2023A-08082-CHC-ROC Notice of Hearing and Packet MAILED

2023A-08082-CHC-ROC · Registrar of Contractors · 2023-11-13

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Shaina Weisinger , Case No. 2023-08082 COMPLAINANT, Docket No. 2023A-08082-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Apex Pool Care LLC DBA: Apex Pools AZ, License No. ROC 341174,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

December 21, 2023 1:00 PM Velva Moses-Thompson 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 October 17, 2023.

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

Charge: 1 A.R.S. § 32-1154(A)(3) - R4-9-109

Charge: 2 A.R.S. § 32-1154(A)(22)

THE PARTIES TO THE ADMINISTRATIVE HEARING

Because Respondent is a licensee and is charged with an act(s) or omission(s) that is cause for the suspension or revocation of a license, Respondent is a party to this case and will be a party to the hearing. Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing.

Respondent and Complainant, as the parties to the hearing, will present evidence and

argument to the administrative law judge.

The Registrar’s assigned investigator will appear as a witness at the hearing.

RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney. A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32- 1156(B).

CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of any change of address within five (5) days of the change. A.R.S. § 41-1092.04.

HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092 to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE The Registrar’s investigators, employees, and attorneys will appear at the hearing via video conference or telephone unless requested by a party to appear in-person. Requests for the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date.

HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses

certain documents to the parties and the Office of Administrative Hearings. These documents

are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit

additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below. SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their

case. If a party wants to obtain testimony from a witness or documents not in the party’s

possession, the party must prepare and file a written subpoena for the Administrative Law

Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a

subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04.

DISCLOSURE STATEMENT

At least seven calendar days before the hearing, each party must prepare and serve a disclosure statement on all other parties, and file it with the Office of Administrative Hearings. A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is

available on the Registrar’s website at https://roc.az.gov/content/prehearing-disclosure-

statement.

CHANGING THE HEARING DATE The date of the hearing may only be advanced or delayed on the agreement of the parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may be changed by filing a written agreement of the parties to change the date of the hearing. The

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

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

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

web portal at www.azoah.com

If a party would like to move the date of the hearing without agreement of all parties, the party must file a written motion with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties. The motion must state in detail good cause for why the date of the hearing should be advanced or delayed, and the position of all other parties regarding the advancement or delay.

A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).

RESOLUTION SHORT OF ADJUDICATION

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

Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated November 13, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail November 13, 2023 to:

Respondent(s) Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne 209 MESA, AZ 85203 Complainant(s) Shaina Weisinger 3832 East Yucca Street Phoenix, AZ 85028

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. 2023-08082 /

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

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811 !""! 1 111#$%&' (&' 9)*+%)%) %8099('((9043'3'709&0,(- "89((3(97792(300' 4. 313 Complainant: Shaina Weisinger 3832 East Yucca Street Phoenix, AZ 85028

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: Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne MESA, AZ 85203

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 18, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-08082

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for September 22, 2023 at 2:30 PM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

COMPLAINANT:

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

RESPONDENT:

1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection. 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 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/ Steve Klein #174 Steve Klein #174, Investigator 1700 W. Washington St. Ste 105 Phoenix, AZ 85007-2812 Phone: (602) 689-4987 E-mail: [email redacted]

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. 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.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Jobsite Inspection Notes

Case No.: 2023-08082 Investigator: Steve Klein Inspection Date: September 22, 2023 Inspection Time: 2:30 PM

Complainant: Shaina Weisinger Respondent: Apex Pool Care LLC

Jobsite General Notes:

Complaint #1 Job abandoned Inspector’s Observation: Governing Rule:

Complaint #2 The synthetic grass began sinking in multiple areas of the backyard including along the patio where a new sewage line was placed. Soil was not compacted prior to laying grass by the aerator of the pool Inspector’s Observation: Verified ground sinking in several areas. • Respondent shall correct by the appropriate means. Governing Rule: Violation of Any Rule Adopted By the Registrar 32-1154 A-3 Namely Rule R4-9-108.

Complaint #3 The grass was not leveled in two areas. -Around the automatic pool filler you can see the concrete lines. -Around the pool filter you can see the concrete lines. Inspector’s Observation: Verified, Respondent agreed to correct. • Respondent shall correct by the appropriate means. Governing Rule: Violation of Any Rule Adopted By the Registrar 32-1154 A-3 Namely Rule R4-9-108.

Complaint #4 Weed/ grass barrier was not laid under turf after the original grass was removed by their team. It is growing through the turf. Inspector’s Observation: Contract states to install weed barrier if selected. • The ROC does not interpret contracts and I have no first-hand knowledge if the weed barrier was selected or not. Governing Rule: N/A

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

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

Complaint #5 Dirt was not used to create mounds in the front yard as originally discussed and agreed upon. Inspector’s Observation: Respondent agreed that the mounds was a verbal agreement. • Respondent shall complete project per original contract agreement, plans, specifications, properly executed change orders and verbal agreements Governing Rule: Violation of Any Rule Adopted By the Registrar 32-1154 A-3 Namely Rule R4-9-108.

Complaint #6 Front yard brick flower bed was not completed. Inspector’s Observation: Verified the brick work was incomplete. • Respondent shall complete project per original contract agreement, plans, specifications, properly executed change orders and verbal agreements Governing Rule: Violation of Any Rule Adopted By the Registrar 32-1154 A-3 Namely Rule R4-9-108.

Complaint #7 Irrigation was leaking almost Inspector’s Observation: Completed prior to the jobsite inspection. Governing Rule: N/A

Complaint #8 Irrigation plans were never discussed and thus installed as two lines instead of four without proper zones designated by plant type and needs. (This was remedied 6/30 by a contractor he hired). Inspector’s Observation: Completed prior to the jobsite inspection. Governing Rule: N/A

Complaint # 9 Plants were installed at a slant and without wells so water was not saturating the soil near the roots and many were not getting water as they should Inspector’s Observation: Completed prior to the jobsite inspection. Governing Rule: N/A

Complaint # 10 While the irrigation issue was remedied, all items outside of irrigation have been abandoned. Inspector’s Observation: Verified mounds and brickwork in the front yard is not completed. • Respondent shall complete project per original contract agreement, plans, specifications, properly executed change orders and verbal agreements Governing Rule: Violation of Any Rule Adopted By the Registrar 32-1154 A-3 Namely Rule R4-9-108.

