These slides and handout were presented for a workshop on "Mentoring Up: Learning to proactively engage in your mentoring relationships" at the American Society for Cell Biology (ASCB) conference in San Francisco, for the Minority Affairs Committee (MAC).

1. Mentoring Up
Learning to proactively engage in your
mentoring relationships
Steve Lee, PhD
Graduate Diversity Officer
for the STEM Disciplines
ASCB Annual Meeting
COMPASS and MAC
Mentoring Academy
Dec 3, 2016

2. 1. When you first began doing research, what
was your experience like? What did you
enjoy? What were some challenges?
2. As you started in research, was there a
person who helped you? Share stories how
this person helped you.
2
Group Discussion #1

3. Does this look familiar?
Common challenges with your mentor
3

4. What exactly is mentoring?
Traditional Mentoring
4
MentorMentee
Questions,
advice, etc

5. Any other aspects of mentoring?
Peer Mentoring
5
Peer Peer Peer

6. Any other aspects of mentoring?
“Mentoring Up”
6
Questions,
input, etc
MentorMentee

7. Based upon original concept of:
“Managing Up”
7
Gabarro and Kotter, Harvard Business Review, 1980.
Questions,
input, etc
Manager Boss

8. Mentoring up is:
8
Questions,
input, etc
MentorMentee
the mentee learning to pro-actively
engage with their mentor

9. What skills are essential in
managing and mentoring up?
9
Gabarro and Kotter point to 2 essential steps
in managing up:
1. assess yourself
and the other
accurately
2. apply this assessment
to develop a mutually
beneficial relationship

10. Why do we need to assess ourselves?
10
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%
Because self-awareness leads to better team performance

11. 11
Why do we need to assess ourselves?
We need to assess ourselves to manage ourselves
Daniel Goleman
developed concept of emotional intelligence (E.Q.)
successful people have high E.Q., which includes self-
awareness and self-regulation
Dee Hock
founder of Visa and leadership guru
we should spend 50% of our time on self-management
Bill Hybels
founder of Willow Community Church and the Global
Leadership Summit
self-leadership is the most important and most difficult

12. Why do we need to assess ourselves?
Because we
often don’t
assess ourselves
accurately
12
Kruger and Dunning, 1999 and 2003
0
20
40
60
80
100
Bottom
quartile
2nd
quartile
3rd
quartile
Top
quartile
%
Actual Test Score
Perceived Test Score

13. 13
We can improve our metacognitive skills by:
being aware of the context of our peers,
and by improving our competence.
We don’t assess ourselves
accurately, but there’s hope!
Kruger and Dunning, 1999 and 2003.

14. 14
Take-Home Lesson
Assess
Apply
Assess yourself &Assess yourself &Assess yourself &Assess yourself &
othersothersothersothers accuratelyaccuratelyaccuratelyaccurately
Apply yourApply yourApply yourApply your
assessmentsassessmentsassessmentsassessments
strategicallystrategicallystrategicallystrategically
&

15. How do we assess ourselves?
How do we apply our assessment
in mentoring relationships?
15
Please refer to the handout, pages 1-2
Complete the individual & group activities
Group Discussion #2

16. Mentoring up is both:
Engaging pro-actively
act with confidence
seek to understand
your mentor’s
expectations
communicate your goals
and expectations
16
Following respectfully
practice “follow-ship”
actively listen
determine and fulfill
your responsibilities
adapt to your mentor’s
needs
&
Doing both is not easy!

17. What mentoring up is and isn’t
18
Pro-active
Engagement
Respectful Follow-ship
“mentoring up”
actively engaging
actively listening
collaborative, collegial
action-oriented
coachable
disengaged
apathetic
withdrawn
non-communicative
uncooperative
passive
“door mat”
uncritical
mindless
obsequious
forceful, pushy
difficult, disrespectful
unmanageable
demanding
insubordinate
manipulative

18. Mentoring up is NOT
false-flattery
19
manipulating your mentor

19. Assess your needs as a mentee
A Gallup survey of 10,000 people asked:
What leader has the most positive influence in your daily life?
List 3 words that best describe what this person contributes
to your life.
20
Followers’ Four Basic Needs:
security, strength, support, peace
caring, friendship, happiness, love
honesty, integrity, respect
direction, faith, guidance, initiating
Trust
You’ll need to find multiple mentors to fulfill your needs
Compassion
Hope
Stability

20. Assess yourself and more
Assess yourself
Myers-Briggs, StrengthsFinder, etc
seek research-based, multiple assessments
myIDP website, 7 success stories, journaling, etc
Assess your mentor
are they receptive to doing a self-assessment?
how do I engage and follow?
what are their pressures and priorities?
Assess your context
seek to understand all the different aspects of
mentoring relationships
21

