A EPAUnited States 

._-~ Environmental Protection 

" Agency 

2019 SmartWay 

Rail Carrier Partner Tool: 

Quick Start Guide 

U.S. Version 2.0.18 (Data Year 2018) 

EPA-420-B-19-015 I March 2019 I SmartWay Transport Partnership I epa.gov/smartway 
ft EA~United States 1111ii..•..- Environmental Protection 

~, Agency 

2019 SmartWay 

Rail Carrier Partner Tool: 

Quick Start Guide 

U.S. Version 2.0.18 

(Data Year 2018) 

Transportation and Climate Division 

Office of Transportation and Air Quality 

U.S. Environmental Protection Agency 

EPA-420-B-19-015 

March 2019 
 

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Table of Contents 

PRE-CHECKLIST – BEFORE GETTING STARTED ....................................................................................................................................1 

What Data Do I need to Gather to Complete the Rail Carrier Tool? ..................................................................................................................1 

What Software & Hardware Is Required For Completing The Rail Carrier Tool?......................................................................................2 

STEP 1 DATA COLLECTION REQUIREMENTS....................................................................................................................................3 

Introductory Screens .........................................................................................................................................................................................................................3 

Data Requirements for Establishing Your Data Collection Year ..........................................................................................................................3 

Data Requirements for Section 1: Specify Official Partner Name........................................................................................................................3 

Data Requirements for Section 2: Enter Company Contact Information....................................................................................................... 4 

Data Requirements for Section 3: Characterize Your Fleets.................................................................................................................................. 4 

Data Requirements for Section 4: Fleet Data ....................................................................................................................................................................5 

STEP 2 DATA ENTRY..........................................................................................................................................................................................6 

Downloading the SmartWay Rail Carrier Tool................................................................................................................................................................. 6 

How to Set Security Levels For the SmartWay Tools ................................................................................................................................................ 6 

Entering Partner Name.................................................................................................................................................................................................................... 6 

Entering Contact Information...................................................................................................................................................................................................... 6 

Completing The Fleet Description(s) Screen ................................................................................................................................................................... 8 

Selecting a Fleet for Data Entry................................................................................................................................................................................................. 9 

Completing The Power Units Screen ..................................................................................................................................................................................10 

Completing The Operations Screen......................................................................................................................................................................................11 

Submitting Your Tool to EPA..................................................................................................................................................................................................... 12 

STEP 3 RESULTS AND SUMMARY REPORTS...................................................................................................................................13 

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Pre-Checklist – Before Getting Started 

WHAT DATA DO I NEED TO GATHER TO COMPLETE THE RAIL CARRIER TOOL? 

To participate in SmartWay, rail carriers need to gather the following essential information to complete the 

Rail Carrier Tool: 

The official company name EXACTLY as you would like it presented on the EPA website and other EPA 

communications 

Company contact information 

Contact details for your Working Contact (see page 4 for definition) 

Contact details for an Executive, Sustainability and/or Other Contact(s) (Executive cannot be the same as 

the Working Contact) (see page 4 for definition) 

Fleet details for all fleets you control: 

 Fleet name and fleet class (1, 2, or 3) 

 Geographic areas of operation 

 Power unit information: 

o Activity (number of units or hours per year) 

• By type 

• By engine tier level 

o Locomotive unit miles per year 

• Unit, way, and through trains 

• Train and yard switching 

o Operations information 

o Gallons per year by fuel type (diesel, biodiesel, LNG, CNG, electric) and by category (freight, 

passenger, switching) 

o Ton-miles per year 

• Gross, revenue, and non-revenue totals 

o Total railcar miles per year 

 Data sources 

 SmartWay ID number (if this is not your first tool submission) 

This data should be provided for all of your company’s fleets. This data reflects the amount of freight carried 

by each carrier, the distance that freight is carried, and the fuel consumed to carry the freight. 

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WHAT SOFTWARE & HARDWARE IS REQUIRED FOR COMPLETING THE RAIL CARRIER 

TOOL? 

