1

Supporting Statement for

EPA Information Collection Request Number 2265.02

“Information Collection Activities Associated with the 

SmartWay Transport Partnership”

January 2014
2

Table of Contents

1 Identification of the Information Collection............................................................................ 4

1(a) Title of the Information Collection...................................................................................... 4

1(b) Short Characterization/Abstract........................................................................................... 4

2 Need for and Use of the Collection ......................................................................................... 7

2(a) Need/Authority for the Collection ....................................................................................... 7

2(b) Practical Utility/Users of the Data ....................................................................................... 8

3 Non-duplication, Consultations, and Other Collection Criteria .............................................. 9

3(a) Non-duplication ................................................................................................................... 9

3(b) Public Notice Required Prior to ICR Submission to OMB ................................................. 9

3(c) Consultations........................................................................................................................ 9

3(d) Effects of Less Frequent Collection................................................................................... 10

3(e) General Guidelines............................................................................................................. 11

3(f) Confidentiality ................................................................................................................... 11

3(g) Sensitive Questions............................................................................................................ 11

4 The Respondents and the Information Requested ................................................................. 11

4(a) Respondents and NAICS Codes ........................................................................................ 11

Table 4.1 ................................................................................................................................... 11

List of NAICS codes for SmartWay Partners........................................................................... 11

4(b) Information Requested....................................................................................................... 12

4(b)(i) Data Items.......................................................................................................................... 13

4(b)(ii)Respondent Activities........................................................................................................ 15

5 Information Collection: Agency Activities, Collection Methodology, and ......................... 17

Information Management.............................................................................................................. 17

5(a) Agency Activities............................................................................................................... 17

5(b) Collection Methodology and Management........................................................................ 18

5(c) Small Entity Flexibility...................................................................................................... 18

5(d) Collection Schedule ........................................................................................................... 18

6 Estimating the Burden and Cost of the Collection ................................................................ 19

6(a) Estimating Respondent Burden.......................................................................................... 19

6(b) Estimating Respondent Costs ............................................................................................ 19

6(b)(i) Estimating Labor Costs ..................................................................................................... 19

6(b)(ii) Estimating Capital and Operations and Maintenance (O&M) Costs.............................. 19
3

6(c) Estimating Agency Burden and Costs.................................................................................. 19

6(d) Estimating the Respondent Universe and Total Burden and Costs ................................... 20

Table 6.1 – Average Annual Respondent SmartWay Partners................................................. 22

6(e) Bottom Line Burden Hours and Cost Tables..................................................................... 24

6(e)(i) Respondent Tally............................................................................................................... 24

Table 6.2 – Total Estimated Annual Respondent Burden and Cost Summary......................... 24

6(e)(i)(i) Agency Tally .............................................................................................................. 25

Table 6.3 – Total Estimated Annual Agency Burden and Cost................................................ 25

6(f) Reasons for Change in Burden .......................................................................................... 25

6(g) Burden Statement............................................................................................................... 26

Exhibit 1 – Estimated Annual Respondent Burden and Cost ................................................... 28

Exhibit 2 – Annual Agency Burden and Cost........................................................................... 29

Exhibit 3 – Affiliate Agreement ............................................................................................... 30

Exhibit 4 – Tractor & Trailer Equipment Checklists................................................................ 30

Exhibit 5 – Mark Signature Page .............................................................................................. 30
4

1 Identification of the Information Collection

1(a) Title of the Information Collection

This Information Collection Request (ICR) is entitled “Information Collection 

Activities Associated with SmartWay Transport Partnership,” EPA ICR number 2265.02, 

OMB Control Number 2060-0663.

1(b) Short Characterization/Abstract

The U.S. Environmental Protection Agency (“EPA”) created the SmartWay Transport 

Partnership (“SmartWay”) to help businesses and individuals protect the environment, improve 

air quality, and maximize the energy efficiency of their transportation and logistics 

management choices. SmartWay focuses on increasing efficiency and lowering greenhouse 

gases and air pollution generated by goods movement. EPA encourages businesses that 

transport and move goods to adopt energy-efficient strategies and technologies that reduce fuel 

use, air pollution, and energy costs.

EPA administers a streamlined reporting process for organizations that join 

SmartWay and has created incentives for improvement (e.g., SmartWay Excellence Awards 

Program). EPA also makes reporting tools and other resources available on the Internet to 

help SmartWay partners evaluate their environmental performance and the value of 

investing in transportation management improvements.

This ICR examines the information collected under SmartWay from organizations 

active in the transportation sector. Sections 1 through 5 of this supporting statement describe 

the collections (in terms of the need and utility of the data collected). These sections also 

outline Respondent and Agency activities. In Section 6, EPA estimates the annual hour and 

cost burden to Respondents and the Agency as a result of the data collections.

SMARTWAY TRANSPORT PARTNERSHIP AND THE TRANSPORTATION SECTOR

SmartWay consists of the following participant groups:

• Carrier Partners are businesses that provide freight transport services, and 

that own and/or operate vehicles used in goods movement and related 

transportation-based assets. These businesses include trucking, railroad, 

commercial and retail businesses, independent truck owners, inland marine, 

and similar organizations. SmartWay may in the future expand to other types 

of freight modes including air and ocean-going vessels (OGV). 

SmartWay partners commit to improve their fuel efficiency and environmental 

performance as a condition for participating in the Partnership. Carriers that join 

SmartWay agree to annually measure their performance using a Microsoft 

Excel-based reporting tool (“reporting tool”) provided by EPA. This reporting 

tool may be downloaded from the EPA’s SmartWay website. 

• Shipper and Logistics Management Partners consist of manufacturers, 

retailers, logistics, and supply chain management companies that hire or 

contract with transportation providers (e.g., carriers) to move their goods. 
5

SmartWay shipper and logistics management partners agree to annually assess 

the proportion of goods dispatched with SmartWay carriers. They report their

carbon emissions using a reporting tool similar to that used by carriers. Shippers 

and logistics companies agree to ship an increasing percentage of their goods 

with SmartWay carriers, and to lower carbon emissions from their facility 

transportation operations as conditions for participating in SmartWay.

• Affiliates are both private and non-profit transportation-based organizations 

and companies, including trade associations, state and local governments, 

leasing companies, retail truck equipment dealers, and other groups that 

encourage the transportation sector to integrate pollution controls and energysaving strategies into their business operations.

This ICR covers the following reporting activities associated with Partner 

participation in the SmartWay program:

SmartWay Partnership Annual Agreement

• An organization joins SmartWay when it submits a reporting tool. This 

reporting tool has an embedded SmartWay Partnership Annual Agreement

(“Annual Agreement”). This Annual Agreement states the general terms under 

which the Partner agrees to participate and what EPA will commit to do in 

return for the organization’s participation.

For example, Partners commit to measure and report to EPA on an annual basis 

the environmental performance of their fleet(s) using the EPA’s reporting tool. 

In return, EPA commits to provide companies with industry-wide performance 

benchmark data as it becomes available to the EPA. 

Partners must check a box at the bottom of the Annual Agreement indicating 

that they understand and agree to Program participation terms before they can 

move into the reporting tool to enter their data.

SmartWay Annual Reporting Tool

• Upon joining SmartWay, carriers, shippers, and logistics management 

companies agree to annually measure emissions generated by their 

transportation-related activities. To do so, partners collect data on their freight 

management business, such as transportation mode, fleet size, fuel use, 

equipment type, number of miles traveled, payload and related factors. They 

then input this information into the reporting tool and submit it electronically to 

the EPA. EPA reviews, approves, and uploads the completed reporting tool 

into its Customer Relationship Management (CRM) partner account database

(“Partner database”).

