2018 SmartWay Rail Carrier 

Partner Tool: 

User Guide 

U. S. Version 2.0.17 (Data Year 2017) 
2018 SmartWay Rail Carrier 

Partner Tool: 

User Guide 

U. S. Version 2.0.17 (Data Year 2017)
 

Transportation and Climate Division 

Office of Transportation and Air Quality 

U.S. Environmental Protection Agency 

Office of Transportation and Air Quality 

EPA-420-B-18-006 

February 2018 
 

 

 

 

 

Table of Contents
 

INTRODUCTION.........................................................................................................2
 

HOW DO I SET THE SECURITY LEVEL WHEN OPENING SMARTWAY TOOLS? .......................................2
 

Overview of Data Collection Requirements .............................................................12
 

SECTION 1: SPECIFY OFFICIAL PARTNER NAME ..................................................................... 12
 

SECTION 2: ENTER COMPANY CONTACT INFORMATION ............................................................ 12
 

SECTION 3: FLEET DESCRIPTION(S).................................................................................. 13
 

SECTION 4: ENTER ACTIVITY AND FUEL INFORMATION FOR EACH OF YOUR FLEETS ........................... 14
 

Next Steps...............................................................................................................16
 

APPENDIX: WORKSHEETS FOR DATA COLLECTION..................................................17
 

WORKSHEET #1: CONTACT INFORMATION .......................................................................... 17
 

WORKSHEET #2: FLEET CHARACTERIZATION ....................................................................... 18
 

WORKSHEET #3: POWER UNITS INFORMATION..................................................................... 19
 

WORKSHEET #4: CAR DATA........................................................................................... 20
 

WORKSHEET #5: OPERATIONS DATA ................................................................................ 22
 

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INTRODUCTION
 

This guide is designed to help rail companies participate in the SmartWay Transport Partnership. The guide 

supplements the Rail Quick Start guide with additional information and data collection worksheets to 

facilitate completion of the SmartWay Rail Carrier Tool. 

In this guide you will learn about: 

1.	 The general organization of the SmartWay Rail Carrier Tool, and 

2.	 Data needs for each section of the Tool. 

You can collect your data using our data collection worksheets in preparation for data entry. 

Please review this guide carefully BEFORE attempting to use the Tool or enter data. Understanding the data 

requirements and gathering all data in advance will save considerable time and frustration while completing 

your Tool submission. 

In the event that you have a question about any of the data collection activities, you can contact SmartWay 

Email Support at smartway_transport@epa.gov and a member of our SmartWay Partner Support Team will 

assist you. 

WARNING! 

Completing the Rail Tool requires a considerable amount of information about your company and 

the fleets that are joining SmartWay. There are multiple sections and screens to complete for each 

fleet that you operate. 

While you will have the ability to save your Tool along the way and return to it at any time, we STRONGLY 

ENCOURAGE you to review the Rail Tool Quick Start Guide to understand key information about joining the 

Partnership. Then, the information in this guide allows you to learn about the data requirements and 

gather your data BEFORE attempting to complete the Tool. 

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

When you first open the Tool you may see a new “Protected View” security warning from Microsoft: 

NOTE – THE SMARTWAY TOOL IS IN THE SAME FORMAT AS PRIOR YEARS AND IS SAFE 

TO OPEN ON YOUR COMPUTER. FOLLOW THESE STEPS TO PROCEED. 

1)	 Select the "Click for more details" link at the end of the message in the menu bar shown above. 

2)	 In the Microsoft Office File menu, choose the large "Edit Anyway" button located on the left next to the 

Protected View information section as shown below. 

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Next, the following instructions should appear on your screen if you need to change additional 

security settings before running the Tool. The instructions differ depending upon what version of 

Excel you use (Excel 2003, 2007, 2010, or 2013). 

Security Settings for Excel 2003 Users 

To use the Rail Tool in Microsoft Excel 2003, you will need to have your security levels set to 

“Medium.” 

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1. When using Excel 2003, on the menu bar, go to Tools  Macro Security Level. 

2. When the “Security” window opens, select the “Medium” level, and select OK. 

Macro Setting Tabs in Excel 2003 

Security Level Setting Screen in Excel 2003 

Running the Tool in Microsoft Excel 2003 

1. Save the Tool to your computer in a folder on your hard drive. 

2. Go to that folder and double-click on the file to open the Tool. 

3. You will see a security-warning box appear. Select the button in the securitywarning box. 

Screen showing “Enable Macros” button 

The Welcome Screen for the Rail Tool should then appear and you will be ready to begin working on 

your tool. 

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Security Settings for Excel 2007 Users 

The default settings for Excel 2007 should enable you to run the Tool without any changes. 

Running the Tool in Microsoft Excel 2007 

1) Save the Tool to your computer. 

