~ 

~ 'SmartWay· 

Transport Partnership 

U.S. ENVIRONMENTAL PROTECTION AGENCY 

www.epa.gov/ smartway 

~ 

ft EA~ United States Environmental Protection ,..,,. Agency 

2018 SmartWay Shipper 

Partner Tool: 

User Guide 

U.S. Version 2.0.17 (Data Year 2017) 
~ 

~'SmartWay· 

Transport Partnership 

U.S. ENVIRONMENTAL PROTECTION AGENCY 

ft EA~ United States .. ~ Environmental Protection "1111,,. Agency 

2018 SmartWay Shipper 

Partner Tool: 

User Guide 

U.S.Version 2.0.17 (Data Year 2017) 

Transportation and Climate Division 

Offce of Transportation and Air Quality 

U.S. Environmental Protection Agency 

Offce of Transportation and Air Quality 

EPA-420-B-18-047 

October 2018 
 

 

 

 

 

 

Table of Contents 

INTRODUCTION _________________________________________________________ 5 

What Is The SmartWay Transport Partnership?.......................................................................5 

Why Do Shippers Join The SmartWay Transport Partnership? .................................................5 

How Do Shippers Join The SmartWay Transport Partnership? .................................................6 

How Do I Join If My Parent Company Has Multiple Subsidiaries?.............................................6 

What Data Do I Need To Gather To Complete The Shipper Tool? .............................................7 

What Software & Hardware Is Required For Completing The Shipper Tool?.............................8 

How do I set the Security Level When Opening SmartWay Tools?............................................9 

What Is Included In The SmartWay Shipper Company Partnership Agreement? .....................11 

Step 1—Data Collection Requirements ______________________________________ 13 

Introductory Screens............................................................................................................13 

Auto-Population ..................................................................................................................13 

Data Requirements For Establishing Your Data Collection Year..............................................13 

Data Requirements For Section 1: Specify Official Partner Name...........................................14 

Data Requirements For Section 2: Enter Contact Information................................................14 

Data Requirements For Section 3: Company Description .......................................................15 

Data Requirements For Section 5: Participation Level and Data Input Method.......................16 

Data Requirements For Section 6: Data Entry........................................................................16 

Step 2—Data Entry______________________________________________________ 22 

Downloading The SmartWay Shipper Tool ............................................................................22 

Entering Partner Name.........................................................................................................22 

Entering Contact Information ...............................................................................................22 

Completing The Company Description Screen .......................................................................24 

Downloading the Latest SmartWay Carrier Data File .............................................................24 

Selecting a participation Level ..............................................................................................25 

Selecting the Data Input Method..........................................................................................26 

Selecting A Company For Data Entry.....................................................................................26 

Inputting Carriers for a Company..........................................................................................27 

Completing The Manual Input SmartWay Carriers Screen......................................................28 

Completing The Manual Input Non-SmartWay Carriers Screen ..............................................28 

Completing The Carrier Subdivision Screen ...........................................................................29 

Shipper Partner Tool User Guide | P. 3 
 

 

 

 

Completing The Activity Data Screen ....................................................................................30 

Completing the % SmartWay Screen.....................................................................................31 

Completing the Mile & Weight Improvements Screen...........................................................32 

Completing the Modal Shift Impacts Screen..........................................................................33 

Reviewing Your Results ........................................................................................................34 

Submitting Your Tool To EPA ................................................................................................35 

Step 3 – Additional SmartWay Resources____________________________________ 37 

APPENDIX: WORKSHEETS FOR DATA COLLECTION_____________________________38 

Worksheet #1: Contact Information......................................................................................38 

Worksheet #2: Shipper Company Characterization................................................................40 

Worksheet #3A: Select Carrier(s) (page 1 of 2) ......................................................................41 

Worksheet #3A: Select Carrier(s) (page 2 of 2) ......................................................................42 

Worksheet #3B: Activity Data (page 1 of 2)...........................................................................43 

Worksheet #3B: Enter Activity Data (page 2 of 2) ..................................................................44 

Worksheet #4: Enter % SmartWay Allocation Data................................................................45 

Worksheet #5: Enter Mile & Weight Improvements Data ......................................................46 

Worksheet #6: Enter Modal Shift Impacts Data.....................................................................47 

Shipper Partner Tool User Guide | P. 4 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INTRODUCTION 

WHAT IS THE SMARTWAY TRANSPORT PARTNERSHIP? 

Launched in 2003, the SmartWay Transport Partnership is a public/private collaboration between 

the EPA and the freight industry to improve fuel efficiency, increase environmental performance, 

and encourage supply chain sustainability. 

Seven types of freight transport companies can join SmartWay. 

• Freight shippers 

• Logistics companies (including 3PLs/4PLs1

) 

• Truck carriers 

• Rail carriers 

• Barge carriers 

• Multimodal carriers 

• Air carriers 

Companies join the SmartWay Transport Partnership by submitting a Partner Tool to SmartWay. The 

SmartWay Tools (1) assess freight operations; (2) calculate fuel consumption and carbon footprints; 

and (3) track fuel-efficiency and emission reductions. SmartWay Tools must be submitted each year 

for the company to remain a Partner in good standing. Tools submitted and approved on time qualify 

partners to use the SmartWay Logo. 

SmartWay ranks Partners’ efficiency and environmental performance and recognizes 

superior performance through the SmartWay Excellence Awards. 

WHY DO SHIPPERS JOIN THE SMARTWAY TRANSPORT PARTNERSHIP? 

The SmartWay Transport Partnership provides shipper companies with ways to reduce the 

environmental impact of their freight operations and address costs. Designed with and for the freight 

sector, the SmartWay Transport Partnership delivers solutions to marketplace needs and challenges. 

With access to the latest in EPA-tested technologies and peer-provided success stories, carriers that join 

the SmartWay Transport Partnership can gain a better understanding of their environmental footprint 

and assert their corporate leadership. 

Additionally, SmartWay Partners are associated with an internationally recognized and respected brand 

that symbolizes cleaner, more efficient transportation choices. 

Shipper companies that join SmartWay move significant amounts of freight with SmartWay Carriers. The 

higher efficiency of carriers in SmartWay compared to non-SmartWay carriers gives SmartWay shipper 

companies an opportunity to improve corporate freight efficiency, reduce their carbon footprint, and 

1 3PLs/4PLs Third party logistics/fourth-party logistics companies 

Shipper Partner Tool User Guide | P. 5 
 

 

 

 

 

 

 

 

 

 

 

 

 

voluntarily advance freight sustainability for themselves and their customers. 

Participation in SmartWay helps SmartWay Shipper Partners 

• identify opportunities to improve efficiency, 

• demonstrate efficiency to customers and stakeholders, 

• evaluate and compare carrier performance, and 

• determine the company’s transportation carbon footprint. 

SmartWay provides shippers with free tools that help assess and compare various freight transportation 

options with detailed reports and analyses that support better business decision making. 

HOW DO SHIPPERS JOIN THE SMARTWAY TRANSPORT PARTNERSHIP? 

Shipper companies join SmartWay by submitting a SmartWay Shipper Tool (hereafter known as the 

“Shipper Tool,” or simply, the “Tool.”) 

Shipper companies that submit tools that are approved by EPA are known as “SmartWay Shipper 

Company Partners.” 

When a shipper company submits a Shipper Tool to EPA, they agree to the requirements stipulated in 

the SmartWay Shipper Partnership Agreement--notably, that they will measure and report the emissions 

performance of their company annually and provide supporting documentation to EPA upon request. 

All SmartWay Shipper Partners agree to complete and submit the SmartWay Shipper Tool to 

• define company composition, 

• characterize company activity, 

• individually benchmark multiple companies, and 

• track annual changes in performance. 

Upon approval of a Shipper Tool submission, a shipper company will be identified as SmartWay Shipper 

Partner on EPA’s website, on the SmartWay Partner List, and in a database used to identify companies 

that meet SmartWay’s annual requirements. On-time submission and approval of the Tool also qualifies 

Shipper Partners for use of the SmartWay Logo. The carrier will also receive information on how to 

access its current SmartWay registration document and other information through the Partner Portal. 

HOW DO I JOIN IF MY PARENT COMPANY HAS MULTIPLE SUBSIDIARIES? 

Shippers with subsidiaries may submit a single tool for their parent company and all of its subsidiaries. If 

a shipper chooses to do this, the entire organization will be considered a SmartWay Partner and the 

performance rating will be assigned to the entire organization. The partner will be listed on the 

SmartWay website under the parent company’s name. 

Individual subsidiaries may join as separate partners if the parent company wishes to have them listed 

Shipper Partner Tool User Guide | P. 6 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

individually on the SmartWay website. Each subsidiary would submit a separate tool. 

SmartWay highly recommends developing your list of subsidiary 

companies beforehand by using an organization chart or perhaps a 

customer interface web page. For example, evaluate how your 

organization contracts with carriers, identify your companies’ different 

NAICS codes, and determine how they choose what carriers to hire. 

