Guide to Advising Processes for Faculty and Students

Guide to Advising

Processes for Faculty

and Students

Yale

Graduate School of Arts and Sciences

Acknowledgements

his reference is the result of extensive collaborative eﬀorts and

contributions from members of the Yale Graduate School of Arts and

Sciences community, speciﬁcally the Graduate Student Assembly, the

Executive Committee, the Climate and Inclusion Committee, Deans,

Directors of Graduate Studies, and numerous other faculty.

evised June 2023

Table of Contents

A Message From The Dean 1

I. C

hoosing an Adviser: A Shared Process 2

Shared Responsibilities in Advising 2

e Director of Graduate Studies 2

lecting a Principal Faculty Adviser 3

lf-Assessment and Advising 4

Fac

ulty Adviser and Graduate Student 6

Changing Advisers: Resources and Considerations

Addressing and Resolving Problems in the Advising

Relationship 7

II.

Advising Guidelines and Responsibilities 8

Responsibilities of the Faculty Adviser 8

sponsibilities of the Graduate Student 12

sponsibilities of the Department/Program 15

III.

ost Degree Completion 16

culty Advisers 16

ster’s and PhD Degree Recipients 16

Appendix 18

A Message from the Dean

productive, healthy relationship between faculty advisers and

graduate students is critical for the completion of quality research, the

professional development of graduate students, and the overall well-

being of the university community. The nature of advising may vary

across disciplines and degrees as well as at diﬀerent stages in a degree

program. However, certain shared values, goals, and responsibilities

apply to all advising relationships. This document is intended to serve

as a guide to best practices and a starting point for shaping advising

interactions between graduate students and their faculty advisers.

We encourage faculty members to review this guide on a regular basis,

to share their successful personal advising approaches with colleagues,

and to participate in updating and reﬁning advising best practices

within their own program or department. We hope this guide will serve

as a resource for faculty advisers who are new to advising, as well as for

those who seek to improve their eﬀectiveness as advisers.

Graduate students should review this guide to understand expectations

and shared responsibilities in their advising relationships. It is also

intended to be used as a starting point to discuss these expectations

with faculty members prior to choosing a principal faculty adviser and

subsequently, as needed, throughout their time in graduate school.

Note that the suggested guidelines and resources provided in this

document are not meant to be exhaustive, nor do they replace

department- or program-speciﬁc policies or procedures. Students and

faculty advisers are encouraged regularly to consult the speciﬁc advising

guidelines developed and maintained by their own department or

program. Recognizing that advising best practices should be reviewed

regularly and evolve over time, we invite any student or faculty member

to submit additional suggestions for this central guide, which we will

review and incorporate, where appropriate, at regular intervals.

Suggestions should be submitted to: [email protected]du

I. Choosing an Adviser: A Shared Process

Shared Responsibilities in Advising

Students and their advisers share responsibility for ensuring productive

and rewarding advising relationships. Both parties have a role to play in

the success of advising. It is important to note, as well, that while

students will select a principal faculty adviser who will serve as a

primary point of contact as they navigate their degree requirements,

Yale provides an array of faculty and staﬀ who are able to mentor

graduate students in unique and personalized ways. While this guide

focuses on the academic advising relationship in the context of graduate

education, students are strongly encouraged to cultivate a network of

mentors who will support them broadly in their professional

development. The Graduate School is committed to fostering an open,

inclusive, and welcoming environment for a diverse student body.

Accordingly, we recognize that students will bring unique and diverse

experiences and professional expectations to the advising process.

While some students will seek out an adviser with whom they have a

strong aﬃnity based on shared research interests or personal

background, all faculty members can be eﬀective advisers when they

and their students mutually agree upon shared values, goals, and

responsibilities. Individuals have relative strengths in their capacity for

advising and advisers should be clear about what they can and cannot

oﬀer. Part of eﬀective advising is knowing when to refer someone to a

colleague who might be better placed to oﬀer advice and mentorship.

