tanker
10,000-19,999 dwt
15,000
64%
14.5
820,375,271
10.66
1576
Chemical
tanker
5,000-9,999 dwt
7,000
64%
14.5
382,700,554
1562
22.04
Chemical
tanker
0-4,999 dwt
1,800
64%
14.5
72,147,958
27.15
32.41
LPG tanker
50,000 + m3
46,656
48%
16.6
2,411,297,106
7.59
13.14
LPG tanker
0-49,999 m3
3,120
48%
14
89,631,360
39.41
63.50
LNG tanker
200,00 + m3
97,520
48%
19.6
5,672,338,333
7.88
13.58
LNG tanker
0-199,999 m3
62,100
48%
19.6
3,797,321,655
12.26
21.17
Bulk carrier
200,000 +dwt
227,000
50%
14.4
10,901,043,017
2.19
3.65
Bulk carrier
100,000-199,999 dwt
163,000
50%
14.4
7,763,260,284
2.63
4.38
Bulk carrier
60,000-99,999 dwt
74,000
55%
14.4
3,821,361,703
3.94
5.98
Bulk carrier
35,000-59,999 dwt
45,000
55%
14.4
2,243,075,236
5.55
8.32
Bulk carrier
10,000-34,999 dwt
26,000
55%
14.3
1,268,561,872
7.74
11.53
Bulk carrier
0-9,999 dwt
2,400
60%
11
68,226,787
3343
42.62
General cargo
10,000 + dwt
15,000
60%
15.4
866,510,887
11.09
17.37
General cargo
5,000-9,999 dwt
6,957
60%
13.4
365,344,150
14.74
23.06
General cargo
0-4,999 dwt
2,545
60%
11.7
76,645,792
15.91
20.29
General cargo
10,000+ dwt, 100+ TEU
18,000
60%
15.4
961,054,062
12.55
16.06
General cargo
5,000-9,999 dwt, 100+TEU
7,000
60%
13.4
243,599,799
20.14
25.54
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Table 17. IMO Marine Emission Factors
TYPE
SIZE
AVERAGE
CARGO
CAPACITY
(metric
tonne)
Average
yearly
capacity
utilization
Average
service
speed
(knots)
T ransport work
per ship
(tonne NM)
Loaded
efficiency
(g of C02/
ton mile)
Total
efficiency
(g of
C02/ton
mile)
General cargo
0-4,999 dwt, dwt+TEU
4,000
60%
11.7
120,938,043
22.63
28.90
Refrigerated
cargo
All
6,400
50%
20
392,981,809
18.83
18.83
Container
8000+TEU
68,600
70%
25.1
6,968,284,047
16.20
18.25
Container
5,000-7,999 TEU
40,355
70%
253
4,233,489,679
22.19
24.23
Container
3,000-4,999 TEU
28,784
70%
233
2,280,323,533
22.19
24.23
Container
2,000-2,999 TEU
16,800
70%
20.9
1,480,205,694
26.71
29.19
Container
1,000-1,999 TEU
7,000
70%
19
578,339,367
42.91
46.86
Container
0-999 TEU
3,500
70%
17
179,809,363
48.61
52.99
Vehicle
4000 +ceu
7,908
70%
19.4
732,581,677
36.78
46.71
Vehicle
0-3999 ceu
2,808
70%
17.7
226,545,399
68.90
84.08
Ro-Ro
2,000 + Im
5,i54
70%
19.4
368,202,021
66.12
72.25
Ro-Ro
0-1,999 Lm
1432
70%
13.2
57,201,146
80.57
88.02
Note: "Loaded efficiency" is the theoretical maximum efficiency when the ship is fully loaded at service speed/85% Load.
Since engine load at the fully loaded condition is higher than the average including ballast and other voyages, the
difference between the columns "loaded efficiency" and "total efficiency cannot be explained by differences in utilization
only.
SmartWay Technical Documentation | Calculator Tools 33
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Shipper Payloads and Data Validation
The Shipper Tool contains data validation checks designed to identify missing and potentially erroneous
data. At this time the only validation involves payload checks and total ton-mile checks, on the Activity Data
screen.
PAYLOAD VALIDATION
Payload validation cutpoints were set with the intention of identifying those payloads that are somewhat
outside typical industry values (yellow flag warnings) and those that are far outside industry averages (red
flag warnings). The payload check only apples to Data Availability selections a, b, and c where payloads are
either entered by the user, or calculated based on other inputs. Checks are applied at the carrier (row) level.
Payload checks are specific to the truck carrier fleet's SmartWay Category, which is available for each carrier
category from the Carrier File. Note that payload Ranges l (very low) and 5 (very high) are colored red on the
Activity screen and require explanations before proceeding. Ranges 2 (low) and (high) 4 are colored yellow,
and explanations are optional.
Reported Shipper payloads were compiled for each shipper carrier for the 2017 - 2018 reporting years. The
data was broken down for each SmartWay carrier category. Next, for every category a histogram was
developed, and the distribution of the data was reviewed. By adjusting the size of the bins outliers were
identified and the histograms adjusted to exclude those points. In most cases specific cutpoints were then
selected for each SmartWay Category to represent 5,10, 90, and 95 percentiles. (Certain highly skewed
distributions such as that for package carriers did not define low end cutpoints). The resulting cutpoints used
to establish the "red" and "yellow" validation ranges are provided below.
