R9-9B-304. Administration

A. A licensee of a funeral establishment shall designate, in writing, a responsible funeral director for the funeral establishment who: 1. Is licensed under Article 2 of this Subchapter; 2. Is responsible for the day-to-day operations of the funeral establishment, including: a. Supervision of the services provided, and b. Ensuring compliance with the funeral establishment’s policies and procedures; 3. Manages staffing and oversees personnel decisions; and 4. Ensures that the funeral establishment complies with the requirements in A.R.S. Title 32, Chapter 12, and the rules in this Subchapter. B. A licensee shall ensure that policies and procedures are developed, documented, and implemented, consistent with the requirements in A.R.S. Title 32, Chapter 12, and the rules in this Subchapter, that cover: 1. Employees and other personnel, including: a. Job descriptions, duties, and qualifications, including required skills and knowledge for funeral directors, embalmers, and, if applicable, individuals offering or selling prearranged funeral agreements; b. Orientation, training, and in-service education for employees; and c. Supervision; 2. Persons providing contracted services to ensure that: a. Persons providing contracted services have the required skills and knowledge, and b. Contracted services are provided according to the requirements in this Subchapter; 3. The posting of professional licenses, issued under Article 2 of this Subchapter, for all applicable individuals employed by or contracted with the funeral establishment to provide funeral services at the location, consistent with A.R.S. § 32-1387; 4. If applicable, compliance with requirements in A.R.S. § 32-1361(E) and subsection (E) related to individuals on the pathway to funeral director or embalmer licensure; 5. Compliance with requirements in A.R.S. § 32- 1365(A)(8), (9), and (10); 6. Compliance with applicable requirements in R9-9B- 306(E)(5) and (I) to ensure workplace health and safety; 7. Compliance with applicable requirements related to vital records for death records in A.R.S. Title 36, Chapter 3, Article 3, and 9 A.A.C. 19, Article 3; 8. Compliance with applicable requirements related to the disposition of human remains in A.R.S Title 36, Chapter 7; 9. Compliance with applicable requirements related to communicable diseases in A.R.S. § 36-621 and A.A.C. R9-6- 102; 10. Who can access areas of the funeral establishment in which human remains are prepared or kept, according to R9-9B-306(H); 11. Cleaning and sanitation of the funeral establishment, in compliance with R9-9B-309 and applicable requirements related to health menaces in A.R.S. § 36-601 et seq.; 12. Storage and disposal of biohazardous medical waste, as defined in A.A.C. R18-13-1401, according to requirements of the Arizona Department of Environmental Quality and local environmental health agencies; 13. Maintenance of equipment used in the preparation of human remains or repackaging of cremated remains; 14. If the funeral establishment has a refrigerated holding area for human remains: a. Monitoring of the functioning and temperature of the refrigerated holding area to ensure the condition, dignity, and security of human remains in the refrigerated holding area; and b. The transfer of human remains kept in the refrigerated holding area if the functioning or temperature of the refrigerated area endangers the condition, dignity, or security of human remains in the refrigerated holding area; 15. Advertising about the funeral goods and services offered by the funeral establishment to ensure the advertising: a. Is clear and accurate; and b. Complies with the requirements in A.R.S. Title 32, Chapter 12; 16. The display of funeral merchandise or services regularly offered for sale and stocked by the funeral establishment, as specified in R9-9B-306(F)(2); 17. How information about funeral goods and services, offered by the funeral establishment, and their prices is provided to persons contacting the funeral establishment, as specified in R9-9B-306(B) and (C); and 18. If the funeral establishment offers prearranged funeral agreements, compliance with A.R.S. Title 32, Chapter 12, Article 5, and R9-9B-307 and R9-9B-308. C. A licensee shall ensure that policies and procedures are developed, documented, and implemented, consistent with the requirements in A.R.S. Title 32, Chapter 12, and the rules in this Subchapter, that ensure that: 1. At all times while human remains or cremated remains are in the custody of a funeral establishment: a. The identity of the human remains or cremated remains are accurately and timely recorded and tracked, and b. The condition of the human remains is monitored and concerns are documented; 2. The condition, dignity, and security of human remains in the custody of the funeral establishment are maintained; 3. A deceased individual’s family is treated honestly and with respect, including considerations for religious or cultural beliefs; 4. No photographs or recordings of the deceased individual or the deceased individual’s family are made, except, if applicable, as part of the funeral establishment’s electronic video security monitoring system, without the express permission of the individual authorized according to A.R.S. § 36-831 to provide funeral and disposition arrangements; 5. Information about the deceased individual, the deceased individual’s family, or financial matters obtained during the course of providing services to the deceased individual’s family is maintained in a confidential manner; 6. The following are provided to the individual authorized according to A.R.S. § 36-831 to provide funeral and disposition arrangements: a. Disclosures specified in 16 CFR 453, incorporated by reference in R9-9B-306(A); and b. Documents