The Director of Graduate Studies

When students begin their graduate education, the Director of

Graduate Studies (DGS), a senior faculty member appointed by the

dean, provides general academic oversight and serves as a resource to all

graduate students in their respective department or program. The DGS

plays a central role in: (1) ensuring that departmental advising

functions smoothly and (2) advising students directly as they plan their

academic course work and program. The DGS typically maintains a role

throughout a student’s academic career at Yale, although this role will

evolve as a student advances through the program.

Selecting a Principal Faculty Adviser

Typically it is the responsibility of the graduate student, in consultation

with the DGS and faculty, to identify a principal faculty adviser, though

some graduate students will arrive with their principal faculty adviser

already identiﬁed. Principal faculty advisers for doctoral candidates

must have appointments to the Graduate School of Arts and Sciences

faculty. Traditionally the principal faculty adviser is a faculty member in

the student’s primary department or program.

As students advance through their degree program, the faculty adviser

serves primarily to help them navigate degree requirements and

support their professional development within the ﬁeld. It is important

for a student to consider their potential advisers’ research interests and

the kind of support they will need to achieve their professional goals. It

is also important for the potential adviser and the student to discuss

and determine how the adviser will support the student’s professional

development in line with the student’s professional goals, as well as

shared professional expectations about communication, submission of

work, and feedback.

The process of identifying a faculty adviser varies by discipline. The

ﬁrst step is to become familiar with the work of the faculty to gain a

sense of their past and current research interests and methodologies. As

an example, in the sciences, laboratory rotations are common. For many

other programs, it may be helpful to immerse oneself in departmental

academic and social activities to see how faculty interact with colleagues

and graduate students. Graduate students may also enroll in classes

taught by faculty whose work most interests them and attend their

public presentations. New graduate students should share their

interests and ask advanced graduate students for suggestions about

whom they should meet. They may also consult with their DGSs about

ﬁnding faculty advisers. Ultimately, they should schedule time to meet

with potential faculty advisers before making a ﬁnal decision.

Self-Assessment and Advising

Graduate students who enter their program without an identiﬁed

principal faculty adviser should begin the faculty adviser selection

process by undertaking a critical self-analysis. This process is intended

to help students to understand what they need to thrive as graduate

students before they can recognize who might best meet those needs.

They should ask themselves, and discuss with people who know them

well, questions such as:

What are my objectives in pursuing a graduate degree?

What type of training do I need to achieve my long-term

career goals?

What areas of knowledge and skills do I need and want to

develop?

Are there any aspects of my academic writing and research

skills that I need to improve?

What kinds of research or creative projects will engage me?

How much independent versus teamwork do I want to engage

in?

What is my working style?

What type of career do I want to pursue?

What are my expectations for a good advising relationship?

What kinds of support do I need from an adviser to help me

achieve my goals?

Even students who have identiﬁed an adviser before they arrive will

beneﬁt from reﬂecting upon the questions above. These questions may

help to guide the initial conversations with their principal faculty

adviser. It is also possible that a student’s interests and goals will change

a�er they enter the program, and in this case it is important to engage

in self-assessment to determine whether a change of adviser is

something to discuss with the DGS and the faculty.

Correspondingly, before an initial meeting with a graduate student

advisee, faculty may ﬁnd it useful to reﬂect on their expectations for the

advising relationship. It may be helpful for a faculty member to

consider the following questions:

What strengths do I value in advisees and how can I engage

new advisees to identify their needs and interests?

What are my expectations for communication/interaction with

my advisees? For instance, how o�en should we expect to

meet? What interactions should take place in person versus on

email? How much time should advisees allow for responses to

email requests? What is a reasonable amount of time to supply

feedback on written work, meet recommendation letter

requests, etc.?

What is my mentoring style?

Are there skills or areas that I could develop that would help

me to mentor more eﬀectively? Whom can I consult to receive

targeted feedback on my advising?

