Mentoring & Community Building

AN INTRODUCTION TO
ENTERPRISE MENTORING:
A POCKETBOOK FOR MENTORS
In this pocketbook
Volunteer mentoring ....................................iii
How to use this pocketbook ...........................v
About SFEDI Group ......................................vi
SECTION 1
Enterprise mentoring
SECTION 2
Meeting with your mentee
Your first meeting with your mentee................14
Key principles in building trust.......................17
Things to think about when
communicating with your mentee...................19
What is mentoring? ......................................2
20 killer questions ...................................20
What is enterprise mentoring? ........................4
Building rapport with your mentee .................22
What is enterprise mentoring not? ...................5
The 12 habits of a toxic mentor......................24
What should a mentor do? .............................6
Barriers to an effective mentor/

mentee relationship....................................26
What is a mentor not expected to do?...............7

What are the different types of mentoring
relationship? ..............................................8
Challenges facing your mentee .....................27
The key skills of a mentor.............................10
Tools and techniques ..................................29
Establishing a successful relationship

with your mentee........................................11
Ending the mentoring relationship .................37
Confidentiality...........................................28
Useful websites .........................................38

Written by Ruth Lowbridge, Co-owner & Executive Chair, SFEDI Group

Contributors: Pete Stevens at Agile Group, Karen Langdon at DEAL Group
and Amanda Dudman at Amanda Dudman Coaching Services
Volunteer mentoring
Design and layout by Julie Stanford

Edited by Grace Fairley
Illustrations by Fran Orford
Printed by Ashford Colour Press, Gosport
Thanks to Clutterbuck Associates for permission to use The 12 habits
of a toxic mentor on pages 2425 and to Agile Group for permission
to use the Road Map and Short-Term Goal on pages 3536.
SFEDI Group
T 0845 467 3218
E info@sfedi.co.uk
W www.sfedi.co.uk
Small Firms Enterprise Development Initiative Limited, 2012.
Illustrations Fran, 2011. All rights reserved.
An Introduction to Enterprise Mentoring: A pocketbook for mentors
is published under a Creative Commons A-NC-SA License.
Endorsed by the
Institute of Enterprise
and Entrepreneurs
ENDORSED
Small businesses are the engine of the UK

economy. Evidence proves that businesses
that use external support are more likely to
survive and succeed and business owners
have repeatedly told us that the support they
value most comes from other experienced
business people. From my own experiences
running a small business I know how useful
it can be to learn from the experiences of
someone who has already been there and
done it.
Mentoring can be an effective way of
promoting more successful start-ups, as well
as higher productivity and growth amongst
established businesses. I believe that
mentors play a crucial role in helping new
and growing firms to thrive and prosper.
Strengthening the mentoring network

is vital if were going to help the UKs
budding entrepreneurs.
Mentoring is a great way for business owners
and entrepreneurs to give back to the
enterprise community but a true mentoring
relationship works in both directions. As
a volunteer mentor you can also learn new
ideas to enhance your own enterprise knowhow. You will develop your own relationship
management and communication skills; you
might learn new ways of tackling challenges
in your own business.
So I say Get Mentoring.
Mark Prisk, Minister for Business and Enterprise
at Department for Business, Innovation and Skills (BIS)
iii
How to use this pocketbook
GET MENTORING
PARTNER QUOTES
Small business owners value talking to

other entrepreneurs and we at ACBBA know
from experience there is a lot of informal
mentoring going on; we are happy to
partner in a project that aims to enhance
this form of support and mobilises and
builds on the resources already present
in the business community.
Shell LiveWIRE supports 1000s of young

entrepreneurs each year. Our feedback
shows that mentors are a key part of what
many of them see as vital to support and
growth of their business. Making access to
mentors easy will enhance the prospects of
many young people starting their journey
as entrepreneurs and be a key factor
for their success.
This pocketbook is designed to help you to

understand how, as a mentor, you can help
your mentee when they are thinking about
starting or running their business. It gives
handy tips on how to get the most from
the mentoring relationship and what you
can expect to happen.
I thought you could help

me to fill in the details!
Stuart Anderson Shell LiveWIRE
Armando Pardo Association of Community Based

Business Advisers (ACBBA)
iv
AN INTRODUCTION TO ENTERPRISE MENTORING
About SFEDI Group

SFEDI is the Sector Skills Body for Enterprise. Run by entrepreneurs for entrepreneurs,
SFEDI researches leading practice, and sets standards, principles and guidelines. We:
make sure that self-employment is promoted as a positive choice for a career
actively seek to increase the survival rate of new businesses
make sure that the quality of support to businesses is of a consistently high standard
design our services to give the right help at the right time so that businesses can grow
set national standards for small, medium and micro businesses, on which this workbook
is based.
Our team includes and works with entrepreneurs and owners of real small businesses
to sort out real problems. These partnerships enhance the quality and quantity of start-up
support provided, and help established businesses to grow.
vi
Enterprise
mentoring
1
Xxxx is mentoring?
What
In this context, the term mentoring
describes a relationship in which a
person is supported through a learning or
developmental journey. Its about reflecting,
encouraging and supporting the new or
existing business owner to make the
most of themselves and their business.
Mentoring is about mutual trust and respect.
Its a two-way relationship in which both of
you get the chance to learn new things and
further your personal development.
You probably have many life experiences
from which your mentee can learn. Mentoring
is also a great way for your mentee to
Xxxx
Types of enterprise support
develop and improve their communication

and planning skills.
Every mentoring relationship is different;
but all mentoring relationships present the
opportunity for both mentor and mentee to
learn from each other.
Mentoring is just one type of business
support, each of which is used in different
circumstances and for different reasons.
The main types of enterprise support are
shown in the diagram opposite. What they
all have in common is the business owner
or mentee is at the centre.
Mentoring
Advice and
guidance
Coaching
BUSINESS
OWNER
Consulting
Training
Facilitating
1
What is enterprise mentoring?
A one-to-one relationship, usually over
a set period of time, in which an
established business person (mentor)
provides consistent support, guidance
and practical help for a less experienced
person (mentee).
A voluntary relationship, which the
mentee or the mentor can end at any time.
A two-way process in which the mentor
shares their personal skills, knowledge
and experience with the mentee to enable
him or her to explore their personal

and professional situation, and in which
the mentor and mentee work together
to achieve predetermined goals and
objectives.
A way of enabling the mentee to gain
the skills, knowledge and confidence
to perform at a higher level, and of
giving them access to impartial, nonjudgemental guidance and support.
What is enterprise mentoring not?

It is important to keep a clear focus, otherwise
a lot of time can be wasted on activities that
arent strictly part of the mentoring brief.
As mentor, your role is not:

to act as a parent
to act as a counsellor
The style of the process for example, how

formal or informal it is is very much up to
the mentor and mentee. However, there are
some things that are definitely not part of
the mentors role.
to give the mentee an excuse to moan

to be a best friend
to dispense discipline
to be a god.
1
What should a mentor do?
An enterprise mentor is normally someone
who has a great deal of entrepreneurial
business experience and who acts as a
trusted confidante over a flexible period
of time. It can be a close and meaningful
relationship, in which the mentor shares
their personal knowledge and experiences,
and promotes a self-discovery approach.
A mentor should:
provide an outside perspective on the
business owner and his or her business
help by sharing their own experience of

failures and successes
give friendly, unbiased support and
guidance
A mentor is not expected to:

give advice (this will normally be provided by a qualified business adviser)
provide honest and constructive feedback
provide a counselling service
be a sounding board for ideas
provide a training service
facilitate decision-making by suggesting

alternatives based on personal experience
provide a coaching service
provide ongoing support and

encouragement.
sort out all the mentees problems
listen, in confidence, to the things that

are worrying the business owner about
their business
What is a mentor
not expected to do?
provide therapeutic interventions
take responsibility for making their mentees business a success or make decisions
for the mentee; the ultimate responsibility for making the business successful is
down to the business owner themselves.
1
What are the different types
of mentoring relationship?
Face-to-face, one-to-one mentoring is the most common sort of mentoring.
Face-to-face group mentoring (or peer mentoring) is where a small group
of business owners come together to discuss their opportunities.
Mentors pull they dont push
PULL
Helping someone solve their own problems
Listening to understand
A mentor never pushes,

whether by telling, instructing
or giving advice.
Asking questions
Paraphrasing and summarising
Suggesting options
Giving feedback
Telephone mentoring is usually part of a blended mentoring approach, used

in tandem with face-to-face mentoring.
Offering guidance
Giving advice
e-mentoring can be part of a blended mentoring approach or used on its own.
Instructing
Telling
PUSH
8
Solving someones problem for them
1
The key skills of a mentor
1
2
3
4
Listening in order to understand
Establishing a successful
relationship with your mentee
Questioning to clarify and make sure theyve understood correctly
Once you have been matched with your

mentee through your mentoring organisation,
we suggest that you:
Questioning to explore additional options and consequences
draw up a timetable of regularly spaced

meetings in advance
Being prepared to act on what has been agreed with their mentee
establish a set of ground rules to which

you will both abide
keep notes of your meetings, and use
these as the basis for ongoing discussions
work towards developing a trusting
relationship and establishing a good
rapport with your mentee
10
use your questioning and listening skills

to establish your mentees individual
needs, remembering that these will be
different based on their background and
experiences
aim at maintaining the relationship for
as long as is appropriate to the needs
of your mentee.
Effective mentoring meetings provide a
sense of purpose and achievement.
11
I think you may be exaggerating the personal safety

issues involved in mentoring just a LITTLE!
Meeting with
your mentee
12
2
Your first meeting
with your mentee
The relationship that evolves between you
and your mentee over a period of time is
crucial to the success of the mentoring
journey. As mentor, you are the guardian
of the relationship because of your
experience and knowledge.
Your first meeting is vital because it will
set the tone of the relationship. Ideally,
this will get off to a swift and productive
start.
14
Starting the first meeting

To get started, you could:
make yourselves comfortable: pour some
tea or coffee, sit down and get to know
each other
You might feel a bit nervous about your

first meeting but dont worry about it
a lot of people do. You might be thinking,
How will we start? or What are we going
to talk about?
Its a good idea to devote some thought to
your first meeting because its extremely
important. If you get off to a good start,
everything else should be much easier.
tell your mentee something about

yourself: this could include information
about your personal life as well as your
professional life whatever feels right for
you
explain why you got involved: for
example, talk about what you think you
might do together and what you both
might get out of it.
Remember: if you dont hit it

off straight away, dont panic.
It takes time to build any
relationship and it will get
easier the more you meet
because youll build up trust
and get used to each other.
If youre worried about anything
after the first meeting, get in
touch with your mentoring
organisation; its there to
provide you with all the support
you need.
15
2
Key principles in building trust
What is the first meeting for?

The first meeting is all about getting your
relationship off to a good start by establishing
some ground rules and acknowledging that the
relationship is two-way. This is also the best
time to agree about what you hope to achieve,
and share your expectations with one another.
As a starter for ten, we recommend you
cover the mentees ambitions and goals in
relation to:
particular issues they face
their achievements so far and how to build
on them
realistic expectations
scale of priorities
areas in which they would find input
most useful.
16
You should also cover a few basic essentials:

when you would like to meet how often
and for how long
venue for follow-up meetings
how youll keep in touch (by email and/or
telephone?) and how youll remind each
other of future meetings.
discussing and agreeing how you will
work together
confidentiality
responsibility
how you will record progress and
issues/targets for further development.
Get to know your mentee. Talk about their business and

their life outside it. Try to understand what they think
and why. Value their viewpoint.
2 Do what you say youre going to do. Agree what you are
aiming to achieve through your mentoring sessions. Be
reliable and always do what you say you are going to do.
3 Communicate openly and honestly. Discuss issues

as soon as they arise. Ask for and give feedback.
4 Dont be afraid to challenge. Your open, honest

relationship will allow you to challenge your mentee
constructively to explore a wider viewpoint.
Trust is the
highest form
of human
motivation.
It brings out
the very best
in people.
Stephen Covey,
management development
consultant
17
2
Things to think about when
communicating with your mentee
Building a trusting and respectful

relationship with your mentee
Mutual trust and respect between
you and your mentee should be
key. Your mentees trust in you
will depend on your ability to
show that you care, on your
competence and integrity.
If you are meeting your mentee face to face, you need to

be aware of body language. This is an excellent indication
of how people really feel and makes up a large proportion
of the message they send. If someone is being less than
honest, their body language will usually give them away.
A lot of body language is universal, but some gestures
differ between cultures so be careful not to give (or take)
offence to your mentor unwittingly!
Take great care to recognise how cultural diversity
influences all aspects of verbal and non-verbal behaviour.
See Useful Websites on page 38.
18
Remember, body language

involves four stages:
1 Learn what to look for.

peoples body
2 Recognise
language so you can read
them better.
your own
3 Recognise
body language.
your own body
4 Control
language and use it to your
advantage so you give the
right messages to other people.
19
2
20 killer questions
Here are 20 killer
What will give you the most value from todays session?
questions that may
What do you want to focus on today?
be useful to ask in
your meetings with
your mentee.
What is keeping you awake at night?
What is the present situation in detail?
What is happening now that is working well?
What is happening now that tells you that you have

a problem?
20
What do you have control over?
What strengths and resources do you

bring to this?
13
What would you do if you knew you

couldnt fail?
Where do you want to be a year from

now? How will you measure your
success?
14
What do you enjoy about what you

do?
15
What might you be overlooking?
10
If you had to find a way, what would it

be?
16
Who else has done this before?
11
What do you not know about this

situation/project? How could you find
out?
17
What have you learned from this?
18
What can you do differently next

time?
19
What did you do well?
20
What will you do next?
12
If you improved one thing you do,

what change would make the biggest
improvement to your businesss
performance?
21
2
Hes not very good at
accepting criticism!
Building rapport with your mentee

Taking time to build rapport with your
mentee will help you to get the most from
the mentoring relationship.
Rapport comes from shared values or
experiences, and sometimes from a
chemistry that is hard to define.
One sign that there is comfort or rapport
between two people is that they have
similar tone of voice, body language,
movements and so on.
22
Next time youre in company, watch other

people talking together. Look for examples
of similarities or synchronicity between
them. Ask yourself:
Are their body postures similar?
Do they use similar hand movements?
What do their faces tell you, especially
their expressions?
Do their moods seem similar?
How similar are their voices?
WHY ME?
WHY ME? PRICK ME,
DO I NOT BLEED?
23
2
The 12 habits of a toxic mentor
Heres David
Clutterbucks
lighthearted
take on what
he calls toxic
mentoring
how not
to do it!
24
Start from the point of view

that you from your vast
experience and broader
perspective know better
than the mentee whats in
his or her interest.
Be determined to share
your wisdom with the
mentee whether they want
it or not; remind them
frequently how much they
still have to learn.
Decide what you and the

mentee will talk about and
when. Change dates and
themes frequently to
prevent complacency
sneaking in.
Do most of the talking,
checking frequently that
the mentee is paying
attention.
Make sure the mentee understands how

trivial their concerns are compared to the
weighty issues you have to deal with.
Remind the mentee how fortunate they

are to have your undivided attention.
Neither show nor admit any personal

weaknesses. Expect to be the mentees
role model in all aspects of career
development and personal values.
Never ask the mentee what they think

they should expect of you how would
they know anyway?
Demonstrate how important and

well connected you are by sharing
confidential information they dont need
(or want) to know.
10 Discourage any signs of levity or humour.

This is a serious business and should be
treated as such.
11
Take the mentee to task when they dont

follow your advice.
12 Never, never admit that this could be

a learning experience for you, too.
Reproduced with kind permission from Clutterbuck Associates
25
2
Barriers to an effective
mentor/mentee relationship
Challenges facing your mentee

Challenges facing your mentee may include:
finding new customers and markets
Most barriers to effective mentoring stem

from:
mentor or mentee dissatisfaction about

the way the mentoring is conducted
personality issues
unrealistic expectations about what

mentoring can achieve
lack of awareness of the role of the

mentor.
Common barriers include:
poor mentor/mentee matching
lack of support from the mentoring
organisation
the lack/blurring of boundaries in the

mentor/mentee relationship.
being more energy-efficient
Depressed, lacking in focus,

unsure of WHO I am and whether
my life has ANY meaning Still
enough about me. What about you?
accessing finance
managing money
taking on staff and developing people
developing new products and service ideas
taking new products and services to the market
Your mentoring organisation is there to help

you to overcome any barriers you may
encounter.
investing in plant, machinery or property

exporting or funding overseas partners
making the most of the Internet.
From your experience, think about how you can help your mentee to address these challenges.
26
27
2
Confidentiality
Its really important that you respect each
others confidentiality. Remember that
anything you talk about when you meet up
is between the two of you so you shouldnt
talk about it to someone else. But, legally,
you should report any criminal conduct or
possible harassment or bullying. Speak to
your mentoring organisation if youre
worried about anything like this.
Tools and techniques

2
Four things to think about are:
28
Concerns. If youve got any, chat to your

mentoring organisation theyre there to
help.
Secrets. Dont promise to keep any

secrets. Make that clear from the
beginning and remember to ask your
mentee if they mind you sharing
confidential information with anyone
else.
Goal setting and

action planning
Information. Keep information about

your mentee (like their phone number)
somewhere secure. Never share any of
their financial details.
find out where your mentee needs support
You. Confidentiality works both ways. Be

aware of those personal areas of your life
youre happy to share with your mentee
and those you are not.
Dont forget, goals are most useful

when they are SMART:
Specific
A great way to start is by setting goals and

making an action plan. This will keep you
on track and help you to:
agree goals that they can work towards

gauge how you are doing
keep an eye on your goals
pat each other on the back for your
successes.
For example, rather than get a

website, say choose a suitable
domain name for my business.
Measurable Decide how youll know when
youve achieved it.
Achievable Can you do it?
Realistic
Do you think you have a real
prospect of reaching your goal?
Timed
Is this a long-term or short-term
goal? Agree timescales for each
goal you wont be able to get
everything done at once.
29
2
SWOT Analysis
This is a useful
technique for
understanding
strengths and
weaknesses, and
identifying opportunities
and threats. It is
a framework that your
mentee can use to
analyse both themselves
and their competitors,
and can help them to
craft a strategy that
distinguishes them
from their competitors.
30
The following questions can help you to guide your mentee

to complete the SWOT grid for their own business
Strengths
Weaknesses
Opportunities
Threats
Strengths
What advantages does your business have over competitors?
What do you do better than anyone else?
What unique or lowest-cost resources can you draw upon
that others cant?
What do people in your market see as your strengths?
What factors mean that you get the sale?
Weaknesses
Threats
What could you improve?
What obstacles do you face?
What should you avoid?
What are your competitors doing?
What are people in your market likely to

see as weaknesses?
Are quality standards or specifications for

your job, products or services changing?
What factors lose you sales?
Is changing technology threatening your

position?
Opportunities
Do you have bad debt or cash-flow

problems?
What good opportunities can you spot?

What interesting trends are you aware of?
(Useful opportunities can come from such
things as local events or changes in
technology, markets, government policy,
social patterns, population profiles and
lifestyle changes.)
Could any of your weaknesses seriously

threaten your business?
Encourage your mentee to think widely and
creatively with their SWOT. Could any threats
become opportunities, for example?
What is your organisations unique selling proposition (USP)?
31
2
G-STAR model
This is a particularly useful technique in mentoring. Use it to

ask your mentee about a particular issue it can often be a
fast track to the real answers your mentee is looking for.
32
What are your mentees GOALS?

What are your goals for todays discussion?
What will give you the most value from todays session?
Do you have control over this issue?
When do you need to achieve this goal by?
What SITUATION is your mentee facing?
How do you feel about the situation?
How can you describe the situation?
What do you know about the current situation?
What do you not know about the current situation?
What is their THINKING at this time?

What options have you considered about the situation?
What underlying assumptions are you making?
Think how others would solve this problem.
Think about how you will measure your success.
What ACTIONS are they considering?

What do you need to do first?
By when do you need to have this done?
In what sequence will you do these tasks?
Can you think of anything that may disrupt your actions?
What RESULTS do they expect?

Are the results realistic?
Have you considered other outcomes?
What contingencies can you put in place?
What are the consequences of not achieving these results?
33
2
Road maps
The Road Map model can help your mentee to see how some of
their goals link into the overall vision of their business.
In this model, the mentee thinks about the different areas of their
business as shown on the Road Map opposite and lists three
or four short-term goals under each area.
The next stage is to break these goals down further under the
heading Short-Term Goal, using one sheet for each goal (see page 36).
This will help your mentee to focus on some of the core areas of their
business. The Road Map can then be reviewed with the mentee in
subsequent mentoring sessions.
34
Reproduced with kind

permission from Agile
Group. This Road Map
sheet may only be used
in conjunction with this
mentoring programme.
35
2
Ending the mentoring relationship
There will come a time when
the mentoring relationship
will begin to draw to an end.
At this point you must both
let go so that your mentee
can maintain their
independence. It will then
become their responsibility to
put what they have learned
into practice. Although the
two of you will probably
continue to have some form
of interaction, it should be on
a more casual basis, where
you consider each other as
equals.
Reproduced with kind

permission from Agile
Group. This Short-Term
Goal sheet may only be
used in conjunction with
this mentoring programme.
36
Here are some tips to help you end your mentoring

relationship successfully:
Fix a date for your final meeting. Decide on a date with
your mentee. Remind each other of this in your penultimate
meeting so that you can prepare for it.
Find other ways to support your mentee. For instance, look
at ways you can continue to support your mentees learning.
Celebrate your success. Have a look at the goals you set
when you first met. Consider what you have both achieved
during the process and reflect on what you can take to your
next mentoring relationship.
Say goodbye. End the session on a positive note so its not
awkward. You could talk about what you most enjoyed,
what youll remember most or the most important things
youve both learned.
37
Useful websites
British Association for
Counselling & Psychotherapy
(BACP) www.bacp.co.uk
For mentees who identify
a need for counselling.
Business Link
www.businesslink.gov.uk
Governments online resource for
businesses, offering information,
support and services.
Equality and Human Rights
Commission (EHRC)
www.equalityhumanrights.com
EHRC has a statutory remit to
promote and monitor human
rights, and to protect, enforce
and promote equality.
38
As a mentor, it is important for you to know where

to go for more information/support for your role.
The following list provides a starting point:
Growth and Improvement Service

www.improve.businesslink.gov.uk
Resources to help people take
their business forward, together
with information on government
support and business events.
Leonard Cheshire
www.lcdisabilty.org
Information, support, assistance
and publications for people with
disabilities.
mentorsme
www.mentorsme.co.uk
An online gateway for small
and medium-sized enterprises
looking for mentoring services.
Connects companies with
mentoring organisations that can

support and guide their growth.
Its library of online resources
includes articles about mentoring
and case studies.
My New Business
https://online.businesslink.
gov.uk/hub/action/render?
pageId=mynewbusiness
Section of the businesslink.gov.uk
website for new businesses.
UK Trade & Industry (UKTI)
www.ukti.gov.uk
Works with UK-based businesses
to ensure their success in
international markets.
SFEDI Group
T 0845 467 3218
E info@sfedi.co.uk
W www.sfedi.co.uk
Building Highly Effective Relationships

By
Ron Crosling
Email: improve@sandhurst.net.au
Mobile: 0418 367 780
Contents
Synopsis ..... 2
Human Relationships ... 3
Trust in Relationships....... 6
Trust and Performance .. 10
Elements of Trust .... 13
Trustworthiness ....... 16
Self-Awareness..... 17
Integrity..... 21
Motivation .... 24
Leadership ..... 26
Change ...... 27
Building Trust ... 28
Attributes of Trustworthiness ... 28
References ... 29
Trustworthiness Profile

Version 4.1
Attachment
Ron Crosling
Copyright 2008

Synopsis:
Relationships between people can exist in many forms, however, those that are most
productive, effective and rewarding operate in a state of inter-dependence. This
occurs when the parties involved develop high trust in their relationships, where they:
show respect to others
have a strong shared purpose
develop confidence in each others abilities
communicate openly and honestly
These characteristics not only enable a relationship to grow and deliver outstanding
results, but just as importantly, they also prevent a relationship from unravelling
under the pressure of turmoil and external influences a vital factor in todays fastpaced and ever-changing world.
Strength in a relationship builds in stages as the individuals involved take the risk of
placing their trust each other. This occurs as each party sees the other to be worthy
of their trust, or put another way, they each become trustworthy.
Trustworthiness has been identified as a crucial personal characteristic in all highly
effective individuals who have achieved sustainable success in a group environment.

Whether you realise it or not, your personal trustworthiness is a key factor in your
relationships with others, which may be a strength or a limitation on your individual
and collective performance. Fortunately, there are steps we can take to improve our
trustworthiness, which will lead to stronger relationships with more effective
outcomes and better results.
The essence of your trustworthiness is your personal integrity, which is actually your
ability to trust yourself. In short, if you cant trust yourself, how can you expect
others to trust you? Understanding your level of personal integrity requires a high
level of self-awareness - which is the tricky part of the improvement process.
In summary, if you live and work in a group environment and you wish to improve the
quality of your relationships and the effectiveness of your efforts individually and
collectively use an inside-out approach, Begin by raising your self-awareness of
your personal integrity, which will lead to improving your trustworthiness as seen by
others, which in turn leads to higher levels of trust and inter-dependence in your
relationships, which ultimately leads to outstanding results beyond your most
optimistic expectations. Trust works!
This probably sounds challenging and demanding, but it becomes simple and achievable
once you learn how to trust in trust and thats what this paper is about.
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1. Human Relationships
The skills, talents and unique resources that each of us possess are lifes most valuable gifts
and lifes richest rewards are reaped when we share and utilise these gifts through the
relationships we enjoy with others.
The purpose of this guide is to assist you to unwrap your own personal gifts, as well as those
of others, so as to enrich your life and that of others through highly effective relationships.
Whether these relationships are within your family or with friends or workmates or through
business transactions, their effectiveness ultimately defines the quality of your life.
In simple terms, human relationships can be considered to exist within a continuum that spans
three identifiable levels [1]:
dependence, independence, inter-dependence. While this
continuum is used to describe types of relationships in general terms, it is derived from the
phases of human relationships as we progress from tiny new-born infants, through the
formative years of childhood and adolescence, to fully-developed mature adults. These three
phases of relationships can also be used to understand the way people interact in their adult
life at home, at work and in recreation.
Dependence:
In a dependent relationship, one of the parties takes a dominant position
by setting overall goals and codes of conduct for the other parties, who compliantly
follow the leader by doing as they are told.
This type of relationship is successful and sustainable while the followers have a belief
that the leaders intentions are favourable and their individual roles are acceptable.
The effectiveness of the relationship is based on the symbiosis of the leader leading
and the followers following. The leader sets the mood in the relationship. If the leader
laughs, everyone laughs if the leader cries, everyone cries. Under these circumstances
there can be a strong sense of commitment to each other, supported by feelings of
security in the relationship.
In dependent relationships, innovation and improvement tend to emanate exclusively
from the leader and therefore sustainability in an ever-changing world depends heavily
on the leaders values, vision, knowledge, judgement, creativity and benevolence.
If a dependent relationship is characterised by over-bearing dominance and oppression
by the leader, the motivation of the followers to respond to the leaders edicts are
usually driven by fear and the need to survive.
Under these circumstances, the
followers will comply grudgingly, with their disobedience being expressed through covert
behaviour. The relationship will provide little enrichment to the lives of the people
involved and their collective ability to respond to change will be low.
Examples where dependent relationships could exist are: parent and infant/young child;
master and apprentice; employer and immigrant worker; domineering and compliant
spouses; traditional church and military organisations.

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The diagram below provides a visual representation of a dependent relationship. Here

the followers are completely subordinated and contained within the sphere of control of
the dominant leader.
Independence:
In an independent relationship, each of the parties involved has developed
a clear sense of their own needs as well as beliefs about how they will achieve them.
While each individual realises that others in the relationship have a role to play to
achieve overall success, they each tend to focus their efforts on fulfilling their own
personal needs and their own agenda. An environment of competition and rivalry often
develops between the parties, which causes them to seek to maximise their own personal
position at the expense of others. If one party gets a laugh, it is often at the expense
of another party and vice versa.
The interactions between the parties are usually characterised by expressions of
personal enthusiasm and passion for their own aspirations and preferred approaches.
This environment tends to generate high levels of energy and creativity in individuals,
which results in - at best - innovative approaches to meet emerging challenges, and - at
worst - destructive conflict, disharmony and instability.
Examples where independent relationships could exist are: parent and adolescent child;
rivalling teenage siblings; divorcing spouses; supporters of opposing sporting teams;
enterprises lacking in organisational purpose and direction; combatants in a commercial
dispute; the government and opposition in a parliamentary system.
The diagram below provides a visual representation of an independent relationship.
Here, there is no dominant leader and each party sees themselves as competing against
the others to achieve what they each believe is best for the relationship (or
organisation). The purpose and direction of the relationship tends to wander according
to the ebb and flow of the influence of the individual parties at different times in
changing situations. This could be likened to a five-man tug-o-war, in which the knot at
the centre wanders according to the tugging power of each of the combatants at
different times.

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Inter-dependence:
In an inter-dependent relationship, the parties have come to
understand that achievement of their personal needs can only be sustained by serving a
common purpose, which delivers benefits to themselves and many others. Here, each of
the parties respect and value the uniqueness of the other, as well as appreciating how
their individual skills, talents and resources can combine to achieve an overall result that
is better than they could achieve by themselves as independent individuals. High levels
of trust develop between the parties and outstanding results are achievable.
When inter-dependence exists, the parties are able to harmonise their efforts so as to
achieve synergies (creative cooperation) of the highest order. The results are enriching
to each of the parties and the relationship sustains itself into the future through
positive reinforcing cycles.
Examples where inter-dependent relationships could exist are: responsive parent and
adolescent child; happily married couple; enduring friendships; special interest clubs and
associations; high performing sporting teams; enterprises with strong organisational
alignment; commercial alliances and partnerships; a government and opposition of a
nation under the threat of war from an external enemy.
The diagram below provides a visual representation of an inter-dependent relationship.
Here, the individual parties have aligned their efforts to support and achieve the shared
purpose of the relationship (or organisation). It is important to note that each party
still retains their individual identity, however, they have also identified what they share
in the relationship and have combined their talents and resources to achieve their
central common goals. In so doing, they also fulfil their individual needs and aspirations.
As you read through the descriptions of Dependence Independence Inter-dependence, you

would have identified examples in your own family, work and recreational life where these
relationships exist, probably at all three levels on the continuum, depending on the personalities
involved and circumstance surrounding each relationship.
Note that as these diagrams have progressed through dependence, to independence and to
inter-dependence, the size of the circles representing the individuals (people or sub-groups)
have increased. This symbolises the personal growth in character and capabilities that occurs
in individuals as they progress through this continuum to inter-dependence and a relationship
based on trust.

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2. Trust in Relationships
In its very simplest form, trust can be defined as having a feeling of confident expectation.
We are constantly making decisions based on trust in everything we do in life. We pour water
into a glass with a high level of trust in the law of gravity (at least here on the surface of the
earth) and when we drink that water we trust in its purity. We frequently put our lives at risk
by travelling in aeroplanes, trusting not only in the laws of physics, but also trusting in the
motivation and competence of those who maintain them, fly them and control the airspace
system. We allow banks to look after our money, trusting in their processes and the staff
who operate them. Trust plays a part when we eat at a restaurant, act on medical advice,
attend the dentist, leave our children in childcare, buy a car, build a new house, disclose a
heart-felt concern to friend, etc, etc, - all done with a feeling of confident expectation.
All of these transactions require us to be involved with other people, one way or another. So
trust involves more than simply developing a feeling of positive expectation it also involves
the development of relationships with the people with whom we share our lives. With this in
mind, we can expand our definition of trust to having a feeling of confident expectation in our
relationship with another person. [2]
The actual importance of trust in a relationship depends on the circumstances that surround
that relationship and in this sense four types of trust have been identified [3].:
1.
2.
3.
4.
Spontaneous trust
Contractual trust
Values-based trust
Safety trust
Spontaneous Trust: This is the first and most basic level of trust that develops when we
first meet someone. Spontaneous trust occurs when the people involved choose to
further a relationship with each other based on their own intentions, as well as their
initial perceptions of the other persons motivations, capabilities and character.
As an example, if you are travelling on public transport minding your own business - and
the person sitting next to you begins a conversation, your mind will race through a series
of considerations such as why the person is wishing to engage with you, what does their
appearance and mannerisms tell you about them and what risks are involved in
responding to their initiative. As a result of these instantaneous considerations, you
respond in some way positively, neutrally or negatively - which is an indication of your
level of spontaneous trust of that person.
On the other hand, every successful salesperson knows that what they say and how they
behave in the opening moments of their engagement with a new client, determines if the
relationship will begin with positive spontaneous trust and move on to one where
successful transactions can be negotiated and fulfilled.
In some relationships, even though the people may meet each other many times, positive
levels of spontaneous trust do not occur they just dont seem to hit it off! This can be
extremely inhibiting when the people concerned are expected to work with each other.
Under these circumstances, trust can be built and a productive relationship can occur as
a result of a more managed trust-building process - as follows.
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Contractual Trust: This is a more formalised approach to creating trust in a relationship,

where the parties involved develop a purpose for the relationship, and make/keep simple
agreements in the form of explicit verbal or written commitments that each rely on.
Contractual trust may be the starting point to commence a productive relationship

where spontaneous trust is absent - for example, where the parties were previously in
conflict with each other.
Contractual trust is usually the vehicle that enables dependent or independent parties
to first move to an inter-dependent relationship. An example of this is the process
parents go through when they first start placing trust in their children. They set very
clear boundaries for the child to operate within and they get specific agreements about
certain actions and behaviour Do you agree to be home by 11.00 pm. An example in
an organisational setting is the minute-keeping practices of a committee these are
designed to record the agreements made between the parties and they define who will
do what and by when. This helps to build confidence in each other. As a further
example, we usually make important purchases or enter into commercial transactions
with a formal contract to set out the specific rights and obligations of the parties
involved.
Problems usually arise with contractual trust when issues or dilemmas arise that are not
covered by the pre-agreements between parties or the minutes of the meeting. For
example, agreements are not well operationally defined so that there are different
interpretations of what was intended to happen. At these times the relationship can
quickly drop back to independence or even dependence.
Value-based Trust: A third and more complex type of trust can be described as valuesbased trust (or self-disclosure trust). Here the parties make commitments to each
other based on their knowledge of each others personal motivations, values and
capabilities to fulfil expectations. There is less emphasis on verbal or written
agreements and more reliance on reading each other as people and having a confident
expectation of their future behaviour and actions under a variety of known
circumstances, as well as some circumstances yet to be encountered.
Safety Trust: As values-based trust in a relationship matures, a fourth type of trust
develops safety trust. Here, time has allowed the parties to have their confident
expectations confirmed by the actual behaviour and actions of their colleagues in a
variety of testing circumstances. Each party now has a strong belief that their
colleagues will do everything possible to avoid harming the other physically or
emotionally intentionally or accidentally. When this occurs, their confidence in each
other enables synergies of the highest order, their freedom to explore and create
together is expanded, and their ability to achieve results soars.
Loyalty between parties in a relationship is the product of safety trust. Loyalty can be
likened to a bank account between the parties as their confidence in each other grows,
so too does the depth of their trust. If the relationship is challenged in some way, the
parties can draw on the depth of their trust in each other, just like we can make
withdrawals from a bank account at least while it remains in credit.
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With these four types of trust in mind and using the descriptions provided in the
continuum of human relationships (in the previous section), let us now examine the
varying levels of trust that exists in each type of relationship.
Dependence:
While the followers in a dependent relationship may develop trust in their
leader, the leaders orientation is usually towards control over the followers. A level of
loyalty may develop in the relationship as long as the leaders influence remains
benevolent. However, when the leaders control emerges as dominance over the followers,
their trust will be replaced with detached compliance and eventually reluctance. Under
these circumstances, sustainability in the relationship is based simply on the fact that
each party needs the other to survive. Low levels of contractual trust may develop in the
relationship, often at a simple verbal level, which usually suits the dominant leader.
If the motivation of the followers is driven by fear of the leader, the relationship is
likely to become adversarial and ultimately dysfunctional. Despite this negativity, the
parties often see no alternative but to continue the relationship in its dependent style
and so it becomes a way of life for them people feel trapped with no where to go.
Independence:
Trust plays little or no role in an independent relationship. Here the
parties are intent on doing their own thing. The main reason for listening to the others
viewpoint is to develop an effective counter-strategy. Feigning trust is common in these
relationships and people come to know that the expression Trust me as really meaning
Give me control and Ill do what I want. Because of this, many people have a fear of
putting their trust in others and so their relationships remain stuck at the independence
level.
At best, a level of contractual trust merges in which highly detailed written agreements
are developed to cover the actions of the parties under every imaginable circumstance,
including the penalties to be invoked if the relationship breaks down. Great emphasis is
placed on minutes of meetings and written communiqus as evidence of commitments
made and what was said by whom.
Sometimes, the self-centredness of people in independent relationships breeds high
levels of distrust, leading to tensions that cause an explosion of passions and a complete
break-down in the relationship, with people choosing to opt out and go their separate
ways.
Inter-dependence:
In contrast, the defining feature of an inter-dependent
relationship is the presence of strong mutual trust between the parties. The
characteristics that sustain this relationship can be summarised under the headings of:
Respect for others appreciating diversity and valuing other people
Shared purpose the alignment of individual and shared intentions and aspirations
Confidence in each other the willingness to rely on the abilities/resources of

others
Open and honest communication the use of conversation and dialogue to achieve
inter-dependent relationships with others
While one or even two of these elements may exist in dependent or independent
relationships, it is the presence of all four in combination with each other that allows
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inter-dependent relationships to develop and grow. Together, these elements enable
the skills, talents and resources of each individual to be revealed and combined to
release the untold potential of human endeavour that is possible through highly
effective relationships.
The nature of an inter-dependent relationship leads the parties from contractual trust,
through values-based trust and into safety trust. The four elements of trust enable
the people involved to read each other beyond spoken words and written agreements
and into the character and integrity of the other person. That is, each party comes to
appreciate the others personal motivations, their values, their knowledge and their
capabilities. Each person also forms an opinion as to how the other(s) will react in a
variety of situations.
Disagreements and conflict are inevitable in any relationship, and it is at these times
that the character and integrity of people in an inter-dependent relationship are on
trial. It is then that their commitment to a shared purpose is fully revealed, peoples
true values are exposed and their abilities to work through difficult issues are fully
tested. Paradoxically, it is often through resolved conflict that trust grows.
On the other hand, it follows that if the parties do not form this appreciation of each
others character or their ability to resolve conflict, then value-based trust and safety
trust will not flourish and the fruits of inter-dependence will not be fully achieved.
Words and acts of encouragement between parties play an important role in maintaining
the bonds in a relationship at all times in both the dark valleys of despair as well as at
the sunny peaks of their achievement together. The members of an inter-dependent
group are more likely to share a laugh together or genuinely console and encourage each
other in times of conflict and trouble. Most people would have enjoyed these
characteristics at some stage in their life as a member of a truly effective team.
In contrast, encouragement is lowly valued in dependent and independent cultures,
meaning that negative sentiments are often allowed to grow and fester, resulting in
negative reinforcing cycles and damaging conflict, which ultimately undermine
performance.

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3. Trust and Performance

Stephen R.M. Covey in his book The Speed of Trust puts his finger on the business case for
trust [4]. He puts forward the proposition that trust always affects two outcomes speed and
cost. If trust in a relationship is low, the speed of getting things done will be slow and the
cost will be high. Conversely, when trust is high, the speed of getting things done will be fast
and the cost will be low. There are many case studies and research studies to support this
proposition, all confirming that organisations with high-trust cultures significantly outperform their counterparts with low-trust cultures in all major performance indictors,
Therefore, Coveys proposition addresses the very essence of an organisations
competitiveness, viability and long-term sustainability.
If you need an example of this proposition, just think of the last time you travelled through
an airport. Because of our fear that a terrorist may board a plane somewhere, all travellers
everywhere are considered to be suspects and no-one is to be trusted. As a consequence all
travellers are required to undergo the intensive security checks. The time consumed in this
process both personal and cumulative - is enormous and the cost to the system is huge, all
because of the distrust of the travelling public. In this case, we all accept the need for these
security measures, because the consequence of one terrorist event could be horrendous. Its
the only way to effectively manage the risk and we are willing to bear the high cost and
inconvenience.
Translate this example to any business environment. We often see a set of bureaucratic rules
and regulations being imposed on a large group of workers, simply because of managements
fear that one individual at some time may do something wrong? Once again, the issue is risk
management. Are the imposed rules and regulations commensurate with the problem to be
solved or is it a case of a baseball bat being used to swat a fly?
An example of this was the kerosene bath incident that occurred in the aged care industry in
Australia in 2000. In this case, the reaction to an isolated incident was the imposition of
rules and regulations on the entire aged care system, which was regarded as insulting to the
vast majority of age care practitioners who are competent and responsible.
In systems thinking terms, this is also an example of over-reaction, where one data-point
(due to a special cause) is assumed to be indicative of the performance of the whole system,
and across-the-board changes are made with the result that overall performance is negatively
affected.
This approach is also called the lowest common denominator syndrome, where systems are
designed on the assumption that the responsible masses will behave in the same way as an
irresponsible few. The consequences are twofold. Firstly, there is an escalation of costs due
to the extraordinary controls and delays that are built into processes. Second - and probably
more harmful - is the damage that is done to the relationships between people because trust
has been de-valued or even discarded. Because of this, people are often forced into
dependent relationships where the aim is to control their behaviour to improve performance,
however, due to the constraining and de-motivating environment that evolves, the overall
performance actually declines!
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In the context of this discussion, it is important to distinguish the difference between a

lowest common denominator approach to management and a quality system approach. The
latter aims to instil best practice and consistency into the operations of an organisation,
while at the same time supporting trust in the relationships between the people involved.
However, this approach (as with any other) will inevitably become plagued by rising cost, time
delays and apathy, if controls are imposed in ways that undermine the principles of
interdependence and trust.
Trust works as a high performance strategy in many ways and, in the context of this
discussion, there is one important feature that needs to be emphasised at this point. When
there is a healthy level of trust in a relationship, the people involved are trustworthy. That is,
they have a clear understanding of the desired outcomes, they are motivated to do the right
thing for themselves and others, they have the capabilities to achieve the result and they are
responsive to range of needs and circumstances. Most importantly, trustworthy people accept
personal responsibility for their own actions and behaviour, which means they also willingly
accept accountability for the results achieved.
If you think about this, you will realise that accountability is the same outcome that a highcompliance low-trust approach is trying to achieve, however, it attempts to do this through
imposed rules and regulations rather than motivating and enabling people to accept
responsibility. Holding people accountable for outcomes without their acceptance of
responsibility is not sustainable over time.
To quantify the effectiveness of this approach, Covey has collected research data from a
wide variety of industry sources which verify that high-trust organisations tend to outperform their low-trust counterparts by 2 to 3 times when measured against key indicators.
This data provides a compelling argument that trust plays a vital role in the success of leading
organisations.
As to whether trust is the best approach for any given relationship situation, Covey
addresses this under the heading of Smart Trust. In this concept, he positions Smart Trust
(good judgement) on a spectrum between the outer extremes of Distrust (suspicion) and
Blind Trust (gullibility).
Distrust
Smart Trust
Blind Trust
Suspicion
Good Judgement
Gullibility
- low inter-dependence
- high analysis
- high inter-dependence
- high analysis
- high inter-dependence
- low analysis
A person who uses Smart Trust to evaluate the viability of a relationship is able to:
(a) identify the potential benefits of an inter-dependent relationship, and
(b) accurately analyse the inherent risks and their likely consequences.
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When combined, these two factors provide a clear assessment of when trust in a relationship
is sustainable, or conversely, when it is best to avoid the commitment to inter-dependency and
remain independent or even not to engage at all in the relationship.
In contrast, people who work in the Blind Trust mode tend to readily see the benefits of
inter-dependence, but fail to recognise the risks and pitfalls associated with a prospective
relationship. On the other hand, people who work in the Distrust mode, tend to readily
analyse the risks and pitfalls, but fail to recognise the benefits of inter-dependence that are
available from a prospective relationship. Either way, trustful relationships are not developed
and problems are created or opportunities are lost.
The issues raised here explore the very essence of trust in relationships. They engage
concepts such as trustworthiness, integrity and motivation each of which will be explored in
the following sections.

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4. The Elements of Trust

To many people, trust is an elusive emotion that develops in some relationships and not others.
When asked, most people have clear feelings about the level of trust in the important
relationships that they share with others - they clearly sense when trust is present in a
relationship and just as clearly when it is not. However, what is not always clear is the reason
why trust is present or missing in their relationships. Is it due to some mysterious chemistry
between the parties involved similar to the deeply intuitive and unconscious responses of
people when they fall in love or does each relationship bring with it identifiable elements
that combine to enable trust to grow and flourish?
The following pages work on the latter of these propositions, that is, trust in our relationships
result from identifiable elements over which we have choice, to varying degrees. The
reasoning follows that it is through a knowledge of these elements that we are able to create
and manage the circumstances that are most conducive to highly effective trustful
relationships.
As previously discussed, when trust exists in an inter-dependent relationship, each of the
following four characteristics will be present:
Respect for others appreciating diversity and valuing other people

Shared purpose the alignment of individual and shared intentions and aspirations
Confidence in each other the willingness to rely on the abilities/resources of
others
Open and honest communication the use of conversation and dialogue to achieve
inter-dependent relationships with others
Each of these elements play a role at different times of the relationship.
Respect for others sets the environment that allows the parties to inter-act with each
other in a dignified way. Even if the individual people do not have personal friendships
with each other, a respect for each others values and beliefs enables conversations to
lead to sharing of views and the discovery of opportunities. The toxins that prevent
respect for others include: male/female prejudice and intolerance (both ways); status
and hierarchal separation in organisations (snobbery and rivalry); racial, ethnic and
religious prejudice and intolerance.
Shared purpose becomes the will of the relationship - it is their reason for being. The
shared purpose may be a simple as the desire for companionship between lonely people
or as complex as a commercial venture between business people. Regardless, their
shared purpose emerges as the individual motivations of people meld into a central
energising force for the relationship. Just as important, whenever a relationship is
confronted by obstacles, diversions or conflict that discourage or distract people, a refocussing on their original purpose for being together can re-energise the relationship
to move forward together again. If the shared purpose is strong enough, the
relationship will respond appropriately, survive and prosper. If the shared purpose is
weak, the relationship will probably flounder and fail.
Confidence in each other provides the way that enables the relationship to achieve its
shared purpose. Confidence in the relationship grows out of the knowledge that each

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person knows their role and what is expected of them, each understands what it takes
to achieve the desired result and each accepts personal responsibility for their own
actions and behaviour. It is the magic that happens when people combine their individual
gifts, talents, knowledge and skills into a seamless whole that fulfils their purpose. It is
not simply the sum of the parts that each individual contributes, but it is more about
the huge multiplying effect that is available when people support, encourage and
synergise with each other to produce truly incredible results.
Open and honest communication becomes the glue that holds the relationship together.
Communication enables people to develop mutual respect, shared purpose and confidence
in each other with passion and enthusiasm. Without open and honest communication,
the individual elements can become dreary, misaligned or fragmented. For example, the
real purpose of the relationship can be forgotten or well-intended actions can be
misinterpreted or honest mistakes can undermine confidence. An inter-dependent
relationship will always be under pressure from challenges that could cause it to revert
to independence. Open and honest communication can act to avoid this or, if necessary,
can draw its members together if fragmentation starts to occur.
The following diagram shows a schematic view of the four elements of trust previously
described. The three outer components of: respect for others, shared purpose and
confidence in each others abilities define the imperatives or principles that are foundational
to trust in a relationship. Trust cannot be built and sustained unless all three of these
elements are present in the values and attitudes (belief systems) of the parties involved.
The fourth element - open and honest communication - is shown at the centre of the diagram,
acting as the lubricant that keeps the other elements working together, thus reinforcing the
assertion that communication is central to the growth and maintenance of trust in
relationships.
Respect for Others
We understand & appreciate our different:

backgrounds & cultural influences
perceptions, feelings & sensitivities
values & belief systems
Open & Honest Communication
we know how to have productive conversations

we keep each other informed accurately & timely
we share our uncertainties as they arise
we review & reflect on our progress & performance
we celebrate our achievements and/or plan for improvement
Shared Purpose
We identify & agree to the existence of:

individual needs & aspirations
win-win outcomes, ie. benefits to all
common goals
Confidence
In Each Others Abilities
We define & accept:

how we will achieve agreed goals
personal responsibility for our roles & actions
utilisation of each others knowledge & skills
resources & support required of each other

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Communication plays a role in each type of relationship - dependence, independence and interdependence, however, the style of communications will differ dramatically between each. The
term open and honest communication is used to define a style of communication that uniquely
supports inter-dependent relationships. It is the process through with understanding and
meaning are exchanged between people. It allows knowledge and learning to be shared. It
enables debilitating feelings to be surfaced and concerns to be expressed. It enables
assumptions to be explored, opinions tested and the truth to be revealed. It encourages ideas
to be shared, creativity to flow and fun to be enjoyed. Without open and honest
communication, trust cannot survive.
Often, when people in an organisation complain about a lack of communication, it is really a
symptom of a lack of trust in their relationships with others. This usually means that their
current communication processes are not addressing one or more of the other three elements
of trust. In the absence of this understanding, some managers try to solve the lack of
communication problem by increasing the volume of communication (e.g. more newsletters,
more meetings, greater access to emails, etc). In doing so, they fail to recognise that the real
problem is one of quality (or content) of communication, not volume of communication.
In summary, trust is a powerful human motivator and most of humankinds greatest heights
have been achieved through relationships built on trust. When we are able to share,
appreciate and combine our aspirations and resources with others, our energy and creativity
are at their greatest. Outstanding teams, in all walks of life, always acknowledge the high
levels of trust they have achieved in their relationship. Individual heroes often give
testimony to their personal achievements by acknowledging the unselfish support and the vital
resources that they received from their trusted colleagues.
Life is meant to be shared
[5].

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5. Trustworthiness
With trust comes risk they are two sides of the same coin. Nothing really happens in a
relationship unless someone is willing to take a risk to initiate a new idea or an action - and
just as importantly - another person takes a risk by responding accordingly. The risks in a
relationship may threaten our physical and/or emotional well-being and they may be real or
imaginary. When the risks in a relationship are low, trust may exist but it sits well in the
back-ground. Conversely, when the risks are high, trust becomes crucial to the success of the
relationship. Think of the differences in trust between a group of people going on a guided
bus tour to the Barossa Valley in contrast to a group of people climbing Mount Everest.
Clearly, there are differences in the level of risk associated with the physical and emotional
environment they will encounter, as well as the level of inter-dependency needed in the
relationship between the various people involved.
The level of trust that develops in a relationship is an aggregation of the personal
trustworthiness that is shared between each of the people involved. This means that the
process of building trust in a relationship begins with each individual first becoming
trustworthy - that is, being seen by others as worthy of their trust.
Now here is the difficult part. A person cannot demand trust from another trust must be
earned. This occurs in a relationship as each of the elements of trust emerge through the
spoken word, the body language, the actions and the behaviours displayed, and the outcome of
their inter-actions with each other up close and/or from a distance.
Establishing personal trustworthiness is particularly challenging in larger organisations where
one-on-one relationships between people in different departments or at different levels are
often limited. Nevertheless, each person will form a perception of another persons
trustworthiness based on their experiences and observations even from afar. This point has
great significance for CEOs (and other leaders) whose trustworthiness is constantly under
the scrutiny of the organisations members at all levels. Subtly, good leaders are able to earn
the trust of others, even when their interactions are minimal and remote. What they say,
how they say it and how they follow-through on the commitments they make, are the small but
vital indicators that people accumulate as they form their perceptions of others. This is also
true for all family relationships - between spouses, between parents and their children and
between siblings.
Leading emotional intelligence author Daniel Goleman [6] identifies trustworthiness as one of
the key competencies that invariably exists in highly effective people. However, the feeling
of trust that exists between people is not simply an emotional response over which we have
little or no control. The process of building trust with others by becoming trustworthy can be
learned and developed in each person if so desired. This can be done by adopting the belief
systems, mental models, attitudes and skills that are necessary to build inter-dependence into
relationships and applying the elements of trust in ones personal behaviour and actions. That
is: respect for others; shared purpose; confidence in each other and open and honest
communication.
These elements and their relationship to the attributes of trustworthiness will be further
explored at the conclusion of this paper.
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6. Self-Awareness
Before embarking on a further exploration of the attributes of trustworthiness, it may be of
value think to about the context in which you will process this information.
For each of us, our current state of being is the product of what has happened in our life to
date, as well as what we desire to happen in the future our past-present-future continuum.
Issues and events that have occurred in the past are deeply imbedded in our brains, often as
muted memories that emerge as feelings and emotional responses positive or negative - as
we encounter new situations. Similarly, we often respond to new situations with a compelling
desire for change or to fulfil some heartfelt aspiration. Ultimately, we make decisions by
blending these emotional responses with our more conscious logical thought processes.
The make-up of some people means that they rely heavily on their emotional responses to
control their life, while others subvert their feelings to allow logical thought to dominate.
People operating at either extremity of this spectrum usually encounter difficulties at some
stage in their relationships with others. Often people who suffer these difficulties are
unaware of the cause, which adds further to their frustration as relationships continue to
deteriorate.
As you read the words in the following pages, you will digest them with your own blend of
emotional and logical responses. Your ability to accept and use the information in the most
constructive manner will depend on your personal self-awareness as to why and how you
respond to each point raised.
Self-awareness:
Self-awareness is your conscious understanding and appreciation of the
influences in your life (past, present and future) that determine your responses to
situations and events that you encounter. Your level of self-awareness includes your
feelings of:
self-respect (or self-esteem)
self-confidence
self-belief.
Self-talk is the internal process we can use to use to consciously connect these
factors to make sense of our own personal past-present-future continuum.
The relationships of these factors can be represented as follows:

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Self-Awareness
Past
Self-Respect
Valuing your lifes journey - what it

has taught you and how it has
prepared you for the future
Self-Talk
The conversations you

have with yourself to
raise your self-awareness
Self-Belief
Self-Confidence
Having clarity in where you

are going in your life, why
its important to you and how
you will get there
Appreciating and using your

knowledge, skills, talents
and capabilities to maximise
your full potential
Future
Present
Your self-respect stems from your ability to value your lifes journey by
appreciating the nature and nurture influences in your make-up. Nature refers to the
natural characteristics and preferences you were born with that shape your personality,
while nurture refers to the environments, the events and the role-models you have
encountered that have influenced your life-long learning.
Self-Respect:
Appreciation is more than understanding. Appreciation occurs when you are able to
reflect on any of these factors and extract positive learnings regardless of whether
you enjoyed the experience at the time or not. Trials and adversity in a person life can
often give birth to great personal qualities and characteristics. Think of Helen Keller or
Nelson Mandela, to name just two. Your ability to learn and appreciate your own lifes
journey is the key to positive feelings of self-respect.
The basic knowledge that enables you to understand and appreciate why you are, what
you are can provide an important step towards building your self-respect, e.g.
What are the dominant characteristics of your personality style?

Which of these characteristics are naturally inherent in you and which have been
learned?
How do these influence the way you perceive situations and make decisions?
How does this influence the way you act and behave in any given situation?
What things do you like to do and what things do you tend to avoid?

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How have these characteristics affected the way you relate to others - with
either the same or different personality styles to yours?
Many people have accessed popular diagnostic models (such as Myers Briggs, DiSC,
Personality Plus, etc) to raise their knowledge of personalty styles and an awareness of
their own preferences in this regard. If you havent yet encountered a model of this
type, there may be value in exploring this body of knowledge with a view to developing
personal insights into why you think and act the way you do.
Additionally and vital for building your trustworthiness - by learning about different
personality styles, you are more able to expand your perspectives on the opportunities
and challenges you meet by being able to view the world as others do.
Self-Confidence: Your self-confidence develops when you are able to accurately identify
and appreciate your current values, your capabilities, your unique talents and the array
of resources available to you from the networks that surround you. With this
awareness, you are able to approach new situations those that excite you, those that
daunt you and those that challenge you with more confidence in yourself to deal with
the issues you may encounter known and unknown.
As your self-respect improves, the knowledge you accumulate becomes a vital
contributor to your growing self-confidence. Simple self-assessment techniques are
often useful to enable you to build an accurate appreciation of your personal strengths,
limitations and opportunities for improvement in this area.
Self-Belief:
As your self-respect and self-confidence grow, you are able to develop
your self-belief. Your self-belief strengthens when you have clarity about where you
going in your life and why this is important to you. You have thought through your
priorities and what is most important to you in life now and into the future. Your focus
may be on things you want to do for yourself, with your family, with friends and
workmates, for your organisation and the broader community. It may also include the
way you want to develop as a person and the legacy you would like to leave. Self-belief is
further reinforced as you develop a clear understanding of how you will achieve these
things. For some people, the simple act of writing down their personal aspirations, goals
and plans often helps to lift them from the sub-conscious world to a higher level of
understanding that reinforces their level of self-belief.
As you build your self-awareness through these approaches, be prepared to delve into your
memory to identify your life stories that capture the events and emotions that have shaped
your views on life and the profound learnings you have experienced. Allow a sense of
aspiration to set your personal goals. Recognise your self-imposed boundaries and give
yourself permission to dream beyond them.
Take time to understand if and how your personal values and attitudes are aligned with the
tried and true approaches of the role-models you admire. Come to appreciate the principles
that they live by and identify the habits of their success. Make a conscious choice of the
principles, values and attitudes you will allow to influence your thinking, the way you
communicate, the relationships you desire to build with others, the behaviour you will display
and the actions you will take.
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Self-Talk: A technique for improving you self-awareness is to use of self-talk. Self-talk is

the conversations you have with yourself to reinforce your self-respect, self-confidence
and self-belief so that you provide yourself with positive feedback that confirms your
strengths and focuses you on your personal growth and improvement. When you use
positive self-talk you are activating the conscious level of your brain, but this also has a
positive effect at the emotional level of your brain. This is a key attribute of most highperforming individuals in all walks of life. The opposite is also true, that is, negative
self-talk leads to negative emotions and poor performance.
Ultimately, your self-respect, your self-confidence and your self-belief and your self-talk will
define your integrity as a person which is the foundations of your trustworthiness as seen
by yourself and others.
When you are conscious of building and maintaining your integrity as a person, your have taken
the first steps towards trusting yourself and after all, if you cant trust yourself how can
you expect others to do so.
It may be useful at this point to compare the two diagrams used to explain the elements of
Self-awareness (page 18) and Trust (page 14). Do you notice a certain symmetry between the
two? What conclusion can you draw?
In essence, the diagrams support the notion that trust in your relationships with others
grows out of trust in yourself, which is a product of your trustworthiness and personal
integrity.

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7. Integrity
Personal Integrity: Your personal trustworthiness, as seen by others, is a product of your
personal integrity. When you have developed integrity as a person it means that your
personal values are totally aligned with sound principles and it is these principles that
generate your values, attitude, thoughts, words, behaviour and actions in every part of your
life. Put simply:
- you understand and accept the principles that govern sustainability of the systems
in which you live and work
- you have aligned your personal aspirations and values to these principles
- you are able to choose the correct attitude to respond to situations and dilemmas
that arise
- what you say is a true reflection of your values
- what you do is consistent with what you say which is congruent with the guiding
principles
This flow from thinking to actions is represented by the following diagram.
My Values
Principles
My Attitude
What I Say
Your
Integrity
What I Do
Ultimately, family members, friends and work colleagues will form opinions about your
character based on their perceptions of your integrity - and the mainspring of your integrity
is your understanding and knowledge of sound principles. It is important to define some of
the terms used in this discussion.
Principles are foundational truths that underpin a body of knowledge about a sphere of
activity. Principles are accepted by a group of people as the wisdom distilled through
experience that acts to holistically guide their thinking and behaviour to ensure longterm sustainability in life.
Values are more personalised in that they express how each of us sees the way the world
works from the nature nurture factors that have influenced each of our lives.
Because of this, everyones values will be different - and they may or may not be aligned
to principles.
It is common to attempt to develop shared values in a relationship involving a number of
people. However, this will usually result in clear agreement on some issues, surrounded

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by compromise and even omissions on other important issues where the group has either
a blind spot or has failed to reach agreement. For this reason, shared values are often
just a rough approximation of principles.
Attitude is an opinion or way of thinking that a person adopts in response to any given
situation and/or environment that they find themselves in. Have you noticed how two
people in the same situation will respond quite differently because they adopt different
attitudes? More significantly, have noticed how your own attitude changes depending
on the situation/environment you are operating in. Are you the same person at home as
you are at work or at the sports club? If not, what is different? Have you changed
your values probably not? Or is it that you are prepared (or forced) to compromise
your values in one environment but not the other.
While principles are timeless and enduring, our values can gradually change over time and our
attitudes are situational (sometimes from moment to moment).
Different people will find sound principles for living an effective and fulfilling life from
various sources - through a multitude of leaders, teachers and gurus reinforced by their own
life-long learning. Suffice to say, as long as the principles you personally adhere to are based
on the concept of inter-dependence, then trust, trustworthiness and integrity will all play a
vital role in your relationships at home, at work, in recreation and in the community.
What is the level of your personal trustworthiness? This is a difficult question to answer
accurately unless you receive the direct input and feedback from your friends and colleagues,
which is never an easy thing to do just off the cuff. However, as a simple starting point, the
self-assessment instrument (Trustworthiness Profile A Personal View), which you will find
as an attachment to this paper, is designed to enable you to have a conversation with yourself
on the factors that determine your personal trustworthiness and integrity.
It may bring to mind issues about your relationships with others that you have long ignored or
never actually thought about. If you can identify these issues in yourself, then it is highly
likely that others will have observed them as well. Of course, there will be some issues to
which you are blind, but these will have to wait until the appropriate moment. Undoubtedly, if
you work on your own self-assessed opportunities for improvement, you will be more open and
receptive to receiving feedback from others when the opportunity arises.
Habits: It can be said that a persons character is the sum total of their personal habits. It
is almost certain that the issues you identify for improvement in your integrity will be locked
up in the day-to-day habits by which you live and relate to others.
A habit is an intuitive or learned response that a person makes unconsciously or is unable to
exercise a choice. While it is difficult to be precise, psychologist tell us that over 90% of
the actions we take in our daily routine come from our habits and this includes the way we
engage and relate to other people. Therefore, most personal improvement plans will involve
the breaking a bad habit and replacing it with a good habit.
If we use the concept of integrity, as described above, a bad habit is an automatic response
that violates a principle, whereas a good habit is an automatic response that is aligned with
principles. So the process of personal improvement must be capable of including principles
into our thinking process. The following STAR technique is designed to do this. It can be
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used at any time you have an important decision to make or action/behaviour to display
which is almost constant when it comes to our relationships with others.
How To Become A STAR Performer
STOP
THINK
- suspend your current train of thought about the situation/dilemma
ACT
- respond to the situation by displaying actions and behaviours that are

consistent with the principles
REFLECT
- remind yourself of the principles that will guide you thinking toward
an effective & sustainable outcome - choose an appropriate attitude
- review and reflect on the outcome - take your learning from the
experience
The most important part of this technique is that split second decision to stop and choose an
attitude that is based on the principles by which you wish to live your life. It is the constant
use of this technique that will generate the new habits you need to improve you personal
trustworthiness and integrity. Needless to say, if you do not have strong principles to guide
your choices, then you will wander aimlessly through these critical moments most often with
disappointing results.
Remember, Stephen R. Coveys best-selling book is titled The Seven Habits of Highly
Effective People. He put the issue of good habits right up front as the dominant factor in
creating an effective and fulfilling life for each person.
Organisational Integrity: The concept of integrity also applies to organisations.

Organisational integrity is achieved when:
-
people in the organisation understand and accept the principles that govern sustainability
of the system in which the organisation operates
they align their shared purpose and shared values to these principles
the organisations systems, structures and processes are designed to be congruent with
and supportive of the purpose and principles
their shared purpose and principles guide the thinking, planning and decision-making of all
people. Each person is enabled to choose the correct attitude for the situations and
dilemmas that arises
their communications accurately reflect their thinking, planning and decision-making
the actions and behaviour of people are consistent with their communications
the organisation does what is says it will which is congruent with the guiding principles
In simple terms, the organisations integrity, as seen by its many stakeholders, is the
aggregate of the personal integrity displayed by all its employees (staff, managers, directors,
etc) under a variety of circumstances, and particularly those of adversity and challenge.
High personal integrity (trustworthiness) of an organisations people leads to high

organisational integrity, which leads to organisational excellence and sustainability.
Conversely, low personal integrity (trustworthiness) of an organisations people leads to low
organisational integrity, which leads to organisational vulnerability, if not failure. Ultimately,
organisational integrity is an issue of organisational culture and leadership.
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8. Motivation
The factors described above goes to the very essence of human motivation and it is
worthwhile to explore this in the context of trust.
In psychological terms, there are two types of human motivation extrinsic and intrinsic [7}.
Extrinsic Motivation:
This form of motivation is created when a person is stimulated by

another person to take certain actions to achieve consequential rewards and/or avoid
punishment without really questioning why, except to receive the reward or to avoid
the punishment. As a consequence, people who are highly extrinsically motivated
sometimes develop a single-minded focus on simply achieving a result (achieve the
award or avoid the punishment), often at the expense of the higher order purpose.
As an example, this sometimes occurs in organisations where compliance to externally
imposed regulations is a requirement to continue in business. In this situation, some
managers will build a facade of evidence purely in an effort to satisfy an external
auditor, knowing quite well that this is not an accurate representation of the real
performance of their organisation. Their aim is simply to pass the audit and avoid the
penalties - not to develop sustainable performance that ensures the long-term future
of the organisation to the benefit of its clients, its employees and other stakeholders.
Objectives only reinforced by extrinsic motivation can be very focussing for the
people involved and can often deliver short-term results, but these results cannot be
continued over time without increasing levels of rewards and/or punishment. Clearly,
this is not a sound strategy for sustainable long-term performance.
Intrinsic Motivation:
This form of motivation focuses on enabling people to recognise
and value why something is important for both themselves and the broader system in
which they are operating. In this sense, the reasoning as to why something should be
done occurs at the values level of their thinking. As a consequence, when people are
intrinsically motivated they do things with purpose, passion and enthusiasm to achieve
benefits for themselves and others. Intrinsic motivation is a powerful mainspring for
the creativity that resides in all people.
There are numerous examples of intrinsically motivated people in the ranks of the
volunteers that support community service organisations. Their payment is never
measured in monetary terms, but in the self-satisfaction they receive from seeing
benefits flow to people in need and the positive effects that this has on the
community in general.
When driven by intrinsic motivation, people are more likely to ensure that their
personal values are observed and preserved in the conduct of their work. As a
consequence, the results of their efforts sometimes appear more gradually, however,
these results are more likely to be more robust and continue to improve to outstanding
levels over time - to the benefit of all concerned.
It should be noted that if a person is extremely individualistic in their outlook on life
(i.e. non inter-dependent), their values could be so self-centred that their concern for
others is negligible. Under these circumstances, their intrinsic motivation will cause

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them to act in selfish and uncaring ways to achieve their personal desires regardless
of the cost to others. When a person with this intrinsic motivation is further
stimulated by a strong extrinsic motivation that rewards this behaviour, the results
are usually disastrous. There have been a number of high-profile corporate collapses
that provide examples of this combination.
All human endeavour is influenced by a combination of extrinsic and intrinsic motivation, to
varying degrees. Many of the passions we pursue in our own time (such as sports, hobbies and
recreations) are driven by a desire to satisfy our intrinsic motivations. On the other hand,
most of our work is subject to an extrinsically motivating reward structure that is imposed on
us by others. We all know that our work is most sustainable when it is both personally
satisfying and financially rewarding, that is, there is a harmony between our own intrinsic
motivation for the work itself and the extrinsic motivations that are placed on it by others.
Often, extrinsic motivation is attached to performance indicators that narrowly define the
outcomes of a particular activity. For example, it is a common practice in call centres to
provide incentives (and penalties) for Customer Service Operators to achieve a nominated
volume of calls over a day. While this might have the aim of improving the efficiency of the
service provided, it often causes operators to act in ways that lower the effectiveness of the
service provided in the eyes of the customers. As a consequence, the efficiency targets are
met but the organisation fails in its purpose to meet customer needs.
However, there is another important consequence to this outcome that has even deeper
influences on organisational performance. The Customer Service Operators are fully aware
that their actions result in poor service to customers, which is contrary to the intrinsic values
they hold for the work that they do. Yet the importance of this aspect of their work is
denied, at least in the performance criteria imposed on them by well-meaning managers. The
result is that the Customer Service Operators loose enthusiasm for their work, their innate
passion for doing the job well is stifled and their creativity remains dormant. And so, overall
performance deteriorates. The usual response to this by the manager is misplaced
condemnation of the abilities of some staff and an increased focus on penalties. The most
serious casualty in this cycle of events is the trustworthiness of the manager in the eyes of
the staff. The resultant lack of trust that infects their relationship will spread to all
transactions in their work, including morale and staff turn-over.
In summary, an appreciation of the power of intrinsic motivation is essential for anyone
wishing to improve their trustworthiness as a basis for building trust in their relationship
with others.

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9.
Leadership
Obviously, trust plays an important role in the way each leader chooses to relate to the people
in his/her team. As we saw earlier, leader/follower relationships can be described as:
Dependent
Independent
Inter-dependent
Each of these relationships sets up an initiation-response cycle between the leader and the
team members, which determines the nature of their interactions as they undertake their
work together. The following four Leadership Styles (attributed to Myron Tribus) summarise
the typical initiation-response cycles that are easily recognised in organisations.
Commander
Do To
L
E
A
D
E
R
T
E
A
M
M
E
M
B
E
R
S
Hero
Coach
Enabler
Do For
Do With
Do Through
I have my needs
I have my needs
Lets share a vision
Lets share a vision
I know whats best
Just ask me how
Lets work together
You are trusted
Just do as I say
I do it best
Ill show you how
What do you need?
Low Trust
My thoughts & ideas

arent valued
Ill wait to be told
How can I get out of
this
High Trust
I dont need to think

The boss will know
Ill leave it for the
boss to do
My thoughts & ideas

are valued
I can learn to do this
How can I
contribute?
I am trusted
I can accept
responsibility &
accountability
How can we do it
better?
The Hero style is a very commonly occurring syndrome in organisations. It often occurs when
a person performs well in a technical role and is then promoted to lead the team.
Unfortunately, in their desire to perform well in their new role, the new leader tries to makes
an even greater contribution to the technical effort, which creates a relationship of
dependence with the other team members. In so doing, the new leader fails to make the vital
shift from an effective team member to an effective team leader.
Consequently, the new leader tends to micro-manage every situation, mutual trust in
relationships is stifled and there is little growth in the capabilities of the team members. A
vicious cycle often develops where time pressures, re-work, blame and high workload lead to
personal stress and burn-out of Hero style leaders.
It is virtually impossible to break this vicious cycle without addressing trust. It is through
the growth of trust that the leader can move to the Coach style, which begins to build a
relationship of inter-dependence, in which the team maximises its effectiveness - as
individuals and collectively. The ultimate step in this continuum is the Enabler style, in which
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mutual trust and support for each other become central drivers in relationships to enable
continuous improvement and personal growth, which leads to excellence in performance.
Clearly, the relationship described at the Enabler style is a pre-requisite to Level 5
Leadership as described by Jim Collins, author of Good to Great [8] and Servant Leadership
as described by Ken Blanchard, author of the One Minute Manager series of books. These
authors describe an environment where people are inspired and enabled to achieve as a result
of the leaders humility, integrity, servant-hood and vision for the common good of many.
It is true that there will be some organisational situations where, for pragmatic short-term
reasons, the Commander/Hero style is needed to survive, for example, an emergency or crisis
situation where expertise is scarce and there is no time for extensive consultation. However,
if these styles are adopted as the long-term approach to leadership, the development of trust
in relationships will be denied, personal growth cannot occur and the teams performance will
inevitably suffer.
10. Change
The concept of trust in teams has broad and deep implications for the new world we are
entering. With the accelerating avalanche of new technologies and new markets, there is now
rapid turnover of products, services and programs, as well as enterprises, organisations and
people once bright stars are soon replaced by totally new galaxies. Behind each new product,
program or enterprise there are complex sets of human relationships, through which the
personal aspirations, needs and concerns of people are brought to life. The strength of these
relationships is a major factor in the viability and success of each new activity.
However, the highly transient nature of each new innovation means that there is often
precious little time to enable inter-dependent relationships to develop. Groups form, disband
and reform at a rapid rate. Inter-dependence and trust have little chance of developing
unless these are characteristics that are valued and consciously pursued by the individuals
involved. Under these circumstances, the ability to develop trust in relationships becomes a
critical competency for all people, particularly leaders. Put simply, without trust a group
remains at the dependent or independent level, whereas with trust they can achieve interdependence in their relationship, with the potential to become a fully functioning and highly
effective team.
The building blocks of trust in a relationship lie in the perceived trustworthiness of each
person involved.
It is therefore trustworthiness that ultimately determines the
effectiveness of each individual, each team and each organisation.

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11. Building Trust

The process of building trust in a relationship does not follow a simple linear formula. It
depends primarily on the trustworthiness of the people involved. Even relationships at the
independent or dependent levels will have some pre-existing presence of one or more of the
elements of trust. The strongest of these elements can become the foundation point(s) upon
which the weaker elements can grow and thus enable inter-dependence to flourish. Because
each relationship will have a different history and different personalities involved, the path to
trust and inter-dependence will vary, however, ultimately each element must be included in
combination with the others to complete the journey.
Many people have a desperate desire to build trust in their relationship with others, but this
is something you cannot simply impose on others. It would be absolutely useless to declare to
your group, OK were going to start operating with a little more trust around here. Some
would say yes, but others would shrink back (even if they didnt voice their hesitation or
concerns). We have a paradox - it takes trusts to build trust.
Trust develops in a relationship when each of the parties become trustworthy and
trustworthiness cant be demanded, it must be earned.
So if your family or your work group see benefits in moving to an inter-dependent relationship,
begin by each person in the relationship agreeing to work on their personal trustworthiness.
As this occurs over time, the steps to building trust in the relationship will follow as a natural
consequence everything the group needs to know and do will be covered as inter-dependence
grows.
12. Attributes of Trustworthiness

A full listing of the personal attributes associated with trustworthiness is shown in the
following attachment under the headings of:
1.
2.
3.
4.
Respect for others

Shared purpose
Confidence in each other
Open and honest communication
A series of statements are presented to expand on each of these headings. Each of these
statements commences with the word I to reinforce that your trustworthiness grows from
the personal values, thoughts, behaviour and actions that you display to others.
These statements have been presented in a simple self-assessment format to enable you to
form a self-perception of your current level of trustworthiness. Use it to reveal your strengths
and identify opportunities for improvement. Make some commitments to yourself to improve in
important areas. Share your findings, thoughts and plans with a friend or colleague, if you feel a
level of trust pre-exists that will enable value to be added to this process.
Best wishes for your success.

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References:
[1]
[2]
[3]
[4]
[5]
[6]
[7]
Stephen R. Covey Seven Habits of Highly Effective People

Mink, Shultz, Mink Developing and Managing Open Organisations
Mink, Esterhuysen, Mink, Owen Change at Work
Stephen R.M. Covey The Speed of Trust
Rick Warren The Purpose Driven Life
Daniel Goleman Working With Emotional Intelligence
Philip Zimbardo - Psychology

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Trustworthiness Profile A Personal View
Develop a personal view of your relationships with others by self-assessing your perceptions of your
trustworthiness using the following scale: K = I know how to do this.
S = I sometimes do this with other people.
O = I often do this with other people.
Wol = This is a way of life for me.
1. Respect for others

1.1 I do not pre-judge individuals because of their gender, social/organisational status, ethnicity
or religion.
1.2 I provide time and effort to understand and appreciate the values and beliefs of other people.
1.3 I am able to express my own values and beliefs in ways that do not impose on other people,
cause offence or create conflict.
2. Shared Purpose
2.1. I actively seek to understand the personal motivations and needs of other people
I listen with empathy to fully appreciate their viewpoint.
2.2. I share my personal aspirations and needs with others I express my enthusiasm for the
things that are important to me.
2.3 I look for win-win solutions that provide benefits for others as well as myself.
2.4 I clarify the common goals & milestones I share with others and commit to their achievement.
3. Confidence In Each Other
3.1 I clarify and define what actually needs to be done to achieve agreed goals, eg. action plans.
3.2 I fully accept responsibility for my individual roles, actions and behaviour.
3.3 I gain a good appreciation of the knowledge/skills of the people with whom I work and I seek
assistance from them to help me in my role I am not afraid to ask for support, when needed.
3.4 I provide assistance to the people I work with to help them succeed in their role I am
watchful of their needs and responsive to their requests for help.
3.5 I give encouragement to others by positively affirming their contribution & efforts to succeed
4. Open and Honest Communication
4.1 I promote productive conversations by allowing people to express their views on what needs
to be done and how best to do it - I do not dominate nor make untimely interruptions.
4.2 I appreciate that each person has a preferred mode of communication (auditory, visual, and
kinaesthetic) and I am able to adapt my style of communication to meet their preferences.
4.3 I ensure that the data and information I provide to others are accurate and reliably represents
the whole truth if not, I explain its short-comings and omissions.
4.4 I consult adequately with the people who will be affected before I make changes to the way
we work together.
4.5 I keep others up-to-date on the progress of plans and activities for which I am responsible
- I let other people know a.s.a.p. when I cannot meet my commitments to them.
4.6 I deal with issues/concerns in a timely and objective manner. I express my concerns, doubts
and uncertainties a.s.a.p. - in a manner that does not offend people.
4.7 I am able to give constructive feedback to other people when short-comings in performance
arise - I ensure that my feed-back is given with fairness and respect for the dignity others.
4.8 I actively seek and accept feedback from other people. I treat feedback on my performance
as an opportunity to learn and improve - I do not react negatively or become defensive.
4.9 I actively participate in group discussions to review our performance, to reflect, learn and to
identify opportunities for improvement - in relationships and processes.
4.10 I enthusiastically celebrate the successes and achievements that others and I share together.
Version 4.1
30
K S O WoL
Ron Crosling
Copyright 2008
Personal Reflections
The following elements of trustworthiness are significant strengths for me in
my relationships with others.
The following elements of trustworthiness are in most need of improvement to

help me improve my relationships with others.
These are my personal action plans to enable me to improve my trustworthiness

in relationships with others

Version 4.1
Ron Crosling
31
Copyright 2008
Building Trust In Business, Politics, Relationships, and Life

Book Review by Frumi Rachel Barr MBA, Ph.D. - Executive Coach, Break Through Consulting
www.breakthroughconsulting.com/executive_coaches.html
Authors: Robert C. Solomon and Fernando Flores

Publisher: Oxford University Press
Copyright year: 2001
Library of Congress or ISBN: 0-19-512685-8
Author bio and credits: Robert C. Solomon is the Quincy Lee Centennial Professor of Business and Philosophy
at the University of Texas, Ausin. His books include A Short History of Philosophy and Business Ethics. Fernando
Flores is Presidente, Fundacion Chile (a Chilean nongovernmental organization) and Chairman of Business design
Associates, Inc. Fernando Flores was Chiles minister of finance and, later, a political prisoner. Now he teaches
companies how to use assessments and commitments to transform the way they do business.
Authors big thought: Trust is the essential precondition upon which all real success depends. The authors offer
compelling answers to what trust is, how it can be achieved and sustained and most importantly how it can be
regained once it has been broken. The authors offer the distinctions between trust that is simple, blind and
authentic. Building trusts begins with an understanding of trust and it also requires everyday routines and
practices without which understanding comes to nothing. The key to trust is action, and in particular commitments;
commitments made and commitments honored.
Chapter Notes:
Introduction:
To understand trust is to build trust into our everyday practices and relationships, and to develop institutions in
which such practices and relationships are not only possible but also mandatory. The authors are simply talking
about ordinary trust, at home and at the office, where the right kind of conversations, are the only tools needed.
Trust often seems invisible or taken for granted until it is violated or betrayed. When trust is most at issue, we all
too easily tend to give up on it.
Trust in corporations is essential to a smoothly working, efficient corporate culture. Without trust, the corporate
community is reduced to a group of resentful wage slaves and defensive, if not ambitious, managers. People will
do their jobs, but they will not offer their ideas, their enthusiasm, or their souls.
Trust is not always a good thing. It can be foolish, nave, gullible, and blind. It ought never to be taken for granted.
That is why the authors insist that the issue is building trust that is, creating trust, maintaining trust, restoring trust
once it has been lost or betrayed. Their thesis is that trusting is something we do individually, it is dynamic: it is
something we make, we create, we build, we maintain, we sustain with our promises, our commitments, our
emotions and our sense of our own integrity. Trust is an option, and a choice. It involves skills and commitments,
not just good luck or mutual understanding.
www.breakthroughconsulting.com
The focus of what the authors call authentic trust is not merely reliability, predictability, or what is sometimes
understood as trustworthiness. It is always the relationship within which trust is based and which trust itself helps
create. Authentic trust embraces the possibilities of distrust and betrayal as an essential part of trust. Building trust
means coming to terms with the possibility of breach and betrayal.
Trust, similar to love, is an emotional skill. It requires judgment, vigilant attention, conscientious action and all of
the intricate reciprocities of a human relationship. We make decisions to trust. We make promises and tacit
commitments. We see them through. We come to have expectations of others, and we respond to the fulfillment or
frustration of those expectations. Trust isnt something we have, or a medium or an atmosphere within which we
operate. Trust is something we do, something we make. The problem of trust is not the loss of confidence but the
failure to cultivate commitment making.
Trust is a matter of mood and emotional skills, a function of the imagination as well as the product of negotiation
and understanding. Our moods and emotions are engagements in the world. They are skillful practices, not mere
feelings. They do not just happen to us. Our moods and emotions change with our practices. These practices can
be changed and cultivated we can and must learn to trust.
Trust may also be compared to freedom. The freedom provided by trust is the freedom to engage in projects that
one could not or would not undertake on ones own. The freedom provided by trust is the freedom to approach and
engage with strangers whom one may in fact never meet, as in the e-commerce economy. The freedom provided
by trust is the freedom to think and speak for oneself. Companies dominated by office politics, in the absence of a
culture of trust, are companies with a lot of losers.
Trust forms the foundation or the dynamic precondition for any free enterprise system. The individual entrepreneur,
like the giant corporation, depends on trust, including self-trust, to function in the business world. High trust
societies, according to Francis Fukuyama, are outstanding in their potential for forming wide-reaching and
successful cooperative partnerships. Low trust societies, by contrast, often tend to be economic disaster areas and
can certainly be terrible places to live.
Thinking and talking about trust will not only influence our beliefs but also change our behavior in the world and
with one another.
Trust is transformative. It is not a matter of trusting or being trusted so much as a matter of changing each other
and the relationship through trust.
Chapter 1: Trusting Trust
One might make the observation that the nature of trust has been called into question in part because of an
epidemic of distrust. The other side of this observation is that trust has never been more relevant or important: it
has come into question precisely because, in a free society and a growing free-market economy, it is trust and not
power or fear that is essential to our well-being and the possibility of a new world order. That new world order
will be defined by the trust it builds among nations, among consumers, and the companies that serve them, and
among increasingly powerful corporations and the citizens of the world. In the fast changing world of the twentyfirst century, trust must be reconceived in terms of rapid change, converging societies in a global market, and a
world that is self-consciously making its own history.
Alternatives to trust: fear, control, power

Increasing trust within a company does not increase control. Rather, by easing the reins of control, it improves
efficiency, effectiveness, cooperation, team spirit, employee morale, and chances for success in an increasingly
competitive world.
Trust and control are incompatible because the core of trust involves freedom. To trust people is to count on their
sense of responsibility or integrity, believing that they will choose to act in a trustworthy manner, while recognizing
the possibility that they may choose to betray the trust.
In a culture structured by power relations, commitments and promises have a different meaning than they do in a
context of mutual trust. One might expect that promises will be honored, but only because of fear of retribution if the
promise goes unfulfilled, or because the person has failed in his or her promise will be forced to make enormous
sacrifices. A power driven culture may result in self-interested calculation, cleverness, and conspiracy, which
undermine an organization or society. The most damaging, although nearly invisible, aspect of such a power culture,
is the loss of creativity. The essential virtue of trust is its openness, its celebration of possibilities. Force and fear
shut these down.
Whether in a corporation, an authoritarian community, or a marriage, there is a desperate avoidance of risks and
obstacles that might lead to failure due to the fear of punishment.
The great advantage of a trust culture over a power culture is the ability and need to appreciate other peoples
circumstances and points of view. Trust and attention make innovation possible as the result of the expression of
values, passions and a shared willingness to explore new possibilities.
Distrust: Paranoia and Cynicism
Distrust is not so much the opposite as it is the other side of trust. Trust requires some degree of mutual
understanding and cooperation while distrust is adversarial. Trust suggests the will to believe while distrust demands
suspicion.
The extremes of distrust are evident in the notion of paranoia, a mental state in which one perceives other people as
hostile and perhaps conspiratorial. A widespread and socially sanctioned version of paranoia is cynicism. Cynicism
is a refusal to trust. It is a closed-door policy, which poisons ongoing possibilities as well as foreclosing new ones. In
business life, as in a civic context, cynicism shuts down not only honest criticism but also hope. The demoralization
it carries with it often has a devastating effect.
There is always evidence to feed and confirm distrust. Trust similarly feeds and confirms trust. If we insist that others
prove their trustworthiness before we trust them, our distrust, no matter how tentative, will more likely provoke the
downward spiral of distrust rather than allow room for building trust. Trust must begin with trust.
Basic Trust
Basic trust is learned in infancy. As we grow up, our sense of basic trust is enhanced or undermined by our
experiences with other people. If expectations are frustrated, if needs are left unfulfilled, if security is threatened or
violated, a baby naturally becomes distrustful. That distrust becomes the generalized stance from which that child
enters, or refuses to enter, into new relationships and situations.
Basic trust provides the basis for ones entire personality and demeanor towards the world. The family is the basis
for not only simple trust, trust based on familiarity and taken for granted, but also authentic trust, trust that is focused
on relationships rather than single transactions and outcomes. The trust that originates in families may or may not
be coupled with a complementary tendency to distrust those who are not family.
Trusting Strangers; the global society
In the world today trust cannot be limited to those we know and are familiar with. People tend to distrust people who
are different from them, but civilization has always required the accommodation and acceptance of strangers. In our
day-to-day lives, we are surrounded by strangers whom we implicitly trust because we have to. We are people on
the move. We are citizens and consumers in a global society.
We trust in part because of protective devices (such as encryption codes in computer credit card transactions),
references, reputations, and brand names. But without trust, there would be no business, and without trust between
strangers there would be no global or even regional economy.
Business, personal relationships, and politics have always required trust. What makes our era different is that our
need to trust strangers is increasing exponentially. The cost of trust may on occasion be devastating, but the high
cost of distrust is virtually guaranteed.
Talking about Trust
The authors suggest that building trust begins with talk about trust. While trust might feel like a leap of faith, the leap
can be initiated by learning to talk about trust, put it into practice, and make it fully explicit. Even between conflicting
groups, talking about trust and believing that trust is possible even in the face of vehement distrust, is the first and
essential step. Talk may begin with venom and mutual accusations, but accusations that are well intentioned or well
mediated can lead to negotiations, and negotiations can lead to mutual commitments, small at first, which build trust.
Mutual commitments and their fulfillment may never put an end to distrust, but they do build trust, authentic trust,
trust with its eyes wide open.
Building Trust
Building trust requires talking and thinking about trust. It begins with an appreciation and understanding of trust, but it
also requires practice and practices. Trust in a society is not a given. It is the product of collective, self-conscious
action.
Building trust is no longer a matter of creating structures and practices within a single culture. From a global
perspective trust is built step-by-step and commitment-by-commitment on every level. Building trust means thinking
in a positive way and not only in terms of risks and vulnerabilities. We must force ourselves to think about
uncertainties as possibilities and opportunities, not as liabilities.
Chapter 2: Understanding and Misunderstanding trust

Trust is often confused with familiarity. Familiarity is no assurance of competence, and in business particularly is a
bad basis for trust. Trust is also confused with reliability and dependability. But trust is not a matter of predictability
and expectations. It is a function of our active commitments it is a mode of interpersonal engagement. Trust can
also be confused with keeping ones promises, prudence and following rules. Trust is not a feeling or a medium.
In contrast to these various (mis) conceptions of trust, the authors defend a conception of authentic trust, trust that is
fully selfaware, cognizant of its own conditions and limitations, open to new and even unimagined possibilities,
based on choice and responsibility rather than the mechanical operations of predictability, reliance, and rigid rule
following.
The authors make the distinctions between simple trust, blind trust, unconditional trust and authentic trust:
Simple trust: trust that remains unthinking and unreflective. It is the utter absence of suspicion. E.g. the types of
trust infants have for their primary caretakers. Simple trust is trust that is taken for granted, that has gone
unchallenged and untested, trust that is undisturbed. Simple trust, like innocence, cannot be recovered if lost.
Blind trust is no longer innocent. E.g., as in a cult environment. It has been exposed to violation and betrayal. Blind
trust is denial and is essentially self-deceptive. Blind trust can be incredibly articulate, remarkably coherent, and on
occasion convincing. But what it does is lock us into a particular perspective with well-defined boundaries, one that
excludes all counter- evidence. Unconditional trust is just another version of blind trust however it can be much more
authentic.
Conditional trust: Reflection on trust seems to show that we always trust people in certain aspects, regarding the
performance of certain acts and participation in well-defined practices, within certain more or less well-defined
domains. Context and appropriateness help determine the limits of trust. There are always limits, and to recognize
these limits is by no means to refuse to trust. To recognize limits is an essential part of authentic trust. E.g. you can
trust your mechanic with your car, but not to do brain surgery.
Chapter 3: Authentic Trust
Simple trust is unreflective. Blind trust is self-deceptive. Authentic trust is both reflective and honest with itself and
others. Whereas simple and blind trust experience betrayal as earth shattering, betrayal is neither surprising nor
devastating to authentic trust. Whereas simple trust is devoid of distrust and blind trust denies the very possibility of
distrust, authentic trust is articulated in such a way that it must recognize the possibilities for betrayal and
disappointment. It does not exclude or deny distrust, but rather accepts it and goes on to transcend it in action.
Authentic trust is a committed openness rather than a mere lack of discrimination. To trust someone is not to say
anything goes but rather to keep open ones responses, expectations, and a willingness to negotiate. There is no
particular obstacle, disappointment, or betrayal that will bring such trust to an end, because that kind of trust is
dedicated to a relationship. Authentic trust is self-confident with a focus on ones own responsibilities in trusting.
Authentic trust is trust that is well aware of the risks, dangers, and liabilities of trust, but maintains the self-confidence
to trust nevertheless.
Authentic trust differs from simple trust and blind trust in its willingness and in the necessity, to confront distrust.
What is necessary to move from simple trust to authentic trust is self-scrutiny, caring about the long term relationship
and not just the outcome, negotiation and mutual understanding, a willingness to make and stand by ones own
commitments, a keen awareness of the risks and liabilities, and the recognition that taking on these risks and
liabilities is above all ones own responsibility.
Trusting changes both the person trusted and the person who trusts. Trusting is a choice, a decision, and authentic
trusting takes into primary account the way the relationship will change as the result of that choice e.g. giving an
employee an assignment and trusting his competence.
Authentic trust is ultimately a skill and in particular, an emotional skill. The authors suggest that emotions in general
and authentic trust in particular are both chosen and a persons responsibility, or peoples collective responsibility.
Authentic trust is an emotional phenomenon because it is not merely a way of understanding and predicting the
world, but a way of investing in it, of looking forward to a future that the investment itself helps make possible.
Cultivating moods conducive to trust is an important part of any human relationship, from the intimacies of marriage
to the complexities of a giant corporation. Moods in companies are primary determinants of dedication, efficiency,
and success. They are not merely personal as they are often shared and social, closing off possibilities and
disrupting working with others. Corporate moods are often summarized as morale. Trusting moods allow
companies and the people who work for them to flourish. To trust is to be open and look to the future, even in the
face of the same challenges and catastrophes that in other contexts give rise to such bad moods as resignation,
despair, and confusion. Instead of resignation or despair there is engagement and commitment. In place of
confusion there is the clear conviction that those in charge know what is going on, that they can be engaged in
productive conversation, and that one can without hesitation admit that one needs advice or direction. Whereas
resentment sulks and stews and plots revenge, trust opens up, and maps out the future. Obstacles are viewed as
opportunities. In place of confusion there is a sense of resolution & in place of panic there is acceptance & serenity.
The key to cultivating moods is creating understanding through conversation. Conversation leads to mutual
understanding, and understanding should lead to resolutions and engagements, actions that will bring about new
situations and open up new possibilities.
Authentic trust remains in the background only until it is stirred into consciousness, typically by the need to make a
decision. Like many basic elements of human relationships, trust is recognized mainly in the breach. Trust is on the
one hand, one of the most natural things we do with people, but at the same time one of our most cautious,
deliberative and responsible concerns.
Trusting someone requires a certain self-confidence, as is often said, you cannot trust anyone if you cannot trust
yourself. Our self-confidence in terms of making a good judgment about whom to trust is of the utmost importance.
A great deal of trust has to do with making assessments. An assessment is a statement of opinion and in authentic
trust the awareness of the subjectivity of such assessments is critical. Authentic trust is created when you come to
be unafraid of the negative assessments of people you respect. The practice of making and receiving assessments
and learning how to negotiate them forms the core of the authors strategy in building trust in troubled marriages and
in organizations.
At the heart of both the practice and the strategy of building trust is first building self-confidence and self-trust: trust
in ones own abilities, skills, knowledge, preparation, and know-how as well as trust in ones own body and body
language, impulses, emotions, self-control, moods, thinking, intelligence, and sensitivity to others.
in ones own abilities, skills, knowledge, preparation, and know-how as well as trust in ones own body and body
language, impulses, emotions, self-control, moods, thinking, intelligence, and sensitivity to others.
In the background of every instance of trust is the specter of betrayal. Without betrayal there can be no trust, only
reliance and predictability. Trust involves risk, and authentic trust involves going knowingly into the unknown
together. The consequences of such risks are often disappointment and failure. That does not necessarily mean that
the trust has been betrayed, or that the trust has been destroyed.
The first category of disappointment is simply the category of things that didnt work out. The second category has
to do with mistakes. Focusing on the relationship rather than the outcome gives us the navigational tools to
overcome, if not overlook mere mistakes. Among the most important distinctions we can make are those between
mere disappointments and mistakes, and between mistakes for which someone is to blame and those for which no
one is. What this signifies is the need for negotiation and understanding, the need for further resolve and
commitment, in other words, the need for authentic trust.
There are also blameworthy acts that are breaches of trust. These include indifference, a lack of sufficient caring,
insincerity, lying and reneging on ones promise as well as breaches of contract.
In the restoration of trust, hope is the essential ingredient. Forgiveness as well plays a particularly dramatic role in
the restoration of trust. Whereas hope sets the mood, forgiveness is the instrument, the social practice that makes
renewal possible. Moving on through forgiveness does not imply a simple return to what was. In simple trust there
is no return to the state of innocence and trust will always be guarded by an appropriate amount of caution. In the
case of a betrayal of authentic trust, the betrayal is never entirely unexpected. The betrayal of authentic trust leads to
a profound alteration of the trusting relationship.
Chapter 4: Conclusion: Building Authentic Trust
Why talk about trust? Because talking about trust is essential to building trust. Even if talking about trust is
uncomfortable, it is only by talking about trust, and trusting, that trust can be created, maintained and restored. Trust
is a matter of conscious choice. What we are now capable of, and what has become necessary, is authentic trust,
sophisticated trust, responsible trust, trust with its eyes wide open. Believing in the viability of human commitments is
the necessary first step in making ourselves trustworthy, and it is the presupposition of trust as well. Thinking of trust
in the right way may make all the difference between our being willing and able to trust, on the one hand, and a bad
faith refusal to do so, on the other hand.
Recommendation: This book is written as a debate on the topic of trust. The distinctions made between the
different types of trust were worth reading. It was a bit of a slow read and somewhat repetitive. Since I am always
interested in the significance of conversations I particularly liked their thesis on authentic trust being dependant on
conversations.
About the Reviewer: Frumi Rachel Barr, MBA, Ph.D. - Executive Coach, Break Through Consulting
www.breakthroughconsulting.com/executive_coaches.html
Frumi Rachel Barr MBA, Ph.D. is an Executive Coach at Break Through Consulting. Frumi has had a distinguished
twenty-eight year career history as an entrepreneur and financial executive. Her experience and expertise as both a
CEO and a CFO provides responsive and collaborative support to executives in a wide array of companies and
industries. It is this unique blend of practical, theoretical, strategic and communications skills that makes the work
Frumi does unique among business advisors and coaches.
BUILDING RELATIONSHIPS:
PARALLELS BETWEEN INFANT-TODDLER DEVELOPMENT
AND THE PUBLIC POLICY PROCESS
Introduction
Human relationships, and the effects of relationships on relationships, are the building blocks
of healthy development. 1
Working with infants, toddlers and their families is all about relationships. We know from
scientific research that every domain of development is impacted by nurturing, caring
relationships in early childhood. 2 Babies are born with a drive to relate to and connect with
others, and they continue to develop the social skills necessary to form strong, healthy
relationships throughout their lives. 3
These findings teach us not only about babies, but about the ways in which people of all ages
relate to others. Our understanding of relationships and early childhood development can help
guide us in various aspects of our lives. Relationship-building is at the core of our work with
young children, and it truly lies at the heart of effective policy, advocacy and systems work.
That makes those of us in the early childhood community perfectly suited for policy work.
This article for The Baby Monitor explores relationship-building in early childhood and in the
world of policy and advocacy. With a deeper understanding of relationships and how to build
them, we can be stronger advocates for babies, toddlers and their families.
Relationships & Infant-Toddler Development

School success begins not with learning ABCs as a preschooler, but with learning as an infant
how to trust and feel secure, explore ones environment and form close attachments. Research
shows that it is these early experiences and warm, loving relationships that form both the
foundation and the scaffold on which cognitive, linguistic, emotional, social and moral
development unfold. 4 Healthy relationships can lead to positive developmental outcomes and
conversely, the lack of relationships or negative relationships can sometimes lead to often serious
developmental outcomes. When an infant experiences stable, quality relationships with other
people, those relationships provide the basis for a wide range of later developmental outcomes
that really matter self-confidence and sound mental health, motivation to learn, achievement in
school and later in life, the ability to control aggressive impulses and resolve conflicts in
nonviolent ways, knowing the difference between right and wrong, having the capacity to
develop and sustain casual friendships and intimate relationships, and ultimately to be a
successful parent oneself. 5 At its core, relationship building is about establishing connections
based on trust. 6 Strong, supportive relationships provide babies with the context for developing
interpersonal skills and operating successfully in the world. Relationships engage children in
ZERO TO THREE 2000 M Street NW, Suite 200, Washington, DC 20036 PHONE 202.638.1144 FAX 202.638.0851
www.zerotothree.org/policy
the human community in ways that help define who they are, what they can become, and how
and why they are important to other people. 7
Relationships among young children are also significant. Through their relationships with one
another, young children learn how to share, to engage in reciprocal interactions (e.g., taking
turns, giving and receiving), [and] to take the needs and desires of others into account. 8 The
groundwork formed by all of these relationships serves us into adulthood, both personally and
professionally. This is true in many respects, but particularly true of the policy and advocacy
arena.
Relationships with Policymakers

As adults, we are constantly forming relationships and rely on them for much of what we do in
life. Our understanding of relationships and the ways in which they impact outcomes for infants
and toddlers can be applied to the macro-level world of public policy, advocacy and systems
change. When you think about it, this makes sense it is in the context of relationships that
adults learn, that ideas and opinions are shaped and people are ultimately influenced to take
action. 9
Policy change does not happen in a vacuum, and it does not happen because of one person alone.
Often, there are many people involved in a public policy action, and logically, the relationships
among the people included can have a significant impact on the success or failure of any
proposed policy change. Public policy relationships are created at the federal, state and local
levels. They also take place through advocacy and coalition activities. At the federal and state
levels, it is important to cultivate relationships with Members of Congress, state legislators and
their staff by offering your expertise on infant-toddler development and the role public policy
can make in improving outcomes for our youngest children. When those relationships are built
positively over the long term, it can result in being invited to present to Hill or State House staff,
give testimony before Congressional or state legislative committees, and contribute legislative
language and administrative rule language on policies related to infants, toddlers and their
families. Building relationships at the federal and state levels can result in important policy
changes for the children and families you serve.
At the federal and state levels, you may want to consider forming relationships with:
Federal
Members of Congress and their staff
State
State legislators and their staff (Note: Not all
state legislators have staff.)
Congressional committee staff (for

committees that address early childhood
issues and appropriations)
State legislative committee staff (for

committees that address early childhood
issues and appropriations or the budget)
Federal agency staff - Program administrators

have significant control over program rules
and regulations and set the course for how a
program is implemented.
State agency staff - Program administrators

have significant control over program rules
and regulations and set the course for how a
program is implemented.
One successful example of relationships in state-level system building comes from Illinois. The
Birth to Five Project in Illinois develops an annual work plan with responsibilities assigned to
respective agencies and organizations. One of the most active committees is the Government
Interagency Team, which is composed of early childhood program leaders from key city, state
and federal agencies which fund and administer programs for young children. Relationships are
developed among team members over time as they meet together to develop strategies and
solutions to address systems gaps and barriers to providing collaborative, coordinated services.
These partnerships and relationships among colleagues across government agencies are what
make it a success. Projects often begin within the Birth to Five Project and then become
embedded within state government. It serves as a catalyst to leverage change and to
comprehensively organize around early childhood issues in Illinois. As a result of this
collaboration, the state has done some impressive work around early childhood mental health
consultation to early childhood programs, developmental screenings, and created the All Our
Kids: Early Childhood Networks.
Ways to Build Policy Relationships

You have several options for how to build relationships with policymakers, but the most
effective ways are ones in which you are establishing personal and face-to-face contact with
those who represent you. We encourage you to use a combination of strategies as you work to
build relationships with your policymakers. Consider the following:
Set up an in-person meeting, both at the State House, Capitol Hill or when
policymakers are in their home district;
Invite policymakers to visit your program;
Phone, email and write letters;
Add policymakers to your organizations mailing list for newsletters, annual reports,
etc.;
Send reports, research or other briefing materials you think would be useful as they
determine policies for infants, toddlers and families; and,
Send copies of newspaper articles, letters to the editor and/or opinion editorials which
focus on infant-toddler issues in their district and were published in their local
newspapers.
As you develop your skills as an advocate, think about these important elements of relationshipbuilding with policymakers: 10 11
Relationships are built over time. You should expect to work hard developing and
cultivating relationships over the long haul. When you have created a solid
foundation of a relationship, it can lead to the policymaker or their staff asking for
your input on infant-toddler issues.
Be proactive. Think ahead about the kinds of information that will be useful to your
policymakers and reach out before the time-crunch of a vote.
Base the relationship on trust. Be honest and forthcoming about potential

controversies. This will serve you well over the long term.
All relationships are a two-way street. Remember, in addition to asking for their
vote or help on a policy issue, you have something to offer the policymaker. You
want to be seen as a knowledgeable and trusted resource to them.
Listening is as important as talking. Take the time to hear and understand the
perspective of those you are trying to influence. This will help you in addressing any
questions or concerns raised.
Do your homework. Spend time learning about your policymakers, just as you
would when building a relationship with any person. What do (or did) they do in their
professional career? What committees do they serve on? If they are married, what
does their spouse do professionally or in a volunteer capacity? Do they have children
and/or grandchildren? Do they volunteer anywhere? What are their interests? Also
take the time to find out demographics about their district, so you are knowledgeable
about their community.
Be gracious and courteous. Make sure policymakers hear about what they have
done well, as well as what you are displeased with. Always say thank you. Be
comfortable letting others take credit.
Build relationships with all policymakers, regardless of their political affiliation.
Everyone has a role to play in supporting infants, toddlers and their families.
Collaborations & Relationship-Building Outside Government

Policymakers are only one group of people with whom to form relationships in order to affect
policy change. As noted above, public policy changes are more likely to occur when a variety of
people come together around a common goal. When advocating for infants and toddlers, there is
great power in collaboration and bringing a variety of perspectives to the table. Forming solid
working relationships within the field is vital, and forming associations and collaborations with
unlikely allies can lend strength to your advocacy efforts as well.
As you advocate for infant-toddler policy issues, there are many possible partners for your
advocacy efforts, including:
Other professionals working with infants, toddlers and families Think about the
many disciplines that touch the lives of babies and toddlers and reach out to
professionals with whom you may have a common interest;
Academics and researchers studying infant-toddler development;
Physicians, nurses, dentists and other medical professionals serving families with
young children;
Business people, the local or state chamber of commerce and the local United Way;
Law enforcement officials;
Religious leaders;
Professionals in the news media;
Academics and researchers studying other disciplines, including economics, mental

health, health, education, social work, business, sociology, womens studies,
environmental studies, communications, etc. You would be surprised how many
2000 M Street NW, Suite 200, Washington, DC 20036 PHONE 202.638.1144 FAX 202.638.0851 www.zerotothree.org/policy
people are interested in the connections between their discipline and early childhood
development;
Teachers and other education leaders;
Child advocacy organizations; and,
Parents and grandparents.
Be creative in thinking about who might have an interest in working with you to support infants,
toddlers and their families.
Conclusion
Our examination of relationships and relationship-building teaches us that we can be effective
advocates by drawing on the same skills and resources we use in our work with infants, toddlers
and their families. We encourage you to use this article as a guide as you reach out to form
relationships that will improve public policies for infants, toddlers and their families.
Author:
Debbie M. Rappaport, Project Director, ZERO TO THREE Policy Network, with contributions
from Karen Yarbrough, Ounce of Prevention Fund.
May 29, 2007
Shonkoff, J. and D. Phillips. (Eds.) (2000). National Research Council and Institute of Medicine. From Neurons to
Neighborhoods: The Science of Early Childhood Development. Washington, DC: National Academy Press.
2
Ibid.
3
ZERO TO THREE. Supporting Your Childs Relationship-Building Skills. Retrieved on May 3, 2007 from
http://www.zerotothree.org/site/PageServer?pagename=ter_key_social_relationships&AddInterest=1157.
4
Shonkoff and Phillips.
5
National Scientific Council on the Developing Child. (Summer 2004). Working Paper #1: Young Children
Develop in an Environment of Relationships. Harvard University: The Center on the Developing Child.
6
Ibid.
7
National Scientific Council on the Developing Child.
8
Ibid.
9
Yarbrough, K. (2006) Selections from Be a Voice for Babies: Advocating for Infants and Toddlers at the Federal
and State Levels. Power Point presentation jointly produced for the 2006 ZERO TO THREE National Training
Institute by K. Yarbrough of the Ounce of Prevention Fund and D. Rappaport of ZERO TO THREE.
10
Rappaport, D. and Yarbrough K. (July 2006). Ensuring a Bright Future for Babies: How to Advocate Effectively
for Infants and Toddlers. ZERO TO THREE Journal, Vol. 26, No. 6. Washington, DC: ZERO TO THREE:
National Center for Infants, Toddlers and Families.
11
Yarbrough, K. (2006).
2000 M Street NW, Suite 200, Washington, DC 20036 PHONE 202.638.1144 FAX 202.638.0851 www.zerotothree.org/policy
Mentoring and coaching
Topic Gateway Series

Topic Gateway Series No. 50
1
Prepared by Alexa Michael and Technical Information Service
August 2008
About Topic Gateways

Topic Gateways are intended as a refresher or introduction to topics of interest
to CIMA members. They include a basic definition, a brief overview and a fuller
explanation of practical application. Finally they signpost some further resources
for detailed understanding and research.
Topic Gateways are available electronically to CIMA members only in the CPD
Centre on the CIMA website, along with a number of electronic resources.
About the Technical Information Service

CIMA supports its members and students with its Technical Information Service
(TIS) for their work and CPD needs.
Our information and accounting specialists work closely together to identify or
create authoritative resources to help members resolve their work related
information needs. Additionally, our accounting specialists can help CIMA
members and students with the interpretation of guidance on financial reporting,
financial management and performance management, as defined in the CIMA
Official Terminology 2005 edition.
CIMA members and students should sign into My CIMA to access these services
and resources.
The Chartered Institute
of Management Accountants
26 Chapter Street
London SW1P 4NP
United Kingdom
T. +44 (0)20 8849 2259
F. +44 (0)20 8849 2468
E. tis@cimaglobal.com
www.cimaglobal.com
Definition and concept

Mentoring relates primarily to the identification and nurturing of potential for
the whole person. It can be a long-term relationship, where the goals may
change but are always set by the learner. The learner owns both the goals and
the process. Feedback comes from within the mentee the mentor helps them to
develop insight and understanding through intrinsic observation, that is,
becoming more aware of their own experiences.
Coaching relates primarily to performance improvement (often short-term) in a
specific skills area. The goals, or at least the intermediate or sub-goals, are
typically set with or at the suggestion of the coach. While the learner has primary
ownership of the goal, the coach has primary ownership of the process. In most
cases, coaching involves direct extrinsic feedback (i.e. the coach reports to the
coachee what he or she has observed).
Meggison and Clutterbuck, Techniques for Coaching and Mentoring
Context
Students are unlikely to study or be examined on mentoring and coaching.
However, they may become mentors and coaches (or be mentored or coached)
at any stage of their career. Mentoring and coaching, whether formal or
informal, are excellent ways for CIMA students and members to achieve CPD.
Objectives
It is important to understand that individuals are unique and organisations differ.
Therefore both individual and organisational goals vary widely. Common
objectives are required in order to:
achieve results either individually or in teams
assist managers with team building
help individuals gain clarity in their thinking and commitment
challenge and help individuals to change limited beliefs
help managers to become a source of support rather than a threat, for

example, to assist them in bringing out the talent and potential of their team
identify and solve problems
make decisions, implement changes and overcome obstacles
plan for the future and take advantage of potential new opportunities.
3
Overview
Differences between mentoring and coaching
Mentoring - Mentoring is an indefinite, relationship based activity with several
specific but wide ranging goals. It does not have to be a formal process. The
mentor is a facilitator who works with either an individual or a group of people
over an extended time period. The agenda is open and continues to evolve over
the longer term. Mentoring seeks to build wisdom the ability to apply skills,
knowledge and experience to new situations and processes.
Coaching - The focus is on meeting very specific objectives within a set period of
time. Coaching is mainly concerned with performance and the development of
certain skills.
It usually takes place on a one-to-one basis and has a very specific purpose. There
is usually a planned programme with a much shorter timeframe than in
mentoring, so the learning goals are usually determined in advance.
Mentoring and coaching can be stand alone activities, but they can also be used
to complement each other.
Parallels between mentoring and coaching

Both mentoring and coaching take place independently of line managers they
are open, honest relationships between the mentor or coach and their protg. A
mentor or coach is an accountability partner who works in their protgs best
interests. He or she will bring a new approach to either a specific skill or an entire
career.
Neither mentoring nor coaching is about teaching, instruction or telling
somebody what to do. The role of mentors and coaches is to ask their protg
the right questions to promote greater self-awareness and more informed
decision making. The role of mentors and coaches is not to solve problems, but
to question how the best solutions might be found.
The mentoring or coaching process evolves over time. The aims are not inflexible,
but may change as the protg reaches the set goals and learns new behaviour.
The process continues until everybody is satisfied that the objectives have been
achieved.
Mentoring and coaching skills

The skills of mentor and coach overlap to some extent. Both mentors and
coaches are critical friends although they might use different methods. A coach
is more likely to use direct feedback, while a mentor relies more heavily on the
questioning process. A coach is a specialist who works with the protg on
specific goals and objectives the professional equivalent of a fitness trainer. A
mentor is likely to have followed a similar career to the one their protg is
starting, and will pass on their expertise.
For whom is mentoring or coaching appropriate?

