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

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, _____.

Thank you in advance for your time and consideration.

State	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?
State	Yes - Continue with question 2.	Yes, but all rules and regulations prohibit third party sales or restrict sales to a licensed funeral home/director or cemetery operator	No	No response
Alabama	X
Alaska				X
Arizona			X
Arkansas			X
Connecticut			X
Delaware			X
Georgia	X
Hawaii	X
Idaho				X
Illinois			X
Indiana	X
Iowa	X
Kansas			X
Kentucky			X
Louisiana		X
Maryland	X
Massachusetts			X
Minnesota			X
Mississippi			X
Montana			X
Nebraska			X
Nevada	X
New Jersey			X
New Mexico			X
New York			X
North Carolina			X
North Dakota			X
Ohio	X
Oklahoma				X
Oregon			X
Rhode Island			X
South Carolina	X
South Dakota			X
Tennessee	X
Texas	X
Vermont			X
Virginia			X
Washington			X
West Virginia			X
Wisconsin	X
Wyoming			X
Number Responding	12	1	25	3

State	What type of entity do you represent that regulates third party sellers of funeral goods in your state?
State	A board or commission unaffiliated with a state agency - Continue with question to 2a.	A board or commission that operates within a state agency - Continue with question to 2a.	A state agency	An association	No entity is specifically assigned to regulate third party sellers of funeral goods.	Other - Please specify below, then click on link below to skip to question 3.
Alabama			X
Georgia		X
Hawaii			X
Indiana		X
Iowa			X
Maryland		X
Nevada	X
Ohio					X
South Carolina		X
Tennessee			X
Texas			X
Wisconsin		X
Number Responding	1	5	5	0	1	0

State	Are all third party sales of funeral goods within your state subject to regulation by your state?
State	Yes - Go to question 4.	No - Please answer question 3a.	No response - Go to question 4.
Alabama		X
Georgia		X
Hawaii	X
Indiana	X
Iowa	X
Maryland	X
Nevada			X
Ohio	X
South Carolina		X
Tennessee		X
Texas		X
Wisconsin	X
Number Responding	6	5	1

State	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?
State	Yes	No	Not applicable, we know of no such seller in this state	No response
Alabama	X
Georgia	X
Hawaii	X
Indiana	X
Iowa	X
Maryland	X
Nevada				X
Ohio	X
South Carolina		X
Tennessee	X
Texas	X
Wisconsin		X
Number Responding	9	2	0	1

State	Do any other entities in your state regulate third party sellers of funeral goods?
State	Yes - Please answer question 5a.	No	No response
Alabama		X
Georgia		X
Hawaii	X
Indiana		X
Iowa	X
Maryland		X
Nevada	X
Ohio		X
South Carolina		X
Tennessee	X
Texas	X
Wisconsin		X
Number Responding	5	7	0

State	Does your state require third party sellers of funeral goods to register with the state?
State	Yes - Continue with question 7.	No	No response
Alabama	X
Georgia	X
Hawaii	X
Indiana	X
Iowa	X
Maryland	X
Nevada			X
Ohio		X
South Carolina	X
Tennessee			X
Texas	X
Wisconsin		X
Number Responding	8	2	2

State	Does your state maintain data on the number of third party sellers of funeral goods that operate in your state?
State	Yes - Continue with question 8.	No	No response
Alabama	X
Georgia	X
Hawaii		X
Indiana		X
Iowa		X
Maryland	X
South Carolina	X
Texas	X
Number Responding	5	3	0

State	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?
State	Yes, and some or all changes were enacted - Go to question 11.	Yes, but no changes were enacted	No	No response
Alabama		X
Georgia			X
Hawaii			X
Indiana			X
Iowa			X
Maryland			X
Nevada			X
Ohio	X
South Carolina			X
Tennessee	X
Texas			X
Wisconsin			X
Number Responding	2	1	9	0