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

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

Complaint #11 Apex Pools LLC's ROC license does not include landscaping, therefore he was working outside of his scope as well. Inspector’s Observation: Inspector addressing this issue by sending appropriate warning letter.

Complaint #12 They are also only licensed KA-5 Dual Swimming Pool Contractor so we did not want him working on anything outside of his license. That is when both Sean and Larry stopped responding to us until Sean's response to the Demand Letter. Inspector’s Observation: Inspector addressing this issue by sending appropriate warning letter.

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: Shaina Weisinger 3832 East Yucca Street Phoenix, AZ 85028

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Respondent: Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne MESA, AZ 85203

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 August 14, 2023

Re: Complaint Number 2023-08082

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for September 22, 2023 at 10:00 am has been rescheduled for August 30, 2023 at 3:00 PM.

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

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

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

Sincerely, /s/ Steve Klein #174 Steve Klein #174, Investigator 1700 W. Washington St. Ste 105 Phoenix, AZ 85007-2812 Phone: (602) 689-4987 E-mail: [email redacted]

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Complainant: Shaina Weisinger 3832 East Yucca Street Phoenix, AZ 85028

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Respondent: Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne MESA, AZ 85203

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 August 18, 2023

Re: Complaint Number 2023-08082

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for August 30, 2023 at 3:00 pm has been rescheduled for September 5, 2023 at 2:30 PM.

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

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

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

Sincerely, /s/ Steve Klein #174 Steve Klein #174, Investigator 1700 W. Washington St. Ste 105 Phoenix, AZ 85007-2812 Phone: (602) 689-4987 E-mail: [email redacted]

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Complainant: Shaina Weisinger 3832 East Yucca Street Phoenix, AZ 85028

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: Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne MESA, AZ 85203

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 September 11, 2023

License No. ROC 341174

Re:Complaint No. 2023-08082

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 September 28, 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 reasons 1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

DIRECTIVE REQUIREMENTS

You are directed to remedy the following violations by the appropriate means: Complaint #2 The synthetic grass began sinking in multiple areas of the backyard including along the patio where a new sewage line was placed. Soil was not compacted prior to laying grass by the aerator of the pool Inspector’s Observation: Verified ground sinking in several areas. • Respondent shall correct by the appropriate means.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Complaint #3 The grass was not leveled in two areas. -Around the automatic pool filler you can see the concrete lines. -Around the pool filter you can see the concrete lines. Inspector’s Observation: Verified, Respondent agreed to correct. • Respondent shall correct by the appropriate means.

Complaint # 10 While the irrigation issue was remedied, all items outside of irrigation have been abandoned. Inspector’s Observation: Verified incomplete work. • Respondent shall complete project per original contract agreement, plans, specifications, properly executed change orders and verbal agreements

ITEMS NOT REQUIRING CORRECTION

The following complaint items require no action by the Respondent:

Complaint #7 Irrigation was leaking almost Inspector’s Observation: Completed prior to the jobsite inspection.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Complaint # 9 Plants were installed at a slant and without wells so water was not saturating the soil near the roots and many were not getting water as they should Inspector’s Observation: Completed prior to the jobsite inspection.

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

Sincerely, /s/ Steve Klein #174 Steve Klein #174, Investigator 1700 W. Washington St. Ste 105 Phoenix, AZ 85007-2812 Phone: (602) 689-4987 E-mail: [email redacted]

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: Shaina Weisinger 3832 East Yucca Street Phoenix, AZ 85028

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Respondent: Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne MESA, AZ 85203

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Directive Compliance Inspection 10-3-23

Case No.: 2023-08082 Investigator: Steve Klein

No Compliance inspection was performed. I received an email from the Complainant stating the contractor did not address the Directive

Compliance Findings:

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 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,

Sincerely, /s/ Steve Klein #174 Steve Klein #174, Investigator 1700 W. Washington St. Ste 105 Phoenix, AZ 85007-2812 Phone: (602) 689-4987 E-mail: [email redacted]

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

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

Shaina Weisinger, Case No. 2023-08082 COMPLAINANT, v. Apex Pool Care LLC, CITATION DBA: Apex Pools AZ, License No. ROC 341174,

RESPONDENT.

The Registrar issues this Citation to Apex Pool Care LLC, DBA: Apex Pools AZ., (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by November 01, 2023, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On July 17, 2023, Shaina Weisinger, (“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) - R4-9-109 Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-109. of 5

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge :2 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F). FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2023-08082. 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]

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than November 01, 2023. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not of 5

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated October 17, 2023. By: /s/ Gail Mathews Gail Mathews Legal Assistant II Legal Department Arizona Registrar of Contractors

COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, October 17, 2023 to: Respondent Certified Mail No: [number redacted] Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne, #209 MESA, AZ 85203 Copy mailed by USPS First Class mail this same date to:

Respondent Apex Pool Care LLC DBA: Apex Pools AZ 1955 N Horne, #209 MESA, AZ 85203 Complainant Shaina Weisinger 3832 East Yucca Street Phoenix, AZ 85028

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. 2023-08082 of 5

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 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)

Shaina Weisinger Mailing Address (Enter jobsite in Contract/Project section) City State Zip

3832 East Yucca Street Phoenix Arizona 85028 Phone Number Email

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

Street Address of Attorney City State Zip

Phone Number of Attorney Email of Attorney

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

Apex Pool Care LLC ROC 341174 Street Address City State Zip

Phone Number Email

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

Sean O'Bannon;Leo Wieck Contract/Project Information Contract Date Contract Amount Amount Paid

February 16, 2023 $12,951.32 $12,951.32 Date Work Started Date Work Stopped Date Work Was Completed

February 5, 2023 February 10, 2023 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

3832 East Yucca Street Phoenix AZ 85028 Name of Construction Site Owner Construction Site Name (if applicable)

Shaina Weisinger Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Abandonment;Poor Work I have contacted the contractor by Phone/Text;Email;Letter Have you filed a complaint in court? No Has any work been corrected? Yes

RCC099 12/05/18 Page 1 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

A contractor he hired fixed the irrigation only because all of the plants were dying The contract was Both All change orders were Both This project was Residential This project involved Remodel

