2023A-07294-CHC-ROC Notice of Hearing and Packet MAILED
2023A-07294-CHC-ROC · Registrar of Contractors · 2024-04-08
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Jacob Gault , Case No. 2023-07294 COMPLAINANT, Docket No. 2023A-07294-CHC-ROC
v. NOTICE OF HEARING ON CONTESTED CASE Herbert Michael Higgins License No. ROC 322396,
RESPONDENT.
This Notice of Hearing is issued under A.R.S. § 41-1092.05(D).
HEARING INFORMATION The hearing is set for:
May 24, 2024 9:00 AM Jenna Clark 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 March 14, 2024.
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/forms/RC-L-800A%20- %20Prehearing%20Disclosure%20Statement%2020191007v4.pdf
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 April 8, 2024.
By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail April 8, 2024 to: Respondent(s) Herbert Michael Higgins 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant(s) Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
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. 2023-07294 /
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
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 March 5, 2024
Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
Case No.: 2023-07294 Investigator: Cliff Corlett Inspection Date: February 13, 2024 Inspection Time: 9:30 AM
Compliance Findings: RESPONDENT IS NOT IN COMPLIANCE
Compliance Jobsite General Notes: There were two (2) Written directives. First dated 8/21/23 and second dated 11/28/23. There are overlapping numbers on the complaint issues.
2/13/24 Compliance Inspection Notes below each Complaint Allegation.
Complaint Allegations Items 1, 2, 5, 7, 8, 11, 14, 16, 25, & 38 have been corrected or did not require any correction.
Complaint Allegation Items 3, 4, 6, 9, 10, 12, 13, 15, 17, 18, 19, 20, 21, 22, 23, 24, 26, 27, 28, 29, 30, 31, 32, 33, 34, 35, 36 & 37 HAVE NOT BEEN CORRECTED. ========================================================== 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complaint Allegation: 3 - Two holes in the drywall in the new garage from the contractor. Not patched. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Patched, not painted. Not Corrected.
Complaint Allegation: 4 - There are hose bibs inside the RV garage and patio that are loose in the wall. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 6 - There is a mini split condenser and swamp cooler on the RV garage roof. Neither one is actually anchored or strapped down. They are simply sitting there. It seems like they will blow off during one of our crazy storms. The cooler isn't bad, but I can rock Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 10 - 10. Landing required @ garage man door (3x3) or door must swing out. 2/13/24 Compliance Inspection Findings: 8-21-24 Written Directive was in error. Respondent agreed to provide/install landing. Not Corrected.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complaint Allegation: 12 - Streams of dirty water stains on brand new white stucco from cleaning crew washing windows. Investigator’s Observation: Respondent should properly clean off "window washing residue" from stucco. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 13 - Missing and torn window screens and sliding glass door screen, and his workers put a 6” scratch down a new window that has yet to be replaced. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 15 - There is also a 3” open hole in the concrete for one small cable wire. Investigator’s Observation: Respondent should properly fill concrete hole. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 17 - Almost all newly constructed walls, door jams, windowsills are not straight. Investigator’s Observation: Several walls/baseboards were observed to be not straight. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complaint Allegation: 18 - Many light switch receptacles and cover plates not straight, with holes in the dry wall on the edges of the cover plates and placed in non- sensible places. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 19 - All locks to the house are keyed different. Contractor supplied all the door hardware. He thought they were keyed alike, but now is reluctant to have a lock smith fix it all. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 20 - Door hardware, including striker plate’s not straight missing screws. Investigator’s Observation: The Workmanship Standards for Licensed Contractors (WSLC) states that the contractor should properly adjust doors, windows and weather stripping during first year of occupancy. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 21 - Lots of painting patchwork needs to be complete. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complaint Allegation: 22 - Laundry room.....Contractor installed the washing machine, but failed to remove 4 large shipping bolts from the rear of the washer per the install instructions. During the spin cycle, we heard banging and the washer was bouncing around. I removed the wash Investigator’s Observation: RESPONDENT SHOULD PROPERLY REPAIR THE WALL DAMAGE. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 23 - Due to this, I looked behind the dryer as well and found the 220V wall outlet exposed on the sides due to an improper fitting cover plate. Investigator’s Observation: RESPONDENT SHOULD PROPERLY COMPLETE THE WALL FINISH AROUND WALL RECEPTICLE. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 24 - All the can lights were installed extremely close to the kitchen and bathroom cabinets. One was installed under a bathroom cabinet. They have been moved and patched, but patch work is bad in the bathroom and in other places. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED. 2/13/24 Compliance Inspection Findings: Patched not painted. Not Corrected.
Complaint Allegation: 27 - Under kitchen bar area is not supported or finished, risking cracked countertop. Investigator’s Observation: Drywall under countertop not properly finished or trimmed. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complaint Allegation: 29 - Cabinets are not fully installed and no trim work has been started. Investigator’s Observation: Respondent stated that the cabinet ctr was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 30 - Contractor said there is a warranty issue and he is not paying nor holding the cabinet guy responsible because “we picked him”. I’ve already paid the entire cost of the cabinets and install to the contractor. The work is not complete. Investigator’s Observation: This is a statement not a specific workmanship allegation. However, if the Respondent paid the cabinet contractor then he is responsible for the subcontractors work. Respondent stated that the cabinet ctr was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 34 - Master bath vanity was improperly ordered by contractor. It was supposed to have shaker style faces and it came with flat style faces. Contractor retrofitted only some of the faces, but very poor craftsmanship. Some faces are still not installed. Investigator’s Observation: Respondent stated that the cabinet ctr was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complaint Allegation: 35 - Exposed wood base-board, not sealed near splash area in master shower. It will be damaged if we use the shower. Contractor said it will be "fine". Investigator’s Observation: RESPONDENT AGREED TO SILICONE THE BASEBOARD AT THIS LOCATION. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 37 - Guest bathroom tub not installed correctly. It moves simply by pushing down on the edges, already breaking the tile grout and it has never been used. Water will get behind it. Also scratched from workers. Very poor attempt to fill in scratches by the contractor. Investigator’s Observation: Tub installation appears to allow the sides to move and cause grout cracking. RESPONDENT SHOULD CORRECT BY APPROPRIATE METH0DS. 2/13/24 Compliance Inspection Findings: Not Corrected.
