Survey of State Regulators - Regulation of Third Party Sellers of Funeral Goods

U.S. Government Accountability Office

Introduction

	Welcome to GAO's Survey of State Regulators - Regulation of Third Party Sellers of Funeral Goods. At the request of Congress, the U.S. Government Accountability Office (GAO) is reviewing federal and state regulation of the death care industry. The survey instrument, covering third party sellers of funeral goods, 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 third party sellers of funeral goods. Please note: For purposes of this survey, third party sellers of funeral goods includes retailers of caskets, urns, monuments, etc. that are not affiliated with a funeral home or cemetery. 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.

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Contact Information

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

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	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 Third Party Sellers of Funeral Goods

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

	1.	Yes - Continue with question 2.
	2.	Yes, but all rules and regulations prohibit third party sales or restrict sales to a licensed funeral home/director or cemetery operator (Click here to skip to question 24)
	3.	No (Click here to skip to question 24)
	4.	No response (Click here to skip to question 24)
	(View responses)

2.	What type of entity do you represent that regulates third party sellers of funeral goods 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 third party sellers of funeral goods. (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)
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If "other" selected, please briefly describe your entity here.
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2a.	How many membership positions are authorized for your board or commission?
	membership positions
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2b.	Currently, how many members are serving on your board or commission?
	members
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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.)

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	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 third party sales of funeral goods 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.
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3a.	What types of third party sales of funeral goods are exempt from regulation?

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4.	Do the regulations that apply to third party sellers of funeral goods in your state also apply to third party sellers that operate entirely online and do not maintain a physical presence in your state?

	1.	Yes
	2.	No
	3.	Not applicable, we know of no such seller in this state
	4.	No response
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5.	Do any other entities in your state regulate third party sellers of funeral goods?

	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)
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5a.	Please identify the other entities in your state that regulate third party sellers of funeral goods.

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State Regulations on Third Party Sellers of Funeral Goods (Continued)

6.	Does your state require third party sellers of funeral goods to register with the state?

	1.	Yes - Continue with question 7.
	2.	No (Click here to skip to question 10)
	3.	No response (Click here to skip to question 10)
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7.	Does your state maintain data on the number of third party sellers of funeral goods that operate in your state?

	1.	Yes - Continue with question 8.
	2.	No (Click here to skip to question 10)
	3.	No response (Click here to skip to question 10)
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8.	Approximately how many third party sellers of funeral goods currently operate in your state? (Enter number. If number is unknown, leave space blank.)
	Number of third party sellers currently in operation
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9.	Approximately how many of these third party sellers of funeral goods are subject to regulation by your state? (Enter number. If number is unknown, leave space blank.)
	Number of third party sellers subject to state regulation
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10.	Have any legislative or regulatory changes been proposed or enacted in your state since March 2003 that are directed at third party sellers of funeral goods?

	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)
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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 third party sellers of funeral goods
	3.	Change in the state's regulatory organization
	4.	Enhanced consumer protections
	5.	Other changes
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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.

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11b.	Of the legislative or regulatory changes directed at third party sellers of funeral goods that were enacted in your state since March 2003, in your opinion, how much 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 third party sellers of funeral goods
	4.	Change in the state's regulatory organization
	5.	Enhanced consumer protections
	6.	Other - Please describe below.
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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 third party sellers of funeral goods 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)
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14a.	What types of third party sellers do not have to be licensed to operate within your state?

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15.	What are the requirements for becoming a third party seller of funeral goods in your state? (Check all that apply.)

	1.	Must pass a state examination
	2.	Must pass a criminal background check
	3.	Other - Please describe below.
	4.	There are no specific requirements
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If you answered "Other" above,
please enter your description here.
(View responses)

16.	How often do licenses of third party sellers of funeral goods 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.
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17.	Does your state track violations of state rules or regulations involving third party sellers of funeral goods?

	1.	Yes - Continue with question 18.
	2.	No (Click here to skip to question 20)
	3.	No response (Click here to skip to question 20)
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18.	Approximately how many violations of state rules or regulations involving third party sellers of funeral goods has there been since January 1, 2008? (Enter numbers. If none, enter 0. If number is unknown, leave space blank.)
	violations
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	If your response to question 18 is 0, check box below and click link to skip to question 20.

			My response to question 18 is 0 (Click here to skip to question 20)
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19.	Please list up to three of the most prevalent types of violations since January 1, 2008 involving third party sellers of funeral goods.

