2023A-08181-CHC-ROC Notice of Hearing and Packet MAILED
2023A-08181-CHC-ROC · Registrar of Contractors · 2024-02-06
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Erycka Cartee , Case No. 2023-08181 COMPLAINANT, Docket No. 2023A-08181-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Penn-Tek LLC License No. ROC 328761,
RESPONDENT.
This Notice of Hearing is issued under A.R.S. § 41-1092.05(D). HEARING INFORMATION The hearing is set for: March 25, 2024 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 January 5, 2024. SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED The complaint and citation allege that the Respondent committed the following act(s): Charge: 1 A.R.S. § 32-1154(A)(1)
Charge: 2 A.R.S. § 32-1154(A)(3) - R4-9-108(a)
Charge: 3 A.R.S. § 32-1154(A)(22)
THE PARTIES TO THE ADMINISTRATIVE HEARING Because Respondent is a licensee and is charged with an act(s) or omission(s) that is
cause for the suspension or revocation of a license, Respondent is a party to this case and will
be a party to the hearing.
Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing. Respondent and Complainant, as the parties to the hearing, will present evidence and argument to the administrative law judge. The Registrar’s assigned investigator will appear as a witness at the hearing.
RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney. A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented
by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32-
1156(B).
CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of
any change of address within five (5) days of the change. A.R.S. § 41-1092.04.
HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092
to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles
regarding the administrative hearing process can be found at https://www.azoah.com/.
REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE
The Registrar’s investigators, employees, and attorneys will appear at the hearing via
video conference or telephone unless requested by a party to appear in-person. Requests for
the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date.
HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses certain documents to the parties and the Office of Administrative Hearings. These documents are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below.
SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their case. If a party wants to obtain testimony from a witness or documents not in the party’s possession, the party must prepare and file a written subpoena for the Administrative Law Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04.
DISCLOSURE STATEMENT At least seven calendar days before the hearing, each party must prepare and serve a
disclosure statement on all other parties, and file it with the Office of Administrative Hearings.
A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the
party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is available on the Registrar’s website at https://roc.az.gov/forms/RC-L-800A%20- %20Prehearing%20Disclosure%20Statement%2020191007v4.pdf
CHANGING THE HEARING DATE The date of the hearing may only be advanced or delayed on the agreement of the
parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may
be changed by filing a written agreement of the parties to change the date of the hearing. The
written agreement must be filed with the Office of Administrative Hearings, directed to the
assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The
assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com If a party would like to move the date of the hearing without agreement of all parties, the party must file a written motion with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties.
The motion must state in detail good cause for why the date of the hearing should be advanced or delayed, and the position of all other parties regarding the advancement or delay. A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).
RESOLUTION SHORT OF ADJUDICATION In any case which is resolved or settled by the parties, or which is withdrawn by the Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated February 6, 2024.
By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail February 6, 2024 to: Respondent(s) Penn-Tek LLC 3080 Cardinal Dr Sierra Vista, AZ 85635
Complainant(s) Erycka Cartee 4438 S San Pedro Ave Sierra Vista, AZ 85650
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. 2023-08181 /
Katie Hobbs, Governor Martin Quezada, Director
Hearing Packet FAQ What is the Hearing Packet?
The Hearing Packet is a packet of certain documents collected or issued by the Registrar over the course of its investigation.
Who gets the Hearing Packet?
The Hearing Packet is assembled and distributed to all parties and to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing.
What types of cases does the Registrar prepare a Hearing Packet for?
The Registrar prepares a Hearing Packet for Complainant-Handled Cases and No-Pay Cases. Note: If the Docket Number on the Notice of Hearing contains a “CHC” or “NPC”, your case is a Complainant-Handled Case or a No-Pay Case.
What is in the Hearing Packet?
The Hearing Packet contains essential case-specific documents and at a minimum will include the following documents:
● Original complaint;
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ
Katie Hobbs, Governor Martin Quezada, Director
● Citation; and ● Answer.
The Hearing Packet will also contain the following documents (if applicable):
● Jobsite inspection notices, notes, and photos; ● Written directives; and ● Compliance inspection notices, notes, and photos.
What if there are documents missing from the Hearing Packet?
If there is any evidence you submitted to the Registrar that are not included in the Hearing Packet it is your responsibility to introduce that evidence at the administrative hearing. Note: The administrative law judge assigned to your case does not have access to the entire Registrar record.
If there is additional evidence you submitted to the Registrar during the investigation that you also want to introduce as evidence during your hearing, it is your responsibility to:
● Properly disclose that evidence to the other party; and ● Introduce the evidence during your hearing.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ
Katie Hobbs, Governor Martin Quezada, Director
How do I disclose evidence I intend to use at a Hearing?
You must properly disclose any and all documents and witnesses you intend to use at your hearing according to the Registrar’s Prehearing Disclosure Rules. See Arizona Administrative Code Section R4-9-118.
A sample prehearing disclosure form and instructions are provided to the parties by the Registrar.
How do I obtain documents I previously submitted to the Registrar?
