2023A-05920-CHC-ROC Notice of Hearing and Packet MAILED

2023A-05920-CHC-ROC · Registrar of Contractors · 2023-09-08

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Catherine McDougall , Case No. 2023-05920 COMPLAINANT, Docket No. 2023A-05920-CHC-ROC v. NOTICE OF HEARING ON J4 Construction LLC CONTESTED CASE License No. ROC 328291,

RESPONDENT.

This Notice of Hearing is issued under A.R.S. § 41-1092.05(D). HEARING INFORMATION The hearing is set for: October 16, 2023 1:00 PM Tammy Eigenheer 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 14, 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)(3) - R4-9-108(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 6, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail September 6, 2023 to: Respondent(s) J4 Construction LLC Po Box 13383 Chandler, AZ 85248 Complainant(s) Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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. 2023-05920 /

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: Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Katie Hobbs, Governor Martín Quezada, Director

Respondent: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Katie Hobbs, Governor Martín Quezada, Director

June 5, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-05920

Dear Complainant and Respondent:

A formal complaint has been filed with the Arizona Registrar of Contractors.

A jobsite inspection is scheduled for June 29, 2023 at 10:00 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

COMPLAINANT: 1. Under A.R.S. § 32-1155(D)(1), the Respondent must be allowed, upon request, the opportunity to inspect the work complained of within fifteen (15) days of receiving this notice. If Respondent is not provided an opportunity to inspect the work within the fifteen (15) day time period, the Registrar may be prohibited from taking further action on this complaint. 2. The Registrar may also be precluded from taking further action on this complaint, if the work that is the subject of the complaint is subject to neglect, modification, or abnormal use. A.R.S. § 32-1155(D)(2) 3. You must provide safe access to any area to be inspected. If access to a roof or other elevated area is required, you must provide a means to safely access the area (ladder or manlift as appropriate). Additionally, please secure any animals.

RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection. If either party needs to reschedule the jobsite inspection, please notify the assigned investigator at least three business days prior to the inspection date to schedule a new date and time. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Katie Hobbs, Governor Martín Quezada, Director

If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.

Sincerely, Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Katie Hobbs, Governor Martín Quezada, Director

A Guide to Jobsite Inspections

Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license alleging poor workmanship, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

Jobsite Inspection Rights and Responsibilities Access to inspect: The property owner has complete control over who they allow on the property. However, if the Registrar’s investigator or the contractor cannot inspect the work, the Registrar will not move forward with a citation.

Cooperation: Arizona law enables injured parties to seek relief for damages through several paths. When dealing with a licensed contractor, the Registrar of Contractors’ administrative complaint process may serve as one of those possible paths. However, in order to use that path, the Registrar relies on the cooperation of all parties to a complaint.

Minimum workmanship: The Registrar investigates workmanship complaints for compliance with minimum workmanship and professional industry standards. The Registrar does not issue citations for work that meets these standards.

Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.

The Role of the Investigator At the Jobsite Inspection, the Registrar’s investigator will: ● Only investigate the items listed on the complaint form filed with the Registrar. ● Will gather evidence to make an informed decision about the complaint items.

What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Katie Hobbs, Governor Martín Quezada, Director

A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will determine whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

Written Directives Access: In order to use the administrative process offered by the Registrar, a property owner must provide reasonable access to allow the contractor to fix their work as directed by the Registrar in a Written Directive. Complainants may not put any additional, unnecessary restrictions on the Respondent above and beyond the initial contract requirements agreed upon at the beginning of the project. Respondents are required to make repairs on items identified on any Written Directive, not otherwise restricted by local code or HOA limitations. Complainants must make access available to the Respondent to make the required repairs and failure to provide reasonable access may result in the Registrar dismissing the complaint.

Contractor obligations: The Written Directive will set a deadline for compliance. This is the period of time determined by the Investigator as necessary to complete the items listed in the Directive. ● The deadline for compliance assumes the contractor will promptly begin working on the items listed in the Directive. ● Do not wait. Both parties should communicate quickly to schedule the work.

Extensions: If good cause exists to extend this deadline, either party may submit a written request to the Investigator. The Registrar will review requests for extension and determine if the Directive should be extended.

Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.

Compliance Inspection: After the Written Directive expires, the Registrar’s Investigator will contact the complainant to determine if the contractor performed any corrective work. ● If the contractor did corrective work, the Investigator may schedule a Compliance Inspection to determine if the poor work is corrected. ● If the contractor did not perform any corrective work, the Registrar’s Investigator will not do a Compliance Inspection and will determine whether to issue a citation based on the administrative record.

Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Katie Hobbs, Governor Martín Quezada, Director

require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Complainant: Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 June 29, 2023

License No. ROC 328291

Re:Complaint No. 2023-05920

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 07-21-2023.

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 reasons1, 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 Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

Compliance Item: 3 –Artificial grass has noticeable seams. Investigator’s Observation: Verified. I observed several seams in the artificial grass that appeared to be minor and some seam visibility is to be expected. I did observe one seam, to the rear of the pool, which was excessive and had gaps up to ½”. The Respondent observed this section and stated it could be better. Contractor should correct the seam by appropriate means. Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

Compliance Item: 6 – Leaking pipe for the waterfall is still leaking and is caulked. Investigator’s Observation: Verified. I observed the waterfall and there appeared to be two areas leaking. The contract states “Repair water feature on pool”. Both parties agreed the scope of work was to repair the leaks. Contractor should correct the leaks by appropriate means. Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

Compliance Item: 9 – One of the lights are not working. Investigator’s Observation: Verified. I observed the landscape lighting as turned on by the Respondent. The lights at the pool planter were functioning but none of the lights along the rear planter were functioning. Contractor should correct by appropriate means. Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Compliance Item: 2 – Irrigation lines are not buried. Investigator’s Observation: Unverified. I observed irrigation lines rising above the ground cover in various places throughout the planters. The Complainant has had her own landscaper maintaining the yard since project completion. The Complainant also had the block walls repaired and painted since the irrigation was installed and they may have raked up the lines while painting the base of the wall. Buyer resumes responsibility of sprinkler heads, bubbler heads and distribution tubing of drip systems after 90 days unless improper workmanship by the contractor can be shown. In response to this complaint item: There is not sufficient evidence to find that the Respondent Failed to meet minimum workmanship standards per A.A.C. R4-9-108. Governing Rule: N/A

Compliance Item: 4 – Very little coverage over the flower bed area. Investigator’s Observation: Unverified. The Complainant pointed out the mulch not having coverage along the border to the grass. The mulch was very light weight and it appeared to have been moved by a blower during normal yard maintenance as there were piles pushed back from the edge. The Complainant has her own landscaper for maintenance, not the Respondent. No correction required. Governing Rule: N/A

Compliance Item: 5 – Project was told would be finished November 2021 and is still not complete. Investigator’s Observation: Unverified. This is a general statement and the project was completed with only some warranty issues remaining. Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Compliance Item: 7 – One coat of sealer was applied to seal the tile and grout even though tile appeared dirty. Investigator’s Observation: Unverified. I observed the tile and it appeared to be sealed. The Respondent had stripped and resealed the tile once as the finish was not aesthetically pleasing to the Complainant. Sealing the tile and type of sealer is not in the contract but both parties agreed it was to be sealed. The Complainant pointed out discolored tiles/sealer around the pool edge and waterline. These tiles seemed to have been affected by the pool water chemistry and are not caused by the Respondent. No correction required. Governing Rule: N/A

Compliance Item: 8 – Water was turned off for an extended period and plants and trees died. Investigator’s Observation: Unverified. The vegetation has been replaced by the Respondent since and a couple plants are not surviving. This is not an item the Registrar can address as there is no way to verify the planting and continued maintenance provided by the Complainant. Governing Rule: N/A

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

Sincerely,

Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Jobsite Inspection Notes

Case No.: 2023-05920 Investigator: Doug Barrett Inspection Date: 06-29-2023 Inspection Time: 10:00 AM

Complainant: Catherine Respondent: J4 Construction LLC McDougall Not Present: Not Present:

Jobsite General Notes: Both parties were present, including Tristen Jimenez and Mando Perez from the Respondent. I discussed expectations versus minimum workmanship standards with the parties, including the fact that construction inherently by nature is not perfect.

