Graduate Student Advising and Mentoring Policy

Body

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DOCUMENT TYPE:

Policy

PURPOSE:

To define the shared and individual expectations and responsibilities for graduate student advising and mentoring across the various offices involved in graduate training.

APPLIES TO:

Graduate students enrolled part-or full-time in graduate degree-granting programs, academic units, and KU faculty appointed to the graduate faculty.

CAMPUS:

Lawrence, Edwards

POLICY STATEMENT:

The Graduate Student Advising and Mentoring Policy is based on the premise that graduate student advising and mentoring relationships are foundational to students’ development as researchers, scholars, and/or professionals/creative practitioners. It is also a shared endeavor between the student and the University. The purpose of this policy is to outline the expectations, roles, and responsibilities of the student, the Office of Graduate Studies, the student's school/College, and the student's individual academic unit(s) (herein defined as department[s] or, in schools without departments, the degree-granting body) in advising and mentoring graduate students from admission through program completion.

As defined below, "advising" ensures fulfillment of and compliance with University policies and program requirements, and may be provided by professional academic advisors, college or school staff, and/or faculty advisors/mentors. “Mentorship” generally focuses on advancing the student’s career/scholarship through engagement that facilitates sharing guidance, experience, and expertise, and is provided by an academic specialist in the field, generally a faculty member (also referred to herein as a “faculty advisor”). This policy is written to allow flexibility in advising models, while ensuring that academic units bear the responsibility of clarifying to students the specific individuals responsible for advising and mentoring duties.

Rights and Responsibilities

Shared Rights:

Pursuant to the Code of Student Rights and Responsibilities and the Faculty Code of Rights, Responsibilities, and Conduct, the following are shared rights that serve as foundations for graduate student mentoring and advising:

The right to be free from harassment or discrimination, as outlined in University policies:
The right to a safe environment where students are supported in the pursuit of their educational goals and faculty their rights to academic freedom.
The right to an open and inclusive learning and working environment that nurtures the growth and development of all.
The right to due process and impartial application of school/College, academic unit, program, and University policies.

Shared Responsibilities of Faculty, Staff, and Students:

Treat University community members (advisors, mentors, students, staff, colleagues) with respect.
Hold oneself and others accountable to upholding the University’s core institutional values and commitment to integrity and ethical conduct.
Know and abide by federal and state laws and regulations, as well as following policies set by the Kansas Board of Regents and the University.
Know and adhere to all published rules, regulations, and policies including University, school/College, and academic unit rules, procedures, and policies applicable to teaching, graduate study, research, and creative activities, including those outlined in FERPA, the Student Code, the Faculty Code of Rights, Responsibilities, and Conduct, and Research Skills and Responsible Conduct, and ensuring that they are followed at all levels of the University.

While the primary locus of graduate mentoring and advising may be between a student and their primary faculty advisor, effective advising and mentoring of graduate students is a shared responsibility of the Office of Graduate Studies, the schools/College, academic units, programs, faculty advisors, professional academic advisors, graduate support and coaching staff, and the students.

The actualization of these shared rights and responsibilities is only achievable if all members of the University community seek to uphold the values of integrity, respect, innovation, service, and excellence.

Responsibilities of the Office of the Provost:

Approve new graduate programs in accordance with the Approval of Academic Programs and Academic Units and the Faculty Responsibility for Establishment of Curricula, Academic Standards, and Degree Requirements policy.
Ensure that graduate programs complete regular academic program review and continuous quality improvement in accordance with the Academic Program Review policy.
Monitor and set broad guidelines for graduate program enrollments.
Enforce policies governing faculty, staff, and students such that individuals can be held accountable for unacceptable behaviors that infringe on the rights of others, including the rights of the University.
Communicate the value of graduate education to the mission of the University.
Support University offices that contribute to graduate student education and well-being.
Define and support advising models for a range of program types.
Provide graduate student mentoring training for tenured and tenure-track faculty and career/specialty faculty with graduate faculty chairing privileges.

Responsibilities of the Office of Graduate Studies:

Ensure that graduate policies, rules, and procedures that support graduate education, mentoring, and advising are publicly accessible and regularly updated.
Regularly assess graduate mentoring, advising, and related graduate experiences via campus-wide surveys.
Recognize and reward excellence in graduate mentoring.
Recognize and reward outstanding graduate staff support.
Provide resources, guidance, and training opportunities to support graduate faculty in building effective mentoring skills, abilities, and networks.
Provide resources, guidance, and training opportunities to support graduate students in developing professional skills, abilities, and networks.
Provide basic orientation materials to all incoming graduate students and serve as a resource for guidance to other student-serving schools, academic units, and programs who develop additional orientation materials and events for graduate students.
Collaborate with Graduate Admissions to connect prospective students with program information during the inquiry process.

