Survey of State Regulators - Regulation of Funeral Homes

U.S. Government Accountability Office

Introduction

	Welcome to GAO's Survey of State Regulators - Regulation of Funeral Homes. At the request of Congress, the U.S. Government Accountability Office (GAO) is reviewing federal and state regulation of the death care industry. This survey instrument, covering funeral homes, will help us gather information on how your state (1) regulates the death care industry; (2) enforces its rules, regulations, and laws; and (3) provides consumer protections. Please note that the focus of the survey instrument is on the regulations and consumer protections that are specific to the death care industry and not on public health or environmental regulations. You have received this survey because you have been identified as the proper point of contact within your state for addressing questions related to regulation of funeral homes. Because we are collecting comparable information from all 50 states, we encourage you to respond to this survey so that we can have an accurate and complete accounting of the regulatory framework and enforcement mechanisms that are in place for addressing the death care industry in all 50 states. To learn more about completing the survey, printing your responses, and whom to contact if you have questions, click here for help. Thank you in advance for your time and consideration.

	(View responses)

Contact Information

	Name of state: ______ Please enter the following information in the event we need to clarify a response.

	(View responses)

	Name: (View responses)
	Title: (View responses)
	Years with office/agency: (View responses)	years
	Name of office/agency: (View responses)
	E-mail address: (View responses)
	Phone number: (View responses)

State Regulations on Funeral Homes

1.	Other than rules or regulations that generally apply to all businesses, does your state have rules or regulations in place that specifically address funeral homes?

	1.	Yes - Continue with question 2.
	2.	No (Click here to skip to question 34)
	3.	No response (Click here to skip to question 34)
	(View responses)

2.	What type of entity do you represent that regulates funeral homes in your state?

	1.	A board or commission unaffiliated with a state agency - Continue with question to 2a.
	2.	A board or commission that operates within a state agency - Continue with question to 2a.
	3.	A state agency (Click here to skip to question 3)
	4.	An association (Click here to skip to question 3)
	5.	No entity is specifically assigned to regulate funeral homes. (Click here to skip to question 3)
	6.	Other - Please specify below, then click on link below to skip to question 3. (Click here to skip to question 3)
	(View responses)

If "other" selected, please briefly describe your entity here.
(View responses)

2a.	How many membership positions are authorized for your board or commission?
	membership positions
	(View responses)

2b.	Currently, how many members are serving on your board or commission?
	members
	(View responses)

2c.	Please indicate the number of authorized board or commission positions that are required to represent each of the following entities. (Enter numbers. If none, enter 0 for that entity. If unknown or no requirements exist, leave space blank.)

	(View responses)

	Funeral homes or funeral directors/embalmers (View responses)	authorized positions
	Cemeteries or cemetery operators (View responses)	authorized positions
	Crematories or crematory operators (View responses)	authorized positions
	State agencies or offices (View responses)	authorized positions
	Board or commission employees (View responses)	authorized positions
	Consumers or the general public (View responses)	authorized positions
	Other - Please name the entities represented by the other board or commission members and how many board or commission members represent each entity. (View responses)

3.	Are all funeral homes within your state subject to regulation by your state?

	1.	Yes - Go to question 4.
	2.	No - Please answer question 3a.
	3.	No response - Go to question 4.
	(View responses)

3a.	What types of funeral homes are exempt from regulation?

	(View responses)

4.	Does your state have rules or regulations in place that apply to funeral homes that provide environmentally friendly or "green" funeral services?

	1.	Yes, and they are the same rules or regulations that apply to other regulated funeral homes - Go to question 5.
	2.	Yes, there are specific rules and regulations that directly address environmentally friendly or "green" funeral services - Please answer question 4a.
	3.	No - Go to question 5.
	4.	No response - Go to question 5.
	(View responses)

4a.	Briefly describe the rules or regulations that specifically address environmentally friendly or "green" funeral homes?

	(View responses)

5.	Do any other entities in your state regulate funeral homes?

	1.	Yes - Please answer question 5a.
	2.	No (Click here to skip to question 6)
	3.	No response (Click here to skip to question 6)
	(View responses)

5a.	Please identify the other entities in your state that regulate funeral homes.

	(View responses)

State Regulations on Funeral Homes (Continued)

6.	Does your state maintain data on the number of funeral homes that operate in your state?

	1.	Yes - Continue with question 7.
	2.	No (Click here to skip to question 9)
	3.	No response (Click here to skip to question 9)
	(View responses)

7.	Approximately how many funeral homes currently operate in your state? (Enter number. If number is unknown, leave space blank.)
	Number of funeral homes currently in operation
	(View responses)

8.	Approximately how many of these funeral homes are subject to regulation by your state? (Enter number. If number is unknown, leave space blank.)
	Number of funeral homes subject to state regulation
	(View responses)

9.	Are there any state laws or regulations restricting funeral homes from owning or operating other segments of the death care industry, such as cemeteries or crematories?

