2023A-05918-OMC-LS-ROC Notice of Hearing and Packet MAILED

2023A-05918-OMC-LS-ROC · Registrar of Contractors · 2023-09-18

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Arizona Registrar of Contractors, Case No. 2023-05918 COMPLAINANT, Docket No. 2023A-05918-OMC-LS- ROC v. Clear Circuit Inc Jeremiah Dallas Perkins NOTICE OF HEARING ON License No. ROC 202764, CONTESTED CASE

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

November 6, 2023 9:00 AM Adam Stone 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 25, 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)(9)(a)

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 19, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail September 19, 2023 to: Respondent(s) Clear Circuit Inc Jeremiah Dallas Perkins 4802 S Castilla Dr Fort Mohave, AZ 86426 Complainant(s) Arizona Registrar of Contractors 1700 W Washington St Ste 105 Phoenix, AZ 85007 Wesley Cox, Esq. 2005 N Central Ave Phoenix, AZ 85004

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 Complainant’s Attorney at email address of record with Registrar Case No. 2023-05918 /

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

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Case No. 2023-05918 Arizona Registrar of Contractors,

COMPLAINANT, v. CITATION Clear Circuit Inc., License No. ROC 202764,

RESPONDENT.

The Registrar issues this Citation to Clear Circuit Inc. (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by September 9, 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). JURISDICTION This Citation and Complaint is issued pursuant to A.R.S. § 32-1101 et seq., which authorizes the Registrar to impose disciplinary sanctions against licensees for violations of Title 32, Chapter 10 of the Arizona Revised Statutes. FACTUAL ALLEGATIONS Complaint No. 2023-01627 1. On February 10, 2023, the Registrar received unlicensed Complaint No. 2023-01627, filed against Jose Hernandez. Exhibit 1. 2. The complaint was related to a contract in the amount of $84,137.00 for installation of 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 a solar photovoltaic system by Grace Fusion Power. Exhibit 2. 3. The contract listed Respondent’s License No. ROC 202764. See Exhibit 2 at page 1. 4. According to the Arizona Corporation Commission, Jose Hernandez is a principal of Grace Fusion Power AZ LLC. Exhibit 3. 5. Grace Fusion Power AZ LLC does not hold an Arizona contractor’s license. 6. On May 23, 2023, the Registrar issued a warning letter to Respondent for violations of A.R.S. §§ 32-1154(A)(9) and (13). Exhibit 4. 7. On June 1, 2023, Registrar Investigator Brian Binkney had a recorded phone call with Jeramiah Perkins, owner and qualifying party for Respondent. During the call, Mr. Perkins admitted to allowing Mr. Hernandez to use his CR-11 Electrical license to enter contracts. ALLEGED VIOLATIONS Charge 1: A.R.S. § 32-1154(A)(9)(a) – Attempting to evade this chapter by: (a) Aiding or abetting a licensed or unlicensed person.

If this 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. 2023-05918. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: 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 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted]

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 9, 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. 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 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 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 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 constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated August 25, 2023. By: /s/ Robert Stirling Robert Stirling Assistant General Counsel Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, August 25, 2023 to:

Respondent Certified Mail No: [number redacted]

Clear Circuit Inc. 2180 E King St Mohave Valley, AZ 86440

Copy mailed by USPS First Class mail this same date to: Clear Circuit Inc. 2180 E King St Mohave Valley, AZ 86440 Copy sent electronically this same date to:

Respondent at email address on record with 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 EXHIBIT 1 EXHIBIT 2 EXHIBIT 3 EXHIBIT 4 9/8/23, 8:18 AM State of Arizona Mail - Written Response complaint #2023-01627

Answers - AZROC <[email redacted]>

Written Response complaint #2023-01627 message

Clear Circuit Inc. <[email redacted]> Thu, Sep 7, 2023 at 4:20 PM Reply-To: "Clear Circuit Inc." <[email redacted]> To: "[email redacted]" <[email redacted]>

To Whom it may concern,

The following response is in good faith effort to remedy complaint and take moral responsibility for citation issued to respondent/myself: Clear Circuit Inc. In an attempt to address the allegation of "aiding and abetting a licensed or unlicensed person"

Before I began to explain in detail on how we got the circumstance at hand I want to point out my own ignorance, and even though I find myself at the mercy of the Registrar of Contractors it was never my intention to defraud the system or any customer for personal gain. I have also in good faith effort reached out to Mr. Binkney (Investigator), Mr. Hernandez (Grace Fusion Power), and even the Customer of whom filed the above complaint to try and reach a solution, not only for this citation but also in moving forward correctly to ensure this never repeats itself (which it will not).