Responsibilities of Academic Units:

Clarify in writing to students the specific roles of unit/program staff/faculty and professional advising staff with regard to graduate advising.
Ensure that all incoming graduate students have an assigned advisor (i.e., either a professional staff advisor or a faculty advisor) designated prior to the students’ first semester to assist with the planning of a program of study and ensuring that students are meeting degree requirements.
Provide clear guidance and policies on the timing and process for students, advisors, or the department to change faculty advisor assignments (e.g., thesis or dissertation advisor) as appropriate to the degree program following the guidelines and requirements outlined in school/College-level policy
Create and maintain graduate handbooks and graduate program materials that include transparent policies that are consistent with University policies and ensure these policies are kept up to date and accessible to all graduate students. Handbooks or program materials should also include information on basic expectations and practices between faculty advisors and students including minimum frequency of meetings, guidelines on the timing of feedback on student work completed outside of coursework, and student responsibilities of attending meetings, departmental trainings, and other requirements relevant to the unit.
Ensure that degree requirements are made clear and accessible to faculty, staff, and students to support timely progress towards degree. This includes information on course requirements, milestone exams, creative works, committee compositions, and other information relevant to degree progression and completion.
Ensure that required courses and examinations are scheduled in a timely manner to enable students to make timely progress in their programs.
Ensure that regular progress checks are provided to students either in the form of regular advising meetings, annual written evaluations, or other means as appropriate to the program and document them appropriately. The frequency of regular checks and meetings are defined by the unit.
For doctoral programs: ensure that expectations for the fulfillment of Research Skills and Responsible Scholarship requirements are clearly outlined and accessible to applicable students and that students are advised appropriately in order to meet these requirements before proceeding to comprehensive exams.
Identify an individual(s) with a faculty appointment (e.g., graduate program coordinator, director of graduate studies) who is/are administratively responsible for the graduate program. This responsibility may be given to an associate dean, a chair, a director of graduate studies, or another member of the faculty, or multiple members of the faculty within an academic unit. Although the unit is responsible for articulating the specific responsibilities of its faculty, specific minimum responsibilities pertaining to the graduate program are noted below.

Responsibilities of Director of Graduate Studies and/or Director/Coordinator of Graduate Program within Academic Units:

Note: The responsibilities of the Director of Graduate Studies and/or director/coordinator outlined in this policy may be divided among other faculty and staff members as long as all of these responsibilities are being met. If there are responsibilities being met by other faculty or staff members, the department or academic unit must clarify who is fulfilling that role(s) and are expected to list that individual(s) and their responsibilities in their graduate student handbook.

The role of director/coordinator of graduate studies is highly variable across schools/College and academic units/programs. As noted above, the responsibility of identifying a faculty member(s) to support these functions (and the specific duties associated with that role) rests with the academic unit. At a minimum, the individual(s) identified to serve in this role has/have the following responsibilities:
- Orienting new students to the academic unit/program
- Ensuring students are receiving timely and frequent advising and guidance on meeting program requirements as outlined by the academic unit in the graduate handbook and program materials
- Assisting with the resolution of conflicts between students and faculty related to academic issues
- Serving as the point of contact for concerns about communications received from the University, Office of Graduate Studies, and their school/College related to graduate student policies and translating policy updates and information to graduate students, faculty, and staff in the academic unit
- Set expectations in graduate handbooks and graduate program materials that outline the minimum frequency of meetings that a unit determines meets appropriate disciplinary standards
- Assign a temporary faculty advisor in the event that the primary faculty advisor will be unavailable for an extended period of time and is unable to identify a temporary advisor themselves

Responsibilities For Faculty Advisors of Theses, Dissertations, and/or Other Culminating Efforts:

