U.S. DEPARTMENT OF AGRICULTURE
WASHINGTON,
D.C. 20250
|
DEPARTMENTAL REGULATION |
Number: 4740-001 |
|
SUBJECT: USDA Mentoring Program |
DATE: February 1, 2012 |
|
|
1. PURPOSE
This
Regulation establishes policy regarding mentoring programs throughout
USDA.
2. BACKGROUND
a.
USDA is establishing a mentoring culture throughout the Department for
three reasons. First, the Cultural
Transformation Listening Sessions conducted in 2010 indicated employee demand
for mentoring. Secondly, there are
numerous benefits of a formal mentoring program including:
(1)
Improving succession planning by
developing employees;
(2)
Helping pass knowledge from one generation of workers to another;
(3)
Helping employees develop as
professionals by improving their skills in translating values and strategies
into productive actions; developing new and/or different perspectives;
obtaining assistance for new and
innovative ideas, demonstrating their strengths and exploring potential, and
increasing career networks and receiving greater exposure within the Agency or
the Department;
(4)
Improving
retention of existing employees;
(5)
Enhancing
recruiting of new employees;
(6)
Helping
employees by communicating the agency’s unwritten behavioral norms and
standards; and,
(7)
Helping
mentors continue to develop as leaders.
Third, some training and development programs require a formal mentoring component by federal regulation (e.g., Presidential Management Fellows Program, Senior Executive Candidate Development Program).
USDA includes mentoring as one of many employee development activities such as the use of individual development plans, details and rotational assignments, and formal study and/or training and developmental assignments.
b. Published reports indicate that mentoring is
a process for the informal transmission of knowledge relevant to work, career,
or professional development. Mentoring
entails informal communication, usually face-to-face and during a sustained
period of time, between a person who is perceived to
have greater relevant knowledge, wisdom, or experience (the mentor) and a
person who is perceived to have less (the mentee). Mentoring has been
identified as an important influence in professional development in both the
public and private sector. Formal
mentoring programs are structured, have oversight, and have clear and specific
organizational goals. Successful
mentoring programs require planning, monitoring during implementation, and
evaluation.
c. This regulation contains two major
components – policy and guidance. All
agencies shall fully meet the policy component in the best manner possible
considering agency needs. Agencies are
responsible for defining their mentoring goals and establishing the timeframes
for their mentoring programs.
(1)
Agencies without a mentoring program should
use the guidance in Appendix A and B to develop a program that complies
with this regulation. Appendix A is an OPM Mentoring guide which can be found
at http://www.opm.gov/hrd/lead/BestPractices-Mentoring.pdf.
(2)
For agencies with mentoring programs,
the information in Appendix B is provided to assist in strengthening mentoring
programs.
3. SPECIAL INSTRUCTIONS
This
is a new policy.
4. POLICY
a. Each Agency and staff office is required to
have or participate in a formal mentoring program. Rather than create an
agency-specific program, agencies may collaborate on the creation or
maintenance of a program so long as the program follows the guidance in this
regulation. Agencies may participate in
a USDA’s Virtual University mentoring program to meet the need for an
agency-level program. It is recommended
that mentoring programs follow the guidance at Appendix A.
b. Mentors must be:
(1)
Solicited and assigned fairly and with regard
to ensure diversity of the mentees served
(2)
Consistent with any applicable
labor-management agreement
(3) From outside the mentee’s chain of command,
and must be at least one pay grade higher than the mentee. Under unusual circumstances, where no other
option exists, and with the approval of the USDA Virtual University or Training
Officer, mentors may be of the same grade as the mentee. Mentors may be from outside the Agency or Department.
c. A mentor is required for the
following categories of employees (USDA or agencies may provide mentors to
other categories of employees):
(1)
New supervisors (individuals who have
never been a federal supervisor before)
(2)
Presidential Management Fellows
(3) SES candidate development program
participants.
d. Mentors and mentees must receive
training on the mentoring process to help ensure successful outcomes from the
mentoring relationship. See Appendix B
paragraph 1 for guidance.
e. Agencies must establish a structure for
the mentoring program that includes the following (minimum) items:
(1)
Introductory meeting between mentor,
mentee and the mentee’s supervisor
(2)
Agreement on goals and the frequency of recurring
meetings between mentor and mentee
(3)
Conducting the agreed upon meetings
(4)
Assessment of the experience by the
mentor and mentee
(5)
A close out meeting with the mentor,
mentee and mentee’s supervisor
(6) An individual development plan signed by the
mentor, mentee and the mentee’s supervisor.
See
Appendix B paragraphs 2-4 for guidance.
f. Agencies must evaluate the effectiveness
of their mentoring program at the end of the
mentoring cycle or annually. For
suggestions on how to evaluate the mentoring program, see Appendix A
(Implementing a Mentoring Program, paragraph 11), and Appendix B paragraph 5.
g. Agencies must track, record, and report
on mentoring activities. It is
recommended that agencies use the employee’s learning history in AgLearn for tracking and recording mentoring.
h. When the Agency has more qualified
mentees (i.e., an individual accepted for pairing with a mentor) than mentors,
the Agency will establish a waiting list for pairing. Agencies must make every effort to pair all
qualified mentees on the waiting list with a mentor.
i. Funding for training, travel, etc., is the
responsibility of the agency.
j. Agencies shall appoint a mentor program
manager and provide the name, phone, mailing address and email address to the
Provost of the USDA Virtual University.
k. Agencies may recognize participants
(mentors, mentees, supervisors) at the end of the program in an appropriate
agency forum.
l. Virtual mentoring may be encouraged, and
may be particularly beneficial for employees located in geographically remote
duty stations. Agencies are expected to
comply with all requirements of this regulation.
m.