Compliance Item: 1 – Saltillo tile left unsealed for 18 months and became damaged. Investigator’s Observation: Verified. I observed several cracked tiles throughout the patio area along with some grout overspray on some tiles. The Respondent stated they had agreed to repair the tiles but had not had a chance yet. Contractor should correct the tiles by appropriate means. Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

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 RCC100 11/18

the irrigation was installed and they may have raked up the lines while painting the base of the wall. Buyer resumes responsibility of sprinkler heads, bubbler heads and distribution tubing of drip systems after 90 days unless improper workmanship by the contractor can be shown. In response to this complaint item: There is not sufficient evidence to find that the Respondent Failed to meet minimum workmanship standards per A.A.C. R4-9-108. Governing Rule: N/A

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 RCC100 11/18

Compliance Item: 7 – One coat of sealer was applied to seal the tile and grout even though tile appeared dirty. Investigator’s Observation: Unverified. I observed the tile and it appeared to be sealed. The Respondent had stripped and resealed the tile once as the finish was not aesthetically pleasing to the Complainant. Sealing the tile and type of sealer is not in the contract but both parties agreed it was to be sealed. The Complainant pointed out discolored tiles/sealer around the pool edge and waterline. These tiles seemed to have been affected by the pool water chemistry and are not caused by the Respondent. No correction required. Governing Rule: N/A

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 RCC100 11/18

none of the lights along the rear planter were functioning. Contractor should correct by appropriate means. Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

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 RCC100 11/18

Complaint #2023-05920 P 1 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 2 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 3 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 4 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 5 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 6 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 7 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 8 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 9 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 10 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 11 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 12 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 13 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 14 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 15 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 16 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 17 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 18 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 19 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 20 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 21 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 22 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 23 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 24 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 25 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 26 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 27 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 28 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 29 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 30 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 31 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 32 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 33 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 34 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 35 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 36 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 37 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 38 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 39 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 40 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 41 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 42 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 43 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 44 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 45 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 46 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 47 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 48 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 49 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 50 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 51 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 52 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 53 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 54 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 55 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 56 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 57 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 58 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 59 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 60 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 61 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 62 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 63 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 64 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 65 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 66 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 67 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 68 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 69 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complaint #2023-05920 P 70 JSI date 06/29/2023 at 10:00AM JSI PHOTOS Complainant: Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

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 328291

Re:Complaint No. 2023-05920

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

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 Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

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

Sincerely,

Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Complainant: Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Respondent: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 August 7, 2023

Compliance Jobsite Inspection Notice Re: Complaint No. 2023-05920

Dear Complainant and Respondent:

A Compliance Inspection has been scheduled for August 10, 2023 at 11:30 AM to determine the current status of the items listed on the issued Directive.

The Complainant is required to be present for this inspection. The Respondent is encouraged to be present but is not required to attend.

Complainant: SAFE ACCESS IS REQUIRED TO ANY AREA TO BE INSPECTED.

Sincerely,

Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Complaint #2023-05920 P 1 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 2 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 3 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 4 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 5 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 6 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 7 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 8 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 9 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 10 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 11 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 12 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 13 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 14 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 15 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 16 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 17 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 18 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 19 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 20 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 21 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complainant: Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Respondent: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Case No.: 2023-05920 Investigator: Doug Barrett Inspection Date: August 10, 2023 Inspection Time: 11:30 AM

Compliance Jobsite General Notes:

Compliance Findings:

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 the process the new seam is very visible and the added strip of artificial grass sits higher than all the surrounding grass. This item is still not corrected.

Note:

Please review the complaint items listed above. If any of the items have not been corrected at the time of the compliance inspection this complaint will be forwarded to the Registrar’s legal department and a citation may be issued. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 If all items are corrected after receipt of this letter, please notify the Registrar’s legal department by sending a notice of compliance signed by the complainant to fax number (602) 364-0416 or by mail to: Arizona Registrar of Contractors, P.O. Box 18244, Phoenix, Arizona 85005-8244. Sincerely,

Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Catherine McDougall, Case No. 2023-05920 COMPLAINANT, v. J4 Construction LLC CITATION License No. ROC 328291, RESPONDENT.

The Registrar issues this Citation to J4 Construction LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by August 29, 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 23, 2023, Catherine McDougall (“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)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. 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 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. 2023-05920. 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, 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. 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 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 August 29, 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. Dated August 14, 2023. 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 By: /s/ Shaquira Adebule Shaquira Adebule Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, August 14, 2023 to:

Respondent Certified Mail No: [number redacted]

J4 Construction LLC Po Box 13383 Chandler, AZ 85248 Copy mailed by USPS First Class mail this same date to: Respondent J4 Construction LLC Po Box 13383 Chandler, AZ 85248

Complainant Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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. 2023-05920 / SA

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 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Received by Investigations 05/23/2023 2023-05920 Katie Hobbs, Governor Martín Quezada, Director

