Empowering Women in Science developed the following recommendations in order to serve the greater UMN STEM field community. We devised these recommendations based off the current state of the literature, known experiences, and consultation with local campus experts. We list them here so that they may be accessible to the entire UMN community. Please do not hesitate to reference these recommendations as a means to improve campus climate with regard to gender bias and sexual harassment.

March 5, 2018

Recommendations for implementing effective in-person training for the prevention of sexual misconduct

In a recent study conducted by the Association of American Universities (AAU), nearly half of students surveyed at the University of Minnesota stated that they were victims of sexual harassment (Cantor et al., 2015). Furthermore, between 4% and 20% of all students at the University of Minnesota have reported being the victim of sexual assault since enrolling in college, with lower rates occurring among male students.

While sexual misconduct can happen to anyone, the rates are especially high among women, people of color, and lesbian, gay, bisexual, transgender, and queer (LGBTQ) individuals. Nationally, approximately 30% of male graduate students, 42% of female graduate students, and 69% of transgender or gender nonconforming graduate students have endured a form of sexual harassment. Alarmingly, 10% of female graduate students across U.S. universities reported being harassed by a faculty member (Cantor et al., 2015).

Sexual misconduct and harassment is a preventable problem in the academic workplace. Although many sexual harassment prevention programs have proven ineffective, several recent studies have allowed parsing the more effective elements of these first-generation programs. Based on this body of research, the Empowering Women in Science (EWIS) group, in partnership with the Aurora Center, has outlined recommendations to implement effective sexual misconduct training. Furthermore, we have consulted with the EOAA, who expressed enthusiastic support for the guidelines outlined below:

1. Establish clear goals

The first step in implementing an effective prevention program is to identify the reasons for developing an intervention program. Establishing goals allows for clarification of the problem, addresses the gaps that need to be filled, and sets the stage for programmatic evaluation. Moreover, research has found that underlying goals of sexual misconduct trainings can impact program effectiveness (Alvarez, Salas, & Garofano, 2004; Salas, Wilson, Priest, & Guthrie, 2006). For example, programs are ineffective when the purpose of training is to comply with federal mandates, limit liability, or legitimize the organization. In contrast, trainings are more effective when the goal is to focus on how diversity improves performance, creates a competitive advantage, and represents a positive change for all employees and for the organization (Alvarez et al., 2004; Salas et al., 2006, Perry et al., 2010).

In establishing clear goals of sexual harassment training:

1.1 Clearly define your goals for initiating a prevention program. In order to effectively enlist the support of all members of an organization to address unethical workplace practices, leaders must clearly understand their reasons for creating a training about misconduct, what constitutes wrongdoing and injustice, and the consequences for the organization if misconduct continues (McDonald, Charlesworth, & Graham, 2015). As such, research has recommended that leaders think carefully about the specific goals of their training, clarify why they are conducting the training, and make those goals clear to the members of the organization (McDonald et al., 2015). Based on EverFi’s sexual harassment training, we urge consideration of the following questions:

What are the overarching ideals and objectives of our institution?

What problem are we trying to solve?

What is the purpose of our efforts?

What outcomes should be established in order to meet our goals?

What activities will generate these outcomes?

Do we have the resources we need?

1.2 Frame sexual misconduct as a societal and organizational problem. Research suggests that sexual misconduct should be framed as a societal and organizational problem, rather than an individual problem (McDonald & Charlesworth, 2013). Training should focus on framing sexual misconduct as a health problem that affects all individuals, as well as delineate the injurious effects of sexual misconduct on targets of sexual harassment (Willness, Steel, & Lee, 2007). The seriousness and susceptibility to sexual misconduct should be described in detail. Additionally, the effect on the specific department, our university, the University, and larger society should be emphasized.

Importantly, behavior change will not occur unless trainees are motivated to act on the given information. As such, training should explain why the factual information should be trusted, why identification with victims of sexual misconduct should be facilitated and fostered, and why messages that trigger psychological reactance should be avoided. Individuals should walk away understanding that sexual misconduct is a serious problem that anyone is susceptible to, that it has grave effects, and that there are steps that individuals and departments can take to change such harmful outcomes.

1.3 Clearly define sexual harassment and misconduct. Perhaps the most important aspect of any training is to clearly elucidate the problem. Clear definitions of sexual misconduct and sexual harassment need to be outlined and the consequences of sexual misconduct should be delineated. The University of Minnesota Sexual Harassment Policy adopted by the Board of Regents May 11, 2012, Section II, subd. a. defines sexual harassment as

“unwelcome sexual advances, requests for sexual favors, and/or other verbal or physical conduct of a sexual nature when: (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment or academic advancement in any University activity or program; (2) submission to or rejection of such conduct by an individual is used as the basis of employment or academic decisions affecting this individual in any University activity or program; or (3) such conduct has the purpose or effect of unreasonably interfering with an individual’s work or academic performance or creating an intimidating, hostile, or offensive work or academic environment in any University activity or program.”