Reporting: Provide the following
information each year to the Provost of the USDA Virtual University by October 15th
for the prior fiscal year:
(1)
Type of mentoring programs in progress
(e.g., SESCDP, new supervisor)
(2)
Number of mentor/mentee relationships
ongoing within the Agency by program
(3)
A summary of the evaluation results for
mentoring programs
(4)
A description of the training that
mentors and mentees received
(5)
Demographic breakdown of mentors and
mentees (i.e., race, gender, national origin, etc.).
5.
RESPONSIBILITIES
a. Agency heads are responsible for
appointing a mentoring program manager and reporting that information as
outlined in 4(j).
b. Directors of
Human Resources Management are responsible for ensuring an effective mentoring
program is provided to employees from their agency.
c. Agency mentoring program managers are
responsible for ensuring an effective mentoring program is operating in their
agency, and that the program complies with this regulation.
d. The Provost of the USDA Virtual
University provides oversight for the USDA mentoring program to ensure that
mentoring is conducted according to this policy.
END
APPENDIX A
This document is the
US Office of Personnel Management’s Mentoring guide found at http://www.opm.gov/hrd/lead/Mentoring.asp
and is provided here for your convenience.
Some formatting in this Appendix differs from the original.
September 2008
BEST PRACTICES: MENTORING – OPM GUIDE
Table of Contents
INTRODUCTION
Why Organizations Implement
Mentoring Programs
Types
of Mentors
Formal
and Informal Mentoring Programs
Benefits
of Mentoring for the Mentor
Benefits
of Mentoring for the Protégé
THINGS
TO CONSIDER IN DEVELOPING AND IMPLEMENTING
A
FORMAL MENTORING PROGRAM
Developing
a Mentoring Program
Implementing
a Mentoring Program
OTHER
TYPES OF MENTORING
APPENDIX
A: KIRKPATRICK MODEL
RESOURCES
FOR MENTORING
Introduction
Mentoring is usually a formal
or informal relationship between two people—a senior mentor (usually outside the
protégé’s chain of supervision) and a junior protégé. Mentoring has been
identified as an important influence in professional development in both the
public and private sector. Within the Federal government, mentoring is often a
component of different types of development, including comprehensive career
development programs like the Senior Executive Service Candidate Development
Program (SESCDP), the Executive Leadership Program (ELP) and the Presidential
Management Fellowship (PMF) Program. The major function of mentoring within
these programs is to promote the protégé’s development in specific areas and to
facilitate successful completion of the program. While these mentoring
relationships can produce positive developmental and organizational outcomes,
both mentoring programs and relationships sometimes fail due to a variety of
causes and problems (e.g., lack of participation, no leadership involvement,
poor planning, unrealistic expectations, and “fuzzy” goals). Successful
mentoring programs require proper understanding, planning, implementation and
evaluation.
In addition to the stand-alone
benefits of mentoring, on October 30, 2004, the President signed the Federal
Workforce Flexibility Act of 2004, Public Law 108-411, into law. The Act makes
several significant changes in the law governing the training and development
of Federal employees, supervisors, managers, and executives. One major change
requires agencies, in consultation with OPM, to provide training to managers on
mentoring employees. In collaboration with the Department of State, Department
of Energy, Nuclear Regulatory Commission, Environmental Protection Agency,
National Aeronautics and Space Administration, Alcohol, Tobacco and Firearms,
and Corporation for National and Community Service, noted for their innovative
and effective mentoring programs and best practices, we have developed this
document as a tool to assist agencies in creating a business case for mentoring
and as an outline of the critical steps in developing and implementing a formal
mentoring program.
More and more organizations are creating formal mentoring programs
for various reasons. From increased morale to increased organizational
productivity and career development, the benefits of an organization that
actively supports mentoring are numerous. However, successful mentoring
programs do not just happen. Organizations must first make a strong business
case to demonstrate why the organization should devote the time, attention and
resources required to make a formal mentoring process work. Reasons for
establishing a mentoring program must be linked to the organization's business
goals. For example, an agency forecasting tremendous growth in a specific job
series may want a mentoring program to help prepare high-potential employees
for future managerial positions in that series. Also, an organization planning
a reorganization may be interested in a mentoring program to help facilitate
continuity of organizational
performance. Listed below
are some reasons why agencies choose to establish mentoring programs.
As part of the Onboarding process -- mentoring helps new recruits, trainees or graduates settle into the
organization;
Skills Enhancement -- mentoring enables experienced, highly competent
staff to pass their expertise on to others who need to acquire specified
skills;
Professional Identity -- when younger employees are early in their careers,
they need help understanding what it means to be a professional in their
working environment. Professionals embody the values of the profession and are
self-initiating and self-regulating. Mentors play a key role in defining
professional behavior for new employees. This is most important when employees
first enter the federal workforce;
Career Development -- mentoring helps employees plan, develop, and manage
their careers. It also helps them become more resilient in times of change,
more self-reliant in their careers and more responsible as self-directed
learners;
Leadership and Management
Development -- mentoring encourages
the development of leadership competencies. These competencies are often more
easily gained through example, guided practice or experience than by education
and training;
Education Support -- mentoring helps bridge the gap between theory and
practice. Formal education and training is complemented by the knowledge and
hands-on experience of a competent practitioner;
Organizational
Development and Culture Change --
mentoring can help communicate the values, vision and mission of the
organization; a one-to-one relationship can help employees understand the
organizational culture and make any necessary changes;
Customer Service -- mentoring assists in modeling desired behaviors,
encouraging the development of competencies in support of customer service, and
above all, cultivating the right attitudes;
Staff retention -- mentoring provides an encouraging environment
through ongoing interactions, coaching, teaching, and role modeling that
facilitates progression within the organization; mentoring has been found to
influence employee retention because it helps establish an organizational
culture that is attractive to the top talent clamoring for growth
opportunities. Mentoring is a tangible way to show employees that they are
valued and that the company’s future includes them;
Recruitment -- mentoring can enhance recruitment goals by offering
additional incentives to prospective employees; and
Knowledge
Management/Knowledge Transfer --
mentoring provides for the interchange/exchange of information/knowledge
between members of different organizations.
