2023A-08320-CHC-ROC Notice of Hearing and Packet MAILED

2023A-08320-CHC-ROC · Registrar of Contractors · 2023-11-01

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Samuel David Wingersky , Case No. 2023-08320 COMPLAINANT, Docket No. 2023A-08320-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Strongbuilt Plumbing & Air LLC License No. ROC 304277,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

December 13, 2023 1:00 PM Amy Haley Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

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

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

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

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

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

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

The statutes and rules governing the hearing can be found at: Arizona Revised Statutes §§ 41-1092 to -1092.12, and Arizona Administrative Code R2-19-101 to -122. PARTICULAR ARIZONA STATUTES AND RULES INVOLVED The statutes and rules the Respondent is alleged to have violated are cited in the complaint and citation, which were served on the Respondent on October 6, 2023.

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

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

Charge: 2 A.R.S. § 32-1154(A)(22)

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

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

be a party to the hearing.

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

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

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

1156(B).

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

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

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

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

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

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE

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

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

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

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

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

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

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

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

party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is available on the Registrar’s website at https://roc.az.gov/content/prehearing-disclosure- statement.

CHANGING THE HEARING DATE

The date of the hearing may only be advanced or delayed on the agreement of the parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may be changed by filing a written agreement of the parties to change the date of the hearing. The written agreement must be filed with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com If a party would like to move the date of the hearing without agreement of all parties, the party must file a written motion with the Office of Administrative Hearings, directed to the

assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties.

The motion must state in detail good cause for why the date of the hearing should be advanced

or delayed, and the position of all other parties regarding the advancement or delay.

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

RESOLUTION SHORT OF ADJUDICATION

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

Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated November 1, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail November 1, 2023 to:

Respondent(s) Strongbuilt Plumbing & Air LLC 4759 S Butterfield Dr Tucson, AZ 85714 Complainant(s) Samuel David Wingersky 310 E Hilltop Pl Tucson, AZ 85740

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. 2023-08320 /

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: Samuel Wingersky 310 E Hilltop Pl Tucson, AZ 85740

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: Strongbuilt Plumbing & Air LLC 4759 S Butterfield Dr Tucson, AZ 85714

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 1, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-08320

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for September 8, 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, John Smith, Investigator #194 (520) 483-0027 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

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 Arizona Registrar of Contractors Jobsite Inspection Notes Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

Complainant: Samuel Wingersky Respondent: Strongbuilt Plumbing & Air LLC

Present for the complainant: Sam Wingersky Present for the respondent: Jeff Wenzel, Tyler Stetler, Reggie Phillips, Brandon Schamahorn Overview of project: General Notes: The complainant has previously filed complaints against the general contractor. This complaint was filed against one of the subcontractors involved on this project. This respondent, a subcontractor, was hired by the general contractor, not by the property owner.

Complaint Item 1: “Strongbuilt Plumbing and Air charged extra after installing the AC unit (see Exhibit #2).;” Investigator’s Observations in response to this complaint allegation: This allegation is NOT verified as a violation of A.R.S. § 32-1154(A). • This allegation is not able to be verified against this respondent. • This respondent was a subcontractor contracted by the General Contractor. • This respondent was not hired/contracted by the complainant. • There is no contract directly between the complainant and this respondent. Governing Rule: N/A

Complaint Item 2: “The downstairs dryer vent is not up to code (see Exhibit #3).;” Previous complaint items / observations / decisions: • None Investigator’s Observations in response to this complaint allegation: Verified. • The respondent confirmed installing this dryer exhaust duct. • The exhaust duct includes improper use of transition duct material within the duct run. • There are no visible mechanical fasteners at duct connections • Due to the amount of 90 and 45 degree elbows installed, the duct exceeds the maximum allowable length. • The exterior duct termination is restricted by grading/rock. Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner. Governing Rule: A.R.S. § 32-1154(A)(3) – R4-9-108(b): Violation of any rule adopted by the registrar; Namely R 4-9-108(b): A contractor shall perform work in accordance with any applicable building codes...

RCC100 11/14

Arizona Registrar of Contractors Jobsite Inspection Notes Investigator’s Observations: Verified. The protective wire grill is missing from the back side of the condensing unit. There are bent/damaged fins on the back side of the condensing coil. Compliance Inspection Findings for this item: This has NOT been corrected. No corrective work has been done. Investigator’s Observations in response to this complaint allegation: Verified. • The protective wire grill is missing from the back side of the condensing unit. • There are bent/damaged fins on the back side of the condensing coil. Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner.

Complaint Item 4: “The “Hat Channels” are poorly installed (see Exhibit #5).;” Previous complaint items / observations / decisions: • Complaint Item 73: (Addendum Item 38) “…the "hat channels…extremely large gaps in the wall where holes were drilled…large gaps and warped seams…” Investigator’s Observations: Verified. The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line. Compliance Inspection Findings for this item: This has NOT been corrected. No corrective work has been done. Investigator’s Observations in response to this complaint allegation: Verified. The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line. Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner.