State	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?
State	They significantly strengthened our regulatory program.	They moderately strengthened our regulatory program.	They slightly strengthened our regulatory program.	They had no effect on our regulatory program.	No response
Ohio		X
Tennessee					X
Number Responding	0	1	0	0	1

State	Do third party sellers of funeral goods have to be licensed to operate within your state?
State	Yes, all must be licensed - Go to question 15.	Some, but not all, must be licensed - Please answer question 14a.	No, no license is required	No response
Alabama		X
Georgia		X
Hawaii			X
Indiana	X
Iowa	X
Maryland	X
Nevada			X
Ohio			X
South Carolina	X
Tennessee			X
Texas		X
Wisconsin			X
Number Responding	4	3	5	0

State	How often do licenses of third party sellers of funeral goods have to be renewed?
State	More than once a year	At least once a year	Every 2 years	Between every 2 to 5 years	Greater than every 5 years	Licenses do not need to be renewed	Varies - Please describe below.	No response
Alabama		X
Georgia		X
Indiana		X
Iowa				X
Maryland			X
South Carolina			X
Texas		X
Number Responding	0	4	2	1	0	0	0	0

State	Does your state track violations of state rules or regulations involving third party sellers of funeral goods?
State	Yes - Continue with question 18.	No	No response
Alabama	X
Georgia	X
Hawaii		X
Indiana	X
Iowa		X
Maryland	X
Nevada			X
Ohio		X
South Carolina	X
Tennessee			X
Texas	X
Wisconsin		X
Number Responding	6	4	2

State	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?
State	Yes - Continue with question 21.	No	No response
Alabama	X
Georgia			X
Hawaii		X
Indiana		X
Iowa		X
Maryland	X
Nevada		X
Ohio	X
South Carolina		X
Tennessee			X
Texas	X
Wisconsin		X
Number Responding	4	6	2

State	a. Notice of non-compliance (a caution or warning that a problem exists)
State	Yes, we took this action	No, we did not take this action	Not sure if we took this action
Alabama	X
Maryland	X
Texas	X
Number Responding	3	0	0

State	Lack of regulations for enforcing state laws
State	Major challenge	Moderate challenge	Minor challenge	Not a challenge	No response
Georgia		X
Hawaii				X
Indiana		X
Iowa		X
Maryland			X
Nevada			X
Ohio				X
South Carolina			X
Tennessee					X
Texas			X
Wisconsin				X
Number Responding	0	3	4	3	1

State	What is your state's biggest challenge in enforcing your state's rules or regulations involving third party sellers of funeral goods?
State	Lack of regulations for enforcing state laws	Regulations are unclear or vague	Insufficient funds and/or staff to enforce regulations	Insufficient enforcement structure in place	Implementing new laws or regulations that recently passed	Other - Please explain below.	No challenges in enforcing rules or regulations	No response
Georgia			X
Hawaii								X
Indiana			X
Iowa						X
Maryland				X
Nevada			X
Ohio						X
South Carolina	X
Tennessee								X
Texas						X
Wisconsin							X
Number Responding	1	0	3	1	0	3	1	2

State	Does your state maintain data on consumer complaints involving third party sellers of funeral goods?
State	Yes - Go to question 25.	No	No response
Alabama	X
Alaska			X
Arizona		X
Arkansas		X
Connecticut		X
Delaware	X
Georgia	X
Hawaii		X
Idaho			X
Illinois		X
Indiana	X
Iowa		X
Kansas		X
Kentucky		X
Louisiana			X
Maryland	X
Massachusetts		X
Minnesota		X
Mississippi		X
Montana		X
Nebraska		X
Nevada			X
New Jersey		X
New Mexico		X
New York			X
North Carolina	X
North Dakota		X
Ohio		X
Oklahoma			X
Oregon	X
Rhode Island		X
South Carolina		X
South Dakota		X
Tennessee	X
Texas	X
Vermont	X
Virginia		X
Washington		X
West Virginia			X
Wisconsin		X
Wyoming		X
Number Responding	10	24	7

