Compliance & Ethics HelpCenter

FREQUENTLY ASKED QUESTIONS

Unsure whether to report?

If you are unsure whether you should report potential misconduct, report it. Prompt reporting of suspected illegal or unethical conduct to an appropriate Company representative enables us to investigate the matter thoroughly and implement corrective action when necessary. Failing to report suspected violations is itself a violation of Company policy that can lead to disciplinary action up to and including termination.

How do I report suspected misconduct?

To report suspected illegal or unethical conduct, including violations of Company policies, you may contact your manager or the Compliance Department. If you are not comfortable contacting these resources, or if you have reported a situation and don’t think it’s been investigated or resolved, then you should contact the Compliance & Ethics HelpCenter by phone, 1-800-455-4521, or online via the Compliance & Ethics HelpCenter Web site. The Compliance & Ethics HelpCenter is available 24 hours a day, seven days a week. Compliance & Ethics HelpCenter staff do not have caller identification available on their phones, and the HelpCenter Web site does not track computer names or IP addresses, so you cannot be identified. For more information about remaining anonymous, please see Can I remain anonymous? below.

What should I report?

UnitedHealth Group and its affiliates require employees and contractors to report all suspected illegal or unethical conduct, including violations of law, contractual obligations and Company policies (including the UHG Code of Conduct: Our Principles of Ethics and Integrity), or concerns about accounting, internal controls, auditing matters, or suspected fraud and abuse. Employees who learn of any situation that may jeopardize UnitedHealth Group’s legal status or integrity must promptly report the information.

Can I be disciplined if I report misconduct by someone else?

UnitedHealth Group policy expressly prohibits retaliating against individuals who report concerns or participate in an investigation of misconduct in good faith. In fact, if a manager punishes you for making a good faith report, the manager would be subject to disciplinary action. If you are concerned about retaliation, see the discussion about making anonymous reports.

What if I report something I did wrong?

It is essential that you report it. Failure to report misconduct, even your own, violates Company policy, and the Company can’t fix the problem if it doesn’t know about it. Although the Company cannot guarantee that you will not be disciplined for your actions, the Company will take into consideration the fact that you have reported the matter, which may lead to less severe disciplinary action, if any.

Can I call to just ask a question – like whether there is a Company policy on a specific issue, or how a policy applies?

Yes. The Compliance & Ethics HelpCenter is also available to help you with information on Company policies and guidance on specific issues. In most cases, your manager, your local compliance officer, or the Legal Department will be your best first resource. If you are uncomfortable speaking with these resources or are dissatisfied with the response you have received, you should contact the Compliance & Ethics HelpCenter.

What happens when I contact the Compliance & Ethics HelpCenter?

UnitedHealth Group has contracted with a third-party vendor, Navex, to support the Compliance & Ethics HelpCenter. The vendor's call center staff is trained to ask questions that will help elicit the information the Company needs to investigate and resolve the issues you identify.

The vendor's staff will not be able to answer your questions or resolve any issues on your initial call. They prepare a web-based report of the information you provide and send it to UnitedHealth Group’s Ethics Office. We ask that you contact the Compliance & Ethics HelpCenter again three to five business days after you complete your report, to see if the Company has any follow-up questions or to see the Company’s response if the matter has been resolved. When you initially report your concern or issue, you will be assigned a report key and password. It is essential you save the report key and password, since that is the only way you will be able to access questions and the Company's response.

Can I remain anonymous?

You can remain anonymous, when permitted by law.

UnitedHealth Group takes reasonable steps to preserve your anonymity. Your call will not be recorded, and we will not know what number or location you called from. Your online report is submitted through a secure Web site protected by the latest encryption technology. That said, there are some limits you should know about:

  • People may be able to figure out that you made a complaint. As a matter of fairness, UnitedHealth Group typically will ask the implicated person to address the complaint. Obviously, people can sometimes guess who made that complaint.
  • Sometimes, we cannot respond to or investigate a complaint adequately unless we know who you are or have a way to contact you to get additional information.
  • You can identify yourself and ask us to keep your identity confidential. We will take steps to preserve confidentiality, but we may not be able to do so if the government requires us to provide information.

For UnitedHealth Group's procedures for responding to reports made through this Compliance & Ethics HelpCenter, please review What happens after I report?

What happens after I report?

Every call or online report received through the HelpCenter is sent to UnitedHealth Group’s Ethics Office. Based on the type of allegations, the Ethics Office either resolves the matter or forwards the case to the appropriate contact for investigation and resolution. Many of the calls involve human resource issues and are forwarded to HRdirect. Cases also may be forwarded to the Compliance Department, the Legal Department, or other departments as appropriate.

How long will it take to investigate my allegations?

Some investigations can be completed quickly; others may take several weeks, depending on the nature of the allegation and the investigation. The size and complexity of UnitedHealth Group can, at times, result in a complex and lengthy investigation. The fact that an investigation is taking several weeks does not mean that UnitedHealth Group does not take the allegations seriously or that it is not investigating the allegations aggressively.

How will I learn the results of the investigation?

In all cases, the Ethics Office will provide a final response, which will be available to you through the Compliance & Ethics HelpCenter. If you elected to remain anonymous, you will need to contact the Compliance & Ethics HelpCenter and provide your assigned case number to receive the Company’s response.

If you identified yourself, you also may contact the Compliance & Ethics HelpCenter to receive the Company’s response. In addition, the person who had primary responsibility for investigating and addressing your concerns will usually advise you that the investigation is concluded.

At the conclusion of the investigation, the Company usually will notify you through the HelpCenter that the investigation is complete and appropriate action has been or will be taken. Due to confidentiality and privacy concerns, you may not receive details of findings from the investigation or actions taken, including any disciplinary action taken against another employee for misconduct. Always notify the Company if you believe the problem continues after it was thought to be resolved.

Who should I contact if I have questions?

If you have questions about the Compliance & Ethics HelpCenter or UnitedHealth Group’s Compliance & Ethics Program, you can contact the HelpCenter or contact UnitedHealth Group’s Ethics Office, by e-mail at ethicsoffice@uhg.com, or by phone at 952-936-7463.