Jan lf 2008 8:54 FROM : DEPT OF FINANCIAL SERVICES FAs NO. 8564874987 Jan. 17 2668 GE:S9AM Pe NOV 13 2007 AEX SINK as’ CHIEF FINANCIA LOFFICER Docketed Yt reese STATE OF FLORIDA IN ‘THE MATTER. OF: AMBROSE AUSTIN CASE NO.: 90949-06-FC TE 1254 LEC 20060200062 / ADMINISTRATIVE COMPLAINT TO; AMBROSE AUSTIN Charles A. Lewis Funeral Home 609 West Memorial Boulevard Lakeland, FL 33802 AMBROSE AUSTIN, is hereby notified that the Department of Financial Services Chief Financial Officer of the State of Florida has directed an investigation in connection with license number FE 1254 to operate as a Funeral Director. Based upon the investigation, it is alleged: GENERAL ALLEGATIONS 1. The Board of Funeral, Cemetery and Consumer Serviccs (hereinafter “the Board”) created within the Department of Financial Services, and the Department of Financial Services have jurisdiction of your licensure as a Funeral Director/Embalmer and the subject matter of this proceeding, pursuant to the provisions of Section 20.121 and Chapter 497, Florida Statutes, the Florida Funeral, Cemetery and Consumer Services Act (hereinafter “The Act”). Jan 1? 2008 3:54 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + S58457r4ogr Jan. 17 2868 8:39AM Ps 2. The Board has the authority to determine through probable cause panels whether there is probable cause to believe there is a violation of Chapter 497, Florida Statutes, and whether a proposed administrative prosecution of a licensee shall go forward, as set forth in Section 497,103(1)(v) and 497,153(3), Florida Statutes. 3. A probable cause panel found probable cause to charge AMBROSE AUSTIN, with violations of Chapter 497, Florida Statutes and the Department’s administrative rules on January 25, 2007 and directed the Department to prosecute. 4. At all times relevant to the allegations of this Administrative Complaint, AMBROSE AUSTIN, was licensed by the State of Florida to conduct business as a funcral directory and an embalmer, pursuant to the provisions of the Act. Ambrose Austin’s license number is FE 1254. 5. Funeral directors and embalmers are governed by the Act and certain administrative rules contained in the Chapter 69, Florida Administrative Code. 6. Pursuant to Rule 69K-21,007, Florida Administrative Code, each full time funcral director in charge shall be responsible for only one funeral establishment and shall also be responsible for making sure the funcral establishment and all persons employed in the establishment comply with all applicable laws and rules of the Board. 7. At all times relevant to the allegations of this Administrative Complaint, AMBROSE AUSTIN, was the full time funeral director in charge of Charles A. Lewis Funeral Home. 8. An investigation of Charles A. Lewis Funeral Home was conducted in February 2006, Jan 1? 2008 3:54 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + S584o7r4ogr Jan. 17 2868 88:39AM P4 COUNT ONE 9. The above General Allegations are hereby realleged and fully incorporated herein by reference. 10. At the time of said investigation, AMBROSE AUSTIN, was the funeral director in charge. Il. The investigation found that AMBROSE AUSTIN as funeral director in charge at Charles A. Lewis Funeral [ome transferred a deceased body (hereinafter referred to as “body of F.B.”) that had been damaged by vermin and was in a severe state of decomposition to a crematory. 12. The investigation determined that the body of F.B. was embalmed by AMBROSE AUSTIN within 24 hours after death as required by Section 497.386, Florida Statutes; death occurred on December 20, 2005. The funeral service for the body of F.B. was conducted by AMBROSE AUSTIN and Charles A. Lewis Funeral Home; it was held on December 24, 2005. 13. Afier the funeral service of the body of V.B., AMBROSE AUSTIN held the body at the funeral home until February 6, 2006 because of the failure of the authorized next of kin to pay the remaining balance of $1966.05. Once the remaining balance was paid, on or about February 6, 2006, AMBROSE AUSTIN notified a removal service to pick up the body of F.B., and the body was transported to Central Florida Cremation of Polk County for cremation. 14. AMBROSE AUSTIN paid the Central Florida Cremation of Polk County $180.00 in cash on or about February 6, 2006 for the cremation of the body of 1'.B. 15. AMBROSE AUSTIN as funeral director in charge, acknowledged that the body had not been refrigerated the entire time. Jan 1? 2008 $:55 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + 85845749? Jan. 17 2668 8:59AM PS 16. At the time of the investigation Charles A. Lewis Funeral Home had no refrigeration at the facility and did not have a contract with any entity to provide refrigeration services. 