The Rail Carrier Tool was designed in Microsoft Excel using forms and Visual Basic for Applications (VBA) 

macros and code. Completing the Rail Carrier Tool requires the following software and system requirements: 

Supported Operating Systems 

Microsoft Windows 7 or later 

 Includes Windows 7, Windows 8 and 8.1, and Windows 10 

 The Tool should also be compatible with Windows XP if all other requirements are met as well. 

However, Windows XP has reached end of support and Microsoft and this may affect tool 

performance. 

System Requirements 

IBM Pentium processor or greater 

2 GB Ram 

100 MB disk space 

Monitor display setting of 1,024 x 768 or greater 

Software Requirements 

Microsoft Excel 2010 or later 

 Includes Excel 2010, Excel 2013, Excel 2016 and Excel in Office 365 

 Must be the one-time purchase version of Microsoft Excel installed on a PC or the Office 365 

subscription desktop version of the application; cannot run with Microsoft Excel online or through 

OneDrive online 

 The Tool should also be compatible with Excel 2007 if all other requirements are met as well. 

However, Excel 2007 has reached end of support and Microsoft no longer provides technical 

support, bug fixes, or security fixes. This may affect tool performance. 

 Excel 2010 will also reach end of support by Microsoft on October 13, 2020. 

Please check with the user guides for your computer, online support, or your company’s IT department to 

make sure your system is set up to use the Rail Carrier Tool. 

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Step 1 Data Collection Requirements 

This section will identify data needed for completing the required sections of the Rail Carrier Tool. The Rail 

Carrier Tool Technical Documentation explains more about the methodological structure and technical 

aspects of the Tool and the data entry process; this guide will focus primarily on the essentials for 

completing the Tool. 

INTRODUCTORY SCREENS 

Upon opening the 2018 Tool, you will see a Welcome screen, followed by five screens which orient you to 

the Tool. The Assistance for New Users screen appears first, and allows users to view an orientation video. 

Additional screens may be accessed from this screen, including Tool selection guidance, data collection 

needs, Tool help and navigation, and the SmartWay Partner Tool Schedule for 2019. These are general 

information screens and may be skipped if you are already familiar with the Tool. However, upon proceeding 

you MUST select the box at the bottom of the Partnership Agreement screen, indicating that you agree to 

the terms of the Partnership Agreement. 

DATA REQUIREMENTS FOR ESTABLISHING YOUR DATA COLLECTION YEAR 

Before beginning your data collection, identify the last calendar year for which you have full annual (12 

months) data. This means that you have data from January of the calendar year through December of the 

same year. If you have not been in operation for a full year, you must collect a minimum of three months’ 

data for input into the SmartWay Tool. In your next update year, you will be expected to submit a full year’s 

data. 

DATA REQUIREMENTS FOR SECTION 1: SPECIFY OFFICIAL PARTNER NAME 

Your Partner Name is the official name that your customers would recognize for your company—in other 

words, the name someone hiring you would look for. 

You must specify your company’s official Partner Name under Section 1 of the HOME screen, exactly as you 

want it to appear on the SmartWay website. 

For example, you may enter: 

ABC Company 

ABC Company, Inc. 

Your company will be listed exactly as you’ve entered in Section 1. Therefore, it is important to pay special 

attention to proper capitalization, abbreviations, annotations, and punctuation. 

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DATA REQUIREMENTS FOR SECTION 2: ENTER COMPANY CONTACT INFORMATION 

The SmartWay Tool asks for: 

General company information such as location, web address, phone number, etc. 

A Working Contact1 for any questions about your company’s participation and Tool submissions 

An Executive Contact2 for participation in awards and recognition events 

A Sustainability Contact (optional)3 for information on company sustainability programs and outreach 

Other Contacts (optional): Additional contacts may include anyone who is not the Working, Executive, or 

Sustainability contact but may be involved with SmartWay (e.g., press/media contact, fleet manager, 

etc.). 

