2023A-08308-CHC-ROC Notice of Hearing and Packet MAILED

2023A-08308-CHC-ROC · Registrar of Contractors · 2024-02-28

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Sherry Peabody , Case No. 2023-08308 COMPLAINANT, Docket No. 2023A-08308-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Pro-Tec Contracting LLC License No. ROC 326962,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

April 12, 2024 1:00 PM Jenna Clark Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

If you have requested to appear in-person at the hearing, the hearing will be held at 1740 W Adams Street, Phoenix, AZ 85007.

You must attend this hearing. This is an adversarial hearing before an administrative law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be prepared to present evidence, including witness testimony and documents, in support of your case.

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION The State of Arizona has determined that the licensing and regulation of construction contractors is a proper state function, and has vested authority in the Registrar of Contractors

to administer Title 32, Chapter 10 of the Arizona Revised Statutes. A.R.S. §§ 32-1101 et seq.

All hearings for alleged violations of Title 32, Chapter 10 are conducted under Title 41,

Chapter 6, Article 10. A.R.S. § 32-1156.

The statutes and rules governing the hearing can be found at: Arizona Revised Statutes §§ 41-1092 to -1092.12, and Arizona Administrative Code R2-19-101 to -122. PARTICULAR ARIZONA STATUTES AND RULES INVOLVED The statutes and rules the Respondent is alleged to have violated are cited in the complaint and citation, which were served on the Respondent on January 31, 2024.

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

Charge: 1 A.R.S. § 32-1154(A)(3) - R4-9-108(a)

Charge: 2 A.R.S. § 32-1154(A)(22)

THE PARTIES TO THE ADMINISTRATIVE HEARING Because Respondent is a licensee and is charged with an act(s) or omission(s) that is

cause for the suspension or revocation of a license, Respondent is a party to this case and will

be a party to the hearing.

Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing. Respondent and Complainant, as the parties to the hearing, will present evidence and argument to the administrative law judge. The Registrar’s assigned investigator will appear as a witness at the hearing.

RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney. A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented

by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32-

1156(B).

CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of

any change of address within five (5) days of the change. A.R.S. § 41-1092.04.

HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092

to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles

regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE

The Registrar’s investigators, employees, and attorneys will appear at the hearing via

video conference or telephone unless requested by a party to appear in-person. Requests for

the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date.

HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses certain documents to the parties and the Office of Administrative Hearings. These documents are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below.

SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their case. If a party wants to obtain testimony from a witness or documents not in the party’s possession, the party must prepare and file a written subpoena for the Administrative Law Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04.

DISCLOSURE STATEMENT At least seven calendar days before the hearing, each party must prepare and serve a

disclosure statement on all other parties, and file it with the Office of Administrative Hearings.

A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the

party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is available on the Registrar’s website at https://roc.az.gov/forms/RC-L-800A%20- %20Prehearing%20Disclosure%20Statement%2020191007v4.pdf

CHANGING THE HEARING DATE The date of the hearing may only be advanced or delayed on the agreement of the

parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may

be changed by filing a written agreement of the parties to change the date of the hearing. The

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

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

assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com If a party would like to move the date of the hearing without agreement of all parties, the party must file a written motion with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties.

The motion must state in detail good cause for why the date of the hearing should be advanced or delayed, and the position of all other parties regarding the advancement or delay. A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).

RESOLUTION SHORT OF ADJUDICATION In any case which is resolved or settled by the parties, or which is withdrawn by the Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated February 28, 2024.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail February 28, 2024 to: Respondent(s) Pro-Tec Contracting LLC 8611 N Black Canyon Hwy Ste 114 Phoenix, AZ 85021

Complainant(s) Sherry Peabody 8451 E Mackenzie Dr Phoenix, AZ 85037

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. 2023-08308 /

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: Sherry Peabody 8451 W. Mackenzie Dr Phoenix, AZ 85037

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: Pro-Tec Contracting LLC DBA: 8611 N Black Canyon Hwy Ste 114 Phoenix, AZ 85021

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 August 14, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-08308

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for September 7, 2023 at 9:00 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, Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 1700 W Washington St, Ste 105 Phoenix, AZ 85007

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.