Jobsite Inspection Notes

Case No.: 2023-05920 Investigator: Doug Barrett Inspection Date: 06-29-2023 Inspection Time: 10:00 AM

Complainant: Catherine Respondent: J4 Construction LLC McDougall Not Present: Not Present:

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 RCC100 11/18

none of the lights along the rear planter were functioning. Contractor should correct by appropriate means. Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

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 RCC100 11/18

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: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 June 29, 2023

License No. ROC 328291

Re:Complaint No. 2023-05920

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

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 Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

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

Sincerely,

Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Complainant: Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

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 328291

Re:Complaint No. 2023-05920

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

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 Governing Rule: ARS 32-1154(A)(3) Poor Workmanship namely Rule R4-9-108

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

Sincerely,

Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Complaint #2023-05920 P 1 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 2 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 3 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 4 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 5 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 6 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 7 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 8 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 9 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 10 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 11 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 12 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 13 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 14 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 15 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 16 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 17 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 18 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 19 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 20 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complaint #2023-05920 P 21 CJSI date 08/10/2023 at 11:30AM CJSI PHOTOS Complainant: Catherine McDougall 1218 East Divot Drive Tempe, AZ 85283

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Respondent: J4 Construction LLC DBA: Po Box 13383 Chandler, AZ 85248

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Case No.: 2023-05920 Investigator: Doug Barrett Inspection Date: August 10, 2023 Inspection Time: 11:30 AM

Compliance Jobsite General Notes:

Compliance Findings:

Note:

Doug Barrett Doug Barrett, Investigator 602 7716775 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Received 8/22/23, 8:09 AM 08/21/2023 State of Arizona Mail - Written Answer to Citation and Complaint - Case No. 2023-05920 ROC Legal

Answers - AZROC <[email redacted]>

Written Answer to Citation and Complaint - Case No. 2023-05920 message

Tristen Jimenez <[email redacted]> Mon, Aug 21, 2023 at 2:09 PM To: "[email redacted]" <[email redacted]>

To Whom it May Concern:

We have been attempting to fix things and make them right for months now and can’t seem to resolve it with Ms. McDougall. We have never once ignored an issue or walked away or left things unfinished. We are still owed $8,100 (that includes a $600 credit for the waterfall repairs we couldn’t make 100% better and we both agreed on so far) for the remaining half of the work and are still trying to get paid and make the corrections to make her happy. Our timeline from the written directive was Friday August 4th. On August 3rd I reached out to Cathy asking if we could walk the job with her and she said she wanted to wait until Doug could come back and inspect. We agreed however, Doug wasn’t able to get out there until Thursday August 10th. On the date when we all showed up, I honestly believed everything was fixed and it was all going to end that day. I didn’t know we overlooked the grout droppings on the written directive and I also believed that the grass seam was better and everyone would agree. That day Doug told us we didn’t comply, our time was up and it was going to move to the next steps. I have never been in this situation before with the ROC, so I was unaware of the next steps and had I known, I would have tried harder to make her walk it with us before the deadline and maybe it would’ve been caught. On that day August 10th, Doug encouraged us to still try to resolve our issues. I asked her if we could talk about it some more when Doug was leaving and she told us no, she had to get to work and to think about how I wanted to resolve it and get back to her, which I have done now several times. Nothing that has occurred and been intentional in any way on our part. I feel like through the duration of this project I have bent over backwards trying to make her satisfied to no avail.

As for Charge 1: this is in regards to an artificial grass seam. She did not like it, Doug Barrett asked us to fix the gap, we thought what we did made it better and she’s still not satisfied with it. I have offered to still try to make it look better and/or offer a credit for the work and she is not responding to my offers on resolving. (see attached email correspondence)

Charge 2: this is in regards to some grout splatters randomly on the Saltillo tile. This was written in the written directive from Doug, however somehow we overlooked this correction and did not make the corrections purely by mistake not intentionally. We asked if we can correct this and/or offer a credit for the work and are not getting any responses to the offers on resolving. (see attached email correspondence)

At this time my hands are tied if I can’t get her to respond to me to resolve these issues. I have made every effort I know how to at this point. I would like to request a mediation I will try to get her on board with that if she’s willing. I am sending her the request for her signature to sign today.