Types of Mentors
There are mainly four types of
mentors:
Career Guide -- promotes
development through career guidance, counseling and visibility;
Information Source -- provides
information about formal and informal expectations;
Friend -- interacts
with the protégé socially and provides information about people; and
Intellectual
Guide -- promotes an equal relationship, collaborates on research
projects and provides constructive feedback and criticism.
When planning and developing
mentoring programs, agencies must consider the types of mentors and decide
which type(s) of help will be most appropriate given the program goals.
Formal and Informal
Mentoring Programs
Formal mentoring programs are
structured, have oversight, and have clear and specific organizational goals.
For example, some agencies, as part of their formal onboarding
process, assign mentors or “peer buddies” to new hires as an information source
allowing new employees the opportunity to better navigate a new work
environment. Unlike formal mentoring, informal mentoring has minimal to no
structure and oversight and may or may not have a
clear and specific goal. Informal mentoring is normally for interpersonal
enhancement, but can also promote career development. Nevertheless, the success
of either type of mentoring is greatly dependent upon clearly defined roles and
expectations in addition to the participants’ awareness of the benefits of
participating in the mentoring program.
Benefits of Mentoring for
the Mentor
As a result of being a mentor,
the person:
·
Renews their
enthusiasm for the role of expert;
·
Obtains a greater
understanding of the barriers experienced at lower levels of the organization;
·
Enhances skills
in coaching, counseling, listening, and modeling;
·
Develops and
practices a more personal style of leadership;
·
Demonstrates
expertise and shares knowledge, and;
·
Increases
generational awareness.
Benefits of Mentoring for the Protégé
As a result of having a mentor,
the employee:
·
Makes a smoother
transition into the workforce;
·
Furthers his/her
development as a professional;
·
Gains the
capacity to translate values and strategies into productive actions;
·
Complements
ongoing formal study and/or training and development activities;
·
Gains some career
development opportunities;
·
Develops new
and/or different perspectives;
·
Gets assistance
with ideas;
·
Demonstrates
strengths and explores potential, and;
·
Increases career
networks and receives greater agency exposure.
Things to Consider in
Developing and Implementing a Formal Mentoring Program
Because a mentoring program,
either for career or interpersonal enhancement, is built on mutual trust and
respect of the individuals involved, much care should be given to its
development and implementation. While organizational mentoring programs may
take on different shapes and structures, there are certain critical steps that
must be considered by any group embarking on establishing a mentoring program.
Below are elements of effective practice that have proven effective in a wide
range of existing mentoring programs throughout the Federal government. [Note:
These activities are taken from best practices of current mentoring
programs from Federal agencies, private sector, and from secondary research.]
Developing a Mentoring
Program
1. Conduct Needs Assessment
Any organization interested in developing a formal mentoring
program needs to create a business case and address why this program is needed,
what the organization hopes to gain, and what components the program should
include. Needs Assessments can be conducted by the agency’s human resource
office, training office, or a steering committee/working group via on-line or
paper surveys (e.g., organizational assessment surveys and exit surveys), focus
groups, and interviews with staff. Statistical data from secondary research
like, retirement trends, attrition rates, succession plans, knowledge
management processes, and performance ratings can also be used in the needs
assessment. Depending upon the goal of the program and the target group the
audience can include new hires, junior employees, mid-level employees,
managers, senior level experts, and senior leaders. Here are some sample
questions that can be included in a survey, focus group and/or interview:
·
If the agency
were to develop and implement a formal mentoring program, how would you
benefit?
·
Would you
participate as a protégé?
·
Are you available
to be a mentor?
·
What specific
knowledge, skills and abilities do you look for in a mentor and/or protégé?
·
Do you have
access to mentors outside this agency?
·
What kinds of
activities would you like to see implemented in a mentoring program?
·
Do you utilize
other career development activities provided to employees? If so, how have you
benefited from these activities?
·
Do you believe
the agency encourages a mentoring culture (e.g., creating readiness for
mentoring within the organization, facilitating multiple mentoring
opportunities)?
·
Do you currently
receive any type of mentoring? If so, are you getting any benefits out of the
mentoring relationship?
·
Do you have
access to mentors in this agency?
2. Develop a Mentoring Program Roadmap
A
mentoring program roadmap should include a business case, project plan, and
implementation plan. A roadmap should also include needs assessment findings,
project plans with key milestones, and the program description. The program
description should include:
·
The goal(s) of the
mentoring program;
·
Success factors
and desired outcomes;
·
Targeted
population (e.g., all GS employees, specific occupations, new employees, new
SES members, new supervisors);
·
Duration of the
program;
·
How the agency plans
to market and recruit mentors and protégés;
·
Benefits to
mentors and protégés;
·
Benefits to the
agency (e.g., increased morale, transfer of knowledge from one employee to
another);
·
Budget (include
contractor cost if planning to use one);
·
Matching process;
·
Outline of the
orientation session;
·
Types of
materials provided to mentors, protégés, and supervisors; and
·
Potential
mentoring and career development activities.
3. Gain Top Management Support and Commitment
A formal mentoring program will
succeed only if senior leadership supports the program and makes it part of the
learning culture. It is best to identify a champion (preferably a senior
leader) of the program who will play a major role in marketing the program and
recruiting mentors. Agencies currently operating successful formal mentoring
programs have support and commitment from leadership and management. Not only
do these leaders pledge their support and commitment, they participate as
mentors. When senior leaders participate as mentors it shows a true commitment
to the program and will encourage agency employees to participate.