	1.	Yes - Please answer question 9a.
	2.	No - Go to question 10.
	3.	No response - Go to question 10.
	(View responses)

9a.	If you answered "Yes" in question 9 above, please describe these laws or regulations below.

	(View responses)

10.	Have any legislative or regulatory changes been proposed or enacted in your state since March 2003 that are directed at funeral homes?

	1.	Yes, and some or all changes were enacted - Go to question 11.
	2.	Yes, but no changes were enacted (Click here to skip to question 12)
	3.	No (Click here to skip to question 14)
	4.	No response (Click here to skip to question 14)
	(View responses)

11.	What did the legislative or regulatory changes that were enacted involve? (Check all that apply. Also, please briefly describe all legislative or regulatory changes in question 11a and answer question 11b.)

	1.	Clarification of legislation or regulation
	2.	Stricter registration or licensing requirements for funeral directors/morticians
	3.	Stricter licensing requirements for funeral homes
	4.	Stricter inspection requirements for funeral homes
	5.	Change in the state's regulatory organization
	6.	Enhanced consumer protections
	7.	Other changes
	(View responses)

11a.	If you checked any of the selections in question 11 above, please describe the changes and provide a citation to the applicable legislative or regulatory changes.

	(View responses)

11b.	Of the legislative or regulatory changes directed at funeral homes that were enacted in your state since March 2003, in your opinion, how much, if at all, did these changes strengthen your state's regulatory program?

	1.	They significantly strengthened our regulatory program.
	2.	They moderately strengthened our regulatory program.
	3.	They slightly strengthened our regulatory program.
	4.	They had no effect on our regulatory program.
	5.	No response
	(View responses)

12.	What did the legislative or regulatory changes that were proposed but not enacted involve? *(Check all that apply. If all were enacted, check "Not applicable".)*

	1.	Not applicable, all proposed legislative or regulatory changes proposed were enacted
	2.	Clarification of legislation or regulation
	3.	Stricter registration or licensing requirements for funeral directors/morticians
	4.	Stricter licensing requirements for funeral homes
	5.	Stricter inspection requirements for funeral homes
	6.	Change in the state's regulatory organization
	7.	Enhanced consumer protections
	8.	Other - Please describe below.
	(View responses)

If you answered "Other" above, please enter your description here.
(View responses)

13.	How did these proposals for legislative or regulatory changes come about? (Check all that apply.)

	1.	Accounts of desecration of human remains
	2.	Accounts of fraud or deceptive practices
	3.	Lobbying efforts of consumer groups
	4.	Lobbying efforts of the death care industry
	5.	Proposals from state regulatory agencies
	6.	Other - Please describe below.
	(View responses)

If you answered "Other" above, please enter your description here.
(View responses)

Enforcement Mechanisms

14.	Do funeral directors/morticians have to be licensed to operate within your state?

	1.	Yes, all must be licensed - Go to question 15.
	2.	Some, but not all, must be licensed - Please answer question 14a.
	3.	No, no license is required (Click here to skip to question 17)
	4.	No response (Click here to skip to question 17)
	(View responses)

14a.	What types of funeral directors/morticians do not have to be licensed to operate within your state?

	(View responses)

15.	What are the requirements for becoming a licensed funeral director/mortician in your state? (Check all that apply.)

	1.	Must pass a national examination
	2.	Must pass a state examination
	3.	Must pass a criminal background check
	4.	Must serve an apprenticeship/internship period
	5.	Must have a certificate or degree in mortuary science
	6.	Must complete a specified number of semester hours at a college or university
	7.	Other - Please describe below.
	8.	There are no specific requirements
	(View responses)

If you answered "Other" above, please enter your description here.
(View responses)

16.	How often do funeral directors'/morticians' licenses have to be renewed?

	1.	More than once a year
	2.	At least once a year
	3.	Every 2 years
	4.	Between every 2 to 5 years
	5.	Greater than every 5 years
	6.	Licenses do not need to be renewed
	7.	Varies - Please describe below.
	8.	No response
	(View responses)

If the renewal period varies, please explain here.
(View responses)

17.	Do embalmers have to be licensed to operate within your state?

	1.	Yes, all must be licensed - Go to question 18.
	2.	Some, but not all, must be licensed - Please answer question 17a.
	3.	No, no license is required (Click here to skip to question 20)
	4.	No response (Click here to skip to question 20)
	(View responses)

17a.	What type(s) of embalmers do not have to be licensed to operate within your state?