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 Jobsite Inspection Notes

Case No.: 2023-08308 Investigator: Todd Anderson Inspection Date: September 7, 2023 Inspection Time: 9:00 AM

Complainant: Sherry Peabody Respondent: Pro-Tec Contracting Not Present: LLC Not Present:

Jobsite General Notes:

Present for the Jobsite Inspection were Joshua Carlisle and Ruben Brasher representing Pro-Tec Contracting LLC

Complaint Item: 1 - I have leaks/water spots that are new in the storage room/carport area. Investigator’s Observation: Could not determine if those spots observed were the result of leaks created by the contractor without first identifying the existence of leaks. Governing Rule:

Complaint Item: 2 - I found plywood that is broken/cracked/split, extensive split, water marked badly. Investigator’s Observation: Verified. Was able to observe a few damaged/cracked pieces of sheathing in proximity to the AC unit and Ridge Vent. Contract stated that the contractor would replace “any rotted decking at $75/4x8 sheet OSB, $85/4x8 sheet CDX”. *The contractor should remove and replace damaged sheathing as per contract 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

Governing Rule: ARS 32-1154(A)(3) Poor work

Complaint Item: 3 - They put a rig vent on top of the roof. A long crack about half inch from opening on top of roof. Investigator’s Observation: Due to access issues, I was unable to locate the particular crack the homeowner was referring to. Governing Rule:

Complaint Item: 4 - Two spin vents were also on top of this roof Investigator’s Observation: Observed (2) Spin Vents installed on top of the roof towards the ridge. Homeowner stated that her roof was too small to be needing (2) spin vents. This is a contractual dispute. The ROC has no jurisdiction. Governing Rule:

Complaint Item: 5 - The quality of the shingles that were removed were 5 times the quality of what they laid down Investigator’s Observation: Unable to verify. Asphalt shingles appeared to have been installed in a workmanlike manner. Any disparity in quality of the shingles vs the ones which were removed is a financial dispute. The ROC has no jurisdiction over this matter. Governing Rule:

Complaint Item: 6 - The flat part of the roof, which is in the back room of the house, which is where the actual damage accrued , the replacement roof is wavey and mushy. Investigator’s Observation: Verified. Observed excessive areas of waviness in the Polyglass Modified Bitumen roofing material. Contractor should make proper repairs in accordance with manufacturer's specifications. Governing Rule: ARS 32-1154(A)(3) Poor work

Complaint Item: 7 - The area where the shingles meet the flat roof, something is not correct about it. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

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

Investigator’s Observation: Unable to verify. Observed a normal transition between the asphalt shingles and Modified Bitumen roofing material. Homeowner did not come up on roof to identify the individual areas. Governing Rule:

Complaint Item: 8 - The roofers failed to use enough tar around the Unit to keep it from leaking Investigator’s Observation: Observed adequate amounts of sealant around the rooftop AC unit. Governing Rule:

Complaint Item: 9 - They proceed to inform me that my Unit has been reinstalled by them with a stand that is not stable. That the vent is the wrong size Investigator’s Observation: Unable to verify. Governing Rule:

Complaint Item: 10 - Missing Flashing. Investigator’s Observation: Unable to verify. Could not see under the sealant which was spread around the base of the elbow in order to determine the existence of Flashing. The ROC does not do destructive testing. Governing Rule:

Complaint Item: 11 - The entire lid was supposed to be replaced. He only did 1/4 of the lid. Investigator’s Observation: Contractual dispute. Contractor was to replace only damaged areas of drywall. Governing Rule:

Complaint Item: 12 - Did not replace insulation that had gotten wet and other drywall from the ceiling that had also gotten wet. Investigator’s Observation: Unable to determine. Governing Rule:

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

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

Complaint Item: 13 - I want to cut into the wall and check for new insulation when you come for your visit. Please Investigator’s Observation: The homeowner had a section of the drywall located in the back room of the residence removed while I was present. I was able to observe insulation coming from behind the removed drywall section. Governing Rule:

Complaint Item: 14 - Floor tile replacement. Homeowner rented machine and cleaned herself. Grout still not done. Investigator’s Observation: Verified. According to the contract, items 36 & 37 called for the removal and replacement of "Floor Tile, Saltillo" totaling $2,705.98. The homeowner directed me to the back room which still had the original Saltillo tile. *Contractor should remove and replace tiles as per contract in a diligent and workmanlike manner. Governing Rule: 32-1154(A)(3) Namely R4-9-109