Note that you MUST have at least two contacts listed in the contact information section of the Tool, and the 

Working and Executive Contacts must be different. SmartWay recommends developing an internal 

succession plan to make sure that your Tool submission schedule is maintained, in the event that a Working 

Contact is reassigned, or leaves the company for any reason. 

DATA REQUIREMENTS FOR SECTION 3: CHARACTERIZE YOUR FLEETS 

The SmartWay Rail Tool allows you to characterize your freight operations at the fleet level. In the Rail Tool, 

a fleet is defined as any business unit that a customer has discretion to hire. 

NOTE: You may include multiple fleets in a single Tool submission. 

SmartWay highly recommends developing your list of fleets offline using a company organization chart or 

perhaps a customer interface webpage. The best strategy is to have a clear idea of how to define your fleets 

before filling out the Tool. 

For each fleet that a customer can hire, you will be asked to establish names for each of your fleets. Each 

Fleet Name will begin with your Partner Name and will include a Fleet Identifier. Use a Fleet Identifier that is 

recognizable by yourcustomers. Next you need to specify the class for each fleet. 

1 The Working Contact is the individual designated by the Executive Contact to directly interface with SmartWay regarding specific tasks involved in the 

timely submission of the Tool. The Working Contact is responsible for coordinating the assembly of information to complete/update fleet data; completing 

and updating the Tool itself; maintaining direct communication with SmartWay; and keeping interested parties within the company apprised of relevant 

developments with SmartWay.) NOTE: To ensure that emails from SmartWay/EPA are not blocked, new Working Contacts may need to add SmartWay/EPA 

to their preferred list of trusted sources. 

2 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. 

3 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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Once you have defined your fleets, create the data entry forms for your fleet by selecting the Create Fleet(s) 

button at the bottom of the screen. 

DATA REQUIREMENTS FOR SECTION 4: FLEET DATA 

Once you have identified and characterized your fleets you will be asked to provide additional information 

for EACH fleet separately. 

Data Requirements for “Power Units” Screen 

You will need to provide power unit information about the selected fleet: 

The number of power units or hours per year operated during the reporting period, by engine tier level. 

This may be broken out by line haul and switch engines. For Class 1 operators, please refer to R1 form, 

schedule 710 for details. 

Class 1 operators must provide total locomotive unit miles per year for each fleet. This data is available in 

the R-1 forms for Class 1 railroads (see lines 8-14 of Schedule 755). Class 2 and 3 operators do not enter 

this information. 

Detailed description of the data sources used to obtain your power unit data (e.g., R-1 Form section and 

line numbers). 

Data Requirements for “Operations” Screen 

You will need to provide operations information about the selected fleet: 

Your fleet’s annual fuel consumption by fuel type (diesel, biodiesel, LNG, CNG, and electric) and train 

category (freight, passenger, and switch). For Class 1 operators, please refer to R-1 form, schedule 750, 

lines 1 - 3 for details. 

Your gross, revenue, and non-revenue ton-mile data. This data is available for Class 1 operators from R-1 

Report Section 755, lines 104, 110, and 113, respectively. 

Total railcar miles for each fleet. 

NOTE: All ton-mile data should be entered as actual ton-miles, NOT 1,000s of ton-miles (as 

presented in the R-1 Report). 

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Step 2 Data Entry 

DOWNLOADING THE SMARTWAY RAIL CARRIER TOOL 

To download the SmartWay Rail Tool, visit: https://www.epa.gov/smartway/smartway-rail-carrier-toolsand-resources. Save the Tool in a folder on your hard drive; this folder should house copies of your data and 

future updates. 

HOW TO SET SECURITY LEVELS FOR THE SMARTWAY TOOLS 

In some cases, Microsoft Excel will ask you to adjust your security settings before opening the Tool. 

Instructions should appear on your screen if you need to change your security settings before running the 

Tool. The instructions differ depending upon what version of Excel you use (Excel 2007, 2010, 2013, or 2016). 