EPA’s Partner database calculates the uploaded information to operate a 

company’s fuel consumption rates and emission outputs (CO2, nitrogen oxides, 

and particulate matter). The outcomes in the reporting tool enable Partners to 

conduct analyses that help them optimize the efficiencies of their transportation 

management activities through the SmartWay program. These outcomes can 

also be used to benchmark and improve Partner sustainability performance.
6

After initially submitting data into the reporting tool, Partners are asked to 

annually update their transportation management activities using the reporting 

tool. These annual reporting tool updates help Partners to track fuel economy 

improvements and monitor the effectiveness of their actions to reduce 

emissions. EPA uses these annual updates to monitor the progress of the 

SmartWay program.

SmartWay Partnership Affiliate Agreement

 SmartWay Affiliates (“Affiliates”) are organizations that encourage their

members or customers to participate in SmartWay. Affiliates commit also to 

promoting SmartWay within the freight transport industry. To become an 

Affiliate, the organization must complete and submit an Affiliate Agreement to 

the EPA. 

 In return, EPA agrees to do the following:

o Educate SmartWay Partners about the Affiliates’ involvement;

o Publicize Affiliates’ participation through SmartWay events, the website, 

and listing in educational and promotional materials;

o Provide marketing materials to Affiliates to assist them in promoting 

SmartWay;

o Provide EPA representatives as requested and as available to speak about 

SmartWay at Affiliate meetings and conferences;

o Provide technical assistance as needed to help Affiliates achieve Program 

goals.

SmartWay Excellence Awards

• Partners may be considered for a SmartWay Excellence Award and gain 

public recognition for their environmental performance and success in 

reducing fuel use. Emissions data, including updates that reflect transportation 

management improvements, may be used by Partners to demonstrate their

progress in reducing fuel use and air emissions. As part of the award process, 

SmartWay partners may also provide greater detail on specific actions they 

have taken to lessen the environmental impacts of their transportation-related 

business activities.

Program Evaluation

• Through workshops, webinars, conferences, and other interactive venues, 

SmartWay provides opportunities for Partners, other industry representatives,

and consumers to provide input on their experience with SmartWay. This 

includes input on the Program’s effectiveness at helping Partners to assess and 

improve the environmental performance of their freight transport operations, the 

usability of SmartWay-provided tools and information, and their awareness of 

the SmartWay program.

SmartWay Tractor & Trailer Program

• EPA-designated SmartWay tractors and trailers are a newer generation of longhaul rigs equipped with cleaner, fuel-saving features that meet voluntary 

equipment specifications. Model year 2007 and newer SmartWay-designated 
7

tractors and new and retrofitted trailers can achieve fuel savings of 10 to 20 

percent and lower greenhouse gas emissions. These designated vehicles also can

significantly reduce oxides of nitrogen, particulate matter, and other air 

pollutants. 

 SmartWay-registered for-hire carriers, owner-operators, manufacturers and 

retailers with private fleets that own, lease and/or operate SmartWay tractors or 

trailers are eligible to label the exterior of their SmartWay-verified tractors or 

trailers with the SmartWay logo. These SmartWay partners may submit a onetime application to EPA to obtain the SmartWay-designated logo.

 EPA may re-evaluate designation requirements over time to reflect changes in 

the fleet mix.

2 Need for and Use of the Collection

2(a) Need/Authority for the Collection

The EPA’s Office of Transportation and Air Quality (OTAQ) established SmartWay 

under directives outlined in Subtitle D of the Energy Policy Act of 2005 which calls on EPA to 

assess the energy and air quality impacts of activities within the freight industry. These 

activities include long-duration truck idling, the development and promotion of strategies for 

reducing idling, fuel consumption, and negative air quality effects. SmartWay’s objectives also 

are consistent with the Clean Air Act, the Federal Technology Transfer Act, and other laws that 

authorize and support research, training, and air pollutant control activities.

SmartWay is a key program in the Agency’s strategic approach to reducing climate 

emissions. SmartWay supports and complements the Agency’s climate policy agenda. 

SmartWay also supports OTAQ’s mission to protect the environment from transportationbased activities through the advancement of air pollution control equipment and 

technologies, clean fuels, and innovative mobility and logistics management strategies.

Information collected through SmartWay assists OTAQ in evaluating the challenges the 

freight industry is managing as the industry seeks to maintain its economic viability, conserve 

fuel, reduce idling activity, lower CO2 outputs, and improve its overall environmental 

performance (through the application of technology-based controls, efficient logistics 

management strategies and related approaches). SmartWay also provides opportunities for 

EPA and industry to cooperate and collectively execute strategies that can help improve the 

transportation industry’s financial and environmental performance, both in the short term and 

the long term.

Data gathered through SmartWay contribute to OTAQ’s goals to reduce 

transportation-based emissions, improve transportation efficiencies, and protect human 

health and the environment. SmartWay program data also is critical to monitoring and 

measuring the success of SmartWay as a public/private partnership, both in terms of 

collaboration and as a tool for reducing fuel consumption and air pollutants, including CO2, 

NOx, and particulate matter.
8

2(b) Practical Utility/Users of the Data

SmartWay Partnership Annual Agreement and Reporting Tools

Information collected through the SmartWay program has a broad range of 

practical and useful applications. The Annual Agreement is needed to secure basic 

contact information and to ensure an organization’s commitment to SmartWay’s energy 

and environmental goals. Data submitted through the reporting tool assist Partners in 

quantitatively assessing the fuel consumed and air pollutant emissions generated by 

their transportation and freight activities. Outputs from the reporting tool help 

organizations establish benchmarks, identify strategies, and set future goals for 

conserving fuel and reducing greenhouse gas, nitrogen oxide and particulate matter 

emissions.

By allowing carriers to compare their efficiency and environmental performance 

in the online Carrier Performance Ranking with competing carriers, SmartWay drives 

continued improvements across industry. Superior performance in various Partner 

categories is also recognized through the SmartWay Excellence Awards.

Completing and submitting an updated annual reporting tool helps Partners monitor 

their progress, determine if their goals are being met, and adjust their goals if necessary. 

These updates also can provide Partners with valuable information on the environmental 

and economic benefits of applying the options available for modifying their freight 

transport methods (e.g. purchase idle reduction equipment, modify pickup and delivery 

schedules, adopt intermodal options, etc.).

OTAQ uses outputs from the SmartWay reporting tools and its Partner database to 

evaluate progress toward its goals for reducing transportation-based emissions. Information 

contained in the SmartWay reporting tools and Partner database also is used to select potential 

candidates for a SmartWay Excellence Award. The data are considered by EPA as part of its

Excellence Awards program in conjunction with other information that partners may provide 

to demonstrate the progress they are making to meet the environmental commitments they 

made when joining SmartWay. 

SmartWay Partnership Affiliate Agreement

The Affiliate Agreement is needed to help EPA track those supporters who do not qualify 

as SmartWay partners (e.g., non-profit organizations, tractor/trailer dealerships). This Affiliate 

Agreement is a one-time submittal. Once the Partner has submitted the Affiliate Agreement, and 

EPA approves them into the Program as an Affiliate, the Affiliate does not have to submit 

another Affiliate Agreement.