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

Over the course of the following month of what was completed on the project, major issues arose with multiple components of the job. We have multiple dated photos and screenshots of text correspondence addressing the issues with confirmation by Sean O’Bannon and Leo Wieck via text message and phone that they are problems caused by their work and that they would be remedied. They have since been abandoned. They are listed below: The synthetic grass began sinking in multiple areas of the backyard including -Along the patio where a new sewage line was placed. Soil was not compacted prior to laying grass. -By the aerator of the pool -On the northwest side of the pool and toward the gravel. *This was due to the water leaking from the pool pipes that were placed during the construction done by Apex on a previous contract and the irrigation flooding that was installed on this contract. -Along the step in side of the pool. The grass was not leveled in two areas. -Around the automatic pool filler you can see the concrete lines. -Around the pool filter you can see the concrete lines. Weed/ grass barrier was not laid under turf after the original grass was removed by their team. It is growing through the turf. Weed/ grass barrier was not laid under gravel after the original grass was removed by their team. It is growing through the gravel. Dirt was not used to create mounds in the front yard as originally discussed and agreed upon. Front yard brick flower bed was not completed. Irrigation was leaking almost everywhere, with access points to the main lines leaking and main lines themselves cracking and causing flooding throughout the front and back yard. Flooding also occurred at the valve center. (this was remedied on 6/30, we went out of town for a week to find that the irrigation was not working on half of the plants so a brand new, large yucca is burnt and looks terrible. They came back on 7/9 to fix the issue). Irrigation plans were never discussed and thus installed as two lines instead of four without proper zones designated by plant type and needs. (this was remedied 6/30 by a contractor he hired). Plants were installed at a slant and without wells so water was not saturating the soil near the roots and many were not getting water as they should. We had to pay another company to adjust the large ficus in the front yard and the large olive tree in the back yard so they were no longer leaning for $150. The contractors Apex Pools brought to remedy the irrigation fixed the remaining wells for the plants to receive adequate water. While the irrigation issue was remedied, all items outside of irrigation have been abandoned. We were assured on multiple occasions by both Leo and Sean that this would be remedied and we have yet to have this work completed. We sent a Demand Letter on Sunday, July 10th via text, email and mail and received a text message back from Sean O’Bannon on Friday, July 14th reading: "Hey Dan. Let me start by profusely apologizing. Something pretty devastating happened in my life recently and I’d rather not get into the nuts and bolts, but the short version is I am completely broke and am now trying to piece my marriage back together. I, obviously, have not been handling it well. I went ghost on just about everyone and you and Shaina were the last people who deserved that kind of treatment. I got Shaina’s letter, and you guys have every right to do what you have to do

RCC099 12/05/18 Page 2 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

and then some. I am in talks with Leo, Larry and another friend of mine to try and figure out a solution but I need time. If that doesn’t give you any comfort, fair enough but I simply don’t have the resources to make this right right now. Let me be clear: I have every intention of doing right by you guys and getting this resolved but I can’t make something out of nothing. You guys have your own lives and priorities so I understand if you need to move forward with the ROC or small claims or whatever but I have nothing. You will know something when I know something. Thank you for your patience and your grace up to this point, and I respect whatever decision you guys make given what I’ve now told you." We paid in full for quality landscape work that was incomplete and riddled with damages, resulting in an abundance of time taken to meet with his contractors for scope of work and estimates, daily manual watering of plants for months prior to irrigation being fixed, damage to new plants throughout the front and back yard and time spent constantly attempting correspondence and resolution. We now have been told that he is unable to make the repairs. Apex Pools LLC's ROC license does not include landscaping, therefore he was working outside of his scope as well. I am unsure how this proceeds as he does not have the license to do the work and does not have the funds to hire somebody licensed to do it. Leo Wieck of Southwest Turf Pros (ROC 330862) was hired by Sean to do the landscaping originally. We have since found out that he is the defendant in multiple lawsuits and on AZ ROC's Most Wanted Unlicensed Entities List after a second felony warrant was issued for his arrest. These were his other LLCs: Wieck DBA EMConstruction, Solscape LLC and Desert Storm Contracting LLC. He has stopped responding to us and to Sean. We have a screenshot from Leo to Sean stating "I'm 4 for 4 last year on complaints" and that he believes we would not get anything out of this complaint and we should pay out of pocket for these repairs. The second contractor he brought out to assess the landscaping issue is Larry Sanchez with Tatum Pools LLC (ROC 332882) who sent a quote on June 22nd, 2023 for a portion of the repairs and additional items we requested. When the additional item quoted were wildly inflated to obviously cover the cost of the original issue being fixed, we asked that they simply fix what was done wrong or what was incomplete. They are also only licensed KA-5 Dual Swimming Pool Contractor so we did not want him working on anything outside of his license. That is when both Sean and Larry stopped responding to us until Sean's response to the Demand Letter.

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

Shaina Weisinger \complainant1\ \complainantd1\

RCC099 12/05/18 Page 3 of 3 Apex Pools AZ 1955 N Horne Unit 209 Mesa, AZ 85203 US +1 [number redacted] [email redacted]

INVOICE BILL TO INVOICE 1141 Dan Weisinger DATE 02/16/2023 3832 E Yucca St TERMS Due on receipt Phoenix, AZ 85208 DUE DATE 02/16/2023

DATE DESCRIPTION QTY RATE AMOUNT

Slate Gray Pavers 1. Install 8 paver pads on backside of 125 8.25 1,031.25 pool measuring 3.5' x 3.5' each. 2. Install same pads on second area 12 total. 4' x 8' solid path from gate pads

Bermuda Blend 1. Install 1/4- base and compact to 562.50 6.95 3,909.37 (Backyard) correct grade 2. Install weed barrier (if selected) 3. Install Turf using industry standards 4. Install 2-3#s per sq ft of Silica infill 5. Power broom turf and wash.

Gravel Price is LABOR only. Cost of gravel 7.50 50.00 375.00 added to price. Cannot bid this until name of gravel provided.

Gravel 1" Palomino Gold 20t delivered, 5t 25 60.00 1,500.00 provided by contractor

Patio Concrete Demo REMOVE 4" concrete front patio - 272.50 1.00 272.50 (Front) dispose

Paver Brick (Front) Install customer provided bricks in front 215 6.00 1,290.00 yard according to plans. Price includes all materials excluding the actual brick paver.

Bermuda Blend (Front) 1. Install 1/4- base and compact to 337.50 7.00 2,362.50 correct grade 2. Install weed barrier (if selected) 3. Install Turf using industry standards 4. Install 2-3#s per sq ft of Silica infill 5. Power broom turf and wash.

