2023A-05167-CHC-ROC Notice of Hearing and Packet MAILED

2023A-05167-CHC-ROC · Registrar of Contractors · 2023-09-21

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Elizabeth Lemay , Case No. 2023-05167 COMPLAINANT, Docket No. 2023A-05167-CHC-ROC v. NOTICE OF HEARING ON A to Z Retrofit LLC CONTESTED CASE License No. ROC 291392,

RESPONDENT.

This Notice of Hearing is issued under A.R.S. § 41-1092.05(D).

HEARING INFORMATION

The hearing is set for:

November 8, 2023 9:00 AM Sondra Vanella Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

If you have requested to appear in-person at the hearing, the hearing will

be held at 1740 W Adams Street, Phoenix, AZ 85007.

You must attend this hearing. This is an adversarial hearing before an administrative

law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be

prepared to present evidence, including witness testimony and documents, in support of your

case.

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION The State of Arizona has determined that the licensing and regulation of construction

contractors is a proper state function, and has vested authority in the Registrar of Contractors

to administer Title 32, Chapter 10 of the Arizona Revised Statutes. A.R.S. §§ 32-1101 et seq.

All hearings for alleged violations of Title 32, Chapter 10 are conducted under Title 41,

Chapter 6, Article 10. A.R.S. § 32-1156.

The statutes and rules governing the hearing can be found at: Arizona Revised

Statutes §§ 41-1092 to -1092.12, and Arizona Administrative Code R2-19-101 to -122.

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED The statutes and rules the Respondent is alleged to have violated are cited in the

complaint and citation, which were served on the Respondent on August 24, 2023.

SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED The complaint and citation allege that the Respondent committed the following act(s):

Charge: 1 A.R.S. § 32-1154(A)(2)(a) Charge: 2 A.R.S. § 32-1154(A)(22)

THE PARTIES TO THE ADMINISTRATIVE HEARING Because Respondent is a licensee and is charged with an act(s) or omission(s) that is cause for the suspension or revocation of a license, Respondent is a party to this case and will be a party to the hearing. Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing. Respondent and Complainant, as the parties to the hearing, will present evidence and argument to the administrative law judge. The Registrar’s assigned investigator will appear as a witness at the hearing.

RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney.

A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented

by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32-

1156(B).

CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of

any change of address within five (5) days of the change. A.R.S. § 41-1092.04.

HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092

to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and

processes governing the administrative hearing. Copies of the statutes, rules, and articles

regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE The Registrar’s investigators, employees, and attorneys will appear at the hearing via video conference or telephone unless requested by a party to appear in-person. Requests for the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date. HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses certain documents to the parties and the Office of Administrative Hearings. These documents are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below.

SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their case. If a party wants to obtain testimony from a witness or documents not in the party’s possession, the party must prepare and file a written subpoena for the Administrative Law Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04. DISCLOSURE STATEMENT At least seven calendar days before the hearing, each party must prepare and serve a disclosure statement on all other parties, and file it with the Office of Administrative Hearings. A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is available on the Registrar’s website at https://roc.az.gov/content/prehearing-disclosure- statement.

CHANGING THE HEARING DATE

The date of the hearing may only be advanced or delayed on the agreement of the

parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may

be changed by filing a written agreement of the parties to change the date of the hearing. The

written agreement must be filed with the Office of Administrative Hearings, directed to the

assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The

assigned Administrative Law Judge may be found on the Office of Administrative Hearings’

web portal at www.azoah.com

If a party would like to move the date of the hearing without agreement of all parties, the party must file a written motion with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties. The motion must state in detail good cause for why the date of the hearing should be advanced or delayed, and the position of all other parties regarding the advancement or delay. A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).

RESOLUTION SHORT OF ADJUDICATION

In any case which is resolved or settled by the parties, or which is withdrawn by the

Complainant without objection from Respondent after the Notice of Hearing is issued, the

parties must notify the Office of Administrative Hearings of the resolution or settlement. Any

such cases will be listed on the Registrar’s website and its records under the category: “Closed

Complaints – Resolved/Settled/Withdrawn.”

