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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry. Washington, DC: The National Academies Press. doi: 10.17226/26230.
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2021 T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP RESEARCH REPORT 228 Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Public Transportation • Administration and Management • Policy Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry David Keen Janine Kyritsis Ellen Meiser Keen Independent Research LLC Denver, CO Mara Rosales Rosales Law Partners LLP San Francisco, CA

TCRP RESEARCH REPORT 228 Project J-11/Task 35 ISSN 2572-3782 ISBN 978-0-309-09425-2 © 2021 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transporta- tion Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Cur- rent systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating prob- lems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Coopera- tive Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the successful National Coop- erative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit ser- vice providers. The scope of TCRP includes various transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Pro- posed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organi- zations: FTA; the National Academies of Sciences, Engineering, and Medicine, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Commission. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Commission to formulate the research program by identi- fying the highest priority projects. As part of the evaluation, the TOPS Commission defines funding levels and expected products. Once selected, each project is assigned to an expert panel appointed by TRB. The panels prepare project statements (requests for propos- als), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired effect if products fail to reach the intended audience, special emphasis is placed on disseminat- ing TCRP results to the intended users of the research: transit agen- cies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, train- ing aids, field visits, and other activities to ensure that results are imple- mented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. Published research reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR TCRP RESEARCH REPORT 228 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Manager, Transit Cooperative Research Program Dianne S. Schwager, Senior Program Officer Jarrel McAfee, Senior Program Assistant Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications Janet M. McNaughton, Senior Editor TCRP PROJECT J-11/TASK 35 PANEL Field of Special Projects Michael Jones, Bay Area Rapid Transit (BART), Oakland, CA (Chair) Mallory Avis, Battle Creek Transit, Battle Creek, MI J. Barry Barker, Louisville, KY Pierce D. Canser, King County (WA) Metro Transit, Seattle, WA Flora M. Castillo, Pivot Strategies, LLC, Ventnor, NJ Jacqueline Denise Hopkins, Southeastern Pennsylvania Transportation Authority, Philadelphia, PA Shana McCarron, Educational Data Systems, Inc. (EDSI), Philadelphia, PA Taqhiuddin Mohammed, Pace Suburban Bus Service, Arlington Heights, IL Rachel Pallister, Panther International, Saint Petersburg, FL Jeff Popovich, Jeff Popovich Consulting, Palm Springs, CA Heather Unger, WSP, Exton, PA Scheryl C. Portee, FTA Liaison William Wheeler, FTA Liaison Matthew Dickens, APTA Liaison

TCRP Research Report 228 is a resource guide to assist transit agencies of different types and sizes in implementing or improving diversity and inclusion programs. It provides infor- mation for transit agencies that wish to compare their efforts with those of their peers and measure progress as well as checklists and resources to guide the efforts of transit agency managers. The report presents measures employed by U.S. transit agencies to address diversity and inclusion (including how widely they are used), explores innovative and emerging practices, and identifies barriers or constraints that may influence the effective- ness of particular diversity and inclusion initiatives. In 2003, TCRP published TCRP Synthesis 46: Diversity Training Initiatives, which examined diversity training initiatives in transit agencies through literature review, surveys, and case examples, with a focus on employment and workforce initiatives. TCRP Research Report 228: Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry builds on the snapshot of transit agency diversity initiatives provided in TCRP Synthesis 46. The current report addresses how diversity programs at transit agencies have evolved over the past two decades; how inclusion has been incorporated; and what policies, plans, and practices have been successfully implemented within the public transportation industry. Rather than solely focus on diversity in employment, this report uses a broader framework to assess diversity and inclusion efforts in the workforce, procurement, and transit service to communities. The research team contacted 12 of the 13 transit agencies that participated in TCRP Synthesis 46 and examined the current state of diversity in these agencies. This research project, conducted by Keen Independent Research LLC in association with Rosales Law Partners LLP, had five principal objectives: • Evaluate the current state of diversity and inclusion practices, including identification of any gaps in programs, and provide recommendations as to how public transit agencies can perform program assessments within their organizations. • Examine how diversity and inclusion policies have been successfully implemented and define methods for public transit agencies to develop goals and objectives. • Generate industry-based definitions of diversity and inclusion. • Explore the legal landscape related to diversity and inclusion in public transportation. • Develop a resource toolkit that provides recommendations on how to (a) apply the research findings and (b) identify impacts associated with implementation of a diversity and inclusion program. F O R E W O R D By Dianne S. Schwager Staff Officer Transportation Research Board

1 Summary P A R T I Research Report 7 Chapter 1 Laws and Requirements 7 Federal Requirements 13 Federal, State, and Local Limitations Regarding Race and Gender Preferences in Employment and Contracting 15 Chapter 2 Literature on Diversity and Inclusion 15 Workforce Literature 19 Procurement 19 Other Research Regarding Employment 19 Research Concerning Equity and Inclusion in Other Aspects of Transit Operations 22 Chapter 3 Results of Interviews and Case Studies 22 Approach to Interviews 22 Results from Interviews 24 Approach to Case Studies 24 Results from Case Studies 27 Chapter 4 Definitions of Diversity and Inclusion 27 Broad Definitions of Diversity and Inclusion 28 Definitions of Diversity and Inclusion in This Research 30 Chapter 5 Summary of Gaps and Constraints Affecting Implementation of Diversity and Inclusion 30 Practical Constraints 32 Intraorganizational Barriers P A R T I I Toolkit and Guidance 37 Chapter 6 Diversity and Inclusion Toolkit and Recommendations 37 Diversity and Inclusion Checklists for Program Implementation 40 Staff Management and Procurement Resources 46 Chapter 7 Implementation of Diversity and Inclusion Programs 46 Recommendations on How Best to Put Research Findings and Products into Practice 47 Institutions That Might Take Leadership in Applying Research Findings and Products 48 Issues Affecting Potential Implementation of Findings and Products and How to Address Them 49 Methods of Identifying and Measuring Impacts Associated with Implementation of Research Findings and Products C O N T E N T S

51 Chapter 8 Conclusion 51 Future Knowledge Sharing 52 Paths for Future Research P A R T I I I Resources and Appendices 57 Acronyms 59 Bibliography 66 Appendix A Legal Requirements 81 Appendix B Literature Review 110 Appendix C Interviews with Transit Agencies 122 Appendix D Case Studies of Transit Agency Efforts

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Many transit agencies are striving to improve diversity and inclusion. They continue to initiate and sustain programs and develop more innovative strategies.

The TRB Transit Cooperative Research Program's TCRP Research Report 228: Resource Guide for Improving Diversity and Inclusion Programs for the Public Transportation Industry builds on the snapshot of transit agency diversity initiatives provided nearly 20 years ago in TCRP Synthesis 46: Diversity Training Initiatives to understand how diversity programs at transit agencies have evolved, how inclusion has been incorporated, and what policies, plans, and practices have been successfully implemented within the industry.

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