RCC100 11/14

Arizona Registrar of Contractors Jobsite Inspection Notes Investigator’s Observations in response to this complaint allegation: This allegation is NOT verified as a violation of A.R.S. § 32-1154(A). • The complainant confirmed there are no known issues with the condensate line. • As described by the complainant, the remaining issue is that, after the line was relocated, the wall was not patched at the interior or exterior. • There is no evidence this respondent was contractually obligated to perform this work. Governing Rule: N/A

Addendum Item, submitted by email dated 8/18/2023 at 3:47PM Complaint Item 6: “Strongbuilt Plumbing and Air also created holes in the downstairs bathroom when installing the dryer vent.” Previous complaint items / observations / decisions: • None Investigator’s Observations in response to this complaint allegation: This allegation is NOT verified as a violation of A.R.S. § 32-1154(A). • There is no evidence this respondent performed this work. • There is no evidence this respondent was contractually obligated to perform any drywall work. Governing Rule: N/A

RCC100 11/14

Jobsite Inspection Photos 1 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

Jobsite Inspection Photos 2 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

• The respondent confirmed installing this dryer exhaust duct. • The exhaust duct includes improper use of transition duct material within the duct run. • There are no visible mechanical fasteners at duct connections • Due to the amount of 90 and 45 degree elbows installed, the duct exceeds the maximum allowable length. • The exterior duct termination is restricted by grading/rock.

Jobsite Inspection Photos 3 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

Jobsite Inspection Photos 4 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

Jobsite Inspection Photos 5 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

Jobsite Inspection Photos 6 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The protective wire grill is missing from the back side of the condensing unit. There are bent/damaged fins on the back side of the condensing coil.

Jobsite Inspection Photos 7 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 8 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 9 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 10 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 11 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 12 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 13 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 14 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 15 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 16 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

The “Hat channel” that has been installed to cover the refrigerant lines: o Excessive gaps at pipes. o Excessive gaps at ends / walls o Excessive gaps at seams o Not installed in a straight line.

Jobsite Inspection Photos 17 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

• The complainant confirmed there are no known issues with the condensate line. • As described by the complainant, the remaining issue is that, after the line was relocated, the wall was not patched at the interior or exterior.

Jobsite Inspection Photos 18 Case No.: 2023-08320 Investigator: John Smith #194 Inspection Date: 9/8/2023 Inspection Time: 9:00AM Address: 310 E. Hilltop Pl., Tucson, AZ 85740

• Drywall cut in a downstairs bathroom

Complainant: Samuel Wingersky 310 E Hilltop Pl Tucson, AZ 85740

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: Strongbuilt Plumbing & Air LLC 4759 S Butterfield Dr Tucson, AZ 85714

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

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

License No. ROC 304277

Re: Complaint No. 2023-08320

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 4, 2023.

RESTRICTIONS • You may not perform or hire other contractors to perform work that is outside the scope of your license. • If your license is currently suspended for administrative reasons1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

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

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner. Governing Rule: A.R.S. § 32-1154(A)(3) – R4-9-108(b): Violation of any rule adopted by the registrar; Namely R 4-9-108(b): A contractor shall perform work in accordance with any applicable building codes...

Complaint Item 3: “The mini-split AC unit was damaged upon installation (see Exhibit #4).;” Previous complaint items / observations / decisions: • 2021-03079 Complaint Item 42B • Complaint Item 42B: (Addendum Item 7B) “mini split damaged upon install” Investigator’s Observations: Verified. The protective wire grill is missing from the back side of the condensing unit. There are bent/damaged fins on the back side of the condensing coil. Compliance Inspection Findings for this item: This has NOT been corrected. No corrective work has been done. Investigator’s Observations in response to this complaint allegation: Verified. • The protective wire grill is missing from the back side of the condensing unit. • There are bent/damaged fins on the back side of the condensing coil. Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Complaint Item 5: “The Condensate Drain continues to be an issue (see Exhibit #6).” Previous complaint items / observations / decisions: • 2021-03079 Complaint Item 42A • Complaint Item 42A: (Addendum Item 7A) “Mini split condensate was installed to release water onto the bottom of the staircase” Investigator’s Observations: Verified. The condensate drain is currently installed to discharge at the base of the main entry steps. The condensate draining at the base of the main entry steps is considered a nuisance. The International Residential Code (IRC) states: “M1411.3 Condensate Disposal. …Condensate shall not discharge into a street, alley, or other areas where it would cause a nuisance.” Compliance Inspection Findings for this item: This has NOT been corrected. The condensation drain line has been relocated, however; the previous wall penetration has not been repaired. Investigator’s Observations in response to this complaint allegation: This allegation is NOT verified as a violation of A.R.S. § 32-1154(A). • The complainant confirmed there are no known issues with the condensate line. • As described by the complainant, the remaining issue is that, after the line was relocated, the wall was not patched at the interior or exterior. • There is no evidence this respondent was contractually obligated to perform this work. 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 • There is no evidence this respondent performed this work. • There is no evidence this respondent was contractually obligated to perform any drywall work. Governing Rule: N/A

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

Sincerely,

John Smith, Investigator #194 (520) 483-0027 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Arizona Registrar of Contractors Compliance Notes

Date: 10/5/2023

Case No.: 2023-08320 Investigator: John Smith #194

Complainant: Samuel Wingersky

Respondent: Strongbuilt Plumbing & Air LLC

Compliance Notes:

Number of days allowed for corrective work per the Directive: 21

General Notes: No corrective work was performed. Based on evidence submitted, the respondent made one trip to the house during the Directive period. During that visit, the respondent left on their own accord, without performing any corrective work. There is no known denial of access during the directive period.