Dated September 22, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail September 22, 2023 to: Respondent(s) A to Z Retrofit LLC 10302 W Earll Dr Avondale, AZ 85392 Complainant(s) Elizabeth Lemay 8430 E Del Norte Ct Scottsdale, AZ 85258

Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar

Case No. 2023-05167 /

Katie Hobbs, Governor Martin Quezada, Director

Hearing Packet FAQ What is the Hearing Packet?

The Hearing Packet is a packet of certain documents collected or issued by the Registrar over the course of its investigation.

Who gets the Hearing Packet?

The Hearing Packet is assembled and distributed to all parties and to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing.

What types of cases does the Registrar prepare a Hearing Packet for?

The Registrar prepares a Hearing Packet for Complainant-Handled Cases and No-Pay Cases. Note: If the Docket Number on the Notice of Hearing contains a “CHC” or “NPC”, your case is a Complainant-Handled Case or a No-Pay Case.

What is in the Hearing Packet?

The Hearing Packet contains essential case-specific documents and at a minimum will include the following documents:

● Original complaint;

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Katie Hobbs, Governor Martin Quezada, Director

● Citation; and ● Answer.

The Hearing Packet will also contain the following documents (if applicable):

● Jobsite inspection notices, notes, and photos; ● Written directives; and ● Compliance inspection notices, notes, and photos.

What if there are documents missing from the Hearing Packet?

If there is any evidence you submitted to the Registrar that are not included in the Hearing Packet it is your responsibility to introduce that evidence at the administrative hearing. Note: The administrative law judge assigned to your case does not have access to the entire Registrar record.

If there is additional evidence you submitted to the Registrar during the investigation that you also want to introduce as evidence during your hearing, it is your responsibility to:

● Properly disclose that evidence to the other party; and ● Introduce the evidence during your hearing.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Katie Hobbs, Governor Martin Quezada, Director

How do I disclose evidence I intend to use at a Hearing?

You must properly disclose any and all documents and witnesses you intend to use at your hearing according to the Registrar’s Prehearing Disclosure Rules. See Arizona Administrative Code Section R4-9-118.

A sample prehearing disclosure form and instructions are provided to the parties by the Registrar.

How do I obtain documents I previously submitted to the Registrar?

If you previously submitted documents to the Registrar and need a copy of these documents, please contact the Registrar’s Legal Department or submit a public records request at https://roc.force.com/AZRoc/s/roc-public-request.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Katie Hobbs, Governor Martín Quezada, Director

Complainant: Elizabeth Lemay 8430 E Del Norte Ct Scottsdale, AZ 85258

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Katie Hobbs, Governor Martín Quezada, Director

Respondent: A to Z Retrofit LLC DBA: 10302 W Earll Dr Avondale, AZ 85392

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Katie Hobbs, Governor Martín Quezada, Director

June 5, 2023

Re: Complaint Number 2023-05167

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for June 29, 2023 at 9:00 AM has been rescheduled for July 12, 2023 at 9:00 AM.

If either party is unable to attend, the Registrar requires 36-hours advance notice for cancellation or continuance.

Complainant: Safe access is required to any area to be inspected.

Should you have any questions regarding the above, please contact me.

Sincerely, Lisa Melton, Investigator #206 602 7716736 [email redacted] 1700 W Washington St, Suite 105 Phoenix, Arizona 85007-2812

License mailing address (if different from account/company address of record):

A to Z Retrofit LLC

4109 E Union Hills Dr Phoenix, AZ 85050-3309

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Katie Hobbs, Governor Martín Quezada, Director

(DELETE THIS ADDRESS/PAGE IF NOT WARRANTED) Complainant Attorney:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Katie Hobbs, Governor Martín Quezada, Director

(DELETE THIS ADDRESS/PAGE IF NOT WARRANTED) Respondent Attorney:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Jobsite Inspection Notes

Case No.: 2023-05167 Investigator: Lisa Melton Inspection Date: July 12, 2023 Inspection Time: 9:00 AM

Complainant: Elizabeth Lemay Respondent: A to Z Retrofit LLC Not Present: Not Present:

ATTENDEES: Complainant: Elizabeth Lemay Respondent: DID NOT APPEAR

Jobsite General Notes: JSI photos and audio was recorded with my agency issued Pixel 6 Pro phone.