Mentoring or coaching might be appropriate for:
senior managers who are unlikely to benefit from conventional training

courses
managers who need the space to develop or improve new or existing skills
those on a fast track career programme
staff who need to focus more on their career paths
managers who have reached a career plateau and want to progress, but do
not know how to
anybody developing a new career
staff or managers who want to change career direction
employees returning to work after a career break
staff wanting to improve their skills and abilities
individuals who respond better to alternative learning methods
mentors and coaches themselves
staff or managers working through difficult issues.
What mentoring and coaching can and cannot do

Mentoring can:
increase individual and team commitment to an organisation and its goals
help improve communication within the organisation
help to change organisational culture for the better
allow individuals to gain a greater insight into the organisations workings
give individuals the chance to meet different people within the organisation,
and to network
improve levels of professional success.
Mentoring cannot:
succeed unless clear objectives are agreed in advance
succeed unless there is an agreed plan of action
act as a replacement for conventional training.
Coaching can:
provide individuals and teams with opportunities for gaining new skills, and
personal development
offer learning opportunities geared to individual needs
encourage a positive attitude to learning
provide flexibility in the learning process
allow protgs to select what and how they learn.
Coaching cannot:
effect change unless clear, measurable goals are set in advance
benefit the protg unless there is support from senior managers
succeed unless both coach and protg are fully committed to the coaching
programme.
Application
Links to good management
The aims of coaching and mentoring are the same as those of good
management. Both will try to maximise their staff potential. Good
mentoring/coaching and good management have the following common
characteristics:
willingness to listen
openness to new ideas
a lateral, challenging way of thinking
encouraging protgs to become involved in new work experiences
making time available
enthusiasm.
One school of thought suggests that every manager should be a mentor or coach
to his or her staff. The aim of this generative coaching is to encourage a mutual
learning process. It can be argued that managers already influence the learning
and performance of their staff. In addition, some managers may be reluctant to
adopt an active coaching style because of a potential conflict with their own
agendas.
It is important that a clear distinction remains between a mentor/coach and a
manager. If the line becomes blurred, mentoring and coaching can damage a
good management style. For example, a manager might spend a large amount of
time mentoring or coaching one team member at the expense of the rest of the
team.
Bringing a mentoring and coaching mentality to the team

The best mentoring or coaching programmes will not work if they are not
accepted by the wider team. There is a danger that mentoring and coaching will
be seen as a management ploy and not a method of encouraging individual
potential. The following points need to be applied for mentoring and coaching to
be accepted.
There needs to be:

1. Sufficient information about the benefits of mentoring and coaching.
2. An explanation of what mentoring and coaching can and cannot achieve.
3. Clarity about who can be involved in mentoring and coaching programmes.
4. Clarity about how and when the mentoring and coaching programmes could
be used.
5. Flexibility so that progress can be reviewed.
Setting up a mentoring or coaching procedure

The following stages need to be considered before a mentoring or coaching
programme can be planned and executed:
1. How the mentoring or coaching links to the organisations purpose and
strategy.
2. Mentors and coaches need to be suitably matched to their protgs to avoid
personality clashes or other issues.
3. The objectives of the mentoring or coaching what it aims to achieve.
4. A process to support the mentoring or coaching programmes, for example,
who will cover the protgs workload while they are being mentored or
coached?
5. Evaluation and feedback mechanisms need to be established.
Potential mentors and coaches need to consider the following issues:
The protg - What is the protgs current work situation? How does he or she
see themselves in a particular role? What are his or her goals?
The protgs work - What work does the protg do or aspire to do? What
does the protg find challenging or satisfying? How could he or she achieve
something? What are the options?
The mentor or coach - What is the mentor or coachs current work situation?
Who will control the programme the mentor/coach or the protg?
The relationship with the protg - Is the programme led by the
mentor/coach or the protg? Where does accountability lie?
The wider team - Where does the protg fit into his or her existing team?
What are the team dynamics? How could the protg engage better with his or
her colleagues? What needs to change?
The organisation - Who are the organisations stakeholders? What is the
organisations structure? What is the organisations culture? Are the goals of the
mentoring or coaching programme compatible with these?
The work environment - What role does IT play in the organisation now and in
the future? What are the organisations current priorities? Are the priorities of
the protg compatible with those of the organisation? Are mentoring and
coaching part of the organisations culture? What is the organisations current
financial situation?
The wider context - What is the attitude towards work-life balance? How does
this influence decision making?
Mentoring and coaching briefing

Once it has been agreed in principle to begin a mentoring or coaching
programme, the mentor/coach and the protg need to brief themselves on the
following key issues:
1. Determine the area for mentoring or coaching.
2. Agree the overall objectives.
3. Identify realistic outcomes and devise an action plan to achieve the desired
result.
4. Devise an appropriate mentoring or coaching programme. This might include
a secondment, work shadowing or supervised working.
5. Agree a suitable timescale.
6. Agree criteria for evaluation, standards and assessment of the programme.
Mentoring in action (case study)

Anna, who works in marketing, indicates that she would like to learn more about
her companys human resources function. She isnt sure if she wants to change
career, but would like the opportunity to make an informed choice. Anna talks to
Stephen, her team leader, about the possibility of a secondment in HR.
Stephen approaches Richard from the HR department, to whom he introduces to

Anna as a potential mentor. He bears in mind the need for compatibility between
mentor and protg. Richard and Anna agree some overall objectives and a
timeframe for Annas HR secondment. They arrange a flexible timetable of
practical experience for Anna within HR. Anna and Stephen also discuss what
should be done about her marketing workload during her secondment.
Anna goes on secondment in HR, with Richard as her mentor. Richard then
receives feedback from Anna and helps her to weigh up her career choices and
decide what to do next.
Richards mentoring role has involved:
being willing to take on the role of mentor to Anna
agreeing the objectives for Annas secondment
arranging relevant learning experiences for Anna, for example, briefing and
de-briefing, attending presentations, observing client briefings, meeting HR
staff
introducing Anna to the HR department and providing an overview of the HR

function through the arranged secondment
receiving feedback from Anna and making further recommendations.
Coaching in action (case study)

Nigel, a call centre worker, needs to improve his interpersonal skills with
customers. Robert, his team leader, arranges for Nigel to be coached by Alison,
an experienced, popular colleague.
Alison talks to Nigel to explain why his behaviour is seen as problematic. Nigel
has the opportunity to put his side of the story. Alison and Nigel then agree the
standards of acceptability that Nigel must achieve. They decide on a time limited
coaching programme for Nigel. He will observe examples of best practice during
on the job coaching. Nigel will be able to discuss issues as they occur, so he can
work towards practical solutions.
During the coaching programme, Nigel has regular reviews with Alison and
Robert to ascertain his progress. When the programme finishes, there is a
de-briefing session to determine how far Nigel has met the agreed objectives and
to evaluate the programmes overall success.
10
Alisons coaching role has involved:
being willing to take on the role of coach to Nigel
determining objectives and a coaching programme for Nigel
being responsible for the practical delivery of the coaching plan, for example,
demonstrating best practice
participating in ongoing reviews with Nigel and Robert
evaluating the success of the coaching programme.
Coaching experienced learners the GROW model

The GROW (goals, reality, options, wrap up) model provides structure for
coaching discussions with more experienced learners. For less experienced
learners, the process can be time consuming and often too complex. The model
places the onus for development on the learner, as the coach adopts a less
directive approach. The GROW model has four clear stages:
Establish goals
Explore reality
Generate options
Agree action, wrap up

GROW devised by Sir John Whitmore and described in his book, Coaching for
Performance: growing people, performance and purpose.
During the first part of their meeting, the coach and protg focus on
determining exactly what they want to achieve. This stage is about establishing
expectations and goals.
11
At least 50% of the meeting should be spent on the reality stage. Good
questioning and listening skills will enable the coach to define the issues that
need to be addressed.
Once the underlying issues are identified, the coach should continue to ask
questions so that the protg can identify the available options.
In the wrap up stage, the actions should be determined. This final stage is
sometimes described as confirm the will to act. It is about agreeing what
specific actions the protg is going to take away from the meeting.
Feedback and performance measurement

A feedback mechanism should be established at the start of any mentoring or
coaching programme. This enables the mentor or coach to evaluate honestly
whether the programme is successful or not. It is helpful to seek informal
feedback at all stages of the programme so that any changes or problems can be
addressed.
At the outset, the mentor or coach and protg should agree the assessment and
standards criteria to measure the programmes success. The objective(s), standard
target(s), assessment and evaluation need to be clearly stated so that the
protgs achievement can be reviewed easily.
Example of coaching programme standard targets

and assessment
Peter Smith
Objective
Standard targets
Assessment
Evaluation
Coaching programme
To work as an integrated team player
Communicate with other team members
Propose ideas
Share the workload
Offer help to colleagues without having to be
asked
Informal monthly reviews for the next three months
After three months
Traditionally, feedback has involved the protg completing a questionnaire.

However, feedback can also be obtained through formal or informal discussions
between the protg and his or her mentor or coach. The results of the
programme should be recorded in a written report, along with a set of
recommendations and protg feedback.
12
At the end (or before the end) of the programme, all progress should be checked
against the agreed criteria. Usually there is a de-briefing session between the
mentor or coach and the protg which should:
discuss how far the objectives and standard target(s) have been met
evaluate the overall success of the programme
make any further recommendations as necessary.
Example of coaching programme standard targets

and evaluation
Peter Smith
Objective
Standard targets
Evaluation
Further
recommendation
Coaching programme
To work as an integrated team player
Communicate with other team members
Propose ideas
Share the workload
Offer help to colleagues without having to be
asked
70% of standard targets met. Very good progress on
sharing workload and taking responsibility. Some
good ideas put forward. Still not communicating
ideas within the team as effectively as possible.
To take charge of a team project that will demand
ongoing briefing sessions with the team if the project
is to succeed.
Training the trainer (to be a mentor or coach)

An organisations personnel and training department will need to select and train
sufficient numbers of people to be mentors and coaches. There should be an
agreed procedure to screen applicants. Not everybody will be suitable. All
candidates must be in a position to be released from their own job function to
mentor or coach others.
All successful candidates should be able to demonstrate:
Strong verbal communication skills (ability to listen, good presentation skills,
ability to summarise information, experience of giving feedback).
Good written communication skills (ability to write business documents and
summarise briefs).
13
A working knowledge of mentoring and coaching topics (for example,

assertiveness, conflict resolution, leadership, managing difficult people,
negotiation, presentation skills).
Previous experience in running training, mentoring or coaching sessions
(for example, presenting new ideas, encouraging colleagues to speak, managing
disagreements).
Personal qualities
A potential mentor or coach will require the following personal qualities:
ability to recognise changes in mood and body language
observant
ability to maintain confidentiality
warm and confidence-inspiring personality
objective and impartial in dealing with people
willing to commit time and energy to learn mentoring or coaching skills.
Training objectives
It will be necessary to organise training for potential mentors and coaches so they
can develop the skills and knowledge required to conduct mentoring and
coaching programmes. Training should cover the following:
relationships in the workplace
communication and behaviour motivation
personal development
one-on-one mentoring/coaching framework
one-on-one mentoring/coaching activities
planning mentoring/coaching objectives
mentoring/coaching approaches.
14
Barriers to effective mentoring and coaching

Most barriers to effective mentoring and coaching stem from:
1. Issues of organisational culture where the prevailing culture is not
sympathetic to mentoring and coaching, or does not fully understand it.
2. Personality issues between those involved in mentoring and coaching
programmes.
Barriers include:
poor matching of mentors or coaches to their protgs
lack of managerial support at higher levels
resentment from those not chosen to participate in mentoring and coaching

programmes, perhaps due to a perception of favouritism
the creation of unrealistic expectations as to what mentoring and coaching

can achieve
the blurring of role boundaries, for example, between the role of manager
and mentor.
References
Megginson, D. and Clutterbuck, D. (2005). Techniques for coaching and
mentoring. Amsterdam; London: Elsevier Butterworth Heinemann
Mathews, S. (1997). Mentoring and coaching: the essential leadership skills.
London: FT Pitman. (Financial Times Management Briefings)
15
Further Information
Articles
Full text available from Business Source Corporate through My CIMA
www.cimaglobal.com/insight
[Accessed 12 June 2008}
Johnson, L. D. Coaching and mentoring. Manage, May 2001, Volume 52,
Issue 4, pp 10-12
Minter, R. L. and Thomas, E.G. Employee development through coaching,
mentoring and counselling: a multidimensional approach. Review of Business,
Spring/Summer 2000, Volume 21, Issue 1-2, pp 43-47
Spencer-Arnell, L. Coaching and mentoring: unleash your potential. CIMA
Insight, November 2005. Available from: www.cimaglobal.com/insight
[Accessed 12 June 2008]
Thomas, N. and Saslow, S. Improving productivity through coaching and
mentoring. Chief Learning Officer, May 2007, Volume 6, Issue 5, pp 22-26
Watt, L. Mentoring and coaching in the workplace. Canadian Manager, Fall
2004, Volume 29, Issue 3, pp 14-16
Coaching/mentoring: how to get the most from your in-house tutors. Managing
Training and Development, September 2001, Volume 1, Issue 9, pp 2-4
Mentoring and coaching help employees grow. HR Focus, September 2001,
Volume 78, Issue 9, pp 1-5
CIMA resources
Harvard ManageMentor Plus
The CIMA business skills resource with practical information and advice on over
35 key management topics, including mentoring and coaching. Available from:
www.cimaglobal.com/mycima
Mentoring and coaching: an overview. CIMA Technical Briefing, January 2002.
London: CIMA. Available from: http://digbig.com/4xaxm
16
E-books
The following titles are available from NetLibrary on the CPD Solutions page of
My CIMA. www.cimaglobal.com/mycima
Adubato, S. (2006). Make the connection: improve your communication at work
and at home. New Brunswick, NJ: Rutgers University Press
Brandham, L. (2005). The 7 hidden reasons employees leave: how to recognise
the subtle signs and act before its too late. New York: AMACOM Books
Cohen, A. R. and Bradford, D. L. (2005). Influence without authority. 2nd ed.
Hoboken, NJ: John Wiley and Sons
Connor, M. and Pokora, J. (2007). Coaching and mentoring at work: developing
effective practice. Maidenhead: Open University Press
Cook, S., Macaulay, S. and Coldicott, H. (2004). Change management
excellence: using the four intelligences for successful organizational change.
London: Sterling, VA: Kogan Page
Cranwell-Ward, J., Bossons, P. and Gover, S. (2004). Mentoring: a Henley review
of best practice. Houndmills; New York: Palgrave Macmillan
Dembkowski, S., Eldridge, F. and Hunter, I. (2006). Seven steps of effective
executive coaching. London: Thorogood
Green, M. (2007). Change management masterclass: a step by step guide to
successful change management. London; Philadelphia: Kogan Page
Hale, J. A. (2004). Performance-based management: what every manager should
do to get results. San Francisco: John Wiley and Sons
Korngold, A. (2005). Leveraging good will: strengthening non profits by
engaging business. San Francisco: John Wiley and Sons
Megginson, D. and Clutterbuck, D. (2005). Techniques for coaching and
mentoring. Amsterdam; London: Elsevier Butterworth Heinemann
Pettinger, R. (2002). Mastering employee development. Basingstoke: Palgrave
Macmillan. (Palgrave Master Series)
Shephard, G. (2005). How to manage problem employees: a step-by-step guide
for turning difficult employees into high performers. Hoboken, NJ: John Wiley
and Sons
17
Sloane, P. (2007). Innovative leader: how to inspire your team and drive
creativity. London; Philadelphia: Kogan Page
Sugars, B. J. (2006). Business coach. New York: McGraw-Hill Professional. (Instant
Success Series)
Taylor, J. and Furnham, A. (2005). Learning at work: excellent practice from best
theory. Basingstoke; New York: Palgrave Macmillan
Thomas, M. (2006). Gurus on leadership. London: Thorogood
White, D. (2006). Coaching leaders: guiding people who guide others. San
Francisco: John Wiley and Sons. (Jossey-Bass Business and Management Series)
Other books
Allen, J. (2004). The art of mentoring. Lydney: The Centre for Monitoring
Farmer, C. (2006). Business coaching. Cirencester: Management Books
Howard, M., Hawkins, P. and Goldsmith, M. (eds). (2005). The art and practice of
leadership coaching: 50 top executive coaches reveal their secrets. Hoboken, NJ:
John Wiley
Leimon, A., Moscovici, F. and McMahon, G. (2005). Essential business coaching.
Hove: Routledge. (Essential Coaching Skills and Knowledge Series)
McManus, P. (2006). Coaching people: expert solutions to everyday challenges.
Boston, Mass.: Harvard Business School ; London: McGraw-Hill [distributor]
Ragins, B. R. and Kram, K. M. (eds.) (2007). The handbook of mentoring at work:
theory, research and practice. London: Sage
Shaw, P. and Linnecar, R. (2007). Business coaching: achieving practical results
through effective management. Chichester: Capstone
Whitmore, John. (2002). Coaching for performance: growing people, performance and
purpose. 3rd ed. London: Nicholas Brealey. (People Skills for Professionals Series)
18
Websites
The Coaching and Mentoring Network
Provides information on the latest developments in coaching and
mentoring. Available from: www.coachingnetwork.org.uk
CIPD: The HR and development website
Provides advice, guidance and tools on coaching and mentoring. From
the home page, click to the learning and development section, and
then to coaching and mentoring. Available from: www.cipd.co.uk
Harvard Business Online
Website of all Harvard Business School publications.
Available from: http://digbig.com/4xaxn
First published in 2008 by:
No responsibility for loss occasioned to any person acting or refraining from

action as a result of any material in this publication can be accepted by the
authors or the publishers.
The Chartered Institute

of Management Accountants
26 Chapter Street
London SW1P 4NP
United Kingdom
All rights reserved. No part of this publication may be reproduced, stored

in a retrieval system, or transmitted, in any form or by any means method
or device, electronic (whether now or hereafter known or developed),
19
mechanical, photocopying, recorded or otherwise, without the prior
permission of the publishers.
Printed in Great Britain
Permission requests should be submitted to CIMA at tis@cimaglobal.com
Copyright CIMA 2008
Unit 2
Guide to
Relationship
Building
Unit 2: Table of contents

1.

2.

3.

4.

12 Service Agreement Toolkit
A guide to relationship building: Meeting and working with your neighbour....................... 13

1.1 Working with First Nations: A guide for municipalities .......................................... 13

1.1.1 Tips for working effectively toward strong relationships ............................... 16
1.2 Working with municipal governments: A guide for First Nations ............................. 17
1.3 Tips for working effectively toward strong relationships:

A guide for First Nations and municipalities ......................................................... 19
1.4 Community engagement...................................................................................... 20
1.5 Cross-cultural awareness . ................................................................................... 20

1.5.1 Benefits of cross-cultural awareness ......................................................... 21

1.5.2 Possible areas for discussion in a cross-cultural workshop........................... 21

1.5.3 Applying this knowledge in your working relationship.................................. 22
1.6 Checklist for positive relationship building............................................................ 22
1.7 Tools: Templates for relationship building ............................................................ 24

1.7.1 Letter of intent template ........................................................................... 24

1.7.2 Communications protocol template ............................................................ 26
1.8 Relationship building references ......................................................................... 31
Municipal and First Nations governance structures ......................................................... 33
2.1 Similarities and differences . ............................................................................... 33
2.2 Municipal governance structures.......................................................................... 35

2.2.1 Municipal acts and ministries .................................................................... 35

2.2.2 Municipal councils ................................................................................... 35

2.2.3 Municipal administration .......................................................................... 36

2.2.4 Municipal services .................................................................................... 36

2.2.5 Municipal funding..................................................................................... 37
2.3 First Nations governance structures ..................................................................... 37

2.3.1 The Indian Act ......................................................................................... 37

2.3.2 Chief and council ..................................................................................... 38

2.3.3 Tribal councils .......................................................................................... 38

2.3.4 Band administration ................................................................................. 38

2.3.5 Social structure......................................................................................... 39

2.3.6 Band services ........................................................................................... 39

2.3.7 Band funding ........................................................................................... 39
2.4 Governance structure references ......................................................................... 40
Collaborative dispute resolution ..................................................................................... 41
3.1 Prevention ......................................................................................................... 41
3.2 Alternative dispute resolution .............................................................................. 42
3.3 Mechanisms and methods for dispute resolution .................................................. 42
3.4 Aboriginal perspectives on ADR . ......................................................................... 45
3.5 ADR references .................................................................................................. 45
Relationship Building Case Studies ............................................................................... 47
4.1 Sliammon First Nation and the City of Powell River (BC) ...................................... 48
4.2 Membertou First Nation and the Cape Breton Regional Municipality (NS) . ............ 52
UNIT
1. A guide to relationship
building: Meeting and working
with your neighbour
Intergovernmental relationships bind communities together in a positive way and encourage collaboration and development and help ensure potential conflict is resolved more effectively when
pursuing a service agreement. Only in recent times has the relationship between First Nations
governments and local governments been identified as a significant national opportunity. For much
of Canadas history, provinces, territories and local governments were only marginally involved in
Aboriginal issues. In the past few decades, a number of modern treaties have resulted in increased
interaction between First Nation and local municipal governments. To develop a service agreement, First Nations and local municipal governments will need to continue to interact and
ensure that they are doing so in an effective manner.
The next section explores principles behind creating, enhancing and maintaining harmonious and
productive relationships between municipal governments and First Nations governments including
common myths and tips for working effectively together.
1.1 Working with First Nations:

A guide for municipalities
It is important to recognize that there is a significant amount of diversity among First Nations governments in terms of their population
size, geography, capacity, income, educational
attainment and autonomy. There are additional differences across Canada concerning
linguistic groupings, culture, history and the
extent to which traditional practices have been
maintained through policies and programs

of discrimination and assimilation such as
residential schools. Attention should be paid
to getting to know your adjacent First Nation
community individually to get a better understanding of their unique history and political
and social relationships. (For more resources
including common questions and answers,
please see Unit 2, Chapter 2.4: Governance
structure references.)
Service Agreement Toolkit 13
UNIT
2
What is the
difference
between
Aboriginal,
First Nation,
and Indian?
Which word
should I use?
Aboriginal refers to the original inhabitants of Canada and can be subdivided into three groups: Indians, Inuit and Mtis. These groups have
distinct heritages, languages and beliefs and are only linked through their
indigenous ancestry.
First Nations is a term that has come into use in the last few decades to
replace the term Indian, which some people find offensive. In its use, First
Nations refers to an individual of indigenous ancestry who is neither Inuit
nor Mtis, and in many cases also replaces the terms band or community.
Although First Nations is considered more polite and respectful, this term
is not used commonly in legal documentation. Historically, First Nations
people were referred to as Indian, which is a term to describe Aboriginal
people who are neither Inuit nor Mtis.
In general, what people prefer to be referred to is individual choice.
It is important that you ask these questions and get to know your
contacts individual perspectives on these issues.
We hear
a lot about
Aboriginal
rights and title.
What does
this mean?
Aboriginal rights refer to the practices that were in use before European
contact, including unique cultural practices, traditions and customs.
Legally speaking, the rights of Aboriginal peoples are set out separately
in the Constitution to recognize that they are the descendants of the
original inhabitants of Canada. Although the Canadian Constitution
recognizes that Aboriginal rights exist, it does not define specifically
what is considered an Aboriginal right.1 Ongoing court decisions are
working through resolutions to these claims.
Aboriginal title refers to the right to the land itself, not just the activities that may occur on the land. In some parts of the country, treaties
dating back to the 1700s were signed setting apart lands for Aboriginal
peoples; this continued across much of Canada through the 1900s.
Some areas of Canada have no treaties and therefore some First
Nations assert that because they did not surrender these lands to
the Crown, they still have Aboriginal title to these areas. Ongoing
court decisions are working through resolutions to these claims.
Both Aboriginal rights and title are considered communal rather than
individual. Aboriginal title recognizes a particular communitys access
to land, rather than individual ownership of that parcel of land.
The Constitution Act, 1982 s. 35.
Is it true that
First Nations have
more privileges
than the rest of
the population?
It is a common myth that all First Nations have many additional privileges
compared with those of the general Canadian population. Commonly cited
privileges include not paying taxes, receiving free services that others
must pay for (such as post-secondary education), and having easier lives
than those living off-reserve.
UNIT
In fact, First Nations enjoy the same fundamental benefits of all

Canadians such as unemployment insurance and the child tax benefit.
The federal government provides First Nations with services that are
constitutionally allocated to the provinces.
Life for members of many First Nations is not easier than it is for the
average Canadian. Overall there is a lower quality of living for Aboriginals
than that of the average Canadian. This includes shorter life expectancy;
higher unemployment; higher rates of suicide, alcoholism and drug abuse;
higher levels of infant mortality; and proportionally lower educational
attainment.2 In addition, for Aboriginals who live on reserves it is difficult
to own the land on which their houses are built to the same extent that
other Canadians enjoy. This offers limited stability compared to that of
those living off-reserve. The federal government in cooperation with band
councils thus provides, for example, additional funding for post-secondary
assistance and housing to ensure that First Nations may achieve the same
standard of living as other Canadians.
In the case of taxes, Inuit, Mtis and non-status Indians are required to
pay taxes. First Nations individuals working on-reserve with a company
that is also located on-reserve are not required to pay taxes. However,
all First Nations working off-reserve are required to pay both federal
and provincial taxes with the exception of employees of organizations
that are specifically geared toward Aboriginal people.
Myth: There are

no more real
Aboriginal
peoples.
While Aboriginal people live modern lives, this does not mean they are no
longer any real Aboriginal peoples. Many are working to preserve and
promote their own identity, culture, traditional practices, values and
spirituality, which vary greatly from band to band.
Many Aboriginal people still practise traditional activities such as
hunting, trapping and fishing, and many have maintained a respect
for, and knowledge of, their traditional territories and environments.
For more information, see: Fact Sheet: Top Misconceptions about Aboriginal People by the Assembly of First Nations (AFN) in Unit 2,
Chapter 1.8.
UNIT
1.1.1 Tips for working effectively

toward strong relationships
There are some general tips to keep in mind
when building a relationship with a First
Nations government. The following tips
were written by the Committee for the
Advancement of Native Employment at
Indian and Northern Affairs Canada (INAC)
and appeared in their publication,
Aboriginal Awareness Guide.
Show respect
It is important to not just talk to First
Nations when you need something
get to know them as individuals.
Take time to learn about community
history, achievements and challenges.
Refusing food or drink from the hosting
First Nation may be considered
disrespectful.
Communicate in person rather than by
email or telephone.
Communicate effectively
Let people finish what they are saying
and respect silences after someone has
finished speaking.
Be prepared to work in a highly emotional
environment when discussing some issues,
and be prepared to listen and not take an
issue personally.
Never refer to First Nations as stakeholders
nor use the term institutionalize; both have
negative associations.
Some individuals avoid direct eye contact
as a sign of respect; do not interpret this
as shyness or being untrustworthy.
Remember, keep things light! Humour is
important.
Make effective decisions
Plan a sufficient amount of time for
meetings, especially if decisions need
to be made.
Try to avoid situations with authoritative
decision making or imposed solutions; look
for building consensus in the group, and
decisions will be more legitimate.
Individuals can become uncomfortable
if asked to make decisions for the group.
Oftentimes, community consultation, collective decision making, and permission to
make decisions must occur.
1.2 Working with municipal governments: A guide for First Nations

Similar to First Nations communities, there is a significant amount of diversity among
municipalities across Canada with regard to their population, size, geography and capacity.
Therefore, when considering working with a nearby municipality for the provision of services,
it is important to take time to learn the specifics of their unique community, government
and needs.
Why would a
municipality and
First Nations
want to work
together?
UNIT
The incentives for service agreements include economies of scale and

other benefits to building partnerships, such as the following:
Improving relationships (community-to-community, government-togovernment)
Enhancing social standards
Providing growth and new opportunities to both municipal and First
Nations communities
Building a stronger labour force
Increasing capacity with both political and technical staff, due to
knowledge sharing
Implementing working partnerships that become business as usual
Accommodating regulatory changes; working together to meet
standards
Improving levels of service
Realizing financial savings
Maintaining healthy communities and regions is in everyones interest.
First Nations and municipalities share many of the same responsibilities
as their residents. In many cases, community members live on the reserve
or in a municipality and have family in both communities. Thus, cooperation is important to ensure good relationships, strong communities, and
improved services to community members. Cooperation between municipalities and First Nations is a way to achieve a better level of service on
the large issues that require cooperation. Such issues include source water
protection, recreation and some infrastructure and services projects.
UNIT
Is it true that
municipalities
have a lot of funding because they
receive transfers
from provincial
and federal
governments and
through their
municipal tax
systems?
Municipalities across Canada have diverse sets of issues and differing

levels of capacity to deal with these challenges. Of every tax dollar collected, only eight cents go to municipal governments. With that amount
they must deliver an ever-expanding complement of human and physical
services. From child care to housing to social assistance, municipal
governments are taking over a share of the social-service costs once borne
by the federal and provincial governments. Without additional resources,
these services are funded primarily through property taxes. Municipalities often face financial constraints due to the large number of services
that they are responsible for providing to their residents versus the limited
amount of funding that they can derive from property taxes particularly
for municipalities with small populations.
Municipalities must plan carefully to ensure that they can make the
most of their limited funds. And they must deal with constraints by
making trade-offs with initiatives in their communities to ensure financial
well-being.
Myth:
Cooperation with
a municipality
is not an option
because the
federal government does not
manage it.
Across Canada, municipalities and First Nations are working together to

make stronger communities, improve regional standards of living, and
cooperate on services. Despite the differing levels of government, First
Nations and municipalities have similar community responsibilities and
concerns and are able to work together, government to government.
1.3 Tips for working effectively

toward strong relationships:
A guide for First Nations
and municipalities
Technical concerns include management of

joint facilities, service agreement negotiation,
engineering standards, community health and
safety needs, regulations and requirements.
The following section outlines some quick tips

that are commonly overlooked and should be
kept in mind by both parties while building
relationships and discussing community needs.
Although it is extremely difficult to completely

separate these items, it is easy to become sidetracked and frustrated when conversations mix
political and technical concerns. By clarifying
the purpose of each meeting, it makes it easier
for both parties to adjust expectations.
Ensure that you are talking to the right person

Generally speaking, members from both
parties should contact their equal in the other
government or community. Mayors, as political
leaders, should approach the Chief of a First
Nation, also a political leader. Band managers
should approach Chief Administrative Officers
(CAOs) as they are both heads of administration. Public works staff should feel comfortable
speaking with public works staff from their
neighbouring communities. This may change
over time as relationships grow, but it is especially important at the beginning of a relationship to show respect and ensure your concerns
are addressed in face-to-face meetings with the
right person.
Distinguish the political from the technical
Conversations about community cooperation
and service agreements can generally
be grouped into two categories: technical
concerns and political concerns. Both categories bring forward valid and varied concerns.
Political concerns include the nature of
political relationships, historical tensions,
governance (relationships between the four
levels of government), jurisdiction and policy.
UNIT
Attend as many events as possible

Make an effort to show respect for your partner
community by attending community events
(e.g., gatherings, open houses, powwows)
and meetings when you are invited. This is
a positive way to show interest in improving
government-to-government relationships and to
demonstrate a willingness to build relationships between communities. If you are unable
to attend, try to make an effort to follow up and
ensure that you can meet or attend another
upcoming event.
Joint Council Meetings

Joint Council meetings are an effective way
to get political representatives together to
provide updates on each others communities, establish relationships, and cooperate
on issues of mutual concern. Joint Council
meetings may be informal and held over a
meal or may be formalized in a commun-
ication protocol (see Unit 2, Chapter 1.7.2:
Communications protocol template).
UNIT
1.4 Community engagement

As a part of maintaining a long-term
partnership, municipalities and First
Nations must work together to generate
awareness and engage their communities on the benefits of government-togovernment relationships.
Community engagement can involve community gatherings and meetings, door-to-door
information sharing, press releases, emails
and information flyers. Although community
engagement is by no means mandatory, it acts
as a powerful mechanism:
It improves local support of communities
working in partnership.
It addresses concerns and myths from
community members.
It helps bring about behavioural changes
from residents of both communities.
These benefits ensure the sustainability of
cooperation and service agreements in the
long term.
The following section outlines several tips to

assist in organizing successful community
meetings and writing quality press and media
releases to get support for your service agreement. (For more information and additional
resources, please see Unit 2, Chapter 1.8:
Relationship building references.)
1.5
Cross-cultural awareness
In the context of First Nation and municipal

partnerships, it is important to consider crosscultural similarities and differences when
negotiating service agreements since each
groups cultural values will shape their beliefs,
perceptions and actions at individual and
community levels. Often times for partnerships to be successful and service agreements
to be signed, a period of getting to know each
other is necessary to create a foundation of
trust. This section discusses the benefits of
establishing cross-cultural awareness initiatives between municipal and First Nation
governments as a stepping stone to service
agreements, which includes tips for communicating and topics to consider including in a
cross-cultural workshop.
Is your culture oriented toward individualism or collectivism?

Individualism tend to place high value on equality, freedom, material comfort, task completion and punctuality. Typical behaviours include frustration with lateness and what is perceived
as wasted time and in getting right down to business in meetings and discussions.
Non-indigenous mainstream cultures tend to be oriented toward individualism.
Collectivism tend to value consensus, cooperation, harmony and patience. Affiliation with
others and human relations are important, and so individuals are more likely to forgive
lateness, and to take time to establish a relationship before getting down to business.
Traditional indigenous cultures tend to be oriented toward collectivism.
Source:

Aboriginal Awareness Workshop: Guide to Understanding Aboriginal Cultures in Canada, Aboriginal Affairs
and Northern Development
1.5.1 Benefits of cross-cultural

awareness
Cross-cultural awareness encourages the recognition of cultural differences while also noting
similarities through which communication,
understanding and relationships can be forged.
The following points reflect the value of gaining
a stronger sense of cross-cultural awareness:
Reduces misunderstandings and
enhances trust
Understanding and trust can be deepened
when each government is more aware of
how its and the other governments cultural
background influence their perceptions,
values and decisions.
Aids in planning, setting goals and
problem solving
Each government can plan and problemsolve more effectively as they will be more
attentive to what is important to them and
the other party.
1.5.2 Possible areas for discussion in

a cross-cultural workshop
Holding a cross-cultural workshop early in
the relationship-building process can provide
opportunities to examine cultural views and
encourage open, honest communication. This
section explores possible topics for discussion
at a municipalFirst Nation cross-cultural workshop. Some of the following topics were written
by SPARC BC and taken from the publication,
Building Bridges Together: A Resource Guide
for Intercultural Work Between Aboriginal and
Non-Aboriginal Peoples. (For more resources,
please see Unit 2, Chapter 1.8: Relationship
building resources.)
Debunk prejudices and stereotypes
A cross-cultural workshop can improve awareness of previous experience with the other
cultural group (e.g., length and type of contact)
and break down stereotypes about each culture.
It may be useful to take time to discuss ways

to challenge prejudice that exists and recognize
how it is holding your relationships back:
UNIT
What stereotypes exist in your community?

How have they been affecting your
community?
What impact do stereotypes have on you?
On your partner?
What is the best way to address these
challenges in your communities?
Learn about each others culture
This part of a cross-cultural workshop provides
an opportunity for municipal and First Nation
participants to learn about each others cultural
traditions, cultural protocols and unwritten
social rules, and cultural events. Inviting your
partnering community to an event such as a
festival or powwow can cultivate greater culture
understanding and respect.
Identify management style and
administrative processes
Sometimes First Nationmunicipal relationships can face challenges related to a lack
of knowledge of political and administrative
structures. Communities must also be aware of
challenges that both municipal and First Nation
administrations face (i.e., underfunding, lack
of capacity, limited resources). Areas to discuss
include the following:
Leadership differences (staff functions/responsibilities, election process, etc.)
Organizational process and operations
(funding, decision making process, etc.)
discussing your communitys vision and
goals
For more information about municipal and
First Nations governance structures, please see
Unit 2, Chapter 2.2: Municipal governance
structures and Unit 2, Chapter 2.3: First
Nations governance structures.
UNIT
1.5.3 Applying this knowledge in your

working relationship
By gaining a better understanding of your
neighbouring community through some of the
strategies outlined in this section, you can
apply this new understanding to your working
relationship and improve collaboration. There
are several concepts to keep in mind:
Remember that the core of any successful
relationship is respect and trust.
Look for common goals and opportunities
to work together while identifying gaps.
Comply with other partys negotiation

protocols in a way that is comfortable
for all parties.
Appreciate that people from diverse
cultures attach different meanings or
importance to similar situations.
Develop a clear understanding of how the
other party defines the situation and the
issues to be discussed.
Develop a consistent method for communication throughout the negotiation process.
1.6 Checklist for positive relationship-building

The following section highlights ways in which both First Nations governments and
municipal governments can ensure effective relationships. For practical application of
these principles, please see Unit 3: Guide to Service Agreements.
Be respectful
A successful working relationship will be based on a solid foundation of respect. This means
taking time to learn about your partner, their values, perspectives and community. Being
respectful also means carefully considering the impact of your actions on the other.
Communicate openly
The best way to get to know your neighbour is to have regular face-to-face meetings where
open and respectful communication is encouraged. Service agreements cannot be negotiated
by correspondence; the issues are too complex for such an approach. Open, in-person discussions will help avoid misunderstandings.
Create value for both parties

Creating mutual goals and keeping your eye on the big picture will help relationships move
forward and help everyone strive to overcome obstacles.
Have realistic expectations

Although it may be obvious, it is worth stating that the issues to be addressed in a service
agreement cannot be resolved in only one meeting. The goal of the first meeting between the
municipality and First Nation should simply be for each party to gain a better understanding
of the other partys concerns and what may be needed to address them.
UNIT
Use bottom-up approaches

When working between governments, it is easy to forget that cooperation and solid relationships also need to occur at a community level. By engaging citizens in information sessions,
workshops and consultations, the entire community benefits and cooperation agreements will
be more widely accepted (please see Unit 2, Chapter 1.4: Community engagement).
Practise integrity
Practicing integrity means working honestly and openly and following through on promises
and obligations. It is closely linked with being trustworthy and being able to trust others, all of
which are important to keep in mind while building relationships.
Use resources and experts

Dont go it alone! Although the process of relationship building seems overwhelming, there are
plenty of resources, contacts, and experts available to help you. They can answer any questions you may have about relationship building, dispute resolution, service agreements and
community infrastructure. Refer to our chapter-end references, annotated bibliography and
case study section for more information.
Be flexible
While working in large groups and dealing with complex issues, it is easy to become frustrated
and overwhelmed and to experience delays. By being flexible, you are being responsive to
change and reducing stress and disappointment if things do not go exactly as planned.
Practise equality
Make sure that everyone in the relationship feels like they are being treated fairly. If equality is
not possible, ensure that there is a well-understood reason for any difference in treatment.
Think long-term
Plan for the long term and establish where you would like to see your community in 2550
years. You will then be better able to establish your priorities today and identify possibilities
for collaboration in the future.
Clarify decision-making processes and responsibilities

To make your partnership most effective, it is important that both parties clarify decision-
making processes (i.e., consensus-based, vote-based) and that parties understand their
responsibilities to attend meetings, participate in decisions and use dispute resolution
techniques when necessary. It is important for everyone to understand exactly what the
various actors can offer and what they cannot. By being open, it is easier to establish each
actors role in achieving shared objectives.
Establish systems for dispute resolution

In cases where there are disagreements among parties, an established dispute-resolution
system can help parties resolve conflict before relationships are negatively affected. For more
information about dispute resolution, see Unit 2, Chapter 3: Collaborative Dispute Resolution.
UNIT
1.7 Tools: Templates for

relationship building
Making contact with your neighbour may seem
overwhelming at first. How do you introduce
yourself and begin to build a relationship?
How can you formalize a relationship and
ensure that you and your neighbour are meeting on a regular basis to discuss community
development and concerns? The following
tools will help you approach your neighbour
or, if your communities and governments have
already been in contact, help you to ensure
that your communities will make time for each
other on a regular basis.
1.7.1 Letter of intent template

A letter of intent is a brief letter, usually no
more than one page, that outlines why and
how your community would like to build a
relationship with the letter recipients community. This type of letter can be used to encourage future meetings and informal discussions
where individual community visions can be
discussed and ways in which joint concerns
may be dealt with. A letter of intent is a broad
form of communication. It can be used when
communicating between high-level elected
officials such as the Chief, the Mayor, the
band council or the municipal council.
Note: The template provided is not a legal
document and is intended for guidance
purposes only.
Letter of intent
UNIT
[Name of First Nation or Municipality]

[Date]
[Name]
[Position (e.g., Mayor/Chief)]
[Address]
Dear [Name of recipient(s)],

I would like to introduce myself as the [position] of [Name of First Nation or Municipality].
I have been working with [Name of First Nation or Municipality] for [number of years/months].
Lately, my community has been focusing on:
[Discuss current overall objectives in your community, for example, economic development,
increasing environmental sustainability, or improving services or infrastructure.]
In the next 30 days, I would like to schedule a casual [get-to-know-you meeting/breakfast/lunch/
dinner] where we can learn more about each other and discuss our respective communities and
our visions for the future. As we both know, it is important to know your neighbour and work
together for better outcomes for both communities and the region. Please let me know if there
is a convenient time for you to meet with me.
I look forward to building a relationship with you and your community.
Sincerely,
[Signature]
[Name]
UNIT
1.7.2 Communications protocol

template
A communications protocol agreement defines
the parameters of a relationship between two
or more communities. A communications
protocol may also be called a memorandum
of understanding, community accord,
relationship agreement or communications
agreement. Generally, communities that have
established a mutual interest and identified
common community or regional goals will
enter into a communications protocol agreement. This ensures that regular meetings and
ongoing information sharing will occur beyond
the current terms of elected governments. It
is a representation of a long-term commitment. The terms of the protocol may be as
specific or vague as the parties prefer, including whether the agreement is intended to
be binding or non-binding. Generally, a
communications protocol will outline the
following basic ideas:
Date and Parties: Signatories and when the
agreement was created.
Whereas: General statements which outline
why cooperating or communicating are important, statements recognizing jurisdiction and
rights, any other statements which reflect the
general feeling of the document.
Now therefore parties agree to the following:
Purpose and objectives of the agreement
Principles and values: To guide the
relationship (e.g., fairness, transparency,
respect, recognition)
Key interests: topics of mutual interest/

concern (e.g., service agreements, roads,
environmental sustainability, youth
engagement, planning)
Process:
frequency of policy and administrativelevel meetings
creation of implementation committees
or working groups
engagement between administrative and
technical levels
how to share and safeguard information
how meetings will be chaired
how agendas will be produced
the process for decision making
time/location of meetings
Dispute resolution: What to do with
misinterpretation or disagreement
(refer to ADR in toolkit)
Terms: how document takes effect, how it gets
revised or amended, how long it is valid for
Signatures: who, when, where
A communications protocol must be tailored
to meet the unique needs of both communities; sections may be added to or deleted from
the template (below) as necessary.
Note: The template provided is not a legal
document and is intended for guidance
purposes only.
Communications protocol template

UNIT
THIS COMMUNICATIONS PROTOCOL made effective as of [date]

BETWEEN:
[Address]
(hereinafter called the First Nation/Municipality)
AND:
[Address]
(hereinafter called the First Nation/Municipality)
(collectively, the Parties)
WHEREAS:
A. This Communications Protocol is designed to establish a positive working relationship

based on common local interests.
B. Good communication is essential for maintaining a working relationship and reaching

mutual agreement on any subject.
C. The Parties recognize that working together pursuant to a cooperative government-to-

government relationship will facilitate the sharing of information, improve communications,

and establish a solid foundation for future planning.
D. There is value to both Parties in working together on a number of practical items in

each community.
1.0 GOVERNING PRINCIPLES OF COMMUNICATION

1.1 The Communications Protocol represents that the First Nation and the Municipality

shall work together with mutual respect and recognition.
1.2 The Parties agree to open and frank communications with each other on areas

of mutual interest.

1.3 There is a commitment by the First Nation and the Municipality to meet [on an

ongoing basis, at least quarterly, or more frequently as desired] to discuss issues

of common concern and interest.
2.0 JURISDICTION

2.1 The Parties endeavour to understand and respect each Partys present and future

jurisdiction and each others unique points of view.
UNIT
3.0 TERM AND TERMINATION

3.1 This Protocol will remain in effect until [Date] or until replaced by the Parties with a

successor agreement or is terminated by one of the Parties pursuant to section 3.2;
3.2 This Protocol may be terminated by either Party on [Number of months] months prior

written notice to the other Party.
4.0 MUTUAL CONFIDENTIALITY

4.1

Each Party will take all prudent measures to ensure that any information, including
traditional knowledge, documents, reports or other material (hereinafter called
information) provided by it to the other Party pursuant to or in connection with
this Communications Protocol is treated as confidential and is not disclosed to any
person except:
4.2

Without limiting the generality of Section 4.1, each party agrees that to ensure the
foregoing confidentiality obligation is met, it will, from time to time, either in writing
or verbally, expressly identify information as confidential or non-confidential to assist
the other Party in fulfilling its confidentiality obligation.
a. as may be required by law;

b. as otherwise consented to in advance by the other Party.
5.0 REPRESENTATIVES

5.1

The Parties acknowledge and agree that they shall each, within 30 days of the
signing of the Protocol, appoint a principal representative who shall initially be
[Position in the band government; e.g., Chief] from the First Nation and [Position in
the municipal government; e.g. Mayor] from the municipality as well as an alternative
representative to act on behalf of the principal representative in the event the
principal representative is unavailable.
6.0 COMMUNICATIONS FUNCTIONS

6.1 The Parties will dedicate the resources necessary to engage effectively in the process

and will work together to ensure that the parties gave a full understanding of each

others capacities, traditional roles, responsibilities, and current projects.
6.2 The Parties will make best efforts to ensure staff resources are available to

implement this Communications Protocol.
7.0 PUBLICITY

7.1 The Parties acknowledge and agree that all communication regarding this

Communications Protocol and the matters set out herein will be jointly agreed

upon prior to any public releases, subject to each Partys respective legal rights.
UNIT
8.0 AMENDMENTS

8.1 This Communications Protocol may be amended from time to time by written

agreement by both the Municipality and the First Nation to reflect changes in

the relationship between the parties.
9.0 NOTICE

9.1 The address for delivery of any notice or other written communication required or

permitted to be given in accordance with this Agreement, including any notice

advising the other Party of any change of address, shall be as follows:
(a) to Municipality:

[Provide Address including the attention the letter should be directed to and other

relevant contact information]
(b) to First Nation:

[Provide Address including the attention the letter should be directed to and other

relevant contact information]
9.2

9.3 The Parties may change their address for delivery of any notice or other written

communication in accordance with Section 9.1.
Any notice mailed shall be deemed to have been received on the fifth (5th) business
day following the date of mailing. By notice faxed or emailed will be deemed to have
been received on the first (1st) business day following the date of transmission. For
the purposes of Section 9.2, the term business day shall mean Monday to Friday,
inclusive of each week, excluding days that are statutory holidays in the Province of
[name of province].
10.0 GENERAL TERMS

10.1 This Communication Protocol does not affect any Aboriginal right, title or interest of

the First Nation.
10.2 This Communication Protocol does not prejudice or affect each of the Parties respec-

tive rights, powers, duties or obligations in the exercise of their respective functions.
10.3 This Communication Protocol is in addition to any other agreements that already exist

between the Parties and is not intended to replace any such agreement. It is in-

tended to indicate the Parties intention to work co-operatively together to resolve

issues of mutual concern.
10.4 The Parties agree that it is not intended to be a legally binding agreement, except for

the obligations in Section 4.1 above.
UNIT
IN WITNESS HEREOF the Parties have signed the Communications Protocol effective as of the
date first written above.
By:
___________________________________________________________________________________
[Signature]
Print Name: _______________________________________________________________________
Title/Position: _______________________________________________________________________
By:
___________________________________________________________________________________
[Signature]
Print Name: _______________________________________________________________________
Title/Position: _______________________________________________________________________
UNIT
1.8 Relationship building references

Fact Sheet: Top Misconceptions about Aboriginal People
Assembly of First Nations (AFN)
This document is a concise guide to addressing common myths and stereotypes about Aboriginal
people in Canada. It also contains a list of resources for further information.
Building Bridges Together: A Resource Guide for Intercultural Work between Aboriginal
and Non-Aboriginal Peoples
SPARC BC
This publication offers tips for addressing racism and stereotyping in intercultural relationships.
Tools and questions to help better understand how these issues affect relationships are presented
throughout the document. A number of case studies regarding overcoming obstacles in
relationship-building are showcased.
Towards Sound Government to Government Relations with First Nations:
A Proposed Analytical Tool
Institute On Governance, John Graham and Jake Wilson
The purpose of this paper is to answer the questions What constitutes good government-to-
government relationships within Canadas federal system? and How does the understanding
of such a relationship have to be modified or refined to account for the special place of First
Nations in Canada? By addressing these two questions, the document provides parties with a
tool to analyze more effectively the initiatives being proposed by governments. This tool provides a
series of criteria and related questions organized around five good governance principles that are
based on work done by the United Nations Development Program (Fairness, Direction, Legitimacy
and Voice, Accountability, and Performance).
Building Trust: Capturing the Promise of Accountability in an Aboriginal Context
Institute On Governance
This paper discusses governmental accountability.
Aboriginal Awareness Workshop: Guide to Understanding Aboriginal Cultures in Canada
Indian and Northern Affairs Canada (now called Aboriginal Affairs and Northern Development)
This booklet provides background information about Aboriginal history, culture and communities
in Canada. Some information covered in this resource includes Aboriginal perspectives on history,
Aboriginal and treaty rights, Aboriginal constitutional matters and guidelines for communicating
across cultures. Individual modules of this guide are also available for the following provinces and
regions: Alberta, Atlantic Canada, British Columbia, Manitoba, Northwest Territories and Nunavut,
Ontario, Saskatchewan, and Quebec.
UNIT
Aboriginal Awareness Guide

Indian and Northern Affairs Canada, (now called Aboriginal Affairs and Northern Development)
BC Regional Office
This document provides basic information about sensitivity and cultural awareness when
working with Aboriginal people. Tips on communication, stories and a pronunciation guide
for all First Nations in British Columbia are included.
First Nations Communication Toolkit
Indian and Northern Affairs Canada (now called Aboriginal Affairs and Northern Development)
This toolkit contains tips for creating a communications strategy and developing communications
strategy components including media releases, community meetings and engagement, and
communications planning.
Building Relations with First Nations: A Handbook for Local Governments
Lower Mainland Treaty Advisory Committee (LMTAC)
This handbook provides a concise summary of reference papers, reports and examples that
explore new and innovative approaches to establish positive intergovernmental relations
between neighbouring First Nations and local governments.
Alberta Native Friendship Centres Association Common Ground Facilitators Toolkit
Alberta Native Friendship Centres Association
The Common Ground Project is a relationship-building effort that is based on traditional
Aboriginal perspectives, customs and processes designed by the Alberta Native Friendship
Centres Association. Although its focus is on municipalities engaging urban Aboriginal
populations, it provides great resources for community engagement, relationship building,
and working with a variety of stakeholders in a community environment.
UNIT
2. Municipal and First Nations

governance structures
To begin to understand how First Nations and municipalities can work together to provide services,
it is necessary to understand:

The basic structure of the government

The level of authority within the government
The functions of the government
The services that the government can provide
The revenue sources of both forms of government
This section clarifies roles and responsibilities and provides a comparison between First Nation
and municipal governments so that service agreements can be approached more effectively.
2.1 Similarities and differences

By examining each system of governance and
the services that each government provides to
their community members, it is clear that First
Nations and municipalities have several key
similarities. These similarities make collaboration an effective way to ensure communities
are achieving their goals.
Communities across Canada have similar
problems with urbanrural divide, and the
capacity and funding that is dictated by community size and remoteness. For urban municipalities and First Nations band councils are
increasingly partnering in their urban areas.
Band councils often have common interests in
issues pertaining to the environment, provision
of services, and land-use planning. Municipalities and First Nations have many parallel
government structures and are responsible
for providing many of the same services to
their residents. This makes collaboration for
services a reasonable option for delegating
responsibilities and achieving goals.
The following chart provides a quick summary
of similarities and differences in governance
structures. For more information about specific governance structures, please see Unit 2,
Chapter 2.2: Municipal governance structures,
Unit 2, Chapter 2.3: First Nations governance
structures, and Unit 2, Chapter 2.4:
Governance structure references.
UNIT
Table 2: First Nations versus municipal government structures and services

First Nations
Municipality
Comparison
Legislation
federal
Indian Act
treaties
self-government
provincial
municipal acts
Both responsibilities dictated by a

higher-level body, whether that be
the provincial government and
municipal acts, or the federal government, treaties, and the Indian Act.
Local government
band council
municipal council
Band councils and municipal councils

play a similar role in terms of their
decision-making authority.
Head of local government
Chief
Mayor
Reeve
Chief Elected Official
Chiefs and Mayors play a similar role

in terms of their decision-making
authority.
Regional governance
tribal council
regional district commission

metropolitan community
Both may partner with other governments to form regional bodies to

discuss issues of mutual concern.
Head of administration
Band manager
Chief Administrative Officer

(CAO)
First Nations and municipal governments rely heavily on their respective

administrations for necessary program
delivery and support.
Services provided
animal control
band council resolutions
business licensing
elections
establishment of user fees
fire protection
forest protection
housing maintenance
hunting and fishing regulation
immunization and quarantine
land-use planning
law and order
lease land management
management of intoxicants
residential regulation
road and bridge construction
solid waste collection
storm water
street lamps
survey of lands
taxation
traffic control
water and wastewater
zoning
animal control
bylaws
cemeteries
community programming
emergency planning
fire protection
land management
local roads
managing local elections
parks and recreation
planning
policing
preparation of budgets
public libraries
public transit
regulation (building permits)
sidewalks
snow removal
solid waste collection
storm water
street lamps
survey of lands
taxation
water and wastewater
zoning
Municipalities and First Nations

experience a great deal of autonomy.
This in terms of establishing local
priorities and making decisions on the
best way to provide their communities
with necessary services and ensuring
residents well-being. First Nations
and municipal governments provide
key services such as water and wastewater, solid waste management, fire
protection, and land-use planning.
federal (transfers,
funding agreements)
tribal councils
organizations (grants)
taxation
provincial transfers
organizations (grants)
federal grants
First Nations and municipal governments are responsible for ensuring

that their initiatives are backed by
funds, whether that is through taxation, user fees, or transfer payments
from other government bodies. All
municipalities receive the most
significant source of funding from
property taxes and business taxes.
However, not all First Nations have
chosen to tax their members or charge
similar rates of user fees for services.
Funding

Source: Community Infrastructure Partnership Program, CIPP, January 2011.
A key difference in terms of law

enforcement is that municipalities
will often create bylaws to tailor laws
to local needs and concerns. The
decision to pass the bylaw lies strictly
with the municipal council. A First
Nation will more frequently pass band
council resolutions as they may be
passed solely with the approval of the
band council. However, bylaws must
be submitted to Aboriginal Affairs
and Northern Development (AANDC)
for approval and are thus much more
time-consuming and tedious.
2.2 Municipal governance

structures
The way municipalities are referred to varies
greatly from province to province. They can
be defined as any local government below the
provincial level with the most significant being
a municipality. Some other common examples
include cities, towns, regional districts, townships, and metropolitan municipalities. Across
the country, close to 3,700 municipal authorities deliver services to local communities.
2.2.1 Municipal acts and ministries

Each province is responsible for its municipalities and organizes those municipalities under
a provincial Municipal Act, which outlines the
roles and responsibilities of municipal governments in relation to the provincial government.
Due to this arrangement, municipal structures
differ depending on the province. However,
each province has a legislative assembly that
is responsible for creating municipalities, altering borders and modifying legislation. Each
province has a ministry that is responsible for
municipal affairs, which includes enforcing
general rules surrounding municipal operations
and taxation.
2.2.2 Municipal councils

Mayor, Reeve or Chief Elected Official
The head of the elected municipal council can
be referred to as a Mayor, Reeve, Chief elected
official, or head of council depending on the
province. In some cases, names differ within
the province. In this document, we refer to this
position as the Mayor. The Mayor is head of the
municipal council, although he or she has little
independent control. Mayors chair all meetings,
can attend any special committee meetings
and may provide recommendations to council.
Mayors act as the spokesperson and as the
figurehead of the council and municipality.
The Mayor is elected by the community
at large.
Municipal council
The municipal councils are responsible for a
variety of services including transportation, road
maintenance, parks and recreation facilities,
land-use planning, local economic development, wastewater treatment, potable water
provision, solid waste and recycling programs,
some social services, education and in some
cases local health services. They also have the
power to subcontract a service. For example,
the city could hire a private company to collect
waste rather than running its own waste collection program. Every municipal council will have
different priorities or focus areas based on local
needs, current provincial policies and local
traditions.
UNIT
In many cases, the municipal council will form

a series of committees that are responsible for
directing municipal public service. The number
of committees will be completely dependent on
the size of the municipality and the municipalitys needs. The councillors on each committee
will report back to the municipal council and
make recommendations.
Municipal councils include the Mayor and
councillors for a municipality.
Councillors
Councillors are elected differently in each
municipality, but there are two primary ways.
In the first system, municipal councillors are
elected at large. This means that all voters
within a municipal boundary will select a
predetermined number of councillors out of all
of the candidates in the entire municipality. For
example, if there are six councillor positions
and ten candidates running in the election, the
six candidates with the overall highest number
of votes will get the positions.
The second system involves partitioning the
municipality into wards or sections. Each ward
may have one or in some cases two councillors. Voters in each ward may only vote for the
candidates who are running for election in
UNIT
their ward. The candidate(s) with the highest

number of votes in each ward will form the
municipal council.
Regional district councils
Regional district councils are made up a series
of elected municipal officials from several
municipalities who have been appointed to
represent their municipality on the regional
district council. In some cases, individual
municipalities may have a separate election to
choose who should represent the municipality
at the regional level. Regional district councils
have a variety of responsibilities as they relate
to the overall well-being of the region. For
example, this could include medium- and
long-term planning for infrastructure, water
management, public safety and regional
roads.
Special authorities
Special authorities are more autonomous than
a regional district council. Municipalities will
voluntarily cooperate on specific issues where
common interests are shared and resources
can be pooled to make for more effective
service delivery. In many cases, authorities will
exist for solid waste collection, recycling and
hazardous waste programs, and public transit.
A board of directors, made up of elected officials from the participating municipalities,
controls special authorities.
Metropolitan community councils
Metropolitan community councils consist of
several municipalities and are therefore headed by a council, which is made up of elected
officials who have been appointed to represent
their community. Metropolitan communities
are responsible for policies related to regional
planning, economic development, solid waste,
public transit and equipment and infrastructure for the metropolitan community. Metro
Vancouver Regional District and the Quebec
Metropolitan Community are examples of
metropolitan communities.
2.2.3 Municipal administration

The Mayor and council ensure the creation of
policy and steer the direction of the municipality. However, the municipal administration
is responsible for ensuring that all the services
and activities that the municipality must
or decides to undertake are administered.
The employees who make up a municipal
administration have a wide variety of skill sets.
They include accountants, fire fighters, public
works personnel, community planners, animal
control staff, secretaries, engineers, truck drivers and recreation directors.
Chief Administrative Officer (CAO)
The Chief Administrative Officer is responsible
for ensuring that all policies and services are
delivered smoothly. Some tasks that a CAO
may have are drawing up bylaws, preparing
agendas and minutes, publishing official
notices and providing information to the
public. The CAO acts as the connection
between the Mayor, council and the municipal
administration. They also may provide advice
to the council and represent the council in negotiations with other governments or agencies.
2.2.4 Municipal services

Each province has a municipal act, which
defines specifically which services each
municipality is responsible for. It is often
difficult to completely delineate which responsibilities are held solely by the municipality or
what should be taken care of by the provincial
or territorial governments or the federal government. The level of service provided by each
municipality varies greatly across Canada. It
is completely dependent on the size of the
municipality and what level of services the
municipality may afford. For example, some
municipalities can afford a full-time fire
department while smaller ones may have a
volunteer fire department. A full list of services is provided in Table 1 in Unit 2, Chapter
2.3: First Nations governance structures.
Shared municipal and provincial services

Some services are split between the province
and the municipality, although some provinces
stipulate that the municipality or the province
alone is responsible for the following services.
For the most part, these services are areas of
joint responsibility:
emergency response and
ambulance services
preservation of agricultural lands
policing services
2.2.5 Municipal funding

Taxation
Municipalities, unlike the federal and provincial
governments cannot charge personal income
tax and taxes on corporations; therefore,
municipalities tax property within their boundaries as a source of revenue. Local authorities
set tax rates based on their average annual expenditures and therefore property tax rates vary
greatly across Canada. Municipalities also may
charge municipal taxes to cover the cost of services (such as solid waste collection, recycling
and snow removal) or on a pay-per-use basis
(such as entrance fees to a recreation facility).
Transfer payments
Municipalities also receive transfer payments
from the provincial government. In some cases
the payments can be used as the municipality
deems appropriate. In other cases funding may
be granted to the municipality with specific
programs and goals in mind.
2.3 First Nations governance

structures
UNIT
Today, the structure of the Chief and council

governance on First Nations reserves reflects
the changes enforced by the British and Canadian governments since the 19th century. This
structure became formalized in the Indian Act.
Since the initial formalization, band council
structures are increasingly flexible in terms
of the extent to which traditional political
structures and decision-making processes are
observed and the types of issues that band
councils deal with.
Due to the relative flexibility that has been
realized, First Nations governance structures
vary greatly across Canada. While some exist
with minimal governance, others are completely
self-governing, although most fall somewhere in
between.
Today, many First Nation communities manage
multimillion-dollar administrative operations
that deliver services in the areas of economic
development, health, housing, public works,
recreation, education and social services.
2.3.1 The Indian Act

The Indian Act outlines the procedure for
selecting a Chief and council. The Act does
not provide a framework for the separation of
political and administrative functions in a band
nor the way in which finances will be managed.
First Nations must deal with growing responsibilities in band administration, increased
pressures of transparency and accountability
and increased complexity in governance. This
causes a fair amount of diversity in the ways in
which bands are run based on band policy and
unique administrative organization.
UNIT
2.3.2 Chief and council
2.3.3 Tribal councils
Band council regulations are outlined in

Section 74 of the Indian Act. According to
the Indian Act, each band will have one Chief
who is elected either by majority vote by the
community at large or by majority vote of the
elected councillors. After a Chief is elected,
he or she is still considered a councillor and is
able to vote in community affairs. Councillors
may be elected by the community at large or
by electoral wards or sections. By default, all
bands vote at large for their council members,
unless a band-wide referendum was held to
determine that the reserve should be divided
into wards or sections. According to the Indian
Act, there must be at least one councillor
for every 100 band members, although each
band council may have a minimum of two
councillors and a maximum of 12 councillors.
Tribal councils act as an important form of

First Nations governance. They consist of a
grouping of bands from a region with similar
interests that join together on a voluntary
basis. Tribal councils can offer services and
programs to their member First Nations and
may form agreements with other federal departments such as Health Canada and Natural
Resources Canada.
Chief and council are elected for two-year

terms in accordance with the Indian Act.
According to Aboriginal Affairs and Northern
Development Canada (AANDC), there are
three ways in which a Chief and council
may be selected: using an election process
outlined in the Indian Act (252 bands);
using a custom system that was developed
by the community (333 bands); and finally,
using a system that was developed under a
self-governance agreement (29 bands).
Custom systems may refer to either a system
of hereditary leadership in which no elections
are held or may refer to election protocols that
have been developed and ratified by the community. Custom systems may not be reflective
of pre-European contact forms of governance,
but often provide local contextualization of
the Indian Act processes. Some communities
may not have formalized protocols; they may
simply follow a system that was agreed upon
informally and has been in place for many
years.
Representatives of tribal councils are usually

Chiefs or elected band council members and
are extremely flexible as to the issues they
address. AANDC has devolved many of its
advisory functions to tribal councils and they
may as a result be responsible for economic
development, comprehensive community
planning, technical services, and band
governance issues. Funding from AANDC is
based directly on the services that the tribal
council provides. There are approximately
78 tribal councils across Canada serving
475 First Nations.
2.3.4 Band administration

The Chief and band council steer the direction
of the community and make decisions pertinent to a communitys well-being. However,
the band administration is responsible for
ensuring that all the services and activities
that the council must or decides to undertake
are administered to the community. Band
administration employees have a wide variety
of skill sets. They include financial experts,
fire fighters, day care workers, public works
personnel, community planners, animal control staff, social services directors, secretaries,
engineers and truck drivers.
Band manager
The band manager is the head of the band
administration and is responsible for ensuring
that all policies and services are delivered
smoothly to the First Nation. Some tasks
that a band manager may have are preparing
agendas and minutes, advising the band council, publishing official notices and providing
information to the public. The band manager
works closely with the Chief, council and band
administration staff. He or she may provide
advice to the council and represent the council in negotiations with other governments or
agencies. Occasionally, the band manager may
also be a member of the band council.
2.3.5 Social structure

Elders
Elders are men or women in the community
whose wisdom about culture, spirituality and
life is recognized. Community members traditionally value the input of Elders in matters related to the community, whether such matters
concern traditional or contemporary issues.
2.3.6 Band services

Section 81 of the Indian Act outlines the
responsibility of the band council to provide
services to the band. It also details the scope
to which bands have bylaw-making authorities;
this section of the Indian Act contains the
majority of local responsibilities. Section 83,
which was later amended with the Kamloops
Amendment, expands on the bands ability to
tax lands, leased lands and businesses. A full
list of services outlined in the Indian Act is
provided in Table 2 in Unit 2, Chapter 2.1.
2.3.7 Band funding

Taxation and user fees
Section 83 of the Indian Act provides that
band councils have the power to establish
property tax regimes on reserve. To collect
property taxes, the band council is required
to create several bylaws that must first be
approved by the Minister of AANDC upon the
recommendation of the First Nations Taxation
Commission. The bylaws that must be passed
include the Real Property Tax and Assessment
Bylaw and the Annual Rates Bylaw. Because
this is an optional source of funding that must
be instigated by the band council of each First

Nation, not all bands will have revenue from
property taxation. Currently, 120 First Nations
charge property taxes across Canada.
UNIT
Band councils, under Section 81 of the Indian

Act also have the ability to institute user fees
for services such as electricity, water, wastewater and solid waste collection. The extent to
which a band council decides to charge user
fees varies from band to band.
Transfer payments
AANDC provides transfer payments to First
Nations governments for the provision of
programs and services, which the First Nation
is responsible for providing to its residents.
Generally, this funding is linked to funding
agreements, which stipulate the specific
terms and conditions that must be met.
Funding agreements
Funding agreements have terms and conditions attached to them that may include
stipulations. These could include the provision
of records, financial reporting, program reporting and provision of specific project goals
and requirements (e.g., policy development
and training).
Contribution agreement
A contribution agreement is an agreement under which the party that undertakes the work
(provides the services, etc.) receives a refund
of actual expenditures for a specific project.
Flexible transfer agreement
A flexible transfer agreement is an agreement
where funding is provided in advance of a
projects completion. The band may retain
any surplus funding provided that the terms
and conditions of the agreement have
been fulfilled.
Grant
A grant is an unconditional transfer of
funds from the federal government to an
individual band.
UNIT
2.4 Governance structure references

First Nations Governance
Aboriginal Affairs and Northern Development
This website provides more information about First Nations governance structures in Canada
and explains which functions of First Nations governments are supported by AANDC. Additional
information about tribal councils and other forms of First Nations governance can be explored
by following the links provided on the website.
Your Guide to Municipal Institutions in Canada
Federation of Canadian Municipalities
This publication provides an overview of the roles of municipal governments across Canada
and provides some province-to-province comparisons on the way municipalities are managed.
Information about roles, funding and services are discussed.
Local Government in British Columbia: A Community Effort
Union of British Columbia Municipalities
This publication provides an overview of the roles of municipal governments in British Columbia.
Information about roles, funding and services are discussed.
Interactive Map First Nations Communities in Canada
This map includes all First Nations communities in Canada and includes reserve boundaries and,
when zoomed in, the names of the communities in the area. You can click a reserve name to view
that communitys profile, which includes population, Chief, electoral system, address and links
to band websites and other websites of interest. You can also click the link, First Nation Profile,
to view the telephone and fax numbers.
First Nations of Ontario Community Profiles
Chiefs of Ontario
This website provides a variety of facts about most of the First Nations in Ontario. Although
most statistics are also available on the AANDC community profiles website, this site provides
profiles of service agreements and other areas of cooperation (education, for example) with
neighbouring communities.
UNIT
3. Collaborative dispute resolution

Municipalities and First Nations should have a good understanding of the principles of dispute
resolution. These principles will help them to work through disagreements in an effective manner
without damaging their relationship or reversing any steps accomplished in terms of cooperation
and trust.
Dispute and conflict resolution provide excellent opportunities for individuals to work together,
brainstorm new ideas and make improvements to existing structures. However, the ability of a
group to recover from disagreements is directly linked to their willingness to participate in a variety
of methods to achieve a positive outcome.
This chapter provides collaborative dispute-resolution tips and resources for communities no
matter which of the following stages of service agreement development they are at: relationship
building, negotiating the service agreement terms, implementing the agreement or during the
service agreement renegotiation process.
3.1 Prevention
Establishing a proactive relationship at the
beginning of a relationship by addressing the
interests of both communities should be the
first priority. This can help communities avoid
disputes and strains to their relationship.
The most common and effective methods for
preventing potential conflicts are as follows:
Consensus building
When working with a municipal or First
Nation partner, the objective should be
that both parties work on consensusbased decisions while relationships and
service agreements move forward. By
ensuring that all parties are on the same
page and by negotiating each issue within
the group, resentment that could develop
by majority voting processes can be
avoided. Although consensus building

is initially more time-consuming, it may
save time in the long run.
Negotiated rule making

Negotiated rule making means agreeing on procedures for how discussions
will take place. Some examples include
how often meetings will occur, how the
agenda will be set and how decisions will
be made (e.g., through consensus or by
voting). By negotiating rules, informationbased disputes are least likely to occur.
Joint problem solving

Joint problem solving involves addressing all issues that arise in an open and
timely manner. By bringing concerns to
the table, all parties are, at the very least,
aware of problems that need to be addressed before they get out of hand.
UNIT
Consultation and engagement

The consultation process is often part of a
regular decision-making process. It is also
a dispute-prevention mechanism as it can
ensure that all partners and communities
are aware of the decisions being made
and that they have a chance to voice their
concerns. Consultation is the basis of a
variety of procedures referred to as public
consultation, public participation and
public involvement. Methods of consultation range from formal public hearings to
more engaging or interactive techniques
such as workshops and advisory committees. The final decision making is up to
the parties involved and if the results
from consultation are taken seriously, the
negotiation method can prevent communities from feeling alienated from the
decision-making process. Consultation
processes often lead to high expectations
on the part of the parties being consulted.
They may also lead to feelings of rejection
or abuse if the consulted parties feel that
their concerns have not been heard.
Cross-cultural awareness
Disputes can occur due to cultural
misunderstanding or misinformation.
By building cross-cultural understanding
between communities, these disputes are
less likely to occur (please see Unit 2,
Chapter 1.5: Cross-cultural awareness.)
3.2 Alternative dispute resolution

Alternative dispute resolution (ADR) refers to
a number of methods that parties can use to
assist in the resolution of disputes outside the
court system. The processes for each method
vary in terms of third-party involvement and
consensus building, and in how binding the
decision and resolution process is.
ADR has several advantages over traditional
forms of dispute resolution. Its high degree of
involvement by the parties in the resolution
process creates ownership and mutually
acceptable remedies. Thus, it prevents
winners and losers, which often result from
court solutions. ADR processes are flexible
allowing disputing parties a greater ability to
work creatively toward solutions in a private
setting. An effective use of ADR will make
both parties feel as if they are actively participating in the creation and maintenance
of positive relationships.
3.3 Mechanisms and methods

for dispute resolution
Despite best efforts to work preventatively,
conflict inevitability arises in some relationships. The dispute resolution process can be
plotted on a continuum as shown in Figure 1.
Ideally, parties should work from the left side
of the continuum to the right side when building relationships, setting the terms of service
agreements and then renegotiating or resolving disputes resulting from the terms of a
service agreement. This means working
through party-based decision making to
third-party mediation and finally to third-party
binding assessment of conflicts. Remember,
if an ADR process must be used, the objective
should not be to suppress conflict, but
to resolve current conflict and prevent
future conflict.
Figure 1: Dispute resolution continuum
UNIT
NEGOTIATE
ARBITRATE
MEDIATE
LITIGATE
INFORMAL
PROBLEM SOLVING
LEGISLATE
LOW COST
BUILDS RELATIONSHIPS
ENCOURAGES DIALOGUE
HIGH COST
DISCOURAGES RELATIONSHIPS
DISCOURAGES DIALOGUE
PARTIES COME UP
WITH A SOLUTION
SOLUTION IS IMPOSED
Source: Adapted from Dispute Resolution Services, Alberta Municipal Affairs.
The following definitions are to help guide you

through the ADR process. These descriptions
are organized along the lines of the continuum
(left to right in the diagram above), and can be
subdivided into three overarching approaches:
Direct discussion and negotiation occurs
between the parties with no third-party-
assistance.
The parties make third-party-assisted
negotiations and decisions.
Parties provide input and a neutral third
party provides a judgment (ruling) or
non-binding findings.
By working through the dispute resolution continuum in this manner, costs can be reduced,
parties can feel more ownership in decisions
and future conflict is less likely to occur.
1. Direct discussion and negotiation
occurs between the parties with no
third-party assistance
its position to achieve the support from the

other party to create more agreement within
the group. Bargaining represents the first
step of a resolution process as it can occur
informally while providing parties with a sense
of ownership and cooperation in the resultant decisions. However, this process is not
always effective when dealing with difficult or
complex issues where parties have polarized
positions.
Negotiation
Negotiation is an explicit form of bargaining.
Negotiations occur when parties enter into a
direct exchange, typically involving face-toface meetings, in an attempt to find some
resolution to their differences. Negotiation
is based on the idea that all parties agree to
seek an outcome acceptable to all involved by
altering positions and compromising. Should
negotiations fail to result in an agreement, a
neutral third party (e.g., a facilitator or mediator) may be used to lead discussions.
Bargaining
Bargaining refers to a process whereby parties
reach a mutually acceptable agreement. Bargaining often occurs informally. For example,
a decision-making body may choose to change
UNIT
2. The parties makes third-party-assisted

negotiations and decisions
Facilitation
Facilitation involves an independent third party to help parties understand each others concerns in a neutral manner. Facilitation does
not necessarily have to be a decision-making
process but can assist the parties in identifying the issues, the impact of the options, and
the next best alternatives available to them.
This process is advantageous because it may
offer insights into each viewpoint without
pressure to come to a decision.
Mediation
Mediation is similar to negotiation but includes the assistance of a third party or mediator. The mediator must be independent from
the parties and have no vested interest in the
outcome of the dispute. Parties should select
a mutually acceptable mediator. The process
of mediation involves three main tasks: first,
to establish mediation process expectations;
second, to represent and relay the interests,
concerns and ideas of one party to the other;
and finally, occasionally act as a facilitator in
joint discussion sessions. The mediator only
provides assistance to the parties as they
address disputes and has neither decisionmaking powers nor enforcement powers.
3. Parties provide input and a neutral
third party provides a judgment (ruling)
or non-binding findings
Fact-finding
Fact-finding is a process that enables
disputing parties to have their concerns
examined by a neutral third party who will
then recommend a settlement based on facts.
Underlying this process is the assumption
that the judgment of an independent person
will put pressure on the parties to accept
a compromise. The fact-finding process is

usually less formal than arbitration because
the conclusions of the fact-finder are not
binding on the parties. In some cases, factfinding may worsen the conflict as it may lead
to the introduction of additional issues that
were not previously identified as a problem.
Conciliation
Conciliation is a combination of the factfinding and mediation processes. Typically,
a conciliator or conciliation board is selected
to assist in the settlement of a dispute and
produces a report. This process can attempt to
settle disputes without bringing the disputing
parties into a joint meeting. Instead, independent meetings can be held and information
relayed to deliver positions in a less politically
and emotionally charged manner. If the conciliator or board is successful in mediating an
agreement between the parties, the conciliator
report documents the settlement. If their settlement efforts are not successful, the report
will still be the conciliators recommendations
of a settlement and the next steps, which is
similar to a fact-finding report.
Arbitration
Arbitration is a formal adjudicated process
with an arbitrator, or in some cases a panel of
arbitrators, acting as a judge. Disputing parties present their arguments and evidence and
then the arbitrator makes a decision on behalf
of the parties. This process results in an
independent review of the facts of the dispute
by an independent third party who makes an
informed decision based on the facts, rather
than on emotions and politics. Arbitration
should be used only as a last resort for complex and ongoing disputes as the arbitration
process tends to create winners and losers.
3.4 Aboriginal perspectives

on ADR
In their document Dispute Resolution
Systems: Lessons from other Jurisdictions,
the Institute on Governance presented an
interesting perspective on non-Aboriginal
versus Aboriginal approaches to conflict
prevention and approaches to systems of
justice. Admittedly, it is difficult to generalize
about Aboriginal perspectives and approaches
because there is great cultural variation across
Canada. However, a common thread seems to
be the emphasis on proactive measures taken
to prevent conflict and to ensure the maintenance of harmonious existence.
While non-Aboriginal systems are designed

to address problems as they arise, Aboriginal
systems tend to reflect the maintenance of
a peaceful society. Rupert Ross, a Crown
Attorney reflects that, Not being aware of the
fact that the two spotlights illuminate different
aspects of the same overall problem, we of
the non-Aboriginal system are puzzled when
Aboriginal responses to our justice questions
fail to shed light on the kinds of things that
we expected to see, but show us very different
things instead. Therefore, acceptable measures for resolving disputes will incorporate
both of these perspectives on conflict and
the attainment of justice.
UNIT
3.5 ADR references

Alternative Dispute Resolution: Aboriginal Models and Practices
Michelle Cameron, Ministry of Children and Family Development
This document discusses different dispute resolution world views and points out that culture
should neither be undervalued nor overvalued. Because diversity makes providing an Aboriginal
perspective difficult, the authors provide a number of case studies. These case studies mostly
relate to child and family services, regarding the integration of more culturally appropriate models
into dispute resolution.
Communities in Cooperation: A Guide to Alternative Dispute Resolution for First Nations
and Local Governments in British Columbia
First Nations Summit and Union of British Columbia Municipalities
This guide is intended to assist elected officials, staff or any party working with municipalities,
regional districts or First Nations governments in resolving differences without resorting to the
courts.
A Review of Dispute Resolution for First Nations and Local Governments in BC
Union of British Columbia Municipalities (UBCM)
This document was produced by the Union of BC Municipalities (UBCM) and the First Nations
Summit (FNS) in British Columbia. It was created to help First Nations and local governments
avoid conflict when and where it may arise, to have tools available to the parties to efficiently and
effectively resolve the issues in a manner that serves the best interests of the government
jurisdictions involved.
UNIT
Dispute Resolution Systems

Institute on Governance (1999)
This document provides an overview of the major themes found in the literature of direct relevance
to their task, balances the lessons drawn from the literature with those learned from case studies
of dispute resolution systems and makes recommendations on how the information developed in
this study can be put to best use.
Singing up the Sacred: Aboriginal Communities Train the Trainer in BC
Sally Campbell
This document discusses lessons learned from working with First Nations on dispute resolution
processes. In particular, the lessons learned about integrating traditional practices and the
different qualities that integrating these approaches brings to a group dynamic.
Dispute Resolution Systems: Lessons from other Jurisdictions
The Institute on Governance
This paper outlines best practices of dispute resolution by providing a literature review and lessons
from across Canada. Challenges with integrating Aboriginal perspectives on ADR into traditional
forms of ADR are discussed.
ADR in an Aboriginal Context
Canadian Human Rights Commission
This document discusses challenges to intercultural ADR including differing world views, different
forms of knowledge and historical tensions.
Mediator Roster British Columbia
British Columbia Mediator Roster Society
This website provides a list of qualified mediators across the province of BC including contact
information and the regions of the province that they are willing to serve.
Intercultural Dispute Resolution in Aboriginal Contexts
Catherine Bell and David Kahane, University of British Columbia Press
Available through Library and Archives Canada, free of charge
This book is a collection of essays exploring the opportunities and effectiveness of ADR alongside
its challenges and limits. It contains contributions from Aboriginal and non-Aboriginal theorists
and practitioners. This book is international in scope, with examples from Inuit and Arctic peoples,
Dene, Gitxsan and Wetsuweten, Tsuu Tina, Cree, Metis, Navajo, Maori, Aboriginal Australians
and Torres Strait Islanders.
UNIT
4. Relationship Building Case Studies
Membertou First Nation

and the Cape Breton
Regional Municipality
Sliammon First Nation

and the City of Powell River
UNIT
Case Study
4.1 Sliammon First Nation and the City of Powell River (BC)
Location:
British Columbias Upper Sunshine Coast, 125 km north of Vancouver
Population:
Sliammon First Nation: 1,000

City of Powell River: 14,000
Project costs:
$ 2 million
Funding partners:
Government of British Columbia
Keys to success:
There will be contentious issues and personality conflicts, which is why it is so important to have
trust as the foundation. Former Sliammon Chief L. Maynard Harry
Patience, understanding and respect. Mayor Alsgard, City of Powell River
Relationship building needs to be done on a daily basis. Stan Westby, CAO, City of Powell River
Lessons learned:
Look at the political chemistry and then determine how you can work together.
Mayor Alsgard, City of Powell River
The biggest risk is the biggest reward. Stan Westby, CAO, City of Powell River
The leadership has to be willing to put in the time. For example, the Mayor makes an effort to
attend all meetings. The trust established between the two communities would erode if someone
missed too many meetings,
Former Sliammon Chief L. Maynard Harry
Contacts:
Mayor Stewart Alsgard or Stan Westby, Chief Administrative Officer,

City of Powell River
Tel: 604-485-8601 (City Clerks office)
Email (via City Clerk): cgreiner@cdpr.bc.ca

Chief Williams
Sliammon First Nation
Tel. 604-483-9696, ext. 223(TBC)
clint.williams@sliammon.bc.ca
UNIT
Background
The Mayor of Powell River and the Chief of
Sliammon First Nation met for the first time
in 2002. This first encounter took place
when the Mayor was visiting the construction
site of a new seawalk and was approached
by the Chief. The Chief was upset with the
construction work because it was disturbing
historic areas and damaging cultural items
such as petroglyphs. The Mayor and city had
been unaware of Sliammons cultural areas
and as a result had not consulted them before the construction of the seawalk began.
The Mayor then asked the Chief to coffee to
discuss the issue.
The Government of British Columbia had
provided financing of $2 million to the
City of Powell River to build the seawalk.
Due to the sensitivity surrounding its construction, Mayor Alsgard decided to trust
in the intentions of the Chief and instructed
CAO Stan Westby to write a cheque for
$2 million to Sliammon First Nation to
take over the construction of the seawalk.
Having Sliammon First Nation manage the
project would ensure that their heritage and
culture were incorporated into the seawalks
design and construction, therefore ensuring
that the historic area would be respected.
Today, the seawalk signs welcome visitors
with Sliammon landmark names in the Coast
Salish language as well as in Canadas two
official languages.
After this first encounter and the realization that the communities needed to begin
to communicate more effectively, further
meetings took place laying the foundation
for their current relationship, which is one of
mutual respect and trust.
Relationship building and the
community accord
After their first meeting on the seawalk, the
relationship between the two communities
quickly grew to encompass larger issues of
joint concern. To formalize their relationship

and highlight subjects of mutual concern,
the communities drafted a Community
Accord (i.e., communications protocol). The
accord acknowledges the two communities
in their distinct authorities and responsibilities toward their members and residents.
It also recognizes that the interests of all
persons living in the two communities are
best served by working together in the spirit
of cooperation.
We continue to work together in the spirit
of the accord, says Mayor Alsgard. It is
a model for community-to-community
relationships and we are working from it
[the community accord] as a basis for
continued growth as partners.
On May 10, 2003, a historic ceremony
marked this accord and brought together
representatives from the federal government,
the provincial government and the two
communities. The ceremony took place in
the traditional village of Sliammon. The
objective of the ceremony was to mark
the respect both communities have for
each other.
Since the Community Accord ceremony,
numerous events have taken place illustrating the strengthening relationship between
Sliammon First Nation and the City of
Powell River. In 2004, the communities
developed an additional protocol agreement
on culture, heritage and economic development. They also appointed intergovernmental coordinators and began regular intergovernmental meetings.
When the new council of Powell River was
elected in 2006, part of its strategic plan
was to strengthen relationships with various
levels of government including Sliammon
First Nation. The relationship between the
Mayor and Chief is such that they can call
on each other when needed. In addition,
political officials and staff are in regular
UNIT
2
communication with each and hold monthly
discussions at an official meeting, usually
over lunch.
There is a great deal of respect between
the two communities. Sliammon First
Nation gave the Mayor a traditional name.
The greatest honour that can be bestowed
upon any resident by Powell River has been
given to two individuals, both of whom are
members of Sliammon First Nation.
The two communities extend a helping
hand to each other whenever possible. In
one instance, the Mayor received a call
from Sliammon regarding a problem it was
experiencing with its water infrastructure. As
part of a neighbourly gesture, staff of Powell
River were sent to help Sliammon First Nation resolve the issue.
The strong and respectful relationship
between the two communities has not gone
unnoticed: the BC Treaty Commission wrote
a booklet on the relationship between Powell
River and Sliammon.
Service agreements and provision of services
Since November 9, 2009, Sliammon First
Nation and the Regional District of Powell
River have had a service agreement in place
for fire protection and library services.
BC Transit provides bus services in the
Powell River region. Until recently, the last
stop between Powell River and Sliammon
was three to four kilometres from the First
Nations village centre. As of April 2011,
the last bus stop will be in Sliammon
proper. This service will be of great use
to Sliammon, ensuring that the youth and
other Sliammon residents are able to arrive
at home safely.
The City of Powell River is actively working
to solidify additional service agreements
with Sliammon First Nation. There are
discussions between the two communities

on a variety of issues including waterfront
projects, liquid waste, an Official Community
Plan, and recreational facilities.
There is great potential in the future to have
service agreements in place on water and
wastewater given that both communities
have reached a point at which they need
to invest in water infrastructure. The City
of Powell River needs to upgrade its water
system and the lake from which Sliammon
First Nation draws its water is reaching its
limit for providing the community with raw
water. The city is investing in a $9-million
upgrade to its water system, and it would be
possible to extend the water line to accommodate Sliammons water needs. AANDCs
engineers, on behalf of Sliammon, came
to inspect the situation in late 2010. Both
Sliammon and the City of Powell River
are interested in jointly addressing their
water needs.
The communities face the same issue in
terms of sewage treatment. Both communities need to upgrade their systems and recognize that working together will be a more
efficient and effective way of resolving their
wastewater needs.
While many discussions are taking place
surrounding joint services, there are a few
challenges causing the delay with the future
joint water and wastewater projects. The
main challenge is the delay in Sliammons
treaty process, which the communities hope
will soon be resolved. Another challenge is
finding funds to carry out the technical work
needed to develop a consolidated project.
Finally, communities are struggling to
decide how to cost share potential
service agreements.
UNIT
Challenges
In an interview with CIPP, the CAO of
Powell River noted he was pleased with the
community-to-community (C2C) forums
sponsored by the Union of BC Municipalities
(UBCM) and First Nations Summit (FNS) that
took place between the two communities, but
recognized that more work needs to be done
to ensure that the relationship between the
City of Powell River and Sliammon First Nation continues.
The biggest challenge to the communities is
finding the time and money to dedicate to
joint projects and finding the management
resources needed for these projects. The
communities also note that political turnover
is a challenge that can create difficulties in
maintaining relationships.
Finally, the municipality does not always
have the jurisdiction to do the right thing.
For example when a significant amount of
archaeological finds were discovered in a
personal residence, the City of Powell River
could not intervene or they would have faced
liability issues.
Conclusion
The relationship between Sliammon First
Nation and Powell River began over a contentious issue but the two communities have
managed to turn their initial disagreements
into an opportunity to develop a strong,
mutually beneficial, trusting relationship.
The communities credit their success to the
high level of commitment from representatives
of both communities. Meeting on a regular
basis and regular attendance has been
paramount to their achievements.
Over the years, the communities have

demonstrated their solidarity and willingness
to work together on issues facing their communities regardless of whether those issues
are economic development, service delivery
or treaty issues.
It is a tough road to take but, despite it all,
there are incredible rewards, said Mayor
Stewart Alsgard.
Case Study References
The City of Powell River. A Sustainability
Charter for the Powell River Region, 2008,
revised November 2010.
The City of Powell River. City of Powell River
Business Plan, March 2010.
The BC Treaty Commission. Developing Intergovernmental Relationships:
the SliammonPowell River Experience,
September 2011.
City of Powell River. Press Release: City of
Powell River express support for Sliammon
First Nation Treaty Process, March 3, 2011.
Sliammon First Nation. Press Release:
Sliammon First Nation condemn Harper
government for inaction on treaty,
March 3, 2011.
City of Powell River website: http://www.
powellriver.ca/siteengine/activepage.asp
Sliammon Development Corporation website:
http://www.sliammondevcorp.com/SDC/
home.html
Sliammon First Nation website:
http://www.sliammonfirstnation.com/cms/
Sliammon Treaty Society website:
http://sliammontreaty.com
UNIT
Case Study
4.2 Membertou First Nation and the

Cape Breton Regional Municipality (NS)
Location:
Cape Breton Island, Nova Scotia
Population:
Membertou: 850 on reserve

Cape Breton Regional Municipality (CBRM): 100,000
Cost-sharing projects:
$3.6 million for connector road
Additional partners:
Governments of Canada and Nova Scotia provided financing for connector road. CBRM provided
in-kind services, mainly engineering services
Keys to success:
Lots of goodwill and cooperation.

Dan Christmas, Senior Advisor, Membertou
Keep the channels of communication open. Even if there is dissent, the best approach
is to continue the discussion.
Doug Foster, Director of Planning and Development, CBRM
Lessons learned:
Avoid disagreements by consulting with your neighbouring community on issues that may have an impact
on them before decisions are made.
Contacts:
Doug Foster, Director of Planning and Development,

Cape Breton Regional Municipality, NS
dbfoster@cbrm.ns.ca
Tel: 902-563-5088

Dan Christmas, Senior Advisor,
Membertou, Nova Scotia
danchristmas@membertou.ca
Tel: 902-564-6466
UNIT
Background
On August 1, 1995, Cape Breton Regional
Municipality (CBRM) was formed through an
amalgamation of eight former municipalities,
boards, and agencies within the County of
Cape Breton.
First inhabited by the Mikmaq people,
Cape Breton was one of the first areas of
North America to be explored by Europeans.
The Mikmaq people continue to be impor-
tant members of Cape Breton society; three
per cent of the total CBRM population
speak Mikmaq.
Membertou First Nation is also an urban
community and was named after Chief
Membertou (15101611). It belongs to the
greater tribal group of the Mikmaw Nation
and is situated 3 kilometres from the heart
of Sydney, Nova Scotia, in the tribal district
of Unamaki (Cape Breton). Membertou was
relocated in 1926 from its former location
along the Sydney Harbour.
CBRM has sold properties to Membertou
and owns land around Membertou. When
amalgamation took place in 1995, residents
of Membertou were enumerated for the first
time. Membertou residents are considered
citizens of CBRM and therefore can access
all recreational programs and facilities.
Relationship building
The imprisonment in 1971 of Membertou
resident Donald Marshall, Jr. had a major
impact on the relationship between
Membertou and the CBRM. Doug Foster,
Director of Planning and Development at
the CBRM, has worked for the municipality
for 32 years and recalls being concerned
that trust would never exist again between
the two communities.
A number of factors led to the

re-establishment of trust between
Membertou and CBRM including political
will on the part of the Mayor and Chief to
re-establish a relationship; leadership
from the Chief of Police; and the effort to
establish relationships in each government
administration, particularly the planning
and engineering departments.
Over the past 20 years, there has been a
tremendous improvement in the relationship. The communication started in a very
formal manner. Today, interactions are now
mainly informal, occur on a daily basis and
are project-oriented. Differences in opinion
arise, but the two communities work together to find solutions for daily operational
issues on an informal basis.
Everyone from elected officials to staff is in
regular communication with one another.
There are no regular formal meetings except
when service agreements are being renewed.
Service agreements
CBRM provides the following services
to Membertou: sewage treatment, street
lighting, water, policing and fire protection.
Membertou collects its own waste; however,
it is disposed of at CBRMs landfill.
Membertou pays for its own contractors
to collect waste and purchased compost
bins for all residents in 2011.
There is a municipal services agreement in
place between CBRM and the Department of
(AANDC) with Membertou as a third party.
Many of the agreements have been in place
since the 1960s. However, the number
of services covered in the agreement has
decreased over the years as Membertou has
grown in population and prospered economically. Membertou has opted to be a third
party in the agreement so that it can
retain more control over rising service-
delivery costs.
UNIT
2
The last round of negotiations with AANDC
and CBRM included discussions about
water-related costs. Historically, AANDC paid
for the entire cost of water; however, with the
arrival of so many economic development
projects, Membertou agreed to cover the
costs for the commercial uses of water.
CBRM provides policing services. They are
outlined in a separate contract with four
parties: Membertou, CBRM, the Government
of Canada and the Nova Scotia Department
of Justice.
Joint projects
The two communities worked together to
complete a new collector road that runs
through Membertou and leads to the regional hospital. The project involved various
levels of staff from both communities including engineers and planners. There was a lot
of goodwill and cooperation between the
Membertou Development Corporation and
CBRMs Planning and Engineering offices to
successfully complete the project in 2010.
The project estimate was $9 million; however, the final project cost was $3.6 million
because of CBRMs contribution of in-kind
services (mainly engineering services).
Membertou contributed to the financing of
the project and the major funders were the
provincial and federal governments.
Another project is the construction of
a Hilton hotel on lands adjacent to
Membertou. Membertou purchased the
22-acre site from CBRM. There was the
option to convert the land to Federal Reserve
Land, but the land would have been tax
exempt. Membertou opted to not convert
the land, thereby ensuring a new source of
tax revenue for CBRM.
Economic development
Before 2000, Membertou had a limited
economic base. In the late 1990s, Chief
Terrance Paul recruited new staff and together the team approached Membertous deficit
based on a new strategic direction focused
on sustainability, innovation, conservation
and success. This direction has resulted in
a vibrant community that employs over
530 people and has attracted and fostered
many businesses. Ninety-five per cent of
the clients who frequent its businesses are
non-Aboriginal.
In the past decade, Membertou has undergone rapid economic growth and success.
The Government of Nova Scotia entered into
a gaming agreement with Membertou that
allows various forms of gaming and bingo.
Gambling revenue has been the cornerstone
of Membertous financial success and provides the revenue for Membertou to invest
in other businesses. One such investment
was the Membertou Trade and Convention
Centre, which opened in 2004. It hosts local
and international events and conferences.
CBRM has been experiencing population
decline and a waning downtown core, as is
the case in other communities in the region.
The main economic drivers in the Cape
Breton region were steel and mining, both of
which have disappeared, leaving behind high
unemployment rates across the region. While
CBRMs population is in decline, the population of Membertou is increasing.
Although Membertou and CBRM are expe
riencing different economic issues, their
fates are tied. Membertou First Nation is
building on its economic hub and needs a
labour pool to support this development.
CBRMs population is in decline but it has
the infrastructure in place to provide services
to both communities.
UNIT
Challenges
The specific roles of the Government of
Nova Scotia and AANDC are not always
clear, which can pose certain challenges
around accountability. Similar to other communities, Membertou First Nation and the
CBRM have found that there are also challenges around consistency given the turnover
in staff and political representatives. This
makes it difficult to try to establish and
maintain relationships.
Conclusion
Membertou and CBRM have faced
enormous challenges over the years. The
leadership demonstrated by staff and elected officials from both communities was the
catalyst in repairing damage caused by the
Donald Marshall, Jr. case. As the communities face their own unique economic and
demographic challenges, their collaboration
and support for each other will help ensure
each others viability.
CBRM and Membertou have found that

the best way to get things done is to keep
communication open and develop a
collaborative solution.
Given the multiple relationships that exist

between staff and elected officials in the two
communities, CBRM and Membertou have
found that their model of daily communication on a project-by-project basis works to
maintain open communication and
foster trust.
There is the potential to further develop the

relationship between the two communities
and a nearby First Nation, Eskasoni. Eskasoni has the largest community of Mikmaq
speakers in the world and has a population
four times the size of Membertou. In the
past, a resident of Eskasoni was elected to
CBRM council.
Case Study References

CBRM website: http://www.cbrm.ns.ca/
Membertou Nation website:
http://www.membertou.ca/main-page.asp
Half the labour force of Membertou comes

from outside the reserve. In the future,
Membertou would like to work with Eskasoni
to draw from its labour force, which has a
high unemployment rate.
Making It Happen:
Relationship Building
Community Network for Youth Development

2004 all rights reserved
On-line resources for professional development
Preface
The use
of these
Materials
Making It Happen: Relationship Building

Training Materials
Making It Happen: Relationship Building was originally developed as
part of a blended learning youth development training course. This
curriculum which included ten hours of online training complemented by
and two half-days of in-person training, focused on relationship building,
one of the five youth development supports and opportunities that
CNYD's Youth Development Framework for Practice highlights. These
training resources focus on building strong relationships between youth
and adults and among young people. The course is intended to build
the skills of adults working with young people, especially youth workers
in community and afterschool settings.
Making It Happen: Relationship Building is broken down into five
chapters. You can use it in its entirety to guide your professional
development efforts or you can pull out the readings, activities or tools
that work best as supplements to what you are already doing.
Courses were similarly developed for two other Framework supports
and opportunities, Skill Building and Youth Participation. All three
curriculums have since been edited and reformatted and are now
available as an online training resource available in the public domain.
It is the hope of CNYD that these materials can support the professional
development efforts of afterschool programs and other youth serving
organizations.
Changes to the Copyright
The Making It Happen: Relationship Building Training Materials were
originally developed as copyrighted materials of the Community
Network for Youth Development. We are now making these materials
available for educational use pursuant to the Creative Commons
copyright license below. We intend for these materials to be used as
broadly as possible to promote higher-quality programming and
developmental support for young people. You are free to copy, transmit
and distribute this work, and to adapt this work. However, you may not
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This work by Community Network for Youth Development is licensed under

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Contents 2004 Community Network for Youth Development. All rights reserved
About
CNYD
The Community Network for Youth Development (CNYD) functioned as

a critical youth development intermediary organization from its founding
in 1992 to its closing in 2013. Working deeply within Bay Area
communities and statewide in California to institutionalize quality youth
development practice, CNYD's focus on capacity-building was unique in
its systems-wide approach to influencing change at policy,
organizational and practitioner levels.
We are placing selected training materials and publications into the
public domain with the hope that the knowledge and tools that were
developed over two decades of work can continue to be a resource to
the youth development field. These materials represent the best of
what our many talented staff members learned about how to effectively
train adults working with young people. We are grateful to the
organizations that are making CNYD's resources available in the public
domain and for keeping our work accessible and relevant.
Table of Contents
Page
Chapter 1: Introduction to Relationship Building ..........
1.1 Self-Reflection: Reflect on your own experience (Worksheet) .........................
1.2 Concept Exploration: Understand Relationship Building (Part 1)
10
1.2.1 Define Relationship Building

1.2.2 What you can do to support relationship building
1.2.3 What do supportive relationships look like in youth programs?
1.2.4 Assessment: Assessing Relationships in Own Program
1.3 Self-Reflection: Supportive Relationships in Your Program (Worksheet) .
19
20
1.4.1 Research that supports the Importance of Relationships

1.4.2 Relate Relationship Building to other components of Framework
Components
1.5 Self-Assessment .
22
1.5.1 Introduction to Assessment as a Learning Tool

1.5.2 Assessment: Dimensions of Strong Staff-Youth Relationships
1.5.3 Assessment: Building Relationships with Youth
Chapter Review Worksheet 3 ..
26
Chapter 2: Role of Adults ......
30
2.1 Exercise: Five Dialogues ...
31
2.2 Reflection: Unique Role of Youth Worker (Worksheet) .
36
2.2 Self-Reflection: Your Role as a Youth Worker

2.2.2 Unique role of the youth worker
2.3 Concept Exploration: Role Modeling
38
2.3.1 Important of Role Models

2.3.2 Youth workers influence young people
2.3.3 Exercise: Whats the message?
2.4 Self-Assessment: Assessing Your Own Communication Abilities ..
41
2.5 Skill Development: Communication Skills ..
43
2.5.1 Five Communication Skills

2.6 Assessment: Identifying Key Challenges and Strategies in Building Relationships
49
2.7 Case Studies: The Role of Adults (Worksheet) .
52
2.8 Activity with Youth: What is my name? .
55
Chapter Review .....
58
Table of Contents (continued)

Page
Chapter 3: Youth Role Supporting Youth as Group Members ......
64
3.1 Self-Reflection: My Life and History (Worksheet) ....................................................
65
3.2 Concept Exploration: Culture, Diversity, Equity and Inclusion (California Tomorrow) .
69
3.3.1 Program Practices that Affirm Culture and Language ...
80
3.3.2 Self-Reflection: Affirming Language and Culture (Worksheet)

3.4 Who are we serving? Who are we not serving? (Worksheet) ....
84
3.5 Concept Exploration: Overview of Group Development ...
89
The Tribes Model of Group Development

3.5.2 Locating Your Programs Stage of Group Development (Worksheet)
3.6 Skill Development: Collaborative Skills ...
94
Tribes Model
3.6.2 Collaborative Skills Development (Worksheet)
3.7 Assessment: Group Relationships in My Program ....
97
3.8.1 Reflection: Youth Voices .
99
3.8.3 Self-Reflection on Youth Voices (Worksheet)

Chapter Review .....
102
Chapter 4: Moving Forward ..
105
41. Program Assessment: Planning Time For Relationship Building ...
106
4.2 Skill Development: Teach About RB and Assessment .
109
4.3 Activity with Youth: Youth Survey and Focus Group
110
4.4 Assessment with Youth: Develop Program Priorities with Youth
116
Chapter Review .
118
Chapter 5: Making It Happen
119
5.1 Assessment: Areas for Improvement ..
121
5.2 Skill Development: Consider Goal Setting Process ..
123
Youth Development Framework for Practice .
126
Relationship Building Action Plans ...
127
Relationship Building Assessments
132
Chapter 1: Introduction to Relationship Building

Welcome
Welcome to Chapter One of Relationship Building! This first

chapter begins to explore the foundations of relationship building,
considers the importance of this practice and how its a key factor
in the success of youth programs.
Goals and
Objectives
This chapter is designed to introduce you to key concepts of

relationship building through readings, assessments and
exercises.
By the end of this chapter youll be able to:
Define relationship building and its four dimensions
Relate relationship building to the other components of the

youth development framework.
Identify key practices that support relationship building
Assess and identify your current practice of relationship

building
Instructions
Proceed sequentially through the topics and exercises in this

chapter. Each section builds upon the next.
Estimated Time
to Complete
Chapter 1:
45 60 minutes: Readings and activities

30 45 minutes: Exercise with youth
1.1 Self Reflection: Reflect on Your Own Experience

Reflecting on your own time as a youth can help you gain insight into how to build
relationships with young people. Begin by thinking about the important adults in your own
life. As this youth worker below remembers, just one caring adult can make a big
difference in a young persons life.
Ms. Hernandez
I hated almost everything about high school except for my best friend and one class in
senior year. Even now many years later I can remember that sociology class vividly. The
room had a cheerfulness about it and it had nothing to do with the space itself. It was
because of the teacher and the environment she created for learning. Ms. Hernandez not
only laughed at my jokes, she listened to me and every student in the class. Her
assignments were interesting, relevant and she allowed us to choose our topics and
projects.
Sometimes I would stay after class to ask her questions and talk about stuff. One day
during the last month of school she asked me what college I was going to. I told her that I
wasnt going to college that I lined up a job as a short-order cook. I couldnt believe her
reaction. She jumped out of her seat and said, Youre too smart not to go to college! and
began asking me lots of questions. To make a long story short, Ms. Hernandez got me
thinking. She was the only adult who helped me believe that more was possible for my
life. Before I knew it, I agreed to have her help me research schools and complete
applications. It was really late in the process but thanks to Ms. Hernandezs help I got
accepted to a state university and even got some grant money.
I believe if it wasnt for this teacher I wouldnt be where I am today
Worksheet 1
1.1 Self-Reflection: An Important Adult in Your Life
Think back and remember an important adult that contributed to your life in a positive way.
For the purpose of this exercise please focus on an adult other than your primary
caregiver. It could be any adult who played an important role -- a teacher, a coach, a
neighbor, an aunt or an uncle.
Adults name: ________________________________________________________
List below six or seven characteristics this person embodied:
1.
2.
3.
4.
5.
6.
7.
How did this person:
Get to know you?
Support you emotionally?
Provide you guidance?
Support you in practical ways?

1.2.1 Define Relationship Building
The following definition of Relationship Building is based on the CNYD Youth
Development Framework for Practice.
Definition of Relationship Building

Relationship building is the development of caring, supportive relationships between
adults and young people, and among young people and their peers
Relationship building means that youth workers spend time with young people of any age
getting to know them and developing trust. In successful after-school or youth programs,
adults respect young people and treat them with courtesy and care. Young people learn to
treat each other with respect as well and develop a group identity that includes everyone.
Staff members know that building positive trusting relationships with young people is not a
separate part of their work, rather an integral part of every activity and interaction.
Research has provided overwhelming evidence that relationship building between youth
and adults is one of the most critical factors in the healthy development of young people.
The benefits of relationship building are many. As mutual respect and trust increase
between program staff and youth, discipline problems often diminish. Young people are
more likely to voice their ideas and opinions and a sense of group membership is
fostered.
Youth workers report that their job satisfaction increases when they develop and foster
meaningful relationships within their programs.
To form healthy, meaningful relationships youth need:
Guidance regarding the direction their lives are taking and decisions they are making.
For instance an adult may offer a young person supportive advice or help them to
move through a difficult personal challenge.
Emotional support in both times of accomplishment and crisis. Being present with a
young persons feelings by listening or empathizing can help them to reflect or work
through a difficult time.
10
Practical support that helps young people in their everyday lives to get what they
need. This could include sharing knowledge of community resources that will help a
young person take a next step in their lives such as helping them gain access to
essential services or youth activities.
The experience of being known by both adults and other youth. This means that
adults seek to truly know and understand every youth beyond superficial facts. Youth
also need a variety of opportunities to get to know more about each other during
program time.
These four elements of relationships are relevant and important in the many environments
in which youth find themselves whether at school or home, in peer gatherings and
groups, and in extracurricular programs and activities.
11
1.2.2 What You Can Do to Support Relationship Building Youth Programs

There are specific things you and your program can do to support positive relationships.
Although they have been categorized for you, keep in mind that these and most strategies
fall under more than one of the four key dimensions of relationship building. Some
examples include:
Guidance:
Model caring and respectful communication by expressing compassion and courtesy

in all your interactions.
Maintain boundaries for sharing appropriate personal information with youth.
Uphold the program values.
Emotional Support:
Create safe atmosphere through establishing and upholding group agreements with
your youth.
Include daily check-ins or community circles that allow young people to reflect on what
is happening in the community and in their own lives.
Address changes and transitions in your program. Give everyone clear, timely and
honest information about youth and/or staff members who join or leave the program
Create rituals that welcome in and transition out the members of the group.
Acknowledge and create opportunities for youth to express their feelings about
changes.
Practical support:
Stay connected to other staff in your program (and school) who can act as resources
for youth
Keep information about outside services on hand to offer to youth and families for
issues that are beyond the scope of your program (transportation, social services,
community health, education, libraries, etc.).
Sense of being known:
Intentionally build a sense of positive community within the program through teambuilding activities
Seek to know the names of all youth as well as their caregivers
Create opportunities to celebrate and highlight individual and group talents and
accomplishments
Make an effort to know all the youth in your program:
12
Get to know their teachers and caregivers

Ask about their brothers and sisters, etc.
Make yourself available outside program time:

Go to their school for special events (games, assemblies, etc.)
Attend important life events like birthdays and family celebrations
Hang out with youth and play with them during free time or after program
Trusting relationships between individuals and groups cannot be forced and take time to
develop. Practice patience with yourself and with your youth on this journey. When
introducing group building activities, make sure that personal revelations are low risk. It is
important to let trust develop before you ask youth, especially adolescents to do anything
that makes them feel silly or vulnerable.
Its also important for you to take time to invest in your own growth and development.
Seek out training and/or coaching in group development, facilitation and communication
skills. These include:
Becoming skilled at team building and group processes that allow for communication,
cooperation, and appreciation among group members.
Identifying and developing your skills in cross-cultural interactions.
13
1.2.3 What do Supportive Relationships Look Like in Youth Programs?

