UHC ETHICS AND COMPLIANCE EXAM 2026
FINAL ASSESSMENT PREPARATION GUIDE AND
PRACTICE QUESTIONS SET
◉ When completing an enrollment application in LEAN, why is an
agent prohibited from entering their own email address in a field
available for the consumer's email address?
Answer: The consumer/member would not receive plan related
correspondence intended for him/her.
◉ Annual Election Period (AEP) is a time when:
Answer: Consumers can elect to join a Medicare Advantage Plan or
switch to a different plan.
◉ You have scheduled an appointment and obtained a Scope of
Appointment (SOA) form to discuss Medicare Advantage Plans with
a consumer. When you arrive at the appointment, a friend of the
consumer who is Medicare-eligible is present to hear your
presentation. What should you do?
Answer: Before you can start the appointment with both consumers,
ask the consumer's friend to complete an SOA.
◉ Educational events allow for which of the following to occur?
, Answer: Provide objective information about the Medicare program
and/or health improvement and wellness.
◉ Agent Brenda is presenting Medicare Advantage plan options to
her consumer, Melanie. During the presentation, Brenda tells
Melanie that Medicare gives each plan a Star Rating. Which of the
following is not an appropriate response when Melanie asks what
the Star Rating means?
Answer: Brenda should tell Melanie that the Star Rating is the same
for every plan and it does not accurately reflect a plan's performance
in certain categories.
◉ When does Permission to Contact for Medicare Advantage and/or
Prescription Drug Plans expire?
Answer: Once contact is made or 9 months from the date the
consumer provided permission (e.g. consumer signature date on
BRC) or 90 days if on federal do not call list, whichever comes first.
◉ Julie, a consumer, is having difficulty understanding the
information her agent, Victor, is presenting at her in-home
appointment. She provides Victor with her cousin's telephone
number and email address and asks him to explain the plan to her
cousin, who frequently assists with her health care decisions. The
next day, Victor emails Julie's cousin. Has Victor been compliant?
Answer: No. Victor violated United Healthcare permission to contact
guidelines by emailing the cousin without the cousin's permission.
FINAL ASSESSMENT PREPARATION GUIDE AND
PRACTICE QUESTIONS SET
◉ When completing an enrollment application in LEAN, why is an
agent prohibited from entering their own email address in a field
available for the consumer's email address?
Answer: The consumer/member would not receive plan related
correspondence intended for him/her.
◉ Annual Election Period (AEP) is a time when:
Answer: Consumers can elect to join a Medicare Advantage Plan or
switch to a different plan.
◉ You have scheduled an appointment and obtained a Scope of
Appointment (SOA) form to discuss Medicare Advantage Plans with
a consumer. When you arrive at the appointment, a friend of the
consumer who is Medicare-eligible is present to hear your
presentation. What should you do?
Answer: Before you can start the appointment with both consumers,
ask the consumer's friend to complete an SOA.
◉ Educational events allow for which of the following to occur?
, Answer: Provide objective information about the Medicare program
and/or health improvement and wellness.
◉ Agent Brenda is presenting Medicare Advantage plan options to
her consumer, Melanie. During the presentation, Brenda tells
Melanie that Medicare gives each plan a Star Rating. Which of the
following is not an appropriate response when Melanie asks what
the Star Rating means?
Answer: Brenda should tell Melanie that the Star Rating is the same
for every plan and it does not accurately reflect a plan's performance
in certain categories.
◉ When does Permission to Contact for Medicare Advantage and/or
Prescription Drug Plans expire?
Answer: Once contact is made or 9 months from the date the
consumer provided permission (e.g. consumer signature date on
BRC) or 90 days if on federal do not call list, whichever comes first.
◉ Julie, a consumer, is having difficulty understanding the
information her agent, Victor, is presenting at her in-home
appointment. She provides Victor with her cousin's telephone
number and email address and asks him to explain the plan to her
cousin, who frequently assists with her health care decisions. The
next day, Victor emails Julie's cousin. Has Victor been compliant?
Answer: No. Victor violated United Healthcare permission to contact
guidelines by emailing the cousin without the cousin's permission.