If you need additional assistance with your security settings, download the full Rail Tool User Guide from 

https://www.epa.gov/smartway/smartway-rail-carrier-tools-and-resources and review the screen-byscreen guidance in Part 1: Downloading and Setting Up the Tool, or contact your Partner Account manager. 

ENTERING PARTNER NAME 

Under Step 1 on the HOME screen: 

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. 

Proceed to Section 2 to enter Contact Information. 

ENTERING CONTACT INFORMATION 

Under the Partner Information tab: 

Note: Use the Tabs at the top of the window to navigate between the 5 information screens 

Each field marked with an asterisk must be filled out. You will not be able to submit the Tool to 

SmartWay without this information. 

Enter the Company address, phone numbers, and website (optional). 

Enter the Working Contact name and title. 

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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.) 

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 

Enter the Sustainability Contact name and title (optional). 

The Sustainability Contact is the individual assigned responsibility for monitoring the company’s 

environmental performance. The Sustainability Contact may be the same as the Working or 

Executive Contact (and specified by checking the “Same as” boxes in the Sustainability Contact 

section), but cannot be the same as any Other Contact. 

Under the Working Contact tab: 

Enter the Working Contact information. If the Working Contact shares the same address as the 

company, you may select the Use Partner Address button to auto-populate the address section of 

this record. Enter the email address twice to confirm its accuracy. When confirmed a  will appear 

to theright. 

Under the Executive Contact tab: 

Enter the Executive Contact information. If the Executive Contact shares thesame address as the 

company, you may select the Use Partner Address button to auto- populate the address section of 

this record. 

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Under the Sustainability Contact tab: 

Enter the Sustainability Contact information, if applicable. If the Sustainability Contact shares the 

same address as the company, you may select the Use Partner Address button to auto-populate the 

address section of this record. 

Under the Other Contacts tab: 

Enter Other Contacts (if applicable) by selecting the Add New contact button. 

Enter the first Other Contact then select OK when done. 

Note: You must supply at least two unique contacts on the contact screen to ensure EPA has 

access to at least two people for Tool submission follow-up. 

NOTE: In some cases, companies with multiple fleets will gather information from different 

sources within the company. You may find it useful to have this additional contact information 

stored within the Tool. 

You can add more contacts to the Other Contacts box by repeating this process. If you wish to edit an 

existing contact’s information, highlight the name you wish to edit and then select the Edit Selected Contact 

button. You can remove an existing contact by highlighting the contact and then selecting Delete Selected 

Contact. 

To make sure you have filled out all required contact information, select VALIDATE SCREEN at the bottom of 

the screen on the Partner Information tab. If any information is missing or invalid, a dialogue box will appear 

informing you what additional information isrequired. 

Next select the HOME button to return to the Home screen and go to Step 3. 

COMPLETING THE FLEET DESCRIPTION(S) SCREEN 

On the Home screen, select the Fleet Description(s) button to display the Fleet Descriptions 

screens. 

Confirm that the Partner Name that appears automatically is correct and appropriate for your fleet. If 

not, make changes in the field under the heading “Partner Name.” 

Enter the “Fleet Identifier” for your first (or only) fleet. This field may be left blank if you only have one 

fleet. In this case your final Fleet Name will simply be your Partner Name. 

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Enter additional fleets as needed: 

a. To enter another fleet, select the Add Another Fleet button. 

b. To delete a fleet, select the box next to the row you wish to delete, and then selectthe Delete 

Checked Rows button. 

c. Once you have confirmed or modified the Partner Name and specified the Fleet Identifiers, the 

full Fleet Names will be displayed on the screen to the right, exactly how they will be displayed 

on the SmartWay website. 

Next, enter the Class of the associated rail fleet (1, 2, or 3): 

a. Class 1 includes the largest North American rail companies; 

b. Class 2 includes mid-sized, regional companies; and 

c. Class 3 includes local shortline companies. 

