REG 05.20.27 – Statements of Mutual Expectations

Authority: Executive Vice Chancellor and Provost

History: First Issued: Fall 1994.  Last Revised: December 12, 2013.

Related Policies:
NCSU POL05.20.01 – Appointment, Reappointment, Promotion and Permanent Tenure 

Additional References:
Collection of Optional and Required Formats for Presenting Sections of the Dossier  

Contact Info: Vice Provost for Faculty Affairs (919-513-7741)

  1. Development of the Statement of Mutual Expectations

The Statement of Mutual Expectation (SME) is a written description of the mix of the individual faculty member’s realms of responsibility and the mutually-agreed-upon expectations from both the faculty member and the department during the faculty member’s appointment.  Every faculty member must have an SME, which is to be prepared in consultation with their department head.  Every faculty member is to maintain this document throughout their course of service to the university.  The signed and dated SME in the faculty member’s personnel file must be scanned and included in the RPT dossier.

The SME is to be prepared during the initial year (within 12 months) of appointment as a member of the faculty.  Failure to develop or agree to changes in a SME must be brought to the attention of the dean by the department head.  Consultation should then occur between the faculty member, the department head and the dean to resolve the matters at issue.  The SME is to be memorialized as a dated document signed by the faculty member, department head and, at the discretion of the college, the dean and placed in the faculty member’s personnel file.

The SME is to be reviewed periodically and changes instituted as necessary, especially when significant changes occur in expectations associated with the faculty member’s appointment or in the professional life of the faculty member.  Recommended times for review of the SME are after promotion with tenure, promotion in rank, and during post-tenure review.  Reviews of SMEs may also be appropriate when there are changes in department leadership, to ensure that the new department head or chair is familiar with faculty members’ current responsibilities and expectations as defined in the SME. Such reviews may also include review by the members of the Department Voting Faculty as documented in the department’s review procedures.   All substantive changes in the realms of responsibility are to be documented in the SME, including when the changes occurred and why such changes were deemed necessary.

Together with the annual faculty activity report, the SME provides the principal basis for annual evaluation of the performance of the faculty member and post-tenure reviews.  For reappointment, promotion and conferral of tenure, the responsibilities described in the SME will be evaluated  in light of the standards defined in the University’s Academic Tenure Policy ( NCSU POL05.20.01 – Appointment, Reappointment, Promotion and Permanent Tenure), the Reappointment, Promotion and Tenure (RPT) rules of the department(s) and college(s) in which the faculty member is appointed and active, and the faculty member’s performance in all areas of responsibility.  Fulfilling the responsibilities defined in the SME is necessary but not alone sufficient for reappointment, promotion and conferral of tenure; the RPT dossier must include evidence of the faculty member’s level of achievement in each area.

  1. Contents of the Statement of Mutual Expectations

The faculty member and department head are encouraged to consider the following in development of the SME:

2.1.     Initially the SME should reflect the responsibilities and expectations of both the faculty member and the department agreed to in the letter of offer.

2.2.     The faculty member should have adequate flexibility and intellectual freedom to pursue promising leads and special opportunities for creative scholarship in all of his or her mutually agreed-upon realms of responsibility.

2.3.     A close and well-recognized linkage should exist between each individual faculty member’s SME and the mission and goals developed by that faculty member’s department(s), college(s) and university.

2.4.     A faculty member’s SME must include a brief description of the following items as appropriate and consistent with the Academic Tenure Policy and college and departmental reappointment, promotion and tenure standards and procedures rules.

2.4.1.      List of appropriate mix of realms of responsibility agreed to by the faculty member, the department head representing the department and others as appropriate to the appointment, and the dean of the college, including approximate percentage distribution of effort expected in those realms listed.

2.4.2.       Teaching responsibilities, including whether teaching will include undergraduate and/or graduate courses or areas of instruction, undergraduate advising, graduate advising as major professor or committee member, distance learning responsibilities, etc.

2.4.3.      Scholarship area(s) to be pursued by the faculty member, including names of departmental or college research centers or consortia, any multidisciplinary, multi-university, or other commitments expected.

2.4.4.       Creative artistry and literature expectations, e.g., as expressed in literary, performing, fine, and applied arts.

2.4.5.      Technological and managerial innovation expected, including description of technology transfer expectations, e.g., invention disclosures, copyrights, patents, designs, organizational processes, and constituency to be served.

2.4.6.       Extension and engagement responsibilities, including description of constituencies inside and outside the university to be served and areas of competence to be covered.

2.4.7.        Service responsibilities, including committees on which the faculty member is expected to serve within the department, college, university and professional society service roles.  Description of administrative duties, e.g., Undergraduate Coordinator, Director of Graduate Programs, Center or Program Director.

2.4.8.      Reference to the performance standards for reappointment, promotion and tenure documented in the departmental and college rules.

2.4.9.      Summary of substantive changes in the realms of responsibility.