A good training program should describe both blatant and subtle examples of sexual misconduct so that participants can enhance their ability to identify when sexual harassment or sexual misconduct is occurring. Many one-time only trainings exclusively emphasize definitions and examples of sexual misconduct and such trainings have been shown to enhance individuals’ ability to identify when sexual misconduct and harassment occurs (Perry, Kulik, Bustamante, & Golom, 2010), which is an important first step in preventing sexual misconduct.

Moreover, trainings should clarify differences between acceptable and unacceptable behaviors to ensure that individuals are clear about what constitutes sexual misconduct and harassment (McDonald et al., 2015). Such clarification should emphasize specific acceptable behaviors within the context of a department’s power structure. The impact of power differentials between specific individuals (e.g., faculty versus student) should also be discussed (Chory & Offstein, 2017). Additionally, trainings should emphasize differences between sexual misconduct and harassment, and the formation of healthy romantic and sexual relationships in the Academic Health Center environment.

1.4 Affirmative consent. UMN’s policy defines affirmative consent as “informed, freely and affirmatively communicated willingness to participate in sexual activity that is expressed by clear and unambiguous words or actions.” Given that universities across the nation only recently adopted an affirmative consent policy, trainings should define affirmative consent and explain the benefit of adopting such an approach. Importantly, affirmative consent suggests that consent should be clear and unambiguous. By definition, ambiguity is not affirmative consent. Although affirmative consent policies only apply to sexual assault, we suggest that the spirit of this guideline and the definition of sexual harassment as unwelcomed sex-based interactions should be emphasized. That is, all sex-based interactions (e.g., sexual jokes, statements, and comments) must only be communicated if they are welcomed, which can be ascertained by obtaining consent prior to the sex-based interaction. The process of obtaining consent must take into account power differentials within the workplace. Training should emphasize that all individuals must feel comfortable to withdraw consent at any time without fear of reprisal.

2. Connect the training to an organization-wide cultural shift

Sexual misconduct is the product of multiple interacting levels of influence (DeGue et al., 2012). Research has suggested that a major element of an effective policy on sexual misconduct is a commitment to broader gender equality goals and a non-discriminatory work environment (Macdonald et al., 2015; Harding, 2015). The Aurora Center and other experts have suggested that sexism and gender inequality are crucial factors in contributing to and maintaining sexual misconduct culture (Berkowitz, 2002; DeGue et al., 2014; Kimmel, 2009). As such, to create long-term change, leaders and members of an organization need to work together to promote a culture that champions gender equality and non-discrimination (McDonald et al., 2015).

The organizational climate of an institution can promote or prevent sexual misconduct (Fitzgerald, Drasgow, Hulin, Gelfand, & Magley, 1997). Studies show that when individuals report a positive organizational climate and believe their workplace is ethical, sexual harassment rates decrease, retaliation against those who report harassment diminishes, and the psychological outcomes of targets of sexual harassment improves (Bergman, Langhout, Palmieri, Cortina, & Fitzgerald, 2002; Glomb, Munson, Hulin, Bergman, & Drasgow, 1999). This speaks to the importance of discussing and improving the culture of each department within the larger University.

Approaches to combat organizational and societal change often include bystander interventions. These school-based interventions (e.g., Green Dot, Bringing in the Bystander, and Safe Dates) target the bystander effect, which is the social phenomenon that individuals are less likely to offer help to a victim when other people are present. The CDC’s review of various programs that aim to end sexual misconduct among youth and on college campuses have shown that the common denominator of efficacious interventions is their emphasis on bystander effect (DeGue et al., 2014). As such, in addition to these recommendations, bystander interventions should be implemented. We additionally suggest that the training addresses larger social and cultural aspects to reduce gender and racial inequity.

To initiate a cultural shift towards the prevention of sexual misconduct:

2.1 Make policies accessible. Individuals should know the University’s sexual misconduct policy and the resources available to them before they ever witness or endure an incident of sexual misconduct. Yet, less than half of students surveyed at the University of Minnesota (34.2%) reported being very/extremely knowledgeable about where to find help at the University if they or a friend become targets of sexual harassment. Additionally, only 26.7% of students surveyed were very/extremely knowledgeable about how to report sexual assault or misconduct (Cantor, 2015). This suggests that policies and resources need to be more accessible, clear, and widely distributed. Empowering Women in Science (EWIS) has put forth a proposition to include a sexual misconduct policy and resources in all graduate school handbooks. Additionally, the resources available at the Aurora Center should be widely publicized, particularly across our university. We recommend that flyers about the policy and where to find help be posted in public workspaces across our university as increased visibility about sexual misconduct policies may prove effective (Bell, Quick, & Cycyota, 2002).