Relationship building in action takes many different forms. You can tell that healthy
relationships are supported and encouraged in youth programs by:
How people engage with each other
Adults and youth know each others names and treat others respectfully
Adults squat down when interacting with small children, to speak to them at their
eye level.
Young people approach adults to discuss their problems and concerns.
Conflicts are resolved with words, not raised voices or fists. If needed, adults are
asked to assist with the situation.
Young people are able to work together in groups and across differences of age,
gender, ethnic background, ability, and social status.
How program time is scheduled and allocated
There are opportunities for group discussions and one-to-one meetings between
adults and young people
Time is set aside to reflect on the group's interactions and recognize

accomplishments.
There is also open time for young people to socialize with one another and have
informal contact with adult staff.
What is posted on the walls
A schedule of the week's activities is posted that includes both structured time and
open time.
Pictures on the walls that celebrate program participants, their cultures, and the
group's accomplishments within the program.
Posters of program guidelines or ground rules prominently displayed. The

guidelines specify how young people want to be treated and will treat each other.
These posters are hand made by youth and sometimes in other languages.
Opportunities for relationship building exist at all levels of youth programs and
organizations. While these opportunities take different forms depending on the age of the
young people, the goal of fostering supportive relationships is appropriate for all ages.
See below for examples of programs that actively support relationship building.
14
Relationship Building in Action Case One

Project Yield -- Oakland, CA
Project Yield is a great example of a program that supports staff in very specific ways to
build relationships with and among youth. After discovering that staff did not have enough
time to just chill and hang out with youth, Project Yield decided to prioritize relationship
building by extending staff hours each week beyond formal programming.
Since its start in 1997, Project YIELD has become a part of the West Oakland community,
and families rely on its high quality after school programs for their children. Youth receive
daily academic and youth leadership support in visual, performing, literary, digital and
public art programs.
At Project Yield program staff members are paid to spend up to eight hours per week
helping young people with problems outside the program, getting to know them in their
neighborhood, or just hanging out and chatting with young people. Staff members are also
evaluated partly on the basis of the strengths of the relationships they build with young
people. One way the program gathers information on relationship building is by asking
young people, through surveys, to identify staff members with whom they've established a
significant relationship. This, along with other indicators of relationship building, is factored
into staff evaluations. Nancy Netherland
Relationship Building in Action Case Two

High School After School Program in Lincoln Square New York, NY
Centered in the heart of a major urban area, The After School Program in
Lincoln Square makes its home within the doors of MLK Jr. High School.
Operating five days a week throughout the school year with occasional weekend activities,
this program provides students with critical academic support and other activities
including; tutoring, homework assistance, study skills, SAT and college preparation,
computer and writing support, drama and music clubs, quality recreational activities, and
real career and job opportunities through internships in the community.
Program participants range in age from fourteen to eighteen and come mostly from lowincome families. Enrollment in this afterschool program is open to all youth at the school
with the expectation that they will attend a minimum of three days a week.
Unlike many programs, The After School Program in Lincoln Square has its own
dedicated program space within the school facility. This has allowed the program to create
a youth-friendly space where youth feel welcomed and respected. Youth always know
where they can find an interested adult who youth-initiated conversations or requests for
assistance and support.
The staff at Lincoln Square places a very high value on the development of supportive,
caring relationships between adult staff and program participants. These relationships are
15
viewed as critical doorways for engaging youth and promoting their learning of academic
and practical life skills.
The Lincoln Square program is very clear about what it takes to build meaningful
relationships with youth. It has intentionally configured their program space, operating
hours, hiring practices, and expectations of how staff should spend their time to ensure
that these relationships are established. Viewed as critical doorways for engaging youth
and promoting their learning of academic and practical life skills. The afterschool program
ensures that staff members have unstructured time to interact with the youth, free from
the responsibilities of leading formal activities. Staff are expected to be accessible for
youth-initiated conversations or requests for assistance and support. Sometimes this
means accepting a challenge to a game of scrabble or checkers.
The staff at The After School Program in Lincoln Square take time at every staff meeting
to reflect on their youth participants perhaps voicing a concern about a young person
who has not participated recently, an individual who has made a positive breakthrough
relative to their goals, or others that may be experiencing difficult personal challenges
outside of the program. In this way, staff members build their knowledge of their
participants, agree on how best to support them, and are reminded that youth belong at
the center of the programs work.
16
1.2.4 Assessment
Assessing Relationships in Own Program
Purpose: The purpose of this assessment is to help you assess the overall quality of
adult-youth relationships, from your own perspective and from that of youth in the
program.
1. Overall, how comfortable are YOU, personally, with the quality of youth-adult
relationships in your program?
______
The staff do all they can to build high quality relationships with
youth.
______
The staff do an acceptable job in building quality relationships with

youth.
______
We have to do much better in forming quality relationships with

youth.
2. Overall, how comfortable are YOU, personally, with the quality of youth-youth
______
The staff do all they can to ensure that youth have the opportunity
and support to build quality relationships with their peers.
______
The staff do an acceptable job in helping youth build quality

relationships with their peers.
______
We have to do much better in providing youth the opportunity and

support to form quality relationships with their peers.
3. Consider the four components of relationship building. Check the component(s) that
you believe program staff should pay more attention to when strengthening their
relationships with youth.
______
Guidance
______
Emotional Support
______
Practical Support
17
______
Knowledge of Youth
4. Consider the four components of relationship building. Check the component(s) that
you believe program staff should pay more attention to when helping youth strengthen
______
Guidance
______
Emotional Support
______
Practical Support
______
Knowledge of Youth
5. In your opinion, how comfortable are YOUTH with the quality of youth-adult
______
Almost all of the youth believe that they have high quality
relationships with at least two staff members.
______
The youth are generally pleased with the quality of the relationships
that they have with staff.
______
Too many youth feel isolated from staff in this program.
6. Consider the four components of relationship building. Which component(s) would

YOUTH say that staff need to strengthening their relationships with program participants?
______
Guidance
______
Emotional Support
______
Practical Support
______
Knowledge of Youth
18
Worksheet 2
1.3 Self- Reflection: Supportive Relationships in Your Program
Take a minute to think about your program.
1. What kinds of things do adults do in your program to build supportive relationships with
youth?
a.
b.
c.
d.
2. What does your program do to support relationship building among youth?
a.
b.
c.
d.
3. What else could your program do to support staff members in relationship building?
a.
b.
c.
d.
19

1.4.1 Research that Supports the Importance of Relationship Building
In your work as a youth worker, you may have heard or read about the importance of
childhood resiliency. You may be wondering, what does it have to do with building
relationships in youth programs?
Resiliency is the quality that allows young people to "bounce back" to recover from
negative experiences or overcome obstacles and risk factors in their lives. Research on
childhood resiliency has shown that a caring relationship with a committed and
encouraging adult who believes in me and my future is an essential ingredient for most
youth who succeed and become healthy and productive adults despite economic
adversity or other risk factors. (Werner & Smith, 1989)
For example, a resilient youth who experiences the divorce of their parents is better able
to recognize and express their feelings; seek and accept support from others; and
eventually understand and integrate their experience. The event may have a negative
impact on them in the short-term, but their resiliency allows them to thrive and continue to
form and sustain healthy relationships in their own life.
Research on young people's resiliency fueled the youth development movement. It shifted
the focus from young people's deficits and problem behaviors to the factors and
conditions that help young people succeed in the face of obstacles.
By providing opportunities for relationship building, we ensure that our programs are
contributing to the important developmental needs of the young people we serve.
20
1.4.2 Relationship Building and other YD Framework Components

To promote and foster caring and respectful relationships in your program, other youth
development practices need to be present. The Youth Development Framework for
Practice provides a practical roadmap for youth programs and organizations. This
framework, based on many years of research, includes four other Supports and
Opportunities (in addition to relationship building) that all young people need to develop
into healthy adults.
Physical and Emotional Safety: Young people must feel secure that adults will
protect them from harm, to know that they are protected by a set of fair and
consistently applied rules; to feel accepted and valued by the group.
Skill Building: Young people need challenging and engaging learning

experiences through which they can build a wide array of skills and competencies
and experience growth and mastery.
Meaningful Participation: Young people need to have their voices heard, to

make decisions and lead their peers, and to experience the connection that comes
from belonging to a group.
Community Involvement: Young people need to extend their sense of belonging

beyond the program walls; to gain a greater understanding of their communities; to
give back and be productive contributors in their world.
These factors are dynamic and interdependent. None can truly succeed without the
presence of all the others. For example, relationship building is a critical factor in whether
or not young people experience a sense of physical and emotional safety in youth
programs.
21
1.5 Self-Assessment
1.5.1 Understand Assessment
Why Assessment?
Assessments are tools that allow you to evaluate your practices and programs for the
purpose of supporting continuous learning and program improvement.
Assessment activities focus on the real work that you do in your programs. They provide
indicators to help you review and reflect on the practice of youth development in your
program. Different types of assessment activities serve different purposes:
Self-Reflection: Help you think about your application of youth development

practices. Some activities ask you to assess your strengths and identify areas for
improvement in your interactions with youth.
Program Assessment: Help you think about the quality of programming in your
organization. Some ask you to evaluate the capacity of your program to support
youth development practices.
Shared Learning: Help you share your insights and knowledge with staff and
youth within your program. Some activities ask you to brainstorm practical
implications of assessments with your colleagues and with the youth in your
program.
When used as a learning tool, assessments can challenge you to grow and improve your
work. Assessments are not tests. They are designed to benefit you to help you
understand yourself and set goals for your work and your program.
22
1.5.2 Assessment
Defining the Dimensions of Strong Staff-Youth Relationships
The purpose of this activity is to explore the essential dimensions of relationship building,
from your perspective, and from the perspective of the youth with whom you work.
Step 1: Self-Reflection: Take about 15 minutes to reflect on the following questions.

Record your thoughts on another piece of paper.
(1) How do you know when you have successfully formed a strong relationship with
youth in your program?
(2) What are the most effective strategies that you use to form a strong relationship with
youth?
(3) What do you expect from youth in terms of their efforts in forming a relationship with
you?
Step 2: Discussion with Youth: Select 3 to 5 youth and engage them in a group
conversation about relationship building for about 15 minutes. Orient the conversation
around the following questions.
(1) What makes a good youth worker?
(2) How do you know when a youth worker really respects you and wants to have a
positive relationship?
(3) How do you know when a youth worker really does not care about you or about
forming a strong relationship with you in the program?
Step 3: Self-Reflection: Reflect on your discussion with youth.

(1) What did you learn from youth that you had not thought about before the group
conversation?
(2) Briefly describe what you learned or what was reinforced for you through the
experience of talking with youth about relationship building.
(3) Did your perception of relationship building change in talking with youth in your
program? For example, do you think that relationship building is more important than
before and/or did you learn new ways that youth think about relationships?
23
1.5.3 Assessment
Building Relationships with Youth in Programs
Complete the following assessment. Please be honest with yourself when answering
these questions. This assessment will help you benchmark your current practice
through identifying areas of strength and areas for improvement your practice.
Listed below are fourteen statements. Please circle the number that best represents your
opinion about the statement.
1. I will go out of my way to approach a youth when I see that she/he is upset or having
difficulties.
1-Disagree, 2-Somewhat Disagree, 3-Somewhat Agree, 4-Agree
2. To provide guidance to the group, I am always clear about how I expect everyone to
treat one another in my program.
3. When I give guidance, I am comfortable sharing relevant information about myself
4. When a youth is having a problem, Im effective in helping him/her deal with it.
5. If you asked the youth in my program, they would say that I always listen to and
respect their personal concerns or issues.
6. If you asked the youth in my program, they would say that I give them lots of praise
when they deserve it.
7. I am able to create a spirit of teamwork among youth so that they care about each
other and want to work together.
8. Youth readily come to me when they need help dealing with a personal problem.
24
9. When designing youth activities, I make sure that everybody has a chance to check
in and express their personal wants or needs.
10. If you asked youth in my program, they would say that I go the extra mile in terms of
giving them advice on practical issues (e.g., dealing with bullies at school, relating to a
girl/boyfriend, finding a job).
11. I am confident in my knowledge about all of the youth with whom I work on a regular
basis (e.g., I know what is important to them; their personal needs).
12. When designing youth activities, I always make sure that there are opportunities for
youth to build relationships with their peers.
13. If you asked the youth in my program, they would say that they know what I stand for.
14. I know some effective strategies for helping diverse youth learn together and work
together.
25
Worksheet 3
Chapter Review
This review will help you retain key concepts about Relationship Building. Please answer
the following seven questions on a separate piece of paper.
1. What is relationship building as defined by the Youth Development Framework for

Practice?
2. What do young people need to form healthy, meaningful relationships? (Name and
describe the four dimensions of relationship building.)
3. Why is relationship building important?
4. What is resiliency? How did it fuel the youth Development movement?
5. Name and briefly describe the other supports and opportunities that are essential to
relationship building.
6. List some specific things you can do to support relationship building.
7. Self-Reflection: What have you learned about yourself? What can you focus on to
improve your practice of relationship building?
26
Worksheet 3
Chapter Review Answers
This review will help you retain key concepts about Relationship Building. Please answer
the following seven questions on a separate piece of paper.
1. What is relationship building as defined by the Youth Development Framework

for Practice?
Relationship building is the development of caring, supportive relationships between

adults and young people, and among young people and their peers
Relationship building means that youth workers spend time with young people getting to
know them and developing trust. In successful after-school or youth programs, adults
respect young people and treat them with courtesy and care. Young people learn to treat
each other with respect as well and develop a group identity that includes everyone. Staff
members know that building positive trusting relationships with young people is not a
separate part of their work, rather an integral part of every activity and interaction.
2. What do young people need to form healthy, meaningful relationships? (Name

and describe the four dimensions of relationship building.)
To form healthy, meaningful relationships youth need:
Guidance regarding the direction their lives are taking and decisions they are making.
For instance an adult may offer a young person supportive advice or help them to
move through a difficult personal challenge.
Emotional support in both times of accomplishment and crisis. Being present with a
young persons feelings by listening or empathizing can help them to reflect or work
through a difficult time.
Practical support that helps young people in their everyday lives to get what they
need. This could include sharing knowledge of community resources that will help a
young person take a next step in their lives such as helping them gain access to
essential services or youth activities.
The experience of being known by both adults and other youth. This means that
adults seek to truly know and understand every youth beyond superficial facts. Youth
also need a variety of opportunities to get to know more about each other during
program time.
27
3. Why is relationship building important?
Research has provided overwhelming evidence that relationship building between youth
and adults is one of the most critical factors in the healthy development of young people.
By providing opportunities for relationship building, we ensure that our programs are
contributing to the important developmental needs of the young people we serve.
4. What is resiliency? How did it fuel the youth Development movement?
Resiliency is the quality that allows young people to "bounce back" to recover from
negative experiences or overcome obstacles and risk factors in their lives. Research on
childhood resiliency has shown that a caring relationship with a committed and
encouraging adult who believes in me and my future is an essential ingredient for most
youth who succeed and become healthy and productive adults despite economic
adversity or other risk factors. (Werner & Smith, 1989)
Research on resiliency shifted the focus from young people's deficits and problem
behaviors to the factors and conditions that help youth succeed in the face of obstacles.
5. Name and briefly describe the other supports and opportunities that are
essential to relationship building.
Youth Development Framework for Practice:
Physical and Emotional Safety: Young people must feel secure that adults will
protect them from harm, to know that they are protected by a set of fair and
consistently applied rules; to feel accepted and valued by the group.
Skill Building: Young people need challenging and engaging learning

experiences through which they build a wide array of skills and competencies
and experience growth and mastery.
Meaningful Participation: Young people need to have their voices heard, to

make decisions and lead their peers, and to experience the connection that comes
from belonging to a group.
Community Involvement: Young people need to extend their sense of belonging

beyond the program walls; to gain a greater understanding of their communities;
to give back and be productive contributors in their world.
28
6. List some specific things you can do to support relationship building.
Some ideas for supporting relationship building:
1. Seek to know the names of all youth as well as their caregivers
Create safe atmosphere through establishing and upholding group agreements

with your youth.
Include daily check-ins or community circles to allow young people to reflect on

what is happening in the community and in their own lives.
Keep information about outside services on hand to offer to youth and families for
issues that are beyond the scope of my program (transportation, social services,
community health, education, libraries, etc).
Model caring and respectful communication by expressing compassion and

courtesy in all your interactions.
Maintain boundaries for sharing appropriate personal information with youth
2. Create opportunities to celebrate and highlight individual and group talents and
accomplishments
3. and.
7. Self-Reflection: What have you learned about yourself in this chapter? What can you
focus on to improve your practice of relationship building?
29
Chapter 2: Role of Adults

Welcome
Welcome to Chapter Two of Relationship Building! In this

chapter you will look more closely at strategies for relationship
building by considering the roles adults play in supporting
relationships.
Goals and
Objectives
This chapter is designed to provide you with an overview of

positive role modeling and key communication skills through
readings, exercises and assessments.
Identify opportunities for being a role model for youth
Identify youth worker actions that promote and undermine

good modeling
Recognize the unique nature of the youth to youth worker

relationship
Identify five key communication skills and how they are

applied in relationship building with youth
Identify challenges and surface strategies for building

relationships with and among youth
Assess and evaluate your communication skills identifying

your strengths and possible areas for improvement.
Instructions

Estimated Time
to Complete
Chapter 2:
45 60 minutes: Readings and activities

30
2.1 Introduction
2.1.1 Exercise: Five Dialogues
Think about the various roles you play in your life. Besides your role as a youth worker,
are you a parent? a coach? a spouse? Each role serves a different purpose and helps
shape your behavior in relationship towards others. As a youth worker you may take on a
number of roles in your work depending on the particular needs of your youth and the
context of any given situation. In this exercise, you are going to look at and consider
various adult / youth roles.
The following are slices of six dialogues between two people. Please choose three
dialogues and, on a separate piece of paper, first identify the kind of roles present and
then answer the following questions:
What is this relationship and how do you know?
How are these roles the same or different from those you take on with youth?
Would you ever assume one of these roles with your youth?
When and why?
(For instance, if a dialogue is between an older and a younger sibling, when would it be
appropriate for you to act as an older sibling to a youth in your program? Or is it ever
appropriate?)
Dialogue 1: Saturday Night

Person A: Can you take me to the mall later? I want to buy a new shirt for Saturday
night
Person B: The mall? I dont think so. I told you youre not going to the party
A: What?? That is so unfair!
B: Im sorry you feel that way.
A: Pleeeeaaaase! Come onJessica and Melinda are going to the party.
B: You knew the rules ahead of time yet you chose to ignore your curfew last Saturday.
A: It wasnt my fault. Melinda wanted to go to her friends house near the lake and it took
us extra long to get home..
B: Maybe you should have thought about the consequences before you went with her and
broke our agreement.
A: My life will be ruined Ill never be invited anywhere ever again. Everyone from school
is going to be there.
31
Please respond:
Would you ever take on one of these roles with your youth?
When and why?
Dialogue 2: The Accused

Person A: Can you stay for dinner?
Person B: Sure, my mom is working late tonight.
A: I have to tell you what happened today in my math class! You wont believe it!
B: What?
A: While I was taking my exam, I glanced over to the next row and caught the kid next to
me staring at my test and it looked like he was copying my answers.
B: No way! What did you do?
A: I tried to ignore him. But a few seconds later the teacher noticed and asked him to step
outside the room. And then he tapped my shoulder and told me to come too!
B: No way! You werent cheating were you?
A: Of course not!! I studied really hard for that exam but the teacher wants my mom and
dad to come to school for a meeting
B: Oh my god, thats awful
A: Yeah, my mom is going to be so upset. With all the trouble my little brother has been
getting into, she doesnt need this.
B: You know your mom is really cool. I think she will back you up she knows how hard
you work and trusts you.
A: Yeah, youre right. I just hate being accused of something I didnt do!
Please respond:
When and why?
32
Dialogue 3: Have a Seat

Person A: Hello, please have a seat.
Person B: Thank you.
A: I havent seen you for, lets see here, it looks like about eight months. Hows your
stomach since your last visit? Any more cramps?
B: No, my stomachs fine.
A: So, What brings you here today?
B: Well, my ankle hurts and its swollen. Im having trouble walking on it.
A: Have you been playing sports at school?
B: Not really.
A: Did you fall or have an accident?
B: No, not that I can remember.
A: I see, mind if I take a look?
B: Okay.
Please respond:
When and why?
Dialogue 4: Take a Chance on Me!

Person A: Lets go, lets go, lets go! I want to see hustle people!!
Person B: Put me income on, put me in!
A: Are you kidding? Last time you deliberately fouled the other team. Why should I
jeopardize the team on your behalf?
B: I lost my cool, but I learned my lesson. Ive been out the last four games! I wont let the
team down I promise! Youre going to have to take a chance on me sometime.
A: If I see you dogging it out there I will yank you so fast and bench you for the rest of the
seasondo you understand me?
B: Yes sir.
A: I want you to be the role model for teamwork.
B: I will!
A: All right, go out there and show me what youve got.
33
Please respond:
When and why?
Dialogue 5: So Glad to See You

Person A: HeyIm really glad to see you. The other youth were asking about you today.
Want a hug?
Person B: Yeah. (crying)
A: Want to go somewhere we can talk?
B: Thanks (crying)
A: So, how are you? How are you feeling right now?
B: Hes shot(crying)I cant believe he got shot(crying)
A: Oh, Im so sorry it happened.
B: I feel horrible, Ive been crying for hours I cant stop crying
A: Its okay to cry, its perfectly natural. I can hang out with you for a while
B: Thanks but I was wonderingcan you go with me to the hospital to see him?
A: Sure, we can go right after program. But first, have you called your parents?
B: No. I guess I should call them.
A: Yes. And we should probably call ahead to the hospital to make sure theyre allowing
visitors
B: Okay.
A: Lets go inside and find a phone
B: Thanks so much.
Please respond:
When and why?
34
Dialogue 6: A Tight Schedule

Person A: Okay, lets move on to the second word problem. Remember, the test will
include problems like these.
Person B: Excuse me, I still have questions about the first problem. I dont get it.
Person C: Me too!
A: Im sorry, I dont have time now, we need to move on.
B: How am I supposed to understand the next one if I dont understand the first!
A: I hear that your frustrated John, but our class is on a very tight schedule today with the
special program planned this afternoon. But I do have a few minutes at the end of the day.
I can help you and Maria then.
B: Okay.
C: Thanks.
Please respond:
When and why?
35
Worksheet 1
2.2 Self-Reflection: Your Role as a Youth Worker
Reflecting on the various roles in the previous exercise, consider your role as a youth
worker.
1. What is unique about your relationship with youth?
2. How does it give you more flexibility in supporting young people than those in other
roles?
3.What kind of support do you offer thats different from other adults?
36
2.2.2 What Makes the Youth Worker Role Unique?

As a youth worker you have the opportunity to develop a truly unique relationship with
your youth. In your position you get to play multiple roles, be more informal with youth,
and act as a guide and mentor.
Play multiple roles:

As you discovered in the dialogues exercise, you get to play many roles when working
with youth. Youll need to set boundaries and limits like a parent and tend to physical and
emotional hurts like a doctor or counselor. Sometimes youre a teacher helping youth to
build new skills. The role you assume is dependant on the situation at hand and the needs
of your youth.
Be more informal:
The informal and playful setting of a youth program allows you to connect closely with and
know youth possibly more than other adults in their lives. You can nurture and pay
attention to the broader development of young people in a way that teachers often do not
have the time or freedom to do. But by virtue of job status you are not a peer, even though
you may be just a few years older than your youth.
Act as a guide and mentor:

Perhaps the most powerful role you can play is that of an ally to young people. This
means you can take opportunities to step into their shoes, learn about their concerns,
and help your youth gain access to resources. You can advocate on behalf of youth to
other adults. In your relationship you may have more flexibility to be a guide and mentor
unlike other adults who often have a range of agendas for a young person. You can seek
to empower young people by working with them to discover new ideas and find their own
solutions.
Of course your role also depends on the age of the youth in your program. With younger
children you may need to be more directive in your approach. With teenagers you may
take a more advisory role.
Once you develop rapport and earn the trust of your youth, you may have a big influence
over their behavior and choices. You can help youth make healthy decisions and offer
emotional support as they deal with the challenges of their pre-adolescent and teen years.
37
2.3 Concept Exploration: Role Modeling

2.3.1 Importance of Role Models
Role models serve a critical function in the lives of youth. They can be teachers, parents,
friends, siblings, celebrities, athletes, etc. anyone who sets a good example for young
people. Mentoring research validates the importance of role models in lives of youth.
(Benson, 1998; McGill,1997).
As young people grow and develop, they look at the adults and peers around them to see
who they want to be and what choices they want to make. Role models provide youth with
means of identification and offer guidelines for behaviors and actions. Youth see
possibilities for their futures especially when they see what adults like them have
accomplished. Of course not all role models are positive. Some lead youth to making
unhealthy decisions. Positive role models are conscious of how their behavior impact
young people and exhibit only behaviors that they want imitated.
2.3.2 Youth Workers Influence Young People

Young people are astute in their ability to look at the actions of adults around them and
determine if they are ethical, just, appropriate, etc. As a youth worker ALL your actions
and choices provide a model for how young people behave and shape their beliefs.
Consider the various ways you influence your youth:
What you model
Some examples
Questions to consider:
Appearance
How you dress for

work
What messages do your clothes and

overall appearance communicate to
youth?
Speech
How you speak about

others, including your
colleagues and
workplace
Do you speak positively about others

and refrain from gossip and put owns?
Interpersonal
relations
How you interact with

youth and your
colleagues
Do you complement others? Provide

positive feedback and appreciations?
Are you respectful and refrain from
hurtful teasing? Are you able to
handle conflict in a healthy way?
Work Ethic
How you care about

doing a good job
Do you show up for work on time? Do

you express energy and enthusiasm
for your work?
Language
How you use words
Do you use refrain from using swear

words? Do you use age and culturally
appropriate expressions and
language?
38
What you model
Some examples
Questions to consider:
Boundaries
How much you share

about yourself and
how you expect
others to behave
Do you make yourself accessible but

maintain healthy boundaries? Do you
refrain from telling youth your
personal problems? Do you make it
clear what kind of behavior is not
acceptable?
Views
How you express

your views about the
world
Do you talk candidly with youth about

your views on political and social
issues and refrain from selfrighteousness? Do you listen to
others views?
Values
How you express

your personal values
Do you know and disclose your core

values with youth? Do you walk the
talk?
39
Worksheet 2
2.3.3 Exercise: Whats the Message?
Below are four fictional scenarios that could take place in a youth organization.
As you read, consider the message that each youth workers actions communicate to the
youth with whom they work.
Choose one example, imagine yourself as that youth worker and, at the bottom of this
page, reflect on the message behind your actions. For example: I speak well of
colleagues: This demonstrates that I respect and care about them
Example #1:
While rushing to get to work on time, you throw on a tee shirt but do not notice the design
on the front. It has a large graphic of a marijuana leaf. Then before leaving the house you
answer the phone and have a conversation with a friend. By the time you get to work you
are 20 minutes late and your kids are sitting around. What is the message behind your
clothes and actions?
Example #2:
You are new to a high-school afterschool program. During your first day, you tell your
group that they are not to call you by your first name that they should address you as
Miss Smith. You also explain that you will use each youths full name and not use
nicknames. You tell the youth they need to do the same. What is the message behind
your words?
Example #3:
You are hanging with the youth in your program during an unstructured period. One boy
comes up to you and asks to talk to you alone. He tells you that he thinks his parents are
homophobic. They told him he cant hang out with Rupert and Max anymore. Hes upset
and doesnt know what to do. You tell him you empathize and then share a detailed
personal story with him. You say that you lied to your parents about who you hung out
with after school and they never found out. What is the message behind your response?
Example #4:
While facilitating a group inclusion activity one of your youth starts hiccupping. The others
begin laughing and teasing the young boy. You pause the activity and ask the group to
remember their group agreements. You ask, is teasing allowed? If not, why not? You
facilitate a discussion about the importance of group agreements and treating each other
with respect. What is the message behind your approach?
40
2.4 Assessment
2.4.1 Assessing Your Own Communication Abilities
Building strong relationships with youth requires strong communication abilities. There
are five core communication skills (active listening, establishing trust, empathy, being
present, and providing feedback). Most workers have a preferred style. That is, you are
better equipped in terms of personal comfort and ability to use one or more
communication skills as compared to others.
The purpose of this activity is to help you identify your preferred communication style
when working with (a) individual youth and (b) groups of youth.
Working with Individual Youth
Please assess your overall ability in communicating with individual youth by circling the
number that best represents your ability.
1. Being an Active Listener (e.g., seeking to hear what the youth is really trying to
communicate to you).
1-low ability, 2-somewhat low ability, 3-somewhat high ability, 4-high ability
2. Establishing Trust (e.g., demonstrating that the youth can have confidence and depend
on you)
3. Being Empathetic (e.g., demonstrating that you genuinely care about the young person)
4. Being Present (e.g., demonstrating that you are in the moment, and not distracted,
when relating to the young person).
5. Providing Feedback (e.g., responding in ways that explicitly address the concerns of
the youth)
41
Working with Youth Groups

Please assess your overall ability in communicating with youth groups by circling the
6. Being an Active Listener (e.g., working hard to hear points of difference and consensus
within the group)
7. Establishing Trust (e.g., demonstrating that the youth can have confidence and depend
on you to respect the group and keep it emotionally safe for all)
8. Being Empathetic (e.g., demonstrating that you genuinely care about everybody in the
group)
9. Being Present (e.g., demonstrating that you are in the moment, and not distracted,
when being in the group).
10. Providing Feedback (e.g., responding in ways that explicitly acknowledge the
concerns of all the youth in the group)
42
2.5 Skill Development: Communication Skills

Relationship building ultimately requires that you understand and respond to the unique
needs of individual youth. Your ability to do so is dependent, in large part, on effective use
of communication skills.
2.5.1 Five Communication Skills

Messages are communicated with much more than just your words. At the same time,
words are very powerful for what you say and how you say it can have a big impact on
the lives of young people. By strengthening a few key communication skills you can
become more effective in building and fostering relationships with and among youth.
The skills you use to communicate with an individual are the same skills you use in
supporting a group of youth to communicate with each other. They are:
1. Active Listening: Seeking to hear what the youth is really trying to communicate to
you.
2. Establishing Trust: Demonstrating that the youth can have confidence and depend
on you.
3. Being Empathetic: Demonstrating that you can see things from their perspective.
4. Being Present: Demonstrating that you are in the moment and not distracted when
relating to the young person.
5. Providing Feedback: Responding in ways that explicitly address the concerns of
youth.
Each of these skills builds on the other. For example, an excellent way to build trust is to
really listen to young people. Listening is also a doorway for true empathy.
43
Active Listening
Learning to hear what the youth is really trying to communicate to you.
How do you listen attentively? Below are some of the steps to consider:
Active Listening
Steps
Description
Be present
Give the speaker your full attention and eye

contact
Keep an open mind
Withhold your comments / opinions or need to

respond
Affirm the speaker
Paraphrase key words to encourage the

speaker and let them know they have been
heard
Nonverbal response
Communicate through your body language

you that you are listening and open to what is
being said
Listen fully
Listen not just to the words of the speaker but

to how they are speaking, their body language
and the feeling behind the words
(Adapted from the section on Attentive Listening in Tribes, pages 93 & 94)
44
Establishing Trust
Demonstrating to the youth that they can have confidence and depend on you.
How do you gain the trust of your youth? Below are some of the steps to consider:
Establishing Trust
Steps
Description
Do what you say you will do
Adults break promises to youth daily without

giving them a valid excuse. The quickest way to
win trust is to follow through on what you say
you will do.
Be consistent
Deal with rule infractions and non-compliant

behavior in the same way. This does not mean
that everyone is treated the same. Youth
understand ambiguitythe grey zone. Deal with
each situation consistently while also taking the
context and individual into account.
Be open with the facts
Let youth know all the facts that you know. Bring
them into a situation and allow them to
participate in decision making or help problem
solve an issue at hand.
Prepare youth
Let them know in advance about any changes

that might be occurringschedule changes,
new staff changes, up coming holidays, etc.
Tell youth that you trust them
Let the youth know that you trust them with

information, decisions, and their own ability to
figure things out.
45
Being Empathetic
Demonstrating that you can see things from anothers perspective.
How do you show someone you empathize? Below are some of the skills to consider:
Being Empathetic
Skills
Description
Attending, acknowledging
Providing verbal or non-verbal awareness of other,

i.e., eye contact, facial expression, etc.
Restating, paraphrasing
Responding to person's basic verbal message
Reflecting
Reflecting feelings, experiences, or content that has

been heard or perceived through cues
Interpreting
Offering a tentative interpretation about the other's

feelings, desires or meanings
Summarizing, synthesizing
Bringing together in some way feelings and

experiences; providing a focus
Probing
Questioning in a supportive way that requests more

information or attempts to clear up confusions
Giving feedback
Sharing perceptions of the other's ideas or feelings;

disclosing relevant personal information
Supporting
Showing warmth and caring in one's own individual

way
Checking perceptions
Finding out if interpretations and perceptions are valid

and accurate
Being quiet
Giving the other time to think as well as to talk
The information in the table below comes from:

http://crs.uvm.edu/gopher/nerl/personal/comm/e.html
SOURCE: Pickering, Marisue, "Communication" in EXPLORATIONS, A Journal of
Research of the University of Maine, Vol. 3, No. 1, Fall 1986, pp 16-19.
46
Being Present
Demonstrating that you are in the moment and not distracted when relating to the
young person.
Presence has to do with your awareness and attention being focused on what is
happening NOW. It is a non-judgmental stance in which you are taking in all that is
occurring. When you are fully present, young people can sense that you are really there
for them.
It can be difficult to be present in the daily bustle and stress of youth programs and living
your own life. However, when working with young people it is critical that you find space
to relax, reflect and rest in order to be fully present in your program.
Being present requires energy. When you share your own vitality and passion with young
people they can trust that you are being real with them. Youth appreciate adults who can
be flexible and aware and show that they authentically care about young people.
47
Providing Feedback
Responding in ways that explicitly address the concerns of youth.
Often feedback is given in an offhanded way that is not thoughtful, specific or supportive.
It tends to look and feel like criticism. But feedback is an important communication tool
that enables honest and open relationships. When you share the steps and intention of
giving feedback it helps both the person sharing and receiving the feedback to be open,
positive and receptive.
Steps to consider when giving feedback:
Listen with an open mind
Give acknowledgements and affirmations
Ask clarifying questions
What have you previously tried?
What are you thinking of doing?
Offer ideas: Would you like some ideas/feedback?
Be specific and offer an detailed example of what you are talking about
Steps to consider when receiving feedback:
Agree to the process
Keep an open mind
Listen fully
Reflect on the new information
Try on the new ideas
Appreciate the focus being given to you!
48
2.6 Assessment
2.6.1 Identifying Key Challenges and Strategies in Building Relationships
What gets in the way of forming close and trusting relationships with young people at any
age elementary, middle and high school? What challenges do you face in promoting and
encouraging supportive relationships between young people?
Purpose: Relationship building ultimately requires that you understand and respond to
the unique needs of individual youth. Ones ability to do so is dependent, in part, on the
effective use of communication strategies.
The purpose of this assessment is to deepen your understanding of three key

communication strategies and how they directly affect your ability to form relationships.
Communication Strategies
Setting Boundaries: Its important to set clear limits with young people to let them know
what you can and cannot do or share as a youth worker. Boundaries set the parameters
for appropriate emotional and practical support. Knowing your limits does not mean that
you are distant and aloof. Young people appreciate adults who are real with them. As a
role model, you are also helping youth learn how to set appropriate boundaries for
themselves.
Promoting Cross-Cultural Interactions: Learning to reach out and interact appropriately

with people different from yourself is important in building relationships in diverse groups.
As a youth worker you can model openness, respect and interest in other cultures and
encourage youth to get to know youth outside their group. Engaging in cross-cultural
interactions enriches your life and also requires risk-taking and good communications
skills.
Facilitating Positive Group Interactions: In the context of relationship building,

facilitation involves the ability to nurture healthy group process and support youth to build
relationships with each other. As a facilitator, creating a safe and democratic environment
where all voices are heard encourages development of positive relationships. In your role
as a youth worker you can model accountability, fairness and sensitivity. And the more
you know all young people in your program, the more you can support each individual to
participate and contribute in their own way.
49
Relationship #1: Identify a youth with whom you HAVE BUILT a strong relationship.
What is the youths name? __________________.
Think about what you did to build this relationship.
a. I have established clear boundaries with the young person, and the young person
understands my expectations for our relationship.
b. When the youth is in a group, I encourage him/her to engage in cross-cultural

interactions.
c. When the youth is in a group, I facilitate the group to ensure that s/he has an
opportunity to contribute and to speak and be heard.
Relationship #2: Identify a youth with whom you HAVE NOT BUILT a strong
relationship. What is the youths name? __________________.
Think about why a strong relationship has not been formed.
b. When the youth is in a group, I encourage him/her to engage in cross-cultural

interactions.
c. When the youth is in a group, I facilitate the group to ensure that s/he has an
opportunity to contribute and to speak and be heard.
50
Self-Reflection:
What do you see as your strengths in nurturing relationship #1?
What are your challenges in relationship #2?
What strategies(s) would you like to strengthen: setting boundaries, promoting crosscultural interactions, and/or facilitating healthy group process?
What specifically can you do to build a stronger relationship with each of these youth?
51
Worksheet 2
2.7 Case Study: The Role of Adults
There are many different kinds of hats you wear when working with young people.
Sometimes youre a teacher, other times youre a coach, and some times you need to
take on a parental role. But your role is also unique. As a youth worker you have an
opportunity to be an advocate, counselor, guide and mentor for your youth.
Instructions: Below are four typical dilemmas youth workers face in mediating
relationships at the fictitious youth center, 123 Youth Center. Based on what you know
about working with and communicating with youth, what would you instruct the youth
worker to do in each situation?
123 Youth Program:
located in a large city
runs programs at elementary, middle and high schools
serves a diverse population of 300 youth annually
provides programs that include arts, academic support, sports, and service learning
serves youth ages 7 18 years of age
Scenario 1: Tamara
Tamara works at 123 Youth Center and also lives in the neighborhood. When returning to
her house one Friday evening (around midnight), she finds one of her youth is sitting on
her steps. When she approaches the youth it is clear that the young person is intoxicated.
Please answer the following questions:
What challenges may surface in this interaction?
What role should Tamara take in relationship to her youth?
In what ways can Tamara be a role model?
What communication skills can she employ?
What will be the impact on their relationship?
52
Scenario 2: Andre
Andre is in the middle of facilitating a recreation activity with his group. He gets a call on
his cell phone from Crystal, a youth in his program, who has become involved in gang
activity. She asks that he come and pick her up nowbecause shes afraid and thinks
something is going down.
What role should Andre take in relationship to his youth?
In what ways can Andre be a role model to Crystal and the young people at the
recreation program?
What communication skills can he employ?
What will be the impact on their relationship?
Scenario 3: Cedric
Cedric is teaching an after school art class with 10-12 year olds. The ethnic make-up of
the group is about half South East Asian and half African-American youth. Cedric notices
that the group segregates along racial lines during the activity.
What challenges may surface in this situation?
What role should Cedric take in relationship to his youth?
In what ways can Cedric be a role model to the young people in his art class?
What communication skills can he employ?
What will be the impact on his relationship with the youth?
53
Scenario 4: Alisha
Alisha works with a group of eight-year girls. One day during check-in many of the girls
say they want a time to talk about girl things. Alisha notices that a recent newcomer to
the group, Samantha, is withdrawn and is unwilling to participate in discussions or
activities.
What role should Alisha take in relationship to Samantha?
In what ways can Alisha be a role model to the young people in her girls group?
What communication skills can she employ?
What will be the impact on her relationship to the group?
54
2.8 Activity With Youth

The following activity is an opportunity for you and your youth to look at issues of identity,
culture and tradition. Its also a chance for you to get to know them better by encouraging
them to inquire and share stories about their names. Sharing personal stories helps us
know each other and build deeper relationships.
This activity is adapted from Tribes: A New Way of Learning and Being Together, Gibbs,
Jeanne, 1995 CenterSource Systems, p.p. 276-277.
Whats in My Name?
Time: Homework activity and 20 minute group discussion
Materials: Distribute worksheet
Objectives of Activity
1. To build knowledge of youth
2. To encourage group members to share feelings
3. To practice attentive listening
Instructions
1. Explain the activity to your group:
"When you go home (tonight, this weekend, etc), ask your caregiver about how you
were named.
How was your name picked?
Were you named after someone?
Does your name have a particular meaning in your culture or native language?
After your discussion, think about and answer the questions on the worksheet and
bring it with you for our circle (day/date).
(Note: Please be sensitive to any youth who may be living with caregivers who may
not know this information, such as youth living in foster homes. You may want to add a
question that they can more easily explore and discuss so they dont feel left out.)
2. Meet back in a circle at the designated time.
55
3. Facilitate a discussion about their conversations with their caregivers. Ask the youth to
take turns sharing how their names were selected, what nicknames they may have
and how they feel about their names or nicknames.
Suggested Reflection Questions
Content/Thinking
What similarities did you notice about how peoples names were selected?
Why is it interesting to know how you got your name?
Social
How does this activity help us get to know one another?
How can this type of activity help this group feel better about each other?
Personal
How did you feel when you learned how your name was selected for you?
Would you consider changing your name? Why?
What did you learn about the meaning of your name?
56
Whats In My Name? Worksheet

Name________________________________________________
Instructions:
Answer the following questions about your name. Interview your caregiver if you do not
know all the answers.
1. Why did your caregivers choose your name?
2. Were you named after someone?
3. Does your name have a particular meaning in your culture or native language?
4. What nicknames do you have and how did you get them
5. Do you like your name? Why or why not?
6. If you could choose another name, would you, and what would it be?
57
Worksheet 3
Chapter Review
This review will help you retain key Relationship Building concepts. Please answer the
following six questions on a separate piece of paper.
1. What makes your role as a youth worker unique?
2. Briefly explain the importance of positive role models in the lives of youth.
3. List some of the things about yourself and your behavior that set examples for young
people.
4. Name the five key communication skills and briefly describe each.
5. Name three strategies for handling relationship building challenges and briefly
describe each.
6. Self-Reflection: What have you learned about yourself? What can you focus on to
improve your communication skills and role modeling?
58
Worksheet 3
This review will help you retain key Relationship Building concepts. Please answer the
following five questions on a separate piece of paper.
1. What makes your role as a youth worker unique?
As a youth worker I get to play multiple roles, be more informal with youth, and act as a
guide and mentor. Depending on the situation at hand, I get to play roles such as a
parent, doctor, counselor, or teacher.
The informal and playful setting of my program allows me to connect closely with and
know youth possibly more than other adults in their lives. I can nurture and pay attention
to the broader development of young people in a way that teachers often do not have the
time or freedom to do.
In my relationship I may have more flexibility to be a guide and mentor unlike other
adults who often have a range of agendas for a young person. I can seek to empower
young people by working with them to discover new ideas and find their own solutions. I
can help youth make healthy decisions and offer emotional support as they deal with the
challenges of their pre-adolescent and teen years.
2. Briefly explain the importance of positive role models in the lives of youth.
Role models serve a critical function in the lives of youth. They can be teachers, parents,
friends, siblings, celebrities, athletes, etc. anyone who sets a good example for young
people.
As young people grow and develop, they look at the adults and peers around them to see
who they want to be and what choices they want to make. Role models provide youth with
means of identification and offer guidelines for behaviors and actions. Youth see
possibilities for their futures especially when they see what adults like them have
accomplished. Of course not all role models are positive. Some lead youth to making
unhealthy decisions. Positive role models are conscious of how their behavior impact
young people and exhibit only behaviors that they want imitated.
3. List some of the things about yourself and your behavior that set examples for young
people.
59
Appearance: How I dress for work

Speech: How I speak about others, including my workplace and colleagues
Interpersonal relations: How I interact with youth and my colleagues
Work Ethic: How I care about doing a good job
Language: How I use words (no swearing, etc.)
Boundaries: How much I share about yourself and how you expect others to behave
Views: How I express my views about the world
Values: How I express my personal values
4. Name the five key communication skills and briefly describe each.
Active Listening: Seeking to hear what the youth is really trying to communicate to you.
Establishing Trust: Demonstrating that the youth can have confidence and depend on
you.
Being Empathetic: Demonstrating that you can see things from their perspective.
Being Present: Demonstrating that you are in the moment and not distracted when
relating to the young person.
Providing Feedback: Responding in ways that explicitly address the concerns of youth.
5. Name three strategies for handling relationship building challenges and briefly
describe each.
what you can and cannot do or share as a youth worker. Boundaries set the parameters
for appropriate emotional and practical support. Knowing your limits does not mean that
you are distant and aloof. Young people appreciate adults who are real with them. As a
role model, you are also helping youth learn how to set appropriate boundaries for
themselves.

with people different from ourselves is important in building relationships in diverse
groups. As a youth worker you can model openness, respect and interest in other cultures
and encourage youth to get to know youth outside their group. Engaging in cross-cultural
interactions enriches our lives and also requires risk-taking and good communications
skills.
60
Facilitating Positive Group Interactions: In the context of relationship building,

facilitation involves the ability to nurture healthy group process and support youth to build
relationships with each other. As a facilitator, creating a safe and democratic environment
where all voices are heard encourages development of positive relationships. In your role
as a youth worker you can model accountability, fairness and sensitivity. And the more
you know all young people in your program, the more you can support each individual to
participate and contribute in their own way.
6. Self-Reflection: What have you learned about yourself in this chapter? What can you
focus on to improve your communication skills and role modeling?
61
Activity: Getting to Know Your Youth Inside & Out

PURPOSE:
To provide opportunities for youth to reflect on themselves
To create a sense of community and inclusion through personal sharing
To build knowledge of youth in your program
To establish a safe community space
MATERIALS:
Construction paper, tape or glue, index cards, markers
TIME: 45 - 60 minutes
BRIDGE:
Tell the group that part of creating community is getting to know ourselves and each other.
There are many ways for us to do this. The following activity will model one approach.
Guide a brief discussion about the importance of creating community space so that
everyone can truly come forward and be him or herself.
PROCEDURE:
Ask the youth: How well do you think others know you? How well do you think we
know each other in this program? Each of us are really interesting people with a lot
to share, and often we only know a little bit about a person. This activity will give us a
chance to get to know each other a little better.
Have each student select a piece of construction paper and several index cards
Fold the paper in half to turn it into an envelope. Tape or glue the sides so it can hold
things.
Have students put their name on the outside of the envelope.
On the outside of the envelope, ask them to write things about themselves that they
think other people can see, or opinions that they think other people have about them.
For example: People see I am tall, people say I am friendly.
Have students write things about themselves on the index cards that people dont
often see. For example: I am scared of dogs, I hope to be a fireman, I like to dance
but am too shy
Have students put these index cards into their envelopes.
You may choose to chart the instructions or make a sample envelope to clarify
instructions
Once everyone has completed their envelopes and cards, bring the group into a circle.
Each person should take turns going around the circle and sharing at least one thing
from the outside of the envelope, and one from the inside.
62
The envelopes can then be hung on the walls, and students can write acknowledgements
to each other throughout the week or month about things they notice. For example: I
liked that you helped me with my homework, etc. This teaches young people to notice
and acknowledge the positive behavior of their peers, and shows them that their actions
make a difference to others.
63
Chapter 3: Supporting Youth as Group Members

Welcome
Welcome to Chapter 3 of Relationship Building! In this chapter

you will look at the youth role and how the foundation of solid
relationships can support youth in becoming group members.
Goals and
Objectives
This chapter is designed to provide you with an overview of

equity and diversity and the role of group development in
relationship building - through readings, exercises and
assessments.
By the end of this chapter you will be able to:
Identify dimensions of diversity that exist in your program
Recognize how diversity and equity impact your program and

develop strategies to support cross-cultural understanding
and communication
Identify a model of group development and analyze the

current stage of your groups development and any current
challenges
Collect strategies to strengthen your group process
Instructions

Estimated Time
to Complete
Chapter 3:
60 90 minutes: Online and workbook readings and activities

64
3.1 Self Reflection: My Life and History

In this section you will have a chance to reflect on the role of culture and diversity in your
own life. Knowing who you are within the context of your program and the larger society
will help you support youth as members of diverse groups. As a youth worker, your
sensitivity around diversity and equity issues will help you create programs that meet the
needs of the young people you serve.
In this exercise, you will spend some time thinking about yourself and your background.
65
Worksheet 1
3.1 Self-Reflection: Reflecting on My Own Life and History
Think about yourself, your family and your background. Please list all the groups that you
belong to or you feel are important in describing who you are.
Did you include any of the following?
Ethnicity
Sexual orientation
Class
Disabilities
Language group
Gender
National Identity
Birthplace
Race
Religious affiliation
Culture
Why did or didnt you include the above categories?
What other categories did you include that are not on this list?
In what circumstances and times in your life have you been the target of stereotyping,
prejudice, or discrimination?
66
For what reasons do you believe you were targeted? Please describe the circumstance.
How did this experience affect you?
Has there been a time when you were celebrated for being a part of a particular group?
Describe the circumstance.
What was this experience like for you?
Now that youve reflected on your experiences of difference, in what ways do you think
your own history impacts your relationships with youth?
67
Have you gained any new insights about the youth in your program and their experiences
of diversity as a result of this reflection? If so, please explain.
Adapted from: Our Roots, Our Future: Affirming Culture and Language in After School &
Youth Programs, A Tool for Self-Reflection, pp 73-76. Permission to use granted by
California Tomorrow, Oakland, CA.
68
3.2 Concept Exploration: Culture, Diversity, Equity and Inclusion

Supporting cross-cultural interactions is a critical strategy in building relationships in
diverse groups. In youth programs throughout the country, the ethnic and language
diversity of young people has grown dramatically in the last few decades reflecting
changing demographics in society. This diversity brings wonderful opportunities and
important challenges to youth programs.
So how do you manage and fully celebrate the diversity of your program? How do you
intentionally create communities that welcome all ethnicities, learning styles and
languages spoken while addressing issues of equity?
The following definitions are from California Tomorrow (CT), an Oakland-based

organization that works to create a fair multi-racial and multicultural society.
Culture refers to the values, beliefs, and traditions of a particular group of people, and
how they make sense of and create a way of life.
Diversity refers to the wide range of dimensions around which people differ. These
dimensions include race, culture, language, class, age, gender, sexual orientation, and
physical or mental ability/disability.
Equity means that each person is treated fairly and has equal access to economic, social
and educational opportunity.
Inclusion means being fully accessible, reflective, and representative of the diversity in a
program, in a community, and in society.
How can you embrace these concepts and put them into practice? In the attached article,
California Tomorrow looks at how cultural and linguistic diversity affect youth
development. They describe many ways in which youth programs can respond to the
imperatives of diversity and equity.
Instructions: Please read the article, Equity Diversity and Youth Development.
Permission to use granted by California Tomorrow, Oakland, CA.
69
Equity, Diversity, and

Youth Development
HELPINGAFTER SCHOOL AND YOUTH PROGRAMS RESPOND
TOTHE IMPERATIVES OF CULTURE AND LANGUAGE
ach year, in response to

increasing safety concerns, work demands,
and hopes for new learning,
more and more families are
seeking after school opportunities for their children. Our
nations policy makers and
foundations are responding by
expanding funding and support for after school and other
youth programs. These programs are an important means
for supporting working parents and providing recreation
and enrichment to a wide variety of children and youth. In
addition, they are increasingly
being seen as one way to
address under achievement
and poor social outcomes that
persist among certain groups
of youth.
The expansion of funds for
out-of-school programs has

come with an increase in
demands for accountability
and in the range of expectations being placed on programs. Sports programs might
be asked to improve literacy,
arts programs to provide conflict resolution skills, and
almost all programs are being
asked in some way to help
raise scores on the high-stakes
exams that teachers and youth
face in schools.
Fortunately, there are critical resources that can be
drawn on to meet the soaring
performance expectations and
to nurture young people in
ways that honor their budding
identities, their hopes and
dreams, their talents, and their
family and community backgrounds. One set of these
resources comes from a professional field referred to as

youth development which,
over the past two decades, has
sought to define the social and
academic needs young people
have at different points in
their lives, and to show how
programs can support them in
fulfilling those needs to
become healthy, successful,
and thriving adults. We would
like to share some of this
fields insights with you and
highlight the many ways
youth development connects
with culture, language, race
and the increasing diversity of
our society.
In the last few decades, the
ethnic and language diversity
of young people attending
after school programs has
grown dramatically, reflecting
California Tomorrow, copyright 2002
61
70
SAN DIEGO, CA.

PHOTO: DEXTER DONG
the changing demographics of

the nation and adding to both
the challenges and the opportunities of after school and
youth programming. (Please
see Findings from the Field,
on page 18, for more details).
These realities need to be
incorporated into our definitions of healthy youth development and used to shape
after school program goals,
practices and intended outcomes in school settings,
national youth programs,
community based organizations, churches, childcare programs and other contexts.
What is youth
development?
Youth development refers
to a process that takes place
from childhood through ado62
lescence and into adulthood.

It is a social, emotional, intellectual, and physical process,
and all young people go
through it. During this
process, they seek to meet
their basic physical and social
needs, to understand and
shape their own identities,
and to develop the core competencies they will need for
adulthood. What youth need,
how they see themselves, and
what skills they develop are
affected by all the settings in
which they live, learn, work,
or play including at home,
before, during and after
school, with friends, at formal
community events and organizations, and while out in
their neighborhoods or at
jobs. The way a child and
teen develops is a collective
process, deeply involving their

family and community as well
as formal institutions like
schools and out-of-school
programs.
The youth development
field under the leadership of
organizations such as the
Academy for Educational
Development, the Carnegie
Corporation, the Community
Network for Youth
Development, the Forum for
Youth Investment, the Fund
for the City of New York, and
the Search Institute suggests
five key areas of support
which young people need if
they are to achieve academic
and social success, economic
self-sufficiency, a strong sense
of self, and active participation in their communities and
society. These areas include:
Our Roots, Our Future
71
Physical and emotional

safety;
Learning, skill building and
intellectual growth;
Self esteem, identity and a
sense of belonging;
Leadership, empowerment
and civic participation; and
Meaningful, respectful relationships with peers and
adults.
How do cultural,
linguistic, ethnic and
racial diversity affect
youth development?
Our society is blessed with
rich cultural and multicultural
contexts, offering many linguistic and cultural resources
and the opportunity to learn
across differences in this
increasingly global era. At the
same time, minority groups
across the nation often face
discrimination, cultural or
linguistic challenges, and
unequal division of resources.
And many children and youth
are growing up in a world of
ethnic and racial separation
and intergroup violence. As a
result of all this, after school
and youth programs regardless of the type of institutions
that sponsor them or the particular demographics they
serve now face five important diversity-related imperatives if they are to fully provide and honor the youth
development supports listed
above. This is because young
people cannot feel safe if they

are worrying about crossgroup harassment or if they
fear even subtle criticism
about their customs, languages, or families. Learning
whether academic or artistic,
civic or recreational is often
most effective when it draws
upon childrens cultural and
linguistic experiences. And the
development of self-esteem,
leadership, and strong relationships requires that young
people feel understood and
valued in who they are and
where they have come from, as
well as equipped to deal with
the complex realities of their
diverse world.
The five program imperatives are as follows: First,
because childrens cultural,
family, language, ethnic and
racial backgrounds are core to
who they are and how they
learn, as well as to what supports they may need, programs
should offer activities that are
supportive, accessible, and
responsive to these aspects of
their lives and identities.
Second, because minority
youth experience consistent
devaluation of their home cultures and pressures to assimilate to the dominant or mainstream culture (which tends to
reflect white, middle class,
English-speaking values and
traditions), they need to be
actively supported to develop
strong cultural and linguistic
identities, and to feel fully

comfortable in both their
home cultures and the dominant culture. Third, programs
should help all youth develop
the cross-cultural social skills
and the language capabilities
needed to participate in our
increasingly diverse society.
Fourth, youth-related institutions should find ways to
address persistent disparities
among youth along the lines
of cultural, language and ethnic diversity, and to challenge
the material conditions that
produce them. And fifth, programs should help minority
young people heal the emotional wounds caused by living
in a society that often devalues
and excludes them and their
communities.
A. Programs should
provide curriculum and
experiences which are
culturally and linguistically supportive, accessible, and responsive.
Babies are born receptive to
the broad range of human possibilities. The family they are
born into, the nation, the culture, the time in history, and
the environment begin to
inform and shape them as they
come to understand who they
are, how the world works, and
how they fit into it. Children
are socialized to acquire the
specific skills and behaviors
that are traditional and func63
72
tional for their cultures. A

childs family culture and language are the foundations of
who they are, of how they see,
how they learn and how they
act in the world.
For children who grow up
in cultural or language minori-
MINNEAPOLIS, MI.
PHOTO: JIMENA QUIROGA
ty groups, the cultural knowledge and norms they learn in

their families the values,
beliefs, expectations, actions,
emotional responses, and
forms of communication are
often different from the ones
presumed in most public settings and institutions, including schools and many youth
programs. Their experience is
different in this regard from
the experience of majoritygroup youth, who usually find
cultural similarities across the
various arenas of their lives.
In order to meaningfully
provide youth development
supports to all children, after
64
school and youth programs

need to attend to the importance of culture and the frequent reality of cultural disconnections for non-dominant
groups. This means they need
to do everything they can to
create inclusive, culturally and
linguistically accessible environments
which allow all participants to feel safe
and capable as they
explore new skills,
opportunities, and
relationships.
Central to making
this happen is having an explicit goal
of inclusion which is
shared across the
program and a commitment to holding
the program accountable for
addressing that goal. It is also
essential that program staff
not be afraid to discuss issues
of culture and language, and
that they openly acknowledge
cultural and linguistic differences rather than trying to
minimize them for the sake of
their own or others comfort.
Culturally and linguistically
accessible programs are programs where:
Staff are sensitive to the
cultures and speak the languages of participants and
families;
Young peoples cultural customs, holidays, and traditions are recognized and
respected;
Cultural knowledge and
norms are valued including norms around participation, communication,
behavior, and discipline;
Young people are free and
encouraged to speak their
home languages, as well as
to speak English;
Culture and cultural differences are openly and positively acknowledged;
Language and language
differences are openly and
positively acknowledged
Parents and other family
members can become
involved, even if they do
not speak English;
The program atmosphere
and materials reflect participants cultures and languages; and
Stereotypes and discriminatory practices are not
tolerated.
The stakes of not providing
environments like this in
after school programs and
elsewhere are high. A recent
California Tomorrow survey
revealed that most language
minority youth in after school
programs in the U.S. today,
for example, are in programs
where no staff speak the language of their homes. This
makes it very difficult for staff
members to communicate
with their families. It also limits the strength of relationships
between young people and
73
staff, because deep communication is difficult when there

is no shared language. Youth
of different cultures can also
feel disconnected or invisible
in programs where their own
heritages are not acknowledged or present in the curriculum or program structure.
They are silenced in many
ways when they cannot draw
upon their cultural backgrounds or use their home
languages, even if they are also
fluent in English.
Programs can use a variety
of different strategies to honor
and incorporate the life experiences of children and families. Some examples from
California Tomorrows national study of after school programs include: hiring staff
from participants neighborhoods or ethnic communities;
providing outreach materials
and communication with parents in their home languages;
offering bilingual academic
support; dividing youth into
culture- or language specific
groups for certain activities;
incorporating cultural history,
cultural activities or openended cultural questions into
youth projects and performances; and drawing upon local
youth cultures in developing
activities, environments and
recruitment strategies.
Doing any of this, of
course, requires knowing the
backgrounds of the young
HONOLULU, HI. PHOTO: MONA SHAH
people in the
program and
partnering with
youth, families,
and community members to
identify their
unique needs,
the resources
they bring
from their heritage cultures
and languages,
and their hopes
for program
learning and
participation.
B. Programs
should support the
development of strong
cultural and linguistic
identities.
For generations, it has been
the pattern in the United
States to expect minority,
indigenous, and immigrant
children to adopt the customs
and behaviors of the dominant
culture and give up their family cultures and traditions. It
has been an either-or way of
thinking about culture and
identity. We have expected
young people to leave behind
their histories in the process of
becoming educated, becoming
economically successful, and
becoming American. This
has frequently caused ruptures
in families and been a source
of deep pain.
Today also, minority children absorb messages from
the dominant culture suggesting a relative lack of value to
their own cultures and languages. This throws many
into deep conflicts that cause
them to deny their heritage
and repress those parts of
themselves connected to their
heritage. In the process they
may sever relationships to parents or grandparents, and thus
lose access to the rich wisdom
and support that would be
normally transmitted through
family cultures and languages.
Others develop resistance to
the efforts of schools and programs that fail to recognize
and embrace their home communities resistance that cuts
65
74
PHOTO COURTESY ST. CHARLES

MISSION SCHOOL, SAN CARLOS, AZ
them off from opportunities

to participate fully in the
dominant culture and society.
Either way, when programs
and other youth-serving institutions do not include and
support the cultural and lan66
guage realities of childrens lives, healthy

youth development is
greatly compromised.
Strong, thriving
youth need a sense of
belonging in the world,
a sense of their own
competency and the
ability to meet the challenges of their lives.
Strong cultural and linguistic identities are an
important part of this,
offering connections to
resources in ones family
and community, history
and heritage. For young
people living in two or
more different cultural
worlds, developing such
identities requires
knowing how to participate in multiple realms
and to move effectively
between and across
them. This includes
having the cultural
knowledge and knowing the languages of
each realm, possessing
the ability to integrate
different cultural experiences and expectations, and developing/maintaining resiliency
against stereotypes and
racism.
Supporting young people
to be safe and confident in
themselves and to maintain
strong relationships with their
families and communities
means creating spaces which

value and nurture their identities and which help those who
have been raised in more than
one culture and/or who speak
more than one language learn
to embrace and integrate both
(or all) their worlds.
Incorporating the kind of culturally accessible program elements discussed above is just
one aspect of doing this.
Because of the centrality of
culture and language in young
peoples lives and the frequent
disconnects that marginalized
youth encounter between
home and school or youth
services, after school programs
need to go beyond just being
supportive and responsive to
actively ensure that youth
develop positive identities
related to their cultural heritage, and that they learn how
to effectively navigate the
dominant culture. For these
to happen, direct affirmation
of marginalized youths heritage cultures and/or instruction in the norms of the dominant culture may be necessary.
If the context is right, programs can provide direct cultural instruction for example, by working with
Appalachian youth to build
an old-time mountain farm,
teaching African American
children the music and dance
of their ancestors, or talking
with South Asian adolescents
75
about their communitys cultural and socio-political history. Many young people from
California Tomorrows study
have told us that role models
from their communities have
had a huge impact on the
development of their identities, and that it is extremely
valuable to have after school
program staff from their
neighborhoods or ethnic
groups, or who speak their
languages.
Finally, building positive
identities involves teaching
young people to recognize and
challenge stereotypes and biases, replacing negative cultural
images with positive understandings ones which celebrate the richness and beauty
of all backgrounds and experiences. For some marginalized
youth in programs, explicit
instruction about dominant
cultural norms for example,
job interview expectations or
conventions of standard
English provides cultural
information they are otherwise
unable to access. Programs can
also use art, oral history
and/or community service
projects to strengthen the connection children have with
their families and communities, and they can provide formal or informal environments
for young people to talk
together about their experiences dealing with the dominant culture, language, or race.
C. Programs should help

young people develop
cross-cultural skills and
understanding.
Young people today are
growing up in a global, multicultural world. With hundreds
of different ethnic and language groups in the United
States, most children live in
communities where they must
learn to understand and get
along with people of different
ethnic backgrounds and/or
from different parts of the
globe. More and more young
people themselves live in
transnational families spending time and maintaining family relations in two or more
different nations. Even for
those that dont, the immediacy of the worldwide web and
communication technologies
puts them in instant contact
with people from throughout
the world. We live in an era in
which all children need to
grow up with multiple language skills, and with the commitment to reach across and
understand people of cultures
and religions other than their
own. If young people are to
become secure and competent
adults in the 21st century, if
they are to become leaders and
contribute to their communities and to our world, they
need to learn to bridge cultural
divides, move past legacies of
racial and ethnic tension and
pain, and find the deep value
of being able to see the world

through multiple lenses. After
school and youth programs
can help with all of these.
An important first step that
youth providers can take is to
challenge the view that ethnic,
cultural, racial and language
diversity is threatening or
unnecessary, and to emphasize
instead with youth, families,
communities, and partnering
institutions the benefits of
cross-cultural exchange and
dialogue. Programs can also:
Educate children and youth
about cultures, communities, nations and languages
other than their own;
Challenge ethnic stereotypes, assumptions and
racism whenever they arise;
Counter assumptions that
some languages are better
than others;
Encourage young people to
work and play with peers of
different backgrounds;
Teach conflict resolution
skills, including skills for
resolving conflicts across
cultures or languages;
Help young people to think
critically about the world
and their place in it;
Provide opportunities for
cultural sharing; and
Encourage compassion for
all people.
With such a high level of
diversity in after school contexts, most programs have
many opportunities every day
67
76
both formal and informal

to help young people develop
cross-cultural skills and understanding. When divisions or
tensions emerge on the playground, for instance, staff
members can point them out
and help children build common ground. Activity groups
can be intentionally mixed
across cultural and/or language groups. And cultural
sharing can take place around
art or writing activities, or by
inviting family members to
visit and tell stories. Even
programs without multiple
ethnicities represented can
teach different languages,
model cross-group adult interaction, incorporate multicultural music, videos, books, or
performances into regular
projects, and critically discuss
relevant news events or events
from young peoples lives. And
any work on listening skills,
peer relationship-building, or
challenging stereotypes can
help provide a foundation for
cross-cultural connection later
in life.
D. Programs should seek
to address the conditions
that produce social disparities and inequities.
Despite a history in the
United States of movements
toward greater inclusion, participation, democracy, and
open access, disparities
between cultural, language
68
and racial groups persist.

Statistics on almost any measure of achievement, health,
economic, and social outcomes show that access to
resources and learning opportunities differ considerably
across ethnic communities.
For example:
In the year 2000, median
family incomes for African
American and Native
American families were only
2/3 of what they were for
white and Asian/Pacific
Islander (API) families, and
for Latino/Hispanic families
only 3/4 of what they were
for white and API families.
(www.census.gov)
While 7.5% of whites lived
below the poverty level in
2000, poverty rates for
Native Americans were
31%, for African Americans
22%, for Latinos/Hispanics
21%, and for Asians/Pacific
Islanders 11%.
(www.census.gov)
According to the U.S.
Department of Health and
Human Services, the year
1999 saw 33% of Latinos/
Hispanics without health
insurance, along with 21%
of Asians/Pacific Islanders
and 21% of African
Americans. By comparison,
11% of whites lacked health
coverage.
In the last ten years, the
academic gaps between
minority and white children
and between English

Language Learners and
other students have
increased.
(www.nces.ed.gov)
The high school dropout
rate for Latino/Hispanic 1624 year olds is 28%, double
the rate for African
Americans (13%) and four
times the rate for whites
(7%). Although API students overall have the lowest
dropout rate of any group
in the country (4%), up to
50% of Southeast Asian
refugees leave school in
some communities.
(www.nces.ed.gov and
www.asian-nation.org)
Schools with more minority
students have fewer computers, less internet access,
and more outdated text
books. (www.nces.ed.gov)
Only 11% of Latinos and
21% of African Americans
leave high school prepared
to go to a four-year college.1
(www.beedu.org)
Bachelors degrees are held
by 29% of Asians/Pacific
Islanders and 23% of
whites, but only 14% of
African Americans and 9%
of Latinos/Hispanics and
Native Americans. Within
the API community, only
6% of Tongans, Cambodians, Laotians and
Hmongs have completed
1. As reflected in the statistics of

California.
77
WOODSIDE, NY.
PHOTO: JHUMPA BHATTACHARYA
college. (www.census.gov
and www.apamsa.org)
Such chronic inequities in
the conditions under which
children and youth grow up
create considerable barriers to
learning and healthy development. If we are to fully realize
the youth development outcomes of safety and mastery,
self-worth and leadership
especially for youth from marginalized groups after school
and youth programs can and
must contribute to reducing
these barriers and ending
inequities.
Programs cannot do this
alone, of course, but they can
help. They can help by creating a climate within their programs that equalizes the status
of minority communities
and their cultures and language. They can help alleviate
disparities in neighborhood
resources by targeting their

own resources to those most in
need and being sure to provide
equitable access to all groups.
They can help close academic
achievement gaps by providing
educational support for underachieving populations, including support that is culturally
relevant and/or offered in the
home languages of limitedEnglish-speaking populations.
They can offer job skills or
employment counseling to
young people in areas with
limited economic opportunities. After school programs can
link their work to other equity
agendas in the community.
And they can support young
people in coming to understand and critically analyze the
disparities and inequities, and
gain the practical and leadership skills for acting to change
those conditions.
E. Programs should help

to heal the wounds of
social distress, exclusion,
and discrimination.
Every day, many children
come to youth programs battered by living in a political,
economic, and social climate
that hurts them. Poor children
dealing with the effects of
poverty, children of color feeling the impacts of racism,
immigrant children dealing
with the stresses of trying to
understand a new country that
is in many ways hostile to
their presence each enters
the after school context not
only with the same needs as all
other children, but also with
scars and wounds related to
living in a society that undermines and devalues them.
Programs can be dedicated to
helping all youth develop a
sense of belonging, but the
69
78
task of doing so is different for

those young people who daily
face societal messages that they
dont really belong. One aspect
of supporting the healthy
development of youth in this
context is recognizing and
helping to heal the wounds.
The after school and youth
development arena can help
children and youth heal from
negative self-images, the pain
of violence and exclusion, and
the cognitive consequences of
being denied learning opportunities, safe neighborhoods,
adequate health care, and
other community necessities.
Programs can do so by
acknowledging the forces that
undermine young peoples
healthy development and by
helping children and youth
learn to identify, cope with,
negotiate, and change harmful
aspects of their environments.
Young people need support
and non-violent and non-selfdestructive outlets for expressing the pain, anger, and hurt
they feel. Programs can provide these and can support
healing in a variety of other
direct and indirect ways. They
can, for instance:
Provide access to culturally
and linguistically appropriate counseling and support
services;
Link after school activities
to other settings that support healing and social
justice;
70
Incorporate cultural and/or

spiritual healing elements
into the program;
Incorporate community
change activities into the
program;
Provide creative outlets
(arts, writing, spoken word)
to express what young people are feeling; and
Build skills in conflict resolution, collective action,
and leadership.
The healing inherent in
each of these is critical for the
development of self-esteem
and positive emotional and
social identities. It also underlies academic and social success, and is an important prerequisite for cross-cultural
engagement. Often the
strongest healers are those
who have struggled themselves with similar challenges
and pain, but anyone can support the healing process.
Though after school programs
cannot and need not be
fully responsible for alleviating young peoples hurt and
anger, taking the step of validating the often difficult realities of childhood can have a
profound impact and can help
set a respectful foundation for
addressing other youth development goals.
Making a difference
The youth development
field and out-of-school programs across the country have
a strong commitment to providing safe and caring environments for young people that
support their social, intellectual, physical, and emotional
growth. Recognizing the life
realities of the young people in
our programs, and the ways in
which culture, race, language,
and other factors impact what
they need from programs is an
essential piece of creating
those environments. Beyond
this, after school and youth
programs also have a wonderful opportunity to help bring
people together and create a
more inclusive, respectful, and
just multicultural society. The
many options related to
staffing, curriculum, and organizational context in the after
school arena and the strong
partnerships that programs
often enjoy with each other
and with communities mean
that they have the ability to
speak to some of young peoples deepest personal and
social needs in a more holistic
way than many other institutions. By targeting resources to
those who most need them,
drawing upon the assets present in the diverse roots of our
children, and teaching youth
to honor both themselves and
others, after school experiences
can help this generation create
together a future for our country that is wiser, fairer, safer
and stronger than ever.
79
3.3.1 Application: Program Practices that Affirm Culture and Language

The California Tomorrow article identified five important program imperatives for affirming
culture and language. Since this article was published, these imperatives have been
expanded to address broader issues of diversity and equity.
Program Imperatives to Address Equity and Diversity
1. Cultural Responsiveness: After school and youth programs should offer curriculum
and experiences that are supportive, accessible, and responsive to young peoples
ethnic, racial, class, gender, sexual orientation and other experiences, and to their
family, language and community backgrounds.
2. Support Social Identities: Programs should actively support the development of

strong cultural and social identities. They should help youth to feel fully comfortable in
their home cultures and the dominant culture when the two differ.
3. Intergroup Understanding: Programs should help all youth develop the crosscultural awareness and skills needed to participate and become leaders in our
increasingly diverse communities and globally interconnected society. They should
actively support young people to identify and counter stereotypes and prejudice
against themselves and others.
4. Healing: Programs should help heal the wounds of social distress, exclusion and
discrimination and support young people in coping with family or community distress.
5. Address Inequities: Programs should seek to address and to support young

people in addressing the conditions that produce and maintain social disparities
and inequities.
Permission to use granted by California Tomorrow, Oakland, CA.
80
Program Practices
Can you see how the California Tomorrow Program Imperatives to Address Diversity and
Inequity parallel the youth development supports and opportunities? Below is a summary
of examples offered in the article.
Affirm Culture and Language / Support Social Identities

Examples of practices that are culturally and linguistically accessible and support
development of social identities:
Staff are sensitive to the cultures and speak the languages of participants and families
Young peoples cultural customs, holidays and traditions are recognized and
respected
Cultural knowledge and norms are valuedincluding norms around participation,

communication, behavior, and discipline
Young people are free and encouraged to speak their home languages, as well as to
speak English
Culture and cultural differences are openly and positively acknowledged
Language and language differences are openly and positively acknowledged
Parents and other family members can become involved, even if they do not speak
English
The program atmosphere and materials reflect participants cultures and languages
Stereotypes and discriminatory practices are not tolerated
Support Cross-Cultural Skills and Understanding

Examples of practices that support the development of cross-cultural skills and
understanding:
Educate youth about cultures, communities, nations and languages other than their
own
Challenge ethnic stereotypes, assumptions and racism whenever they arise
Encourage youth to work and play with peers of different backgrounds
Teach conflict resolution skills
Help youth to think critically about the world and their place in it
Provide opportunities for cultural sharing
Encourage compassion for all people
81
Heal the Wounds of Social Distress

Examples of practices that help heal the wounds of social distress, exclusion and
discrimination:
Provide access to culturally and linguistically appropriate counseling and support

services
Incorporate cultural and/or spiritual healing elements into the program
Incorporate community change activities into the program
Provide creative outlets to express what youth are feeling
Build skills in conflict resolution, collective action, and leadership
Address Social Disparities and Inequities

Examples of practices that address conditions that produce social disparities and
inequities:
Create a climate that equalizes the status of minority communities
Target resources to those most in need in the community
Provide educational support for under-achieving populations
Offer job skills or employment counseling to youth in areas with limited economic
opportunities
Link the work of the agency with other equity agendas in the community
Support youth in understanding and analyzing the disparities and inequities in their
communities
Give youth practical and leadership skills for acting to change conditions that impact
them
82
Worksheet 2
3.3.2 Self-Reflection: Affirming Language and Culture
1. Of the five program imperatives, which one in particular does your program address
quite well? Please describe.
2. What specific kinds of things do you do to support this program imperative?
3. What program imperative would you like to strengthen? What ideas do you have for
better addressing this imperative?
83
3.4 Exercise: Who are we serving, Who are we not serving?

In order to effectively serve your youth and implement diversity and equity program
practices, you need a clear understanding of your youth population and the surrounding
community their demographics, challenges, and needs.
This exercise is designed to help you:
Generate a demographic profile of the young people in your program
Identify populations whose particular concerns or needs may warrant your attention
Highlight demographic categories that you need or want more information about
Identify gaps in who you serve compared to who lives in the surrounding community
Assess the mix of staff you have in relation to the mix of youth you serve
Some Resources for Gathering Neighborhood Data
U.S. CENSUS: http://www.census.gov.

The Census Bureau website offers a variety of data about different geographic
areas. This data is collected across the U.S. every 10 years. You can find data on:
ethnicity, immigrant status, language, gender, income, poverty rates, housing,
families, health, education level, disability and many other topics. The unit of
analysis can be national, state, city, county or zip code area.
The American Fact Finder section on the US Census website is easiest to use. It
allows you to search both by type of information you want and by area youre
interested in. The sites fact sheets are general overviews; other sections focus
on specific topics.
Your District Website: a source of information for school-based programs
GREATSCHOOLS: www.greatschools.net
A resource for school data throughout California and the U.S. It offers similar info
to the district websites, and includes all schools in the state and nation.
84
Worksheet 3
3.4 Exercise: Who are we Serving, Who are we not Serving?
DIMENSIONS OF DIVERSITY WORKSHEET: Please fill out the following chart, using
estimated percentages for each group. If you dont know about a particular group, indicate
that in a note to yourself so you can follow up at a later time.
Adapted from worksheet created by California Tomorrow and CNYD.
Percentage of
Youth in Program
Neighborhood
Demographics
Program
Staff
Comments
ETHNICITY
African American
Asian/Pacific Islander
Latino
Native American
White
HOME LANGUAGE (please list)

1.
2.
3.
4.
5.
FAMILY INCOME
High income
Middle income
Low income
Homeless
GENDER
Female
Male
SEXUAL ORIENTATION
Lesbian / Gay / Bisexual /
Transgendered (LGBT)
From LGBT family
85
Worksheet 3
3.4 Exercise continued: Who are we Serving, Who are we not Serving?
Percentage of
Youth in Program
Neighborhood
Demographics
Program
Staff
Comments
DISABILITIES (please list)

Physical, learning, etc.
1.
2.
3.
4.
5.
RELIGIOUS AFFILIATIONS
(please list)
1.
2.
3.
4.
5.
6.
7.
86
Worksheet 3
3.4 Exercise Continued: Who are we Serving, Who are we not Serving?
Did you learn anything new about the demographics of your youth and community?
Are you surprised by who you are NOT serving?
Is there a group you would like to reach out to?
Why do you think this group is not represented in your program? What can you do to
reach out to them?
What can you change about your program so that it truly reflects the surrounding
community of your program?
How can you create an environment that is more sensitive to equity and celebrates
diversity?
87
What are some of the challenges and inequities you see for the youth in your
program?
What can you do on a program and personal level to address the inequities your
young people face? How can you create a safer space for all groups?
88
3.5 Concept Exploration: Overview of Group Development

Issues of diversity and equity have a big impact on your program. Every youth program is
a unique community of people with a wide range of experiences and backgrounds. Once
you are conscious about who is in the group and what potential issues may come up, you
can find creative ways to build community.
There is often the assumption that youth will have powerful and positive connections just
because they come together to learn and have fun. However its important to find ways to
pro-actively support the healthy development of group process for the benefit of both the
program as whole and for each class or club.
A Model of Group Development

There are many different ways of looking at how groups grow and develop. One
comprehensive highly recommended model comes out of a process called Tribes. An
amazing woman named Jeanne Gibbs developed this process for teachers. This is what
she says about Tribes:
Tribes is a democratic group process not just a curriculum or set of cooperative
activities. A process is a sequence of events that lead to the achievement of an
outcome. The outcome of the Tribes process is to develop a positive environment
that promotes human growth and learning (pg. 21, Tribes: A New Way of Learning
and Being Together, 1995).
The Tribes Model of Group Development

The Tribes model describes a process of group evolution that takes place in three stages:
Inclusion, Influence and Community.
The following is a brief overview of the Tribes model adapted from the book Tribes: A New
Way of Learning and Being Together by Jeanne Gibbs, CenterSource Systems, Sausalito,
California. Although this is only intended as an introduction, it should help you think about
ways you can support the development of your group.
1. Inclusion a sense of belonging

As the starting point for any group, Inclusion requires that you pay attention to every
youths need to be recognized for his/her unique qualities and experiences. You need to
create an environment where everyone experiences safety and a sense of belonging. This
involves establishing agreements and breaking the group down into smaller units for
activities to help minimize anxiety and encourage connections. Members also learn to
listen attentively to others, not only for what they say but how they feel.
89
How can you tell if your group has entered the stage of Inclusion? All members are given
opportunities to:
Introduce themselves and share feelings, interests, resources, talents or

special qualities
Express hopes or expectations for what will happen during the group's time
together
Feel a sense of belonging and being part of the group
2. Influence to feel of value

The second stop along the Tribes trail is when your group begins to show signs of
restlessness and conflict. This is a positive sign because it means your youth feel safe to
express themselves as individuals and know that their voice will be heard. In the Influence
stage you need to consider how to support youth in expressing themselves in a way that
contributes to the group as a whole. Youll also see an increase in commitment and
motivation in your group members as each youth feels valued and important. During this
stage you will need to handle differences and embrace conflicts and misunderstandings
as a natural part of the process. You can help youth resolve issues by providing
opportunities for reflection, feedback, role-playing, and discussions.
How can you tell if your group has entered the stage of Influence? All members are given
opportunities to:
Express diverse attitudes, positions, opinions and personal feelings
Say what they think and feel knowing that individual differences are
respected
Work together to make decisions so that everyone feels they can influence
others.
Contribute to the group and share leadership responsibility with the support
of others and the facilitator
Work to resolve, rather than avoid, uncomfortable problems and conflicts

that begin to separate members.
3. Community - working together creatively

The third and final stage of group development is when your group becomes a
Community. By this point, all members feel included and all issues of influence are dealt
with and worked through. By becoming a community, youth share responsibility to achieve
goals for the common good. There is kindness, care and affection evident in the group.
The interdependence and connections that happen in community support the building of
healthy and supportive relationships and youth development as a whole. Community does
not just happen, it must be intentionally developed.
90
Your group has entered the stage of Community when members are:
Dedicated to resolving rather than avoiding problems and conflicts
Learning and practicing skills that enable collaboration
Following agreements about how to treat each other
Sharing leadership and responsibility in the group
Taking time to reflect on the group and celebrate achievements and

successes.
In reality, group development doesnt occur in such neat stages. Its actually a messy
process in which groups move back and forth through the stages. Sometimes groups
simply do not move out of the stage of Inclusion! You must always support Inclusion. In
fact, each time your group comes together you need to do something to build group
relationships. This is especially true when new staff or youth join the group.
Role of Facilitator
Your role as facilitator also changes as your groups stage of development changes. In the
first phase of Inclusion, you are very much involved providing structure and direction. In
the Influence stage, your direction begins to decrease as group members begin to
assume leadership and responsibility for the group. Finally as the group moves into the
community phase, you pull back to an advisory role and transfers leadership to the group
members.
As your group evolves, you need to continually assess your group while asking yourself,
What skills does this group need? and Is my level of engagement appropriate?
91
92
Worksheet 4
3.5.2 Locating Your Programs Stage of Group Development
1. Which of the Tribes stages best describes the current development of your group?
2. Explain why you know they are in that stage.
3.What specifically have you done to support them at this stage?
93
3.6 Skill Development: Collaborative Skills

Moving from one stage of group development to another does not happen magically.
Youth need to learn new skills to work together productively in a group setting. The Tribes
process describes a set of collaborative skills that youth need to be taught at each stage
of development. These skills help young people become fully responsible community
members.
Tribes Collaborative Skills:
Listening Attentively
Expressing Appreciation
Reflecting on Experience
Valuing Diversity of Culture/Ideas
Thinking Constructively
Making Responsible Decisions
Resolving Conflict
Solving Problems Creatively
Working together on Tasks
Assessing Improvement
Celebrating Achievement
Participating Fully
94
95
Worksheet 5
3.6.2 Collaborative Skills Development
Now that youve reviewed the graphic and determined the current stage of your groups
development, please consider the following questions:
1. What skill(s) do you think your youth need to work on at this stage or to move to the
next one?
2. What is one exercise or game you could facilitate to teach this skill to your group?
96
3.7 Assessment
Group Relationships In My Program
The purpose of this activity is to help you assess the overall quality of group interactions in
your program. Using the Tribes model, this asks you to rate your program on its ability to
build community to form collective, group relationships among youth and adults in the
program.
Assessing Group Relationships In My Program

1. Youth always have a chance to express their needs and expectations during group
activities.
2. Staff always have a chance to express their needs and expectations during group
activities.
3. The contributions of youth are consistently acknowledged by others in the program.

4. The contributions of staff are consistently acknowledged by others in the program.

5. The youth in this program are good at valuing differences and celebrating diversity.
6. The adults in this program are good at valuing differences and celebrating diversity.
7. Overall, we manage conflict quite well in this program.

8. Overall, we set goals in this program and try our best to meet them.
97
9. As a group, we draw on the creativity that each person brings to the program.
10. As a group, we share responsibility for the successes of the program.

11. As a group, we share responsibility for the limitations of the program.

12. As a group, we are good at meeting challenges and solving problems.

98
3.8.1 Reflection: Youth Voices

Young people know exactly what they need from adults and each other. The Beacon
Centers in San Francisco were recently evaluated by a group of researchers from
Stanford University with help from youth ethnographers in the program. The young people
interviewed shared candidly about power and the importance of building strong
relationships.
The following content is excerpted from: Youth Voices on Learning After School: A
Qualitative Evaluation of the San Francisco Beacon Initiative, Executive Summary. July
2003 Stanford University School of Education pg. 6.
Staff members need to simultaneously support autonomy while providing concrete

guidance to youth.
Adults who are effective mentors and educators play different roles with youth than those
typically played by teachers in school settings. These adults respect youths wish to make
choices and be a part of decisions that affect them while at the same time offering focused
guidance and support. At the Beacons, youth valued the guidance as much as they did
choice, especially when it helped youth solve personal problems or manage an
interpersonal conflict. This was not an easy balance to manage, but something that many
adults were able to pull off. Part of doing this means not just training adult staff members
but also providing staff positions where this form of relationship building can be a priority.
Young people value adult staff members who have a deep understanding of what it
is like to grow up in the local neighborhood.
One way to think about this problem is youth-worker credentialing. How can the field
recruit more young adults with community knowledge and expertisea PhD in the
streets? Some Beacons had success in this because of their efforts to bring in
community-based organizations with links to the immediate neighborhood.
Relationships and community-building happen when there are common areas for
people to hang out.
It is difficult to develop a sense of community if that community rarely gets to be together

or interact with one another outside of program time. Young people appreciated having
spaces set aside where they could hang out together, where they had some control over
what they were doing and who with. While it was important that this space be youthfriendly, it did not mean that adults should be absent. Generally youth felt safer when
more adults were around.
99
Youth valued opportunities to talk to adult staff outside of specified program

time.
One suggestion would be to build into job descriptions the time and responsibility for staff
to develop relationships with youth. At a concrete level, for example, this means making
sure adults have opportunities to hang out during unstructured time with youth, that there
be down time outside of specific programs.
100
Worksheet 6
3.8.2 Self-Reflection on Youth Voices
How does the Beacon Evaluation summary of what youth say about building positive
relationships compare to what you have been learning?
Are there any areas you feel your program needs to strengthen?
101
Worksheet 7
Chapter Review
This review will help you reflect on the activities you just completed as well as reinforce
new concepts. Please answer the following six questions on a separate piece of paper..
1. Please offer a real-life example for each of the following terms:
Culture:
Diversity:
Equity:
Inclusion:
2. Which of the California Tomorrow program imperatives needs to be implemented or

strengthened in your program? What are some things you can put into practice
immediately?
3. What are some things you can observe in a group that has entered the Tribes stage of
Inclusion?
Influence?
5. List at least three of the Tribes collaborative skills. Please offer one real-life example
for each skill.
6. In reviewing your completed assessment from section 3.7, what did you learn about
your programs ability to build community? What would you like to strengthen or
improve?
102
Worksheet 7
This review will help you reflect on the activities you just completed as well as reinforce
new concepts.. Please answer the following six questions on a separate piece of paper.
1. Please offer a real-life example for each of the following terms:

Culture:
Diversity:
Equity:
Inclusion:
2. Which of the California Tomorrow program imperatives needs to be implemented or

strengthened in your program? What are some things you can put into practice
immediately?
Inclusion?
Some things you can observe in a group that has entered the Tribes stage of
Inclusion:
The group has established and follows agreements or ground rules
The group sometimes breaks into smaller units for activities to help minimize anxiety
and encourage connections
Members listen attentively to others, not only for what they say but how they feel
Members introduce themselves and share feelings, interests, resources, talents or

special qualities
Members express hopes or expectations for what will happen during the group's time
together
Members express a sense of belonging and being part of the group
103
Influence?
Some things you can observe in a group that has entered the Tribes stage of Influence
include:
Members demonstrate an increased motivation and commitment to group
Members express diverse attitudes, positions, opinions and personal feelings
Members say what they think and feel knowing that individual differences are
respected
Members work together to make decisions so that everyone feels they can influence
others.
Members contribute to the group and share leadership responsibility with the support
of others and the facilitator
Members work to resolve, rather than avoid, uncomfortable problems and conflicts
that begin to separate members.
Facilitator handles differences between members and embraces conflicts and

misunderstandings as a natural part of the process
Facilitator helps youth resolve issues by providing opportunities for reflection,

feedback, role-playing, and discussions
5. List at least three of the Tribes collaborative skills. Please offer one real-life example
for each skill.
Tribes Collaborative Skills:
Listening Attentively
Resolving Conflict
Expressing Appreciation
Solving Problems Creatively
Reflecting on Experience
Working together on Tasks
Valuing Diversity of Culture/Ideas
Assessing Improvement
Thinking Constructively
Celebrating Achievement
Making Responsible Decisions
Participating Fully
6. In reviewing your completed assessment from section 3.7, what did you learn about
your programs ability to build community? What would you like to strengthen or improve?
104
Chapter 4: Moving Forward

Welcome
Welcome to Chapter 4 of Relationship Building! In this chapter

youll consider what youve learned thus far and begin to
formulate ideas for implementing personal and program change.
Goals and
Objectives
This chapter is designed to help you identify opportunities for

improving relationship building in your program through selfreflection, youth surveys, and discussions with youth and
colleagues.
Identify opportunities for relationship building in current

program design
Use assessments to determine how your youth

experience group relationships in your program
Compile and analyze assessment data
Develop program priorities with youth and colleagues
Instructions
Proceed sequentially through the topics and activities in this

Estimated Time
to Complete
Chapter 4:
45 60 minutes: Online readings and activities

60 90 minutes: Activities with your colleagues and youth
105
4.1 Program Assessment
Planning Time for Relationship Building

Although one normally builds relationships right in the moment, it is necessary to plan and
structure your program to allow time and space for positive relationships to develop.
The purpose of this assessment is to help you reflect on your program, and to identify
times and activities in which you can create strong opportunities for relationship building.
Please read and complete all questions below.
Scenario 1
Think about your typical week. Consider the informal times when you are able to talk
with and provide guidance to the youth who most need it (e.g., before programming
begins, during breaks, at the close of programming).
Do you have ample opportunity to provide guidance to the youth who need it?
_______ yes
______ no
If yes, go to next scenario.

If no, write down some strategies that you can use in the future to increase the space and
times which you can offer guidance to youth.
a.
b.
c.
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Scenario 2
Think about the last time you facilitated a youth group or an activity with many youth.
Did you provide sufficient emotional support to the group and to individual youth? For
example, did you praise the group and call people by their preferred names?
_______ yes
______ no
If yes, move to next scenario.

If no, write down some strategies that you can use in the future to remind yourself to
provide emotional support to young people.
a.
b.
c.
Scenario 3
Think about your reputation among youth in the program and how they view your
strengths and weaknesses.
Do the youth perceive you as a person to whom they can go to in a crisis, or when they
require personal advise or assistance?
_______ yes
______ no

If no, write down some strategies that you can use in the future to assure the youth that
you are a good source of practical support.
a.
b.
c.
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Scenario 4
Think about the youth with whom you work. Consider how much you know about their
lives outside the program.
Are you satisfied with how much you know about them (e.g., their family situation, their
interests, their passions, what classes they like in school)?
_______ yes
______ no
If yes, move to next scenario..

If no, write down some strategies that you can use in the future to increase your
knowledge of the youth with whom you interact.
a.
b.
c.
Scenario 5:
Think about the last time you facilitated a youth group or an activity.
Did you provide sufficient time for the youth to get to know each other? For example, did
the youth get an opportunity to exchange ideas, to find out about each others interests or
to reflect on their common and different perspectives?
_______ yes
______ no
If yes, you are done with this assessment activity.

If no, write down some strategies that you can use in the future to support youth getting to
know each other more deeply.
a.
b.
c.
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4.2 Skill Development: Teach About Relationship Building

The purpose of this activity is to support shared learning within your program. In this
activity you will deliver a presentation and facilitate a discussion with your colleagues
about relationship building.
Instructions: Read and follow the steps below to conduct a discussion with colleagues.
Step 1: Begin by reflecting on what you have learned or what was reinforced for you
about relationships over the past few sessions. Consider the following questions and
write down some brief notes to prepare for your presentation.
What has been most surprising or compelling to you about relationship building and all
supporting topics?
What made light bulbs go off for you?
What would be most useful to share with your colleagues?
Step 2: Choose a group of colleagues (between 2 and 5 persons) and schedule a time for
your presentation and discussion. A good time to do this might be at a staff or project
meeting.
Step 3: Give a short presentation to your colleagues, sharing things that you identified in
Step 1. When you are done with the presentation, facilitate a discussion using some of
the questions below. Encourage the group to ask questions and to share their views. End
the session with a quick brainstorm about how relationships could be strengthened in the
program. This session should take about 45 minutes.
Conversation starters for the focused discussion:
What ideas or pictures came to mind when listening my presentation?
What jumped out for you as most important about relationship building?
What do you think we should focus on in order to strengthen relationships in our

program?
Now that we have talked for a while, what is most significant for our future work?
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4.3 Activity with Youth

Survey Youth About Relationships in Program
In this activity you will administer a survey to your youth to help assess the overall quality
of group interactions in your program.
Using the Tribes model of group development, this survey asks youth to rate the program
on its ability to build community to form collective, group relationships among youth
and adults in the program.
Randomly select up to 15 youth who attend your program on a regular basis to complete
the Youth Survey: Opinions about my Program, provided below. This survey can be
administered individually to youth or you may have them complete it in a group situation.
After administering the survey, you will analyze, interpret and set priorities based on the
collected data.
Tips for administering the survey to youth
Administer the survey where it is relatively quiet and there are few distractions.
To minimize talking and distractions, you can also administer the survey in small
groups (or one or two youth at a time).
Its fine to walk the group through the survey by reading each question aloud.
Especially for younger children, you may explain each question or give examples if
necessary. Just be sure to read slowly and give everybody time to finish. This is a
good strategy for youth who do not read well or have difficulty taking tests. (Although
you should explain that this is not a test.)
Remind the youth that the survey is confidential and that they should not write their
names on it.
For the survey to be useful to the program, explain that its important they answer the
questions as honestly as possible.
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4.3.1 Youth Survey

Opinions About My Program
Staff are interested in your honest opinions about our program. Your opinion will help us
strengthen the program to meet the needs and interests of youth. Do not put your name
on the survey.
Instructions: Listed below are 12 questions. For each question, please circle the answer
that best represents your opinion.

1. I always have a chance to express my interests and ideas during group activities.
2. Staff always have a chance to express their interests and ideas during group activities.
3. I feel like staff appreciate and respect the contributions that I make to the program.
4. The youth appreciate and respect the contributions that staff make to the program.
5. The youth get along with those who have different backgrounds or ideas from
themselves.
6. Staff get along with those who have different backgrounds or ideas from themselves.

111



112
4.3.2 Assessment
Analyze and Interpret Youth Data
The purpose of this activity is to make sense of the survey responses and identify the
strengths and weaknesses of the program, from the perspective of the young people.
To analyze the data, all you need is the data analysis worksheet, a pencil, and a
calculator.
Instructions: Follow the steps below to analyze the data from the youth surveys.
1. Add up and total the number of completed surveys you collected. This is your
response number.
2. Beginning with question #1, write down the scores from each survey in the All
Scores column on the worksheet.
3. Add up and total all the scores for this question. Write this in the Total column.
4. Divide the total score by the response number and write this in the Average column.
This is your average score.
5. Repeat steps 2 4 for each question.
For example (Question #1):
1. Total number of completed surveys: 8 (response number)
2. Scores for question #1: 1,2,4,3,2,2,4,3

3. The sum total of all scores: 21
4. Divide the score total by the response number: 21 8 = 2.62 (average score)
Question
1. I always have a chance to express my
interests and ideas during group
activities.
All Scores
Total
Average
1,2,4,3,2,2,4,3
21
2.62
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To interpret the data, all you need is a quiet space and a little time.
Consider the average scores for each of the 12 questions. Overall, are the assessment
results favorable (average scores between 2.5 and 4) or unfavorable (average scores
between 1 and 2.4)? Which assessment questions received particularly favorable
results? Unfavorable?
Jot down notes in response to the following questions:
How did the scores confirm what you expected?
How did the scores surprise you?
How do these scores provide insight into the relative strengths and limitations of
114
4.3.3 Assessment Continued

Youth Survey Data Analysis Worksheet
Response Number: __________
Question
All Scores
Total
Average

activities.
2. Staff always have a chance to express
their interests and ideas during group
activities.
3. I feel like staff appreciate and respect
the contributions that I make to the
program.
4. The youth appreciate and respect the
contributions that staff make to the
program.
5. The youth get along with those who
have different backgrounds or ideas
from themselves.
6. Staff get along with those who have
different backgrounds or ideas from
themselves.
7. Overall, we manage conflict quite well
in this program.
8. Overall, we set goals in this program
and try our best to meet them.
9. As a group, we draw on the creativity
that each person brings to the
program.
10. As a group, we share responsibility for
the successes of the program.
the limitations of the program.
12. As a group, we are good at meeting
challenges and solving problems.
Key:
Questions 1 to 4 assess inclusion and a sense of belonging
Questions 5 to 8 assess influence and valuing differences
Questions 9 to 12 assess community and working together creatively
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4.4 Assessment with Youth

Develop Program Priorities with Youth
Your next step is to conduct a focus group with youth to discuss the data that you just
analyzed and interpreted. At the end of this discussion, you will work with the youth to
develop one to three recommendations that will strengthen relationships in your program.
[Note: Conducting this focus group will also give you a time to practice your group
facilitation skills].
Instructions: Read and follow the steps below to conduct a focus group with your youth.
Step 1: Select six or so youth for your focus group. Choose a diverse range of youth, but
select only those young people who have an interest in discussing youth participation for
the purpose of strengthening the program. The focus group should take about 45 minutes
to complete.
Step 2: Begin the focus group by presenting data from the Youth Survey (as derived from
Assessment Activity 4.3).
Step 3: Engage the youth in a focused conversation, by asking and answering three types
of questions.
Ask some what questions. For example, what do the survey results tell us? What
are the findings that stand out the most?
Ask some gut questions. For example, how does this information make you feel?
Does anyone doubt whether the data represent everybodys opinions?
Conclude the focus group with some so what? questions. For example, what needs
to change about our program or the way we work? How can we make changes, and
who will take the lead? Try to brainstorm no more than three priorities for future
action.
Tips on Preparing for Focus Groups:
Plan in advance what questions you want to ask. Estimate the amount of time you
want to spend on each question.
Arrange the chairs in a circle so that everybody can see each other.
116
Be sure to tell the youth the purpose of the focus group. If you express the purpose
seriously, youth will take it seriously.
Briefly get agreement on the ground rules for the focus group (e.g., confidentiality,
the importance of give and take in conversation, it is ok to disagree, respect for all).
Tips for Facilitating Focus Groups:
Your job as the facilitator is to keep the discussion on track. Generally, facilitators do
not participate in the actual discussion.
Listen carefully to what is being said by all participants, and help bring together
common themes.
Make sure everyone gets involved.
Bring participants who get off track back to the main discussion.
Ask a colleague to take notes for you and capture youth feedback during the focus
group
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Worksheet 1
Chapter Review
This review will help you reflect on the outcome of activities in this chapter and synthesize
the information you collected. Please write a short answer to each of the review questions
on a separate piece of paper. There are no right answers to these questions.
1. Review your responses from 4.1 Program Reflection.
Overall, how well does your program structure support relationship building?
What are some of the strategies you identified for increasing relationship building?
What can you implement or start doing right now?
2. Reflect on the discussion with your colleagues.
What did you do well in facilitating the discussion?
What would you do differently next time?
What are some new insights or ideas about relationship building that emerged for
you?
3. Reflect on the survey and focus group activities with your youth.
What did you do well in facilitating the group?
What would you do differently next time?
What feedback from your youth surprised you? Why?
What are some new insights or ideas about relationship building that emerged for
you?
118
Chapter 5: Making It Happen

Welcome
Welcome to Chapter 5 of Relationship Building! Throughout this

training, youve had opportunities to reflect on, read about and
discuss the many issues and dimensions of relationship building
from a Youth Development perspective. Youve assessed many
of your skills and strengths in applying relationship building
practices in your program. Youve also begun to apply some new
skills and concepts through facilitating activities with your
colleagues and youth.
In this final chapter youll continue the work you began in Chapter
4 reflecting on your learning and formulating ideas for program
and personal change.
Goals and
Objectives
This chapter is designed to help consider your priorities for future

change in preparation for setting goals and creating action.
Identify areas for improvement in relationship building at a

program and personal level
Identify criteria for writing clear goals and action steps
Instructions

Estimated Time
to Complete
Chapter 5:
30 45 minutes: Readings and activities online
119
5.1 Assessment
Areas for Improvement
In this final assessment activity, you will have an opportunity to:
Reflect on what you have learned about yourself, your program and relationship
building
Consider the viewpoints of your youth and colleagues
Establish priorities for the future.
Instructions: Before you begin this final assessment, you may want to review information
from all previous assessments (sections 1.5, 2.4, 2.6, 3.7, 4.1, 4.3, 4.4.).
120
5.1 Self-Assessment
Step 1: Learning Highlights
Consider your own learning throughout this process. Now, please identify three topics or
activities that were most important to you in terms of learning how to improve your ability
to promote strong relationships.
1.
2.
3.
Step 2: Personal Changes Relationship Building

Please list three areas you would like to focus on for improving your personal practice of
1.
2.
3.
121
Step 4: Program Changes Adult to Youth Relationships

Please list or describe three things that you can do in the future to help your program
better support stronger adult to youth relationships.
1.
2.
3.
Step 5: Program Changes Youth to Youth Relationships

Please list or describe three things that you can do in the future to help your program
better support stronger youth to youth relationships.
1.
2.
3.
122
5.2 Skill Development: Consider Goal Setting Process

Setting goals and creating action plans are powerful tools for making positive changes
and moving your personal practice and program forward. They help to clarify and prioritize
whats important and focus your activities and decisions. The following is offered as an
overview the goal setting process.
Its first important to understand what a goal is and is not. Goals are more than intentions
which are often ill-defined and fuzzy. Goal-setting is the process of translating intent into
specific statements that can motivate us and provide direction for future change. A goal
is like a destination it specifies exactly where you will end up. With a destination or goal
you know specifically where you are going and can plan your journey and actions
accordingly.
Goals are:
Clear, concise statements that define what you want to achieve and when
Based on a larger vision or mission (e.g. increase relationship building opportunities in

my program)
Realistic and attainable
To formulate and write clear goals:
Review your areas for improvement
Pick an idea you want to work towards immediately (remember to pick something
realistic and attainable build upon your existing knowledge, skills, and capacity)
Write your goal as an affirmative statement on the your worksheet, for example:
I will (develop / improve / learn, etc.) _____________ by __________.
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5.2 Skill Development: Consider Goal Setting Process, contd

After writing your goals, you need to write action steps (or objectives) to make sure you
can achieve your goals. Goals without action steps is like deciding to go somewhere
without having a vehicle or form of transportation. You probably wont get to where you
want to go!
Action Steps are:
Specific tasks that support achievement of your goal (also called objectives)
Descriptions of what you will do and when you will do it
Measurable (what demonstrates that Ive accomplished this action step?)
Important: Always identify who is responsible for completing each task in your program
plan (or for coordinating the activities of others.) Accountability is important to the success
of any action plan.
To formulate and write your action steps: (using Action Plan template)
Review your goal
Brainstorm specific tasks necessary to achieve the goal
Write and sequence action steps, making sure each includes a verb
Check off which tasks are short term and can be done immediately (within the next
month)
Check off which tasks are long term and need more time and resources
Set a target date for the completion of each task.
Identify person(s) responsible and/or who can provide support (program plan)
Identify resource(s) needed for any tasks (people, technical, financial)
Examples:
Program Goal: Our program will institute daily group check-ins by February 1st.
Action Steps:
Choose five check-in questions by January 15th. (Me, Marta and Sam)
Choose two check-in games that support group development by January 21st. (Me,
Marta and Sam)
124
Personal Goal: I will improve my ability to facilitate group check-ins by February 15th.
Action Steps:
Review communication skills that support group building by December 30th.
Practice three key communication skills with Marta by January 15th.
Goal setting does not have to be an arduous process. Setting goals and planning for
change can be exciting and fun!
125
126
5.3 Action Plans

Personal Action Plan
This activity gives you an opportunity to create a personal action plan for the future.
Strengths: Please list or describe your strongest personal abilities in terms of promoting relationship building in your day-to-day work with youth.
Goal: Please describe one personal skill or ability that you would like to strengthen in support of relationship building.
ACTION STEPS
Short
Term
Longer
Term
Target
Date
Youth Role
Support Needed
Resources Needed
1.
2.
3.
4.
127
ACTION STEPS
Short
Term
Longer
Term
Target
Date
Youth Role
Support Needed
Resources Needed
5.
6.
7.
8.
9.
10.
128
Action Plan: Relationship Building
[Example]
Name
Strengths: Please list or describe your strongest personal abilities in terms of promoting relationship building in your day-to-day work with youth.
Good listener, empathetic, respect youth, engage youth when leading activities
Goal: Please describe one personal skill or ability that you would like to strengthen in support of relationship building.
st
Get to know all of the youth in my group at a deeper level their families, interests, concerns. Target date: April 1 .
ACTION STEPS
Short
Term
Target
Date
Youth Role
1/14
Let youth know my

intention to know them
better, pointing out my
strategies. Get
feedback on impact to
group.
Ask a colleague for

support in this process
Staff Time
Access to computer
3. Examine program design and list

opportunities for building knowledge of youth
and areas for improvement
1/21
Ask youth for input
Ask colleague to review

my list and provide input
Staff time
4. Design youth survey (ask about birthdays,

sports games, school activities, family events,
etc.)
2/4
Ask youth for input in

designing for survey
Ask colleague to review

and provide feedback on
my survey
Staff time, access to

computer, printer and
copy machine
5. Administer survey to youth and review data
2/11
Complete survey
Staff time
6. Schedule 1:1 time with each youth in my

group (even just a few minutes each)
1/21
Participate in meetings
Quiet space to meet
7. Talk to colleagues to find out what they know

about my youth
1/28
None
Time with colleagues
Create a journal of
info about my youth
1. Brainstorm ideas for games and activities

that help me get to know youth
Longer
Term
Ask youth for ideas

Research outside sources (Tribes, etc.)
Ask colleagues for ideas
Support Needed
Resources Needed
8. Plan an event that invites parents to visit

program
3/1
Ask youth for input in

planning of event
Site coordinator
Access to a computer
9. Host an event for parents and youth at

program site
3/25
Ask youth to
collaborate in
organizing event
Colleagues, site
coordinator
Meeting space
Refreshments
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[Example]
Program Action Plan: Relationship Building
Name
Strengths: Please list or describe what your program does really well to promote relationship building.
We have clear group agreements that are posted and followed. Our staff truly cares about all the young people and are eager to
build positive relationships with and among our youth.
Goal: Please describe one aspect of your program that could use some improvement. Write a goal statement using the handout provided.
Improvement: Youth tend to segregate by racial or cultural group during activities and social time. We need to support youth to
engage in positive inter-cultural interactions. Goal: Transform our program into an environment that encourages people to work
together across differences, i.e. age, gender, ethnic background, culture, disability, sexual orientation. Target date: April 1st.
ACTION STEPS
Short
Term
1. Meet with program staff and

administrators to their get buy-in on this
goal. Brainstorm ideas for encouraging
cross-cultural interactions.
Longer
Term
Target
Date
Person
Responsible
Youth Role
Support Needed
Resources
Needed
1/7
Me
None
Colleague to
support this
process and to
co-facilitate the
meeting (Mario?)
Staff time: me
and Mario?
Support from
colleague at this
meeting
Staff time: me
and Mario
Conclude meeting with at least two action

steps to involve staff in meeting this goal.
2. Meet with youth leadership council to
discuss this issue and get their buy-in on
goal. Brainstorm ideas for encouraging
cross-cultural interactions.
Conclude meeting with at least two action
steps to involve youth in meeting this goal.
3. Form staff and youth diversity committee

to carry action steps forward
1/14
1/21
Me
Me & youth
council
representative
Ask council to
add this topic to
the agenda of
their next
meeting or
schedule a
special
meeting.
Ask for a youth
volunteer to cofacilitate
meeting.
None
Conference
room, chart
pads and
markers
Support from
program director
Conference
room, chart
pads and
markers
Ask a colleague
to help me
Staff time: me
and Zoe (?)
130
ACTION STEPS
Short
Term
4. Plan two diversity/equity trainings: one

for staff and one for youth.
Meet with program director to get
agreement
Research resources (California
Tomorrow, To-dos, etc.)
Set date for training
Plan publicity, food, etc.
Research costs and budget
Longer
Term
Target
Date
Person
Responsible
Youth Role
Support Needed
Resources
Needed
1/28
Me &
program
director
Youth council
review our
recommendatio
ns and provide
input
Partner with
program director
and another
colleague
My time,
access to
phone and
computer
Money to pay
for consultant
& food
Staff time
Training Room
Training
supplies
Money to pay
for consultant
& food
Staff time
Training Room
Training
supplies
Meeting Room
5. Deliver diversity/equity training for staff.
2/25
Consultant
Possibly include
a youth panel
as part of
training
Program Director
6. Deliver diversity/equity training to youth.
2/25
Consultant
Participate in
training
Program Director
7. Convene a meeting of the staff/youth

diversity committee to de-brief training and
check on status of action steps
3/4
Me & Youth
council
representative
Participate in
meeting
Program Director
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1.2.4 Assessment
Assessing Relationships in Own Program
Purpose: The purpose of this assessment is to help you assess the overall quality of adultyouth relationships, from your own perspective and from that of youth in the program.
1. Overall, how comfortable are YOU, personally, with the quality of youth-adult relationships
in your program?
______
The staff do all they can to build high quality relationships with youth.
______
The staff do an acceptable job in building quality relationships with

youth.
______
We have to do much better in forming quality relationships with youth.
2. Overall, how comfortable are YOU, personally, with the quality of youth-youth relationships
in your program?
______
The staff do all they can to ensure that youth have the opportunity and
support to build quality relationships with their peers.
______
The staff do an acceptable job in helping youth build quality

______
We have to do much better in providing youth the opportunity and

support to form quality relationships with their peers.
3. Consider the four components of relationship building. Check the component(s) that you
believe program staff should pay more attention to when strengthening their relationships
with youth.
______
Guidance
______
Emotional Support
______
Practical Support
______
Knowledge of Youth
132
4. Consider the four components of relationship building. Check the component(s) that you
believe program staff should pay more attention to when helping youth strengthen
______
Guidance
______
Emotional Support
______
Practical Support
______
Knowledge of Youth
5. In your opinion, how comfortable are YOUTH with the quality of youth-adult relationships
in your program?
______
Almost all of the youth believe that they have high quality relationships
with at least two staff members.
______
The youth are generally pleased with the quality of the relationships
that they have with staff.
______
Too many youth feel isolated from staff in this program.
6. Consider the four components of relationship building. Which component(s) would

YOUTH say that staff need to strengthening their relationships with program participants?
______
Guidance
______
Emotional Support
______
Practical Support
______
Knowledge of Youth
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1.5.2 Assessment
Defining the Dimensions of Strong Staff-Youth Relationships
The purpose of this activity is to explore the essential dimensions of relationship building,
from your perspective, and from the perspective of the youth with whom you work.
Step 1: Self-Reflection: Take about 15 minutes to reflect on the following questions. Record
your thoughts on another piece of paper.
(4) How do you know when you have successfully formed a strong relationship with youth in
your program?
(5) What are the most effective strategies that you use to form a strong relationship with
youth?
(6) What do you expect from youth in terms of their efforts in forming a relationship with
you?
Step 2: Discussion with Youth: Select 3 to 5 youth and engage them in a group
conversation about relationship building for about 15 minutes. Orient the conversation
around the following questions.
(4) What makes a good youth worker?
(5) How do you know when a youth worker really respects you and wants to have a positive
relationship?
(6) How do you know when a youth worker really does not care about you or about forming a
strong relationship with you in the program?
Step 3: Self-Reflection: Reflect on your discussion with youth.

(4) What did you learn from youth that you had not thought about before the group
conversation?
(5) Briefly describe what you learned or what was reinforced for you through the experience
of talking with youth about relationship building.
(6) Did your perception of relationship building change in talking with youth in your program?
For example, do you think that relationship building is more important than before and/or
did you learn new ways that youth think about relationships?
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1.5.3 Assessment
Building Relationships with Youth in Programs
Complete the following assessment. Please be honest with yourself when answering these
questions. This assessment will help you benchmark your current practice through
identifying areas of strength and areas for improvement your practice.
Listed below are fourteen statements. Please circle the number that best represents your
opinion about the statement.
15. I will go out of my way to approach a youth when I see that she/he is upset or having
difficulties.
16. To provide guidance to the group, I am always clear about how I expect everyone to treat
one another in my program.
17. When I give guidance, I am comfortable sharing relevant information about myself
18. When a youth is having a problem, Im effective in helping him/her deal with it.
19. If you asked the youth in my program, they would say that I always listen to and respect
their personal concerns or issues.
20. If you asked the youth in my program, they would say that I give them lots of praise when
they deserve it.
21. I am able to create a spirit of teamwork among youth so that they care about each other
and want to work together.
22. Youth readily come to me when they need help dealing with a personal problem.
135
23. When designing youth activities, I make sure that everybody has a chance to check in
and express their personal wants or needs.
24. If you asked youth in my program, they would say that I go the extra mile in terms of
giving them advice on practical issues (e.g., dealing with bullies at school, relating to a
girl/boyfriend, finding a job).
25. I am confident in my knowledge about all of the youth with whom I work on a regular
basis (e.g., I know what is important to them; their personal needs).
26. When designing youth activities, I always make sure that there are opportunities for youth
to build relationships with their peers.
27. If you asked the youth in my program, they would say that they know what I stand for.
28. I know some effective strategies for helping diverse youth learn together and work
together.
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2.4 Assessment:
Assessing Your Own Communication Abilities
Building strong relationships with youth requires strong communication abilities. There are
five core communication skills (active listening, establishing trust, empathy, being present,
and providing feedback). Most workers have a preferred style. That is, you are better
equipped in terms of personal comfort and ability to use one or more communication
skills as compared to others.
The purpose of this activity is to help you identify your preferred communication style when
working with (a) individual youth and (b) groups of youth.
Working with Individual Youth

Please assess your overall ability in communicating with individual youth by circling the
1. Being an Active Listener (e.g., seeking to hear what the youth is really trying to
communicate to you).
1-low ability, 2-somewhat low ability, 3-somewhat high ability , 4-high ability
2. Establishing Trust (e.g., demonstrating that the youth can have confidence and depend on
you)
3. Being Empathetic (e.g., demonstrating that you genuinely care about the young person)
4. Being Present (e.g., demonstrating that you are in the moment, and not distracted, when
relating to the young person).
5. Providing Feedback (e.g., responding in ways that explicitly address the concerns of the
youth)
137
Working With Youth Groups

Please assess your overall ability in communicating with youth groups by circling the number
that best represents your ability.
6. Being an Active Listener (e.g., working hard to hear points of difference and consensus
within the group)
7. Establishing Trust (e.g., demonstrating that the youth can have confidence and depend on
you to respect the group and keep it emotionally safe for all)
8. Being Empathetic (e.g., demonstrating that you genuinely care about everybody in the
group)
9. Being Present (e.g., demonstrating that you are in the moment, and not distracted, when
being in the group).
10. Providing Feedback (e.g., responding in ways that explicitly acknowledge the concerns of
all the youth in the group)
138
2.6 Assessment
Identifying Key Communication Strategies in Building Relationships
What gets in the way of forming close and trusting relationships with young people at any
age elementary, middle and high school? What challenges do you face in promoting and
encouraging supportive relationships between young people?
Purpose: Relationship building ultimately requires that you understand and respond to the
unique needs of individual youth. Ones ability to do so is dependent, in part, on the effective
use of communication strategies.
The purpose of this assessment is to deepen your understanding of three key

communication strategies and how they directly affect your ability to form relationships.
Communication Strategies
what you can and cannot do or share as a youth worker. Boundaries set the parameters for
appropriate emotional and practical support. Knowing your limits does not mean that you are
distant and aloof. Young people appreciate adults who are real with them. As a role model,
you are also helping youth learn how to set appropriate boundaries for themselves.

with people different from yourself is important in building relationships in diverse groups. As
a youth worker you can model openness, respect and interest in other cultures and
encourage youth to get to know youth outside their group. Engaging in cross-cultural
interactions enriches your life and also requires risk-taking and good communications
skills.
Facilitating Positive Group Interactions: In the context of relationship building, facilitation

involves the ability to nurture healthy group process and support youth to build relationships
with each other. As a facilitator, creating a safe and democratic environment where all voices
are heard encourages development of positive relationships. In your role as a youth worker
you can model accountability, fairness and sensitivity. And the more you know all young
people in your program, the more you can support each individual to participate and
contribute in their own way.
139
Relationship #1: Identify a youth with whom you HAVE BUILT a strong relationship.
Think about what you did to build this relationship.
b. When the youth is in a group, I encourage him/her to engage in cross-cultural interactions.

c. When the youth is in a group, I facilitate the group to ensure that s/he has an opportunity
to contribute and to speak and be heard.
Relationship #2: Identify a youth with whom you HAVE NOT BUILT a strong relationship.
Think about why a strong relationship has not been formed.
b. When the youth is in a group, I encourage him/her to engage in cross-cultural interactions.

c. When the youth is in a group, I facilitate the group to ensure that s/he has an opportunity
to contribute and to speak and be heard.
140
Self-Reflection:
What do you see as your strengths in nurturing relationship #1?
What are your challenges in relationship #2?
What strategies(s) would you like to strengthen: setting boundaries , promoting crosscultural interactions, and/or facilitating healthy group process?
What specifically can you do to build a stronger relationship with each of these youth?
141
3.7 Assessment
Group Relationships In My Program
The purpose of this activity is to help you assess the overall quality of group interactions in
your program. Using the Tribes model, this asks you to rate your program on its ability to
build community to form collective, group relationships among youth and adults in the
program.
Assessing Group Relations In My Program

1. Youth always have a chance to express their needs and expectations during group
activities.
2. Staff always have a chance to express their needs and expectations during group
activities.
3. The contributions of youth are consistently acknowledged by others in the program.