required according to R9-9B-306(C) and (E); 7. Instructions are provided to the purchaser of funeral goods and services about: a. A contract for the provision of funeral goods and services being cancelled only if services have not yet been provided to the deceased individual specified in the contract; and b. How to cancel a contract for the provision of funeral goods and services, including: i. Who may request cancellation of the contract; ii. What amount of the monies that have been paid will be refunded and what amount will be retained by the funeral establishment; and iii. For a prearranged funeral agreement funded by trust, how the identity of the individual requesting the cancellation will be verified; 8. Embalming is conducted according to R9-9B-306(I); and 9. If applicable, transportation agreements meet the requirements in A.R.S. §§ 32-1301 and 32-1378. D. A licensee shall ensure that: 1. Policies and procedures are reviewed at least once every three years and updated as needed; 2. Policies and procedures are available to employees and, as applicable, contracted individuals; and 3. Documentation required by this Article is provided to the Department: a. If requested by the Department during an inspection, within two hours after a Department request and before the end of the inspection; and b. If requested by email, written correspondence, or telephone, by midnight of the next calendar day, unless a longer period is specified by the Department. E. A licensee shall ensure that documentation that an employee is on the pathway to licensure as a funeral director or embalmer is submitted to the Department, in a Department-provided format: 1. Within seven calendar days after, as applicable: a. An employee begins on the pathway to licensure as a funeral director or embalmer; b. An individual who is on the pathway to licensure as a funeral director or embalmer begins employment at the funeral establishment; or c. The supervising licensed funeral director or embalmer, as applicable, changes; and 2. Includes the following information: a. The name and license number of the funeral establishment; b. The name of the employee or individual who is on the pathway to licensure as a funeral director or embalmer; c. For an employee beginning on the pathway to licensure as a funeral director or embalmer: i. The date the employee began on the pathway to licensure, and ii. Whether the employee began on the pathway to licensure according to R9-9B-305(B)(1)(a) or (b); d. For an individual who is on the pathway to licensure as a funeral director or embalmer beginning employment at the funeral establishment: i. The starting date of employment, ii. The date the individual began on the pathway to licensure, and iii. Whether the individual began on the pathway to licensure according to R9-9B-305(B)(1)(a) or (b); e. The name and license number of the supervising licensed funeral director or embalmer at the funeral establishment; and f. The signature and date of signing of the supervising licensed funeral director or embalmer and, if different, the responsible funeral director. F. A licensee shall ensure that the professional licenses, issued under Article 2 of this Subchapter, for all applicable individuals employed by or contracted with the funeral establishment to provide funeral services are: 1. Current and valid, and 2. Posted in a conspicuous location that may be viewed by an individual entering the funeral establishment. G. A licensee shall ensure that one of the following, as applicable, is posted in a conspicuous location that may be viewed by an individual entering the funeral establishment: 1. The current and valid license issued to the funeral establishment under this Article, or 2. A valid interim permit issued under R9-9B-301. H. A licensee shall ensure that transport of human remains or cremated remains, by or on behalf of the funeral establishment, is in compliance with the applicable requirements of this Subchapter. I. A licensee shall ensure that: 1. If embalming of deceased individuals is not done on-site at the funeral establishment, a contract is established and maintained with another funeral establishment licensed under this Article for embalming, including: a. The name, physical address, and license number of the funeral establishment; b. The name, physical address, and license number of the funeral establishment at which embalming would take place; c. The name and license number of the responsible funeral director at each of the funeral establishments; d. The name and license number of each embalmer employed by the funeral establishment at which embalming would take place; e. A description of the activities to be performed by each of the funeral establishments, including responsibilities for transport and storage as well as embalming; and f. The signature and date of signing of each of the licensees and responsible funeral directors; 2. If the funeral establishment does not have a refrigerated area for human remains on-site, a contract for the refrigerated storage of human remains is established and maintained with: a. Another funeral establishment licensed under this Article, including: i. The name, physical address, and license number of both funeral establishments; ii. The name and license number of the responsible funeral director at each of the funeral establishments; iii. A description of the activities to be performed by each of the funeral establishments, including responsibilities for transport and storage; and iv. The signature and date of signing of each of the licensees and responsible funeral directors; or b. A crematory licensed under Article 4 of this Subchapter, including: i. The name, physical address, and license number of the funeral establishment; ii. The name and license