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PROBABILITY OF SUCCESS

DECISION

QUALITY

COORDINATION CONFLICT

MANAGEMENT

Dierdorff & Rubin, March 2015 HBR.ORG

High self-

awareness

teams

Low self-

awareness

teams

32%

68%

27%

73%

35%

65%

Take-Home Lesson

Assess

Apply

Assess yourself &

others accurately

Apply your

assessments

strategically

&

• NRMNet.net

• Sign up as a mentor or mentee

• Connect with others through myNRMN

• Receive online training and view webinars

• Participate in trainings in your area

• Access resources and research on mentoring

Supported by the NIH

U54 GM119023

National Research Mentoring Network

Main Lesson

Assess

Apply&

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Questionnaire for Aligning Expectations in Research Mentoring Relationships

Mentor / Supervisor: Mentee / Student:

Time Period: Dept / Program:

Read each pair of statements and estimate your position on each. For example with statement pair #1, if you believe the

ideal mentoring relationship focuses on the research interests, select 1, 2, or 3. Or if you think the ideal relationship

focuses on the working and communication styles, select 4, 5, or 6. Avoid filling in “3.5” for your responses.

Early Stages of the Mentoring Relationship and Choosing Mentors/Mentees

1

For an ideal mentoring relationship, it’s important for

both mentor and mentee to have similar research

interests

1 2 3 4 5 6

For an ideal mentoring relationships, it’s important

for both to have similar working and communication

styles

2

In an ideal mentoring relationship, mentors should

provide close supervision and guidance 1 2 3 4 5 6

In an ideal mentoring relationship, mentors should

provide much freedom and independence for the

mentees to explore and learn themselves

3

Mentors should only accept mentees when they have

specific & deep knowledge of the mentee’s research

topic

1 2 3 4 5 6

Mentors can provide overall guidance, and so should

feel free to accept mentees from a broad range of

disciplines

4

A personal and friendly relationship between mentor

and mentee is important for a successful relationship 1 2 3 4 5 6

A professional relationship is advisable to maintain

objectivity for both mentee and mentor during their

work

5 The mentor is responsible for providing emotional

support & encouragement to the mentee 1 2 3 4 5 6

Personal counselling and support are not the

responsibility of the mentor

6 It is the mentor’s responsibility to select a research

topic for the mentee 1 2 3 4 5 6

The mentee is responsible for selecting her/his own

research topic

7

When choosing research topics, I prefer to work on

projects with potential for high payoffs, even if it

involves high risk

1 2 3 4 5 6

When choosing research topics, I prefer to work on

projects that have a strong & safe chance of success,

even if the payoff is low

8 The mentor should decide how frequently to meet

with the mentee 1 2 3 4 5 6

The mentee should decide when she/he wants to

meet with the mentor

9 The mentor should provide the rules and guidelines

for the program or dept to the mentee 1 2 3 4 5 6

It is the mentee’s responsibility to gather and learn

the rules and guidelines of the program or dept

10 The mentor is responsible for finding funding until

the mentee graduates or completes the program 1 2 3 4 5 6

Mentees are responsible for finding their own

sources of funding

Middle Stages of the Mentoring Relationship

11 The mentor should be the primary guide for the

mentee in their academic and professional goals 1 2 3 4 5 6

The mentee should gather multiple mentors as they

work toward their academic and professional goals

12

The mentor should be the first place to turn when

the mentee has problems with the research project 1 2 3 4 5 6

Mentees should try to resolve problems on their

own, including seeking input from others, before

bringing a research problem to the mentor

13 The mentor should check regularly that the mentee is

working consistently and finishing tasks 1 2 3 4 5 6

The mentee should work independently and

productively, and not have to account for their time

14

The mentor should develop an appropriate plan and

timetable of research and study for the mentee 1 2 3 4 5 6

The mentee should develop their own plan and

timetable of research and study, and seek input from

the mentor only as needed

Advanced Stages of the Mentoring Relationship

14 The mentor should initiate the preparation of

presentations, thesis, papers, and reports 1 2 3 4 5 6

Presentations, thesis, papers, and reports should be

initiated by the mentee

15

The mentor should insist on seeing all drafts of work

(presentations, thesis, papers, etc) to ensure that the

mentee is on the right track

1 2 3 4 5 6

Mentees should submit drafts of work

(presentations, thesis, papers, etc) only when they

want constructive criticism from the mentor

16

The mentor is responsible for providing career advice

and professional connections to the mentee 1 2 3 4 5 6

Because professional options these days are

numerous, mentees should seek career advice and

connections from other sources

Using the “Questionnaire for Aligning Expectations in Research Mentoring Relationships”