17. The investigation established that the body of F.B was wrapped in plastic and was not placed in a carrying container adequate to prevent seepage of fluids and escape of offensive odors when transported to Central Florida Cremation of Polk County. IT IS THEREFORE CHARGED that AMBROSE AUSTIN has violated ot is accountable under the following provisions of the Act which constitute grounds for discipline, including the suspension or revocation of license number FE 1254 as a funeral establishment: (a) Committing fraud, deceit, negligence, incompetency or misconduct in the practice of any of the activities regulated under this chapter [Section 497.152(1)(b), Florida Statutes}; (b) A dead human body transported by common carrier or any agency or individual authorized to carry dead human bodies must be placed in a carrying container adequate to prevent the secpage of fluids and escape of offensive odors [Section 497,386(3), Florida Statutes); (c) The licensing authority shall establish by rule the minimal standards of acceptable and prevailing practices for the handling and storing of dead human bodies, provided that all human remains transported or stored must be completely covered and at all times treated with dignity and respect [Section 497.386(4), Florida Statutes]; (d) Violating any provision of the Act. [Section 497.152(1)(a), Ilorida Statutes]. COUNT TWO 18. The above General Allegations are hereby realleged and fully incorporated herein by teference. Jan 1? 2008 $:55 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + S584o7r4ogr Jan. 17 2868 @3:€6AM Pe 19. During the investigation of Charles A. Lewis Funeral Home, the investigator also inspected the funeral home’s premises. 20. At the time of the investigation, AMBROSE AUSTIN as funeral director in charge of Charles A. Lewis Funeral Home knew that the funeral home did not have refrigeration facilities on site for the proper storage of human bodies and that the funeral home had not contracted with or made arrangements with another entity for the proper refrigeration and storage of human bodies as required by the Act. IT IS THEREFORE CIIARGED that AMBROSE AUSTIN has violated or is accountable under the following provisions of the Act which constitute grounds for discipline, including the suspension or revocation of license number FE 1254 as a funeral establishment: (a) A funeral establishment shall be at a place at a specific street address or location consisting of at least 1250 contiguous interior square feet and shall maintain or make arrangements for capacity for the refrigeration and storage of dead human bodies handled and stored by the establishment and a preparation room cquipped with necessary ventilation and drainage and containing necessary instruments for embalming dead human bodies or shall make arrangements for a preparation room as established by rule [Scction 497.380(1), Florida Statutes]; (b) There shall be either a refrigeration room for the storage of dead human bodies, or written arrangements for the refrigeration and storage of dead human bodies [Rule 69K-21.003(1), Florida Administrative Code]; (c) Violating any provision of the Act. [Section 497.152(1)(a), Florida Statutes]. Jan 1? 2008 $:55 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + 85845749? Jan. 17 2865 89:88AM Pr COUNT THREE 21, The above General Allegations are hereby realleged and fully incorporated herein by reference, 22, During the investigation of Charles A. Lewis Funeral Home, the investigator also inspected the funeral home’s premises. 23. At the time of the investigation, AMBROSE AUSTIN knew ot should have known that Charles A. Lewis Funeral Home was required by law to have a sink that has runing hot water; and the funeral home’s sink did not have running hot water. Il I8 THEREFORE CHARGED that AMBROSE AUSTIN has violated or is accountable under the following provisions of the Act which constitute grounds for discipline, including the suspension or revocation of license number FE 1254 as a funeral establishment: (a) Funeral Establishments shall have a hand sink with hot and cold water and a service sink and a Noor drain or sanitary drain for the removal of body fluids connected to central sewage system or septic tank [Rule 69K-21.003(1)(e), Florida Administrative Code]; (b) Violating any provision of the Act, [Section 497.152(1)(a), Florida Statutes}. COUNT FOUR 24. The above general allegations are hereby realleged and fully incorporated herein by reference, 25. During the investigation of Charles A. Lewis 'uneral Home, the investigator also inspected the funeral home’s premises and determined that AMBROSE AUSTIN, performed embalming of dead human bodies. Jan 1? 2008 $:56 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + S584o7r4ogr Jan. 17 2868 @3:€6AM Pe 26. At the time of the investigation, Charles A. Lewis Funeral Home did not have any arterial fluid or cavity fluid for embalming dead human bodies, AMBROSE AUSTIN, as fimeral directot in charge and as an embalmer knew or should have known that the funcral home must have these minimum embalming supplies. IT 18 THEREFORE CHARGED that AMBROSE AUSTIN has violated or is accountable under the following provisions of the Act which constitute grounds for discipline, including, the suspension or revocation of license number FE 1254 as a funeral establishment: (a) A Funeral Establishment shall have the following minimum supplies for embalming dead human bodies: 1. 