To help maintain commitment
from senior leaders, it is advisable to ask senior leadership to define a
“successful mentoring program”. After senior leaders are able to define a
successful mentoring program, present them with continuous success stories and
best practices contributing to their definition of a successful mentoring
program. When leadership and management see the program is successful, they
will continue to support it and possibly provide more resources.
4. Commit a Program Manager
Most successful mentoring
programs have a full-time employee dedicated to managing and administering the
mentoring program. The program manager’s role is crucial in making the program
a success. The role of the program manager involves:
·
Working with the
Steering Committee or Working Group (see #5) to assist in developing a needs
assessment, building a business case, and implementing the goals and objectives
of the program;
·
Creating the
roadmap (see #2);
·
Developing and
working with the budget;
·
Working with a
contractor/vendor if services are acquired;
·
Marketing the
program;
·
Recruiting and
following-up with mentors and protégés;
·
Developing
activities for the program including orientation, training workshops, and the
closing ceremony;
·
Maintaining a
database on a pool of mentors and protégés, and mentoring pairs;
·
Sustaining
relationships with mentors and protégés; and,
·
Assisting with any
problems that occur throughout the duration of the program.
5. Create a Steering Committee or Working Group
A formal mentoring program is
tied directly to the organization’s leadership. To represent that leadership, a
steering committee or working group should set the goals and objectives of the
mentoring program. This committee or group should consist of representatives
from different offices of the agency, not primarily from the human resource or
human capital office. The committee members should be committed to creating a
learning culture within the agency. The committee or working group should
establish a charter. The charter should contain the following:
·
The purpose of
the committee or working group;
·
List of members;
·
Roles and
responsibilities (includes hiring or designating a program coordinator,
reaching out to leadership and management for support and commitment);
·
Tasks to complete
(includes building a business case);
·
Outcomes; and,
·
Program
evaluation.
The
committee or working group can also take the lead in conducting a needs
assessment to establish a need for a mentoring program.
Implementing a Mentoring
Program
1. Develop a Recruitment and
Marketing Strategy
Communication is crucial in
assuring a successful mentoring program. A good marketing strategy will
effectively advertise the program and help recruit mentors and protégés. In
addition to other challenges in communication, one of the biggest challenges of
a mentoring program is recruiting mentors. Oftentimes, employees who could be
potential mentors do not understand the value of participating in a mentoring
program. To combat this problem, an agency’s marketing strategy showcases
benefits to both mentors and protégés. Here are other strategies to recruit
mentors and protégés. [Note: Contact information should be clearly
displayed on any marketing materials]:
·
Develop
brochures, flyers, and posters to distribute around the agency;
·
Send an email
from the champion (either the agency head or another senior leader) asking for
participants;
·
Post a message on
the agency’s intranet site advertising the program and asking for participants;
·
Conduct brown
bags or career development sessions on the importance of mentoring;
·
Ask for
supervisors and office chiefs to advertise the program and encourage
participation from their employees;
·
Work with
organizational leaders to set a target number of protégés for each senior
person to mentor – 3 to 5 is considered a reasonable number;
·
Provide agency-wide
feedback regarding the value of mentoring along with program results; and
·
Provide ongoing
recognition of mentors.
2. Match Mentors and Protégés
Agencies have found web-based
mentoring tools as valuable in the mentor/protégé matching process. Web-based
mentoring tools reduce the administrative and paper burden of matching mentors
and protégés by electronically matching participants, tracking meetings, and
providing participants access to career development materials. A web-based tool
also assists with:
·
Identifying
competency strengths and opportunities for growth;
·
Determining the
goal(s) of the mentoring relationship;
·
Determining
preferences for a possible mentor (e.g. a mentor with similar interests, mentor
of the same race, ethnicity, or gender)
·
Identifying
choices for possible mentors (or protégés);
·
Tracking dates
and other mentoring activities;
·
Accessing
resources for additional learning needs;
·
Conducting
evaluations by sending an online evaluation to all participants; and
·
Analyzing results
from the evaluations and providing an overall report.
Future directions for web-based mentoring tools include virtual
mentoring meetings and group mentoring activities. Paper-based matching
requires the collection of bios from mentors. The protégés review the bios, and
indicate their top choices (usually two or three). The program coordinator then
matches the protégé with one of their top choices, if possible. Protégés should
be matched with mentors outside their office or unit. Some protégés may prefer
to be matched with their supervisor’s boss or another senior manager in their
chain of command; however, matching a protégé with a mentor within the same
chain of command may cause conflict within the office or unit.
It
should be noted that sometimes mentoring relationships do not work. In such
cases, the program manager should intervene and explore whether the mentoring
relationship should be revised or terminated. In these cases there should be a
process in place to amicably terminate the relationship and match the protégé
with another, more suitable, mentor.
3. Conduct an Orientation Program
The orientation is a vehicle
for matching pairs to get acquainted, establish a mentoring agreement, and
begin working on a mentoring action plan. Orientation is usually a half to a
full day. The orientation can include a workshop or session on tools and
techniques to begin and enhance a mentoring relationship. Exercises during the
orientation should allow mentors and protégés to practice the tools and techniques
presented to them.
4. Develop an Instruction Guide for Mentors and
Protégés
The instruction guide for
mentors and protégés should:
·
Define a
mentoring relationship;
·
Make clear roles
and expectations;
·
Recommend topics to
cover at mentor/protégé meetings;
·
Present other
ideas to enhance the mentoring relationship;
·
Highlight the
time commitment for both mentors and protégés;
·
Highlight
qualities a mentor and protégé should either have before the beginning of the
relationship or work to improve during the relationship;
·
List critical
skills and/or competencies for a successful mentoring relationship; and
·
Explain a
successful mentoring relationship depends on the commitment to the relationship
and the participants understanding of their roles.
Instruction guides can include
exercises for both mentors and protégés to build the mentoring relationship and
improve on critical interpersonal skills including listening, negotiating, and
providing constructive feedback. Some books, articles and organizations in the
Resources section below discuss critical skills and qualities of both a mentor
and protégé.
