Section 3 - Compliance Officer
44. As set out earlier, an important function of the proposed licensing scheme is to ensure there is accountability for businesses to meet minimum standards, through compliance with the 2016 Act regulations, the Funeral Director: Code of Practice, and any licence conditions.
45. We have been made aware through engagement with funeral director business stakeholders that in some funeral director businesses the business owner may not be involved in the day-to-day operations, or they may be based outwith Scotland. Additionally, certain large companies may be a limited company without individual owners. In these instances, the Scottish Government's position is that the accountability for compliance may be too diffused among employees. Further, that a lack of leadership and coordination within the business In relation to these matters may result in the business not achieving consistent compliance with legislation, the Code of Practice, and any licence conditions.
46. We are therefore intending that regulations will require each funeral director business to name a "compliance officer". This person would be a contact point for the licensing authority and inspectors in relation to compliance matters. It is expected that this person would have responsibility for co-ordinating and having oversight of compliance matters within the business. This could include, but not be limited to highlighting issues where they arise, providing leadership and suggestions in relation to the requirements of legislation, the Code, and any licence conditions, and preparing for inspections.
47. Only one compliance officer would be required for each business, regardless of the number of premises that business operates. This person could be the business owner or a suitable employee as identified by the business.
48. Section 94(2) of the 2016 Act provides that a person may not carry on business as a funeral director unless the person holds a licence issued under the scheme in relation to the business. Therefore, we intend that it is the business owner who remains responsible for compliance with legislation, the Code, and any licence conditions.
Question 4 - Please provide any comments you have about the proposal to require funeral director businesses to identify a compliance officer for their licence.
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