I'd like to start with Mr. Hernandez. I first came into contact with Jose through a mutual work associate who told me about his friend that had a successful solar company established in Florida and was coming "home" (Arizona) to relocate and be closer to family and grow his business in additional areas. Part of having us meet was the allure that we could both learn from each other, as I wanted to learn more about Solar installations, and Mr. Hernandez wanted to learn more about electrical installations, as both of our respective fields commonly integrate. I would also come to learn that Mr. Hernandez is a veteran and devoted Christian, both personality/life traits I respect. It was/is my understanding that during Mr. Hernandez relocation, he was applying for his AZ state license, and in the meantime, we could do a few jobs together under my license, I would essentially be mentoring his new business and with his expertise in solar field, we'd be able to expand our businesses and better serve our community.

As much as this all sounds fine my next step in our relationship is where I faltered. I did allow Grace Fusion to pull permit for job using my ROC number with the contingency that I would review workmanship to ensure quality and visit site to oversee installation, learn the ins and outs of solar panel installation, trade, etc. However, in hindsight, I realize that my first error was thinking this was okay, second error was all contracts/permits/money should've run through Clear Circuit Inc. as the qualifying party, and any work done onsite should've been completed by Clear Circuit Inc. employees. Basically, to do this correctly Mr. Hernandez and crew would need to be an employee(s) of Clear Circuit Inc. This is what Mr. Binkney was referencing during our recorded voice conversation. In retrospect, or even while typing this response, the errors of my decision ring clear, and even though it's painfully easily understood when said aloud, at the time I truly didn't realize the magnitude of business detriment I was opening myself up to. Not only with the liability of workmanship, bodily injury, fraud, or even now having my own business on the line after nearly years of operation without a single complaint. Something I hold much pride in not only in Arizona but also California and was hoping to expand into Nevada in near future. All of this jeopardized in trying to help out someone else in getting established locally. It was a fatal error in judgement on my part.

https://mail.google.com/mail/b/AEoRXRR9QmliLcAUiw2XhNaXKnfc-90ryGyUHgFns8phgMSsksIu/u/0/?ik=581c53cf5c&view=pt&search=all&permthid… 1/2 9/8/23, 8:18 AM State of Arizona Mail - Written Response complaint #2023-01627

Clear Circuit Inc. has contacted both county and city officials at planning and zoning departments to alert them that Clear Circuit Inc. and Grace Fusion Power are no longer collaborating on any future work to ensure no additional permits can be issued. It is my intention to see this through and do all I can to accept responsibility for my actions, utilize this entire situation as a learning experience, and become a more informed business owner moving forward. Although judgement has not been defined yet, I have already shared my experience with others at contractors meetings, and mutual friend/business owners to help them acknowledge potential dangers of working with unlicensed people.

I have been contracting in the Colorado River Valley area now for 20 years and have seen my share of unlicensed workmanship and even heard of stories where people portray themselves as contractors to scam people out of money, and it is terrible. Neither Mr. Hernandez or I, was trying to steal or fraudulently bolster costs to take advantage of the customer. Infact, I spoke with the customer who filed this complaint off the record, he is also a contractor, and we coincidently were both working on the same project. He expressed to me part of his frustration was that panels were installed but not operable, and with that said he wished they were just removed/gone. I listened to him and understood his frustration and out of respect for his decision, and not being the time or place to elaborate on the situation, I left it at that. We in fact seem to have a good relationship and he too said he was apologetic and didn't realize that his complaint against Mr. Hernandez was going to negatively affect myself. I told him that it was ok, and I put myself in this situation but still wanted to try to resolve the situation. After this conversation I reached out to Mr. Hernandez to let him know what the customers complaint was, and then was informed that we could have the system on however the permit application was blocked by customer so permitting could not be completed by Clear Circuit Inc or Grace Fusion Power effectively prohibiting the system from being energized. I was also informed that Mr. Hernandez offered to remove the panels also but wasn't allowed to, essentially prohibiting their return.

Because of both Men's conflicting stories and ultimately our license being the responsible party, I think it would be in the best interest to try and schedule a resolution meeting or informal settlement conference with all parties in an attempt to resolve the issue at hand. I realize that this is intertwined but still a separate issue of factual allegation regarding "aiding and abetting", I still want nothing more than to settle this matter with the customer and ensure a positive end result for all parties.

In closing, I want to thank the registrar for taking the time to review my response and to take into consideration I was 24 when I started this business and was a much better electrician than business owner. I am constantly learning and hope to never have to draft a response like this again. I am also hoping that our record of not having any complaints over last 20 years will also be taken into consideration when deciding judgement. Finally, even as unfavorable as this may be to my case, I still think Mr. Hernandez also means well and has/had no intention of purposely defrauding customer. From what I have learned my honest opinion is that he truly wants to resolve this issue as well.

Thank you,

Jeremiah Perkins Clear Circuit Inc. 928-201-0074 (cell) 928-768-4166 (fax) [email redacted] (email) www.clearcircuitelectric.com (web site)

https://mail.google.com/mail/b/AEoRXRR9QmliLcAUiw2XhNaXKnfc-90ryGyUHgFns8phgMSsksIu/u/0/?ik=581c53cf5c&view=pt&search=all&permthid… 2/2 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 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

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 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