UHC ETHICS AND COMPLIANCE EXAM 2026
CERTIFICATION EVALUATION TRAINING TEST
QUESTIONS AND STUDY GUIDE
◉ What does CMS stand for?
Answer: center for medicare and medicaid services
◉ Who administers the medicare program and contracts with
private health care companies to offer medicaid plans?
Answer: CMS
◉ Who holds the authority to approve or disaprove plans that can be
sold, and is the regulating agency that also monitors our progresses?
Answer: CMS
◉ Who regulates MA's and PDP's
Answer: CMS
◉ Enrolling a customer in a plan when you are not certified in the
product is non-compliant and considered____?
Answer: an unqualified sale
,◉ Agents who are not qualified to sell the product will not be?
Answer: compensated and may receive corrective and or
disciplinary action up to an including termination
◉ What is the purpose of an educational event?
Answer: its designed to inform medicare consumers about original
medicare, medicare advantage, prescription drug and other
medicare programs.
◉ Where must educational events be conducted?
Answer: in a public venue
◉ Are the educational events unbiased so that it doesn't steer the
consumer towards a specific plan or limited number of plans?
Answer: yes
◉ WHat is a marketing/sales event?
Answer: an event designed to steer or attempt to steer, consumers
toward a plan or limited set of plans. Agents may discuss plan
specific information and collect applications.
◉ Can marketing/sales be formal or informal?
Answer: both
,◉ What describes a formal marketing/sales event?
Answer: a full plan presentation, given in a presenter-audience
format.
◉ What is an inform marketing/sales event?
Answer: they're passive in nature where the consumer approaches
the agent to engage in conversation. a booth, table, or kiosk is
typically used
◉ What are marketing appointments?
Answer: They're commonly referred to as "in home, face to face, or
one on one appointment" and typically take place in the consumers
home.
◉ What other places can marketing appointments happen?
Answer: coffee shop, or even over the phone
◉ because marketing appointments are not formal and informal
marketing sales events, they're not reported to who?
Answer: UHC or CMS. instead, agents must obtain a completed scope
of appointment prior to conducting the appointment.
◉ To report events, what should agents use?
, Answer: an event request form
◉ to ensure that events are in UHC's event reporting application no
less than 7 calender days prior to the event...
Answer: submit the event request form, according to instructions on
the form, NO LESS THAN 14 CALENDAR DAYS
◉ event request forms submitted within7 calendar days will NOT be
what?
Answer: processed
◉ conducting an unreported event is _____?
Answer: prohibited
◉ to schedule a sign language interpreter for a formal
marketing/sales event or a personal/individual marketing
appointment, enter the consumer's request direct;y in bconnected at
least?
Answer: 14 days prior to the event or appointment
◉ What are marketing materials used for?
Answer: 1) draw attention to a plan sponsor or their plan(s) and
CERTIFICATION EVALUATION TRAINING TEST
QUESTIONS AND STUDY GUIDE
◉ What does CMS stand for?
Answer: center for medicare and medicaid services
◉ Who administers the medicare program and contracts with
private health care companies to offer medicaid plans?
Answer: CMS
◉ Who holds the authority to approve or disaprove plans that can be
sold, and is the regulating agency that also monitors our progresses?
Answer: CMS
◉ Who regulates MA's and PDP's
Answer: CMS
◉ Enrolling a customer in a plan when you are not certified in the
product is non-compliant and considered____?
Answer: an unqualified sale
,◉ Agents who are not qualified to sell the product will not be?
Answer: compensated and may receive corrective and or
disciplinary action up to an including termination
◉ What is the purpose of an educational event?
Answer: its designed to inform medicare consumers about original
medicare, medicare advantage, prescription drug and other
medicare programs.
◉ Where must educational events be conducted?
Answer: in a public venue
◉ Are the educational events unbiased so that it doesn't steer the
consumer towards a specific plan or limited number of plans?
Answer: yes
◉ WHat is a marketing/sales event?
Answer: an event designed to steer or attempt to steer, consumers
toward a plan or limited set of plans. Agents may discuss plan
specific information and collect applications.
◉ Can marketing/sales be formal or informal?
Answer: both
,◉ What describes a formal marketing/sales event?
Answer: a full plan presentation, given in a presenter-audience
format.
◉ What is an inform marketing/sales event?
Answer: they're passive in nature where the consumer approaches
the agent to engage in conversation. a booth, table, or kiosk is
typically used
◉ What are marketing appointments?
Answer: They're commonly referred to as "in home, face to face, or
one on one appointment" and typically take place in the consumers
home.
◉ What other places can marketing appointments happen?
Answer: coffee shop, or even over the phone
◉ because marketing appointments are not formal and informal
marketing sales events, they're not reported to who?
Answer: UHC or CMS. instead, agents must obtain a completed scope
of appointment prior to conducting the appointment.
◉ To report events, what should agents use?
, Answer: an event request form
◉ to ensure that events are in UHC's event reporting application no
less than 7 calender days prior to the event...
Answer: submit the event request form, according to instructions on
the form, NO LESS THAN 14 CALENDAR DAYS
◉ event request forms submitted within7 calendar days will NOT be
what?
Answer: processed
◉ conducting an unreported event is _____?
Answer: prohibited
◉ to schedule a sign language interpreter for a formal
marketing/sales event or a personal/individual marketing
appointment, enter the consumer's request direct;y in bconnected at
least?
Answer: 14 days prior to the event or appointment
◉ What are marketing materials used for?
Answer: 1) draw attention to a plan sponsor or their plan(s) and