The best strategy is to have a clear idea of how to define your companies 

before filling out the tool. 

WHAT DATA DO I NEED TO GATHER TO COMPLETE THE SHIPPER TOOL? 

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

Shipper Tool: 

• The official company name to be used on the SmartWay website for public recognition of 

participation in SmartWay; 

• Company contact information: 

o Contact details for your Working Contact’ 

o Contact details for an Executive Contact (cannot be the same as the working contact)’ 

o Contact details for your Sustainability Contact and Other contacts (optional)’ 

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

• North American Industry Classification System (NAICS) codes for the company; 

• The level at which the shipper chooses to participate in SmartWay; and 

• A comprehensive list of all SmartWay carriers that the shipper uses to haul their freight for the 

reporting calendar year (this list should include all truck, rail, multimodal, barge, air, and 

logistics companies hired by the shipper). 

Additional information is needed depending on the shipper’s selected level of participation. There are 4 

ways shippers can participate in SmartWay. Way 1, the SmartWay Candidate level, is only for companies 

who want to learn more about SmartWay before joining as a SmartWay Shipper Partner. To become a 

SmartWay Shipper Partner, you select Way 2, Way 3, or Way 4. Under Way 2, 3, or 4, shippers 

participate as full SmartWay partners and submit activity and performance data using the SmartWay 

Shipper Tool. Note that Way 2 participants will not generate an emissions footprint, and will not be 

eligible for an annual SmartWay Award. 

Way 2 data requirements: 

• A non-mileage-based measure of how much business you do with each carrier. Examples 

include the amount of money you spend with each carrier, or the number of shipments per 

carrier 

• Description of data sources used to compile the alternative activity metric 

Shipper Partner Tool User Guide | P. 7 
 

 

 

 

 

 

 

 

 

 

 

 

Way 3 data requirements: 

• Activity data for all the carriers the shipper uses including 

o Total miles contracted, ton-miles contracted, and/or average payload data for each 

SmartWay and non-SmartWay carrier 

o Description of data sources used to compile activity data 

Way 4 data requirements: 

• All data required for Way 3 participation, plus at least one of the following 

o Information to differentiate the freight the company moves with any individual carrier 

by various methods, such as inbound versus outbound, domestic versus international, 

business unit, internal ID code, or other custom method 

o Information to evaluate company operational strategies to eliminate miles or weight 

from the freight operations to reduce the shipper’s carbon footprint 

o Information to evaluate strategies to shift freight transportation from one mode to 

another (e.g., from truck to rail) 

This data should be provided for all of the shipper’s companies. This data reflects the amount of freight 

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

SmartWay Shipper partners are encouraged to participate at the Way 4 level and use the performance 

assessment and strategy evaluation tools as a core element of their businesses' environmental 

sustainability planning processes as well as core corporate decision-making. 

WHAT SOFTWARE & HARDWARE IS REQUIRED FOR COMPLETING THE SHIPPER 

TOOL? 

The Shipper Tool was designed in “Microsoft Excel Forms.” Completing the Shipper Tool requires the 

following software and hardware: 

• A 2007 or later version of Microsoft Excel* 

• Excel security level set at Medium or lower 

• A PC running Windows XP or newer operating system (the tool does not currently work 

using the Mac operating system) 

• A minimum of 15 megabytes of free disk space. More disk space may be required based 

on the number of companies you define in your tool 

• A monitor resolution of at least 1,024 x 768 

Shipper Partner Tool User Guide | P. 8 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PROTECTED VIEW Office has detected a problem with this file. Editing it may harm your computer. Click for more details. 

PROTECTED VIEW This file was opened in Protected View. Click for more details. 

* The Excel web application in MS Office 365 (the cloud-based version of the Office operating system) 

does not currently support the macros used in the SmartWay tools. Therefore, SmartWay tools do not 

function properly in Office 365 at this time. 

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

department to make sure your system is set up to use the Shipper Tool. 

HOW DO I SET THE SECURITY LEVEL WHEN OPENING SMARTWAY TOOLS? 

Macros must be enabled on your computer to use the Shipper Tool. 

The default macro security setting in Excel is "Disable all macros with notification" 

When you open the tool, you may get a security alert that macros are present, and you need to 

choose to enable the macros for this file to work. The steps below describe how to enable 

macros for different versions of Excel, first if the message bar or security dialog appear, and 

alternatively in the Trust Center if the message/dialog do not appear. 

Enable macros when the Message Bar appears (Excel 2016, 2013, and 2010) 

1. When you open the tool, the yellow message bar appears with a shield icon and the Enable 

Content button. 

2. On the Message Bar, click Enable Content. 

Note: if the file opens in Protected View, click Enable Editing on the message bar. If there is no 

Enable Editing option, click Click for more details and then click Edit Anyway. The Protected 

View message will look similar to the image below: 

Once editing is enabled, follow Steps 1 and 2 above to enable content on the macro message 

bar. 

Enable macros when the Security Options dialog appears (Excel 2007) 

1. When the Security Options dialog appears, click Enable this content 

Excel 2007 Security Options dialog 

Shipper Partner Tool User Guide | P. 9 
 

 

 

 

 

 

 

 

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If the Message Bar or Security Options dialog does not appear, change macro settings in the Trust 

Center 

Change macro settings in the Trust Center (Excel 2016, 2013, 2010, 2007) 

1. Click the File tab (Excel 2016, 2013, 2010) or the Microsoft Office Button (Excel 2007) 

2. Click Options (Excel 2016, 2013, 2010) or Excel Options (Excel 2007) 

3. Click Trust Center, and then click Trust Center Settings. 

4. In the Trust Center, click Macro Settings. 

5. Click the option "Disable all macros with notification." 

6. Click OK. 

7. Close out of the Excel file and then re-open it. 

8. Follow the previous instructions to Enable macros when the Message Bar or Security Options 

dialog appears 

The following image is the Macro Settings area of the Trust Center. 

Once macros are enabled (and you are not in Protected View), you should be able to proceed with 

running the Tool. 

If, at this point, the Tool does not open, review the “Software and Hardware Requirements”. If you 

after reviewing this section, you cannot determine how to correct the problem, contact your SmartWay 

Partner Account Manager. 

Shipper Partner Tool User Guide | P. 10 
 

 

 

 

 

 

 

WHAT IS INCLUDED IN THE SMARTWAY SHIPPER COMPANY PARTNERSHIP 

AGREEMENT? 

To join the SmartWay Transport Partnership as a shipper company, you must agree to the language on 

the “Partnership Agreement for Shippers.” When you begin working within the tool, you will be asked to 

check a box stating that you agree to the terms of the partnership agreement. This agreement must be 

renewed annually. 

Please review this language with the appropriate personnel within your organization before completing 

or submitting a Tool to EPA. 

Partnership Agreement for Shippers 

With this agreement, your company joins EPA’s SmartWay Transport Partnership and commits to: 

1. Measure and report to EPA on an annual basis the emissions performance of your company using EPA's 

SmartWay Shipper Tool. (Existing companies must report the 12 months of data for the prior year ending 

December 31. Newly formed companies require a minimum of 3 months of operational data.) 

2. Agree to SmartWay listing your name on the SmartWay Transport Partnership website as a Partner 

company. 

3. Agree to submit supporting documentation to EPA for any data used to complete this tool and agree to 

EPA audit of this data upon request by EPA. 

4. Treat individual corporate data as sensitive business information. 

In return, EPA commits to: 

1. Promote company participation in the Partnership by posting Partner names on the EPA SmartWay 

website and in related educational, promotional, and media materials. EPA will obtain express written 

consent from the Partner before using the Partner’s name, other than in the context of increasing public 

awareness of its participation as described here. 

2. Provide companies with industry-wide performance benchmark data as this data becomes available to 

EPA.2 

3. Assist Partners in achieving emission and fuel usage reduction goals (subject to Federal Government 

Appropriations). 

General Terms 

1. If the Partner or EPA defaults upon this agreement at any point, the agreement shall be considered null 

and void. 

2. Either party can terminate the agreement at any time without prior notification or penalties or any 

further obligation. 

3. EPA agrees not to comment publicly regarding the withdrawal of specific partners. 

4. EPA reserves the right to suspend or revoke partner status for any Partner that fails to accomplish the 

specific actions to which it committed in the SmartWay Transport Partnership Agreement and 

subsequent Agreements. 

2 Individual corporate data will be treated as sensitive business information. 

Shipper Partner Tool User Guide | P. 11 
 

5. The Partner agrees that it will not claim or imply that its participation in the SmartWay Transport 

Partnership constitutes EPA approval or endorsement of anything other than the Partner’s commitment 

to the program. The Partner will not make statements or imply that EPA endorses the purchase or sale of 

the Partner’s products and services or the views of the Partner. 

6. Submittal of this SmartWay Shipper Tool constitutes agreement to all terms in this Partnership 

Agreement. No separate agreement need be submitted. 