2nd Written Directive for Addendum items dated 11/28/24 Addendum Complaint Allegations Items 1, 3, 5, 6, 7, 8, 9, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20, & 21 have been corrected or did not require any correction.
Complaint Allegation Items 2, 4, 22, 23 & 24. HAVE NOT BEEN CORRECTED.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Compliance Item: 2 - Kitchen switches are not installed per plans. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. This Directive in error, Switches are incorrect. Needs to be corrected.
Compliance Item: 4 - Hall bathtub not attached to wall framing. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. This Directive in error, Tub not secured... Needs to be corrected
Complaint Allegation: 22 - Roof holding water, not draining properly. Investigator’s Observation: Excessive ponding due to build-up of roofing materials at scuppers. Minor ponding (up to 1/2" deep in small areas equivalent to no more than 1/3 of span) is acceptable providing roof is dry within 48 hours after rainfall. Contractor should remove excess material and repair as necessary. Water was ponding at several scuppers in excess of the 1/2-inch standard. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. 2/13/24 Compliance Inspection Findings: Not Corrected.
Complaint Allegation: 23 - Roof leaks, garage and closet. Investigator’s Observation: Repairs were underway at the time of the Addendum inspection. RESPONDENT SHOULD PROPERLY COMPLETE REPAIRS. 2/13/24 Compliance Inspection Findings: Not Corrected.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complaint Allegation: 24 - Drywall damage RV garage and closet. Investigator’s Observation: Repairs were underway at the time of the Addendum inspection. RESPONDENT SHOULD PROPERLY COMPLETE REPAIRS. 2/13/24 Compliance Inspection Findings: Not Corrected.
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.
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,
/s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
CC: File
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 2023-07294 2nd JOBSITE INSPECTION PHOTOS - 10/24/23
P-01
Water stains RV garage ceiling at Evap Cooler vent. P-02 RED circled X areas are where the standing water exceeded the maximum standard of 1/2-inch. Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
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: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov
C012 05/21 February 2, 2024
Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
Compliance Jobsite Inspection Notice Re: Complaint No. 2023-07294
Dear Complainant and Respondent:
A Compliance Inspection has been scheduled for February 13, 2024 at 09:30 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,
/s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
CC: File
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov
C012 05/21 Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 July 11, 2023
Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
Jobsite Inspection Notice Re: Complaint Number 2023-07294
Dear Complainant and Respondent:
A formal complaint has been filed with the Arizona Registrar of Contractors.
A jobsite inspection is scheduled for August 2, 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.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 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.
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, /S/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
CC: FILE
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 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.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 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 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.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 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 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.
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 2023-07294 JSI PHOTOS Herbert Michael Higgins
2299 Pennant Ln. Lake Havasu City, AZ. 86403 8-2-23
P-01
P-02 P-03 Stucco patch
p-04 P-05
P-06 Electric panel door P-07 Missing screen
P-08. Ripped screen P-09 gap at light.
P-10. Poor door hardware installation. P-11
P-12. Bent door bolt plate P-13 Missing screws P-14
P-15 P-16 Utility cable not in wall.
P-17. Curved wall / baseboard. P-18. Curved wall / baseboard. P-19
P-20. Gap at plug P-21 Door hardware hits. Poor installation. P-22
P-23. Bent door bolt plate P-24. Door hardware poor installation. P-25. Gaps a wall plate.
P-26. Breakfast bar overhang. P-27. Breakfast bar overhang.
P-28. Breakfast bar overhang. p-29
p-30 P-31 Barn door.
Alleged to be mirrored.
P-32 Base at shower entry. Ctr. agreed to silicone. P-33. Loose shower head.
P-33. Loose shower head. P-34. Missing cover plate.
P-35. P-36. Curved wall Master Toilet.
P-37. Curved wall Master Toilet. p- P-38. Missing cover plate.
P-39. Tub moves, grout crack at tile/tub. P-40. Tub moves, grout crack at tile/tub.
P-41. Tub moves, grout crack at tile/tub. P-42. Damage to tub finish.
P-43. Damage to tub finish. P-44 HVAC condensate line leaks
P-45. Mirror door not hung straight. P-46. Mirror door hits base. Addendum to AZ ROC case 2023-07294 Good afternoon Cliff,
I’d like to add the roof leak to my current complaint. On 8-13-23, it rained and a leak developed inside the RV garage near the swamp cooler vent, damaging the drywall. I climbed onto the roof and found several puddles of standing water up to 1” deep. Also noted almost every scupper sat above the roof line. I sent Herb pictures and advised him of the leak. I also asked him how long the roof was warrantied. No response that evening.
The following day Herb text me he would have roofers come over and the roof was warrantied for 20yrs through Freedom Roofing. No repairs were completed. In the following days, Herb indicated he was having an issue with Freedom Roofing honoring their work and would need to go after their bond.
On 8-19-23, it rained again and the RV garage continued to leak. I notified Herb. He came overshortly after and put down tar around the base of the swamp cooler and left. We both noted there was standing water in multiple places on the roof, indicating thecrickets were not correct and roof did not drain properly. Herb told me Freedom Roofing installed all the crickets incorrectly. I reminded Herb I have a 20yr warranty with Freedom Roofing and he needed to hold them accountable.