Table 18. Shipper Payload Validation Ranges
Carrier Category
low red
low yellow
high yellow
high red
Dray
N/A
2.39
22.31
2440
Expedited
N/A
N/A
1145
19.23
Specialized
4.37
8.57
2579
28.79
LTL
N/A
N/A
6.50
12.70
Auto Carrier
12.00
14.67
18.20
19.22
Heavy Bulk
9.16
11.82
2585
34.08
TL
339
551
21.60
22.05
Moving
N/A
N/A
1925
2346
Flatbed
4.23
594
23.81
2486
Mixed
N/A
N/A
21.71
22.41
a
SmartWay Technical Documentation | Shipper Payloads and Data Validation 34
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Table 18. Shipper PayLoad Validation Ranges
Carrier Category
low red
low yellow
high yellow
high red
General31
N/A
N/A
21.00
28.00
Package
N/A
N/A
1.20
1.63
Tanker
13.60
18.27
26.58
35.08
Reefer
1.64
4.39
21.00
21.85
Logistics
N/A
1.51
22.31
24.00
Validation cutoffs for rail payloads are based on the distribution of average values estimated for all Class 1
carriers (see Shipper Tool Technical Documentation), and only include red flags. The absolute upper bound
for rail carriers has been set to 200 tons.
Air carriers have their maximum average payload set to 110 tons, corresponding to the maximum payload
capacity for the largest aircraft make/model specified by SmartWay partners in 2017. Payloads above this
amount trigger a "red" out of range error that must be explained by the partner to proceed, although no value
has been set for a maximum allowable payload at this time. Payloads between 55 and 110 tons receive a
"yellow" warning which may be explained if the partner chooses.
In addition, the absolute upper bound for rail has been set to 200 tons.
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.
31 Based on all SmartWay Carrier Categories combined.
SmartWay Technical Documentation | Shipper Payloads and Data Validation 35
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Appendix A - Background on Industry Average
U.S. Rail Factors
Industry average freight rail grams per mile and grams per ton-mile factors were developed using data
released in August of 2019 for EPA's 2017 National Emission Inventory (NED.32 The factors were developed
using emission estimates specifically for Class I (line-haul and yard switching) locomotives. These data were
then divided by railcar-mile and ton-mile data for 2017 Class I rail carriers to obtain the corresponding
performance metrics. Table A-i presents the industry average freight rail emissions factors used in the Tool.
Table A-i. U.S. Freight Rail Industry Average Factors (2017)
Performance Metric
O
O
N
X
O
z
PM10
pm25
gram/short ton-mile
20.72
0.2897
O.OO85
0.0082
gram/railcar mile
980
14.38
0.418
0.405
Note that NOx and PM emission factors are not available at the carrier level for the rail mode. Accordingly, the
industry average emission factors are assumed to apply equally for all rail carriers.
32 Emissions Modeling Platform Collaborative, Specification Sheet: Rail 2017 National Emissions Inventory, August 2019 - Table 1. See
https://aaftp.epa.aov/air/nei/20i7/doc/supportina data/point/20i7Rail main 2iaua20iQ.pdf. Accessed 10-22-24.
SmartWay Technical Documentation | Appendix A A-i
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Appendix B - Calculation of Truck-Equivalent
Mileage Factors for Rail
Truck-equivalent can be converted into railcar-miles, so that partners can more readily estimate emissions
impacts from shifting freight between truck and rail modes, by estimating the average volume capacity of
Class I railcars and dividing it by an average freight truck volume capacity. This results in a rough estimate
that does not take into consideration the utilized volume of railcars or the comparative freight truck, but we
determined that this was the best available data and method to estimate modal average railcar-equivalent
miles.
To estimate the average volume capacity of railcars, we multiplied the railcar miles reported by each
company for each railcar type in their respective 2008 R-i reports (lines 15-81) by the volume-per-railcar
assumptions in Table 8 to obtain total Class I TEU-miles. We then divided the total railcar TEU-miles by the
total railcar-miles to estimate the average railcar volume capacity. We then divided this average railcar
volume capacity (3.92 TEUs) by the average freight truck volume capacity that we developed for the truck
g/TEU-mile factor discussed above (2.78 TEUs) to develop the conversion factor -1.41 railcar-miles-to-truck-
miles. In the absence of more specific data, this factor can be used to convert truck miles to railcar miles for
use on the Modal Shift screen of the Shipper Tool. Note that no equivalent information was identified for the
estimation of industry-average barge or air volumes.
SmartWay Technical Documentation | Appendix B B-l
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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
https://www.epa.gov/
U. S. Environmental Protection Agency
National Vehicle and Fuel Emissions Laboratory
2565 Plymouth Rd.
Ann Arbor, Ml 48105
(734) 214-4200
https://www.epa.gov/transportation-air-
pollution-and-climate-change
EPA-420-B-24-048 | November 2024 | SmartWay Transport Partnership | epa.gov/smartway
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