Compliance Findings: The respondent has not taken appropriate corrective action to comply with the Directive. Governing Rule: A.R.S. § 32-1154(A)(22): Failure to take appropriate corrective action to comply with this chapter or with the rules adopted pursuant to this chapter…

Sincerely,

John Smith, Investigator #194 (520) 483-0027 [email redacted] 1700 W Washington St, Suite 105 Phoenix, Arizona 85007-2812

RCC100 11/14

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Samuel David Wingersky, Case No. 2023-08320 COMPLAINANT, v. Strongbuilt Plumbing & Air LLC CITATION License No. ROC 304277, RESPONDENT.

The Registrar issues this Citation to Strongbuilt Plumbing & Air LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by October 21, 2023, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On July 22, 2023, Samuel David Wingersky (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged with violating: Charge :1 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A 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 contractor shall perform all work in a professional and workmanlike manner. Charge :2 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F). 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. 2023-08320. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted] 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 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 October 21, 2023. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an 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 informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. 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 Dated October 6, 2023. By: /s/ Erin Johnson Erin Johnson Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, October 6, 2023 to: Respondent Certified Mail No: [number redacted] Strongbuilt Plumbing & Air LLC 4759 S. Butterfield Dr. Tucson, AZ 85714

Copy mailed by USPS First Class mail this same date to: Strongbuilt Plumbing & Air LLC 4759 S .Butterfield Dr. Tucson, AZ 85714 Complainant Samuel David Wingersky 310 E. Hilltop Pl. Tucson, AZ 85740 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. 2023-08320 / EJ

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 SETTLEMENT AGREEMENT Sam Wingersky, an individual, and Strongbuilt Enterprise, LLC, an Arizona limited liability company (collectively, the “Parties”) enter into this Settlement Agreement (“Agreement”) on this 25th ___ day of May, 2023, as full and final settlement of any and all Claims, as defined below, between them arising out of the Contracts for construction, as defined below, on the Wingersky residence in Tucson, Arizona. RECITALS

A. Sam Wingersky (“Wingersky”) is the owner of the real property located at 310 E. Hilltop Place, Tucson Arizona (the “Property”). B. Strongbuilt Enterprise, LLC (“Strongbuilt Enterprise”) is a general contractor licensed in Arizona and doing business in Pima County, Arizona. C. On or about September 17, 2020, the Parties entered into a contract for remodeling work to be performed by Strongbuilt Enterprise at the Property. The Parties also entered into a contract for the construction of a rear deck. The contracts are referenced collectively as the “Contracts.” D. Disputes arose over performance of the Contracts, and Wingersky filed complaints with the Arizona Registrar of Contractors against Strongbuilt Enterprise in ROC Case Nos. 2021A-03079, 2021A-03692, 2021A-05800 and 2022A-00047, which were then consolidated (the “Consolidated ROC Matters”). E. The Consolidated ROC Matters proceeded to a hearing and a Final Administrative Decision and Order was issued by the ROC. Strongbuilt Enterprise appealed the Final Administrative Decision and Order to the Pima County Superior Court in Case No. C20225124, and Wingersky filed a Counterclaim in said case. F. There is also pending another ROC Complaint in ROC Case No. 2022A-06227 (the “Pending ROC Matter”). G. The Parties wish to resolve all disputes between them. Therefore, for valuable consideration set forth below, the Parties agree as follows: 1. Strongbuilt Enterprise will pay Wingersky the sum of by certified check delivered to Neal Eckel, Esq., on behalf of Wingerskywithin 60 days of the execution of this Agreementto be distributed to Wingersky upon completion of matters set forth in paragraphs 8 and 9 below. 2. Upon receipt of payment from Strongbuilt and all the subcontractor contracts and warranties, as applicable, the Parties hereby release any and all claims, losses,

{00955025 1} 1 damages, liabilities, costs, and causes of action (“Claims”) they have or may have against each other, including all known or unknown Claims, including, but not limited to, any such Claims involving Sam’s partner, Trista DiVetta, any Claims for payment on the Contracts or any work performed by Strongbuilt Enterprise. 3. Strongbuilt Enterprise will perform the scope of the agreement reached with Ngoc Nguyen and Tuyet Do and the ROC related to the complaint filed by Do with the ROC against Strongbuilt Enterprise with Wingersky to address/perform the gravel and rock, and Strongbuilt to cap the French drain (as agreed with the Dos) and shall have no further involvement or liability related thereto. 4. For purposes of this settlement only, Strongbuilt Enterprise hereby assigns to Wingersky any and all right, title, claim, and interest in their contracts and warranties with all subcontractors that performed work on the Project, including but not limited to Alpha Roofing, and shall provide Wingersky with copies of any contracts, proposals, estimates, and/or warranties from all subcontractors, as applicable. Strongbuilt will use its best efforts to produce all such documents in its possession, custody or control.

6. Upon performance by Strongbuilt of the conditions set forth in Sections 1, 3 and 4 above, this settlement shall be a final resolution of the consolidated ROC matters, Pending ROC matter and/or all potential future ROC claims against Strongbuilt Enterprise. In addition, the Parties acknowledge that any and all warranties from Strongbuilt Enterprise are extinguished and of no further application on this Property, with the exception of any subcontractor warranties. 7. Strongbuilt Enterprise hereby releases any and all mechanic’s liens or claims on the Property and agrees it will remove any such lien(s). 8. Upon performance by Strongbuilt of the conditions set forth in Sections 1, 3 and 4 above the Parties agree that the Pima County Superior Court case will be dismissed with prejudice, each side to bear its own costs and fees, said dismissal to be prepared by Strongbuilt Enterprise.