If you previously submitted documents to the Registrar and need a copy of these documents, please contact the Registrar’s Legal Department or submit a public records request at https://roc.force.com/AZRoc/s/roc-public-request.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ
Complainant: Erycka Cartee 4438 S San Pedro Ave Sierra Vista, AZ 85650
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: Penn-Tek LLC 3080 Cardinal Dr Sierra Vista, AZ 85635
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 25, 2023
Jobsite Inspection Notice Re: Complaint Number 2023-08181
Dear Complainant and Respondent:
A formal complaint has been filed with the Arizona Registrar of Contractors.
A jobsite inspection is scheduled for August 30, 2023 at 10:00 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.
COMPLAINANT: 1. Under A.R.S. § 32-1155(D)(1), the Respondent must be allowed, upon request, the opportunity to inspect the work complained of within fifteen (15) days of receiving this notice. If Respondent is not provided an opportunity to inspect the work within the fifteen (15) day time period, the Registrar may be prohibited from taking further action on this complaint. 2. The Registrar may also be precluded from taking further action on this complaint, if the work that is the subject of the complaint is subject to neglect, modification, or abnormal use. A.R.S. § 32-1155(D)(2) 3. You must provide safe access to any area to be inspected. If access to a roof or other elevated area is required, you must provide a means to safely access the area (ladder or manlift as appropriate). Additionally, please secure any animals.
RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection.
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, Mike Springer Mike Springer, Investigator #192 520 5089735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812
CC: Respondent Choose an item. Choose an item. Choose an item.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Jobsite Inspections
Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license alleging poor workmanship, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.
Jobsite Inspection Rights and Responsibilities Access to inspect: The property owner has complete control over who they allow on the property. However, if the Registrar’s investigator or the contractor cannot inspect the work, the Registrar will not move forward with a citation.
Cooperation: Arizona law enables injured parties to seek relief for damages through several paths. When dealing with a licensed contractor, the Registrar of Contractors’ administrative complaint process may serve as one of those possible paths. However, in order to use that path, the Registrar relies on the cooperation of all parties to a complaint.
Minimum workmanship: The Registrar investigates workmanship complaints for compliance with minimum workmanship and professional industry standards. The Registrar does not issue citations for work that meets these standards.
Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.
The Role of the Investigator At the Jobsite Inspection, the Registrar’s investigator will: ● Only investigate the items listed on the complaint form filed with the Registrar. ● Will gather evidence to make an informed decision about the complaint items.
What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.
Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.
What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will determine whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.
Written Directives Access: In order to use the administrative process offered by the Registrar, a property owner must provide reasonable access to allow the contractor to fix their work as directed by the Registrar in a Written Directive. Complainants may not put any additional, unnecessary restrictions on the Respondent above and beyond the initial contract requirements agreed upon at the beginning of the project. Respondents are required to make repairs on items identified on any Written Directive, not otherwise restricted by local code or HOA limitations. Complainants must make access available to the Respondent to make the required repairs and failure to provide reasonable access may result in the Registrar dismissing the complaint.
Contractor obligations: The Written Directive will set a deadline for compliance. This is the period of time determined by the Investigator as necessary to complete the items listed in the Directive. ● The deadline for compliance assumes the contractor will promptly begin working on the items listed in the Directive. ● Do not wait. Both parties should communicate quickly to schedule the work.
Extensions: If good cause exists to extend this deadline, either party may submit a written request to the Investigator. The Registrar will review requests for extension and determine if the Directive should be extended.
Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.
Compliance Inspection: After the Written Directive expires, the Registrar’s Investigator will contact the complainant to determine if the contractor performed any corrective work. ● If the contractor did corrective work, the Investigator may schedule a Compliance Inspection to determine if the poor work is corrected. ● If the contractor did not perform any corrective work, the Registrar’s Investigator will not do a Compliance Inspection and will determine whether to issue a citation based on the administrative record.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.
Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Complainant: Erycka Cartee 4438 S San Pedro Ave Sierra Vista, AZ 85650
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: Penn-Tek LLC 3080 Cardinal Dr Sierra Vista, AZ 85635
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 November 15, 2023
Jobsite Inspection Notice Re: Complaint Number 2023-08181
Dear Complainant and Respondent:
A formal complaint has been filed with the Arizona Registrar of Contractors.
A jobsite inspection is scheduled for December 5, 2023 at 09:30 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.
COMPLAINANT: 1. Under A.R.S. § 32-1155(D)(1), the Respondent must be allowed, upon request, the opportunity to inspect the work complained of within fifteen (15) days of receiving this notice. If Respondent is not provided an opportunity to inspect the work within the fifteen (15) day time period, the Registrar may be prohibited from taking further action on this complaint. 2. The Registrar may also be precluded from taking further action on this complaint, if the work that is the subject of the complaint is subject to neglect, modification, or abnormal use. A.R.S. § 32-1155(D)(2) 3. You must provide safe access to any area to be inspected. If access to a roof or other elevated area is required, you must provide a means to safely access the area (ladder or manlift as appropriate). Additionally, please secure any animals.
RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection.
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, Mike Springer Mike Springer, Investigator #192 520 5089735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812
CC: Respondent Choose an item. Choose an item. Choose an item.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Jobsite Inspections
Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license alleging poor workmanship, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.
Jobsite Inspection Rights and Responsibilities Access to inspect: The property owner has complete control over who they allow on the property. However, if the Registrar’s investigator or the contractor cannot inspect the work, the Registrar will not move forward with a citation.