Shipper Partner Tool User Guide | P. 12 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1 

Step 1—Data Collection Requirements 

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

Shipper Tool Technical Documentation explains more about the methodological structure and 

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

essentials for completing the Tool. 

INTRODUCTORY SCREENS 

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

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

orientation video. Additional screens may be accessed from this screen, including data collection 

needs, Tool help and navigation, and the SmartWay Partner Tool Schedule for 2018. These are 

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

upon proceeding you MUST select the box at the bottom of the Partnership Agreement screen, 

indicating that you agree to the terms of the Partnership Agreement for Shippers. 

AUTO-POPULATION 

As you progress through the Tool, you will see an Auto-Population screen. This screen allows partners 

and applicants to input their SmartWay ID and automatically load the information for the initial steps 

of the Tool (Partner Name, Contact Information, and for established Partners, Fleet Information), 

based on the prior year’s submittal, or for applicants, information entered through the online 

SmartWay Shipper Application.3 The Auto-Population option can save time and ensure naming 

consistency for your contacts and company(ies) from year to year. A popup screen will appear 

displaying all the contact and company data uploaded for your review before proceeding. Corrections 

and revisions may be made on the Home screen if needed. If you do not have a SmartWay ID, or 

prefer to enter this data manually, you may skip this step. 

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. 

3 You may access the SmartWay Shipper Application at 

https://app4.erg.com/smartwayonramp/onrampShipper/step1.cfm?CFID=2146463&CFTOKEN=e2cf9fb1a41e0ca8-

23E62B4F-A0E9-6413-76C4E22EFB26B419 

Shipper Partner Tool User Guide | P. 13 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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. 

If you selected the Auto-populate option, please review the Partner Name as it appears on the 

Home screen, revising it as necessary. 

DATA REQUIREMENTS FOR SECTION 2: ENTER CONTACT INFORMATION 

The SmartWay Tool asks for: 

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

• A Working Contact4 for any questions about your company’s participation and Tool 

submissions 

• An Executive Contact5 for participation in awards and recognition events 

• A Sustainability Contact (optional)6 for information on company sustainability programs and 

outreach 

• Additional contacts (optional): Additional contacts may include anyone who is not the 

Working, Executive, or Sustainability contact but may be involved with SmartWay (e.g., 

press/media contact, fleet manager,etc.). 

4 The Working Contact is the individual designated by the Executive Contact to directly interface with SmartWay regarding 

specific tasks involved in the timely submission of the Tool. The Working Contact is responsible for coordinating the assembly of 

information to complete/update company data; completing and updating the Tool itself; maintaining direct communication 

with SmartWay; and keeping interested parties within the company apprised of relevant developments with SmartWay.) NOTE: 

To ensure that emails from SmartWay/EPA are not blocked, new Working Contacts may need to add SmartWay/EPA to their 

preferred list of trusted sources.) 5 The Executive Contact is the company executive who is responsible for agreeing to the requirements in the SmartWay 

Partnership Agreement, overseeing the Working Contact (as appropriate), and ensuring the timely submission of the Tool 

to SmartWay. The Executive Contact also represents the company at awards/recognition events. This person should be a 

Vice President or higher-level representative for the company. 6 The Sustainability Contact may be the same as the Working or Executive Contact, but not the same as any Other Contacts. 

Shipper Partner Tool User Guide | P. 14 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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

the Working and Executive Contacts must be different, in order to proceed. SmartWay recommends 

developing an internal succession plan to make sure that your Logistics Tool submission schedule is 

maintained, in the event that a Working Contact is reassigned, or leaves the company for any reason. 

If you selected the auto-populate option you still MUST review the Contact Information that 

pops up before leaving the Auto-population screen, and revise any entries on the Home screen 

as needed. 

DATA REQUIREMENTS FOR SECTION 3: COMPANY DESCRIPTION 

This section of the Tool allows you to create multiple company data records. If you operate more than 

one separate and distinct company you may wish to track each company separately. Each individual 

data file has the ability to track companies, inbound/outbound freight, and international/domestic 

freight as well as other user-defined distinctions. 

Most Partners should create one company. However, if you are a global conglomerate that, for example, 

has a large home goods retail company, a wholesale parts supply company, and a product manufacturer, 

all with separate corporate identities and transportation systems, you may want to create three 

companies. However, note that these companies will not be listed separately on the Partner Listing on 

the SmartWay website. If you would like multiple companies displayed on the Partner Listing, submit 

separate Tools for each company. 

The Company Description(s) screen requires the following information: 

• Company Name(s): Name your companies, beginning with your partner name followed by 

the specific company name. Example: Shipper Company 1 – Retail. 

• NAICS Code: NAICS, or North American Industry Classification System codes, are the Federal 

standard for classifying businesses by activity type. NAICS codes can be from two or three up 

to six digits in length, and are organized hierarchically, with successive digits providing 

greater specificity in its description. Use the NAICS code(s) that most appropriately describes 

your company. You can use the search icon to the right of the data entry field to identify and 

select NAICS code(s). If you need to enter multiple NAICS codes, you may check multiple 

boxes on the popup screen while holding down the “Ctrl” key on your keyboard, or simply 

enter them directly and separate them with commas. 

Detailed information on NAICS codes can be found at 

http://www.census.gov/eos/www/naics/. Alternatively, you may locate your NAICS code: 

1. On your company's 1120 corporate tax return, filed with IRS, Schedule K, lines 2a, b and c. 

2. Or, on the 1120S corporate tax return, filed with IRS, Schedule B, lines 2a and b. 

Shipper Partner Tool User Guide | P. 15 
 

 

 

 

 

 

 

 

 

 

 

 

 

If you selected the auto-populate option you still MUST review the Company Description information that 

pops up before leaving the Auto-population screen, and revise the entries on the Home screen as 

needed. 

DATA REQUIREMENTS FOR SECTION 5: PARTICIPATION LEVEL AND DATA INPUT 

METHOD 

No data are needed to complete section 5, however you must choose the level at which you wish 

to participate and select how you would like to input data into the Tool. These choices will affect 

data needed to complete the next section. On the Participation Level screen, you have the option 

to choose to participate at the Way 2, Way 3, or Way 4 level. The table below summarizes the 

three options and describes who the option is best for, the benefits, inputs needed, and the input 

methods available. 

Option Way 2: Basic Freight Assessment Way 3: Standard Freight 

Assessment 

Way 4: Advanced Freight 

Assessment 

Best for: Shippers with limited data that wat 

to start freight efficiency planning. 

Shippers that want a freight 

emissions footprint to guide their 

freight decision making. 

Shippers that want a more-detailed 

freight emissions footprint and 

added analysis. 

Inputs 

needed: 

Carrier names and relative data 

(e.g., amount spent, number of 

shipments, volume shipped, or 

another custom metric) 

Carrier names; mileage, ton-miles 

and/or payload data per carrier 

Carrier names; mileage, ton-miles 

and/or payload data per carrier; 

and additional operational 

strategies and mode split data 

Input 

methods: 

Manual only Manual or data import Manual or data import 

Benefits: • Define a relative freight 

performance metric (% 

SmartWay) 

• Be recognized as a Smartway 

Partner 

All the benefits of Way 2 plus the 

ability to: 

• Build a freight performance 

assessment based on per carrier 

mileage and payload 

• Compete for recognition through 

the SmartWay Excellence Awards 

All the benefits of Way 3 plus the 

ability to: 

• Subdivide freight activity based 

on inbound vs outbound, 

domestic vs international, 

discrete business units, and/or 

other criteria 

• Compare emissions savings from 

various mode and operational 

strategy changes 

• Receive additional credit for 

SmartWay Excellence Award 

DATA REQUIREMENTS FOR SECTION 6: DATA ENTRY 

In Section 6 of the Shipper Tool, you will identify the carriers included in each of your shipper 

companies, and then enter either detailed activity data or relative carrier data depending on the 

participation level selected. . The screens you must complete will depend on the participation level 

and data input method you specified in the previous section. 

Shipper Partner Tool User Guide | P. 16 
 

 

 

 

 

 

Data Requirements for Inputting Carriers 

In this section, you must specify the carriers that your shipper company uses. There are different 

methods to select carriers depending on your level of participation and input method selected in 

the previous section, but regardless of the method you choose, you will need to first identify the 

mode of transport for the carrier. Six carrier mode selections are available, including: 

• Rail 

• Truck 

• Multimodal 

• Logistics 

• Barge 

• Air 

Next, you may also specify a SmartWay Category for the Truck and Multimodal modes. Truck 

SmartWay Categories include: 

• Auto Carrier 

• Dray 

• Expedited 

• Flatbed 

• Heavy/Bulk 

• LTL Dry Van 

• Mixed 

• Moving 

• Package 

• Refrigerated 

• Specialized 

• Tanker 

• TL Dry Van 

Multimodal SmartWay Categories include: 

• Surface 

• Surface-Air 

• Surface Marine 

• Surface-Air-Marine 

SmartWay Category selections are not currently available for other modes but may be added in 

the future. 