4. The contributions of staff are consistently acknowledged by others in the program.

5. The youth in this program are good at valuing differences and celebrating diversity.
6. The adults in this program are good at valuing differences and celebrating diversity.

142



143
4.1 Program Assessment

Planning Time for Relationship Building
Although one normally builds relationships right in the moment, it is necessary to plan and
structure your program to allow time and space for positive relationships to develop.
The purpose of this assessment is to help you reflect on your program, and to identify times
and activities in which you can create strong opportunities for relationship building.
Please read and complete all questions below.
Scenario 1
Think about your typical week. Consider the informal times when you are able to talk with
and provide guidance to the youth who most need it (e.g., before programming begins,
during breaks, at the close of programming).
Do you have ample opportunity to provide guidance to the youth who need it?
_______ yes
______ no
If yes, go to next scenario.

If no, write down some strategies that you can use in the future to increase the space and
times which you can offer guidance to youth.
a.
b.
c.
Scenario 2
Think about the last time you facilitated a youth group or an activity with many youth.
Did you provide sufficient emotional support to the group and to individual youth? For
example, did you praise the group and call people by their preferred names?
_______ yes
______ no
144

If no, write down some strategies that you can use in the future to remind yourself to provide
emotional support to young people.
a.
b.
c.
Scenario 3
Think about your reputation among youth in the program and how they view your strengths
and weaknesses.
Do the youth perceive you as a person to whom they can go to in a crisis, or when they
require personal advise or assistance?
_______ yes
______ no

If no, write down some strategies that you can use in the future to assure the youth that you
are a good source of practical support.
a.
b.
c.
Scenario 4
Think about the youth with whom you work. Consider how much you know about their lives
outside the program.
Are you satisfied with how much you know about them (e.g., their family situation, their
interests, their passions, what classes they like in school)?
_______ yes
______ no
145
If yes, move to next scenario..

If no, write down some strategies that you can use in the future to increase your knowledge
of the youth with whom you interact.
a.
b.
c.
Scenario 5:
Think about the last time you facilitated a youth group or an activity.
Did you provide sufficient time for the youth to get to know each other? For example, did the
youth get an opportunity to exchange ideas, to find out about each others interests or to
reflect on their common and different perspectives?
_______ yes
______ no
If yes, you are done with this assessment activity.

If no, write down some strategies that you can use in the future to support youth getting to
know each other more deeply.
a.
b.
c.
146
4.3 Activity with Youth

Survey Youth About Relationships in Program
In this activity you will administer a survey to your youth to help assess the overall quality of
group interactions in your program.
Using the Tribes model of group development, this survey asks youth to rate the program on
its ability to build community to form collective, group relationships among youth and
adults in the program.
Randomly select up to 15 youth who attend your program on a regular basis to complete the
Youth Survey: Opinions about my Program, provided below. This survey can be
administered individually to youth or you may have them complete it in a group situation.
After administering the survey, you will analyze, interpret and set priorities based on the
collected data.
Tips for administering the survey to youth
Administer the survey where it is relatively quiet and there are few distractions.
To minimize talking and distractions, you can also administer the survey in small groups
(or one or two youth at a time).
Its fine to walk the group through the survey by reading each question aloud. Especially
for younger children, you may explain each question or give examples if necessary. Just
be sure to read slowly and give everybody time to finish. This is a good strategy for
youth who do not read well or have difficulty taking tests. (Although you should explain
that this is not a test.)
Remind the youth that the survey is confidential and that they should not write their
names on it.
For the survey to be useful to the program, explain that its important they answer the
questions as honestly as possible.
147
4.3.1 Youth Survey

Opinions About My Program
Staff are interested in your honest opinions about our program. Your opinion will help us
strengthen the program to meet the needs and interests of youth. Do not put your name on
the survey. It is confidential because we want your honest opinion.
Instructions: Listed below are 12 questions. For each question, please circle the answer
that best represents your opinion.

1. I always have a chance to express my interests and ideas during group activities.
2. Staff always have a chance to express their interests and ideas during group activities.
3. I feel like staff appreciate and respect the contributions that I make to the program.
4. The youth appreciate and respect the contributions that staff make to the program.
5. The youth get along with those who have different backgrounds or ideas from themselves.
6. Staff get along with those who have different backgrounds or ideas from themselves.

148



149
4.3.2 Assessment
Analyze and Interpret the Youth Data
The purpose of this activity is to make sense of the youth data, with the aim being to identify
the strengths and weaknesses of the program, from the perspective of the young people.
To analyze the data, all you need is the data analysis worksheet, a pencil, and a calculator.
Instructions: Follow the steps below to analyze the data from the youth surveys.
1. Add up and total the number of completed surveys you collected. This is your response
number.
2. Beginning with question #1, write down the scores from each survey in the All Scores
column on the worksheet.
3. Add up and total all the scores for this question. Write this in the Total column.
4. Divide the total score by the response number and write this in the Average column.
This is your average score.
5. Repeat steps 2 4 for each question.
For example (Question #1):
1. Total number of completed surveys: 8 (response number)
2. Scores for question #1: 1,2,4,3,2,2,4,3
3. The sum total of all scores: 21
4. Divide the score total by the response number: 21 8 = 2.62 (average score)
Question
1.I always have a chance to express my
interests and ideas during group activities.
All Scores
Total
Average
1,2,4,3,2,2,4,3
21
2.62
To interpret the data, all you need is a quiet space and a little time.
Consider the average scores for each of the 12 questions. Overall, are the assessment
results favorable (average scores between 2.5 and 4) or unfavorable (average scores
between 1 and 2.4)? Which assessment questions received particularly favorable results?
Unfavorable?
Jot down notes in response to the following questions:
How did the scores confirm what you expected?
How did the scores surprise you?
How do these scores provide insight into the relative strengths and limitations of
150
4.3.3 Assessment Continued

Youth Survey Data Analysis Worksheet
Response Number: __________
Question
All Scores
Total
Average

activities.
14. Staff always have a chance to express
their interests and ideas during group
activities.
15. I feel like staff appreciate and respect
the contributions that I make to the
program.
16. The youth appreciate and respect the
contributions that staff make to the
program.
17. The youth get along with those who
have different backgrounds or ideas
from themselves.
18. Staff get along with those who have
different backgrounds or ideas from
themselves.
19. Overall, we manage conflict quite well
in this program.
20. Overall, we set goals in this program
and try our best to meet them.
21. As a group, we draw on the creativity
that each person brings to the
program.
the successes of the program.
the limitations of the program.
24. As a group, we are good at meeting
challenges and solving problems.
Key:
Questions 1 to 4 assess inclusion and a sense of belonging
Questions 5 to 8 assess influence and valuing differences
Questions 9 to 12 assess community and working together creatively
151
4.4 Assessment with Youth

Develop Program Priorities with Youth
Your next step is to conduct a focus group with youth to discuss the data that you just
analyzed and interpreted. At the end of this discussion, you will work with the youth to
develop one to three recommendations that will strengthen relationships in your program.
[Note: Conducting this focus group will also give you a time to practice your group facilitation
skills].
Instructions: Read and follow the steps below to conduct a focus group with your youth.
Step 1: Select six or so youth for your focus group. Choose a diverse range of youth, but
select only those young people who have an interest in discussing youth participation for the
purpose of strengthening the program. The focus group should take about 45 minutes to
complete.
Step 2: Begin the focus group by presenting data from the Youth Survey (as derived from
Assessment Activity 4.3).
Step 3: Engage the youth in a focused conversation, by asking and answering three types of
questions.
Ask some what questions. For example, what do the survey results tell us? What are
the findings that stand out the most?
Ask some gut questions. For example, how does this information make you feel? Does
anyone doubt whether the data represent everybodys opinions?
Conclude the focus group with some so what? questions. For example, what needs to
change about our program or the way we work? How can we make changes, and who
will take the lead? Try to brainstorm no more than three priorities for future action.
Tips on Preparing for Focus Groups:

Plan in advance what questions you want to ask. Estimate the amount of time you want
to spend on each question.
Arrange the chairs in a circle so that everybody can see each other.
Be sure to tell the youth the purpose of the focus group. If you express the purpose
seriously, youth will take it seriously.
Briefly get agreement on the ground rules for the focus group (e.g., confidentiality, the
importance of give and take in conversation, it is ok to disagree, respect for all).
152
Tips for Facilitating Focus Groups:
Your job as the facilitator is to keep the discussion on track. Generally, facilitators do not
participate in the actual discussion.
Listen carefully to what is being said by all participants, and help bring together common
themes.
Make sure everyone gets involved.
Bring participants who get off track back to the main discussion.
Ask a colleague to take notes for you and capture youth feedback during the focus group
153
5.1 Self-Assessment
Step 1: Learning Highlights
Consider your own learning throughout this process. Now, please identify three topics or
activities that were most important to you in terms of learning how to improve your ability to
promote strong relationships.
1.
2.
3.
Step 2: Personal Changes Relationship Building

Please list three areas you would like to focus on for improving your personal practice of
1.
2.
3.
154
Step 3: Program Changes Adult to Youth Relationships

Please list or describe three things that you can do in the future to help your program better
support stronger adult to youth relationships.
1.
2.
3.
Step 4: Program Changes Youth to Youth Relationships

Please list or describe three things that you can do in the future to help your program better
support stronger youth to youth relationships.
1.
2.
3.
155
University of Wolverhampton Business School
A Managers & Mentors

Handbook On Mentoring
2009/10
University of Wolverhampton. All rights reserved. No part of this work may be reproduced, photocopied, recorded, stored in a
retrieval system or transmitted, in any form or by any means, without the prior permission of the copyright holder.
A Managers & Mentors Handbook on Mentoring 2009/10
Table of Contents
The History & Development of Mentoring ................................................................................ 3
The Rise of Mentoring in Business ............................................................................................................3
Definitions of Mentoring .............................................................................................................................4
Coaching and Mentoring............................................................................................................ 6

Some definitions of coaching; ................................................................................................................6
More recent definitions of coaching (crossing over into the mentoring domain);...................................7
Similarities & differences? ......................................................................................................................7
Similarities & differences between key helping interventions...............................................................7
The Benefits & Importance Of Mentoring ................................................................................. 8

The benefits for the organisation;...........................................................................................................8
The benefits for the protege/mentee; .....................................................................................................9
The benefits for the mentor; ................................................................................................................ 10
The benefits for the Line Manager; ..................................................................................................... 11
What key knowledge, skills and attitudes should mentors have? ....................................................... 11
What should mentors do? ................................................................................................................... 11
The 10 Mentor Competencies (Clutterbuck 2000) .................................................................................1
7 types of mentor assistance, throughout the relationship (Shea 2002)............................................. 14
Unhelpful Mentor Behaviours; ............................................................................................................. 15
In short, what do MENTORS actually do? .......................................................................................... 17
Ideal characteristics when looking for a mentor; ................................................................................. 19
What key knowledge, skills and attitudes should protgs/mentees have? ....................................... 19
The Mentoring Process Lifecycle (Cranwell-Ward et al 2005)................................................................ 20
The Mentoring Process ............................................................................................................ 21

Beginning (getting started) .................................................................................................................. 21
Middle (making the relationship a positive experience) ...................................................................... 22
End (review, evaluation and closure) .................................................................................................. 22
Key roles and responsibilities of protg/mentee, mentor, Line Manager and HR ................................ 22
The mentoring quadrangle (Clutterbuck 2004) ................................................................................... 23
Key roles & responsibilities of mentor ................................................................................................. 23
Key roles & responsibilities of protg/mentee ................................................................................... 24
Key roles & responsibilities of Line Manager ...................................................................................... 25
Key roles & responsibilities of Co-ordinator/Scheme Manager........................................................... 25
Matching mentors to mentees/protgs and preparing the mentee/protg.......................................... 26
Ideas for mentoring ground rules (adapted from Clutterbuck 2004) ....................................................... 27
1
Key models/techniques to use during the mentoring sessions ........................................................... 29

CLEAR model...................................................................................................................................... 29
OSKAR model ..................................................................................................................................... 29
The Story Telling model ...................................................................................................................... 29
The Grow Model .................................................................................................................................. 31
Hints And Tips; What To Do And What Not To Do ................................................................................. 33
Developing and maintaining a PDP .................................................................................................... 36
How to use the PDP with your mentee/protg .................................................................................. 36
Some (reflective) questions that could be used whilst mentoring ....................................................... 37
Ethics and professional standards in mentoring ................................................................................. 41
Competence ........................................................................................................................................ 41
Context ................................................................................................................................................ 42
Boundary Management ....................................................................................................................... 42
Integrity................................................................................................................................................ 42
Professionalism ................................................................................................................................... 43
Frequently Asked Questions And Answers ........................................................................... 44

Suggested Additional Reading................................................................................................................ 45
References.............................................................................................................................................. 47
Books & Journals ................................................................................................................................ 47
Helpful websites .................................................................................................................................. 48
The details in this guide may be amended to improve the operation of the scheme and to take into account
changes in University Academic Regulations.
The History & Development of Mentoring

The classical history of mentoring can be traced back to Greek Mythology and Homers Odyssey.
The tale discusses the King Odysseus going to war and leaving his son, Telemachus, with his old
friend Mentor. Mentor is an older, wiser, paternal figure acting as a trusted advisor; both caring and
training his son by sharing his knowledge, experience and wisdom. The term mentoring itself comes
from a Greek word meaning enduring and the term protg can be taken from the French verb
protogere, meaning to protect.
Over time Homers epic story has provided for alternative interpretations that bear on the way that
the wider history of mentoring is conceived. For instance, feminist writers would contend that it was
the Goddess Athena in the poem that represented the active mentoring role as she was a selfsacrificing and inspirational character and did not take the directive, more controlling role of Mentor.
(Ford 1999 as cited in Colley 2005.) Other authors suggest that the practice of mentoring dates from
much earlier than Greek mythology, suggesting that there is increasing evidence that the gradual
dominance of modern man over other related species was a consequence of passing down
knowledge and wisdom from generation to generation (Shea 2002, Clutterbuck & Megginson 2004).
According to some academics, from Homer to the new millennium not much has changed in terms of
mentoring (Gulam & Zulfiqar 1998) However, others would argue that despite the tendency to portray
mentoring as an activity which has endured since Homeric times, for much of human history its forms
have been submerged in other relationships (Gay & Stephenson 1996, Monaghan & Lunt 1992,
Gulam & Zulfiqar 1998, Colley 2005.)
Several different types of relationship that involved mentoring activity were based on important
practices in certain cultures and historical eras, such as that of religious master-discipline, and the
long established trade craftsman-apprenticeship professions (Gay & Stephenson 1996, who later
added therapist-client.) Monaghan and Lunt (1992) agree that mentoring has its roots in the
apprenticeship system. Through these relationships, mentoring has become chiefly characterised as
a parental type relationship between a more experienced person and a developing individual.
The Rise of Mentoring in Business

America claims that they discovered the phenomenon of mentoring as a business and career
development tool particularly with reference to an article in the Harvard Business Review which
claimed that professionals that had mentors reported higher levels of career satisfaction, earned
more money at a younger age and were better educated (Roche 1979). Another article followed later
that year, again discussing how everyone who makes it, has a mentor (Collins & Scott 1979).
Despite questions over the validity of some of these studies, according to DeMarco (1993), this was
the start of the business world recognising the value of linking the novice with the expert. Megginson
& Clutterbuck (1995) agree that mentoring was an American import which they have helped to adapt
3
to the differing British cultural and business context. However, Strathern (1997) argues that such
imports often consist in the unrecognised return of earlier imports!
According to Colley (2005), mentoring over the last 20 years has become an in thing, particularly in
the public sector supporting teaching, nursing and career guidance professions as well as in the
private sector supporting the development of the new recruits, graduates and the potential of
business managers. The steady growth of mentoring in the UK has also been supported by the New
Labour Governments Social Exclusion Agenda and Welfare to Work policies, supporting the at risk
and in need groups in our society, with a mentoring type approach.
Definitions of Mentoring
Mentoring has different definitions, mainly derived from evidence-based practice (not academic
studies) and testimonials and opinions of HR practitioners and business consultants (Merriam 1983,
Clutterbuck 2004). However, these focus more on the skills, functions and the activity of mentoring
and less on the attitudes and emotional disposition required within the mentoring relationship.
Mentoring is a complex, social and psychological activity (Roberts 2000) and therefore attempts at a
universal definition of mentoring have become a quagmire (Hagerty 1986). Mentoring is a slippery
concept (Daloz 1986) and as such definitions vary with respect to differing dimensions such as
hierarchy, intensity, duration and partnership (Gibson 2004) and according to national and cultural
traditions.
In the US, mentoring tends to be considered as an interpersonal exchange (often career orientated)
between a senior person and a junior, where the mentor will guide, teach, share their experience and
wisdom (Zey 1984, Whitely et al 1992, MacLennan 1999, OBrien 2003).
Here are some US definitions;

Mentoring is (the) process whereby one senior individual is available to a junior; to form a nonspecified developmental relationship; to seek information from; to regard as a role model; to guide
the performer; to provide feedback and appraisal; to teach all the facts that will enable the individual
to perform effectively in an organisation. MacLennan (1999)
A mentor is someone who passes on his or her experience and wisdom by coaching, counselling,
guiding or partnering in every possible permutation, from volunteer tutor to angel investor. OBrien
(2003)
Within the UK and Europe, a more general approach is evident which tends to describe mentoring as
help by one person to another, helping others to achieve various personal outcomes, specifically
those related to career success (Gibson 2004), with no mention of the power relationship, hierarchy
or experience needed (Megginson & Clutterbuck 1995, Shea 1992, Parsloe & Wray 2004.)
Here are some UK/Europe definitions;

Mentoring is off-line help by one person to another in making significant transitions in knowledge,
work or thinking. Megginson & Clutterbuck (1995) European Mentoring Centre
Mentors are people, who through their action and work, help others to achieve their potential. Shea
(1992)
A process which supports learning and development, and thus performance improvements, either
for an individual, team or business. Parsloe & Wray (2000)
There is however, some consensus between continents that mentoring is a process that supports
and encourages learning to happen (Parsloe & Wray 2004) and that mentoring is an intense and
powerful one-on-one developmental relationship that leads to skills development (Wanberg et al
2003). When all this theory is stripped away, however, mentoring is still simply about a regular oneto-one meeting to support the learner in their desire to improve their personal situation or their
business life. (Parsloe & Wray 2000) and as such it has some similarities to the other learning
processes of coaching, guiding, counselling, tutoring, teaching etc.
Coaching and Mentoring

Coaching and mentoring seem to be the two most compared and contrasted learning processes,
with MacLennan (1999) declaring that the two roles are worlds apart and overlapping, depending on
which dimensions they are compared. MacLennan (1999) describes coaching as a pulling out
activity, where a coach is someone to learn with and mentoring as a putting in activity, where a
mentor is someone available to learn from (also supported by Parsloe & Wray 2004.) The Coaching
and Mentoring Network state that coaching and mentoring are processes that enable both
individuals and corporate clients to achieve their full potential (C&MN 2005) and they argue that the
common thread that unites both types of service, are that they offer a vehicle for analysis, reflection,
learning and action that ultimately enables the client to achieve success in one or more areas of their
life or work.
There is also debate about whether coaches can mentor and mentors can coach, with Landsberg
(1996) declaring that mentoring is a role that includes coaching but that coaches do not mentor as
they are hired to help with performance issues or specific skills and do not get involved in the softer
people issues, career management issues etc (Tyler 2004.) However, this more traditional view of
coaching and mentoring appears to be being overtaken, as now there are a variety of professionals
in the marketplace describing themselves with titles like Business Coach, Executive Coach, Life
Coach, Career Coach. This has allowed coaching to spread over into some of the personal
development areas, traditionally reserved for mentoring.
Some definitions of coaching;

More traditional views of (on-the-job/performance type) coaching;
Coaching is the process whereby one individual helps another; to unlock their natural ability; to
perform, learn and achieve; to increase awareness of factors which determine performance; to
increase their sense of self responsibility and ownership of their performance; to self-coach; to
identify and remove internal barriers to achievement. MacLennan (1999)
Coaching is around specific performance issues or goals. Coaches are subject matter experts, such
as learning a new computer program. Most coaching is short term; it typically doesnt last over a
year. In mentoring relationships, youre usually talking about soft issues, people issues, and cultural
issues. How to be a more effective communicator or motivating a high-performing team A coach is
a person you hire to help you with a specific issue or goals. A mentor is a person whom you cultivate
a relationship, based on a mutual exchange of information and perspective. Tyler (2004)
More recent definitions of coaching (crossing over into the mentoring domain);
Generally speaking, what coaches do is anchor people to their own internal strengths; they inspire
organizations to dream beyond their plans. They apply emotional and intellectual intelligence to the
long haul of life and workcoaches must be very special people. First of all, they must be gifted in
subjects or practices that followers want to gain expertise or endorsement in. They must be able to
transcend their own ego needs so that they can help others in unselfish ways. Finally, coaches must
be selected and trusted by clients as highly reliable learning resources. Hudson (1999)
Good coaches ask the tough questions, ask you to be self critical; and keep a check on how youre
dealing with those self criticisms Singleton (2003)
All of the above definitions can be applied to mentoring in the workplace too again showing how the
definitions and processes overlap depending on the context, individual needs etc.
Similarities & differences?

Mentoring is a role that includes coaching, but also embraces broader counselling and support, such
as career counselling (Landsberg 1996). Having said that, it is very important as a mentor, to
recognise your boundaries with the counselling arena. Here is a helpful guide to the similarities and
differences within mentoring, coaching, counselling, training and managing.
Similarities & differences between key helping interventions

Activity
Mentoring
(Traditional)
Coaching
Specific
task/action
orientated
Purpose
Personal
growth
Focus
Delivery
Individual
Typically 1:1
Task/skill
Typically 1:1
Ownership
Goals set by
Key actions
Protg
Protg
Listen and
be guided by
the client
focus on
capability
and potential
Contract/last
a lifetime?
Coachee
Job/Orgn.
Specific
job/task or
skills related
discussion
(guided by job
need)
As needed
basis/short
term
Timescales
Professional
Counselling
Explore
personal
issues and
problems
Individual
Typically 1:1
Client
Client
Encourage
the client to
make some
personal
decisions
Short term
sets of
sessions
Training
Managing
Transfer of new
skills
To meet/exceed
team targets and
team goals
New skill
Typically in groups;
Generic training
programmes
Trainer
Job/Orgn.
To train in specific
skills for their job/life
Team
Within groups
and 1:1
Short term
Employee
Job/Orgn.
To guide,
manage,
supervise, lead,
direct, motivate
team
On-going basis
Who
benefits?
Who is
involved?
Sponsor?
Confidential?
Key interests
Both parties
(mutuality)
Mentor
Protg
Manager
Manager
Yes
Protg
Focus on client
Coach
Client
Manager?
Manager
Yes
Coachee
Focus on
client
Counsellor
Client
3rd party?
Personnel
Yes
Client
Trainee
Manager & Team
Trainer
Trainee
Manager?
Training
No
Trainees
Employee
Manager
Manager
Yes
Team
Profitability?
Ultimately, whether we label it coaching, mentoring, counselling, training or managing, if done well its
effectiveness will depend in large measure on the managers belief about human potential (Whitmore
1997) and if Managers believe in the power of recognising and supporting individuals within their
team, then mentoring and coaching are helpful interventions in their quest to do this.
Directing people to DO has always produced inferior results compared to inspiring people to want to.
Increasingly, we are finding out why. But WHY makes no profit; HOW does. Coaching and mentoring
are the HOW TO. Coaching and Mentoring inspire people to WANT TO. MacLennan (1999)
The Benefits & Importance Of Mentoring

The benefits for the organisation;
Easier recruitment and induction
o
Mentoring help new recruits to become accustomed to the work environment more easily
As a result, employees become settled more quickly and therefore more productive more
quickly
If supported properly at the start, employees feel an increased sense of commitment and
loyalty, therefore are likely to stay longer
Overall, costs of re-recruiting and re-selecting are reduced
Improved employee motivation

o
Mentors help employees to understand the organisations long term plans
They help employees to make the most of learning opportunities available i.e. support for
qualifications
They help employees see the career progression routes and how to get there
Mentoring supports personalised development and continuous improvement
Management of the corporate culture

o
Mentoring is an opportunity to explore differences in organisational values and individuals

values/behaviour
A chance to tap into power sources of the organisation; helps to clarify which organisational
aspects are open to change and which are fixed
Help to identify which behaviours are rewarded and not rewarded etc
Succession planning
o
Mentoring is an opportunity to recognise the aspirations and potential of the employees
It is a chance to build on strengths and development needs and shape the talent pool for the
future (feeds into appraisal)
It is one way that senior managers can be familiar with the talent pool
Sometimes mentoring is linked to a fast-track scheme
Mentoring is a way of providing additional support, for high potential people
Improved communications
o
Mentoring helps the protg become familiar with the language of mentor/senior levels of
the organisation
Informal communication channels are opened beyond the prescribed organisational

channels/between the layers of the organisation
Additional communication channels are opened up between otherwise disparate groups, to

raise awareness of what other areas are doing, sharing information from different
perspectives etc
Open communication channels, encourage team work and productivity
Staff retention
o
Mentoring helps to keep good people, to maintain competitive advantage
Employees that are in mentoring schemes are less than half as likely to be thinking about
leaving (again reducing recruitment/selection costs)
The benefits for the protege/mentee;
A chance to discuss and put the theory to practice, when studying qualifications
Obtaining opportunities to network, visibility (access to senior management thinking)

9
Having someone (other than your Manager) available to share difficult situations
Having someone to believe in you and your ability
Being given help to work out what it is you want from life and work
Being given help to develop a greater confidence
Learning to cope with the informal and formal structure of the organisation
Working through tactics to manage relationships with other people
Becoming more comfortable in dealing with people from unfamiliar backgrounds
Learning how to communicate with others in more senior positions
Making sense of feedback from others and deciding how to deal with it
Being given the opportunity to challenge the organisations thinking and be challenged in
return
Being given the opportunity to receive career advice (and possible enhancement)
Gaining an insight into management processes
Having someone else to act as a conscience and a guide
A larger resource within the organisation to draw on/network with
The benefits for the mentor;
The huge amount of learning that they take from the experience
The opportunity to make a reflective space in a hectic schedule
The satisfaction of knowing that they have made a difference to someone else
The intellectual challenge of working on issues that they do not have direct personal
responsibility and that may take them into unfamiliar territory
An increased skills base and reputation
A chance for them to re-assess their own views and leadership style
A chance to become more aware of others views about management, the organisation
etc, a source of challenge to ones own thinking
The chance to broaden their perspective/collect others views an opportunity to view

the organisation with fresh eyes, to understand what others going through
A chance to discover and work with the talent of the future
By explaining best practice concepts to others, may help to reinforce them once more for
themselves
An opportunity to share their knowledge, skills and experience
A chance to challenge and be challenged mutuality

10
Taking pride in the protgs/mentees achievements
Learning new ways to develop others; an integral part of the Managers job
The benefits for the Line Manager;
Frees up time for other management responsibility
Employee gets support from another perspective/additional source
Sometimes not get enough time to spend quality time with employees
Feedback from mentoring discussions fed back to Manager (with agreement)
Information feeds into appraisals/succession planning additional support
An opportunity for employee to have some 1:1 attention (outside of team)
What key knowledge, skills and attitudes should mentors have?
Relevant job-related experience
Well-developed interpersonal skills
An ability to relate well with people who want to learn
A desire to help and develop others
An open mind, flexible attitudes
Recognition of their own development needs and need for support
Time and willingness to develop relationships with protgs
Experience of facing difficulties, new challenges, being helped themselves, working with
others, achieving/failing, taking responsibility and dealing with stress
(Taken from the Zurich Mentoring Guide 2005 as cited in Cranwell-Ward et al 2005)
What should mentors do?

Mentors should have the skills to;
Set high performance expectations
Offer challenging ideas
Help build self confidence
Encourage professional behaviour
Offer friendship
Confront negative behaviours and attitudes
Listen to personal problems
Share examples, information and resources

11
Provide growth experiences
Explain how the organisation works
Help far beyond their duties or obligations
Stand by their protgs in critical situations
Offer wise counsel
Provide tailored, accurate and regular feedback
Encourage winning behaviour role model behaviour
Trigger self awareness & encourage reflection (for protg and themselves)
Be sensitive to the day to day needs
Inspire to excellence
Share critical knowledge
Offer encouragement
Stimulate creative thinking
Assist with careers
Recognise and reward positive change in behaviour
Help to deal with grey areas
Self disclosure/share own experiences and career decisions made
In summary, mentors should have;
a genuine care for the development of people
commitment to the work and success of the organisation
knowledge of the organisation, networks, processes/knowledge of how things happen
a strong respect for self and others and great patience
readiness to spend time and thought on the mentoring activity
a desire to create and work in a relationship of trust and confidentiality on both sides
12
The 10 Mentor Competencies (Clutterbuck 2000)
13
7 types of mentor assistance, throughout the relationship (Shea 2002)

1. Shifting context
Help the protg to envisage a positive future or outcome
Help protg to envision worthy goals i.e. to be a Manager, and to inspire them to
move towards this
Examine the seriousness of their commitment to their goals
2. Listening
Be a sounding board ask helpful and challenging questions
Demonstrate respectful listening (providing an ear but not giving advice)
Show empathetic listening (verbal/non-verbal behaviours that show sincere interest)
3. Identifying feelings
Help protgs to identify motivators for success
Listen for words but underlying meaning as well mentors need to detect emotions and
feelings and respond appropriately to them
Reinforce belief in positive potential for growth beyond current situation
4. Productive confrontation
Discuss negative behaviours without judging and/or inappropriate decisions
Recognise repetitive patterns of behaviour & counsel to break the pattern
Ability to confront negative attitudes, behaviours and plans without being destructive
Provide insight into unproductive strategies and behaviours
5. Providing appropriate information
Offer non-judgemental, sensitive responses provide professional guidance
Present multiple viewpoints to generate more in-depth analysis
When appropriate, suggest possible solutions or sources of helpful information
6. Delegating authority and giving permission
Empowering a protgs self confidence through delegation
Identify/creating learning opportunities for them

14
Make statements that encourage personal actions to fulfil 3expressed objectives
7. Encouraging exploration of options
Help protgs to consider multiple options beyond the obvious or tried and true
Allow protg to choose the path and make it work
Unhelpful Mentor Behaviours;
Criticising & judgemental
Telling what to do/giving advice/talking at the protg/mentee
Solving the problems for the protg
Closed questions
Making assumptions/taking actions on behalf of the protg
Interfering and intervening on behalf of the protgs
Discuss the protg with the line manager (without permission from the protg)
Agreeing to do something and not carrying this through
Giving false information, having an alternative agenda
Talking about how it was in your day
15
16
In short, what do MENTORS actually do?
17
18
Ideal characteristics when looking for a mentor;
Already has a track record of developing people
Has a genuine interest in seeing young people advance and can relate to their problems
Has a wide range of current skills to pass on
Has a good understanding of the organisation
Combines patience with good interpersonal skills
Has sufficient time to devote to the relationships
Can command a protg/mentees respect
Has his/her own network of contacts and influence
Is still keen to learn
What key knowledge, skills and attitudes should protgs/mentees have?
Self motivation
Able to articulate expectations and own objectives
Meet commitments
Accepts feedback and acts on it
Listens
Self-aware
Ability to reflect
Open
Willing to engage in meaningful feedback
Trustworthy
Understands programme objectives/process
Receptive to and able to benefit from legitimate challenges
Not a passive receiver but an active partner in the process
Ambition and aspirations to go further
Realistically ambitious about their expectations of mentoring
Strong interpersonal skills
Prepared to take responsibility for their own actions
Able to approach the relationship with respect, good humour and openness
Aware of obligations to keep line manager informed
High belief in their ability to influence events in their favour
Surely these are also attributes expected of the mentor too?
19
The Mentoring Process Lifecycle (Cranwell-Ward et al 2005)
Gaining
commitment
Beginning:
Getting Started
Mentee
becomes next
generation
Mentor
Getting involved
Getting
End:
Review, evaluation &
closure
together
Saying goodbye,
closure
Getting to know
Middle:
Making the
relationship a positive
experience
Review &
each other
evaluation
Learning
together
Working
together
20
The Mentoring Process

According to the Mentoring Process Lifecycle and MacLennan (1999), mentoring relationships go
through 4 key phases or stages;
Beginning (getting started)

1. Establishing rapport (initiation/preparing)
a. Work out whether can get on and respect each other
b. Exchange views on what the relationship is and is not/manage expectations
c.
Agree a formal contract consider ethics and confidentiality
d. Agree what extent the mentor should drive the learner/accountability

e. Agree a way of working together consider roles & responsibilities
f.
Establish a regular pattern of contact meet on regular basis
g. Set up the boundaries of what will be discussed/ground rules

h. GAIN COMMITMENT, GET INVOLVED, GET TOGETHER
2. Direction setting (getting established/negotiating)

a. Diagnose learners style and preferences
b. Diagnose needs and aspirations/potential
c.
Establish the current reality
d. Determine the goals

e. Agree and set objectives and their success criteria/measures
f.
Identify priority areas
g. Clarify the focus

h. Begin work create personal development plan
i.
Gain commitment, get involved, get together
21
Middle (making the relationship a positive experience)

3. Progress making (development/enabling)
a. Create a forum for progressing the learners issues
b. Use each others expertise as agreed
c.
Review progress and adapt if necessary
d. Empower, identify and create opportunities

e. Identify new issues and ways of working
f.
Explore feelings/emotions about progress so far
g. Recognise (and celebrate) achievements

h. Confront and reflect on less positive behaviours/actions and roadblocks
i.
Consider various options/possibilities beyond the obvious
j.
Review goals/objectives maintain momentum
k.
Review relationship
l.
Get to know each other, work & learn together
End (review, evaluation and closure)

4. Moving on (finalising/maintenance/closing)
a. Allow the relationship to evolve or end
b. Revisit purpose - review and critically reflect on what has been learnt
c.
Address feelings & concerns
d. Establish friendship
e. Review and evaluate, say goodbye, closure
Key roles and responsibilities of protg/mentee, mentor, Line Manager and HR

There are usually 4 people involved in a mentoring programme and together they make up a
mentoring quadrangle; the protg/mentee, the mentor, the Line Manager and the programme coordinator who often is located within the Training or Personnel department. Each have their own
differing roles and responsibilities within the mentoring relationship.
22
The mentoring quadrangle (Clutterbuck 2004)
Key roles & responsibilities of mentor
Meet with mentee/protg when agreed
Establish and build on rapport throughout the relationship
Agree and keep to a mentoring contract

Manage time commitments
Diagnose the needs of the mentee/protege and agree priorities (driven by learner)
Improve the mentees/proteges breadth of knowledge and skills
Share broader perspective of the organisation, culture, strategy
Help mentees to articulate their aspirations and then realise their potential
Prompt mentees to draw up their own personal development plans
23
Provide contacts/networks for them to follow up

Recognise and celebrate achievements
Confront and reflect on positive and less positive behaviours/actions
Encourage the mentee/protege to think beyond the obvious
Prompt them to keep their Line Manager involved as much as possible
Encourage and motivate the mentee/protg
Ensure confidentiality as agreed with mentee/protg
Initiate reviews of progress at regular intervals
Identify when the relationship may need to close
Manage feelings/emotions when closing formal relationship
Keep in touch beyond formal relationship/take a continuing interest
Be open and honest at all times
Not discuss with line Manager (unless agreed with the mentee/protege)
Advise when other support is available (outside own boundaries) e.g. counselling
Key roles & responsibilities of protg/mentee
Meet with mentor when agreed to
Define and agree expectations for the relationship
Agree how best to manage the mentoring contract (mentee in control)
Commit to completing agreed development tasks i.e. creating a PDP
Access other sources of advice and information as appropriate
Share information about their strengths, development needs, ambitions etc openly with their
mentor
Take responsibility for drawing up their own personal development plans
Take responsibility for appropriate contact with line managers about development issues
Initiate their own development and make the most of learning opportunities
Be open and honest
Ensure confidentiality, as agreed with mentor
Keep line manager informed, as appropriate

24
Key roles & responsibilities of Line Manager
Allow mentees/protgs to attend mentoring sessions
Provide reasonable support for the development of the mentee/protege
Not talk to the mentor about the mentee/protege (unless all parties agree)
Be clear about the distinctions between managing and mentoring
Key roles & responsibilities of Co-ordinator/Scheme Manager
To ensure the smooth running of the scheme
To ensure senior/top management commitment
Formal link between all interested parties
Managing the publicity for the scheme
Managing the recruitment of mentors and proteges/mentees
Gaining agreement from senior managers for their support/commitment
Gaining agreement from Line Managers for their support/involvement brief mgrs
Arranging initial briefings and follow up support for both mentors and mentees
Ensure the criteria for mentor selection is very open and available to all
Ensure mentors and mentees are clear about their roles
Organise induction for everyone involved and specific training for mentors
Maintain the database of all involved
Administering the matching process and any reassignments that might be needed
Ensuring the programme is regularly monitored and reviewed, to ensure the ongoing
effectiveness of the programme
Managing the associated budgets and quality control processes
Being the public face of the programme to audiences inside and outside the organisation
To provide a ready ear to all participants to ensure productive relationships
Review best practice and use benchmarked good practice for redesigning scheme
To demonstrate return on investment to key stakeholders/senior managers
It is estimated that it would take 1 full day per week, to co-ordinate and maintain 20 mentoring pairs.
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Matching mentors to mentees/protgs and preparing the mentee/protg

Matching mentors to mentees/protgs
The least successful mentoring relationships are those that are thrown together in a hurry and/or
those that are imposed upon each other. It is important to allow the mentees some element of
choice. Research has shown that the greatest level of buy-in from participants seems to come from
giving the mentee a selection of 3 mentors and allowing them a mentoring relationship with one of
their top 3 mentors. When selecting their top 3, mentees should be given a guide to make their
choice i.e. they should not be encouraged to select their mentor based on an already close
friendship, or a very senior person in the organisation. It is important to avoid too great a hierarchy or
experience gap between mentor and mentee.
If possible establish the relationship outside of the normal working hierarchy i.e. keeping a certain
amount of distance between line managers being mentors for their team members. The managerteam member relationship may work against the need to be very open and honest about their
strengths and development needs (especially if mentees are worried that if they disclose their
development needs in the mentoring relationship, it will come back to haunt them in their
performance appraisal.) However, if it is necessary for line managers to be the mentors, then clear
boundaries need to be set up and clear distinctions made between expectations of the two different
roles.
It is important to ensure mentors volunteer to be involved in the mentoring programme and are not
pushed into being mentors. Mentors that volunteer are more likely to be committed to giving up the
time and making additional effort for the relationship, than those that are asked or forced and feel
that they need to be seen to be involved.
Also, it is not necessary for mentors and mentees to have similar personalities, similar learning styles
or similar backgrounds in order for the mentoring relationships to be successful. Infact, perhaps there
is more learning to be had between the mentee and the mentor if they think differently and approach
tasks differently; allowing for a different perspective to be had by both. It is also not necessary to
match up genders, as many successful relationships have been between mixed gender pairings
although some research (Nemanick 2001) shows that female to female mentoring relationships are
more successful in informal relationships and male to male within formal relationships. Also, that
females mentoring males has a lower success rate, than males mentoring females. (Armstrong
2002).
Typically 1 in every 3 mentoring relationships will fail over a two year period and 1 in every 2 will
need revitalising over a two year period too.
26
Preparing the mentee/protg

As a mentee should take responsibility for the mentoring relationship, they must understand;
What the organisation expects of the programme
How it links with their qualifications
What paperwork is involved and whose responsibility is it to do this
What can be realistically expected of the mentor
What is the time commitment expected of both parties
What should the mentor expect of the mentee
What they can do to ensure the relationship is a positive one
What are the boundaries of the relationship. Why? Involvement of Line Manager?
All of these things can be discussed in the ground rules, at the first meeting
Ideas for mentoring ground rules (adapted from Clutterbuck 2004)

It is essential that both sides discuss the ground rules of their relationship; agreeing objectives, their
expectations of each other and how they will manage the relationship. It is not necessary to create a
formal contract for this (although some mentors/mentees do find this helpful) but ensuring that you
discuss these questions and jot down a few key points as a reminder for review at a later date, may
be helpful.
1.a) Are you clear about your expectations of;
Each other?
The mentoring relationship?
What we hope to learn from each other?
b) How closely do our expectations match?

c) How directive or non-directive should you (the mentor) be in each meeting?
2. a) What are the core topics/priorities we want to discuss? Job? Career aspirations?
b) What are the limits to the scope of the discussions (what will we/wont we talk
about?)
27
3. Who will take responsibility i.e. the mentor/mentee/both together for;
Deciding how often we meet?
Setting the agenda for meetings?
Ensuring that meetings take place?
Organising where to meet, and for how long?
Defining learning goals?
Initiating reviews of progress?
4. How formal or informal do we want our meetings to be?
5. To what extent is the mentor prepared to allow the mentee to;
Use his/her authority?
Use his/her networks?
Take up time between meetings?
6. Are we agreed that openness and trust are essential? How will we ensure that they
happen?
7. Are we both willing to give honest and timely feedback (e.g. to be a critical friend?)
8. Do we both agree to behave in a confidential and ethical manner? How will we ensure
that we do this? What will we do/not do? (Review Ethics & Professional Standards
section.)
9. a) What are the limits to the confidentiality of this relationship?

b) What are we prepared to tell others?
About the relationship?
About our discussions?
c) Who shall we tell and how?
10. What responsibilities do we owe to others as a result of this relationship (e.g. to line
managers, peers, the programme co-ordinator etc)?
28
11. a) How do we ensure that the mentees line manager is supportive? How update
them?
b) Is there a clear distinction between the roles of mentor and line manager?
c) If there are overlaps, how will these be managed?
12. When and how will we check that this relationship is right for both of us?
Key models/techniques to use during the mentoring sessions

There are a variety of models and techniques that can be used during the mentoring sessions and
these can be associated with coaching and/or mentoring. A few have been listed below, (mostly
taken from www.mentoringforchange.co.uk).
CLEAR model
Contracting opening the discussion, setting the scope, agreeing the desired outcomes Listening
using active listening to develop understanding of the situation
Exploring helping the learner to understand the effect this is having and challenging them
Action supporting them to choose a way ahead
Review reinforcing ground rules and value added, giving/receiving feedback
OSKAR model
Outcome what is the objective of this session what do we want to achieve today?
Scaling rate the situation on a scale of 1-10. How did you get this far? How to get to 10?
Know-how & resources what helps you perform at n rather than 0? How does this happen?
Affirm & Action what is already going well? What is next? What will it take to get to10?
Review what is better now? What did you do to effect that change? What will change next?
Although, more recently has been quoted as OSCAR with the C = Choices & options
The Story Telling model

Listening demonstrating active listening at least 80% of the time
Appreciating showing that you are appreciating what they are saying/clear about success
Suggesting what alternatives can be suggested? Sharing personal reactions. Drawing out
Asking what else do you need? What else do you/they need to do?
29
30
The Grow Model

This is arguably the most popular coaching and mentoring model today, which is really a combination of all the models above. Also know as T-GROW where
T = Topic.
31
32
Hints And Tips; What To Do And What Not To Do

Plan and prepare
Take time to plan before the meeting (to ensure that you are clear about what is expected of you in
this meeting, what you were meant to have done beforehand and what the key areas might be for
discussion at the meeting.) Preparation will ensure that the time you have together is best used and
not spent agreeing what it is that you will discuss.
Be clear about roles

Be very clear about what you will and wont do for the mentee. This will be part of the initial contract
but it will also be worth reminding the mentee as time goes along, so that they are not relying on you
to do all the work. Initially you may want to be more directive and more involved but ultimately you
want them to be empowered to make their own contacts, take their own actions and do things
without you.
Set and measure clear outcomes

How will you know whether you are doing a good job, unless you agree with the mentee what they
want to achieve and then review/measure throughout the relationship how they are achieving against
these targets? Mentoring is not just an opportunity to discuss things with more senior people and to
learn a little about ourselves but also to tackle and achieve some personal challenges. It is important
to agree some realistic goals early, to set the focus of the relationship, even if these do change over
time. A PDP is a helpful way of doing this.
Be both formal and informal

You will need to be able to strike the balance between formality and informality. Ultimately you want
the relationship to develop in its own way but remember there are some organisational boundaries
that must be adhered to and some business reasons for this mentoring programme.
Focus on opportunities, not problems

Although mentoring is about helping mentees with their problems, it is also about helping them
identify their strengths and development needs and then to identify and manage opportunities to
develop them. It is important to ensure that the mentoring conversations are not just based around
problem solving of immediate business issues and are focused on the individual and their wider
career concerns.
Keep appropriate records

It is important for both parties to keep records of what was discussed and agreed and what is to be
achieved for the next meeting. This does not have to be on any additional formal documentation but
it is helpful to have a small list to review at each session this then is helpful when reviewing what is
being gained from the relationship, at a later date.
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Establish and re-establish rapport

If two people do not click in the first two meetings, it is unlikely that the mentoring relationship will
carry on as effectively as it might and it is important to remember that not all mentoring relationships
will work out. It is very important to recognise this early, so that the pairings can be changed, to
ensure that the mentee is linked up with someone that they are more compatible with. This does not
show a failing on the mentors part, infact quite the opposite as changing the pairings early will
ensure mentoring success in the longer run.
Make time
All mentoring relationships suffer from lack of time and diary pressures. People often chosen as
mentors are the ones that are in most demand and so have even more pressure on their diaries and
time. It is important that as mentors that you commit to giving up a certain amount of time each
week and that you want to do this forcing yourself to meet your mentor when you have other things
on your mind, will not be helpful for either of you. Good mentors are willing to invest the time in
developing other people and feel that it is an excellent use of their time and so block out time easily
for this.
Encourage independence
Dependency is unhealthy for both parties. In the long run, the hope of any successful mentor is to
ensure that your mentee/protg has the confidence to go it alone and to achieve their career
aspirations without you. It is unhealthy to do everything for the mentee (although they might be
grateful for this at the beginning of your relationship) as ultimately you will be developing an
individual to do as you do and not to think independently, without you. When you then suggest
closing the formal relationship, this could cause more issues for the mentee that you may have
solved during your relationship.
Recognise that all good mentoring relationships come to an end

It is essential that every mentoring relationship is seen from the start as a temporary alignment.
Elements of it may exist, in the form of mutual aid and friendship, for many years after, but there
must be clear starting and finishing points. (Clutterbuck 2004.) A good indication of when to finish a
relationship is when the mentee has achieved their short and medium term goals and are operating
quite independently or one or both parties feel that the relationship is no longer beneficial to them.
This is a good sign and will indicate to the mentor that they have done a sound mentoring job, as the
mentee is now more able and more confident about creating their own opportunities for the future.
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In short, here is a summary of the key areas to cover during each mentoring meeting;
Taken from Clutterbuck (2004)
35
Developing and maintaining a PDP

Whatever the key business reasons for the starting up of a mentoring relationship, identifying an
individuals development needs, creating opportunities for them to address these and reviewing
progress will be a key element of all programmes. It is important that key business and job related
goals are discussed but ultimately their achievement will be enhanced by them focussing on and
addressing their personal development needs too.
The next page shows a typical personal development plan (PDP) that can be used to agree targets
for the mentee to tackle within their own job but also to tackle beyond their immediate job role too.
Various documentation has been included in the Work-based Learning Handbook to document the
regular mentoring discussions (start of term, mid term and end of term evaluation forms) which
primarily discuss the learning from the modules studied. This PDP can be used in conjunction with
these forms, to plot and review the mentees personal development priorities at the same time.
How to use the PDP with your mentee/protg

Objectives & why?
What do they want/need to learn within their immediate job? For their next job move? Their next
career move? What are the job specific skills that they need to learn? What about personal skills?
What are they really good at? What are they not so good at? What do they need to work on? Why
are these important to them? Which are the priorities? Short, medium and long term needs?
What do they need to do to achieve these? What support is needed?

What opportunities are there in the workplace for them to build on their strengths and target their
development needs? As a mentor, are there any opportunities you can suggest/provide for them?
What opportunities are there that are coming up for them to practice some of these? What
opportunities do they/you need to create for this? Are there any training courses available? Are there
any projects/secondments available? What other resources are available? Who else do they/you
need to enlist for support?
Who else needs to know?

Who else needs to be kept informed? Who else has available budget for some additional support?
How will they update their manager?
How can they measure completion?

How will they know when they have achieved their goals? How will others know>? How will their
manager know how will they be behaving differently? How will their team know?
36
Development objectives need to be SMARTER* and very much time-based. When do they hope to
achieve these goals? When will you review their progress? How will you help them celebrate their
successes? How will you motivate them when targets dates need to be changed and progress is
slow?
The suggestion is to develop this with the mentee/protg in the first few meetings and review it on a
quarterly basis. Periodically, some actions should be able to be ticked off and then some new
actions/objectives added as you go along. Ensure that the objectives are a mixture of personal, job
and qualification/University related.
*SMARTER Specific, Measurable, Achievable, Realistic, Time-based, Evaluated & Reviewed
Some (reflective) questions that could be used whilst mentoring

1. Are there any emotions you are trying to avoid here?
2. By how much do you want to improve, by when?
3. What is causing this feeling? How might this affect whether you achieve outcome?
4. Why do you need to control this situation?
5. How committed are you to achieving this?
6. How could you find the courage to do what you think is right?
7. How could you have done this better?
8. How do you like to be managed?
9. How does this fit in with your personal values?
10. How genuinely committed are you to this goal?
11. What could you do to improve your openness to feedback?
12. How much do you think you could have contributed to the problem?
13. How much do you respect your colleagues/yourself?
14. How much is enough? Good enough?
15. How pure are your intentions here?
16. How will you feel about this decision looking back in 2 years time?
17. How will you make it possible to hear those unwelcome messages?
18. How would your role model handle this?
19. How would you explain this to your children/partner?
37
20. How/what do you feel?

21. If all the obstacles disappeared, what would you do?
22. If our roles were reversed, what would you be asking me now?
23. If this is really what you want, why havent you already started?
24. If you did know the answer, what would it be?
25. What will give you what you want?
26. If you had another 100 years to live, would this be a priority for you?
27. If you werent here for a month, what wouldnt get done?
28. What would your direct reports say about you?
29. What are your beliefs about this issue? Which are helpful/unhelpful?
30. What are your responsibilities here?
31. What could increase your commitment?
32. What could you stop doing something to help your situation?
33. What do you care about the most? Fear the most?
34. What do you think you might be doing to cause this reaction in others?
35. What do you want the outcome to be?
36. What does this experience/situation tell you about yourself?
37. What else could you do? What else have you done?
38. What first steps could you take to give you the confidence to make real progress?
39. What happens if you do nothing?
40. What have you not done? Why? Does it matter?
41. What help would you most value from me?
42. What is your need from this situation?
43. What makes you feel valued?
44. What messages do you not want to hear?
45. What permission have you given yourself?
46. What stops you walking away?
47. What could you lose by winning?
48. What would put you back in control?
38
49. What would your best-self say and do about this?

50. Who are you? Who do you want to be?
In short, WHO, WHAT, WHERE, WHEN, WHY & HOW.
You will need to ask lots of open questions and be prepared to offer feedback throughout.
Taken from Zachary, L. J (2000) The Mentors Guide San Francisco: Jossey Bass
39
Research on what makes an effective mentor

Over the 20-25 years that mentoring has been around in the business arena, various studies have
been undertaken to evaluate the usefulness of such an intervention. These studies are mostly aimed
at the reaction level type of evaluation (i.e. how the mentee or mentor felt about the experience)
rather than any major studies on the return on investment for the business. This is mainly due to the
nature of mentoring, which aims at developing the individual most often in areas that are not so
measurable within business i.e. confidence levels, assertiveness skills, networking ability. However,
where mentoring has been used to encourage the individual towards a qualification and/or towards
developing new skills, then this is more easily measured within their job and by their performance at
that skill or within that task.
The key UK writer on mentoring, David Clutterbuck, has carried out a number of studies on what
makes mentors effective and the summary of the mentees responses are below;
They reinforce rapport at each meeting
They hold back from giving their own experience until the mentee has fully explored
their own issues
They summarise during the discussion but ensure mentee summarises at the end
They challenge and encourage when the need arises
They talk less than 20% of the time
They make use of very good penetrating questions
They give considered advice when it is asked for
They make use of silence to ensure the mentee has sufficient reflective space to
consider the implications of an insight
Gibbons (2006) from his studies of mentors supporting mentees with qualifications, found that what
differentiated the best mentors from the rest were that the mentor;
Does not blame stays neutral
Will give honest answers
Not intimidating easy to approach at any time
Knows what they are talking about good at own job
Actively questions mentee
Enabling, caring, open and facilitative
Gives constructive and positive feedback
40
Provides subtle guidance, but ensures mentees make the decisions
Interested in mentee personally, genuine concern
Willing to debate, argue, discuss
In the same study, Mentees were asked what they wanted and didnt want from a mentor and here
are their views below;
What they would want mentors to be
What they didnt want mentors to be
Organised, patient, understanding
Very poor at keeping in touch
Enthusiastically persuasive
Likely to give you seedy look
Down to earth and realistic
Prepared to get jobs done with you
leaving you wondering
their field of expertise
urgently
Able to make you feel relaxed, by

showing that they understand your
Lacking in knowledge and integrity in
Mad (!!)
Intolerant and impatient
perspective
Ethics and professional standards in mentoring

There are a number of professional bodies within the UK which have created professional standards
for mentoring within any context. The EMCC (The European Mentoring and Coaching Council) is one
of these. It has been established to promote best practice and ensure that the highest possible
standards are maintained in the coach/mentoring relationship. The EMCC Ethical Code covers
competence, context, boundary management, integrity and professionalism.
Competence
The coach/mentor will:
Ensure that their level of experience and knowledge is sufficient to meet the needs of
the client.
Ensure that their capability is sufficient to enable them to operate according to this Code
of Ethics and any standards that may subsequently be produced.
Develop and then enhance their level of competence by participating in relevant training
and appropriate Continuing Professional Development activities.
41
Maintain a relationship with a suitably-qualified supervisor, who will regularly assess

their competence and support their development. The supervisor will be bound by the
requirements of confidentiality referred to in this Code.
Context
Understand and ensure that the coach/mentoring relationship reflects the context within
which the coach/mentoring is taking place.
Ensure that the expectations of the client and the sponsor are understood and that they
themselves understand how those expectations are to be met.
Seek to create an environment in which client, coach/mentor and sponsor are focused
on and have the opportunity for learning.
Boundary Management
At all times operate within the limits of their own competence, recognize where that
competence has the potential to be exceeded and where necessary refer the client either to
a more experienced coach/mentor, or support the client in seeking the help of another
professional, such as a counsellor, psychotherapist or business/financial advisor.
Be aware of the potential for conflicts of interest of either a commercial or emotional nature
to arise through the coach/mentoring relationship and deal with them quickly and effectively
to ensure there is no detriment to the client or sponsor.
Integrity
Maintain throughout the level of confidentiality which is appropriate and is agreed at the start
of the relationship.
Disclose information only where explicitly agreed with the client and sponsor (where one
exists), unless the coach/mentor believes that there is convincing evidence of serious
danger to the client or others if the information is withheld.
Act within applicable law and not encourage, assist or collude with others engaged in
conduct which is dishonest, unlawful, unprofessional or discriminatory.
42
Professionalism
Respond to the client's learning and development needs as defined by the agenda brought
to the coach/mentoring relationship.
Not exploit the client in any manner, including, but not limited to, financial, sexual or those
matters within the professional relationship. The coach/mentor will ensure that the duration
of the coach/mentoring contract is only as long as is necessary for the client/sponsor.
Understand that professional responsibilities continue beyond the termination of any

coach/mentoring relationship. These include the following:
o
Maintenance of agreed confidentiality of all information relating to clients and

sponsors
Avoidance of any exploitation of the former relationship
Provision of any follow-up which has been agreed to
Safe and secure maintenance of all related records and data
Demonstrate respect for the variety of different approaches to coaching and mentoring and
other individuals in the profession.
Never represent the work and views of others as their own.
For further information see www.emccouncil.org.uk.

The University of Wolverhampton is a member of the EMCC and as such adheres to these standards
when mentoring, training, coaching and supporting mentors, mentees, students etc.
43
Frequently Asked Questions And Answers

What if we just dont get on at the first meeting?
Ensure you tackle this at the next meeting what could you be doing differently as a mentor that
would help your relationship? What are the areas that you seem to be clashing on and why? What
can you both change, to try and accommodate each other?
What if we have tried to tackle our differences but we still cant seem to get on?
Talk to the Programme/Scheme Co-ordinator and explain the issues. It may be that you will be able
to swap and/or suggest a better match for your mentee.
What if we are doing a lot of talking but not many actions are getting done?
You need to take a more confrontative approach and discuss what you see, share your concerns
and encourage the mentee to share their views. Remember mentoring is not just about meeting
when you say you will and ticking the boxes.
We never seem to be able to meet within work time

Is there a possibility that you could meet outside of work? Go to the pub for a chat? Meet in the
canteen for a coffee and a chat? If it must be in work time, perhaps the mentee can talk to their
manager about being given definite/unmovable time to meet with the mentor.
Their Line Manager doesnt seem to be very supportive

Encourage the mentee to explore this with their line manager (this is not your job as a mentor to
tackle) and/or ask the mentee to speak to the Scheme Co-ordinator about encouraging the manager
to be more committed to the programme.
Some things are being discussed, that are out of my comfort zone.
Refer to your initial mentoring contract where you agreed what you would and wouldnt talk about
re-explain your role and what other help is out there i.e. counselling etc if needed.
The mentee is looking for answers and I dont have them

It is not your job to give them the answers. Your role is to ask them questions so that they can come
up with their own options/choices and solutions.
This is having a significant impact on my time, is there any financial compensation for me
doing this?
No. The idea is that you are doing this to support members of your organisation to develop them and
to achieve their potential. You will benefit personally, through the satisfaction in having contributed to
44
their development and seeing them grow. Mentors should be willing to give up their time voluntarily
in order to support the young talent in their business.
Any other questions, please speak to your Scheme Co-ordinator and/or the University of
Wolverhampton contacts, for further advice.
Suggested Additional Reading

Aryee, S., Lo, S. and Kang, I. (1999) Antecedents of early career stage mentoring among Chinese
employees. Journal of Organizational Behavior, 20(5), pp. 563-576.
Bright, M.I. (2005) Can Japanese mentoring enhance understanding of Western mentoring?
Employee Relations, 27(4), pp. 325-339.
Cohen, N. (1999) The manager's pocket guide to effective mentoring : a precise and recognized
explanation to mentoring adult learners. Amherst, USA: HRD Press.
Colley, H (2003) Mentoring for Social Inclusion: a critical approach to nurturing mentoring
relationships. London: RoutledgeFalmer.
Eby, L.T., McManus, S.E., Simon, S.A. and Russell, J.E.A. (2000) The protgs perspective
regarding negative mentoring experiences: the development of a taxonomy. Journal of Vocational
Behavior, 57(1), pp.1-21.
Freedman, M. (1999) The kindness of strangers: adult mentors, urban youth and the new
voluntarism. [New ed.] Cambridge: Cambridge University Press.
Gibb, S (2003) What do we talk about when we talk about mentoring? blooms and thorns. British
Journal of Guidance & Counselling, 31(1), pp.39-49.
Kalbfleisch, P.J (1997) Appeasing the mentor. Aggressive Behavior, 23(5), pp. 389-403.
Kram, K. E (1985) Mentoring at work: developmental relationships in organizational life.
Glenview:Scott, Foresman & Co.
McDowall-Long, K. (2004) Mentoring relationships: implications for practitioners and suggestions for
future research. Human Resource Development International, 7(4), pp.519-534.
McManus, S.E. and Russell, J.E.A. (1997) New directions for mentoring research: an examination of
related constructs. Journal of Vocational Behavior, 51(1), pp.145-161.
Maynard, T (2000) Learning to teach or learning to manage mentors?: experiences of school-based
teacher training. Mentoring & Tutoring: Partnership in Learning, 8(1), pp.17-30.
Megginson, D., Clutterbuck, D., Garvey, B., Stokes, P. and Garrett-Harris, R. (2006) Mentoring in
action: a practical guide. 2nd ed., London: Kogan Page.
Piper, H. and Piper, J. (2000) Disaffected young people as the problem. Mentoring as the solution.
Education and Work as the goal. Journal of Education and Work, 13(1), pp. 77-94.
45
Ragins, B. R. and Cotton, J.L. (1999) Mentor functions and outcomes: a comparison of men and
women in formal and informal mentoring relationships. Journal of Applied Psychology, 84(4), pp.529550.
Ragins, B.R. and Scandura, T.A. (1997) The way we were: gender and the termination of mentoring
relationships, Journal of Applied Psychology, 82(6), pp.945-953.
Wallace, J. E (2001) The benefits of mentoring for female lawyers. Journal of Vocational Behavior,
58(3), pp.366-391.
Willcox, T. (1987) Mentoring among British Executives, part 1: the British case. International Journal
of Mentoring, 1(1), pp.19-23.
46
References
Books & Journals
Armstrong, S. J, Allinson, C. W & Hayes, J (2002) Formal mentoring systems: an examination of the
effects of mentor/protg cognitive styles on the mentoring process
Journal of Management Studies 39 (8) pp. 1111-1137
Clutterbuck, D (2004) Everyone Needs a Mentor fostering talent in your organisations
4th edition
London: CIPD
Clutterbuck, D & Megginson, D (2004) Mentoring Executives and Directors

London: Elsevier
Colley, H (2005) A Rough Guide to the History of Mentoring from a Marxist Feminist Perspective
Journal of Education for Teaching
28 (3) pp. 257-273
Collins, G. C & Scott, P (1979) Everyone who makes it has a mentor Harvard Business Review 56
pp. 89-101
Cranwell-Ward, J., Bossons, P & Gover, S (2004) Mentoring A Henley Review of Best Practice
Hampshire: Palgrave MacMillan
DeMarco, R (1993) Mentorship: a feminist critique of current research Journal of Advanced Nursing
18 pp. 1242-1250
Daloz, L (1986) Effective Teaching & Mentoring San Francisco: Jossey Bass
Gay, B & Stephenson, J (1998) The mentoring dilemma: guidance and/or direction?
Mentoring & Tutoring 6 (1) pp. 43-54
Gibson, S. K (2004) Mentoring in business and industry: the need for a phenomenological
perspective Mentoring & Tutoring
12 (2) pp. 259-275
Gulam, W & Zulfiqar, M (1998) Mentoring Dr Plums elixir and the Alchemists stone
Mentoring & Tutoring 5 (3) pp. 39-45
Hagerty, B (1986) A second look at mentors Nursing Outlook 34 (1) pp.16-24
Landsberg, M (1996) The Tao of Coaching HarperCollins: London
MacLennan, N (1999) Coaching and Mentoring
Hampshire: Gower
Merriam, S (1983) Mentors and proteges: a critical review of the literature Adult Education Quarterly
33 (3) pp. 161-173
47
Monaghan, J & Lunt, N (1992) Mentoring; persons, processes, practice and problems
The British Journal of Educational Studies 11 (3) pp. 117-133
Nemanick R.C (2001) Comparing formal and informal mentors: does type make a difference?
Academy of Management Executive August 2001 Pages 136-138
OBrien, V (2003) Its all in who you know
BC Business 31 (12) p. 19
Parsloe, E & Wray, M (2004) Coaching and Mentoring Practical Methods for Improving Learning
London: Kogan Page
Roberts, A (2000) Mentoring Revisited: a phenomenological reading of the literature Mentoring &
Tutoring 8 (2) pp. 145-170
Roche, G. R (1979) Much ado about mentors Harvard Business Review 57(1) pp. 14-28
Shea, G.F (1992) Mentoring; a guide to the basics
London: Kogan Page
Shea, G. F (2002) Mentoring how to develop successful mentor behaviors 3rd edition Boston:
Thomson
Strathern, M (1997) Improving ratings: audit in the British university system European Review 5(3)
pp. 305-321
Tyler, K (2004) Is it mentoring or coaching?
HR Magazine
49 (3) p. 89
Wanberg, C. R., Welsh, E. T & Hezlett. S. A (2003) Mentoring Research: A Review and dynamic
process model in J. Martocchio & J. Ferris (Eds) Research in Personnel & Human Resource
Management
22 pp.39-124
Oxford Elsevier Science Limited
Whitely, W., Dougherty, T.W & Dreher, G. F (1992) Correlates of career-orientated mentoring for
early career managers and professionals
Journal of Organizational Behavior 13 (2) pp. 141-154
Zachary, L. J (2000) The Mentors Guide San Francisco: Jossey Bass

Zey, M. G (1984) The mentor connection
Homewood, USA: Jones-Irwin
Helpful websites
Big Brothers Big Sisters (USA) movement
www.bbbsa.org
Mentoring for Change ideas and techniques to use in sessions
www.mentoringforchange.co.uk
Clutterbuck Associates
www.clutterbuckassociates.com/mentoring
48
European Mentoring & Coaching Council (EMCC)

www.emccounmcil.org.uk
Also available through;
http://www.pbcoaching.com/about/emcc.php
http://transitionalspace.gn.apc.org/coaching.html
The Coaching and Mentoring Network
http://www.coachingnetwork.org.uk/ResourceCentre/WhatAreCoachingAndMentoring
The Institute of Electrical Engineers website/Gibbons study (2006)
www.iee.org/EduCareers/Mento
49
Effective Strategies
for Providing Quality
Youth Mentoring in
Schools and Communities
Building
Relationships:
A Guide for
New Mentors
National Mentoring Center
This publication contains pages that have been

left intentionally blank for proper pagination
when printing.
Building
Relationships
Effective Strategies for Providing Quality
Youth Mentoring in Schools and Communities
A Guide for New Mentors
Revised September 2007
Published by:
The Hamilton Fish Institute on School and Community Violence &
The National Mentoring Center at Northwest Regional Educational Laboratory
With support from:

Office of Juvenile Justice and Delinquency Prevention,
U.S. Department of Justice
Hamilton Fish Institute on School and Community Violence

The George Washington University
2121 K Street NW, Suite 200, Washington, DC 20037-1830
Ph: (202) 496-2200
E-mail: hamfish@gwu.edu
Web: http://www.hamfish.org
Hamilton Fish Institute Director:
Dr. Beverly Caffee Glenn
National Mentoring Center
Northwest Regional Educational Laboratory
101 SW Main St., Suite 500, Portland, OR 97204
Toll-free number: 1-800-547-6339, ext. 135
E-mail: mentorcenter@nwrel.org
Web: http://www.nwrel.org/mentoring
National Mentoring Center Director:
Eve McDermott
Authors:
Michael Garringer & Linda Jucovy
Technical editor:
Eugenia Cooper Potter
Layout design:
Dennis Wakeland
Cover design:
Paula Surmann
2008, National Mentoring Center
All Rights Reserved
This project was supported by the Hamilton Fish Institute on School and
Community Violence through Award No. 2005-JL-FX-0157 awarded by the
Office of Juvenile Justice and Delinquency Prevention, Office of Justice Programs,
U.S. Department of Justice. Points of view or opinions in this document are those
of the author and do not necessarily represent the official position or policies of
the U.S. Department of Justice or the Hamilton Fish Institute.
About the Effective Strategies for

Providing Quality Youth Mentoring in
Schools and Communities Series
Mentoring is an increasingly popular way of providing guidance and support to young people in need. Recent years have seen youth mentoring
expand from a relatively small youth intervention (usually for youth from
single-parent homes) to a cornerstone youth service that is being implemented in schools, community centers, faith institutions, school-to-work
programs, and a wide variety of other youth-serving institutions.
While almost any child can benefit from the magic of mentoring, those
who design and implement mentoring programs also need guidance and
support. Running an effective mentoring program is not easy, and there
are many nuances and programmatic details that can have a big impact
on outcomes for youth. Recent mentoring research even indicates that
a short-lived, less-than-positive mentoring relationship (a hallmark of
programs that are not well designed) can actually have a negative impact
on participating youth. Mentoring is very much worth doing, but it is imperative that programs implement proven, research-based best practices
if they are to achieve their desired outcomes. Thats where this series of
publications can help.
The Effective Strategies for Providing Quality Youth Mentoring in Schools
and Communities series, sponsored by the Hamilton Fish Institute on
School and Community Violence, is designed to give practitioners a set
of tools and ideas that they can use to build quality mentoring programs.
Each title in the series is based on research (primarily from the esteemed
Public/Private Ventures) and observed best practices from the field of
mentoring, resulting in a collection of proven strategies, techniques, and
program structures. Revised and updated by the National Mentoring Center at the Northwest Regional Educational Laboratory, each book in this
series provides insight into a critical area of mentor program development:
Foundations of Successful Youth MentoringThis title offers a comprehensive overview of the characteristics of successful youth mentoring programs. Originally designed for a community-based model, its advice and
planning tools can be adapted for use in other settings.
iii
Generic Mentoring Program Policy and Procedure ManualMuch of the

success of a mentoring program is dependent on the structure and consistency of service delivery, and this guide provides advice and a customizable template for creating an operations manual for a local mentoring
program.
Training New MentorsAll mentors need thorough training if they are to
possess the skills, attitudes, and activity ideas needed to effectively mentor a young person. This guide provides ready-to-use training modules for
your program.
The ABCs of School-Based MentoringThis guide explores the nuances of
building a program in a school setting.
Building Relationships: A Guide for New MentorsThis resource is written directly for mentors, providing them with 10 simple rules for being a
successful mentor and quotes from actual volunteers and youth on what
they have learned from the mentoring experience.
Sustainability Planning and Resource Development for Youth Mentoring
ProgramsMentoring programs must plan effectively for their sustainability if they are to provide services for the long run in their community.
This guide explores key planning and fundraising strategies specifically for
youth mentoring programs.
The Hamilton Fish Institute and the National Mentoring Center hope that
the guides in this series help you and your programs stakeholders design
effective, sustainable mentoring services that can bring positive direction
and change to the young people you serve.
iv
Acknowledgments
The original content of Building Relationships: A Guide for New
Mentors was based on Building Relationships with Youth in Program
Settings: A Study of Big Brothers/Big Sisters, by Kristine V. Morrow and
Melanie B. Styles (Public/Private Ventures, 1995). Linda Jucovy used
that research reports insights, information, and many perceptive
quotations from mentors and youth to develop this practical guide.
This revision of the material includes additional advice, strategies,
and resources for mentors that can help them work more effectively
with young people.
The National Mentoring Center (NMC) would like to thank Jean
Grossman and Linda Jucovy of Public/Private Ventures (P/PV) for
their outstanding work on this and other National Mentoring Center
publications. We also thank Big Brothers Big Sisters of America for
their contributions to the original NMC publications, including this
one. The NMC also thanks Scott Peterson at the Office of Juvenile
Justice and Delinquency Prevention, U.S. Department of Justice,
for his support of the NMC and for mentoring in general. Finally,
we thank the Hamilton Fish Institute on School and Community
Violence at the George Washington University for their support in
developing and disseminating this revised publication.
blank page
Contents
Section I. What Is a Successful Mentoring Relationship? . . . . . . . 1
Section II. The 10 Principles of Effective Mentoring . . . . . . . . . . 5
Handout
The Mentoring Relationship Cycle . . . . . . . . . . . . . . .32
Additional Reading . . . . . . . . . . . . . . . . . . . . . . . . . .35
vii
blank page
Section 1.
What Is a
Successful Mentoring
Relationship?
W
hat are the qualities of an effective mentor? What strategies do mentors use to
engage and connect with youth? These questions
are at the heart of all mentoring relationships.
Every year, thousands of volunteers come to
mentoring programs because they want to make a
positive difference in the lives of youth. But how
are these volunteers able to make a difference?
How does the magic of mentoring happen?
Several years ago, Public/Private Ventures (P/
PV), a research organization in Philadelphia, set
out to learn what helps successful mentoring
relationships develop. They also wanted to
understand why some mentoring relationships are not successful
why the mentor and youth do not meet regularly, why a friendship
never develops between them, and why the pair breaks up.
P/PV looked closely at 82 pairs of mentors and youth, ages 10 to 15, in
Big Brothers Big Sisters mentoring programs around the country. They
interviewed each mentor and youth, and returned nine months later
to interview them again. By then, 24 of the pairs had broken off their
relationship, while 58 of the matches were still meeting.1
Why were some relationships doing so well while others had come
apart? The key reasons had to do with the expectations and approach
of the mentor. Most of the mentors in the relationships that failed
had a belief that they should, and could, reform their mentee. These
mentors, even at the very beginning of the match, spent at least some
of their time together pushing the mentee to change. Almost all the
mentors in the successful relationships believed that their role was
to support the youth, to help him or her grow and develop. They saw
themselves as a friend.
1
Those relationships are further described in Morrow, K.V., & Styles, M.B. (1995). Building
Relationships with Youth in Program Settings: A Study of Big Brothers/Big Sisters. Philadelphia:
Public/Private Ventures. Available online at http://www.ppv.org/ppv/publications/assets/
41_publication.pdf
Building Relationships: A Guide for New Mentors
Those successful mentors understood that positive changes in the lives

of young people do not happen quickly or automatically. If they are to
happen at all, the mentor and youth must meet long enough and often
enough to build a relationship that helps the youth feel supported and
safe, develop self-confidence and self-esteem, and see new possibilities
in life. Those mentors knew they had to:
Q
Take the time to build the relationship
Q
Become a trusted friend
Q
Always maintain that trust
While establishing a friendship may sound easy, it often is not. Adults

and youth are separated by age and, in many cases, by background
and culture. Even mentors with good instincts can stumble or be
blocked by difficulties that arise from these differences. It takes time for
youth to feel comfortable just talking to their mentor, and longer still
before they feel comfortable enough to share a confidence. Learning to
trustespecially for young people who have already been let down by
adults in their livesis a gradual process. Mentees cannot be expected
to trust their mentors simply because program staff members have put
them together. Developing a friendship requires skill and time.
What are the qualities of an effective mentor? This guide describes 10
important features of successful mentors attitudes and styles:
1. Be a friend.
2. Have realistic goals and expectations.
3. Have fun together.
4. Give your mentee voice and choice in deciding on activities.
5. Be positive.
6. Let your mentee have much of the control over what the two of
you talk aboutand how you talk about it.
7. Listen.
8. Respect the trust your mentee places in you.
9. Remember that your relationship is with the youth, not the
youths parent.
10. Remember that you are responsible for building the relationship.
In the study of Big Brothers Big Sisters, mentors who took these
approaches were the ones able to build a friendship and develop trust.
Section I: What Is a Successful Mentoring Relationship?
They were the mentors who were ultimately able to make a difference
in the lives of youth. The following pages say much more about each
of these mentor characteristics. The importance of each is illustrated
through the voices of actual mentors and young people talking to you
about their relationships and how they came to be.
We hope this guide will be a valuable resource to you as you move
through your mentoring relationship. Dont forget to also rely on your
mentoring programs staff for advice and support as you build trust,
understanding, and a new friendship with your mentee.
Learning to trust
especially for young people
who have already been let
down by adults in their lives
is a gradual process.
About the Research

Behind This Book
The P/PV research
discussed in this book
focused on Big Brothers
Big Sisters communitybased program models.
The advice and quotes in
this book are derived from
these community-based
programs. Mentors in
school-based settings (or
other environments, such
as worksites or churches)
may have other important
relationship characteristics
and strategies in addition to
those mentioned here. See
the companion guidebook
The ABCs of School-Based
Mentoring in this series for
additional information that
may be relevant to building
relationships in school
settings.
blank page
Section II.
The 10 Principles of
Effective Mentoring
Be a
friend
Mentors are usually described as friends. But what does that

mean? What makes someone a friend? One mentor talks about
friendship this way:
Im more a brother or a friend, I guess, than a parent or
anything. Thats the way I try to act and be with him. I dont
want him to thinkand I dont think he doesthat Im like
a teacher or a parent or something. I dont want him to be
uncomfortable, like Im going to be there always looking over
his shoulder and always there to report him for things he
does wrong and that he tells me. I just want to be there as
his friend to help him out.
The reality is that mentors have a unique role in the lives of
children and youth. They are like an ideal older sister or brother
someone who is a role model and can provide support and gentle
guidance. They are also like a peer, because they enjoy having fun
with their mentee. But they arent exactly either of these.
Sometimes it seems easier to talk about what mentors are by describing what they should not be:
Dont act like a parent. One of the things your mentee will
appreciate about you is that you are not his or her parent. However
much they love their parents, young people might sometimes see them
primarily as people who set rules and express disapproval. Youth need
other adults in their lives, but they are unlikely to warm to a friendship
with an unrelated adult who emphasizes these parental characteristics.
A mentor explains how he avoids acting like a parent:
A couple of times his mom has said, well, you know, I was
wondering if you could talk to Randy. He had some behav-
ior problem in school. And I just said to Randy, Hey, you

know, whats going on? and was just mostly light about it
because it was nothing really major. You dont want to turn
the kid off: Oh, you better this, this, and this. . . . Its not a
good idea to use the meetings for, Well, if you dont do this
then we dont meet type of thing. Thats like the worst thing
you could do because then hes being punished twice. Because usually the mother has something else that shes done
to punish him, you know, hes grounded or he cant watch
television. And then for me to say, Well, were not going to
meet because you dont know how to behave in school
theres no real correlation to us meeting and him behaving
in school.
Dont try to be an authority figure. It can be difficult for

a youth to befriend an unknown adult. You want to help the
relationship evolve into one of closeness and trustbut if you sound
like you think you know everything and you tell your mentee what to
do and how to act, you are likely to jeopardize your ability to build that
trust. If youth feel that they risk criticism when they talk to you about
something personal, they are unlikely to open up to you.
A mentor talks about being a friend: I remember being
raised as a kid. I dont think kids respond well to being
told, I want you to do this or else. I think kids arent
going to respond to that. I think you have to let kids talk
to you on their level, and when they feel comfortable
enough. . . . I said, Look, if you ever want to talk about
anything. . . . Well talk about your father. . . . If you ever
want to say something, like that your mother makes you
angry, Im not going to tell her anything. Ill just sit here and
listen.
Dont preach about values. Dont try to transform the mentee.

Take a hands-off approach when it comes to the explicit
transmission of values. And especially, hold back opinions or beliefs
that are in clear disagreement with those held by the youths family.
In general, young people do not like being told how they should think
or behaveand they are uncomfortable if they feel that their family
is being criticized. Preaching about values is likely to make it difficult
for you to build a trusting relationship. Dont preach; instead, teach
silently, by being a role model and setting an example.
A mentor describes the hands-off approach: I would
never correct her, you know. Because I just didnt think
that was part of my function. I feel very strongly that its
not one persons place to try to change another persons
values. My belief is that you cannot change other people.
Section II: The 10 Principles of Effective Mentoring
You can expose them to things and provide them with the
opportunity to change, but you cannot actually, physically
change them.
DO focus on establishing a bond, a feeling of attachment,

a sense of equality, and the mutual enjoyment of shared
time. These are all important qualities of a friendship.
A youth talks about her mentor and friend: Oh, its fun
because I never really had a sister. Its fun, its someone that,
you know, you can do things with besides your mother.
. . . Well, I dont really do anything with my mother because
we have like two separate things. She goes to work, I go to
school, she comes home and, you know, were just there. We
dont do anything. So this really gives me a chance to do
something with somebody I really like.
It can be a challenge for mentors to step outside traditional adultyouth authority roles. The successful mentors are the ones who can be
a positive adult role model while focusing on the bonding and fun of a
traditional friendship.
Have realistic goals

and expectations
What do you expect will change for your mentee as a result of his or
her relationship with you? How will life be different? How will it feel
different?
Strong mentoring relationships do lead to positive changes in youth.
These changes tend to occur indirectly, as a result of the close and
trusting relationship, and they often occur slowly over time. If you
expect to transform your mentees life after six months or a year of
meetings, you are going to be frustrated. The rewards of mentoring are,
most often, quieter and more subtle. As one mentoring researcher put
it, Mentoring may be more like the slow accumulation of pebbles that
sets off an avalanche than the baseball bat that propels a ball from the
stadium.2
Mentors might have specific goals for their mentees. They might, for
example, want the youth to attend school more regularly and earn
better grades. They might want him or her to improve classroom
2
Darling, N. (2005). Mentoring adolescents. In DuBois, D.L., & Karcher, M.J. (Eds.),
Handbook of youth mentoring. (p. 182). Thousand Oaks, CA: Sage.
behavior or get along better with peers. But these should not be the
primary targets of your efforts. If they areand if you spend your time
together trying to direct your mentee toward these goalsyou will
just seem like another parent or teacher.
Developing a trusting relationship can take time and patience. You are
unlikely to be able to achieve this trust if you approach the relationship
with narrow, specific goals aimed at changing your mentees behavior.
Instead, you can:
Focus on the whole person and his or her overall development. Do not focus narrowly on performance and change.
A mentor describes his goals for the relationship: I want
to provide my mentee with some stability in his life. I mean
I dont think hes had too much, just because of his family
life and his mothers changing jobs a lot and sometimes she
works days and sometimes she works nights. And I think it
would help him just to have somebody there thats going to
be there and help. Hopefully, I can provide different experiences for him too . . . things like going to a professional basketball game or things where he can get out and see whats
out there, because he doesnt get to do that much with his
family. And simple things, like one of the first times we went
out, we just went downtown to a park. And hed never been
there, and its just right downtown, he lives just a mile from
there, a few miles away from that. So its just things like getting out and seeing things and knowing whats going on.
Especially early on, center your goals on the relationship

itself. During the first months of meetings with your mentee, your
primary goal should be to develop a consistent, trusting, and mutually satisfying relationship. You are very likely to find that you derive a
sense of meaningful accomplishment from the relationship itself, from
the growing closeness and trust.
A mentor describes his satisfaction with the evolving
relationship: He started to open up to me a little more.
When were together, he initiates a lot more conversation
and stuff like that. . . . And I guess it does feel like, as
I wanted it to feel, more like a big brother/little brother
relationship instead of me being an authoritarian figure. I
dont want to feel like Im here and Im older than you, so
whatever I say goes. I dont want it to be like that.
Throughout the relationship, emphasize friendship over

performance. A strong mentoring friendship provides youth with
a sense of self-worth and the security of knowing that an adult is there
to help, if asked. This friendship is central, and it is eventually likely
to allow you to have some influence on your mentees behavior and

performance outside the relationship. As your relationship becomes
stronger and more established, your mentee may begin to approach
you with requests for more direct advice or help. If and when your
relationship reaches this stage, be sure to maintain a balance between
attempts to influence the youths behavior and your more primary goal
of being a supportive presence. Keep the focus on your friendship.
A boy describes how his mentors emphasis on performance has pushed him away: Kids dont really want to,
you know, listen to all that preaching and stuff. And then
its like: Are you done yet? Can I go now? I wouldnt mind
getting some advice on girls, you know, maybe he can share
a little bit of his knowledge. But I cant ask him about girls
because hed bring up school. Id probably figure he would
say, Well, first of all you dont need to be worrying about
girls right now, you need to worry about your grades, you
know. Im like, oh, brother.
Have fun
together
Young people often say that the best thing about having a mentor is
the chance to have fun, to have an adult friend with whom they can
share favorite activities. The opportunity to have fun is also one of the
great benefits of being a mentor. However, for some mentors, fun might
appear trivial in light of the scope and scale of unmet, pressing needs
that may be present in the lives of their mentee. Thus, it is important
to remember that fun is not trivialfor youth, having fun and sharing
it with an attentive adult carry great weight and a meaning beyond a
recreational outlet, a chance to blow off steam, or an opportunity to
play.
There are a number of reasons why you should focus on participating
in activities with your mentee that are fun for both of you:
Many youth involved in mentoring programs have few

opportunities for fun. Having fun breaks monotony, provides
time away from a tense home situation, or introduces them to experiences they would not otherwise have.
A youth talks about life: My mom doesnt usually stay at
our house, she usually stays with her boyfriend. So its like,
you know, what did you have kids for if youre not going to
pay any attention to them or whatever? . . . But I just say,
hey, my mom can do what she wants, I can stay home by

myself, it dont really matter. I dont have very many people
who stay with me. So Im usually home by myself now. .
. . I used to go home, stay in my room, watch TV all day
and never do nothing. And then when I started seeing my
mentor, its like, I dont know, I just changed. I like doing
things now. . . . You know, its like I never got to do those
kinds of things before.
A youth describes his enjoyment of new experiences
with his mentor: I get out of my neighborhood now and
get to go places. . . . I probably didnt see any movies before
I had him, and Ive seen about 100 movies now, which is
fun because I was never in a movie theater before. That was
exciting . . . Hes kind of made it easier for me to get around
to places, so Im not stuck in the house all the time when no
ones home.
Having fun together shows your mentee that you are reliable and committed. One mentor explains: To get kids to where
they know that you really care and can be trusted, you just have to
spend time with them and do things that they like to do. The observation is a good one. Youth see the adults interest in sharing fun as
a sign that the mentor cares about them. They experience a growing
sense of self-worth when their adult partner not only pays persistent,
positive attention to them, but also willingly joins them in activities
the youth describe as fun.
A youth speaks about feeling cared for: I think everybody
needs a mentor. I think it changes their life a whole lot for
the better. . . . With having someone I know that cares about
me or that would rather, you know, have fun . . . like going
somewhere with me or have fun being with me, then I think
a whole lot of people would feel better about their self and,
you know, be more confident in their self.
Focusing on fun activities early in the relationship can

lead to more serious activities later. As your mentee comes
to see you as a friend, he or she is likely to be far more receptive to
spending some of your time together in activities that are less obviously fun, such as working on school-related assignments. Always
be sure that these more serious activities are not forced upon the
youththat they are something your mentee seems agreeable to
doing. Also be sure that activities such as schoolwork sessions are kept
brief, and that they do not became the primary focus of your meetings
together.
10
A mentor talks about waiting: I wouldnt

want to do it in the first year of the relationship . . . just go to the library, and then
Burger King, and then go home. I dont think
thats fair to him. I just didnt think it was
the right way to start off, especially if hes
got behavioral problems and doesnt like
school, and then on weekends I cart him off
to the library. I dont think thats fun . . .
and its one of my original objectives to let
the kid be a kid again. But I think I can do
it now [spend some time doing educational
activities] because weve been together longer and I think he understands Im trying to
help.
A mentor describes how he keeps
schoolwork in perspective: Id say we
work on homework on average maybe every
two to three weeks.
Its not something to do every time because,
quite frankly, I get sick of it too. . . . When
we meet, I usually let him give his input, and
then depending on what our schedule is that
day, I can kind of work with him a little bit.
Its like, we get a negotiating thing going
well do homework for a half hour if we can
play football for a half hour.
And remember, it is always possible to weave
educational momentsreal-life learninginto the
most fun activities. This is the kind of learning that
youth tend to enjoyit is learning with an immediate
purpose and an immediate payoffand they often dont
even realize that they are learning. You can, for example,
encourage your mentee to figure out the rules of new
games, read road signs to help you figure out where
you are going, or do the math to see if the two of you
received the right amount of change for a purchase. One
mentor discovered bowling. Bowling is a great way to
teach addition, she says. Youve got to count the pins
and add the scores.
Having Fun Together in

the Community
How do youth and mentors spend their time
together in community-based programs? There
is an endless variety of activities matches can do
together. What is important is that the mentee
play a role in deciding on the activity, and that it
be fun. Here are a few suggestions:
Play games
Go to the movies and
discuss what you see
Play catch
Hang out and talk
Find interesting
information on the
Internet
Listen to music each

of you enjoys
Shop for food and
cook a meal
Walk around the mall
Play chess
Take photographs
together
Watch TV and talk

about what you see
Spend time together

doing nothing
Eat at a restaurant
Do homework
(although only
occasionally)
Go bowling
Shoot some hoops
Go to a baseball or
basketball game
Go to a museum
Go to a concert
Go to the library
Do gardening together
Read a book together
Do woodworking
together
Get involved in a
community service
project
Talk about your

first job
Write a story together
Give a tour of your

current job
Create artwork
together
Take a walk in the park
Have a picnic
Fly a kite
Go bargain hunting
Play miniature golf
Talk about the future
11
Give your mentee voice

and choice in deciding on
activities
Be sure that your mentee is a partner in the process of deciding what
activities you will do together. Giving your mentee voice and choice
about activities will:
Help build your friendship: It demonstrates that you value your
mentees ideas and input and that you care about and respect
her or him.
Q
Help your mentee develop decision-making and negotiation

skills.
Q
Help avoid the possibility that you will impose its-good-foryou activitieslike homework sessionson your mentee
without her or his agreement. This kind of imposition may make
you seem more like a teacher or parent than a friend.
It might seem like it would be relatively easy to include your mentee

in the decision-making process, but often it is not. Mentees might be
reticent about suggesting activities because:
They dont want to seem rude.
A girl speaks about her belief that she should agree to
everything: Well, I never have said where I want to go. She
makes plans for the day, and she asks if I want to go there. I
cant say no because I think that would be sort of rude to
say, No, I dont want to go there.
A youth explains her reluctance to suggest activities:
Well, I think, you know, that she should be able to decide.
She has the money and everything. . . . I dont want to, I
dont like to depend on people, like borrowing and all that
stuff.
It really is difficult for them to come up with ideas. Many youth
in mentoring programs have had little opportunity to travel outside their
neighborhoods and so do not know what the possibilities might be.
If it is difficult for your mentee to request activities or voice preferences,
you can use these approaches to make it easier:
Give a range of choices concerning possible activities. Be

sure the choices are youth-focusedbe sure your mentee will
enjoy the activities.
12
Mentors talk about presenting choices:

Most of the time, he wasnt really that forthcoming with
ideas of what to do. Wed sort of negotiate, but it was more
of me throwing out ideas and him either giving it the thumbs
up or the thumbs down.
_______
Sometimes we go back and forth: Oh, you decide! No,
you decide! That type of thing. But I usually like him to
decide because this is more for him than for me as far as Im
concerned. So I, you know, I usually ask him what he wants
to do and if he cant come up with something, I give him
suggestions.
_______
I dont care what we do. I suggest ideas, but it has to be
okay with my menteebecause hes sort of the boss and
these outings are for him.
Create an idea file together. One good activity to do

together is to make a list of activities you would like to do in the
future. You can write the list on a piece of paper (or on a computer and
then print it out), or use index cards and write one idea on each card.
This is a great strategy because the list or file will help both of you
when you are looking for ideas about activities you can do together.
Making an idea file together is also an important symbolic actit
reminds mentees that you care about their preferences and value their
input.
A mentor talks about creating an idea list: Early on,
we actually sat down and he made out a list of some things
that he thought would be fun to do. I found that was helpful
for me because that took some of the pressure off of me.
You know, trying to say, Well, jeez, what am I going to
do? What would a 10-year-old kid like to do? What are we
going to do this week? But kids are so creative if you just
put their minds to work. And he came up with a big list of
more than 20 things, no problem.
Listen. You can learn a lot about what might capture your mentees interest.
A mentor describes how he discovered what would be
fun for his mentee: At the beginning, in the feeling-out
stage, it was like, What do you like to do? What dont you
like to do? and just run through suggestions and listen.
And I think listening is the key. If you find out that he talks
a lot about hockey, well, lets see if we can get to a game or
13
try and find places you can ice skate. And if he talks a lot
about these martial arts things or video games or something
like that, you know, think about what kinds of things you
can do with video games or with something that he tends to
like a lot . . . where theres still interaction between the two
of you.
Emphasize to your mentee that her or his enjoyment is

important to you. If your mentee is extremely reticent and you
feel as though you have to play the lead role in choosing activities, you
can let him or her know you want the activities to be fun.
A mentor describes a simple act of reassurance: When
he cant decide, I suggest, but then every time I drop him off,
I ask him, Did you have fun? Because if you didnt, well
do something else.
If you show through your words and actions that you value your
mentees input, she or he is likely to notice, appreciate, and respond.
As one youth says: I can suggest whatever and well usually do that,
but I dont have too many ideas. Usually hell have something planned,
and hell see if it sounds good to me and usually it sounds fine and we
just do that . . . because he usually thinks of things that are real fun.
A potential challenge:
Once young people are comfortable enough to request activities, they
might make requests that are extravagant, such as frequent trips to
amusement parks and adventure centers they have seen advertised
on television or heard about from their friends. Even more modest
requestsfor movies, video arcades, or restaurantscan cost more
than you are comfortable paying, especially if the requests are made
week after week.
To address this issue, you can:
Negotiate. Particularly as your relationship develops, you are

likely to find times when you and your mentee are negotiating
about what activities you will do together. If you have a positive relationship, one where the mentee feels secure in your friendship and
support, this negotiation can be a valued aspect of the relationship
(particularly for teenagers) because it signals the presence of equality
between the two of you.
Youth talk about their enjoyment of negotiation:
We both decide things. Like if I want to do something, hell say
okay, and if he wants to do something, Ill either say yes or
no, or I dont like that, or something. But we never turn each
14
other down. . . . Nothing ever came between us to not work out

so well, weve been always working out things together, really
nothings been bothering us.
_______
Thats the best thing right there . . . because like if I want to do
something and shell want to do something else, like Ill say,
Okay, well do yours this weekend, and then shell say, Okay,
we can do yours next week. We compromise, thats the best word
for it; we compromise . . . and we both always end up having fun.
Feel comfortable about setting clear limits on the amount

of money you will spend. Extravagant requests are typical for
youth and especially understandable for youth from low-income families or other disadvantaged circumstances. Take the requests in stride.
You can negotiate with your mentee until the two of you find something that, while less costly, is still to the youths liking. Your mentee
will understand and will appreciate that her or his voice is still a factor
in deciding on activities.
[T]hink about what kinds

of things you can do . . . where
theres still interaction between the
two of you.
Be
positive
People who feel negatively about themselves tend to live down to their
own self-image. And youth who are matched with mentors usually
have a number of situations in their lives that are leading them to feel
exactly that way. They might, for example, have problems with a parent
or sibling, difficulties in school, conflicts with peers, or involvement
with the juvenile justice system. One of the most important things
you can do as a mentor is to help your mentee develop self-esteem and
self-confidence. Doing activities together provides many opportunities
for you to encourage your mentee to feel good about himself. You can:
15
Offer frequent expressions of direct confidence. Praise and

encouragement help build your mentees self-esteem (see sidebar
for suggestions).
Youth explain the importance of encouragement:
20 Ways To Say
Youre Great!
1. Terrific!
_______
2. Great idea.
3. You did a great job.

4. Im proud of you.
5. Fantastic!
6. You learned that fast!
7. I knew you could do it.
Be encouraging even when talking about potentially

troublesome topics, such as grades. Be supportive; dont
sound like you are criticizing.
so
A mentor describes how he deals with bad grades: When I
found out about a failing grade, I just said thats too bad. And I
asked if there was any way I could help. . . . Working on education is just stressing its importance, and then complimenting
him, just trying to pick him up if he feels down.
9. Exactly right!
10. Nice going.
11. Outstanding!
12. Will you show me how to
do that?
A youth talks about the importance of support: Well, I got

an F, and he said, man, you got any problems, you come to me
and Ill help you with your schoolwork. . . and well talk about
it, and then we keep sitting there talking and stuff and it just
makes me feel better.
13. Way to go!

14. Perfect!
15. Wonderful!
17. I know what you mean.

18. I hear what youre saying.
19. That was beautiful.
20. EXCELLENT!
Hes really a good person to talk to because he listens . . . and

hes a person, like, if I tell him I want to do something, he
encourages me.
8. Keep tryingyoull get it.
16. You get better at this all

the time.
Every time she tells me you can do good at this or whatever, it

makes me feel like she really cares and that I can really do it. If she
thinks I can do it, I can do it.
Offer concrete assistance. At times, your activities might

include helping your mentee with schoolwork, and this assistance
should
be given in a way that helps build his or her self-confidence.
sh
A mentor talks about helping: When he told me about
a bad grade, I kind of focused on his other grades firsthe
said that he had done a good job with the other ones. And
then I asked him if he wanted to do better in it, and then
I kind of asked him how he could do better. And it was
a pretty simple thing because he just didnt do a couple
reports. So we decided that, you know, the next ones he got
I would help him with them if he wanted. And we did that
twice. . . . Its like what can we do together to help with
this?
A youth talks about being helped: When I did my maps
in social studies, she helped me because I couldnt see it on
the page real good. And she took my page and she put a
typing piece of paper on it, and she clipped it with a paper
clip on top of the page and she laid it down right on top of
16
it, and I traced it. And she gave me some markers, pencils,
and stuff. And every time I had a map, she took me over her
house and every time I had a reportnot every time, but
when I had a reportshe took me over her dorm and we
typed it.
One of the most

important things you can do as
a mentor is to help your mentee
develop self-esteem and selfconfidence.
Let your mentee have much

of the control over what
the two of you talk aboutand
how you talk about it
Along with doing enjoyable activities together, listening and talking are
at the heart of your relationship with your mentee. The communication patterns you establish early on will be key to the relationships
development over time. Especially in the early, tentative phase of your
relationship, your mentee should have a high degree of control over
what the two of you talk aboutit is important to respect the limits
youth place on how much they choose to reveal about themselves.
Take the time and effort necessary for your mentee to develop trust in
you. While you know that your mentee should trust you, the reality is
that you have to earn the trust.
Following these approaches can help you earn that trust.
Dont push. It should come as no surprise to you that your

mentee, especially at first, may be shy and reluctant to talk, especially about difficult-to-reveal issues, such as problems in school or at
home. Be careful not to push your mentee to discuss issues that she or
he feels are too personal or might risk your disapproval.
17
Mentors talk about the importance of patience:

I knew that it was going to take her some time to loosen up, and
you just cant force somebody to trust you. You cant force somebody not to be shy . . . you have to just wait.
_______
I think hes still a bit shy in telling me things about, I dont know, I
could see him possibly talking to me about things like with his
dad, but the thing I keep remembering is that, you know, when I
was 12, that was hard to talk about. I mean its hard enough to
talk about it now, let alone then. And I dont want to put that
kind of pressure on him.
_______
It really has taken a while for her to show, to demonstrateand

shes really not demonstrative in lifebut she has really warmed
up in the last few months and thats been just really lovely. She
talks a lot more than she used to. And she talks spontaneously
now, which really thrills me. And she tells me things spontaneously. It used to be I would always have to initiate the conversation. And now she really initiates a lot of conversations when
were driving in the car and tells me a lot of things. Like she even
told me about a problem at home.
_______
Hes a very quiet boy, and so he doesnt say a great deal about
whats close to him. Only once in the year have we had what I
would consider to be a conversation that he was a little more open
about himself. Its not you dont have conversations about things
that are serious . . . he did talk about his father some, but not too
much. Hes just very quiet. My own opinion is thats not a great
surprise to me that a 10-year-old boy would take almost a year to
start talking about things like that, I mean at least a quiet one. He
definitely more routinely now talks about personal thingsI dont
mean great traumatic problems, but he will mention his father or
something like that from time to time. Neither one of us are idle
chat people. We may well get in the car to drive home and not
say anything till we get there. And I consider that to be perfectly
natural, as does he.
Be sensitive and responsive to your mentees cues. Follow

your mentees lead in determining what issues the two of you discuss and when.
Mentors talk about the importance of silence:
18
I wait for the invitation to give her advice on problemsIm

anxiously waiting, but [laughter]. Once in a while, shell ask what
I think about something, and Ill tell her. But if she doesnt ask my
opinion, I try to keep it to myself.
_______
When he doesnt talk and smile very much, then theres something
really bugging him, and I just ask him is something bothering you
. . . and he says no. I say you know you can blow off steam by
talking to me if you want to. And he usually willlater.
_______
You can tell sometimes they dont want to talk. Shes very good
sometimes when you get too close to home, changing the subject.
Thats what shell do. And usually when she does that, I just let
her do it.
Understand that young people vary in their styles of communicating and their habits of disclosure. Your own style of
drawing out and supporting disclosure from your mentee may, to a
large degree, determine the extent to which she or he feels comfortable
speaking to you about personal issues. But remember that other factors will also influence your mentees interest and ability in confiding.
These factors include the youths age, the amount of support available
to her or him from other people, and cultural or family predisposition.
Some youth open up only very slowly while some confide in their mentor just a few weeks or months into the match.
Youth explain their reticence:
Im shy, you know, its like I feel scared. I know I shouldnt be but I
am, you know. I dont tell her because, I mean its like I know she
could give me advice. I know I could talk to her about anything,
just like looking at her and knowing shes right there for me, like
I feel better, you know, like shes my friend. But its not the same
way as like my mother or my brother could, because its like they
know most of my friends, and she doesnt. If she knew more of my
friends, maybe I could talk more to her.
_______
I just keep that stuff [a cousins arrest for selling drugs] to myself.
I dont go out and tell nobody my family business; it just stays
in the family.
_______
Well, you know, I just dont really like talking about myself. Im
just one of those strange people.
_______
The first week, I was like real nervous and stuff; I didnt want to
say anything. Then like the second and third week and stuff, I was
19
real open to him. Just knowing him better made me feel like I could
talk to him.
_______
Its not that I dont trust her; its just sometimes I dont have that
much problems.
Be direct in letting your mentee know that she or he can

confide in you without fear of judgment or exposure. Having a mentor is probably a new form of relationship for the youth, who
thus does not know whether, and to what extent, she or he can trust
you. Make deliberate attempts to let your mentee know that you are a
safe person to talk to.
Mentors describe talking about trust:
The main thing at first was just gaining trust, that trust that she
would confide to me, that was important first. I had to let her
know that no matter what, she could tell me anything and Id
believe her and trust her and Id support her. I think thats what
these kids need. . . . I think it just takes a long time to build up a
trust. And shes always saying things like, dont tell my mom and
dont tell your boyfriend. And I say, Amanda, what you tell me is
between Amanda and me, nobody elses business.
_______
I reiterate the point that you can tell me anything, that, you know,
its between you and me. I said, Im not like your father. I said, Im
your brother; Im like a big brother to you. And I said, Im going to
steer you away from something thats bad, and I said but Im not
your dad, Im not going to punish you.
_______
Youth explain how important these statements are to them:
One time we went to a pizza restaurant and we were sitting down

and talking and she, you know, she was acting like a sister to me.
She told me I could come to her with anything. Any problems that
I had I could come and talk to her, you know, about anything, just
be open with her.
_______
When I first met him I didnt feel, you know, real, real comfortable
talking to him about things. But then once he told me I could talk
to him about everything, that made me feel better. I was more
comfortable telling him stuff once he told me that. It felt good
when I had something that I wanted to tell him, and he told me
that he wouldnt tell anybody else. That made me feel pretty good
because sometimes your friends say stuff like that but they tell
people anyway.
20
Remember that the activities you do together can become

a source of conversation. Whether you are playing catch
together or enjoying a snack after seeing a movie, having a conversation about the activity itself can help your mentee become more comfortable talking to you. This, in turn, can ultimately help your mentee
feel safe about making more personal disclosures.
Mentors talk about talking about activities:
My mentee is, as oftentimes is the case with kids, a little quiet, but
when we get involved in something, hell refer to something like, oh
this is something like we did in class or this is something like Ive
done before. And hell bring up subjects, and then it gives me a
chance to say something. Sometimes just sitting in the car we dont
say much. I say, hows school? Fine. Whats Mom doing today?
Um, dont know. . . . So you run out of conversation and when we
get into our events or our programs, it gives a little more chance to
communicate.
_______
Hes actually pretty quiet. Its funny, because he can shift from
being extremely quiet and kind of reticent to just going a mile a
minute on a topic. . . . I wouldnt say its easy for him to talk to
me, but its getting easier. As we have experienced more things
together, then we have things to talk aboutOh, remember we
went to the IMAX theater, or Wasnt that the place where we
threw the Frisbee?
Listen
When your mentee does begin to open up to you, how you respond
will serve to either promote or discourage his or her ongoing disclosure. One of the most valuable things you can do is to just listenit is
impossible to overemphasize the importance of being a great listener.
Just listening gives mentees a chance to vent and lets

them know that they can disclose personal matters to you
without worrying about being criticized. The process of venting
can also help them gain insight into whatever is bothering them.
Mentors talk about listening:
He has talked about a teacher who recently gave him a bad grade.
So basically, I just kind of listened to him sort of grouse about this
21
teacher. And in the same sentence, he was saying he was going to

clean up his act, too, because he had been like talking out. So I
didnt really, I mean, I didnt really add too much.
_______
If he came to me about an argument with his mother, I would give

him a chance to get it off his chest without giving him advice. . . . I
would let him talk it out. He might see where he was wrong. You
know, I would just let him get it off his chest.
When you listen, your mentee can see that you are a
friend, not an authority figure. Many youth appreciate being
able to bring up issues and having an adult who responds primarily by
listening. They recognize that listening is a form of emotional support,
and they may have few other sources of support in their lives.
Youth describe the feeling of being listened to:
Shes a great listener. I can tell her anything, and she just listens.
And you can tell that shes listening and not like shes going, mm
hm, mm hm, you know, like, Oh, yeah, what were you saying?
She listens and she goes, I used to do that when I was little. And
then like, you know, she tries to say dont worry about it. If you
need to call me, call me. And shes like real supporting, so I really
like her.
_______
I like it because theres no other man around the house and I like
his personality and what we do and just talking to someone, just
having someone to talk to besides your grandma. . . . Because,
before, when I got into fights with people and I didnt have any
friends, then I had one, him, I had someone to talk to . . . and
hes always been nice and he always listens to me.
Respect the trust your

mentee places in you
When your mentee does begin to talk to you about personal matters,
be supportive. If you respond by lecturing or expressing disapproval, he
or she is very likely to avoid mentioning personal matters in the future.
Instead of seeking support and help from you, your mentee might
become self-shielding by, for example, dodging conversations about
problems and hiding school or family difficulties.
22
To demonstrate that you are supportive and nonjudgmental, you can:
Respond in ways that show you see your mentees side of

things. This will encourage your mentee to continue sharing with
you things that he or she might normally keep from an adult.
A mentor talks about understanding his mentees point
of view: If he told me there was a teacher picking on him,
I would try to listen to his story first and make him know
that I believe his story. Because thats important with kids,
especially adolescents. . . . I think what happens is if you
right away say, oh, you know, its probably because you
did this or you might have done that, then they dont think
that youre on their side anymore and they put this wall up
and forget it. You know, they dont want to tell you another
thing. But if you give them the idea that youre in their corner, and even if you dont agree with what they did, youre
still in their corner, theyll understand they can keep telling
you things.
A youth talks about feeling understood: Like if you get
in trouble, if you cant talk to your mother, you can always
go to your mentor and work things out, too, because I know
hell listen to me . . . because I can tell when my mentor
listens to me because he understands what Im saying. And
like we can be face-to-face and hell say, well, hed been
through it too when he was young.
Reassure your mentee that you will be there for him or

her. Some youth may be reluctant to disclose things about themselves because they worry that their mentor will disapprove of them
and, as a result, disappear from their lives. This is a reasonable fear
for youth, especially those who have an absent parent and may feel
responsible for the parents leavingyouth often believe that they did
something to drive the parent away.
A mentor speaks about providing reassurance: He does
confide in me quite a bit. More than I thought he would
because theres a lot of trouble and hes got in fights and
such and suspended from school. One time we were just
talking and we were over at my house playing basketball
and he was having a good time. And then I think sort of in
the middle . . . things seemed to sort of go downhill for him.
I think he realized that he may have done something that I
may have thought less of him forI think he got in a fight
that time and was suspended. Anyway, I told him that I
was in this relationship for a long time, and he just broke
out and smiled. I think he felt, well, I really goofed now
23
this guy isnt going to like me, and I just happened to say the
right thing. And I really meant itand I didnt know how
to get that across so I just told him, I said, Id like to, you
know, Im interested to see you when youre 25 years old or
something; and hes 15 right now. So that to him, you know,
meant probably a lifetime.
If you give advice, give it sparingly. A mentors ability to give

advice will occur at different times and to varying degrees in relationships, depending upon the mentees receptivity and needs. In every
case, though, do not let advice-giving overshadow other ways of interacting and other types of conversation.
Mentors speak about keeping the focus on friendship:
Its been more of a fun relationship than anything. As far as advising him about anything, you know, maybe therell be a one-shot
advice thing here or there, but its not anything that we dwell on
for anything more than 30 seconds or less . . . not anything like,
Well, Marcus, I really think that this is important and we should
really work on it together.
If were doing something kind of fun, throwing the Frisbee, going to

a movie, or something like that, I might give a little advice about
something. Its more a friend kind of thing. . . . I dont want to
make this some kind of lecture series: Saturday afternoon lectures
with Joe.
If you give advice, be sure it is focused on identifying solutions. The situations for which youth most commonly seek advice
tend to involve arguments at home, struggles at school, and problems
with friends. If your mentee asks you for advice, he or she is most likely
looking for help with arriving at practical solutions for dealing with the
problem.
A youth talks about getting helpful advice: One time,
these three boys at school wanted to fight me, and my mentor helped me. . . . I forgot what he said, but he told me
something that was good . . . and I told my mom and she
said it was a good idea, and I told my grandmother and she
said it was a good idea, too.
If, on occasion, you feel you have to convey concern or

displeasure, do so in a way that also conveys reassurance
and acceptance. As your relationship develops into one of closeness
and trust, there might be times when your mentee discloses something
to you that causes real concern. As a supportive adult friend, you may
be able to express that concernbut deliver your message in a way
that also shows understanding.
24
A mentor describes how he responded when he learned

his mentee was suspended from school: Hes just looking
for himself right now and, you know, thats what I told him.
I said, I can identify with that. Im not saying youre right;
Im not saying youre wrong. Im just saying I know where
youre coming from. But Ill just tell you in the long run,
youre the one thats going to be hurt by this. He needs a
lot of strokes. I provide them. I tell him hes a good kid and
youre smarter than that. You dont browbeat him, you try
to lift him up.
Sound like a friend, not like a parent. Youth have a keen ear
for the difference.
Youth speak about what their mentors sound like:
He doesnt lecture me a lot. We more like goof around and talk

about funny stuff. He doesnt give me, like, you shouldnt be doing
this or that and the other. . . . I think he would probably give me
advice the way a friend would talk to me about it. Like I think he
would say like, well, try not to do that again because you might
get in trouble, something like that. A lecture would be more like
treating me like a little kid.
Yeah, its not like a parent lecture, so I guess its cool. Its like you
sit there and your moms like bawling you out and youre like
yeah, you know, youre sitting there and youre not really listening
to her, youre kind of like zoning out, you know. And every time
shes like, boom, oh yeah. You just sit there and shes like babbling
on, like yeah. But with your mentor, its like when youre talking
to your friends and theyre cranking on you, right, its like yeah, I
know, man, I gotta do this and I gotta get my act together. So it
doesnt really bother me.
Remember that your

relationship is with the
youth, not the youths parent
If you pick up your mentee at her or his home for your meetings
together, you will inevitably have some interaction with parents and
other family members. Many mentors in this situation have found that
it can be a considerable challenge to establish and maintain appropriate boundaries between themselves and the family. And even if you
25
meet with your mentee at a school or other location that is set by the
program where you volunteerwhich means you might not have any
direct contact with the parentsyour mentee will probably, at times,
talk about his or her family. Even in this less direct situation, there are
family boundaries you should be careful not to cross.
A mentors relationship with the youths family can be a crucial
factor in determining the success of a match. It could affect whether
your mentee perceives the relationship as meaningful and sees you
as a reliable ally and, ultimately, whether you and your mentee meet
frequently and over a long period of time. It is essential that you not
become involved in family issues.
In some cases, problems may be initiated by the mentees family. For
example, family members might try to involve the mentor in family
disputes, draw the mentor into providing discipline to the youth,
or attempt to have the mentor help in providing basic supports for
the youth, such as clothing. In other cases, the mentor might cause
problems by not respecting family boundaries. Mentors might, for
example, observe or hear of situations that they view as neglectful
or damaging parenting and want to intervene directly because they
believe it will help the youth.
Crossing any of these family boundaries can negatively affect your
ability to develop and maintain a supportive and trusting relationship
with your mentee. To avoid being drawn into family tensions, and to
ensure that you do not intrude yourself into the family, you should:
Maintain cordial but distant contact with family members.