5. Develop an Instruction
Guides for Supervisors
It is a good idea to develop a
separate instruction guide for supervisors. Supervisors can be critical to the
success of a mentoring relationship. Without the support of the supervisor, the
mentor and protégé may not have the opportunity to accomplish their goals. The
supervisor can suggest developmental goals to the pair and provide continuous
feedback to both the mentor and protégé. This guide should include:
·
Time commitments
from mentors and protégés;
·
Benefits to the
mentor and protégé;
·
Benefits to the
supervisor; and
·
The role of the
supervisor during the program.
6. Conduct a Pilot
Before an agency implements a
full-blown mentoring program, it is suggested the agency begins with a pilot. A
pilot does not need to have all the components listed above but can be
implemented piecemeal. For example, the first phase could include the matching
process, orientation, instruction guides, and evaluation. If the pilot is
successful, the agency could add career development activities to the next
phase. A rigorous pilot should include a mechanism that allows continuous
feedback and input. Feedback can be received in numerous forms including:
·
Evaluation forms;
·
Surveys;
·
Interviews;
·
Focus Groups; and
·
Observations.
Once the pilot has been
completed and all feedback and data have been collected, the data should be presented
to senior leadership along with lessons learned and recommendations for
improvement to the program. Once changes are made and the program is fully
implemented, it is wise to continue to present results, best practices, lessons
learned, and further recommendations for improvement to senior leadership. This
is important in maintaining ongoing commitment and support for the program.
7. Develop a Mentoring Agreement
Agencies can allow mentors and
protégés to develop their own mentoring agreements or develop a standard
mentoring agreement to use during the program. An agreement should contain:
·
The roles,
responsibilities, and expectations during the program duration for a mentor and
protégé;
·
An action plan
completion date;
·
The number of
times the mentor and protégé will meet;
·
A confidentiality
clause;
·
Termination of
agreement rules, and;
·
Signatures of
both the mentor and protégé.
This agreement can be included
in one’s Individual Development Plan (IDP). Some of the goals and/or activities
can be included in both the IDP and action plan.
8. Develop a Mentoring Action Plan
Agencies with successful formal
mentoring programs require the protégés to develop a personal action plan or
developmental plan (similar to an IDP). These plans include goals and
objectives, learning activities to accomplish the set goals and objectives, and
desired outcomes. Numerous web-based tools provide electronic mentoring action
plans as a convenience to mentors and protégés (see Organizations under
the Resources section).
9. Provide a List of Topics to Discuss
To assist mentors and protégés
in their discussions, the program coordinator can suggest periodic topics to
discuss during the mentor and protégé’s meetings. Some suggested topics are:
·
Managing conflict
within the office or unit;
·
Career
progression;
·
Networking;
·
Influencing
others;
·
Managing politics
in the office and organization;
·
Newest trends in
technology;
·
Time management;
·
Work/life
balance; and
·
Leadership
development.
10. Provide Developmental Activities
Most successful mentoring
programs offer numerous developmental opportunities to participants. Some
activities are:
·
Career
development seminars;
·
Training
activities that provide tools and techniques to maintain effective mentoring
relationships;
·
Networking
events; and
·
Guest speakers –
possible guest speakers can include community leaders, clergy, school
(teachers, students, and administrators), retirees and other organizations.
Mentors and protégés can attend
these together, discuss what they learned and develop a plan to implement the
knowledge gained into their current and future work. It may be difficult to get
full or at least a large percentage of mentors and protégés to participate in
these activities due to schedules and other work priorities so web based
activities like webinars may be more appropriate in some cases. Materials from
developmental activities should be made available to those participants who
could not attend.
11. Conduct an Evaluation
Evaluations should be conducted
throughout the program. They can be conducted online using a web-based
mentoring tool or manually using traditional paper evaluations. Evaluations
should be conducted for mentors, protégés and supervisors. Evaluating the
experience for both the mentor and the protégé is a critical step in ensuring a
successful program. Evaluation can aid the mentoring program by capturing
relevant information such as interaction, activity and satisfaction level. It
is also critical for supervisors to evaluate the program from their point of
view. The supervisor can provide feedback on ways the mentoring program has
improved the employee’s performance and contributed to their office or unit
goals. Supervisors can also make valuable recommendations on improving the program.
The evaluation process should
occur at least twice throughout the duration of the program or agencies can
conduct an annual evaluation of the program/participant results. One evaluation
should be conducted at mid-point and the other at the end of the program. Here
are some sample questions that could be included in an evaluation:
·
What were the
goals of the mentoring relationship?
·
Were the goals
met?
·
How many times
did the mentor/protégé pair meet?
·
What were some obstacles
that prevented you from accomplishing the goals?
·
How suitable was
your mentor/protégé match (possible response scale – Excellent, Good, Poor, and
Not Sure)?
·
How supportive
has your supervisor been during the mentoring program (possible response scale:
Very Supportive, Somewhat Supportive, Not Supportive, and Not Sure)?
·
What have you
learned so far from the mentoring program?
·
Is there any part
of the mentoring program you would like to see improved (Yes/No)? If yes, what
part?
In addition to a program
evaluation, mentors can provide written reports to their protégés on their
thoughts of the program, accomplishments as a pair, and recommendations for
future interaction. Protégés could also provide a similar report to their
mentors.
There are several evaluation
models agencies can use but the majority of agencies with established formal
mentoring programs use the Kirkpatrick four-level evaluation model1. See Appendix A
for details on Kirkpatrick’s model.
12. Conduct an End-of-Program Graduation/Recognition
Ceremony
Agencies with successful formal
mentoring programs have a program graduation/recognition ceremony. Senior
leaders should be invited to speak on behalf of the program. Awards, such as
certificates and/or books can be presented to the mentors and protégés.