Planter Beds one bed in front (single row) and 2 in 60 9.00 540.00 back

Planting and Irrigation 1. Five Gallon- 17= $255 2. Fifteen 1 2,195.70 2,195.70 Gallon- 23 = $1035 3. Thirty-six inch- 2= $400 4. Irrigation $325 5. Pick up two nurseries= $180

Grading and Demo Remove 2 plants in backyard and 1 425.00 425.00 dispose in landfill, We also put construction debris into provided dumpster (labor only)

Details 1. We accept cash, check and credit 1 0.00 0.00 card (3.3% fee) 2. Tax applied for materials only calculated at 6.5% 3. Turf carries 15 year warranty - we provide purchase receipt to customer so they can register with distributor. 4. Workmanship carries a 3 year warranty and covers any defect in the installation. Weed growth is only covered with the approval of installing a weed barrier

SUBTOTAL 13,901.32

DISCOUNT -950.00

TOTAL 12,951.32

PAYMENT 12,951.32

BALANCE DUE $0.00 PAID Estimate Summary

Estimate 1021 23,641.95

Invoice 1136 9,740.63

This invoice 1141 $0.00

Total invoiced 22,691.95

Received 11/2/23, 7:40 AM State of Arizona Mail - Written Answer to Citation and Complaint 2023-08082 11/01/2023 ROC Legal

Answers - AZROC <[email redacted]>

Written Answer to Citation and Complaint 2023-08082 message

Sean OBannon <[email redacted]> Wed, Nov 1, 2023 at 3:00 PM To: [email redacted]

Hi Gail,

My name is Sean O’Bannon. I’m the owner of Apex Pools AZ. This is my written response to complain 2023-08082. After our initial walkthrough with Steve Klein and receiving the directive, I emailed him with photos of the project before any turf was laid down, showing a properly compacted base. I did concede that the edges around the pool coping likely weren’t compacted completely as they sunk shortly after the turf was installed. The email to Steve is as follows:

“Good evening Steve,

Thank you for your time this afternoon. As I told you before our walkthrough, I have some pictures from the project that I hope will shed some light on the situation. I apologize for getting this to you so late. Please see the attached and let me know if you have any questions. Thanks

Sean

https://mail.google.com/mail/b/AEoRXRRs3rafZiUyRP2q-blgtbhdDEDutEMhZdf1NH1o4YhdLP-H/u/0/?ik=581c53cf5c&view=pt&search=all&permthid=… 1/2 Received 11/2/23, 7:40 AM State of Arizona Mail - Written Answer to Citation and Complaint 2023-08082 11/01/2023 ROC This picture was taken May 30th by the contractor who was licensed to do the landscape work Legalwith (Leo Southwest Turf Pros). The irrigation repair work was completed June 30th so the seams we saw were definitely not from my guys.

These are of the base laid down and compacted before turf was installed. Please note the lack of pipes in the flower bed that are present in the final picture. I don’t remember if those pipes were connected to the main sewer trunk line or not, but it is worth noting that the homeowner had a red tag put on the house during the project that I believe necessitated the plumbing change.

I believe we did not properly compact around the pool coping and the level wasn’t right around the skimmer and auto fill and I am more than willing to make that right. At the end of the day, I respect your decision and will do whatever the directive states, but I felt this information was relevant to relay. I will send a follow up email with the estimate and contract for your review. Thank you again, and have a great evening.”

In good faith, I stated I would do what the directive states, but what I received was both vague, and inaccurate with regard to the contract. The biggest issue being the “mounds” in the front yard. They were discussed with the homeowner as something we could do, but there was no change order or contract to reflect that they would be done. If the homeowner wants the mounds done, I would ask for a change order and additional payment as I don’t believe it’s fair or prudent that I come out of pocket for an addition the homeowner has not paid for. Especially after a precedent has been set that we use change orders when something outside of the initial estimate comes up, as Dan (the homeowner) signed and paid a change order for his pool plumbing. This signed change order, as well as the initial agreement, are attached. As stated in my email to Steve, the homeowner had a red tag put on his home during the project, I believe to mitigate a main sewage line issue, that required pavers and turf to be pulled up. During the walkthrough there was talk of me having to fix turf seams where the material was pulled up. For this reason I sent the picture of workers (not mine or Southwest Turf Pro’s) working in the area where the turf was pulled up. I was offered an out by the homeowner wherein I would acquiesce and forfeit my right to be present for a walkthrough with a member of the ROC. I declined as I didn’t feel good about it and proceeded with the inspection. The Weisinger’s tried to move the inspection date up for fear of their children stepping on turf nails and being injured while waiting. The Weisinger’s have not children and I requested we keep the date the same, as I was not able to get off work on short notice. I say all that to say the homeowners have no been honest in trying to get this resolved and I have therefore been hesitant to make contact regarding this issue. I am willing to correct mistakes made by my crew and the crew of Southwest turf pros, but I would ask for a second opinion on the directive based on what I’ve shared. Thank you.

Sean

attachments 123_1.mov 1392K 2023-01-31 estimate Dan Weisinger 1021.pdf 102K Apex_Construction_Contract_signed.pdf 1010K Apex_Change_Order_Form_signed.pdf 391K

https://mail.google.com/mail/b/AEoRXRRs3rafZiUyRP2q-blgtbhdDEDutEMhZdf1NH1o4YhdLP-H/u/0/?ik=581c53cf5c&view=pt&search=all&permthid=… 2/2 Received 11/01/2023 ROC Legal Apex Pools AZ 1955 N Horne Unit 209 Mesa, AZ 85203 US +1 [number redacted] [email redacted]

Estimate ADDRESS ESTIMATE 1021 Dan Weisinger DATE 01/31/2023 3832 E Yucca St Phoenix, AZ 85208

DATE DESCRIPTION QTY RATE AMOUNT

Slate Gray Pavers 1. Install 8 paver pads on backside of 250 8.25 2,062.50 pool measuring 3.5' x 3.5' each. 2. Install same pads on second area 12 total. 4' x 8' solid path from gate pads

Bermuda Blend 1. Install 1/4- base and compact to 1,125 6.95 7,818.75 (Backyard) correct grade 2. Install weed barrier (if selected) 3. Install Turf using industry standards 4. Install 2-3#s per sq ft of Silica infill 5. Power broom turf and wash.

Gravel Price is LABOR only. Cost of gravel 15 50.00 750.00 added to price. Cannot bid this until name of gravel provided.