21. Framework of multiple aspects of
mentoring relationships
Communication
Aligning expectations
Assessing understanding
Ethics
22
Handelsman, Pfund, Branchaw, etc at U of WI
Entering Mentoring and Entering Research
Addressing equity and
inclusion
Fostering independence
Promoting professional
development

22. How do we align expectations?
What are some common hidden
expectations?
23
Read Questionnaire for Aligning Expectations
Reply to statements #1, 3, 5, 11
Group Discussion #3

23. 24
Main Lesson
Assess
Apply
&

24. How can you mentor up more
effectively in this situation?
25
● Communicate what the problem is and why it’s significant
● Don’t only bring problems to your supervisor
○ Bring possible solutions instead

25. How can you mentor up more
effectively in this situation?
26

26. Thanks for your participation!
What are your action items?
Any questions?
27
?
?
!
Slides and handout will be posted in SlideShare

27. We need to mentor not only up &
down, but 360 degrees
28
“mentoring up”
“peer mentoring”
servant-leader
“mentoring down”
Entering Mentoring
Mentoring 360 is
developing full circles
of relationships with
• mentors
• peers
• mentees
through all your career
stages

28. 1
Mentoring Up
Learning to proactively engage in your
mentoring relationships
Steve Lee, PhD
Graduate Diversity Officer for the STEM Disciplines
University of California, Davis
stnlee@ucdavis.edu
ASCB Annual Meeting
COMPASS and MAC
Mentoring Academy
Dec 3, 2016
Group Discussion #1
1. When you first began doing research, what was your experience like? What did you enjoy? What were
some challenges?
2. As you started in research, was there a person who helped you? Share stories how this person helped
you. (This person doesn’t have to be an official mentor or advisor.)
Group Discussion #2
A. Individual Activity: adapted Myers-Briggs test for introverts/extroverts < www.humanmetrics.com >
o Select the answer that more accurately reflects your preferred behavior.
Yes No
You enjoy having a wide circle of acquaintances.
You’re usually the first to react to sudden events and surprises.
You easily tell new people about yourself.
You spend your leisure actively socializing with groups of people, attending
parties, shopping, etc.
You rapidly get involved in the social life of a new workplace.
The more people with whom you speak, the better you feel.
It is easy for you to speak loudly.
You enjoy being at the center of events in which other people are directly
involved.
You feel at ease in a crowd.
It is easy for you to communicate in social situations.
Totals
o Scoring: add up the number of statements with which you answered “Yes” and “No”. Extroverts will
tend to answer Yes to most of these statements, and Introverts will tend to answer No.
Success Types by John Pelley < http://www.ttuhsc.edu/SOM/success/ >
Well-developed skills & Positive perceptions Underdeveloped skills & Negative perceptions
Extraversion
Active approach
Bring breadth
Introversion
Reflective approach
Bring depth
Extraversion
Hyperactive
Superficial
Introversion
Withdrawn & secretive
Overly serious

29. 2
What the Types Can Offer Each Other
EXTRAVERTS
• Provide the outwardly directed energy
needed to move into action
• Offer responsiveness to what is going on
in the environment
• Have a natural inclination to converse and
to network
INTROVERTS
• Provide the inwardly directed energy
needed for focused reflection
• Offer stability from attending to deep
ideas, and listening to others
• Have a natural tendency to think and work
alone
B. Group Activity with Case Study: Please read the case study and answer the questions.
Joseph has been feeling intimidated and overwhelmed with his research professor, and isn’t sure
how to improve his communications with her. He had heard many wonderful and positive things about
Professor Madden, and so had wanted to join her lab. She publishes regularly in high impact journals, and
recently won a couple of prestigious awards for her research and teaching. So when Joseph applied to join
her lab as a postdoc, he was surprised when she offered him a position her group.
But Joseph has been feeling overwhelmed during his weekly individual meetings with her. She is
very friendly and talkative, and even shares personal stories about raising her young kids. But she also gives
him so many ideas, resources, and tasks to complete, that he has trouble writing down everything in his
notes. He’s constantly afraid that he’s forgotten to record important tasks or items to complete. She also
regularly spouts many terms and acronyms that are unfamiliar to him, but he’s afraid to ask too many
questions because he doesn’t want to look incompetent and because she seems so busy with her own work
and travel. He’s thought about asking if he could audio-record their meetings, but he’s concerned that she
might think it would a little awkward, or an invasion of her privacy to record their meetings. He’s also
thought about asking for advice from other members of the research group, but they all seem to have their
cliques and he’s feeling too timid to approach others. His past research group had felt more comfortable
with only 5 members, but his new group has 18 people and feels so big to him.
Questions:
1) Share your results from the test for introverts and extroverts. Do you think the test and the tables
helped you to determine or confirm your preference to be an introvert or extrovert?
2) Do you think Joseph is an introvert or extrovert? Is the professor an introvert or extrovert? Explain
your reasoning by referring to their specific interactions.
3) What exactly are the problems that Joseph is facing with his research mentor? Try to specifically
identify his difficulties.
4) How might Joseph adapt, to work better with his professor? How can he improve his understanding of
her expectations for his research?
a) How might Joseph use his strengths to help resolve his problem?
b) What underdeveloped type skills (see tables above for some ideas) might Joseph need to address
as he considers how to improve the communication with his professor?
5) Place yourself in Professor Madden’s role, and try to understand her perspective.
a) From Professor Madden’s perspective, what might she perceive about Joseph?
b) What are Professor Madden’s challenges and priorities? What might Professor Madden realistically
do, to help improve communication and to work more effectively with Joseph?
6) How would this relationship differ if Joseph and his professor had their opposite types? This is a tough,
but important question! Think carefully and hard. What conflicts and miscommunications might arise?
How would they address their conflicts?