2) Open the file, and select the button that appears after the Security 

Warning just below the menu bar. Detailed instructions are also provided on the 

screen itself. 

Security Warning Screen 

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3) In the Microsoft Office Security Options dialog box, choose “Enable this content” and 

select OK. 

Security Options Dialogue Box 

The Welcome Screen for the Rail Tool should then appear and you will be ready to begin working on your tool. 

Troubleshooting the Security Settings in Microsoft Excel 2007 

If you reach this point and the Tool does NOT open, you may have your security set too high. 

To adjust your security settings, select the button (in the top left corner of the screen) and then 

select the button in the bottom right corner of the pull-down menu. 

Select the “Excel
 

Options” button
 

Excel Options Drop-Down Menu 

On the Excel Options screen, select Trust Center in the left navigation bar: 

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Select the 

“Trust Center” 

Excel Options Drop-Down Menu 

When the Trust Center options display opens, select Trust Center Settings in the bottom right portion 

of the screen: 

Select the “Trust 

Center Settings” 

button 

Trust Center Settings Screen 

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Choose the setting “Disable all macros with notification” and select OK. 

Select “Disable all macros 

with notification.” 

Macro Settings Screen 

Then run 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. 

Security Settings for Excel 2010 and newer Users 

The default settings for Excel 2010 and newer Excel versions should enable you to run the tool 

without any changes. To run the tool: 

1) Save the tool to your computer.
 

2) Open the file. Depending on your Office settings, you may receive an “Enable Editing”
 

popup. If you do, simply select the button. This will allow you to enter 

data into the tool. You may only receive this popup the very first time you open the 

tool. 

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The Enable Editing Button 

3) Depending on your Excel macro security settings, you may receive a popup. 

If you do, simply select the button. This will enable macros in the tool you 

just opened. 

Security Warning Popup 

If you reach this point and the Tool does NOT open, you may have your security set too high. 

To adjust your security settings, select the File tab from the menu bar (in the top left corner 

of the screen) and then select the button in the bottom left-hand menu of the tab. 

Select the “Options” 

button 

Excel 2010 and Newer Options Drop-Down Menu 

On the Excel Options screen, select Trust Center in the left navigation bar: 

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Select “Trust Center” 

Excel 2010 and Newer Options Drop-Down Menu 

When the Trust Center options display opens, select Trust Center Settings in the bottom right portion 

of the screen: 

Select the “Trust Center Settings” 

button 

Trust Center Settings Screen 

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Choose the setting “Disable all macros with notification” and select OK. 

Select “Disable all 

macros with 

notification” 

Macro Settings Screen 

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Overview of Data Collection Requirements 

The SmartWay Rail Tool is the data collection and calculation system for rail carriers that join the SmartWay 

Transport Partnership. There are four sections of the SmartWay Rail Tool that require data about your 

company’s operations: 

1.	 Specify Official Partner Name 

2.	 Enter Company Contact Information 

3.	 Characterize Your Fleets 

4.	 Enter Activity and Fuel Information for Each of Your Fleets 

This guide will explore the data required for completing these four sections. 

SECTION 1: SPECIFY OFFICIAL PARTNER NAME 

To begin, you must specify your company’s Partner Name, exactly as you want it to appear on the SmartWay 

website. For example, if your company’s name includes “Inc.” or “Ltd.”, you may choose not to include that 

in your Partner Name. Please also pay special attention to proper capitalization, abbreviations, and 

punctuation. 

SECTION 2: ENTER COMPANY CONTACT INFORMATION 

SmartWay needs complete contact information for correspondence, web posting, press releases, and awards 

and recognition (where applicable). The SmartWay Rail Tool asks for: 

•	 General company information (e.g., location, web address, etc.) 

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

•	 An Executive Contact2 for participation in awards and recognition events 

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

outreach
 

•	 Other contacts (optional): Other 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.). 

Please use Worksheet #1 in this guide to prepare for filling out the Contact Information Screen in the Rail 

Tool. 

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

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

complete/update fleet/division 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 Primary Contacts may need to add SmartWay/EPA to their preferred list of trusted sources.) 

2 The Executive Contact is the company executive who is responsible for agreeing to the requirements in the SmartWay Partnership 

Agreement, overseeing the Primary Contact (as appropriate), and ensuring the timely submission of the tool to SmartWay. The Executive 

Contact also represents the company at awards/recognition events. This person should be a Vice President or higher level representative for 

the company. 

3 The Sustainability Contact may be the same as the Working or Executive Contact, but not the same as any Other Contacts. 

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SECTION 3: FLEET DESCRIPTION(S) 

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

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

•	 If you are a small company (e.g., Class 3) you will only have one fleet 

•	 If you are a large rail company (e.g., Class 1), you may have several fleets 

NOTE: You may enter multiple fleets into a single Tool submission. 