Be friendly and polite. But keep to a minimum the amount of time
you spend in conversation with them about the youth or about other
family members. Try just to talk about activities you and your mentee
are doing together, or keep the discussions in the area of general chatting.
A mentor talks about maintaining distance: I guess I talk
to his mother almost every week because I wind up seeing
her. Like this morning, she bowls over here so I picked him
up at the bowling alley and shes usually there too. What
we talk about is just pretty much shell ask me, What are
you guys going to do today and when are you going to be
home, so she knows . . . that sort of thing. But on occasion,
if hes still bowling or something like that, the last five or 10
minutes, we just kind of chat.
A youth talks about her mentor and her mother: When
my mentor talks to my mom, its, well, you know, come in,
because like Ill not be totally ready. And they say hi, how
26
you doing, you know. Oh, so youre going to be doing this

today, oh, okay, that kind of a thing. I mean I dont think
that theyre supposed to really be talking, because its just
for me and her, you know, not my mom.
Keep your primary focus on the youth. Refrain from developing relationships with other members of your mentees family
they would compete with your relationship with your mentee.
Mentors talks about attempts of family members to intrude:
When we were first matched, her mom wanted to come along. She
went about it in a roundabout way. She would say, well theyre
having this, that, or the other thing, and I was wondering if we
could all go and that kind of thing. So it became very hard for me,
you know. She would volunteer to get tickets to the circus; that
was one of the things. So her mom and her sister and Lisa and I
went to the circus, but all the attention was on all the other family
members and Lisa just sort of faded into the background.
Whenever I went to pick up Jackie, the mom got in on the conversations, was nagging her while we were talking, interrupting us,
and kept trying to shift the focus onto her. I think shes one of these
really needy people that needs attention so shes trying to get it
from wherever she can.
Resist any efforts by the family to extract help beyond

providing friendship for the youth. Do not allow your mentees parent(s) to influence you into disciplining the youth or lecturing
your mentee about his or her behavior at home or school. In joining
with the parent in this way, you would be taking on a parental role
yourself. In addition, do not allow family members to draw you into
their problems or disputes. Resist any desire you might have to intervene with the family. If there is a problem in the family that seems to
require outside services, contact program staff so they can deal with
the issue. Also, do not hesitate to contact program staff about any difficulties you are having with the family and to ask them to talk to the
family about your role.
A mentor describes turning to program staff for help: I
had to contact my match supervisor because there was just
too much tension and I couldnt deal with it anymore. And
I said, You know, we need to address this issue and get this
thing out in the air. Its probably better that you deal with
it. And you know, once she talked to the mom everything
was a lot better. I mean because every time Id come I could
sense friction. I dont like to feel uncomfortable that way.
27
Be nonjudgmental about the family. Both in interactions

with your mentees family and in conversations with your mentee
about them, do not be judgmental. If your mentee complains or vents
about his or her parents, provide support and, if appropriate, help your
mentee find ways to deal with the problems, but refrain from commenting in ways that disparage the youths family. Finding a response
that simultaneously conveys understanding of your mentees difficulties with parents, and implies little or no criticism, can be a challenge.
But criticizing a parenteven if you believe you are only agreeing with
the youths criticismputs your mentee in an awkward and embarrassing position. The key is to listen without judgment and to assure
the youth of your empathy and caring.
Mentors talk about being careful not to criticize parents:
When she gives me information about her mother, I have a hard

time discussing it with her, only because of the fact that I cant
put her mother down, because thats not right, as well as I dont
have a lot of knowledge in that type of environment or that type
of situation that her mother is going through. So its more of a
listening and trying to draw out from her how she feels.
_______
A couple of times, I picked her up and shes just been with her
mom on the weekend, its been a bad weekend, you know, real
bad. Shell be, you know, I have to talk her through it. And thats
hard to do without saying horrible things about her mother. Plus
I get her dad calling and saying horrible things about the mother,
and Im like, look, thats not my job. And I cant say anything bad
about her mom, I cant.
Finally, do not talk to the family about anything your mentee has disclosed to youand do not talk to your mentee about things that family members might say about her or him. Remaining outside of the familyand outside of the family dynamicsis essential if you are going
to protect your mentees trust in you and be able to provide support.3
Be sure to ask program staff for additional guidance on dealing with serious family
issues that come up in talks with your mentee.
28
10
Remember that you are

responsible for building
the relationship
Building a relationship cannot be rushed. During the early period, when
you and your mentee are getting to know one another, you may have
to be particularly patient and persistent as you work to establish the
foundation of a meaningful friendship, one that could ultimately help
lead to positive changes in your mentees life. At first, the relationship
might seem one-sidedyou might feel like you are putting out all the
effort while your mentee seems passive or indifferent. Remember that
this is the time when young people are going to be at their shyest and
most reticent, because they do not yet know you. It is also the time
when they may be testing you, because they could have limited reason
to believe that adults can, in fact, be reliable and trustworthy.
To help build, and then maintain, the foundation of a trusting
relationship, you should:
Take responsibility for making and maintaining contact.

Having regular meetings with your mentee is essential if you are
going to be able to develop a strong relationship. You are the adult and
must be responsible for being sure that the two of you meet regularly.
If you are meeting with your mentee on a prearranged schedule at a
school or other designated location, maintaining contact might not
be a problem. But if you are in a program where you and your mentee
schedule each meeting, decide where you will meet and what you will
do together, you may find that your mentee does not return phone
calls or behaves in other ways that make it difficult to schedule meetings. If you expect the youth to contact you, it is very likely you are
going to feel disappointed and frustrated, and it also means that you
very likely will not be meeting consistently. Be understandingconsider the situation from your mentees point of view.
A mentor describes the early months: It was basically
me initiating a lot of the calls, which I have no problem
with. That doesnt bother me because I know how kids are
when it comes to that kind of stuff.
As your relationship develops, your mentee might, at times, initiate
contactand that could be one indication that your relationship has
evolved into a real friendship.
29
Understand that the feedback and reassurance characteristics of adult-to-adult relationships are often beyond
the capacity of youth. At times, some mentors feel unappreciated
because they get little or no positive feedback from their mentee. They
may interpret this as meaning that their mentee does not care about
seeing them. But the fact that youth are reticent does not mean they
are indifferent.
A mentor describes her frustration and eventual understanding: One time that was kind of strained was when we
were going to make tie-dye stuff and so we went to Target
and got a bunch of plain t-shirts and a bunch of plain socks
and went over to my house and, you know, we were doing
it and it was fun, but she just never talked. So it was just
kind of like, okay, you know, it was frustrating. But I didnt
say anything about it. I mean I knew that it was going to
take her some time to loosen up and you just cant force
somebody to trust you, and you cant force somebody not to
be shyyou have to just wait. Its kind of a grown-up thing
to be able to say, Gee, I really appreciate that. Because in
a way, you know, when youre a kid you kind of expect it,
which is fine.
In some cases, mentors talk to program staff to find out how the youth
feels about the relationship and to get reassurance that the youth is
enjoying their time together.
And in all cases, mentors can allow themselves to recognize and
appreciate the quiet moments that indicate they are making a
difference. As one mentor explains:
You know, Lisa being Lisa, you dont get that feedback in
words, but you drive up and the kid is standing there and as
soon as she sees you she smiles.
30
Some Questions To Consider

1. Think about yourself when you were the same age as your mentee. Was there
an adult (other than a parent) whom you especially enjoyed spending time with?
What were the qualities of that person that made him or her special to you?
2. What are three or four qualities you have that are going to help you be a great
mentor?
3. Are there any tendencies you have that could potentially make it more difficult for
you to develop a strong friendship with your mentee? (For example, do you like
to talk a lot more than you like to listen?) What will you do to overcome those
tendencies?
4. Think about the moment when you are going to meet your mentee for the first
time. How do you think she or he will feel? What do you imagine she or he will be
thinking?
5. Imagine you have just told an acquaintance that you have become a mentor. That
person says to you, What is a mentor? What would you say? How would you
describe your role?
31
HANDOUT
The Mentoring Relationship Cycle

Mentors have an easier time getting through trouble spots in their mentoring relationships if they understand the basics of the typical match life cycle. All matches go
through a similar set of ups and downs and you will have an easier time working with
your mentee and getting appropriate support from staff if you know what to expect.
The four main stages of mentoring relationships are:
1. The beginning
2. Challenging and testing
3. Real mentoring
4. Transition (toward closure)
The first two stages are critical as they lay the foundation for what the relationship will
eventually become. If mentors are to be successful, they need to work through the difficulties presented early on so that the match gets to a place of trust and mutuality where
real mentoring can take place. The chart on the next page offers examples of what
these stages feel like for mentors and tips for communicating effectively throughout each
stages ups and downs.
This information on the relationship cycle was not derived from the P/PV study of
Big Brothers Big Sisters. The mentor relationship cycle material was adapted, with
permission, from:
32
Mentoring Resource Center. (2006). Overcoming relationship pitfalls. Mentoring

Fact Sheet, 10.
Rummell, C. (2006). Effective communication in the mentor/mentee relationship

cycle. In A. Cannata (Ed.) Ongoing training for mentors: 12 interactive sessions
for U.S. Department of Education mentoring programs (pp. 1722). Folsom, CA:
Mentoring Resource Center.
HANDOUT
Stages of a Mentoring Relationship

Stage
Beginning of the Match
The beginning of any relationship is often
awkward, and mentoring relationships are no
exception. Your first few months will focus
on getting to know each other, exploring
similar interests, discussing expectations,
and starting to form norms and bonds that
will shape the rest of your first year together.
During this phase mentors should work
with their mentees to set parameters for the
match, such as when to meet and for how
long, what kinds of activities will take place,
and how to contact each other.
Challenging and Testing

Once the mentoring relationship is off
the ground, it is normal for your mentee
to start testing boundaries of the relationship. Though youve spent time affirming that you appreciate and enjoy your
mentee, he may still want to see how far
your commitment really goes. Because
mentees often come from situations in
which adults cant always be relied on,
trusting another adult is difficult for them,
and they may even try to sabotage the
relationship by acting out.
Real Mentoring
In this stage, the mentoring relationship
has reached full maturity. Trust and closeness have been established and the match is
comfortable having fun and relating to one
another. It is during this phase that mentors
can use the trust they have built to move
their mentees along the developmental pathwayasking them to think about goals or
try new things. There may still be testing or
behavioral issues, but they do not jeopardize
the relationship itself. Mentors that reach
this stage must be prepared to maintain
this hard-won statusthis is where the real
impact of mentoring happens.
Effective
Communication
Characteristics
Q
Q
Q
Getting to know each other

The first impressions
Trying to see the positive in
the relationship
Bonding
Q
Q
Q
Q
Q
Q
Mentee challenges
Testing phase
Rethinking first impressions
Difficult feelings or emotions
may surface
Preparing for closure

Relationship may become
deeper or mentee may start
pulling away
Ask open-ended questions

Use body language that is
open and not guarded
Active listening
Demonstrate empathy
Avoid prescriptive communication
Use prompts
Speak with language that
you feel comfortable with
Dont be afraid of silence
Be consistent in your communication, even if it is

difficult
Demonstrate respect
Build in problem-solving
techniques in your openended questions
Raise sensitive issues at the

beginning of your interactions
Make sure to separate

behaviors from who the
mentee is
Disclosure of personal feelings and experiences when

appropriate
Find common language to

sum up your feelings
Provide feedback that

describes growth that you
observed
Be prepared to listen and

affirm fears that your mentee
may have
Reflection
Continued on next page.
33
Handout continued, 2 of 2
Stage
Transition (toward closure)
The transition toward closure can be a
difficult time for both mentors and youth.
There may be many strong feelings about
the match ending and it is important to not
let the process of ending the match negate
the many positives it provided to everyone
involved. As the end of your match
approaches, work closely with your match
supervisor to end on a high note and make
sure that the transition leaves the youth
feeling positive and fulfilled about the
experience.
34
Effective
Communication
Characteristics
Q
Q
Preparing for closure

Relationship may become
deeper or mentee may start
pulling away
Find common language to

sum up your feelings
Provide feedback that

describes growth that you
observed
Be prepared to listen and

affirm fears that your mentee
may have
Reflection
Additional Reading
The following resources all contain additional information and strategies for mentoring
youth that you may find beneficial as your mentoring relationship progresses.
Cannata, A. (Ed.) (2006). Ongoing training for mentors: 12 interactive sessions for
U.S. Department of Education mentoring programs. Folsom, CA: Mentoring Resource
Center. Available online at:
http://www.edmentoring.org/pubs/ongoing_training.pdf
Cannata, A., & Garringer, M. (2006). Preparing participants for mentoring: The U.S.
Department of Education mentoring programs guide to initial training of
volunteers, youth, and parents. Mentoring Resource Center. Available online at:
http://www.edmentoring.org/pubs/training.pdf
Klapperich, C. (2002). Mentoring answer book. McHenry, IL: Big Brothers Big Sisters of
McHenry County. Available for purchase at:
http://www.mentoringanswerbook.com/
MENTOR/National Mentoring Partnership (n.d.) Learn to mentor (online training).
Alexandria, VA: Author. Available online at:
http://apps.mentoring.org/training/TMT/index.adp
Mentoring Partnership of Minnesota. (2007). Tools for mentoring adolescents (series
of fact sheets). Minneapolis, MN: Author. Available online at:
http://www.mentoringworks.org/Training_Institute_Tools_and_Resources.html
Mentoring Resource Center. (2006). Overcoming relationship
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http://www.edmentoring.org/pubs/factsheet10.pdf
Morrow, K.V., & Styles, M.B. (1995). Building relationships with youth in program
settings: A study of Big Brothers/Big Sisters. Philadelphia: Public/Private Ventures.
Available online at:
http://www.ppv.org/ppv/publications/assets/41_publication.pdf
North, D. (2000). Responsible mentoring: Talking about drugs, sex, and other difficult
issues. Folsom, CA: EMT Associates. Available online at:
http://emt.org/userfiles/RespMentoringBooklet.pdf
Probst, K. (2006). Mentoring for meaningful results: Asset-building tips, tools, and
activities for youth and adults. Minneapolis, MN: Search Institute. Available for
purchase at:
http://www.search-institute.org/catalog/productphp?productid=16424
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Rhodes, J.E. (2002). Stand by me: The risks and rewards of mentoring todays youth.
Cambridge, MA: Harvard University Press.
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to do together during the elementary school years. Hartford, CT: Governors Prevention
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Weinberger, S.G. (2001). My mentor and me: The high school years. 36 activities and
strategies for mentors and mentees to do together during the high school years. Hartford,
CT: Governors Prevention Partnership, Connecticut Mentoring Partnership. Available
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Weinberger, S.G. (2003). My mentor and me: The middle school years. 36 activities and
strategies for mentors and mentees to do together during the middle yearsincluding tips
for talking about bullying. Hartford, CT: Governors Prevention Partnership, Connecticut
Mentoring Partnership. Available for purchase at:
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Forging
Partnerships
Building
Relationships
Aboriginal Canadians and
Energy Development
Report to the Prime Minister
By Douglas R. Eyford
LETTER TO THE PRIME MINISTER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

EXECU TIVE SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
ENVI RO N M E N TA L C ON SIDE RAT IO N S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
EMPLOYM E N T, B U SIN E SS, A N D FI N AN C I AL O P P O RT U N I T I E S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
CROWN -A B O RIG IN A L RE L AT ION S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
THEM E S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
THE E C O N OM IC C ON T E X T . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 0
BUILDING TRUST . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2
CON ST RU C T IV E D IA LO G U E O N E N E R GY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2
COMM IT M E N T TO E N V IRON M E N TAL S U STAI N AB I L I T Y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 4
UNDE RSTA N D IN G A N D PA RT IC IPAT I N G I N P I P E L I N E AN D
MA RIN E SA FE T Y SYST E M S .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 5
FOSTERING INCLUSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 2
ACHIE V IN G E M PLOYM E N T A N D B U S I N E S S O P P O RT U N I T I E S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 2
COLLA B ORAT ION S TO AC H IE V E BE T T E R O U TC O ME S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 8
A BOR IG IN A L FIN A N C IA L PA RT IC IPAT I O N .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 9
ADVANCING RECONCILIATION .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2
CON SU LTAT ION A N D E N GAG E M E N T . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2
RECO N C IL IAT IO N IN IT IAT IV E S .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 8
FACI L ITAT IN G T H E RE SOLU T IO N O F S H AR E D T E R R I TO R I E S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 9
TAKING ACTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2
CROWN -FIRST N AT IO N S T RIPA RT I T E E N E R GY WO R KI N G G R O U P . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2
INTE RN A L FE DE RA L IN IT IAT IV E S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 3
SUMMARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 5
APPENDIX A MANDATE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 6
APPENDIX B PROPOSED PROJECTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 7
APPENDIX C CONSOLIDATED LIST OF RECOMMENDATIONS . . . . . . . . . . . . . . . . 5 1
F O R G I N G PA R T N E R S H I P S B U I L D I N G R E L AT I O N S H I P S / 1
L ETTER TO THE PRIM E M IN IST E R

29 November 2013
Dear Prime Minister:
RE: Report on West Coast Energy Infrastructure
Enclosed for delivery is my final report, Forging Partnerships, Building Relationships:
Aboriginal Canadians and Energy Development.
I am grateful for the opportunity to contribute to the discussion about Crown-Aboriginal
relations in the context of the west coast energy infrastructure projects. This is an
opportunity for Canada and Aboriginal communities in Alberta and British Columbia
to constructively address and reconcile their respective interests.
Key observations include:
Canada and Aboriginal communities need to build effective relationships

and this is best achieved through sustained engagement;
Aboriginal communities view natural resource development as linked to
a broader reconciliation agenda;
Aboriginal communities will consider supporting natural resource development
if it is undertaken in an environmentally sustainable manner; and
these projects would contribute to improving the socio-economic conditions
of Aboriginal communities.
Progress requires leadership, commitment, and action by governments, Aboriginal

communities, and industry. I am optimistic that collaborative efforts by each of the
parties can advance their respective interests.
I trust this report will be helpful in your governments deliberations.
Yours truly,
Douglas R. Eyford
Executive
Summary
On 25 March 2013, I accepted an appointment as
Canadas special federal representative on west
coast energy infrastructure to identify approaches
that could meet Canadas goals of expanding
energy markets and increasing Aboriginal
participation in the economy. I was asked to identify
Aboriginal interests in and opportunities related to
the development of west coast energy projects.
Energy represents 25% of Canadas total exports.
At present, Canada depends almost entirely on
the United States market for our energy exports.
Global demand for oil and natural gas is increasing,
and if Canada is to capitalize on this immediate
opportunity, it would need to construct pipelines
and terminals to deliver oil and natural gas
to tidewater.
Aboriginal communities hold constitutionally protected rights. The law requires potential
impacts on those rights to be taken into account in project development. The failure
to do so may result in projects being delayed or not proceeding.
Over the past eight months, I met many representatives from Aboriginal communities,
industry, and local and provincial governments, and heard their perspectives.
Aboriginal Canadians understand the value of the proposed energy projects to their
communities. However, they emphasize that environmental sustainability and prevention
of significant environmental harm are necessary conditions for their support; conditions
that many believe will not be met. Aboriginal Canadians also expect long-term economic
benefits for their communities and a meaningful role in project-related activities including
environmental monitoring and protection.
Industry understands the necessity of working with Aboriginal communities to meet
mutual interests. Project proponents described the substantive steps they are taking
to address environmental concerns and include Aboriginal Canadians in employment
and business opportunities. Industry views Canada as having a role in addressing matters
that go beyond project-specific proposals and regulatory reviews, such as improving
educational outcomes, preparing Aboriginal people to be job ready, and addressing
unresolved Aboriginal rights and title claims in British Columbia.
The governments of Alberta and British Columbia both highlighted the need for
Canada to collaborate with them on flexible and innovative approaches to address
Aboriginal issues.
Three themes emerged during my engagement. Canada must take decisive steps
to build trust with Aboriginal Canadians, to foster their inclusion into the economy,
and to advance the reconciliation of Aboriginal people and non-Aboriginal people
in Canadian society.
In the context of west coast energy projects, I have made recommendations

in each of these areas.
Building Trust identifies the efforts needed to establish constructive dialogue
about energy development, to demonstrate commitment to environmental
sustainability, and to enhance understanding of and participation in pipeline
and marine safety.
Fostering Inclusion proposes focused efforts to realize Aboriginal employment
and business opportunities, to establish collaborations among Aboriginal
communities that allow for better outcomes, and to facilitate the financial
participation of Aboriginal communities in energy projects.
Advancing Reconciliation recommends targeted efforts to build effective
relationships including refinements to Canadas current approach to consultation
and engagement, to explore mutually beneficial initiatives that support
reconciliation, and to encourage Aboriginal communities to resolve shared
territory issues.
Taking Action recommends the establishment of a Crown-First Nations tripartite
energy working group to create an open and sustained dialogue and action
on energy projects. I have also identified a need for Canada to build its internal
capacity and to adopt an integrated approach to address Aboriginal interests
in relation to west coast energy projects.
This report comes at a critical juncture in the relationship between governments and
Aboriginal Canadians, and also in the development of west coast energy infrastructure.
Both are works in progress, with many unresolved issues. My recommendations serve
as a challenge to the parties to work together more effectively and to take collaborative
steps to realize the opportunities these projects present. Commitments from governments,
Aboriginal leaders, and industry are required to translate these recommendations into
concrete actions. Canada, as the senior level of government, needs to assert leadership
to achieve these objectives.
Social and economic gaps between Aboriginal and other Canadians remain. Aboriginal
participation in the proposed projects provides one opportunity to help close this gap.
There has not been a constructive dialogue about energy projects. Aboriginal leaders
are prepared to engage and Canada will need to address issues on their agenda.
We are all presented with a choice: to maintain the status quo or embrace the opportunities and potential offered by a different path. The people I met have expressed an
interest in working together to move forward which leads me to believe progress can
be achieved.
Introduction
I NTRODUCTION
On 25 March 2013, I accepted an appointment as Canadas special federal representative
on west coast energy infrastructure to identify approaches to meet Canadas goals of
expanding energy markets and increasing Aboriginal 1 participation in the economy.
My mandate identifies four areas of enquiry about several proposed oil and natural
gas projects in Alberta and British Columbia. I have been asked to report on:

how those projects would affect Aboriginal interests;

Aboriginal interest in pipeline and marine safety initiatives;
options to create employment and business opportunities
for Aboriginal Canadians; and
the environmental and socio-economic factors that may
affect Aboriginal participation in the projects.
My mandate is attached at Appendix A.

I travelled across Alberta and British Columbia to meet representatives of Aboriginal
communities and organizations, industry, and provincial and local governments. I met
with over 80 groups. The energy infrastructure projects that were the subject of discussion
include two proposed oil pipelines Enbridge Inc.s Northern Gateway Pipeline and the
expansion of Kinder Morgan, Inc.s existing Trans Mountain Pipeline several proposed
natural gas pipelines and related upstream developments, and the development of
liquefied natural gas (LNG) facilities in Kitimat and Prince Rupert. These proposed
projects are referred to collectively throughout the report as the Projects. A complete
list is included as Appendix B.
My discussions have not been part of Crown consultation for any of the Projects.
I have focused my attention on factors affecting Aboriginal participation in project
development, and in this report outline collaborative steps that can be taken by Canada,2
Aboriginal communities, the provinces of Alberta and British Columbia, and industry to
address common interests and avoid conflict and confrontation.
Summarized following are key messages delivered by Aboriginal groups, the governments
of Alberta and British Columbia, and industry.
1 The term Aboriginal is used throughout this report to denote First Nations, Mtis, and other Aboriginal people
in Alberta and British Columbia.
2 The Government of Canada is identified throughout this report as Canada.
ENVIRONMENTAL CONSIDERATIONS
There is a range of views among Aboriginal groups about the Projects. Most Aboriginal
representatives delivered a clear message that their communities understand the value
and opportunities associated with economic development. However, they contend that
developments must be environmentally sustainable and undertaken in a manner that
acknowledges the constitutionally protected rights of Aboriginal peoples.
Some Aboriginal groups do not support the Projects because they consider the transportation of oil and natural gas by pipelines and tankers to be both intrusive and dangerous,
and feel that industry and governments cannot guarantee there will never be an accident.
Other Aboriginal groups accept the inevitability of resource development in their traditional territories, but insist that substantial efforts be made to manage environmental risks and
to involve them in project planning and decision making.
Aboriginal communities argue that the legislative changes associated with Canadas
Responsible Resource Development initiative 3 have eroded environmental protection
measures and were made to facilitate project development. At the same time, few
Aboriginal groups were aware of Canadas appointment of a tanker safety expert panel
to review ship-source oil spill preparedness and response. Similarly, recent initiatives
to strengthen the regulatory framework for pipelines under federal jurisdiction have
gone largely unnoticed.
Aboriginal representatives have expressed an interest in participating in partnership
with Canada and industry to direct research and publish objective scientific information
about pipeline and marine-related risks, the impact of spills on the terrestrial and marine
environments, oil clean-up technologies, and the effect of vessel traffic on the marine
environment and coastal communities.
3 See http://actionplan.gc.ca/en/initiative/responsible-resource-development.
Aboriginal groups and industry urge governments to engage in land and marine
use planning on a regional basis to identify and manage the cumulative effects
of industrialization, urbanization, and Project development.
EMPLOYMENT, BUSINESS, AND FINANCIAL OPPORTUNITIES
If poverty is the only lifestyle you know, it is very difficult to realize there is a way
out. Any band member who is watching development and wealth generation in his
territory without having an opportunity to be a part of it is going to grow resentful.
Ellis Ross, Chief Councillor, Haisla Nation, Economic Opportunity Ends First Nation Culture
of Dependence, Vancouver Sun, 20 November 2013.
Aboriginal groups are far from uniform and each has its own opportunities, challenges,
and constraints. Many are integrated in regional economies. Others are not. However,
all Aboriginal Canadians want to share in the wealth and prosperity of this country.
The Projects offer skills training, employment, business opportunities, and financial
benefits. Aboriginal groups emphasize the importance of long-term employment and
business opportunities for their members.
Industry has demonstrated that it is prepared to invest in Aboriginal communities to
develop a capable and educated workforce and seeks a greater commitment from
governments to achieve these goals.
Governments, industry, and Aboriginal groups agree there is a need to coordinate
efforts to ensure the transformative opportunities offered by the Projects are not lost.
CROWN-ABORIGINAL RELATIONS
Aboriginal representatives contend that Canada has neglected relationship building

with their communities and needs to better address Aboriginal interests. Recent
engagement meetings between federal ministers, deputy ministers, and Aboriginal
leaders in British Columbia were viewed positively, but those efforts must continue.
Aboriginal communities remain cautious and require Canada to continue to demonstrate
its commitment to improving the relationship.
Given the pace and breadth of developments in Alberta and British Columbia, and the
corresponding consultation demands placed on Aboriginal communities, many are facing
process fatigue. They are also encountering challenges in terms of their capacity to
participate in project assessments and reviews.
Industry understands, perhaps more directly than governments, that Projects may be
placed at risk if Aboriginal and treaty rights are not addressed. Industry questions why
Canada is not doing more to address unresolved Aboriginal rights claims in British
Columbia, and why it does not engage with Aboriginal groups on project development
in advance of or outside regulatory processes. Industry also seeks greater federal
attention to the issue of overlapping territorial claims in British Columbia.
The governments of Alberta and British Columbia have observed that Canada could
do more to collaboratively address Aboriginal issues in their respective provinces. Both
provinces have a sustained, on-the-ground presence in Aboriginal communities and are
able to demonstrate flexible and innovative approaches to managing Aboriginal and treaty
rights. They perceive the federal system as comparatively leaden or indifferent and are
working together, without Canada, on matters within federal jurisdiction.4
THEMES
The Projects provide Canada and Aboriginal communities in Alberta and British Columbia
with an opportunity to re-set the relationship. However, the Projects are time-sensitive,
and important opportunities will be missed if relations continue on their current course.
Ultimately, it is through negotiated settlements, with good faith and give and take
on all sides, reinforced by judgments of this Court, that we will achieve a basic
purpose of s. 35(1) the reconciliation of the pre-existence of aboriginal societies
with the sovereignty of the Crown. Let us face it, we are all here to stay.
Lamer C.J., Delgamuukw v. British Columbia, [1997] 3 S.C.R. 1010.
National Chief Shawn A-in-chut Atleo of the Assembly of First Nations has mapped a
path forward for governments and Aboriginal groups in relation to economic development.
In a recent speech to the Vancouver Board of Trade, he proposed three initiatives to build
Crown-Aboriginal relationships and avoid lost opportunities:

empower Aboriginal communities through capacity support, socio-economic

measures, and access to capital;
engage in environmental planning that incorporates Aboriginal knowledge
and principles; and
facilitate shared decision making that is inclusive and accountable.5
Mr. Atleo has identified a constructive framework for dialogue and action.
I have outlined three themes that help focus action: building trust, fostering inclusion, and
advancing reconciliation. In the section entitled Taking Action, I identify steps that Canada
should implement to address Aboriginal issues about the Projects. It is critical for Canada
to become more involved and demonstrate leadership in its relations with Aboriginal
groups, industry, and provincial governments.
4 Premiers Redford and Clark announced the appointment of an Alberta-British Columbia deputy ministers working group in
July 2013. The working group is mandated to develop recommendations about energy exports and is reviewing issues relating to marine spill response, shipments of bitumen by rail, port infrastructure development, and the economic, environmental,
and social impacts of pipeline and rail transportation. The working group is to complete its final report by 31 December 2013.
Canada and British Columbia have recently established a joint working group to address LNG development.
Canada and British Columbia are also working together on pipeline safety and spill response, and are consulting on
marine safety issues.
5 Resources, Risks and Responsibilities: A First Nations Perspective on Canadas Resource Agenda, 27 September 2013.
THE ECONOMIC CONTEXT
Canada can no longer rely on the view that our neighbour to the south will always
be a willing buyer of Canadian energy commodities. In addition, because we do not
have access to diversified markets for our energy products, we cannot command
the highest international prices. As a result, it is estimated by the Pacific Economic
Cooperation Council that Canada loses $28 billion in revenues from oil sales alone.
The Standing Senate Committee on Energy, the Environment and Natural Resources, Now or Never,
Canada Must Act Urgently to Seize its Place in the New Energy World Order, 2012.
Canada is the fifth largest oil and natural gas producer in the world, with the third largest
proven oil reserves. Energy exports are an important component of our economy, totalling
$110 billion in 2012, which represented approximately 6% of Canadas total gross domestic
product and roughly 25% of total exports.6
International energy markets are shifting rapidly, and this has major consequences for
Canada. While virtually all of our petroleum exports currently go to the United States
(the U.S.) 99% of crude oil and 100% of natural gas the U.S. is developing new
domestic supplies of oil and natural gas that are anticipated to replace Canadian exports.
Because of Canadas reliance on the U.S. market, and transportation bottlenecks in the
delivery of oil and natural gas to that country, Canadian producers receive significantly
less for their products than they would if they could access global markets. At the same
time, global energy demand is expected to increase by a third by 2035, with developing
countries accounting for 90% of that increase, led by China and India.7
These anticipated global trends mean declining U.S. demand for Canadian oil and natural
gas and rapidly expanding opportunities for energy exports overseas, particularly in Asia.8
Canadas existing export market for natural gas will largely disappear over the next few
years as the U.S. becomes a net exporter. Global demand for LNG is growing quickly, and
world trade in LNG is projected to almost double by 2040.9 Multiple LNG export projects
are being proposed on Canadas west coast that are at different stages of business planning and regulatory review. These projects are in competition with LNG projects from the
U.S., Middle East, East Africa, and Australia. Worldwide, there are 12 LNG export plants
under construction today and more are planned. While not all of these competing
projects will proceed, it demonstrates the time-sensitive, competitive nature of the
global LNG market.
In order to pursue export opportunities in emerging markets, pipelines and terminals
will be needed to deliver its landlocked oil and natural gas resources to tidewater.
6 National Energy Board, Energy Briefing Note, Canadian Energy Overview 2012, http://www.neb-one.gc.ca/clf-nsi/rnrgynfmtn/
nrgyrprt/nrgyvrvw/cndnnrgyvrvw2012/cndnnrgyvrvw2012-eng.pdf.
7 International Energy Agency, World Energy Outlook 2013.
8 Natural Resources Canada, Average Prices for Crude Oil, Natural Gas and Petroleum Products, 17 October 2013.
9 U.S. Energy Information Administration, International Energy Outlook 2013,
http://www.eia.gov/forecasts/ieo/more_highlights.cfm.
Building Trust
B UI L DING TRUST
The fundamental objective of the modern law of aboriginal and treaty rights is
the reconciliation of aboriginal peoples and non-aboriginal peoples and their
respective claims, interests and ambitions. The management of these relationships
takes place in the shadow of a long history of grievances and misunderstanding.
The multitude of smaller grievances created by the indifference of some government officials to aboriginal peoples concerns, and the lack of respect inherent
in that indifference has been as destructive of the process of reconciliation as
some of the larger and more explosive controversies.
Binnie, J., Mikisew Cree First Nation v. Canada (Minister of Canadian Heritage), [2005] 3 S.C.R. 388.
The Projects are being developed in the context of longstanding relationships between
Aboriginal communities, governments, and non-Aboriginal Canadians. Although many
efforts are underway to address the problems created by our history, progress is difficult
to measure.
Relationships that prosper require a foundation of trust, built on constructive dialogue,
understanding interests, and a commitment to find solutions.
Three steps are necessary to build trust between Canada and Aboriginal communities:
initiation of a more productive dialogue about energy development, a commitment to
environmental sustainability, and action to implement the highest standards of pipeline
and marine safety.
CONSTRUCTIVE DIALOGUE ON ENERGY
With trust we can remove fear, we can create momentum, and we can generate
hope. Building trust is never easy. It requires the best of all of us. It requires
listening, creativity and understanding.
National Chief Shawn A-in-chut Atleo, remarks to the Vancouver Board of Trade, 27 September 2013.
Energy use and development have become topical political, environmental, and
economic issues in Canada, particularly the extraction and transport of oil and natural gas.
However, studies reveal that Canadians lack basic knowledge about energy resources
and associated environmental impacts.10 Concurrently, Canadians are sceptical about

the information they obtain from stakeholders in the energy arena, including industry,
governments, and environmental groups.11 As a result, many observers believe that
improving energy literacy should be a priority.
Energy Facts

Canadians rely on natural gas and products made from crude oil to meet more
than two-thirds of their energy needs every day;
94% of all Canadian transportation energy comes from petroleum products; and
natural gas meets more than half of our residential energy needs and almost
half of the energy needed to run our industries.
Source: Canadian Energy Petroleum Association
For Aboriginal groups in Alberta and British Columbia, energy information and awareness have become fundamentally important issues. Aboriginal leaders are being relied
on to evaluate the risks and benefits of oil and natural gas extraction, transportation, and
processing. Communities in the path of these developments require reliable and unbiased
information to assess the socio-economic impacts of project development in their territories. The debate, however, has been positional and lacks objectivity. There is uncertainty in
Aboriginal communities about who to trust and which sources of information are reliable.
Television and print advertising is not advancing the discussion but appears to perpetuate
divisions. Nor is it helpful that some in the media rely on a small group of commentators
with narrow perspectives.
Constructive dialogue would be a better approach. Canada can assist by promoting
forums where Aboriginal groups in Alberta and British Columbia can share knowledge,
best practices, skills, experience, and capacity through community exchanges, workshops,
and conferences. The objective is to inform Aboriginal communities so they can effectively
engage in project reviews and development.
Recommendation
Canada should promote a principled dialogue about resource development with Aboriginal
communities in Alberta and British Columbia. This can be accomplished, in conjunction
with provincial and local governments and industry, by convening conferences, workshops,
and community forums to improve knowledge about the energy sector and major projects.
Because citizens are divorced from the realities of wealth creation and uninformed
about the process of getting resources out of the ground, transforming them into
something of value, and their transport to markets, it becomes easy to oppose
major resource projects.
Jean-Sebastien Rioux, The Energy Literacy Gap and its Potential Consequences for Canada,
University of Calgary, The School of Public Policy, 27 February 2013.
10 Andre Turcotte, Michael C. Moore, and Jennifer Winter, Energy Literacy in Canada, University of Calgary,
The School of Public Policy SPP Research Papers, volume 5, issue 32, October 2012.
11 Ibid.
COMMITMENT TO ENVIRONMENTAL SUSTAINABILITY
Aboriginal representatives insist that environmental sustainability is a necessary precondition for energy development, regardless of the potential benefits that may be realized
from the Projects. Aboriginal Canadians view themselves as connected to the environment
and as its stewards; this is an integral aspect of their culture. The Projects, by their nature,
create potential hazards in the terrestrial and marine environments.
Aboriginal groups have expressed concern about the cumulative effects of developments
and their impact on the exercise of their Aboriginal and treaty rights. The term cumulative effects has been defined as the combined effects of past, present, and foreseeable
human activities over time on the environment, economy, and society in a particular place.12
Aboriginal groups expect governments to ensure the cumulative effects of developments
in their territories are assessed and taken into account beyond a project-specific review.
Further, project proponents have advised that Aboriginal concerns about cumulative
effects are frustrating consultation efforts.
While the Canadian Environmental Assessment Act, 2012 (CEAA 2012) requires the
consideration of cumulative environmental effects, in practice it is difficult to identify and
assess cumulative effects in the environmental assessment of a single project. Cumulative
effects are best addressed on a regional basis to account for the combined environmental
impacts of proposed and existing developments.
The treatment of cumulative effects is anevolvinglegal issue in relation to the duty
to consult. Aboriginal groups consulted on individual projects have increasingly
expressed concern over aggregate adverse cumulative effects of developments on
their asserted or established section 35 rights. The courts have held that only new
adverse impacts trigger a duty to consult but that the cumulative effects of past
events must be considered as contextual evidence to determine the seriousness
of the potential impacts of the proposed development under consideration.
See Rio Tinto Alcan Inc. v. Carrier Sekani Tribal Council, [2010] 2 S.C.R. 650.
Regional planning establishes desired environmental outcomes and identifies environmental thresholds to manage subsequent land and marine use decisions. It requires a
collaborative effort among governments, Aboriginal communities, and other stakeholders. Regional plans may identify the need for stewardship activities to be undertaken by
governments, Aboriginal groups, and industry. The government of British Columbia, in
conjunction with Aboriginal communities, has engaged in regional planning on provincial
Crown lands in strategic areas of the province. The government of Alberta also undertakes
regional planning and incorporates consideration of cumulative effects on air, water,
and biodiversity.
Canada is currently involved in collaborative regional planning approaches. One example
is the 2012 Joint Canada-Alberta Implementation Plan for Oil Sands Monitoring, which was
developed with input from industry. The purpose of this initiative is to gain a better understanding of the potential cumulative environmental effects related to the rapid expansion
of the oil sands, to more rigorously monitor impacts on air, water, wildlife, and land quality,
and to ensure environmentally sustainable future developments. Aboriginal communities
are being engaged in the implementation of this plan.
12 Government of Alberta, Department of Environment and Sustainable Resource Development,
http://environment.alberta.ca/0890.html.
There are additional opportunities for Canada to collaboratively address regional

planning objectives with Aboriginal communities and other stakeholders, particularly
in areas of intense natural gas extraction, proposed pipeline routes, as well as the
terrestrial and marine environments in and around Burrard Inlet, Douglas Channel,
and Prince Rupert harbour.
Recommendations
Where federal jurisdiction is engaged, Canada should collaboratively participate in
regional planning with provincial governments, Aboriginal communities, local governments, and other stakeholders to effectively assess cumulative effects and encourage
sustainable development.
Canada should establish a joint initiative with Aboriginal groups for environmental
stewardship and habitat enhancement to address concerns about cumulative effects
of major resource projects.
UNDERSTANDING AND PARTICIPATING IN PIPELINE AND MARINE

SAFETY SYSTEMS
Canada seeks to implement world class standards to safely transport oil and natural
gas. Critics contend that an oil spill is inevitable and will cause irreparable harm. Lost in
the debate is the recognition that no one wants a spill and all parties share the common
objective of developing and implementing advanced technologies and systems to manage
the risks of, and to respond effectively to accidents. Canadas resolve to implement world
class standards will be closely watched by Aboriginal communities.
A recent Senate report provides a useful summary of Canadas pipeline and marine
safety regulatory regimes.13
Several recent studies have reviewed pipeline and marine safety in Canada,
notably:
Transport Canadas Tanker Safety Expert Panels initial report entitled
A Review of Canadas Ship-source Oil Spill Preparedness and
Response Regime;
The Standing Senate Committee on Energy, the Environment and
Natural Resources entitled Moving Energy Safely: A Study of the Safe
Transport of Hydrocarbons by Pipelines, Tankers and Railcars in Canada;
and
Nuka Research and Planning Group, LLCs report for the Government
of British Columbia entitled West Coast Spill Response Study.
13 Standing Senate Committee on Energy, the Environment and Natural Resources report entitled Moving Energy Safely:
A Study of the Safe Transport of Hydrocarbons by Pipelines, Tankers and Railcars in Canada, August 2013.
Pipelines
According to the Canadian Energy Pipeline Association, 97% of natural gas and crude oil
that is produced in Canada is transported by transmission pipelines, and between 2002
and 2011, 99.9994% of that product was transported safely.14
Nevertheless, Canadians are expressing concerns about the potential effects of pipeline
spills, particularly in light of heightened media attention to recent incidents.
Federal Measures to Strengthen Canadas Pipeline Safety Regime
Over the last two years, Canada has taken a number of steps to strengthen
pipeline safety:
a 50% increase in the number of inspections of oil and gas pipelines,
and a doubling of the number of annual audits;
amendments to the National Energy Boards Onshore Pipeline Regulations
adding greater personal accountability within companies for existing and
new safety systems and programs;
new regulations to enable the National Energy Board to issue administrative
monetary penalties for companies and individuals that violate the
National Energy Board Act; and
proposed legislation that will:

enshrine in law the polluter pays principle, stating that polluters
will be held financially responsible for the costs and damages
they cause,
require pipeline operators to maintain minimum financial capacity
to respond to leaks, spills, and ruptures. For major crude oil
pipelines, a minimum of $1 billion will be expected,
ensure that pipeline operators are responsible for abandoned
pipelines,
improve transparency by ensuring companys emergency and
environmental plans are easily available to the public.
14 Canadian Energy Pipeline Association, Maintaining Safe Pipelines, http://www.cepa.com/about-pipelines/

maintaining-safe-pipelines.
Aboriginal Participation
The Projects impact a large number of Aboriginal communities and their asserted
traditional territories (see Project descriptions in Appendix B).
Aboriginal communities may be the most geographically proximate to incidents requiring
emergency response. Therefore, they want to be informed of and engaged in the safety
systems that are in place, including spill response.
The challenge for governments, industry, and Aboriginal communities is integrating
Aboriginal people into pipeline safety processes and plans given the differing jurisdictions
of the federal and provincial governments, the varying stages of development for
each of the proposed pipelines, and how project proponents implement regulatory
requirements.
In Alberta, industry has created its own associations, such as Enform and Western
Canadian Spill Services (WCSS), to support its members safety management systems
and oil spill preparedness and response support. Aboriginal communities are not an
integral component of these organizations or their systems.
In British Columbia, WCSS provides its response services to existing companies in the
northeast of the province. Whether WCSS provides response services to the proposed
Northern Gateway Pipeline and the Trans Mountain expansion project will only be decided
when the projects proponents know if their projects are proceeding. Both proponents
propose to engage, and where possible integrate, Aboriginal communities in their
emergency planning and spill response systems. Kinder Morgan, Inc. has collaborated
with the First Nation Emergency Services Society (FNESS) to jointly deliver a pilot
training package on emergency management for Aboriginal groups in two locations
along its pipeline corridor.
Aboriginal communities have the potential to contribute to geographic response planning
and to augment a companys spill response capabilities, including as first responders,
with the appropriate training and equipment. Therefore, industry and governments should
work with Aboriginal groups to integrate their members in emergency response planning
and to train and equip them for spill preparedness and response. Given the technical and
organizational requirements of effective emergency response, the role of FNESS could
be expanded to provide technical support and training to Aboriginal communities in
emergency management.15
Aboriginal communities can further contribute to a companys pipeline safety management
programs by providing on the ground eyes and ears monitoring services along a pipeline right of way.
15 FNESS provides Aboriginal communities with assistance on emergency planning and preparedness,
fire safety, and wildfire protection planning.
Marine Transportation
Some commentators assert that marine oil spills are inevitable. However, statistics show a
steep decline internationally in both the number and severity of marine spills over the last
20 years, even as the number and size of marine tankers have increased.16 Although the
probability of a major spill is remote, the consequences of such a spill, should one occur,
could be significant.
In British Columbia, oil tankers have loaded at the Westridge Marine Terminal in Burrard
Inlet for 60 years without a tanker-based spill. Regulations to ensure the safe transport of
product by tanker require that, among other things, only double-hulled tankers that have
been inspected can access Westridge Marine Terminal, they must have local pilots on
board, and have two tugs assisting them when laden, one of which is tethered.
Over 3,000 large vessels enter Port Metro Vancouver each year, of which 50 to 60 are
oil tankers.17 If the Trans Mountain expansion project proceeds, oil tanker traffic could
increase by up to 350 additional tankers per year. This represents a modest increment on
existing vessel traffic into the Port, and a 50% increase in the number of oil tankers that
transit the Strait of Juan de Fuca. Projected increases in vessel traffic on the north coast
are significant. At present, no crude oil tankers call at northern British Columbia ports. If
the Northern Gateway Pipeline proceeds, up to 250 oil tankers per year could visit Kitimat.
The two proposed LNG terminals in Kitimat might together result in LNG carrier traffic of
approximately 230 to 430 vessels per year.18 The Prince Rupert Port Authority estimates
that large vessel traffic will increase from approximately 400 per year at present to over
1,100 per year by 2018, of which 200 could be LNG carriers.19
Federal Measures to Strengthen Canadas Tanker Safety System
In 2013, Canada announced, in addition to the Tanker Safety Expert Panel,
a series of initiatives relating to increased oil tanker inspections, ship surveillance
and monitoring, establishing an Incident Command System implemented by the
Canadian Coast Guard that is integrated with private sector marine spill response
systems, enhanced pilotage requirements, designation of additional public ports
with enhanced marine traffic management, conducting research on the behaviour
of bitumen in marine environments, enhanced navigational aids, and strengthening
provisions of the Canada Shipping Act.
Aboriginal Participation
The marine transportation corridors leading to the Projects are adjacent to a large number
of Aboriginal communities on the south and north coasts. These communities expect to be
informed of marine safety systems and may want to participate in them, including oil spill
preparedness planning and response. Aboriginal communities have considerable marine
expertise and local knowledge, and have expressed an interest in marine environmental
protection and response.
16 The total volume of oil released in spills of over 7 tonnes has declined from 3.2 million tonnes between 19701979 to around
200,000 tonnes between 20002009. Comparatively, in 2012, oil released in spills of over 7 tonnes was the lowest on record
for a single year 1,000 tonnes. The International Tanker Owners Pollution Federation Limited, Worldwide, Oil Tanker Spill
Statistics 2012, www.itopf.com.
17 Port Metro Vancouver, Statistics Overview 2012.
18 Nuka Research and Planning Group, LLC, W
est Coast Spill Response Study, Volume 2: Vessel Traffic Analysis, 2013, pp. 7071.
19 Prince Rupert Port Authority, Commercial Vessel Call Projections, 2013.
Industry and Western Canadian Marine Response Corporation (WCMRC), the company
responsible for oil spill response planning and preparedness, could facilitate the
participation of Aboriginal groups in:

the preparation of geographic response plans to identify critical marine resources

that should be protected in the event of a spill, and required protection measures; and
WCMRCs response regime by:
consulting with Aboriginal communities to determine their interests
in participating in an expanded marine safety regime;
expanding Aboriginal participation in Fishers Oil Spill Emergency Team
and as contracted resources;
identifying employment opportunities and the related training
requirements for appropriate certification;
locating facilities for the staging of response equipment in
Aboriginal communities;
training community members as first responders; and
training key communities in the ICS.
The Pacific Pilotage Act governs the use of pilots in Canadian coastal waters, and sets out
the extensive training, experience, and testing required. The Pacific Pilotage Authority will
need to recruit a significant number of pilots for marine traffic management over the next
decade. That organization, in conjunction with Aboriginal organizations, should explore
and develop opportunities for Aboriginal Canadians to train and qualify as pilots.20
All of these opportunities have a unique applicability for Aboriginal communities on
the north coast because of the relative lack of response capability and the potential
development of energy projects in that region. There will likely be an expansion of tug
assist capabilities, which may involve several tugs permanently stationed in Kitimat
or Prince Rupert.
Given the large number of coastal Aboriginal communities, the technical and organizational requirements for effective oil spill response preparedness and response, and the
intermittent nature of emergency response training and activities, a small Aboriginal-led
technical unit could assist in the training of Aboriginal responders, coordinate community
activities in the event of a spill, participate in the ICS, and act as a clearing house for
information and collaboration with Aboriginal communities.
2
0 In order to build up sea time, pilotage candidates must have a watch-keeping mate certification. Many Aboriginal fishers who
have extensive training provided through Fisheries and Oceans Canada are only a few courses short of this certification.
Recommendations
Canada should coordinate and convene the participation of key stakeholders including
Aboriginal groups, governments, industry, non-governmental organizations, and scientists,
to advance pipeline and marine safety and strategies to mitigate potential impacts of oil
spills on the terrestrial and marine environment.
Canada, in conjunction with industry and provincial governments, should support:

a. Aboriginal participation in marine traffic management and emergency

response planning;
b. training and coordination of Aboriginal communities in terrestrial and marine

monitoring and emergency response, using existing organizations where
appropriate, such as FNESS and WCMRC;
c. acquisition of appropriate equipment and infrastructure by Aboriginal

communities for terrestrial and marine monitoring and emergency response;
and
d. invest in technologies for oil spill clean-up.
Canada should ensure that marine preparedness and response plans are publicly
available.
Fostering
Inclusion
FOSTERING INCLUSIO N
Historically, Aboriginal Canadians have not benefited from natural resource developments
in their traditional territories to the same degree as non-Aboriginal Canadians. The
Projects provide an opportunity to do better, offering Aboriginal communities the chance
to improve long-term economic outcomes and close the socio-economic gap. By having a
real stake in regional economies, over time a community of interests will emerge among
Aboriginal communities and their neighbours. Shared interests encourage constructive
relationships.
To foster inclusion, Aboriginal employment and business opportunities must translate
into real jobs and successful businesses. The likelihood of this outcome will increase
if governments, Aboriginal communities, and industry work collaboratively to advance
shared goals. Another strategy to foster participation is the provision of financial
opportunities for Aboriginal communities and businesses.
ACHIEVING EMPLOYMENT AND BUSINESS OPPORTUNITIES
Employment Opportunities
Aboriginal Canadians constitute a comparatively young and growing component of the

Canadian population.21 Further, many Aboriginal communities are in close proximity to the
Projects thereby providing employment opportunities for their members. Nevertheless,
many Aboriginal Canadians face chronic barriers to employment. Several studies identify
the challenges affecting Aboriginal participation in the workforce.22
The 2012 Aboriginal Economic Benchmarking Report identifies an education gap between
Aboriginal and non-Aboriginal Canadians.23 The high school completion rate for Aboriginal
people is 56%, compared to 77% for non-Aboriginals. On-reserve high school completion
rates are even lower at 40%. There is a clear linkage between education and employment
21 Based on the 2011 Census, 4.3% of the total Canadian population identifies as Aboriginal, compared to 2.8% in the 1996
Census. Forty-six percent of the Aboriginal population is under age 25, compared to 30% of the non-Aboriginal population.
2
2 Public Policy Forum, Building Authentic Partnerships: Aboriginal Participation in Major Resource Development
Opportunities,2012; The National Aboriginal Economic Development Board, Increasing Aboriginal Participation in Major
Resource Projects, October 2012; The National Aboriginal Economic Development Board, The Aboriginal Economic
Benchmarking Report, June 2012; and Senate Standing Committee on Aboriginal Peoples, Sharing Canadas Prosperity
A Hand Up, Not a Handout, March 2007.
2
3 Failure to complete basic education is a barrier to employment for many Aboriginal Canadians. According to the 2006
Census, 34% of the Aboriginal population aged 25 to 64 did not have a high school diploma compared to 15% of the
non-Aboriginal population of the same age group. Human Resources and Skills Development Canada, Indicators of
Well-Being in Canada, 2011.
outcomes. In 2011, 81% of employed Aboriginal Canadians obtained at least a

high school diploma.24
Other factors that affect the ability of Aboriginal Canadians to take advantage of
employment and business opportunities include:

whether a community has leadership and vision that emphasizes

the importance of education and skills development;
community well-being and individual health;
community support for economic development;
proximity to urban areas and major transportation infrastructure;
willingness to relocate; and
availability of secondary and post-secondary education.
The Standing Senate Committee on Aboriginal Peoples confirmed these challenges
when it observed that closing the education gap is one of the most important
pre-conditions for successful, long-term economic and community development.
Inadequate levels of education, combined with insufficient training and inadequate
work experience, are key impediments to greater Aboriginal participation in the
economy. In addition, because a great number of Aboriginal people have been
involved in business for only one or two generations, there is still a lack of role
models and mentors in this area.
Sharing Canadas Prosperity A Hand Up, Not a Hand Out, March 2007.
Aboriginal Canadians desire long-term, well paid employment. They want careers, not
short-term jobs. In order to achieve this objective, some Aboriginal Canadians who have
little or no work experience will require pre-employment life skills education, including
literacy and numeracy, in order to benefit from employment training.
The Projects offer Aboriginal communities an immediate opportunity to achieve their
objectives in relation to training, employment, and business development. However,
many employment opportunities require specific skills that take time to develop.
The scale of potential employment opportunities is unprecedented. The government of
British Columbia estimates that if five LNG projects and associated pipelines proceed,
21,600 jobs will be needed at the peak of construction as well as a further 2,400 operational jobs.25 Based on information from the Project proponents, the two oil pipeline
projects will create up to 7,500 construction jobs and 200 operational jobs in Alberta
and British Columbia. Construction of pipelines, terminals, and related infrastructure is
scheduled to commence as early as 2014, and many Projects may proceed simultaneously.
These are tight timelines; realizing opportunities will take careful planning and focused
concerted actions by all parties.
Project proponents have demonstrated a willingness to work with Aboriginal communities
and service delivery providers to implement training and employment initiatives.
Proponents have shown they are capable of acknowledging and responding flexibly to
the individual circumstances of Aboriginal communities. Nevertheless, Project proponents
expressed frustration about the criteria for program funding and the nature of program
delivery given their needs and Project timelines. Even experienced human resource
professionals commented about having to navigate the plethora of federal programs.
2
4 Centre for the Study of Living Standards, Aboriginal Labour Market Performance in Canada: 20072011, 2012.
2
5 B.C. Natural Gas Workforce Strategy and Action Plan, July 2013.
Canadas training and economic development programs have, in general, not met the
needs of proponents in specific regions. The Strategic Partnerships Initiative has had
some success in terms of addressing gaps in federal programs, targeting a limited number
of sectors. However, it has insufficient funding to provide the training necessary to meet
the employment opportunities associated with the Projects.
Current Programs and Providers for Aboriginal Education,
Training, and Employment
Canadas Federal Framework for Aboriginal Economic Development was launched
in 2009 with a focus on building strategic partnerships with Aboriginal groups,
the private sector, and the provinces and territories in order to promote Aboriginal
economic development. Canada has created many programs that support
the framework. Although many programs exist, three have been identified by
Aboriginal communities and industry as particularly useful:
The Strategic Partnerships Initiative identifies where market and demand
opportunities exist in key sectors of the economy to overcome gaps in
federal programming.
The Skills and Partnership Fund targets labour force development
initiatives. It is set to expire in 2015 and all funding has been fully allocated.
The Aboriginal Skills and Employment Training Strategy (ASETS) fosters
partnerships with the private sector, provinces, and territories for skills
development, and funds local service delivery organizations which design
their own training and employment programs. All funding for ASETS has
been allocated through to 2015.
Both Alberta and British Columbia have Aboriginal-targeted training programs
that are funded from their respective Canada labour market agreements.
Many educational and training institutions prepare Aboriginal people for available
job and business opportunities. In Alberta, the Northern Alberta Institute of
Technology offers a number of programs directed specifically at Aboriginal
students. In British Columbia, there are numerous examples of targeted
educational and training programs for Aboriginals, including: the Jim Kassen
Industry Training Centre at Northern Lights College in Fort St. John, and the
Chnook Indigenous Business Education Program at the Sauder School of
Business at the University of British Columbia.
There are 13 ASETS service delivery organizations in Alberta and 15 in
British Columbia. They provide job-finding skills and training, wage subsidies
to encourage employers to hire Aboriginal workers, financial subsidies to
help individuals access employment or obtain skills, entrepreneurial skills
development, supports to help with returning to school, and child care for
parents in training.
To respond effectively to the issues raised by industry and Aboriginal communities,

Canada should consider a collaborative approach based on regional strategic planning
to ensure coordination of training efforts, efficiencies, and economies of scale. Regional
plans are designed to identify:

the range of opportunities available during the planning, construction,

and operational phases for all Projects in that region;
related indirect opportunities or ancillary services (e.g. nurses, teachers);
the capacity and time-sensitive realities of both Aboriginal
communities and industry; and
the resources required to implement the plan.
British Columbia has commenced regional planning for LNG workforce development.
The province, industry, and training providers have begun planning to meet the skills training requirements through the LNG workforce strategy and implementation committee.
The Projects present an opportunity for Canada to leverage and build on these efforts.
Canada has undertaken strategic planning in partnership with Ontario, industry, and
affected Aboriginal communities in the Ring of Fire.26 Similarly, the Canadian Northern
Economic Development Agency fosters growth and development in the three territories
by delivering economic development programs, and by collaborating with and aligning
the efforts of partners in northern and southern Canada to respond to economic
challenges and opportunities in the north.27 These strategic planning partnerships
may be useful models to follow in Alberta and British Columbia.
Canada should use available information about Aboriginal labour market participation
to link training and employment requirements to labour market demand for the oil and
natural gas sector, and measure outcomes.
Implementing strategic regional plans will require capable, on the ground resources.
Existing service delivery organizations that provide access to employment and business
counselling services, community supports, and office infrastructure need to be incorporated into the implementation of a plan. An assessment will be necessary to determine
what additional resources will be required to support service delivery providers. In addition, these organizations require assistance to increase capacity to expand and develop
their presence in local Aboriginal communities.
2
6 The Ring of Fire is the name given to a mineral rich area in northern Ontario.
27 http://www.cannor.gc.ca/index-eng.asp.
Canada cannot do this alone. Aboriginal leaders and industry also have a role. Aboriginal
leaders must become active partners in developing regional strategic plans, and encourage education and personal responsibility to create or build upon a culture of community
success. Some communities are well on their way and could share their experiences and
knowledge with others through information exchanges, mentoring, job shadowing, and
other Aboriginal-to-Aboriginal initiatives. Project proponents should share best practices
with each other to improve Aboriginal training and employment outcomes.
Business Opportunities
Successful economies stand on the shoulders of legitimate, culturally grounded

institutions of self-government. Indigenous societies are diverse; each nation must
equip itself with a governing structure, economic system, policies, and procedures
that fit its own contemporary culture.
The Harvard Project on American Indian Economic Development Overview.
Significant business opportunities will be available during Project construction and

operation.28 There will also be indirect business opportunities as a result of increased
economic activity and population growth.
Many Aboriginal Canadians have created successful businesses, including in the energy
sector but barriers affect Aboriginal participation, including:

limited access to capital;

limited business and financial knowledge, entrepreneurial capacity,
and business acumen;
lack of relevant education, including advanced education and technical
skills and certification of potential Aboriginal employees; and
inadequate physical infrastructure.
Canadas Aboriginal business development programs were not designed to address

the scale and scope of opportunities provided by the Projects.
28 During the construction phase, direct procurement opportunities could include camp services, catering, clearing and
brushing, heavy equipment operations, and habitat restoration. Once projects are operational, on-going service contracts
include electrical and mechanical system maintenance, environmental monitoring, and spill response services.
Federal Support for Aboriginal Business Development

The Aboriginal Business Development Program supports Aboriginal entrepreneurs
and Aboriginal community-owned businesses for a range of activities including
business planning, start-up, acquisition, expansion, and marketing. The program
provides capital for Aboriginal businesses which have difficulty obtaining funding
from traditional sources, and is delivered through Aboriginal Financial Institutions
(AFIs). Under this program, financing through the AFIs is limited to $99,999
for Aboriginal individuals and incorporated businesses and up to $250,000
for community owned businesses.
Regional strategic planning and better resourced service delivery organizations would
also enhance Aboriginal capacity in business development.
Although Canada has an important role in ensuring that programs and services adequately
support Aboriginal economic development, the success of businesses rests with
Aboriginal entrepreneurs and business owners.
Canada could encourage and promote forums where Aboriginal groups can share
knowledge, best practices, skills, experience, and capacity through community exchanges,
workshops, and conferences. Mentoring, job shadowing, and the transfer of business
knowledge among Aboriginal groups will be critical to entrepreneurial success.
Canada, Aboriginal business organizations, and industry should establish an annual
recognition initiative to acknowledge successful or innovative Aboriginal business
collaborations and partnerships.
Recommendations
Aboriginal leaders should engage in community-based strategic planning to:

a. undertake existing community skills and training needs;
b. encourage members to pursue training, education, employment, and business

opportunities where they exist; and
c. identify suitable business development and entrepreneurial opportunities.
Canada should sponsor and coordinate regional strategic planning with Aboriginal groups,
industry, and local and provincial governments, educational institutions, and training
providers, to ensure education, skills, and employment training are coordinated, flexible,
and targeted to meet the needs of Aboriginal people and employers in areas impacted
by the Projects.
Canada should target funding for Aboriginal education, pre-employment skills
development, and skills training in a manner that is responsive to the needs and timelines
identified in the regional strategic plans, and sufficiently flexible to address chronic
barriers to employment.
Canada should collaborate with its partners to enhance access to employment and
business counselling services, community supports, and office infrastructure, to support
Aboriginal people and to implement regional strategic plans. This includes establishing
direct relationships and accountability between regional service providers and
neighbouring Aboriginal communities to support their members.
Canada, Aboriginal communities, and industry should create a forum to share best
practices about successful training, employment, and procurement initiatives to improve
Aboriginal training and employment outcomes.
Canada should ensure that federal programs address the need for capital and other
financial support for Aboriginal businesses participating in opportunities related to
major projects.
COLLABORATIONS TO ACHIEVE BETTER OUTCOMES
Canada should encourage and be prepared to support regional or sectoral organizations

that represent a number of Aboriginal communities to achieve defined objectives. The
Pacific Trail Pipelines project is an example of Aboriginal communities working together
to achieve collectively what none of them could have achieved on their own.
In Alberta, there are 45 Indian Act bands falling within three historic treaty associations
(Treaties 6, 7, and 8). Each tribal association represents the collective political interests
of the member communities when engaging governments and industry.
There are 203 Indian Act bands in British Columbia (approximately one-third of the total in
Canada) and, other than the Treaty 8 Tribal Association, there are no comparable historical
associations. There are 21 tribal associations in British Columbia that represent Aboriginal
collectives, providing their constituent communities and Canada with established structures that represent regional Aboriginal interests. In many instances, Aboriginal communities work together on a sectoral basis to achieve their goals in areas such as fisheries,
marine use planning, emergency services, and employment training.
One hundred and sixty-six of the 203 bands in British Columbia have fewer
than 500 people resident on reserve. A further benefit of aggregations is that
small communities that would not otherwise have the financial means to acquire
specialized expertise will benefit from the knowledge transfer and further
develop their capacity.
Collaborations between Aboriginal groups do not diminish each communitys autonomy,

ability to pursue its own interests, and govern its affairs. There are examples of Aboriginal
associations providing value for their members and Canada. For example, Fisheries and
Oceans Canada has facilitated the creation of effective Aboriginal aggregations that deal
with regional fisheries management issues and are funded through its Aboriginal Aquatic
Resources and Ocean Management Program. The Assembly of First Nations and the
First Nations Energy and Mining Council represent collective Aboriginal interests and
have provided a conduit for Canada to engage on discrete and crosscutting issues.
Recommendation
Canada should facilitate and support tribal and sectoral associations to achieve defined
objectives in areas such as marine and land use planning, capacity building, energy
literacy, strategic planning, employment, and business opportunities.
ABORIGINAL FINANCIAL PARTICIPATION
Natural resource projects require significant upfront capital. Aboriginal communities face
barriers in accessing financing to participate in large scale developments.
Reports suggest there is a role for governments to provide loan guarantees or other
financing measures to enable Aboriginal communities to become equity owners in major
projects.29 Loan guarantees would provide Aboriginal groups with security that would
enable them to borrow at lower than commercial interest rates, thereby making potential
investments more feasible and profitable. Under this approach, governments would serve
as a financial backstop should the borrower be unable to repay the loan. Loan guarantees
have also been proposed to enable Aboriginal communities to acquire a non-equity
economic interest, such as debt financing, thereby generating a regular revenue stream
while avoiding many of the risks associated with equity ownership.
Aboriginal communities have not expressed an interest in obtaining a federal loan
guarantee to obtain an equity interest in pipelines or LNG facilities. However, Canada
has been approached by the First Nations Financial Management Board 30 to explore the
concept of a First Nations entity acquiring an equity interest in major energy projects
backed by a federal loan guarantee. Interest has also been expressed in using a similar
approach to enable Aboriginal participation in major ancillary projects associated with oil
and gas development, such as the development of renewable energy. In future Canada
may be asked to consider such proposals. However, at the moment, the concept of equity
participation facilitated by a federal loan guarantee remains a proposal without a project.
Industry is addressing the financial interests of Aboriginal groups without seeking
Canadas involvement. For example, Northern Gateway Pipelines has offered potentially
affected Aboriginal communities the opportunity to acquire an equity stake in its project
as well as financing for those who want to purchase a share of the 10% offering but would
2
9 Two examples of the reports that are making this recommendation include: Building Authentic Partnerships:
Aboriginal Participation in Major Resource Development Opportunities and Increasing Aboriginal Participation
in Natural Resource Projects.
3
0 Established under the First Nations Fiscal Management Act, the First Nations Financial Management Board
is an independent, non-profit institution through which First Nations may apply to obtain certification necessary
to access lower cost borrowing to support economic and community development.
otherwise be unable to access the capital to invest in the project.31 Some Aboriginal
groups have accepted this offer. Other proponents are proposing alternatives to equity
participation, such as debt financing, to facilitate Aboriginal financial participation.
In addition to industrys efforts, the government of British Columbia is providing financial
incentives for Aboriginal groups to participate in natural gas pipeline developments.
For instance, the province provided funding to the First Nations Group Limited Partnership
to acquire an economic interest in the Pacific Trail Pipelines project.32
I also understand some Aboriginal representatives are meeting with foreign investors
who may be interested in financing Aboriginal participation in project development.
Recommendations
Canada should continue to encourage industry and Aboriginal groups to develop
flexible and innovative models to facilitate Aboriginal participation in economic
development projects.
Canada should consider conditions for access to capital where an Aboriginal group
or collective brings forward a proposal to obtain an economic interest in a Project.
31 Northern Gateway Pipelines is structured as a limited partnership, with Enbridge owning a 50% stake, 10% being set
aside for purchase by Aboriginal communities, and the remainder is owned by several other investors, including large
energy companies such as Suncor, Cenovus and Nexen. Enbridge Questions Northern Gateway pipeline critics over
foreign funding, Canadian Press, October 8, 2012. Enbridge projects that the 10% equity offer will generate $280 million
in net income for Aboriginal communities over the next 30 years.
3
2 The First Nations Group Limited Partnership (FNLP) is a special purpose partnership of 15 communities along the proposed
Pacific Trail Pipelines route in northern British Columbia, formed (with seed funding from the province) to negotiate as a collective with the proponents. In February 2013, the FNLP, the proponents, and the province announced a benefits agreement
that provides up to $200 million in financial benefits over the life of the project, along with business and training opportunities.
FNLP also agreed to roughly $32 million from the province to leverage the benefits package from the proponent.
Advancing
Reconciliation
ADVANCING RECON C IL IAT IO N

Progress on economic opportunities can be achieved through targeted efforts and
effective relationships between Aboriginal Canadians and the Crown. In practice, this
requires concrete action, not statements of intention.
Measures that advance reconciliation include refinements to Canadas approach to
consultation and engagement, exploring mutually beneficial initiatives that support
reconciliation, and encouraging Aboriginal communities to resolve shared
territory issues.
CONSULTATION AND ENGAGEMENT
The governments duty to consult with Aboriginal peoples and accommodate their
interests is grounded in the honour of the Crown. The honour of the Crown is
always at stake in its dealings with Aboriginal peoples It is not a mere incantation,
but rather a core precept that finds its application in concrete practices.
The historical roots of the principle of the honour of the Crown suggest that it must
be understood generously in order to reflect the underlying realities from which it
stems. In all its dealings with Aboriginal peoples, from the assertion of sovereignty
to the resolution of claims and the implementation of treaties, the Crown must act
honourably. Nothing less is required if we are to achieve the reconciliation of the
pre-existence of aboriginal societies with the sovereignty of the Crown.
McLachlin, C.J., Haida Nation v. British Columbia (Minister of Forests), [2004] 3 S.C.R. 511.
Aboriginal and treaty rights exist in Canada and have implications for the way in which
governments, industry, and Aboriginal communities interact. Canada focuses on fulfilling
its legal obligation to consult as the way to address Aboriginal interests in economic
development. Canada needs to adopt a broader approach rather than strictly satisfying the legal duty if it hopes to obtain greater Aboriginal support for projects. A broad
approach involves identifying and balancing competing claims, interests, and ambitions
prior to the commencement of regulatory processes.
Section 35 Rights and the Legal Duty to Consult
Existing Aboriginal and treaty rights, including those contained in modern land claims
agreements, are constitutionally recognized and affirmed in section 35 of the
Constitution Act, 1982.33 A series of Supreme Court of Canada decisions have outlined
the nature and scope of Aboriginal rights. Aboriginal rights are site, fact, and group
specific and relate to elements of the practices, customs, and traditions that are integral
to the distinctive culture of a particular Aboriginal group.34 Aboriginal title is a unique
subset of Aboriginal rights, which the Supreme Court of Canada has defined as a right to
the land itself. It is a right that, where proven, provides for the exclusive use of the land,
including a right to choose the uses to which the land can be put. Amongst the types of
Aboriginal rights protected by section 35, it is Aboriginal title that most closely resembles
outright ownership of land in fee simple.
The duty to consult is grounded in the core precept of the honour of the Crown and the
recognition of the unique relationship that exists between the Crown and Aboriginal
Canadians. The Supreme Court of Canada has identified the duty as part of the
reconciliation process mandated by section 35.
The duty to consult is engaged when the Crown contemplates conduct that may adversely
impact potential or established Aboriginal or treaty rights.
Consultation, and where appropriate accommodation, about potential adverse impacts on
claimed or established section 35 rights is required before federal decisions about natural
resource development can be made. Canadian courts have clarified that strategic and
high level government decisions can also engage the duty.35 They have also encouraged
early consultation.36 The courts have confirmed that the duty to consult does not give an
Aboriginal group a veto over potential Crown conduct.37 Procedural aspects of the duty
may be delegated by the Crown to third parties, including project proponents. However,
ultimate responsibility for fulfilling the duty to consult remains with the Crown.
3
3 Section 35(1) states: the existing Aboriginal and treaty rights of the Aboriginal peoples of Canada
are hereby recognized and affirmed.
3
4 R. v. Van der Peet, [1996] 2 S.C.R. 507, at para. 74.
3
5 Rio Tinto Alcan Inc. v. Carrier Sekani Tribal Council, [2010] 2 S.C.R. 650.
3
6 Ibid. See also Sambaa Ke Dene Band v. Duncan, 2012 FC 204, and Ross River Dena Council
v. Government of Yukon, 2012 YKCA 14.
37 Haida Nation v. British Columbia (Minister of Forests), [2004] 3 S.C.R. 511, at para. 45.
The United Nations Declaration on the Rights of Indigenous Peoples

Many Aboriginal leaders raised the United Nations Declaration on the Rights of
Indigenous Peoples (UNDRIP) in meetings to make the point that the declaration
ought to inform the approach of governments in their relations with Aboriginal
communities. UNDRIP is an aspirational document and was endorsed by Canada
in 2010 in a statement which, among other things, indicated support for the
principles set out in the declaration. Canada has stated that UNDRIP does not
change Canadian law or represent customary international law. However, some
Aboriginal leaders contend that the UNDRIP principle of free, prior, and informed
consent requires governments and project proponents to obtain Aboriginal
approval in advance of project development. The Supreme Court of Canada
has established that good faith is required of both the Crown and Aboriginal
communities during the process of consultation, furthermore the process does not
give Aboriginal communities a veto over what can be done with land pending final
proof of a claim (see Haida Nation v. British Columbia (Minister of Forests), [2004] 3
S.C.R. 511). A recent decision commenting on UNDRIP is Simon v. Canada (Attorney
General), 2013 FC1117, where Scott, J. noted that while UNDRIP does not create
any substantive rights, the court nonetheless favoured an interpretation that
would embody its values.
Courts have provided general directions about the process of consultation, but have
left a fair degree of discretion in the hands of the Crown to determine how the obligation
ought to be discharged. The scope and content of the duty and how it is discharged
are highly contextual. Ultimately, meeting the duty requires flexible processes that
demonstrate a genuine effort to understand Aboriginal concerns, and where appropriate
undertake efforts to address adverse impacts on potential or established Aboriginal or
treaty rights. Courts have been clear that complex or difficult cases may require flexible
processes, particularly where deeper consultation is required owing to the high level of
complexity of the specific situation.38 The overriding objective is to ensure the process
followed maintains the honour of the Crown and advances the principle of reconciliation
with respect to the interests at stake.39
The concept of engagement is distinct from consultation. The term consultation is
based in the body of law dealing with Aboriginal and treaty rights and relates to the
Crowns duty to consult whereas engagement refers to a more general concept of support
and relationship-building between the parties. For resource development, while the
Crowns strict obligation is to meet the duty to consult, in a practical sense, engagement
by Canada with Aboriginal communities is a necessary condition for relationship-building
and furthering the process of reconciling Aboriginal interests with those of Canadians
as a whole.
3
8 Ibid, at para. 44.
3
9 Ibid, at para. 45.
Canadas Approach to Consultation
A 2007 cabinet directive40 mandated Canada with implementing a whole-of-government

approach to Aboriginal consultation for major resource projects. Canada seeks to fulfill
its obligations in a coordinated manner that is integrated in environmental assessments
and regulatory review processes. The applicable regulatory authority is responsible for
coordinating consultation.
CEAA 2012 provides for environmental assessments by a responsible authority or a review
panel.41 Canada relies, to the extent possible, on these regulatory processes and industry
to discharge the Crowns consultation obligations on major projects. These panels and
boards provide predictability and consistency of process for participants and industry.
CEAA 2012 focuses environmental assessments on major projects with the greatest
potential for significant adverse environmental effects. It establishes new powers
of enforcement of federal decisions, sets beginning to end timelines for federal
environmental assessments, allows substitution or equivalency with the provinces
(where provinces meet all federal requirements), and enables the results of a
regional environmental study to, among other things, facilitate the consideration
of cumulative effects in an environmental assessment.
While the integrated whole-of-government approach has been endorsed by the courts,42
Aboriginal communities have expressed concern about it. An unintended consequence
is that the formality of environmental assessments inhibits Crown-Aboriginal dialogue.
It is costly for Aboriginal communities to participate, the focus is often technical, and the
process can be time consuming. Further, the joint panel review for the Northern Gateway
Pipeline project demonstrates how regulatory processes can turn into adversarial
proceedings damaging relations between the Crown and industry on one hand, and
Aboriginal communities on the other.
One of the objectives of CEAA 2012 is to legislate timelines for environmental assessment
processes. These timeframes have created challenges for Aboriginal groups, particularly
those involved in consultations for multiple project developments. In addition, Aboriginal
groups contend that the timelines have impacted their ability to participate fully in
environmental assessments, creating unfair and inadequate Crown consultations.
Aboriginal people also feel that the limited scope of the issues that can be addressed
in an environmental assessment process does not adequately consider the breadth of
potential impacts to their section 35 rights, e.g., the inability to discuss cumulative effects
beyond the context of a single project.
40 The full title of the cabinet directive is Cabinet Directive on Improving the Performance of the Regulatory System
for Major Projects.
41 Reviews are conducted by the National Energy Board for international and inter-provincial pipelines and transmission
lines; the Canadian Nuclear Safety Commission for nuclear projects; and the Canadian Environmental Assessment
Agency for all other projects.
42 Taku River Tlingit First Nation v. British Columbia (Project Assessment Director), [2004] 3 S.C.R. 550; Brokenhead
Ojibway Nation v. Canada (Attorney General), 2009 FC 484 at para. 25; Standing Buffalo Dakota First Nation v.
Enbridge Pipeline Inc., 2009 FCA, 308; Fond du Lac Denesuline First Nation v. Canada (Attorney General), 2012
FCA 73; Katlodeeche First Nation v. Canada (Attorney General), 2013 FC 458. However, this early positive support
from the courts has been tempered by a caution in Gitxaala Nation v. The Minister of Transport, Infrastructure and
Communities et al., 2012 FC 1336 that courts could subsequently intervene if they find that the Crown has failed
ultimately to fulfill its overarching duty to consult with affected Aboriginal groups.
Aboriginal communities expect the Crown and project proponents to involve them at the
earliest possible stage in project planning and decision making. Canada engages with
project proponents in advance of environmental assessments. Canada relies procedurally
on the consultation efforts of proponents, but does not directly consult with potentially
affected Aboriginal groups until regulatory processes have begun. Canada takes an
active role once a project description is filed with a regulator and the regulatory process
starts, but for major projects that may be many months or years after a proponent has
undertaken Aboriginal engagement and project planning efforts.
Industry accepts its role in Aboriginal consultations, but requires more clarity from Canada
about the respective roles of industry and the federal Crown. In some instances, industry
has expressed frustration, objecting to the scope of responsibilities it is expected to
assume. For example, some proponents have identified overlapping territorial disputes
as an issue best addressed by the Crown.
Canadas reliance on industry creates risk because companies have different cultures,
experiences, and expertise in Aboriginal relations. Some project proponents are better
than others at consulting with Aboriginal communities and addressing Aboriginal
interests. There are compelling examples of projects being compromised prior to the
commencement of an environmental assessment because Aboriginal communities were
not effectively engaged at the outset. Governments have a vested interest to ensure
that a proponents consultation efforts and activities are effective.
Similarly, it may be necessary for the Crown to consider intervening in situations where,
for instance, an Aboriginal group refuses to engage in good faith consultations.
Ultimately, the Crown must satisfy the duty to consult.
Refinements to Canadas Approach
In light of these issues, there are adjustments that Canada could consider to refine
its approach. I believe there is a need for Canada to take on an earlier and more
expansive role.
Canada can do this by focusing on relationship-building, engaging outside the
consultation process, and addressing Aboriginal interests beyond projectspecific issues.
Canada can also develop a policy framework clearly setting out the respective roles
and responsibilities of Canada and industry with respect to Aboriginal consultations.
Canada should oversee industrys consultation efforts at an earlier stage in order
to assess the progress being made. Where Canada determines that those efforts
are lacking, it should be prepared to guide the project proponent in order to achieve
a better outcome.
Recommendations
For major projects, Canada should develop a federal framework and timeframe
for Crown engagement with Aboriginal groups. This framework will ensure that
engagement is implemented in a consistent manner across all federal departments
and agencies.
Canada should consider undertaking early engagement to address Aboriginal
interests that may not be dealt with in a regulatory process.
Canada should define and articulate its view about the Crowns and industrys
respective roles and responsibilities with respect to the duty to consult.
For major projects, Canada should advise or guide project proponents where
Canada determines a proponent is not effectively discharging the procedural aspects
of the duty to consult.
Canada should engage, and conduct consultations in addition to those in regulatory
processes, as may be required, to address issues and facilitate resolutions in exceptional
circumstances, including where:

a. Aboriginal territorial disputes are intractable;
b. despite reasonable efforts, industry is unable to meet Aboriginal

expectations in relation to a matter under federal jurisdiction; or
c. for other strategic reasons, Canada determines it is necessary

to engage with a particular Aboriginal group.
RECONCILIATION INITIATIVES
Canadian courts have admonished the Crown and Aboriginal communities to reconcile
their respective interests through a process of negotiation not litigation.
In Alberta, where there are historic treaties, the provincial government has described its
approach to reconciliation in a recently revised consultation policy: Alberta will seek to
reconcile First Nations constitutionally protected rights with other societal interests with a
view to substantially address adverse impacts to Treaty rights and traditional uses through
a meaningful consultation process.43
In British Columbia, where the majority of Aboriginal groups have not negotiated treaties,
Crown reconciliation efforts have been primarily focused on the negotiation of comprehensive claims. Given the length of time it takes to conclude treaties, governments and
Aboriginal groups recognize that interim steps towards reconciliation, as contemplated
by treaty making, are required.
Over the last decade, the government of British Columbia and strategically-placed
Aboriginal communities have transformed their relationships by establishing governmentto-government frameworks through bilateral non-treaty agreements that address
Aboriginal rights and respond to a range of resource development issues, including
land and resource planning, decision making, and revenue sharing. British Columbia
has been willing to try different approaches to reconciliation, and to adjust its approach
to achieve mutually beneficial arrangements. The government of British Columbia and
some Aboriginal groups are proposing that Canada replicate this model in areas of
federal jurisdiction.
Until recently, Canada has focused its reconciliation efforts solely on negotiating
comprehensive treaties, and has not pursued other approaches that could be seen
as disincentives to treaty-making. Canada could meet its interests by negotiating
reconciliation protocols with Aboriginal communities that establish government-togovernment arrangements in areas of federal jurisdiction and decision making.
In the last two years, Canada has undertaken several initiatives intended to advance
the reconciliation agenda, including:

the Crown-First Nations Gathering in January 2012, and the follow-up meeting on
January 11, 2013 between the Prime Minister and Assembly of First Nations Chiefs;
the New Approach to Comprehensive Claims and Self-Government Negotiations; 44
and
the Senior Oversight Committee on Comprehensive Claims.45
43 The Government of Albertas Policy on Consultation with First Nations on Land and Natural Resource Management, 2013,
http://www.aboriginal.alberta.ca/documents/GoAPolicy-FNConsultation-2013.pdf.
44 The New Approach is focused on a recommitment to expediting treaty negotiations where there are prospects for reaching
agreement and a recognition there may be other processes or agreements for recognition and reconciliation in addition to
comprehensive treaties. See http://www.aadnc-aandc.gc.ca/eng/1346437606032/1346437640078.
45 The Senior Oversight Committee is tasked with the reform of treaty negotiations policy to greater reflect the themes
of reconciliation and recognition. Seehttp://www.aadnc-aandc.gc.ca/eng/1365801483477/1365801579040.
These efforts are encouraging and have the potential to improve the relationship between
Canada and Aboriginal groups. It is important to recognize that advancing CrownAboriginal relations cannot be done in isolation. When governments seek to advance
their interests in issues such as energy infrastructure, they have to be prepared to address
subjects on the agendas of Aboriginal communities. In British Columbia, there is an
overriding Aboriginal interest in fish and Canada has been slow to address that issue
both in and out of treaty. In the context of the overall relationship, Canada needs
to demonstrate both interest and resolve to tackle difficult issues.
Coastal First Nations, who represent Aboriginal communities on the central coast of
British Columbia, and Haida Nation have each made proposals to Canada to establish
shared decision-making frameworks in federal areas of jurisdiction over fisheries and
marine management. The proposals are different but both support the concept of
establishing a government-to-government relationship where Aboriginal groups have
direct input into federal decision making that could affect their Aboriginal rights.
Recommendations
Canada should take steps to negotiate non-treaty, government-to-government
arrangements such as consultation protocols, incremental treaty measures, and
reconciliation agreements with Aboriginal groups, independent of or in collaboration
with British Columbia.
Canada should enter into negotiations to advance reconciliation measures in areas of
federal jurisdiction and responsibility in response to proposals from Coastal First Nations
and Haida Nation.
FACILITATING THE RESOLUTION OF SHARED TERRITORIES
Conflict over traditional territorial boundaries is a longstanding issue among Aboriginal

communities. The preoccupation in Canadian law with defined geographical boundaries
has perpetuated existing divisions among Aboriginal groups. It also creates winners and
losers. Aboriginal communities that are in the path of developments are eligible for a
range of benefits: those on the periphery are not.
The impact of overlapping claims should not be underestimated the spectre of endless
conflict among Aboriginal groups, including litigation, may influence final investment
decisions. Industry is not equipped nor should it be expected to resolve competing claims,
and looks to the Crown to facilitate resolution of these disputes. Ultimately, shared territory
disputes are best resolved by Aboriginal communities, whether through negotiations or
an acceptable dispute resolution process.
Aboriginal organizations in British Columbia have been trying to address overlapping
claims for some time. More than fifteen years ago, the First Nations Summit adopted a
protocol to deal with shared territory issues. As recently as 2013, the First Nations Summit
declared overlapping territories a priority and directed a task group to develop principles,
a process, and a dispute resolution mechanism. Although finding solutions to shared
territory disputes is challenging, Aboriginal groups should take steps to resolve them.
Proposed developments in areas of overlapping claims may crystallize or escalate territorial disputes given the potential benefits at stake. In such instances, Aboriginal groups can
either maintain the dispute or participate in approaches to seek a collaborative outcome.
If Aboriginal communities are unable or unwilling to resolve disputes, Canada may be
compelled to intervene by undertaking strength of claim assessments to identify the
scope and depth of consultation and potentially advise on the apportionment of benefits.
The Crowns assessment may also have longer-term implications in other areas for those
Aboriginal groups. However, collaborative approaches are preferred because they place
solutions in the hands of the participants and do not require determinations of territorial
boundaries or government intervention.
Recommendations
Canada should encourage and support Aboriginal initiatives that have the potential
to address shared territory disputes including processes between Aboriginal groups
and broader proposals from Aboriginal organizations.
In areas impacted by major projects, where territorial overlap disputes exist, Canada
should undertake strength of claim assessments (in conjunction with provincial
governments where appropriate) to advise on the required level of consultation
and apportionment of benefits.
Canada should establish a federal policy framework and guidelines to address shared
territory disputes in the context of major project developments in a consistent manner
across all federal departments and agencies.
Taking Action
TAKING ACTION
In order to build on the momentum created by the initial engagement between Aboriginal
leaders and senior federal officials, I recommend Canada take action to work with its
partners and enhance its ability to work effectively.
CROWN-FIRST NATIONS TRIPARTITE ENERGY WORKING GROUP
This report encourages Canada to advance its interests in the Projects in collaboration
with Aboriginal communities, local and provincial governments, and industry. Many
of the recommendations contemplate Canada working in concert with these parties.
However, it is apparent that each of the parties has been neither attentive nor effective
in addressing the others interests.
Representatives from the government of British Columbia and Aboriginal leaders have
proposed that a Crown-First Nations tripartite energy working group be mobilized to
advance energy-related issues. Canada and British Columbia would designate senior
officials to coordinate each governments participation. Aboriginal representatives
would alternate depending on a specific Project or regional focus.
Although the interests of each of the parties differ in many important respects, there
is a broader shared interest that can bring the parties together. The working group
would provide an effective venue for Canada to engage and coordinate with the other
parties on the basis of this shared interest as it implements recommendations I have
made in the following areas:

promoting a principled and informed dialogue about resource development;

participating in regional planning;
facilitating environmental stewardship and habitat enhancement initiatives;
advancing pipeline and marine safety strategies;
supporting regional or sectoral collaborations among Aboriginal communities;
encouraging flexible and innovative models to facilitate Aboriginal participation
in economic development, including Aboriginal training, employment, and
business opportunities; and
where appropriate, pursuing reconciliation measures to address key areas
of federal and provincial jurisdiction.
Operating principles for a Crown-First Nations tripartite energy working group, proposed
for Canadas consideration, are outlined below:

create a process to engage Canada, British Columbia, and Aboriginal communities

on a government-to-government basis in a productive approach to reconciliation
and effective relationship building in relation to the Projects;
seek out interest-based solutions in relation to the Projects for the benefit
of all parties, recognizing shared short-term and long-term interests;
develop approaches to address legal requirements about Aboriginal and treaty rights;
establish a framework to allow energy infrastructure projects and related interests and
concerns to be considered through respectful and sustained dialogue. The framework
will identify:
desired outcomes,
possible tools and approaches,
roles and responsibilities of the involved parties;
be adequately resourced;
participate in discussions that are open, transparent, and without prejudice;
obtain and disseminate relevant information on a timely basis to Canada,
British Columbia, and Aboriginal communities;
identify local, regional, and national interests that can be addressed through the
development of economic, social, and environmental stewardship initiatives;
recognize and respect government-to-government relationships and responsibilities;
and
explore the varied options and possibilities to facilitate Aboriginal participation
in energy development.
Canada and the government of Alberta should consider this or other collaborative
approaches.
Recommendation
Canada, represented by senior officials, should participate in a working group with
Aboriginal leaders and the government of British Columbia as a venue to advance
open and practical dialogue about each partys issues and interests including the
recommendations in this report.
INTERNAL FEDERAL INITIATIVES
Aboriginal groups, provincial governments, and industry want Canada to address their
respective varied and at times competing interests through a coordinated approach.
Canada has responded to this concern for industry by creating the Major Projects
Management Office, but has yet to find an effective approach to address Aboriginal
interests. Although Canada has already implemented initiatives to address specific
resource development issues (e.g., Transport Canadas Tanker Safety Expert Panel, the
LNG working group with British Columbia, and engagement by Ministers and Deputy
Ministers with Aboriginal communities in British Columbia), this approach has yet to
effectively address the broad range of Aboriginal issues associated with these
Projects in Alberta and British Columbia.
Canada therefore needs to strategically coordinate its activities at both the political
and departmental level to address Aboriginal interests in relation to projects of
national importance.
There is an opportunity to adopt a whole of government approach that is regionally-based
and takes advantage of local federal officials who have developed relationships with
Aboriginal groups.
It would also be useful, in my view, for federal officials to undertake cultural awareness
training to enable more effective relationships with Aboriginal communities. Industry
has adopted such training which promotes a greater awareness and understanding
of Aboriginal culture, practices, and protocol.
Recommendations
Canada should designate one or more senior officials to implement the broad vision,
take the lead, and be responsible for federal engagement with provincial government,
Aboriginal groups, and industry, and to be accountable for outcomes.
Canada should build on the model it has developed with the Major Projects Management
Office, and establish a sustained presence of senior officials on the ground in British
Columbia with capacity to coordinate and enable Crown engagement and consultations
with Aboriginal communities on key issues related to the development of energy
infrastructure.
Canada should develop its internal capacity to engage effectively with Aboriginal groups
and individuals by providing cultural awareness training for federal officials at all levels.
SUMMARY
Canada and Aboriginal communities are at a critical juncture in their relationship.
The development of west coast energy infrastructure provides an opportunity to
forge partnerships and build relationships.
There is a strong interest and real opportunity for Canada and Aboriginal Canadians
to more effectively collaborate to address their respective interests. Three integral
components to meet this objective are establishing trust, fostering inclusion, and
advancing reconciliation. This will require practical steps and concrete action.
Although this report is being delivered to the Government of Canada, it is my hope
that it will be viewed by interested parties as an objective assessment of the current
environment, and that the proposed recommendations will be accepted as a
constructive starting point.
AP P ENDIX A MA N DAT E
MY MANDATE IS TO:

communicate directly with Aboriginal communities, industry stakeholders, and

provincial and local government authorities to gain a better understanding of issues
and opportunities related to the development of west coast energy infrastructure,
including factors that would affect Aboriginal interests in relation to this development;
share information with Aboriginal communities on the federal pipeline and marine
safety initiatives, including the review by the Tanker Safety Experts Panel, and identify
factors and propose options to facilitate Aboriginal participation in new initiatives
proposed to ensure world class marine and pipeline safety;
identify factors affecting Aboriginal participation in employment and business

opportunities arising from the development of west coast energy infrastructure and
propose options to address and promote Aboriginal interests and to enable Aboriginal
communities to create more business and employment opportunities; and
identify factors affecting Aboriginal participation in addressing environmental

and socio-economic issues in relation to the development of west coast energy
infrastructure and propose options to increase that participation.
APPENDIX B PROPO SE D PROJE C TS

Status of West Coast Energy Infrastructure Projects1
OIL PROJECTS
NORTHERN GATEWAY PIPELINE / ENBRIDGE NORTHERN GATEWAY
Enbridge is proposing to construct and operate a 525,000 barrels per day petroleum
export pipeline from Edmonton, Alberta to Kitimat, BC. The proposed project consists of
a 1,170 km-long petroleum export pipeline, a condensate import pipeline, and a marine
terminal. The project has an anticipated capital cost of $6.5 billion, and is expected to
generate 3,000 construction jobs, and provide 1,150 long-term jobs.
Aboriginal Interest: The proponent has engaged 70 Aboriginal groups
Planned In-Service Date: 2018
TRANS MOUNTAIN PIPELINE EXPANSION / KINDER MORGAN
Kinder Morgan is proposing a $5.4 billion expansion of the Trans Mountain Pipeline system
that would increase capacity from 300,000 barrels per day (b/d) to 890,000 b/d of crude
oil and petroleum products from Alberta to Burnaby, BC. Approximately 30% of the existing
Trans Mountain Pipeline was looped or twinned in 2008. The proposed expansion would
twin the remainder of existing pipeline within the existing right-of-way, where possible,
and add approximately 981 kms of new pipeline. The project would employ approximately
4,500 people during construction and 100 people once in operation.
Aboriginal Interest: 103 potentially-impacted Aboriginal groups identified
KITIMAT CLEAN REFINERY / KITIMAT CLEAN
Kitimat Clean has proposed the construction and development of an export-oriented
550,000 barrel per day petroleum refinery, approximately 25 km north of Kitimat, BC.
Refined products would be shipped from a marine terminal located on the Douglas Channel,
near Kitimat. The project would require an estimated $18 billion capital investment and,
once built, would be the largest petroleum refinery in Canada and western North America.
Aboriginal Interest: TBD
Planned In-Service Date: TBD
NATURAL GAS PROJECTS / PRINCE RUPERT

PACIFIC NORTHWEST LNG TERMINAL / PROGRESS ENERGY CANADA /
JAPAN PETROLEUM EXPLORATION
Progress Energy Canada (a subsidiary of Petronas) and Japan Petroleum Exploration
(Japex) are proposing to construct and operate a $911 billion natural gas liquefaction
project on Lelu Island within the Port of Prince Rupert. The proposed project is anticipated
1 Information provided by project proponents, for example through project descriptions or regulatory documents.
to have an initial two train design of 12 million tonnes per annum (MTPA) with the potential
to add a third train for up to 18 MPTA. The project would employ approximately 3,500
people at the peak of construction, and 200-300 people during operations. The proposed
Prince Rupert Gas Transmission Pipeline would supply gas to the terminal.
Planned In-Service Date: Late 2018
PRINCE RUPERT LNG TERMINAL / BG ENERGY GROUP
BG Energy Group is proposing to construct and operate an $1116 billion natural gas
liquefaction project on Ridley Island within the Port of Prince Rupert. The proposed project
is anticipated to have an initial two train design of 14 MTPA with the potential to add a
third train for up to 21 MPTA. The project would provide approximately 9,000 personyears of employment for the construction of trains one and two, and an additional 3,500
person-years for train three. Once all three trains are in place, that facility would provide
employment for approximately 250 employees. The proposed West Coast Connector
Gas Transmission project would supply gas to the terminal.
Planned In-Service Date: Early 2020
WEST COAST CONNECTOR GAS TRANSMISSION / SPECTRA AND BG GROUP
Spectra Energy and the BG Group are proposing to construct and operate a $69 billion
gas pipeline from northeastern British Columbia to the Prince Rupert LNG facility located
in the Port of Prince Rupert (~900 km). The proposed project will consist of either one or
two adjacent pipelines of 36" to 48" pipe with a capacity of up to 4.2 billion cubic feet per
day (bcf/d). The proposed project would employ approximately 3,500 people during peak
construction and 200 to 300 over a 30 year project lifespan.
Aboriginal Interest: Approximately 20 potentially-impacted Aboriginal groups identified
PRINCE RUPERT GAS TRANSMISSION PIPELINE / TRANSCANADA PIPELINES
TransCanada Pipelines is proposing to construct and operate a $5 billion natural gas
pipeline from northeast of Hudsons Hope, BC to the Pacific Northwest LNG facility in
Prince Rupert (~750 km). The proposed project will consist of a 48" pipe with a capacity
of up to 3.6 bcf/d. Anticipated employment associated with the pipeline is 4,4005,500
person years during construction and 3040 permanent jobs during operations.
NATURAL GAS PROJECTS / KITIMAT

LNG CANADA TERMINAL / SHELL CANADA AND PARTNERS
Shell Canada and its partners (Korea Gas, Mitsubishi and PetroChina) are proposing to
construct and operate a $1015 billion natural gas liquefaction project near Kitimat, BC.
The proposed project is anticipated to have an initial two-train design of 12 MTPA with
the potential to add 2 additional trains for up to 24 MPTA. The project would employ
approximately 5,500 employees during peak construction and 200-400 employees
after full build. The proposed Coastal GasLink Pipeline would supply gas to the terminal.
Planned In-Service Date: 2019 (for initial design)
KITIMAT LNG TERMINAL / CHEVRON AND APACHE

Chevron and Apache are proposing to construct and operate a $4.5 billion natural gas
liquefaction project near Kitimat, BC. The proposed project is anticipated to have an initial
plant capacity of 5 MTPA with the potential to expand capacity to 10 MPTA or more. The
project would employ approximately 700 people during construction and 50 people once
in operation. The proposed Pacific Trail Pipelines would supply gas to the terminal.
Aboriginal Interest: 1 potentially-impacted Aboriginal group identified
DOUGLAS CHANNEL LNG TERMINAL / BC LNG EXPORT CO-OP AND
DOUGLAS CHANNEL ENERGY PARTNERSHIP
BC LNG Export Co-operative and Douglas Channel Energy Partnership are proposing to
construct and operate a $400 million barge-based natural gas liquefaction project near
Kitimat, BC. The project is anticipated to have an initial capacity of 0.9 MTPA of natural
gas with a total capacity of 1.8 MTPA.
Aboriginal Interest: 1 potentially-impacted Aboriginal group identified
Planned In-Service Date: Unknown
COASTAL GASLINK PIPELINE / TRANSCANADA PIPELINES
TransCanada Pipelines is proposing to construct and operate a $4 billion pipeline to
deliver natural gas from the area west of Dawson Creek, BC to the LNG Canada Project
in Kitimat, BC (~650 km). The project will initially have the capacity to flow approximately
1.7 bcf/d of natural gas and could deliver up to approximately 5.0 bcf/ day. The pipeline
would provide 2,000 to 2,500 direct jobs during construction and 1520 permanent
positions once in operation.
PACIFIC TRAIL PIPELINES / APACHE AND CHEVRON
Apache and Chevron are proposing to construct and operate a $1.3 billion natural gas
pipeline from Summit Lake, BC to Kitimat (~470 km). The project will consist of a 42"
pipe with a capacity of up to 1.4 bcf/d.
OTHER PROPOSED PROJECTS IN BRITISH COLUMBIA

PACIFIC NORTHERN GAS LOOPING PROJECT / PACIFIC NORTHERN GAS
Pacific Northern Gas is proposing a $1.3 billion upgrade to its transmission pipeline
capacity by looping (twinning) its existing natural gas transmission system between
Summit Lake, BC and Kitimat, BC (~525 km). The pipeline would transport approximately
600 million cubic feet per day (mcf/d), and provide between 1,800 and 2,400 direct person
years of work during construction.
WOODFIBRE LNG TERMINAL / WOODFIBRE NATURAL GAS

Woodfibre Natural Gas Limited (WNGL) is proposing the development and operation of a
LNG production, storage and marine carrier LNG transfer facility located on the previous
Woodfibre Pulp and Paper Mill site in Squamish, BC. The proposed project is anticipated to
have a capacity of 2.1 MTPA of LNG. The project would provide approximately 600 person
years of direct employment during construction and 2,500 person years of employment
during operations. Natural gas will be delivered to the Woodfibre site through the existing
and expanded FortisBC pipeline.
WCC LNG PROJECT / EXXON / MOBIL / IMPERIAL OIL
Exxon/Mobil/Imperial Oil are proposing to construct and operate a natural gas liquefaction
project in either Kitimat or Prince Rupert, BC. The project is anticipated to export up to
30 MTPA of LNG.
TRITON LNG / ALTAGAS AND IDEMITSU KOSAN
Triton LNG LP, an equal partnership between Canadian AltaGas Ltd. and Japanese
Idemitsu Kosan Co., Ltd., is proposing a Floating Liquefaction Storage and Offloading
(FLSO) vessel, with two liquefaction trains and storage capacity. It is anticipated that the
FLSO vessel will have an annual production capacity of approximately up to 2.3 MTPA.
The project site has not yet been selected, but locations have been identified in the
vicinity of Kitimat and Prince Rupert, BC. Natural gas will be delivered to the site
through the existing and expanded Pacific Northern Gas pipeline.
AURORA LNG / NEXEN ENERGY
Nexen Energy, a wholly-owned subsidiary of CNOOC Limited, has entered into an
exclusive agreement with the Government of British Columbia to examine the viability
of constructing a LNG plant and export terminal at Grassy Point near Prince Rupert, BC.
DISCOVERY LNG / QUICKSILVER RESOURCES CANADA
Quicksilver Resources is considering the development of a project involving the
construction and operation of natural gas liquefaction, storage and on-loading facilities
on the north side of Campbell River, BC.
Planned In-Service Date: 2019 (Phase I)
EAGLE MOUNTAIN WOODFIBRE GAS PIPELINE PROJECT / FORTISBC
FortisBC is planning a $350 million upgrade to its natural gas pipeline running from
Coquitlam to the Woodfibre industrial site near Squamish, BC. The expansion includes
the addition of an approximately 52 km long 20" diameter natural gas pipeline.
Anticipated employment during the construction phase is 500650 person years.
APPENDIX C C ON SOL IDAT E D L IST OF

RECOMMENDAT IO N S
Canada should promote a principled dialogue about resource development with Aboriginal
communities in Alberta and British Columbia. This can be accomplished, in conjunction
with provincial and local governments and industry, by convening conferences, workshops,
and community forums to improve knowledge about the energy sector and major projects.
Where federal jurisdiction is engaged, Canada should collaboratively participate in
regional planning with provincial governments, Aboriginal communities, local governments, and other stakeholders to effectively assess cumulative effects and encourage
sustainable development.
Canada should establish a joint initiative with Aboriginal groups for environmental
stewardship and habitat enhancement to address concerns about cumulative effects
of major resource projects.
Canada should coordinate and convene the participation of key stakeholders including
Aboriginal groups, governments, industry, non-governmental organizations, and scientists,
to advance pipeline and marine safety and strategies to mitigate potential impacts of oil
spills on the terrestrial and marine environment.
Canada, in conjunction with industry and provincial governments, should support:
a.

Aboriginal
participation in marine traffic management and emergency
response planning;
b.

training
and coordination of Aboriginal communities in terrestrial and
marine monitoring and emergency response, using existing organizations
where appropriate, such as FNESS and WCMRC;
c.

acquisition
of appropriate equipment and infrastructure by Aboriginal
communities for terrestrial and marine monitoring and emergency
response; and
d.
invest in technologies for oil spill clean-up.
Canada should ensure that marine preparedness and response plans are publicly available.
Aboriginal leaders should engage in community-based strategic planning to:
a.
undertake existing community skills and training needs;
b.

encourage
members to pursue training, education, employment, and
business opportunities where they exist; and
c.
identify suitable business development and entrepreneurial opportunities.
Canada should sponsor and coordinate regional strategic planning with Aboriginal groups,
industry, and local and provincial governments, educational institutions, and training
providers, to ensure education, skills, and employment training are coordinated, flexible,
and targeted to meet the needs of Aboriginal people and employers in areas impacted
by the Projects.
Canada should target funding for Aboriginal education, pre-employment skills development, and skills training in a manner that is responsive to the needs and timelines identified in the regional strategic plans, and sufficiently flexible to address chronic barriers to
employment.
Canada should collaborate with its partners to enhance access to employment and
business counselling services, community supports, and office infrastructure, to support
Aboriginal people and to implement regional strategic plans. This includes establishing
direct relationships and accountability between regional service providers and
neighbouring Aboriginal communities to support their members.
Canada, Aboriginal communities, and industry should create a forum to share best
practices about successful training, employment, and procurement initiatives to improve
Aboriginal training and employment outcomes.
Canada should ensure that federal programs address the need for capital and other
financial support for Aboriginal businesses participating in opportunities related to
major projects.
Canada should facilitate and support tribal and sectoral associations to achieve defined
objectives in areas such as marine and land use planning, capacity building, energy
literacy, strategic planning, employment, and business opportunities.
Canada should continue to encourage industry and Aboriginal groups to develop
flexible and innovative models to facilitate Aboriginal participation in economic
development projects.
Canada should consider conditions for access to capital where an Aboriginal group or
collective brings forward a proposal to obtain an economic interest in a Project.
For major projects, Canada should develop a federal framework and timeframe for Crown
engagement with Aboriginal groups. This framework will ensure that engagement is
implemented in a consistent manner across all federal departments and agencies.
Canada should consider undertaking early engagement to address Aboriginal

interests that may not be dealt with in a regulatory process.
Canada should define and articulate its view about the Crowns and industrys respective
roles and responsibilities with respect to the duty to consult.
For major projects, Canada should advise or guide project proponents where Canada
determines a proponent is not effectively discharging the procedural aspects of the
duty to consult.
Canada should engage, and conduct consultations in addition to those in regulatory
processes, as may be required, to address issues and facilitate resolutions in exceptional
circumstances, including where:

a. Aboriginal territorial disputes are intractable;
b. despite reasonable efforts, industry is unable to meet Aboriginal

expectations in relation to a matter under federal jurisdiction; or
c. for other strategic reasons, Canada determines it is necessary

to engage with a particular Aboriginal group.
Canada should take steps to negotiate non-treaty, government-to-government

arrangements such as consultation protocols, incremental treaty measures, and
reconciliation agreements with Aboriginal groups, independent of or in collaboration
with British Columbia.
Canada should enter into negotiations to advance reconciliation measures in areas of
federal jurisdiction and responsibility in response to proposals from Coastal First Nations
and Haida Nation.
Canada should encourage and support Aboriginal initiatives that have the potential
to address shared territory disputes including processes between Aboriginal groups
and broader proposals from Aboriginal organizations.
In areas impacted by major projects, where territorial overlap disputes exist, Canada
should undertake strength of claim assessments (in conjunction with provincial
governments where appropriate) to advise on the required level of consultation
and apportionment of benefits.
Canada should establish a federal policy framework and guidelines to address shared
territory disputes in the context of major project developments in a consistent manner
across all federal departments and agencies.
Canada, represented by senior officials, should participate in a working group with

Aboriginal leaders and the government of British Columbia as a venue to advance
open and practical dialogue about each partys issues and interests including the
recommendations in this report.
Canada should designate one or more senior officials to implement the broad vision,
take the lead, and be responsible for federal engagement with provincial government,
Aboriginal groups, and industry, and to be accountable for outcomes.
Canada should build on the model it has developed with the Major Projects Management
Office, and establish a sustained presence of senior officials on the ground in British
Columbia with capacity to coordinate and enable Crown engagement and consultations
with Aboriginal communities on key issues related to the development of energy
infrastructure.
Canada should develop its internal capacity to engage effectively with Aboriginal groups
and individuals by providing cultural awareness training for federal officials at all levels.
ACK NOW LE D GE ME NTS
I wish to express my gratitude to the many Aboriginal communities I visited in

Alberta and British Columbia. I was always warmly welcomed by community
members who generously shared their time.
As well, I am grateful for the constructive advice and assistance provided by
representatives of the Alberta and British Columbia governments and industry.
I also wish to acknowledge the contribution and assistance of Natural Resources
Canada; the West Coast Energy Infrastructure Secretariat; and Amanda Roelofsen,
Ruby Porter, Ben Clermont, and Brian Martin.
The opinions expressed are those of the authors and do not necessarily reflect the views of the
Government of Canada.
ISBN 978-1-100-22989-8
Catalogue No. M4-109/2013E-PDF
Her Majesty the Queen in Right of Canada, represented by the Minister of Natural Resources, 2013.
This material may be freely reproduced for non-commercial purposes provided that
the source is acknowledged.
Know how. Know now.
HEF 601
Participant Guide
Making it Happen: Building Positive

Relationships with Children
Tonia Durden, Early Childhood Extension Specialist
Goal:
This program provides information to help adults
build positive, nurturing, responsible, and dependable
relationships with the infants, toddlers, and preschoolers
in their care.
Objectives:
This program focuses on ways you can develop supportive relationships with the child(ren) in your care.
You will be introduced to several evidence-based practices and resources developed by the Center on the Social
and Emotional Foundations for Early Learning (CSEFEL) that will help you establish nurturing and trusting
relationships with the children.
The Importance of Relationships
After completing this lesson, you will:

have learned strategies to promote childrens social
emotional development,
be able to identify strategies that can be used to
build positive relationships with children,
understand how to encourage childrens positive
social behaviors,
have a better understanding of the importance of
building relationships with the child(ren) in your
care.
Introduction
Did you know that supporting the social and emotional development of young children is key to their
overall healthy growth and development, and to readying
them for preschool?
Through trusting relationships with adults, young

children learn about their world and their place in it.
They learn the world is safe and responsive to their
needs. They learn to form satisfying relationships with
others, to communicate, to face challenges, and to experience and regulate their emotions.
Supporting a childs healthy social and emotional
growth takes commitment from all primary caregivers
in the childs life. This includes mothers, fathers, grandparents, child care providers and other key adults in the
childs life. Its important to remember that young children observe our relationships, and what they observe
shapes their expectations for how people treat each other
and, therefore, shapes their developing social skills and
emotional competence.
Since relationships are constantly adjusting to
changes in development, we need to understand the
course of social emotional development.
Extension is a Division of the Institute of Agriculture and Natural Resources at the University of
NebraskaLincoln cooperating with the Counties and the United States Department of Agriculture.
University of NebraskaLincoln Extension educational programs abide with the nondiscrimination
policies of the University of NebraskaLincoln and the United States Department of Agriculture.
2011, The Board of Regents of the University of Nebraska on behalf of the
University of NebraskaLincoln Extension. All rights reserved.
The Pyramid Way

The Pyramid Model focuses on the social
emotional development and school readiness
of young children.
To learn more about the Pyramid Model,
visit:
Center on the Social Emotional Foundations for Early Learning (CSEFEL)
http://csefel.vanderbilt.edu/
The Early Childhood Training Center,
http://www.education.ne.gov/oec/
ectc.html, is part of the Nebraska
Department of Educations Office
of Early Childhood and provides
state leadership for Nebraskas early
childhood professional development
system.
_________________________________
Early Childhood FRIENDS

http://www.education.ne.gov/OEC/
teaching_pyramid/index.html
(Fostering Relationships and Emotional
Health to Nurture Developmental
Success) utilizes the Pyramid Model
framework to promote the social
emotional development of young
children in Nebraska.
Additional Resource
University of NebraskaLincoln Resources on Early Childhood Development: http://child.unl.edu
What is social emotional development?