On 8-20-23, I discovered a leak in the master bedroom closet. The floor had an approximate4’ round puddle of water. Our dresser, inside dresser drawers, gun safe, clothing hamper were all wet. The RV garage continued to leak as well despite the tar patch. At 10:59AM, I immediately text Herb about the new leak and expressed my concern about the RV garage getting worse, as wellas being worried about black mold. I offered photos to Herb so he could go after Freedom Roofing. I asked for my 20yr warranty in writing. He did not call or text the entire day. At 7:18PM, I sent Herb photos and videos for him to show Freedom Roofing. He told me the roofers would get a hold of me tomorrow and to stop texting him.
On 8-21-23, Felipe at Freedom Roofing inspected the roof and called me. He said the crickets were all done wrong because they do not channel water correctly, and there was no way to repair the leaks w/o first repairing the crickets. Felipe said Herb installed the crickets. They only roofed the house. I spoke to Herb later that day. He said the owner of Freedom Roofing was going to look at the roof. Herb again said Freedom Roof installed the crickets.
On 8-23-23, I offered to Herb that I would call Freedom Roofing because nobody had reached out to me about a warranty repair and I was worried about more water damageand black mold. Herb said Freedom Roofing would call me in the morning.
On 8-24-23, Herb and Freedom Roofing are arguing. Herb now said he himself installed the crickets, but Freedom Roofing used the wrong roofing material and thatis the reason it’s not draining. I asked about my 20yr warranty. Herb said I now only have a 3yr warranty with Freedom Roofing.I still have nothing in writing. Herb said he will go after their bond and will have a different roofer correct the“flow-lines.”
On 9-1-23, still no roof remedy. It rained and the RV garage and closet leakedcausing more drywall damage. Herb said Parker Roofing was coming out to fix the crickets, scuppers, and leaks.
On 9-6-23, Parker Roof came out. Put down Tropical 901 Elastomeric roof coating. Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 October 9, 2023
Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
Re: Complaint No. 2023-07294
Dear Complainant and Respondent:
After the initial filing of the complaint 2023-07294, the Complainant filed the attached amended complaint containing additional complaint items.
A jobsite inspection is scheduled October 24, 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 amended complaint items 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 the amended complaint items. 2. The Registrar may also be precluded from taking further action on the amended complaint items, if the work that is the subject of the amended 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. Additionally, please secure any animals.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 RESPONDENT: 1. Enclosed is a copy of the amended complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity 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 amended 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.
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,
/S/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
CC: File
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 Respondent: Herbert Michael Higgins DBA: Higgins Construction Lake Havasu City, AZ 86404
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 July 18, 2023
Respondent: Herbert Michael Higgins DBA: Higgins Construction Lake Havasu City, AZ 86404
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
Re: Complaint No. 2023-07294
Dear Complainant and Respondent:
After the initial filing of the complaint 2023-07294, the Complainant filed the attached amended complaint containing additional complaint items.
A jobsite inspection is scheduled August 2, 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 amended complaint items 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 the amended complaint items. 2. The Registrar may also be precluded from taking further action on the amended complaint items, if the work that is the subject of the amended 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. Additionally, please secure any animals.
RESPONDENT: 1. Enclosed is a copy of the amended complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity inspect the work complained of within fifteen days of the date of receipt of this notice. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 2. To assist the assigned investigator in evaluating the merits of the amended 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.
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,
/s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
CC: file
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 04/21 Jobsite Inspection Notes
Case No.: 2023-07294 Investigator: Cliff Corlett Inspection Date: August 2, 2023 Inspection Time: 10:00 AM
Complainant: Jacob Gault Respondent: Herbert Michael Not Present: Higgins Not Present:
Jobsite General Notes:
Complaint Item: 1 - 2’ stucco patch not completed, RV garage. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 2 - Missing bottom door gasket in the garage. He said he would get one over a month ago. Bugs and wind constantly get through. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
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Complaint Item: 3 - Two holes in the drywall in the new garage from the contractor. Not patched. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 4 - There are hose bibs inside the RV garage and patio that are loose in the wall. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 5 - Garage...loft in the garage is not finished properly. There is a 2" gap around the edges on top between the loft floor and the garage wall. Wood studs and insulation are visible. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 6 - There is a mini split condenser and swamp cooler on the RV garage roof. Neither one is actually anchored or strapped down. They are simply sitting there. It seems like they will blow off during one of our crazy storms. The cooler isn't bad, but I can rock the condenser. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
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APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 7 - Missing cooler backdraft damper, I've asked for two month to be installed so I can use the AC and not just the swamp cooler. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 8 - I can't close/secure the exterior breaker panel due to excess stucco covering the latches, so it blows open all the time. Investigator’s Observation: Per LHC inspector the access door should close and latch properly and open to at least 90 degrees. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 9 - Contractor charged me for dirt removal and re-grade front yard (invoice 2018). Then he allowed concrete workers to push loads of dirt from the driveway onto the newly graded front yard. He would not pay to regrade or remove the new dirt. I had to spend an additional $2100 for tractor work after the fact. Investigator’s Observation: The Registrar does not have the authority to settle money disputes. If the parties cannot come to a resolution then the matter may need to be taken to another venue. Governing Rule:
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
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Complaint Item: 10 - Large Gouges on new concrete on rear patio from workers. Investigator’s Observation: Complainant stated that this could not likely be resolved or corrected at this time. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Complaint Item: 11 - Gaps between exterior receptacles and stucco, allowing water penetration. Investigator’s Observation: Some light fixtures had gaps around stucco. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 12 - Streams of dirty water stains on brand new white stucco from cleaning crew washing windows. Investigator’s Observation: Respondent should properly clean off "window washing residue" from stucco. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 13 - Missing and torn window screens and sliding glass door screen, and his workers put a 6” scratch down a new window that has yet to be replaced. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
