AEP is definitely here! We’ve been getting a lot of questions and noticed some confusion about the HIPAA Confidentiality Statement, Scope of Appointments, and how to compliantly get your applications where they need to go. We put together a quick reference guide below for our agents of what is needed to compliantly submit applications, either directly to the carrier or to SMS for scrubbing and processing. Please let us know if you have any questions or need help submitting an application.

Fax Submission:

  • Fill out the fax coversheet (the HIPAA Confidentiality Statement is already included on the cover sheet)
    • If you are looking to send to a specific carrier, you will need to use the fax cover cover sheet for that carrier. Please use our AEP toolkit to locate the correct cover sheet (login required).
    • If you are submitting to the Senior Marketing Specialists Enrollment Department, please use our Application Coversheet.
  • Verify the carrier fax number for submitting the application and send
  • Confirm that the fax was received after 24 hours of submission


Email Submission:

  • Convert the application into a non-editable PDF
  • Attach your application to the secure email
    • Many carriers have an email portal on their webpage that is required to submit applications compliantly
    • If you are sending the application to the Senior Marketing Specialists Enrollment department and do not have an encrypted email, please use this secure link to submit the application.
  • Include the HIPAA confidentiality statement at the bottom of your email:

“This email transmission contains confidential information intended for the parties identified above. If you have received this transmission in error, please immediately notify me by telephone and return the original message to me at the address listed above. Distribution, reproduction or any other use of this transmission by any party other than the intended recipient is strictly prohibited.”

  • Verify that your email was received after 24 hours of sending.
    • Many carriers have an email confirmation once you have submitted
    • Senior Marketing Specialists will email you within 24 hours that your application was received.


Additional Compliance Tips and Resources:

  • Medicare Communication and Marketing Guidelines
  • 2020 Scope of Appointments (SOAs) do not have to be submitted with applications, but must be kept for 10 years.
  • Many carriers have compliant electronic applications and electronic SOAs.
  • You still need a SOA even if you are meeting with a current client.
  • A Scope of Appointment is needed for all MAPD and PDP appointments.


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