According to CSEFEL, the term social emotional development refers to the developing capacity of the child,
from birth through five years of age, to:
form close and secure adult and peer relationships;
experience, regulate, and express emotions in
socially and culturally appropriate ways; and
explore the environment and learn all in the
context of family, community, and culture.
What key terms in this definition stand out to you as
very important?
Relationships vs. Interactions

What is the difference between relationships and
interactions? Watch the video clip by clicking on the
picture. Observe the interactions between the very young
children and their caregivers. Pay particular attention to
what the adult does and says. What do you notice?
2
When positively interacting with young children,

adults:
use a warm, engaging, and comforting voice,
follow the childs lead,
are responsive,
say the childs name,
respond to childs vocalizations, and
use good positioning so the child can see care
givers face or the play objects.
The Board of Regents of the University of Nebraska. All rights reserved.
What are other ways to positively interact with the

infants, toddlers, and preschoolers in your care?
Repeated interactions lead to fairly predictable
relationships because the infant or young child begins
to know how you will respond to him or her. This pattern of responses creates the emotional connection the
child has to you. Most adults respond to children in
predictableways and they, too, form emotional connections when they repeatedly care for the young child.
Therefore, the key to building positive relationships with
young children starts with establishing a pattern of positive interactions with the child.
Take a look at the pictures below. What is the child
doing that tells us he or she is inviting or participating in
a relationship? How are the adults positively interacting
with the child?
Forming Close and Secure Relationships

When we consistently and lovingly meet the needs
of the young child in our care, secure attachments are
formed. Children who develop secure attachments to one
or more adults are more likely to develop positive social
and emotional skills. They know they can rely on adults
to meet their needs, to respond to them, and to comfort
them. They feel important and begin to develop a sense
of competence and confidence.
When adults are unpredictable, unresponsive, insensitive, or even threatening, insecure attachments develop.
Insecure attachments can make children feel badly about
themselves and feel they are unimportant. They may feel
a lack of control over their environment and may struggle to develop positive relationships with others. Secure
and insecure attachments are reflective of the quality of
the relationships between caregivers and children.
Take a look at the video clip. What is this mother doing to support attachment?
Making eye contact

Speaking to the child or responding to the childs
vocalizations
Holding the child so the child can see the adults
face
Building Positive Relationships with

Children
Positive relationships with young children support
their development of secure attachments. How do you
effectively build relationships with children? One way is
by making deposits in childrens emotional banks.
Emotional Banks
Holding children so they can see each other

Engaging with children in a fun environment
We make deposits when we do things to build relationships, and we make withdrawals when we engage in
behaviors that are detrimental to relationship building.
For example, when responding to childrens behavior, we
may say NO!

No hitting!
Dont run!
No coloring on the wall!
No, no, no!
Instead we can use encouraging and positive words

to tell the child what to do instead of what not to do. Here
are some tips that will make deposits into childrens
emotional banks.
Get the childs attention.
Be specific.
Keep it simple (try to avoid combining encouragement with criticism).
Use enthusiasm to encourage the child.
Double the impact with physical warmth.
Use positive comments and encouragement in
front of others.
Now take a look at the piggy bank below. For each
coin, write how you plan to make deposits into a childs
emotional bank.
Here are a few ideas for making deposits:

Acknowledge childrens efforts.
Find out what a childs favorite book is and read it
to them.
Use descriptive, encouraging comments (examples
are provided in Handout 1.7 Building Relationships and Creating Supportive Environments
Play with the child(ren); follow their lead.
Let the child(ren) make All About Me books and
share them.
Give hugs, high fives, and thumbs up upon accomplishments and displaying positive behaviors.
Want additional ideas on how to build positive
relationships with young children? Read Handout 1.5
Building Positive Relationships with Young Children.
Review: Making it Happen!

Promoting social emotional development requires a
comprehensive approach that includes building positive
relationships by:
positively interacting with young children,
supporting childrens development of secure
attachments, and
makingdeposits into childrens emotional bank.
Consider ways you can continue to build positive
relationships with the child(ren) in your care! For
additionalresources and information on the Pyramid
Model, visit http://child.unl.edu.
Thanks for participating in this program!
Please complete the evaluation.
Module 1
Handout 1.7: Building Relationships and Creating Supportive Environments
Some Starters for Giving Positive Feedback and Encouragement

for Effort, Thinking, and Problem Solving
You did a dynamite job of solving that problem
You have really learned how to
You must feel proud of yourself for
Excellent idea for
Youve done a wonderful job at
See how _______has improved in
You have worked so hard
Look how well s/he did at
Thats a resourceful way of
WOW!! What a fabulous job youve done of
Thats a cool way to
Im so appreciative that you
You put a lot of work in to make that picture the

way you wanted
Youve really grown up because you
You are a real problem solver for
Brilliant thinking for
Give me an EXTRA HUGE high five for
Tell me what you like best about your creation.
Class, I have an announcement! Lets all give a hip, hip hooray to _____ for _____
I really appreciate the way all of you have your eye on the story and are listening so carefully
so you dont miss any part of the story.
Your favorites here
BACK
Developed by the Center on the Social and Emotional Foundations for Early Learning, Vanderbilt University, and used with permission.
Rev. 2/10
The Center on the Social and Emotional Foundations for Early Learning
Vanderbilt University
vanderbilt.edu/csefel
H 1.7
Module 1
Building Positive Relationships with

Young Children
Gail E. Joseph, Ph.D., & Phillip S.
Strain, Ph.D.
Center on Evidence Based Practices
for Early Learning
University of Colorado at Denver
he fundamental importance of
building positive relationships
with children can be best
illustrated by the following scenarios.
Helen and her 30-month-old daughter,

Lucy, have a long-standing morning
tradition of going to a neighborhood
park and playing with other parents
and children. They spend anywhere
from 1 to 2 hours each day at the park.
This day, however, Helen receives an
emergency call and needs to return to
their home immediately. She and Lucy
have been at the park for about 10
minutes, and Lucy is playing cooks
with her best friend Tito. Helen says to
Lucy, Honey, Im sorry, but you and
Mommy have to go home right now.
Everything is O.K., but we have to
go. Lucy begins to whimper and says,
But, I was playing with Tito. Helen
reaches down and hugs Lucy, saying,
I know. Lets call Titos mommy
when we get home and invite him over
to play later. Lucy says, O.K., and
she and her mom hurry home.
Eric has been a Head Start teacher
for 10 years. In that time, he has built a
reputation as the teacher for the tough
kids. This year, Bill is assigned to
Erics class because of Bills long
history of hyperactivity, negativity, and
aggression toward adults and peers.
Two months into the year, the Centers
administrator sheepishly asks Eric how
things are going with Bill. Eric replies,
Great, boy were folks wrong about
Bill. Somewhat flabbergasted, the

administrator decides to see for
himself. What he observes in less that
10 minutes is as follows. Eric says to
everyone, Look at Bill, he is sitting so
quietly in circle; too cool Bill! When
Bill answers a question about the story,
Eric says, Bill, thats right, you are
really concentrating today. When
transition is about to occur, Eric says,
Bill, can you show everyone good
walking feet to snack? At snack, a
peer asks Bill for juice, and he passes
the container. Eric, being vigilant, says,
Bill, thanks for sharing so nicely.
After completing a functional
behavior assessment, Erin, an ECSE
teacher, determines that Jessies longstanding tantrum behaviors in the class
are designed to acquire adult attention.
Erin institutes a plan to ignore Jessies
tantrums and to spend as much time
and attention when Jessie is not having
a tantrum. After four days of increased
tantrums, Jessies behavior has
improved dramatically.
In each of the foregoing scenarios,
adults were successful in achieving
improved behavior change in contexts
that many individuals might predict
would lead to continuing, even
escalating challenging behavior.
However, in each case, children were
obviously attuned to adults, focused on
their communication, and prone to
value and seek-out adult approval.
In each case, the adults had invested
time and effort prior to the events in
question, communicating their
noncontingent affection and
unquestioned valuing of these children.
We submit that this prior history of
positive relationship building is a
prerequisite to effective intervention
practices for challenging behavior and
thus goal one for adults and caregivers
6
Rev. 2/10
wishing to prevent challenging

behavior and enhance childrens sense
of well-being and social competence.
How does one go about the task of
relationship building?
Building Positive Relationships

Building positive relationships with
young children is an essential task and
a foundational component of good
teaching. All children grow and thrive
in the context of close and dependable
relationships that provide love and
nurturance, security, and responsive
interactions. A positive adult-child
relationship built on trust,
understanding, and caring will foster
childrens cooperation and motivation
and increase their positive outcomes at
school (Webster-Stratton, 1999). In a
review of empirically derived risk and
protective factors associated with
academic and behavioral problems at
the beginning of school, Huffman et al.
(2000) identified that having a positive
preschool experience and a warm and
open relationship with their teacher or
child care provider are important
protective factors for young children.
These protective factors operate to
produce direct, ameliorative effects for
children in at-risk situations (Luthar,
1993). Next, we describe some of the
key ingredients for relationship
building.
First Things First

Utilizing a relationship-building
model, proper sequencing of adult
behavior is critical. Simply put, adults
need to invest time and attention with
children as a precedent to the optimum
use of sound behavior change
strategies. There are two reasons that
this sequence is so important. First, it
H 1.5
(p. 1/3)
Module 1
should be noted that the protective

factors promoted during relationship
building can and do function to reduce
many challenging behaviors. As such,
taking the time to do relationship
building may save time that would be
spent implementing more elaborate and
time-consuming assessment and
intervention strategies. Second, as
adults build positive relationships with
children, their potential influence on
childrens behavior grows
exponentially. That is, children cue in
on the presence of meaningful and
caring adults, they attend differentially
and selectively to what adults say and
do, and they seek out ways to ensure
even more positive attention from
adults (Lally, Mangione, & Honig,
1988). It is this positive relationship
foundation that allowed Helen with
minimal effort to leave the park early
with Lucy, for Eric to experience Bill
in a much more positive way than prior
teachers, and for Erin to alter Jessies
tantrums in such short order.
It Takes a Lot of Love
Getting to Know You
A metaphor for building positive

relationships that we find particularly
helpful is that of a piggy bank.
Whenever teachers and caregivers
engage in strategies to build positive
relationships, it is as if they are
making a deposit in a childs
relationship piggy bank. Conversely,
when adults make demands, nag, or
criticize children, it is as if they are
making a relationship withdrawal. For
some children, because there has been
no prior effort to make deposits in their
relationship piggy bank, nagging,
criticism, and demands may be more
akin to writing bad checks! It may be
helpful to reflect on the interactions
you have with an individual child and
think to yourself, Am I making a
deposit or a withdrawal? Or, Have I
made any deposits in Bills piggy bank
today? Figures 1 and 2 represent
example deposits (Figure 1) in the
relationship bank or withdrawals
(Figure 2) from the bank.
In order for adults to build

meaningful positive relationships with
children, it is essential to gain a
thorough understanding of childrens
preferences, interests, background, and
culture. For very young children and
children with special needs, this
information is most often accessed by
observing what children do and by
speaking directly to parents and other
caregivers. With this information,
adults can ensure that their play with
children is fun, that the content of their
conversations is relevant, and that they
communicate respect for childrens
origins. Whenever possible, this kind
of information exchange should be as
reciprocal as possible. That is, adults
should be sharing their own interests,
likes, backgrounds, and origins with
children as well.
For many children, developing

positive relationships with adults is a
difficult task. Prior negative history and
interfering behavior often conspire to
make the task of relationship
development long and arduous. On
occasion then, adults should consider
that they will need to devote extensive
effort to relationship building. The
easiest, most straightforward way to
achieve a high level of intervention
intensity in the relationship-building
domain is to think about embedding
opportunities throughout the day (see
list below for specific suggestions).
While there is no magic number that
we know of, we have seen teachers
who can easily provide several dozen
positive, affirming statements to
children each day. For children who
have mostly heard criticism, it takes,
we feel, a lot of messages to the
contrary.
Making Deposits
Figure 1. Making relationship deposits
Figure 2. Making relationship withdrawals
Undoubtedly teachers and child care

providers strive to build positive
relationships with all of the children in
their care. Typically, we have the best
relationships with children who
respond to us, seemingly like us, and
go along with our plans. But as you
know, it is more difficult to build
positive relationships with some
children than with others. We have all
had experience with children who push
our hot buttons. Maybe they demand
more attention than others, are
disruptive, unmotivated, oppositional,
aggressive, or do not give us the
positive feedback we get from others.
When our hot buttons get pushed, we
may feel frustrated and discouraged, or
bad about ourselves as teachers,
causing us to get angry, raise our
voices, criticize, or actively avoid these
children. Yet, the very children we find
the most difficult to build relationships
with are the ones who need positive
relationships with adults the most! It is
a natural reaction to feel emotional
when a hot button is pushed. However,
rather than feeling frustrated, angry, or
guilty about it, it is more productive to
think of the emotional response as a
warning sign that you will have to
work extra hard to proactively build a
positive relationship with this child. If
the adult is simply reacting to a hot
7

Rev. 2/10
H 1.5
(p. 2/3)
Module 1
Module 1
button being pushedhe or she may

consistently become frustrated and
buttonthe
being
pushedhe
or she
may
avoid
child.
We recognize
that
consistently
become
frustrated
and
building positive relationships is far
avoidsimple
the child.
recognize
from
withWe
some
children.that
It
building
positive
relationships
is far
takes a frequently renewed
from simple with
some children.
commitment
and consistent
effort.It
takes
a
frequently
renewed
Because this is easier said than done,
commitment
and consistent
effort.
we
have provided
some practical
Because
this
is
easier
said
than
strategies for building positive done,
we have provided
some practical
relationships
with children
throughout
strategies
for
building
positive
the preschool day.
relationships with children throughout
the preschool
day.
Practical
Strategies
for Building
Positive Relationships
for Building
Practical
DistributeStrategies
interest surveys
that
Positive
Relationships
parents fill
out about their child
Ride the bus with a child

Go to an extracurricular activity with
Ride
the bus with a child
the
child
Go
to
extracurricular
activity with
Learn aanchilds
home language
the
child
Give hugs, high fives, and thumbs
Learn
a childs home tasks
language
up
for accomplishing
Give
hugs,
high
fives,
Hold a childs hand and thumbs
up for
accomplishing
Call
a child
after a badtasks
day and say
Hold
a
childs
handa bad day today
Im sorry we had
a child
after aisbad
daytoand
ICall
know
tomorrow
going
be say
Im
sorry
we
had
a
bad
day
today
better!
I
know
tomorrow
is
going
to
be
Tell a child how much he or she
better!
was missed when the child misses a
day
Tellof
a child
schoolhow much he or she
was missed when the child misses a
day
of school
Beyond
the specific strategies
enumerated above, we suggest that
Beyond
the specific
strategies
adults
can speed
the process
of
enumerated
above,
we
suggest
that
relationship building by:
adults
can
speed
the
process
of
Carefully analyzing each compliance
relationship
by:to paints)
task (e.g., building
time to go
and,
Carefully
analyzing
compliance
where possible, each
shifting
that
task
(e.g.,
time
to
go
to
paints)
compliance task a choice for
and, where
possible,
shifting
that
children
(e.g.,
Do you
want to
paint
compliance
task
to
a
choice
for
or do puzzles?);
children (e.g.,
Do youif want
paint
Carefully
considering
sometoforms
or
do
puzzles?);
of challenging behavior can be
ignored
Carefully
considering
if some forms
(e.g.,
loud voice)this
is
of
challenging
behavior
can be
not planned ignoring for behavior
ignored (e.g.,
loudattention
voice)this
designed
to elicit
but is
not
planned
ignoring
for
behavior
ignoring in the sense of making wise
designed
tochoices
elicit attention
but to
and
limited
about when
ignoring
in
the
sense
of
making
pick battles over behavior; and wise
and limited choices
to
Self-monitoring
onesabout
ownwhen
deposits
pick
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over
behavior;
and
and withdrawal behaviors and
setting
Self-monitoring
deposits
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goalsown
accordingly.
and
withdrawal
behaviors
and
Some teachers have easily done this
setting
accordingly.
by
usingbehavioral
wrist golfgoals
counters
to selfSome
teachers
have
easily
done
this
record or by moving a plastic
chip
by
using
wrist
golf
counters
to
selffrom one pocket to the next. A
record or byposted
movingvisual
a plastic
chip
strategically
reminder
from
one
pocket
to
the
next.
A
can help teachers remember to make
strategically
posted visual
reminder
numerous
relationship
deposits.
can help teachers remember to make
numerous relationship deposits.
Conclusion
mentioned earlier, the children we

build relationships with will be easier
mentioned
earlier,
the children
we
to
teach, more
compliant,
and less
build
relationships
with
will
be
likely to engage in challenging easier
to teach, more
compliant,
behavior.
Second,
teachersand
willless
feel
likely
to
engage
in
challenging
more positive about their skills, their
behavior.
Second,
teachers
willtheir
feel
effort
and
we think
may like
more
positive
about
their
skills,
jobs even more. Third, adults willtheir
effort to
and
we ripple
think may
like of
their
begin
see the
effect
jobs
even
more.
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adults
will
relationship building. As children learn
begin
to see the
effect of
in
the context
of ripple
caring relationships
relationship
building.
As
children
with adults, they will become
morelearn
in
the
context
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caring
relationships
skilled at building positive
with adults, they
become
more
relationships
withwill
other
children.
skilled
at
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Finally, providing a child with the
relationshipstowith
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haveother
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and
Finally,
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that you have the pleasure ofand
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know
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that you have the pleasure of getting to
know the child as well.
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that
Greet
everyinterest
child atsurveys
the door
by
parents fill out about their child
name
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childlead
at the
doorplay
by
Follow
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and
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Kerivan,
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to
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Praxis Paper No. 14
Coaching and Mentoring

for Leadership
Development in Civil
Society
By Fran Deans and Louise Oakley

with Rick James and Rebecca Wrigley
January 2006
Coaching and Mentoring for Leadership

Development in Civil Society
Key words: coaching and mentoring, leadership development, civil society
Executive Summary
Coaching and mentoring are popular capacity-building tools, especially in the area of
leadership development. They are often mentioned in proposals and reviews as key
elements of good capacity-building practice. Yet despite their current status, many of
us are unclear what coaching and mentoring really involve, and where and when
they work. We have a number of questions: What does a coach or mentor actually
do? Is there any real difference between them? Where have these approaches come
from? Are they really relevant to non-governmental organisations (NGOs)? When are
these approaches effective? When are they not appropriate? This paper addresses
these questions to demystify the concept and practice of coaching and mentoring
with civil society organisations (CSOs).
Mentoring is an ancient approach to human development practised across
continents, cultures and centuries. In the past 30 years the approach has been
rediscovered by the private sector and applied in the form of executive coaching. In
the past decade, coaching and mentoring have increasingly been practised within the
civil society sector. These interventions have evolved in line with the trend towards
ongoing capacity-building processes rather than one-off events. They are also
informed by an increasingly people-centred and holistic approach to capacity
building.
There are some perceived differences between the two approaches. Coaching tends
to be viewed as more task-oriented, skills-focused, directed and time-bound,
whereas mentoring is more focused on open-ended personal development. Recently,
however, there appears to be increasing convergence, making them less distinct in
practice.
There are a variety of coaching and mentoring models to guide sessions. The model
a coach/mentor chooses to use depends on their own context, style and approach.
But there is emerging consensus about a number of key ingredients of good quality
practice. Effective coaching and mentoring:
Praxis Paper 14: Coaching and Mentoring for Leadership Development in Civil Society INTRAC 2007
Involve a learning agreement

Include purposeful conversations
Are holistic and empowering
Create trusting relationships and a safe space
Adapt to the context
Are flexible in style and approach
Encourage experimenting and observing
Respond to culture and diversity
Use resources effectively
Use effective questioning and listening.
This paper examines a range of practitioners experiences of using mentoring and

coaching with leaders of CSOs in a range of contexts, including Kenya, Tanzania,
Kazakhstan, Uganda, Bosnia, South Africa, Malawi and the UK. We found that
coaching and mentoring were often inflicted on leaders by donors or international
organisations. In such cases, coaches had to work extremely hard with leaders to
gain their trust and develop their commitment to the process.
The learning histories presented here illustrate a variety of approaches to coaching
and mentoring. Despite the diversity of experience, a number of factors emerged
that influenced the success or failure of the coaching and mentoring processes.
These include:
ii
Commitment and interest of the individuals involved

Sufficient resources and organisational support
Taking a holistic, personal approach
Embedding the process in the organisational context
Skills and experience of coaches and mentors
Recognition of cross-cultural issues
Ensuring an enabling external environment.
Acknowledgements
The authors would like to thank coaches/mentors and coachees/mentees working in
the civil society sector who shared their experiences with us.
We would also like to acknowledge the financial support of the Dutch Foreign
Ministry of Foreign Affairs in writing this paper.
We would also like to thank INTRAC Senior Researcher Katie Wright-Revolledo for
her considerable editorial support
iii
List of Abbreviations
CBO
community-based organisation
CIPD
British Chartered Institute of Personnel and Development
CSO
civil society organisation
INGO
international non-governmental organisation
INTRAC
International Training and Research Centre, Oxford, UK
NGO
non-governmental organisation
OD
organisation development
iv Praxis Paper 14: Coaching and Mentoring for Leadership Development in Civil Society INTRAC 2007
Contents
Executive Summary ....................................................................................... i
Acknowledgements...................................................................................... iii
List of Abbreviations .................................................................................... iv
1
Introduction ............................................................................................ 1
The Concepts of Coaching and Mentoring .............................................. 4

2.1
The Origins of Mentoring and Advent of Coaching ...................................4
2.2
Differences between Coaching and Mentoring .........................................5
2.3
The Coaching/Mentoring Continuum.......................................................7
2.4
Recent Evolution in Coaching and Mentoring...........................................8

2.4.1 Performance and Solution-focused Approaches ......................................9
2.4.2 Holistic, People-centred Approaches ................................................... 10
2.5
Principles of Coaching and Mentoring Practice.......................................10
3 Putting Coaching and Mentoring into Practice: Experiences from Civil

Society ........................................................................................................ 13
3.1
Who Initiated the Coaching and Mentoring?..........................................13
3.2
What was the Purpose of the Coaching and Mentoring?.........................14
3.3
What Approaches and Methods Were Used? .........................................15
3.4
What Differences did Coaching and Mentoring Make? ............................17

3.4.1 Individual Impacts............................................................................. 17
3.4.2 Organisational Impacts ...................................................................... 19
3.5
When is Coaching and Mentoring not Appropriate?................................20
Key Factors in Successful Coaching and Mentoring ............................. 21

4.1
Individual Commitment and Interest.....................................................21
4.2
Resources and Organisational Support..................................................21
4.3
Taking a Holistic, Personal Approach ....................................................22
4.4
Embedding the Process in the Organisational Context............................23
4.5
Skills and Experience of Coaches/Mentors.............................................23
4.6
Ability to Work Across Cultures.............................................................24
4.7
Working within an Enabling External Environment .................................25
Conclusions and Ways Forward ............................................................ 26
Appendix 1: Common Coaching Models and Tools ..................................... 30

Performance Coaching: The GROW Model ...................................................... 30
The STEER Model ......................................................................................... 31
Solution-focused Coaching: The OSKAR model................................................ 31
Transformational Coaching............................................................................ 33
POSITIVE Coaching Model............................................................................. 35
GROW(ME) Model......................................................................................... 36
De Bonos Six Hats Exercise........................................................................... 37
vi Praxis Paper 14: Coaching and Mentoring for Leadership Development in Civil Society INTRAC 2007
Introduction
Coaching is arguably the most powerful method for developing managers
capacity for leadership. 1
Coaching and mentoring are on the A-list of capacity-building celebrities today. It

seems you cannot read a review of good practice capacity building without coming
across mentoring and coaching. Any self-respecting leadership development has
coaching and mentoring present. Yet, despite their popularity on paper, we actually
know very little about them. How do they work? Do they differ? Are they successful?
What makes them work? When are they not appropriate? We talk about coaching
and mentoring a great deal, but most of us do not know what they look like in real
life.
INTRACs work over the past decade has increasingly
used individual leadership coaching and mentoring to
complement its organisation-wide capacity-building
interventions. The trend is mirrored by other
practitioners
experience
of
capacity-building,
documented through INTRACs Praxis Programme. For
example, Praxis Note 14 described the importance of
mentors and coaches in Malawian NGO leaders
change processes; Praxis Note 17 outlined how the Vision Quest approach to leadership
development involved peer mentors throughout the course; and Praxis Note 24 focused
exclusively on the mentoring approach to individual and organisational development of
Barnabas Trust in South Africa. The recently published review of leadership
development (Praxis Paper 10 by John Hailey) concludes:
Coaching and mentoring should
not just be seen as a luxury
enjoyed by a few managers in
large, well-funded development
agencies, but something that
has genuine value at all levels
and all types of CBO and NGO.
Hailey 2006:22
The increased interest and investment in mentoring and coaching is

noteworthy. It is arguable that once senior mangers reach a certain stage in
their career attending formal training courses has less impact, and that as a
number of INGOs (International Non-Governmental Organisations) have found,
including Oxfam and the Red Cross, personalised support through coaching has
more value. 2
Coaching and mentoring are also seen as important tools in helping to develop
female leaders. In many contexts, there is a significant shortage of female leaders in
civil society, due to prevailing cultural and social norms. Coaching or mentoring is
increasingly used in leadership development programmes for women, especially
because they can develop confidence and self-belief.
1
2
Lee 2003: 7.
Hailey 2006: 22.
This interest of civil society organisations (CSOs) in coaching and mentoring mirrors
the trends in commercial sectors. Coaching and mentoring are said to be the fastestgrowing industry in the USA, behind information technology. Recent research carried
out with 900 companies concluded that coaching is a growing trend, rather than just
a fad, as it is part of a new performance-led culture of employment in contrast to the
traditional employment model of job security.3
The British Chartered Institute of Personnel and Development (CIPD) identifies
several factors to explain the rise in popularity of coaching within organisations in
Britain, including:
Flexibility to fit into participants own schedules

Potential to see results quickly
Participants receive one-to-one attention
Isolated senior managers appreciate the space coaching provides to confide
in someone and discuss issues
Offers a pre-emptive chance to improve performance before it becomes
costly to the organisation.4
Part of this interest also comes from a recognition that todays leaders, whether CSO
or private sector, operate in a very complex and fast-changing environment. The
particular challenges of working in a CSO environment mean that leaders are often
isolated, overstretched and unsupported. Working in areas with high levels of
HIV/AIDS or in volatile, post-conflict situations exacerbates these pressures. As John
Hailey points out:
NGO leaders often face extraordinary challenges both at a personal and

organisational level. They work long hours with limited resources in uncertain
and volatile political and economic circumstances to help the most marginalised
and disadvantaged members of their communities. 5
In such complex, fast-moving and vulnerable environments, self-awareness, trust
and relationships between leaders and followers are paramount. Coaching and
mentoring offer the opportunity for individuals (and organisations) to address such
personal issues in a non-threatening way. Yet despite their popularity, it is still often
not clear exactly what coaching and mentoring mean in practice. The easy-flowing
jargon camouflages uncertainties and questions. This Praxis Paper aims to demystify
the concepts through an exploration of the literature and practice of mentoring and
coaching, specifically as they relate to CSOs.
CIPD 2004: 8.
CIPD 2004: 67.
5 Hailey 2006: 5.
3
4
The first part of this paper begins with a brief outline of the origins of mentoring and
coaching. We then explore how recent trends have influenced their evolution, and go
on to highlight some of the subtle distinctions and differences between coaching and
mentoring. We argue that coaching and mentoring can usefully be seen on a
continuum, with different styles being appropriate in different circumstances. Some
of the foundational concepts and approaches are described, along with a number of
other coaching models and frameworks. The first section concludes by identifying the
core ingredients in mentoring and coaching processes.
Part 2 examines how coaching and mentoring are
implemented in practice within CSOs. While coaching
and mentoring can be useful tools for anyone, at any
stage of their career and in any organisational setting,
this paper focuses on coaching and mentoring as tools
for leadership development in the civil society sector.
Drawing from the experiences of CSO leaders and
mentors in contexts as diverse as Kazakhstan, Uganda, Bosnia and Malawi, the paper
analyses the different coaching and mentoring practised. It goes on to explore the
perceived impact on the individuals and organisations involved.
This Praxis Paper aims to
demystify the concepts
through an exploration of
the literature and practice
of mentoring and coaching,
specifically as they relate
to CSOs.
Part 3 highlights the key issues emerging and the factors that make a coaching and
mentoring programme successful. But it also points out situations where coaching
and mentoring are not appropriate. The paper concludes by outlining ways forward.
The Concepts of Coaching and Mentoring
Coaching and mentoring are two personal development methods that nurture a
persons own abilities in order to improve behaviour and performance. The processes
of coaching and mentoring are similar insofar as they are both a series of
conversations (spoken or written) between two individuals.6 However, there are
subtle but significant differences in aim, emphasis and style. Coaching tends to be
viewed as more task-oriented, skills-focused, directed and time-bound, whereas
mentoring is more focused on open-ended personal development.
The reality is that there is considerable convergence and overlap between these
approaches. To get the best out of mentoring and coaching, we need to start by
exploring their origin, evolution and application to leadership development.
2.1 The Origins of Mentoring and Advent of Coaching

Mentoring has been practised in different cultures for hundreds of years. But it is
only recently that mentoring has been (re)discovered by the private sector, and now
by the civil society sector, as a mechanism for leadership development.
The origin of mentoring can be traced back to Greek mythology. When Odysseus left
home to fight in the Trojan war, he placed an old, trusted family friend, Mentor, in
charge of his household, thereby delegating responsibility for protecting and
educating his son Telemachus.7 A mentor therefore conjures
up images of a wise and trusted advisor or counsellor.8
Mentoring is not new.
Some African scholars make the point that such roles were
It has been practised
in different cultures for
commonplace in Africa long before ancient Greek civilisation.
hundreds of years.
For example, in ancient Africa when a child was born
everyone in the village shared the responsibility of teaching
him or her. But there was always one person, a non-family member, who would be
assigned a special role in bringing up the child. This person was called Habari gani
menta in Swahili, translated as the person who asks: What is happening?.9
Clearly, mentoring is not new. It has played an important role in ancient Greek,
Roman, Chinese, Indian and African civilisations. The practice of apprenticeship and
transferring generational knowledge, so prevalent in craft societies of past centuries,
draws heavily on the same concepts. And mentoring continues to be practised today
in very different contexts and cultures. In Africa, for example, young Zulu tribesmen
spend time with tribal elders as part of their initiation to manhood, so that the elders
Coaching and mentoring are not clearly distinct processes, so at times we use these terms interchangeably to
refer to one-to-one personal development based on conversations, over an unspecified period and in the context
of an organisation.
7 See Homers classic text The Odyssey.
8 Parsloe 1995.
9 www.mentors.ca/thementornews13.html, accessed September 2006.
6
can pass on their wisdom and insight. The elders in this case are providing direction
and guidance to the younger, more naive Zulu community members.10 In Asia,
Whitmore describes: The Eastern mentoring relationship is more like a dance in the
sense that it is an interaction between two actors. I make a movement, they make a
movement and we move around. This differs from the traditional Western model
where an older person passes on knowledge to a younger one. 11 This echoes a
Buddhist notion that every person is simultaneously a teacher and a student an
approach that has influenced some contemporary, western mentoring models.
Japanese mentoring (the senpai-kohai relationship in particular) also emphasises the
relational aspect of mentoring, rather than viewing it as a particular human resource
strategy, as many organisations do in the West. The Japanese view of mentoring is
characterised by informality and the organic growth of relationships, and is based on
emotional bonds between senior and junior people within an organisation.12
Coaching has very different, much more contemporary origins. The increasing
interest in developmental psychology in Europe and the USA over the past 50 years
has led to its application within organisations. Organisational psychology emerged as
a distinct discipline that concerned the application of psychological theories, research
methods and intervention strategies to workplace issues. In attempting to address
issues of culture change at an organisational level, as well as group behaviour and
dynamics, life coaching and leadership coaching developed. Coaching, particularly
management coaching, is becoming an increasingly popular part of the work of
psychologists engaged in the field of organisational psychology.
Coaching had its origins in the world of sports, with coaches helping competitors to
achieve success through structured and focused instruction and tutoring. In the
1980s, executives of major companies realised the potential a coaching-style
intervention could have in helping them to work more effectively.13 Such approaches
also permeated the development world. In the 1990s the Community Development
Resource Association (CDRA) in South Africa was using such an approach as part of
its development practitioner formation programmes.
2.2 Differences between Coaching and Mentoring

The extensive literature on coaching and mentoring reveals no single definition of
either term, but rather a collection of definitions that help form a picture of what the
processes involve. Much of the literature explores different models that can be used
and adapted by coaches and mentors, depending on their personal style and their
situation. According to many definitions, while coaching and mentoring share the
same principles, coaching is primarily focused on performance within the current job
Hale 2006.
APA Monitor, 29(11) 1998.
12 Bright 2005.
13 Whitmore 2006: 8.
10
11
and emphasises development tools, while mentoring focuses on longer-term goals

and developing capability.14
Defining Coaching
Primarily a short-term intervention aimed at performance improvement or
developing a particular competence.15
A process that enables learning and development to occur and thus
performance to improve.16
Defining Mentoring
To help and support people to manage their own learning in order to
maximise their potential, develop their skills, improve their performance and
become the person they want to be.17
The main differences between these two methods are emphasised below.18
Coaching
concerned with task
focuses on skills and performance
primarily line manager role
Mentoring
concerned with implications
beyond the task
focuses on capability and
potential
works best offline
agenda set by or with coach
agenda set by learner
emphasises feedback to the learner
emphasises feedback and

reflection by the learner
typically a longer-relationship,
often for life
feedback and discussion primarily
about implicit, intuitive issues and
behaviours
typically addresses a short-term

need
feedback and discussion primarily
explicit
Clutterbuck 2001: 26.

Clutterbuck 2003 via www.tombattye.com/tools/performance-coaching.shtml, accessed September 2006.
16 Parsloe 1999 via www.tombattye.com/tools/performance-coaching.shtml, accessed September 2006.
17 CIPD via www.tombattye.com/tools/performance-coaching.shtml, accessed September 2006.
18 Clutterbuck 2001: 26.
14
15
Contemporary thinking and practice in coaching and mentoring is leading to a

convergence between the two, rendering this distinction somewhat artificial. For
example, several specific aspects of mentoring are increasingly found in the coaching
process many coaches no longer emphasise their own feedback to the learner, but
rather work to encourage feedback and reflection by the learner. The coach is just
the passenger, as one coach explained it, and the client is in the driving seat.
Similarly, mentoring processes recognise the importance of being as well planned as
coaching sessions19 and are increasingly using coaching models.
2.3 The Coaching/Mentoring Continuum

Rather than seeing coaching and mentoring as distinct approaches, it may be useful
to see them as different styles on a continuum. The most effective approach will be
different in distinct situations. Therefore coaches and mentors must be competent in
both styles of working, as either may be appropriate at any given time.
Coach-Mentor Continuum20
Coaching
Main aim:
Skills
Mentoring
Performance
Objectives:
Finite/concrete
Potential
Role/competencies
Style:
Directive
Personal
Complex/evolving
Non-directive
Duration:
Shorter
Longer
The most appropriate approach depends on the main aim of the intervention. These
could be to:
19
Develop their skills

Improve their performance
Maximise their potential
Proactively become the person they want to be. 21
Adapted from Clutterbuck 2001.
These different aims require different styles, objectives and duration of interventions.
For example, skills development, with its more finite goals, would require a more
authoritative intervention associated with coaching, whereas personal development
would require a more non-directive, mentoring approach. Coaches and mentors
therefore should be able to use any style of intervention, whether the more directive
coaching style or more non-directive life coaching/mentoring. To enable the
coach/mentor to decide on the most appropriate style of intervention, Parsloe22
suggests that they consider the CORE the:
Context
Objectives of the coachee/mentee
Relationships with others both existing and desired
Experiences.
2.4 Recent Evolution in Coaching and Mentoring

While coaching and mentoring always involve a close and nurturing relationship
between two individuals, there has been a split in thinking on the purpose and style
of mentoring resulting in the emergence of a US (or sponsorship) model and a
European (or developmental) model. The traditional US model of mentoring
emphasises the mentors power, influence and authority. It is more of a
psychological contract involving an exchange of practical help and guidance from
the mentor for loyalty and respect from the mentee. Age and elevated position are
key components. 23 In line with this, many US practitioners use the term protge
instead of mentee to encapsulate this hierarchical relationship.
However, this hierarchical US model sits uneasily with the ideology of self-reliance
and self-development that is more prevalent in Europe. The US model was therefore
modified to meet the particular needs of organisations and individuals working in the
European context. The European model focuses on the mentee developing
characteristics of self-reliance through personal growth. This developmental model
now dominates current thinking across the UK and Europe, and to a large extent
Australia and New Zealand.24
These differences in approach can be mirrored in the evolution of coaching and
mentoring models. These have progressed beyond looking at performance and
solutions to place a greater emphasis on people-centred, holistic approaches. Some
of the models associated with these approaches to coaching and mentoring are
described in the following sections.
Oxford School of Coaching and Mentoring, 2006, Internal POWERPOINT presentation.

Oxford School of Coaching and Mentoring, 2006, Internal POWERPOINT presentation.
22 Parsloe in private conversation with author (June 2006).
23 Clutterbuck 2001: viii.
24 Clutterbuck 2001.
20
21
2.4.1 Performance and Solution-focused Approaches

Performance coaching derives its theoretical underpinnings and models from
business, and psychotherapy and sports psychology. It is an ongoing process where
a coach guides or encourages continuous improvement of the individuals
performance. One of the first performance coaching models developed the GROW
model continues to be the most popular.25 It is a simple yet powerful framework to
guide coaching sessions. Coaches ask a series of questions relating to the persons
Goal, their Reality, their Options and their Will.
The GROW Model of Coaching26
G Goal. The persons goal should be as specific and measurable as possible,
enabling the coach to ask:
How will you know that you have achieved that goal?
What are the expectations of others?
Who else needs to know about the plan? How will you inform them?
R Reality. The current situation the person is experiencing needs careful analysis.
Sometimes, simply by seeing the situation clearly (rather than what was
imagined), the resolution becomes obvious. Coaches can ask:
What has been stopping you reaching your goal?
Do you know anyone who has achieved that goal?
What can you learn from them?
O Options. Once you know where you are and where you want to go, the next
step is to explore the options you have for getting there. Coaches can ask:
What could you do as a first step?
What else could you do?
What would happen if you did nothing?
W Will. To change and improve performance, motivation is necessary. The
desired outcome from this stage is a commitment to action. The following
questions can guide coaches:
Where does this goal fit in with your personal priorities at the moment?
What obstacles do you expect to meet? How will you overcome them?
How committed are you to this goal?
What steps do you need to take to achieve this?
The STEER model,27 another well known model, like so many coaching models is an
acronym: Spot, Tailor, Explain, Encourage and Review. Like GROW, the STEER
model is task-oriented and derives from the world of sport.
Dembkowski and Eldridge 2003.

Baker 2006: 7071.
27 See Appendix 1 for more details on the STEER model.
25
26
Solution-focused coaching differs from other approaches, which tend to focus on the
problem. The OSKAR model28 (Outcome, Scaling, Know-how and Resources, Affirm
and action and Review) is one of the tools used to guide solution-focused coaching.
This approach is designed to discover what is working well and to replicate this. It
centres on bringing out the existing skills and capabilities of the person to reach their
self-defined goals.
2.4.2 Holistic, People-centred Approaches
The holistic nature of professional development has increasingly been acknowledged
in recent years. It asserts that peoples behaviours are linked not just to their
physical and intellectual abilities, but also to their emotions and beliefs. They see
that assisting people to change their behaviour may engage with their emotions,
deep-rooted values and even spiritual beliefs.29 This is illustrated by the research on
leadership change in Malawi described in Praxis Note 14.30 This research found that
leaders changed most fundamentally when they found out that their behaviour was
at variance with their personal values. All but one described their leadership change
as both an emotional and a spiritual process. Such findings resonate with many
writers on leadership today. Popular authors on management and leadership31 all
emphasise the central importance of engaging with human emotions and spiritual
beliefs in any leadership development process.
In line with such shifts, the focus of some coaching and mentoring has shifted from
task-centred support towards addressing the personal and emotional aspects of the
persons life. More holistic models for coaching, such as transformational coaching,32
have been developed to address these aspects of a persons life. It attempts to go
beyond helping people perform better, getting to the source of peoples behaviour
and altering their frames of reference and thereby their ways of being.
2.5 Principles of Coaching and Mentoring Practice

Coaching and mentoring already take place on a daily basis within many
organisations, although sometimes unconsciously. While the principles of
coaching/mentoring are the same, the main difference between formal and informal
processes is that the sessions are scheduled and structured in such a way that the
purpose and roles are unambiguous.33
See Appendix 1 for more details on the OSKAR model.

Spirituality is a relationship with the supernatural or spiritual realm that provides meaning and a basis for
personal and communal reflection, decision and action (Ver Beek 2000: 32).
30 James et al. 2005: 5.
31 Covey 1992, Blanchard 1999, Owen 1999, Quinn 2000, Adair 2002.
32 See Appendix 1 for more details on transformational coaching.
33 Whitmore 2002: 54.
28
29
10 Praxis Paper 14: Coaching and Mentoring for Leadership Development in Civil Society INTRAC 2007
Most coaching/mentoring processes involve a series of meetings involving focused

discussions, steered by the agreed and specific goals for each session. Between
sessions the person practices new techniques, methods and working styles. In each
consequent session, these experiences are discussed and any arising issues are
reflected on. There are an increasing variety of coaching and mentoring tools
designed to enable coaches/mentors to organise their sessions. While many of the
models appear complex, in essence they are all tools to initiate productive
discussions to reach the objectives set by the person involved. For example, the
following ideal mentoring session provides a basic overview of how a session should
progress in terms of building a comfortable atmosphere, stimulating the person, and
working with him/her to develop and reach his/her goals.
An Ideal Mentoring Session34
Establish a relaxed yet business-like atmosphere
Gain consensus on purpose of meeting
Explore the issues from the mentees perspective
Clarify and
elucidate
Build
confidence/
motivation
Challenge
assumptions
Stimulate
analysis
Agree options for

actions/
consideration
(e.g. learning
tasks)
Agree actions by
both partners
Draw on own
experience
Agree
milestones
Summaries
Outline agenda for next

meeting
34

11
The literature highlights an emerging consensus around important ingredients of

good quality coaching and mentoring:
Key Principles of Quality Coaching and Mentoring
Has a learning agreement:
A learning agreement is useful in clarifying objectives and expectations. It also
establishes ground rules to address ethical considerations.
Has purposeful conversations:
Structured, constructive and meaningful conversations (usually, but not always
verbal) are the core of the process. These are purposeful conversations that
articulate and reflect on the persons beliefs and practices.
Is holistic and empowering:
Coaches treat people holistically, taking into account intellectual, emotional and
relational dimensions.
A good coach builds on the strengths and capabilities of the participant.
The person should take increasing responsibility for their self-development.
Creates trusting relationships and a safe space:
Good coaching is based on a trusting relationship. This includes creating a safe
environment where the person feels able to talk freely and confidentially.
The coach must ensure ethical guidelines are agreed and adhered to.
Adapts to the context:
The coach should consider context, objective, relationship and experience (CORE) in
deciding which style of intervention is most suitable.
Is flexible in style and approach:
The coaching model used and the coaching/mentoring style should be used flexibly
and adapted to the particular situation.
Encourages experimenting and observing:
Good coaches assist the person to innovate, take risks, seek evidence from practice
and reflect on learning.
Responds to culture and diversity:
The implications of any cross-cultural or diversity issues should be properly assessed
from the outset and mutual agreement reached.
Uses resources effectively:
It is necessary to prioritise and protect the time for coaching in order to sustain
learning.
Uses effective questioning and listening:
Good coaching uses open questions (such as What?, When?, Who?, How much?,
How many?), uses active listening skills, summarises feedback, and pays attention to
body language and tone of voice.
Putting
Coaching
and
Mentoring
into
Practice: Experiences from Civil Society
This review of the theory of mentoring and coaching provides a useful overview to
explore how these methods are applied in practice. In writing this paper, we
interviewed a range of individuals with hands-on experience of coaching and
mentoring processes from different contexts, to document their learning histories.
Eight people responded from Africa, one from Central Asia, two from the Balkans
and two from the UK. Eleven had experience of mentoring, and four had experience
of being mentored. The common feature of all the people interviewed was that they
worked in the civil society sector.
3.1 Who Initiated the Coaching and Mentoring?

The case studies collected illustrate a range of experiences, from Northern donors
requesting mentoring support for Southern partner organisations, to CSOs in the
South initiating their own coaching/mentoring programmes. The source of the
initiative for mentoring and coaching often plays a significant part in determining
who owns the process and who has the commitment to make it succeed. In some
cases, the initiative for the mentoring and coaching process came from the person
needing the support. One Malawian consultant related:
I was asked by an international NGO to work with them on a tough

OD [organisation development] assignment, which was relatively new
for me. As part of my contract I was able to draw on the mentoring
services of a very experienced international consultant, who provided
one-to-one support to me and backstopping support to the OD
consultancy.
More typically, however, the initiative is from an external source often from a
higher level in the organisational hierarchy, or from the donor. The scenario
described below is fairly commonplace:
This Tanzanian NGO involved in youth issues was struggling. It had

been set up by a European programme officer, but had recently been
localised with leadership passing to a young Tanzanian. A coaching
process was suggested and initiated by European donors, but using a
local coach.
One Kenyan respondent described a more extreme situation, where he was brought
in as a coach to deal with a leadership crisis. He was approached by the regional
office of an international NGO to provide coaching support to their Country Director.
Staff had complained to the regional office of an adverse relationship with their
Country Director, accusing her of nepotism, micro-management and flouting of
13
policies and procedures. Not surprisingly, she was initially very reluctant to engage
with the process.35
Where coaching and mentoring are initiated externally and seen as a donor
requirement, individuals are unlikely to give the commitment required for success.
Coaches face the vital challenge of earning the trust and commitment of the person.
In the Kenyan example above, Ogara describes how the:
initial stages involved establishing a relationship of trust and
confidence, focusing on the purpose of the coaching process and

sharing of mutual expectations. The Country Director was initially
unwilling to engage in the process. After a while, she did open up and
shared a number of her frustrations, including accusations from staff
sent directly to the Head Office, which she found threatening.
3.2 What was the Purpose of the Coaching and Mentoring?

From the learning histories, it is clear that coaching and mentoring are often used as
tools within a wider organisational change process. The case studies illustrate
mentoring and coaching being used to complement and strengthen organisational
capacity building. Coaching and mentoring can be key methods assisting leaders to
adjust their behaviour to give space for the organisation to change. Addressing
perceived weaknesses in managing people is another common aim in coaching and
mentoring initiatives.
Coaching and mentoring have also been used as stand-alone interventions in
leadership development, particularly for female leaders. For example, recognising
that women leaders are still under-represented in the CSO sector, the Aga Khan
Foundation in East Africa uses coaching/mentoring as a method to challenge this.
Mentoring to Encourage more Women into Leadership Roles
The Aga Khan Foundation began mentoring as a component of its Young
Development Professionals Programme in 2000. The programme involves
recruiting young professionals from university to work placements with
development agencies in East Africa, during which time they are attached to a
mentor.
Mentoring can be a powerful strategy to encourage more women into
leadership roles, which is very important as there is still a significant lack of women
leaders in the CSO sector. Few formal opportunities exist for aspiring female
leaders to learn from admired women in leadership. Mentoring can prove a
useful method of engaging with them.
35
Ogara 2006.
3.3 What Approaches and Methods Were Used?

The learning histories illustrate a variety of approaches and methods of coaching and
mentoring, applied in different ways. These range from adapting and using
recognised models, to more flexible and emergent processes. Respondents defined
coaching or mentoring in different ways some felt strongly that they are separate
approaches, and that they were using either one or the other. Others interpreted the
terms more interchangeably and did not distinguish between them.
One example from an African consultant illustrates a structured approach to coaching
that he undertook in Tanzania. He describes a process that follows a recognised
formal model:
Coaching for Organisation Development in Tanzania
The coaching process involved a diagnostic review, setting of agreed targets,
regular coaching sessions, feedback, and a follow-up evaluation. This approach
is summarised as the coaching ARROWE:
A = Aims of coaching established
R = Reality of the coachees present situation analysed with coach
R = Reflection on this reality
O = Options of personal growth areas identified
W = Ways forward
E = Follow up necessary to evaluate and monitor change.
W
A
The process involved staff analysing both their own behaviour and that of other
staff. The self-analysis identified areas of growth for the individuals. The coach
spent time observing communication patterns and interpersonal interactions
within the organisation. The functions of a manager and role of the leader were
explored in specific one-to-one sessions with the Director.
In contrast, an example from Uganda described a more informal mentoring

intervention:
15
Informal Mentoring Support through Observation and Reflection

I was mentored through a new kind of assignment with an international NGO in
Uganda. I took the leading role with my mentor providing backstopping
support. I went to Uganda to assess the situation and shared with him the process
I had designed to carry out the assignment. This was done through e-mail and
phone conversations. He challenged and critiqued my thinking from different
angles using his experience, but left the process entirely to my discretion and
responsibility. The process took 7 months. He sometimes joined me in Uganda and
we co-facilitated sessions. I observed how he managed his sessions. We had
discussions in the evenings reflecting on what I had learnt. While I was alone I
kept constant communication with him by phone and e-mail. At one point I went
to his home and stayed there for 3 days to discuss the report I had written. We
had some serious discussions in which he challenged me to think through my life
priorities.
There was general agreement that the use of models depends on the context, and it
is important that the models should not hinder the experience. The majority of the
learning histories indicated a preference for using informal, unstructured methods
that are not based on recognised models. This allows the intervention to evolve
according to the needs of the person more akin to a mentoring approach.
Respondents appreciated this emerging approach. One said: I enjoyed the fact that
it was an informal, unstructured process. This can help encourage creative thought
and analysis, and provide a space for open, honest discussion. But others also valued
the benefits of taking a more structured approach that clarified objectives and action
points, and added more sense of accountability.
Coaches used a variety of tools and techniques to stimulate reflection, analytical
thinking and discussion. These included appreciative enquiry, Edward de Bonos Six
Thinking Hats36, reflective thinking, probing, brainstorming, and challenging and
critiquing thinking and assumptions.
Some of the case studies illustrated the shift towards a more holistic, people-centred
approach to coaching/mentoring, as discussed in the first section. One experienced
coach noted the importance of recognising and working with sensitive moments37
when someone is receptive to feedback and advice, and the zone of proximal
development,38 meaning the coach has to offer something close to the individuals
experience in terms of knowledge, ability and emotional interest, for them to
understand and empathise with it. Another mentor noted that he adapted
approaches from techniques in cognitive therapy, such as using what if questions to
De Bono 1985; see Appendix 1 for more information.
The notion of sensitive moments was developed by Maria Montessori in relation to primary education, but can
be transferred to other situations.
38 Developed by Vygotsky, Soviet development psychologist (in private conversation with Maarten Bremer,
Regional Director, SNV Balkan).
36
37
encourage the person to face up to a fear or anxiety over a course of action, to allow
them to see that fears are usually baseless.
Respondents also described coaching interventions that were aimed at groups or
community-based organisations (CBOs), as opposed to the traditional one-to-one
relationship. This was seen as a particularly important approach for encouraging new
styles of leadership, where such group-centred approaches are more culturally
normal. Praxis Note 2439 on Barnabas Trusts coaching work with community-based
HIV organisations in South Africa describes this.
Group Approaches to Mentoring
The Barnabas Trust has found that, when working with CBOs in South Africa, it is
more effective to mentor leaders in conjunction with either the core leadership
group of three or four people, or the wider organisation, and only occasionally
and informally with the leader alone.
The Barnabas Trust found that the individualistic approach at the level of CBOs
compromised the mentors neutral position within the group. Individual attention
from the mentoring process created jealousy, distrust and tension in the group,
but by working with the leader along with other members of the organisation,
such potential problems can be avoided.
3.4 What Differences did Coaching and Mentoring Make?

Coaching and mentoring are long-term processes with often intangible outcomes.
However, from the range of organisations and consultants who shared their learning
histories, there was a clear perception that coaching and mentoring are effective
tools for staff and leadership development. The experiences from CSOs highlighted a
range of changes at individual and organisational levels.
3.4.1 Individual Impacts
All respondents indicated the impact coaching and mentoring can have on leaders,
through increased confidence and self-belief. Coaching/mentoring can be a very
motivating, inspiring experience. One respondent described how they changed:
I now have a better understanding of myself and what my special

contribution to the field of organisational capacity building will be; more
self-confidence in handling complex assignments; enhanced image of
our organisation; more local and international business; and better ways
of working and managing my time.
39
Praxis Note 24 can be downloaded at www.intrac.org/pages/PraxisNote24.html.

17
Another commented: The most important benefit has been stimulating positive
energy, to help move forward in moments when you feel stuck. Coaching/mentoring
can help encourage and develop creative thinking and problem-solving through
reflection and discussion with an external person. Many respondents also noted
increased management skills, such as better people skills and planning.
Coaching/mentoring also provide ways of helping individuals become aware of and
responsible for their own actions a core aspect of leadership development.
Through discussions with his mentor on the excessive time spent by African
organisations on hosting donor visits, one individual was motivated to take action
and undertake some proactive research to try and convince donors to address these
issues. As one NGO coach noted: The central element is capturing a spark of energy
and helping people to take positive action themselves, and move towards what they
want to achieve or become.
Another CSO leader noted that spending time discussing and analysing his role and
actions has helped him to develop a better understanding of himself and his role as a
CSO leader: He challenged me to think through my life priorities and what special
contribution I want to make to development practice in general and organisational

capacity building in particular. Coaching/mentoring can enable an individual to see
the bigger picture and review their life and skills.
The following example of coaching at Oxfam GB illustrates how organisational
investment and support for coaching can be useful in developing new leaders.
External Coaching was a Valuable Support Mechanism
As a new senior manager at Oxfam, moving from a middle management role,
various opportunities for leadership development were discussed with me and I
decided to try coaching support. The process took place over a year, with a total
of seven meetings and e-mail/telephone support in between. I found this to be a
very valuable experience which greatly increased my confidence in my own
ability as a leader. My coach was very affirming in reflecting back my strengths. I
found the sessions very useful for solving particular problems and for developing a
framework for prioritising, which is key in senior management positions. I also
found it useful to learn how to separate the personal from the professional, which
is particularly important in an NGO context, as many people are caught up in
personal reactions.
Having an external person with no vested interest to talk to was a very valuable
experience, as this allows you to be completely honest. Internal coaching can be
very useful for more junior staff, but for senior positions it is very helpful to talk to
someone external who is experienced in OD and understands the politics of
leadership. Coaching helped me to learn to work effectively across the
organisation in a leadership capacity, and to influence and negotiate more
effectively.
Overall, I felt it was a very positive experience and I was sorry when it finished. I
felt that the organisation was investing in me and valuing me. It was a very good
support mechanism for me, and helped me to feel secure in the new and
challenging role.
3.4.2 Organisational Impacts

It is easier to identify the impact of coaching/mentoring on individuals than it is to
observe and assess impact at the organisational level. The learning histories
illustrate, however, that changes at the individual level can, and sometimes do,
permeate more widely through the organisation through improved styles of
leadership, management and communication. For example, one respondent outlined
some of the organisational changes that arose from a leadership coaching
intervention in Tanzania:
Time management and planning are much improved. Individual staff
are working on issues they felt were important for them, such as
communication skills. Consciousness has been raised in separating
issues from people, to avoid personal attacks and conflict. The Director
has increased confidence in his role and feels motivated by the
coaching process. Awareness has been raised of potential pitfalls in
cross-cultural communication. Efforts are being made to develop and
finalise policies, systems and procedures. The constitution and financial
regulations are being developed.
Another example from Kenya revealed that coaching had led to a number of
organisational changes in structure and decision-making processes. It encouraged
her to establish a senior management team that resulted in a major organisational
shift. The leader commented: Earlier on, no-one would oppose me, and later on they
would grumble Now I dont do a lot of decision-making it is all shared.
Another senior manager interviewed noted that a key change from coaching has
been helping her to develop an understanding of internal staff politics and how to
work effectively across an organisation in a leadership capacity, influencing and
negotiating more effectively. Investing time and effort in learning through
coaching/mentoring helps to encourage a wider learning environment within an
organisation and to develop an appreciation of the importance of learning for
organisational change and development.
While these changes may not always be easily visible, coaching and mentoring can
improve management throughout the organisation. As an internal coach in a large
UK NGO noted:
19
Coaching managers to adopt a coaching style of management in turn
strengthens their staff, and as a direct result improves the quality and
impact of the programme.
Sustainability of management and leadership can also be improved through
coaching/mentoring. The case studies demonstrated that managers, by investing in a
long-term coaching/mentoring process, feel valued by their organisation and are
therefore more likely to commit to it. This improves continuity within programmes
and delivery, providing more stable leadership within a sector plagued by high staff
turnover.
The supporting evidence for organisational change is still largely anecdotal, however.
More effort needs to be put into establishing what organisational changes have taken
place that plausibly can be associated with (but not necessarily directly attributed to)
a coaching and mentoring intervention. We cannot simply assume that individual
change always has an impact on the organisation. We need to learn more about how
and when individual change is translated into organisational change.
3.5 When is Coaching and Mentoring not Appropriate?

Despite these positive examples, it must be stressed that coaching/mentoring do not
always have the desired impact on leadership development, and are not always the
most appropriate type of intervention. Coaching and mentoring are processes
designed to enhance an individuals capacity and judgement and to encourage
independent action. When seen as an opportunity to receive technical advice and
solutions alone, they are more prone to failure. For example, an experienced coach
noted:
Sometimes people dont really want coaching but technical advice. Many
issues, such as time management, are very personal and require
individuals to discover solutions for themselves. People can come to
coaching looking for set answers to these kinds of issues, but there are not
solutions that suit everyone, and the coach can only make suggestions.
If the person is expecting the coach to provide them with answers, and is not
prepared to challenge him or herself, then coaching is unlikely to encourage the
development of leadership skills. Furthermore, if coaching is not something that the
leader feels as a need, but has been inflicted by someone else, then it is unlikely to
succeed.
Key Factors
Mentoring
in
Successful
Coaching
and
The learning histories and interviews highlighted a number of factors that influenced
the success or failure of the coaching and mentoring processes:
Commitment and interest of the individuals involved

Sufficient resources and organisational support
Taking a holistic, personal approach
Embedding the process in the organisational context
Skills and experience of coaches and mentors
Recognition of cross-cultural issues
Ensuring an enabling external environment.
The following sections explore each of these factors in more detail.
4.1 Individual Commitment and Interest

The commitment and interest of the individual is crucial for the success of the
process. In order for coaching/mentoring to have their desired impact, the person
must value them as effective methods for leadership development, and invest energy
and commitment in them. As one mentor noted, success largely depends upon the
commitment and interest of the leader themselves and their own openness to
personal change. This individual interest is recognised as a key part of the process in
various coaching/mentoring models, such as the GROW model.40 Where coaching or
mentoring is inflicted by the donor on a local CSO leader, it is difficult to gain their
commitment to a personal process of change.
Respondents noted that having respect for your mentor as a professional and an
individual helps build trust and increases the likelihood of positive outcomes. When
mentoring is a component of a wider training programme, it is important for
participants to have a say in selecting their mentor, as unsuitable matching can
result in ineffective relationships.
4.2 Resources and Organisational Support

Extending this support and commitment to the organisational level is also vital to the
success of a coaching/mentoring process. Organisational prioritising and planning for
coaching and mentoring are essential, as otherwise they will often be sidelined,
particularly in the under-resourced and over-stretched civil society sector. Lack of
organisational support and space for coaching/mentoring are key factors leading to
failure of the process. As an internal mentor in a large NGO commented:
40
The W in GROW represents the coachees will and commitment invested in the process.
21
Lack of support and relentless task pressure from above frustrates

the [mentoring] process. Pressure to take on more tasks results in
managers getting caught in an activity trap and taking no time for
reflection.
Obtaining the support of the organisation, and the Board if applicable, is necessary
to ensure coaching/mentoring are seen as valuable core activities, not optional
extras. Investing sufficient resources in coaching/mentoring can be difficult for many
CSOs already lacking funding, but this was recognised as a clear factor contributing
to the success of the process. It is also important for an organisation to recognise
that this is a long-term process, and not to expect immediate results. This is
particularly applicable in situations of internal organisational conflict, which require
patience and commitment to result in positive change.
4.3 Taking a Holistic, Personal Approach

There is increasing interest in adopting holistic approaches to personal development
viewing a person within the context of other areas of their life. The learning
histories emphasised that taking this approach within coaching or mentoring
increases success. One mentor noted that a key factor was: My interest in the leader
as a person, not just an organisational resource taking time to discuss their

personal lives, fears and hopes. An individuals personal and cultural background
affects their behaviour, so recognising these and working with them within coaching
or mentoring will help the process to be more suitable and relevant.
Some of the examples illustrated the value of taking a personal approach to change.
One respondent described how his initial coaching work with a leader shifted from
simply dealing with internal management issues to eventually being able to discuss
whether it was necessary to go for an HIV test. By being able to engage with the
leader on a personal level, appreciating his responsibilities in his immediate and
extended family and understanding the influence of his faith and beliefs, the coach
was able to assist him to address a matter of life and death.
Yet in taking a holistic and personal approach, we need to be aware of the inherent
dangers. Much of the literature (including this paper) portrays a wholly positive
image of coaching and mentoring. But there are cases of individuals becoming overly
dependent on their coach/mentor. Mentoring can become manipulative. We need to
establish and maintain clear personal and ethical boundaries. Key areas to consider
in drawing up such boundaries are:
Confidentiality
Areas that the person wants to remain private
Open and truthful two-way relationship
Respect of each others time and other responsibilities
Either party able to dissolve the relationship
Relationship should
misinterpretation.41
not
be
exploitative
or
in
any
way
open
to
4.4 Embedding the Process in the Organisational Context

Because leadership is essentially about the relationship between leaders and
followers, leadership coaching needs to be firmly rooted within the organisation and
its unique culture. The case studies illustrate that when a coach also engages with
other staff members, this can enable any changes resulting from leadership coaching
to be more accepted and sustainable. As one Kenyan consultant described:
I realised that in order for the coaching process to succeed, other staff
would need to be involved, to explore their understanding of the
situation and establish how this conflict could be resolved. The staff
were initially very passive and closed and it took some time for them to
open up, but they did so once a relationship of trust was established
and several meetings were held with the Management Team. I also
spent time observing how staff related to each other.
The benefit of coaching senior management, rather than just the leader, was also
echoed by an example from Tanzania, in which the coach was brought in to clarify
issues and resolve rising tensions. He narrates:
The Director was only recently employed, in his first leadership role,
and there was some confusion between roles within senior
management. The senior management was struggling with getting
systems and procedures in place. The coaching process allowed time
for discussion and planning to combat some of these issues. Coaching
was carried out with senior management individually and as a team.
4.5 Skills and Experience of Coaches/Mentors

The quality of the coaching process is inextricably linked to the skills and experience
of the coach/mentor. Coaches and mentors need a wide range of attitudes and skills
to be effective such as excellent listening and questioning abilities, sensitivity,
empathy and understanding. They also need to be able to establish a relationship of
trust with the person. Establishing a relationship based on mutual trust and respect
is largely in the hands of the mentor.
But such skilled mentors are not common. It is often not easy to find people who
have the time, ability and patience to mentor others, and this is particularly true
within the resource constraints of CSOs. It may be important to provide support and
training for coaches/mentors to enable them to be more effective. This is illustrated
41

23
in the case of the Aga Khan Foundations Leadership Development Programme in

East Africa:
Providing Support and Training for Mentors
At the beginning of the programme, mentoring was a very new idea. Senior staff
were asked to act as mentors for the students, which involved establishing a
relationship and meeting on a fortnightly basis, for career guidance and other
advice. An evaluation carried out indicated that some students felt their mentors
did not devote enough time and commitment to the process. The mentoring
component has now been further developed and formalised, with training for
mentors and agreed contracts establishing the relationship, with successful
outcomes.
4.6 Ability to Work Across Cultures

Part of what defines the quality of a mentor, particularly in the context of civil society
development, is the ability to work across cultures. Diversity and cross-cultural
coaching/mentoring may be more prevalent in the civil society sector, where
consultants offering coaching support may be from Europe or North America. Issues
of cross-cultural communication and management often cause misunderstanding and
tension. Coaching/mentoring can be one method of helping to overcome these,
providing a forum to discuss and explore them. In one Tanzanian example,
misunderstandings between the European Programme Officer and other African staff
were causing tension, and the coach spent time addressing this as part of the
coaching process:
Resolving Misunderstandings and Tensions of Working Across Cultures
The beginning of the process was very difficult, particularly due to a conflict of
views between the Director and European Programme Officer. I spent time
working with the Director, who acknowledged being confused as to what his role
was in relation to the Programme Officer. I spent time with the Programme
Officer, exploring her role in the organisation. I challenged her in terms of how the
other staff and the Director perceived her, and she began to see some light as to
how she came across to others. I spent time with the African staff and
Programme Officer together, exploring cross-cultural challenges, which
sharpened their appreciation of each others world.
Mentoring across racial and cultural divides, like cross-gender relationships, requires
sensitive handling.42 Cultural differences to be aware of include different perceptions
of time, physical space, hierarchies, age and gender. As one respondent described:
42
I had my reservations about being white, female and English-speaking

when working with people who share none of these characteristics. It is
normally not a good idea to mentor like this, as neither mentor nor client
can identify with one another. In mentoring, especially cross-cultural
mentoring, relationship is key. Models are meaningless without a strong
relationship built on trust and so lots of attention needs to be paid to the
relationship, especially if language and colour are going to be an issue.
4.7 Working within an Enabling External Environment

An external environment that enables coaching/mentoring to be carried out is also
crucial to success. In some contexts, the external environment does not allow for
this, which can reduce the impact. This is illustrated in the following experience from
Macedonia, where the post-conflict environment is seriously constraining leadership
development for CSOs:
Developing Leaders in a Post-conflict Environment
A Macedonian organisation involved in sustainable development work employed
me as an OD consultant to provide support in developing its mission and
programmes and moving forward as an organisation, and this included
mentoring the Managing Director (MD). The organisation is undertaking strategic
planning and recruiting a new Board, but on a timetable apparently without any
end. Administrative and project commitments are hindering the process, and the
OD work has been delayed indefinitely. The organisation is suffering from internal
conflicts of interest and general discontent, and the MD is unable to work through
these problems and motivate staff. The mentoring appears to be having little
impact on developing her leadership skills, and she is retreating away from the
issues. The situation is becoming increasingly frustrating as I feel my support is
having little impact.
Many organisations in the region have no history of independence, having been
part of international organisations previously. Therefore they often have
competent managers and administrators, but not leaders. Similarly, in a postconflict context, starting an organisation is often seen as a method of getting
employment. Therefore leaders often dont possess the passion for the
organisation that is needed to lead it effectively. Due to these issues, leadership is
a major problem for CSOs in the Balkans, and coaching/mentoring offer one tool
to help overcome this, but can prove ineffective in the context.
The complex context of the post-conflict Balkans is affecting the development of

effective leaders. This example illustrates how the context can influence the
effectiveness of coaching/mentoring. Context may well have a similar influence on
other leadership development interventions.
25
Conclusions and Ways Forward
Coaching and mentoring can be useful leadership development tools for CSOs. The
learning histories from CSOs experiences indicate that coaching and mentoring are
relevant and appropriate in sectors other than the commercial sector, and on
continents other than Europe and North America. As one experienced respondent
(who spends most of her time delivering to executives and senior management in
the public and voluntary sectors) argues, the basic principles and working methods
of the coach remain the same in any sector.

The learning histories
highlight that coaching
and mentoring can make
a significant difference in
leadership and staff
development.
The learning histories highlight that coaching and

mentoring can make a significant difference in leadership
and staff development. While this impact is more visible
at the individual level, they show that the impact also
permeates through to the organisation.
But coaching and mentoring are not always effective in

every situation. They will work only if there is a motive to change. The person
involved must have the will to change and the organisational support to do so. They
will only work if they are well facilitated, particularly in cross-cultural settings.
Coaching and mentoring are clearly demanding processes and require high-quality
coaches and mentors. The case studies illustrate the value of taking a personal
approach to coaching and mentoring. This may include engaging with wider issues
of family and faith.
For coaching and mentoring to make a significant contribution to leadership
development requires more mentors and coaches. Many capacity-building efforts
that include a coaching and mentoring component fail simply because there are too
few good quality local coaches on hand to provide follow up. There is a need to
invest in the development of local coaches and mentors.
The range of experiences of coaching/mentoring within CSOs highlight various issues
and considerations. Whereas the overriding principles remain constant, particular
considerations relating to context emerged from our research.
From the earliest stages of designing coaching/mentoring processes, practitioners
need to bear these considerations in mind to pre-empt particular issues that may
arise.
Key Considerations for Coaching and Mentoring:
The person has to be committed to change.

The person should be able to choose their mentor/coach.
All parties should prioritise and plan for coaching/mentoring.
They should be seen as a core activities, rather than an add-on.
The organisation and manager (if applicable) need to provide support for the
process.
The organisation needs to allocate sufficient time and funds.
Patience is needed especially with difficult leaders and in situations of
internal conflict: it is a long-term process.
Post-conflict situations throw up particular problems of weak capacity.
While enthusiastic, we must also remain realistic about mentoring and coaching.
They cannot solve all problems in organisations and leadership. If the wrong person
is in post, mentoring may not help; if the person is not committed to improving their
own performance, coaching will not add value; if the person wants technical
recommendations from outside, mentoring will be frustrating for all. In short, we
first need to understand the context clearly, and then work out with the client the
most appropriate capacity-building solution.
27
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29
Appendix 1: Common Coaching Models and Tools

These models are intended to assist the coach in designing and steering individual
sessions and the long-term coaching process. The models differ in terms of
emphasis, and individual coaches/mentors can adopt and develop those that best
suit their style of working, the person they are working with, and the context.
Performance Coaching: The GROW Model
Performance coaching derives its theoretical underpinnings and models from
business and sports psychology, as well as general management approaches. It is an
ongoing process where a coach guides or facilitates the continuous improvement of
the coachees performance. The GROW model is one of the best known and widely
used coaching models. Many coach training programmes use this model as the
framework for developing the coaching relationship.43 GROW is an acronym for Goal,
current Reality, Options and Will.44 The creator of the model (John Whitmore)
designed it for sports people in his former job as a sports coach, before transferring
it to the world of business following calls from clients who could see the potential. It
is presented as providing a simple yet powerful framework through asking a series of
questions during a coaching session or series of sessions:
The GROW Model of Coaching45
G Goal. First the session must have a clear goal. The goal should be as specific
as possible, and it must be possible to measure whether it has been achieved. So,
once the goal has been identified, you can ask questions such as:
How will you know you have achieved that goal?
What are the expectations of others?
Who else needs to know about the plan? How will you inform them?
R Reality. As well as knowing where you are trying to get to, you need to know
where you are starting from: the current reality. It is surprising how often this is the
key part of a coaching session. Simply by seeing the situation clearly (rather than
what was thought or imagined to be the situation), the resolution becomes
obvious and straightforward. This can include asking:
What has been really stopping you reaching your goal?
Do you know anyone who has achieved that goal?
What can you learn from them?
O Options. Once you know where you are and where you want to go, the next
step is to explore what options you have for getting there. A useful metaphor for
GROW is a map: once you know where you are going (the goal) and where you
are (current reality), you can explore possible ways of making the journey
(options) and choose the best way. Questions can include:
Dembkowski and Eldridge 2003.
See Whitmore 2002.
45 Baker 2006: 7071.
43
44
What could you do as a first step?

What else could you do?
What would happen if you did nothing?
W Will. But this understanding in itself is not enough. You must also have the
motivation, or will, to make the journey. Some authors have the W standing for
What, Where, Why, When and How. But whatever is emphasised, the desired
outcome from this stage is a commitment to action. The following questions can
guide this:
Where does this goal fit in with your personal priorities at the moment?
What obstacles do you expect to meet? How will you overcome them?
How committed are you to this goal?
What steps do you need to take to achieve this?
The STEER Model

The STEER model (Spot, Tailor, Explain, Encourage and Review), like GROW, is taskoriented and also has its basis in the world of sport. But it differs from the GROW
model, and from the other models detailed below, in that it includes the coach
demonstrating how a specific task should be done.
The STEER Model of Coaching
S Spot training needs
T Tailor training content to meet the needs of individuals
E Explain and demonstrate how the task should be done
E Encourage the individual while he/she is learning
R Review progress during and on completion of learning.
Solution-focused Coaching: The OSKAR model

Solution-focused coaching differs from other approaches focusing on the problem as
a way of moving forward, by focusing instead on solutions. The OSKAR model
(Outcome, Scaling, Know-how and resources, Affirm and action, Review) is one of
the tools used to guide solution-focused coaching. This approach is designed to
discover what is working well and to replicate that, rather than continuing to do what
is not working well. It centres on bringing out the existing skills and capabilities of
the person being coached/mentored to reach the goals that the mentee/coached
person has set for him/herself. The questions that this model prompts the coach to
ask are designed to create a sense of possibility and capability.
31
The OSKAR Model46

As with other models, the OSKAR model is a series of suggested questions to help
guide both individual sessions and the overall process.
This model makes use of a scale (010) so that participants can visualise where
they are, where they want to be, and with the support of the coach work out
how they could reach where they would like to be on a linear image.
This style of questioning is designed to stimulate the coachee/mentee to analyse
their own situation for themselves, and articulate how they can change
according to their own experiences.
O- Outcome
What is the objective of this coaching?
What do you want to achieve today?
S Scaling
On a scale of 010, with 0 representing the worst it has ever been and 10
the preferred future, where would you put the situation today?
Describe your position in life now (lets call it n) what did you do to get
this far?
How would you know you had get to a better situation than you are at
now (n+1)?
K Know-how and resources
What helps you perform at the level you are at now (n on the scale), rather
than at the worst it has ever been (0 on the scale)?
When does the outcome already happen for you even a little bit?
What did you do to make that happen? How did you do that?
A Affirm and action
What is already going well?
What is the next small step?
You are now at the position you just described (n), what would it take to
get to a better situation (n+1)?
R Review: whats better?
What did you do that made the change happen?
What effects have the changes had?
What do you think will change next?
46
From Mentoring for Change website www.mentoringforchange.co.uk (accessed July 2006).
Transformational Coaching
The diagram below outlines one model, or questioning technique, to address
participants reference points about themselves. Here action coaching is the more
task-based approach, whereas transformational coaching encompasses and moves
beyond that to consider the participants ways of thinking and views of themselves.
The loop learning processes outlined below are useful in understanding the more
general change that has occurred in coaching as techniques move towards
addressing relationships and self. Whereas earlier coaching techniques focused on
the first loop, more and more coaches now address terrain in the other arenas.
33
Transformational Coaching Model47
The methodology at the core of this approach is transformational coaching. This

method seeks to go beyond helping people perform better (single-loop learning)
to getting to the source of peoples behaviour and altering their frames of
reference (double-loop learning) and ways of being (triple-loop learning). Thus
the three aspects of transformational coaching are:
Transforming who people are (triple-loop learning). Empowering people to

create a shift in their context or point of view about themselves with the intent
of helping them learn, grow, and produce the results they truly desire.
Coaching people to learn to do new things (double-loop learning). Enabling

people to fundamentally reshape their patterns of thinking with the intent of
helping them break through impasses and learn to do different things.
Coaching for incremental improvement (single-loop learning). Coaching

people to continuously improve their current practices or do what they are
already doing better.
Transformational coaching uses story-telling as a method of inspiring participants

to reconsider how they tell stories about themselves, in the belief that stories
shape, limit and define a persons way of being. According to this technique,
reframing stories about oneself is part of the process of reframing ones view of
oneself.
The coach therefore works to transform stories by helping people realise that they
are the authors of their stories, and that they can choose to tell stories that open
up new possibilities for themselves and support them in fulfilling their potential.
47
Extract from Mentoring for Change website: www.mentoringforchange.co.uk (accessed July 2006).
POSITIVE Coaching Model

Newly developed models address the more psychological aspect of the coaching
relationship. The POSITIVE coaching model is a framework that has recently been
developed using such a more psychological approach: POSITIVE is an acronym for
Purpose, Observations, Strategy, Insight, Team, Initiate, Value, Encourage. This
model incorporates some psychological perspectives, such as the inclusion of social
support and positive reinforcement.48
The POSITIVE Coaching Model49
Purpose: The coach encourages the client to gain some clarity as to what they
want to achieve from the coaching relationship. The coach must build good
rapport through techniques such as active listening, open questions, observation,
encouragement, etc.
Observations: The coach encourages clients to think about what is happening
around them. The coachs role in this phase is to help clients see their position
with greater clarity and from a holistic viewpoint.
Strategy: Once it has been agreed that coaching is a viable option and the
client has developed a sound understanding of their present conditions and
environment, an end-state or goal can be considered. In helping to formulate a
goal plan for the client to follow, SMART goal-setting is a recommended
technique to ensure the goals are clear, concrete, specific and realistic: SMART is
an acronym for Specific, Measurable, Attractive, Realistic and Time-bound.
Insight: Here the coach encourages clients to consider their goal and what
emotions the goal brings. This phase is to determine if the goal is indeed what the
client wants, and if it is an accurate picture of the clients present and future
aims.
Team: If clients can be made to feel they have a support network that they can
turn to when experiencing difficulty, they are more likely to continue on their goal
path. The coach is one member of the support team but clients should be
encouraged to recognise their network of friends, colleagues, family, etc.
Initiate: Here the coach encourages clients to initiate their goal by taking positive
steps towards it, by executing the agreed goal plan.
Value: The coach should set weekly or short-term tasks that will lead clients
eventually to their long-term goal. In this way, clients will receive regular
feedback on their progress and can value and celebrate their advancement.
Encourage: The coach must help the client remain motivated, positive and ontrack, not only during coaching sessions but between them.
48
49
Libri 2004.
ibid.
35
GROW(ME) Model
As reiterated above, these models are suggested guiding frameworks to assist in
mapping out individual sessions and the overall process. They can be adapted to the
specific needs of the individual or organisation to allow for a more responsive and
relevant coaching/mentoring process.
An Oxfam publication designed for use by geographically dispersed NGO training
course facilitators who are in need of material (in this case explaining how to coach
colleagues effectively in the workplace) contains a simple analysis of what coaching
is and how it can be used.50 It is particularly interesting that the specific coaching
tool is explored is the GROW(ME) model for coaching an adaptation of the more
familiar GROW model.51 By documenting its model, Oxfam GB has created shared
understanding of it for staff working across the world.
The Addition of ME to the familiar GROW model
M and E Monitor and Evaluate. It is useful to monitor progress towards achieving
the goal and evaluate the success of the route taken in achieving that goal. This
may result in a recognition that success has been achieved, or it may result in the
goal being redefined.
In practice it is a less linear process, usually revisiting each stage several times; for
example, exploring the reality of the situation often suggests more questions
about the precise goal.
50
51
Baker 2006.
See Whitmore 1996.
De Bonos Six Hats Exercise

Edward de Bonos Six Thinking Hats
The Six Thinking Hats methodology was developed by Edward de Bono
to help people practise thinking in different ways. The central tool is a
collection of six symbolic hats in different colours that represent different
thinking behaviours.52 These hats are indicative of both frames of mind
and emotional states. Wearing a clearly identified hat during the
exercise separates personal identity from expression and performance.
The purpose of the hats is to direct thinking processes, not classify types
of thinkers; people must be able and skilled to look in all directions and
accept that all types of thinking are equally valid:
White (informative): objective, asks questions, seeks
information
Red (intuitive): emotional and spontaneous, draws on gut
feelings
Black (cautious): considers weaknesses, risks, identifies
difficulties
Yellow (constructive): positive and optimistic, looks for
benefits
Green (creative): explores possibilities, new ideas, alternative
solutions
Blue (reflective): structures the thinking process, provides
focus.
The hats can be used in a structured sequence for collective reflection,
where a group wears one symbolic hat at a time. This is called parallel
thinking, and provides focus and a clear direction of the thinking
process. For example:
52
Step 1: The relevant facts about the issue are explored (White)
Step 2: Ideas are generated about how the issue could be
addressed (Green)
Step 3: The benefits (Yellow) and drawbacks (Black) of the ideas are
listed
Step 4: Intuitions and feeling about the alternatives are shared (Red)
Step 5: The outcome of the process is synthesised (Blue).
This expression signifies the direct transition from reflection to action.

37
Praxis Paper No. 14
Coaching and Mentoring for Leadership

Development in Civil Society
Coaching and mentoring are popular capacity-building tools, especially in the area of
leadership development. They are often mentioned in proposals and reviews as key
elements of good capacity-building practice. Yet despite their current status, many of
us are unclear what coaching and mentoring really involve, and where and when
they work. We have a number of questions: What does a coach or mentor actually
do? Is there any real difference between them? Where have these approaches come
from? Are they really relevant to NGOs? When are these approaches effective? When
are they not appropriate? This paper addresses these questions to demystify the
concepts and practices of coaching and mentoring within civil society organisations.
ISBN 978-1-905240-09-8
Postal address: PO Box 563, Oxford, OX2 6RZ, UK

Registered and visiting address: Oxbridge Court, Old Fruiterers Yard, Osney
Mead, Oxford OX2 0ES, UK
Tel: +44 (0)1865 201851 Fax: +44 (0)1865 201852
Email: info@intrac.org Website: http://www.intrac.org
INTRAC is a company limited by guarantee No. 2663769
Registered in England
A Registered Charity
Charity No. 1016676
Networking and
Relationship
Building for CSOs
Course Toolkit
Cyprus
September 2007
Prepared by Indrani Sigamany
Introduction About the Toolkit

This Networking and Relationship Building for CSOs Course Toolkit has been
produced as part of the broader Cypriot Civil Society Strengthening
Programme implemented by INTRAC (International NGO Training and
Research Centre)
www.intrac.org,
UK, The Management centre of the
Mediterranean www.mc-med.org and NGO Support Centre, www.ngo-sc.org,
Cyprus.
This toolkit is intended for use by Cypriot CSOs we hope you find these
materials useful please let us know if you have any feedback!
Networking and Relationship

Building Course Objectives
To discuss the importance of working together within the
Cypriot context
To review types and models of partnerships, including
social partnerships
To explore the development of networking
To look at the existing debates around Partnerships &
networking
To discuss potential benefits, limits and limitations of
relationships
To consider
governance
issues
of
accountability
and
shared
To unpack the dynamics of power within relationships

To understand the link between successful relationships
and a strong civil society
HOME GROUP RESPONSIBILITIES

You will be in your Home Group for the duration of the workshop.
You should agree a name for the group.
TASKS
(a) During each day, Home Group members should check with each other that
there are no language or other practical problems. If there are, these should be
raised with the facilitators.
(b) At the end of each day, all Home Groups should meet together for about 15
minutes to discuss the following:
What went well today.
What could have been better.
Suggestions for the remainder of the workshop.
Each group should select one workshop member to represent the groups views
to the facilitators at the End-of-Day Review Meeting.
(c) In addition, on a rota basis, each of the Home Groups will have the following
duty day responsibilities:
Time-keeping to ensure that facilitators and participants keep to time.
Monitoring energy levels and suggesting short breaks when necessary (or
introducing energiser exercises when appropriate).
On the morning following your groups duty day, group members will be
expected to start the day with an energiser exercise and conduct a participatory
review of the previous days learning. The review should be fun and take no
more than 10 minutes.
Peer Consultancies
During this session you will work in triads to:
present a live issue or challenge you are experiencing concerning a

relationship or a partnership
act as consultants to each other in order to develop strategies for
managing the issue
describe the issue or problem (use your rich picture)
pose the issue as an open question
consultants help to clarify the issue and enable you to identify possible
solutions
agree (at least) two action points
CURRENT RELATIONSHIPS
Name of
Partner
How did you

choose the
partner?
In what ways do
you benefit from
the relationship?
What do you
contribute to the
relationship?
What issues
(problems, challenges
or plans) are you
currently dealing with
in the relationship?
How do you
currently assess
what capacity
building support
is needed by
your partner?
What makes a good partner
Someone who:
wants
the
succeed
partnership
seeks win-win solutions
is open and clear about their own

goals
listens well and responds to other

views
is prepared to trust
has
integrity
consistently
effectively carries out

tasks and responsibilities
respects
others
contributions
is not prepared to sweep

difficulties under the carpet
can be flexible but retains focus
understands
how
partners
depend on one another
leads their colleagues in support

of collaboration
Are you a good partner?

Bill Crooks 15/03/04
to
and
and
acts
their
their
HANDOUT: MATRIX: IDENTIFYING OBSTACLES

OBSTACLES
INTERNAL OBSTACLES
EXTERNAL OBSTACLES
OTHER OBSTACLES
OBSTACLES THAT ARE OBSTACLES THAT ARE

OPEN
TO
YOUR BEYOND YOUR CONTROL
INFLUENCE AND HOW?
AND WHY?
Handout
PERSONAL APPROACHES TO OVERCOMING OBSTACLES
APPROACH
SUGGESTION
Developing better skills
Use acceptable and not inflammatory language

to soothe, rather than aggravate, a sensitive
situation
Widening experience base
Go to see the Local Authority / department / an

NGO in action if you have insufficient knowledge
about the ways they work, and are finding
partnership building hard
Thinking / acting strategically
Responding well to difficulties
Modifying your behaviour
Building credibility
Contributing to `climate change
Step back from an obstacle, analyse it, discuss it

with colleagues whose advice you trust, and
develop a strategy
Maintain objectivity, even in the midst of difficult
situations. Provide a good role model for your
colleagues and be conscious that the way you
react will influence them
Look at what you might do differently. A
sudden change in your behaviour (becoming
assertive rather than passive, or vice versa) can
sometimes `unlock a tense situation or
relationship
Prove your determination and good judgement
over time
If the circumstances are unsympathetic to
partnership initiatives, mobilise support to
challenge
and
change
attitudes
and
organisations. Become a campaigner
Adapted from Managing Partnerships: Tools for mobilising the public sector,
business and civil society as partners in development. R Tennyson. The Prince
of Wales Trust. 1998
10
Handout
Scenario
An Albanian municipality with high unemployment, extensive deficits

in services, a comparatively high rate of social exclusion and low
revenues with which to address them.
Mayors
The budget is insufficient to meet priority needs
concerns NGOs and the media are critical of inaction
Local authority staff are demoralised
Mayors
To meet his electoral promise to clean up the city, increase
aims
revenues and improve services
To establish an investment park to attract investors for light
industry
NGO
There is no recognition by the municipality of the contribution
concerns
they are making to improving the poorest citizens conditions
NGO aims To address youth unemployment in the city by providing skills
training
To improve urban waste disposal and re-establish parks and
leisure areas
To develop small scale income generation activities for those
below the poverty line
To lobby the municipal authorities for support for their actions
11
HANDOUT: Negotiation Styles

Factual:
tries to influence by presentation of the facts

Emphasis on detail and documentation
Intuitive:
tries to influence by stressing the benefits of a solution

Emphasis is on the creative approach to new possibilities
Normative: tries to influence by an appeal to a common set of beliefs

Emphasis on a fair solution
Behaviours tend to be based on emotions
Analytical: tries to influence by showing causal relationships between parts
and then synthesising them
______________________________
You have these unconscious preferences and you need to be aware of
them
The person/people you are trying to influence will also have their own
unconscious preferences, and you need to recognise them
You need to be able to `speak the same language
12
Handout
NGOs and the State in Bulgaria: Towards Greater

Cooperation
Luben Panov
An Image Problem
NGOs and the state in Bulgaria have often had a difficult, even strained,
relationship with each other. In the beginning of the 1990s, NGOs (especially
foundations) had a very liberal financial regime which gave rise to the problem of
abuse of the existing benefits at that time foundations were big importers of
cigarettes, alcohol, etc. After this scandal all tax and customs benefits for
foundations were abolished. Since then, foundations have had a negative image
in society. It took more than 10 years to improve the public perception of
foundations.
New Laws
The first step towards meaningful legal reform to make NGOs legitimate partners
of government was the adoption of the new NGO Law in 2000 which introduced
the concept of public benefit organisations (PBOs). The newly adopted status
of PBO implied in itself the creation of special incentives (financial, tax, etc.) for
these organisations, as their mission and role would be to help the state fulfil its
social responsibilities although no special incentives were contained in the NGO
law. Therefore the next step in the reform process was the adoption of new tax
laws, which created incentives for donations to PBOs. Through such tax reform,
the state began to recognise the importance of stimulating public benefit
organisations, and linking stricter regulations with greater tax incentives.
Continuing Mistrust
The state, however, continued to demonstrate mistrust for NGOs. Subsequent
tax reform initiatives seeking to stimulate PBOs by reducing the taxation of
income from economic activities and eliminating VAT on donations received were
rejected by the state. More recent scandals relating to foundations supporting
political parties have made enabling fiscal reform very difficult in the near future.
Hopefully, the government will understand the benefit of having and supporting
public benefit organisations.
13
Civil Society Committee

The current Bulgarian government has shown a greater openness to working
with NGOs. When the new Parliament was formed, a special standing committee
to discuss issues related to the development of civil society was created the
Civil Society Committee. The creation of the Civil Society Committee was a good
idea. It gives NGOs a good opportunity to present their issues before the
parliamentary institutions. Unfortunately, however, there are several obstacles
which prevent it from becoming a forum where all issues relating to civil society
can be discussed. One problem is that civil society is diverse and amorphous and
cannot be represented through a single committee. Even on basic issues such as
the legal framework for NGOs (registration, taxation, operation), the committee
can only give consultative opinions as the respective laws (e.g. the tax laws) are
considered an area of special interest of various other committees (in the case of
tax laws, this is the budget and finance committee).
Public Council
To increase its legitimacy, the Civil Society Committee designed its own
consultative body called the Public Council which consisted of NGO
representatives from different fields of expertise and different geographic
regions. The aim of the Public Council was to advise the committee on various
issues related to civil society. The Council members have the right to participate
in the meetings of the committee without voting rights. One problem is that
Council members from the regions have problems coming to Sofia for a two-hour
meeting each week. But the more serious problem is that the role of the Council
has been more reactive than proactive; its agenda is based on the legal drafts
introduced in Parliament that have been assigned to the Civil Society Committee.
The Councils challenge is to promote its own agenda in Parliament.
Compact
One of the first joint initiatives between the Civil Society Committee and a
number of leading NGOs was an initiative to create a Bulgarian Compact to
govern relations between NGOs and public institutions. It was to take the form of
a declaration by Parliament as it was meant to show the general attitude of the
state towards NGOs. During its preparation, NGOs recognised that only they
were pushing the initiative forward and that the state was unengaged and
uninterested. Thus, the process of drafting the Compact has stopped. The truth
is that probably the state still does not view NGOs as fully legitimate partners in
public affairs.
14
Partnership in Service Provision

There are areas in which the process of NGO-government partnership is
developing well. A good example is the social sphere and the provision of social
services (the term social services is interpreted narrowly under Bulgarian law to
include only services designed to promote and expand the potential of
individuals to exercise an independent life in other words, it excludes areas
such as health care and education). With the latest legislative amendments
(December 2002), the right of municipalities to contract with independent
providers of social services, including NGOs, is for the first time explicitly
recognised. The new law requires an open competition to select the service
provider. In addition, the law facilitates joint social work between NGOs and
municipalities (or government institutions).
NGOs are currently excluded from other potential areas of cooperation. The best
example in this respect is health care. In Bulgaria, hospitals and other health
institutions cannot be organised as NGOs (but only as commercial companies or
cooperatives). There is now a draft in Parliament allowing PBOs to perform
health activities, prepared after a careful study of European Union and US
legislation and a broad public discussion with NGOs working in the social sphere.
Hopefully the draft will be adopted.
Conclusion
In conclusion, it is necessary for the state to understand the potential NGOs have
in providing public services. Such recognition is fundamentally important and will
change the attitude of the state towards the Third Sector. To generate better
understanding, however, it is necessary for NGOs to learn to market their own
successes and abilities. There are many NGOs doing good things but the general
public usually does not hear about their work. Instead, public perception is based
on the negative media coverage of those few organisations that are in no way
representative of the whole sector.
Luben Panov.
Web: www.bcnl.org
First published in SEAL (Social Economy and Law Journal), Winter 2003 - Spring 2004. See
http://www.efc.be/publications/sealabstract.html.
15
Handout
NETWORKS
Networks are a powerful mechanism for sustainable development of any sort.
They can be dynamic and are a good example of working in partnership in which
the whole
Is worth the sum of all its parts:
Networks are a powerful mechanism for
16
Sharing information and knowledge

Promoting communication
Acting as effective catalysts for building up relationships and commitment
among the public, private and civil stakeholders
Promoting coordination at the local, national, regional and international
levels
Building trusting relationships
Serving as mutual learning and capacity building mechanisms
Bringing multiple stakeholders together
Activating the interface between knowledge and action
Informal Networks and Formal Networks

Informal Networks:
(a) community of practice
Communities of Practice develop when organisations/people come togther
voluntarily. These networks are defined by KNOWLEDGE and EXPERIENCE,
not by specific tasks to be completed in a specific amount of time. Very little
administration is involved, and people participate because they have a real
need. To know what others are doing.
(b) social networks
Social Networks are Maps of personal, friendly or business relationships
consisting of informal, individual relations between professionals or friends.
There is no deliberately defined purpose, and they grow organically, and are
not actively planned or managed.
Social networks play an important part in managing daily private and working
lives. They can be recreational, informative (book clubs), helpful in times of
need. (in smaller communities, people rally in times of death)
Formal Networks:
These can be defined as interrelated groups of several independent
institutions or organisations, established for a specific need or according to a
specific design.
Members share a set of common activities, and they meet regularly.
Sometimes they have legal arrangement, and they usually require a
subscription.
This is based on common needs of members, and a goal of achieving change
in their own contexts.
Formal Networks also from around political agendas of countries and regions.
In development cooperation, formal networks consist of NGOs, government
organisations, development agencies, and other regional and national or
international organisations.
17
Differences between Networks and other organisations

(a) Culture of giving and receiving.
Membership is a main feature of a network and members participate but can
also remain autonomous. They are providers of services to other members
within the network, and at the same time they also receive services from
other members. This culture of giving and receiving is at the core of every
network.
(b) decentralisation
Networks, are characterised by decentralisation. Members can be scattered all
over the world if it is an international network. Networks can be regional or
national, or local.
(c) Living Organisms
Each networks is unique, and its members influence its nature and
management.
Networks are dynamic and complex, and their outcomes are unpredictable.
Taken from Work the Net, GTZ
18
Handout for Networks
Networks
MECHANISMS THAT HAVE HELPED ENSURE HIGH LEVELS OF
MUTUAL TRUST
Meetings and Communication
Annual face-to-face meetings
Open and frank discussions
Willingness and ability to co-operate constructively and work hard and
creatively together
Frequent exchanges together with the interchange of ideas
Good safety standards on email
Meetings held under Chatham House [off-the-record] rules
Membership and commitment
Personal experience of the country by members and an understanding of the
issues and problems
Long-term commitment to the issues and the welfare of the people
Very high moral standards, integrity and skill
Meeting of equals
Everyone has something different to offer
Relatively small circle, with similarity of views and interests
Clarity and limits about who can be a member, given the circumstances and
the nature of the work
Consensus and autonomy
Institutional limitations are respected and honoured
No attempt to force cooperation
No attempt to over-represent the level of consensus; each action initiated by
the Secretariat leaves open the option to
sign off or not; only those who have signed off on an action are actually listed
19
Handout
CHECKLIST FOR NETWORKS

The idea of this set of criteria is to provide a broad checklist of characteristics
that networks tend to share and some potential questions you might like to ask
when thinking about doing monitoring and evaluation. Some will apply to the
capacity-building functions of a network, others to a lobbying function. Many
networks have combined goals.
Similarly some will be more relevant to a tightly-focused limited task network, in
which membership might be limited to those with relevant contacts and skills,
and others to looser and more open-ended exchange networks.
This list is the result of extensive reading done for this project, and is intended
as guidance only. To be useful in understanding the process aspects of working
in a networked way. How you decide on what work to do, who does it
and how you do the work together. And, of course, what questions you need to
ask about its value.
1. What is a network?
Networks are energising and depend crucially on the motivation of members
(Networks for Development, 2000:35)
This definition is one that is broadly shared across the literature, although it is
more detailed than some.
A network has:
A common purpose derived from shared perceived need for action
Clear objectives and focus
A non-hierarchical structure
A network encourages:
Voluntary participation and commitment
The input of resources by members for benefit of all
A network provides:
Benefit derived from participation and linking
2. What does a network do?
Facilitate shared space for exchange, learning, development the capacitybuilding aspect
Act for change in areas where none of members is working in systematic way
the advocacy, lobbying and
campaigning aspect
Include a range of stakeholders the diversity/ broad-reach aspect
20
3. What are the guiding principles and values?

Collaborative action
Respect for diversity
Enabling marginalised voices to be heard
Acknowledgement of power differences, and commitment to equality
4. How do we do what we do, in accordance with our principles and
values?
Building Participation
Knowing the membership, what each can put in, and what each seeks to gain
Valuing what people can put in
Making it possible for them to do so
Seeking commitment to a minimum contribution
Ensuring membership is appropriate to the purpose and tasks
Encouraging members to be realistic about what they can give
Ensuring access to decision-making and opportunities to reflect on
achievements
Keeping internal structural and governance requirements to a necessary
minimum.
Building Relationships and Trust
Spending time on members getting to know each other, especially face-to-face
Coordination point/secretariat has relationship-building as vital part of work
Members/secretariat build relations with others outside network - strategic
individuals and institutions
Facilitative Leadership (may be one person, or rotating, or a team)
Emphasis on quality of input rather than control
Knowledgeable about issues, context and opportunities,
Enabling members to contribute and participate
Defining a vision and articulating aims
Balancing the creation of forward momentum and action, with generating
consensus
Understanding the dynamics of conflict and how to transform relations
Promoting regular monitoring and participatory evaluation
Fostering diversity and dynamism
too loose a structure ..drains potential and continuity, and too heavy a structure
.. stifles initiative and innovation.
(Networks for Development, 2000:28)
Have the minimum structure and rules necessary to do the work. Ensure
governance is light, not strangling.
Give members space to be dynamic.
Encourage all those who can make a contribution to the overall goal to do so,
even if it is small.
Working toward decentralised and democratic governance
21
At the centre, make only the decisions that are vital to continued functioning.
Push decision-making outwards.
Ensure that those with least resources and power have the opportunity to
participate in a meaningful way.
Building Capacity
Encourage all to share the expertise they have to offer. Seek out additional
expertise that is missing.
5. What are the evaluation questions that we can ask about these
generic qualities? How do each
contribute to the achievement of your aims and objectives?
Participation
What are the differing levels or layers of participation across the network?
Are people participating as much as they are able to and would like?
Is the membership still appropriate to the work of the network? Purpose and
membership may have evolved
over time
Are opportunities provided for participation in decision-making and reflection?
What are the obstacles to participation that the network can do something
about?
Trust
What is the level of trust between members? Between members and
secretariat?
What is the level of trust between non-governing and governing members?
How do members perceive levels of trust to have changed over time?
How does this differ in relation to different issues?
What mechanisms are in place to enable trust to flourish? How might these be
strengthened?
Leadership
Where is leadership located?
Is there a good balance between consensus-building and action?
Is there sufficient knowledge and analytical skill for the task?
What kind of mechanism is in place to facilitate the resolution of conflicts?
Structure and control
How is the structure felt and experienced? Too loose, too tight, facilitating,
strangling?
Is the structure appropriate for the work of the network?
How much decision-making goes on?
Where are most decisions taken? Locally, centrally, not taken?
How easy is it for change in the structure to take place?
Diversity and dynamism
How easy is it for members to contribute their ideas and follow-through on
them?
22
If you map the scope of the network through the membership, how far does it
reach? Is this as broad as
intended? Is it too broad for the work you are trying to do?
Democracy
What are the power relationships within the network? How do the powerful and
less powerful interrelate? Who sets the objectives, has access to the resources,
participates in the governance?
Factors to bear in mind when assessing sustainability
Change in key actors, internally or externally; succession planning is vital for
those in central roles
Achievement of lobbying targets or significant change in context leading to
natural decline in energy;
Burn out and declining sense of added value of network over and above everyday work.
Membership in networks tends to be fluid. A small core group can be a worry if
it does not change and renew
itself over time, but snapshots of moments in a networks life can be misleading.
In a flexible, responsive
environment members will fade in and out depending on the fit with their own
priorities. Such changes may
indicate dynamism rather than lack of focus.
Decision-making and participation will be affected by the priorities and
decision-making processes of
members own organisations.
Over-reaching, or generating unrealistic expectations may drive people away
Asking same core people to do more may diminish reach, reduce diversity and
encourage burn-out
23
Handout
Group Exercise on Networks
Network Nuggets
Evaluation
Evaluation in the network context needs to pay
attention to how networks foster participation
by their members, how a network adds value
to the work of its participants, and how linking
participants and their work together across
time and space can mobilise greater forces for
change. Evaluation needs to be able to
analyse that change both internally, at the
level of processes, and externally, at the level
of influencing activities.
On our understanding of networks

The world is becoming a networked
environment. This is having a profound impact
on the way we organise at the local, national
and international level. We need to find new
ways to think and talk and make meaning
about our linked work.
Informal networks have been the basis of

family, community, and even politics for
centuries. However, particularly in the field of
international development, the formal network
has become the modern organisational form.
Many positive characteristics are attributed

to networks, not least their capacity to
challenge and change embedded power
relations.
24
Networks have the potential to connect

diverse actors, in many countries and at many
levels. People participate through commitment
to a shared purpose, as autonomous decision-making
agents, joined together through shared
values. People undertake activities together,
often simultaneously, often spread across
geographical space. It is the linked nature of
the work, and the quality of participation in the
shared space of the network, that makes this
kind of working unique.
four Ds of core attributes of networked working.:

- diversity, dynamism,
democracy and decentralisation Chambers (1997)
Trust and relationship

Relationship is of fundamental importance.
When autonomous individuals organise to do
something together, and when that autonomy
and diversity constitute our basic 'resources',
the relationship between those diverse people
constitutes the connective tissue of the
'network being'. These relationships are
strengthened as trust grows. Trust grows
through working together and reflecting
together on that work. Acting together is born
out of shared values, values that also need to
be revisited and articulated over time.
Part of that trust-building work is done by

the co-ordination function, in a constantly
engaged process of knowing the members,
facilitating their interaction, helping them to be
in connection with one another. Coordinator(
s) facilitate and lead.
25
Network structures in this field tend to

have a co-ordination centre or secretariat, and
a management or representative committee as
a minimum. Too tight a structure, with many
rules and regulations for participation may
strangle creative spirit, diversity and
dynamism. Too much time spent on internal
business and management is draining.
Too light a structure demands that very high
levels of trust are present, which is generally
only possible in smaller networks.
While structure needs to evolve with the

network, and respond to the demands of the
network, the ideal is the minimum structure
and decision-making necessary to encourage
democratisation, diversity, decentralisation
and dynamism in our practice,
Participation
Participation is a key word for network
working. Individuals and institutions join
together voluntarily to work for a common
purpose without losing their autonomy or
identity. A network depends for its vitality,
dynamism and capacity for creative action on
the quality and extent of that participation.
Clarity of purpose helps to ensure that

participants know what to expect and what
they can offer.
26
Evaluation in the network context needs to pay

attention to how networks foster participation
by their members, how a network adds value
to the work of its participants, and how linking
participants and their work together across
time and space can mobilise greater forces for
change.
Evaluation needs to be able to

analyse that change both internally, at the
level of processes, and externally, at the level
of influencing activities.
Channels of Participation
This helps the network to understand how and
where the members are interacting with the
network, and what their priorities are. By
acknowledging and monitoring the channels
through which members interact, a network
can begin to explain the nature of participation.
Check-list for Networks

This gives an overview of how a network
works, with suggested evaluation questions
covering:
Participation
Relationship-building and trust
Facilitative leadership
Structure and Control
Diversity and Dynamism
Decentralisation and Democracy
27
Networks can be a repository for

the combined analytical intelligence of its
members, and stimulate better, more creative
and debated responses in the very challenging
work of human rights protection, peacebuilding
and international development. This
creative space enables reciprocal learning to
occur
Cost-benefit
Networks fulfil fundamentally a process role,
one of facilitating exchange, joint strategizing,
sharing of analysis, and building of
relationships.
The maximum benefit at

minimum cost comes when the members work
separately but together, pursuing institutional
objectives which are affected by the joint
strategic thinking of the network, and can be
put to the service of the networks shared
understanding and analysis.
The members do
the work, using the capacity of the coordinator/
facilitator to foster creative thinking,
share ideas, and support one anothers lead
activities when they can.
28
Networks take time to consolidate, and get

established. Network co-ordinators working
over the long-term increase the whole
networks capacity to understand its
environment, the potential contributions of
members, and the connections and
relationships that need to be built along the
way. Medium to long-term thinking is essential
if institutional memory is to be retained and
relationships nurtured.
The skill sharing, exchange of

experience and information aspects of
networks enable capacity building,
reduces duplication of work, while
at the same time improving
responsiveness.
Networks have a
capacity to engender dialogue across
diverse groups, address global problems
through global action locally rooted; reduce
isolation, and increase potential for political
or social action.
They emphasise networks

capacity to engender dialogue across
diverse groups, address global problems
through global action locally rooted; reduce
isolation, and increase potential for political
or social action.
29
Once people have worked together on

something, in a network pattern, they see the need or desire to
continue to do so. There are four reasons,
or whys: information sharing; advocacy;
capacity-building and greater participation/less
hierarchy.
The added value of

networks for those involved in them: dialogue
across diverse groups, ideas-sharing,
addressing global problems through global
action; overcoming isolation, increasing
potential for political or social action;
respecting diversity, linking the international to
the local; being inclusive; flexibility and
responsiveness; capacity to do more together
than alone.
The core business of a network is process,

that of networking, working with other points
in the web. This process is diffuse, difficult to
capture, a process that happens in the spaces
and connection points, a process that belongs
to the autonomous members and participants.
These processes are formal and informal.
Members fade in and out according to
priorities, interests, conflicts. This is part of the
norm of a network environment.
30
The work of
the co-ordinator or secretariat is built on
process - relationship-building, facilitating,
enthusing, enabling, circulating resources,
adding value where needed.Looking at
process activities and output activities together
indicates that one cannot happen without the
other, and that if the process activities (the
relationship/trust-building) are faltering the
output activities will become harder and
harder to implement.
Network structure must not only be

satisfactory in substance, it must also develop
through relationships and processes that
satisfy network participants. Therefore, issues
of network structure such as representation,
finances, and governance must be addressed
through iterative consideration in a
participatory fashion as the network takes
shape. (Allen Nan 1999:15)
Trust and other forms of social capital are

moral resources that operate in fundamentally
different manner than physical capital. The
supply of trust increases, rather than
decreases, with use: indeed, trust can be
depleted if not used. (Powell 1996:52)
Too loose a structure .. drains potential and

continuity, and too heavy a structure .. stifles
initiative and innovation. (HIV and
Development Programme & UNAIDS,
2000:28)
31
Trusting trust and collaboration

What of trust? How does an understanding of
trust help us to see what kind of structure we
need?
Newell & Swan in their three year study of
trust and inter-organisational networking
between research institutions, make
distinctions between three types of trust:
Companion trust: this is the trust that
exists in the context of goodwill and
friendship
Competence trust: this is where we trust in
others competence to carry out the task
agreed
Commitment trust: this is a trust made fast
by contractual or inter-institutional
21
agreements, ones that can be enforced.
(Newell &Swan 2000:1295)
network organizations are self-regulating.