The Role of Expectations

Managing expectations between mentors and mentees can be challenging and is a common source of conflict in

mentoring relationships. Often the conflict relates to unspoken expectations that are not explicitly addressed, because

they are assumed or even unaware to the mentor or mentee. To help bring some of these expectations into the open

for discussion, using this questionnaire can help. This tool has been designed as a discussion starter for use by research

mentors and student mentees. Our experience suggests that the tool is especially effective when users of this form

recognize that:

• there are no “right” answers to the items on the questionnaire

• responses are likely to be different at different stages of academic or professional progress, i.e. for

undergraduate students, graduate students, postdocs, junior faculty, senior faculty, etc

• even identical numerical responses can correspond to different rationales and expectations

Although the misalignment of expectations can often lead to conflict, the expectations do not need to be identical (and

would be unrealistic) to develop a productive working relationship. However, a thorough discussion of expectations can

greatly increase the likelihood of a productive collaboration and minimize conflicts. Relevant expectations in the context

of research mentoring and supervision can relate to:

• understandings of what research is and is not

• appropriate roles and responsibilities of mentors and mentees, supervisors and employees, etc

• the benefits and advantages of working together as mentor and mentee

• what is considered to be professional and ethical behavior in your discipline

• how respect is expressed to the mentor and mentee

• how both the mentor and mentee can be pro-active and actively listen to each other

The goal of using this questionnaire is to provide a framework for a fruitful discussion about each person’s expectations,

and how to decide on appropriate ongoing actions as the relationship develops. Participants are free to pick and choose

which pairs of statements are relevant for their situation, and to even add statements or topics for discussion.

Furthermore, this form was created primarily created for mentoring relationships between research faculty mentors and

student mentees. However, we recognize that different disciplines and contexts may use other terms, e.g.

• PI (principle investigator), research or academic advisor, employer, supervisor

• student, trainee, employee, protégé

Suggestions for Use: We suggest the following process for using this questionnaire.

• make sure both parties have a blank copy of the questionnaire

• both parties fill out the questionnaire separately

• set up a meeting that will be focused on this questionnaire

• at the meeting, start by comparing the responses given for each statement by each person

• discuss thoroughly the significance of each response (i.e. answer what each response means for each person)

• provide suggestions on how you’ll address different responses and expectations

• consider repeating the process at various points (e.g. once per year, during critical transitions of the mentee’s

timeline, etc)

• consider sharing your responses to the questionnaire with peers at your similar stage, so that you can compare

how other people at your level respond to the statements

This document originated from Ingrid Moses (Centre for Learning & Teaching, University of Technology, Sydney), was adapted by

Margaret Kiley & Kate Cadman (Advisory Centre for University Education at the University of Adelaide), and was further revised by

Steve Lee (Graduate Diversity Officer for the STEM Disciplines at UC Davis; stnlee@ucdavis.edu).

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Navigating your Research Mentoring Relationship with a MAP: Mentoring Action Plan

Steve Lee (stnlee@ucdavis.edu); DRAFT As a mentor and mentee begin their research mentoring relationship, both face multiple challenges and opportunities for growth. It’s critical for both to communicate clearly and continuously, align explicit and hidden expectations, anticipate and resolve conflicts, assess themselves and their situation, adapt to new situations and surprises, and anticipate how the relationship will evolve and grow in the future. Facing all these challenges can be daunting, but developing a Mentoring Action Plan (MAP) can help to minimize conflicts and stress, and maximize the effectiveness of the relationship so that both mentor and mentee succeed in their respective goals and needs. Developing a MAP for your mentoring relationship is similar to an Individual Development Plan (IDP), which can help plan your academic and professional career. Creating a MAP and IDP also helps mentees to “mentor up”, i.e. to learn to pro-actively engage with their mentor (1-4). However, creating these plans does not mean that you’ll be able to control all aspects of your mentoring relationship and career. You’ll still need to be flexible and adapt to surprises and transitions. As a mentor and mentee collaborate to develop a MAP, they may additionally wish to develop a mentoring compact. In this mentoring compact, both sides describe their own responsibilities of how they will contribute to the mentoring relationship and how they will commit to serving each other to build a mutually beneficial relationship. Consequently, as they approach new mentoring relationships, they will be further equipped to understand their own preferences for working with others and how to adapt to new colleagues from different perspectives. Examples of mentoring compacts are found here (5). This MAP has two main sections:

Part A: Seven Core Principles of Effective Mentoring Relationships

Part B: Developing SMART Goals and your MAP for Your Mentoring Relationship Suggested Guidelines for Use: This MAP is provided to help both the mentor and mentee navigate through challenges and take advantage of opportunities. Both should obtain a blank version of this MAP, so that both can complete this form independently first. Afterwards, both can come together to discuss their desired SMART goals, responses to the questions, and preferences for developing a process for resolving conflicts. These discussions can help both develop a mutually beneficial plan. Because there is often a significant power differential between the mentor and the mentee, the mentor will need to take particular care not to dominate the discussion of how to proceed. The mentee will also need to learn to pro-actively engage (i.e. to “mentor up”) in the discussions by asking astute questions and providing suggestions.

Mentor / PI / Supervisor / Coach / Sponsor:

Mentee / Student / Employee / Protégé:

Academic or professional program:

Time Period (start and end dates):

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Part A: Seven Core Principles of Effective Mentoring Relationships Among training materials for mentoring relationships, two evidence-based mentor and mentee training programs have been nationally established and recognized: Entering Mentoring and Entering Research (6-7). The curricula for these training programs have formed the foundation for materials for the National Research Mentoring Network (NRMN; https://nrmnet.net/), which is a nationwide consortium of biomedical professionals and institutions collaborating to provide evidence-based mentorship and professional development programming that emphasizes the benefits and challenges of diversity, inclusivity and culture. The Entering Mentoring and Entering Research curricula are based on seven core principles for effective mentoring relationships, and address different aspects of the relationship. These principles have also been used as the framework for applying the concept of “mentoring up” for mentees to pro-actively engage with their mentors in academic research settings. Below are listed the core principles, along with questions that should be addressed between the mentor and mentee. The following questions are provided so that both the mentor and mentee can address them in advance, to help reveal hidden and assumed expectations, and to minimize conflicts. Although it’s impossible to anticipate all conflicts, discussing issues in advance can help to communicate expectations and delegate responsibilities. All of the questions will not be relevant for every mentoring relationship, and so you should focus only on relevant issues. Furthermore, these questions should be re-visited periodically as the relationship progresses, surprises occur, and new issues arise. As you go through the questions, you may wish to mark questions that have been resolved and insert the answers, mark other questions that haven’t been resolved, and add new questions as you realize they must be addressed. Irrelevant questions can be ignored. When the mentor and mentee come together, they should compare their responses to see if they align, or if further clarification is necessary. It may help to be aware that potential differences might arise in what each consider to have been resolved, answers to questions, and what is considered to be relevant or irrelevant. All of these differences may require further discussion. 1. Maintaining Effective Communication. Good communication is a key element of any relationship

and a mentoring relationship is no exception. It is critical that mentors and mentees seek to understand their own and the other’s communication styles, and take time to practice communication skills. ○ How often will you meet together?

─ Regularly: daily, weekly, biweekly, monthly? ─ Only as needed: How will you decide when meetings are needed? Who will initiate the

meetings? ○ Is there a preferred means of communication?

─ in person ─ email: What’s an acceptable timeframe to reply to most email messages? ─ phone: Are personal cell phone numbers shared, or are only work numbers shared? Will

you receive and reply to text messages?

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○ Are there times when you will not be available, e.g. during evenings, weekends, holidays, vacations, and sabbaticals?

○ Confidentiality ─ Will the conversations between the mentor and mentee be kept confidential? ─ Who else will be informed of the discussions?