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

Enforcement Mechanisms (Continued)

20.	Since January 1, 2008, has your state taken any actions against any third party sellers of funeral goods for violations of state rules or regulations?

	1.	Yes - Continue with question 21.
	2.	No (Click here to skip to question 22)
	3.	No response (Click here to skip to question 22)
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21.	Please indicate the type of action(s) -- and associated number of actions -- your state has taken since January 1, 2008, against third party sellers of funeral goods for violations of state rules or regulations.

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

			Yes, we took this action
			No, we did not take this action
			Not sure if we took this action
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	If yes, please enter the number of such actions taken since January 1, 2008. (Enter number. If unknown, leave space blank.)
	actions were taken
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	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
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	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
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	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
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	j. Other actions Please describe any other types of actions taken and indicate number of each type of action taken since January 1, 2008

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	Description and number of actions:

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Enforcement Mechanisms (Continued)

22.	How much of a challenge do the following pose in enforcing your state's rules or regulations involving third party sellers of funeral goods? (Select one answer in each row.)

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		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)

23.	What is your state's biggest challenge in enforcing your state's rules or regulations involving third party sellers of funeral goods?

	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

24.	Does your state maintain data on consumer complaints involving third party sellers of funeral goods?

	1.	Yes - Go to question 25.
	2.	No (Click here to skip to question 27)
	3.	No response (Click here to skip to question 27)
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25.	Which agency or agencies within your state maintain data on consumer complaints involving third party sellers of funeral goods?

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

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	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

27.	What consumer protections, if any, does your state have in place concerning third party sellers of funeral goods? (Check all that apply.)

	1.	Require that all funeral-related businesses provide general price lists
	2.	Provide one or more state-sponsored complaint hot lines
	3.	Provide on-line information to consumers through a state sponsored web page
	4.	Conduct educational outreach programs to seniors and/or other consumers
	5.	Provide information on licensed companies or sales persons in good standing with the state
	6.	Hold public hearings to address consumer concerns or complaints
	7.	Conduct investigations of legitimate consumer complaints
	8.	Other - Please specify below.
	9.	No consumer protections other than registration or licensing - Go to question 29.
	(View responses)

If you answered "Other" above, please explain here.
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28.	Of the consumer protections your state has in place concerning third party sellers of funeral goods, which one do you consider to be the most effective in protecting consumers?

	1.	Require that all funeral-related businesses provide general price lists
	2.	Provide one or more state-sponsored complaint hot lines
	3.	Provide on-line information to consumers through a state sponsored web page
	4.	Conduct educational outreach programs to seniors and/or other consumers
	5.	Provide information on licensed companies or sales persons in good standing with the state
	6.	Hold public hearings to address consumer concerns or complaints
	7.	Conduct investigations of legitimate consumer complaints
	8.	Other - Please specify below.
	(View responses)

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

29.	Above and beyond the consumer protections your state already has in place concerning third party sellers of funeral goods, 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 cemeteries.

	(View responses)

30.	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 30a.
	2.	No - Go to question 30b.
	3.	No opinion (Click here to skip to question 31)
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30a.	If you responded "Yes" in question 30, 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 30a - Skip to question 31.

	(View responses)

30b.	If you responded "No" in question 30, 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)

31.	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 31a.
	2.	No - Please explain your reason(s) in question 31a.
	3.	No opinion - Go to question 32.
	(View responses)

31a.	If you responded "Yes" or "No" above, please explain your reason(s) below.

	(View responses)

32.	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.	Funeral homes (View responses)
b.	Cemeteries (View responses)
c.	Crematories (View responses)
d.	Sales of pre-need funeral plans (View responses)

Completing Your GAO Survey on Regulation of Third Party Sellers of Funeral Goods

33.	Have you completed your GAO survey on regulation of third party sellers of funeral goods? (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 Third Party Sellers of Funeral Goods

U.S. Government Accountability Office

Introduction

Contact Information

State Regulations on Third Party Sellers of Funeral Goods

State Regulations on Third Party Sellers of Funeral Goods (Continued)

Enforcement Mechanisms

Enforcement Mechanisms (Continued)

Enforcement Mechanisms (Continued)

Consumer Protections

General Questions on the Death Care Industry

Completing Your GAO Survey on Regulation of Third Party Sellers of Funeral Goods

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