What are the key considerations for the professional

development of young scholars in the ﬁeld and how can I

assist students in navigating these considerations? More

speciﬁcally, what role can I play in helping advisees prepare for

the academic job market and/or for other possible future

career paths?

What backgrounds or identities are not well-represented in my

ﬁeld, and how can I encourage participation from a broader

group of future colleagues and researchers? What skills are

needed to support students of diverse identities and welcome

them as future colleagues?

What qualities should a successful mentor/adviser in the ﬁeld

model for students and young scholars? How can I assist

students in developing these skills and qualities?

Faculty Adviser and Graduate Student

Once the student and adviser have agreed to work together, both

parties should be transparent about their expectations concerning the

form and function of the relationship. It is important to discuss

boundaries, both personal and professional, especially regarding

communication and, where appropriate, collaboration on research and

publication. Both parties must always be respectful. Being honest and

open about expectations and ensuring that expectations align are key

factors in determining the success of an advising relationship. Regular,

transparent communication and check-ins on a mutually-agreed-upon

schedule provide a framework for the working relationship to evolve as

students advance in their degree requirements.

Graduate students should bear in mind that the principal faculty

adviser should not be their only adviser during their graduate

education. There will be numerous opportunities to build relationships

with faculty members who may serve as secondary advisers,

dissertation committee members, and/or dissertation readers. The

principal faculty adviser can provide additional support by introducing

their students to other faculty, students, alumni, staﬀ, and colleagues

who may also serve as informal advisers and mentors. As students

advance through the program, their research interests and professional

goals may also evolve and change. It is therefore essential for students

to build a network of faculty advisers and mentors who can provide a

variety of perspectives and help them navigate preparation for the next

stage in their career.

Changing Advisers: Resources and Considerations

In some cases, it may be necessary for a student to change their

principal faculty adviser. Perhaps the student’s research interests have

evolved and another faculty member would be a better match for the

student’s intended project; perhaps the general expectations of the

student and the adviser no longer align and it would be beneﬁcial for

the student to seek a diﬀerent adviser; or perhaps the principal faculty

adviser has accepted another position and will be leaving Yale.

Students considering a change in principal faculty adviser should revisit

the self-assessment process to identify the support they need from an

adviser to achieve their goals. Students can and should also consult

with their DGS, with their initial faculty adviser (if appropriate), and

with members of the faculty with whom they have developed good

working relationships. Finally, they should also revisit the program-

speciﬁc advising guidelines for their department for speciﬁc policies

and processes governing adviser selection.

Addressing and Resolving Problems in the Advising Relationship

In the event that problems arise in the advising relationship, it is best to

address them openly and promptly. In most cases, the ﬁrst step should

be for the student and the adviser to try to resolve the issue directly.

Depending on the nature of the problem, it may be necessary to seek

assistance from a neutral third party. Students and faculty should

consult their program-speciﬁc advising guidelines for information

about the lines of communication to address issues within the advising

relationship. The DGS is o�en the ﬁrst point of contact for students

and faculty. Students can consult their DGS, their department Chair,

other faculty members in their department, and/or deans in the

Graduate School for assistance with addressing issues related to

advising. Additional resources to address issues or concerns are also

listed in the Appendix below.

II. Advising Guidelines and Responsibilities

The adviser, student, and graduate program each bear responsibility for

the success of graduate training, as described below.

Responsibilities of the Faculty Adviser

To assist in the intellectual and professional development of their

graduate students by:

• helping students develop academic and professional skills

expected by the discipline;

• providing written feedback when appropriate and in a timely

fashion on students’ written work;

• establishing reasonable deadlines for completing projects

and assignments;

• establishing a shared expectation about the frequency of

meetings and the modes/methods of communication;

• facilitating students’ thesis research by guiding them to

design relevant academic or research experiences;

• encouraging and modeling dedication to high quality

teaching, research, and advising;

• encouraging collaboration that, where appropriate, entails

the sharing of authorship or rights to intellectual property

developed in research or other creative or artistic activity;

• encouraging students to be open about any problems in their

work relationships, including with an adviser, and actively

helping to resolve those problems;

• being aware of and directing students to university resources

to support them through challenges (see Appendix);

• providing reasonable leisure and vacation time in

recognition that success in academic work is contingent upon

student mental and physical health;

• meeting with students to provide timely, regular, and

constructive feedback on their progress. The frequency of

these meetings should be agreed upon between the adviser and

the student and revisited as the student progresses through the

program.