Cooperation: Arizona law enables injured parties to seek relief for damages through several paths. When dealing with a licensed contractor, the Registrar of Contractors’ administrative complaint process may serve as one of those possible paths. However, in order to use that path, the Registrar relies on the cooperation of all parties to a complaint.
Minimum workmanship: The Registrar investigates workmanship complaints for compliance with minimum workmanship and professional industry standards. The Registrar does not issue citations for work that meets these standards.
Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.
The Role of the Investigator At the Jobsite Inspection, the Registrar’s investigator will: ● Only investigate the items listed on the complaint form filed with the Registrar. ● Will gather evidence to make an informed decision about the complaint items.
What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.
Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.
What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will determine whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.
Written Directives Access: In order to use the administrative process offered by the Registrar, a property owner must provide reasonable access to allow the contractor to fix their work as directed by the Registrar in a Written Directive. Complainants may not put any additional, unnecessary restrictions on the Respondent above and beyond the initial contract requirements agreed upon at the beginning of the project. Respondents are required to make repairs on items identified on any Written Directive, not otherwise restricted by local code or HOA limitations. Complainants must make access available to the Respondent to make the required repairs and failure to provide reasonable access may result in the Registrar dismissing the complaint.
Contractor obligations: The Written Directive will set a deadline for compliance. This is the period of time determined by the Investigator as necessary to complete the items listed in the Directive. ● The deadline for compliance assumes the contractor will promptly begin working on the items listed in the Directive. ● Do not wait. Both parties should communicate quickly to schedule the work.
Extensions: If good cause exists to extend this deadline, either party may submit a written request to the Investigator. The Registrar will review requests for extension and determine if the Directive should be extended.
Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.
Compliance Inspection: After the Written Directive expires, the Registrar’s Investigator will contact the complainant to determine if the contractor performed any corrective work. ● If the contractor did corrective work, the Investigator may schedule a Compliance Inspection to determine if the poor work is corrected. ● If the contractor did not perform any corrective work, the Registrar’s Investigator will not do a Compliance Inspection and will determine whether to issue a citation based on the administrative record.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.
Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Complainant: Erycka Cartee 4438 S San Pedro Ave Sierra Vista, AZ 85650
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: Penn-Tek LLC 3080 Cardinal Dr Sierra Vista, AZ 85635
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 December 5, 2023
License No. ROC 328761
Re:Complaint No. 2023-08181
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 December 21st, 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:
Compliance Item: 1 - Took 1 year before work started. Took almost another year to work on roof.; Unable to find proof that they were in contact with my insurance company after Nov-2022.; Left Equipment on roof when project was abandoned.; Removed less than 1/2 of the shingles from my home than left it unattended and didn’t cover the roof with a tarp to prevent further damages.; Investigator’s Observation: Roof has bare decking exposed, tarps are
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 blowing around property. A few rows of shingles have been installed on the front of the house. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
Compliance Item: 2 - Pennington threatening me with a lawyer when I was frustrated and stressed while communicating with G. Pennington, Insurance Company, Service Masters, and Home warranty with the below message: ———- Erycka, delaying access will not make things better. I will continue to document you not communicating and any further damages caused by non-access we will not be liable for. I am also going to forward everything to my lawyer as you are not being cooperative. Thanks . ———- Investigator’s Observation: No response from Respondent since reopening case. If there is an insurance issue it should have been brought to investigators attention and tarp should be maintained to prevent leaking. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
Compliance Item: 3 - Causing me more anxiety, stress, and tears.; Living in Fear & Anxiety from June-July 2023 due to wind storms tearing off more shingles and paper found underneath them, Fireworks on 4 July and several days after, and the storm on 14 July that caused water leaks through out my home, garage ceiling to collapse, and damage to personal property from that collapsed ceiling that my insurance won’t cover due to Contractor’s failure to
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 repair roof. Investigator’s Observation: Tarps are not attached and bare decking is exposed. Complainant was sick, I was not able to see damage inside. Due to roof condition it is more likely than not damaged inside. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
Please direct all questions regarding this Directive to the undersigned Investigator.
Sincerely,
Mike Springer Mike Springer, Investigator #192 520 5089735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812
CC: Respondent Choose an item. Choose an item. Choose an item.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Jobsite Inspection Notes
Case No.: 2023-08181 Investigator: Mike Springer Inspection Date: December 5, 2023 Inspection Time: 09:30 AM
Complainant: Erycka Cartee Respondent: Penn-Tek LLC Not Present: Not Present:
Jobsite General Notes: Photos were taken to document items. The complainant and I addressed each item of the complaint. JSI audio recorded. The Complainant was sick and spoke through the screen door, no inside obervations were made.