{00955025 1} 2 9. The Parties agree the Pending ROC Matter will be dismissed as “closed” and Wingersky shall notify the ROC and Office of Administrative Hearings of such dismissal, with the understanding the dismissal does not relieve any of Strongbuilt Enterprise’s subcontractors from any liability for work performed or warranty claims. Wingersky shall also notify the ROC that the Consolidated ROC Matters appeal has been resolved and these matters may be closed. Wingersky further affirms that he has not filed or caused to be filed any other ROC complaints against Strongbuilt. The parties shall notify the ROC/OAH of the pending settlement and ask that the case be continued until the conditions set forth in Section 1 and 2 above have been performed.

{00955025 1} 3 Exhibit #2 A

Additional Charges For Items Already Included in Construction Documents *B0@<; - %33602 .E

).:5?6@A.,6;42?@8F !699A<=&9.02 *B0@<; - @.:D6;42?@8F4:.69 0<:

B2<;?2026=A

5.;42%?12? !+.;1$.@<;?F

!+.686;$B9A6-=<;2)(B0A92@@ &?6021.A D52;/616;#B;2 &?60205.;42@D2;A6;A<23320A6;3?<::.;B3.0AB?2?.@.?2@B9A<3 %+"=.;12:60.;1@<B?06;4:.A2?6.9@

!+1121)0<=2 (B;<C2?<396;2@2A=2?52.1 <;12;@.A2=B:=@D<B91;<AD<?8D6A5?<<3A<=.==960.A6<;.@>B<A21<?646;.99F.;1?2>B6?21:<B;A6;4<;@612 F.?1<;=.1D6A51?.6;.42A<<BA@612 116A6<;.916@0<;;20A !.A05.;;296;@612:205.;60.9?<<:.;1<;2EA2?6<?<35<B@2

)AB00< ==?<E6:.A29F) <33<.: 9.A52.;1C.=<?/.??6<2?6;@A.9921<;3?<;A<3;2D/21?<<:

?.:6;4 11@:.993?.:21E=.?.=2AD.99@.AB=<;?2.??<<3A<0?2.A2=?<=2?=6A05A<.00<::<1.A2 @2.:@A.;16;4 :2A.9?<<3 2A.69@9.086;4<;=9.;@

(<<36;4 (2 1208?<<3.3A2?")%3<.:6@6;@A.9921B@6;4%) ";09B12@:.A2?6.9@ A</2=.61@2=.?.A2/F5<:2<D;2?@.;@' ";09B12@9./<?

*5.;8F<B3<?F<B?/B@6;2@@

,2.002=A.99:.7<?0?216A0.?1@ *52?2D699/2.@2?C602322.1121A<A526;C<602

Exhibit #2 C

Additional Charges For Items Already Included in Construction Documents Mother-in-Law AC Charge

Strongbuilt Plumbing & Air, LLC Invoice 5450 N. Camino De La Tierra Tucson, AZ 85705 US (520)512-5166 www.sbpanda.com

BILL TO SHIP TO Strongbuilt Enterprise LLC Sam Wingersky 7493 North Oracle Road 310 East Hilltop Place Tucson, AZ 85704 Tucson, AZ 85704

INVOICE # DATE TOTAL DUE DUE DATE ENCLOSED 30557527 02/16/2021 $15,000.00 03/01/2021

DATE ACTIVITY DESCRIPTION QTY RATE AMOUNT

DMHHPMS Daikin Multi Zone 19 SEER 1 12,500.00 12,500.00 Ductless Energy Efficient Variable Speed Inverter Compressor Cooling Range 50 - 115 F Heating Range 5 - 65 F Indoor Sound Pressure as low as dB(A) Outdoor Sound Pressure as low as dB(A) Washable Air Filter Econo Mode Wireless Remote Controller Auto Changeover Auto Fan Speed Control Year Unit Replacement on Outside Unit12 Year Parts Warranty on Inside Unit Labor Warranty CSTM-HVAC-1 Change Order work: 1 2,500.00 2,500.00 We ran over 90’ of lineset per head. Condensate pumps wouldn’t work in that application and had to be drained to the outside.

We set our own disconnect (per Ron - he said he wouldn't be doing that)

We had to do hat channel inside the mechanical room and on the exterior of the house.

Exhibit #3 A

Exhibit #3 B

Exhibit #3 C

Exhibit #4 A

Damaged AC Units Strongbuilt installed a damaged mini split outdoor condenser.

Exhibit #4 C

Exhibit #4 D

Exhibit #4 E

Exhibit #4 G

Exhibit #4 H

Exhibit #4 I

Exhibit #5 A Hat Channels

The “hat channels” installed by Strongbuilt show large gaps and warped seams.

Exhibit #5 C

Hat Channels

The “hat channels” installed by Strongbuilt have large gaps and warped seams.

Both photos show extremely large gaps in the wall created and left by Strongbuilt.

John Guilmartin stated that he would fix these holes. As of 9/29/22, these holes have not been filled/corrected.

