Introduction
There is general agreement that effective mentoring is beneficial for mentees, mentors,
and overall scientific productivity [1, 2]. Discussions of what to consider in mentoring
philosophies and mentor–mentee relationships have been published [3–5], and discipline-specific
versions of a curriculum to develop mentoring skills are available (https://mentoringresources.ictr.wisc.edu).
However, these resources focus on general concepts about mentoring, such as the importance
of communication, consistency, and accessibility. In contrast, concrete strategies
to improve the mentor–mentee relationship have been more difficult to define [6].
Funding agencies such as the National Science Foundation (NSF) and National Institutes
of Health (NIH) have supported the implementation of policies aimed at improving this
relationship. For example, in 2009, the NSF began requiring the inclusion of mentoring
and development plans in grant proposals that request support for postdoctoral fellows;
similarly, in 2014, the NIH announced (NOT-OD-14-113) that annual grant progress reports
would be required to describe whether and how individual development plans (IDPs)
are used to manage the career development of predoctoral and postdoctoral trainees.
While a development plan can be effective as a tool to help a mentor and mentee work
towards the mentee’s long-term goals, this document alone is insufficient as it does
not address the day-to-day operations of the lab—the source of many conflicts for
both mentors and mentees.
Another resource that provides guidance on developing positive mentoring relationships
is the “Compact Between Postdoctoral Appointees and Their Mentors” released by the
Association of American Medical Colleges (AAMC) [7, 8]. Included in this compact are
general principles governing responsibility for career development, development of
the research plan, the need for regular feedback, and ethical conduct. However, this
society-level document is lacking in details that would outline how these specific
guidelines will be followed. Therefore, we have found it effective to develop “expectations
documents”—lab-specific documents that detail both big picture elements of the mentor–mentee
relationship as well as some of the nitty-gritty rules of how the lab operates. By
clarifying the norms for a particular lab, an expectations document can provide a
mechanism for prospective mentees to evaluate if a lab will be a good match for their
needs. So, how do you develop your own expectations document? See our 10 simple rules
below!
Rule 1: Write it down
This may seem obvious, but it is important to remember that a written document more
clearly and consistently communicates your expectations than conversations. Written
documents also allow for both mentor and mentee to revisit the expectations as the
mentoring relationship develops and provide documentation should a situation arise
where either mentor or mentee does not adhere to the predetermined expectations. While
it can be challenging to construct the initial document, even an incomplete draft
could offset major clashes between mentor and mentee. To get started, you may be able
to get a template from your institution, department, or training program, which will
incorporate university policies and procedures. Alternatively, to help you as you
start this process, we have included a sample expectations document (Suppl. File 1).
This document is a modified version of the documents we utilize with our graduate
student trainees. Which brings us to Rule 2.
Rule 2: Tailor the expectations document to your audience and environment
In most research labs, there are personnel at a variety of career stages—postdocs,
graduate students, undergraduates, and other scientific staff. Each of these groups
has unique needs to address; as a result, it is useful to have separate documents
for different personnel groups. Examples of graduate specific elements in the provided
sample include indicating that the student is responsible for fulfilling course requirements,
but that the mentor is available to help guide these decisions. For undergraduates,
you may choose to discuss your grading policy, while for staff you may discuss their
role in lab management, and the version for postdoctoral researchers may emphasize
expectations regarding leadership and independence. You will also want to tailor your
document to the type of research environment that your mentees work in. As discussed
in a later rule, expectations may differ for research settings that are theoretical,
computational, experimental, fieldwork based, or a combination of these environments.
Rule 3: Convey the big picture
Ideally, the expectations document should provide the mentee with an understanding
of your lab culture and approach to their training. Providing an overview of the lab
environment as well as describing your mentoring philosophy can assist the mentee
in establishing a positive relationship with both you and the other lab personnel.
This information can also help prospective mentees determine whether your lab is an
environment where they can picture themselves thriving. In our example, we provide
both an overview paragraph summarizing these elements as well as comments throughout
that relate our mentoring philosophy.