Members, not a centralized source of power,
are responsible for developing a vision,
mission and goals for initiating and managing
work activities. Members share their
understanding of issues and devise ways to
relate to each other in carrying out the work
necessary to bring about a shared vision of the
future. This vision provides the context that
orients all network activity. Retaining this
orientation is critical to developing and
maintaining networks. (Chisholm, 1998:6)
32
The network web is constructed through

several relational processes. Participants
contribute to a shared project with time,
expertise, contacts, and information. They gain
benefit from the pooling of others expertise,
access and resources. This happens in ways
that respect their autonomy in decision-making
and collaboration, and value their diverse
views, mandates and institutional priorities.
What a network should foster:

Diversity interaction between diverse
opinions and ideas is creative and
progressive
Dynamism freeing participants to be
dynamic and propositional. Keeping
structure light and facilitative, enabling,
supportive
Democracy decision-making seen to be
fair, inclusive and effective and only
applied to the essential - to keep the net
working. A shared vision developed by all.
Decentralisation the specifics of the local
can be celebrated and enjoyed in the
global
Chambers whose Reality Counts? `1997
A network is based on the relational. This is

the process that gives the network its strength.
The common purpose is what makes it a
network, not simply networking. We are in
pursuit of something joined, something
together. And then we are doing, we are
engaging in an effort to realise that goal. It is
the joint activity that gives us edge and power.
33
a network can bring institutions together, put

the situation on the table and then help them
work through how they can move. Each will
then work out responses which suit itself, but
are coherent overall. The network coordinates,
facilitates and advocates, and
different organisations can access its agenda
in their own ways. In this way, the network can
be as wide as the problem is, day by day.
(HIV and Development Programme &
UNAIDS, 2000:26)
Soderbaum (1999), in his study for Sida on

African research networks, takes social
network theory as his starting point,
emphasising that networks are to be
understood as vehicles by which social trust,
communication and co-operation can be
established and developed. (Soderbaum
14
1999:2). His definition is drawn from the social
understanding of how networks and
networking form a part of all human
interaction, and places value on the links and
relationships between the participant nodes.
A social network is perhaps best understood
as an informal, voluntary based, dynamic and
borderless open system which is flexible, fluid,
adaptable and susceptible to innovations, new
ideas and needs without that [sic] its internal
balance is threatened. (Soderbaum 1999:3)
taken from
PARTICIPATION, RELATIONSHIPS AND DYNAMIC CHANGE:
New Thinking On Evaluating The Work Of International Networks
Madeline Church et al
2002 UCL, London
34
Handout
Participants Exercises: Rich Pictures and Triads

Introduction:
These two exercises, which will take place over two sessions. They represent two
stages of an analysis process of an issue or challenge that you are facing relating
to any relationships or partnerships in the context of your work.
Briefly, the Rich Picture Exercise enables you to explore and illustrate the
different dimensions of the relationship challenge;
The Triads exercise provides the opportunity for you to discuss this problem with
colleagues and to develop strategies for addressing this challenge
Rich Picture Exercise:
You will use the idea of the Rich Picture to explore and illustrate a challenge
which relates to relationships within your organisation or outside your
organisation. This is an exercise that you will develop on your own:
Method:
1. Reflect on and select one relationship related issue or problem that you
wish to explore in this exercise
2. On flip chart paper, make a visual representation of how you view this
challenge in the context of your work, including information as
appropriate about
key stakeholders / interested parties;
inter-personal and group dynamics;
organisational structures
resource issues;
other influencing factors both in the organization and in the wider
environment.
35
Triads:
In this exercise you will be working in groups of three to explore and address the
specific challenges that were identified during the Rich Picture Exercise.
Each participant will have the opportunity to be both a client seeking help from
the other two participants who will work as consultants; and a consultant
providing advice to two clients.
Method:
In groups of 3 people (Triads):
Agree the order of problem presentation (who will be the first

client, and who will act as the consultants)
The first client will present their rich picture and then describe the
challenge that they are have chosen to explore. S/he will then pose
his/her challenge as an open question.
The consultants will then interview the client, asking questions,
analysing causes and consequences, clarifying and working to
enable the client to identify possible strategies that s/he could use
to address this challenge.
This process should take about 30 minutes. By the end of this time,
at least two possible strategies should have been proposed.
Repeat the same process twice so that each member of the group
has a chance to be the client
Once all three people have been clients, prepare a short summary
on flip chart of the common issues that have emerged from the
individual drawings and problems solving exercise.
There will be a plenary session to discuss the summarised experiences
36
Handout
Motives for Strategic Alliances
There are several reasons why organisations come to together. Often
organisations have multiple motives and at the outset it is worth clarifying why
you are thinking about entering into a strategic relationship. This will also help
you choose the right organisations to work with.
Why organisations enter alliances or relationships.
Reciprocity in the pursuit of common or mutually beneficial goals
Efficiency higher input/output ratios or economies of scale
Stability to overcome uncertainty through risk sharing
Legitimacy enhancing reputation, prestige of those cooperating
Necessity mandated through regulation or law.
additional motives are:
Share experiences and learn

Improve skills and
Avoid duplication of activities
Thus the expectation is that when strategic relationships work well, CSOs are
achieving their own missions more effectively as well as contributing to
something more. Having a BIGGER VOICE for civil society is seen as a strong
motive for joining forces.
The comparison of elements of the relationships which are understood to matter
are:
Overall purpose;
Degrees of formality of the relationship,
Extent to which decision-making authority, both formal and informal, is
shared
Rights and obligations within the relationship: what do the parties expect
from each other and what do they expect to offer;
Duration.
Strategic alliances need to be clear on the type of relationship they want and
why. Even though the alliances are potentially short lived and flexible it is
important that they agree the purpose and basic shape of relationships.
37
Issue Based
Time Bound
Campaign oriented
Capacity development integral to the process
Accentuating the positive and facing the challenges
When alliances work well together there can be many advantages:

1) the strength in numbers and a unified voice on a particular issue in order to
increase power and hence persuasiveness in delivering an advocacy message.
2) Alliance building may strengthen the members internally, enabling them to be
more effective in other arenas.
3) There are other potential spin-offs that may not be the initial motive but
emerge during the policy process. For example when a campaign is running, the
organisations are more likely to receive media interest, which in turn raises their
public profile as a group.
4) When more organisations are spreading the collective message, the
message reaches a wider audience, increased awareness and may in turn
stimulate more support for the issue.
In most cases alliances do not access new financial resources, but through the
pooling of resources each organisation will gain access to the contacts,
connections, and relationships established by other groups.
However the path to successful alliance working is not always smooth and the
group mention that they do experience challenges in working in this way.
The main disadvantages which are noted are:
The risk that the issue becomes more important that other work and may
lead to neglect of other tasks.
The alliance may only be as strong as it weakest link, and this imbalance
may create tensions between the CSOs.
Organisations may have different views on the appropriate tactics to be

used.
Conflict can arise over access and sharing of resources, especially in

allocation of staff time to the alliance.
The capacity weaknesses in some members can mean that the alliance struggles
to perform. Likewise member organisations will have different levels of resources
38
and experience as well as different internal problems. Organizations that provide

a lot of resources and leadership may get frustrated with other members'
shortcomings.
Research in Malawi observed that coalitions reflected the weaknesses of the
organisations that were involved. Thus it is important for potential allies to
analyse their own strengths and weaknesses, in relation to both the issue and
inter-organisational working. Identifying shared capacities as well as gaps early
on can avoid problems over mutual expectations later.
Step 1: Deciding whether to form an Alliance
The strongest foundation for joint working will be in the developing a shared
understanding of the problem, and a clear idea about what an alliance will do
about it.
Key questions to establish the joint purpose based on an identified problem:
Key questions
Sub-questions:
What is the policy we want
What is the desired policy change we want to
to change?
achieve?
Selecting the a policy: analysis
What is our common purpose?
of: who is interested? decision What action is required.
makers, how interested; time
What is the objective of coming together?
frame ? etc.
For this particular issue is
Are there other organizations who are already
an alliance of agencies the
working on this that you could join?
appropriate tool?
What exactly do we want to Based on agreed objectives: what strategies and
do: clarifying the
activities that will be necessary to pursue the
objectives:
policy influencing process.
What will the alliance not do?
Lead agency?
The alliance may decide that a selecting a lead agency would help to keep
momentum going. The experience of the CSUP grantees has been that without a
lead agency, the initiative does not take off in the desired way. If a lead agency
is to be chosen the following selection criteria are useful:
39
Knowledgeable and inspiring: of issues, context and opportunities

and able to mobilize others around the aim
Consultative and decisive: enabling members to contribute and

participate and make decisions
Action and consensus oriented : balancing the forward momentum
and action with generating consensus
Networker and communicator: identifying the links necessary outside
the alliance able to negotiate with key people. Able to spread the message
Delegatory and decentralizing: able to share authority and power
Once the full membership has been defined it is important for the group to
develop a set of guiding principals and a common strategy. The guiding principle
focus on how the group will work together on the basis of shared values. These
principals should reinforce the collaborative efforts of the group. The strategy will
focus on actions in relation to the issue and campaign.
Developing a common strategy and working with shared principles
The strength of an alliance lies in its common understanding, shared
purpose and mutual accountability. Agreeing activities and joint
implementation thereof is one way to increase the sense of collective ownership
of the alliance. Identifying some areas for joint activities would serve to build
confidence in each other, although it has to be appropriate to the activity
concerned.
At this stage it can be useful to consider what activities and also answer the
questions why and how. Being part of a strategic alliance also means
behaving strategically as an alliance. The members need to understand clearly
that the ways of working are important, e.g. for relationship and trust building ,
as much as the activities.
40
Of similar importance is agreeing simple mechanisms and methods of

communication and feedback. It is important to have a focal point for
information, one of the organisations took responsibility for providing up-dates to
the members. It is equally important that this does not become a bottleneck. A
distinctive characteristic of alliance communication channels versus network, is
that all the members in an alliance should be able to communicate directly with
each other rather than through a central network secretariat.
Successful mechanisms for mutual accountability depend on development
and use of norms and procedures for two-way reporting, accountability and
transparency among all levels of an organisation, and between organisations or
institutions engaged in the alliance. Although it may be appropriate to have a
lead agency, the channels of communication, norms and procedures need to be
based on agreements between all the members, not just between the lead
agency and individual members. If agreements are only based on lead to
participating agency, the risk of over personalization may emerge. Mechanisms
for mutual accountability should also serve to increase the sense of joint
ownership.
As an outcome of the principal setting discussion all members of the Alliance
should know:
What each member can contribute and what each seeks to gain
What the minimum commitment from each member is
What mechanisms and principals will be used to resolve conflicts
How the members contributions will be recognised (internally and

externally)
Members should also be willing to commit to their responsibilities in terms of :
41
Active participation
Agree and respect alliance principles
Sell the idea to their own organizations
Provide expertise
Keep formal and informal communications open
Delivering on their activities
Becoming an Agile Alliance:

Effective joint working requires some basic ground rules and decision about
roles, responsibilities, and how decisions are made; how conflicts will be
resolved.
A useful matrix which organisation can use as the basis for this discussion
focuses on the rights and obligations of the parties.
Focus
Obligations of
development allies
Information To keep regular flow of
information
Consultation Not to modify message or
tactics without mutual
agreement
Campaign
To accept equitable
Agenda
divisions of tasks
setting
Control
Participate in comanagement system
Duration
Maintain required capacity
for the duration
(Adapted from Fowler 2000.)
Rights of development allies

To all information relevant to the
initiative
Consulted before changes to
agreement
To influence methods , tactics and
divisions of labour
To co-manage the agenda
Continuity of required inputs from
other members
Effective alliances avoid spending too much time on internal issues and keep the
focus on the issues that bought them together.
Developing successful relationships requires:
Time to understand each others personality
Ground work
Total commitment in time and interest
Consultative decision making
Understand the common interest
Sharing and understanding task
Recognition of each others strength and weaknesses
Maintaining transparency to build trust
Mutual respect based on exemplary behaviour
Mutual support
42
Effective communication and feedback

Changing roles
Collective generating of resources
Mechanisms to handle internal conflicts
Appreciating change whether positive or negative
Enjoying life together
Should be there for each other
Pray together stay together
Checklist for building successful alliances:

Choose unifying issues: the most effective alliances already have a common
issue. The development of goals, strategies and tactics should be a joint process.
Understand and respect each groups self interest
There should be a balance of benefits and gains between the goals and needs of
the alliance and the individual organisations . check for congruence
Respect the diversity of the members
Understand and respect the differences between the members. Recognise the
inter-dependence and complementarity. Make a commitment to learning about
the history and interests of the participating organisations
Agree to disagree: but also put in place mechanisms for decision making
where there is no agreement.
Structure decision making carefully: balance consensus building with action
orientation
Distribute credit fairly: contributions will vary and all contributions should be
appreciated. Acknowledge all contribution
Give and Take: dont ask for or expect support without being prepared to give
it
Work on a common strategy. The strength of the alliance is in developing a
unified understanding of the problem and a strategy. Common ownership of the
strategy is critical; tactics should be endorsed by all.
Be Strategic: which organisations you ask, which people from those
organisations, selecting a lead agency are all strategic decisions
43
Get commitment to consistency: Members should commit to sending the

right people to the meetings and if these are different need to guarantee
information is shared.
Formalise for agility. Structures and decision making should be appropriate
and not cumbersome. Awareness of rights and responsibilities will help the
alliance function in a more fluid and decentralised way. Clarity here can help
avoid conflict.
Some useful definitions
Fowler1 identified a range of inter-organisational relationships and different forms
of collaboration. These types of inter-organisational relationship vary on the
degree of intensity and collaboration and joint governance. At the lowest end of
this scale he identifies a category of Development Ally (see below):
Development
ally
In this relationship, two or more organisations agree to cooperate on a mutually agreed agenda, typically for an agreed
period of time. They may do this by exchanging information,
sharing expertise, or using their respective reputations and
contacts in coordinated ways. Whilst modest financial
transfers may occur, money is not the basis of the
relationship.
Three distinct forms of inter- organisational collaboration are identified by Fowler

however, in practice the boundaries between these are not so clear and the
forms are often mixed and matched to fit the purpose:
Networks
These are the loosest form of collaboration as members may be

quite dissimilar, the primary function is information sharing.
Alliances
These take collaboration a stage further providing greater

benefits because participants synchronise their efforts and
resources. Alliances tend to be functional and are increasing
as NGOs actively seek to complement rather than compete with
or duplicate the activities of others.
Fowler, Alan (2000) Partnerships: Negotiating Relationships, Occasional Papers Series No 32, Oxford:
INTRAC.
44
Coalitions
and consortia
2
3
These terms cover organisational entities which are constituted

by and (are) the legal responsibility of the founding NGOs but
(do) not have authority over them. Coalitions tend to provide
increased profile and leverage. Consortia provide increased
access to, and application of resources. Coalitions usually
require considerable investment of time and human resources
from members but can result in greater strength when voicing
shared positions.
Coalitions often nominate one of the member agencies as a
lead , with overall responsibility for facilitating the coalition :
often described as the convenor
Developing Effective Coalitions (2002) downloaded from www.preventioninstitute.org

Networking: towards a better tomorrow (SANSAD 2007).
45
Handout
Strategic Alliances
Three Circle Model
Organisations can be represented as three interlocking circles existing within a
wider context:
The To Do circle represents the programme activities that the
organisation carries out and its ability to achieve its goals.
The To Relate circle represents the organisations external linkages with
other actors in all three sectors: public, private and civil society.
The To Be circle represents the organisations internal functioning.
Context
Internal
Organisation
'To Be'
External
Linkages
'To Relate'
Context
Programme
Performance
'To Do'
Context
The three circles model of organisational performance illustrates that

organisational effectiveness is dependent on internal functioning; programmatic
impact and effective relationships. Thus it is essential that organisations consider
the types and range of relationships it wishes to develop. The assessment is not
about quantity: not the more the merrier, but about identifying and nurturing
strategic relationships. For example to achieve change at community level we
need to work with community groups and traditional leaders. When we are trying
to influence policy we need to work with like-minded interested parties, with
whom we can join forces and strengthen our ability to advocate. For this purpose
46
strategic relationships are those with other actors and organisations that
support the organisation in fulfilling its mission.
Handout
Challenges and solutions shared in building partnerships

Exhaustion. Burn-out of key people
seek out more people to share

the responsibilities and share
the work
create new incentives
set small achievable goals
Too much focus on the task
take time to reflect about the

partnership, rethink the
partnership itself
Managing a constant stream of

problems
create a `problem solving

culture in which a problem is
seen as a stimulus to innovation
Domination by one or more partners
the co-ordinator/manager needs

to work continually to maintain
equity between the partners
Partners losing interest or energy for

the partnership, or becoming
complacent about achievements
actively communicating &

engaging is a continuous
process though out the life of
the partnership
important for all the partners to
continue to feel a sense of
ownership
create new opportunities /
challenges
create celebrations of success
(parties, festivals)
demonstrate achievements
all partners committing
themselves to understanding
and supporting each others
47
Changes of key players
institutional priorities/
constraints
frank and open debate between
partners, so that they
understand each others
constraints
give time, dont be too impatient

create a series of well managed
meetings to fully engage
newcomers
take newcomers to see projects
/ meet beneficiaries / work in
progress
give newcomers space to
contribute their own ideas,
suggestions for developments
(enjoy the fact that they will
bring something new to the
table)
External factors that influence the

partnership negatively, eg new
legislation, local crisis
keep cool
always position the partnership
within the local/ national context
The changing nature of the partnership

over time
recognise the different types of

leadership / management at
each `phase of the partnership
train others in the partnership
process
Adapted from Local Partnerships in Europe Workshop Report, May 2001. The
Copenhagen CentreReader
48
Handout
Elements of authentic partnership

Listed below are the main features ascribed to partnership. They have been
extracted from definitions used by both Southern and Northern organisations.
Extracted from Alan Fowlers OPS 32 INTRAC.
Partnership is about working together to accomplish agreed results and

accepting joint responsibility for achieving them.
Partnership carries with it a long-term involvement.
Partnership requires defined mutual roles and responsibilities - as covenants
not contracts.
Partnership is about trust, respect, integrity, accountability and equality.
Partnership requires an acceptance of the principle that a local organisation
has the right to set the final agenda for its own work.
Partnership must not lead to a situation where the link between an
organisations constituency and leadership is weakened.
When negotiating relations or contributions from outside the partnership,
the spirit and letter of existing partnerships must be taken into account and
respected.
Within a partnership, neither party can unilaterally accept other relational
conditions that materially influence the partnership. (A common example is
Northern NGOs negotiating funding conditions with their back donors that
then appear as new or revised conditions towards existing partners without
prior consultation or assent).4
Partnership must not alter the basic priorities related to the identity, vision
and values of any of the organisations.
An underlying assumption of partnership co-operation is that the
organisations concerned will become more competent in reaching their
goals beyond this specific relationship.
Do these statements reflect the characteristics of all relationships that NGOs

have? Obviously not. NGOs work with others in diverse ways. Each mode of
interacting has characteristics that serve different needs and purposes. The
question is, can we identify sufficiently distinctive ways of relating that may help
in building a negotiating framework? Put another way, are there distinctive
types of organisational relationships that developmental NGOs are part of?
Back donor is a term referring to the source of a Northern NGDOs finance, typically but not
solely a government ministry, department or specialist agency.
49
Glossary of Networking and Relationship

Building for CSOs Terms
Activity
Appropriateness
Alliances
Data Collection
Tools
Effectiveness
Efficiency
Evaluation
Goal
Inputs
Networks
Objective
50
Actions taken or work performed through which inputs, such

as funds, technical assistance and other types of resources
are mobilised to produce specific outputs.
A measure of whether an intervention is suitable in terms of
achieving its desired effect and working in its given context.
Suitability may apply, for example, to whether the
intervention is of an appropriate type or style to meet the
needs of major stakeholder groups.
These take collaboration a stage further providing greater
benefits because participants synchronise their efforts and
resources. Alliances tend to be functional and are increasing
as NGOs actively seek to complement rather than compete
with or duplicate the activities of others.
Methodologies used to identify information sources and collect
information during monitoring and evaluation. Examples are
informal and formal surveys, direct and participatory
observation,
community interviews, focus groups, expert opinion, case
studies, literature.
The extent to which the development interventions objectives
were achieved, or are expected to be achieved, taking into
account their relative importance.
A measure of how economically resources/inputs (funds,
expertise, time, etc.) are converted to results.
The systematic and objective assessment of an on-going or
completed project, programme or policy, its design,
implementation and results. The aim is to determine
the appropriateness and fulfilment of objectives, development
efficiency, effectiveness, impact and sustainability.
The higher-order objective to which an intervention is
intended to contribute.
The financial, human, and material resources used for the
intervention.
These are the loosest form of collaboration as members may
be quite dissimilar, the primary function is information
sharing.
The intended physical, financial, institutional, social,
environmental, or other results to which a project or
programme is expected to contribute.
Coalitions and
Consortia
Partnership
These terms cover organisational entities which are

constituted by and (are) the legal responsibility of the
founding NGOs but (do) not have authority over them.
Coalitions tend to provide increased profile and leverage.
Consortia provide increased access to, and application of
resources. Coalitions usually require considerable investment
of time and human resources from members but can result in
greater strength when voicing shared positions.
Coalitions often nominate one of the member agencies as a
lead , with overall responsibility for facilitating the coalition :
often described as the convenor
Partnership is a cross-sector collaboration in which
organisations work together in a transparent, equitable and
mutually beneficial way. The partners agree to commit
resources, share the risks as well as the benefits to work
together towards a sustainable development goal.
Definition of partnership currently used by The Partnering Initiative, January 2005
Social
Partnership
Social Compact
Strategic
Relationships
Stakeholders
Sustainability
51
Social Partnership is a collaboration among NGOs, the private

sector and government to solve community problems in a
sustainable way
A jointly prepared, agreed statement of the general principles
and shared values which will govern the future development
of the relationship between Government and the voluntary
and community sector (Compact between Government &
Voluntary Sector in Northern Ireland)
are those with other actors and organisations that support the
organisation in fulfilling its mission.
Agencies, organisations, groups or individuals who have a
direct or indirect interest in the development intervention
The continuation of benefits from an intervention after
assistance has been completed. The probability of continued
long-term
benefits. The resilience to risk of the net benefit flows over
time.
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54
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Networking for development
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LSC Changing Attitudes Programme
THE GOOD MENTORING

GUIDE
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Author: Zulfi Hussain
Global Synergy Solutions 2009
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FOREWARD
This mentoring guide has been compiled using data from extensive research
of available material on mentoring (e.g. books, journals, reports, newsletters
and the internet), and from the authors personal experience of mentoring
gained over more than 15 years, and reflections of mentoring practice to date.
The guide examines the overall process, roles and skills involved in mentoring
and aims to provide the reader with a good understanding of the mentoring
journey. By reading and using the guide the reader will:
Develop an understanding of the breadth and complexity of the

mentoring role
Develop an awareness of mentoring techniques and processes
Examine the key stages of a mentoring relationship and what

happens within them
Understand the skills & competencies of a mentor
Gain an insight into e-mentoring
The guide has been written in a way to provide the reader an appreciation of
traditional mentoring and e-mentoring. It will also help the readers and users
to become more effective mentors and mentees.
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CONTENTS
1.0
2.0
3.0
What Is Mentoring
1.1
Background
1.2
What Is The Definition Of Mentoring
1.3
What Is The Difference Between Mentoring & Coaching
1.4
What Mentoring Is And Isnt
10
1.5
What Are The Benefits Of Mentoring
12
1.6
What Are The Potential Benefits For A Mentor
13
1.7
What Are The Potential Benefits For A Mentee
14
1.8
What Are The Potential Benefits For The Line Manager
14
1.9
What Are The Potential Benefits For The Organisation
15
How Mentoring Relationship Works
16
2.1
The Lifecycle Model
16
2.1.1 Phase 1: Building Rapport
16
2.1.2 Phase 2: Setting Direction
19
2.1.3 Phase 3: Progression
20
2.1.4 Phase 4: Winding Up
20
2.1.5 Phase 5: Moving On
21
The Learning Process
23
3.1
Pre-Requisite For Learning
23
3.2
How Learning Takes Place
24
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4.0
E-Mentoring
26
4.1
What Is E-Mentoring
26
4.2
Similarities And Differences
27
4.3
E-Mentoring In Practice
29
4.4
Making It Work
29
5.0
Helpful Techniques and Processes
31
6.0
Code Of Practice
33
7.0
Frequently Asked Questions
34
8.0
Troubleshooting Checklist
36
9.0
Sources of Further Information
38
9.1
Recommended Reading
38
9.2
Useful Websites
39
10.0
Bibliography
40
11.0
References
43
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1.0
WHAT IS MENTORING
Mentoring is increasingly recognised as a vital component in any business

toolkit for the 21st century - but what is mentoring? Ask any group of
individuals and their ideas are sure to differ widely.
This section will look at the background, definitions and concepts of mentoring
and provide a clearer understanding of what mentoring is and how it can be
used in practice for real benefit.
1.1
Background
The concept of Mentoring has its origins in Greek Mythology. Ulysses

entrusted his son Telemachus to the care and direction of his old and trusted
friend Mentor, before setting out on an epic journey, to fight in the Trojan
Wars.
Gone are the days when wise old mentors, draped in togas would lecture to
young protgs sitting attentively at their feet. Today's troupe of mentors know
no age restrictions. They guide all manner of individuals, stretched across the
globe, through the use of telephone, e-mails, instant messaging and
broadband Webcasts. The word Mentor has become synonymous with any
form of "wise counselling" and Mentoring has been adopted by many
organisations as an effective development option.
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Conceptionally, Mentoring is the classic strategy where the more experienced

care for and train the less experienced, in a non-judgmental manner by
coaching, counselling and imparting knowledge. From Homer to the new
millennium not much has changed. The technique has undoubtedly withstood
the test of time and has proved very useful in delivering beneficial results. It
can be and is used to produce, amongst other outcomes role models, higher
aspirations, increased motivation, improved attainment, and the reduction of
angst at transition phases. Essentially it is an intentional and nurturing
process which fosters the growth and development of the Mentee towards full
maturity.
Mentoring relationships can be found in abundance both in real life and in

make-believe. For example, in the 1983 movie, Educating Rita, the character
Rita is mentored by her teacher Dr. Bryant. Warren Beatty has been mentored
by Diane Keaton. Golf pro Tiger Woods has been mentored by Mark O'Meara.
And in the 1993 novel, Compelling Evidence, by Steve Martini, lawyer Ben
Potter mentors colleague Paul Madriani.
Mentoring taps a basic instinct most people share the desire to pass on their
learning, to help other people develop and fulfil their potential.
1.2
What Is The Definition Of Mentoring?
There are many varying definitions about mentoring. The following definitions
are widely accepted and quoted in the literature on mentoring. They reflect
different yet related ideas and in a way capture the essence and spirit of
mentoring.
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"Off-line help by one person to another in making significant transitions in

knowledge, work or thinking." Clutterbuck & Megginson (1995).
Mentoring is seen as a process whereby mentor and mentee work together

to discover and develop the mentees latent abilities. Shea (1997).
Mentoring can be defined as: a significant, long-term, beneficial effect on the

life or style of another person, generally as a result of personal one-on-one
contact. Shea (1997).
Mentoring is a deliberate pairing of a more skilled or experienced person with
a lesser skilled or experienced one, with the agreed-upon goal of having the
lesser skilled person grow and develop specific competencies Murray (1991).
Mentoring means to facilitate, guide and encourage continuous innovation,

learning and growth to prepare the business for the future. Mentoring in
business is most effective when discretely targeted at three levels: 1) the
individual workers; 2) the management team and other working groups; 3) the
entire organisation and its culture. Johnson (1997).
Mentoring is not only a valuable modern business tool but is also an age-old
tradition, valued by countless generations. In recent times, the mentoring
tradition has been followed through craft apprenticeships, modern day
"buddy" arrangements and facilitated mentoring programmes.
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Mentoring is used by organisations of every size and type, across the public,
private and voluntary sectors. It is used, for example, to:
Help new employees acclimatise to the working environment
Facilitate better communications between different business units or

management tiers
Promote and support changes in the culture of an organisation
Enhance cross cultural communications and understanding
Mentoring can be described as a partnership between two people. It can be

seen as a process of on-going support and development, which tackles issues
and blockages identified by the mentee.
1.3
What Is The Difference Between Mentoring And Coaching?
There is considerable debate about the use of the terms mentoring and
coaching. It is therefore important to have clear definitions as a base for
mentoring or coaching programmes. This assists in clarifying and
communicating to others the focal purpose of the mentoring scheme. It also
helps to identify key components that may need to be included in any
supporting training programme.
A mentor is commonly described as a critical friend, or guide who is

responsible for overseeing the career and development of another person
outside the normal manager/subordinate relationship. Clutterbuck and
Sweeney (1997).
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A coach is someone who plans an intervention designed to improve the

performance of an individual in a specific task. Clutterbuck and Sweeney
(1997).
Some people do not distinguish between coaching and mentoring, although

Clutterbuck and Sweeney (1997) consider such a distinction important as
highlighted in the table below.
Table taken from Clutterbuck & Sweeney (1997)
COACHING
MENTORING
Focus on task
Focus on progress
Usually short term
Usually longer term sometimes for life
Explicit feedback
Intuitive feedback
Develops skills
Develops capabilities
Driven by coach
Driven by mentee/learner
Shows you where you went wrong
Helps you to work it out yourself
Mentoring requires the mentor to know which of several styles to use at any
particular time. A mentor may be more or less directive in response to the
needs of the mentee. A mentor may also pay more or less attention to the
emotional needs of the mentee. These different focuses are represented in
Figure 1 below.
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Figure 1: Styles of mentoring Clutterbuck and Sweeny (1997).

Directive
COACHING
Intellectual/
Skill need
FACILITATING
Emotional
Need
MENTORING
NETWORKING
COUNSELLING
Non-directive
1.4
What Mentoring Is And Isnt
There are two very different schools of thought about the nature and purpose
of mentoring, which can be described as the US and the European models.
These can be summarised as:
US:
Sponsorship where the role of the mentor is as sponsor and

protector of a younger persons career.
European:
Developmental which emphasises the empowering of

people to take charge of their own development and
career momentum.
This international perspective on mentoring relationships provides unique

insights into cross-cultural differences in mentoring, and challenges some
existing perceptions in the process. The Americans and the Europeans use
different terminology in their mentoring relationships. For example, the
Americans commonly use the term protg. This is considered to be
unacceptable by the Europeans as this suggests a patronising and one way
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relationship. The Europeans prefer to use the term mentee, which the
Americans see as just a trendy term which is not a proper word. Some people
tend to use both terms interchangeably but there is more to this than just a
language difference. There are deeper differences and assumptions regarding
the nature of the mentoring relationship. For example, Americans view
mentoring as helping the protg advance up the corporate ladder, while the
Europeans see this approach as nepotism and favouritism. The Europeans
tend to use a more holistic approach, which looks at the overall personal
development of the mentee, irrespective of his or her rank or advancement
patterns.
These diverse views have much in common, but they also point to distinct
differences in the nature and functioning of mentoring relationships. Together
they represent a rich composition that can best be appreciated by
understanding their unique parts and country culture context.
1.4.1 Mentoring Is:
The following bullet points highlight what mentoring is:
One-to-one, off-line
Confidential
Understanding and trusting
Developmental
Building capacity & intangible skills
Person focussed
Partnership and friendship
Mutual, 2-way learning relationship
Building self reliance
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1.4.2 Mentoring Isnt
The following bullet points highlight what mentoring Isnt:
Direct sponsorship
Undermining the line manager
Secretive
Task Focused
Doing it for you/giving the answer
Detailed
Therapy
Protection
1.5
What Are The Benefits Of Mentoring?
In a business context, there are essentially four key stakeholders in a

mentoring scheme, all of whom are looking for a return on their investment.
There are:
Mentor
Mentee
Line Manager
The Organisation
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There are numerous mentoring outcomes for the mentor, the mentee, line
manager and the organisation. Mentee outcomes include career
advancement, success and satisfaction as highlighted by Dreher and Cox,
(1996); Fagenson, (1988); and Ragins and Cotton, (1999). Mentors can
benefit from increased promotion rates, rejuvenation and the acquisition of
useful information as described by Kram, (1985); and Mullen (1994).
Organisational outcomes include increased employee motivation, better job

performance and increased competitive advantage as highlighted by Kram
and Hall, (1989); and Shea, (1994).
1.6
What Are The Potential Benefits For The Mentor?
The benefits for the mentor are as follows:
Increased motivation and sense of achievement
Refined interpersonal skills
Revitalised interest in work
Enhanced status
Extended influence
Close relationship with the mentee
Satisfaction of seeing some one else grow
Opportunity to take time out/reflect
Improved understanding of the different generations
Fulfilment of own developmental needs
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1.7
What Are The Potential Benefits For The Mentee?
The benefits for the mentee can be summarised as follows:
Positive role model
A source of guidance and perspective
A safe space to try out ideas
An opportunity for personal reflective space
A source of stretch and challenge
Access to networks and other learning sources
More responsibility for own learning and training
Increased self esteem
Increased motivation and achievement
Personal growth and development
Enhance existing skills & learn new skills
1.8
What Are The Potential Benefits For The Line Manager?
The benefits for the line manager can be summarised as follows:
A second opinion
Improvement in mentees performance
Better relationship with mentee
Shared responsibility for developing mentee
Better motivated team member
Higher productivity for the team
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1.9
What Are The Potential Benefits For The Organisation?
The benefits for the organisation can be summarised as follows:
Better recruitment, retention & progression of employees
Means of supporting succession planning
Motivated workforce with improved skills
Improved communications across the business
Reinforcement of culture change
Tacit knowledge is shared
Helps building of the learning culture
Cost-effective personalised development programme
Maximising human potential
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2.0
HOW MENTORING RELATIONSHIP WORKS
Mentoring schemes either have a finite lifetime or allow participants to find

their own timing. Whichever approach is used, research has shown that a
mentoring relationship moves through five recognisable phases, as shown
below in the lifecycle model developed by Clutterbuck Associates. These are
covered in this section, together with the activities relevant to each phase.
2.1
The Lifecycle Model
Intensity of
learning and
value added
PROGRESSION
WINDING UP
SD
MO
BR
Time
BR = Building Rapport
SD = Setting Direction
MO = Moving On
2.1.1 Phase 1: Building Rapport
In this phase it is important to look at what values the mentor and mentee
share; and how they are going to work together.
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The following five key components are essential for rapport:
Trust there must be confidence that mentor and mentee will both
keep confidential anything discussed between them, and that they
will do what they say they will.
Focus the attention needs to be fully on the mentor/mentee.

There should be active listening taking place, which must be open
and non-judgemental.
Empathy there must be mutual respect between the mentor and

mentee. Both need to try and understand the others point of view,
their feelings, ambitions and drives.
Congruence There should be a shared sense of purpose for the

relationship and confidence to talk about some of the fears,
weaknesses or mistakes of both individuals.
Empowerment The mentoring relationship needs to be liberating

on both sides.
A good set of indicators for amount of rapport between mentor and mentee
are:
Body language of mentor and mentee
Number of uncomfortable issues being explored
Liveliness and depth of discussions taking place
Amount of enthusiasm about learning being displayed
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2.1.1.1
The First Meeting
The first meeting provides a great opportunity to build the personal rapport,
which is crucial for the success of the partnership. Mentor and mentee must
be prepared to talk about their expectations and hopes for the relationship. It
is also very important for the mentor and mentee to share some personal
interests and stories to help establish common ground.
The mentor and mentee both need to prepare prior to the meeting by asking
themselves some of the following questions:
Mentee
What are my strengths?
What are my major needs?
What are my short, medium and long term objectives?
What are the things that the mentor can help me with?
How can I help the mentor help me?
What do I want out of the mentoring relationship?
How will I know if the mentoring is working or not working?
Mentor
What can I offer the mentee?
What do I want out of the relationship?
What career and life experiences have helped me most in my

own personal and professional development? What are
important lessons learnt? How can I use these to help my
mentee?
How will I know if the mentoring is working or not working?
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2.1.1.2
Agreeing Ground Rules
It is very important that the ground rules for the relationship are discussed and
agreed up front, whether or not these are written down in terms of a formal
contract or agreement.
Some of the following areas should be discussed:
What is expected from the mentoring relationship by both parties?
How, when and where will the meetings take place?
What are the boundaries of the relationship?
How can you ensure other people e.g. line manager are
comfortable with the relationship?
How will you measure/review progress?
How will you conclude the relationship both whilst it is working

and/or when it is not working?
2.1.2 Phase 2: Setting Direction
Having clear aims and objectives is important in creating a sense of purpose

and in some respect urgency. The mentee needs to articulate with the help of
the mentor if required, what kind of transition they want to achieve. In order to
help with this process it is useful to consider questions like:
What does the mentee want to do and/or achieve in short, medium

and long term?
Where does the mentee want to be in 12 months time?
How will you know progress has been made?
What sort of help, advice and support is the mentee looking for?
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2.1.3 Phase 3: Progression
This phase is the mature and the most productive stage of the mentoring
relationship especially as the mentor and mentee will be well used to each
other by this time and the relationship will be running pretty smoothly. The
mentee will start to show more independence as their confidence grows and
will be in less need of support and advice from the mentor.
The ground rules will no doubt be well understood and the meeting agenda,
structure, timing etc will be well established. This is a very good time to look at
whether or not best use is being made of the learning opportunity.
It is also useful to look at the way the meetings are being managed to ensure
best use is being made of the time and the mentoring relationship.
A review of all the elements of the mentoring relationship at this stage is

strongly recommended to allow any adjustments and new plans to be made if
necessary.
2.1.4 Phase 4: Winding Up
In this phase, the relationship becomes more mutual in terms of learning and
support. The mentee gradually becomes more and more self-reliant. The
mentee by now should be in charge of the mentoring process, so that the
mentors role is much more reactive.
It is appropriate during this stage for the mentor to review frequently with the
mentee what both parties are getting out of the relationship and let matters
take their course.
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The objectives defined at the start of the relationship will gradually be realised
by this time and the mentor will start to see the end of the relationship in sight.
Alternatively a much wider range of issues may be encompassed with mutual

agreement. Many of these could be more personal and outside the scope of
the mentees initial goals. In this situation, it is important to be aware of and
stay within the boundaries of the mentoring role and not move or drift into a
counselling role.
2.1.5 Phase 5: Moving On
There comes a time in the relationship when it is appropriate to move on. This
could be defined by the specifics of the mentoring scheme or when the
mentee has achieved most/all of their goals. This could also happen when
discussions lack freshness and either the mentor or the mentee begin to feel
constrained by the relationship.
There are some key questions and issues, which should be considered in this
phase as follows:
Has the mentee become too reliant on the mentor to let go?
Have missed meeting(s) started to create a guilt feeling that inhibits

further contact?
A formal ending is a release from commitment
It is better to end within a mentoring session
The mentee should be left with a structure for further development
Ensure the mentee has a network of other sources of support
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It is better to achieve a proper closure in all cases. To help act as a guide:
DO
Prepare for the transition ahead of time
Frequently review the relationship
Emphasise the mutual learning
Be open and honest about your feelings
Celebrate the successes
Help the mentee plan how to manage on their own
Encourage the mentee to become a mentor
Agree how/when you will keep in touch
Dont
Allow things to drift away
Make the break abrupt
Allow friendship to obscure the practical purposes
Make your mentee feel guilty about their independence
Try to keep the relationship going at anything but a very

reduced level
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3.0
THE LEARNING PROCESS
It is important to have a good understanding of essential learning theory in

order to make the mentoring relationship as effective as possible.
There are a number of basic principles of importance to anyone undertaking,

learning, or helping others to learn. These are summarised below:
3.1
Pre-Requisite For Learning
(a)
There has to be a level of physical development sufficient to enable the

learner to undertake the tasks of learning.
(b)
There has to be a level of mental development sufficient to enable the

learner to learn. Being at a particular general level of intelligence may
not be sufficient a specific aptitude may be required.
(c)
The learner has to have adequate motivation (or drive) to learn.

Wanting to learn or being interested in learning, or being compelled
to learn (e.g. to gain qualifications) may not be enough. The learner
has to be able to relate effort to end results and judge these as
worthwhile.
(d)
The learning has to be such that it provides for and encourages active
participation.
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3.2
How Learning Takes Place
The way learning takes place can be summarised in the following way:
(a)
Information is taken in by the senses. The more senses in operation

simultaneously, the more quickly is the information absorbed.
(b)
Association of new information with previous known information. This

puts what is new into a meaningful frame of reference and the learner
is able to progress from known to unknown.
(c)
Assimilation of new information takes place best when it is presented in

a series of manageable steps or parts.
(d)
Acquisition of new information takes place by active recall and

repetition.
(e)
Practice with knowledge of the results forms this into a habit.
(f)
Learning is an active and not a passive process.
(g)
Different individuals prefer to learn in different ways broadly related to

Kolbs cycle and in line with Honey & Mumfords learning styles
inventory as follows:
ACTIVISTS prefer to learn from EXPERIENCES (GET IT DONE)
REFLECTORS prefer to learn from REFLECTION (THINK FIRST)
THEORISTS prefer to learn from THEORISING (UNDERSTAND IT)

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PRAGMATISTS prefer to learn from ACTION PLAN (WILL IT WORK?)
It is true to say that by applying principles outlined in 3.1 and 3.2 above, the
skill of learning can be acquired to a large extent through training and
development. However, for the training to be effective it is essential to
determine which type of learning is needed and learning/training designed
accordingly.
To effectively acquire the skill of learning and maximise the benefits you must
reflect on what you are doing, try to understand it, and experiment with ways
of doing things better. Otherwise the experience is likely to teach you almost
nothing. Similarly, purely theoretical knowledge if not related to experience,
and experimented with, is unlikely to be productive of useful learning.
Although using the learning styles inventory to learn is a very powerful tool,
you must first identify your preferred learning style. Identifying the barriers that
need to be overcome in improving your non-preferred learning styles can then
follow this. Again all the principles of learning need to be followed to make the
learning successful.
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4.0
E-MENTORING
This section looks at a whole new form of mentoring know as e-mentoring that
has developed over recent years and is continuing to gain popularity and take
up today. This form of mentoring can be used to overcome time and distance
barriers and also compliment and enhance the traditional face to face
mentoring programmes.
4.1
What Is E-Mentoring?
The proliferation of email and the Internet has created a whole new model of
mentoring communication through electronic messaging systems such as
telephone, email, Internet chat rooms, bulletin boards, messaging systems.
This has come to be known as e-Mentoring.
E-mentoring can be either formal or informal, and can provide a range of

services from programme support to personal relationships.
E-mentoring can work well for information-based relationships, particularly for

providing help to someone who has an emergent need that can be met with
specific instructions or explanations. Personal relationships are also possible
to develop through electronic communications, and without face-to-face
meetings, but the individuals must be comfortable with non-visual forms of
communication.
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For example, in The Revenge of the Introverts Livingood explains how

individuals who may be shy in public exchanges become quite communicative
when they are able to talk with others through online text.
The Internet gives introverts a way to remain a little isolated from the hustle
and din of society, yet still communicate with other Internet users on topics of
mutual interest. Newsgroups and mailing lists are generating pools of "group
knowledge" that introverts not only enjoy participating in, but may also use to
gain some competitive advantages in today's information society. Introverts
are likely to increasingly go "on-line," relying upon the growing hordes of
internet users as a knowledge base. Rather than displacing them, today's
technology is giving introverts new ways to express themselves. They are
connected, they are communicating, and they are comfortable in the new
world of cyberspace. Livingood (1995).
4.2
Similarities And Differences
While some aspects of e-mentoring are very different from conventional faceto-face variety, others are very familiar.
Mentoring of whatever description is work-focused in the main. Its about

finding someone that can be called a role model that demonstrates exemplary
behaviour in areas that are critically important to another person.
Mentors are generally working at a level above the mentee, and perhaps
more than that. Mentees look for mentors who perform better at certain
functions than they do, people who inspire them, and people who make them
ask, how do they do that? So far, so good. But there are inevitable
differences, too, and the method of communication is the most obvious.
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You know how you sometimes get e-mails, which you interpret in a particular
way, yet when you speak to the sender he will say he didn't mean it to be
construed like that? That is a dilemma with e-mentoring. You are never
entirely sure what tone the message carries, which means you, have to be
careful in how you interpret it.
A set of rules and guidance on writing e-mail messages, called 'netiquette,'

has been developed to try and overcome these problems. Netiquette involves
the use of symbols, such as a smiling face motif placed beside a cheery
message, to convey tone, but even that can not fully plug the gaps left by lack
of face-to-face contact. There is not the same opportunity for challenge with ementoring. The challenge in mentoring comes not so much through what
people say, but in how they say it it is highly non-verbal. We all apply
relative importance to things like body language and tone of voice in
communications, and those are not available on e-mail.
Challenge is one thing, but perhaps surprisingly, the relationship elements of

e-mentoring are not vastly different from those of conventional mentoring.
People often think that the e-mentoring relationship would be very different until they are involved in one. There is no doubt that people develop
interesting relationships over the Internet - they actually tend to say more in ementoring than they might face-to-face.
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4.3
E-Mentoring In Practice
The mechanics of e-mentoring are pretty straightforward. Typically, the

mentee will set down in a message the issues that are important to him or her
at that time. Using for example email, designed to enable the receiver to insert
text into the original message, the mentor can then 'thread' his or her
responses between the mentee's sentences. Threading is a really important
aspect, since you can highlight elements of the text that are important, and
insert your response next to them. This is the next best thing to having a
conversation.
Ground rules, of course, still have to be agreed, just as they would in a

conventional mentoring relationship. Instead of regular meetings, regular
times for sending and receiving e-mail messages can be set up. The benefit
of e-mail is being able to send and receive messages at any time day or night.
This flexibility is particularly important if the mentor and/or mentee have a
busy personal and/or professional life. Different people will no doubt use this
facility in different ways to suit their own life and work styles.
4.4
Making It Work
There are circumstances in which e-mentoring can work particularly well,

especially where there are issues associated with time (i.e. people having
very busy schedules) and distance (i.e. people are geographically disperse).
An example of this could be in the health service where there are real issues
with remote and rural Environments. Other good examples are ITV News
Group with its regional spread and BT where people are based around the
world. For people in this situation, it is a great source, and opportunity. It is
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also useful for busy people as an add-on. Sometimes it is not useful on its
own, but if you can combine it with face-to-face mentoring, you can save time.
Trust and confidentiality can be issues for some people. Some people might
take months to establish a trusting relationship with people even on a regular
face-to-face basis. Therefore, it is, pay your money, and take your chances.
But perhaps the greatest opportunity e-mentoring offers to mentees is greater

choice and diversity in choosing mentors. The term, theoretically an individual
can be mentored by someone on a different continent, has been turned into a
reality!
One of the key competencies is to value diversity. E-mentoring opens the

door to enormous diversity in potential mentors and mentees. If people
understand and endorse that, they can look for an e-mentor or e-mentee who
is different rather than similar, and will be better challenged for it. The people
who participate on the e-mentoring programmes have certainly benefited from
the richness that the diverse pool of e-mentors and e-mentees provide.
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5.0
HELPFUL TECHNIQUES AND PROCESSES
The following techniques and processes can be very helpful in a mentoring

relationship:
Understanding Perspective The mentor and mentee may have very

different set of experiences, values and ambitions from each other,
especially if they are from a different culture. It is therefore, important to
recognise their existence and validity, even if you do not fully agree
with them. Having a good understanding of each others perspective will
lead to more fruitful discussions and outcomes.
Developing Networks A mentor can help a mentee develop their

networks by sharing networking techniques and helping the mentee
understand how to develop and maintain relationships with others.
Being A Good Role Model - Effective mentors always become good

role models to their mentee. However, they need to be mindful that the
mentee may well adopt some of their behaviours and potential
weaknesses which are not appropriate. Therefore, the mentor must
help the mentee think about what behaviours fit best with their
personality and strengths.
Being A Critical Friend Plain, straightforward speaking is not always

comfortable either for the mentor or the mentee, but it is one of the
things they are most likely to appreciate. Plain talking and effective
challenging will lead to a more meaningful dialogue, deeper reflection
and better learning outcomes.
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Giving Advice it is important for the mentor to hold back from giving
advice and jumping straight into solution mode. The mentee should be
helped to develop their own solutions through the use of effective
questions. However, there are times when a simple This is what you
need to do is an appropriate approach. The trick is to understand
when to give advice and when to hold back. This will undoubtedly
come with practice and experience.
Career Planning A mentor can often draw upon knowledge and

experience of the organisation to help the mentee identify specific
career paths and job opportunities.
Encouraging And Supporting There will be times when a mentor

just needs to be there to listen and help a mentee regain their
confidence. Jumping in to solve their problem for them will not help
build self reliance.
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6.0
CODE OF PRACTICE
The following points provide a general code of practice for the mentoring
relationship.
1.
Mentoring is a confidential activity, in which both parties have a duty

of care towards each other.
2.
The mentors role is to respond to the mentees developmental

needs and agenda and not to impose one of their own.
3.
Mentor and mentee should discuss and agree the aims and
objectives of the mentoring relationship.
4.
Mentor and mentee should discuss and agree the ground rules
which will be used to govern the mentoring relationships.
5.
The mentee must accept increasing responsibility for managing the

relationship and the mentor must empower them to do so.
6.
Mentor and mentee must be open and truthful to each other about
the relationship itself, regularly reviewing how it might be improved.
7.
Mentor and Mentee may end the relationship at any time if it is not
working for them. However, they have a responsibility for discussing
the matter together, as part of mutual learning.
8.
Mentor and mentee share responsibility for the smooth winding

down of the relationship, when it has achieved its purpose.
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7.0
FREQUENTLY ASKED QUESTIONS
This section provides answers to some of the most frequently asked

questions about mentoring.
1. Whats the difference between coaching and mentoring?
Coaching is primarily about performance and the development of

specific skills. Mentoring is much more broadly based and intuitive,
focusing on developing capability and often includes longer term
help in career self-management.
2. How long should a mentoring session last?
Between one and two hours, typically.
3. How frequently should we meet?
Every 4 6 weeks, typically.
4. Where is the best place to meet?
Where mentor and mentee both feel able to relax, yet be business
like in their discussions. In general, a neutral, private space is
usually best.
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5. How long should a mentoring relationship last?
Between 6 months to a year is typical. However, these relationships

can last much longer in cases where the mentoring pairs set new
goals and continue after they reach the end of the initially agreed
period.
6. Can I have more than one mentee at a time?
Yes, but it is best to start with one or two, while you develop your
skills in the role.
7. What is the role of the line manager and the mentor?
In general, line managers focus on developing people for the roles

they are currently in and sort out their day to day work issues.
Mentors focus on the longer term and work on a much boarder
range of issues to help the mentees develop their capabilities and
plan their future career path.
8. How confidential is the mentoring relationship?
In general, everything said in the mentoring discussion is private to

the mentor and mentee. However, you have certain legal
obligations to report any criminal conduct which could include for
example, incidents of sexual harassment or bullying.
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8.0
TROUBLESHOOTING CHECKLIST
The following checklist covers some of the most frequent problems reported in
mentoring relationships.
Problem
Possible Solutions
Our discussions are very shallow.
We seem to have run out of steam.
Meetings keep getting postponed.
Check and ensure that the aims

and objectives of the relationship
are clear and fully understood.
Create an environment where
there is fully open and frank
debate and discussion.
Ensure that there is sufficient level
of challenge and reflection during
the meetings.
Review the aims and objectives of

the relationship and decide
whether or not there is a need for
the relationship to continue.
If the relationship is to continue
then discuss and agree how it can
be reinvigorated.
If the relationship is to end then it
should be formally wound down.
Check how committed the mentor

and mentee are to the
relationship.
Consider using e-mentoring to
overcome lack of time pressures.
Discuss and agree better ways of
managing time.
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Problem
Possible Solutions
We dont seem to have much rapport.
My mentee expects too much of me.
Recognise and tackle the

problem by trying to work
together to build better rapport.
Agree mutually to withdraw
from the relationship if rapport
can not be established for
whatever reason.
Review and agree the aims

and objectives of the
relationship.
Set and agree manageable
expectations.
My mentor wont stop talking.
Discuss the concerns openly

and agree a way forward. As a
rule of thumb an effective
mentor should rarely talk for
more than 20% of the time.
I am confused about the role of my

line manager and my mentor.
Discuss the issue with both the

line manager and the mentor
to ensure that there is clarity of
their respective roles. In
general, the line manager is
responsible for the day to day
issues the mentee may need
help with, and the mentor is
responsible for the ongoing
long term development.
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9.0
SOURCES OF FURTHER INFORMATION
This section has been compiled to sign post the reader to sources of further
information.
9.1
Recommended Reading
The following books will provide a good insight into mentoring and arm the
reader with the essential tools and techniques for effective mentoring.
Carter, S. (1994) An Essential Guide to Mentoring, Institute of

Management.
Clutterbuck, D. (2004) Everyone Needs a Mentor, CIPD.
Clutterbuck, D. & Megginson, D. (1995) Mentoring in Action, Kogan

Page.
Clutterbuck, D., Ragins, B. R. (2002) Mentoring and Diversity: An

International Perspective, Butterworth Heinemann.
Hay, J. (1995) Transformational Mentoring: Creating Developmental

Alliances for Changing Organisational Culture, The McGraw-Hill Book
Company.
Honey, P and Mumford, A. (1986) The Manual of Learning Styles,

Peter Honey.
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Johnson, Harold. 1997. Mentoring For Exceptional Performance.

Glendale, CA: Griffin.
Megginson, D. & Clutterbuck, D (2005), Techniques for Coaching and

Mentoring, Butterworth Heinemann.
9.2
Shea, G. F. (1992) Mentoring: A Guide to the Basics, Kogan Page.
Useful Websites
The following websites contain very useful information about coaching and
mentoring. The reader should visit them on a regular basis in order get up to
date information.
www.gssuk.net
www.emccouncil.org
www.coachingnetwork.org.uk
www.clutterbuckassociates.co.uk
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10.0 BIBLIOGRAPHY
Antal A.B (1993) `Odysseus' Legacy to Management Development:

Mentoring' European Management Journal Vol 11 No 4 December.
Barham K & Conway C (1998) `Developing Business and People

Internationally - A Mentoring Approach'. Ashridge Research.
Bass, B. and Vaughan, J. (1966) Training In Industry The Management of

Learning, Travistock Publications Ltd.
Borger and Seaborne (1989) The Psychology of Learning, Penguin Books.
Boud, D and Garrick, J. (1999) Understanding Learning at Work, Routledge.
Clutterbuck, D (2004) Everyone Needs a Mentor, CIPD
Downs, S. (1995) Learning at Work Effective Strategies For Making Things

Happen, Kogan Page.
Hay, J. (1995) Transformational Mentoring: Creating Developmental Alliances

for Changing Organisational Culture, The McGraw-Hill Book Company.
Honey, P and Mumford, A. (1986) The Manual of Learning Styles, Peter

Honey.
Jelbring-Klang & Tamm-Buckle R (1996) `Mentoring in SAS' pp 140-141 in

Proceedings of the Third European Mentoring Conference, European
Mentoring Centre and Sheffield Business School.
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Kerka, Sandra. 1998. New Perspectives on Mentoring. ERIC Digest.

ED418249. http://www.ed.gov/databases/ERIC_Digests/ed418249.html
Kolb, D.A. (1984) Experiental Learning Experience as the Source of

Learning and Development, Prentice Hall, New Jersey.
Livingood, Jeb. Revenge of the Introverts. Computer-Mediated

Communication Magazine Volume 2, Number 4. April 1, 1995. Page 8
http://metalab.unc.edu/cmc/mag/1995/apr/livingood.html
Megginson D & Clutterbuck D. (1997) Mentoring in Action: A Practical Guide
for Managers, Kogan Page.
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Mumford, A. (1995) Effective Learning, IPD.
Murray, M (1991) Beyond the Myths and Magic of Mentoring: How to

Facilitate an Effective Mentoring Programme, jossey-Bass, San Francisco.
Patton A (1991) `Mentoring for Women in BP Oil Europe: The Realisation'

Internal Report for BP Oil, April.
Rowley, James. 1999. The Good Mentor. Educational Leadership. May

V.56No.8. ASCD
Shea, G. F. (1992) Mentoring: A Guide to the Basics, Kogan Page.
Stern, E. and Sommerland, E. (1999) Work Place Learning, Culture and

Performance, IPD.
Sinetar, Marsha. 1998. The Mentors Spirit. New York: St. Martins Griffin.
Torrington, D, Weight man J. and Kirsty J. (1989) Effective Management

People and Organisations, Prentice Hall.
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REFERENCES
Clawson, J. G., and Kram, K. E. (1984). Managing cross-gender mentoring.

Business Horizons, 27(3), 22-31.
Collins, E. G. C., and Scott, P. (1978). Everyone who makes it has a mentor.
Harvard Business Review, August-September, 89-100.
Collins, N. (1983). Professional Women and their Mentors. Prentice-Hall.

Cook, M. F. (1979). Is the mentor relationship primarily a male experience?
Personnel Administrator, 24(11), 82-6.
Fitt, L.W., and Newton, D. A. (1981). When the mentor is a man and the
protg a woman. Harvard Business Review, 58(2), 56-60.
Kram, K. E. (1985). Mentoring at Work: Developmental Relationships in

Organisational Life. Scott, Foresman and Co.
ONeill, R. M., Horton, S. and Crosby, F. J. (1999). Gender issues in

developmental relationships. In Mentoring Dilemmas; Developmental
Relationships within Multicultural Organisations (A. J. Murrell, F. J. Crosby
and R. J. Ely, eds) pp. 69-80, Lawrence Erlbaum.
Ragins, B. R. (1997a). Diversified mentoring relationships in organisations: a

power perspective. Academy of Management Review, 22(2), 482-521.
Ragins, B. R. (1997b). Antecedents of diversified mentoring relationships.

Journal of Vocational Behaviour, 51, 90-109.
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Ragins, B. R., Townsend, B. and Mattis, M. (1998). Gender gap in executive

suite: CEOs and female executives report on breaking the glass ceiling.
Academy of Management Executive, 12, 28-42.
Ragins, B. R. (1999). Gender and mentoring relationships: a review and

research agenda for the next decade. In Handbook of Gender in
Organisations (G. N. Powell, ed.) pp. 347-70, Sage.
Thomas, D. A. (1993). Racial dynamics in cross-race developmental

relationships. Administrative Science Quarterly, 38, 169-194.
Thomas, D. A., and Alderfer, C. P. (1989). The influence of race on career

dynamics: theory and research on minority career experiences. In Handbook
of Career Theory (M. B. Arthur, D. T. Hall and B. S. Lawrence, eds) pp.13358, Cambridge University Press.
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MENTORING GUIDE
TABLE OF CONTENTS
1 INTRODUCTION ................................................................................................................ 1
2 TRUST AND RESPECT..................................................................................................... 1
2.1 Adult/Student Relationships......................................................................................... 1
2.2 Gracious Professionalism ............................................................................................ 2
3 MENTORING GUIDE OBJECTIVES.................................................................................. 3
4 MENTORING DEVELOPMENT ......................................................................................... 3
4.1 The Concept ................................................................................................................ 3
4.2 Effective Mentor Goals and Objectives........................................................................ 3
5 COACHING THROUGH FACILITATION ........................................................................... 4
5.1
5.2
5.3
5.4
5.5
Facilitating vs Teaching ............................................................................................... 4

Promote Independent Thought .................................................................................... 4
Develop Roles Within the Team .................................................................................. 4
Foster Reciprocal Trust and Respect .......................................................................... 4
Know the Basic Facilitation Process............................................................................ 5
6 MENTORS ROLES AND RESPONSIBILITIES................................................................. 5

6.1 Responsibilities............................................................................................................ 5
6.2 Roles............................................................................................................................ 6
6.3 Tasks, Strategies, and Stress...................................................................................... 6
7 STUDENTS ROLES AND RESPONSIBILITIES ............................................................... 6
7.1 Roles............................................................................................................................ 6
7.2 Responsibilities............................................................................................................ 6
8 SHIFTING ROLES AND GROWTH ................................................................................... 7
8.1 Mentors Shifting Roles................................................................................................ 7
8.2 Students Shifting Roles............................................................................................... 7
8.3 Transferring Ownership ............................................................................................... 7
8.3.1 Students as Mentors...................................................................................................................... 8
8.3.2 Mentors Role - Observer .............................................................................................................. 8
8.3.3 Students Role - Mentor in Training ................................................................................................ 8
9 FACILITATION TECHNIQUES .......................................................................................... 8

9.1
9.2
9.3
9.4
9.5
Listen and Watch for Cues .......................................................................................... 8

Be an Active Listener................................................................................................... 8
Look for Verbal and Non-verbal Cues ......................................................................... 8
Listen and Ask ............................................................................................................. 9
Provide Feedback Positive, Objective, Constructive ................................................. 9
9.5.1 Be Sensitive.................................................................................................................................. 9
9.5.2 Be Safe ....................................................................................................................................... 10
9.6 Coaching Awareness ................................................................................................. 10

9.6.1 Clarify the Task: .......................................................................................................................... 10
9.6.2 Know Yourself ............................................................................................................................. 10

9.6.3 Know Your Group........................................................................................................................ 10
9.7 Coaching Tips............................................................................................................ 10

9.8 Keep It Simple............................................................................................................ 11
10 MENTORING TOOLS .................................................................................................... 11
10.1 Language tools ........................................................................................................ 11
10.2 Learning Styles ........................................................................................................ 12
10.3 Helpful Activities ...................................................................................................... 12
10.3.1
10.3.2
10.3.3
10.3.4
10.3.5
Create a Contract ...................................................................................................................... 12

Have a Team Building Night...................................................................................................... 13
Learn About Tools ..................................................................................................................... 13
Create Project Maps.................................................................................................................. 13
Brainstorm................................................................................................................................. 13
10.4 Intervention .............................................................................................................. 14

10.5 Team Progress Evaluation....................................................................................... 14
11 DIVERSITY IN TEAM RECRUITMENT .......................................................................... 14
11.1 Recruiting Kids......................................................................................................... 14
11.1.1 Selecting Recruiters .................................................................................................................. 15
11.1.2 Targeting the Population ........................................................................................................... 15
11.1.3 Listing Selection Criteria............................................................................................................ 15
11.2 Recruiting Adults...................................................................................................... 15

11.2 1 Potential Recruits ...................................................................................................................... 15
11.2.2 Fresh Ideas and Enthusiasm ..................................................................................................... 16
RESOURCES....................................................................................................................... 17
1 INTRODUCTION
The purpose of this guide is to help develop an understanding of the mentoring process and
associated relationships that should develop during the teams evolution. All team members can
learn something through the process. A lot of what is written is plain old common sense, but our
intent is to provide insights and tips to mentors/coaches to help them through the facilitation
progression. We think you will find the necessary tools to introduce you and your team to the
mentor philosophy, its goals, and the process:
A. Adults share simple concepts of team building and cooperation they have learned through
job experiences as well as their knowledge of specific, perhaps complicated engineering
expertise.
B. Mentors grow and learn new perspectives from the young minds brainstorming and working
under their tutelage.
C. Team members learn technical and organizational skills well enough to be assigned some
mentoring roles.
There is so much more than just a team feeling on a lot of the FIRST teams. Its hard to describe,
but its there. Many teams become extended families and the relationships become strong ones
and lasting ones. Students and adults absorb knowledge from each other and grow through the
guiding process, but he kids are not the only ones to benefit from the program. Its a total win
experience.
It is important to remember that team members will face long hours and days working on the robot
and awards submissions. Try to keep the atmosphere friendly and add laughter whenever possible
and appropriate. The following sections provide a foundation for growing a FIRST team.
2 TRUST AND RESPECT

There is a lot at stake during every one of the competition stages, so it is important to develop an
environment of trust and respect between all team members. The team must be able to rely on the
premise that all team members are honest, respectful, and dependable. At the very first meeting,
stress the point and start to develop this attitude among the team members.
Communication is a key component for building trust and respect. Let everyone know that their
ideas are important and will receive consideration. Mention this often as the season progresses.
Let the kids know that they will have a large part in building the teams robot once they have
learned and practiced the necessary skills...and follow through with your promises.
Many teams have team-building events and other activities prior to January so new team members
can get to know everyone in a fun and non-chaotic environment. These activities can help make
team members more comfortable and help start a good working relationship.
2.1 Adult/Student Relationships

It is important for every adult to remember that there are responsibilities that come with the
adult/student relationship. Young people look up to people they trust and respect and will look
to mentors as their role models, and they will closely watch the adults actions and see their
behavior as appropriate.
An adult may think that he or she is showing camaraderie and will fit in with a group of students
by using the same offensive language the students use among their peers, and the reaction of
the students may make the adult feel like he or she is part of the group. But what the adult is
really saying is that inappropriate language is ok.
Some school districts have policies regarding adult and student interaction. The adult team
leadership should understand these policies, how to enforce them, and make sure they
communicate them to every adult working with the team. Prior to meeting with the kids, have a
meeting with them to set expectations. This can give the adults an opportunity to ask questions
they may not want to ask in front of the students, openly discuss topics such as diversity, and
discuss ideas and potential problems about working with kids. If your school district has an
individual who works with school/business partnerships, invite him/her to this meeting to help
answer questions.
2.2 Gracious Professionalism

FIRST often uses this term, and it goes a long way to describing the programs intent. Woodie
Flowers asks this question: Why do FIRST folks talk so much about that phrase? As a
mentor and facilitator, you know that this is one of the most important concepts you can teach a
young person ready to learn how to get along in the work world. At FIRST, we see team
members helping team members, but we also see teams helping other teams. This is a real
indicator that this concept is effective and productive. You may want to spend a good portion
of time going over what Woodie says below.
Obviously it would not make sense to endorse asinine professionalism or gracious
incompetence. It is, however, completely consistent with the FIRST spirit to encourage doing
high quality, well informed work in a manner that leaves everyone feeling valued. Gracious
professionalism seems to be a good descriptor for part of the ethos of FIRST. It is part of what
makes FIRST different and wonderful.
Gracious professionalism has purposefully been left somewhat undefined because it can and
should mean different things to each of us. We can, however, outline some of its possible
meanings. Gracious attitudes and behaviors are win-win. Gracious folks respect others and let
that respect show in their actions. Professionals possess special knowledge and are trusted by
society to use that knowledge responsibly. Thus, gracious professionals make a valued
contribution in a manner pleasing to others and to themselves.
In FIRST, one of the most straightforward interpretations of gracious professionalism is that we
learn and compete like crazy, but treat one another with respect and kindness in the process.
We try to avoid leaving anyone feeling like they are losers. No chest thumping barbarian tough
talk, but no sticky sweet platitudes either. Knowledge, pride and empathy comfortably blended.
Understanding that gracious professionalism works is not rocket science. It is, however,
missing in too many activities. At FIRST, it is alive and well. Please help us take care of it. In
the long run, gracious professionalism is part of pursuing a meaningful life. If one becomes a
professional, and uses knowledge in a gracious manner, everyone wins. One can add to
society and enjoy the satisfaction of knowing that you have acted with integrity and sensitivity.
Thats good stuff!
3 MENTORING GUIDE OBJECTIVES

Mentoring is an important part of the FIRST program and contributes in a large part to program
success. The process often starts small with a coach or two and some students learning and
teaching mechanical and engineering skills. If done correctly, this learning process builds and
grows team members self confidence as well as their knowledge. If the process has a good
foundation and works properly, the adult team members come away with as much as the kids.
The following are a few objectives for this guide:
Provide a user-friendly document that will make the mentoring process easier for veteran and
rookie teams
Provide a clear understanding of the mentor process and relationship
Develop student and mentor reciprocal learning
4 MENTORING DEVELOPMENT
Mentoring is the process by which an experienced person provides advice, support, and
encouragement to a less experienced person. Every adult on a FIRST team is a mentor simply
because he or she leads through guidance and example. Kids can also learn mentoring skills.
4.1 The Concept

The mentors and students are equal and become united through a partnership. Each works
collaboratively toward a mutual and beneficial goal. On a FIRST team, a mentors goal should
be to actively share his/her knowledge and experiences with the team to help foster intellectual
growth. Provide students with opportunities to make choices, both good and bad.
4.2 Effective Mentor Goals and Objectives

An effective mentor demonstrates the value of success he or she has encountered during
his/her career path and uses these skills and successes to share knowledge and values with
team members. A successful mentoring program shows mentors/coaches helping each other
discover ways of adapting instruction to reach every participant on the team. Successful
mentoring can help optimize everyones learning experiences by:
Allowing and encouraging independent thought
Opening communication within the team
Fostering a reciprocal foundation of trust and respect
Encouraging effective facilitation
Promoting independent thought
Developing roles within the team
5 COACHING THROUGH FACILITATION

Facilitation is a process through which a person helps a group complete its work and improve the
way it works together. In other words, this person has the necessary knowledge, explains the
process to the team members, guides and encourages them to contribute ideas, and in the
mentoring spirit, enables the team to work together better.
5.1 Facilitating vs Teaching

As a facilitator, provide direction that supports accomplishing tasks and team success. Do this
by helping the team stay focused on the jobs they must complete. The catch is, many mentors
have trouble distinguishing the difference between teaching and facilitating. Heres the
difference:
Teachers communicate the knowledge they have learned on a given subject to one or
more people.
Facilitators enable communication within a group so that everyone contributes
knowledge and experience toward the solution.
In a properly facilitated session, everyone should feel comfortable and empowered to
contribute. The primary job of the facilitator is to help the group feel comfortable enough to
offer suggestions during any part of the project without feeling stupid or incompetent. This will
help achieve the best outcome for the team and the project.
5.2 Promote Independent Thought

The following will help you to promote independent thought on your team:
Approach problems with an open mind
Treat all ideas as equal
Resist any impulse to judge ideas
Capture ideas as stated
Use creative problem solving strategies to move beyond conventional solutions.
5.3 Develop Roles Within the Team

Instead of just assigning roles, think of ways to accomplish this so that team members feel as
though they have a part in the process. Talk about skill sets, projects and subprojects, sub
teams, enjoyment, time constraints, and rules set by the school or FIRST
5.4 Foster Reciprocal Trust and Respect

The foundation for this type of relationship begins when coaches become approachable and
available to students. Facilitate in such a way that the students feel very much a part of the
thinking, contributing, and doing processes for the team. The mentor/student relationship is
based on common goals and should continue to build on mutual trust and respect.
5.5 Know the Basic Facilitation Process

The process combines an understanding of the task, self, and group, with a set of interactive
and quality tools to achieve group results. The following are good implements:
A. Make sure everyone understands why you are meeting.
B. Identify what it is you are going to accomplish and establish criteria for agreement. It may
help to write it down so everyone stays focused on what it is. This can be a simple
phrase on a flip chart.
C. Use brainstorming techniques to get input from everyone, and write down all ideas.
D. Weigh alternatives against objective criteria previously established. You can use various
techniques for this and the technique might depend upon the circumstances. A good
facilitator will be able to get the group to narrow down the ideas. Some common
techniques are weighted voting, combining similar ideas, testing the feasibility of an idea,
and group consensus.
E. Avoid the we have always done it that way mindset.
F. Write down any decisions and state what you want to implement.
G. Be sure to and ask if there is anyone who does not understand the solution/plan.
H. Implement the selected solution, and make sure what you put into practice meets the
original intent.
6 MENTORS ROLES AND RESPONSIBILITIES

Mentoring should result in learning and the concept should begin when the students and adults first
come together. The roles of the mentor, students, and other team members change as they work
together over a period of time. Ultimately, the relationship evolves into skill development, both
technical and people-oriented, so he or she can widen the skill circle to include mentoring others.
SAFETY NOTE: It is important to remember that some team tasks which involve safety, such as
working in a model shop, should always require direct adult supervision regardless of the expertise
and ability of the student to mentor others.
6.1 Responsibilities
Inspire the students in science and technology
Motivate and engage students in the meaningful activities
Create open communication within the team
Facilitate instruction
Maintain process focus
Have the kids do as much work as possible
Establish an environment conducive to open and honest communication
Show trust in, and respect for, every team member and his/her ideas
Encourage kids to take risks and invent
Encourage accountability
6.2 Roles
Confidant
Supporter
Coach
Teacher
Motivator
Facilitator
Sustainer
6.3 Tasks, Strategies, and Stress

Help team members clarify tasks and develop strategic plans for individual jobs. Helping them
clearly understand the task list by defining them and their complexity, and showing their
relationship to the timeline, will make it easier for team members to plan and work together
toward successful job completion.
Try to watch for signs of serious stress among team members. This may be a time to intervene
and ask if they need help or suggest that they take a break and clear their heads. If the
opportunity presents itself, try to get them to laugh at the project, themselves, or you. It is
amazing what hearty laughter can do to relax a ticking timeline.
7 STUDENTS ROLES AND RESPONSIBILITIES

Some team members will quickly move through to a point where they can work independently and
move on to taking on the role of mentoring others, while some may need direct support from an adult
mentor for a longer period of time. It may take a while for some students to get to a point where they
can work independently. Dont judge how quickly they move from one phase to the next. Keep in
mind that everyone is an individual and comes from a different background, and everyone learns at
a different rate. Celebrate and facilitate each persons accomplishments, both large and small.
The peak of the mentoring process occurs when team members develops skills, both technical and
people-oriented, so he or she can widen the skill circle to include mentoring others. The following
sections on roles and responsibilities are the basis for a students learning and team commitment.
7.1 Roles
Work to understand science and technology
Commit to the project
Be accountable for his/her part of the team
Understand the engineering principles and process
7.2 Responsibilities
Take individual responsibility
Develop trust and respect for adult and student team members
Be accountable for individual commitments
Work to gain skills and knowledge
Focus on completing directed tasks
Assume leadership responsibilities whenever possible
8 SHIFTING ROLES AND GROWTH

During the mentoring and facilitating processes, students and other team members learn and
assume more responsibility and the mentor/facilitator has done his job well when this shift occurs.
Members of the team grow in knowledge and understanding and are able to teach and guide
others on the team. We will use the word student in the broad sense to mean apprentice or
learner, thus applying to students in school as well as other team members.
In certain areas, the mentor becomes a sustainer rather than a teacher and the role shifts and now
allows the students and others to initiate and complete tasks. Refer below to the Keep It Simple
and Coaching Awareness sections.
8.1 Mentors Shifting Roles
Observe
Sustain
Facilitate
Be ready to step in when needed
8.2 Students Shifting Roles
Understand material
Augment skills
Prioritize work
Complete tasks with a high level of independence
8.3 Transferring Ownership

The learning and doing progresses in four steps. The mentor starts out as I do and in certain
areas, can finish as a sustaining I watch.
I Do
I Do
You Do
You Do
You Watch
You Help
I Help
I Watch
When transferring ownership to the student:
Be sure he or she is fully prepared and knows the subject well.
Provide encouragement and make sure he or she is comfortable and wants the shift to
a mentoring capacity.
Inform the rest of the participants what is happening regarding the shift. This will curb
ideas that the new mentor is assuming a role not assigned.
8.3.1 Students as Mentors

Through mentoring and facilitation, students learn how to complete various tasks. As a
result, the student has a clear understanding of the skills and is able to answer any
questions relevant to them. This process results in more time for the mentor, now able to
assume an sustaining observer role, and allows the apprentice to work as a mentor to
other students.
This team evolvement not only builds trust and respect, but can also help prevent mentor
burnout and other team members and students with project management experience. It
also encourages new team members or underclassmen who may be unsure of their
capabilities to join, participate, and add new life to the team.
8.3.2 Mentors Role - Observer

Observer, be ready to step in when needed.
8.3.3 Students Role - Mentor in Training

Pass information and technique to other team members.
9 FACILITATION TECHNIQUES
The following tips will start you looking into and using common sense techniques to bring out the
best of each person, young and seasoned, on your team. You will notice that many of them simply
bring out good manners and consideration.
9.1 Listen and Watch for Cues

Effective communication is key to team success. Mentors play a major role in establishing an
environment conducive to good communication. He or she sets the stage by actively listening
to contributions without judging and being conscious of verbal and non-verbal cues.
9.2 Be an Active Listener

1. Sense:
Listen before speaking
2. Interpret: Evaluate what is being said

3. Check:
Test your understanding of what was said through paraphrasing
4. Establish meaningful conversations with team members and never talk down to them
5. Attempt to identify with what the person is saying. Be understanding. Try to put yourself
in his/her shoes.
6. Listen for the contribution that the person is trying to make
9.3 Look for Verbal and Non-verbal Cues

These signals are sometimes important in understanding communications and knowing whether
you are getting through. Some things to look for include:
Raising or lowering of voice
Body positioning
Rapid speech
Raising eyebrows
Tone of speech
Person shifts in his seat
Unfocused attitude
9.4 Listen and Ask

Resist doing most of the talking even if you know the correct answers. When communication is
one way and the mentor/coach has all of the answers, the other team members will not feel
valued. To break through this challenge, learn to be an active listener.
Encourage open communication.
Ask open-ended questions such as "what do you think" or "how do you think we should
approach this?"
Stay away from questions that require a simple yes or no answer.
Don't jump in with your idea for the solution.

thought.
Take the time to make sure everyone understands
Encourage them to ask questions when you see that something is not clear.
Always ask if there is anyone who does not understand, and clarify discussions when
there is a topic that some students dont get or there is a word used that has multiple
meanings. The student may not have covered the topic in school yet.
The effective mentor will pay close attention to what and how something is said. Try to
eliminate frustration by letting the team member talk it out. You may agree to do this
one-on-one if it would take too much team time.
Try to diffuse team sparks by mollifying a somber, defensive, or explosive atmosphere.

Sometimes just noticing and showing concern will do it, but one of the best ways is to
inject some kind of humor into the situation. Its hard to resist a smile, pat on the back,
silly walk, or wacky voice. SOMETIMES IT TAKES A CLOWN.
Let the team member finish his/her
9.5 Provide Feedback Positive, Objective, Constructive

Observe what the team members contribute and provide positive, objective, and constructive
feedback to build confidence and help them improve. Help them understand that mentors
provide feedback to help the team improve, and that it is about actions or work and is not a
judgment of him/her as a person.
9.5.1 Be Sensitive
If there is a problem, provide constructive criticism immediately following the behavior if
possible. Be sensitive to things that could embarrass, such as commenting in public.
Be aware that not all people are receptive to feedback. Some view it as criticism and
may be hurt and react defensively. The way you deliver the message will have an
impact on the reaction.
Be direct, treat the person with respect, and deliver positive and constructive
comments. For some individuals and some situations, ask the team member if he or
she would like to receive comments on his or her work. If he or she does, the session
should be two-way, allowing him or her to ask questions and clarify the delivered
message.
9.5.2 Be Safe
When there is a safety issue, give immediate feedback to your team members, even at the
risk of embarrassing them. Take them aside later and explain that you care about what
happens to them and that you were worried about their safety, so you had to speak up to
prevent injury.
9.6 Coaching Awareness

Develop the following facilitation skills to help alleviate team stress and misunderstandings.
9.6.1 Clarify the Task:

The task may be a simple meeting or a complex set of jobs that will take weeks to complete.
The team should understand how the task fits in with their goals and objectives. Clarify
what is expected of the team without doing the work yourselfand provide a realistic
deadline. Ask if everyone understands what is expected of each individual.
9.6.2 Know Yourself

Coaches must know themselves and how they impact the group, and that it is his/her role to
explain the process. Facilitators do not need to be experts in the topic being discussed, but
if they are, they must be careful not to lead the discussion to a preconceived outcome.
9.6.3 Know Your Group

Know the team members, their goals, and their differences to better understand the team
and make a positive connection. This helps anticipate conflict and turn the experience into
productive learning. Ask yourself questions such as, Have I seen this behavior before?
By asking questions you will begin to notice the group dynamics within the team.
9.6.4 Prevent Group Paralysis:

Watch for the group having problems in achieving consensus. Allow time for discussion and
be prepared to step in if the group cannot make decisions and has group paralysis.
Knowing when to push the decision on the group, or to make it, is a skill that good mentors
develop over time.
9.7 Coaching Tips
Unite the group. If there is a problem within the team, allow the team to communicate
its frustration, decide on a course of action, and then help them move forward.
Dont take sides.

personal.
Keep conversations to facts not emotions. Dont let things get
10
Keep the Group Focused. It is the facilitators job to keep the team focused on the
topic.
Always be an alert and active listener.
Paraphrase what you hear from the others, or get someone else to do it. This keeps
communication open because they can correct or explain what you hear if it is not what
they said.
Include everyone. Bring quiet team members into the discussion and keep those who
feel comfortable with communication from monopolizing the conversation.
Build on ideas. Encourage people to build on ideas already been presented.
Respect all ideas: Make sure everyone treats all brainstorming and ideas with respect.
Allow people to disagree with or challenge an idea, but not to judge the individual.
Record ideas. Document brainstorming ideas and decisions for future team reference.
Avoid re-hash. Dont re-open finished discussions. Everyone should agree up front
not to rehash unless all members of the team agree to do so.
Encourage laughter
9.8 Keep It Simple

Simplicity of design is a key component to a successful outcome and student involvement.
Facilitate: Make things simple and as easy as possible for the kids to understand. If
the team doesnt understand, explain or demonstrate the concept in another way.
Demonstrate: Challenge the kids to think ideas through in a constructive and positive
way. Try as hard as you can to avoid using the words cant be done or not possible.
Delegate: Give the students the specifications they need, and help them turn the
concept into reality. Be ready to help if necessary.
Do: Unless absolutely unavoidable, students should work on each aspect of the
project. If all members of the team share ownership, the team shares the responsibility
and the work.
10 MENTORING TOOLS
The effective coach should be aware that all students learn differently. Use the tools below to help
facilitate instruction and learning.
10.1 Language tools

Use a variety of approaches to get students to contribute to the conversation. These words
and phrases will help facilitate the group, work with all learning styles, and encourage the team
members to use logical thinking skills. These following will stimulate responses:
Consider
What would happen if?
What do you think?
11
How do you think we should approach this?
How do you suppose?
Think about what might make.
Visualize
Compare
Close your eyes and picture..
10.2 Learning Styles

When people use their senses, they take in information and they learn. Some people learn
best by seeing something, others by hearing, and still others by hands-on activity. For many
people it is a combination, but one style of learning probably dominates the others. Its
important to understand the characteristics of these different styles to reach every person.
Visual
Learns by watching demonstrations
Has vivid imagination and visualizes in detail
Needs description to help conquer goal
Person is generally quiet by nature
Auditory
Learns easily by instruction from others
Finds that visualizations are hard to interpret
Details are less important
Enjoys talking and hear others talk
Kinesthetic
Thrives on hands-on, direct involvement
Remembers what was done, not was said or seen
May speak with gestures and stand close to the speaker during conversations
10.3 Helpful Activities

Some teams have found the following activities helpful with forming and maintaining a
successful team.
10.3.1 Create a Contract

A contract can be an effective tool to set expectations with everyone. Have everyone
outline concise expectations and come to an understanding of what is expected of each
member and the whole team. Have each person create a contract listing expectations of
what students expect from mentors and what mentors expect from them.
12
10.3.2 Have a Team Building Night

Team Development is very important. Host a team building night to showcase talents and
hobbies. Have students and mentors be prepared to share information about themselves in
an informal atmosphere. Laughter builds camaraderie.
The following are good chances for all team members to get to know each other while
beginning team building activities:
Karaoke night or Talent show
Pizza Party or Spaghetti Dinner
Game Night (Pictionary, Charades, Scattergories, etc.)
10.3.3 Learn About Tools

Early in the season when there is time to teach and practice, give the team instructions as
to how to handle and care for tools. The sponsoring company may be a good source for
tools and teaching about their safe operation and storage.
10.3.4 Create Project Maps

Project maps are detailed timelines. Creating a visual project map is helpful to lay out all
responsibilities that your team members will need to accomplish.
10.3.5 Brainstorm
Each working session should begin with a brainstorm session for about 15-30 minutes to
get your team in a creative mindset. Do not allow anyone to put down or squash any ideas.
All ideas and contributions to the team are valid. Some of the methods below use familiar
learning styles and will be good tools for taking in information and learning.
Mind-Mapping
Mind-mapping is a visual writing and note-taking brainstorming process that will help
your team break through creative dry spells. If you have flip charts, use them. You may
rather use sticky notes placed on a wall and separated into categories.
Cause-Effect Diagrams
Teams will brainstorm and then discuss and diagram the cause and effect of each
situation you list. This is a helpful tool to use before the season begins.
Problem Identification and Multiple Solutions

Come up with a problem the team can solve using problem identification, which consists
of identifying the problem and creating more than one solution to it. Ideas will pop and
encourage creative team thinking.
Logic Trees
Logic trees are useful for brainstorming also. You can diagram vertically or horizontally,
using boxes and arrows. Brainstorm for a solution, being sure to include sub-problems
and solutions to each. Logic trees assist in handling of problems by:
Facilitating clear definitions using a visual of the problem
Clarifying contributing factors and their interactions and effects
13
Partitioning problem solving into sub teams, without losing sight of the whole
Improving communication between sub teams
Assessing various risks, such as expertise, materials, and time constraints
10.4 Intervention
Most of the time, groups can resolve interpersonal problems on their own in time. Teams that
resolve problems on their own learn to function independently, which indicates that coaches
should avoid intervening as much as possible.
Since time is short with FIRST projects, you may need to intervene and help with the
problem or task or you may have to simply comment on some interpersonal issue.
If the team asks for intervention on an interpersonal issue, ask what it has done about
the problem before proceeding further. The team members may have taken no action
as a team, and instead rely on mentor intervention rather than solving it on their own.
They may simply need help identifying just what the problems is, or help in coming to
the point where they are willing to address their problem(s) as a team.
Be specific about what behaviors need changing and offer praise and support for any
positive social behaviors.
10.5 Team Progress Evaluation

Have the adult mentors evaluate team progress on a periodic basis and compare it against the
goals and objectives the team set for itself. Another approach is to have an adult mentor
meeting each week to determine the next steps to problems resolution. Be sure to share this
information with the whole team.
11 DIVERSITY IN TEAM RECRUITMENT

Embracing the differences in people gives a team another opportunity to learn and excel. On many
teams, adults and students from very diverse backgrounds learn to have fun working together and
develop excellent relationships with trust and mutual respect.
Diversity is a term that means different things to different people. Among adult mentors, it can
offer team growth from the perspectives of gender, age, ethnicity, and professional background.
Many people think of diversity of gender and ethnic differences, but within a student body, there
may be diversity in age or in the track of courses that the students are following, their
socioeconomic background, and/or differences in physical and intellectual capabilities. The
population of the school(s) in the team's FIRST partnership will naturally set some limits on the
potential diversity on the team. A public school in a large city will have a very different population
of students from that of a private boys' school, but you can find diversity in each.
11.1 Recruiting Kids

When recruiting students for your team, understand the population of the school and focus
recruiting efforts on attracting a broad range of kids. Use FIRST videos that show a diverse
population of students having fun. The FIRST Robotics Resource Center on the website, has
color handouts showing a mixed group of participants having fun working as a team.
14
11.1.1 Selecting Recruiters

If adults from the corporation or university visit the school to recruit students, they should
bring a diverse group of adults to do the recruiting if possible.
Female students will likely be more interested if there is a female adult doing some
of the talking
Minority students will be more likely to consider the team if they see and hear adults
from different ethnic backgrounds.
Another approach is to have a mixed group of FIRST students do the recruiting.
11.1.2 Targeting the Population

Make sure that recruiting efforts will reach a good cross section of the school. It might
seem like a great idea to recruit new students from the honor role or from the Science Club,
but doing so automatically limits the population of potential applicants. Instead, recruit by
targeting the entire school. Put posters up in the school and then hold a student assembly
where there is a FIRST Robotics video and a demo. A related approach is to give an
overview of FIRST in a series of classes where a cross section of students is enrolled.
11.1.3 Listing Selection Criteria

The number of students who wish to join the team will likely be more than the team can
accommodate. Use a variety of criteria to select them. Some examples are:
Instead of selecting the students with the highest grade point average, use a
minimum grade point average such as 2.0 as one criterion in the selection process.
Other criteria may be a minimum of 90% attendance and/or recommendations from

teachers, etc.
Select those who can commit to the meeting schedule with no conflicts with work or
sports.
Whatever the criteria, make sure they will not exclude the students you most want to
attract to the team.
When there are more students who meet the minimum criteria for participation than there
are spots on the team, it will be necessary to decide which of the students will be invited to
participate. Be as objective as possible in the selection.
11.2 Recruiting Adults

Students from diverse backgrounds will initially be more comfortable if there are some adults
with whom they can connect, so teams should try to engage a group of adults with the same
diversity as the student population. Refer below for reasons teams should continually add new
team members and hints for finding interesting recruits.
11.2 1 Potential Recruits

The following may be sources for recruiting a mixed group of adults for your team:
Corporate or university Human Resource departments
Many corporations have programs for newly hired technical professionals
15
Local engineering chapters

o
The American Society of Mechanical Engineers (ASME)
The Society for Women Engineers (SWE)
The National Society of Black Engineers (NSBE)
The Society of Hispanic Professional Engineers (SHPE)
11.2.2 Fresh Ideas and Enthusiasm

New adults bring some level of variety to the team with their fresh ideas and enthusiasm
and will:
Add to the talent mix
Help curb the weve always done it that way syndrome
Help keep the repeaters from burning out.
16
RESOURCES
Web Sites
www.socialpsychology.org
www.teambuildersplus.com
www.vta.spcomm.uiuc.edu
www.strategiccomm.com
www.nwrel.org
www.chiefdelphi.com
www.mentors.net/index.html
Publications
Richard G. Weaver & John D. Farrell (1998) Managers as Facilitators
Jill Reilly (1992) Mentorship
Elaine Anselm, former mentor of FIRST Robotics Team #191 A Handbook for X-Cats Adult
Team Members
Revision Date October 2007
17
Mentoring:TheoryandPractice
JudyMcKimm,CarolJollieandMarkHatter
2003,revised2007
BACKGROUND
ThisdocumentformedpartofareportproducedbyMarkHatter,CarolJollieandJudyMcKimmin
July1999aspartofthePreparednesstoPracticeProjectwhichwasmanagedbyJudyMcKimm,
thenDirectoroftheUndergraduateMedicineOffice,ImperialCollegeSchoolofMedicine.The
projectranfrom19982001andaimedtoresearchintoanumberofaspectsrelatingtostudents
makingthetransitionbetweenthefinalyearoftheundergraduatecourseandthePRHOyear.The
projectwasfundedbytheLondonRegionalOfficeoftheNHSE.Thementoringelementofthe
projectwascarriedoutwithaviewtointroducingamentoringschemewhichwouldenablefinalyear
undergraduatestomakethetransitiontoPRHOs.Followingtheliteraturereviewofmentoringanda
pilotproject,itwasdecidedthatthepersonaltutorsystemforundergraduatesandtheeducational
supervisorsystemforPRHOsprovidedsufficientsupportforstudentsandPRHOs.Thispaper
describessomeofthetheoreticalperspectivesandprinciplesandpracticeofmentoring,describes
somementoringschemesinmedicineandotherhealthprofessionsandlistssomeofthekey
referencesinmentoringforthosewhoareinterestedinlearningmoreaboutthetopic.
Thedocumentwasfirstrevisedin2003andincludedaspartofthesupportmaterialsfortheLondon
Deaneryproject:Webbasedlearningforclinicalteachers.
SECTION1
1.1
MENTORING:THEORYANDPRACTICE
WHATISMENTORING?
Mentoringisverycomplex.Itvariesfromonesituationtoanother.Itisinterpretedindifferentways
bydifferentpeople.Itisimportantthatthepurposeandintentionsofmentoringinaparticularcontext
areexplicit.Stakeholders,particularlymentorandmentee,shoulddebatewhatmentoringistobein
their particular contextinorderthatamutualunderstandingandvisionofmentoringcanbeshared
astheyembarkontheirrelationship.
Mentoring is difficult to define. Many different definitions abound but two of particular merit have
beenselectedhere.FurtherdefinitionsareincludedinAnnex1.
Mentoring is off line help by one person to another in making significant transitions in
knowledge,workorthinking
(MegginsonandClutterbuck,1995,p13)
Amentorissomeonewhohelpsanotherpersontobecomewhatthatpersonaspirestobe
(MontrealCEGEP,1988)
A mentor is therefore someone who helps another person through an important transition such as
copingwithanewsituationlikeanewjoboramajorchangeinpersonalcircumstancesorincareer
development or personal growth. The person being helped is often called the learner or the
mentee.
Mentoringisonlyoneformofsupport.Individualsmaybesupportedinotherways,egbycolleagues
(peersupport),linemanagers,counsellors,tutors/teachersandgroups,egactionlearninggroupsor
workteams,friendsorparents.Itisimportanttorecognisethatanindividualmayhaveavarietyof
support,foravarietyofreasons,includingmorethanonementor,atanyonetimeandthatthismix
ofsupportmayvaryoveraperiodoftime.Thetraditionalformofmentoringisonetoonementoring
but there are other models of mentoring such as comentoring or peer mentoring and group
mentoring. Mentoring can also be menteeinitiated and can happen informally when an individual
seeks advice and support from another individual. Often people do not recognise that they have a
mentororhavebeenmentoring.Thiskindofmentoringmayoccurwithinoroutsideanorganisation.
The terms Mentor and Mentoring are becoming more common, eventhoughtheymeandifferent
things to different people. Mentoring is just one way of helping someone else but it can be a very
DevelopedfromPreparednesstoPractice,mentoringscheme
July1999.NHSE/ImperialCollegeSchoolofMedicine
powerfulandrewardingway,particularlyintermsoflearning.
Mentoring is a very old concept in a new guise. It can be traced back to Greek mythology when
Odysseus entrusted his son Telemachus to the Goddess Athena, who disguised herself in human
formasMentor,anoldfriendofOdysseus.Herfunction,accordingtoHomer,wastoactasawise
counsellor and helper to the youth. Mentoring then became common practice in the time of the
guilds and trade apprenticeships when young people, having acquired technical skills, often
benefited from the patronage of more experienced and established professionals. Today, for
instance in the world of classical music, established stars encourage and nurture talented younger
musicians both technically and in managingtheircareers,andmostsuccessfulpeople,inanywalk
oflife,probablyhavehadoneormorepeopleovertheyearswhohaveexertedaparticularlystrong
influenceovertheirlivesandcareers(Channel4,1995).
1.2
WHYINTRODUCEMENTORING?
Entering practice in any profession offers amajorchallengetonewlyqualifiedpractitioners.Itisa

formative period where the knowledge, skills and attitudes acquired during a programme of
education are applied in practice. It is a transition period which can be stressful as well as
challengingasnewdemandsaremadeuponindividualswhoareseekingtoconsolidatetheirskills.
It is therefore a period when a practitioner is in need of guidance and support in order to develop
confidenceandcompetence.
Theconceptofcontinuingsupportforaperiodafterqualificationthroughmentoringorothersimilar
schemes is well established in many professions, such as teaching and social work and is being
introducedbymoreandmoreorganisations.Mentoringschemescansupport:
specificallyidentifiedgroups
developmentandworkbasedlearningprogrammes
individualsororganisationsthroughchangeortransition
improvedeffectivenessoforganisationsandindividuals
Facilitated mentoring schemes may be introduced for a variety of reasons which may include the
following(Jones&Jowett,1997):
toidentifypotentialmoreeffectively
toinductnewstaffmorequickly
toimprovetheretentionofstaff
toencourageandsupporthighflyers
toencourageandsupportethnicminorityanddisadvantagedgroups
toencourageandsupportwomentobreakthroughtheglassceiling
to support selfdevelopment and workbased learning programmes such as NVQs, continuous
professionaldevelopment,graduateorcompanytrainingprogrammes
to encourage and support mentoring in community initiatives such as mentoring capable but
disadvantagedschoolstudents
tosupportorganisationalchange
toencouragepersonaldevelopment
tohelpindividualscopewithtransitionssuchasmovingintoanewjoborrole.
Someofthebenefitsofmentoringtothementor,menteeandorganisationarehighlightedbelow:
1.3
Organisational
Wideningofskillsbase
andcompetenciesinline
withtheorganisations
strategicgoals
Increasedstaffmorale
andjobsatisfaction
Reductioninthe
service/educationgap
Alternativetoexternal
training,morecost
effectivepersonal
development
programme
Developshabitsoftrust
andconfidentiality
Givessenior
managementamore
informedviewofthe
organisationtalent
Useforsuccession
planning
Helpsachieve
mission/vision
Developsamature
managementpopulation
Improvedqualityof
servicethrough
increasedcompetence
andconfidenceof
supportedpractitioners
Improvesteamworkand
cooperation
Mentor
Improvesawarenessofown
learninggaps
Developsabilitytogiveand
takecriticism
Developsuptodate
organisationaland
professionalknowledge
Offersnetworking
opportunities
Improvesleadership,
organisationaland
communicationskills
Developsabilityto
challenge,stimulateand
reflect
Raisesprofilewithin
organisation
Increasesjobsatisfaction
Offersopportunitytopass
onknowledge,experience
Providesstimulation
Mayoffercareer
advancementopportunities
Mentee/Learner
Developslearning,analytical
andreflectiveskills
Developsorganisational
andprofessionalknowledge
Developspoliticalawareness
Developsownpractice
Developsorreinforcesself
confidenceandwillingnessto
takerisks
Developsabilitytoaccept
criticism
Supportsthroughtransition
Mayaccelerateprofessional
development
Developsautonomyand
independence
Increasesmaturity
Broadenshorizons
Increasesjobsatisfaction
Reducesrealityshock
Offersopportunitiesforeffective
rolemodelling
Encouragesongoinglearning
anddevelopingandidentifying
learningopportunitiesinthe
workingsituation
Facilitatespeerrelationships
Developsincreasedreflective
practitionerskills
Offersindividualisedonetoone
teachingandopportunitiesfor
experientiallearning
Offershelpwithproblemsolving
VALUESANDPRINCIPLESUNDERPINNINGMENTORING
Thementoringprocessisunderpinnedbythefollowingvaluesandprinciples:
Recognisingthatpeopleareokay(Hay,1995)
Realisingthatpeoplecanchangeandwanttogrow(Hay,1995)
Understandinghowpeoplelearn
Recognisingindividualdifferences
Empoweringthroughpersonalandprofessionaldevelopment
Encouragingcapability
Developingcompetence
Encouragingcollaborationnotcompetition
Encouragingscholarshipandasenseofenquiry
Searchingfornewideas,theoriesandknowledge
Equalopportunitiesintheorganisation
Reflectingonpastexperiencesasakeytounderstanding
Lookingforward(Reflexion)anddevelopingtheabilitytotransferlearningandapplyitinnew
situations
Realisingthatwecancreateourownmeaningofmentoring(Hay,1995&Jowett,Shaw&
Tarbitt,1997)
1.4
MENTORINGSKILLS,ROLESANDQUALITIES
Mentoringskillscanbedividedintoorganisationalandinterpersonalskills:
Organisationalskills
Interpersonalskills
Planning
Contracting
Recording
StructuringSessions
TimeManagement
Scheduling
Evaluating
Assessing
Reportwriting
MaintainingBoundaries
ActionPlanning
Prioritising
Facilitating
Negotiatingandinfluencing
Listening
Givingconstructivefeedback
Interventionprescriptive,informative,
confrontational,cathartic,catalytic
supportive
Questioning
Motivatingandencouraging
Selfawareness
Coaching/Teaching
Reflecting
Nonjudgemental
Nonprejudicial
Atsometimeoverthedurationoftherelationshipamentorwillprobablyfulfilallofthefollowing
roles:
teacher/educator
translatoranddecoderegof
confidante
organisationalcultureandvalues
counsellor
interpreter
motivator
timemanager
facilitator
planner
coach
problemsolver
friend
catalyst
adviser
diagnostician
critic
energiser
guide
expert
soundingboard
taskmaster
devilsadvocate
sponsor
learningconsultant
protector
processconsultant
rolemodel
targetsetter
Thementorsactivitiescouldincludegivingtechnicalassistance,clarifyingrolesandresponsibilities
identifyingandanalysinglearningexperiences,opportunitiesandgapsencouraginganalysisand
reflectionstructuringlearningandworkandconfrontingthroughquestioning,listeningandgiving
feedback.
Inthebeginningthementorwillneedtodevelopasafeandprotectedenvironmentandbesupporter,
protector,guidebutasthementeedevelopsconfidenceandbecomeslessdependentandmore
autonomousthementorwillneedtodevelopamoreanalytical,reflective,critical,challengingrole.
Mentorsbringexperience,perspective,objectivityanddistanceintothementoringrelationship.They
can offer a long term view for the organisation and the individual. They are influential in terms of
helpingthelearner/menteereachtheirgoalsandaspirations.Theycareaboutthementeeandfocus
on the needs of the individual. They can provide empathy, candour, openness and honesty. They
should also be willing to share their expertise,shouldnotfeelthreatenedbythementeespotential
for equalling or surpassing them nor by the mentee detecting their weaknesses and shortcomings.
ResearchundertakenbyLeedsMetropolitanUniversityandmentorsontheHarrogateCollegeAdapt
programme(1995),identifiedthefollowingcharacteristicsrequiredofamentorandprioritisedthem
ingroupingsasfollows.
CharacteristicsofaGoodMentor
Wantstobeamentor
Nonjudgemental
Empathetic
GoodlistenerOpen/honest
Givesfeedback,Positive,Senseofhumour
PriorityRating
10
9
8
7
6
Challenging
Accessable,Trustworthy,Caring,LifeExperience
Goodquestioner,Achiever,Goalsetter,Reliable,Well
organised,Respectsconfidentiality,Peopleperson
Patient,Optimistic,Confident
Beenamentor/mentee,Assertive
Professionaltraining,Timemanagement
Interesting,SalesandMarketingskills
Counsellingskills,Interviewingskills,Sensitivity
5
4
3
2
1
0
Thefollowingtableidentifiesfurthercharacteristicsofthegoodmentorandliststhecharacteristicsof
amenteewhichwillhelpthembenefitfromthementoringexperience:
Qualitiesofmentor:
goodinterpersonalskills
objectivity
rolemodel
flexibility
peerrespect
demonstrablecompetence
reflectivepractitioner
nonthreateningattitude
facilitatoroflearning
allowingthedevelopmentofinitiativeand
independence
openmindedness
approachability
selfconfidenceandselfawareness
advocacy
sincerity
warmth
commitment
understanding
aptitudefortherole
understandingoflevelofcompetenceof
newcomer
understandingofdifficultiesposedby
transitiontopersonalprofessional
accountability
understandingofdifficultiesofintegratinginto
newworksetting
abilitytohelpnewcomersetlearning
objectives,toassistwithtransitionprocess
andtoapplyknowledgeinpractice
abletoprovideobjectiveassessmentof
progress
1.5
CharacteristicsofaGoodMentee/Learner
willingtolearnanddevelop
willingtoparticipate
intelligentandlearnquickly
ambitious
keentosucceed
abletoacceptpowerandrisk
loyal
committed
conscientious
abletodevelopalliances
flexibleandadaptable
selfaware
wellorganised
abletoacceptachallenge
abletoreceiveconstructivefeedback
THEMENTORINGRELATIONSHIP
Mentoring is aprotectedrelationshipinwhichlearningandexperimentationoccurthroughanalysis,
examination, reexamination and reflection on practice, situations, problems, mistakes and
successes (of both the mentors and the mentees) to identify learning opportunities and gaps.
Mentoringisabouthelpingthelearner/menteetogrowinselfconfidenceanddevelopindependence,
autonomyandmaturity.
The mentoring relationship is a special relationship where two people make a real connection with
each other. In other words they form a bond. It is built on mutual trust and respect, openess and
honesty where each party can be themselves. It is a powerful and emotional relationship. The
mentoring relationship enables the mentee to learn and growinasafeandprotectedenvironment.
Thequalityoftherelationshipiscrucialtoasuccessfuloutcomeifbondingdoesnotoccurandone
or both of the two parties are not comfortable within the relationship then neither learning nor
mentoringwillbesustained.Agoodrelationshiprecognisestheneedforpersonaldevelopmentand
thepartnershavesomeideaofwheretheywanttogo(Clutterbuck,1991)
In the early stages the mentee will be relatively dependent and the mentor will need to be
supportive,helpful,friendlyandencouragingtonurturethementeetolearnandgrow.Howeverthe
time will come when the relationship will change and subsequently the mentors role will need to
change. As the mentee becomes more confident and independent, and in order to sustain and
deepen learning, the mentor will need to challenge, stimulate and encourage reflection. Too much
challenge and stimulation at the beginning can overawe andalienatethementee,toolittlelateron
canstiltlearningandstimulationandcausetherelationshiptoendwithouttotalfulfilment.
Mentoring is not a crutch and must not remain a dependent relationshiporbecomeanexcusejust
for a chat session. Mentoring is a twoway process with the mentor having as much togainasthe
mentee. The crux is to encourage both partners to contribute freely and operate as equals (Hay,
1995). Age, wisdom and experience are irrelevant. Equality can be negotiated within the contract
withbothpartnersagreeingtocontributefully,makesuggestionsandgivefeedbacktoeachother.
Initially the mentor may take the initiative to ensure that the relationship gets going. In the earlier
stagesthementorwillbeconcernedwithmotivating,supporting,enabling,empoweringactivities.As
timegoesonthementeewilldevelopindependenceandautonomy,assuggestedabove,andinthe
endmaywellsurpassthementor.
1.6
FACILITATINGASUCCESSFULMENTORINGSCHEME
Inordertofacilitatementoringwithinanorganisation,companyorprojectandencouragesuccessful
outcomes,certainenvironmentalconditionsmustprevailandanenablingframeworkmustbe
established.
AccordingtoConway(1994)thebusinesscaseforafacilitatedmentoringschememustbeclearly
articulatedandseniormanagementmustfirmlybelieveintheconceptanddemonstratethis
commitment.Themechanicsandstructuresandsupportforthekeypeoplemustbeinplaceand
cleartoallconcerned.Whenmakingoutthebusinesscaseforafacilitatedmentoringschemethe
questionscontainedbelowneedtobeexplored.
Whydoweneedamentoringprogramme?
Whataretheaimsfortheprogramme?
Whatdowehopetoachieve?
Ismentoringconsonantwithourorganisationalstructuresandvalues?
Ismentoringalreadyhappening?
Hasitbeentriedbefore?
Whowillbeinvolvedmentors/mentees?
Whowillruntheinitiative?
Whatproblemsdoweanticipate?
Whowillourmentorsbe?
DoweneedtoproduceaMentorProfile?
Howwillweselectthem?Whoistobementored?
Whoistobementored?
Why?
Whatistheaimforthegroupofmenteesandforindividuals?
Howwilltheybeselected?
Howwillmentorsandmenteesbematchedandpaired?
Whatresourcesarerequiredandavailable?
Whatbriefingandtrainingwillberequiredby:
mentors?
mentees?
otherstakeholders?
Howwillmentorsbe
supported?
rewarded?
Whenandhowwillthementoringprogrammebemonitoredandevaluated?Andbywhom?
Thefollowingfactorsleadtoamoresuccessfuloutcomeofafacilitatedmentoringscheme:
participationbywillingvolunteerswhowishtosucceedandgrow,initiallyinapilotscheme
thoseinvolvedmustownprocess
topmanagementsupportandcommitmentinactionaswellaswords.Theimportanceofthe
wholeorganisationbeingsupportivemustbestressedbythem
appropriateawarenessraisingandmarketingoftheschemetothewholeorganisationandto
potentialparticipants
theprovisionofawellprepared,flexible,involvedandsupportivelearningenvironment
promotingtheschemeasvaluableformofpersonalandprofessionaldevelopment
appointmentofacoordinatortomanagetheprogramme
linkingthementoringschemewithsomeotherdevelopmentaleffort
buildinginshortstages,saymonthbymonth,andflexibility
encouragingcontractingwithanofaultoptoutclause
makingallparticipantsawareofpotentialrisksandproblems
effectiveorientationofmentors,mentees,linemanagersandanyotherstakeholderspriorto
commencement
developmentaldiagnosisieauditingofmenteesneedsandrequirements
provisionoftrainingandsupportforbothmentorsandmenteeswhichshouldincludeclear
learningoutcomesmonitoringandevaluationrewards,egCATSpointsstructuredfollowup
andtheownershipofthoseinvolved(NBS,1999)
sharedexpectationsbetweenmentorandmentee
goodcommunicationsstructuresbetweenallplayers
carefulandappropriateselectionandmatchingandpairingofpartners(seebelowforfurther
details)
monitoringandevaluationoftheschemelinkedtothedefinedobjectivesandanticipated
outcomesofthescheme,involvingfeedbackfromallstakeholders.Feedbackshouldbe
triangulatedandbasedonperiodicconsultationofindividualsandrepresentativefocusgroup
ensuringconfidentialityisintegraltothesystemsandadministrationoftheprogramme
theprovisionofadequatespace,financialandpersonnelresourcesandquality,focusedtime
settingatimelimitinadvanceforthementoringrelationships,afterwhichtherelationshipmay
continueoutsidetheprogramme
devisingasetoflearningobjectives
establishingspecificworkingarrangementstoenhancebenefitsofsupportscheme,egsame
workshifts
Ashighlightedabove,mentoringismorelikelytosucceedifbothpartnersarewillingvolunteers.Itis
also helpful if the mentee is able to select their ownmentoralthoughthisisnotalwayspossibleor
practicable. Good practice suggests that the matching and pairing process within a facilitated
mentoring scheme needs to be undertaken sensitivelybyencouragingamorenaturalandinformal
bonding and pairing process. Research undertaken for the Adapt Project, managed by Harrogate
Collegesuggestedthefollowing:
holdaninformalsocialearlyonintheprogramme
provide profiles of both mentors and mentees, identifying their experience and skills and
perceivedneedsandrequirements
give participants permission to network and develop informal relationships through exploratory
visitsand/ortelephoneconversationsoremailconnections
at an early stage, hold a meeting of mentors and mentees to jointly explore the purpose,
meaning, benefits and process of mentoring in general terms and specifically in relation to the
particular mentoring scheme. Include a presentation from previous (selected) mentor/mentee
relationships.
It will also be necessary to consider geographical location of potential mentors and mentees and
gender, ethnicity and age,culturalandjobstatusdifferences.Insomecircumstancesscreeningof
mentors,includingpolicechecksinaschoolsituation,maybenecessary.
1.7
THEMENTORINGLIFECYCLE
Thementoringlifecyclehasbeendescribed(e.g.Hay,1995)ascomprisingfourdefinablestages
whichcanbedefinedasfollows:
Stage1Initiation,orientationorcourtshipstage
Stage2Gettingestablished,adolescence,dependency,nurturingorhoneymoonstage
Stage3Maturing,developingindependenceorautonomystage
Stage4Ending,terminationordivorce
Stage1:Initiation,orientationorcourtshipstage
AccordingtoHay(1995)thisfirststageisaboutcreatinganallianceandconsistsofpreparingforthe
relationship,formingabondandagreeingacontract.Lewis(1996)usesdifferentterminology
suggestingthatitisaboutestablishingrapportandtrust(formingthebond),termsofreferenceand
settingobjectives(contracting).Preparationinvolvesconsideringwhatboththementorandmentee
needtodobeforetheymeetbutfollowingpairing.Thechecklistbelow(adaptedfromHay,1995),
mightenhancepreparationandconstitutetheagendaforthefirstmeeting.
MentoringChecklist
WhyhaveIbecomeamentor/mentee?
WhatdoIoffer/whatdoIwant?
Whatsignificantissuesmightarise?
WhatdoIfeelstronglyabout?
WhicharetheareaswhereIprefermymentor/menteetomatchmeoverwhichIamneutral
whichIwouldlikeustobedifferent?
Whataboutissuesoftrustandrespect?
Whataremyownpsychological/personal/thinking/workingstyles?
HowdotheyaffectthewayIinteractwithothers?
WhatmentoringskillsdoIwantmymentortohave?
Howmuchtimewillwehave?
Wherewillwemeet?
Whatmutualcontactsarewelikelytohave?Howmightthataffectthementoring?
Whatismyattitudetowardsselfdevelopment?
Whohasbeenmentortome.WhatdidIgain?
Whoelseisinvolvedinthisprocess(egseniormanagement,HumanResourceDivision,
menteesmanager)?
The next phase involves bonding. At first, both mentor and mentee are likely to be nervous and
unsure(Lewis,1996).Itisimportanttobreaktheiceandestablishrapport.Hay(1995)suggeststhat
rapport will be established more quickly if individuals behave as if it has already been established
andthefollowingfourdimensionsmatchwhenrapporthasbeenestablished:
voicetoneandtempo
bodyposture
patternofbreathing
repetitivemovementsorgestures
Lewis(1996)alsosuggeststhatitisimportanttoconsiderthe:
ethos or moral dimension of the relationship key words being consistency, congruency,
integrity,honesty,sincerity,credibility,genuinenessandvalues.
pathos or having a genuine interest in the other person as a person in his/her own right and
recognising that the other person brings human emotions, hopes, fears, ambitions into the
relationship.Keywordshereareempathy,warmth,positiveregard,disclosureandrapport.
logos or substantive content of the essential conversations the goals, techniques and
outcomesoftheconversations.
Sharing responses to the above checklist, discussing why the mentor has agreed to mentor and
what the mentee hopes to achieve are further ways of continuing the bonding process. Bonding
couldalsobestrengthenedbydiscussingthequestionsoutlinedbelow,adaptedfromHay(1995)
BondingQuestions
Compatibility
Whatopinionsdoweshare?
Control
Whatdowehaveincommon?Howmuchdoeseachofusliketocontrol?
Howwillwesharecontrolmenteeovercontent,mentoroverprocess?
Caring
Dowehavetheabilitytobehaveinanurturingwaytoeachother?
Isthisatwowayprocess?
Closeness
Canwebespontaneous?
Howshallweshowourrealemotionsandleteachknowhowwereallyfeel?
Confidentiality
Howshallweensureconfidentiality?
Competence
Howbestcanweworktogetherinalogicalmannertosolveproblemsand
makedecisions?
Cooperation
Challenge
Conformity
Conflict
Contracting
Howwillwecooperate?
Whatareourpreviousexperiencesofcooperatinglike?
Howflexiblecanwebe?
Howwillwechallengeeachother?
Areweindangerofconformingforthesakeofit?
Howwillwehandleconflictsandavoidspendingvaluabletimein
arguments?
Howcanweusethecontractingprocesstoreinforceourgenuine
connectionwitheachother?
Contractingisawayofnegotiatingalearningagreementorframeworkfortherelationship.Ithas
manyadvantagesandaddstothequalityoftheinteractions.Itoccursattwolevelsthewhole
relationshipandeachmentoringsession.Contractingensuresthatbothpartiesareclearabout:
thepurposeofthementoringschemewithinwhichthementoringrelationshipistooccur
therespectiverolesofmentorandmentee
theresponsibilitiesofbothparties
whatmentoringactuallymeansintheparticularcontextsothatasharedvisioncanbeagreed
thenatureoftherelationship
whatislikelytohappen
theboundariesoftherelationship
howmentorandmenteewillbeexpectedtobehave
thegroundruleswithregardtoconfidentiality,andaccessibility
theworkingmethodstobeemployed
themechanismtoseekagreementtomakechanges
theframeworkoffuturemeetings
Contractingcanbeviewedashavingfourcomponents(Hay,1995):
theproceduralcontract
theprofessionalcontract
thepersonalcontract
thepsychologicalcontract
Itmaytakemorethanonemeetingtocoveralltheseissueswhichsetsthestyleofsubsequent
meetings.
Stage2:Gettingestablished,adolescence,dependency,nursingorhoneymoonstage
During Stage 2 the mentee may be anxious and lacking in self confidence. They need friendly
support, a safe and secure environment and help to identify and reflect on learning. According to
Lewis(1996)thisphaseischaracterisedby:
thedevelopmentofanhonest,trusting,sincererelationshipbasedonopencommunication
afocusonlearningandgrowth
gettingtogripswithbusinessmatters
movingfromplanstorealoutcomes.
Hay (1995) suggests that this stage involves helping the mentee to tell their story or narrative. In
otherwordstoreviewtheirsituation,describeforthemselvestheircurrentcircumstances,howthey
got there and where they might considergoinginthefuture.Ourpastresearchhasshownusthat
the needs of the mentee are paramount in the learning and thus the mentoring relationship. The
emphasis here is on description with the mentee undertaking an audit or personal stocktaking of
their strengths and weaknesses, experiences, knowledge and skills, personal and professional
circumstances including the organisational context within which they work and any other aspects
whichmayaffectselfdevelopment.
The core skills of listening, questioning, getting the mentee to talk and reflecting are essential.
Empathy, self disclosure, mind mapping, SWOT analysis, reality checking, problemsolving,
personal lifelines and the initiation of the learning portfolio are all particularly important issues
duringthisstage.
The next step is to analyse this information and apply appropriate frameworks and theories (Hay,
1995) so that the mentee gains awareness and understanding, identifies what part s/he plays in
events and recognises relevant trends and patterns of behaviour and ideas for development
activities. It is important to remember that it is not possible to tackle everything at once so
prioritisationisimperative.
PreparednesstoPracticeproject,mentoringscheme,July1999
Stage3:Maturing,developingindependenceorautonomystage
Stage 3 involves the mentor facilitating deeper learning by encouraging the mentee to reflect, to
see things differently, to identify potential changes s/he might wish to make, possible goals s/he
mightwishtoadoptandawiderrangeofalternativeoptionsthatareavailabletohim/her.Therewill
be a shift in the mentors role. Increasingly the mentor will become devils advocate, confronting,
stimulating and challenging the mentee to take a different perspective, consider the merits of the
various options, select the best option and devise a detailed plan of action whilst encouraging
innovationandcreativity.Astructuredapproachtoproblemsolvinganddecisionmakingishelpful.
Forcefieldanalysisandobjectivesettingareimportanttechniquestodevelop.
An individuals ability to develop and share understanding and deepen awareness is affected by
their selfawareness and how much theydecidetorevealordiscloseaboutthemselves.Everyone
has knowledge about themselves which is also known to others. The Johari window (see below)
describes this as the Open area (sometimes called the arena). Individuals also have information
whichtheydonotwanttosharewithothersbecausetheyaresensitiveaboutit.ThisistheHidden
areaorfacade.Otherscanseethingsinindividualswhichtheycannotseethemselvestheirblind
spot. Finally there is an area which is unknown to the individual and others. Perhaps when a
situation occurs, which an individual has not experienced before, a crises for instance, different
behaviours are exhibited. An individual can reduce his/her blind spot by seeking feedback from
othersanddisclosemoreabouthim/herselftoreducetheirhiddenarea.Thisincreasestheopen
area and allows an individual to spend less time and energy in concealing his/her private
convictionsandbemoreawareoftheundesirableaspectsofhis/herbehaviour.(NationalMentoring
Consortium,1995).
TheJOHARIWindow
Knowntoothers
Notknowntoothers
Knowntoself
OPEN
(Arena)
HIDDEN
(Faade)
Notknowntoself
BLINDSPOT
UNKNOWN
Asaresultofthementoringandlearningprocesses,thementeethenputstheplanintopracticeand
the cycles start again. As the learning spirals to more and more sophisticated levels, the mentee
attainsagreaterlevelofautonomy,becomingbehaviourallymoreawareofwhatishappeningand
developing a deeper understanding of the learning, problemsolving and decisionmaking
processes,thusencouragingthementeetobecomemoreindependentandautonomous.
It is difficult to define when this transition from dependence to independence and autonomy will
occur in any relationship. It will occur earlier in some relationships than others. Thus the mentor
needstobeawareofwhatishappeningwithintherelationshipandexpectantoftheoccurrenceof
this fundamental change. It has arrived when the relationship and all of the associated tasks and
skillshavebecomeanunconsciouscompetence.Evenexperiencedmentorsfinditdifficulttomake
this transition from friendly supporter to devils advocate and encourage deeper learning and
reflection.Ifthischangeinthementoringroledoesnotoccurtherelationshipmaywellpeteroutat
thisstage.
These sub stages are iterative and will be revisited throughout the duration of the relationship. A
typicalagendaduringthemiddlephaseswillprobablybeasfollows:
pleasantries
confirmationofagenda
reviewoflastmeeting
reviewoftargetsachieved/actionstaken
feedbackanddiscussion
actionplanningtargetstobeachievedbynextmeetingandlongerterm
summaryofsession
agreementofdetailsfornextmeetingdate,time,venue,potentialagenda.
Appraisalorreviewandmonitoringshouldbecomeanongoingfeature.Appraisalreallyoccursat
twolevels(Hay,1995)reviewingwhetherthementoringisleadingtotherequiredresultsforthe
mentee(ieappraisingthecontentandoutcomes)andthementoringrelationship(ieappraisingthe
process).Appraisalshouldoccurattheendofeachsessionandattheendoftherelationship.
Goodpractice,however,suggeststhatinalongertermrelationshipitisagoodideatosetasidea
specificmeetingeverysooftentoappraisebothcontentandprocessandconsidertheissues
containedinareviewquestionnaire.Examplesofreviewquestionsaregivenbelow:
OngoingReviewQuestions
Contact
Havewegotagoodconnection?
Areweinrapportwitheachothermostofthetime?
Howsolidisthebondbetweenus?
Dowefeelabletochallengeeachotherwhenappropriate?
Isourrelationshipdeepenoughforselfdisclosureandsharingoffeelings?
Qualityofthe
Dowehaveclearcontractsforeachsessionandfortheoverallmentoring
ContractingProcess
relationship?
Haveweconsideredthedifferentlevelofthecontractprocedural,
professionalandpsychological?
Areweworkingwithinthosecontracts?
Dowehavetherightpartiesinvolvedinourcontracts?
Content
Isthecontentofourdiscussionsrelevanttothecontract?
Arewefocusingonthecontentwhichrelatestotheneedsofthementeeand
notthementor?
Arewesatisfiedthatweunderstandeachothersmindmaps?
Isthementeeorganisingspotmentoring,trainingorothersupportactivities
whenmoreinformation/helpisrequired?
Contrast
Howarethesimilaritiesstrengtheningorweakeningthementoring?
Howarethedifferencesstrengtheningorweakeningthementoring?
Howdowehandledifferencesinbeliefsandvalues?
Isthereaneffectivebalancebetweensupportandchallengefromthe
mentor?
Personal
Howdowegetontogether?
Howdoourpsychologicalstylesaffectthementoringprocess?
Howdoourpersonalstylesaffectthementoringprocess?
Whatisourtimemanagementlikeduringthementoringsessions?
Howdothementeeslearningstylesaffecttheprocess?
Arewebothgrowingasaresultoftherelationship?
Psychological
Aretheredynamicsaffectingusatanunspokenlevel?
Arewebeingcompletelyopenandhonestwitheachother?
Whathappenswhenwedisagree?
Areweavoidinggettingintoadependencymode?
Isthementorgenuinelypleasedwhenthementeemakeshis/herown
decision?
Areweabletohandlethisreviewcomfortablyandhonestly?
Professional
Whatdidthementordothatwashelpful?
Howdidthementeerespond?
Whatdidthementordothatwasnothelpful?
Howwellisthementorusingskillsoflistening,questioning,reflecting,giving
feedbacketc?
Whatadditionalskillsmightthementordevelopforthefuture?
Areweusingmodelsandframeworksthatwebothunderstand?
Parallel
Havewecheckedforpossibleparallelprocesses?
Arethereanysimilaritiesinthewaythatweareinteractingandthewayin
whichthementeeinteractswithothersorthewaythementorinteractswith
others?
ProcessofClarifying
Isthementeebeinghelpedtodevelopaclearvisionforfuturedirection?
theAim
AreweusingtheinformationfromthelifelineorSWOTanalysis?
Doesthementorrecognisetheaimsofthementeeratherthanimposewhat
s/hethinksisbest?
Areweconsistentlyworkingtowardsthegoalsofthementee?
Alternatives
Doesthementeehavegenuinenewwaysofviewingthesituation?
Hasthementeebeenhelpedtoidentifyalternativeoptions?
Doesthementeehavemorestrategiesforachievingpersonalaspirations?
Aresuggestionsfromthementorpresentedtentativelysothatthementeeis
thedecisionmaker?
ActionPlanning
Hasthementoringincludeddiscussionoffutureactions?
Hasthementeebeenhelpedtoplanactiontheywillbetaking?
Aretheactionscarefullythoughtthrough?
Doestheactionplantakeaccountofpossiblebarriers?
Aretheactionsreviewedforappropriateness?
Doestheactionplanincludewaystoreinforceandcelebratesuccesses
Autonomy
HasHasthementoringenabledthementeetobecomemoreautonomous?
Doesthementeeacceptresponsibilityforselfdevelopment?
Isthementeeconfidentaboutaimingforwhattheyreallywant?
Isthementeeabletoaskappropriatelyforwhattheywant?
Doweneedtoplanfortheendingofthementoringrelationshipyet?
Havewecelebratedachievementstodate?
EndofsessionReview(AdaptedfromHay,1995)
Isthereagoodcontactbetweenmenteeandmentor?
Isthereaclearcontractestablished?
Isthecontentrelevanttothementee?
Howwellarethecontrastsbetweenthetwopartiesdealtwithandused?
Howwelldomentorandmenteegetonatapersonallevel?
Dobothpartiesshowprofessionalskillsasmentorandmenteerespectively?
Arethereanyparallelprocessesgoingon?
Isaclearaimemergingforthementee?
Arenewalternativesbeinggeneratedforthementee?
Areideasbeingturnedintoappropriateactions?
Isthementeeincreasinginautonomyandindependence?
Stage4:Ending,terminationordivorcestage
At Stage 4 the mentoring relationship will either come to a premature end or terminate naturally.
Good practice suggests that a relationship is set up for a finite duration and that signposts or
indicatorsareidentifiedtosignifyendpoints.Reasonsforendinginclude:
oneorbothpartnershavefulfilledtheirneeds
scheme/project/placementcompletesitsterm
oneorotherpartnermovesawaytoanotherjoborrole
inappropriatematching
personalityclash/lackofbonding
therelationshipisnotfulfillingtheneedsparticularlyofthementee
partnersdonotfulfiltheircommitmenttoturnupformeetings
Theendingoftherelationshipneedstobecarefullyplannedsothattherelianceandthehabitofthe
relationship can be wound down gradually to try and avoid the relationship just ceasing (Lewis,
1996).Bothpartnerswillhavetodealwithfeelingsofruptureandlossandinfacttheendingofwhat
mighthavebeenaveryemotionalanddeeprelationshipcanbelikenedtobereavementordivorce
andtheirassociatedfeelings.
Partnerswillhavetoensurethatagreedtasksarecompletedandconsiderifthereisanyunfinished
businesstobedealtwithandifso,howthiswilltackled.Therelationshipandprocesswillneedtobe
appraised as discussed above and it may well be that the partners decide that it is necessary to
continueintherelationshipandrenegotiateforafurtherperiod.Ontheotherhandiftherelationship
hasfulfilleditsneedsthenthepairwillneedtoconsiderthefutureandwheretheygofromthispoint.
They may have become firm friends during the relationship anddecidetocontinueonafriendship
basis only or with the rider thattheycanreverttoamentoringsituationifacausearises.However
theymaydecidetofinaliseandsaygoodbye
The mentor, bearing in mind that the experience will have provided a development opportunity for
him/her,maywishtoreflectontherelationship.Thementormayundertakeaskillsandcompetence
analysisparticularlybygatheringfeedbackfromthementeeandothers,exchangeexperienceswith
othermentorsandanalysehis/herlearninglog.
1.9
THELEARNINGPROCESS
Learning is at the heart of the mentoring process and it is important that both mentor and mentee
understandthelearningprocess.LearningcanbeperceivedasacyclicalprocessaccordingtoKolb
(1994). He suggests that an individual gains experience through undertaking an activity. S/he then
needs to reflectontheexperienceandthenattempttounderstandtheexperiencethroughanalysis
and conceptualisation. The individual then makes choices based on analysing the implications of
alternativeoptions,decidesonthenextstepstotakeandundergoesanotherexperience.Learningis
thuscyclicalandneverending.Theprocessisconstantlyrepeated.
Honey and Mumford (1992) identified that we are not equally skilled or comfortable at each of the
four stages of the learning cycle (Lewis, 1996). In fact most of us have preferences in relation to
these stages as we arebetteratsomethanothers.HoneyandMumfordclassified4basiclearning
stylesinrelationtothe4stagesinthelearningcycle(Lewis,1996),namely:
the Activist who is comfortable at the experience stage and enjoys getting involved in new
experiencesanddoingthings
theReflectorwholikestotaketimeandthinkthingsthroughfromvariousanglesbeforeacting
the Theorist who assimilates, integrates, synthesises information into rational schemes,
systems,theories,principles,logicorconceptsforexplanation
thePragmatistwhovaluesnewideas,wantstoseeiftheyworkinpracticeandenjoysproblem
solving
The mentors role is to encourage the mentee to complete thelearningcycleandlearneffectively,