○ Will an agenda be developed before each meeting? If so, who will initiate it? ○ Will meeting minutes and/or action items be developed after each meeting? If so, who will

initiate it? ○ How will records of communications be maintained as the research and mentorship

progresses? 2. Aligning Expectations. Another key element of effective mentor-mentee relationships is a shared

understanding of what each person expects from the relationship. Problems and disappointment often arise from misunderstandings about expectations. Importantly, expectations change over time, so reflection, clear communication, and realignment of expectations are needed on a regular basis. ○ The mentor and mentee should consider working through the Questionnaire for Aligning

Expectations in Research Mentoring Relationships (in appendix), or a similar exercise. ○ Does the mentor have other responsibilities that might impact the mentoring relationship, e.g.

committees, teaching, plans for coming up for tenure, family obligations, etc? ○ Does the mentee have other responsibilities that might impact the mentoring relationship, e.g.

coursework, teaching or graduate assistantships, family obligations, etc? ○ If both the mentor and mentee have regular meetings or commitments, they may wish to share

their schedules or calendars. ○ Research topic: if a research topic needs to be created, how will it be developed? Who will be

responsible for developing the ideas? How much will the mentee contribute to creating and developing the ideas?

○ Funding: if the mentor and mentee will be working on research projects, how will the research be funded?

○ Publications and presentations: as research is conducted, how will the results and achievements be disseminated?

3. Assessing Understanding. Determining what you understand as well as if someone truly

understands you is not easy, yet is critical to a productive mentor-mentee relationship. Developing strategies to self-assess and assess others’ understanding is an important part of being an effective mentor and mentee. ○ Review Process: how will the mentee receive feedback so that they can improve and grow?

─ Will there be a formal process for how the mentee will be reviewed for their progress? If so, how they will be evaluated? What are the criteria for this evaluation?

─ Has the mentee been provided resources to achieve the goals? ─ Are there review steps required for an academic or funding program?

○ Promotion: are there opportunities for the mentee to advance in their status or role? If so, what are the expected goals required to achieve the advanced role?

○ Individual Development Plan: will the mentee work through an IDP with the mentor?

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○ Assessment of communication and working styles: will the mentor and mentee take a self-assessment (e.g. Myers-Briggs Type Indicator, StrenthsFinder, etc) and share their results to discuss different communication and working styles?

○ Will the mentor assess themselves, e.g. with the Mentoring Competency Assessment (8-9) to gauge how they are developing their mentoring skills?

4. Addressing Equity and Inclusion. Diversity along a range of dimensions offers both challenges and

opportunities to any relationship. Learning to identify, reflect upon, learn from, and engage with diverse perspectives is critical to forming and maintaining an effective mentoring relationship. ○ Will the mentor and mentee discuss their multiple aspects of their identity? Their aspects

might include race and ethnicity, gender identity, socioeconomic status, age/generation, sexual orientation, class, religion, etc.

○ Are there some personal aspects of identity that should remain private in this mentoring relationship?

○ Training and resources: Are there opportunities for the mentor or mentee to be trained in how their multiple aspects of identity can affect their mentoring relationship? Are there professional development workshops that address topics of diversity, inclusion, and equity?

5. Fostering Independence. An important goal in any mentoring relationship is helping the mentee

become independent; yet defining what an independent mentee knows and can do is not often articulated by either the mentor or the mentee. Identifying milestones towards independence and setting goals are key strategies to fostering independence in a mentoring relationship.

○ How do you anticipate the mentoring relationship will evolve or progress? ○ Are there upcoming milestones or transitions for the mentee, e.g. qualifying or cumulative

exams? If so, how will the mentor support the mentee to succeed in these transitions? ○ Will other people be involved in this mentoring relationship to help the mentee grow and

become more independent? If so, identify their names and roles, e.g. students, lab managers, postdoctoral fellows, program coordinators, faculty, thesis committee members, etc.

○ Since multiple mentors help each of us to grow, are there other potential mentors for the mentee, e.g. dissertation committee members, other faculty, professional or informal coaches, sponsors, peer mentors, etc?

6. Promoting Professional Development. The ultimate goal of most mentoring situations is to enable

the mentee to identify and achieve some academic and professional outcomes after the training period. It is the responsibility of both the mentor and mentee to identify and articulate these goals and to strive towards them together.

○ Training: are there opportunities for the mentee to gain professional skills (e.g. communication,

mentoring up, self-assessment, etc), and technical and discipline-specific skills? ○ Professional conferences and meetings: are there any upcoming professional meetings, which

could provide opportunities to present research results, network, and consider future stages for the mentee?

○ Networking: are there any upcoming networking events where the mentee could connect with key contacts?

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7. Cultivating Ethical Behavior. Mentors and mentees must engage in and model ethical behavior,

while openly discussing issues dealing with gray areas. Moreover, it can be important to acknowledge when a mentoring relationship includes an unequal power dynamic and any additional ethical considerations it raises.