To understand the academic and non-academic policies that pertain to

graduate students, including:

• helping students understand the degree program’s

requirements and timely progress to degree requirements,

such as coursework, language acquisition, research,

examinations, and thesis or dissertation;

• discussing laboratory, studio, or department/program

authorship policies in advance of entering into collaborative

projects;

• informing students of their responsibility to comply with all

university policies, including those pertaining to: Guidance on

Authorship in Scholarly or Scientiﬁc Publications, Human

Research Protection Program, Animal Research, Academic

Integrity, and Title IX.

To prepare students to be competitive for future employment, by:

• promoting free inquiry and free exchange of ideas, while

abiding by policies on conﬁdentiality of research;

• acknowledging student contributions to research presented

at conferences, in professional publications, or in applications

for copyrights and patents;

• helping students prepare to participate in professional

meetings, perform or display their work in public settings, and

publish the results of their research;

• providing a realistic view of the job market and career

options, including what is needed to succeed in students’

career choices, or pointing students to resources that provide

that information;

• respecting students’ desired or chosen career paths, which

may or may not be within academia;

• encouraging students to acquire the professional skills

necessary for success in a rapidly changing world. This may

include referring your student to professional development

resources through the Oﬃce of Career Strategy and/or the

Graduate School (see Appendix for relevant resources).

To maintain a high level of professionalism by:

• abiding by the “Yale Teacher-Student Consensual Relations

Policy” as well as the oﬃcial “Yale Policies and Procedures”;

• abiding by the “Yale Expectations for Faculty and Teaching

Fellows” while ensuring eﬀective pedagogical development;

• excusing themselves from participating in committee or

other decisions regarding any student with whom they have a

relationship that could represent a conﬂict of interest;

• if a conﬂict should arise within the advising relationship,

attempting to resolve the conﬂict with the student in good

faith, and accepting a third-party mediator if needed;

• never impeding graduate students’ progress toward the

egree or toward employment to beneﬁt from students’

proﬁciency as teaching or research assistants;

• assigning, where appropriate, work beyond the scope of the

dissertation (e.g., event programming, mentoring of

undergraduate and graduate students, research projects not

related to dissertation work) to promote development of

important skills, while ensuring that such workloads are

manageable and do not interfere with progress on their

dissertation;

• being attentive to signs of trouble and approaching and

assisting students they feel may be experiencing some type of

diﬃculty;

• interacting with students, staﬀ, and faculty colleagues in a

rofessional manner;

• working to create and maintain a safe, respectful, and

inclusive workplace;

• being attentive to their own biases and how they may impact

the workplace;

• not asking students for inappropriate personal favors (e.g.,

walking dogs, child-minding, picking up dry cleaning, and

unpaid secretarial or editorial work).

Responsibilities of the Graduate Student

To understand faculty advisers’ central role, as well as constraints on

their time. This includes:

• recognizing that faculty advisers provide the intellectual

environment in which students learn and conduct research,

and may provide students with ﬁnancial support through

access to teaching and research resources;

• recognizing that faculty advisers are responsible for

monitoring the accuracy, validity, and integrity of the students’

academic work, and, in the case of research, ensuring that the

contributions of all participants are properly acknowledged in

publications;

• consulting with their advisers before attempting to publish

or present results of work done under the advisers’ direction

and/or in the advisers’ studio or laboratory, as the quality

reﬂects on students, faculty advisers, and Yale;

• being aware of time constraints and other demands imposed

on faculty members and staﬀ;