SmartWay Excellence Awards

The SmartWay Excellence awards program provides EPA an important opportunity to 

publicly recognize the collective efforts of industry and individual organizations to conserve 

energy and improve air quality. This recognition serves as an important incentive, encouraging 

continuous improvement among existing partners, highlighting their success within industry 

among peers, and helping to strengthen and build the partnership.
9

Program Evaluation

Periodic feedback and evaluation on the effectiveness of the SmartWay program and 

recognition of SmartWay as a brand from program Partners, and other representatives active in 

the transportation sector will enable EPA to make program changes as may be warranted. This 

feedback and evaluation also enables EPA to ensure the value, usefulness, and effectiveness of 

the Program.

SmartWay Tractor & Trailer Program

SmartWay-registered partners in good standing that own or lease tractors or trailers 

designated under the SmartWay Verification Program report the number of SmartWaydesignated tractors or trailers to SmartWay when they apply to obtain the SmartWay tractor or 

trailer label. SmartWay uses this information to evaluate progress toward its goals for reducing 

transportation-based emissions. 

Obtaining the number of SmartWay-designated tractors that are in use by SmartWay 

partners also helps Partners to track the progress they are making to meet their environmental 

goals and to demonstrate their commitment to using environmentally-friendly vehicle 

technologies.

3 Non-duplication, Consultations, and Other Collection Criteria

3(a) Non-duplication

The information collected under this ICR is not collected by any other EPA office or 

any other federal agency. Therefore, there is no potential for duplication with other federal 

collections.

3(b) Public Notice Required Prior to ICR Submission to OMB

In compliance with the 1995 Paperwork Reduction Act (PRA), any agency developing 

a non-rule related ICR must solicit public comments for a 60-day period prior to submitting 

the ICR to OMB. These comments, which are used partly to determine realistic burden

estimates for Respondents, must be considered when completing the final Supporting 

Statement that is submitted to OMB.

The announcement of a public comment period for this renewal ICR has been made in 

the Federal Register under Docket ID No EPA-HQ-OAR-2007-0482.

3(c) Consultations

 Because EPA works closely with its SmartWay partners, the Agency already has a

basis for determining the time needed to carry out its information collection. Therefore EPA 

relied primarily on the expertise of Agency staff in developing the ICR’s hour and cost 

assumptions for this renewal. 

In addition, the Agency accessed its Partner database and associated documentation 

to estimate the number of Respondents and activities. The Agency’s data sources are kept up
10

to date based on Partner submittals (e.g., Partner annual tool submittals) and equipment logo 

applications. 

3(d) Effects of Less Frequent Collection

SmartWay Partnership Annual Agreement and Reporting Tool

The Annual Agreement is submitted to the EPA and is part of the reporting tool; 

less frequent data collection would reduce the value of the data in informing industry 

decisions, and decrease Program effectiveness.

A Partner submits the annual reporting tool upon joining SmartWay and annually 

thereafter, for as long as an organization remains a SmartWay partner. First-year system 

outputs are used by Partners as a baseline to establish energy and emission reduction goals in 

the future.

Submitting annual reporting tool updates are necessary for SmartWay partners to 

determine the effectiveness of their actions to reduce emissions and energy use. Likewise for 

EPA, collecting and storing the reporting tool data annually ensures that the Agency is able to 

establish quantitative information on the Program’s progress in reaching SmartWay’s 

emissions and fuel reduction goals.

Submitting a reporting tool to EPA less frequently than annually would prevent EPA 

and its SmartWay partners from tracking and assessing the progress of Partners and the 

Program as a whole. It also would make it difficult for Partners to modify their strategies to 

reduce energy use and emissions, as needed, to meet their goals. Annual reporting tool updates 

are necessary for EPA and its SmartWay partners to effectively work toward their shared 

energy and environmental goals. It would also require significant changes to the Program’s 

reporting tools and structure.

The updated data also are important to EPA when assessing Partner performance as 

part of the SmartWay Excellence Awards program. The Excellence Awards are an important 

incentive and encourage Partners to implement effective emission-reduction strategies that 

help conserve energy, reduce greenhouse gas emissions, and improve air quality. This 

recognition is given on an annual basis.

SmartWay Partnership Affiliate Agreement

The Affiliate Agreement is needed to help EPA track SmartWay supporters who do not 

qualify as SmartWay partners (e.g., non-profit organizations, tractor/trailer dealerships). This is a 

one-time submittal. Once the organization has submitted the Affiliate Agreement, and EPA 

approves them into the Program as an Affiliate, the Affiliate will not have to complete another 

Affiliate Agreement. Submitting the one-time Affiliate Agreement is necessary for EPA and its 

Affiliates to effectively work toward their shared energy and environmental goals.

Program Evaluation

Providing sufficient opportunities for SmartWay partners and transportation industry 

professionals to provide input to EPA on the effectiveness of SmartWay is necessary to 

monitor and implement program changes, as needed, in a timely manner.
11

SmartWay Tractor & Trailer Program

SmartWay partners in good standing that purchase or lease EPA-designated SmartWay 

tractors and trailers can submit a one-time application to apply the SmartWay logo to the 

exterior of their EPA-designated SmartWay equipment. Submitting the one-time application is 

necessary for EPA and Respondents to effectively work toward their shared energy and 

environmental goals.

3(e) General Guidelines

Information collections performed under this clearance will follow all of OMB’s

General Guidelines regarding Federal data collection.

3(f) Confidentiality

Participation in SmartWay is voluntary and may be terminated by participants or EPA 

at any time. If a claim of confidential business information (CBI) is asserted, EPA will manage 

that information in accordance with EPA’s provisions on confidentiality. 40

CFR Part 2, Subpart B establishes EPA’s general policy on the public disclosure of 

information and procedures for handling CBI claims.

3(g) Sensitive Questions

No questions of a sensitive nature are asked of SmartWay participants (“Respondent(s)”).

4 The Respondents and the Information Requested

4(a) Respondents and NAICS Codes

Table 4.1 lists selected North American Industrial Classification System (NAICS) codes and 

the primary industry sectors associated with those codes. These industry sectors may be 

affected by SmartWay-related information collections covered under this ICR.

