Employee Relations

ER Guidance

The Employee Relations Guide contains information for HR staff and managers.

For employee information on employee relations, please refer to the Employee Relations webpage.

Contact Employee Relations at emprel@vcu.edu with questions or concerns.

ER Intake Process (for HRPs)

The following instructions are to assist HR Professionals in completing the ER Intake Form. This form is to be completed whenever an employee relations incident needs to be documented or if assistance from the employee relations team is needed. All information must be accurate and complete to avoid delays in resolution of the issue/concern.

Term	Definition
Active Employee Cases	Employees who are currently employed with VCU. Non Active employee cases that have a case with a status of “Submitted”, “In-Progress”, or “On Hold” - not moved to “Resolved”
Non Active Employee Cases	Employees who are no longer employed with VCU and have a “Resolved” case status
Case Status	Submitted - Case is received but has not been reviewed by an ER Consultant In-Progress - Case is being actively managed by the HR Consultant & HRP On Hold - Case is temporarily suspended to be resumed at a later date Resolved - Case has reached a conclusion
Incident Date	Select the date the incident occurred or the begin date the incident was first reported to the best of your knowledge
Evidence Folder	The evidence folder is a google folder created by Employee Relations and shared with the manager and HRP. This workspace is where the manager’s timeline and supporting documentation is collected and where ER will draft documents for the HRP/manager’s review
Assigned To	Name of the ER Consultant who is your point of contact and assigned to that case
Description	Information you enter to “Briefly Explain the Incident” portion of the Jotform
Action Requested	Action HRP and the manager are requesting to be taken on the jotform submission. The action requested must align with the policy guidance in the Employee Relations Guide
Action Taken	Primary action taken after consulting with the ER team
Accompanying Action	Additional action that results from the action taken, i.e., improvement plan, imposed probation
Incident Result	If the ER action results in the employee’s separation, circumstances are recorded

Access the Intake Form
1. Navigate to the Employee Relations Intake Form (hosted in JotForm).

Enter Employee Information
1. The HRP’s VCU email address will auto-populate in the Submitting HRP Email field.
2. Type the employee’s V-number
  1. The V-number must begin with a capital “V”.
3. Press Enter.

Upon entering the V-number, the following fields will automatically populate:
1. Employee (Name and Email)
2. MBU (Name and Org Code)
3. Job (Department and Family)
4. Employee Class
5. Reports To (Name and Email)
6. Hire Date (State and VCU)

Enter Incident Date
1. Select the date on which the incident occurred (or the begin date of the first incident being reported) to the best of your knowledge.

Select Incident Code
1. Choose one of the following incident codes that most closely aligns with the situation to support accurate classification and reporting.
2. If the incident does not fit any listed category, select: “99 - Other” and provide an explanation

Code	Definition
0 - VCU Code Of Conduct Violation	Violation of specific VCU policies or VCU’s ethical standards
1 - Attendance/Excessive Tardiness	Repeated failure to report to work at the scheduled time or poor overall attendance
2 - Leaving Work Without Permission	Departing the workstation or assigned work area during work hours without prior supervisor approval
3 - Failure To Report Without Notice	Not showing up for work and failing to notify a supervisor according to department procedures
4 - 3 Days Absent Without Authorization	An unexplained absence of three consecutive days or more that is an unauthorized absence
11 - Unsatisfactory Performance	Failure to meet the established performance expectations for the position
12 - Uniform Violation/Personal Grooming	Failure to adhere to established dress codes or grooming standards
13 - Failure To Follow Instructions Or Policy	Refusal or failure to comply with a supervisor's specific instructions or written university or state policies
14 - Safety Rule Violation	Violating health or safety rules
15 - Performance Review Appeal	Formal process for an employee to contest the results of their performance evaluation
16 - Reported Concern	Formal report of suspected misconduct or a workplace issue that requires investigation by a university office
17 - Extended Leave of Absence	Requests or issues related to short and long term leave, i.e., FMLA, STD, LTD, ADA
18 - Delayed License/Certification	Failure to obtain, maintain or renew a professional license required for the position
31 - Violation of Alcohol & Other Drugs Policy	Possession, use, or distribution of illegal drugs or alcohol in the workplace
33 - Violation of Equal Employment Opportunity Policy	Acts of discrimination or failure to follow the Equal Employment Opportunity (EEO) policy
35 - Abuse Of State Time	Using work hours for personal activities or otherwise wasting state funded time
36 - Obscene Or Abusive Language	Using disrespectful, obscene, or offensive language in the workplace
37 - Disruptive Behavior	Actions that interfere with the orderly execution business operations or the performance of other employees' duties
38 - Conviction Of Moving Traffic Violation While Operating A State Vehicle	Receiving a conviction for a minor traffic offense while using a state-owned or leased vehicle
39 - Violation of Civility In The Workplace Policy	Behaviors that are determined to meet the definition of bullying or harassment that undermine team cohesion
51 - Unauthorized Use Of State Property Records	Using state equipment (like vehicles or computers) or records for personal gain or without permission
52 - Computer/Internet Misuse	Inappropriate use of university computing resources, such as accessing prohibited sites or interfering with the network
53 - Failure To Report Misdemeanor	Failing to notify the university of a misdemeanor charge or conviction as required by policy
54 - HIPAA Violation	Unauthorized use or disclosure of Protected Health Information (PHI)
55 - Fraternization With Patient / Inmate / Client	Any physical or verbal abuse or neglect of individuals under the care of the state or university
56 - Insubordination	Willful refusal to obey a supervisor's direct and reasonable order
57 - Refusal To Work Overtime As Required	Declining to work mandatory overtime shifts
71 - Sleeping During Work Hours	Asleep while on duty
72 - Theft	Unauthorized taking of property belonging to the state, VCU or individuals
73 - Threats Or Coercion	Using verbal or physical threats to intimidate or force another person's actions
74 - Falsifying Records	Intentionally altering or providing false information on official state records, i.e., timesheets or travel vouchers
75 - Gambling	Violating laws, including gambling laws, can lead to disciplinary action, including termination
76 - Criminal Conviction	A conviction for a crime that impacts the employee's ability to perform their job or the university's reputation
77 - Damaging State Property Or Records	Willfully or recklessly causing damage to any property, equipment, or official records owned by the state or university
78 - Interference With State Operations	Intentionally or significantly obstructs university’s ability to perform its mission, provide services, or maintain orderly business operations
79 - Unlawful Weapons Possession	Carrying a weapon on state property in violation of law or university policy
81 - Patient / Inmate / Client Abuse	Any physical or verbal abuse or neglect of individuals under the care of the state or university
99 - Other	Any other issue, not specifically listed, that requires partnership with Employee Relations