2 bottles arterial fluid per body; 2. 1 bottle cavity fluid per body [Rule 69K- 21.003(1)(g), Florida Administrative Code]; (b) If embalming services arc offered to the public, the establishment from which the arrangements are made shall have cither a preparation room on the premises in conformity with the requirements of subsection 69K-21,003(1), F.A.C., a centralized embalming facility as defined in subsection 69K-21.003(1), F.A.C., or shall promptly notify the Board office in writing of any arrangements entered into with any other funeral establishment to provide embalming services priot lo the service being provided [Rule 69K-21.003(3), Florida Administrative Code]; (c) Violating any provision of the Act. [Section 497.152(1)(a), Florida Statutes]. COUNT FIVE 27. The above General Allegations are hereby realleged and fully incorporated herein by reference. 28. During the investigation of Charles A. Lewis Funeral Home, the investigator also inspected its promises. Jan 1? 2008 $:56 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + S584o7r4ogr Jan. 17 2868 @3:@1AM Pa 29. At the time of the investigation, AMBROSE AUSTIN as funcral director in charge did not have a report of the number of bodies handled as required by administrative rule. IT IS THEREFORE CHARGED that AMBROSE AUSTIN has violated or is accountable under the following provisions of the Act which constitute grounds for discipline, including the suspension or revocation of license number FE 1254 as a funeral establishment: (a) Each fimeral establishment licensed pursuant to Chapter 497, Florida Statutes, on 4 monthly basis shall submit reports to the Department which shall contain the following information: (a) The number of bodies handled. (b) Failure to keep or timely furnish such reports to the Department by the 10" of the subsequent month shall subject the licensee or registrant to disciplinary action [Rule 69K-20.001, Florida Administrative Codec); (b) Violating any provision of the Act. [Section 497.152(1)(a), Florida Statutes]. WIIEREFORE, the Department respectfully requests that the Board enter an Order imposing one of more of the following penallies: revocation or suspension of licensee’s license; imposition of an administrative fine not to exceed five thousand dollars ($5,000) for each count or separate offense; issuance of a written reprimand; placement of licensee on probation; assessment of costs associated with investigation and prosecution; requiring licensee to make restitution; imposition of any or all penalties delineated within Section 497.153(5), Florida Statutes; and any other relief that the Board is authorized to impose pursuant to Chapter 497, Florida Statutes, and the rules promulgated thereunder. NOTICE OF RIGIITS You have the right to request a proceeding to contest this action by the Florida Department of Financial Services, Board of Funeral, Cemetery and Consumer Services ("Board") pursuant to sections 120.569 and 120.57, Florida Statutes, and rule 28-106, Florida Administrative Code. ‘The proceeding Jan 1? 2008 $:56 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + S584o7r4ogr Jan. 17 2668 @3:€1AM Pile request must be in writing, signed by you, and must be filed with the Florida Department of Financial Services (“Department”) within twenty-one (21) days of your receipt of this notice. Completion of the attached Election of Proceeding form and/or a petition for administrative hearing will suffice as a wtitten request. ‘The request must be filed with the General Counsel acting as Agency Clerk, at the Florida Department of Financial Services, 612 Larson Building, 200 East Gaines Street, Tallahassee, Florida 32399-0333. Your written response must be received by the Department no later than 5:00 p-m. on the twenty-first day after your receipt of this notice. Mailing the response on the twenty-lirst day will not preserve your right to a hearing. YOUR FAILURE TO RESPOND IN WRITING WITHIN TWENTY-ONE (21) DAYS OF YOUR RECEIPT OF THIS NOTICE WILL CONSTITUTE A WAIVER OF YOUR RIGHT TO REQUEST A PROCEEDING ON THE MATTERS ALLEGED HEREIN AND AN ORDER OF SUSPENSION OR REVOCATION WILL BE ENTERED AGAINST YOU. Tf you request a proceeding, you must provide information that complies with the requirements of rule 28-106.2015, Florida Administrative Code. As noted above, completion of the attached Election of Proceeding form conforms to these requirements. Specifically, your response must contam: (a) The name, address, and telephone number, and facsimile number (if any) of ihe respondent (for the purpose of requesting a hearing in this matter, you are the "respondent"). (b) ‘The name, address, telephone number, facsimile number of the attorney or qualified representative of the respondent (if any) upon whom service of pleadings and other papers shall be made. (c) A statement requesting an administrative hearing identifying those material facts that are in dispute. If there are none, the petition must so indicate. (d) — A staternent of when the respondent received notice of the administrative complaint. (e) A statement including the file number of the administrative complaint. Jan 1? 