Table 4.1

List of NAICS codes for SmartWay Partners

NAICS Code Industry

421 Wholesale Trade, Durable Goods

422 Wholesale Trade, Nondurable Goods

4211 Motor Vehicle and Motor Vehicle Part and Supplies

42111 Automobile and Other Motor Vehicle Wholesalers

42112 Motor Vehicle Supplies and New Part Wholesalers

423 Wholesale Trade, Nondurable Goods

44-45 Retail Trade

48-49 Transportation and Warehousing

481 Air Transportation

4811 Scheduled Air Transportation

481112 Scheduled Freight Air Transportation

4812 Nonscheduled Air Transportation

48121 Nonscheduled Air Transportation
12

481212 Nonscheduled Chartered Freight Air Transportation

481219 Other Nonscheduled Air Transportation

482 Rail Transportation

4821 Rail Transportation

48211 Rail Transportation

482111 Line-Haul Railroads

482112 Short-Line Railroads

483 Water Transportation

4831 Deep Sea, Coastal and Great Lakes Water Transportation

48311 Deep Sea, Coastal and Great Lakes Water Transportation

483111 Deep Sea Freight Transportation

483113 Coastal and Great Lakes Freight Transportation

4832 Inland Water Transportation

48321 Inland Water Transportation

483211 Inland Water Freight Transportation

484 Truck Transportation

4841 General Freight Trucking

48411 General Freight Trucking, Local

48412 General Freight Trucking, Long-Distance

484121 General Freight Trucking, Long-Distance, Truckload

484122 General Freight Trucking, Long-Distance, LTL

4842 Specialized Freight Trucking

488 Support Activities for Transportation

4881 Support Activities for Air Transportation

48811 Airport Operations

488119 Other Airport Operations

48819 Other Support Activities for Air Transportation

4882 Support Activities for Rail Transportation

48821 Support Activities for Rail Transportation

4883 Support Activities for Water Transportation

48831 Port and Harbor Operations

48832 Marine Cargo Handling

48833 Navigational Services to Shipping

48839 Other Support Activities for Water Transportation

4884 Support Activities for Road Transportation

4885 Freight Transportation Arrangement

48851 Freight Transportation Arrangement

4889 Other Support Activities for Transportation

48899 Other Support Activities for Transportation

488991 Packing and Crating

488999 All Other Support Activities for Transportation

4931 Warehousing and Storage Facilities

49311 General Warehousing and Storage Facilities

49312 Refrigerated Warehousing and Storage Facilities

49319 Other Warehousing and Storage Facilities

4(b) Information Requested

Respondents commit to conserve energy and emissions when they join SmartWay. The

following describes the information that they submit as part of their participation with 

SmartWay:
13

4(b)(i) Data Items

SmartWay Partnership Annual Agreement

• A Respondent completes a reporting tool for its transportation mode (e.g., 

carrier, multi-modal, shipper) when it joins SmartWay. The Partnership 

Annual Agreement is embedded in the reporting tool. A completed Partnership 

Annual Agreement and reporting tool confirm that an organization has 

registered with SmartWay. It lists the commitments that both EPA and the 

Respondent assume by working together through the SmartWay Partnership. 

On average, EPA estimates that 0.66 hours are needed to thoroughly review, 

comprehend and approve the Partnership Annual Agreement. This could 

include some legal review.

The Partnership Annual Agreement includes the following information:

 Terms of the company’s commitment,

 A statement confirming an understanding of the Annual Agreement, 

the importance of an accurate and true reporting tool submissions,

 General terms of the SmartWay Partnership, and

 Terms of EPA’s commitment.

SmartWay Annual Reporting Tool

• The SmartWay annual reporting tool is a Microsoft Excel-based report that

enables SmartWay partners to quantify the environmental performance of their 

transportation-based operations. SmartWay partners download the reporting 

tool from the SmartWay website (www.epa.gov/smartway) and enter their 

transportation data when they join SmartWay. They submit updated reporting 

tools annually thereafter. SmartWay provides tailored carrier and shipper 

reporting tools for different modes of moving goods. Available reporting tools 

include truck, rail, inland marine (barge), logistics, and multi-modal.

On average, EPA estimates that SmartWay partners will take 5.16 hours to 

gather, input, and review the data needed to successfully complete the reporting 

tool the first time. 

Thereafter, annual reporting tool updates will take 2.66 hours to complete. 

These estimates include the time needed to review system outputs prior to 

sending them to EPA.

For carrier partners the reporting tool requires the following information:

 Contact information, including a responsible agent for the 

company, and an alternate; street and electronic addresses and 

phone numbers, and

 Information about the company, including data about its existing 

transportation equipment, such as the number of trucks employed; 

gallons of fuel used and miles traveled annually; average payload; 

pollution control equipment deployed and idling activity.
14

For shipper and logistics management Partners, the reporting tool requires the 

following information:

 Contact information, including a responsible agent for the 

company, an alternate; street and electronic addresses, and phone 

numbers,

 Information about the company’s transportation activities, 

including carriers hired to transport goods; mode/s used to transport 

products; and freight facility operations.

Annual SmartWay Excellence Awards

• The Annual SmartWay Excellence Awards recognize outstanding achievements 

by Partners in the program. Data from the reporting tools and Partner database

provide the basis for an award. Partners also have the option of providing 

additional information, as listed below, to be considered for an award. On 

average, EPA estimates that organizations that choose to provide this 

information take an estimated 3.25 hours to do so.

Additional information that may be provided by a Partner includes:

 Efforts undertaken to educate its staff, customers, and the public 

about its participation in SmartWay, and

 Other activities supporting its participation as a SmartWay partner 

(e.g., a shipper may offer special assistance or incentives that help 

and/or encourage carriers to join SmartWay).

SmartWay Partnership Affiliate Agreement

• An organization that wishes to support SmartWay as an Affiliate completes the 

SmartWay Affiliate Agreement (“Affiliate Agreement”) when it joins 

SmartWay. The Affiliate Agreement is in Adobe Acrobat format and is 

submitted electronically, by fax, or by U.S. mail. (See Appendix A for a copy 

of the Affiliate Agreement). 

A completed Affiliate Agreement lists the commitments that both EPA and the 

joining organization assume by working together through the SmartWay 

Partnership. On average, EPA estimates that 0.82 hours are needed to 

thoroughly review, comprehend and submit the Affiliate Agreement. This 

could include some legal review.

Partner Evaluation

 SmartWay may request feedback on the program and the tools it provides, 

which would be expected to require no more than 15 minutes of a Respondent’s 

time.

SmartWay Tractor &-Trailer Program

 A SmartWay partner that wants to label the exterior of its tractors or trailers as 

“SmartWay Tractor” or “SmartWay Trailer” will complete and submit the 
15

SmartWay Equipment Checklist that may be downloaded from the EPA’s 

SmartWay website (See Exhibit 4 for a copy of the SmartWay Equipment 

Checklist.) Completion and submission of the Equipment Checklist signifies 

that the Partner owns or operates the respective tractor and/or trailer that meet 

the SmartWay specifications. 

 Data that the SmartWay partner submits in the SmartWay Equipment Checklist 

include:

o Name of the truck or trailer manufacturer,

o Name of the truck or trailer model/brand,

o The model year of the truck or trailer,

o Identification of SmartWay-verified technologies on the trucks (e.g., 

tires, idling control devices) and trailers (e.g., tires, aerodynamic 

equipment), and

o The number of SmartWay-designated trucks or trailers in use by the 

respective SmartWay partner.

 The SmartWay partner also completes and submits the Mark (i.e., logo) 

Signature Form (See Exhibit 5 for a copy of the Mark Signature Form). This 

form is found on page 33 of the SmartWay Graphic Standards & Usage Guide.) 

Signing and submitting this form signifies understanding of and agreement to 

adhere to the SmartWay logo guidelines.

EPA estimates that it takes Partners approximately 2.75 hours to compile and submit the 

SmartWay Equipment Checklist and Mark Signature Form. This is a one-time submittal. 

4(b)(ii)Respondent Activities

SmartWay Partnership Annual Agreement and Reporting Tool

To register with SmartWay, Respondents are asked to:

 Download the reporting tool,

 Review the embedded Partnership Annual Agreement and agree to its terms, 

 Complete the reporting tool, and

 Submit the completed reporting tool to EPA electronically, by fax, or U.S. 

mail.

SmartWay Annual Reporting Tool

Partners are asked to annually submit an updated reporting tool to the EPA. These 

activities involve the following:

 Gathering information needed to provide relevant inputs for 

the reporting tool,

 Reviewing reporting tool reports and data outputs, and

 Submitting a new or updated reporting tool and review data outputs annually.