Complaint Item: 1 - Took 1 year before work started. Took almost another year to work on roof.; Unable to find proof that they were in contact with my insurance company after Nov-2022.; Left Equipment on roof when project was abandoned.; Removed less than 1/2 of the shingles from my home than left it unattended and didn’t cover the roof with a tarp to prevent further damages.; Investigator’s Observation: Roof has bare decking exposed, tarps are blowing around property. A few rows of shingles have been installed on the front of the house. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
Complaint Item: 2 - Pennington threatening me with a lawyer when I was frustrated and stressed while communicating with G. Pennington, Insurance Company, Service Masters, and Home warranty with the below message: 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
———- Erycka, delaying access will not make things better. I will continue to document you not communicating and any further damages caused by non-access we will not be liable for. I am also going to forward everything to my lawyer as you are not being cooperative. Thanks . ———- Investigator’s Observation: No response from Respondent since reopening case. If there is an insurance issue it should have been brought to investigators attention and tarp should be maintained to prevent leaking. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
Complaint Item: 3 - Causing me more anxiety, stress, and tears.; Living in Fear & Anxiety from June-July 2023 due to wind storms tearing off more shingles and paper found underneath them, Fireworks on 4 July and several days after, and the storm on 14 July that caused water leaks through out my home, garage ceiling to collapse, and damage to personal property from that collapsed ceiling that my insurance won’t cover due to Contractor’s failure to repair roof. Investigator’s Observation: Tarps are not attached and bare decking is exposed. Complainant was sick, I was not able to see damage inside. Due to roof condition it is more likely than not damaged inside. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Erycka Cartee, Case No. 2023-08181 COMPLAINANT, v. Penn-Tek LLC, CITATION License No. ROC 328761, RESPONDENT.
The Registrar issues this Citation to Penn-Tek LLC, (“Respondent”) under A.R.S. § 32- 1155(A). If Respondent fails to answer this Citation by January 20, 2024, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On July 19, 2023, Erycka Cartee, (“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)(1) Abandonment of a contract or refusal to perform after submitting a bid on work without legal excuse for the abandonment or refusal.
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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 Charge :2 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. Charge :3 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. 2023-08181. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways:
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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 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted] The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than January 20, 2024. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, 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
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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 charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated January 5, 2024. 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, January 5, 2024 to: Respondent Certified Mail No: [number redacted] Penn-Tek LLC 3080 Cardinal Dr. Sierra Vista, AZ 85635
Copy mailed by USPS First Class mail this same date to: Respondent Penn-Tek LLC 3080 Cardinal Dr. Sierra Vista, AZ 85635 Complainant Erycka Cartee 4438 S San Pedro Ave Sierra Vista, AZ 85650 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. 2023-08181 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)
Erycka Cartee Mailing Address (Enter jobsite in Contract/Project section) City State Zip
4438 S San Pedro Ave Sierra Vista Arizona 85650 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
Arizona Phone Number of Attorney Email of Attorney
Contractor Information Name (as shown on contract/invoice) ROC License Number(s)
Penn-Tek LLC ROC 328761 Street Address City State Zip
Phone Number Email
[number redacted] [email redacted] Name of Person(s) Representing License
Greg Pennington Contract/Project Information Contract Date Contract Amount Amount Paid
November 19, 2021 $7,650.00 $3,825.00 Date Work Started Date Work Stopped Date Work Was Completed
October 17, 2022 June 12, 2023 Close of Escrow (New Home) Move-In Date (New-Home)
Jobsite Street Address City State Zip
4438 S San Pedro Ave Sierra Vista AZ 85650 Name of Construction Site Owner Construction Site Name (if applicable)
Phone Number of Construction Site Owner Email of Construction Site Owner
This complaint is for Abandonment;Poor Work;Other I have contacted the contractor by Phone/Text Have you filed a complaint in court? No Has any work been corrected? No
RCC099 12/05/18 Page 1 of 2 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees
The contract was Oral All change orders were N/A This project was Residential This project involved Other Shingle Entire Roof and Repair as needed 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)
Took 1 year before work started. Took almost another year to work on roof.; Unable to find proof that they were in contact with my insurance company after Nov-2022.; Left Equipment on roof when project was abandoned.; Removed less than 1/2 of the shingles from my home than left it unattended and didn’t cover the roof with a tarp to prevent further damages.; C. Pennington Threatening me with a contract. Said contract they provided was an unsigned quote / estimate with an incorrect License number.; C. Pennington threatening me with a lawyer when I was frustrated and stressed while communicating with G. Pennington, Insurance Company, Service Masters, and Home warranty with the below message: ———- Erycka, delaying access will not make things better. I will continue to document you not communicating and any further damages caused by non-access we will not be liable for. I am also going to forward everything to my lawyer as you are not being cooperative. Thanks . ———- Causing me more anxiety, stress, and tears.; Living in Fear & Anxiety from June-July 2023 due to wind storms tearing off more shingles and paper found underneath them, Fireworks on 4 July and several days after, and the storm on 14 July that caused water leaks through out my home, garage ceiling to collapse, and damage to personal property from that collapsed ceiling that my insurance won’t cover due to Contractor’s failure to repair roof.
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
Erycka Cartee \complainant1\ \complainantd1\
RCC099 12/05/18 Page 2 of 2 My Insurance Company is All State Their Numbers: 1-888-286-2913 1-800-255-7828
Claim # [number redacted] For Roof (October 2021)
Claim # [number redacted] Water Damage (14-July-2023) Denied due to Contractor Failure.
All photos and estimates are to be sent here: [email redacted] Subject: claim #[number redacted]
Below conversations are with Penn-Tek LLC (PT) and myself.
2021-Oct-22: Penn-Tek came over to fix HVAC system since they installed it less than a year for Previous owner. Asked about roof and offered to assist.