Gravel Price is LABOR only. Cost of gravel 10 50.00 500.00 added to price. Cannot bid this until name of gravel provided.

Gravel 1" Palomino Gold 20t delivered, 5t 25 60.00 1,500.00 provided by contractor

Patio Concrete Demo REMOVE 4" concrete front patio - 545 1.00 545.00 (Front) dispose

Paver Brick (Front) Install customer provided bricks in front 430 6.00 2,580.00 yard according to plans. Price includes all materials excluding the actual brick paver.

Bermuda Blend (Front) 1. Install 1/4- base and compact to 675 7.00 4,725.00 correct grade 2. Install weed barrier (if selected) 3. Install Turf using industry standards 4. Install 2-3#s per sq ft of Silica infill 5. Power broom turf and wash.

Planter Beds one bed in front (single row) and 2 in 60 9.00 540.00 back

Received 11/01/2023 ROC Legal Planting and Irrigation 1. Five Gallon- 17= $255 2. Fifteen 1 2,195.70 2,195.70 Gallon- 23 = $1035 3. Thirty-six inch- 2= $400 4. Irrigation $325 5. Pick up two nurseries= $180

Grading and Demo Remove 2 plants in backyard and 1 425.00 425.00 dispose in landfill, We also put construction debris into provided dumpster (labor only)

TOTAL $23,641.95

Accepted By

Accepted Date

Received 11/01/2023 ROC Legal

Change Order Form

Homeowner Name:____________________________________________________

Address:____________________________________________________________

Description of Work Being Added to Contract:

____________________________________________________________________________

Terms and Conditions

1. This document is an addendum to the construction contract previously signed. Any work

described in this document is subject to the same warranties, terms, conditions and

exclusions in the construction contract.

2. Per Addendum A, section 5 in the contract, All change orders must be paid in full and

signed BEFORE work is to be completed. You acknowledge this by signing below.

Payment can be made via credit/ debit card (subject to 3.3% fee), cash, or check. Received 11/01/2023 ROC Legal

Contractor Printed Name:______________________________________________

Contractor Signature:_________________________________________________

Date:______________________________

____________________________________________________________________________

Customer Printed Name: ______________________________________________

Customer Signature:__________________________________________________

Date:______________________________ Received 11/01/2023 ROC Legal

Contract No. 1719 Apex Pools AZ (480) 417 1514 [email redacted] ROC# 341174

CONSTRUCTION AGREEMENT

I. BASIC INFORMATION:

Property Owner’s Name(s):__________________________________________________

Property Address:__________________________________________________

Phone #:__________________________________________________________

Email Address:____________________________________________________

___________________________________________________________________________________________________

Brief Description Of the Work: _________________________________________ *The Work is more fully described in Schedule 2 of this Contract.

Total Contract Price:__________________________

Payment Schedule: 50% Down Payment____________| 50% upon completion____________|Total sum of Payments____________

If the project is Landscape/Hardscape only then the following Payment Schedule is Mandated by the ROC: 30% due at Acceptance $ 30% due at Decking $ 30% due at Landscaping $ Final 10% due at Completion of project: $ Sum of payments: $ *Please note that completion of project does not include punch list items or warranty items. Payment is still due when the project is 99% complete.

*Credit Card payments incur an additional 3.3% fee. Cash, Check, Bank Transfer or Money Order is accepted.

If the project has a pool/spa new build then the following Payment Schedule is Mandated by the ROC: Received 11/01/2023 ROC Legal

$1000 Deposit at Signing of Project $

30% of Contract Price at Excavation of Pool/ Spa $

30% of Contract Price at Shotcrete $

30% of Contract Price at Substantial Completion of Decks $ for Pool/ Spa

Final 10% Due PRIOR to Interior of Pool/ Spa $

*Credit Card payments incur an additional 3.3% fee. Cash, Check, Bank Transfer or Money Order is accepted.

II. ADDITIONAL TERMS AND CONDITIONS THIS CONSTRUCTION CONTRACT is made to be effective as of the Effective Date (defined below) by and between APEX POOL CARE LLC, an Arizona limited liability company dba APEX POOLS AZ (the "Contractor"), whose Arizona Contractor's License Number is ROC 341174 (General Dual KA-5 Dual Swimming Pool Contractor); and Contractor's customer, who is the person, persons, legal entity or legal entities identified as the "Owner" on the first page of this Contract and on the signature page (collectively, the "Owner”).

Estimated Date of Commencement of The Work: Approximately 4-6 weeks after: (a) Contractor's receipt of the Deposit; and (b) satisfaction of Owner's obligations for commencement of the work set forth in Section 2.2 of this Contract. If APEX POOLS AZ can start before 4-6 weeks, your project manager will let you know ahead of time.

Estimated Date of Substantial Completion: The estimated date of substantial completion for your project is determined based on the following formula that incorporates your project’s contract price:

Contract Price____________/ 4000= ________Weeks from work commencement date

As an example, if your project is 60k, it will take 15 weeks to complete once work has started (not from the signing of the contract).

Completion Date Extension: It is agreed that the completion date shall be extended for delays experienced by Contractor because of the inability to reasonably obtain materials, acts of God, bad weather, fires, restrictive governmental law or regulations, accidents or interference of any kind that is reasonably beyond the control of Contractor.

Extra Work/Change Orders: Contractor shall not be required to provide extra work, upgrades or changes to this Contract unless a separate written contract is agreed upon between Contractor and Owner.

Concealed Conditions: If conditions are encountered on the property that are subsurface or otherwise concealed physical conditions, which have been previously undisclosed to Contractor or if there are any unknown physical conditions of an unusual nature, which differ materially from those ordinarily found to exist and generally recognized as inherent in construction activities, the contract price shall be adjusted equitably to compensate Contractor for additional reasonable costs incurred by Contractor to complete the job because of such unknown and unforeseen physical conditions.

Exclusions: Contractor shall not be obligated to perform any work to correct damage caused by Owner or Owner’s agents or subcontractors not hired by Contractor, acts of God, soil slippage, earthquake, abnormal weather, vandalism or any act, event or occurrence beyond the reasonable control of Contractor.

Non-Payment: Contractor shall have the right to stop work and to keep the job idle if payments are not made when due.

Final Payment Waiver: The making of the final payment shall constitute a waiver of claims by Owner against Contractor except those arising out of liens, claims, security interests or other encumbrances arising out of the contract, failure of the work to comply with contract requirements or terms of applicable warranties.