2.2 Gain leadership support. Leaders of departments are crucial in promoting change. Departments that have supervisory support for sexual harassment training have been shown to positively impact training effectiveness (Buckner, Hindman, Huelsman, & Bergman, 2014). In fact, organizational tolerance of sexual harassment can be reinforced when leaders and those in power of the department or organization model harassing behaviors and/or indicate disregard for policies combatting harassment (Fitzgerald, Drasgow, Hulin, Gelfand, & Magley, 1997; Perry, Kulik, & Field, 2009). As such, it is important to get chairs of all departments on board with the mission and be actively involved in participating in and promoting the training. We suggest forming a committee of department chairs and other collaborators that will foster a sense of responsibility, direction, and contribution to creating a more positive, gender-equitable workplace free of sexual misconduct.

2.3 Outline repercussions. Effective training programs make it very clear that the institution implementing the training takes sexual misconduct seriously. Most importantly, information on sexual misconduct should be conveyed without generating fear. Fear-based attempts to prevent sexual misconduct can rebound, making sexual misconduct even more resistant to prevention (EverFi, 2018). Therefore, UMN personnel should be informed about the potential consequences of their behavior without resorting to fear-based prevention strategies. Certainty of remedial consequences for sexual misconduct is more effective in preventing misconduct than emphasizing the severity of the punishment (Paetzold, O’Leary-Kelly, & Griffin, 2007). Programs should outline the specific remedial process for both targets and perpetrators to promote transparency and challenge uncertainty associated with reporting sexual misconduct.

2.4 Encourage discussion/consulting/asking questions. The more effective approach in sexual misconduct policy is a consultative one, in which sexual misconduct is addressed as a community concern, emphasizing the ambiguity of the problem and making it acceptable for people to seek advice in ‘grey area’ situations, which might not warrant a formal complaint. Yet, in order to implement this later point, two barriers need to be addressed.

First, the fear of retaliation is a significant and potent barrier to filing sexual misconduct claims and to seeking advice. This, in turn, limits the ability for academic medicine to change its culture (for a specific review on sexual harassment in academic medicine, see Bates et al., 2018). Although UMN’s policy clearly delineates that victims will not be retaliated against for filing a claim, approximately 20% of university students do not strongly believe this (Cantor et al., 2015). Providing institutional incentives for acceptable behavioral norms and for seeking advice about what constitutes acceptable behavioral norms may help counter such fears of retaliation.

Second, although mandatory reporting laws were put into practice to protect further sexual misconduct, these laws may discourage individuals from discussion and consultation about potential sexual misconduct. If conversations about sexual misconduct, gender equality, and sexism become incorporated into an organization’s culture, these barriers may disappear. Additionally, it is possible to facilitate discussion and advice in ambiguous situations without any repercussions by promoting resources available to students, faculty, and staff. For example, the Aurora Center offers consultation about ambiguous situations. Additionally, mentor programs can also serve this function, as mentors can enable intimate conversations that promote consultation.

Additionally, ensuring that sexual misconduct training is part of a broader, ongoing discussion will contribute to creating a culture in which people can seek advice and consultation without retaliation. This should equally include potential victims and perpetrators of sexual misconduct and those that contribute to the culture of sexual misconduct.

2.5 Educate on the positive benefits of diversity and inclusion. The University of Minnesota is dedicated to diversity and inclusion. Research has indicated that a non-discriminatory work environment leads to more effective policies on sexual misconduct (McDonald & Charlesworth, 2013). Trainings should interweave gender, sexual, racial and ethnic diversity and communicate cultural competency. Additionally, each department should focus on how it seeks to promote diversity and inclusion.

3. Focus on department needs

Each department has its own culture surrounding gender and sexual equity. To address the larger cultural shift, training should be tailored to each department (Gillum, 2014). Training should identify what problems, barriers, and issues exist within each department, enable departments to set their own goals and objectives, create and implement a plan to continue to address sexual misconduct, and assess and evaluate the effectiveness of the program.