1 ASTD Handbook for Workplace Learning Professionals
(2008): Kirkpatrick, Donald L.,
“Section VI: Measuring and Evaluating Impact.”
Other
Types of Mentoring
Flash
Mentoring-- is a new
concept in mentoring which is growing in popularity. 13L is a leadership
collective of 13 committed mid-career federal employees who have a strong
interest in issues related to leadership in the Federal Government. They have
worked with the National Academy of Public Administration to develop a
pilot Flash Mentoring program for the Federal Government. It is a low budget
and simple option to recruit busy executives and other senior staff to become
mentors without investing a lot of time. The only requirement is one-hour or
less of a mentor’s time to meet with a protégé. During the one-hour session,
mentors can share lessons learned, life experiences and advice to aspiring
protégés. After this meeting, mentors and protégés can decide if they would
like to continue the relationship. The matching process is simple. Mentors and
protégés are matched with little or no criteria. Protégés may recruit their own
mentors or a 13L staff person can request participants’ resumes then match them
at random. Once a protégé is assigned a mentor, it is the protégé’s
responsibility to contact the mentor within an established timeframe. After the
initial meeting, the mentor and protégé decide whether or not to continue the
relationship.
Some of the
activities mentioned in the formal mentoring program section should be
addressed in this type of program. At a minimum, basic instructions on roles
and expectations should be given to both the mentor and protégé. Follow-up
after the meeting and an evaluation form should also be included in this type
of program.
Group
Mentoring -- is when
one mentor can be teamed with several protégés who meet at the same time. As
the mentor poses questions, listens and reflects he or she engages all members of
the group into the conversation. Each one has their own experience and insight
to share and can draw their own learning from the discussion.
Peer
Mentoring -- is
usually a relationship with an individual within the same grade, organization,
and/or job series. The purpose of peer mentoring is to support colleagues in
their professional development and growth, to facilitate mutual learning and to
build a sense of community. Peer mentoring is not hierarchical, prescriptive,
judgmental or evaluative.
Reverse
Mentoring -- is the
mentoring of a senior person (in terms of age, experience or position) by a
junior (in terms of age, experience or position) individual. Reverse mentoring
aims to help older, more senior people learn from the knowledge of younger people,
usually in the field of information technology, computing, and Internet
communications. The key to success in reverse mentoring is the ability to
create and maintain an attitude of openness to the experience and dissolve the
barriers of status, power and position.
Situational
Mentoring -- is the
right help at the right time provided by a mentor when a protégé needs guidance
and advice. It is usually short term addressing an immediate situation but can
transition to a more long-term connection.
Supervisory
Mentoring -- is an
inherent responsibility of leadership. The Individual Development Plan usually
outlines expectations for supervisory coaching and feedback. Most frequently,
this mentoring is informal and related to day-to-day guidance about the current
job. As leaders, supervisors should also encourage outside mentoring
partnerships, informal and formal, and allow their employees the time to work
on them.
Team
Mentoring --
involves more than one mentor working with one protégé or a group of protégés.
Team mentoring allows mentors to work together or separately to help the
protégé reach identified developmental goals (If mentors work separately, they
should communicate regularly to share information and ideas.)
Virtual
Mentoring -- uses
videoconferencing, the Internet, and e-mail to mentor individuals. This is
beneficial for those who are unable to leave their workplace and for those who
live in rural or remote communities. Virtual mentoring is usually less
expensive compared to face-to-face mentoring and provides an individual with
more choices for mentors. Even with virtual mentoring, it is recommended the
mentor and protégé meet face-to-face at least once.
Appendix
A: Kirkpatrick Model
One of the
best known training evaluation models is Donald Kirkpatrick’s four level model which includes:
·
Level
1: Reaction – how the participants feel about the training or learning
experience;
·
Level
2: Learning – was there an increase in knowledge; this level assesses whether
knowledge was learned, skills were developed or improved, and attitudes were
changed;
·
Level
3: Behavior – application of learning and changes in behavior since completing
the mentoring program; and
·
Level
4: Results – final business results occurred as a result of the mentoring program.
Typically,
evaluation is limited to Level 1. The purpose of a Level 1 evaluation is to
measure how the participants feel about the program. The Level 1 evaluation
takes place in the form of a mid or end of the program evaluation. Below are
examples of how organizations can incorporate the different levels of
Kirkpatrick’s model into their mentoring programs.
A Level 2
evaluation for mentoring programs consists of a self assessment before the
mentor and protégé begin their mentoring relationship. The pre-self assessment
could contain questions like:
·
What
behaviors are you intending to work on during the course of the mentoring
relationship?
·
What
specific career objectives are you intending to focus on during the course of
the mentoring relationship?
·
What
specific personal objectives are you intending to focus on during the course of
the mentoring relationship?
A post-self
assessment is given immediately after the participants complete the program.
Similar questions that could be asked are:
·
What
behaviors did you intend to work on during the course of the program?
·
Did
you and your mentor/protégé work on these behaviors? If so, in what capacity?
·
How
have these behaviors improved since the mentoring relationship began?
·
Are
improvements in these behaviors improving job performance?
Another
qualitative approach is to ask the protégé (and mentor if the agency would like
both to participate) to outline what success would look like. The protégé’s
(and mentor’s) vision of success could be negotiated with the supervisor,
mentor and/or protégé. Once the program is completed, the participants evaluate
whether the vision of success was met and how it was met.
A Level 3
evaluation could either be a follow-up survey, interviews, or focus group three
to six months after the participants complete the program. Planning for a Level
3 evaluation should begin at program development. Evaluating participants three
to six months post completion allows time for the behavior to change.
Here are some
sample questions that can be used in a Level 3 evaluation:
Sample
Participant Questions2:
·
I
have more confidence in my abilities since I completed the Mentoring Program.