SmartWay Partnership Affiliate Agreement

To join the SmartWay Partnership as an Affiliate, organizations are asked to complete
16

and submit the Affiliate Agreement. This activity includes the following:

 Download the Affiliate Agreement

 Review it and agree to its terms, and

 Submit the signed Affiliate Agreement to EPA electronically, by fax, or by 

U.S. mail.

Annual SmartWay Excellence Award

In addition to reporting their environmental performance data via the reporting tool, 

SmartWay partners have the option to submit information on their actions to reduce fuel use, 

save energy, and publicly promote their participation in the SmartWay program. When a partner 

chooses to submit this information, it will:

 Gather and compile information on its activities, including samples of 

promotional materials and in-house tools developed to highlight their 

involvement in SmartWay, and

 Send these materials to EPA, electronically, by fax, or by U.S. mail.

Program Evaluation

EPA may seek feedback on the SmartWay program on a random and voluntary basis,

and Respondents may be asked to respond to a range of questions. These questions could 

include the usability of the reporting tool and the program’s value to their organization, among 

others.

SmartWay Tractor & Trailer Program

A SmartWay partner’s completion of the SmartWay Tractor & Trailer Program one-time 

application includes the following steps:

 Review the SmartWay-designated technical specifications to determine whether 

the tractor or trailer is eligible for the designation,

 Review the SmartWay Graphic Standards & Usage Guide that details specifics 

and guidelines for SmartWay logo use,

 If eligible:

o Complete and submit the SmartWay Equipment Checklist which can be 

downloaded from the SmartWay website. Information to be provided 

includes:

 Name of the truck or trailer manufacturer,

 Truck or trailer model/brand,

 Truck or trailer model year,

 SmartWay-verified technologies on trucks (tires, idling control 

devices),

 SmartWay-verified technologies on trailers (tires, aerodynamic 

equipment),

 Number of trucks or trailers.
17

5 Information Collection: Agency Activities, Collection Methodology, and

Information Management

5(a) Agency Activities

EPA SmartWay managers, staff, and Partner Account Managers (PAMs) will 

perform certain activities associated with information collections described in this ICR. 

These activities serve to develop, evaluate and support the SmartWay program.

SmartWay Partnership Annual Agreement

The Agency will perform the following activities related to the Partnership 

Annual Agreement:

 Promote company participation by posting Partner names on the SmartWay 

website and in related educational, promotional, and media materials,

 Provide Partners with industry-wide performance benchmark data as it 

becomes available to EPA,

 Assist Partners in achieving emissions and fuel usage reduction goals,

 Update and maintain SmartWay website, and

 Monitor the use of SmartWay logos.

SmartWay Annual Reporting Tool

The Agency will perform the following activities related to SmartWay partner-submitted 

reporting tools:

 Assign a PAM,

 Review, approve, and upload to the Partner database new and updated 

Partner performance data submitted in the reporting tool,

 Send a welcome letter and registration certificate to the new Partner,

 Request updates of information annually,

 Review partner activities undertaken to cooperatively promote SmartWay,

 Record partner progress in the database, and

 Update and maintain SmartWay Website Performance Carrier Ranking.

Annual SmartWay Excellence Awards

The Agency will review environmental performance data and any additional data 

Partners provide to highlight their progress and achievements in conserving fuel and 

reducing emissions:

 Review and rank environmental performance data that is submitted,

 Review and assess other Partner information submitted for award 

consideration, and

 Summarize and describe Partner accomplishments and achievements that 

warrant recognition.
18

Program Evaluation

The Agency will review input from its partners, and industry representatives on the 

program and use it to adjust and improve the program.

SmartWay Tractor & Trailer Program

SmartWay will perform the following activities in support of the SmartWay Tractor & 

Trailer Program:

 Review the Partner logo request application submission,

 Answer questions of Partners, as appropriate, and

 Once approved, send the digital logo files to the Partner.

5(b) Collection Methodology and Management

EPA will use a telephone system, personal computers, and applicable software to 

collect and analyze information gathered under this ICR. The reporting tools have embedded 

quality assurance controls based on EPA’s statistical analyses of historical data. These 

controls assist the Agency in managing the data cost effectively. 

Additionally, EPA will ensure the accuracy and completeness of collected information 

by reviewing each submittal. The Agency will upload the information obtained into the 

Partner database and will aggregate data obtained to monitor the progress of participants in 

reducing fuel consumption and air pollutant emissions. These efforts will help to ensure the 

proper use and processing of the information being collected to enhance the value of the 

information to EPA and the public.

5(c) Small Entity Flexibility

EPA expects that some independent truck owners, small fleet operators and other small 

businesses will participate in SmartWay. EPA has designed its information collections to 

minimize Respondent burden while obtaining sufficient and accurate information. EPA has 

tailored its reporting tools to ensure that the burden on all businesses – including small 

businesses – is minimal.

Small entities, along with any Respondent, can call the SmartWay Helpline, attend 

SmartWay webinars, or use the SmartWay email box to access help and Program information.

Additionally, SmartWay works with Affiliate parters such as state trucking association to 

provide additional training and outreach.

5(d) Collection Schedule

The Agency collects environmental performance data from SmartWay partners

annually via an Excel-based reporting tool. Additional information that is submitted for the 

purpose of being considered for an award is optional.
19

6 Estimating the Burden and Cost of the Collection

6(a) Estimating Respondent Burden

Exhibit 1 presents the annual Respondent burden hours for information collection 

activities associated with SmartWay. Exhibit 1 also includes the total annual hours devoted by 

Respondents to conduct all activities.

6(b) Estimating Respondent Costs

Exhibit 1 estimates Respondent costs associated with each information collection 

activity. Exhibit 1 also presents the total annual Respondent costs under all activities. Specific 

cost assumptions are discussed below.

6(b)(i) Estimating Labor Costs

The labor rates used to estimate costs to Respondents are consistent with hourly 

national wage rates published by the U.S. Bureau of Labor Statistics publications on 

employment and earnings. EPA estimates a median hourly Respondent labor cost. EPA also 

multiplied hourly wage rates by the standard government overhead factor of 1.6 to calculate 

overhead costs such as paid leave, health insurance, retirement savings, office space, 

computers, and other business expenses. This resulted in hourly Respondent labor burden of 

$73.38 for legal staff, $68.80 for managerial staff, $57.98 for technical staff, and $30.16 for 

clerical and/or administrative staff.

6(b)(ii) Estimating Capital and Operations and Maintenance (O&M) Costs

In general, EPA is not expecting that Respondents will need additional computers, 

software, or other capital investments to participate in the SmartWay Transport Partnership. 

Respondents should be able to use existing computer equipment and software to compile and 

submit the annual reporting tool and to submit other information as part of their SmartWay 

participation.

Operations and maintenance (O&M) costs are those costs associated with a 

paperwork requirement incurred continually over the life of the ICR. They are defined by the 

Paperwork Reduction Act of 1995 as the “recurring dollar amount of costs associated with 

O&M or purchasing service.” 

This ICR includes O&M costs for postage (i.e., $0.50 for first class mail) for each 

submittal to EPA by postal mail. Although most submittals are electronically provided, EPA 

recognizes that postal mail may be used by some of our partners. Additionally, for the 

collection of optional items such as hard copies of materials submitted for consideration of a 

SmartWay Excellence Award, EPA estimates an average cost of $15.00 per submittal.

6(c) Estimating Agency Burden and Costs.

EPA estimates that each EPA federal burden hour for the information collection 

activities associated with SmartWay is conducted by an experienced technical staff person. 
20

EPA is also including overhead costs associated with employing an experienced technical 

staff person, such as paid leave, health insurance, retirement savings, office space, computers, 

and other business expenses. 