○ Is there a formal course or seminar in RCR (Responsible Conduct in Research) that’s required? ○ Are there other official requirements in safety and ethics (e.g. ethical treatment of animals)? ○ What are the resources for reporting unethical behavior with confidentiality at your institution?

Part B: Developing SMART Goals and your MAP for Your Mentoring Relationship As you consider your mentoring relationship, carefully consider vital questions: what are your main goals in this mentoring relationship, and in your research and collaboration? What do you want to achieve by the end of the relationship? How will this relationship prepare you for future steps? As the mentoring relationship begins, it’s critical to develop SMART goals. Developing SMART goals will avoid the common mistake of stating vague goals that can seem significant (e.g. “improve communication skills”), but will be difficult to achieve without specific steps and resources. In contrast, developing SMART goals (e.g. “improve written communication skills toward writing proposals for funding by attending a writing bootcamp”) will help direct your path and help achieve your goals.

Specific – What is the specific goal? Try to state the goal as concretely and simply as possible.

Measurable – How will you measure or evaluate the goal, to determine whether or not you’ve achieved it? Take note that evaluating the goal doesn’t always require a quantitative measurement.

Assignable – Who’s in charge of what? How will tasks be delegated? Do you need to reach out others to achieve your goal?

Reasonable – Can we actually do this? What resources or people might need to be brought in to achieve your goal? What are potential pitfalls and how will you address them?

Timely – When does each task need to be done? What’s a realistic timeline to achieve your goals?

As you develop SMART goals, it will be helpful to consider all aspects of the mentoring relationship, as outlined above in the seven principles of effective mentoring relationships. Review the questions that need to be addressed and use the following table below. The table is provided as a template that can be completed by the mentor and mentee separately, and then together during discussions.

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Specific Goal Measurable Assignable Reasonable Timely What is the specific goal? Keep the goal simple and concrete.

How will this goal be evaluated? How is success determined?

Who will do each task? How will tasks be delegated?

How will the goal be achieved? What resources are needed?

When are the deadlines? What is the timeline?

Example: improve communication by sharing a Google document as a record of our communication and action items

both the mentor and mentee will be held accountable to update the shared Google document as an agenda and to do list

the mentee will update the meeting minutes during the weekly meetings, and the mentor will check and give feedback as needed

a shared Google document will be used to create an agenda for our weekly meetings, and our action items; a Google folder will be created by the mentee to store the document and any other files

by a day before our weekly meetings, both mentor and mentee will insert suggested agenda items; during the mtgs, both will provide updates and action items; as work is completed, updates will be inserted

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References and Resources 1. Lee, Steve; McGee, Rick; Pfund, Christine; Branchaw, Janet “Mentoring Up”: Learning to Manage

Your Mentoring Relationships. Book chapter in The Mentoring Continuum: From Graduate School Through Tenure, Syracuse University Press, Glenn Wright, editor, 2015. This book chapter, along with other chapters, is posted for free here.

2. McGee, Rick; Lee, Steve; Pfund, Christine; Branchaw, Janet; “Beyond “Finding Good Mentors” to “Building and Cultivating your Mentoring Team” Book chapter in National Postdoc Association’s “Advancing Postdoc Women Guidebook”

3. Kearns, H.; Gardiner, M. “The Care and Maintenance of your Advisor” Nature, Vol 469, 2011, p 570. 4. Jensen, David “Managing Up: An industry skill you can learn in academia”, Science, June 8, 2016. 5. Example Mentor Compacts from the University of Wisconsin at Madison’s Institute for Clinical and

Translational Research 6. Handelsman, J.; Pfund, C.; Lauffer, S. M.; Pribbenow, C. “Entering Mentoring: A seminar to train a

new generation of scientists” (the first edition is available for free and 2nd edition is out) 7. Branchaw, Janet; Pfund, Christine; Rediske, Raelyn. Entering Research: A Facilitator’s Manual. W.H.

Freeman and Co., 2010. 8. Fleming, M.; House, S.; Hanson, V. S.; Yu, L.; Garbutt, J.; McGee, R.; Kroenke, K.; Abedin, Z.; Rubio,

D. M. (2013). The Mentoring Competency Assessment. Academic Medicine, 88(7), 1002–1008. 9. Example Mentor Evaluation Forms