bearing in mind the mentees preferences and possible evasion of one orsomeofthestages.The
mentees favouredstyleshouldberespectedbutthementorcanencouragenewbehavioursinthe
mentee (Lewis, 1996, p107).Equally,thementorwillhavetheirownpreferences.Thepreferences
ofboththementorandthementeeshouldbeexploredwithinthementoringrelationship.
LearningLogsorLearningPortfoliosandtheLog,DiaryandJournal
As an aid to identifying and analysing learning it is useful to keep an ongoing and uptodate
learning log in which details of meetings, experiences, activities and incidents, whether at work, at
home or in other organisations are recorded. Each learning event can be recorded separately and
the knowledge, skills and understanding used or developed can be identified and future action
targeted(PDP,1998).Thefollowinginformationmayberecorded:
Whathappened?
Whydidithappen?
Whatleduptothefinaloutcome?
Howmuchplanningwasinvolved?
Whowasinvolved?
Whatrolesdidtheyplay?
Howdidyoufeel,howdidthegroupfeelorreact?
Whatdidyoulearn?
Howwillyoudealwithsimilarsituationsinthefuture?
Whatstrategiescanyoudevelopforthefuture?
Whatactionareyougoingtotake?
It is important that time is then spent thinking about or discussing successes and problems and
reflectingonpersonallearningoutcomes(PDP,1998).
An alternative and rather more sophisticated tool to aid reflection is the log, diary and journal
developedbyHolly&McLouchlin(1989).Itisatoolwhichcanbeusedtomakesenseofproblems,
incidents and experiences, make decisions about future actions and thus set targets. The Log
involvesreconstructingtheincidentfrommemoryanddescribingthebasicfacts.TheDiaryinvolves
identifying the feelings that were present at the time anger, annoyance, sadness, mirth etc. The
Journal involves looking back (reflecting) on what it was all about and considering suchquestions
(PDP,1998)as:
Whatdiditallmean?
Whatwasimportant?
Whyitwasimportant?
Whatdoesitreallymean?
It may be beneficial to learning to disclose theincidenttoacriticalfriend,comentorormentorto
helpmakesenseofitall.Overtimeemergingpatternsinbehaviourthatneedtobeaddressedmay
beidentified(adaptedfromthePDP,1998).
1.10
POTENTIALPROBLEMAREAS
Thementor,particularlyaninexperiencedmentor,willfacemanynewdilemmasandchallenges.
Herearesomeofthedilemmasforwhichamentormightprepare:
mismatchofmentor/mentee
mismatchofexpectations
reluctantmentor/mentee
overzealousmentee
relationshipnotvaluedintheorganisation
gendermismatch
culturalmismatch
racemismatch
emotionalinvolvement
brokenconfidentiality
conflictingrolesmanager/assessor/mentor
impactonothers
obstructionsfrom/conflictsofothers,egmenteeslinemanager,colleagues,partners
parameters/boundariesnotagreedinadvance
Mentoringisoftentimeconsumingandcomplextointroduceandthereisoftenanimplementation
gapbetweenpolicyinitiativesandtheactualityofmentoringatfacetofacelevel.TheSCOPME
report(1998)identifiedpotentialobstaclesorproblemswithmentoringinitiativesthemselves,
namely:
resourceissuessuchaspeoplestime(particularlyrelevantifconsideringusingbusyclinicians
asmentors)andopportunityandtrainingcostsfortheemployer
stressandcrisiscounsellingmaybeneeded
therelationshipmaybecomedysfunctional
Otherproblemsmayinclude(NBS,1999):
personalincompatibilityofmentorandmentee
frustrationoftimeconstraints/workload
impactofshiftpatternanddifficultywithaccessbetweenmentor/mentee
difficultyinsustainingsufficientnumbersofmentors
dangerthatmentorshipbecomesapaperexercise
lackofcooperationfromcolleagues
It is very important to consider the relationship between the mentor and the mentee. The mentor
shouldnotbethementeeslinemanagerandasuccessfulmodelisgrandparentmentoring,although
thiscancauseresentmentbythelinemanagerifnothandledcarefully.Thementorshouldnotactas
personalcounsellor.
There may be mentor fatigue arising from the usual suspects being asked to act as mentors
becauseoftheirspecificpersonalandprofessionalqualities.Guidelinesmayneedtobedeveloped
astothenumberofmenteesamentorsupports.Systemshavetobesetinplacetomanagetoxic
mentors(thosewhoabusetherelationshipfortheirownends)andrejectedmentors(thosewhoare
notchosentobementors).
1.11
TRADITIONALMENTORINGVERSUSDEVELOPMENTALALLIANCE
Traditional mentoring has a large element oforganisationalselfinterestinvolved(Hay,1995)with

the mentor having a duty to bear inmindtheorganisationalrequirementsaswellasthementees
needs. Here the mentor is generally expectedtoactasrolemodelandthementeecolludesinthis
because they are an employee of the organisation and they want to get on. There is a tendency
towardscloninginthiskindoffacilitatedscheme.InwhatHay(1995)referstoasadevelopmental
alliance,thepsychologicaldistancebetweenthethreepartiesisequalwiththeorganisationbacking
thementortohelpthementeeandaccommodatetheirdevelopmentneedsaslongastheworkgets
done. A misalliance can occur when the mentorbecomestooclosetothementeeandencourages
thementeetoneglecttheneedsoftheorganisation.
It is perhaps more realistic, but more complex, to additionally consider the role of the mentees
manager in the mentoring arrangement and consequently develop a fourcornered contract (Hay,
1995).
Section2MENTORINGSCHEMESINMEDICINE
Oneofthemostrecentandpertinentsurveysofmentoringinmedicineanddentistrywascarriedout
byaworkinggroupcoordinatedbytheStandingCommitteeonPostgraduateMedicalandDental
Education(SCOPME)inJanuary1998.Theexecutivesummaryisreproducedbelow.
Supportingdoctorsanddentistsatwork:
anenquiryintomentoring
ExecutiveSummary
Mentoringasaninformalrelationshipbetweentwopeoplehasexistedformanyyears.Recently
moreformalarrangementshavebeenintroducedfordifferentpurposesandthisreportreviewsthese
developmentsbothinmedicineanddentistryandinotherprofessions.Italsoconsidersmentoringin
thecontextofthewidersupportthatdoctorsanddentistsneed.
AttherequestoftheChiefMedicalOfficerandbymeansofaworkinggroup,chairedbyDrTrevor
BayleyandwiththehelpofDrAnnabelleBaughan,SCOPMEhasgatheredevidencefromexperts
whohavedevelopedarangeofmentoringinitiatives.Otherevidencecamefromaconferencein
Darlington,organisedfortheNorthernandYorkshireregionandaSCOPMEworkshopheldin
Liverpoolwhichdealtpredominantlywiththeneedsofhospitaldoctors.SCOPMEhasconsideredthe
evidence,drawnsomeconclusionsandmadeeightrecommendations.
Conclusions
Therearemanyandvaryingconceptsofmentoringasshowninthelargeliteratureonmentoring
intheprofessionsotherthanmedicineanddentistry.Ausefuldescriptionofmentoringbasedon
asynthesisofconceptsmightbe:
'theprocesswherebyanexperienced,highlyregarded,empathicindividual(thementor),by
listeningandtalkinginconfidence,guidesanotherindividual,oftenbutnotalwaysworkingin
thesameorganisationorfield(thementee),inthedevelopmentandreexaminationofthe
mentee'sownideas,learning,personalandprofessionaldevelopment....'
Basedonthefindingsfromotherprofessionsandtheimportantinitiativesunderwayin
medicine,SCOPMEconcludesthatmentoringcanbeavaluablepartofaframeworkofsupport
fordoctorsanddentistswhichispersonal,professionalandeducational.
Italsoconcludesthatmentoringshouldbeentirelyvoluntaryandnotimposedandthat
confidentialityisessential.Itisimportantthatbothmentorsandmenteesfullyunderstandthe
purposeandlimitsofthementoringrelationship.Developmentprogrammesforpotential
mentorsareneeded.
SCOPMEfirmlybelievesthatlocalanalysisofthesupportthatdoctorsanddentistsneedshould
precedeattemptstobringinformalarrangementsformentoring.
Therearelikelytobedifferentsupportneedsatdifferentstagesofacareer.
ThereisaperceivedneedforextrasupportfornewlyappointedGPprincipals,consultantsand
nonconsultantcareergradesandpreregistrationhouseofficers.Formalarrangementsfor
mentoringmaybeparticularlyvaluableatthesetimes.
Thereismuchtobegainedbyinformalpeersupportbuttheneedforthishastoberecognised
andtimeandplacemadeavailable.Anyinitiativestobringinmoreformalsystemsofsupport,
suchasmentoring,shouldcomplementinformalsupportandnotseektoreplaceit.
Localimprovementsinsupportcouldinvolveotherhealthprofessionals.
Somesupporttimeneedstobeawayfromtheworkplace.
Recommendations
Thereshouldbelocalanalysisoftheneedforsupportfordoctorsanddentistsandlocal
decisionsmadeabouttheprovisionofsuchsupport.
Wherepossible,localworkingconditionsshouldbeadjustedsothatdoctorsanddentistscan
gainmaximumbenefitfrominformalpeersupport.
ForthepurposesoftheserecommendationsandforthewidedebatethatSCOPMEhopeswill
follow,mentoringfordoctorsanddentistsshouldbetakenas:
avoluntaryrelationshipbetweentwoindividuals,thementorandthementee.
apositive,facilitativeanddevelopmentalactivitywhichisnotrelatedto,norformspart
of,organisationalsystemsofassessment,appraisalorperformancereview
anactivityinwhichthementorisusuallyanexperienced,highlyregarded,empathic
individual,often,butnotalways,workinginthesameorganisationorfieldasthe
mentee.
anactivityinwhichthementor,bylisteningandtalkingwiththementeeinprivateandin
confidence,guidesthementeeinthedevelopmentofideas,learning,andpersonaland
professionaldevelopment.
Theconceptofmentoring,asonewayofmeetingsupportneeds,withitspotentialbenefitsand
risks,itsaimsandprocessesshouldbemadewidelyknown.
Mentoringshouldbemadewidelyavailablewithinmedicineanddentistrybutnotimposed.
Whereopportunitiesformentoringareformallymadeavailable:
mentoringshouldbedevelopedlocallythroughexplanationanddiscussionandin
conjunctionwithexplicitlystatedsupportfromorganisationalleaders,bothnationallyand
locally.
localimplementationcanusefullyinvolveotherhealthcareprofessions,including
humanresourceprofessionalsbothasmentorsandaslocalexpertsaboutintroducing
mentoring
mentoringmustbeseparatefromtheexternalmonitoringandassessmentof
performance,promotionandremuneration
aproportionofmentoringisavailableawayfromthedoctorordentist'sworkplace.
Developmentprogrammesforpotentialmentorsshouldbeencouragedandevaluated.
Mentoringfornewlyappointedcareergradedoctorsanddentistsshouldbeconsideredapriority.
TheCommitteeintendstorevisittheareaofsupportneedsinabouttwoyears'timetoassess
progress.Forfurtherinformationcontact:j.oxley@scopme.org.uk.Thefullreportisavailableonthe
Webathttp://www.scopme.org.uk/support.htm
TheHalifaxandHuddersfieldGPMentoringScheme
DavidRyland,CMETutor,PostgraduateCentre,Halifax
JohnLord,CMETutor,PostgraduateCentre,Huddersfield
Introduction
General Practitioners are experiencing difficult times. Morale is low, recruitment to Vocational
Training schemes is falling whilst early retirements from the profession are rising. The changes in
health care organisation over recent years have left many GPs feeling undervalued and
overburdenedwithbureaucracy,patientdemandsandthetransferofworkloadfromsecondarycare.
New responsibilities and roles have been forced upon the profession, challenging traditional views
aboutthenatureofgeneralpractice.Totakeadvantageoftheopportunitiesina'PrimaryCareLed
NHS' GPs will have to acquire new expertise, adopt new roles and manage change through their
ownprofessionaldevelopment.
ProfessionaldevelopmentisbroaderinscopethantraditionalCME.Itiscentredontheneedsofthe
individual in the context of their work and should help the GP to respond effectively to different
organisational and social changes whilst simultaneously providing a high quality of patient care.
Professionaldevelopmentenrichesworkinglife,andincreasesjobsatisfaction.Supporting
GPsintheirprofessionaldevelopmentisthemainaimofthementoringscheme.
TheHalifaxandHuddersfieldschemeaimsto:
facilitatethepersonalandprofessionaldevelopmentofGeneralPractitioners
helpGeneralPractitionersidentityandmeettheireducationalneeds
encourageGeneralPractitionerstoreflectontheirwork
providesupportforGeneralPractitionercolleagues
Itisnotanaccreditation/recertificationorappraisalsystem.Thementoringprocessisconfidentialto
mentorandmenteewithintheboundarieswhichtheynegotiateandagree.Neitheristheschemea
counselling service although partnership problems, workrelated stress, and workhome conflicts
may be addressed in mentoring sessions. A regional confidential counselling service for general
practitionersisbeingdevelopedtowhichmenteescanbereferrediftheywish.
ThementorsareaheterogeneousgroupoflocalGPs,atdifferentstagesoftheircareersworkingin
abroadrangeofpractices.Theyareallmotivatedtosupportandfacilitatethedevelopmentoflocal
general practitioners. During 1997/8 they gave up 6 days of their time to participate in a mentor
trainingprogrammeandexperiencedforthemselvesthebenefitsofmentoring.Thepersonalprofiles
ofMentorsareavailableonthewebsite.MentoringwillbePGEAaccredited.Inthepilotyearofthe
scheme(19967)4mentoringsessionsofninetyminutesdurationwereaccredited.
HuddersfieldandHalifaxGPswhowanttojointhementoringschemeareaskedtocompleteaform
ontheHomePageoremailmentoring@directory.yorks.com.Theyarethensentfurtherinformation
aboutthementorstogetherwithanapplicationform.
SECTION3
EXAMPLESOFMENTORINGSCHEMESINOTHERPROFESSIONS
MentoringinNursing
In 1989 theUnitedKingdonCentral CouncilforNursing,MidwiferyandHealthVisiting(UKCC),the
statutory regulatory body for these professions, established a project examining the standard, kind
and content of postregistration preparation the PostRegistration Education and Practice (PREP)
Project. The project looked at practice following registration,specialistandadvancedpracticeand
howstandardsforpracticecouldbemaintainedfollowinginitialregistration.
AdiscussiondocumentwascirculatedinJanuary1990(UKCC,1990a)andwasaccompaniedby20
roadshowsaroundtheUK.Duringtheroadshoweventsandinresponsesreceivedtothediscussion
document,strongviewswereexpressedaboutthelackofsupportfornewlyregisteredpractitioners.
The transition period was seen as stressful for many practitioners. In acknowledgement of the
frequently repeated message that those who were newly qualified needed the support of a more
experiencedcolleague,arecommendationwasmadeinthePREPconsultationdocumentpublished
in October 1990 (UKCC, 1990b) that there should be a period of support for all newly registered
practitioners to consolidate the competencies or learning outcomes achieved at registration. The
consultation document further recommended that a preceptor should provide the support for each
newly registered practitioner. The term preceptorship was used to differentiate support for newly
qualifiednursesfrommentorshipsupportofferedinnursetraining.
Acostbenefitanalysis,carriedoutbyPriceWaterhousebetweenMay1990andJuly1991,identified
potential savings and cost benefits which could be made from introducing support for newly
registeredpractitionersbyassistingpractitionerstobecomeeffectiveintheirjobsatanearlierstage,
byimprovingconfidencewhichcouldreduceerror,byimprovingknowledge,skillsandattitudes,thus
improving patient care and by improving retention. The costs associated with delivering such a
schemeweretimeandadministration,andtheseinturnwouldbedeterminedbypreceptornumbers
andseniorityofpreceptors.
InJuly1991theUKCCsCouncilagreedtorecommendthatitsrecommendationsonsupportforthe
newlyregisteredpractitionersshouldbeadoptedbyemployersandpublisheditsrequirementsfora
period of preceptorship in advance of its other PREP proposals in January 1993. These were re
evaluated and revised in January 1995 (Wallace, 1999). In support of this policy NHS issued
guidance requiring health authorities to implement a frameworkforsupportandpreceptorshipfrom
April1993asamatterofgoodpractice.
FeaturesofPreceptorshipschemefornurses,midwivesandhealthvisitors:
individuals are accountable for their practice from the point of registration and the period of
supportisnotconsidered,inanyway,asanextensionoftheprogrammeofeducationortraining
the average length of support is normally 4 months, although this depends on the previous
experience, qualifications and personal and professional abilities of the individual concerned.
Thelengthoftimeisagreedbetweentheindividualandtheirpreceptorandmaybeextended.A
recent study has indicated that 4 months may at present be an underestimate of the average
requirement(Runciman,1998).
supportisprovidedbothtonewlyregisteredpractitionersenteringpracticeforthefirsttime,those
entering a different field of practice by means of a second registerable qualification and those
returningtopracticeafterabreakof5yearsormore.
preceptors are normally first level nurses, midwives or health visitors who have had at least 12
months(orequivalent)experiencewithinaclinicalfieldtheymaybefullorparttimeemployees
andmustwillingtotakeontheroleandsharetheirknowledgeandskillswiththoseenteringthat
fieldofprofessionalpractice.Onoccasionapreceptormaybefromanotherprofession.
preceptors are seen as a guide and counsellor for the newly registered practitioner. The exact
natureoftheroleandrelationshipbetweenpractitionerandpreceptorisworkedouttosuitthetwo
individuals concerned and will depend on the nature and context of the care to be given, the
geographicalsituationandtheexperienceandconfidenceofbothparties.
preceptorsaregivenupto2daysspecificpreparationfortheirrole,inorderthatthepreceptor:
has sufficient knowledge of the newlyregistered practitioners education programme in
order to be able to identify current learning needs and to set and agree learning
objectives
isabletohelptheindividualtoapplyknowledgetopractice
hasanunderstandingofhowpeopleintegrateintoanewpracticesettinginordertoassist
withthisprocess
appreciatestheproblemslikelytobeexperiencedbythepractitionerinthetransitionfrom
preregistrationstudenttoregisteredandaccountablepractitionerand
isabletoactasaresourcetofacilitateprofessionaldevelopment
Othersubjectswhichhavebeenfoundusefultoincludeinthepreparationprogrammeare:
knowledgeofpracticalskillsacquisition
organisationalandmanagementskillsacquisition
adultlearningtheoryandstrategies
evaluationandassessmenttechniques
counsellingandcommunicationskills
TheNationalBoardforNursing,MidwiferyandHealthVisitingforScotlandhasrecentlypublisheda
guide to good practice in preceptorship (NBS, 1999). The guide identifies four models of support:
specifically prepared preceptorship programmes orientation or induction programmes telephone
supportandstaffdevelopmentprogrammes.
TheNBSguideincludesexamplesofstatementsmadebynewlyregisteredpractitionerswhich
demonstratethevalueofsupportschemes(Gray,1998):
Iwasveryproudonmyfirstday,beingemployedandbeinginmywhitedress,IfeltIhad
reallyearneditafter3years ItwastheworstdayofmylifebecauseeverywhereIwent
somebodywantedtoknowwhatamIhavingthisfor?andIwasthinkingpleasedontask
mequestionstoday.(Louise)
Forthefirst3monthsIwasgoinghomeintearseverydaybecauseitwassobusyandIfelt
sounsupportedIfeltatthetimethatthingsweregoingtoofastformeandIdidntknow
whattodo.Ithought,rightIdontwanttobeanurse.(Fiona)
In an article about an 18month support programme for newly qualified nurses offered by the
BirminghamHeartlandsandSolihullTrust(Field,1999),AngelaFieldshowshowregularcontactwith
seniornursesandtraininginclinicalactivitiescanimproverecruitmentandretention.The18month
programme was developed after identifying key themes during interviews with thirdyear nurses.
Threefactorsemergedfromtheinterviews:
theneedforcomprehensivesupportsystems
theneedforstructureddevelopmentopportunities
theopportunitytorotatearoundavarietyofclinicalareas.
TheprogrammeworksbyintroducingtheTrustsprofessionaldevelopmentlinknurse,supportedby
the professional development support nurse, to all local students during their final 10 months in
training.Theythenremainintouchwiththestudentsandbriefingmeetingsareheldtoensurethat
allqueriesareaddressedandthatthecomponentsoftheinductionprogrammeareexplainedbefore
employment with the Trust commences. Throughout the induction both the link nurse and the
support nurse provide support on a group and onetoone basis. The nurses attend clinical
supervision onamonthlybasisinpeergroups.Theyarealsoassignedapreceptorintheirclinical
area who fulfils the role identified by the UKCC. On average, each nurse sees the support nurse
twiceamonthandanopendoorpolicymeansstaffcanalsodropintoseethelinknurseorsupport
nurse, for example, after a particularly bad shift. Nurses are also offered selfdevelopment
opportunities which include clinical supervision and training in the first 6 months, studydaysinthe
second6monthsandafirstlinemanagementcourseinthefinalsixmonthsoftheprogramme.
The development programme began in March 1998 and has since expanded with 85nursesinthe
scheme when Angela Fields article was published in June 1999. Evaluation questionnaires show
high levels of satisfaction and recruitment and retention rates have improved. Clinical managers
havealsocommentedonhowquicklynursesontheprogrammeareabletosettletotheirfirstposts.
MentoringinHigherEducation:NottinghamUniversity
ThismentoringschemecoversallgradesofstaffwithinNottinghamUniversity.Guidanceaboutthe
scheme includes guidance notes for mentors and mentees and guidance on mentors for
probationary academic staff staff in the Registrars Department clerical, secretary and junior
administrativestaffandtechnicalstaff.
Theschemeisdesignedforallnewstaffwhofromthebeginningofthe1997/8Sessionareentitled
toamentoriftheywishtohaveone.Differentmentorarrangementshavebeenorganiseddepending
on individual departmental/ School circumstances. The formal scheme is therefore intended to be
relatively flexible, presenting options and indicating "the norm" rather than prescribing universal
rules. The scheme sees mentoring as "a process in which a person (mentor) is responsible for
overseeingtheinitialcareeranddevelopmentofanotherperson".Theemphasisthereforeisonthe
relationship (rather than the activity). In some circumstances mentoring is be used as a way of
preparingestablishedcolleaguesfornewrolesorposts.
TheMentorisseenasatrustedfriend,counsellor,guide,advocate,rolemodel,informationprovider
anddooropener.Asaminimum,mentorsareexpectedtoassistwithinductionandintroducingthe
new person to the University and departmental processes and procedures. In addition the mentor
may have an role in providing guidance and support in relation to job requirements and
performance.Thepreciserolevariesaccordingtotheexperienceandneedsofthepeopleinvolved
and the importance of discussing and agreeing on the nature relationship at an early stage is
emphasised.
TheNottinghamUniversityschemeidentifiestwomodelsofmentoringalthoughitemphasisesthe
factthatmentorrelationshipschangeovertime,thatsomecombinationofthemodelsispossible
andthatparticipantsneedtobeconsciousofthedifferentmodelsandtheapproachesthatthey
imply.Misunderstandingandconfusionmayariseifthementorpartnershavedifferentmodelsofthe
relationshipinmindorfailtoappreciatehowitischanging.
onemodelisbasedonpeerdevelopment,inwhichthepartnersareofrelativelyequalstatusand
in which learning and development is collaborative and two way. This model supports the view
thatapeerwhohasrecentlygonethroughthesameperiodofinductionasthenewpersonisthe
most appropriate person to take on the mentor role. This suggests that normally the mentor
should be a member of staff who has at least two years experience within the current
department/School but not morethanfive.Inthisapproach,age,seniorityandsubject
areaaresecondaryconsiderations.
the other, more traditional approach, is based on a developmental model in which the more
senior person is largely passing on his/her wisdom and experience to the new person. This
approacharguesthatmoreexperiencedmembersofstaffarebetterabletoadviseandguidethe
newperson.Inthisapproachlengthofserviceandsenioritymaybemoredecisivefactors.
Whichever approach is adopted, it is regarded as vitally important that the mentor iscommittedto
therole.Itisalsoaprerequisiteoftheschemethatnewmembersofstaffshouldhavetheoptionof
changingtheirmentorwhereitbecomesclearthattherelationshipisnotworking.
Rules for confidentiality are also agreed at the outset in order that the new members of staff feels
professionally"safe"withthementor.Thementorisnotnormallythementeesappraiserorheadof
department or equivalent (in order to separate the mentor role from line management and
judgementsrequiredaboutprobation,promotionetc.).Whereforpracticalreasonsthisisimpossible
to achieve, it is emphasised that great care should be taken to ensure that the two roles are kept
separate.
In most mentoring schemes, it is anticipated that there will come a point when the mentoring
relationship will and should end. It can be suggested that the mentor partners review the agreed
focusandgroundrulesatleastannually.
Preparation and Training of mentors is organised by the University Training & Staff Development
Unitanddetailedbriefingnotesandcoursesareprovidedontheschemeanditsoperation.Mentors
are encouraged to agree with their mentees the frequency and length of meetings, venues, rules
about contact (only at work?), agendas for meetings and whether or not to hold an annual receive
andemphasisetheimportanceofbothgivingandreceivingfeedback.
Taken from article by Richard Blackwell, Head of Staff Training and Development, Nottingham
University
MentoringinManagement
Increasinglyorganisationsneedtobeabletocontinuouslyreinventthemselvessoastostayaligned
withandresponsivetotheircustomersandotherstakeholders.Creatingthenecessarychangescan
involveawiderangeofprogrammesandinitiativessuchasculturechange,processreengineering,
benchmarking, total quality management, values alignment, and so forth. What all these have in
common is that, to be successful, they have to be accompanied by behavioural change by the
organisation's stakeholders and, in particular, by the organisation's senior executives. Executive
mentoring is an intervention designed to support such senior executives and other key staff in
makingthenecessarybehaviourchanges.
Thisformofmentoringhasasitsgoalincreasingtheabilityofseniorexecutivestoachievebusiness
goals by using external mentors. The context is therefore different from counselling, where the
individual'spersonalneedsarecentral,andfrommuchinternalmentoring,wheretheprimarygoalis
thepassingonofvalues,knowledge,stylesandskills.Internalmentoringiswellsuitedtodeveloping
people within the existing culture and according to existing norms. External mentoring of the kind
described here is more suited to supporting the change to a new culture, helping the organisation
deliver its business vision, and developing levels of performance and behaviour beyond existing
norms.
Attheindividuallevel,thebenefitsofbeingmentoredvarywidelydependingontheparticularneeds,
aspirationsandsituationofthementeeandmayinclude:
theconfidencenotjusttorunwiththechangeprogrammebuttoleaditandtochampionthenew
culture
improvedpeoplemanagementskillsthroughusingmentoringskillsandtechniques
improvedlistening,challenging,andempathisingskills
theconfidencetosetandachievestretchingperformancegoals
havingsomeonetotalkopenlyto
beingmoreorderedandreflectiveratherthanrushingintothings
havingawiderperspectiveontheimpactoftheirmanagementstyle
beinglessruledbyfeelingsandmoreabletocopewithdifficultsituations
havingthecouragetobemoreradicalandtoselltheirideasmorestrongly
openingupadditionalwaysofthinking
being more mindful of the need to mentor staff, understand their needs, and deal with the
underlyingproblems,notjustthesymptoms.
Attheorganisationallevel,anexecutivementoringprogrammecan:
supportandacceleratepersonalandorganisationalchange
make change work by sustaining commitment to corporate vision in a critical mass of senior
managers
help manage the downside risk of change management and maintain performance during
periodsofrapidchange
improve business performance by creating personal stretch goals in line with corporate
objectives
removesobstaclestosuccessfulchangemanagementbypredictingandmanagingpersonaland
organisationalregression
increase organisational awareness through providing a flow of valid operational data for senior
managers
promote balance and provide a stable base during periods of major organisational and career
change.
Oneoftheframeworksusedforexecutivementoringconsistsoffourelements:
Individuating:developingautonomy,responsibility,andtheabilitytochoosefreelyunconstrained
bypersonalhistory.Whenworkinginthisphase,thementor'sstanceisnurturingandsupportive
andaimstohelpthementeedevelopastrongpositiveselfimage.Thebasicquestionwhichthe
menteeseekstoanswerinthisphaseis"WhoamI?".
Envisioning: connecting with a sense of purpose, identifying and choosing values, creating a
compelling and stretching vision which is aligned to and supports the corporate vision, and
committing to realising it. A key skill at this stage is the ability to create and hold a tension
between the current reality and the vision. Without the ability to hold this tension, the vision
merges with the current reality and merely reinforces the status quo. The mentor's role is to
inspirethementeeandtohelpthemanswerthequestion"WhereamIgoing?"
Implementing:identifyingthegoalswhichwillleadtowardsthevision,decidingonthestrategies
and actions to achieve these goals, and then taking action. The mentor's role here is to coach
and to help the mentee answer thequestion"HowwillIachievemyvision?".Thismayinclude
helpingthementeeimprovespecificmanagementskillsinareassuchascommunication,team
leadingandtimemanagement.
Integrating:gettingfeedbackfromtheenvironmentaboutwhatisbeingachievedandtheextent
to which the vision is being realised. When the mentee is able to see clearly what they are
creating and to take responsibility for both their successes and failures, then there is the
opportunitytolearnfromexperienceandgaininsightintothechangesnecessarytodeliverand
expand their achievement of their vision. The role of the mentor is to challenge thementeeto
see clearly the impact of what they are doing and to help them answer the question "Am I
creatingmyvision?".
Underpinning the whole mentoring process are two key skills the ability to be self aware and the
ability to exercise will. The development of these two skills provides the underlying context for the
mentoringprocessandthedegreetowhichthementeeenhancesthesetwoskillsisoneofthebest
indicatorsoftheextenttowhichthementoringprocesshascreatedlastingchangesinthementee's
effectiveness. Experience has shown that executivescanreadilyunderstandthisframework,thatit
providesameaningfulwaytothinkoftheirownchangeprocess,andthatitreflectstheirexperience
ofthementoringprocess.
TakenfromarticleonExecutiveMentoringbybyDrMikeTurner
AntrobusHouse,3ManbyRoad,Malvern,Worcs,WR143BD
Tel:01684893380.Email:100411.776@compuserve.comDrMHMTurner
MentoringinPhysiotherapy
TheCharteredSocietyofPhysiotherapyissuesguidelinesforthesupportofphysiotherapistsduring
the first2yearsofpostgraduatetraining.Thiscoversallareasoforientation,induction,evaluation
ofpractice,educationandtraining.
AttheWesternGeneralHospitalinEdinburghteamsofphysiotherapistsworkunderthedirectionof
a Senior Physiotherapist (Clinical Team Leader) who will have had, on average, at least 6 years
postgraduateexperience.Itisanimportantpartoftheirjobdescriptionsthattheyhaveresponsibility
for identifying, and where possible meeting, the development needs of all members of their team.
Inhousephysiotherapytrainingisavailableforseniorstafftoenablethemtoacquirethenecessary
skillssuchasappraisal,supervision,effectiveteamworkingandleadership.
Taken from article by Fiona McDonald, Superintendent Physiotherapist for the Western General
HospitalNHSTrust,EdinburghandquotedinNBS(1999)PreceptorshipinAction
MentoringinOccupationalTherapy
Within occupational therapy, the support model frequently used is supervision. Supervision in
occupationaltherapyisrelevantforallgradesofstaffandshouldbeavailableforthenewlyqualified
occupationaltherapist.TheCollegeofOccupationalTherapists(1997)hasastandardstatementon
supervision which states effective supervision contributes to both job satisfaction and to the
provisionofahighqualityservice.Supervisionisalsoconsideredanimportantpartofsupport.
Therearemanymethodsofsupervision.WithinEdinburghHealthcareNHSTrusttheoccupational
therapistshaveimplementedaTrustStandardforSupervisionwhichisreviewedonanannualbasis
andwhichrequires:
all occupational therapists to receive a minimum of one hour per month individual supervision
fromamoresenioroccupationaltherapist
supervisiontobecarriedoutinaquietenvironment
discussionstobetreatedconfidentially
allstafftohaveaccesstotraininginsupervision
CollegeofOccupationalTherapists(1997)StatementonSupervisioninOccupationalTherapy
Taken from article by Elaine Hunter, Trust Advisor in Occupational Therapy for Edinburgh
HealthcareNHSTrustandquotedinNBS(1999)PreceptorshipinAction
SECTION4
REFERENCES
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AssociationfortheStudyofMedicalEducation(1998)DeliveringtheNewDoctoredElisabethPaice,
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Clutterbuck,D.(1988)Everybodyneedsamentor,InstituteofPersonnelManagement
Clutterbuck,D.(1995)ConsentingAdultsMakingtheMostofMentoring,ChannelFourTelevision
Conway,C.(1994)MentoringManagersinOrganisationsAStudyofMentoringanditsApplication
toOrganisationswithCaseStudies,AshridgeResearchGroup
Field,A.(1999)StartersOrders. HealthServiceJournal,17June1999
GeneralMedicalCouncil(1993)TomorrowsDoctors,London:GMC
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Gray,M.A.(1998)Longitudinalinvestigationintothefirstyearexperienceofbeingastaffnurse:the
transitionfromdiplomatetostaffnurse,NapierUniversity,FacultyofHealthStudies,August1998in
NBS(1999)PreceptorshipinAction:AGuide,Edinburgh:NBS
Hay,J.(1995)TransformationalMentoring,McGrawHillBookCompany
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WritinginHolly,M.L.HandMcLoughlin,C.S.(Eds)(1989)PerspectivesonTeacherProfessional
Development,Falmer
Jones,CandJowett,V.(1997)ManagingFacilities,ButterworthHeinemann
Jowett,V.(1995)WorkingForADegreeMentoringProject,FinalProjectReportVolumeI,Leeds
MetropolitanUniversity
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Kolb,D.A.(1994)ExperientialLearning:ExperienceasaSourceofLearningandDevelopment,
PrenticeHall
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andtheskillsofnewlyqualifiedProject2000staffnurses,QueenMargaretUniversityCollege,
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Wallace,M.(1999) LifelongLearning:PREPInAction,Edinburgh:ChurchillLivingstone
SUCCESSFUL
MEMBERSHIP
RECRUITMENT
Members of the
Powder River Basin
Resource Council in
Wyoming, concerned
about the effect of a
cattle feedlot expansion
on the water they drink,
needed money to pay
for legal assistance in
their ght. On a map,
they marked the homes
of neighbors to visit
who were affected
by the feedlot. They
recruited two dozen
new members and
raised $1,000
towards their legal bills.
The Yellowstone Valley
Citizens Council
(YVCC) in Billings,
Montana, invited 800
people, by mail, to come
to a public forum on
public health and air
quality and to join
YVCC. One hundred
fty people came to
the forum, and YVCC
members recruited
six new members by
talking with them oneon-one at the forum,
in followup phone calls
and nine more joined
through the mail.
The Western Colorado
Congress signed up
100 new members
by organizing the
Ridgway-Ouray
Community Council,
a new chapter of local
people concerned about
plans for commercial
development in their
community of 2,500
people.
The three examples of successful membership recruitment featured in the sidebar have several
things in common. All three groups are grassroots organizations; they need a growing membership
to survive. They recruited new members by appealing to the self-interest of the people they were
asking. They developed and followed a plan, which laid out how many members they wanted, who
they were going to recruit, who was going to ask them to join, and when they were going to ask.
And they asked people to join.
WHY HAVE MEMBERS?

Organizations that succeed at building their
membership start with the basics. First, they
ask themselves, Why do we want members?
Its important to answer this question, even if
its obvious to you that your organization wants
more members. If you
know exactly why you
want people to join,
you know a lot about
how to recruit them.
It helps you
decide who to
ask and how to
ask them.
Community
organizations want
people to join because
they need money,
power, and leaders.
Memberships are
the best and most basic source of funds for
community organizations. Groups which
want control of important decisions in their
communities are always working towards
signing up a working majority. The closer they
get to signing up 51% of the people, the more
power they have to win. Every group needs more
workers, more good ideas, and more people with
leadership skills.
Successful community organizations think
about why people join their organization and
why people dont join. Why did you join
your organization?
Unless you think this through, you might

be tempted to say that most people join public
interest groups out of altruism, or that most
people who dont join are apathetic or lazy. But
there are more important reasons why people do
or dont join your
group.
Most people join
groups because
it is in their self
interest. If the group
wins on its issues,
it will benet them
or their families.
The group provides
a place for them to
socialize, to develop
new skills, to do and
learn new things.
This does not mean
that only selsh people join groups. Selfinterest is not the same as selshness. It simply
means each of us joins because of what is
important to us.
Most people who join a group were asked
to join by someone who understood their selfinterest.
People who dont join groups are afraid of
the repercussions of joining, or disagree with
the position of our group, or dont think joining
will do any good. But the most common reason
people dont join groups is that no one ever
asked them.
WHY HAVE MEMBERS continued

WHY PEOPLE JOIN
Many of us assume everyone has
Why do we do this? Well, its scary
Believe in the cause or issues
heard of our group, knows what our
to ask someone to join, face-to-face.
of our group
group does and how it operates, and
We all fear rejection. We all like less
Want to win on an issue,
either loves us or hates us. From there
personal, less frightening approaches,
improve their lives
its a short step to deciding we cant get
and the more anonymous the better.
Want to be part of a group,
any new members, because anyone who
Wed rather call or write our next-doorlike to be around people
hasnt joined already must be against us.
doing things together
neighbor than ask them face to face.
In all but the smallest towns, most
Wed sooner ask a crowd of 100 people
Dissatised with something,
people probably know little or nothing
have a problem that needs
to join than ask one person, even if
attention
about your group, even if you think your
crowds usually make us nervous. Thats
name is in the paper all the time. You
Want to develop new skills
why we like recruitment tactics that
cant expect someone to join your group
Like and trust the people in
never work, such as running ads in the
the group
if they dont know you exist.
newspaper with a form people can clip
Even people who have heard of your
For a sense of community; to
out and send in.
have fun
group and know what you stand for
The best way to get over the fear
may not understand how membership
Somebody asked them
of asking people to join is to talk
works. Most people today are familiar
to join
about it and practice. Think about how
with civic or fraternal organizations
important membership is to winning on
with elaborate screening procedures
the issue you care about you arent
and initiation ceremonies. They believe
afraid to talk to people about that.
WHY PEOPLE DONT JOIN
that they cant join your group unless
Take some time to sit down with the
you invite them. If you dont ask them
members of your group, think about
Disagree with the groups
to join, they will think you dont want
who you want to join, and how you
position on issues
them to join.
would ask them to join. What would
Fear of repercussions
If you dont ask someone to join,
the conversation your membership
(losing a job or business,
its almost impossible for him or her to
rap be like? Practice the rap. Ask
being thought of as radical,
know how to join. How much does it
another member of your group to play
controversial)
cost? theyll wonder. Where do I send
your neighbor Bill, and pretend you
Dont understand the group
the money? Do I have to ll out a form,
are asking Bill to join. What would Bill
or its issues
take an oath, or go to a meeting?
say? What questions will he ask? How
Logistical barriers (no
If you think about it, the idea that
money, no childcare, no
will you answer them? Practicing how
transportation, no access for
people would join our groups without
to deal with different things Bill might
the handicapped)
being asked is a little silly. In fact,
say and do will make it a lot more
Never involved in a group
most people join after being asked in
comfortable for you to ask him when
before
person, one-on-one. Yet we all secretly
its crunch time.
Apathetic
hope new members will fall in our laps:
if we just get our message out in the
Dont have enough time to
get involved
media, we think, theyd come walking
in the door by the dozens, checkbooks
Think the group is too
radical
in hand. When they dont, we begin
No one ever asked them
to draw strange conclusions, without
to join
any evidence at all: No one likes us.
Were too controversial. We need to
educate the public.
RIGHTS AND PRIVILEGES OF MEMBERSHIP
When youre recruiting someone,
you must be able to describe
the value of membership in your
group. What are the benets of
membership in your organization?
Heres one list of the rights and
privileges of membership.
PAGE 4
Receive the groups newsletter and

information
Attend meetings of the group
Vote
Set policy for the organization
Elect its ofcers
Have the chance to go to meetings of
coalitions and other groups
Work together to win on issues

Special premiums (coffee mugs,
t-shirts, books)
Attend trainings sessions and
other opportunities for personal
development
Participate in actions of the group
HOW TO RECRUIT MEMBERS
THE MEMBERSHIP DRIVE

Even a group that knows it needs
members, knows why people join and
dont join, and has practiced asking
people to join, can still come up short
recruiting members. We dont have
enough time. We think we have to
postpone membership recruitment
until we have more time, because the
issue were working on is so urgent.
Its easy to forget why we said we
had to have more members in the rst
place to win on that urgent issue
because working on the issue is
more comfortable for most of us than
asking people to join. And we make
recruitment more intimidating than
it needs to be by jumping in without
specic goals and a clear plan.
Pretty soon, weve fallen back
to the snowake method of
recruitment: since every member and
potential member is unique, different
from every other, planning and
practicing wont work. Instead, well
wait patiently for a storm to blow up
and for new members to oat down
from the sky.
Two key concepts can help deal
with these problems, so that you
dont have to resort to the snowake
method.
Integrate membership
recruitment into every aspect
of your organizing work.
Develop and follow a
recruitment plan with realistic,
achievable goals, specic tasks,
and clear responsibilities and
time-lines.
The best way to develop an
effective membership campaign is
to involve all of your members in
the recruitment of new members, to
target specic individuals and kinds
of people you want to recruit, use a
variety of methods for recruitment,
and integrate membership recruitment
with every aspect of your organizing.
If membership recruitment is
separate from your other work, youll
never get around to it. The burning
issues will always have top priority.
If you dump the job on a membership
committee, you separate it from your
other work. The members of the
committee will be the only ones in
the organization who understand why
recruitment is important and believe
it is their job to do. Since people
are different, relying on only one
recruitment strategy (lets put an ad
in the paper) is bound to disappoint
you.
MEMBERSHIP DEVELOPMENT
What happens to members after they join?

We want more than their rst membership
checks. We want them to participate in our
group, renew their memberships, and become
leaders.
People dont join ready to chair a board
meeting or lead a press conference. Citizens
groups need to build members into leaders,
who learn about our group and organizing for
social change. We want to help people move up
a series of steps, at a pace that is comfortable
for them.
Joining.
Finding an initial role in the organization.
Research, education and training experience
Issue analysis, strategy, action, and evaluation
experience.
Governing, development, organizational
planning, systems management experience.
HOW TO RECRUIT MEMBERS
Reection on all activities

and connection to values,
self-interest of the members
of the organization and of
broader society.
Ability to explain all of the
functions of the organization,
and carry out a variety of
them.
THE RAP
What kind of things do you say
when you ask someone to join,
face-to-face? Here is one way
you might have a conversation.
It doesnt have to go exactly
according to your plan, but it
is important to have a plan.
Remember your purpose: to ask
someone to join.
Introduce yourself. Mention
your connection with that
person: Im a friend of your
neighbor, Mr. Jones.
Tell the person you want
to talk about your group.
Make some small talk to make
the person comfortable.
Explain your organization
and the issues it works on.
Ask what his or her concerns
are. Listen to the answer.
Ask what he or she thinks
should be done. Listen.
Explain what your group is
doing about those concerns.
Explain why its important
that people like him or her join.
Explain the benets of
membership, and how he
or she can get involved.
Ask him or her to join.
Then wait and listen.
Get a commitment (to join,
come to a meeting, pay dues).
Refer to your next contact
(Ill come by Tuesday to pick
you up for the meeting.)
Thank him or her for talking
to you, and say good-bye.
How you say something is as
important as what you say. Be
friendly, polite, and have a sense of
humor. Listen as much as you can.
When you talk, get to the point.
PAGE 5
YOUR RECRUITMENT PLAN

GOALS
Your membership recruitment plan should have specic,
realistic goals. You can start integrating recruitment into
the rest of your work as you set these goals. How many
members do we need to win our ght against the dump?
How many members will it take to impress Congressman
Snort? You also want to consider your fundraising needs
when setting your goal. Whats our budget and how much
of it do we plan to raise through memberships? Whats
our membership renewal rate? How many new members
do we need just to stay even?
The Idaho Rural Council (IRC) collected the

signatures of dairy farmers on a petition to Dump
the Dairy Board, a great way to identify farmers
who agree with IRCs position on factory farms.
Like most groups, Dakota Rural Action (DRA)
recruits South Dakotans who stand to benet from
the policies it works for. But in one case, DRA
recruited several farmers after winning a campaign
that beneted that specic group, by pointing out
how much theyd already been helped.
TARGET
Target your efforts. You cant ask everyone at once,

but you also cant let that keep you from asking anyone at
all. Who, specically, do you want to recruit? Who lives
near that dump site? Who drinks the water downstream?
Who signed our petition against the dump? If you have
trouble being specic, try dening who you dont want to
join your group.
TACTICS
Design membership recruitment tactics to help you

reach the constituency you identied.
Dakota Resource Council (DRC) members go out in
teams with the staff to talk to lists of North Dakota
neighbors and other recruitment prospects about DRCs
issue campaigns and about joining DRC.
WORC is a network of grassroots organizations

from seven states that include 9,700 members
and 44 local community groups. WORC helps
its members succeed by providing training and
by coordinating regional issue campaigns.
WORC Member Groups:
Dakota Resource Council
Dakota Rural Action
Idaho Rural Council
Northern Plains Resource Council
Oregon Rural Action
Powder River Basin Resource Council
Western Colorado Congress
WORC Billings Ofce

220 South 27th Street, Suite B
Billings, MT 59101
(406)252-9672
billings@worc.org
www.worc.org
WORC Washington, D.C. Ofce
110 Maryland Ave., NE, #307
Washington, DC 20002
(202)547-7040
dc@worc.org
WORC Montrose, CO Ofce
60584 Horizon Drive
Montrose, CO 81401
(970)323-6849
montrose@worc.org
TOOLS
Decide what recruitment tools you will need for the
recruitment drive (pamphlets, brochures, fact sheets,
membership envelopes, posters, petitions). Decide when
the drive will begin and end. (You should be recruiting
all the time, of course, but a membership drive with no
deadline will never begin.) Then list all of the tasks and
responsibilities on a chart that shows what will be done
for each task, who will do it, and when they will do it.
If its true that 90% of organizing is follow-up, 99% of
membership recruitment is follow-up. So follow-up:
pull out that plan, nd out who did what, evaluate how
youre doingand then go ask somebody to join.
WORC Lemmon, SD Ofce

2307 5th Avenue, NE
Lemmon, SD 57638
(701)376-7077
jerilynn@worc.org
FOR MORE
ON MEMBERSHIP
RECRUITMENT:
Principles of Community
Organizing training sessions
are held twice a year by WORC.
Advanced Leadership and
Staff Development training
sessions are also held by WORC.
2006 Western Organization of Resource Councils
MORE HOW TO
GUIDES:
WORC has produced a series

of How Tos, practical guides
to assist members, staff, leaders
and citizens to build strong
organizations and effective
issue campaigns.
Topics are listed on our website
www.worc.org. These publications
can be downloaded from the
website as PDFs or ordered for $2
each. Contact WORC regarding
bulk orders or about training
sessions on topics in this series.
A Sample of Selections from
PROVEN RELATIONSHIP-BUILDING SKILLS FOR

BUSINESS, CAREER AND SOCIAL SUCCESS
ANDREW BASS + PAUL CLUSKER
THE MAGIC OF SMALLTALK Second Edition. Sample Selections
Copyright Andrew Bass & Paul Clusker, 2004-5

Published and promoted by Lean Marketing Press
www.leanmarketing.co.uk
This eBook may not be stored in a retrieval system,
reproduced or transmitted in part or in full without the
prior written permission of the publisher.
Although every effort is made to ensure the accuracy of
contents, the publisher/author accept no responsibility
for any errors or omissions. All rights reserved.
Contents of the full-length e-book

INTRODUCTION: SMALLTALK & RELATIONSHIP-BUILDING
.................................................................................................. 5
Is Smalltalk Important?
The competitive edge from effective business relationships
SECTION 1: HOW TO MAKE SMALLTALK.......................... 11
Once upon a time
Just Be Yourself Is That Really The Answer?
Helpful Attitudes
Blocks To Smalltalk
Before We Move On...
Youre asking the wrong person!
The Key: Being Other-Conscious
Real-Time Communication Warm Ups
What Direction Are You Going?
Q&A
Going First The Importance Of Your State
Further Conversation Tools and Tactics
The Magic Of Elizatm Never Be Stuck For Something To Say
Be Curious About How People Like To Enjoy Themselves
More On Keeping The Conversation Going
Example Scenario
SECTION 2: HOW TO WORK A ROOM ................................ 51

Why Are You There?
Meeting Someone For The First Time
Two Maps to guide you to a result
Taking It Further New Location, New Time
How To Get a Business Card or other Contact Details
When You Get a Card, follow-up quickly with an email which
adds value
Working a Room: Summary & Hints
SECTION 3: RELATIONSHIP-BUILDING SKILLS ................ 65
How To Build a Business Relationship
SECTION 4: APPLYING THE APPROACH TO BUILDING
SOCIAL RELATIONSHIPS .................................................... 69
Flirting Basics
SECTION 5: WHATS NEXT? ................................................ 72
Ultimately, Business Is Social
Live Training and Other Resources
Personal Coaching
From the Introduction

This is our starting point: we believe that
the more people you are comfortable talking to, getting on
with, making connections with, finding mutually beneficial
projects or activities with
the more rewarding your life will be.
Some of those rewards will be what an accountant friend of ours calls
intangible: friendship, warmth and camaraderie, and others will be
financial. The reasons for getting comfortable and skilled with
smalltalk and relationship building can be social, emotional,
professional and commercial.
When we put together the first edition of the Magic of Smalltalk
material, and began running seminars, we found a fairly even split
between people who wanted the intangible benefits, and those that
wanted to improve their business development skills.
Certainly, if you've ever found chatting socially difficult, whether at
parties, at receptions or 'networking' sessions, in between meetings,
when travelling with colleagues, or even in the pub, this book is going
to give you a road map to change that. It contains the essence of our
Magic of Smalltalk seminars that have taught many people to be much
more comfortable in all kind of social situations.
But equally, if you are ok chatting with people at a superficial level,

but dont find that your socialising or networking leads anywhere
rewarding, this second edition of the Magic of Smalltalk e-book will
equip you with the networking and business relationship-building
skills we teach to some of the worlds leading professional service
firms to enable their ambitious young fee-earners to win work and
build up strong client bases for the future.
Some people will want to read the book straight through, others will
find particular sections are the most relevant to their current needs.
But whichever sections you read, our hope is that you will put the
things we cover here to the test, out there, in the real world.
Is Smalltalk Important?
Some people, especially the technically-minded, take the view that
talking is purely for the transmission of data. Here are some reasons
for giving Smalltalk more priority, and to point out what you risk
missing if you dismiss it too lightly.
A lot of business gets done during Smalltalk.

What do managers really do? A lot of people have asked that
question, but joking aside, some extremely influential research by a
management scientist called Mintzberg produced an answer that
surprised a lot of people way back in the 1970s. He and his coworkers actually followed managers around all day to find out. They
thought theyd find that managers are busy running the numbers,
giving orders and going to formal meetings. To their surprise, and
contrary to popular belief, they found that general managers spend
most of their time in conversations, often on topics not directly related
to the business, but nevertheless central to maintaining networks and
relationships, and to developing goals and action plans.
Furthermore, other academics following Mintzbergs style of work
discovered that the most successful managers spend more time
socializing and interacting with outsiders than did their less successful
counterparts. .
Socialising is almost completely about Smalltalk, because

its almost completely about relationships
This may be a reason why some people find it hard. They ask
themselves What am I going to talk about? their focus is in the
7
wrong place (on the Data). This guide will show you in precise
terms where you should put your focus to have enjoyable and
successful social (and social-business) conversations.
The competitive edge from effective business

relationships
This section is particularly relevant if you are interested in business
and career success. However, if you are reading purely for social
purposes, its ok to skip to the start of the next section (How To
Make Smalltalk).
Figure 1 is taken from the work of Alan Weiss on the marketing of
consultancy services (see his book Million Dollar Consulting).
Competitive Distinctive Breakthrough
Product
(Purchased tangible)
Service
(Purchased Intangible)
Relationship
(Non-purchased
Intangible)
*
*
Figure 1. From Process Consulting, Weiss (2002).
The figure shows three kinds of business interaction, at three levels of

competitiveness. Even if you are in a service business, or are thinking
about your career, its worth considering product sales first to
understand the logic of the argument (and its easy to make the case
that packaged services are a lot like a product).
Theres a force of gravity that acts from right to left. A breakthrough
product (e.g. Sony Walkman in its time) drifts to being distinctive as
competitors appear, then to just competitive as new entrants stand on
the innovators shoulders, and ultimately, of course, to uncompetitive
(in the Walkmans case, with the arrival of the iPod).
As Alan argues, its much easier to move from left to right in
relationships than it is in products (Or services for that matter. Many
businesses faced with strong competition for their products attempt to
compensate through higher levels of service. But service
improvements are easy to claim, and are usually straightforward for
determined competitors to match).
Not only is it easier to create distinctive relationships, it also more
beneficial. Think about the great value of unique relationships
between buyers and trusted providers of good and services:
Trust is higher, so
Theres less argument about prices
Its easier to get paid more quickly
Its easier sell them other things
Its easier to use junior staff the client knows youll keep an eye
on things
Because the relationship is between two individuals,
Its hard to copy you achieve automatic uniqueness
You get early warning on upcoming work opportunities

Theres a strong barrier to competition.
10
From Section 1: How To Make Smalltalk

Youre asking the wrong person!
Ever desperately asked yourself, over and over: What am I going to
talk about with that person? What AM I going to talk about?
Guess what? Youre asking the wrong person!
Unless you are a genuine psychic mind-reader, or at least a detective
with Sherlock Holmes skills of observation, you will usually have no
idea what a good topic for a conversation with a new acquaintance is
going to be. Lets give up the frantic guesswork and do something
more reliable instead.
11
The Key: Being Other-Conscious

Many people talk about being self-conscious meeting new people.
But what does that phrase self-conscious mean? Leaving aside
obscure philosophical issues, it boils down to paying too much
attention to yourself. The solution to most communication problems
(including Smalltalk, but also selling and presenting too) is to become
other-conscious. So first lets get your attention OFF yourself, and
OUT into the world around you. Heres a story to illustrate the
principle:
A Story: How Are You Feeling Today, Grandma?

Theres a story about John Grinder, co-founder of NLP (NeuroLinguistic Programming) and a world-renowned communication
trainer that goes as follows:
Johns daughter, at the age of about 8, asked him Daddy,
what is NLP? Rather than give her a technical explanation,
John did something more practical: he gave her an experiment
to try. He said:
Go and ask Grandma (who was in the next room): Hows
your arthritis today?
Johns daughter went next door, and returned a few minutes
later.
Well, said John, Did you ask her?
Yes, replied his daughter.
What did she say? asked John.
12
She said it was good of me to ask, but that it was really

hurting.
And what did you notice: how did she sound?
She scrunched up her face and sounded like she was in pain.
Go back and ask her this, said John. Ask: Grandma, did
Daddy ever do anything really funny when he was a little
boy?
Again, Johns daughter went next door, and returned a few
minutes later, this time with a grin on her face. John grinned
in response.
Well, said John, Did you ask her?
Yes, replied his daughter.
What did she say this time? asked John.
She told me this really funny story about how silly you were
when you were little, Daddy! replied his daughter.
And how did she look and sound this time?
Oh, she was laughing and she seemed happy.
So, different from the first question?
Oh, yes, completely different.
That difference is NLP.
This story has a profound lesson for a would-be conversationalist.
By the way, notice that the first question: Hows your arthritis
today? could be thought of as polite or caring, but its results were
pain and discomfort for the grandmother.
13
The second question takes things in a new direction completely. It

directs the old ladys attention to charming memories, and cheers her
up. [Please notice: were not advocating ignoring peoples suffering
just noticing to make sure we dont magnify it].
Now, lets move on to exercises designed for you to learn what John
helped his daughter to discover.
What Direction Are You Going?

A conversation is either stalled, or going somewhere. Everything you
say affects which direction its going in and is therefore a key thing to
pay attention to.
Once you become Other-Conscious, you discover something crucial:
that there is a direction when you are in conversations. Like John
Grinders daughter, your contributions to a conversation can move it
in either a pleasant or unpleasant direction. Once you notice that, you
can begin to choose a new direction you and your conversation partner
like.
A good starting point is to consider how questions work. They dont
just request data! This is a key point: QUESTIONS DIRECT
ATTENTION - and where we put our attention influences how we
think and feel about our experiences.
You can try this out on your own. For example, next time something
doesnt go quite according to plan try asking yourself the questions
Why did I screw that up again?
14
versus
What did I do right this time?
and compare their impact. Take the time to answer and notice which
one feels better. Few people ask themselves the second question, yet
this habit speeds up learning like you wouldnt believe (we will return
to the use of self-questioning to speed up your learning at the end of
this Guide).
This goes for questions you ask other people too. Remember John
Grinders example about his daughter: How is your arthritis today,
Grandma? versus Did Daddy do anything funny when he was a little
boy, Grandma?
15
EXERCISE: Questioning with a direction in mind

This is a conversation game where the object is to get your partner to
feel as positive as possible just by asking questions with a positive
direction in mind. How do you know what direction youre going in?
By really listening and watching how A responds so remember to
tune your sense to them.
Two people: A, B. This is NOT a role-play: do it for real.
1. B asks A the routine question: What kind of week have you been
having? A answers honestly. If As answer is in the direction B
wants (positive & resourceful), B asks for more and more detail to
lead A towards a more and more positive state.
2. If the response is in a negative, flat or boring direction, B thinks
up and tries out direction-changing questions such as What would
be better? Or, How would you prefer it? Etc. Once the
direction changes, B again asks for more and more detail about the
positive state.
3. B observes carefully and notices As gestures, facial expressions
(eyes, mouth shape, blushing etc), breathing (sighs etc).
This game develops key skills for building rapport, and for helping
people feel good about themselves. Paying attention to the responses
you are evoking makes a big difference to the outcomes of
conversations, not to mention consultations, meetings, presentations
etc. Notice, too, that this is what John Grinder was showing his
daughter.
16
Tip: It often works well when looking for positive states/feelings to

ask about the best experience of something, favourite times/places etc.
Some useful states to target:
Curiosity
Enthusiasm
Learning
Motivation
Excitement
Heres an example
First, lets look at a line of questioning which is going in an unhelpful
direction
YOU: What kind of a week have you had?
THEM: Oh, its been pretty boring
YOU: How come?
THEM: Just work, you know
YOU: Oh, what do you do?
THEM: Im an X
YOU: Oh right
17
THEM: (Silence looks a bit downcast)

YOU: (Silence trying to think what to talk about now)
Comment: The mistake here was to ask them what they do after
theyve just said that they find it boring. At this point you know very
little about this person, but you can be sure that this is the last thing
they want to talk about.
Heres another way this could have played out.
YOU: What kind of a week have you had?
THEM: Oh, its been pretty boring
YOU: How come?
THEM: Just work, you know..
YOU: Yeah..(pause) so, have you got anything more interesting
coming up?
THEM: Yes, I cant wait for the weekend
YOU: Why what have you got on?
THEM: Oh, nothing in particular, just looking forward to chilling out
and seeing my mates. Might watch the Grand Prix.
18
YOU: Oh right, are you a fan then?

THEM: I am a bit, to be honest, yeah..(smiles and looks enthusiastic)
Comment: The trick here is to leave the work topic well alone.
Theyve said its boring. So look for something, ANYTHING, that
might be more interesting to them. In this case, it turns out to be the
Grand Prix. It could have been shopping, clubbing, football, stamp
collecting or parrot racing. The only thing that matters at this early
stage is that THEY respond positively to it.
In Summary
Once you start to notice how your communication is affecting the
state the other person is in, smalltalk starts to get much easier. The
trick is:
Always aim to leave people in a better state

than you found them.
19
Question and Answer Session

For the second edition we thought it would be useful to deal with
some of the questions we have had when we reach this point in the
training. Sometimes weve been challenged quite hard (my favourite
was a litigator in a leading commercial law firm who, half way
through a day, with ten other partners in the boardroom, sat back,
folded her arms and said: Do you seriously expect me to think about
all of this while Im talking to some finance director at a dinner? I
looked at her, then at Paul (who looked impassively back at me he
wasnt going to help!), then back to the lawyer. I thought about it for
a moment.
What could I say? Everyone was waiting for my response in silence.
So the question I had to ask myself was: Did I seriously expect her to
apply what we are teaching when she is in a real situation? The only
answer was yes. I took a deep breath, looked her in the eye and said
Yes, actually. Her response amazed me. She smiled, relaxed, sat
forward and said OK then. She was fully engaged in the training for
the rest of the day, and was very warm when saying goodbye!
Some of the questions below were asked of us in a challenging
manner there can be a lot of emotion around when the stakes for
getting the results seem high. We present the answers we gave, in the
hope that they clarify the material
20
Q: Do you seriously mean that the main tactic for making

conversation is asking how people's week went, and if they
sound a little down about that, to follow up with, "How
would you like it to have gone?". It doesnt seem that
magical to me.
A: Well, I agree that if that is what we were suggesting, it would seem
less than magical. But you may have missed our intention. The point
is not the words you say themselves, but the REAL-TIME
RESPONSE to them, which will be different for any person on any
given day. It's the real-time response we are drawing your attention
to.
The exercise called "Questioning with a direction in mind" is a way of
training yourself (therefore needs practice) to treat the response you
get from the other person (what you see and hear in their non-verbal
behaviour) as information about what direction to steer in next.
Our point is that EVEN as 'lame' a question as "What kind of a week
have you been having" (or any other of a load of mundane similar
questions) is a perfectly good jumping off point, as long as you pay
attention to the response, and track towards the direction of the other
person being animated and enthusiastic.
Once they're talking about what they're interested in/enthusiastic
about, you ask them more and more about it, and the smalltalk will
flow.
21
It seems too simple, I know. This is a problem for us as trainers - if

smalltalk is such a big problem for people (and it often is), they expect
the answer is going to have to be complex. All I can suggest is that
you practice the exercise as laid out in the book and test it in the real
world at least ten times.
Q: Well, ok, but I just cant see it working

A: When someone says "That would never work", our response is
always "test it". They are using *logic* (which may be based on
flawed premises, after all) and we are encouraging controlled
*experiments*.
Q: It just doesnt seem like its going to make me witty or

sophisticated
A: Wed say its a common mistake to think that smalltalk has to be
witty or sophisticated. If you listen in to other people, and think about
the way you chat to friends, the words are usually very mundane: "Oh
Yeah, that movie is really cool" etc - it ain't Shakespeare sonnets!
The key thing is the emotional tone the mood music, not the words
(I'm just talking about smalltalk. Obviously in a negotiation, say, the
words are very important - but that's another kind of communication).
22
Q: Surely what we need is not to learn how to tell if people

are interested, we need to learn how to be interesting.
Now, here we just plain disagree. This is a big misunderstanding. We
would say forget completely about trying to be interesting - as a way
of improving your smalltalk it's a dead end. Weve seen loads of
people wasting years that way. That person you're meeting
ALREADY has their interests.
Given that there are so many weird and wonderful things that humans
can get interested in, and how much tastes vary, how can you have a
good chance of having something interesting to say to everyone you
meet? The usual answer is to try and be a renaissance man or
woman. But while the would-be renaissance man is busy in their
bedroom learning to be an all round street entertainer, musician,
magician and stand-up comedian with an encyclopaedic knowledge of
arts, sciences, humanities and current affairs..the competent
smalltalker is out there asking people about THEIR interests and
noticing that the more you do this, the more people enjoy the
conversation, and the more you learn from them.
The weird things is, they then think you're interesting automatically!
23
From Section 2: How To Work a Room

Why Are You There?
I recently met a young professional at his firms conference. Over
dinner we were discussing the business development session we had
run, and he drew an analogy with the world of football. He talked
about someone considered by many to be the most skilful player in the
English game, but who never quite turned his skill into results. My
dining partner told me that since moving to his new club, this player
has started to capitalise on his skills, because the manager has made
one vital shift in his thinking: the point is not to do fancy techniques,
the point is to score goals.
Loads of people go to networking events (and social functions for that
matter) without any clear idea of why they are there. If you go to a
networking event with the intention of selling something to a complete
stranger then you are probably going to be disappointed.
And if you go to a party, and the only way youll consider it a
successful night is if you find someone to go home with you that
night, then youre not going to have as much fun, or (unless youre a
Wedding Crasher) as much romantic success, as you could.
When you go to an event, your aim is to make contact with people
with whom there is some potential, and gain agreement (and the
necessary contact details) to follow up at some mutually convenient
time.
24
In the full version of the book, this section takes you through the
process, step by step, and includes easy to use maps and instructions
to guide you through the conversation.
Heres an example:
Taking It Further New Location, New Time

Think about this statement:
If youve met someone new and youve enjoyed talking with them,
its natural to want to talk some more.
The above sentence makes the key point of this section. Especially if
youd like to pursue a friendship or romance with someone, or you
think they could be a really good business contact, its easy to rush too
quickly into asking for a further meeting, phone number, or to swap
business cards. Thats why working your way round the relevant
conversation map is a good idea.
If you push it, it will often seem unnatural and uncomfortable, and so
it wont happen, or youll get someones contact details because they
are just being polite, and youll find calls are not returned, people are
always out, in meetings etc.
We advise you to Make Haste Slowly! If you both enjoy the
conversation (which, if you use the tools weve been teaching will be
the general rule in all your conversations), it will be NATURAL AND
COMFORTABLE for both of you to decide to spend more time
together.
25
With a little experience the words will come easily (the other person
will often suggest it, too), but at first it can be useful to have a form of
words prepared.
How To Get a Business Card or other Contact

Details
Some people seem to treat the exchange of business cards as a
powerful ritual. In fact its much easier if you regard swapping the
card as a natural extension of the process of building a relationship
its just the means by which you will be able to contact each other
again later.
If youve been able to gather appropriate meaningful hot words,
youve got a way to know if you can provide value (directly or by
referral) and to demonstrate your understanding when you suggest
taking things further.
Unless youve established a good reason for needing their details
(ideally to enable you to provide some value for them), exhanging
cards can be awkward and is unlikely to lead anywhere. With such a
reason, however, getting a card becomes easy. At first, it can help to
have something pre-prepared to say. Heres a template modify it to
suit your preferences.
26
A formula: summarise & propose taking it further

If youve managed to identify something specific
So if I understand, the issue youve got is <summarise key
points arising from conversation>?
(yes).
Ok, well I think thats something we could talk about/I have
contacts who might be able to help/I have an article (book) that
could help. Ill send it you,
(thanks)
have you got a card?
(yes)
If youve not discovered a specific issue but the mood
music is good
Lets keep in touch, and maybe arrange a coffee or a chat on
the phone.
(yes)
Heres my card (they will generally give you their card in
exchange).
Follow up quickly with an email which adds

value
Within a few days (social), and on the same day or next morning
(business), drop them a quick e-mail along the following lines, and
youre up and running.
27
Dear X,
Good to meet you today/at(event).
I thought the
attached document/link/item would be of interest/I

have some contact who could be useful/I have some
ideas on (X, Y).
How about a phone chat/coffee
sometime next week?
Tuesdays are generally good
for me.
Kind Regards..
Its useful to bear the following idea in mind: the real Net Working is
what you do AFTER youve swapped cards.
28
Ultimately, Business Is Social

When we run a large event for a law firms Newly Promoted
Associates Conference, or offer an e-product on the internet, or
change our website, we do so with the help of our mates. They are
highly professional business people, and we usually pay them (or we
split revenue between us), but sometimes they do it just to help us out,
and we do the same for them.
Many of these mates were unknown to us when we escaped from
traditional employment and started our own businesses. We met them
through networking, and we both work and socialise with them.
Even people who were buyers of our in-house programmes have
become friends and, in some cases, business associates in their own
right.
And when our corporate clients invite us to dinners, we have a great
time meeting people, gaining valuable insights into their business
plans and sector trends, and enjoying their hospitality.
Although it might not be true for everyone, effective, lucrative
business can be very sociable, and can spin off a lot of purely social
benefits and friendships.
The tools and techniques in this guide are reliable and effective, and
as you put them into practice, youll find they will open up a whole
range of new opportunities for you. GOOD LUCK!
29
What else is in the full e-book?

If you have found the samples interesting, the full e-book has more
exercises, techniques and examples to help you get the most out of
your social and business relationships. Including:
More on The Importance Smalltalk
Just Be Yourself Is That Really The Answer?
Helpful Attitudes for Successful Conversation and Networking
Blocks To Smalltalk
The Fundamental Communication Skills
More on the Key Idea of Direction in Conversation

Going First The Importance Of Your Emotional State
Further Conversation Tools and Tactics
The Magic Of Elizatm Never Be Stuck For Something To Say
Exploring How People Like To Enjoy Themselves
More On Keeping The Conversation Going
Example Scenarios
Meeting Someone For The First Time
Two Maps to Guide You to a Great Result
Working a Room: Summary & Hints
How To Build a Business Relationship Step-by Step
How to Apply the Material to Social Relationships, including

Flirting Tips
30
Thats The End of Your FREE Preview...

If you like what youve just read then buy
the complete book here
BUY IT AT
www.BookShaker.com
Seminars
See the techniques and exercises demonstrated.
Hear the way ELIZA questions work naturally and effortlessly.
Feel for yourself the effect when someone uses your hot words.
Visit www.bassclusker.com, or email info@bassclusker.com.
In-house programmes
BassClusker Consulting deliver tailored Learning and Development
programmes to some of the leading professional organisations in the
UK and Europe.
Visit www.bassclusker.com, or email info@bassclusker.com for
further information, including articles and testimonials.
Personal Coaching
If you want to learn these skills really quick and you havent got time
to get a partner, or you just want to check your understanding, you can
get a consultation with the authors. We will answer your questions,
and most importantly, take you through the crucial exercises:
questioning with a direction in mind, anchoring and ELIZAtm patterns.
For more information send an email to
coaching@magicofsmalltalk.com
31
TiE Sydney
Mentoring Guide 2011

Version 2.0
TiE Global, Inc.
Table of Contents
Background ......................................................................................... 3
Document Purpose ............................................................................ 3
Contacts........................................................................................... 3
TiE Sydney Mentoring Program Principles..............................................
The Mentoring Need...........................................................................
The Art and Science of Mentoring ........................................................
Mentoring Best Practice ......................................................................
4
4
5
6
TiE Sydney Mentoring Program Framework ........................................... 7

TiE Sydney Mentoring Framework........................................................ 7
TiE Mentoring Philosophy.................................................................... 8
Mentoring Engagement Process ........................................................... 8
Mentoring Scope of Support................................................................ 9
Mentoring Methodology .....................................................................11
Support Systems ..............................................................................13
TiE Sydney Mentoring Program Mentee Application ...............................15
Mentee Application ...........................................................................15
Mentee Profile ..................................................................................16
Agreement ......................................................................................17
TIE Sydney Mentoring Guide 2011
Page 2/17
Background
Document Purpose
This document has been prepared by TiE Sydney as a guide for the design
and operation of the Mentoring Program in 2011. It draws substantially upon
the document Mentoring Best Practices Report V2 4 - TiE Global Oct 2010
with some customization to suit local needs.
Material in this document is proprietary and copyright held by TiE Global, Inc.
and TiE Sydney.
Contacts
For clarifications on this document please contact:
Dilip Rao
Director Mentoring, TiE Sydney
mentoring@sydney.tie.org
Tel: 0414 388 005
Page 3/17
TiE Sydney Mentoring Program Principles

The Mentoring Need
All entrepreneurs start with a great idea, an idea that can transform the
world. The successful entrepreneurs in TiE are testimony to this adage. What
entrepreneurs realize, sooner or later, is that great ideas by themselves are
not sufficient conditions for success. Entrepreneurs need significant learning,
support and inputs from an enabling eco-system in order to succeed.
This is the know-how and wisdom that TiE endeavours to impart through
mentoring.
Based on the available information from TiE and other sources we may
classify the entrepreneurial journey into three phases:
1. Motivation Phase
2. Startup Phase
3. Scale up Phase
1. Motivation Phase: This is the phase in which an individual with an idea
contemplates the possibility of becoming an entrepreneur and searches
for the motivational trigger to give up what he has and to pursue his
dream. In this phase he is still an aspiring entrepreneur. This phase ends
when he takes the final decision to become an entrepreneur.
2. Start up Phase: This is the phase where the entrepreneur has made a
firm commitment to pursue an idea, has given up his job, made some
form of a business plan and is either ready to get started or has already
started work. This phase ends when the entrepreneur has adequate
evidence of the viability of ideas after having pursued it for a reasonable
period and is now looking to scale up.
3. Scale up Phase: This is the stage at which the entrepreneur has a
reasonably viable business plan and an existing customer base and is
grappling with issues of scale, sustenance and so on.
Mentoring at TiE can help entrepreneurs in the Start up phase and the Scale
up phase. We believe that our monthly events to connect members and
showcase inspiring entrepreneurs are a great contribution at the Motivation
Phase.
Page 4/17
The needs of mentees would naturally be stage dependent but would

typically cover the following areas:
Validating business plans
Defining value propositions, offerings, markets and sizing opportunities
Strategies for raising funds
Inputs on company formation and structuring
Functional strategies and perspectives including technology,
marketing, finance, HR and so on
Inputs on managing Investors, Board
Managing compliance and governance requirements
Managing oneself at each of these stages in terms of mental readiness,
tenacity, skills and competence
The above list is only illustrative.
It must be clarified that it is not the role of mentors to address the needs of
funding or facilitate networking for growing the business. While these may be
inevitable elements in a mentoring relationship they would not form the
central mentoring agenda.
The Art and Science of Mentoring

Mentorship refers to a developmental relationship between a more
experienced professional and a less experienced partner referred to as a
protga person guided and protected by a more prominent person. The
mentor is someone who had been there, done that before.
Good mentors inspire their mentee to follow their own dreams.
In well-designed formal mentoring programs, there are program goals,
schedules, training (for mentors and mentees), and evaluation. The scientific
roots of mentoring can be traced back to many of the helping professions like
consulting, counseling and adult education.
The art comes from the creative abilities of the mentor and his inherent
passion to make a difference to their mentee.
There is a constant debate about whether something as personal as
mentoring should be structured and formalized or just left informal so that it
happens spontaneously and naturally.
Our belief is that while the climate in the relationship can be informal, once
contracted there must be form and structure. This is the only way a global
Page 5/17
organization can assure quality and consistency. It is possible that a formally

structured mentoring relationship may over a period of time gain elements of
informality and even an emotional connect. However, given that mentoring is
a professional practice of sorts, there must be a certain professional way of
doing it.
Mentoring Best Practice

Based on research conducted by TiE Global of several mentoring programs
worldwide, we have arrived at some best practice principles that now inform
our own program.
1. One-to-One Mentoring is considered the best form of mentoring.
2. The duration of a good mentoring relationship typically lasts for 12
months to 18 months.
3. There is a structured screening and selection process for qualifying a
mentor and assigning a mentee.
4. Mentors and mentees are matched on skill sets and needs rather than
on the basis of the industry they belong to.
5. Most good mentoring programs offer a mandatory training program for
the mentors, as they believe skills are as important as experience
itself.
6. Mentors are committed and spend anywhere between 2 3 hours a
month for mentoring an individual.
7. Benefits are measured for every mentoring relationship on varying
parameters like employee turnover, new product development and so
on.
8. Most mentoring programs have a well-defined Code of Conduct.
9. Monitoring the quality and documenting success stories seems to be
an integral part of these mentoring programs.
Page 6/17
TiE Sydney Mentoring Program Framework
TiE Sydney Mentoring Framework

Based on the work developed by TiE Global and our own local understanding
and needs, TiE Sydney has implemented the following framework for
organization and delivery of our Mentoring Program.
TiE Sydney Mentoring: Framework

TiE Mentoring
Philosophy
Mentoring
Engagement
Process
Mentoring
Methodology
Mentoring Support Systems
Knowledge
Mgmt
TiE Global
System
Mentee
Guidance
Mentoring
Guidance
Mentor
Training
Mentoring
Director
Turning Great Ideas into Great Businesses
The framework has the following key components:

The Mentoring Philosophy: The mentoring philosophy serves as the
guiding principle for TiEs mentoring programs.
Mentoring Engagement Process: The Mentoring Engagement
Process helps establish clear and comprehensive mechanisms to make
Page 7/17
the mentoring relationship a reality. It is specific and facilitates a

smooth mentor- mentee relationship.
Mentoring Methodology: The Mentoring Methodology clearly outlines
the most professional and appropriate method that a mentor can use
to achieve mentoring success.
Support Systems: Support systems refer to the six key support
mechanisms that must be put in place to make the entire program
successful.
TiE Mentoring Philosophy

TiEs Mentoring Program draws its strength from TiEs deep philosophical
orientation towards mentoring. This orientation provides the backdrop and
the umbrella which guides TiEs mentoring initiative around the world. TiEs
Mentoring Philosophy can be summarized as follows:
Mentoring is a way of giving back to the society in general and the
entrepreneurial community in particular.
By promoting entrepreneurship through mentoring, TiE sees the
possibility of a virtuous cycle.
TiE would like to adopt a mentee- centric approach wherein the needs
of the mentee form the basis of the mentoring agenda.
Given the power of mentoring and the potential range of expectations,
care must be taken by all concerned to ensure that there are no
conflicts, misplaced expectations and unintended consequences for the
mentee.
Mentoring Engagement Process

The Mentoring Engagement Process consists of the following five elements:
1. Initial Assessment this is a brief interview by the TiE Director of
Mentoring to assess the lifecycle stage and key needs of the mentee,
resulting in the selection of either an On Demand mentoring support
service or an On-going mentoring service over 12 months.
2. Assignment based on the mentees needs, an appropriate mentor is
selected by referral to the resource database. The mentor is given the
mentees profile and if acceptable, introductions are made.
3. Contract the mentee and mentor meet and if they agree to proceed
on an Ongoing Mentoring basis, a brief contract is executed so that
Page 8/17
expectations and outcomes can be clarified and agreed, with a sign off
by the Director of Mentoring. For On Demand mentoring, which might
involve brief meetings with several different mentors, no such formal
agreement is executed for practical simplicity.
4. Engagement the mentee an mentor meet and communicate as
agreed; On Demand mentoring may consist of only one or a few
sessions; Ongoing Mentoring may consist of face to face (at least
50%) and remote communications; the mentor commits to at least
one hour of time devoted to the mentee per month.
5. Feedback & Review the mentee and mentor provide informal
feedback to the Director of Mentoring throughout the engagement, but
formally at least once in six months; this is used to either continue or
discontinue the engagement; if either party is not able or unwilling to
continue, the engagement can be terminated at any time without
notice. Feedback on the mentor and mentee is recorded for future
reference and learning.
TIE Sydney Mentoring: Process

On Demand
Mentoring
Initial
Assessment
Referral to
Subject Expert
One-on-One
Ad hoc Sessions
45-min Consultation
Assess stage in cycle
Mentee prepares 1-pager
Identify key issues
Decide on best Program
Ongoing
Mentoring
Selection of
Mentor
Resource
Database
One-on-One
Monthly Sessions
TiE Workshops
6-monthly
Assessment
Referrals as
Required
Mentoring Scope of Support
Page 9/17
The primary scope of the mentoring relationship is to help the entrepreneur

succeed in his/her entrepreneurial venture. This scope is accomplished by
providing the knowledge, information, perspectives, skills and referral
support. However, it seems prudent for the mentors to not address the needs
of raising capital or purely focus on providing networking support, though
these may end up being incidental aspects of the mentoring relationship.
It is also important to clarify that the scope of the mentoring program is not
to make decisions for the mentees or assure clear success because of the
mentoring relationship.
It is useful for the mentor to also bear in mind potential conflicts of interest
in any manner that may arise in the course of the mentoring relationship.
The following diagram illustrates the scope of mentoring support by stage of
the mentee venture.
TiE Sydney Mentoring: Staged Support

Business
Planning
Raising
Money
Getting
Sales
Managing
Growth
Exit
Planning
Developing
your idea into
a viable
proposition
Assessing the
market to
determine
potential,
competitive
position
Building a
business plan
Identifying
sources of
funds
Pitching to
investors
Addressing
legal and
valuation
issues
Establishing a
commercial
entity
Developing a
sales and
marketing
strategy
Recruiting
staff and
channel
partners
Growing sales
from scratch
Managing
growing pains
with little
cash
Hiring and
performance
management
Developing
systems and
organisation
Funding
growth
Managing
shareholders
and
expectations
Identifying
options for a
trade sale,
strategic
investor or
IPO
Managing the
sale
Page 10/17
Mentoring Methodology
The Mentoring Methodology clearly outlines the most professional and
appropriate method that a mentor can use to achieve mentoring success
through a combination of the following key elements:
1.
2.
3.
4.
5.
Mentoring values
Clearly delineated mentoring steps
Some simple guidelines
Skill focus
Use of appropriate tools and techniques
1. Mentoring values - While mentors have enormous competence and

wisdom it is also useful to be aware of the following values which form
the foundation for any good helping relationship:
a. Respect: Mentors must respect the mentees and demonstrate
the respect in their interactions. Respect means that we will do
no harm, we will be committed to the engagement and show the
mentees that we have their interest in mind.
b. Empathy: Empathy is another important value that must
permeate the entire relationship. Empathy is a radical
commitment on the part of the mentors to fully understand the
mentee's feelings, points of view, contexts and realities.
c. Congruence: Mentors must demonstrate complete congruence
which implies that the way they think, feel and act must align.
d. Self-Responsibility: The mentors must adopt a style of
mentoring that is empowering and not controlling. It must
emanate from the value that mentees have the ability to take
responsibility for their lives and the mentors role is only to
direct them suitably.
e. Bias for action: Mentors need to maintain a real life focus and
pragmatic approach and ensure that they press for actions at
the right time.
Being aware of and upholding these values will make mentoring
effective.
2. Clearly delineated mentoring steps - A mentoring relationship
typically goes through the following clearly delineated stages:
a. Clarifying goals and objectives: In this stage the mentor and
mentee agree on the specific goals and outcome that they would
like to accomplish by the end of the entire mentoring
relationship or by the end of a given session.
Page 11/17
b. Understanding the present situation: The mentor needs to know

where the mentee is starting from in other words, the Current
Reality. This is a key part of a mentoring session. By seeing the
real situation and problem (rather than what was thought or
imagined to be the situation), the resolution becomes obvious
and straightforward. At this point, there should be no attempt at
resolution. If needed, the goal may be revisited.
c. Exploring alternatives: Once both are clear about the
expectations and the situation, the next step is to explore what
options are present for getting there. The mentor can help the
mentee to generate all possibilities and ensure that the right
choices are made.
d. Planning actions: At this stage, commitment to action is
secured. Specific action plans with timelines are to be set. The
mentor agrees to support the mentee on the action plan and
wraps up.
It must however be remembered that the steps must be understood
contextually. Mentors may cover all the steps in a given sessions or may
take one or more session for a single step.
3. Some simple guidelines - The following guidelines are likely to be
useful in making every mentoring session effective:
a. It is useful to schedule the session in advance.
b. The onus for scheduling the sessions is on the mentee.
c. It would be useful for the mentor to get a heads-up on the
mentees expectation from the session, where possible.
d. It is important to ask the mentee to file the session summary by
mail.
e. It would be useful to start each session by asking the mentee to
share how the past few weeks have been for him/her.
f. It would be important to review the previous sessions summary
and actions taken in each new session.
g. It would be important to close each session with some concrete
actions.
4. Use of appropriate tools and techniques - A mentor can use
contextually appropriate tools and techniques to facilitate thinking and
diagnosis, idea generation or action planning. The range of tools and
techniques are unlimited and mentors will normally be exposed to the
same in course of their training and their mentoring practices. Some of
the tools include SWOT Analysis, brainstorming, information sharing,
Page 12/17
and role-plays and so on. Where necessary, mentors may refer

mentees to other experts for specific inputs.
5. Skill focus - Mentors must master some of the basic skills of
establishing a sound helping relationship with the mentees. Some of
the skills in mentoring include active listening, appropriate responding,
concreteness, probing, self-disclosure, challenging, giving feedback
and encouragement. The focus of the one-day Mentor Training
Program would be to help mentors become familiar with the five
elements of the mentoring methodology.
Support Systems
The success of mentoring depends on the availability of a robust support
system. Following are the six key elements of support that TiE must make
available:
1. Executive Sponsorship Given that mentoring is the bedrock of TiE,
it is important that there is a Mentoring Champion who is part of the
global structure at TiE. This could either be in the form a committee or
a specific individual. The role of this person(s) is to provide the
executive sponsorship and direction and make the mentoring
framework at TiE a reality.
2. Chapter level Mentoring Coordinator Mentoring is a very process
intensive activity. Its success therefore depends on having a dedicated
person in each Chapter to champion this. This Mentoring Coordinator
may either be a full time resource hired for this purpose or may be
played by one of the Charter member depending on the need. It will
be his/her primary responsibility to make the Mentoring Engagement
Process effective and be the Chapter level Mentoring Coordinator for
the mentoring program. He/she will work closely with the Mentoring
Panel and the mentors for this purpose.
3. Training for Mentors While mentors have significant experience
and wisdom they will have varied personalities. Good intentions do not
make good mentors. More importantly, ill equipped mentors can even
cause unintended damage to the relationship. Therefore, training
mentors is mandatory. Gaining familiarity about the Mentoring
Methodology would be the focus of this training. We see training as a
combination of classroom inputs and guided practice. It is
recommended that all mentors who are interested in mentoring
undergo a one-day mentoring program. At the end of this program
they must be certified as mentors. This program can be conducted as
often as required but typically before or after the Charter member
Page 13/17
retreats to get effective participation. TiE may also partner up with

Mentoring and Coaching Organizations to authorize them to run these
programs.
4. Guide for Mentors Despite the best training intervention, mentors
are quite often at a loss when they are confronted with real time
problems. Lack of guidance for the mentors is quite often a reason for
mentors to lose confidence and give up. It is recommended that TiE
makes available a panel of guides who could be seasoned Charter
members, or experts whom the mentors can dialogue with after every
two or three mentoring sessions. It is recommended that a mentor
seek at least one hour of guidance after every six to eight hours of
mentoring. Once TiE has a large number of experienced mentors they
can actually begin to provide this guidance to the next generation of
mentors.
5. Recognition of Mentors - The success of TiEs mentoring program
depends on its ability to recognize and showcase successful mentors.
While showcasing mentoring stories are important, it is also important
to showcase successful mentors. The following three steps of
recognition are recommended:
a. Every mentor who undergoes the one-day mentoring program
would be a Certified Mentor at TiE.
b. Every mentor who has completed three successful mentoring
relationships as per the format specified (at least 24 hours of
mentoring) would be called a Mentoring Fellow at TiE.
c. A mentor who has completed five successful mentoring
relationships would be called a Mentoring Master at TiE.
Mentoring Fellows and Masters may play the role of being on the
Mentoring Panel, speaking at the interface forums, and most
importantly playing the role of Mentoring Guides for the future
mentors.
6. Action, Research and Knowledge Management - The Chapter will

capture the learnings from each mentoring relationship in the form of
case studies and stories and share it both at Chapter level and at the
global level so that TiE as an organization is made richer by these
experiences and insights.
Page 14/17
TiE Sydney Mentoring Program Mentee Application
Mentee Application
I understand that by submitting this form I am applying to join the TiE Sydney
Mentoring Program as a mentee. I confirm that I understand this is an informal
program of meetings and interactions with mentors assigned by TiE to provide
general information as a sounding board and is NOT professional business
consulting, financial or management advice based on a detailed analysis of my
personal or company needs.
I confirm that I will need to evaluate any information provided by TiE mentors
independently and will not hold TiE Sydney nor its members or mentors liable for
any consequences resulting from my actions as a result of information thus provided.
I understand that the TiE Sydney Mentoring Program may assign a suitable mentor
after an assessment of requirements provided by me, though there is no guarantee
that a mentor will be assigned or when a mentor will be assigned. After an initial
meeting, both the mentor and I can decide whether to proceed further or not, for
any reason whatsoever. If we proceed, I understand the mentor will allocate one
hour per month to meet with or otherwise communicate with me as suitable. I may
choose to consult the mentor on an ad hoc or continuing basis, but for no more than
12 months.
I will report on each session with my mentor via a form provided by TiE Sydney as a
measure of activity and feedback. At regular intervals I will participate in a formal
review by the TiE Director or Mentoring of the Program as experienced by me.
I confirm that the TiE Director of Mentoring or the TiE Sydney Board can terminate
the Mentoring Program or my participation in it at any time for any reason.
_________________________________________
Name:
Company:
Date:
Page 15/17
Mentee Profile
Item
Your Name
Name of Company
Website, if any
Telephone
Contact Address
City/State/ Postcode
Email
Stage of
Development (select
one)
Industry Sector
Nature of
Product/Service and
target client
Description
Concept/Built Product/Service/Made Sales/Scaling up
Size of Target Market

and Geography
Competitors and why
you are different
Your team members
and their
backgrounds
Top 3 Issues or
priority areas you
need help with over
the next 6 months
Your Education
Work Experience
companies/years
Work Experience
functions/years
Any other information

you believe is
relevant
Page 16/17
TiE Sydney Mentoring Program Agreement

Agreement
We are both voluntarily entering into this partnership. We wish to make this a
rewarding experience. We therefore agree that:
1. We will meet at least _______________________ every month. Meeting
times once agreed should not be cancelled unless unavoidable. At the end of
each meeting we will agree to a date for the next meeting.
2. Each meeting will last a minimum of ________________ minutes and a
maximum of ____________ minutes.
3. We agree that the role of the mentor is to provide mentoring only in his/her
areas of expertise. We agree that clear boundaries will be laid out and that
the mentor will let the mentee choose the objectives and action plans, and
not micromanage the mentee.
4. We agree that the role of the mentee is to initiate the meetings and clearly
communicate what he or she wants from the relationship. We agree that the
mentee will maintain distinct boundaries and understand what to expect from
the mentor and not expect the mentor to make decisions for the mentee.
5. We agree to keep the contents of these meetings confidential.
6. The mentor agrees to provide honest and constructive feedback to the
mentee.
7. The mentee agrees to be open to the feedback.
8. The mentor will not be liable for any business outcome directly or indirectly
arising out of the mentoring relationship.
Date:
Mentors Name:..
Signature:
Mentees Name:...
Signature:.
Page 17/17
The Entrepreneurial
Linguist:
The Art of RelationshipBuilding with Direct Clients
By Judy A. Jenner
As linguists,
we excel in our
understanding of the humanities and
have in-depth knowledge of translation, both in theory and in practical
application. However, what many of
us have not thought about too much is
how to build relationships with repeat
customers, especially direct clients. It
is quite resource-intensive to build
and nurture these relationships, but
they are worth the effort, both financially and from a professional satisfaction standpoint. This article will
address ways to build relationships
and secure repeat business with
existing direct customers.
12
What many of us have not thought about too much is

how to build relationships with repeat customers,
especially direct clients.
The Power of Relationships
While business school certainly does
not provide a road map for starting your
own small enterprise, I learned how to
develop a marketing plan and to think
very strategically about a businesss
growth. Colleagues frequently ask me
about the most important lesson I
learned in business school. For the mar-
keting side of our small businesses, I

would say that the most relevant lesson
is to know that your long-term success
largely depends on the strength of the
relationships you form with repeat
customers.
Repeat customers are the clients
every small business should strive for,
as they will eliminate costs for new
The ATA Chronicle
July 2009
customer acquisition. Building those

relationships should be an integral
part of any translation professionals
marketing strategy. If your work is of
very high quality, it will speak for
itself and you will, most likely, be recommended. However, you should
not rely solely on such endorsements
for a marketing plan. In the long run,
your marketing strategy will probably
be a combination of referrals and
actively acquiring new customers.
Adjusting Your Mindset

Stop thinking of yourself as just
a freelance linguist and start thinking
of yourself as a business (whether you
are incorporated or not). This mindset
will help you manage your activities
in a more strategic way.
You are selling your services; therefore, you are a business. Start
behaving like one! A one-person business operated out of a spare room is just
as legitimate as a Fortune 100 company.
Most of your transactions will likely be
on the so-called B2B (business-to-business) level, and you are an equal partner
in these transactions. Give yourself a
pat on the backwelcome to being an
entrepreneur! If you need any help with
incorporating (which has considerable
tax benefits) or anything else, try using
the free services offered by the Small
Business Administrations SCORE
division, where retired executives can
help you with everything from creating
a business plan to seeking loans. (See
the links provided on page 15 for more
information.)
Think of yourself as a customer.
Now that you are thinking of yourself
as a business, put yourself in the customers shoes. If you were them, what
would you want? This is an essential
question that you must ask yourself
frequently. Your goal is to make things
The ATA Chronicle
July 2009
Building relationships with repeat customers should be

an integral part of any translation professionals
marketing strategy.
easy for your customer and to build a
solid working relationship. If you do
not know what the customer wants,
ask. A Post-it on my desk reminds me
to think of myself as a customer, and
every time a potential client calls or
e-mails me for a quote, I ask myself:
If I were the person on the other side
of the transaction, what would I
want? Seeing any business transaction from your customers point of
view is a powerful tool.
Competitive Edge
It is important to find your competitive advantage. What are you really
good at? What are you better at than
your colleagues?
Tell your potential customers what
you excel at or what makes your
translation services unique and desirable. This is your competitive advantage. Many translators posting their
services on large translation websites
say fast, reliable, good. These really
are not selling points, but only the bare
minimum of what every purchaser of
translation services should expect. If
your customer sees 20 postings with
these three adjectives, how will they
choose? You guessed itprobably randomly. So what points will help you sell
your services? Examples of competitive
advantages include 24-hour service,
working as a translation and editing
team, and offering translation services
on holidays.
Learn from the pros. For example,

Targets competitive advantage is the fact
that they are hip and edgy and are good
corporate citizens, donating significant
amounts to charity each month. Another
example is the Swedish carmaker Volvo.
Volvos competitive advantage has
always been safety, and their brand has
become synonymous with high-end cars
that consistently score very high on all
consumer safety tests.
Find out how you can add value to a
customers supply chain. As a supplier, you already add value to the customers business processes by
providing linguistic services. However,
to really impress clients, think of your
value beyond mere translating.
Businesses that enjoy stellar successes
frequently do this, and you should do
the same. Spend some time thinking
about what specific additional benefits
you can offer to customers. For
example, for one of our customers, we
know that we are the last link in a long
chain of employees who work on
printed materials before they go to
press. Translation is the very last step,
and we frequently find errors in the
source text, which we gently but explicitly point out to the client. Thus, we save
them money and ensure the quality of
their source-language printed materials,
even though it is not technically our job.
Build Relationships with Customers

If you think of yourself as a
13
The Entrepreneurial Linguist: The Art of Relationship-Building with Direct Clients Continued
business, you might surely realize that
turning in a great product is not enough.
Here are some more tips on how to
enhance your clients experience.
Follow up with a customer within a
few days of turning in a project to
see if he or she has any additional
questions or if there is anything else
you can do. It is surprising how many
contractors do not follow up on their
work. Your clients will be delighted
that you checked to see if there were
any problems integrating your work
into the final product, whatever it may
be. Offer your assistance if there are
any issues.
If you know your customer is under
time pressure, you could also deliver
large projects in smaller batches,
thus making the end processing
easier on the customer. This might
not be that convenient for you,
because in latter stages of the project
and upon final revision you might
change some terminology, but think of
yourself as a customer.
Check in with your favorite clients at
the beginning of the month, asking
them about the status of their projects so you might reserve adequate
time for them. This is not only a very
proactive way to handle your business,
but it also potentially gives you more
control over your project flow.
Become a customer concierge. Keep
information about your contact persons
handy (e.g., is someone getting married
or having a baby?). Just like any good
hotel knows its customers preferences
for breakfast, pillows, and even entertainment, you need to learn enough about
your customers to show them you care
about them on a personal level. Consider
sending holiday cards, baby shower gifts,
14
Main Points to Nurturing

Client Relationships
1. You are selling your services. Therefore, you are a business. Behave like one.
2. Think of yourself as a customer. If you were a customer, what would you want?
3. Find your competitive advantage.
4. Develop good marketing materials.
5. Look at the time you invest in client acquisition as a long-term investment.
6. Go the extra mile for your clients. How can you add value to their businesses?
7. Allocate your time wisely.
or chocolates for a major holiday. We

keep notes on our customers preferences
in a simple Excel spreadsheet.
Go the extra mile. Turn in a project
early if you can. Volunteer to help
your client find services you do not
provide (other languages, specializations). Offer analysis and suggestions
upon customer request. Be generous
with your knowledge, even if you are
not getting paid for it directly.
Sometimes you have to give first.
Reap the rewards. Once you have
built those relationships, your customers will be less sensitive to price.
Customers want to receive good value
for their money, and hopefully you will
be such an integral part of their international strategy that someone who
could offer services for slightly less
will not be a feasible option for your
client. In addition, customers also go
through a cost-benefit analysis: if they
are happy with your services, it is infinitely less expensive for them to rely
on your services again instead of
searching for another vendor.
Building a Brand
You will not be able to get repeat
customers if they cannot remember
your name or are unable to find you.
Ideally, you want to be the first name
that comes to mind when decisionmakers are ready to hire a freelance
translator. You can achieve this by
building a brand and by making continuous contact. Here is your to-do list:
Create a website and use an associated e-mail address. With Google
Sites, you can build your own template-based site and host it for $10 per
year. (It may not be top-of-the-line,
but it will establish your online presence.) Choose a memorable business
name and URL address that is easy to
remember and non-generic.
The ATA Chronicle
July 2009
Stop thinking of yourself as just a freelance linguist

and start thinking of yourself as a business (whether
you are incorporated or not).
Get a logo. This does not have to be
fancy or expensiveit could just be
your initials. Have a Photoshop-savvy
friend draw it or barter for the service
with a graphic design student at the
local community college.
Put the logo everywhere. Once you
have a logo, make sure that it appears
on your business cards, letterhead,
quotes, invoices, and anything else
you send. Reinforcing it is key.
Maintain continuous and meaningful
contact with clients. This will be good
for your relationship building, and it will
also remind your customers once again
who you are (and they will see your nice
logo on your letterhead and return
address label). A quick thank-you note
(e-mail is fine) saying that you have
received payment is also a good idea.
For example, we routinely thank our
best customers for their speedy processing of our invoices.
Develop a simple public relations
campaign. Public relations is a timeconsuming project, but the more you
get your name out in the community,
the more visible you are, thus
increasing the chances of customers
either remembering who you are
(Wasnt she just in the business
weekly this morning?) or wanting to
work with you based on the positive
coverage you have received. Here are
a few more ways to get your name
out there:
The ATA Chronicle
July 2009
Pitch an article about your small

business to your local paper.
Ask your university alumni magazine to profile you.
Write letters to the editor if you read
an article about our profession and
have an insightful comment to make.
The New Networking

We have all been to many networking meetings, traditionally
hosted by chambers of commerce and
other professional organizations in the
community. While those are certainly
interesting events, they might not
always yield new and meaningful
contacts. The problem is one of
supply and demandthere are too
many sellers and not enough buyers.
You might end up with a stack of business cards from fellow professionals
who have no intention of buying your

services, as their goal was simply to
get their business card into your hand.
Consider changing the way you think
about networking.
As a small business owner, you
have to integrate your networking into
your everyday life. I simply talk about
what I do when asked at any event I
attend, and very frequently, someone
will tell me about someone who is
looking for a translator. This just happened at a baby shower last week
who knew? I did not go to the baby
shower with the intention of doing
business, but many times life and business overlap. Be ready for it! As a business owner, you are never really off the
clock.
Time is What You Make of It

As a business that is providing a
service, your only resource is your
time. Use it wisely. Be sure to think
about how and where you want to
spend it. If you do that, you are on
your way to thinking of yourself as a
business owner and maximizing your
time and your effort!
Useful Links
Google Sites
www.google.com/apps/intl/en/group/
index.html
(Includes custom e-mail, such as
office@spanishwizards.com.)
Small Business Administration

SCORE
www.score.org/index.html
VistaPrint
www.vistaprint.com
(Buy the premium business cards)
15

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AN INTRODUCTION TO

A POCKETBOOK FOR MENTORS

What is mentoring? ......................................2

20 killer questions ...................................20

What is enterprise mentoring? ........................4

Building rapport with your mentee .................22

What is enterprise mentoring not? ...................5

The 12 habits of a toxic mentor......................24

What should a mentor do? .............................6

Barriers to an effective mentor/

What is a mentor not expected to do?...............7

Challenges facing your mentee .....................27

The key skills of a mentor.............................10

Tools and techniques ..................................29

Establishing a successful relationship

Ending the mentoring relationship .................37

Useful websites .........................................38

Written by Ruth Lowbridge, Co-owner & Executive Chair, SFEDI Group

Design and layout by Julie Stanford

Small businesses are the engine of the UK

Strengthening the mentoring network

How to use this pocketbook

Small business owners value talking to

Shell LiveWIRE supports 1000s of young

This pocketbook is designed to help you to

I thought you could help

Stuart Anderson Shell LiveWIRE

Armando Pardo Association of Community Based

AN INTRODUCTION TO ENTERPRISE MENTORING

A POCKETBOOK FOR MENTORS

About SFEDI Group

AN INTRODUCTION TO ENTERPRISE MENTORING

Types of enterprise support

develop and improve their communication

AN INTRODUCTION TO ENTERPRISE MENTORING

A POCKETBOOK FOR MENTORS

him or her to explore their personal

AN INTRODUCTION TO ENTERPRISE MENTORING

What is enterprise mentoring not?

As mentor, your role is not:

The style of the process for example, how

A POCKETBOOK FOR MENTORS

to give the mentee an excuse to moan

help by sharing their own experience of

A mentor is not expected to:

provide honest and constructive feedback

provide a counselling service

be a sounding board for ideas

provide a training service

facilitate decision-making by suggesting

provide a coaching service

provide ongoing support and

sort out all the mentees problems

listen, in confidence, to the things that

provide therapeutic interventions

AN INTRODUCTION TO ENTERPRISE MENTORING

A POCKETBOOK FOR MENTORS

Mentors pull they dont push

Helping someone solve their own problems

A mentor never pushes,

Telephone mentoring is usually part of a blended mentoring approach, used

e-mentoring can be part of a blended mentoring approach or used on its own.

AN INTRODUCTION TO ENTERPRISE MENTORING

A POCKETBOOK FOR MENTORS

Mentoring & Community Building

Mentoring & Community Building