EPA assumed that federal staff-level burden hours would be completed by an 

experienced technical staff person being paid at a GS-13, Step 3 federal government employee 

salary of $76,452/year.

1 EPA then divided the annual 2013 GS-13, Step 3 salary rate by 2080 

(the number of hours in a work year) and multiplied this number by the standard government 

overhead factor of 1.6. This calculation resulted in a federal cost of $58.81/burden hour. 

EPA also assumed that managerial oversight would be completed by a manager being 

paid at the GS-14, Step 3 federal government employee salary of $90,343/year. EPA then 

divided the annual 2013 GS-14, Step 3 salary rate by 2080 (the number of hours in a work 

year) and multiplied this number by the standard government overhead factor of 1.6. This 

calculation resulted in a federal cost of $69.49/burden hour.

EPA also uses Senior Environmental Employees (SEE) to support SmartWay. For the 

SEE employees, EPA estimates a labor rate of $26/burden hour. Labor rates for SEE 

employees are based on standard rates applied by Senior Service America, Inc., the 

administrator of a grant program that makes SEE employees available to the EPA. 

These estimates are summarized in Exhibit 2.

6(d) Estimating the Respondent Universe and Total Burden and Costs

In this section, EPA describes its estimates of the number of Respondents carrying out 

the information collections under SmartWay. In developing its estimates, EPA referred to its 

Partner database and related documentation to identify trends in the number of existing and 

new Respondents. Based on this understanding, EPA has estimated the average number of 

Respondents associated with each of the information collections under the program. These 

averages and an explanation of how they were derived follows for each collection activity.

Affiliate Agreement

Based on information drawn from the SmartWay Partner database, there are 3,134

Respondents participating in SmartWay. Of those 3,134 Respondents, approximately 233 (7%) 

of them are Affiliates. 

These Affiliates do not complete or submit an annual reporting tool. Affiliates join 

SmartWay to help promote and support EPA’s goals through marketing and communications 

activities. They typically do not engage in a significant amount of freight activity. 

Consequently it is not necessary for them to complete or submit an annual SmartWay reporting 

tool. However, they must complete and submit an Affiliate Agreement to participate with 

SmartWay as an Affiliate. 

Based on historical program growth, EPA estimates that, on average, 450 Respondent 

organizations will join SmartWay either as Partners or Affiliates. Based on the existing 

percentage of Respondents that are Affiliates (i.e., 7%), EPA projects that 32 Respondents will 

 

1

January 2013 U.S. Office of Personnel Management, Salary Table 2013-GS, 2013 General Schedule,, 

http://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/2013/general-schedule/2013-gs-annual-ratesby-grade-and-step/. 
21

join annually as Affiliates (450 x 0.07 = 32). EPA estimates that it will take, on average. 0.82 

hours for each of these Affiliates to complete and submit an Affiliate Agreement.

These assumptions are reflected in Exhibit 1.

SmartWay Partnership Annual Agreement and Reporting Tool

EPA asks all organizations that join SmartWay, with the exception of Affiliates, to 

download the reporting tool which is available online, and to enter their environmental 

data into the reporting tool before submitting it to EPA. After that, Partners are asked to 

provide annual updates using the reporting tool.

Approximately 93% of SmartWay’s Respondents, or 2,901 Partners, submit a 

completed reporting tool and Annual Agreement upon joining the Program and annually 

thereafter. Based on historical program growth, EPA estimates that 450 organizations 

representing shipper, carrier (truck, rail), logistics management, and public and private affiliate 

groups will join SmartWay annually. Using historical trends, EPA estimates that approximately 

418 of those organizations will register annually as SmartWay partners (450 x 0.93 = 418). The 

other 7% –32 organizations– will join as Affiliates. 

EPA estimates that these 418 new partners will enter environmental performance data

each year, taking 5.16 hours on average to do so. Additionally, EPA estimates that it will take 

another 0.66 hours on average per new SmartWay partner to review and complete the Annual 

Agreement that is embedded in the reporting tool. This work will entail the following:

 Reviewing the terms of the Annual Agreement, which may include 

legal review for some companies,

 Gathering information needed to provide relevant inputs into the 

reporting tool,

 Downloading the reporting tool from the SmartWay Website and 

entering information and relevant data into the reporting tool,

 Reviewing the reporting tool and data output for inconsistencies and errors,

 Reviewing utility options for reducing fuel use and emissions, and

 Sending the completed reporting tool to the EPA.

These assumptions are reflected in Exhibit 1. 

SmartWay Annual Reporting Tool Updates

Following the initial submittal of environmental performance data using the reporting 

tool, EPA asks that Partners annually report their progress in meeting their environmental 

performance goals. In addition to the 2,901 existing partners that will provide annual reporting 

tool updates, new Partners also will submit an annual reporting tool. Therefore, in addition to 

the 2,901 existing partners that provide updated environmental data via the reporting tool, 

another 418 new partners will submit a reporting tool for the first time during each year of the 

three-year period covered by this ICR. 

EPA also reviewed the SmartWay program’s retention rate among its existing Partners. 

EPA found that about 75% of all SmartWay partners that initially submit a reporting tool 

maintain their status as SmartWay partners by annually submitting the reporting tool and 

Annual Agreement. Thus, of the 418 new SmartWay partners that submit a reporting tool for 

the first time, approximately 314 of them (418 x .75 = 314) will submit a reporting tool update 

in proceeding years.
22

To develop an average complete estimate of the number of annual Respondent hours 

and cost burden associated with submitting the reporting tool on an annual basis, EPA factored 

in this retention rate. See the below Table 6.1 for an average of projected Respondents 

submitting reporting tools over the three-year period covered by this ICR.

Table 6.1

Average Annual Respondent

SmartWay Partners

Year Existing 

Respondents

New Respondents

1 2,901 418

2 3,215

(2,901 + 314)

418

3 3,529

(3,215 + 314)

418

Average Annual 

Respondents

3,215 418

Although the same basic actions that are involved in initially submitting the reporting 

tool are used in subsequent reporting years, EPA estimates that gathering, reviewing, and 

submitting an updated reporting tool will require an average of 2.66 hours. The reduction in this 

burden hour estimate (as compared to running the reporting tool for the first time) is based on the 

experience that SmartWay partners have acquired in managing their fleet, energy and 

environmental performance as well as in increased familiarity with the SmartWay reporting tool. 

As a result, EPA estimates that on an average annual basis, 3,215 SmartWay partners 

will provide an updated reporting tool, taking 2.66 hours on average to do so.

These assumptions are reflected in Exhibit 1.

SmartWay Excellence Awards

As a part of its annual SmartWay Excellence Awards program, EPA annually reviews 

the environmental data Respondents submit to identify and recognize Respondents that 

demonstrate a high level of leadership in reducing fuel consumption and lowering greenhouse 

gas and other air emissions. All Respondents have the option of providing EPA with other 

relevant information on actions that may not be captured in their performance data. 

When a Respondent voluntarily opts to submit this information, it will:

 Gather and compile information on its activities, including samples of 

promotional materials and in-house tools developed to highlight its 

involvement in SmartWay, and

 Send these materials to EPA, either electronically or by mail.
23

Based on EPA’s experience in administering the SmartWay Excellence Awards 

program, it is estimated that 109 Partners (about 3.5% of all Partners) will provide this 

additional information for consideration on an annual basis during the three-year time period 

covered by this ICR. On average, these Partners will take 3.25 hours to gather and submit the 

award materials that they would like EPA to evaluate.