30. 3
Questionnaire for Aligning Expectations in New 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 1, if you believe the
ideal mentoring relationship focuses on the research interests, circle “1” or “2”. Or if you think the ideal relationship
focuses on the working and communication styles, circle “3” or”4”. Avoid filling in “2.5” 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
For an ideal mentoring relationships, it’s important
for both to have similar working and communication
styles
2
Mentors should only accept mentees when they
have specific & deep knowledge of the mentee’s
research topic
1 2 3 4
Mentors should feel free to accept mentees from a
broad range of disciplines, to provide overall
guidance
3
A personal and friendly relationship between
mentor and mentee is important for a successful
relationship
1 2 3 4
A professional relationship is advisable to maintain
objectivity for both mentee and mentor during
their work
4
The mentor is responsible for providing emotional
support & encouragement to the mentee
1 2 3 4
Personal counselling and support are not the
responsibility of the mentor
5
It is the mentor’s responsibility to select a research
topic for the mentee
1 2 3 4
The mentee is responsible for selecting her/his own
research topic
6
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
When choosing research topics, I prefer to work on
projects that have a strong & safe chance of success,
even if the payoff is low
7
The mentor should decide how frequently to meet
with the mentee
1 2 3 4
The mentee should decide when she/he wants to
meet with the mentor
8
The mentor should provide the rules and guidelines
for the program or dept to the mentee
1 2 3 4
It is the mentee’s responsibility to gather and learn
the rules and guidelines of the program or dept
9
The mentor is responsible for finding funding until
the mentee graduates or completes the program
1 2 3 4
Mentees are responsible for finding their own
sources of funding
Middle Stages of the Mentoring Relationship
10
The mentor should be the primary guide for the
mentee in their academic and professional goals
1 2 3 4
The mentee should gather multiple mentors as they
work toward their academic and professional goals
11
The mentor should be the first place to turn when
the mentee has problems with the research project 1 2 3 4
Mentees should try to resolve problems on their
own, including seeking input from others, before
bringing a research problem to the mentor
12
The mentor should check regularly that the mentee
is working consistently and on task 1 2 3 4
The mentee should work independently and
productively, and not have to account for where
time is spent
13
The mentor should develop an appropriate plan
and timetable of research and study for the mentee 1 2 3 4
The mentee should develop their own plan and
timetable of research and study, and seek input
from the mentor as needed
Advanced Stages of the Mentoring Relationship
14
The mentor should initiate in the preparation of
presentations, thesis, papers, and reports
1 2 3 4
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
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
Because professional options these days are
numerous, mentees should seek career advice and
connections from other sources
For Group
Discussion #3

31. 4
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 mis-alignment 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)
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 further adapted by Steve Lee (Graduate Diversity Officer for the STEM Disciplines at UC Davis), with
input by Chris Golde (Stanford University).