Provide Incident Explanation
1. If selecting “99 - Other”, a detailed explanation of the incident is required.
2. For all other incident codes, a brief explanation may be entered if additional context is helpful.
3. There is no character limit for this field.

Select Requested Action
1. Choose the appropriate requested action from the dropdown menu.
2. Additional Fields:
  1. A definition field will appear to clarify the selected requested action. Please see the requested actions definitions below.
  2. If a different action is selected, the definition will update accordingly.
  3. The field “Your ER Case Consultant is” will auto-populate. This is based on the employee’s MBU and assigned ER team member.

Term	Definition
Documentation: No Action	A record-only submission from the HRP that serves as documentation of verbal or written counseling, or any other action that does not require a consultation with VCU employee relations per the VCU Employee Relations Guide. Once received, this record will be viewable to the department and employee relations team but will automatically be marked as resolved at the time of submission.
HR Consultation	A structured engagement between an HR Professional and an Employee Relations (ER) Consultant to obtain guidance on policy interpretation, risk assessment, documentation standards, and recommended next steps. An HR Consultation is a proactive strategy session held before a manager takes or recommends action in situations involving potential policy violations, performance concerns, workplace conflict, or concerns raised by employees or supervisors. The purpose is to ensure consistency, compliance, and appropriate handling of the matter.
Informal Discipline	A corrective action used to address minor or first‑time performance or behavioral concerns. Informal discipline may include coaching conversations, verbal counseling, expectation‑setting, and documented feedback. The goal is to correct behavior quickly, reinforce expectations, and prevent escalation to formal discipline. Documentation of informal counseling is maintained in the supervisor’s working file, not in the employee’s official personnel record.
Formal Discipline	A corrective action that constitutes an official disciplinary notice placed in the employee’s personnel record and is eligible for the grievance procedure. Formal discipline is typically issued when informal efforts have not resolved the concern, when there is a documented pattern of performance or conduct issues, or when a single incident is sufficiently serious to warrant immediate action due to the egregious nature of the violation.
Probationary Action	A corrective action applied to employees in their probationary period when concerns arise regarding performance, conduct, or reliability. Probationary employees do not have access to the grievance procedure, and corrective steps may progress more quickly, up to and including separation during the probationary period. HR Professionals guide managers on documentation, expectations, timelines, and whether concerns warrant extending probation or ending employment. Employee Relations partners with the HR Professional to process probation extensions in Banner.
Reported Concern	Any issue raised by an employee, manager, faculty member, student worker, or other stakeholder that may require HR review. Depending on the nature of the concern, HR Professionals may need to partner with Employee Relations, the Integrity & Compliance Office, Equity & Access Services, or University Counsel. Reported concerns may involve workplace conduct, interpersonal conflict, policy violations, safety issues, discrimination or harassment allegations, retaliation concerns, ethical or compliance issues, or performance/attendance problems. A reported concern triggers HR’s responsibility to assess risk, determine whether fact‑finding or investigation is required, and ensure appropriate resolution and follow‑up.

Submit the Form
1. Once all required fields are completed, select Submit.

Post-Submission Process

A copy of the submission will be sent to the HRP via email.
The Employee Relations team will be notified of the new case.
The submission may take up to one hour to populate in Smartsheet.
HRPs can view submitted and historical cases for their MBU in the Employee Relations Staff Dashboard.
The ER team will contact you to discuss the case and share the evidence folder they create for you and the manager(s). The shared google folder will be created and entered in the dashboard row for the case by the designated ER team member.
All informal and formal forms must be returned to your ER Consultant for their recording in the ER Case Tracker and/or for processing in Banner and imaging into the employee’s personnel record. If a formal notice is not fully executed and returned for processing, there is no official record of the action.

Ongoing Engagement

After submission, HRPs must remain actively engaged with the managers to resolve it.
HRPs should partner with the Employee Relations team as needed to:
1. Develop the strategy to resolve the issue or concern
2. Clarify details and gather supporting documentation
3. Facilitate case resolution
Reminder notifications will be sent until the case is marked as “Resolved”. The following notifications will be sent to the ER team and the HRP(s) to ensure a case is progressing to timely resolution:
1. 14 Day Reminder Notification
2. 28 Day Reminder Notification
3. 60 Day Reminder Notification