Thank you,

Tristen Jimenez | J4 Construction, LLC

https://mail.google.com/mail/b/AEoRXRRuEvW2_oXHE0gTAm6FcZVdeD_Dzz8AIwEmp8WIj2agOpoF/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 1/2 Received 8/22/23, 8:09 AM 08/21/2023 State of Arizona Mail - Written Answer to Citation and Complaint - Case No. 2023-05920

PO Box 13383 Chandler, AZ 85248| TEL: 480.322.3255 ROC Legal

Email Correspondence with Cathy as of 8-21-23.pdf 1555K

https://mail.google.com/mail/b/AEoRXRRuEvW2_oXHE0gTAm6FcZVdeD_Dzz8AIwEmp8WIj2agOpoF/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 2/2 Received 08/21/2023 ROC Legal

Tristen Jimenez

From: Tristen Jimenez Sent: Wednesday, August 16, 2023 2:04 PM To: Cathy McDougall Subject: FW: J4 Construction Proposal - Regarding Invoice #1064

Hi Cathy,

I haven’t heard back from you since our last communication on Friday August 11 th . I would really like to settle this between you and I. You were willing to settle on $7,000 a few weeks ago. I am not sure what has changed between now and then. I did not want it to get to this point, but due to the lack of communication in the last 4 days, it is forcing me to move forward with legal action unless there is a resolution by 5pm today. If you are still not willing to settle for $7,000 what number are you willing to settle at? This settlement will include paying us for the work that has been completed and dropping the case with the ROC. I look forward to a resolution.

Kind Regards,

Tristen

From: Tristen Jimenez Sent: Friday, August 11, 2023 1:43 PM To: 'Cathy McDougall' <[email redacted]> Subject: RE: J4 Construction Proposal - Regarding Invoice #1064

Hi Cathy,

It looks as though our emails crossed paths in cyberspace earlier today. I will clarify what I was offering. I am offering a $1200 credit off the $8700 invoice since we did not fully remove all of the grout droppings and you are unhappy with the grass seam. We have complied with everything else the ROC asked us to fix. If you will accept the $7500 offer that will include us leaving everything as is and closing our case with the ROC and we all move on. Please let me know if you have any further questions regarding this.

Tristen

From: Cathy McDougall <[email redacted]> Sent: Friday, August 11, 2023 10:17 AM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

Your settlement offer is not entirely clear on what you mean? Can you please clarify it? Thank you On Thu, Aug 10, 2023 at 5:23 PM Tristen Jimenez <[email redacted]> wrote: What are you referencing exactly?

From: Cathy McDougall <[email redacted]> Sent: Thursday, August 10, 2023 5:21 PM

Received 08/21/2023 ROC Legal To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

I would like to get some repair options from saltillo restoration on how to fix this

On Thu, Aug 10, 2023 at 5:11 PM Tristen Jimenez <[email redacted]> wrote: Would you like me to continue to try to fix things, or is there another number you would feel comfortable with?

From: Cathy McDougall <[email redacted]> Sent: Thursday, August 10, 2023 5:08 PM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

No thank you for the offer

On Thu, Aug 10, 2023 at 12:37 PM Tristen Jimenez <[email redacted]> wrote:

Hello Cathy,

I would like to offer you a settlement of $7,500 and we can agree to end this and walk away today everything as is. Please let me know if you are in agreement with this.

Thank you,

Tristen

From: Cathy McDougall <[email redacted]> Sent: Friday, August 4, 2023 11:05 AM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

Ok thank you

On Fri, Aug 4, 2023 at 11:03 AM Tristen Jimenez <[email redacted]> wrote:

Ok I'll arrange for him to come back.

Received 08/21/2023 ROC Legal Sent from my Verizon, Samsung Galaxy smartphone Get Outlook for Android

From: Cathy McDougall <[email redacted]> Sent: Friday, August 4, 2023 10:59:54 AM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

I think he should come to look at the patch in the grass just to make sure its ok and will hold up

I have never seen it repaired like that

thank you

On Fri, Aug 4, 2023 at 10:37 AM Tristen Jimenez <[email redacted]> wrote:

Just to clarify I did speak to Doug and he said he will only come back if we can't come to agreement. Do you still want him to come?

Sent from my Verizon, Samsung Galaxy smartphone Get Outlook for Android

From: Cathy McDougall <[email redacted]> Sent: Friday, August 4, 2023 10:30:49 AM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

Ok let’s get the courtesy inspection and then be done with this job

On Thu, Aug 3, 2023 at 6:50 PM Tristen Jimenez <[email redacted]> wrote:

Hi Cathy,

After several attempts on trying to make the waterfall feature 100% moisture free we just can’t make it happen. So I am willing to credit you back the $600 we charged you for that. As for the grass, we pulled up what we Received 08/21/2023 ROC Legal previously did and went about it another way and feel confident that it looks way better and the gap has been closed and the seam looks better. Would you like us to come over tomorrow to look at the seam with you? Or we can agree to wrap this up and be done with the job. Let me know your thoughts.