Additional Owner Safety Responsibilities: Owner agrees to limit access to the construction site by Owner, family members of Owner and any invitees of Owner, and to take all reasonable precautions to prohibit any injury to such individuals, any pets, contractor, any subcontractors on the job and any other individuals on the construction site.

For notices allowed hereunder:

Contractor's Representative: Sean O'Bannon Contractor's Notice Information Apex Pools AZ Received 11/01/2023 ROC Legal

(480) 417-1514 [email redacted]

Owner’s Notice Information:

*Owner shall be notified at the Property address or such other address as provided by Owner to Contractor.

III. General Provisions: ● This agreement shall be binding upon the heirs, personal representatives, lawful assigns and lawful successors of the parties. ● It is agreed paragraph headings/captions are for convenience only. ● The parties agree in the event of a breach of this contract, the breaching party will pay the other party costs and reasonable attorney fees incurred because of the breach, whether a lawsuit is instituted or not. ● Each party to this agreement agrees to do all things and take all actions, and to make, execute and deliver such other documents and instruments as shall be reasonably requested to carry out the provisions, intent and purpose of this agreement. ● This agreement contains the entire agreement between the parties, and no statements, promises or inducements made by either party or agent of either party that are not contained in this written agreement shall be valid or binding; this contract may not be enlarged, modified or altered except in writing by all parties to this agreement. ● The parties agree this contract shall be construed in accordance with the laws of the state of Arizona without regard to conflict of laws principles/the choice-of-law doctrine, and any controversy, dispute or litigation shall be brought or commenced only in MaricopaCounty, Superior Court, Arizona. ● If any provision or portion of a provision of this agreement is declared void and unenforceable, such provision or portion of such provision shall be deemed severed from this agreement, which shall otherwise remain in full force and effect. Further, if any such provision or portion of such provision may be reduced and/or narrowed in scope or the like, such provision or portion of such provision shall be reduced, narrowed, and/or the like, and so enforced. The same shall apply to any portion of any provision.

Property Owner Acknowledgement and Understanding: BY SIGNATURE BELOW, OWNER ACKNOWLEDGES AND SIGNIFIES THAT OWNER HAS CAREFULLY READ THIS ENTIRE AGREEMENT AND HAS HAD TIME TO CONSIDER THE TERMS AND FULLY UNDERSTANDS AND AGREES TO ALL SUCH PROVISIONS, INCLUDING BUT NOT LIMITED TO THOSE CONTAINED IN ALL ADDENDA AND EXHIBITS HERETO. OWNER ACKNOWLEDGES THAT THIS AGREEMENT HAS RESULTED FROM NEGOTIATIONS BETWEEN, AND IS FAIR TO, BOTH PARTIES, AND THEREFORE ANY RULE OF CONSTRUCTION REQUIRING AMBIGUITIES TO BE CONSTRUED AGAINST THE DRAFTER OF AN AGREEMENT SHALL NOT APPLY TO ANY TERM OR PROVISION OF THIS AGREEMENT. DATED to be effective (although not necessarily signed) as of the Effective Date below.

__________________________________________________________________________________________________________________

Apex Pools AZ Salesperson:

Printed Name: Sean C O’Bannon

Signature: __________________________________________________________________ Date: ______________________

*This Contract is not binding on Contractor until accepted and executed by a duly authorized representative of Contractor in the signature block provided below.

Contractor Authorized Representative:

Printed Name: Sean C O’Bannon

Signature: __________________________________________________________________ Date: ______________________ Received 11/01/2023 ROC Legal

Owner (If individual[s])

Printed Name:_______________________________________________________________

Signature: __________________________________________________________________ Date: ______________________

Owner (If business)

Printed Name:______________________________________________________________

Authorized Representative Name & Title:_______________________________________________________________________

Signature: __________________________________________________________________ Date: ______________________

State of Formation:___________________________________________

Addendum A Points of Emphasis

The following Points of Emphasis are hereby incorporated into and made a part of the Construction Contract:

1) It is the customer’s responsibility to handle all pool barriers. Pool barriers vary based on the municipality in which your project is located. We will gladly help you identify the barriers needed but APEX POOLS AZ does not take care of them.

2) When we dig the pool and we’re planning on taking down a section of the wall, we will put a temporary fence up until hardscape and rebuild the wall at that point.

3) If there is any rain on a day we're supposed to work, assume we won't be working. Most of the time, we don't work with rain or bad weather because construction is not safe during that time.

4) During construction, we are not responsible for securing animals so please plan accordingly.

5) Any change outside the contracted design and job scope, must have a signed change order that is paid in full when the change is performed. If this is not done, the change won't be made. The changes could result in a delay depending on raw material availability and delivery of the product.

6) The payment schedule is a state mandated law and must be followed exactly or the job progress will stop per the ROC's requirements that we must follow.

7) Please remember that the estimated date of substantial completion for your project is based on an average completion rate for all of our projects on an annual basis. This is based on when work starts, not when the contract is signed. If you have expectations that are not in line with this formula, please talk to your salesman because this is what we will average, nothing faster. Received 11/01/2023 ROC Legal

8) There will be changes in the schedule as the project moves along, it is normal for this to happen. Our goal is to communicate with you as they arise. We can’t predict unforeseen delays; however, we do everything in our power to forecast accurately and ensure you’re informed through the process.

9) It is the customer’s responsibility to turn the water off. The water needs to fill until it’s mid tile line, approximately 3” below the coping of the pool.

10) If prior to shotcrete, we get rain that causes settling of the dirt, we will have to send the excavation company to muck out the dirt and reset the 3” clearance between the rebar and the dirt. The excavation company charges a $350 fee to do this. It’s an uncommon occurrence, but it is something to remember. Also, when this happens, it creates overbreak on the shotcrete installation. This can result in an extra charge for shotcrete because the removal of dirt causes an increase in shotcrete.

11) If the customer has new gas being ran in the contract, it is the customer’s responsibility to contact their gas provider to hook the new gas up to their meter.

12) If any payment due is not received by Contractor within 5 days of the due date, then Owner must pay: (a) a late fee equal to $250.00, or 5% of the required payment, whichever is greater; and

(b) interest on all unpaid amounts (including any unpaid late fee) at the rate of 1.5% per month (18% APR) from the original due date until paid. Owner must pay the late fee and the interest in each such event, and without the necessity for Notice from Contractor. In addition, Contractor will have the right to stop its performance of the Work, or of any warranty work, without Notice to Owner until payment in full of past due amounts, plus all applicable late fees and interest, is received in cash, wire transfer or cashier's check. After receiving full payment of past due amounts, Contractor will resume performance of the work or of any warranty work within 5 Business Days.