	(View responses)

18.	What are the requirements for becoming a licensed embalmer in your state? (Check all that apply.)

	1.	Must pass a national examination
	2.	Must pass a state examination
	3.	Must pass a criminal background check
	4.	Must serve an apprenticeship/internship period
	5.	Must have a certificate or degree in mortuary science
	6.	Must complete a specified number of semester hours at a college or university
	7.	Other - Please describe below.
	8.	There are no specific requirements
	(View responses)

If you answered "Other" above, please enter your description here.
(View responses)

19.	How often do embalmers' licenses have to be renewed?

	1.	More than once a year
	2.	At least once a year
	3.	Every 2 years
	4.	Between every 2 to 5 years
	5.	Greater than every 5 years
	6.	Licenses do not need to be renewed
	7.	Varies - Please describe below.
	8.	No response
	(View responses)

If the renewal period varies, please explain here.
(View responses)

20.	Do funeral homes have to be licensed to operate in your state?

	1.	Yes, all must be licensed - Go to question 21.
	2.	Some, but not all, must be licensed - Please answer question 20a.
	3.	No, no license is required (Click here to skip to question 22)
	4.	No response (Click here to skip to question 22)
	(View responses)

20a.	What type(s) of funeral homes do not have to be licensed to operate within your state?

	(View responses)

21.	How often do funeral homes' licenses have to be renewed?

	1.	More than once a year
	2.	At least once a year
	3.	Every 2 years
	4.	Between every 2 to 5 years
	5.	Greater than every 5 years
	6.	Licenses do not need to be renewed
	7.	Varies - Please describe below.
	8.	No response
	(View responses)

If the renewal period varies, please explain here.
(View responses)

Enforcement Mechanisms (Continued)

22.	Does your state require funeral homes to be inspected by state inspectors?

	1.	Yes - Continue with question 23.
	2.	No (Click here to skip to question 27)
	3.	No response (Click here to skip to question 27)
	(View responses)

23.	How often are these inspections of funeral homes to be conducted?

	1.	More than once a year
	2.	At least once a year
	3.	Every 2 years
	4.	Between every 2 to 5 years
	5.	Greater than every 5 years
	6.	Varies - Please describe below.
	7.	No response
	(View responses)

If the inspection period varies, please explain here.
(View responses)

24.	Approximately how many inspectors does your state currently have that conduct inspections of funeral homes? (Enter number. If number is unknown, leave space blank.)
	Number of inspectors
	(View responses)

25.	Approximately what percentage of these inspectors' time (from question 24 above), on average, is spent on inspections of funeral homes, inspections of other types of facilities, and doing other types of work? (Enter percents. The three items below should total 100 percent. If percent is unknown, leave space blank.)

	(View responses)

	Percentage of time spent inspecting funeral homes

	(View responses)

	Enter percent
	%
	(View responses)



	(View responses)

	Percentage of time spent inspecting other types of facilities

	(View responses)

	Enter percent
	%
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	What other types of facilities are inspected?

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	Percentage of time spent doing other types of work

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	Enter percent
	%
	(View responses)

	What other types of work are conducted?

	(View responses)

26.	Do each of the following factors help, hinder, or have no effect on your ability to carry out inspection responsibilities? (Select one answer in each row.)

	(View responses)

		This helps me in carrying out inspection responsibilities.	This hinders me in carrying out inspection responsibilities, but I am still able to carry them out.	This hinders me in carrying out inspection responsibilities, and I am not always able to carry them out.	This has no effect on my ability to carry out inspection responsibilities.	No response
a.	My current funding levels (View responses)
b.	My current availability of staff resources (View responses)
c.	Funeral homes willingness to participate (View responses)
d.	My current legal or regulatory authority (View responses)
e.	Inspectors' qualification requirements (View responses)
f.	Other factor(s) - Please explain below. (View responses)

If you answered "Other factor(s)" above, please explain here.
(View responses)

Enforcement Mechanisms (Continued)

27.	Does your state track violations of state rules or regulations involving funeral homes or funeral directors/embalmers?

	1.	Yes - Continue with question 28.
	2.	No (Click here to skip to question 30)
	3.	No response (Click here to skip to question 30)
	(View responses)

28.	Approximately how many violations of state rules or regulations involving funeral homes and funeral directors/embalmers has there been since January 1, 2008? (Enter numbers. If none, enter 0. If number is unknown, leave space blank.)
	violations
	(View responses)

	If your response to question 28 is 0, check box below and click link to skip to question 30.