2021-Oct-26: Me to PT - discussed amount given by insurance, insurance info, and claim number
2021-Nov-19: PT - Stopped by for 50% down for roof. $3825.00 by cashier check.
2021-Dec-07: PT stated - I’m gonna call and see what the projected delivery date for shingles will be.
2021-Dec-21: PT stated - Venders have been very vague with me. I will call my vendor directly and find out.
2021-Dec-26: PT Notified - Covid hit owner and employees.
2022-Feb-17: PT stated - should have shingles soon.
2022-Feb-28: PT stated - Waiting for Delivery. Should be arriving next week.
2022-Mar-13: PT stated - (Order Problem) Vender sent wrong color Shingles.
222-Mar-28: PT stated - Still waiting on the shingles fix.
2022Jun-27: PT stated - Need to Order you new shingles. 2022-Aug-11: PT stated - Should have new Shingle delivery soon.
2022-Sep-8: PT stated - Supplies are in Schedules for Next Month.
2022-Oct-17: PT stated - Found Ridge Rot stopped Demo.
2022-Nov-28: PT stated - on the phone with All State. They are finally gonna approve the pics and info I sent so we can finish demo and get you a brand new roof
2022-Dec-29: PT stated - Hey! Things have slowed down. Once we get approval. We are moving forward on that roof for you. Everything has been submitted
2023-Jan-01: Me: 31MPH Winds shingle damage continues. Sent pictures to PT. Asked if I should contact Allstate about extra damage.
PT Response- No, we will take care of it.
2023-Jan-02: Me - 16 more pics submitted to PT.
PT Response- Got them. Submit them ASAP.
2023-Jan-9: Me to PT - I talked to All State today. The last time they talked to you was 28-Nov. They said they needed Pictures and an estimated quote. They still haven’t received it. I think you are a great person, but as a client I am truly struggling here. I asked for your help in October of 2021. In November of 2021 I gave you over $3,000 dollars for help on my roof. It is now January 2023.
PT response- Hey, so I have been reassigned to another person. I have the emails and she has everything. I will dedicate myself tomorrow to it and make sure we get approval by end of week. I am sorry, this has taken forever but we will get everything covered and fixed. Sorry, been so busy lately but I will for sure have an update in the next few days for you and a start date even if they don’t get me the approval right away.
2023-Jan-11: PT stated - So reached out yesterday. There is a bit of additional info but the lady I’m working with said we should have approval and I can schedule with you now. 23-24th of this month ok? (Me - Replied: Yes)
2023-Feb-06: Me to PT - Haven’t heard from you. Your team never showed up. Do we reschedule or do you send me a refund and I look for a new company to help me? I’m truly at a loss at this moment. PT Response - Evening Erycka. We will reschedule. Literally been waiting on State Farm still. But regardless of them, we just need to get it done and settle up with them afterwards.
My Response - Did you already send them the pictures and estimated quote? It’s for AllState not State Farm. I’m open until the second week of March. I have to leave for Georgia, I’ll be gone for several weeks.
2023-Feb-20: PT stated - Erycka! I have finally gotten what I needed! What’s your schedule like next week? Phew, that was a nightmare to deal with.
2023-Feb-21: Me to PT - Next week is open.
2023-Feb-23: Me to PT - Submitted 4 pictures after a 70 MPH wind storm.
PT - Replies we will submit photos as well.
2023-Mar-13: Me requesting a Follow-Up (F/U) on roof repair. (no response)
2023-Mar-22: Me requesting a Follow-Up (F/U) on roof repair. (no response)
2023-Mar-23: PT stated - Morning! Let me check the status.
2023-Mar-31: PT stated - Morning! Alright. So the dump trailer is scheduled to be on-site for all debris and materials on: April 10th and the install to follow 3-4 days afterwards.
2023-Apr-10: Me to PT - Good Afternoon! Just wanted to follow up and see how the Demo went.
2023-Apr-11: PT stated - Hey, sorry just saw this. Will send updated pics. (No pics submitted)
2023-Apr-18: Me to PT - Request F/U on roof.
2023-Apr-19: PT stated - Yes ma’am. Sorry been running around like crazy. (My response- Is it done? Have y’all started?) {PT stated - We have started. It is not done yet. } (My response - Just curious, because my security camera hasn’t notified me of anyone on my
😝 property since I’ve been away except a religious group.) {PT stated - We are religiously trying to get this done } Thoughts: Not Funny & Lied!
2023-May-03: Me to PT - Good Morning! I’m following up on my roof. I would like to have the exact dates for start and finish. I should be home in 2 weeks. If my roof isn’t started by then, I would like to be reimbursed the amount that I have already paid you. I will need to go through a different company. My roof is getting worse the longer it takes to get fixed. I have waited 19 months for my roof to be fixed. {PT stated - Roger that. Will get those to you soon }
2023-May-8: PT stated - Getting the demo crew lined up. When will you be home? (My response - Beginning of next week. Do I need to be home for the Demo?) {PT stated - Nope, not at all.}
2021-May-17: Me to PT - Good Afternoon! Hope all is well. I’m texting to request the dates for the demo and repair of my home. { PT stated - Hey Ericka. Got demo schedule for Monday. 4 man crew.}
Note - Only ever saw 1 or 2 men at any given time.