Complaint Item: 15 - My baseboards got left outside and ruined. Investigator’s Observation: Unable to verify. The damaged base boards were removed and not available for inspection. The homeowner subsequently purchased new baseboards. Governing Rule: N/A

Complaint Item: 16 - They said that the bent vent was the wrong size for the floor jack. Investigator’s Observation: Unable to verify if the elbow vent for the AC unit on the roof was either the correct size or replaced at all. Governing Rule: N/A

Complaint Item: 17 - They forgot or incorrectly removed the flashing around the AC Unit. Investigator’s Observation: Unable to verify. Contractor used weather seal around the base of the unit to seal it up. The ROC does not conduct destructive

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

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

testing. Governing Rule: N/A

Compliance Item: 18 – The wall facing west, with the sliding glass window was left out of the bid. You can plainly see the damage at the base boards. Investigator’s Observation: This is a contractual dispute between the two parties. The ROC has no jurisdiction over the matter. 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

JSI Photos #2023-08308 P 1 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Damaged Sheathing JSI Photos #2023-08308 P 2 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Damaged Sheathing JSI Photos #2023-08308 P 3 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Excessive Waviness JSI Photos #2023-08308 P 4 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Excessive Waviness JSI Photos #2023-08308 P 5 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM JSI Photos #2023-08308 P 6 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Old Saltillo Flooring in Back Room JSI Photos #2023-08308 P 7 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Old Saltillo Flooring JSI Photos #2023-08308 P 8 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Asphalt Roof Completed in a Workmanlike Manner JSI Photos #2023-08308 P 9 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Ridge Vent JSI Photos #2023-08308 P 10 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM JSI Photos #2023-08308 P 11 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

2nd Spin Vent JSI Photos #2023-08308 P 12 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Spin Vent JSI Photos #2023-08308 P 13 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM JSI Photos #2023-08308 P 14 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

2nd Spin Vent JSI Photos #2023-08308 P 15 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Normal Transition from Bitumen to Asphalt JSI Photos #2023-08308 P 16 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM JSI Photos #2023-08308 P 17 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Caulking Around AC Unit JSI Photos #2023-08308 P 18 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

AC Jack Stand. Not new JSI Photos #2023-08308 P 19 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Undamaged Ceiling in Back Room Not Requiring Replacement JSI Photos #2023-08308 P 20 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Insulation from Behind Drywall JSI Photos #2023-08308 P 21 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Homeowner’s Original AC Vent Elbow

Caulking JSI Photos #2023-08308 P 22 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Caulking JSI Photos #2023-08308 P 23 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Caulking JSI Photos #2023-08308 P 24 Date: 9/7/23 at 9:00 am JSI PHOTOS 00AM

Caulking Complainant: Sherry Peabody 8451 w. Mackenzie Dr Phoenix, AZ 85037

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: Pro-Tec Contracting LLC DBA: 8611 N Black Canyon Hwy Ste 114 Phoenix, AZ 85021

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 October 12, 2023

License No. ROC 326962

Re:Complaint No. 2023-08308

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 October 31st 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: 2 - I found plywood that is broken/cracked/split, extensive split, water marked badly. Investigator’s Observation: Verified. From my position in the attic, I was able to observe a few damaged/cracked pieces of sheathing in proximity to the AC unit and Ridge Vent. Contract stated that the contractor would replace “any rotted decking at $75/4x8 sheet OSB, $85/4x8 sheet CDX”. *Contractor should remove and replace damaged sheathing as per contract

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 in a professional and workmanlike manner. Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 6 - The flat part of the roof, which is in the back room of the house, which is where the actual damage accrued , the replacement roof is wavey and mushy. Investigator’s Observation: Verified. Observed excessive areas of waviness in the Polyglass Modified Bitumen roofing material. Contractor should make proper repairs in accordance with manufacturer's specifications. Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 14 - Floor tile replacement. I also didn’t know that he was paid to pull up all the old floor and replace it with a new one. Investigator’s Observation: Verified. According to the contract, items 36 & called for the removal and replacement of "Floor Tile, Saltillo" totaling $2,705.98. The homeowner directed me to the back room which still had the original Saltillo tile. *Contractor should remove and replace tiles as per contract in a diligent and workmanlike manner. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-109.