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

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

before filling out the Tool. 

Your company’s name and your fleet name(s) will be listed on the SmartWay website to indicate your 

participation in the SmartWay Transport Partnership.
 

It is critical that you identify your company and fleet(s) in the Tool as you would have them appear 

on the SmartWay website. 

The data requirements for the “Characterize Your Fleets” section are described below. 

Please use the Worksheet #2 provided in this guide to prepare for filling out the Characterize Fleets section 

in the Rail Tool. 

NOTE: You may wish to print multiple copies of Worksheet #2 if you have multiple fleets. 

Data Requirements for “Fleet Description(s)” Screen 

For each fleet, you will need to specify: 

•	 Partner Name: On the SmartWay website, each of your fleet names will begin with the name of your 

company. This fleet "prefix" will be whatever you enter in the Partner Name field on the Fleet 

Description screen. By default, this field is automatically populated with the first 50 characters of the 

Partner Name that is entered on the Home screen. You should specify the name so that it appears 

EXACTLY as it you want it to show within each fleet name. (For example, if your company's name 

includes "Inc." or "Ltd.", you may choose not to include that in your fleet names.) Please pay special 

attention to proper capitalization, abbreviations, and punctuation. 

•	 Fleet Name: Specify each fleet identifier exactly as you want it displayed on the SmartWay website, 

including proper capitalization, any abbreviations, and punctuation. Remember that it will 

automatically be combined with the Partner Name field. 

•	 Class: Enter the Class of the associated rail fleet (1, 2, or 3). 

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SECTION 4: ENTER ACTIVITY AND FUEL INFORMATION FOR EACH OF YOUR FLEETS 

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

for EACH fleet separately. Much of this information will be directly available for Class 1 rail carriers from their 

most recent R-1 report data. 

NOTE: If you are a new SmartWay Partner you should enter the most recent 12 months of data into 

the Tool. If you do not have a full year of operational data, please collect a minimum of three 

months’ data for input into the SmartWay Tool. In your next update year, you will be required to 

submit a full year’s data. 

Data Requirements for “Power Units” Screen 

Please use the Worksheet #3 provided in this guide to prepare for filling out the Power Units section in the 

Rail Tool (make one copy for each fleet). 

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

•	 Specify the number of power units or hours per year operated during the reporting period, by engine 

tier level. Depending up the Data Input Method selected, this information may be broken out by 

line-haul and switch engines. Under Method 1 you may aggregate your fleet’s line-haul and switch 

units together, while Method 2 requires that you report the unit type counts separately. Methods 3 

and 4 are similar, but require inputting hours of operation by tier, rather than unit counts.4 For Class 

1 operators, please refer to R-1 form, Schedule 710 for details. The different engine tier level 

definitions are provided below: 

o	 Non-tier – manufactured before 1972 

o	 Tier 0 – manufactured between 1972 and 2001 

o	 Tier 0+ - manufactured between 1972 and 2001, and remanufactured after 2010 

o	 Tier 1 – manufactured between 2002 and 2004 

o	 Tier 1+ – manufactured between 2002 and 2004 and remanufactured after 2010 

o	 Tier 2 - manufactured between 2005 and 2011 

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

o	 Tier 3 - manufactured between 2012 and 2014 

o	 Tier 4 – manufactured after 2014 

•	 Next, Class 1 operators must enter your fleet’s Total Locomotive Unit Miles/Year data under Part B. 

Break out your unit miles data by line-haul and switching categories, as appropriate. This data is 

available in the R-1 forms for Class 1 railroads (see lines 8-14 of Schedule 755). Class 2 and 3 

operators do not enter this information. 

•	 Finally, you will need to provide a detailed description of the data sources used to obtain your power 

unit data (e.g., R-1 Form section and line numbers). 

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

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Data Requirements for “Cars” Screen 

Please use the Worksheet #4 provided in this guide to prepare for filling out the Cars section in the Rail Tool 

(make one copy for each fleet). 

Class 1 operators will need to provide power unit information about the selected fleet. (Class 2 and 3 

operators do not enter this information.) 

•	 Specify your fleet’s annual railcar miles for the reporting year, by car type (e.g., box, gondola, etc.) 

and ownership type (Owned/Leased or Private). These data may be obtained from R-1 Report 

Section 755 (see lines 15 – 84). 

•	 If available, also provide your fleet-specific railcar volumes by car type. 

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

Report). 

Data Requirements for “Operations” Screen 

Please use the Worksheet #5 provided in this guide to prepare for filling out the Operations section in the 

Rail Tool (make one copy for each fleet). 

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

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

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

switch). Petroleum diesel, biodiesel, and LNG entries must be in gallons per year. Specify CNG units 

indicating standard cubic feet or gasoline-equivalent gallons per year. Electricity use is specified in 

kWh/year. If you indicate biodiesel consumption data, you must also specify the fleet average fuel 

blend level (between 0 and 100). For Class 1 operators, please refer to R-1 form, Schedule 750, lines 1 

- 3 for details. 