Once all fleet information has been input correctly, you may select the CREATE FLEET(S) button at the 

bottom of the page. You will be prompted then to confirm that you have identified all of your fleets. Return to 

the Fleet Description(s) screen if needed, otherwise select OK and you will automatically be returned to the 

Home screen. 

SELECTING A FLEET FOR DATA ENTRY 

Using your mouse, on the Home screen select and highlight the name of the fleet for which you wish 

to enter data. 

Double click the name; you will then be taken to the Power Units data entry screen for that fleet. 

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2. 

3. 

Part A: Power Unit Inventory 

Select Data Input Method 

r. I. # of total Power Units 

r 2. # Power units - line haul vs. S'llitch 

r 3. hours per ber 

r 4. hours per ber - tine haul and switch 

~ Engine Tier # of Powe r Units 

? non·ber 

? 0 

? o+ 

? 

? l+ 

? 2 

? 2+ 

? 3 

? 4 

Part 8. Total Locomotive Unit Miles/ Year 

~ UnitTrains 

Way Trains 

Through Trains 

Subtotal 

2.] Train Switching 

.:cl Yard Switching 

Subtotal 

To tal 

COMPLETING THE POWER UNITS SCREEN 

You will need to provide power unit information about the selected fleet. 

Specify the number of power units or hours per year operated during 

the reporting period, by engine tier level. Depending up the Data 

Input Method selected, this information may be broken out by line 

haul and switch engines. Under method 1 you may aggregate your 

fleet’s line-haul and switch units together, while method 2 requires 

that you report the unit type counts separately. Methods 3 and 4 are 

similar, but require inputting hours of operation by tier, rather than 

unit counts.4 For Class 1 operators, please refer to R1 form, schedule 

710 for details. The different engine tier level definitions are provided 

below: 

 Non-tier – manufactured before 1972 

 Tier 0 – manufactured between 1972 and 2001 

 Tier 0+ - manufactured between 1972 and 2001, and 

remanufactured after 2010 

 Tier 1 – manufactured between 2002 and 2004 

 Tier 1 – manufactured between 2002 and 2004 and 

remanufactured after 2010 

 Tier 2 - manufactured between 2005 and 2011 

 Tier 2+ - manufactured between 2005 and 2011 and remanufactured after 2013 

 Tier 3 - manufactured between 2012 and 2014 

 Tier 4 – manufactured after 2014 

Next, Class 1 operators must enter your fleet’s Total 

Locomotive Unit Miles/Year data under Part B. Break out your 

unit miles data by line haul and switching categories, as 

appropriate. This data is available in the R-1 forms for Class 1 

operators do not enter this information. 

railroads (see lines 8-14 of Schedule 755). Class 2 and 3 

Finally, you will need to provide a detailed description of the 

data sources used to obtain your power unit data (e.g., R-1 

Form section and line numbers). 

4 In general, method 4 will provide the most accurate estimate for NOx and PM emissions. 

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1. 

2. 

3. 

All Freight 

Fuel Used Units Freight Passenger Switching .!J Total 

Diesel .!J (gallons/year) 

Biodiesel: B I ~ (gallons/year) 

LNG (gallons/year) 

CNG (cubic feet/year) .:.J .!J 

Electric (kWh/year) 

.!J Gross Ton Milesfl'ear Rl: 755- 104 

.!J Revenue Freight Ton Milesfl'ear R 1: 755-110 

_:cl Non~evenue Freight Ton Miles/Year RI: 755-113 

2.J Enter Total Railcar Miles: 

COMPLETING THE OPERATIONS SCREEN 

You will need to provide operations information about the selected fleet: 

Specify your fleet’s annual fuel consumption and ton-mile data. Record annual fuel use per year by 

fuel type (diesel, biodiesel, LNG, CNG, and electric) and train category (freight, passenger, and 

switch). 

a. Petroleum diesel, biodiesel, and LNG entries must be in gallons per year. 

b. Specify CNG units indicating standard cubic feet or gasoline-equivalent gallons per year. 

c. Electricity use is specified in kWh/year. 

d. If you indicate biodiesel consumption data, you must also specify the fleet average fuel blend 

level (between 0 and 100). 

e. For Class 1 operators, please refer to R-1 form, schedule 750, lines 1 - 3 for details. 