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Complaint Item: 14 - I paid extra to have all TV, internet, alarm, audio wiring hidden, inside and outside. The TV/internet wire comes from the back yard underground. They put a pipe under new concrete to run the TV/internet wire to the house to a junction box. They failed to install an elbow to join the pipe to the junction box at the house. They drilled a hole in the new concrete near the house to retrieve the wire, but it now connects on the exterior. I have TV wire on the exterior of the house which is something I asked and paid not to have. Investigator’s Observation: The Registrar does not have the authority to settle money disputes. If the parties cannot come to a resolution then the matter may need to be taken to another venue. Utility installation typical. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Complaint Item: 15 - There is also a 3” open hole in the concrete for one small cable wire. Investigator’s Observation: Respondent should properly fill concrete hole. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 16 - Doors not shimmed correctly. Exterior light comes in around the edges. Investigator’s Observation: The Workmanship Standards for Licensed Contractors (WSLC) states that the contractor should properly adjust doors, windows and weather stripping during first year of occupancy. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
Complaint Item: 17 - Almost all newly constructed walls, door jams, windowsills are not straight. Investigator’s Observation: Several walls/baseboards were observed to be not straight. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 18 - Many light switch receptacles and cover plates not straight, with holes in the dry wall on the edges of the cover plates and placed in non-sensible places. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 19 - All locks to the house are keyed different. Contractor supplied all the door hardware. He thought they were keyed alike, but now is reluctant to have a lock smith fix it all. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 20 - Door hardware, including striker plates not straight missing screws. Investigator’s Observation: The Workmanship Standards for Licensed
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
Contractors (WSLC) states that the contractor should properly adjust doors, windows and weather stripping during first year of occupancy. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 21 - Lots of painting patchwork needs to be complete. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 22 - Laundry room.....Contractor installed the washing machine, but failed to remove 4 large shipping bolts from the rear of the washer per the install instructions. During the spin cycle, we heard banging and the washer was bouncing around. I removed the washer and discovered the 4 bolts partially worked their way out of the holes of the rear of the machine. The bolts caused the machine drum to be off balance because they were hitting the spinning drum. This caused the machine to walk around putting 4 holes from the bolt heads in the drywall behind the machine. Investigator’s Observation: RESPONDENT SHOULD PROPERLY REPAIR THE WALL DAMAGE. Governing Rule: 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.
Complaint Item: 23 - Due to this, I looked behind the dryer as well and found the 220V wall outlet exposed on the sides due to an improper fitting cover plate. Investigator’s Observation: RESPONDENT SHOULD PROPERLY 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
COMPLETE THE WALL FINISH AROUND WALL RECEPTICLE. Governing Rule: 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.
Complaint Item: 24 - All the can lights were installed extremely close to the kitchen and bathroom cabinets. One was installed under a bathroom cabinet. They have been moved and patched, but patch work is bad in the bathroom and in other places. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule: 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.
Complaint Item: 25 - It has led to many issues concerning retro fit can lights, fitment and proper lighting. Investigator’s Observation: This is a statement not a specific workmanship allegation. Governing Rule:
Complaint Item: 26 - All 55 lights are the wrong color and one is broke. Investigator’s Observation: Respondent agreed to replace all the can light bulbs with a "white" light. Respondent should properly repair missing kitchen can light. Governing Rule: 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.
Complaint Item: 27 - Under kitchen bar area is not supported or finished, risking cracked countertop. Investigator’s Observation: Drywall under countertop not properly
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
finished or trimmed. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 28 - We picked a cabinet person after the contractor said we can use whoever we are comfortable with. Contractor said all communication and payment goes through the contractor. Issues are coming up with possible warranty claims in the future. Contractor said it is now OUR problem because we “picked him”. Investigator’s Observation: This is a statement not a specific workmanship allegation. However, if the Respondent paid the cabinet contractor then he is responsible for the subcontractors work. Governing Rule:
Complaint Item: 29 - Cabinets are not fully installed and no trim work has been started. Investigator’s Observation: Respondent stated that the cabinet ctr. was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 30 - Contractor said there is a warranty issue and he is not paying nor holding the cabinet guy responsible because “we picked him”. I’ve already paid the entire cost of the cabinets and install to the contractor. The work is not complete. Investigator’s Observation: This is a statement not a specific workmanship allegation. However, if the Respondent paid the cabinet contractor then he is responsible for the subcontractors work. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
Respondent stated that the cabinet ctr. was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 31 - We had to purchase a new $2300 Ice maker. We bought one a year ago, gave all the dimensions of all the appliances to the contractor. Kitchen was designed around the appliances. Once the kitchen was partially built, we discovered someone made a measurement error and the already purchased ice maker did not fit. Contractor should have been on site double checking the fitment of the appliances. Investigator’s Observation: The Registrar does not have the authority to settle money disputes. If the parties cannot come to a resolution then the matter may need to be taken to another venue. Governing Rule:
Complaint Item: 32 - We requested a mirrored barn door in the master. No mirror. Investigator’s Observation: No plans or specifications to support the allegation. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Complaint Item: 33 - Master bedroom closet rods where hung not level and only 1” or less from the shelves, to the point you could not get a hanger between the rod and shelf. I spent a day, sanding, patching, painting and rehanging. I did this prior to knowing I shouldn't have touched anything. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
Complaint Item: 34 - Master bath vanity was improperly ordered by contractor. It was supposed to have shaker style faces and it came with flat style faces. Contractor retrofitted only some of the faces, but very poor craftsmanship. Some faces are still not installed. Investigator’s Observation: Respondent stated that the cabinet ctr. was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Complaint Item: 35 - Exposed wood base-board, not sealed near splash area in master shower. It will be damaged if we use the shower. Contractor said it will be "fine". Investigator’s Observation: RESPONDENT AGREED TO SILICONE THE BASEBOARD AT THIS LOCATION. Governing Rule: 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.