Inform students of policies on the requirements of their graduate program (e.g., required coursework, milestone exams, expected research or creative activities and products), and assist students in planning of program of study to meet degree requirements in a timely manner.
Support the academic development of students by participating in regular and frequent meetings (as defined by the unit) with their advisees to discuss academic progress, professional development, progress on research and creative works, and/or progress as appropriate to the degree program in accordance with academic unit expectations set forth in graduate handbooks and graduate program materials.
Identify a co-advisor or temporary faculty advisor should the primary faculty advisor be unavailable for an extended period of time (sabbatical, leave, etc.) and notify the academic unit and students of who is fulfilling this role in a timely manner prior to the leave taking place. If the primary faculty advisor is unable to identify a temporary advisor, this responsibility falls to academic unit/program leadership.
Provide regular and timely feedback as determined by the academic unit and clearly outlined in the graduate handbook or graduate program materials and assessment on academic work and student progress (e.g., feedback on research and creative activities, coursework, teaching) enabling students to maintain timely progress towards degree completion.
Communicate respectfully and constructively, including if there are concerns that the student is not meeting expectations or is not making satisfactory progress. This includes efforts to provide specific suggestions for improvement and documenting those communications appropriately.
Support the professional and career development of advisees including discussing appropriate job and career options, sharing career exploration and preparation resources provided by the University, professional organizations, and other applicable sources, and assisting with the preparation of application materials for fellowship, scholarship, and other relevant opportunities that may require support of a faculty advisor.
Assist students in navigating disagreements that may arise between members of guidance committees (e.g., thesis, dissertation, or related committees evaluating an advisee’s work).
Refer students to tuition and/or fee-based University resources when the student references needs that are beyond the scope of responsibility of the faculty advisor (e.g., Watkins Health Center for medical needs, Counseling and Psychological Services for mental health needs, Legal Services for Students for legal needs, Student Access Center for disability accommodations, Career Services, etc.)
Comply with appropriate codes of conduct (i.e., Faculty Code of Rights, Responsibilities, and Conduct).

Collective Responsibilities of the Faculty Advisor and Guidance Committee:

Note: Guidance committees include thesis and dissertation committees as well as committees that are developed by programs and academic units to guide students on culminating efforts that take place outside of required coursework.

Provide regular and timely feedback as determined by the academic unit and clearly outlined in the graduate handbook/graduate program materials and guidance concerning progress towards the degree.
Administer exams in accordance with all applicable policies and procedures and in a fair and professional manner.
Review and provide feedback on proposals, theses, portfolios, dissertations, creative works, and final projects in a timely and constructive manner, as outlined in the graduate handbook or graduate program materials.

Responsibilities of Graduate Students:

Be familiar and comply with all University, school/College, academic unit, and program-specific policies and requirements for graduate students for degree completion and strive to meet all milestones and requirements within the expected timeframe.
Comply with applicable codes of conduct (e.g., Code of Student Rights and Responsibilities, Research Skills and Responsible Conduct).
Complete all required University trainings and any discipline-specific training necessary to engage in research, scholarly, and professional activities.
Meet with academic or faculty advisor(s) regularly and provide updates on degree progress and any challenges encountered in coursework, research, and academic, creative, or professional activities. These meetings should be utilized to formulate ideas, address challenges, and outline expectations for work and timelines. Frequency and modality should be developed in an agreement between the student and advisor and follow the guidelines set by the academic unit in the graduate handbook or graduate program materials.
Communicate with their academic or faculty advisor(s) when they are encountering events, conditions, or situations where they may be unavailable for an extended period of time or that may impact their degree progress.
Familiarize themselves with University offices, centers, and tuition and/or fee-based resources and services that can offer support in academic, career, personal, and professional development. A list of these resources can be found on the Academic Success Student Resources website.
Be open to constructive criticism by their advisor(s), other mentors, and members of guidance committees and seek to gain additional guidance if information is unclear.

CONSEQUENCES:

Advisors and programs that do not comply with this policy are subject to the established grievance, disciplinary, and appeal procedures of their academic unit.

CONTACT:

Office of Graduate Studies
(785) 864-8040
graduate@ku.edu

APPROVED BY:

Provost and Executive Vice Chancellor

APPROVAL DATE:

2025-07-01

EFFECTIVE DATE:

2025-07-01

REVIEW CYCLE:

Annual (As Needed)

RELATED RESOURCES:

Academic Success Student Resources

DEFINITIONS:

Academic Unit: department or, when a school does not have departments, the degree-granting body.

Advising: generally includes guiding academic progress and the fulfillment of and compliance with University policies, and may be performed by professional academic advisors and/or faculty.

Mentoring: is generally centered on a commitment to advancing the student’s career/scholarship through an engagement that facilitates sharing guidance, experience, and expertise, and is typically performed by faculty.

CHANGE HISTORY:

07/01/2025: Policy published in the Policy Library.