Rule 4: But don’t forget the nitty gritty
At this point, you may be wondering if it would be easier to use the published mentoring
guidelines from the AAMC [7, 8]. While these guidelines provide an excellent source
for developing your big picture philosophy, in our experience it has been beneficial
to move beyond the mentoring philosophy and also convey some of the specific rules
of the lab. It is not feasible to concisely list all guidelines related to lab performance
or work expectations—however, clearly stating these rules can prevent significant
conflict in the mentoring relationship. In our example document, we discuss hours
and vacation, detail the overall requirements for lab safety and lab jobs (leaving
further specifics to our lab protocols), conflict resolution, and outline how authorship
is determined. For research that is theoretical and/or computational, it may be important
to discuss policies on working remotely and documentation requirements for codes,
while for fieldwork, discussion of expectations related to conduct and safety would
be appropriate. Ultimately, you will want to confirm that the expectations that you
outline for your mentees are consistent with the rules and regulations of your institution.
Rule 5: Expectations are a two-way street
Just as you will outline your expectations for the mentee’s behavior, it is important
to outline what they can expect from you. Mentoring styles differ, and alignment between
mentoring style and a mentee’s self-identified needs can benefit both parties. For
example, a student who wants regular feedback may struggle while working with a mentor
who prefers a hands-off approach.
Rule 6: Articulate boundaries
When constructing your expectations, be mindful of the power differential that exists
between you and your mentee. The expectations document may be used to communicate
professional boundaries, such as whether the mentee will be expected to contribute
to work commonly performed by the mentor (e.g., our example includes discussion of
assistance with grant preparation, advising other group members). Additionally, you
can use the expectations document to articulate personal boundaries. For example,
to maintain work–life balance, we have included information in our example on how
much time a student should expect for answers to their questions and situations where
it would be appropriate for the mentee to call on a personal number.
Rule 7: Work with others to develop your expectations document
Are you feeling stuck or overwhelmed? Getting input from people with different perspectives
may make it easier for you to develop your expectations document and determine sections
that need more detail or clarification. For example, you may want to discuss your
document with your own mentors, colleagues, or your more senior mentees. One especially
effective strategy is to develop a small writing group with a few colleagues where
each member develops an expectations document over the span of several meetings. In
addition to their insights, the peer pressure to have a completed document for the
next meeting may help to motivate you to complete this task.
Rule 8: Plagiarism is okay (sort of)
As you look through examples or work with your colleagues, it is likely you will find
statements that resonate with your approach. Because one aim of drafting an expectations
document is to simplify the job of being a mentor, we would encourage you to ask for
permission to copy and/or modify existing statements. Consistent with this, we grant
permission for you to copy and/or modify sections of the example expectations document
(Suppl. File 1). However, we encourage you to think critically and be certain that
any statement that you use truly reflects your actual mentoring approaches—this is
essential to prevent sending mixed messages to your mentees.
Rule 9: Encourage regular conversation about the expectations document’s interpretation
When first starting in a lab, a mentee’s understanding of the expectations document
will be largely theoretical. However, as the mentee progresses through their training
and sees the mentoring expectations put into practice, new questions may arise regarding
the interpretation and implementation of these guidelines. Regular conversations about
the expectations document can help maintain an open channel of communication, head
off misunderstandings, and provide feedback for document revision. In addition to
informal conversations, it may be beneficial to set aside a part of one group meeting
each year for this or incorporate it into your lab’s evaluation process. These conversations
lead to our final rule.
Rule 10: This is a living document
As noted in Rule 1, it is appropriate to start with a smaller expectations document
and add or refine content over time as needed. Even for those who start with a complete
expectations document, unforeseen situations will arise. In addition, the rules of
the graduate program or institution may change over time. Regular revisions to the
expectations document allow for these changes in expectations to be incorporated so
that all members of the lab remain on the same page.
Conclusions
Like any other type of relationship in a person’s life, the relationship between a
mentor and a mentee requires intentional effort and clear communication to be healthy
and successful. Providing your mentees with a guiding document about the expectations
in your research lab benefits all parties. Sharing this expectations document with
prospective lab employees can help them assess whether your lab is an environment
that is likely to meet their needs and help you avoid a hiring mismatch. Once a mentee
has joined your lab, the presence of written expectations can reduce the potential
for conflicts and misunderstandings, which are damaging to the productivity and happiness
of both the mentor and mentee. We hope that these 10 simple rules help you to develop
an expectations document that works for your lab in order to lessen conflict and improve
productivity.
Supporting information
S1 File
A sample mentor–mentee expectations document.
(DOCX)
Click here for additional data file.