Compliance Item 1: Did not receive the living room screen for sliding door; Investigator’s Observation: Complaint states work was completed in April 2022. Final payment was made in September 2022. No evidence that screens were part of the contract (quote). (No photo) Governing Rule: Not Applicable.

Compliance Item 2: Two locks on sliders don't function properly; Investigator’s Observation: Complaint states work was completed in April 2022. Final payment was made in September 2022. Project has been under control of Complainant since completion. Unable to substantiate the condition of the locks at the time of completion. (No photo) Governing Rule: Not Applicable.

Compliance Item 3: Windows do not come clean. Dirt streaks seems to be between the panes of glass Investigator’s Observation: Complaint states work was completed in April 2022. Final payment was made in September 2022. Project has been under control of Complainant since completion. Unable to substantiate the condition of the glass at the time of completion. (No photo) Governing Rule: Not Applicable.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19

Compliance Item 4: Through our own investigating, we have determined that the contractor sold us Cascade Windows and Sliding Glass Doors, but installed American Openings Windows and Sliding glass Doors. In the “Notes Box” on both his quote and invoice it states “these windows come with lifetime warranty Cascade windows”. I feel we were scammed by this contractor and would like to proceed to a resolution. Investigator’s Observation: Quote “Description” does not identify window/sliding glass door manufacturer however Quote does state “…Windows come with a lifetime warranty Cascade Windows…” Manufacturer labels have been removed from some the windows/sliding glass doors. Labels that are still intact identify manufacture as American Openings, Inc. Windows/sliding glass doors appear to be consistent in type, color and material. Respondent should correct by appropriate methods to comply with contract (quote). (See JSI Photos #2 - #7) Governing Rule: A.R.S. §32-1154 (A) (2) (a), Departure from or disregard of: Plans or specifications in any material respect that is prejudicial to another without consent of the owner or the owner’s duly authorized representative and without the consent of the person entitled to have the particular construction project or operation completed in accordance with such plans and specifications and code.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19

Complaint #2023-05167 Inspection Date: 07/12/2023 9:00 AM JSI PHOTOS – Page 1

JOBSITE Complaint #2023-05167 Inspection Date: 07/12/2023 9:00 AM JSI PHOTOS – Page 2

GLASS SLIDER Complaint #2023-05167 Inspection Date: 07/12/2023 9:00 AM JSI PHOTOS – Page 3

GLASS SLIDER LABEL Complaint #2023-05167 Inspection Date: 07/12/2023 9:00 AM JSI PHOTOS – Page 4

WINDOW (1) Complaint #2023-05167 Inspection Date: 07/12/2023 9:00 AM JSI PHOTOS – Page 5

WINDOW (1) LABEL Complaint #2023-05167 Inspection Date: 07/12/2023 9:00 AM JSI PHOTOS – Page 6

WINDOW (2) Complaint #2023-05167 Inspection Date: 07/12/2023 9:00 AM JSI PHOTOS – Page 7

WINDOW (2) LABEL Complainant: Elizabeth Lemay 8430 E Del Norte Ct Scottsdale, AZ 85258

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Respondent: A to Z Retrofit LLC DBA: 10302 W Earll Dr Avondale, AZ 85392

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 July 24, 2023

License No. ROC 291392

Re:Complaint No. 2023-05167

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

After investigation, the Registrar determined that you failed to meet the requirements of A.R.S. § 32-1154(A), and now issues this Directive requiring you to take appropriate corrective action. Failure to comply with this Directive constitutes a violation of A.R.S. § 32-1154(A)(22) and may result in the issuance of a citation, discipline of your license, and a civil penalty pursuant to A.R.S. § 32-1154(E) of up to $500.00. You must notify the Registrar’s assigned Investigator of your compliance with this Directive prior to 5:00 p.m. on August 11, 2023.