			My response to question 28 is 0 (Click here to skip to question 30)
	(View responses)

28a.	If you are able to provide separate numbers of violations specifically for funeral homes versus funeral directors/embalmers since January 1, 2008, please enter these numbers below. (Enter numbers. If none, enter 0. If number is unknown, leave space blank.)

	(View responses)

	If available, number of violations specifically involving funeral homes since January 1, 2008 (View responses)	violations
	If available, number of violations specifically involving funeral directors/embalmers since January 1, 2008 (View responses)	violations

29.	Please list up to three of the most prevalent types of violations since January 1, 2008 involving funeral homes or funeral directors/embalmers.

	(View responses)

	1. (View responses)
	2. (View responses)
	3. (View responses)

30.	Since January 1, 2008, has your state taken any actions against funeral homes or funeral directors/embalmers for violations of state rules or regulations?

	1.	Yes - Continue with question 31.
	2.	No (Click here to skip to question 32)
	3.	No response (Click here to skip to question 32)
	(View responses)

31.	Please indicate the type of action(s) -- and associated number of actions -- your state has taken since January 1, 2008, against funeral homes or funeral directors/embalmers for violations of state rules or regulations.

	(View responses)

	a. Notice of non-compliance (a caution or warning that a problem exists)

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	b. Letter of reprimand (notification that a violation has occurred and an action may be taken)

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	c. Assessment of investigative costs

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	d. Monetary fine

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	e. Probation

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	f. Voluntary relinquishment of license, certificate, or registration

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	g. Suspension of license

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	h. Revocation of license

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	i. Civil or criminal prosecution (either prosecution taken by your entity or transferred to another entity for prosecution)

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
	(View responses)

	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
	(View responses)

	j. Other actions Please describe any other types of actions taken and indicate number of each type of action taken since January 1, 2008

	(View responses)

	Description and number of actions:

	(View responses)

Enforcement Mechanisms (Continued)

32.	How much of a challenge do the following pose in enforcing your state's rules or regulations involving funeral homes or funeral directors/embalmers? (Select one answer in each row.)

	(View responses)

		Major challenge	Moderate challenge	Minor challenge	Not a challenge	No response
a.	Lack of regulations for enforcing state laws (View responses)
b.	Regulations are unclear or vague (View responses)
c.	Insufficient funds and/or staff to enforce regulations (View responses)
d.	Insufficient enforcement structure in place (View responses)
e.	Implementing new laws or regulations that recently passed (View responses)
f.	Other - Please explain below. (View responses)

If you answered "Other" above, please explain here.
(View responses)

33.	What is your state's biggest challenge in enforcing your state's rules or regulations involving funeral homes or funeral directors/embalmers?

	1.	Lack of regulations for enforcing state laws
	2.	Regulations are unclear or vague
	3.	Insufficient funds and/or staff to enforce regulations
	4.	Insufficient enforcement structure in place
	5.	Implementing new laws or regulations that recently passed
	6.	Other - Please explain below.
	7.	No challenges in enforcing rules or regulations
	8.	No response
	(View responses)

If you answered "Other" above, please explain here.
(View responses)

Consumer Protections

34.	Does your state maintain data on consumer complaints involving funeral homes or funeral directors/embalmers?

	1.	Yes - Continue with question 35.
	2.	No (Click here to skip to question 37)
	3.	No response (Click here to skip to question 37)
	(View responses)

35.	Which agency or agencies within your state maintain data on consumer complaints involving funeral homes or funeral directors/embalmers?

	(View responses)

36.	Approximately how many complaints did your state receive over the past three calendar or fiscal years involving funeral homes or funeral directors/embalmers? (Enter numbers. If none, enter 0. If number is unknown, leave space blank.) Number of complaints received in:

	(View responses)

	a. calendar or fiscal year 2008: (View responses)	complaints
	b. calendar or fiscal year 2009: (View responses)	complaints
	c. calendar or fiscal year 2010: (View responses)	complaints

37.	What consumer protections, if any, does your state have in place concerning funeral homes or funeral directors/embalmers that address issues beyond the Federal Trade Commission's requirement that funeral homes provide clients with a General Price List? (Check all that apply.)