State	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?
State	Require that all funeral-related businesses provide general price lists	Provide one or more state-sponsored complaint hot lines	Provide on-line information to consumers through a state sponsored web page	Conduct educational outreach programs to seniors and/or other consumers	Provide information on licensed companies or sales persons in good standing with the state	Hold public hearings to address consumer concerns or complaints	Conduct investigations of legitimate consumer complaints	Other - Please specify below.
Alabama							X
Alaska								X
Arkansas							X
Connecticut							X
Delaware							X
Georgia		X
Illinois	X
Indiana						X
Iowa							X
Kansas								X
Maryland							X
Massachusetts			X
Minnesota								X
Mississippi							X
Nevada							X
New Jersey				X
New Mexico							X
North Carolina							X
Ohio							X
Rhode Island								X
South Carolina					X
South Dakota							X
Tennessee							X
Texas								X
Vermont							X
Washington								X
Wisconsin							X
Wyoming								X
Number Responding	1	1	1	1	1	1	15	7

State	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?
State	Yes - Continue with question 30a.	No - Go to question 30b.	No opinion
Alabama	X
Alaska			X
Arizona			X
Arkansas			X
Connecticut		X
Delaware			X
Georgia		X
Hawaii		X
Idaho			X
Illinois		X
Indiana		X
Iowa		X
Kansas	X
Kentucky	X
Louisiana		X
Maryland	X
Massachusetts		X
Minnesota		X
Mississippi			X
Montana		X
Nevada			X
New Jersey		X
New Mexico			X
New York			X
North Carolina			X
North Dakota			X
Ohio	X
Oklahoma	X
Oregon	X
Rhode Island		X
South Carolina		X
South Dakota			X
Tennessee			X
Texas		X
Vermont			X
Virginia		X
Washington		X
West Virginia	X
Wisconsin		X
Wyoming		X
Number Responding	8	18	14

State	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?
State	Yes - Please explain your reason(s) in question 31a.	No - Please explain your reason(s) in question 31a.	No opinion - Go to question 32.
Alabama			X
Alaska	X
Arizona			X
Arkansas			X
Connecticut	X
Delaware			X
Georgia			X
Hawaii			X
Idaho			X
Illinois	X
Indiana	X
Iowa		X
Kansas	X
Kentucky			X
Maryland		X
Massachusetts		X
Minnesota		X
Mississippi	X
Montana			X
Nevada			X
New Jersey			X
New Mexico		X
New York			X
North Carolina			X
North Dakota			X
Ohio			X
Oklahoma			X
Oregon		X
Rhode Island		X
South Carolina			X
South Dakota			X
Tennessee			X
Texas	X
Vermont		X
Virginia		X
Washington		X
West Virginia	X
Wisconsin			X
Wyoming			X
Number Responding	8	10	21

State	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.)
State	Yes, my survey is complete - To submit your responses to GAO, please click on "Exit" below.	No, my survey is not yet complete - To save your responses for later, please click on "Exit" below.
Alabama	X
Alaska	X
Arizona	X
Arkansas	X
Connecticut	X
Delaware	X
Georgia	X
Hawaii	X
Idaho	X
Illinois	X
Indiana	X
Iowa	X
Kansas	X
Kentucky	X
Louisiana	X
Maryland	X
Massachusetts	X
Minnesota	X
Mississippi	X
Montana	X
Nebraska	X
Nevada	X
New Jersey	X
New Mexico	X
New York	X
North Carolina	X
North Dakota	X
Ohio	X
Oklahoma	X
Oregon	X
Rhode Island	X
South Carolina	X
South Dakota	X
Tennessee	X
Texas	X
Vermont	X
Virginia	X
Washington	X
West Virginia	X
Wisconsin	X
Wyoming	X
Number Responding	41	0

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

U.S. Government Accountability Office

Contents

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