Exhibit #5 D

Hat Channels Strongbuilt installed Hat Channels outside and said they would be painted. As of 9/28/22, the Hat Channels are unpainted. The Catalina rocks were moved, and the on-demand hot water air vent was damaged during the installation process.

Note: This photo shows a new roll shutters paid for by Homeowner.

Exhibit #5 E

Hat Channels

Exhibit #5 F

Hat Channels

Exhibit #5 G

Hat Channels

Exhibit #43

Hat Channels Video

Exhibit #6 AC

Condensate Drain

Exhibit #5 B

Exhibit #5 D

Condensate Drain

Exhibit #5 F

Condensate Drain

Exhibit #5 G

Condensate Drain

Exhibit #5 H

Condensate Drain

Exhibit #19 A

Total Amount Paid to Strongbuilt Signed Contract Total - $346,524.80 Amount Paid for 2nd Contract - $66,656.40 Strongbuilt total Contract price - $413,182.20

Total Amount Paid to Strongbuilt - $447,112.62

Received 10/23/23, 8:00 AM State of Arizona Mail - **ATTN** FILING WRITTEN ANSWER** 10/20/2023 ROC Legal

Answers - AZROC <[email redacted]>

**ATTN** FILING WRITTEN ANSWER** Aiyana Gonzales <[email redacted]> Fri, Oct 20, 2023 at 8:46 AM To: "[email redacted]" <[email redacted]> Cc: jwenzel <[email redacted]>, Tyrel Fraughton <[email redacted]>, "[email redacted]" <[email redacted]>

---------- Forwarded message ---------- From: Aiyana Gonzales <[email redacted]> To: "[email redacted]" <[email redacted]> Cc: Bcc: Date: Thu, 21 Sep 2023 23:13:10 +0000 Subject: Strongbuilt: Work Needing to be Completed

Hello Sam, this is Aiyana with Strongbuilt Plumbing, Air & Electrical. I hope this email finds you well. I was just reaching out to get in touch with you to get the work that is needed to be done scheduled. I was hoping you could give me a a day or two that works best for you some time next week. That way we can be on the same page and pick a day to get everything situated.

Sincerely,

Aiyana Gonzales

---------- Forwarded message ---------- From: Aiyana Gonzales <[email redacted]> To: Sam Wingersky <[email redacted]> Cc: Bcc: Date: Mon, 25 Sep 2023 17:23:54 +0000 Subject: RE: Strongbuilt: Work Needing to be Completed

Good Morning, we can be out there tomorrow Tuesday September 26th to complete the work needed. I will put you here on the schedule now for my install team. Also, in advance it will be an arrival between 8-10am. And either them or I will give you a phone call to let you know in the morning how far they are from the home. This way you know when to expect them. Thank you and we look forward to seeing you tomorrow morning.

From: Sam Wingersky <[email redacted]> Sent: Friday, September 22, 2023 6:51 AM To: Aiyana Gonzales <[email redacted]> Cc: [email redacted] Subject: Re: Strongbuilt: Work Needing to be Completed

https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 1/6 Received 10/23/23, 8:00 AM State of Arizona Mail - **ATTN** FILING WRITTEN ANSWER** 10/20/2023 ROC Legal

Any day will work, except for Monday, September 25, Wednesday, September 27, and Monday, October 2, 2023. Any time over the weekends would be fine too.

Please let me know at least 24-hours in advance of the time when the contractors will on the property.

On Sep 21, 2023, at 4:13 PM, Aiyana Gonzales <[email redacted]> wrote:

Sincerely,

Aiyana Gonzales

---------- Forwarded message ---------- From: Aiyana Gonzales <[email redacted]> To: Sam Wingersky <[email redacted]> Cc: Bcc: Date: Tue, 26 Sep 2023 15:29:47 +0000 Subject: STRONGBUILT

Good Morning Sam, just wanted to let you know that the install team is about 30 minutes away from your home. I saw that there is no number on your account so I was unable to give you a call. But they will be there shortly. Have a great day!

---------- Forwarded message ---------- From: Aiyana Gonzales <[email redacted]> To: Sam Wingersky <[email redacted]> Cc: Bcc: Date: Tue, 3 Oct 2023 15:17:26 +0000 Subject: STRONGBUILT COMPLETION OF WORK

Good Morning, this is Aiyana with Strongbuilt Plumbing, Air & Electrical. I was just reaching out again to get a day for my install team to go back out to complete the work needed. Either this week or sometime next week which ever works best for you. Thank you and have a great rest of your day, I look forward to hearing from you.

---------- Forwarded message ---------- From: Aiyana Gonzales <[email redacted]> To: Sam Wingersky <[email redacted]> Cc:

https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 2/6 Received 10/23/23, 8:00 AM State of Arizona Mail - **ATTN** FILING WRITTEN ANSWER** 10/20/2023 Bcc: ROC Legal Date: Thu, 5 Oct 2023 13:49:06 +0000 Subject: Strongbuilt Plumbing, Air, and Electrical

Good morning Sam, this is Aiyana again just trying to get in touch with you to get that work done. We just need a couple days that work best for you so we can head out there and get you taken care of. So please just give me an email back letting us know those days and I’ll get my installers out to you. Also, if you could give us a good phone number to have here on your account so that the day, they go out they are able to contact you and let you know how far they are from the home. Thank you, and have a wonderful day!