If additional time is required due to material delay, the Respondent can request an extension to the due date of the Directive PRIOR to the expiration of the Directive. The request should include documentation sufficient to substantiate the request.

RESTRICTIONS • You may not perform or hire other contractors to perform work that is outside the scope of your license. • If your license is currently suspended for administrative reasons 1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:

This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F). 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Investigator’s Observation: Quote “Description” does not identify window/sliding glass door manufacturer however Quote does state “…Windows come with a lifetime warranty Cascade Windows…” Manufacturer labels have been removed from some the windows/sliding glass doors. Labels that are still intact identify manufacture as American Openings, Inc. Windows/sliding glass doors appear to be consistent in type, color and material. Respondent should correct by appropriate methods to comply with contract (quote). Governing Rule: A.R.S. §32-1154 (A) (2) (a), Departure from or disregard of: Plans or specifications in any material respect that is prejudicial to another without consent of the owner or the owner’s duly authorized representative and without the consent of the person entitled to have the particular construction project or operation completed in accordance with such plans and specifications and code.

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Please direct all questions regarding this Directive to the undersigned Investigator.

Sincerely, Lisa Melton Lisa Melton,

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Investigator #206 602 7716736 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

License mailing address (if different from account/company address of record):

A to Z Retrofit LLC 4109 E Union Hills Dr Phoenix, AZ 85050-3309

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Elizabeth Lemay, Case No. 2023-05167 COMPLAINANT, v.

A to Z Retrofit LLC, CITATION License No. ROC 291392,

RESPONDENT.

The Registrar issues this Citation to A to Z Retrofit LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by September 8, 2023, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On May 2, 2023, Elizabeth Lemay (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged with violating: Charge :1 A.R.S. § 32-1154(A)(2)(a) Departure from or disregard of: (a) Plans or specifications in any material respect that is prejudicial to another without consent of the owner or the owne’'s duly authorized representative and without the consent of the person entitled to

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 have the particular construction project or operation completed in accordance with such plans and specifications and code. Charge :2 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F). FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2023-05167. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, AZ 85007-2812 Mail: P.O. Box 18244, Phoenix, AZ 85005-8244 Email: [email redacted]

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than September 8, 2023. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. /// ///

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Dated August 24, 2023 By: /s/ Katelyn Rolling Katelyn Rolling Legal Assistant II Legal Department Arizona Registrar of Contractors

COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, August 24, 2023 to: Respondent Certified Mail No: [number redacted] A to Z Retrofit LLC 10302 W Earll Dr Avondale, AZ 85392

Copy mailed by USPS First Class Mail this same date to: A to Z Retrofit LLC 10302 W Earll Dr Avondale, AZ 85392

Complainant Elizabeth Lemay 8430 E Del Norte Ct Scottsdale, AZ 85258 Copy sent electronically this same date to:

Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar

Case No. 2023-05167

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Mediation Notice

Mediation Services Mediation services are available to the parties. What is Mediation? Mediation is a method of resolving disputes where the parties can end conflict without the expense and time associated with the full administrative process. Who Participates in During mediation, a mediator will attempt to help the Mediation? parties find an optimal solution to the conflict. Both parties must agree to participate in mediation, and both parties must bring a representative to mediation that has full authority to settle the entire matter. Mediation Is Not Neither the Registrar nor the Office of Administrative Mandatory Hearings will penalize a party for not agreeing to mediation. Where do the Parties The parties will meet at the Office of Administrative Meet for Mediation? Hearings to participate in mediation. The Office of Administrative Hearings is located at 1740 W Adams St., Lower Level, Phoenix, Arizona 85007. When does Mediation can occur after the Registrar issues a citation, but Mediation Occur? before the administrative hearing. Why Should Parties Mediation can be an alternative to the full administrative Consider Mediation? process. Mediation is beneficial because it is (1) time- efficient, (2) cost-effective, (3) confidential, and (4) capable of providing flexible solutions to complex problems. How to Request If the parties wish to mediate this case, they must file a Joint Mediation Request for Mediation with the Office of Administrative Hearings. A Joint Request for Mediation is included with this Mediation Notice. REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA _________________________ Case No. _______________ COMPLAINANT,