- Strongly
Agree
- Agree
- Neutral
- Disagree
- Strongly
Disagree
·
Now
that I am back at my workplace, I believe the Mentoring Program provided me
with the Knowledge, Skills, and Attributes to…
o …lead others in the execution of job responsibility
and mission performance.
- Strongly
Agree
- Agree
- Neutral
- Disagree
- Strongly
Disagree
o …employ clear, concise and effective communications.
- Strongly
Agree
- Agree
- Neutral
- Disagree
- Strongly
Disagree
o …assemble effective teams.
- Strongly
Agree
- Agree
- Neutral
- Disagree
- Strongly
Disagree
Sample
Questions for Participant’s Supervisors:
·
I
have more confidence in the performance of the graduate after he/she completed
the Mentoring Program.
- Strongly
Agree
- Agree
- Neutral
- Disagree
- Strongly
Disagree
·
To
what extent do you agree the performance of your unit has improved as a result
of your employee attending the Mentoring Program?
- Strongly
Agree
- Agree
- Neutral
- Disagree
- Strongly
Disagree
The last type
of evaluation in Kirkpatrick’s model is the Level 4, Results. A Level 4
evaluation cannot be conducted without conducting Level 1, 2, and 3
evaluations. Results are the last to evaluate, however, this level should be
considered in the planning stages. Questions including “what results do we hope
to achieve” and what behaviors are needed to accomplish these results”3 should be included in the program roadmap. Measures should
also be identified at the planning stages. Some measures of success to include
in a Level 4 evaluation are:
·
Improvement
of retention rates;
·
Increased
morale;
·
Decreased
absenteeism;
·
Improvement
in overall job performance; and
·
Increase
in promotion rates.
Similar data
collection methods listed in a Level 3 evaluation can also be used to collect
data in a Level 4 evaluation. This type of evaluation should be conducted at
least nine to twelve months after the completion of the program. This allows
for the environment to change and results to occur.
It is helpful
to have a control group to compare these measures. The control group should
consist of employees who did not participate in the program but who are
demographically similar and who work in similar work environments. Also, to the
extent possible, the control group should be isolated from the group that
participated in the program4. Results from both groups can then
be analyzed and evidence of either program effectiveness or ineffectiveness can
be confidently reported.
There are many
resources available that discuss Kirkpatrick’s four level evaluation model and
other evaluation models on evaluating training programs. A few of these
resources are listed in the Resources for Mentoring section.
2 The Level 3 evaluation questions are taken from the US Army Command and
General Staff College, Army Management Staff College’s Civilian Education
System Basic Course evaluation. This evaluation is given to students who have
completed the course 6 and 12 months after course completion.
3 ASTD Handbook for Workplace Learning Professionals
(2008): Kirkpatrick, p.490.
4 ASTD Handbook for Workplace Learning Professionals
(2008): Kirkpatrick, pp.547-548
Resources for Mentoring
Disclaimer:
These resources have been used successfully by a number of organizations and
top researchers in the field. OPM does not endorse these resources. This is for
informational purposes only.
Books:
Power
Mentoring: How Successful Mentors And Protégés Get The Most Out Of Their
Relationships,
by Ellen Ensher and Susan Murphy (2005). This book
provides the fundamentals for mentors and protégés who want to create a
connection or improve on the mentor/protégé relationship. The book is filled
with illustrative examples from the most successful mentors and protégés.
Creating
a Mentoring Culture: The Organization’s
Guide, by
Lois J. Zachary (2005). This book provides organizations with the basics on
setting up mentoring programs. The book provides checklists, worksheets, and
toolkits.
The
Mentoring Advantage: Creating the Next Generation of Leaders, by Florence Stone (2004). This book
provides a general introduction to mentoring and its benefits to those who are
new to mentoring. This book also provides insight on the qualities to look for
in a mentor or protégé and discusses existing mentoring programs including IBM
and JP Morgan. You can also find useful checklists, worksheets, templates,
assessment tools, case studies, and tips to use in creating a mentoring
program.
The
Mentor’s Guide: Facilitating Effective Learning Relationships, by Lois J. Zachary (2000). This
book provides tools and tips for mentors and protégés to build and maintain an
effective mentoring relationship. Worksheets are provided to help mentors
develop their mentoring skills.
The Step-by-Step Guide to Starting an Effective Mentoring
Program, by
Norman H. Cohen (2000).
This book offers practical information for organizations that are looking to
start-up and operate mentoring programs.
The
Mentoring Coordinator’s Guide, by
Linda Phillips-Jones, Ph.D. (2003). This guide includes detailed
information on how to design, manage, and evaluate a program. Guide topics
include: Coordinator's View of Mentoring, Strategic Considerations, Glossary of
Mentoring Terms, The Formal Mentoring Process, Skills for Successful Mentoring,
Etiquette of Mentoring, Challenges in Planned Mentoring, Identifying Target
Groups and Needs, Finalizing Your Design, Communicating about the Mentoring
Initiative, Recruiting Participants, Selecting and Matching Mentors and
Mentees, Role of the Mentee's Immediate Manager, Developing Mentors and
Mentees, Helping Mentees Set Compelling Goals, Evaluating a Mentoring
Initiative, and Special Topics in Mentoring (enhanced informal mentoring,
distance mentoring, mentoring groups, reverse mentoring, and cross-difference
mentoring).
The Keys to Mentoring Success, by Kathy Wentworth Drahosz (2004). This book contains a step-by-step approach for establishing
and running a mentoring program.
ASTD
Handbook for Workplace Learning Professionals, edited by Elaine Biech00 (2008). This
handbook contains best practices in the field of learning and development.
Topics included in the handbook are needs assessment and analysis, designing
and developing effective learning, and measuring and evaluating impact.