After identifying the mode (and SmartWay Category, if available), you should identify each 

carrier’s specific fleet name, as listed in the SmartWay Carrier Data file, along with any associated 

SCACs, DOT numbers, MCNs, and NSCs. 

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After identifying your SmartWay carriers, you must also enter the number of non-SmartWay 

carriers used by the shipper company. Only include carriers used during the reporting year. If this 

company has non-SmartWay carriers, you will also select the carrier mode(s) the non-SmartWay 

carrier(s) belong to. For truck carriers, specify the appropriate carrier type (e.g., non-SmartWay 

Dray). If you are not sure of the appropriate truck carrier type, select the “General” option. 

Details on data entry and which screens you will have to complete depending on your participation 

level and input method selections are described in the Step 2 – Data Entry section below. 

Data Requirements for Carrier Subdivision Screen 

NOTE: This screen is only applicable to the Way 4 participation level. 

If you selected the Way 4 participation level, you may specify supplemental information to help you 

further characterize your carrier use on this screen. For example, you can designate certain carriers used 

for domestic or international routes. The optional information may be applied to any carrier and include 

the following: 

• Company Identifier 

• ID Code 

• Inbound/Outbound/Internal 

• Domestic/International 

• Internal Shipper Segment 1 

• Internal Shipper Segment 2 

You must complete this screen, the Mile & Weight Improvements screen, or the Modal Shift Impacts 

screen if you selected the Way 4 level. 

Data Requirements for Activity Data 

NOTE: This screen is only applicable to the Way 3 and Way 4 level. 

After identifying your carriers, you will be taken to the Activity Data screen. First provide a 

detailed text data source description for the sources used to estimate your mileage, ton-mile and 

payload data for your carriers by selecting the Describe Data Source button. Be sure to indicate 

how you calculated the values, and where this data was obtained. For example, you may use 

carrier reports or accounting/purchasing records to determine miles. Payload and ton-mile 

estimates may be based on bills of lading or other internal records. 

Next, identify any carrier fleets operated directly by your shipper company by checking the “Shipper 

Carrier” box. This allows the Tool to exclude these carriers from the Scope 3 emissions calculations 

provided in the Public Disclosure Report. See the Shipper Tool Technical Documentation for further 

details on the Public Disclosure Reports. 

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Next you must specify a Data Availability option for each carrier. There are four Data Availability 

options: 

a. Enter ton-miles and total miles (preferred option) 

b. Enter ton-miles and average payload 

c. Enter total miles and average payload 

d. Enter total miles only 

You should use the option for which you have the most reliable data: 

• If you have reliable data for both ton-miles and miles, you should select Option a. 

• If you don’t have reliable miles data, but do have reliable ton-mile data, select Option b. 

• If you don’t have reliable ton-miles data, but do have reliable miles data, select from options c 

or d. 

NOTE: LTL and Package carriers may not select Option d, due to the importance of estimating precise 

payloads for these carrier types. 

Choose the method that uses the most accurate data at your disposal for each carrier. In this way the 

Tool will utilize the most accurate data available for the ton-mile and mile comparison metrics as well as 

for the emissions footprint calculations. 

If the carrier mode is rail, you will need to record total railcar-miles, or if barge, then barge-miles, 

otherwise you must specify total truckload-miles. Enter the data to the nearest whole number. 

Data Availability Option a – Enter total ton-miles and total miles. Total miles corresponds to truck miles, 

railcar miles, or barge miles, as appropriate. For rail carriers, DO NOT enter train miles, and for barge 

carriers, DO NOT enter miles for the entire string of barges – enter the sum of miles for each individual 

railcar and/or barge load. 

Data Availability Option b - Enter total ton-miles along with your estimated average payload (per truck 

or railcar, as appropriate) in short tons (2,000 lbs.) 

Data Availability Option c - Enter total miles along with your estimated average payload (per truck, 

barge or railcar, as appropriate) in short tons (2,000 lbs.) 

Data Availability Option d - Enter total miles. 

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IMPORTANT: Correctly calculating Ton-Miles is critically important for the accurate determination of 

your carbon footprint. 

You can calculate your company’s ton-miles as follows: 

Enter the ton-miles hauled per year attributable to each carrier. A ton-mile is one ton moving one 

mile. DO NOT ESTIMATE TON-MILES BY SIMPLY MULTIPLYING TOTAL MILES BY TOTAL TONS - this 

calculation effectively assumes your entire tonnage is transported on EACH AND EVERY truck, and will 

clearly overstate your ton-miles. 

There are two ways to calculate ton-miles: 

1. Companies can determine their average payload per carrier, multiply the average payload by 

the total miles per carrier, and sum the results for all carriers for the reporting year; or 

2. Set Ton-miles per carrier = (total miles per carrier x total tons per carrier) 

total # of trips per carrier 

To check your estimate, divide ton-miles by miles. The result is your fleet-average payload. If this 

number is not reasonable, please check your calculations. 

Data Requirements for “% SmartWay” 

Carriers identified in the Input Carriers screens are automatically carried over to this screen. If you 

selected the Way 3 or Way 4 participation level, the fractional mileage and ton-mile amounts 

attributable to each carrier are also shown here and may be used as weighting factors across your 

carriers to calculate your % SmartWay Value. There are no data requirements for the ton-miles and 

total miles weighting factors on this screen 

If you selected the Way 2 participation level you must specify an alternative weighting factor to apply 

across the different carriers, such as the percentage of total payments, the percentage of total weight or 

total packages, or an alternative “custom” for calculating your % SmartWay Value. In this case you must 

enter the type of data you use for your percentage allocation estimates using the drop-down menu at 

the top of the screen, and then enter the percent allocated to each carrier. Percentages must sum to 

100. You must also document the custom factor methodology in the text box presented at the lower left 

of the screen. 

Note: If you are participating at the Way 2 level, you will not see the Ton-Mile or Total Mile columns 

presented on the % SmartWay screen. 

Mile & Weight Improvements Data Requirements 

NOTE: This screen is only applicable to the Way 4 participation level. 

This screen allows you to estimate the emissions savings impacts for a range of activities and best 

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practices which impact the emission footprint of the transportation supply chain (e.g., reducing miles 

traveled in the transportation network through route or cube optimization, or reducing weight through 

package reduction, among others). You should have data about your company’s activities or possible 

activities to complete this screen. You must complete this screen, the Carrier Subdivision screen, or the 

Modal Shift Impacts screen if you selected the Way 4 level. 

Modal Shift Impacts Data Requirements 

NOTE: This screen is only applicable to the Way 4 participation level. 

The Modal Shift Impacts screen allows partners to evaluate the emissions impact of moving to different 

modes (e.g. truck-to-rail or rail-to-barge). You need data about potential modal shifts in order to 

complete this screen. You must complete this screen, the Carrier Subdivision screen, or the Mile & 

Weight Improvements screen if you selected the Way 4 level. 

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Step 2—Data Entry 

DOWNLOADING THE SMARTWAY SHIPPER TOOL 

To download the SmartWay Logistics Tool, visit: https://www.epa.gov/smartway/smartway-shipperpartner-tools-and-resources. Save the Tool in a folder on your hard drive; this folder will house copies 

of your data and future updates. 

ENTERING PARTNER NAME 

Under Step 1 on the Home screen: 

1. Type your Partner Name EXACTLY as you would like it to appear on the SmartWay website 

and in other EPA communications in the field as indicated. 

2. Proceed to Section 2 to enter Contact Information. 

ENTERING CONTACT INFORMATION 

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

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

to SmartWay without this information. 

Under the Partner Information tab: 

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

2. Enter the Working Contact name and title. 

The Working Contact is the individual designated by the Executive Contact to directly 

interface with SmartWay regarding specific tasks involved in the timely submission of the 

Tool. The Working Contact is responsible for coordinating the assembly of information to 

complete/update fleet data; completing and updating the Tool itself; maintaining direct 

communication with SmartWay; and keeping interested parties within the company apprised 

of relevant developments with SmartWay. 

NOTE: To ensure that e-mails from SmartWay/EPA are not blocked, new contacts may need 

to add SmartWay/EPA to their preferred list of trusted sources. 

3. Enter the Executive Contact name and title. 

The Executive Contact is the company executive who is responsible for agreeing to the 

requirements in the SmartWay Partnership Annual Agreement, overseeing the Working 

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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 higherlevel representative for the company. 

4. Enter the Sustainability Contact name and title (optional). 

The Sustainability Contact is the individual assigned responsibility for monitoring the 

company’s environmental performance. The Sustainability Contact may be the same as the 

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

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

5. Enter Other Contact names and titles. 

Under the Working Contact tab: 

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

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

record. Enter the email address twice to confirm its accuracy. 

Under the Executive Contact tab: 

Enter the Executive Contact information, including the contact email address. The same buttons and 

fields are available as described for the Working Contact tab. 