32. 5
Success Types in Medical Education by John Pelley
http://www.ttuhsc.edu/SOM/success/
Characteristics of each type: Comparison of well-developed skills and underdeveloped skills
Well-developed type skills and
Positive Perceptions
Underdeveloped type skills and
Negative Perceptions
Extraversion
Active approach
Bring breadth
Introversion
Reflective approach
Bring depth
Extraversion
Hyperactive
Superficial
Introversion
Withdrawn & secretive
Overly serious
Sensing
Practical
Brings data
Intuition
Imaginative
Brings perspective
Sensing
Slow & dull
Narrow focus
Intuition
Careless
Impractical & dreamy
Thinking
Analyze situations
Bring consistency
Feeling
Affiliate people
Bring harmony
Thinking
Cold & uncaring
Overly competitive
Feeling
Easily hurt
Overly sentimental
Judging
Decisive
Bring a plan
Perceiving
Inquisitive
Bring options
Judging
Overly opinionated
Controlling
Perceiving
Indecisive
Procrastinating
Contributions of Opposite Types to Each Other: What the types can offer each other
EXTRAVERTS
• Provide the outwardly directed energy needed to
move into action
• Offer responsiveness to what is going on in the
environment
• Have a natural inclination to converse and to
network
INTROVERTS
• Provide the inwardly directed energy needed for
focused reflection
• Offer stability from attending to deep ideas, and
listening to others
• Have a natural tendency to think and work alone
SENSING TYPES
• Have a mastery of the facts.
• Bring a knowledge of what materials and resources
are available.
• Appreciate knowing and doing what works.
INTUITIVE TYPES
• Know by way of insight and attention to meanings.
• Bring a grasp of what is possible and what the
trends are.
• Appreciate doing what hasn't been tried before.
THINKING TYPES
• Take a hard look at the pros and cons of situations,
even when they have a personal stake.
• Have an ability to analyze and solve problems.
• Want to discover the "truth" and they naturally
notice logical inconsistencies.
FEELING TYPES
• Know what is important to and for people, and
adhere to that in the face of opposition.
• Have an ability to build relationships and to be
persuasive.
• Want to uncover the greatest "good" in a situation
and they notice when people may be harmed.
JUDGING TYPES
• Can organize, plan, and follow through on
projects.
• Push to get things settled and decided.
• Appreciate well-oiled efficiency at work.
PERCEIVING TYPES
• Can respond quickly and flexibly to the needs of
the moment.
• Strive to keep things open so new information may
be gathered.
• Appreciate the need for spontaneity and
exploration at work.
Looking at Type: The Fundamentals by Charles Martin, 1997, Center for Applications of Psychological Type

33. 6
References and Resources
General Resources on Mentoring Relationships
• Research Mentor Training: http://www.researchmentortraining.org/index.aspx
• 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 a free download)
o http://www.hhmi.org/sites/default/files/Educational%20Materials/Lab%20Management/entering_me
ntoring.pdf
• Rick McGee, Steve Lee, Chris Pfund, and Janet Branchaw; Beyond “Finding Good Mentors” to “Building
and Cultivating your Mentoring Team” Book chapter in National Postdoc Association’s “Advancing
Postdoc Women Guidebook”
o free pdf available at: http://www.nationalpostdoc.org/?page=ElsevierGuidebook
Mentoring Up:
• Gabarro, John and John Kotter. “Managing Your Boss” Harvard Business Review, 1980, pp 92-100.
• “Mentoring Up”: Learning to Manage Your Mentoring Relationships. Lee, S.; McGee, R.; Pfund, C.;
Branchaw, J. book chapter in The Mentoring Continuum: From Graduate School Through Tenure,
Syracuse University Press, Glenn Wright, editor, 2015. http://syracuseuniversitypress.syr.edu/spring-
2016/mentoring-continuum.html
Managing Up in Science
• “The Care and Maintenance of your Advisor” Hugh Kearns and Maria Gardiner, Nature, Vol 469, 2011,
p 570. http://www.nature.com/naturejobs/science/articles/10.1038/nj7331-570a
• “Managing Up: An industry skill you can learn in academia” David Jensen, Science, June 8, 2016.
o http://www.sciencemag.org/careers/2016/06/managing-industry-skill-you-can-learn-academia
Self-Awareness
• Dunning, D. and Kruger, J. "Unskilled and unaware of it: How difficulties in recognizing one's own
incompetence lead to inflated self-assessments." Journal of Personality and Social Psychology 77 (1999):
1121-1134.
• Dunning, David. “We Are All Confident Idiots” Pacific Standard, Oct 27, 2014.
o http://www.psmag.com/health-and-behavior/confident-idiots-92793
• Dierdorff, E. and Rubin, R. “Research: We’re not very self-aware, especially at work” Harvard Business
Review, March 12 2015. https://hbr.org/2015/03/research-were-not-very-self-aware-especially-at-work/
Self-Assessments
• A free, unofficial version of the Myers Briggs Type test: www.humanmetrics.com
• An introduction to the Myers Briggs types by John Pelley. He refers to this as “success types”
o http://www.ttuhsc.edu/SOM/success/
• “Please Understand Me II” by David Keirsey (a more thorough explanation of Myers Briggs types)
• StrengthsFinder materials: http://strengths.gallup.com/default.aspx
o I recommend the book “Strengths Based Leadership”, which provides a code to take the online test.
• myIDP website (IDP = Individual Development Plan): http://myidp.sciencecareers.org/
Mentoring Compacts and Evaluating Mentoring Skills
• Example Mentor Compacts: https://mentoringresources.ictr.wisc.edu/ExampleMentoringCompacts
• 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.
• Example Mentor Evaluation Forms: https://mentoringresources.ictr.wisc.edu/EvalTemplates