number of the responsible funeral director at the funeral establishment; iii. The name, physical address, and license number of the crematory; iv. The name and license number of the responsible cremationist at the crematory; v. A description of the activities to be performed by the funeral establishment and the activities to be performed by the crematory, including responsibilities for transport and storage; and vi. The signature and date of signing of each of the licensees and the responsible funeral director and responsible cremationist; and 3. For any other activities or services offered by the funeral establishment and performed by a contracted person, a contract is established and maintained that complies with requirements in subsection (B)(2). J. A licensee shall ensure that: 1. Copies of general price lists in R9-9B-306(C)(1), alternative price lists in R9-9B-306(C)(2) if applicable, casket price lists in R9-9B-306(C)(3), and outer burial container price lists if applicable in R9-9B-306(C)(4) are maintained, according to A.R.S. § 32-1385, for at least three years after the date the documents are no longer used; 2. Copies of any other documents related to the arrangement or direction of funeral or embalming services, including signed Statements of Funeral Goods and Services and authorizations for embalming or cremation according to R9-9B-306, are maintained, according to A.R.S. § 32- 1385, for at least three years after the date that the documents were prepared by or on behalf of the funeral establishment; 3. Documentation required according to A.R.S. Title 36, Chapter 3, Article 3, and: a. A.A.C. R9-19-301 related to human release forms is maintained for at least five years after the date of the document, b. A.A.C. R9-19-303 for a death record is maintained according to A.A.C. R9-19-303(E), c. A.A.C. R9-19-308 related to disposition transit permits is maintained for at least five years after the date of the document, d. A.A.C. R9-19-311 related to disposition transit permits is maintained for at least five years after the date of the document, and e. A.A.C. R9-19-312(A) for a disinterment-reinternment permit is maintained according to A.A.C. R9- 19-312(B); and 4. If the funeral establishment has a prearranged funeral sales endorsement, for each prearranged funeral agreement funded by trust, a copy of each of the following is maintained for at least three years after the date of the prearranged funeral agreement funded by trust has been fulfilled or cancelled: a. The prearranged funeral agreement; b. Each request to a financial institution directing the financial institution to transfer the trust account to another financial institution, consistent with A.R.S. 32-1391.05(D); c. Each notice required in subsection (J)(4) of the transfer of the trust account to another financial institution, together with a record of the names and last known addresses of the holders and the dates on which the notice was provided; d. Each statement of accrued taxes and direction from the funeral establishment, according to A.R.S. § 32- 1391.06(C) and R9-9B-307(F), for payment from the trust account; e. Each certificate from the funeral establishment, according to A.R.S. § 32-1391.06(B) and R9-9B- 307(G), concerning entitlement to service fees paid from the trust account; f. If applicable, the certificate of performance from the funeral establishment, according to A.R.S. § 32- 1391.08(A) and R9-9B-307(H), stating that the funeral establishment provided the requested funeral goods and services; g. If applicable, a cancellation or termination request from a holder according to A.R.S. § 32-1391.07 and R9-9B-307(I); h. Detailed financial institution statements and accounting records concerning the trust account; and i. Any other documentation relating to the prearranged funeral agreement or trust account. K. A licensee of a funeral establishment with a prearranged funeral sales endorsement shall ensure that a notification of the following is sent to each holder of an existing prearranged funeral agreement funded by trust: 1. For a change of ownership of the funeral establishment, notification within 30 calendar days after the change of ownership, including: a. The name of the new owner and, if different, the new name of the funeral establishment; b. The date of the change of ownership; c. Information about the status of the trust funds and, if the trust account is being transferred to another financial institution, the name and location of the financial institution and the new trust account number; and d. A statement that additional information is available upon request, including how the request may be made; 2. For a change in the legal name of the funeral establishment without a change of ownership, notification within seven calendar days after the name change, including the new name of the funeral establishment; 3. For a change in the location of the funeral establishment without a change of ownership, notification within seven calendar days after the change of location, including the new location of the funeral establishment; 4. For a change in the location, type of account, or account number of the trust funds associated with a prearranged funeral agreement, notification within seven calendar days before the change, including: a. The name and address of the financial institution in which the trust funds are to be deposited, and b. The new trust account number; and 5. If the funeral establishment closes, without a change of ownership or change of location, notification within seven calendar days after the closure, including: a. The date of closure; b. Information about the status of the trust funds; and c. A statement that additional information is available upon request, including how the request may be made.