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

The parties jointly request that this matter be referred to mediation in the Office of Administrative Hearings (OAH). ☐ This matter is set for hearing on __________________(date). ☐ This matter is not currently set for hearing. MEDIATION AGREEMENT By requesting this mediation and signing below, the parties understand, represent, and agree: 1. The parties are prepared to commence mediation and will be ready for mediation on _____________________(date); 2. The parties will participate in the mediation process in good faith; 3. This request for mediation is not intended to hinder or delay administrative proceedings; 4. No party will contend that the mediation limits the power of OAH and its administrative law judges to conduct an administrative hearing and issue decisions under A.R.S. §§ 41-1092 – 1092.12; 5. The parties will be courteous and respectful throughout the mediation process to all participants; 6. The mediation is completely voluntary and the principal purpose is to allow the parties a full and fair opportunity to discuss settlement; of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 7. The mediator may conduct joint and separate meetings with the parties and may suggest resolutions to the parties’ dispute, but the mediator has no authority to impose a settlement upon the parties; 8. The mediation process is confidential. Communications made, material created for or used during, and acts occurring during mediation are confidential and may not be discovered or admitted into evidence in any proceeding except as provided by A.R.S. § 12-2238; 9. The mediator is not subject to service of process or a subpoena to produce evidence or to testify regarding any evidence or occurrence relating to the mediation except as provided in A.R.S. § 12-2238(C); 10. Neither the mediator, nor the Registrar of Contractors, nor the Office of Administrative Hearings is subject to civil liability for any act or omission in connection with any mediation service or activity except for acts involving

intentional misconduct or reckless disregard of a substantial risk of injury to the rights of others; 11. Throughout the mediation process, each party must have a representative present who will have full settlement authority to settle all claims at issue in the administrative

proceeding. 12. The mediation process will terminate when: a. The parties reach settlement; b. The mediator determines that further efforts at mediation are no longer likely

to achieve a settlement; or c. One of the parties withdraws from mediation. _____________________________________ _______________________ Complainant (or representative) Date

_____________________________________ _______________________ Respondent (or representative) Date

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 ARIZONA REGISTRAR OF CONTRACTORS

Douglas A. Ducey, Governor Jeff Fleetham , Director

Form REQUEST TO CLOSE CASE RC-Lg-701A

Instructions Complete this form to request that the Registrar close a case where the Registrar previously issued a citation. Before the Registrar issues an order closing a case that resulted in citation, both parties must agree to the closure. After consideration, the Registrar may approve the request.

If both parties do not demonstrate their willingness for the Registrar to issue an Order of Closing by completing this form, then the matter will continue to proceed to administrative resolution. This means that, if not already done so:

The Respondent will be required to: 1. Submit a written answer as directed by the Citation and required under A.R.S. § 32-1155(A). o Failure to timely submit an answer may result in the admission of the allegations contained within the citation. A.R.S. § 32-1155(B); and 2. Request a settlement conference under A.R.S. §41-1092.06, if desired.

The Complainant will be required to establish, before the administrative law judge, the merits of their claim.

A. CASE INFORMATION 1. Case Number 2. Complainant 3. Respondent

B. PARTIES ACKNOWLEDGMENT & SIGNATURE Complainant acknowledges that by signing and submitting this Request to Close Case, if the Registrar grants this request: 1. The Registrar may decline to reopen this case; and 2. Complainant’s future remedies, if any, may be limited to another forum. Respondent acknowledges that by signing and submitting this Request to Close Case, if the Registrar grants this request: 1. Respondent’s license record will have a “Closed Case” designation associated with this case; and 2. This case will appear on the Respondent’s public license record available through the Registrar of Contractors’ website as a “Resolved/Settled/Withdrawn” case for a period of seven years.