Thank you,

Tristen

From: Cathy McDougall <[email redacted]> Sent: Saturday, July 22, 2023 10:04 AM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

Ok thank you

On Sat, Jul 22, 2023 at 10:04 AM Tristen Jimenez <[email redacted]> wrote:

Thank you. We will try our best to get it all done by Friday before you go.

From: Cathy McDougall <[email redacted]> Sent: Saturday, July 22, 2023 9:56 AM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

Just a heads up that I am moving my daughter to San Diego and I will be out of town July 28- 30

On Sat, Jul 22, 2023 at 9:34 AM Tristen Jimenez <[email redacted]> wrote:

Thank you for the offer but I am not willing to accept $7,000. After more thought and discussion with Mondo, we are going to continue to fix the waterfall and grass seam. Once we do that, we will call the ROC inspector Doug Barrett to come and do a courtesy site inspection and get his approval. Once we get that, I would like to be paid in full, as we will have met all the requirements from the ROC and the case can be closed.

Received 08/21/2023 ROC Legal Thank you,

Tristen

From: Cathy McDougall <[email redacted]> Sent: Friday, July 21, 2023 9:39 PM To: Tristen Jimenez <[email redacted]> Subject: Re: J4 Construction Proposal - Regarding Invoice #1064

Honestly I think 7000 is fair. If you are not ok with that then we can figure out how to fix the seam and the waterfall. From the beginning this has been so stressful. I am going to have to redo the tile inside the pool and get all the tile stripped and sealed so it looks nice. I have always tried to be patient and understanding. I thou ght this job was going to be complete Thanksgiving of 2021.

Let me know.

Thank you

On Fri, Jul 21, 2023 at 5:22 PM Tristen Jimenez <[email redacted]> wrote:

Hi Cathy,

I would like to offer you a $705 credit and a final invoice amount of $8,000 to close the deal and we walk away and are complete with the job. I will credit you the $600 we bid to fix the waterfall feature since it’s not 100% fixed plus a little extra. We have complied with everything the ROC told us to fix and I feel that this discount is fair. Please let me know ASAP if you are in agreement so we can wrap this up with the ROC and between myself, Mondo and you. I will then send the final invoice to you and you can let me know how I can collect the amount owed. We accept Zelle, Venmo, cash or check.

Thank you,

Tristen Jimenez | J4 Construction, LLC

PO Box 13383 Chandler, AZ 85248| TEL: 480.322.3255

Received 08/21/2023 ROC Legal

Cathy McDougall

General Manager

[email redacted]

975 E Elliot Rd, #1-A

Tempe, AZ 85284

480.730.6313

cell 480.415.5752

Cathy McDougall

General Manager

[email redacted]

Received 08/21/2023 ROC Legal 975 E Elliot Rd, #1-A

Tempe, AZ 85284

480.730.6313

cell 480.415.5752

Cathy McDougall

General Manager

[email redacted]

975 E Elliot Rd, #1-A

Tempe, AZ 85284

480.730.6313

cell 480.415.5752

Cathy McDougall

General Manager

[email redacted] Received 08/21/2023 ROC Legal 975 E Elliot Rd, #1-A

Tempe, AZ 85284

480.730.6313

cell 480.415.5752

Cathy McDougall

General Manager

[email redacted]

975 E Elliot Rd, #1-A

Tempe, AZ 85284

480.730.6313

cell 480.415.5752

Cathy McDougall

Received 08/21/2023 ROC Legal General Manager

[email redacted]

975 E Elliot Rd, #1-A

Tempe, AZ 85284

480.730.6313

cell 480.415.5752

-- Cathy McDougall General Manager

[email redacted] 975 E Elliot Rd, #1-A Tempe, AZ 85284 480.730.6313 cell 480.415.5752

-- Cathy McDougall General Manager

[email redacted] 975 E Elliot Rd, #1-A Tempe, AZ 85284

Received 08/21/2023 ROC Legal 480.730.6313 cell 480.415.5752

-- Cathy McDougall General Manager

[email redacted] 975 E Elliot Rd, #1-A Tempe, AZ 85284 480.730.6313 cell 480.415.5752

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