Specify your gross, revenue, and non-revenue ton-mile data. This data is available for Class 1 

operators from R-1 Report Section 755, lines 104, 110, and 113, respectively. 

Specify your total annual railcar miles for the fleet. 

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NOTE: All ton-mile data should be entered as actual ton-miles, NOT 1,000s of ton-miles (as presented in the 

R-1 Report). 

SUBMITTING YOUR TOOL TO EPA 

Once you have entered data for each of your rail fleets in Step 4 of the Home screen, you may create final 

submittal files. 

Select the Generate a (.xml) data file which will open a new screen. 

Select the checkbox to indicate you understand the terms of the SmartWay Partnership Agreement 

once again. 

When ready, select NEXT to create a file with the following naming convention: Rail_PartnerName_ 

Year_ V0.xml5 

For example, Rail_ABCompany_ 2018 _V0.xml 

where PartnerName is your company’s name as entered for Step 1 on the Home screen, and Year indicates 

the year for which you are submitting your data. 

Next specify the folder where you would like to save the .xml file, and a screen will appear. 

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. 

Upon selecting NEXT, a screen will appear that allows you to close the Rail Carrier Tool or return to 

the Home screen. 

 NOTE: DO NOT ZIP the .xlsm and .xml files. Send them to EPA as normal files attached in an email. EPA security will not allow zipped files through the EPA firewall. 

 NOTE: DO NOT CHANGE THE NAME OF THE XML OR XLS FILES. 

Please visit https://www.epa.gov/smartway/smartway-rail-carrier-tools-and-resources for additional 

resources, including printable data collection worksheets, and technical documentation, for more in depth 

exploration of each section of the Rail Carrier Tool. 

5 If you create the XML file multiple times the file name will increment each time (e.g., Rail_ABCompany_2018_V1.XML for the second iteration, etc. 

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select the report you would hke to view: 

fleet Summary 

fower Units 

Operations 

~omments 

fartner Feedback Summary 

f ubhc Disclosure Report 

Estimates fleet-level CO2, NOx, and PM performance, expressed n grams per ton-mile (gross, revenue 

and non-revenue), and grams per mile (rakar and truck-equivalent miles). 

Displays t he name, Class and contact for each fleet defined. 

Displays all of t he data you entered in t he Power Units Information section. 

Displays aU of t he data you entered in t he Operations section. 

Displays au of t he comments that have been entered t hroughout t he tool. 

Displays t he feedback you provided in t he Feedback section. 

Displays t he Scope 1, Scope 2, biogenic and non-carbon emissions. 

Step 3 Results and Summary Reports 

The View Summary Data Reports section gives you access to 7 reports to help you understand your data 

and use it to make better performance decisions. You can access these reports by selecting View Summary 

Data Reports at the bottom of the Home screen. 

The Feedback section allows you to provide EPA with general feedback regarding the SmartWay program. 

This information is optional and is not required in order to submit your Rail Carrier Tool data to EPA. Selecting 

the Give Us Feedback button under item #5 on the Home screen will open this form. 

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For more information: 

U. S. Environmental Protection Agency 

Office of Transportation and Air Quality 

1200 Pennsylvania Ave. NW 

Washington, DC 20460 

(734) 214-4333 

www.epa.gov/transportation-air-pollution-andclimate-change 

U. S. Environmental Protection Agency 

National Vehicle and Fuel Emissions Laboratory 

2565 Plymouth Rd. 

Ann Arbor, MI 48105 

(734) 214-4200 

www.epa.gov/aboutepa/about-nationalvehicle-and-fuel-emissions-laboratory-nvfel 

EPA 420 B 19 015 ǀ March 2019 ǀ SmartWay Transport Partnership ǀ epa.gov/smartway