_____________________ _____________________ ______________ Complainant’s Name Complainant’s Signature Date

_____________________ _____________________ ______________ Respondent’s Name Respondent’s Signature Date

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Within AZ 877.692.9762 ● Fax 602.542.1599 ● www.roc.az.gov

Form RC-Lg-701A Request to Close Case Rev 1/18/2019 Page 1 of 1 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Person Filing Complaint Full Name (First Middle Last) Business Name (if a licensed contractor or supplier) ROC License Number(s) (if any)

Elizabeth Lemay Mailing Address (Enter jobsite in Contract/Project section) City State Zip

8430 E Del Norte Ct Scottsdale Arizona 85258 Phone Number Email

[number redacted] [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Street Address of Attorney City State Zip

Phone Number of Attorney Email of Attorney

Contractor Information Name (as shown on contract/invoice) ROC License Number(s)

A to Z Retrofit LLC ROC 291392 Street Address City State Zip

3726 West Roanoke Avenue Ste 5 Phoenix Arizona 85009 Phone Number Email

[number redacted] [email redacted] Name of Person(s) Representing License

Sam Ghica Contract/Project Information Contract Date Contract Amount Amount Paid

January 22, 2022 $21,787.73 $21,787.73 Date Work Started Date Work Stopped Date Work Was Completed

January 24, 2022 April 1, 2022 April 1, 2022 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

8430 E Del Norte Ct Scottsdale AZ 85258 Name of Construction Site Owner Construction Site Name (if applicable)

Elizabeth Lemay Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Other I have contacted the contractor by Phone/Text;Email Have you filed a complaint in court? No

RCC099 12/05/18 Page 1 of 2 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Has any work been corrected? No

The contract was Written All change orders were Written This project was Residential This project involved Remodel

A building permit was obtained by N/A List and briefly describe each complaint item (Please do not write "see attached" or use additional pages unless necessary to further describe issues or list more complaint items) (limited to 100 characters per line)

Did not receive the living room screen for sliding door; Two locks on sliders don't function properly; Windows do not come clean. Dirt streaks seems to be between the panes of glass

Signature I declare under penalty of perjury that the information and documents contained on this Complaint Form, included with this complaint, or hereafter submitted in support of this complaint are true and accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date

Elizabeth Lemay \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 Received 9/11/23, 8:07 AM State of Arizona Mail - Case No. 2023-05167 09/08/2023 ROC Legal

Answers - AZROC <[email redacted]>

Case No. 2023-05167 message

Samuel Ghica <[email redacted]> Fri, Sep 8, 2023 at 8:58 AM To: "[email redacted]" <[email redacted]>

