UHC ETHICS AND COMPLIANCE ASSESSMEN QUESTIONS
& ANSWERS 100% CORRECT ANSWERS
1. Which of the following describes Permission to Contact (PTC) guidelines?
Answer: Contact can only be made by the method(s) requested by the consumer and the
agent can only market the product(s) indicated by the consumer.
2. What information should be obtained from the consumer when conducting a
thorough needs assessment? (Select 2)
Answer: The providers they see and medications they take to determine network and
formulary status.
Their current health care coverage, including what they like about it and what they don't.
1. On October 20, Aries decides to switch his PDP to a Medicare Advantage plan. Aries
would like this change to be effective November 1. Which statement is true for Aries?
,Answer: He may be able to use a Special Election Period to change plans if he qualifies for
one.
2. Which of the following statements is true about election periods?
Answer: MA Open Enrollment Period can only be used by a consumer already enrolled in an
MA Plan
3. Which statement regarding Star Ratings is true?
Answer: Medicare uses a 5-star rating system to illustrate a plan's performance and quality.
6. When completing an enrollment application in LEAN, why is an agent prohibited
from entering his or her 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.
7. What is the purpose of the Statement of Understanding?
Answer: It ensures that when consumers complete the Medicare Advantage and/or Part D
Enrollment Application, they are acknowledging their understanding that they are actually
enrolling, in which plan they are enrolling, and standard disclosures.
8. Which of the following must an agent obtain from the consumer no less than 48 hours
(unless an exception applies) before an in-person, online, or telephonic marketing
appointment?
Answer: Scope of Appointment
& ANSWERS 100% CORRECT ANSWERS
1. Which of the following describes Permission to Contact (PTC) guidelines?
Answer: Contact can only be made by the method(s) requested by the consumer and the
agent can only market the product(s) indicated by the consumer.
2. What information should be obtained from the consumer when conducting a
thorough needs assessment? (Select 2)
Answer: The providers they see and medications they take to determine network and
formulary status.
Their current health care coverage, including what they like about it and what they don't.
1. On October 20, Aries decides to switch his PDP to a Medicare Advantage plan. Aries
would like this change to be effective November 1. Which statement is true for Aries?
,Answer: He may be able to use a Special Election Period to change plans if he qualifies for
one.
2. Which of the following statements is true about election periods?
Answer: MA Open Enrollment Period can only be used by a consumer already enrolled in an
MA Plan
3. Which statement regarding Star Ratings is true?
Answer: Medicare uses a 5-star rating system to illustrate a plan's performance and quality.
6. When completing an enrollment application in LEAN, why is an agent prohibited
from entering his or her 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.
7. What is the purpose of the Statement of Understanding?
Answer: It ensures that when consumers complete the Medicare Advantage and/or Part D
Enrollment Application, they are acknowledging their understanding that they are actually
enrolling, in which plan they are enrolling, and standard disclosures.
8. Which of the following must an agent obtain from the consumer no less than 48 hours
(unless an exception applies) before an in-person, online, or telephonic marketing
appointment?
Answer: Scope of Appointment