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Compliance Item: 1 - I have leaks/water spots that are new in the storage room/carport area. Investigator’s Observation: Could not determine if those spots observed

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 were the result of leaks created by the contractor without first identifying the existence of leaks. Governing Rule: N/A

Compliance Item: 3 - They put a rig vent on top of the roof. A long crack about half inch from opening on top of roof. Investigator’s Observation: Due to access issues, I was unable to locate the particular crack the homeowner was referring to. Governing Rule: N/A

Compliance Item: 4 - Two spin vents were also on top of this roof Investigator’s Observation: Observed (2) Spin Vents installed on top of the roof towards the ridge. Homeowner stated that her roof was too small to be needing (2) spin vents. This is a contractual dispute. The ROC has no jurisdiction. Governing Rule: N/A

Compliance Item: 5 - The quality of the shingles that were removed were 5 times the quality of what they laid down Investigator’s Observation: Unable to verify. Asphalt shingles appeared to have been installed in a professional and workmanlike manner. Any disparity in quality of the shingles vs the ones which were removed is a financial dispute. The ROC has no jurisdiction over this matter. Governing Rule: N/A

Compliance Item: 7 - The area where the shingles meet the flat roof, something is not correct about it. Investigator’s Observation: Unable to verify. Observed a normal transition between the asphalt shingles and Modified Bitumen roofing material.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Homeowner did not come up on roof to identify the individual areas of concern. Governing Rule: N/A

Compliance Item: 8 - The roofers failed to use enough tar around the Unit to keep it from leaking Investigator’s Observation: Observed adequate amounts of sealant around the rooftop AC unit. Governing Rule: N/A

Compliance Item: 9 - They proceed to inform me that my Unit has been reinstalled by them with a stand that is not stable. That the vent is the wrong size Investigator’s Observation: Unable to verify. Governing Rule: N/A

Compliance Item: 10 - Missing Flashing. Investigator’s Observation: Unable to verify. Could not see under the sealant which was spread around the base of the elbow in order to determine the existence of Flashing. The ROC does not do destructive testing. Governing Rule: N/A

Compliance Item: 11 - The entire lid was supposed to be replaced. He only did 1/4 of the lid. Investigator’s Observation: Contractual dispute. Contractor was to replace only damaged areas of drywall. Governing Rule: N/A

Compliance Item: 12 - Did not replace insulation that had gotten wet and other drywall from the ceiling that had also gotten wet.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Investigator’s Observation: Unable to determine. Governing Rule: N/A

Compliance Item: 13 - I want to cut into the wall and check for new insulation when you come for your visit. Please Investigator’s Observation: The homeowner had a section of the drywall located in the back room of the residence removed while I was present. I was able to observe insulation coming from behind the removed drywall section. Governing Rule: N/A

Compliance Item: 15 - My baseboards got left outside and ruined. Investigator’s Observation: Unable to verify. The damaged base boards were removed and not available for inspection. The homeowner subsequently purchased new baseboards. Governing Rule: N/A

Compliance Item: 16 - They said that the bent vent was the wrong size for the floor jack. Investigator’s Observation: Unable to verify if the elbow vent for the AC unit on the roof was either the correct size or replaced at all. Governing Rule: N/A

Compliance Item: 17 - They forgot or incorrectly removed the flashing around the AC Unit. Investigator’s Observation: Unable to verify. Contractor used weather seal around the base of the unit to seal it up. The ROC does not conduct destructive testing. Governing Rule: N/A

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Compliance Item: 18 – The wall facing west, with the sliding glass window was left out of the bid. You can plainly see the damage at the base boards. Investigator’s Observation: This is a contractual dispute between the two parties. The ROC has no jurisdiction over the matter. Governing Rule: N/A

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

Sincerely,

Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 1700 W Washington St, Ste 105 Phoenix, AZ 85007

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: Sherry Peabody 8451 w. Mackenzie dr Phoenix, AZ 85037

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: Pro-Tec Contracting LLC DBA: 8611 N Black Canyon Hwy Ste 114 Phoenix, AZ 85021

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 October 26, 2023

License No. ROC 326962

Re:Complaint No. 2023-08308

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:

Compliance Item: 2 - I found plywood that is broken/cracked/split, extensive split, water marked badly. Investigator’s Observation: Verified. Was able to observed several damaged/cracked pieces of sheathing in proximity to the AC unit. Contract stated that the contractor would replace up to (13) pieces at no charge to the homeowner.