---------- Forwarded message ---------- From: Sam Wingersky <[email redacted]> To: Aiyana Gonzales <[email redacted]> Cc: "[email redacted]" <[email redacted]> Bcc: Date: Fri, 22 Sep 2023 13:50:49 +0000 Subject: Re: Strongbuilt: Work Needing to be Completed Any day will work, except for Monday, September 25, Wednesday, September 27, and Monday, October 2, 2023. Any time over the weekends would be fine too.

Please let me know at least 24-hours in advance of the time when the contractors will on the property.

On Sep 21, 2023, at 4:13 PM, Aiyana Gonzales <[email redacted]> wrote:

Sincerely,

Aiyana Gonzales

---------- Forwarded message ---------- From: Sam Wingersky <[email redacted]> To: John Smith <[email redacted]>, John Smith <[email redacted]>, Aiyana Gonzales <[email redacted]>, Brandon Schamahorn <[email redacted]> Cc: Bcc: Date: Tue, 26 Sep 2023 16:53:42 +0000 Subject: Strongbuilt Plumbing and Air John Smith, Strongbuilt Plumbing and Air-

When StrongBuilt plumbing and air arrived at our property, they did not ring the doorbell. Instead, I was alerted to their presence by the security cameras.

When I walked out, and asked why they did not ring the doorbell, the employee stated, “friends don’t ring doorbells, they only knock.”

https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 3/6 Received 10/23/23, 8:00 AM State of Arizona Mail - **ATTN** FILING WRITTEN ANSWER**10/20/2023 ROC Legal When inside the garage, the employees stated that the hat tin chase would not look any better after they worked on it today.

As we moved out of the mechanical room and exiting the garage, they employee stated that since I was recording everything, it was “disrespectful” and they would be leaving.

Will Strongbuilt Plumbing and Air return?

Sam Wingersky Trista Di Vetta

---------- Forwarded message ---------- From: Sam Wingersky <[email redacted]> To: John Smith <[email redacted]>, Aiyana Gonzales <[email redacted]> Cc: John Smith <[email redacted]> Bcc: Date: Thu, 5 Oct 2023 16:59:39 +0000 Subject: Re: Strongbuilt Plumbing, Air, and Electrical John Smith and Aiyana Gonzales,

On September 13, 2023, the Arizona Registrar of Contractors (ROC) issued a Written Directive to Strongbuilt Plumbing and Air.

On September 26, 2023, Strongbuilt Plumbing and Air sent an email to the Homeowner stating: Good Morning Sam, just wanted to let you know that the install team is about 30 minutes away from your home. I saw that there is no number on your account so I was unable to give you a call. But they will be there shortly. Have a great day!

The ROC formal complaint provides the Homeowner's phone number. The Homeowner’s phone number is 520-400-5156.

When Strongbuilt Plumbing and Air arrived on the property, the employees did not ring the doorbell. Instead, the Homeowner was alerted to their presence by the security cameras.

When the Homeowner viewed Strongbuilt Plumbing and Air on the property, the Homeowner walked out and asked the Strongbuilt Plumbing and Air employees why they did not ring the doorbell. The employee answered, "Friends don't ring doorbells; they only knock." The employees asked, "What work are we supposed to do?" Why did the employees need to ask this question?

When inside the garage, the employees stated that the hat tin chase would not look any better after they worked on it today.

As the Homeowner and the Strongbuilt Plumbing and Air employees moved out of the mechanical room and exited the garage, the employee stated that since I was recording everything, it was "disrespectful" and they would be leaving.

On September 13, 2023, the Homeowner emailed and asked Strongbuilt Plumbing and Air if they would be returning. A reply was never sent to the Homeowner.

On October 5, 2023, Strongbuilt Plumbing and Air sent another email to the Homeowner: Good morning Sam, this is Aiyana again just trying to get in touch with you to get that work done. We just need a couple days that work best for you so we can head out there and get you taken care of. So please just give me an email back letting us know those days and I'll get my installers out to you. Also, if you could give us a good phone number https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 4/6 Received 10/23/23, 8:00 AM State of Arizona Mail - **ATTN** FILING WRITTEN ANSWER** 10/20/2023 ROC Legal to have here on your account so that the day, they go out they are able to contact you and let you know how far they are from the home. Thank you, and have a wonderful day!

The Investigator was to be notified before 5:00 p.m. on October 4, 2023, of the compliance. Since today is October 5, 2023, please let John Smith tell us the next step.

Sam Wingersky

On Oct 5, 2023, at 6:49 AM, Aiyana Gonzales <[email redacted]> wrote:

attachments AIYANA G TO SAM W RECORDED CALL.mp3 680K #2 AIYANA G TO SAM W RECORDED CALL.mp3 776K CINDY W TO SAM W RECORDED CALL.mp3 521K JEFF W TO SAM W RECORDED CALL.mp3 428K J Wenzel Written Answer .docx 32K CHASE CAMPAS WRITTEN STATEMENT .docx 32K Strongbuilt: Work Needing to be Completed.eml 4K RE: Strongbuilt: Work Needing to be Completed.eml 9K STRONGBUILT.eml 4K STRONGBUILT COMPLETION OF WORK.eml 4K Strongbuilt Plumbing, Air, and Electrical.eml 4K Re: Strongbuilt: Work Needing to be Completed.eml 11K Strongbuilt Plumbing and Air.eml 10K Re: Strongbuilt Plumbing, Air, and Electrical.eml 25K

https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 5/6 Received 10/23/23, 8:00 AM State of Arizona Mail - **ATTN** FILING WRITTEN ANSWER** 10/20/2023 ROC Legal

https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&perm… 6/6 Received 10/20/2023 ROC Legal