Respondent A To Z Retrofit LLC License No. ROC 291392 Case No. 2023-05167

I Samuel am responding back to the written complaint I’ve received from the registrar of contractors of the state of Arizona. Asking to get this complaint dismissed. Before I start off, I want to go over the quote sheet 0122 Elizabeth, dated 01-22-2022. On the quote sheet I want to be clear on the 3 different products quoted that was mentioned then. Lines 1,2,3 which are 2 single hung windows and a Sliding glass window that were quoted Cascade windows do to being most cost efficient. Lines 4,5,6,7 are patio door that were quoted AOI due to the size and needing to customize widths and heights of doors. Lines 8,9 are Pre-hung fiberglass doors that were quoted Threma Tru. As I mentioned to Elizabeth all products that was install come with warranty from manufactures even though it doesn’t state that in note section of my quote. Now the story behind Cascade and the windows that were ordered. I received a check from Elizabeth on 02/03/2022. The following day I sent off a order request to Cascade, AOI and Threma Tru. Cascade got back to me on 02/09/2022 with sales order ticket 2897789 with a promise date of delivery for 05/19/2022. The total for the 3 windows with tax came out to be $1898.75. I charged Elizabeth 2164.14 including tax. I’ve attached the paid sales order ticket as well as some email thread of the hassle and lies that Cascade has put me through in the year of 2022 on Elizabeth’s and 16 other orders. Fast forward to 05/19/2022 the promised delivery date and no windows show up for Elizabeth home, cascade is very unresponsive on giving me an update not only just for Elizabeth order and a lot more orders as well that were order in 2021. Countless emails with countless people not knowing what there doing as well as phone calls have gone back forth with Cascade, Cascade then send over another revised delivery date. Product still doesn’t so up. And another revised delivery and still nothing. This goes on for 2 more months and still no show on Elizabeth’s windows. So at the end of July, I contact AOI and order the window from them. The total was $2311.05 including tax. I also included that in this email. The total was more then I quoted the window’s originally but didn’t not ask Elizabeth for more money. As well as already paying in full for $1898.75 for Cascade windows with if you add both those totals up, I was at $4209.08. As for a refund for Cascade I finally got a refund for those windows out in February of 2023 a year later. The last order I’ve ever placed and will ever place with Cascade was Elizabeth order. I have closed all account with Cascade and have lost all trust in them as a manufacture. I ask Elizabeth to please go look of the Cascade review in the past year which are all 1 star. The only reason I stuck around with Cascade this long was for the Paramount Series Vinyl and Aluminum windows.

History on the aluminum windows from Cascade, if you look over their sales order 2897789 sheet I received from cascade on 02/09/2022 you’ll see the product they quoted is call Paramount Aluminum Series (the only aluminum series they offer) And that’s because Cascade bought paramount windows from a family owned business out here in Arizona. When I first opened the I wanted to only offer a locate and family own product and a cost-efficient price of course and Paramount was the Product. But then Sam Regina the owner of Paramount sold to Cascade, so I had no choice but to switch over. Same product different owner. https://mail.google.com/mail/b/AEoRXRQv-UiOOMuVXgX-QnCUcznHgzD7qqY3looRg7w_b4trktms/u/0/?ik=581c53cf5c&view=pt&search=all&permthi… 1/2 Received 9/11/23, 8:07 AM State of Arizona Mail - Case No. 2023-05167 09/08/2023 ROC Legal Now Sam Regina, has a brother Tom Regina owns AOI another family-owned business out here in southern Arizona and they are the exact window product just a little more costly.

I feel as if I did everything in my power to get Elizabeth what she needed to get here windows just right for her home. I’m not the type to try to Scam or take advantage of anyone and always stand behind my installs. I’m here to take care of any issue Elizabeth may have on her current product she has installed to get it right. Yes 2022 was a rough year for my company and I took a big loss, lost my shop and future clients and it all had to do with Cascade Windows. I’ve taken a break from taking on any residential work this past year to get my company back on its feet and trying my best to make everything right for everybody.

Samuel Ghica A To Z Retrofit LLC 602-702-2417

attachments Line items.pdf 458K Cascade-2.pdf 235K AOI.pdf 416K Email 1.pdf 603K Email 2.pdf 1466K

https://mail.google.com/mail/b/AEoRXRQv-UiOOMuVXgX-QnCUcznHgzD7qqY3looRg7w_b4trktms/u/0/?ik=581c53cf5c&view=pt&search=all&permthi… 2/2 Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Received 09/08/2023 ROC Legal Mediation Notice

The Office of Administrative Hearings is located at 1400 West Washington, Suite 101, Phoenix, Arizona 85007. When does Mediation can occur after the Registrar issues a citation, but Mediation Occur? before the administrative hearing. Why Should Parties Mediation can be an alternative to the full administrative Consider Mediation? process. Mediation is beneficial because it is (1) time- efficient, (2) cost-effective, (3) confidential, and (4) capable of providing flexible solutions to complex problems. How to Request If the parties wish to mediate this case, they must file a Joint Mediation Request for Mediation with the Office of Administrative Hearings. A Joint Request for Mediation is included with this Mediation Notice. REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA _________________________ Case No. _______________ COMPLAINANT,