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 6 - The flat part of the roof, which is in the back room of the house, which is where the actual damage accrued , the replacement roof is wavey and mushy. Investigator’s Observation: Verified. Observed numerous waves in the Polyglass Modified Bitumen roofing material. Contractor should make proper repairs in accordance with manufacturer's specifications. Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner.

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Compliance Item: 1 - I have leaks/water spots that are new in the storage room/carport area. Investigator’s Observation: Could not determine if the spots observed were the result of leaks created by the contractor without first identifying the existence of leaks. Governing Rule: N/A

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Compliance Item: 4 - Two spin vents were also on top of this roof Investigator’s Observation: Observed (2) Spin Vents installed on top of the roof towards the ridge. Homeowner stated that her roof was too small to be needing (2) spin vents. This is a contractual dispute. The ROC has no jurisdiction. Governing Rule: N/A

Compliance Item: 5 - The quality of the shingles that were removed were 5 times the quality of what they laid down Investigator’s Observation: Unable to verify. Asphalt shingles appeared to have been installed in a workmanlike manner. Any disparity in quality of the shingles vs the ones which were removed is a financial dispute. The ROC has no jurisdiction over this matter. Governing Rule: N/A

Compliance Item: 9 - They proceed to inform me that my Unit has been reinstalled by them with a stand that is not stable. That the vent is the wrong

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 size Investigator’s Observation: Unable to verify. Governing Rule: N/A

Compliance Item: 12 - Did not replace insulation that had gotten wet and other drywall from the ceiling that had also gotten wet. Investigator’s Observation: Unable to determine. Governing Rule: N/A

Compliance Item: 14 - Floor tile replacement. Homeowner rented machine and cleaned herself. Grout still not done.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Investigator’s Observation: The Claims Adjuster did not approve the supplement from Pro-Tec Contracting LLC for the replacement of the Saltillo Tiles in the back room of the residence. No action required by contractor. Governing Rule: N/A

Compliance Item: 15 - My baseboards got left outside and ruined. Investigator’s Observation: Unable to verify. Damaged base boards were removed and the homeowner purchased new ones. Governing Rule: N/A

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

Sincerely,

Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 1700 W Washington St, Ste 105 Phoenix, AZ 85007 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: Sherry Peabody 8451 w. Mackenzie dr Phoenix, AZ 85037

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: Pro-Tec Contracting LLC DBA: 8611 N Black Canyon Hwy Ste 114 Phoenix, AZ 85021

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 November 13, 2023

License No. ROC 326962

Re:Complaint No. 2023-08308

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 *Contractor should remove and replace damaged sheathing as per contract in a professional and workmanlike manner. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 6 - The flat part of the roof, which is in the back room of the house, which is where the actual damage accrued , the replacement roof is wavey and mushy. Investigator’s Observation: Verified. Observed excessive areas of waviness in the Polyglass Modified Bitumen roofing material. Contractor should make proper repairs in accordance with manufacturer's specifications. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Compliance Item: 3 - They put a rig vent on top of the roof. A long crack about half inch from opening on top of roof. Investigator’s Observation: Due to access issues, I was unable to locate the

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 particular crack the homeowner was referring to. Governing Rule: N/A

Compliance Item: 5 - The quality of the shingles that were removed were 5 times the quality of what they laid down Investigator’s Observation: Unable to verify. Asphalt shingles appeared to have been installed in a workmanlike manner. Any disparity in quality of the shingles vs the ones which were removed is a financial dispute. The ROC has no jurisdiction over this matter. Governing Rule: N/A

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Compliance Item: 9 - They proceed to inform me that my Unit has been reinstalled by them with a stand that is not stable. That the vent is the wrong size Investigator’s Observation: Unable to verify. Governing Rule: N/A

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Compliance Item: 14 - Floor tile replacement. Homeowner rented machine and cleaned herself. Grout still not done. Investigator’s Observation: The Claims Adjuster did not approve the supplement from Pro-Tec Contracting LLC for the replacement of the Saltillo Tiles in the back room of the residence. No action required by contractor. Governing Rule: N/A

Compliance Item: 18 - The wall facing west, with the sliding glass window was left out of the bid. You can plainly see the damage at the base boards. Investigator’s Observation: This is a contractual dispute between the two

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 parties. The ROC has no jurisdiction over the matter. Governing Rule: N/A