Complaint Item: 36 - 36. We have very heavy rain style shower heads in the master shower. The one on my wife’s side is loose. It will twist and bounce in the wall. The plumber told my wife he needed to return and tighten it, but when we asked the contractor about it, he said, "it’s fine." Investigator’s Observation: Shower heads appeared to be loose. RESPONDENT SHOULD CORRECT BY APPROPRIATE METH0DS. Governing Rule: 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.
Complaint Item: 37 - Guest bathroom tub not installed correctly. It moves simply by pushing down on the edges, already breaking the tile grout and it has 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
never been used. Water will get behind it. Also scratched from workers. Very poor attempt to fill in scratches by the contractor. Investigator’s Observation: Tub installation appears to allow the sides to move and cause grout cracking. RESPONDENT SHOULD CORRECT BY APPROPRIATE METH0DS. Governing Rule: 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.
Complaint Item: 38 - 38. Guest bathroom....Found water under the sink in the vanity yesterday. I looked at the plumbing more closely and found an improperly sized vent pipe loosely fitted into the sink drain trap causing a leak. Investigator’s Observation: Pipe in question is the HVAC condensate line. It is leaking. RESPONDENT SHOULD CORRECT BY APPROPRIATE METH0DS. Governing Rule: 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.
Complaint Item: 39 - Kid’s closet door won’t close all the way due to the base board not cut correctly. Investigator’s Observation: Mirror bypass door hits baseboard and does not close properly. RESPONDENT SHOULD CORRECT BY APPROPRIATE METH0DS. Governing Rule:
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
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: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 August 21, 2023
Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
License No. ROC 322396
Re:Complaint No. 2023-07294
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 or before September 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. 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 DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:
Compliance Item: 1 - 2’ stucco patch not completed, RV garage. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 2 - Missing bottom door gasket in the garage. He said he would get one over a month ago. Bugs and wind constantly get through. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 3 - Two holes in the drywall in the new garage from the contractor. Not patched. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
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: 4 - There are hose bibs inside the RV garage and patio that are loose in the wall. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 5 - Garage...loft in the garage is not finished properly. There is a 2" gap around the edges on top between the loft floor and the garage wall. Wood studs and insulation are visible. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 6 - There is a mini split condenser and swamp cooler on the RV garage roof. Neither one is actually anchored or strapped down. They are simply sitting there. It seems like they will blow off during one of our crazy storms. The cooler isn't bad, but I can rock the condenser. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
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 - Missing cooler backdraft damper, I've asked for two month to be installed so I can use the AC and not just the swamp cooler. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 8 - I can't close/secure the exterior breaker panel due to excess stucco covering the latches, so it blows open all the time. Investigator’s Observation: Per LHC inspector the access door should close and latch properly and open to at least 90 degrees. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 11 - Gaps between exterior receptacles and stucco, allowing water penetration. Investigator’s Observation: Some light fixtures had gaps around stucco. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 12 - Streams of dirty water stains on brand new white stucco from cleaning crew washing windows. Investigator’s Observation: Respondent should properly clean off "window washing residue" from stucco. 4
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 SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 13 - Missing and torn window screens and sliding glass door screen, and his workers put a 6” scratch down a new window that has yet to be replaced. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 15 - There is also a 3” open hole in the concrete for one small cable wire. Investigator’s Observation: Respondent should properly fill concrete hole. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 16 - Doors not shimmed correctly. Exterior light comes in around the edges. Investigator’s Observation: The Workmanship Standards for Licensed Contractors (WSLC) states that the contractor should properly adjust doors, windows and weather stripping during first year of occupancy. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
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: 17 - Almost all newly constructed walls, door jams, windowsills are not straight. Investigator’s Observation: Several walls/baseboards were observed to be not straight. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 18 - Many light switch receptacles and cover plates not straight, with holes in the dry wall on the edges of the cover plates and placed in non-sensible places. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 19 - All locks to the house are keyed different. Contractor supplied all the door hardware. He thought they were keyed alike, but now is reluctant to have a lock smith fix it all. Investigator’s Observation: RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 20 - Door hardware, including striker plates not straight missing screws. Investigator’s Observation: The Workmanship Standards for Licensed Contractors (WSLC) states that the contractor should properly adjust doors, windows and weather stripping during first year of occupancy. 6
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 SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 21 - Lots of painting patchwork needs to be complete. Investigator’s Observation: Respondent agreed to properly correct/complete. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 22 - Laundry room.....Contractor installed the washing machine, but failed to remove 4 large shipping bolts from the rear of the washer per the install instructions. During the spin cycle, we heard banging and the washer was bouncing around. I removed the washer and discovered the 4 bolts partially worked their way out of the holes of the rear of the machine. The bolts caused the machine drum to be off balance because they were hitting the spinning drum. This caused the machine to walk around putting 4 holes from the bolt heads in the drywall behind the machine. Investigator’s Observation: RESPONDENT SHOULD PROPERLY REPAIR THE WALL DAMAGE. Governing Rule: 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.