2023-May-23: PT stated - Just wanted to update you on the progress. Dumping first trailer load now.
2023-May-30: PT stated - Will be continuing demo today. Just a heads up. Hey, try to park away from the house until demo is complete. Don’t want you getting a loose roofing nail in your tire until we can magnet and clean the ground.
2023-Jun-05: Me to PT - Good Afternoon! I just wanted to get an update on the completion of my home. {PT stated - Afternoon! Almost 100% with demo. Needing approval on a few things}
Note: Almost 100% means only removing 1/2 of house shingles.
2023-Jun-07: My response- Do I need to do anything to help? {PT stated - No maam, we got it. }
2023-Jun-13: Me to PT - Hi! Just wanted to F/U and check in. 2023-Jun-14: PT stated - Good morning, I have uploaded multiple pics and waiting to get confirmation on replacement for multiple areas. We will finish demo as soon as the crew is ready for finish and we get confirmation.
2023-Jun-16: Me to PT - Ok. The wind is bad and keeps ripping shingles off the roof. {PT stated - Roger that. Let me see if I have anyone available to swing by and batten down the hatches.}
Note: Never happened.
2023-Jul-05 Me to PT (tried calling) {PT stated - Morning. In a meeting at the moment. }
2023-Jul-06: Me to PT - I talked to my insurance company. They have received zero photos from you. {PT stated - Send me the info and associate you spoke with please.} (My Response - Send an Email to: [email redacted] Subject: claim # [number redacted] I talked to several people. The only person I remember talking to was Ruby. My email is [email redacted] Please CC me in the email you send allstate. Thank You!) {PT stated - Ok, thank you. Will call now to get them up to speed .}
2023-Jul-14: Me to PT - Thank you! What happens when shingles are removed from a house, and a tarp isn’t provided and it rains. (Sent pictures of damage to my home.) Please send me a refund. {PT stated - When did this happen? Sorry, no refunds. We will replace. Just getting approvals from your insurance. So you cut down the drywall this evening? Any progression pics?} (My response- This evening. I didn’t do anything. It’s all on its own.) {PT stated - Ok. We will take care of it. Unfortunately I won’t be back until Monday. So I will see you first thing in the morning}
Note: All conversations above were with Calen Pennington. —————— 2023-Jul-17:
Conversation Below is between Calen Pennington and myself.
08:22 PT {Hey Erycka. Gonna be heading over to your place soon. Are you awake?}
Me ( Please don’t! I’m on the phone with my insurance company.)
PT {Well unfortunately we are. Your insurance has nothing to do with our contract.}
Me (What contract?)
PT {What? }
Me (I spent almost $4k on you already. It’s been almost 2 years and I have leaks through out my house, a destroyed garage, and I am trying to reign in my anger and frustration. My insurance company will help me find someone reliable in my area. I will be contacting my lawyer and BBB! We are done!)
PT {Well unfortunately for you we have first right of refusal and a legally binding contract. So your lawyer can contact our lawyer. But refusing to let us in the property to finish isn’t how to handle it }
Me (Send me a copy of the contract.)
PT {And with more rain coming and you not allowing me to tarp. You will be liable for the damages. I will find the contract. Not in the office at the moment.}
Me: (Fine. You may tarp up my roof, but that is all you are allowed to do.)
PT: {So we can tarp your roof but not fix the damages or continue on the construction? }
Me: (I need proof that you work on roofs first. When I went to BBB to look you up this morning you are only listed for HVAC. Email me copies please. [email redacted]
PT: {And in doing so you will allow us to finish? Heading to the office now to get you all info.
320507 is the license number that allows us to do roofing.
I also have the contract.
I need to know what’s going on.
If you would like to deal with another supervisor?
Sent
When can we gain access Erick?} Me: (I’m talking with Greg. Thank You! )
PT {Ok. We are not paying anyone to fix anything. We will be taking care of all areas. Thanks. Please give Greg the availability so we can schedule and get this tarped and finished. Thanks.}
17:33
PT {Erycka, delaying access will not make things better. I will continue to document you not communicating and any further damages caused by non-access we will not be liable for. I am also going to forward everything to my lawyer as you are not being cooperative.
Thanks.}
Notes: 1. License number given above was not a match in the system. 2. No contract was emailed. It was the original quote/estimation with no signature. ——————-
2023-Jul-17:
Conversation Below is between Greg (who works for Penn-Tek) and myself.
11:30 AM
PT/G: [Hello Erycka, My name is Greg I am with Penn-Tek. I can have a crew on your roof by Thursday maybe even sooner. Let me know if we can proceed. Or how you want to proceed.]
Me: (Hi Greg!
First I’m going to need a couple of things. - Signed Contract with Reciept of payment. - A copy of your License, Insurance, and Bond Please.)
PT/G: [Ok, easy enough. What about one of my teams getting your roof covered and completed?]
Me: (I need proof that you are CR-42 compliant before I allow you to finish working. I have no problem with having my roof tatted to prevent further damage since it should have had a tarp placed on my roof when over half the shingles were removed and left unattended for several weeks. ~ Tatted = tarped No pictures or estimates were sent to the claims office of my insurance company.) PT/G: [Who is the claims adjuster? So I can reach out to that person. I will make sure all of the issues ( existing and new) are taken care of. I have to be bonded to even get a license and our license number is on the estimate and invoices. I can send you a copy of our insurance. You can look up our license on the ROC website and see that it is active and in good standing. License number is 320507}
Me: (New claim adjuster is unknown. The Previous was: Branden D. Young (no longer there.