• understanding expectations about the frequency of

meetings;

• taking the initiative to arrange meetings or communicate via

other mechanisms with faculty advisers as o�en as needed;

• coming prepared to advising meetings;

• being proactive in communication with their adviser and

prompt in responding to their adviser;

• keeping advisers informed of any factors that might aﬀect

their academic progress, including research or time to degree;

• consulting with the advisers to resolve any problems in their

working relationships with their advisers or others, seeking

guidance from other faculty or staﬀ as needed.

o take primary responsibility for informing themselves about policies,

requirements, and practices governing their ﬁnancial support, degree

and course requirements, research activities, and conﬂict resolution.

This may involve:

• consulting their department’s program-speciﬁc advising

guidelines, the Graduate School of Arts & Sciences “Programs

and Policies” bulletin, the oﬃcial “Yale Policies & Procedures”

and the “Yale Teacher-Student Consensual Relations Policy”;

• abiding by university, Graduate School, and departmental

policies and requirements;

• seeking clariﬁcation from faculty advisers and staﬀ if they

are uncertain about the precise meaning or application of

egulation or policy.

o maintain a high level of professionalism by:

• maintaining absolute integrity in taking examinations

creating original works and, for those doing research, in

llecting, analyzing, presenting, and disseminating research

data;

• responding openly and positively to fair and constructive

feedback on work;

• giving advisers suﬃcient time to read and comment on work

in progress and due notice for requests for letters of

recommendation;

• taking special care to preserve the data collected during

experiments or noted during research (with precise

identiﬁcation of sources) to avoid future confusion or

disputes about access or ownership;

• acknowledging the contributions of faculty advisers and

other members of the research team in all publications and

conference presentations, and acknowledging sources of

ﬁnancial support;

• maintaining the conﬁdentiality of faculty advisers’

professional activities, including research, creation of original

works and other creative endeavors, in accordance with

existing practices and policies of the discipline; and discussing

disciplinary norms around these issues with their adviser if

these practices are not familiar;

• informing faculty advisers of conﬂicts and working towards

a clear resolution;

• seeking the advice and approval of the principal faculty

adviser, when appropriate, before taking on work beyond the

scope of the dissertation (e.g., department event planning,

peer tutoring, serving as a graduate student fellow for the

McDougal Center, the Oﬃce of Career Strategy, or the Oﬃce

for Graduate Student Development and Diversity) as this may

slow progress on the dissertation work;

• interacting with students, staﬀ, and faculty in a professional

manner to create a safe, inclusive, welcoming, and respectful

workplace;

• being attentive to their own biases and how they may impact

the workplace;

• seeking assistance if or when problems arise.

Responsibilities of the Department/Program

To provide the tools, resources, and environment that foster healthy

advising relationships by:

• creating an intellectual community where students, faculty

and

staﬀ of all identities and backgrounds can thrive in pursuit

of academic excellence;

• creating and maintaining an environment where faculty,

tudents, and staﬀ of all identities and backgrounds feel

welcomed, supported, included, respected, valued, and safe;

• introducing new graduate students to the policies, practices,

and

resources of the department and the university through

rientation or advising session and following up as needed to

ensure students’ understanding;

• providing students with documentation of departmental

policies, degree requirements, and timelines;

• designating one or more members of the faculty as resources

to help graduate students and faculty resolve conﬂicts (such as

the department Chair, the DGS, or a designated departmental

resource person), and making sure that these roles are clearly

articulated in the departmental advising guidelines;

• resolving problems locally and quickly if possible; consulting

with organizations listed among the additional resources in th

Appendix of this guide as needed;

• providing guidance to students and faculty as needed (for

example, if a principal faculty adviser leaves Yale, if the

principal faculty adviser and student have irreconcilable

conﬂicts, if a student wishes to change principal faculty

adviser, etc.).