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

proceeding. 12. The mediation process will terminate when: a. The parties reach settlement; b. The mediator determines that further efforts at mediation are no longer likely

to achieve a settlement; or c. One of the parties withdraws from mediation. _____________________________________ _______________________ Complainant (or representative) Date

_____________________________________ _______________________ Respondent (or representative) Date

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 PREHEARING DISCLOSURE STATEMENT INSTRUCTIONS ***DO NOT SUBMIT THESE INSTRUCTIONS WITH THE PREHEARING DISCLOSURE FORM***

ADMINISTRATIVE RULES A copy of the Arizona Administrative Code’s Rules for the Registrar of Contractors can be located on the Registrar’s Website.

PREHEARING DISCLOSURE REQUIREMENT Under A.A.C. R4-9-118(A), before a hearing, the parties must prepare a disclosure statement. The disclosure statement must contain: • A list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony; and • A list of all the exhibits that the party will use at the hearing.

FILE PREHEARING DISCLOSURE STATEMENTS • The Prehearing Disclosure Statements and Exhibits may be submitted to the Arizona Office of Administrative Hearings using any of the following: • Electronically: https://portal.azoah.com/submission/ • In-Person or by Mail: 1740 West Adams Street, Lower Level, Phoenix, Arizona 85007

EXCHANGING DISCLOSURE STATEMENTS AND EXHIBITS Under A.A.C. R4-9-118(B) (effective November 5, 2017), a party to the hearing must serve on every other party and file with the Office of Administrative Hearings a copy of: • The disclosure statement; and, • Any exhibit that the party will use at the hearing. Service: The disclosure statement and exhibits must be served on all parties in accordance with Arizona Administrative Code R2-19-108 Filing Documents. Under A.A.C. R2-19-108, service is completed by: • Personal delivery; • 1st class, certified or express mail; or • Facsimile. Timing: The disclosure statement and the exhibits must be served and filed not less than seven calendar days before the date of the hearing. Under A.A.C. R2-19-108, a document is served on a party: • On the date it is personally served; • Five days after it is mailed by express or 1st class mail; • On the date of the return receipt if it is mailed by certified mail; or • On the date indicated on the facsimile transmission.

CONSEQUENCES FOR FAILING TO DISCLOSE Under A.A.C. R4-9-108(C), if a witness or an exhibit is not timely disclosed as required the rules, and good cause for the failure to disclose is not shown, then the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

Form RC-L-800A Prehearing Disclosure Statement Rev. 10/08/2019 Instructions Form PREHEARING DISCLOSURE STATEMENT FORM RC-L-800A

PART 1: WITNESS LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony. If you need additional space to list all witnesses, complete and attach additional Witness Lists. Example 1. Name 2. Telephone Number 3. Email Address

John Doe (123) 456-7890 [email redacted] 4. Subject Matter of Expected Testimony

John Doe will testify regarding the poor workmanship and poor installation of the Garage Door. Mr. Doe will also testify regarding the invoices and change orders for the project.

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 1 of 3 PART 2: EXHIBIT LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the exhibits that the party will use at the hearing. Note: All exhibits listed below must be provided to all parties to the hearing. See A.A.C. R4-9-118(B). If you need additional space to list all witnesses, complete and attach additional Exhibit Lists. Example Contract for new garage door. Invoice #10001 – Cost for garage door replacement.

Exhibit Exhibit Name

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 2 of 3 PART 3: ACKNOWLEDGEMENT & SIGNATURE I certify that the above information is true and correct and that I will serve a copy of this disclosure statement and any exhibits listed in Part 2 to all parties to the hearing in accordance with A.A.C. R4-9-118. I acknowledge and understand that if I fail to properly disclose a witness or exhibit, the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

I am the (check one):  Complainant  Respondent Docket No.

Print Name Signature Date

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 3 of 3