To create training that is tailored to the specific needs of the department:

3.1 Conduct a needs assessment. A needs assessment includes identifying situations in which sexual misconduct is more likely to occur, understanding the status and positions of people in the organization, assessing the gender ratio and culture surrounding diversity and gender, and conducting attitude surveys of sexual misconduct (Bell et al., 2002). Studies show that conducting a needs assessment prior to training helps to identify cultural risk factors for sexual harassment and enhances effectiveness of the training (Thomas-Card & Eichele, 2016). As such, trainings should consider the needs of the specific department related to sexual misconduct, understand the department’s power structure and attitudes about diversity and inclusivity, and assess cultural norms surrounding sex and gender prior to the implementation of training.

3.2 Consider limiting individual variation with regard to organizational roles. Training can be differentially effective based on the individual characteristics of trainees (Alvarez et al., 2004; DeGue et al., 2014). Moreover, individuals may feel more or less comfortable discussing sexual misconduct, depending on the similarities or differences to others in the training (e.g., students versus faculty, being the only person who identifies as LGBTQ or as a person of color in the group). Sexual misconduct training has proven more effective when individual differences are minimized and when individuals are motivated to learn (Perry et al., 2009). Assessing individual’s comfort discussing sexual misconduct within one’s department may provide a structure of how to form specific groups that receive training (e.g., faculty versus student).

3.3 Consider gender balance of the department. Environments in which men significantly outnumber women and other genders have been associated with increased harassment rates (Fitzgerald, Magley, Drasgow, & Waldo, 1999). The imbalance of men and women and gender minorities becomes problematic when the organizational environment is hierarchical or conveys cultural norms that favor masculine behaviors and/or denigrate feminine behaviors. Research has suggested that these cultural norms encourage the mistreatment of women and gender and sexual minorities, which in turn, increases the likelihood that sexual misconduct will occur (de Haas & Timmerman, 2010). Such findings suggest the importance of assessing department needs to address the underlying social and organizational factors that permit versus inhibit a culture of sexual harassment.

3.4 Be inclusive. Sexual misconduct affects everyone, although it disproportionately affects cisgender women, transgender and gender non-conforming individuals, lesbian, gay, bisexual, and queer people, and people of color (Worthen & Wallace, 2017). Nationally, approximately 30% of male graduate students, 42% of female graduate students, and 69% of transgender/gender nonconforming graduate students have endured sexual harassment (Cantor et al., 2015). Although these statistics focus on sexual misconduct rates among students, sexual harassment also impacts faculty and staff. In working with large departments, it is important to ensure that staff and faculty actively participate in trainings. Additionally, people of color are at increased risk for experiencing sexual harassment and other forms of violence and victimization (Buchanan & Fitzgerald, 2008). As such, trainings should be inclusive, provide real-life examples of individuals of diverse ethnic and gender identities, and be sensitive to all populations, rather than focused exclusively on cisgender Caucasian women (Holland, Rabelo, Gustafson, Seabrook, & Cortina, 2016).

4. Employ strategies that have proven efficacious.

The American Psychological Association has developed nine principles of effective prevention programming (DeGue et al., 2014; Nation et al., 2003). First, effective prevention programs must be comprehensive, and trainings should be integrated with other efforts to promote change. Prevention efforts should be socio-culturally relevant (tailored to cultural beliefs and community norms) and facilitate positive relationships between the participants and their peers, families or communities. Trainings should be conducted by well-trained staff and teaching methods should be varied, interactive, and encourage skill building. Furthermore, activities should be held frequently to be impactful and outcomes should be evaluated and measured. Finally, strategies should be evidence-based, logical and rational.

To enhance the trainings effectiveness, employ the following evidence-based strategies:

4.1 Use teaching methods that have shown to be effective. When the objective of sexual misconduct training is knowledge acquisition (e.g., understanding the legal definition of harassment), lectures or other passive learning methods can be effective. However, if the goal of the research is to change employee attitudes and behaviors, an approach that engages more active learning techniques is more effective (Sogunro, A., 2004). Research has demonstrated that trainings that employ various teaching methods are more effective (DeGue et al., 2014).

4.2 Use interpersonal techniques to highlight and reinforce acceptable behavioral norms. Sexual misconduct training should aim to focus on the development of human relations skills (e.g., recognizing sexual harassment and responding to it). Modeling and rehearsal techniques can increase skills related to conflict resolution and increase sensitivity to behaviors that can be interpreted as sexual harassment (York, Barclay, & Zajack 1997). These techniques often include role playing that enable participants to practice interpersonal skills in challenging situations (Takeyama & Kleiner, 1998), role negotiation designed to clarify expectations of supervisors and coworkers (see Licata and Popovich, 1987), and group techniques that encourage respectful work environments and cultivate employee responsibility for enacting and enforcing change (Deadrick, McAfee, & Champagne, 1996). As well, trainings must consider the varying degrees of emotion that can be elicited during sexual misconduct training and should devise a plan to address participants’ feeling triggered (e.g., having a safe space to take a break, varying role plays with group activities).