Under the Sustainability Contact tab: 

If applicable, enter the Sustainability Contact information including the contact email address. The 

same buttons and fields are available as described for the Working Contact tab. 

Under the Other Contacts tab: 

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

2. Enter the first Other Contact then select the OK button when done. 

NOTE: You must supply at least two unique contacts on the contact 

screen to ensure EPA has access to at least two people for Tool 

submission follow-up. 

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

information from different sources within the company. You may find 

it useful to have this additional contact information stored within the 

Tool. 

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

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

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

selecting the Delete Selected Contact button. 

To make sure you have filled out all required contact information, select the Validate Screen button 

at the bottom of the screen on the Partner Information tab. If any information is missing or invalid, a 

dialogue box will appear informing you what additional information isrequired. 

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

COMPLETING THE COMPANY DESCRIPTION SCREEN 

1. On the Home screen, select the Company Description(s) button to display the Company 

Description screens. 

2. Enter the “Company Name” for your first (or only) company. 

3. Enter the NAICS code for each of your companies. You may enter multiple NAICS codes if 

appropriate. You may enter NAICS codes in two ways: 

a. Manually type in two- to six-digit NAICS codes, separated by commas, in the space 

provided. 

b. For help finding your NAICS code, select the binoculars button to the right of the 

data entry field. A separate form that includes all NAICS codes and their 

descriptions will appear. You may select one or multiple NAICS codes from this 

screen. To select multiple codes, press the “Ctrl” button on your keyboard (and 

keep it pressed) and then select the items from the list box with your mouse. 

Select OK when finished to insert the selected NAICS onto the main screen. 

4. Enter additional companies as needed: 

a. To enter another company, select the Add Company button. 

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

select the Delete Checked Rows button. 

c. Once you have entered the Company Name and specified the associated NAICS 

code(s), select the CREATE COMPANIES button and return to the Home screen. 

DOWNLOADING THE LATEST SMARTWAY CARRIER DATA FILE 

1. On the Home screen, select the Download Latest SmartWay Carrier Data File button under Step 4 

and allow the Tool to download the latest carrier data (SmartWayCarrierData2017ST.xlsx). 

2. Proceed to Step 6 to enter data for your company(ies). 

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SELECTING A PARTICIPATION LEVEL 

1. On the Home screen, select the “Participation Level and Data Input Method” button to proceed to 

the Participation Level screen at Step 5. 

2. There are three program participation levels from which to choose when filling out the Shipper Tool. 

All choices allow you to be a SmartWay partner. Some choices will require more data entry than 

others but will give you better and more useful results. The Participation Level screen walks you 

through your choices, described below. 

Note: carefully consider the information you have available for your carriers in order to select the 

best option for your company. Your participation level will determine the extent to which your tool 

outputs will yield performance assessments that allow you to track your progress and compare it to 

others, as well as your eligibility for the various types of SmartWay performance awards. 

Way 2 – Basic Freight Assessment: This option allows you to input your carriers and a non-mileagebased measure of how much business you do with each carrier. Examples may include the amount 

of money you spend with each carrier, or the number of shipments per carrier. Partners 

participating at the Way 2 level will learn what percentage of their freight is with SmartWayregistered carriers, although they are not eligible for an annual SmartWay performance award. 

Way 3 – Standard Freight Assessment: This option allows you to input your carriers and how much 

freight they move for you, expressed in miles and/or ton-miles. This option provides partners with 

information on total mass emissions generated and the associated efficiency for CO2, NOx, and PM 

emissions. Partners can view emissions and performance by carrier, mode of transport, or at the 

company level. Partners can also import data rather than input it manually, as described on the next 

screen. Partners participating at the Way 3 level are eligible to compete for recognition through the 

SmartWay Excellence awards. 

Way 4 – Advanced Freight Assessment: This option allows you to differentiate your freight 

movement with individual carriers by various methods such as inbound versus outbound, domestic 

versus international, business unit, internal ID code or other custom method. This selection also 

provides the option of determining emission savings from specific operational practices and mode 

shifts such as moving freight from truck to rail. Partners participating at the Way 4 level must 

complete at least one of the following screens: Carrier Subdivision, Mile & Weight Improvements, 

or Modal Shift Impacts. Partners will earn receive additional credit for the SmartWay Excellence 

Award for completing these screens. 

3. Select the SmartWay Awards Information button at the bottom of the screen for further details. 

4. Select a participation level before proceeding. If you select Way 3 or Way 4, click the “NEXT” button 

to proceed to the INPUT METHOD screen. If you select Way 2, click the HOME button to proceed to 

the next step. If you want to change your mind, you can return to the Participation Level screen at 

any time and update your selection. 

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SELECTING THE DATA INPUT METHOD 

1. If you selected the Way 3 or Way 4 participation level you will need to complete the Input Method 

screen. Select the data input method based on the number of carriers you use, and your ability to 

process and import carrier-specific data in the proper format (CSV). Input options include: 

Manual Input Only - This option is best for Shippers with fewer than 100 carriers, or for those who 

are not comfortable with the Data Import option (see below). By choosing Manual Input Only you 

will add your carriers to a data entry list by selecting them from a listbox. There are various ways to 

sort and filter carriers for selection (e.g. by carrier mode, SCAC, etc.) After selection you will enter 

data for each carrier, namely miles, ton-miles, and/or average payload. If you already have your 

carrier activity data compiled, entry time should be about one minute or less per carrier for most 

people. 

Data Import - This option is best for shippers that have over 100 carriers, and/or you are 

participating at the Way 4 level. This option involves creating a data file for import into the Shipper 

Tool. It can save time if you are able to export data from your own information technology system. 

There are several ways to create these files and they are explained in detail within the Tool. This 

option provides users with the ability to also use the Manual Input Only screens to edit data. If you 

are not comfortable with creating external data files, then the Manual Input Only option may be 

better suited to you. The Data Import method is described in detail in the Guide to Importing 

Carrier Data Using the Outside Data Import Function at https://www.epa.gov/smartway/smartwayshipper-partner-tools-and-resources. 

2. Select your preferred data input method and click the HOME button to proceed to the next step. 

You may return to this screen later to select a different option if needed. 

SELECTING A COMPANY FOR DATA ENTRY 

On the Home screen, you will now see all the shipper companies you created listed in the window below 

Step 6: Data Entry. There will be a status message after each company, indicating whether or not the 

data entry for that company is complete. The following information may appear beside a company 

name, depending upon where you are in the data entry process: 

• Not checked - Data has not been entered yet. 

• Incomplete - Some data is still missing and/or inconsistent. 

• Complete - All data requirements have been met and validation has occurred. 

In addition to the status indicators above, you may also see one of two qualifiers: “Errors” or 

“Warnings.” 

• Errors will prevent you from checking your emissions and performance under the Review Your 

Results section (Step 7), and must be addressed before you can submit your Tool to EPA. 

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• Warnings will still allow you to proceed and submit your data to EPA. However, it is strongly 

recommended that you carefully review each warning message before sending your data to EPA 

so that you can anticipate questions that may come from a Partner Account Manager as a result of 

your data being outside the expected ranges. The method addressing errors and warnings is 

described for subsequent input screens in the following sections. 

To begin your data entry: 

1. Using your mouse, on the Home screen select and highlight the name of the shipper company for 

which you wish to enter data. 

2. Double click the name; you will then be taken to the data entry screens for that company. 

INPUTTING CARRIERS FOR A COMPANY 

1. If you selected the Manual Input Only option on the Input Method screen, you will arrive on the 

Manual Input SmartWay Carriers screen after you double-click a company name at Step 6 on the 

Home screen. You will use this screen to identify the SmartWay partners utilized by your shipper 

company, and then you will proceed to the Manual Input Non-SmartWay Carriers screen to enter 

your non-SmartWay carriers. See “Completing the Manual Input SmartWay Carriers Tab” and 

“Completing the Manual Input Non-SmartWay Carriers Tab” below for details. 

2. If you selected Data Import option on the Input Method screen, you will arrive on the Instructions 

screen, which describes the two ways to populate the Tool with company information via Data 

Import/Export and Carrier Matching. 

a. The Data Import/Export approach allows partners to export and import carrier lists in a 

standardized format, as described in detail on the Outside Data Import and Export Carriers 

screens. See the Guide to Importing Carrier Data Using the Outside Data Import Function 

at https://www.epa.gov/smartway/smartway-shipper-partner-tools-and-resources for 

detailed instructions on the export/import process. 

b. The Carrier Matching approach utilizes a function (described on the Match My Carriers 

screen) to find and match SmartWay carriers based on a wide range of criteria, including 

their own internal carrier identification, such as carrier ID codes, with records in their Tool 

submission from a prior year. The carrier matching function provides an efficient, reliable 

means of linking a company’s carrier list to the correct records in the carrier data file, 

ensuring shipper companies obtain full credit for their use of SmartWay carriers. Partners 

may also enter new codes for matching carriers in future years. Your company-specific 

match data is not shared with other companies. The matching process is explained in detail 

on the Match My Carriers screen. 

c. After using the Data Import/Export and/or Carrier Matching screens, you will also be 

directed through the two manual input screens. You may review selected carriers that were 

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imported on the Manual Input SmartWay Carriers screen if you like (and add/delete 

selected carriers), and then you must complete the Manual Input Non-SmartWay Carriers 

screen before proceeding. 