13) 3D renderings are an artistic creation of what the yard will look like. However, materials, plants, and every other main detail of the 3D renderings will vary from the actual installation. Please do not expect your final product to look exactly like the 3D renderings you were shown.

14) Under Arizona law, in order to fully maintain our lien rights in the event of a default in payment, we must send you what’s commonly called a “preliminary notice” within 20 days of first furnishing labor or materials. This is not an actual lien, but it is something we must do by law in order to protect our right to be paid.

15) Apex Pools AZ will not tolerate verbal abuse or threats made toward owner, staff or subcontractors at any point during this contract. Apex Pools AZ can stop work at any time and leave jobsite, with the material, if the customer displays any behavior listed above. Customer will also have to pay for the work that has already been completed up to that point; amount to be determined by owner, Sean O'Bannon. 16) For your protection, please read all contract documents thoroughly.

DESCRIPTION OF THE LIMITED WARRANTY

LANDSCAPES:

(a) Hardscape items: 2 years. (b) Sprinklers, irrigation and drip systems: 1 year. (c) Plants and trees: 30 days. Contractor performs plant and tree warranty at 30 days after install. Warranty is a one-time only service, and applies only to plants that are watered by an automatic irrigation system installed by Contractor. (d) Standard lighting system: 1-year manufacturer's warranty on all fixtures, and a 1-year manufacturer's warranty on all transformers. (e) Focus lighting system: 10-year manufacturer's warranty on all fixtures, and a manufacturer's lifetime warranty on all transformers. (f) Synthetic turf: 8-year manufacturer's warranty. Contractor also provides an official certificate supporting lead free products.

Exclusions: There are no warranties on annual plants or Ocotillo trees. Contractor will not be liable for loss of plants, trees or sod resulting from damage caused by the Owner, frost, wind, animals, storms or vandalism. Contractor-installed plants, trees and sod will be set up on an automatic irrigation Received 11/01/2023 ROC Legal

system with the correct watering times needed. Owner must follow the recommended watering schedules. If Contractor determines that Owner has not properly used or maintained the irrigation system and followed the necessary schedule changes, the warranty on plants, trees and sod will be void.

SWIMMING POOLS AND SPAS:

(a) Concrete shell: lifetime materials and labor. (b) Interior aggregate (pebble) surface: 10 years’ materials and labor for materials installed below the waterline, 2 years’ materials and labor for materials installed at and above the waterline. (c) Waterline tile and trim tile: 2 years’ materials and labor. (d) Paver coping, cap, and deck: lifetime materials, 2 years’ labor. (e) Masonry installations attached or adjacent to the swimming pool or spa: lifetime materials, 2 years’ labor. (f) Underground plumbing, gas, and electric lines: lifetime materials, 2 years’ labor. (g) Heater, pump and filter: 3-year manufacturer's warranty. This warranty applies only to Pentair brand equipment, and only if all three items (heater, pump and filter) be Pentair brand equipment. (h) In-floor cleaning system: lifetime manufacturer's warranty. The manufacturer guarantees that their system will clean at a 99.5% efficiency rate. This warranty applies only to Paramount brand cleaning systems.

Exclusions: Warranty repairs to the pool or spa surface, tile or deck might not precisely match surrounding or existing color, shade or texture. Cracks may reappear following warranty repair of cracks in the pool, spa or deck. Any one or more of the following conditions or events may occur to a swimming pool or spa surface but all of which are normal, result from the inherent characteristics of plaster, pebble stone and other surfaces, are beyond Contractor's control and will not be considered defects: (1) color or shading may vary, and may not be the exact shade anticipated; (2) light or dark streaks may appear; (3) over time, the color may vary and fade, and the surface may become streaked, blotchy, mottled, cracked or crazed; (4) spot etching, calcium nodules or other issues related to water chemistry may appear; (5) slight variations and waves in the surface may be seen; (6) pebble surface may have a variegated appearance caused by natural variations in size, color and appearance of the stones used; and (7) periodic loss of stones from a pebble surface.

GENERAL:

(a) All warranty time periods start to run upon Substantial Completion of the Work, and apply to the original Owner only. "Lifetime" means the lifetime of the original Owner for so long as the original Owner owns the Property. Any element of the Work whose warranty period is not described above, or excluded, has a 3-year materials and labor warranty.

(b) In addition to the provisions, limitations and exclusions set forth above and in the Construction Contract, the warranty does not cover loss or damage to the Work arising in whole or in part by events or conditions beyond Contractor's control, including the effects of: preexisting conditions of or at the Property; acts of nature; acts of persons other than Contractor; expansion, contraction, settling or other shifting of soils; accidents; neglect, abuse or misuse; vandalism; tree roots; excavation too close to swimming pool or spa edge; walls, fences and other structures added adjacent to pool or pool deck; excessive irrigation of adjacent land; failure to maintain proper chemistry (including alkalinity, pH level, hardness, buildup of minerals and dissolved solids) of pool fill water as recommended by Contractor or pool service company; improper use of pool chemicals; use of gas chlorine in pool water; failure to follow start-up procedures recommended by Contractor or pool service company; failure to regularly and adequately brush down pool interior surface; and failure to adequately drain the pool. The warranty also does not cover the cost of replacing fill water or chemicals, and the loss of use of pool.

SCHEDULE 2 Attached to and Made a Part of Construction Contract between Owner and Contractor (APAZ Contract No. 1719) Received 11/01/2023 ROC Legal

Activity Description QTY Rate($) Amount

Guaranty

This Guaranty is made by the undersigned owners, members, managers, shareholders, officers, directors of CLIENTS NAME (the "Owner"), and their respective spouses (collectively, "us," "our" or "we"), for the benefit of APEX POOL CARE, LLC, an Arizona limited liability company dba APEX POOLS AZ ("you" or "your"), and your successors and assigns, in connection with the Construction Contract between Owner and you (the "Contract").