Strongbuilt Plumbing, Air & Electrical (520) 512- 5166 4759 S Butterfield Drive Tucson, AZ 85714 October 19, 2023

Written Statement of Technician: Case Number: 2023-08320

To whom it may concern:

I, Chase Campas, arrived at the home knocked on the door, no one answered so we walked to the garage to see the driveway and where we were going to pull in. before our second attempt to knock on the door the homeowner answered the door and said, “You don’t know how to use the doorbell.” I answered, “We’re trained to knock before we ring the doorbell, a friend always knocks, strangers ring the doorbell.” I watched the homeowner to be in what it looked like in the middle of a phone call during this conversation.

We then went to the garage, which he instructed us that we could start there! Upon us arriving at the mechanical closet he stated along the lines whether we knew what needed to be done. To which I responded with, “Yes, sir I have the complaint paper with the items that need to be corrected.” Our first conversation was about the dryer vent. The client stated, “I want all of this section replaced.” And I told him that I would have to check the list to see the specifics of the work to be done.

The next conversation we started to discuss the metal cover that was covering the A/C lines on the ceiling of the mechanical closet. His questions kind of weird as I was telling him the line set cover can be straightened up, but the line set itself was not straight. And due to the size of the metal cover the metal would still have a bow in it and not be exactly straight. He then said, “Well what do you think I said.” I then said, “Well everything in here is exposed, I would

4759 S BUTTERFIELD DRIVE TUCSON, AZ 85714 T (520) 512-5166 U Received 10/20/2023 ROC Legal

recommend leaving the line set exposed.” The client then stated “Okay, I’ll just take it down and I can do that myself. Then I can get $2,000 back.” I finished by saying, “I can’t speak for whoever installed it or the reasoning they installed it. But I can try to straighten it out a bit.” To which he said “Okay” as we exited the mechanical closet back to the garage.

Once back in the garage I mentioned the ductless condenser that had some crooked fins that needed to be fixed as well. He stated something along the lines of, “Fixed? I want what’s damaged that’s brand new, I want it replaced.” I said, “Let me get my list and we’ll go check it out. I then asked if I could pull in the driveway and he said “Yes, that’s fine.” Once me and my partner pulled in the driveway, I got my list of items and read them aloud to him that about the dryer vent it did not say to replace it. As well as it said there was an obstruction that needed to be moved from the dryer vent output. Also, the dryer pipe needed fasteners for the mechanical connection. But I stated to him that you’re not supposed to screw into dryer vent piping. He responded with, “Okay.”

During the conversation in the mechanical closet when I asked him what he thought about my repair plan for the line set. He said, “I don’t know, what do you think? You know what needs to be done. I don’t want to say anything lawfully.” His demeanor changed and made me feel as if I was performing for someone that’s watching me. It was an awkward situation.

Back to the garage I asked to go see the extent of the coil damage, so he says, “Go ahead.” I then noticed him holding his phone at his waist with his camera facing me. I took one step towards the backyard and then stopped and said, “Excuse me, are you recording me?” He said, “Yes.” I then stated, “You

Received 10/20/2023 ROC Legal

don’t have my permission, you can’t do that.” The client then responded to me by saying, “Yes I can, by law I can!” Which I replied with “No, you can’t I have the right to refuse.” And then told him “I’m leaving.” As I was getting into my truck I told him, “I have no problem helping you with all of this. But it’s disrespectful if you’re recording me without letting me know.”

I felt uncomfortable from the beginning when he gave us a dirty look, while telling us that we don’t know how to ring doorbells. As well as demanding the replacement of the dryer vent, the line set cover, and the ductless condenser. During his questions that made me feel like he wanted me to put blame on my company for us being there to fix what was considered the repairs. Also not asking me permission to record for legal purposes rather than being sneaky about it.

Best Regards,

Chase Campas

Received 10/20/2023 ROC Legal

Written Answer to Citation and Complaint

Strongbuilt Plumbing, Air & Electrical 4759 S Butterfield Drive Tucson, AZ 85714 October 19, 2023

Written Answer to Citation and Complaint: Case Number: 2023-08320

To whom it may concern:

Strongbuilt Plumbing, Air & Electrical strongly feels that our ROC license should not be suspended or revoked due to Strongbuilt having tried on numerous occasions to solve the complainant’s issues. Which will be attached as well to this written response.

Strongbuilt tried on the day of September 26, 2023. The install technician arrived and tried knocking on the complainants door which the complainants did not enjoy. This started an awkward encounter between the technician and the complainant. Which lead the technician to leave the job site. Strongbuilt will attach the written statement of the encounter from the technician for inquiry.

After the incident from the above statement had happened, Strongbuilt tried multiple times to reschedule at the earliest convenience for the complainant. This way we could go out to the home and resolve the concerns of the client. Strongbuilt as a team were denied or hung up on in these attempts to reach a common ground. Attached are the emails and recorded phone calls to the complainant. All of which took place in the matter of trying to propose a resolution.