COMPLETING THE MANUAL INPUT SMARTWAY CARRIERS SCREEN 

1. To select carriers manually, you can enter all or part of the carrier’s name directly into the Carrier 

Name input box and the select the Apply Filter button. A new filtered list will appear in the Available 

SmartWay Carriers box. Double click on the carrier name to add it to the Selected SmartWay Carriers 

box. 

2. You may also search for carriers by filtering using carrier mode, SmartWay Category, SCAC, MCN, 

DOT, NSC, and/or various address fields to find your carriers in the SmartWay Carrier data file. 

3. To search by Carrier Mode, select the mode of transport from which you wish to choose a carrier. 

Seven carrier mode selections are available, including “All,” “Rail,” “Truck,” “Multimodal,” “Barge,” 

“Logistics,” and “Air.” 

• Note that by selecting “All,” you may search across all carriers, regardless of mode. 

• Next, if you select the Truck mode, you may also specify a SmartWay Category. Truck ranking 

categories include TL Dry Van, LTL Dry Van, Refrigerated, Flatbed, Tanker, Dray, Heavy/Bulk, 

Package, Auto Carrier, Moving, Specialized, Mixed, and Expedited. Alternatively, if you select the 

Multimodal mode, available SmartWay Categories include Surface (i.e. truck/rail), Surface-Air, 

Surface-Marine, and Surface-Air-Marine. 

4. Once you have applied the desired filters, a list of available SmartWay carriers meeting your filter 

criterion appears in the “Available SmartWay Carriers” box. Using your mouse, double click on the 

carrier name to add it to the “Selected SmartWay Carriers” box. You may also use the Add Selected 

Carriers to List Below button to add selected carriers to the “Selected SmartWay Carriers” box. 

5. Once you have successfully identified your carriers, proceed to the Manual Input Non-SmartWay 

Carriers tab. 

COMPLETING THE MANUAL INPUT NON-SMARTWAY CARRIERS SCREEN 

1. Enter the total number of Non-SmartWay Carriers for the company into the data field. 

2. Check the box to confirm that you have added all of the Non-SmartWay Carriers for your company. 

3. Using your mouse, double-click on each non-SmartWay carrier type used by this company; double 

clicking will add it to the “Selected Non-SmartWay Carriers” list. You may also use the Add Selected 

Carrier Types to List Below button to add selected carrier types to the “Selected Non-SmartWay 

Carriers box.” 

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• For truck and multimodal carriers, select the appropriate SmartWay Category (e.g., TL/Dry Van, 

Refrigerated, Dray, etc.). If you are not sure about a specific truck carrier's category, select the 

"General" option. 

• Also distinguish your air carriers by "long haul" (cross-country/overseas flights, > ~2,300 miles) 

and "short haul" (generally regional/domestic flights, < ~2,300 miles). 

4. Once the required data has been entered on the Manual Input Non-SmartWay Carriers screen, you 

can proceed to the Activity Data screen. 

COMPLETING THE CARRIER SUBDIVISION SCREEN 

1. If you have selected the Way 4 participation level, you must complete this screen, or the Mile & 

Weight Improvements screen, or the Modal Shift Impacts screen, or any combination of these 

screens. You will not see this screen if you have selected Way 2 or Way 3. 

2. Look near the top of the screen for the complete list of the carrier names you have specified up 

to this point, along with carrier information such as mode, SmartWay Category, and 

SCAC/MCN/DOT/NSC. 

3. To provide additional information for a given carrier, highlight the carrier name in the upper list 

box and you will see the carrier name appear in the lower list box. There will be only one row 

per carrier if you have not added carrier subdivision yet. 

4. Choose a row for the carrier in the bottom list box to enable the fields that allow you to add 

information to differentiate your carriers, such as inbound/outbound, domestic/international, 

etc. 

5. Type in or select from the drop-down menus the additional information for the selected carrier 

row. When you are through editing, select the Apply Descriptive Data to Selected Carrier 

button to save your changes. You will see your changes added to the bottom list box for the 

selected carrier row. 

6. If you wish to differentiate the activity associated with a single carrier (e.g., splitting inbound 

and outbound freight movements), highlight the carrier name in the upper list box select the 

Add Row for Selected Carrier button immediately below the box. 

7. You will now see an additional row appear in the lower list box with the same carrier name. 

Enter the different information for each row as described above, and repeat the process as 

many times as necessary. 

8. Rows in the lower text box may be deleted by highlighting them and selecting the Delete 

Selected Carrier’s Optional Information button at the bottom right. Once finalized, your 

complete list of differentiated carrier rows will be brought forward to the Activity Data screen. 

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9. Proceed to the Activity Data screen to input the mile, ton-mile and/or payload data associated 

with each of your carriers using the Tool itself. If you subdivided a given carrier, you must 

provide separate activity data inputs for each carrier row. 

NOTE: Before proceeding to the Activity Data screen, check your carrier listing to be sure the list includes 

all carriers that your company uses, and that the names, SCACs, MCNs, NSC, and DOT numbers match 

exactly. You may review your carrier list using the Input Summary Report available under the View 

Summary Data Reports button on the Home screen. 

COMPLETING THE ACTIVITY DATA SCREEN 

1. Select the Describe Data Source button. 

2. Enter a detailed description of the sources used for your Activity data information, including a 

description of how you calculated miles, ton-miles, payload, density and load percent (if 

applicable) in the space provided. 

3. Select the CLOSE button. 

4. Next, identify any carrier fleets operated directly by the shipper company by checking the 

Shipper Carrier box. This allows the Tool to exclude these carriers from the Scope 3 emissions 

calculations provided in the Public Disclosure Report (included in the View Summary Data 

Reports menu). See the Shipper Tool Technical Documentation at 

https://www.epa.gov/smartway/smartway-shipper-partner-tools-and-resources for further 

details on the Public Disclosure Reports. 

5. For each carrier listed, specify your data availability: 

a = I know both Ton-miles and Total Miles 

b = I know Ton-miles and Average Payload 

c = I know Total Miles and Average Payload 

d = I know Total Miles only (excluding LTL, and Package Truck Carriers, due to the difficulty 

in adjusting mileage for partial loads) 

6. For carriers where you have selected Data Availability Option a, enter total ton-miles along with 

total miles. 

7. For carriers where you have selected Data Availability Option b, enter total ton-miles along 

with your estimated average payload (per truck, barge, or railcar, as appropriate) in short tons 

(2,000 lbs). 

8. For carriers where you have selected Data Availability Option c, enter total miles along with 

your estimated average payload (per truck, barge, or railcar, as appropriate) in short tons (2,000 

lbs). 

9. For carriers where you have selected Data Availability Option d, enter total miles. 

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10. Select the VALIDATE SCREEN button and correct any errors. 

a. If you have errors, they will appear either as red boxes for significant errors, or as yellow 

warning boxes for less-extreme errors. Red errors will prevent you from submitting your 

Tool. 

b. If your values are out of range, but you are confident that they are correct, double click 

the box with the error. A comment box will then appear. Enter an explanation for the 

value and click OK. The box will become yellow, and you will be able to proceed to 

submit your Tool. 

11. Select the NEXT button to proceed to the % SmartWay screen. 

COMPLETING THE % SMARTWAY SCREEN 

1. Select the weighting factor you wish the Tool to use to determine your % SmartWay Value, 

corresponding to the percent of your activity attributable to SmartWay carriers. Comparing your 

% SmartWay Value over time provides a useful way of gauging your company’s progress in 

reducing its overall emissions or footprint. Select the radio button for Ton-Miles or Total Miles 

to choose the weighting factor for all your shipper companies. 

2. Your actions for the next step depend upon your chosen participation level: 

• If you selected the Way 2 participation level, you must specify an alternative weighting factor to 

apply across the different carriers, such as the percentage of total payments, the percentage of 

total weight or total packages, or an alternative “custom” factor for calculating your % 

SmartWay Value, by selecting one of the options in the drop-down menu. Enter the type of data 

used for your percentage allocation estimates using the drop-down menu at the top of the 

screen, and then enter the percent allocated to each carrier. Percentages must sum to 100. The 

resulting weighted average % SmartWay Value is displayed at the bottom right of the screen. 

You must also document the custom factor methodology in the text box presented at the lower 

left of the screen. 

o Note: If you are participating at the Way 2 level, you will not see the Ton-Mile or Total 

Mile columns presented on the % SmartWay screen. 

• If you have selected the Way 3 or Way 4 level, select the radio button for Ton-Miles or Total 

Miles to choose the weighting factor for all your companies. The default value will be set to tonmiles. 