III. Post Degree Completion

Yale takes pride in contributing to the development of its scholars. In

this spirit, we hope advising relationships and former students’

professional involvement with Yale continue beyond the completion of

the degree requirements.

aculty Advisers

Faculty advisers’ continuing role should be discussed with the student

just before the student oﬃcially graduates. Faculty advisers are

encouraged to continue to provide the following types of support:

• advice on publishing research;

• advice about professional and career matters;

• assistance in creating and sustaining professional networks;

• writing references in a timely manner.

aster’s and PhD Degree Recipients

Former graduate students are encouraged to maintain ties with Yale by:

• completing post-graduation Yale surveys;

• providing the Association of Yale Alumni with updated

contact and career information;

• serving on the Association of Yale Alumni Board;

• helping to recruit prospective graduate students;

• serving as a mentor for current graduate students;

• periodically conducting workshops and seminars related to

career development or research.

This guide was adapted from numerous resources on advising

including:

dvising & Mentoring. Stanford University Oﬃce of the Vice Provost for

Graduate Education,

vpge.stanford.edu/academic-g

uidance/advising-

mentoring.

ultivating a Culture of Mentoring. Duke University, The Graduate

School,

gradschool.duke.edu/professional-d

evelopment/cultivating-

culture-mentoring.

“

Guidance on Appropriate Forms of Supervision of Research Degree

Students.” University College London (September 2016),

http://www.ucl.ac.uk/srs/academic-m

anual/research-

degrees/supervisor- guidance/forms#top.

ow to Get the Mentoring You Want: A Guide for Graduate Students.

Rackham Graduate School, University of Michigan (2011),

http://www.rackham.umich.edu/publications/

ow to Mentor Graduate Students: A Guide for Faculty. Rackham

Graduate School, University of Michigan (2015),

http://www.rackham.umich.edu/publications/.

est Practices in Graduate Student Advising. MIT Graduate Student

Council & The Oﬃce of the Dean for Graduate Education (2015),

http://gsc.mit.edu/wp-

content/uploads/2015/06/CommonValues_

Brochure_Rev5.pdf.

APPENDIX

dditional Campus Resources

Faculty members and students are encouraged to seek assistance in

improving their advising relationships and resolving any issues through

a variety of Yale’s resources and oﬃces. These include but are not

limited to:

Graduate School of Arts & Sciences Dean’s Oﬃce

1 Hillhouse Avenue; (203) 432-2733

gsas.yale.edu

Oﬃce for Graduate Student Development & Diversity

1 Hillhouse Avenue; (203) 436-1301

gsas.yale.edu/diversity/oﬃce-

graduate-student-development-

diversity-ogsdd

Mental Health & Counseling

55 Lock Street, 3rd Floor; 203-432-0290

yalehealth.yale.edu/mentalhealth

Oﬃce of Career Strategy

55 Whitney Avenue, 3rd Floor; (203) 432-0800

ocs.yale.edu

Oﬃce of Institutional Equity and Accessibility

221 Whitney Avenue; (203) 432-0849

equalopportunity.yale.edu

Poorvu Center for Teaching and Learning

301 York Street; (203) 432-4765

poorvucenter.yale.edu

Resources to Address Discrimination and Harassment

Concerns

student-dhr.yale.edu

Sexual Harassment and Assault Response & Education (SHARE)

55 Lock Street, Lower Level; (203) 432-2000

sharecenter.yale.edu

Student Accessibility Services

35 Broadway (courtyard entrance), Room 222; (203)432-0825

sas.yale.edu

Title IX Oﬃce

William H. Harkness Hall, 3rd Floor; (203)432-6854

titleix.yale.edu

University Chaplain’s Oﬃce

Old Campus, Bingham Hall, Entryway D, Lower Level; (203)432-

1128

chaplain.yale.edu

University-Wide Committee on Sexual Misconduct

55 Whitney Avenue; (203) 432-4449

uwc.yale.edu

Yale

Graduate School of Arts and Sciences

Warner House, 1 Hillhouse Avenue, New Haven, CT 06511

[email protected]