These assumptions are reflected in Exhibit 1.

Program Evaluation

Over the three year period covered by this ICR, EPA expects that it will ask 

Respondents for advice and suggestions on the effectiveness of SmartWay and how to 

improve the tools and incentives it provides the transportation sector. EPA will request this 

information no more than once a year from no more than 150 Respondents and expects that 

it will require no more than 15 minutes of time from a Respondent.

These assumptions are reflected in Exhibit 1.

SmartWay Tractor & Trailer Program

Approximately 170 SmartWay partners reported owning or operating trucks that 

meet the SmartWay designated specifications. This is an annual average of 28 SmartWay 

partners applying to participate since the SmartWay Tractor Program began in 2008. 

Approximately 54 SmartWay partners reported owning or operating dry van trailers 

that meet the SmartWay designated specifications. This is an annual average of nine (9) 

Partners applying to participate since trailers were included in the Program in 2009.

Based on historical data, EPA estimates that, on average, 37 interested Partners will 

apply to participate in the SmartWay Tractor & Trailer Program annually over the threeyear period covered by this ICR. EPA estimates that it will take these Partners

approximately 2.75 hours each to gather the required data and to complete and submit the 

one-time SmartWay Equipment Checklist and the Mark Signature form needed to 

participate in the SmartWay Tractor & Trailer program. 

These assumptions are reflected in Exhibit 1.
24

6(e) Bottom Line Burden Hours and Cost Tables

6(e)(i) Respondent Tally

As shown in Table 6.2, EPA estimates the total annual hour and cost burden to 

Respondents to be 11,504 hours and $628,477.

Table 6.2

Total Estimated Annual Respondent Burden and Cost Summary

Information 

Collections

Number of 

Respondents 

(Average/Year)

Estimated 

Burden 

Hours per 

Respondent

Total 

Annual 

Burden 

Hours 

Total 

Annual 

Labor 

Total 

Annual 

Capital 

Cost

Total 

Annual 

O&M 

Cost

Total 

Annual 

Cost

Affiliate 

Agreement

32 .82 26 $1,588 $0 $16 $1,605

Initial 

Reporting 

Tool and 

Annual 

Agreement 

Submission

418 5.82 2,433 $142,500 $0 $0 $142,500

Annual 

Reporting 

Tool Updates 

3,215 2.66 8,552 $454,201 $0 $0 $454,201

Excellence 

Awards & 

Recognition

109 3.25 354 $20,371 $0 $1,635 $22,006

Evaluation 150 .25 38 $2,580 $0 $0 $2,580

Tractor & 

Trailer 

Program

37 2.75 102 $5,585 $0 $0 $5,585

TOTAL 3,961 -- 11,504 $626,825 $0 $1,651 $628,477
25

6(e)(i)(i) Agency Tally

In Table 6.3, EPA presents a summary of the total estimated annual Agency burden for 

the SmartWay program.

Table 6.3

Total Estimated Annual Agency Burden and Cost

Respondent 

Type

Annual 

Burden

Hours

Total Annual Labor 

Costs

Total Annual 

Capital

Cost

Total Annual 

O&M Cost

Total Annual 

Cost

Agency 4,332 $159,971 $0 $321 $160,292

6(f) Reasons for Change in Burden

Increase in Respondent burden since the previous ICR was approved is approximately 

3,203 hours:

 Adjustment due to increased interest in SmartWay and thus, an increase in new 

annual Respondents.

The average annual number of burden hours for new reporting tools, not including the 

burden associated with completing the Annual Agreement has increased by 331 hours (i.e., from 

1,826 to 2,157 average annual burden hours.) This increase is due to the growth in the number of 

new Respondents since the last ICR. 

The number of new Respondents submitting a reporting tool for the first time is estimated 

to have increased from 260 to 418 Respondents. This is based on historical trends and a

programmatic change that now requires any new Respondent to submit a reporting tool in 

addition to the Partnership Annual Agreement when it initially registers with SmartWay. 

Burden hour increase attributable to this change: Approximately 331 hours

 Adjustment due to robust retention, and as a result, an increased number of existing 

Respondent Partners.

The average number of burden hours for updated reporting tools has increased by 2,727 

annual burden hours due to Program growth (i.e., from 5,825 annual average burden hours to 

8,552 annual average burden hours.) This is due to Program growth. 

The average annual number of Respondents submitting an updated reporting tool and 

Annual Agreement has increased from an annual average of 2,190 respondents to an annual 

average of 3,215 Respondents, since the last ICR. 
26

Burden hour increase attributable to this change: Approximately 2,727 hours

 Adjustment due to a projected increase in Respondent interest in the SmartWay 

Excellence Award. 

The number of projected annual SmartWay Excellence Awards applicants has increased 

based on the increased number of SmartWay partners. 

Burden hour increase attributable to this change: Approximately 110 hours

 Program Change associated with the SmartWay Tractor & Trailor Program. 

EPA has added information collection requirements with the SmartWay Tractor & Trailer 

Program, to increase the Program’s effectiveness and reflect changes in fleet mix.

Burden hour increase attributable to this change: Approximately 102 hours

 Program Change associated with SmartWay’s streamlined Partnership Annual 

Application.

The reason for this change is that EPA streamlined its process so new Partners submit 

their Partnership Annual Agreement as part of the reporting tool. Thus, the 0.16 hours needed to 

submit the Agreement is now merged in with the reporting tool submission. There is an annual

reduction in 0.16 hours per Respondent needed to submit the Partnership Annual Agreement -

from 0.82 hours to 0.66 hours. The annual Respondent burden associated with submitting the 

Affiliate Agreement has not changed.

Burden hour decrease attributable to this change: Approximately 67 hours

EPA believes the burden in this ICR renewal is justified in light of the many benefits to 

participants, the public, and the environment. 

6(g) Burden Statement

EPA estimates that the reporting burden per SmartWay Respondent will be 

approximately 2.90 hours per year. EPA notes that this is an average across all SmartWay 

partners, regardless of whether they are SmartWay Affiliates or SmartWay Partners. It is also 

an average for all Respondents, regardless of how they have participated with SmartWay (i.e., 

whether they have previously completed Partner agreements, submitted additional information

for Program evaluation, or submitted an application for Excellence award consideration.).

Burden means the total time, effort, or financial resources expended by a person to 

generate, maintain, retain, disclose or provide information to or for a Federal Agency. This 

includes the time needed to: review instructions; develop, acquire, install, and utilize 

technology and systems for the purposes of collecting, validating, and verifying information; 

adjust the existing ways to comply with previously applicable instructions; search data 
27

sources; complete and review the collection of information; transmit or otherwise disclose the 

information. An agency may not conduct or sponsor, and a person is not required to respond 

to, a collection of information unless it displays a currently valid OMB control number.