Compliance Item: 23 - Due to this, I looked behind the dryer as well and found the 220V wall outlet exposed on the sides due to an improper fitting cover plate. 7.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Investigator’s Observation: RESPONDENT SHOULD PROPERLY COMPLETE THE WALL FINISH AROUND WALL RECEPTICLE. Governing Rule: 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.
Compliance Item: 24 - All the can lights were installed extremely close to the kitchen and bathroom cabinets. One was installed under a bathroom cabinet. They have been moved and patched, but patch work is bad in the bathroom and in other places. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule: 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.
Compliance Item: 26 - All 55 lights are the wrong color and one is broke. Investigator’s Observation: Respondent agreed to replace all the can light bulbs with a "white" light. Respondent should properly repair missing kitchen can light. Governing Rule: 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.
Compliance Item: 27 - Under kitchen bar area is not supported or finished, risking cracked countertop. Investigator’s Observation: Drywall under countertop not properly finished or trimmed. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
8.
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: 29 - Cabinets are not fully installed and no trim work has been started. Investigator’s Observation: Respondent stated that the cabinet ctr was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 30 - Contractor said there is a warranty issue and he is not paying nor holding the cabinet guy responsible because “we picked him”. I’ve already paid the entire cost of the cabinets and install to the contractor. The work is not complete. Investigator’s Observation: This is a statement not a specific workmanship allegation. However, if the Respondent paid the cabinet contractor then he is responsible for the subcontractors work. Respondent stated that the cabinet ctr was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 34 - Master bath vanity was improperly ordered by contractor. It was supposed to have shaker style faces and it came with flat style faces. Contractor retrofitted only some of the faces, but very poor craftsmanship. Some faces are still not installed. 9.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Investigator’s Observation: Respondent stated that the cabinet ctr was scheduled to return and finish all work. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 35 - Exposed wood base-board, not sealed near splash area in master shower. It will be damaged if we use the shower. Contractor said it will be "fine". Investigator’s Observation: RESPONDENT AGREED TO SILICONE THE BASEBOARD AT THIS LOCATION. Governing Rule: 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.
Compliance Item: 36 - 36. We have very heavy rain style shower heads in the master shower. The one on my wife’s side is loose. It will twist and bounce in the wall. The plumber told my wife he needed to return and tighten it, but when we asked the contractor about it, he said, "it’s fine." Investigator’s Observation: Shower heads appeared to be loose. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 37 - Guest bathroom tub not installed correctly. It moves simply by pushing down on the edges, already breaking the tile grout and it has never been used. Water will get behind it. Also scratched from workers. Very poor attempt to fill in scratches by the contractor. 10.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Investigator’s Observation: Tub installation appears to allow the sides to move and cause grout cracking. RESPONDENT SHOULD CORRECT BY APPROPRIATE METH0DS. Governing Rule: 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.
Compliance Item: 38 - Guest bathroom....Found water under the sink in the vanity yesterday. I looked at the plumbing more closely and found an improperly sized vent pipe loosely fitted into the sink drain trap causing a leak. Investigator’s Observation: Pipe in question is the HVAC condensate line. It is leaking. RESPONDENT SHOULD CORRECT BY APPROPRIATE METH0DS. Governing Rule: 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.
Compliance Item: 39 - Kid’s closet door won’t close all the way due to the base board not cut correctly. Investigator’s Observation: Mirror bypass door hits baseboard and does not close properly. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
=====================================================
ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:
Compliance Item: 9 - Contractor charged me for dirt removal and re-grade front yard (invoice 2018). Then he allowed concrete 11.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 workers to push loads of dirt from the driveway onto the newly graded front yard. He would not pay to regrade or remove the new dirt. I had to spend an additional $2100 for tractor work after the fact. Investigator’s Observation: The Registrar does not have the authority to settle money disputes. If the parties cannot come to a resolution then the matter may need to be taken to another venue.
Compliance Item: 10 - Large Gouges on new concrete on rear patio from workers. Investigator’s Observation: Complainant stated that this could not likely be resolved or corrected at this time. NO CONTRACTOR ACTION REQUIRED.
Compliance Item: 14 - I paid extra to have all TV, internet, alarm, audio wiring hidden, inside and outside. The TV/internet wire comes from the back yard underground. They put a pipe under new concrete to run the TV/internet wire to the house to a junction box. They failed to install an elbow to join the pipe to the junction box at the house. They drilled a hole in the new concrete near the house to retrieve the wire, but it now connects on the exterior. I have TV wire on the exterior of the house which is something I asked and paid not to have. Investigator’s Observation: The Registrar does not have the authority to settle money disputes. If the parties cannot come to a resolution then the matter may need to be taken to another venue. Utility installation typical. 12.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 NO CONTRACTOR ACTION REQUIRED.
Compliance Item: 25 - It has led to many issues concerning retro fit can lights, fitment and proper lighting. Investigator’s Observation: This is a statement not a specific workmanship allegation.
Compliance Item: 28 - We picked a cabinet person after the contractor said we can use whoever we are comfortable with. Contractor said all communication and payment goes through the contractor. Issues are coming up with possible warranty claims in the future. Contractor said it is now OUR problem because we “picked him”. Investigator’s Observation: This is a statement not a specific workmanship allegation. However, if the Respondent paid the cabinet contractor then he is responsible for the subcontractors work.
Compliance Item: 31 - We had to purchase a new $2300 Ice maker. We bought one a year ago, gave all the dimensions of all the appliances to the contractor. Kitchen was designed around the appliances. Once the kitchen was partially built, we discovered someone made a measurement error and the already purchased ice maker did not fit. Contractor should have been on site double checking the fitment of the appliances. Investigator’s Observation: The Registrar does not have the authority to settle money disputes. If the parties cannot come to a resolution then the matter may need to be taken to another venue. 13.
