UHC Ethics and Compliance Section for
Certification/ 174 Q&A/
What is a servicing agent? - Answer: an inactive, nonemployee who has signed a
servicing agreement in order to receive renewal commisions on medicare
advantage and prescription drug plan enrollments on or after 1-1-2014. the agent
must maintain an active resident license and appointment and pass medicare
basics and ethics compliance assessments on an annual basis
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
Page 1 of 26
,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
Page 2 of 26
, 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
Page 3 of 26
Certification/ 174 Q&A/
What is a servicing agent? - Answer: an inactive, nonemployee who has signed a
servicing agreement in order to receive renewal commisions on medicare
advantage and prescription drug plan enrollments on or after 1-1-2014. the agent
must maintain an active resident license and appointment and pass medicare
basics and ethics compliance assessments on an annual basis
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
Page 1 of 26
,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
Page 2 of 26
, 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
Page 3 of 26