3. Once you have entered your % SmartWay selections you may return to the Home screen if you 

are participating at the Way 2 or Way 3 levels. If you have defined multiple shipper companies, 

repeat the data entry process described above for each company. 

Shipper Partner Tool User Guide | P. 31 
 

 

 

 

 

 

 

 

 

COMPLETING THE MILE & WEIGHT IMPROVEMENTS SCREEN 

1. If you have selected the Way 4 level, you must complete this screen, or the Mile & Weight 

Improvements screen, or the Modal Shift Impacts screen, or any combination of these screens. 

You will not see this screen if you have selected Way 2 or Way 3. 

2. On the Mile & Weight Improvements screen, select an activity category from the drop-down 

menu at the upper left, and then chose a specific activity from the options provided. You may 

select from the following options: 

• Miles Removed from the System 

o Distribution center relocation 

o Retail sales relocation 

o Routing optimization 

o Cube optimization 

o Larger vehicles and/or trailers 

o Other (specify) 

• Weight Removed from System 

o Product weight reduction 

o Package weight reduction 

o Vehicle weight reduction 

o Other (specify) 

3. For each strategy selected, provide an estimate of the percentage impact (in terms of miles or 

ton-miles, as appropriate), for each mode of interest. 

4. Provide a text description for strategy selected, including the methods and assumptions used to 

estimate the changes. Based on actual data from your current carriers, the Tool will calculate 

the quantity of emissions changed for each pollutant.7 

5. Repeat the process for each strategy that your company has implemented. 

6. Use the Basic Quantification and Documentation of System Activities button on the upper right 

of the screen to obtain additional information regarding how operational strategies should be 

quantified and documented. If you have questions regarding calculations and/or 

documentation, contact your SmartWay Partner Account Manager. 

7 The Tool assumes that total mass emissions are changed in direct proportion with the specified mileage or weight reductions. 

This assumption should be accurate for weight reduction strategies when applied to truck-load shipments that weigh out. 

Additional uncertainty arises though in the case of LTL and package delivery shipments, where such reductions may not result 

in one-to-one impact in miles hauled. Uncertainties are even greater for non-truck modes, where the shipper commonly does 

not control the entire content of the container. 

Shipper Partner Tool User Guide | P. 32 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

7. Select NEXT to proceed to the Modal Shift screen. 

COMPLETING THE MODAL SHIFT IMPACTS SCREEN 

NOTE: The Modal Shift Impacts screen is intended for scoping purposes and scenario evaluations only. 

Shippers should develop carrier emissions inventories (and associated average emissions factors for their 

company) by inputting activity data in the Activity Data screen. The resulting estimates of emissions 

impacts displayed on this screen are for partner information only and are not used in determining 

performance estimates. 

1. If you have selected the Way 4 level, you must complete this screen, or the Carrier Subdivision 

screen, or the Mile & Weight Improvements screen, or any combination of these screens. You 

will not see this screen if you have selected Way 2 or Way 3. 

2. On the Modal Shift Impacts screen specify the mode from which you have shifted freight or are 

considering shifting freight (“From Mode”), as well as the target mode (“To Mode”). You have 

several options for selecting an emissions factor for both the “From Mode” and “To Mode”: 

Shipper’s Carrier Average – This option will utilize the weighted average gram per mile or grams 

per ton-mile metric from your carriers, for a specified mode (e.g., rail or truck), based on data 

you provided in the Activity Data screen. If this option is selected for the “From” mode, filters 

can also be applied to evaluate a subset of your current operations (e.g., inbound/domestic 

only). Note that in most cases performance metrics represent midpoints for the given ranking 

category range, rather than the precise value for a given carrier, as described above. If you have 

data specific to your carriers, select the User Input option (see below). Note that the Shipper 

Carrier Average option is not available for the commercial marine mode at this time. 

Modal Average – This option will use an industry-average performance metric for the mode in 

question. Metric options include g/ton-mile and g/mile (or g/railcar-mile / g/barge-mile, as 

appropriate) and are currently available for truck, rail, multimodal, logistics, air (short and longhaul), and barge modes. The data sources and assumptions used to derive these values are 

discussed in the Shipper Tool Technical Documentation. You may want to use this option to 

investigate shifting freight to a transportation mode that you have not used previously, although 

we recommend that you use a more representative emission factor to analyze scenarios 

whenever possible. 

Note: Modal averages for the multimodal selection are specific to intermodal truck/rail moves. 

Use the User Input option to provide performance metrics for other multimodal movements 

(e.g. truck/barge). 

User Input – This option allows you to input performance metric estimates for any carrier mode, 

using alternative data sources. This option may prove particularly useful in those cases when 

you have access to carrier-specific performance estimates. You are encouraged to use this 

Shipper Partner Tool User Guide | P. 33 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

option when you have access to an emissions factor that reflects the full emissions impact (e.g., 

including likely drayage emissions) and/or that best represents the fleet equipment and 

operational type that you are most likely to work with for your unique freight movement. 

Note: The emission factors that automatically appear in the Modal Shift Impacts screen do not 

include all potential emissions impacts; for example, the factors do not include emissions 

associated with drayage (i.e., short-distance trips often required to move freight from one mode 

to another) or the operation of intermodal facilities. 

3. Select the basis for performing the emission impact calculations, using either miles or ton-miles 

as inputs, by specifying the Units in the drop-down menu under the Amounts column. Mile 

inputs for truck, logistics, and multimodal modes correspond to truckload miles, barge-miles for 

barge modes, and railcar-miles for rail modes. 

4. Once the Units are selected for the calculation, the screen will present the “Before” and “After” 

efficiency factors for the “From” and “To” modes for each of the four pollutants, in the table on 

the right side of the screen. If you specified the User Input option, enter the required efficiency 

factors in the empty white cells. 

5. Next, specify the actual amount of freight to be shifted for both the “From” and “To” modes, in 

terms of miles or ton-miles, as appropriate. (Note that these two values can be different, since 

the point to point distance travelled is likely to be different across modes.) The corresponding 

emissions impact is then presented in tons per year for each pollutant. Emissions increases are 

shown as negative values. Note the mileage estimates under “Amounts” for railcar, barge and 

air freight need to be adjusted to reflect truckload-equivalents (on a volume basis) for accurate 

comparison with the truck mode. Refer to the Shipper Tool Technical Documentation for 

details. 

6. If you selected the User Input option, provide a description of the data sources that you used to 

develop these estimates by selecting the User Input Data Source button. 

7. Select the HOME button to return to the Home screen. 

REVIEWING YOUR RESULTS 

1. Now that you have identified your carriers and provided the required activity information, you 

must examine your company’s emission performance and mass emission estimates by selecting 

the Review Your Results button under Step 7 on the Home screen. Carefully review the three 

reports shown on the Emissions Summary, Carrier Performance, and Truck Carrier 

Performance (SmartWay Category Detail) screens. These reports provide high level emissions 

and performance summaries as well as detailed breakouts by mode and for specific carriers, as 

Shipper Partner Tool User Guide | P. 34 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

well as by other category groupings. Review the results carefully for any anomalous results that 

may indicate possible carrier and/or activity data entry errors. 

2. You will not be allowed to proceed through the Tool until you view each of these three screens. 

Once complete you can return to the Home screen. 

SUBMITTING YOUR TOOL TO EPA 

1. From the Home screen, select the Generate a (.xml) data file button which will open a new 

screen. 

2. Select the checkbox to indicate you understand the terms of the SmartWay Partnership 

Agreement once again. 

3. Specify if you are an existing SmartWay Partner. Select No if you did not have an approved tool 

submittal the prior year. 

4. If you select Yes, you may enter your SmartWay ID number. 

5. If you select No, specify how you initially heard about SmartWay, using the selections in the 

drop-down menu. 

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

Shipper_PartnerName_Year_V0.xml,

8 where PartnerName is your partner name as 

entered in Step 1 on the Home screen, and Year indicates the year for which you 

are submitting data. For example, “Shipper_ABCompany_2017_V0.xml” 

7. Specify the folder where you would like to save the .xml file, and save your file. Note that when 

you save your tool, it generates an .xlsm file in addition to the .xml file. 

8. A screen will appear after you save your tool. Follow the instructions for submitting both 

your .xml and .xlsm files, if possible, to SmartWay. Note that the .xml file is approximately 10 

times smaller than the .xlsm file. 

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

Home screen. 

• NOTE: DO NOT ZIP the .xlsm and .xml files. Send them to EPA as normal files 

attached to your e-mail. EPA security will not allow zipped files through the EPA 

firewall. 

8 If you create the XML file multiple times the file name will increment each time (e.g., Shipper_ABCompany_2017_V1.XML for 

the second iteration, etc. 

Shipper Partner Tool User Guide | P. 35 
 

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

Please visit https://www.epa.gov/smartway/smartway-shipper-partner-tools-and-resources for 

additional resources, including printable data collection worksheets, and technical documentation, for 

more in depth exploration of each section of the Shipper Tool. 