All State 1-888-286-2913 1-800-255-7828
Email estimate & pictures
[email redacted] Subject: claim #[number redacted]
Please CC me in all emails. [email redacted]
I already tried to look it up.)
PT/G: [Give me a second and I will text you a screen shot of the ROC contractor info page with our license number.]
Me: (I did. There is no match for that number.)
PT/G: [I’m sorry that is an old license. Not sure why that was not updated 328761]
Me: (So you are not CR-42 Qualified.)
PT/G: [With that license I can do anything but plumbing and electrical unless it is connected to one of my systems I am putting in. Yes we are qualified to not only reroof but to build a complete new roof up to a certain dollar amount.]
Me: (Ok. I had to make sure. I was just reading the CR-61.)
PT/G: [So let me get this done for you as soon as possible. I have a crew that I was going to start another roof next week but I have a week or two of additional time on that one so I can have them start on yours this Thursday at the latest.]
Me: (Will you be able to pay for the internal damages?) PT/G: [Should not take more than 2 weeks to complete as long as we get decent weather and scheduling with the inspectors as I know there was lots of roof decking that needed to be replaced and that has to be ok’d by the claims people. I will have to look at the interior to see what was caused by original roof and what was caused by the latest storm. But yes we can get things back to normal. Also your insurance will cover any damage created by original roof problems and we can work on the latest storm problems. I just need your approval so I can schedule my team. I do not want to get them started and then try to pull them off of that job or push your project out any further.]
Me: (The water damage that I took on Saturday was from your company no placing a tarp over the bare roof left behind and unattended for several weeks. Will you be responsible in the cost of the damage and dry out caused from the latest storm?)
PT/G: [We will take care of it. Like I said we will repair any damages. Again I need to know when we can take care of your roof and the internal damages that occurred during the last storm.]
Me: (I am on the phone talking with insurance about dryout procedures before mold starts to take place.)
PT/G: [Ok . Let’s get the ball moving as to prevent mold and any additional damage.]
14:34
Me: (Could you please send me a signed copy of my roof contract and a copy of my receipt of 1st payment.)
PT/G: [Yes as soon as I get back into the office.]
17:35
PT/G: [Just got back to the office. Will send over a copy shortly. I need you to give us access so we can tarp the roof before more damage can occur. Again let me know when we can gain access and finish this project.]
Me: (Hi Greg. Just got off the phone. It’s been a long day. AllState is sending a team tomorrow to inspect, to do a dry out, check for mold, and tarp unshingled areas of home.
I look forward to receiving the items I requested.
Please ask and have Mr. Calen Pennington to stop texting me. ——————- His last Text:
Erycka, delaying access will not make things better. I will continue to document you not communicating and any further damages caused by non-access we will not be liable for. I am also going to forward everything to my lawyer as you are not being cooperative.
Thanks ———— The text above makes me feel uncomfortable and it causes my anxiety to get worse.
My phone is dying and I am calling it a night.
I will chat with you tomorrow.
Thank you!)
Note: Time is 19:00. No emails for the above requested items.
——————-
Note: Time is 13:55 on 19Jul2023 I have not received any further emails or texts. 8/30/23, 8:31 AM State of Arizona Mail - Respondent - Registrar Of Contractors Complaint
Michael Springer <[email redacted]>
Respondent - Registrar Of Contractors Complaint messages
Mike Springer <[email redacted]> Tue, Jul 25, 2023 at 8:24 AM To: Penn-Tek LLC <[email redacted]>
Mike Springer
Investigator #192A formal complaint has been filed with our agency.
Please see attached documents for more information.
You will also receive this information by USPS mail.
Thank You.
Arizona Registrar of Contractors
1700 west Washington, Ste, 105
Phoenix, AZ 85007
520-508-9735 – Mobile
520-628-6588 – Fax
Email: [email redacted]
The ROC is now on social media!
Make sure to follow us on:
facebook 4 twitter 2
Fill out AZ ROC’s survey to let us know how we’re
doing and how we can better serve you!
CONFIDENTIALITY NOTICE: This e-mail message, including any attachments, is for the sole use of the intended recipient(s) and may contain confidential and privileged information. Any unauthorized review, use, disclosure or distribution is prohibited. If you are not the intended recipient, please contact the sender by reply e-mail and destroy all copies of the original message.