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: 32 - We requested a mirrored barn door in the master. No mirror. Investigator’s Observation: No plans or specifications to support the allegation. NO CONTRACTOR ACTION REQUIRED.
Compliance Item: 33 - Master bedroom closet rods where hung not level and only 1” or less from the shelves, to the point you could not get a hanger between the rod and shelf. I spent a day, sanding, patching, painting and rehanging. I did this prior to knowing I shouldn't have touched anything. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.
Please direct all questions regarding this Directive to the undersigned Investigator.
Sincerely,
/s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
CC: File
14.
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: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
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: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 November 28, 2023
Respondent: Herbert Michael Higgins DBA: Higgins Construction 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant: Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
License No. ROC 322396
Re:Complaint No. 2023-07294
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 or before December 15, 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.
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 DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:
Compliance Item: 10 - Landing required @ garage man door (3x3) or door must swing out. Investigator’s Observation: Respondent agreed to install landing. Governing Rule: 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.
Compliance Item: 22 - Roof holding water, not draining properly. Investigator’s Observation: The Workmanship Standards for Licensed Contractors states “Excessive ponding due to build-up of roofing materials at scuppers. Minor ponding (up to 1/2" deep in small areas equivalent to no more than 1/3 of span) is acceptable providing roof is dry within 48 hours after rainfall. Contractor should remove excess material and repair as necessary.”
Water was ponding at several scuppers in excess of the 1/2-inch standard. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.
Compliance Item: 23 - Roof leaks, garage and closet. Investigator’s Observation: Repairs were underway at the time of the Addendum inspection. RESPONDENT SHOULD PROPERLY COMPLETE REPAIRS. Governing Rule: Violation of any rule adopted by the Registrar;
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
Compliance Item: 24 - Drywall damage RV garage and closet. Investigator’s Observation: Repairs were underway at the time of the Addendum inspection. RESPONDENT SHOULD PROPERLY COMPLETE REPAIRS. Governing Rule: 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. ==================================================
ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:
Compliance Item: 1 - Peninsula base requires wall space receptacle arc- fault protected. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 2 - Kitchen switches are not installed per plans. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 3 - Condensate line must terminate per Mech. Code. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
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: 4 - Hall bathtub not attached to wall framing. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 5 - Toilets must have bases made watertight and bolts tightened. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 6 - Terminate all open electrical outlet boxes. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 7 - Install proper face plates on receptacle / switches. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 8 - Dishwasher must be GFI protected. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 9 - Exterior hose bibs are loose. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
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: 11 - W/H (water heater) must be 18-in above F.F. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 12 - Air gap req. on softener/R.O drain. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 13 - Electrical panel must open 90 degrees and made watertight. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 14 - Paint all exposed PVC and galvanized materials. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 15 -. Dry pack right garage stem. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 16 - Max riser height is 7 3/4-inch (garage patio man door. Investigator’s Observation: No longer an issue as of the time of the
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Addendum inspection. Governing Rule:
Compliance Item: 17 - Light fixtures on upper patio is open to weather. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 18 - . Rated door must be self-closing / latching. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 19 - Water heater & T&P and pan drains must exit building. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 20 - Add escutcheon plates to seal pipe penetrations. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
Compliance Item: 21 - Expansion tank req on water heater. Investigator’s Observation: Corrected prior to Addendum inspection. NO CONTRACTOR ACTION REQUIRED. Governing Rule:
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Please direct all questions regarding this Directive to the undersigned Investigator.
Sincerely,
/s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
CC: File
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Jacob Gault Case No. 2023-07294 COMPLAINANT, v. Herbert Michael Higgins CITATION License No. ROC 322396,
RESPONDENT.
The Registrar issues this Citation to Herbert Michael Higgins (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by March 29, 2024, 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).
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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 THE WRITTEN COMPLAINT On June 28, 2023, Jacob Gault (“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.
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).
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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 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. 2023-07294. 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. 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 March 29, 2024. 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,
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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 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 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
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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 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 March 14, 2024. By: /s/ Dylan Warwick Dylan Warwick Legal Department Arizona Registrar of Contractors
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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, March 14, 2024 to:
Respondent Certified Mail No: [number redacted]
Herbert Michael Higgins 3001 Anita Ave Lake Havasu City, AZ 86404 Copy mailed by USPS First Class mail this same date to: Herbert Michael Higgins 3001 Anita Ave Lake Havasu City, AZ 86404
Complainant Jacob Gault 2299 Pennant Ln Lake Havasu City, AZ 86403
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. 2023-07294 / <<CreatedBy_DW>
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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees
Person Filing Complaint Full Name (First Middle Last) Business Name (if a licensed contractor or supplier) ROC License Number(s) (if any)