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

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

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

R-1 Report). 

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Next Steps 

Now that you understand the data collection requirements for the SmartWay Rail Tool, use the worksheets in 

the attached appendix to collect the data you need, then download the Tool and begin the data entry 

process. Please visit https://www.epa.gov/smartway/smartway-rail-carrier-tools-and-resources to download 

the SmartWay Rail Tool if you haven’t already. 

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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 Mailing 

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 

Other Contact Information 

Other Contact Name 

Other Contact Mailing 

Address 

City State/Province Zip Country 

Other Contact Phone Number Email 

Address 

Contact’s role in program 

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WORKSHEET #2: FLEET CHARACTERIZATION 

Complete this worksheet for each fleet you will be submitting in the Rail Tool. 

Specify Partner / Fleet Name (exactly as it should appear on the SmartWay website):
 

Partner Name ________________________________________________________________________
 

Fleet Identifier ________________________________________________________________
 

Railroad Class (1, 2, 3) __________
 

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_________________________________________________________________________________________ 

_________________________________________________________________________________________ 

_________________________________________________________________________________________ 

_________________________________________________________________________________________ 

_________________________________________________________________________________________ 

_________________________________________________________________________________________ 

_________________________________________________________________________________________ 

__________________________________________________________________________ 

WORKSHEET #3: POWER UNITS INFORMATION 

Complete this worksheet for each fleet you will be submitting in the Rail Tool. 

Specify Power Unit Inventory by Engine Tier 

Inventory Basis (circle one): # Units Hours/Yr 

Engine Tier Line Haul Switch Total*
 

non-Tier ______________ ______________ ______________
 

0 ______________ ______________ ______________
 

0+ ______________ ______________ ______________
 

1 ______________ ______________ ______________
 

1+ ______________ ______________ ______________
 

2 ______________ ______________ ______________
 

2+ ______________ ______________ ______________
 

3 ______________ ______________ ______________
 

4 ______________ ______________ ______________
 

* If you cannot differentiate line-haul and switch inventories, enter # Units or Hours/Yr for Totals only 

Total Locomotive Unit Miles/Year (Class 1 Operators Only): 

Unit Trains ______________ 

Way Trains ______________ 

Through Trains ______________ 

Train Switching ______________ 

Yard Switching ______________ 

Describe the data source used to develop the above data: 

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WORKSHEET #4: CAR DATA
 

Complete this worksheet for each fleet you will be submitting in the Rail Tool.
 

Fleet Name:__________________
 

Railcar Miles/Year (Class 1 Operators only):
 

Owned and Leased Private 

Loaded Empty Loaded Empty 

Box - Plain 40' 

Box - Plain 50' 

Box Equipped 

Gondola Plain 

Gondola Equipped 

Hopper Covered 

Hopper Open Top - General 

Refrigerated Mechanical 

Refrigerated Non-Mechanical 

Flat TOFC/COFC 

Flat Multi-Level 

Flat General Service 

Flat All Other 

Tank Under 22,000 gallons 

Tank Over 22,000 gallons 

All Other Cars 

Work Equipment and Company Freight 

No Payment Car-Miles 

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For each fleet, enter the fleet-specific volume in cubic feet for each car type. If you do not have this data, the 

Rail Tool will apply national average volume estimates. 

Car Type Volume (cu ft) 

Box - Plain 40' 

Box - Plain 50' 

Box Equipped 

Gondola Plain 

Gondola Equipped 

Hopper Covered 

Hopper Open Top - General 

Refrigerated Mechanical 

Refrigerated Non-Mechanical 

Flat TOFC/COFC 

Flat Multi-Level 

Flat General Service 

Flat All Other 

Tank Under 22,000 gallons 

Tank Over 22,000 gallons 

All Other Cars 

Work Equipment and Company Freight 

No Payment Car-Miles 

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WORKSHEET #5: OPERATIONS DATA 

Complete this worksheet for each fleet you will be submitting in the Rail Carrier Tool. 

Enter Fuel Use/Yr: 

Fuel Type Units Freight Passenger Switching 

Diesel gal/yr 

Biodiesel^ gal/yr 

LNG gal/yr 

CNG gal/yr cu ft/yr * 

Electricity kWh/yr 

* circle one
 

^ Biodiesel blend % (if applicable): _______
 

Gross Ton-Miles/Yr _____________________ (R-1, Schedule 755, line 104) 

Revenue Freight Ton-Miles/Yr _____________________ (R-1, Schedule 755, line 110) 

Non-Revenue Freight Ton-Miles/Yr _____________________ (R-1, Schedule 755, line 113) 

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