https://mail.google.com/mail/u/0/?ik=6fc03499a2&view=pt&search=all&permthid=thread-a:r1822850145161587359&simpl=msg-a:r-[number redacted]… 1/2 8/30/23, 8:31 AM State of Arizona Mail - Respondent - Registrar Of Contractors Complaint
attachments Paid Deposited Cashier Check.pdf 97K Complaint Form.pdf.pdf 140K Communication Timeline.pdf 86K Bank Statement Sowing purchase of 2 cashier checks.pdf 56K 20230725 -Jobsite Inspection Notice-2023-08181.pdf 221K Proof of Payment - Bank Statement Sowing purchase of 2 cashier checks.pdf 56K Proof of Payment - Paid Deposited Cashier Check.pdf 97K Proof of Payment - Communication Timeline.pdf 86K Penn-Tek Estimate Quote.pdf 187K Proof of Payment - Penn-Tek Estimate Quote.pdf 187K State of Arizona Mail - ROC Case 2023-08181.pdf 91K
Penn-Tek LLC <[email redacted]> Mon, Aug 28, 2023 at 11:44 AM To: Mike Springer <[email redacted]>
Mike,
Erycka Cartee and PennTek LLC have come to an agreement that Calen will no longer be handling this project. We have also agreed that Penn-Tek LLC will complete the project and at this time the roof has been stripped down to the wood and we are waiting on the insurance company to authorize the replacement of roof decking, skylight, fascia, etc.. I can attach the revised estimate if need be. At this we are working diligently with Erycka to complete this job as soon as possible. Please contact Erycka for her verbal confirmation or have her issue it via email. [Quoted text hidden] --
Sincerely,
Gregory A. Pennington Penn-Tek LLC 520-335-7734
"Your comfort is our business!"
https://mail.google.com/mail/u/0/?ik=6fc03499a2&view=pt&search=all&permthid=thread-a:r1822850145161587359&simpl=msg-a:r-[number redacted]… 2/2 Received 1/23/24, 8:15 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
Answers - AZROC <[email redacted]>
20240105 citation and complaint 2023-08181 message
Penn-Tek LLC <[email redacted]> Sat, Jan 20, 2024 at 4:13 PM To: [email redacted]
Please submit the attached pictures. These pictures broken skylight (hail), shingles --
Sincerely,
Gregory A. Pennington Penn-Tek LLC 520-335-7734
"Your comfort is our business!"
72721771139__8ABC13A7-9F83-4047-8B3F-D9BF008A173E.jpg 165K
https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/1 Received 1/23/24, 8:15 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
Answers - AZROC <[email redacted]>
20240105 citation and complaint 2023-08181 message
Penn-Tek LLC <[email redacted]> Sat, Jan 20, 2024 at 4:05 PM To: [email redacted]
Please submit attached pictures. These pictures show shingles and fascia being installed --
Sincerely,
Gregory A. Pennington Penn-Tek LLC 520-335-7734
"Your comfort is our business!"
attachments
IMG_8968.jpg 183K
IMG_8963.jpg 169K
https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/2 Received 1/23/24, 8:15 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
IMG_8961.jpg 136K
https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 2/2 Received 1/23/24, 8:16 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
Answers - AZROC <[email redacted]>
20240105 citation and complaint 2023-08181 message
Penn-Tek LLC <[email redacted]> Sat, Jan 20, 2024 at 4:03 PM To: [email redacted]
Please submit the attached pictures. The roof is completed and we have set a time next week to start getting measurements and ordering materials for the damaged drywall inside the residence. The following pictures show roof down to wood, underlayment and peel and stick
--
Sincerely,
Gregory A. Pennington Penn-Tek LLC 520-335-7734
"Your comfort is our business!"
attachments
IMG_8846.jpg 165K
IMG_8833.jpg 76K
https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/2 Received 1/23/24, 8:16 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
IMG_8832.jpg 48K
https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 2/2 Received 1/23/24, 8:15 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
Answers - AZROC <[email redacted]>
20240105 citation and complaint 2023-08181 message
Penn-Tek LLC <[email redacted]> Sat, Jan 20, 2024 at 4:21 PM To: [email redacted]
Please submit these attached pictures. These pictures show shingles, hip, ridge, skylight and valleys --
Sincerely,
Gregory A. Pennington Penn-Tek LLC 520-335-7734
"Your comfort is our business!"
attachments
IMG_9027.jpg 71K
IMG_9022.jpg 56K
https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/2 Received 1/23/24, 8:15 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
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https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 2/2 Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/23/24, 8:23 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
Answers - AZROC <[email redacted]>
20240105 citation and complaint 2023-08181 message
Penn-Tek LLC <[email redacted]> Sat, Jan 20, 2024 at 4:25 PM To: [email redacted]
Please submit attached pictures. Pictures show fascia painted, underside painted and construction trash being hauled off. --
Sincerely,
Gregory A. Pennington Penn-Tek LLC 520-335-7734
"Your comfort is our business!"
attachments
IMG_8966.jpg 199K
IMG_8967.jpg 194K
https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/2 Received 1/23/24, 8:23 AM State of Arizona Mail - 20240105 citation and complaint 2023-08181 1/20/2024 ROC Legal
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https://mail.google.com/mail/b/AEoRXRSJUn9T17L6HtvtM316cH7H3WoERJ3B1NSp3WigEJKPPgfO/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 2/2 Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Received 1/20/2024 ROC Legal Complaint # 2023- 08181 P 1 JSI address: 4438 S San Pedro Ave Date: 12-5-23 JSI PHOTOS Complaint # 2023- 08181 P 2 JSI address: 4438 S San Pedro Ave Date: 12-5-23 JSI PHOTOS Complaint # 2023- 08181 P 3 JSI address: 4438 S San Pedro Ave Date: 12-5-23 JSI PHOTOS Complaint # 2023- 08181 P 4 JSI address: 4438 S San Pedro Ave Date: 12-5-23 JSI PHOTOS 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