To comment on the Agency's need for this information, the accuracy of the 

provided burden estimates, and any suggested methods for minimizing respondent 

burden, including the use of automated collection techniques, EPA has established a

public docket for this ICR under Docket ID Number EPA-HQ-OAR-2007-0482, which is 

available for online viewing at www.regulations.gov, or in person viewing at the Air Docket in 

the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, 

Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 

4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the 

Reading Room is (202) 566-1744, and the telephone number for the Air Docket is (202) 566-

1742. An electronic version of the public docket is available at www.regulations.gov. This site 

can be used to submit or view public comments, access the index listing of the contents of the 

public docket, and to access those documents in the public docket that are available 

electronically. When in the system, select “search,” then key in the Docket ID Number 

identified above. Also, you can send comments to the Office of Information and Regulatory 

Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, 

Attention: Desk Officer for EPA. Please include the EPA Docket ID Number EPA-HQ-OAR2007-0482 and OMB Control Number 2060-0663 in any correspondence.
28

Exhibit 1

Estimated Annual Respondent Burden and Cost

Information Collection Activity

Hours and Costs per Respondent Total Hours and Cost

Legal 

$73.38/hr

Manager 

$68.80/hr

Technical 

$57.98/hr

Clerical 

$30.16/hr

Response 

Hours/Year

Labor 

Cost/ 

Year 

Capitol 

Startup 

Costs

O&M 

Costs

Number 

of 

Respondents

Total 

Hours/ 

Year Total Cost/ Year

Affiliate Agreement

Review Affiliate Agreement 0.25 0.25 0.16 0 0.66 $44.82 0 $0.00 32 21.12 $1,434

Return Affiliate Agreement to EPA 0 0 0 0.16 0.16 $4.83 0 $0.50 32 5.12 $154

Subtotal 0.25 0.25 0.16 0.16 0.82 $49.65 $0.00 $16.00 32 26.24 $1,605

New SmartWay Reporting Tool

Review Partnership Annual Agreement 0.25 0.25 0.16 0 0.66 $44.82 0 $0.00 418 275.88 $18,736

Gather data & info for reporting tool 0 0.5 2 0 2.5 $150.36 0 $0.00 418 1,045.00 $62,850

Input data into reporting tool 0 0 1 0.5 1.5 $73.06 0 $0.00 418 627.00 $30,539

Review reporting tool 0 0.5 0.5 0 1 $63.39 0 $0.00 418 418.00 $26,497

Send completed reporting tool to EPA 0 0 0.16 0 0.16 $9.28 0 $0.00 418 66.88 $3,878

Subtotal 0.25 1.25 3.82 0.5 5.82 $340.91 $0.00 $0.00 418 2,432.76 $142,500

Update SmartWay Reporting Tool

Gather Data & Info to Update reporting tool 0 0 1 0 1 $57.98 0 $0.00 3215 3215.00 $186,406

Input data into reporting tool 0 0 0 0.5 0.5 $15.08 0 $0.00 3215 1607.50 $48,482

Review reporting tool 0 0.5 0.5 0 1 $63.39 0 $0.00 3215 3215 $203,799

Send reporting tool to EPA 0 0 0 0.16 0.16 $4.83 0 $0.00 3215 514.40 $15,514

Subtotal 0 0.5 1.5 0.66 2.66 $141.28 $0.00 $0.00 3215 8551.90 $454,201

SmartWay Excellence Awards

Gather information for EPA consideration 0 0 2 0 2 $115.96 0 $0.00 109 218.00 $12,640

Review and Send Information to EPA 0 0.5 0.5 0.25 1.25 $70.93 0 $15.00 109 136.25 $7,731

Subtotal 0 0.5 2.5 0.25 3.25 $186.89 $0.00 $1,635.00 109 354.25 $22,006

Awareness Assessment

Complete and submit online assessment 0 0.25 0 0 0.25 $17.20 0 $0.00 150 37.50 $2,580

Subtotal 0 0.25 0 0 0.25 $17.20 $0.00 $0.00 150 37.50 $2,580

SmartWay Tractor &Trailer Program

Gather data & complete Equipment Checklist 0 0.5 1.75 0.5 2.75 $150.95 0 $0.00 37 101.75 $5,585

Total 0.5 3 10 2 16 $887 $0 $1,651 3961 11504 $628,477
29

Exhibit 2

Estimated Annual Agency Burden and Cost

Hours and Costs per Respondent Total Hours and Cost

Manager 

$69.49/hr

Technical 

$58.81/hr

SEE 

$26.00/hr

Agency 

Hours/ 

Year

Labor 

Costs/ 

Year 

Annual 

Capitol 

Startup 

Costs

Annual 

O&M 

Costs

Number 

of 

Respond. 

Activities

Total 

Agency 

Hours/ 

Year

Total Cost/ 

Year

Partnership and Affiliate Agreements

Review & Process submitted SmartWay 

Partnership and Affiliate Agreements 0.03 0 0.08 0.11 $4.16 0 $0.00 450 49.5 $1,874

Send a Letter Welcoming Partner to SmartWay 

Program 0 0 0.08 0.08 $2.08 0 $0.50 450 36 $1,161

Update EPA/SmartWay Website 0 0 0.08 0.08 $2.08 0 $0.00 450 36 $936

Subtotal 0.03 0 0.24 0.27 $8.32 0 $225.00 450 121.5 $3,971

New SmartWay Reporting Tools

Review and Evaluate Reporting Tools 0.08 0.25 1.5 1.83 $59.26 0 $0.00 418 764.94 $24,771

Update SmartWay partner database with 

Reporting Tool Data 0 0 0.5 0.5 $13.00 0 $0.00 418 209 $5,434

Update EPA/SmartWay Website 0 0 0 0 $0.00 0 $0.00 418 0 $0

Subtotal 0.08 0.25 2 2.33 $72.26 0 $0.00 418 973.94 $30,205

Update SmartWay Carbon Tracking System

Review and Evaluate Updated Reporting Tools 0.08 0.08 0.5 0.66 $23.26 0 $0.00 3215 2121.9 $74,794

Update SmartWay Partner Acct Mgmt D-base with 

Updated Reporting Tools 0 0.08 0.08 0.16 $6.78 0 $0.00 3215 514.4 $21,813

Subtotal 0.08 0.16 0.58 0.82 $30.05 0 $0.00 3215 2636.3 $96,607

SmartWay Excellence Awards

Develop Awards Criteria 0.08 0.5 0 0.58 $34.96 0 $0.00 109 63.22 $3,811

Review Database for Environmental Data 0 0.5 1 1.5 $55.41 0 $0.00 109 163.5 $6,039

Receive and review other information submitted 0 1 0.5 1.5 $71.81 0 $0.00 109 163.5 $7,827

Notify partners that will receive award 0 0.08 0.16 0.24 $8.86 0 $0.50 109 26.16 $1,021

Subtotal 0.08 2.08 1.66 3.82 $171.04 0 $54.50 109 416.38 $18,698

Awareness Assessment

Review assessment, research focus and questions 0.08 0.5 0 0.58 $34.96 0 $0.00 150 87 $5,245

Process assessment and present results to 

internal audiences 0 0.25 0 0.25 $14.70 0 $0.00 150 37.5 $2,205

Subtotal 0.08 0.75 0 0.83 $49.67 0 $0.00 150 124.5 $7,450

SmartWay Tractor-Trailer

Review Partner application submission 0 1 0.1 1.1 $61.41 0 $0.00 37 40.7 $2,272

Send logo graphic files to Partner 0 0.5 0 0.5 $29.41 0 $0.00 37 18.5 $1,088

Subtotal 0 1.5 0.1 1.6 $90.82 0 $0.00 37 59.2 $3,360

Total 0.35 4.74 4.58 9.67 $422.16 0 $279.50 4379 4331.82 $160,292
30

Exhibit 3

SmartWay Affiliate Agreement
31
32

Exhibit 4

SmartWay Tractor & Trailer Equipment Checklists
33
34
35

Exhibit 5

SmartWay Mark Signature Page