A. In consideration of, and as an inducement and condition precedent to, your execution of the Contract, we hereby personally, absolutely and unconditionally: (1) guarantee to you and your successors and assigns that Owner will fully and punctually pay and perform each and every undertaking, agreement and covenant set forth in the Contract; and (2) agree to be personally bound by, and personally liable for the performance or breach of, each and every provision in the Contract, including: Owner's monetary obligations; Owner's non-monetary obligations; Owner's obligations to take or refrain from taking certain actions (including restrictive covenants); Owner's waivers, representations and warranties; and Owner's covenants, agreements and waivers regarding mediation and arbitration of disputes. B. We hereby waive: (1) protest and notice of default, demand for payment or nonperformance of any obligations guaranteed by this Guaranty;(2) any right we may have to require that an action be brought against Owner or any other person as a condition of our liability, including the provisions of Sections 12-1641, et seq., 44-142 and 47-3605 of the Arizona Revised Statutes, and Rule 17(f) of the Arizona Rules of Civil Procedure (Title 16, Arizona Revised Statutes), and any corresponding successor or future statutes or rules; (3) all right to payment or reimbursement from, or subrogation against, Owner that we may have arising out of our guaranty of Owner's obligations; and (4) any and all other notices and legal or equitable defenses to which we may be entitled in our capacity as guarantor. C. We hereby consent, intend and agree that: (1) our liability under this Guaranty will be joint and several, direct, immediate, primary, unconditional and independent of the obligations of Owner; (2) we will make any payment or render any performance required under the Contract on demand if Owner delays, fails or refuses to do so when required; (3) this Guaranty is a guarantee of payment and performance, not merely of collection, and a separate action or actions may be brought and prosecuted against us, or any of us, regardless of whether you bring an action against Owner or whether you join Owner in any such action or actions; (4) our liability will not be contingent or conditioned on your pursuit of any remedies against Owner or any other person; (5) our liability will not be diminished, relieved or otherwise affected by any extension of time, credit or other indulgence that you may from time to time grant to Owner or to any other person, including the acceptance of any partial payment or performance, or the compromise or release of any claims; (6) this Guaranty is a continuing guaranty relating to the Contract, including any replacement or modification of the Contract; (7) this Guaranty will continue and be irrevocable during the term of the Contract (including any substitutions of the Contract), and after the expiration or sooner termination of the Contract for so long as Owner has any obligations under the Contract; (8) you may have recourse against our respective marital communities, as to those of us who are married persons, and against our separate property, and in such order and manner as you may elect; and (9) our liability under this Guaranty will continue with regard to any sums Owner or any other person or party pays to you under the Contract but which sums you, in whole or in part, refund, return, pay or disgorge, whether voluntarily or involuntarily, for any reason whatsoever (including if the payment to you is deemed a fraudulent transfer or conveyance or a preferential payment) or for no reason. Received 11/01/2023 ROC Legal

D. This Guaranty will be governed by and construed and enforced under Arizona law, whose courts will have jurisdiction over any legal proceedings or actions arising from this Guaranty. We hereby: (1) submit to the nonexclusive personal jurisdiction of the courts of the State of Arizona and the federal courts of the United States of America located in the State of Arizona for the purposes of any suit, proceeding or hearing brought to enforce or construe the terms of this Guaranty or the Contract; (2) stipulate that the exclusive venue and location of the mediation and arbitration hearings, litigation, suits, proceedings, hearings and other actions will be Maricopa County, Arizona; and (3) waive any right we may have to contest venue and jurisdiction in Maricopa County, Arizona, as well as any claims that venue and jurisdiction is invalid. Time is of the essence of this Guaranty. The invalidity or unenforceability of any term or provision of this Guaranty will not affect the validity or enforceability of any other term or provision of this Guaranty. Words in the singular number include the plural, and vice versa; and masculine references include the feminine and neuter, and vice versa. The word "including" is not limiting but, instead, must be read as "including, without limitation" or "including, by way of illustration and not limitation" as the context may dictate. The word "we" means each, as well as all, of the undersigned. E. We, jointly and severally, agree to pay all expenses and costs of any kind or nature whatsoever you incur to collect any payments due under this Guaranty or to enforce or interpret this Guaranty, with or without suit, in mediation or arbitration, in any bankruptcy proceeding (including contested matters and adversary proceedings), on appeal, and in connection with pre-judgment collections actions and post-judgment collections enforcement, including the following expenses and costs: all attorneys' fees, all taxable court costs, all non-attorney professional fees (including all fees, costs and other charges of accountants, expert witnesses and appraisers), and all non-taxable costs (including all photocopy, facsimile, long distance and cellular telephone, private investigation, computerized legal research, messenger, overnight courier, postage, travel and transportation, and secretarial overtime charges). If you are required to engage legal counsel in connection with any failure by us to comply with this Guaranty, we agree to promptly and fully reimburse you for any and all of the costs and expenses described in the previous sentences that you incur.

This Guaranty is made to be effective (although not necessarily signed) as of the Effective Date of the Contract.

Guarantor 1 Signature: _____________________________________ Guarantor 1 Spouse Signature: __________________________________ Printed name: _________________________________ Printed name: _________________________________

Guarantor 2 Signature: _____________________________________ Guarantor 2 Spouse Signature: __________________________________ Printed name: _________________________________ Printed name: _________________________________ 11/6/23, 8:19 AM State of Arizona Mail - Written Answer to Citation and Complaint 2023-08082

Answers - AZROC <[email redacted]>

Written Answer to Citation and Complaint 2023-08082 Sean OBannon <[email redacted]> Fri, Nov 3, 2023 at 12:31 PM To: Answers - AZROC <[email redacted]>

https://mail.google.com/mail/b/AEoRXRS8OeQeoQLHyHA9yfqhtayIH986AqNtQWl9g-3DP7pk6fTM/u/0/?ik=581c53cf5c&view=pt&search=all&permms… 1/3 11/6/23, 8:19 AM State of Arizona Mail - Written Answer to Citation and Complaint 2023-08082

https://mail.google.com/mail/b/AEoRXRS8OeQeoQLHyHA9yfqhtayIH986AqNtQWl9g-3DP7pk6fTM/u/0/?ik=581c53cf5c&view=pt&search=all&permms… 2/3 11/6/23, 8:19 AM State of Arizona Mail - Written Answer to Citation and Complaint 2023-08082

[Quoted text hidden]

https://mail.google.com/mail/b/AEoRXRS8OeQeoQLHyHA9yfqhtayIH986AqNtQWl9g-3DP7pk6fTM/u/0/?ik=581c53cf5c&view=pt&search=all&permms… 3/3 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