Jacob Gault Mailing Address (Enter jobsite in Contract/Project section) City State Zip
2299 Pennant Ln Lake Havasu City Arizona 86403 Phone Number Email
(909) 531-0744 [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)
Street Address of Attorney City State Zip
Phone Number of Attorney Email of Attorney
Contractor Information Name (as shown on contract/invoice) ROC License Number(s)
Herbert Michael Higgins ROC 322396 Street Address City State Zip
3001 Anita Ave Lake Havasu City AZ 86404 Phone Number Email
[number redacted] [email redacted] Name of Person(s) Representing License
Herb Higgins Contract/Project Information Contract Date Contract Amount Amount Paid
August 11, 2022 $360,000.00 $380,430.00 Date Work Started Date Work Stopped Date Work Was Completed
August 15, 2022 June 28, 2023 Close of Escrow (New Home) Move-In Date (New-Home)
Jobsite Street Address City State Zip
2299 Pennant Ln Lake Havasu City AZ 86403 Name of Construction Site Owner Construction Site Name (if applicable)
Jacob Gault Phone Number of Construction Site Owner Email of Construction Site Owner
[number redacted] [email redacted] This complaint is for Poor Work I have contacted the contractor by Phone/Text;Email Have you filed a complaint in court? No
RCC099 12/05/18 Page 1 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees
Has any work been corrected? Yes Contractor and his employees The contract was Both All change orders were Both This project was Residential This project involved Remodel
A building permit was obtained by Contractor unknown Lake Havasu City/Mojave Co List and briefly describe each complaint item (Please do not write "see attached" or use additional pages unless necessary to further describe issues or list more complaint items) (limited to 100 characters per line)
All the can lights were installed extremely close to the kitchen and bathroom cabinets. One was installed under a bathroom cabinet. They have been moved and patched, but patch work is bad in the bathroom and in other places, and it has led to many issues concerning retro fit can lights, fitment and proper lighting. All 55 lights are the wrong color and one is broke.; Many light switch receptacles and cover plates not straight, with holes in the dry wall on the edges of the cover plates and placed in non-sensible places. ; Gaps between exterior receptacles and stucco, allowing water penetration.; Streams of dirty water stains on brand new white stucco from cleaning crew washing windows; Exposed wood base-board, not sealed near splash area in master shower. It will be damaged if we use the shower. Contractor said it will be "fine"; Master bedroom closet rods where hung not level and only 1” or less from the shelve, to the point you could not get a hanger between the rod and shelf. I spent a day, sanding, patching, painting and rehanging. I did this prior to knowing I shouldn't have touched anything; Guest bathroom tub not installed correctly. It moves simply by pushing down on the edges, already breaking the tile grout and it has never been used. Water will get behind it. Also scratched from workers. Very poor attempt to fill in scratches by the contractor; Kids closet door wont close all the way due to the base board not cut correctly; Missing and torn window screens and sliding glass door screen, and his workers put a 6” scratch down a new window that has yet to be replaced.; I paid extra to have all TV, internet, alarm, audio wiring hidden, inside and outside. The TV/internet wire comes from the back yard underground. They put a pipe under new concrete to run the TV/internet wire to the house to a junction box. They failed to install an elbow to join the pipe to the junction box at the house. They drilled a hole in the new concrete near the house to retrieve the wire, but it now connects on the exterior. I have TV wire on the exterior of the house which is something I asked and paid not to have. There is also a 3” open hole in the concrete for one small cable wire.; We picked a cabinet person after the contractor said we can use whoever we are comfortable with. Contractor said all communication and payment goes through the contractor. Issues are coming up with possible warranty claims in the future. Contractor said it is now OUR problem because we “picked him” . ; Cabinets are not fully installed and no trim work has been started, and contractor said there is a warranty issue and he is not paying nor holding the cabinet guy responsible because “we picked him”. I’ve already paid the entire cost of the cabinets and install to the contractor. The work is not complete; Two holes in the drywall in the new garage from the contractor. Not patched.; Almost all newly constructed walls, door jams, windowsills are not straight. Doors not shimmed correctly. Exterior light comes in around the edges.; Missing cooler backdraft damper, Ive asked for 2 months to be installed so I can used the AC and not just the swamp cooler. ; 2’ stucco patch not completed, RV garage; All locks to the house are keyed different. Contractor supplied all the door hardware. He thought they were keyed alike, but now is reluctant to have a lock smith fix it all. ; Door hardware, including striker plates not straight missing screws; We requested a mirrored barn door in the master. No mirror; Missing bottom door gasket in the garage. He said he would get one over a month ago. Bugs and wind constantly get through.; Large Gouges on new concrete on rear patio from workers; Lots of painting patchwork needs to be complete; Under kitchen bar area is not supported or finished, risking cracked countertop; We had to purchase a new $2300 Ice maker. We bought one a year ago, gave all the dimensions of all the appliances to the contractor. Kitchen was designed around the appliances. Once the kitchen was partially built, we discovered someone made a measurement error and the already purchased ice maker did not fit. Contractor should have been on site double checking the fitment of the appliances. ;
RCC099 12/05/18 Page 2 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees
Masterbath vanity was improperly ordered by contractor. It was supposed to have shaker style faces and it came with flat style faces. Contractor retrofitted only some of the faces, but very poor craftsmanship. Some faces are still not installed. ; Contractor charged me for dirt removal and re-grade front yard (invoice 2018). Then he allowed concrete workers to push loads of dirt from the driveway onto the newly graded front yard. He would not pay to regrade or remove the new dirt. I had to spend an additional $2100 for tractor work after the fact. ; end
Signature I declare under penalty of perjury that the information and documents contained on this Complaint Form, included with this complaint, or hereafter submitted in support of this complaint are true and accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date
Jacob Gault \complainant1\ \complainantd1\
RCC099 12/05/18 Page 3 of 3 Received 3/25/2024 ROC Legal Received 3/26/24, 8:03 AM State of Arizona Mail - Written Answer to Citation & Complaint Case #2023-07294 3/25/2024 ROC Legal
Answers - AZROC <[email redacted]>
Written Answer to Citation & Complaint Case #2023-07294 message
Herb Higgins <[email redacted]> Mon, Mar 25, 2024 at 3:17 PM To: "[email redacted]" <[email redacted]>
Please see attached response to citation 2023-07294.
Thank you.
Herb Higgins Higgins Construction Development, LLC
Higgins Citation Complaint Response.pdf 893K
https://mail.google.com/mail/b/AEoRXRSMMRPGz5hDmh3-_k6RTN4dwFv6QF90_Z_BG6a-8nvDQiKt/u/0/?ik=581c53cf5c&view=pt&search=all&per… 1/1 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