4.3 In-person training. Although online trainings require fewer resources, research has found that they can be less effective (Schweinle & Roseman, 2015). In-person training allows for opportunities to practice and learn interpersonal skills and as a result, may more effectively promote attitudinal change. As well, in-person training can incorporate opportunities for specific and timely feedback about knowledge learned and skills acquired.

4.4 Consider the messenger. Research has shown that who delivers the training can influence the success of the intervention. Professionals appear to deliver information with greater fidelity, whereas peers tend to transfer norms set in place by the professional. Moreover, research has found that when men are approached in a non-confrontational, alliance-building fashion by other men, their knowledge related to sexual assault, empathy toward sexual assault survivors, and motivation to actively engage in the prevention of sexual violence increases (Piccigallo, Lilley, & Miller, 2012).This suggests that a “train the trainer” approach might be particularly helpful. Consultation with the Aurora Center and Program in Human Sexuality will be particularly beneficial to adopt such a system.

4.5 Consider voluntary trainings. Research has shown that voluntary trainings may have more positive effects on motivation to learn than mandatory training (see Perry et al., 2009). There is concern, however, that the individuals who need training the most would not attend. Research has suggested that motivation to engage in training can be enhanced through promoting the conceptualization of the training, garnering supervisor support, and removing barriers to complete trainings (McDonald et al., 2010).

4.6 Refresher and/or continuous training. Research has demonstrated that multiple, longer trainings are more effective than shorter trainings (Anderson & Whiston, 2005). Moreover, inclusion of follow-up activities (e.g., creating an implementation plan) can facilitate a positive post training climate (e.g., Perry et al., 2009). Trainings that include maintenance efforts (e.g., goal setting, developing a post-training plan) can increase the transference of learned skills over time. Additionally, helping departments develop long-term plans that encourage ongoing discussion about sexual misconduct will likely foster a climate of openness and non-discrimination, where people feel free to seek advice and consultation. A multifaceted curriculum, with multiple points of contact across time is absolutely vital to shifting and maintaining long-term cultural shifts.

4.7 Program evaluation. Research has noted that program evaluation should include assessing the skills acquired, reactions to understanding any potential backlash against the training, the improvement of workplace behavior, and the organizational impact in reducing sexual misconduct (Coker et al., 2015; DeGue et al., 2014). Program evaluation data could also be submitted for publication, which enhances the overall mission of our university. We suggest implementing surveys following the training to; 1) measure attitudes about the training and its perceived usefulness, 2) assess sexual harassment knowledge and attitudes prior to and following training, 3) conduct anonymous surveys asking respondents to report on their own and others’ sexual harassment related behaviors at work, and 4) assess the number of sexual harassment complaints and/or climate prior to and following sexual harassment training.

5. Reduce the burden of implementing a prevention program.

We have given our broad recommendations for how to implement a program that will benefit our university. We are acutely aware of the impact that sexual harassment and assault can have on an individual’s productivity and ability to train, publish, and succeed in our academic workplace. Although we have devoted significant effort to researching and preparing this statement, we now expect our university to take the next steps with professional staff who are leaders/experts in this field.

For next steps to move forward:

5.1 Hire an expert. Having a full-time professional who would solely focus on this program would maximize the potential and likelihood of success. This professional should have two important qualities. First, they should have strong expertise and training-specific skills on issues of gender-based violence, anti-oppression work, and adult learning. Second, this professional should have expertise in group psychological processes to ensure program effectiveness (Paul & Gray, 2011). This includes, but is not limited to, creating an open and safe environment for discussion, challenging the “group think” processes, taking a collaborative rather than an expert stance, considering group size and heterogeneity of the group members, and confronting disbelief and victim blaming (Orchouski et al., 2012).

5.2 Consult with campus experts. Preventing sexual harassment presents an incredible opportunity to implement widespread sexual misconduct training, conduct research, and promote long-term change. Our recommendation is to collaborate with other organizations and to use this as an opportunity to further the mission of the department, college, or institution.

Discovery, innovation, and compassion are the hallmark features of the University of Minnesota. To continue its long history of leadership, promote innovation, and cultivate a new and compassionate generation of scholars, educators, clinicians, and researchers necessitates striving for racial and gender equity. If we are thoughtful and steadfast in this pursuit, the potential for impact is significant.

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