	1.	Provide one or more state-sponsored complaint hot lines
	2.	Provide on-line information to consumers through a state sponsored web page
	3.	Conduct educational outreach programs to seniors and/or other consumers
	4.	Provide information on licensed facilities in good standing with the state
	5.	Hold public hearings to address consumer concerns or complaints
	6.	Conduct investigations of legitimate consumer complaints
	7.	Other - Please specify below.
	8.	No consumer protections other than licensing, certification, inspection, or FTC's requirement for the provision of a General Price List - Go to question 39.
	(View responses)

If you answered "Other" above, please explain here.
(View responses)

38.	Of the consumer protections your state has in place concerning funeral homes or funeral directors/embalmers, which one do you consider to be the most effective in protecting consumers?

	1.	Provide one or more state-sponsored complaint hot lines
	2.	Provide on-line information to consumers through a state sponsored web page
	3.	Conduct educational outreach programs so seniors and/or other consumers
	4.	Provide information on licensed facilities in good standing with the state
	5.	Hold public hearings to address consumer concerns or complaints
	6.	Conduct investigations of legitimate consumer complaints
	7.	Other - Please specify below.
	(View responses)

If you answered "Other" above, please explain here.
(View responses)

39.	Above and beyond the consumer protections your state already has in place concerning funeral homes or funeral directors/embalmers, what additional consumer protections, if any, do you believe would further enhance the protection of consumers?

	(View responses)

General Questions on the Death Care Industry

	The remainder of the questions will focus on the death care industry, in general, and not just funeral homes.

	(View responses)

40.	From the perspective of your office, is there a need for the federal government to take a more active role in regulating the death care industry?

	1.	Yes - Continue with question 40a.
	2.	No - Go to question 40b.
	3.	No opinion (Click here to skip to question 41)
	(View responses)

40a.	If you responded "Yes" in question 40, why is there is a need for the federal government to take a more active role? (Check all that apply.)

	1.	States do not have the authority to regulate the industry effectively.
	2.	States do not have the resources to regulate the industry effectively.
	3.	Minimum federal standards would help to provide uniformity across states.
	4.	Minimum federal standards may help prevent future incidents or scandals from occurring in the industry.
	5.	Other - Please explain below.
	(View responses)

If you answered "Other"
above, please explain here.
(View responses)

	Note: If you were directed to answer question 40a - Skip to question 41.

	(View responses)

40b.	If you responded "No" in question 40, why is there not a need for the federal government to take a more active role. *(Check all that apply.)*

	1.	Current federal rules and regulations are sufficient.
	2.	Current state rules and regulations are sufficient.
	3.	The state is a better entity to regulate the industry.
	4.	The federal government would not have a large enough local presence.
	5.	There have not been many issues and/or complaints about the industry.
	6.	Federal standards would not help to prevent future incidents or scandals from occurring in the industry.
	7.	Other - Please explain below.
	(View responses)

If you answered "Other"
above, please explain here.
(View responses)

41.	From the perspective of your office, is there a need for your state government to take a more active role in regulating the death care industry?

	1.	Yes - Please explain your reason(s) in question 41a.
	2.	No - Please explain your reason(s) in question 41a.
	3.	No opinion - Go to question 42.
	(View responses)

41a.	If you responded "Yes" or "No" above, please explain your reason(s) below.

	(View responses)

42.	Does your entity regulate any of the following segments of the death care industry? (Select one answer in each row.)

	(View responses)

		Yes	No	No response
a.	Cemeteries (View responses)
b.	Crematories (View responses)
c.	Sales of pre-need funeral plans (View responses)
d.	Third party sellers of funeral goods (View responses)

Completing Your GAO Survey on Regulation of Funeral Homes

43.	Have you completed your GAO survey on regulation of funeral homes? (Answering "Yes" is equivalent to mailing a completed paper survey to us. It tells us that your answers are official and final.)

	1.	Yes, my survey is complete - To submit your responses to GAO, please click on "Exit" below.
	2.	No, my survey is not yet complete - To save your responses for later, please click on "Exit" below.
	(View responses)

	Before exiting this survey, you may view and print your responses by clicking on the "Summary" link in the menu to the left. Clicking on "Exit" below will return you to the main menu screen where you may re-enter this survey, open another death care survey, or exit altogether. Thank you very much for your assistance.

	(View responses)

Questionnaire Programming Language - Version 6.1
U.S. Government Accountability Office

Survey of State Regulators - Regulation of Funeral Homes

U.S. Government Accountability Office

Introduction

Contact Information

State Regulations on Funeral Homes

State Regulations on Funeral Homes (Continued)

Enforcement Mechanisms

Enforcement Mechanisms (Continued)

Enforcement Mechanisms (Continued)

Enforcement Mechanisms (Continued)

Consumer Protections

General Questions on the Death Care Industry

Completing Your GAO Survey on Regulation of Funeral Homes

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