2008 3:57 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + 85845749? Jan. 1? 2668 89:62AM Pil If a hearing of any type is requested, you have the right to be represented by counsel or other qualified representative at your expense, to present evidence and argument, to call and cross-examine witnesses, and to compel the attendance of witnesses and the production of documents by subpoena. If'a proceeding is requested and there is no dispute of material fact, the provisions of section 120.57(2), Florida Statutes, apply. You may submit oral or written evidence in opposition to the action taken by the Board or a written statement challenging the grounds upon which the Board has relied. While a hearing is normally not required in the absence of a dispute of fact, if you feel that a hearing is necessary, one will be conducted in Tallahassee, Florida, or by telephonic conference call upon your , request. However, if you dispute material facts which are the basis for the Board’s action, you must request an adversarial proceeding pursuant to sections 120.569 and 120.57(1), Florida Statutes. These proceedings are held before a State Administrative Law Judge of the Division of Administrative Hearings. Unless the majority of witnesses are located elsewhere, the Department will request that the hearing be conducted in Tallahassee, Florida. Failure to follow the procedure outlined with regard to your response to this notice may result in the request being denied, All prior oral communication or correspondence in this matter shall be considered freeform agency action, and no such oral communication or correspondence shall operate as a valid request for an administrative proceeding. Any request for an administrative procecding received prior to the date of this notice shall be deemed abandoned unless timely renewed in compliance with the guidelines as set out above. Mediation of this matter pursuant to section 120.573, Florida Statutes, is not available. No Department attorney will discuss this matter with you until the response has been reccived by the Department. Jan 1? 2008 3:57 FROM =: DEPT OF FINANCIAL SERVICES FAX NO. 28564674987 Jan. 17 2888 @9:820M Piz DATED and SIGNED this A sul day of Dcremboe _, 2007. ~ KAREN CHANDLLR Deputy Chief Financial Officer Jan 1? 2008 3:57 FROM :DEPT OF FINANCIAL SERVICES FAX NO. + 85845749? Jan. 17 2665 9:82AM P13 STATE OF FLORIDA DEPARTMENT OF FINANCIAL SERVICES DIVISION OF LEGAL SERVICES IN THE MATTER OF: CASE NO.: 85508-06-FC AMBROSE AUSTIN ELECTION OF PROCEEDING T have reecived and have rcad the Administrative Complaint filed by the Florida Department of Financial Services ("Department") against me, including the Notice of Rights contained therein, and ] understand my options, I am requesting disposition of this matter as indicated below. (CHOOSE ONE) LC] I do not dispute any of the Department's factual allegations and 1 do not desire a hearing, [ understand that by waiving my right to a hearing, the Board may enter a final order that adopts the Administrative Complaint and imposes the sanctions sought, including suspending or revoking my license(s) as may be appropriate. 2. 1 do not dispute any of the Department's factual allegations and { hereby clect a proceeding to be conducted in accordance with Section 120.57(2), Florida Statutes. In this regard, | desire to (CHOOSE ONE): [J Submit a writlen statement and documentary evidence in lieu of a hearing: or L] Personally aliend a hearing conducted by a department hearing officer in Tallahassee; or [] Attond that same hearing by way of a telephone conference call, 3.74 I do dispute one or more of the Department's factual allegations. 1 hereby request a hearing pursuant to Section 120,57(1), Florida Statutes, to be held before the Division of Administrative Hearings. I have attached lo this election form the information required by Rule 28-106.2015, Florida Administrative Code, as specified in subparagraph (c) of the Notice of Rights. Specifically, I have identified the disputed issues of material fact. TO PRESERVE YOUR RIGHT TO A HEARING, YOU MUST FILE YOUR RESPONSE WITH ‘THE DEPARTMENT OP FINANCIAL SERVICES WITHIN TWENTY-ONE (21) DAYS OF YOUR RECEIPT OF TIHE ADMINISTRATIVE COMPLAINT. THE RESPONSE MUST BE RECEIVED BY THE DEPARTMENT NO LATER THAN 5:00 P.M. ON THE ‘TWENTY-FIRST DAY AFTER YOUR RECEIPT OF THE ADMINISTRATIVE COMPLAINT. The address for filing is: General Counsel acting as Agency Clerk, Florida Department of Financial Services, 612 Larson Building, 200 East Gaines Street, Tallahassee, Florida 32399-0333. Signaure — Print Name Dates Address: Date Administrative Complaint Received: TE you are represented by an attorney or qualified Phone No.: representative, plense attach to this election form his or her name, address, telephone and fax numbers Fax Now a 12

Docket for Case No: 08-000316PL