Shipper Partner Tool User Guide | P. 36 
 

 

 

 

 

 

 

 

 

 

 

 

Step 3 – Additional SmartWay Resources 

After completing Steps 1 – 7 on the Home screen, EPA strongly encourages you to explore the optional 

sections of the Tool available at the bottom of the screen before completing your submission. Four 

options are provided in this section, including the following. 

View Summary Data Reports – this button gives you access to 14 reports to help you understand your 

data and use it to make better performance decisions, including the new Public Disclosure Report 

containing Scope 3 emissions. 

Feedback and Recruiting Assistance – On the Suggestions screen, you may respond to some or all of 

these questions in order to provide feedback regarding the various aspects of the SmartWay program. 

SmartWay values your feedback. Any information you provide will be used to improve the program, and 

will be kept confidential. Use the scroll bar to the right to display additional questions. On the Recruiting 

Targets screen, you may select up to 10 of your largest non-SmartWay carriers to help target companies 

for potential recruitment into the program. 

Year-to-Year Comparison – The Year-to-Year Comparison Report allows the user to compare the 

company characteristics and activity values, as well as performance metrics for the current year with 

those of the prior year. This report is particularly helpful in identifying any changes that may have 

occurred since your last reporting period, determining trends in activity and performance over multiple 

years, and performing general quality assurance of the inputs used for your current Tool. 

Visit the Partner Portal – You may select the Visit the SmartWay Partner Portal button which will open 

a web browser to the login page of the EPA SmartWay Portal. The portal provides access to a range of 

useful documents and functions including the partner registration document, the SmartWay Partner 

Logo, a sample press release, an online version of the feedback survey, and Awards information if 

applicable. 

Shipper Partner Tool User Guide | P. 37 
 

I I I 

I I I 

I I I I 

I I I I 

I I I I 

APPENDIX: WORKSHEETS FOR DATA COLLECTION 

WORKSHEET #1: CONTACT INFORMATION 

#1. Enter your Contact Information: 

General Company Contact Information 

Company Name 

Headquarters 

Mailing Address 

City State/Province Zip Country 

Main Phone 

Number 

Toll-free Number Cell 

number 

Web Address 

Working Contact Information 

Working Contact Name 

Working Contact Mailing 

Address 

City State/Province Zip Country 

Working Contact Phone 

Number 

Email 

Address 

Executive Contact Information 

Executive Contact Name 

Executive Contact 

Address 

City State/Province Zip Country 

Executive Contact Phone Email 

Number Address 

Sustainability Contact Information 

Sustainability Contact 

Name 

Sustainability Contact 

Address 

City State/Province Zip Country 

Sustainability Contact 

Number 

Email 

Address 

Shipper Partner Tool User Guide | P. 38 
 

I I I I 

Other Contact Information 

Other Contact Name 

Other Contact Mailing 

Address 

City State/Province Zip Country 

Other Contact Phone Email 

Number Address 

Contact’s role in program 

Shipper Partner Tool User Guide | P. 39 
 

 

 

 

 

WORKSHEET #2: SHIPPER COMPANY CHARACTERIZATION 

Complete this worksheet for each shipper company you will be submitting in the Shipper Tool. 

#2: Define your Shipper Companies 

Company Name (Partner Name followed by specific company name) 

NAICS: _______ _______ _______ _______ _______ 

Company Name (Partner Name followed by specific company name) 

NAICS: _______ _______ _______ _______ _______ 

Company Name (Partner Name followed by specific company name) 

NAICS: _______ _______ _______ _______ _______ 

Company Name (Partner Name followed by specific company name) 

NAICS: _______ _______ _______ _______ _______ 

Shipper Partner Tool User Guide | P. 40 
 

 

 

 

 

WORKSHEET #3A: SELECT CARRIER(S) (PAGE 1 OF 2) 

Complete the following for each shipper company you will be submitting in the Shipper Tool. Make 

multiple copies of the table below to enter all carriers used by the company if needed. 

#3A: Identify your Shipper Carriers 

Shipper Company Name ______________________________________________________ 

Total number of Non-SmartWay carriers used during current reporting year ___________ 

Non-SmartWay Carrier modes (circle all that apply) 

Truck Logistics Multimodal Barge Air 

Shipper Partner Tool User Guide | P. 41 
 

 

 

 

 

WORKSHEET #3A: SELECT CARRIER(S) (PAGE 2 OF 2) 

List SmartWay Carriers 

Carrier 

Name* 

Mode 

^ 

SmartWay 

Category** 

SCAC^ 

^ 

MCN^ 

^ 

DO 

T 

#^^ 

Company 

Identifier^ 

^ 

ID 

Code^ 

^ 

Inbound/ 

Outbound 

/ 

Internal^^ 

Domestic/ 

International^ 

^ 

Internal 

Shipper 

Segments^ 

^ 

* Exactly as it appears in SmartWay Carrier Data file 

^ Truck, Rail, Logistics, Barge, Multimodal 

** Truck categories include: Auto Carrier, Dray, Expedited, Flatbed, Heavy/Bulk, LTL Dry Van, Mixed, Moving, Package, Refrigerated, 

Specialized, Tanker, TL Dry Van 

Note - Multimodal SmartWay Categories include: Surface, Surface-Air; Surface-Marine; Surface-Air-Marine 

^^ Optional fields 

Shipper Partner Tool User Guide | P. 42 
 

 

WORKSHEET #3B: ACTIVITY DATA (PAGE 1 OF 2) 

Complete the following for each shipper company you will be submitting in the Shipper Tool. Make 

multiple copies of the tables if needed to enter all carriers used by the company. 

#3B: Enter Activity Data 

Shipper Company Name: 

Provide Data Source Description: 

Shipper Partner Tool User Guide | P. 43 
 

 

WORKSHEET #3B: ENTER ACTIVITY DATA (PAGE 2 OF 2) 

Data Availability Option, Inventory Calculation Metric, Miles, Ton-Miles, and Average Payload 

Carrier Name 

Shipper 

Carrier (Y/N) 

Data Availability 

Option (a-d)* Ton-miles^^ Miles 

Average 

Payload** 

* Options include 

a - Ton-miles and Total miles, 

b - Ton-miles and Average Payload, 

c - Total miles and Average Payload, and 

d - Total miles only 

** For Options b and c only 

Shipper Partner Tool User Guide | P. 44 
 

 

 

 

 

 

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

WORKSHEET #4: ENTER % SMARTWAY ALLOCATION DATA 

Make multiple copies of this worksheet as needed to enter all carriers used by the company in the 

reporting year. 

Shipper Company Name: 

For each company, select the basis for allocating your % SmartWay Value across your carriers (circle 

one). 

Ton-Miles Miles Custom Metric (% Spent, % Weight, % Packages, % Custom) 

Describe Custom Metric (if applicable): 

If using a Custom Metric, enter % allocation factors for each carrier, for % Spent, % Weight, % 

Packages, or % Custom allocations. Totals must sum to 100. 

Carrier Name % Allocation 

Shipper Partner Tool User Guide | P. 45 
 

 

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

___________________________________________ 

WORKSHEET #5: ENTER MILE & WEIGHT IMPROVEMENTS DATA 

Make multiple copies of this worksheet as needed to enter all shipper strategies used by the 

company. 

Shipper Company Name: 

Provide Name of Shipper Strategy ________________________________________________________ 

Select Activity Category (mark one): 

• Miles Removed from the System 

o Distribution center relocation 

o Retail sales relocation 

o Routing optimization 

o Cube optimization 

o Larger vehicles and/or trailers 

o Other (must specify) 

• Weight Removed from System 

o Product weight reduction 

o Package weight reduction 

o Vehicle weight reduction 

o Other (must specify) 

Specify Percent Improvement: 

Mode % Improvement 

Air 

Truck 

Rail 

Logistics 

Multimodal 

Barge 

Describe Data Source/Methodology for % Improvement estimate(s): 

Shipper Partner Tool User Guide | P. 46 
 

 

 

 

 

 

WORKSHEET #6: ENTER MODAL SHIFT IMPACTS DATA 

Make multiple copies of this worksheet as needed to enter all modal shifts used by the company. 

Shipper Company Name: 

Select “From” Mode (circle one): 

Truck Rail Logistics Multimodal Air Barge 

Select “To” Mode (circle one): 

Truck Rail Logistics Multimodal Air (short or long-haul) Barge Marine – OGV 

Select Emission Factor Source – “From” Mode (circle one): 

Shipper Carrier’s Average Modal (industry) Average User Input 

Select Emission Factor Source – “To” Mode (circle one): 

Shipper Carrier’s Average Modal (industry) Average User Input 

Select Activity Units (circle one): Miles Ton-Miles 

Specify Activity Amount – “From” Mode: _______________ 

Specify Activity Amount – “To” Mode: _______________ 

Shipper Partner Tool User Guide | P. 47