Organizations:
The Mentoring
Group-THE MENTORING
GROUP is a division of the not-for-profit corporation, the Coalition of
Counseling Centers (CCC). CCC was founded in 1980 by Dr. Brian Jones, Dr. Linda
Phillips-Jones, and some colleagues in the San Francisco Bay area. In the mid-80's,
Brian and Linda organized THE MENTORING GROUP to provide consulting/technical
assistance, skill-based training, skill assessment, research/evaluation, and
publications related to mentoring.
Triple
Creek Associates Mentoring – This organization provides free resources including a monthly
mentoring newsletter. The newsletter provides practical and valuable tips to
those wanting to cultivate successful mentoring relationships. The organization
offers their web-based tool, Open Mentoring which assists organizations
with matching mentors and protégés, managing the mentoring process, and measure
relationships built among customized products.
The
Mentoring Connection –
The Mentoring Connection (TMC) is a web-based tool designed to assist
organizations in handling the logistics of their mentoring programs. Features
include: connection of mentors and protégés to their organization’s mentoring
program on-line, assisting with the matching process, developing mentoring
action plans, and tracking upcoming mentoring activities and events. The tool
provides an online evaluation process that collects information which then
clarifies which parts of the program are working and what areas need
improvement. TMC also offers a monthly newsletter on a wide variety of subject
areas including work-life balance, and strengthening the mentor/protégé
relationship.
The
Manager’s Mentors, Inc – The
Manager’s Mentors, Inc (MMHA) provides a wide range of services including
designing and implementing performance systems, custom training, and
implementation of a facilitated mentoring process. The organization features
Margo Murray’s book, Beyond the Myths and Magic of Mentoring: How to
Facilitate an Effective Mentoring Process. This book reflects Murray’s
experience assisting organizations in developing facilitated mentoring and
offers a practical approach to the mentoring process utilizing mentoring as a
key strategy for filling today’s need for a highly qualified and diverse
workforce.
SkillSoft – SkillSoft offers multi-level learning solutions through a combination
of e-learning content, online information resources, flexible learning
technologies, and other support services. SkillSoft
offers a mentoring essentials courseware series for organizations who want to
develop and implement a mentoring program and for those who want to enhance
their capabilities as a mentor or protégé. Mentoring courses offered include Effective
Mentoring, Implementing an Organization-wide Mentoring Program,
and e-Mentoring.
References:
Linney, B.J. (1999). Characteristics
of Good Mentors. Physician Executive, 70-72. This article
describes the characteristics and traits of a good mentor and gives accounts of
actual mentoring relationships (formal and informal).
Mentoring Programs in the Federal Public Service: Status
and Best Practices, Government
of Canada (2004).
This study contains useful information on existing mentoring programs in the
Public Service of Canada and explains why these programs are successful. The
recommendations made for a successful mentoring program can easily apply to
Federal agencies interested in either establishing a new mentoring program or
improving current mentoring programs.
Smith, W.J.,
Howard, J.T., Harrington K.V. (2005). Essential Formal Mentoring
Characteristics and Functions in Governmental and Non-governmental
Organizations from the Program Administrator’s and Mentor’s Perspective.
Public Personnel Management. 34.1, 1-28. This
study examines who mentors are as well as what mentors do in four types of
organizations (i.e., academic, business, military-armed forces, and military
academic organizations).
Sosik, J.J., & Lee, D.L. (2002). Mentoring in Organizations: A
Social Judgment Perspective for Developing Tomorrow’s
Leaders. The Journal of Leadership Studies, 8, 17-32. This paper
presents a theory of mentoring that proposes effective mentorship fundamentally
depends on the mentor’s ability to help solve various complex social problems
that arise in the protégé’s career.
Young,
A.M, & Perrewé P.L. (2004). An Analysis
of Mentor and Protégé Expectations in Relation to Perceived Support.
Journal of Managerial Issues, 16, 103-126. This article describes the
impact of perception and attitudes on participation (based on general beliefs
and past experiences of participants).
Kirkpatrick’s Learning and Training Evaluation Theory (www.stfrancis.edu/assessment/Kirkpatrick_1.pdf). This website provides an overview of Donald
Kirkpatrick’s four levels of learning evaluation model.
APPENDIX B
MENTORING
GUIDANCE
The
information in this appendix consists of suggestions that agencies should
consider when creating a mentoring program.
1. Training.
The following topics are examples of content that can be included in
training mentors and mentees:
·
Definition of mentoring
·
Difference between mentoring and
coaching
·
Roles and expectations of the mentor,
mentee and supervisor
·
Awareness of the mentor’s mentoring
style
·
Available tools
·
Benefits of mentoring for all parties
·
Description of the mentoring process
that is to be used in the agency. For
example, length of the program, minimum requirements, reports
required, resources available, etc.
·
Key mentoring skills
·
Pitfalls to be avoided
·
Feedback skills
·
Listening skills
·
Resolving conflict
·
Evaluating the mentoring experience for
the mentor and mentee
2. During the introductory meeting between the
mentor and mentee, the following topics should be discussed.
·
Meeting frequency, location and how to
handle conflicts in schedules
·
Availability of the mentor outside of
scheduled sessions
·
Mentee and mentor’s personal goals to be
gained from the experience
3. Assessment of the experience by the mentor
and mentee
·
Use a multi-point rating system with
questions covering all significant aspects of the program
·
Have each separately provide an overall
rating of the program as well as written comments for how the program can be
improved
·
Develop a summary report of the findings
·
Conduct focus groups to gather more
detailed information, if needed
4. Agencies must evaluate the effectiveness of
their mentoring program at the end of the
mentoring cycle or annually.
·
Review all participant assessments and
recommendations
·
Summarize aspects of the program that
are working well, and look for ways to make those aspects even better
·
Summarize the problem areas, identify
mitigation strategies, assign owners and target dates
6. Training for mentors and mentees.
Agencies
may develop their own training for mentors and mentees, contract for this
training, and/or use AgLearn courses.