STREET ADDRESS, CITY, ST ZIP CODE T (123) 456-7890 U WWW.COMPANY.COM Received 10/20/2023 ROC Legal

We cannot conclude any issues that the client is having if they will not allow us permission to enter the property and complete the job at hand. This is no longer at the fault of Strongbuilt, but is at the fault of the complainant for denying us the opportunity to return to complete our task.

Best Regards,

Strongbuilt Plumbing, Air & Electrical

Received 10/20/2023 ROC Legal Received 10/20/2023 ROC Legal Received 10/20/2023 ROC Legal Received 10/20/2023 ROC Legal Received 10/20/2023 ROC Legal Received 10/20/2023 ROC Legal Received 10/20/2023 ROC Legal Received 10/20/2023 ROC Legal 10/23/23, 8:19 AM State of Arizona Mail - **ATTN** REVISED WRITTEN ANSWER TO CITATION AND COMPLAINT**

Answers - AZROC <[email redacted]>

**ATTN** REVISED WRITTEN ANSWER TO CITATION AND COMPLAINT** message

Aiyana Gonzales <[email redacted]> Fri, Oct 20, 2023 at 2:28 PM To: "[email redacted]" <[email redacted]> Cc: jwenzel <[email redacted]>, "[email redacted]" <[email redacted]>, Tyrel Fraughton <[email redacted]>

Hello, just reaching out to make sure this is added as well to the case file. The case number is 2023-08320. Thank you and have a great weekend.

Best Regards,

Aiyana Gonzales

J Wenzel Written Answer Revised .docx 33K

https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/1 10/23/23, 8:19 AM State of Arizona Mail - **ATTN** REVISED WRITTEN ANSWER TO CITATION AND COMPLAINT**

Answers - AZROC <[email redacted]>

**ATTN** REVISED WRITTEN ANSWER TO CITATION AND COMPLAINT** message

Hello, just reaching out to make sure this is added as well to the case file. The case number is 2023-08320. Thank you and have a great weekend.

Best Regards,

Aiyana Gonzales

J Wenzel Written Answer Revised .docx 33K

https://mail.google.com/mail/b/AEoRXRRUO0RXgJm1SZpZ34r0q2ksvZ40JK5UTrtyWd1HwgQoFq4N/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/1 Mediation Notice

Mediation Services Mediation services are available to the parties. What is Mediation? Mediation is a method of resolving disputes where the parties can end conflict without the expense and time associated with the full administrative process. Who Participates in During mediation, a mediator will attempt to help the Mediation? parties find an optimal solution to the conflict. Both parties must agree to participate in mediation, and both parties must bring a representative to mediation that has full authority to settle the entire matter. Mediation Is Not Neither the Registrar nor the Office of Administrative Mandatory Hearings will penalize a party for not agreeing to mediation. Where do the Parties The parties will meet at the Office of Administrative Meet for Mediation? Hearings to participate in mediation.

The Office of Administrative Hearings is located at 1400 West Washington, Suite 101, Phoenix, Arizona 85007. When does Mediation can occur after the Registrar issues a citation, but Mediation Occur? before the administrative hearing. Why Should Parties Mediation can be an alternative to the full administrative Consider Mediation? process. Mediation is beneficial because it is (1) time- efficient, (2) cost-effective, (3) confidential, and (4) capable of providing flexible solutions to complex problems. How to Request If the parties wish to mediate this case, they must file a Joint Mediation Request for Mediation with the Office of Administrative Hearings. A Joint Request for Mediation is included with this Mediation Notice. REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA _________________________ Case No. _______________ COMPLAINANT,

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

The parties jointly request that this matter be referred to mediation in the Office of Administrative Hearings (OAH). ☐ This matter is set for hearing on __________________(date). ☐ This matter is not currently set for hearing. MEDIATION AGREEMENT By requesting this mediation and signing below, the parties understand, represent, and agree: 1. The parties are prepared to commence mediation and will be ready for mediation on _____________________(date); 2. The parties will participate in the mediation process in good faith; 3. This request for mediation is not intended to hinder or delay administrative proceedings; 4. No party will contend that the mediation limits the power of OAH and its administrative law judges to conduct an administrative hearing and issue decisions under A.R.S. §§ 41-1092 – 1092.12; 5. The parties will be courteous and respectful throughout the mediation process to all participants; 6. The mediation is completely voluntary and the principal purpose is to allow the parties a full and fair opportunity to discuss settlement; of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 7. The mediator may conduct joint and separate meetings with the parties and may suggest resolutions to the parties’ dispute, but the mediator has no authority to impose a settlement upon the parties; 8. The mediation process is confidential. Communications made, material created for or used during, and acts occurring during mediation are confidential and may not be discovered or admitted into evidence in any proceeding except as provided by A.R.S. § 12-2238; 9. The mediator is not subject to service of process or a subpoena to produce evidence or to testify regarding any evidence or occurrence relating to the mediation except as provided in A.R.S. § 12-2238(C); 10. Neither the mediator, nor the Registrar of Contractors, nor the Office of Administrative Hearings is subject to civil liability for any act or omission in connection with any mediation service or activity except for acts involving

intentional misconduct or reckless disregard of a substantial risk of injury to the rights of others; 11. Throughout the mediation process, each party must have a representative present who will have full settlement authority to settle all claims at issue in the administrative

proceeding. 12. The mediation process will terminate when: a. The parties reach settlement; b. The mediator determines that further efforts at mediation are no longer likely

to achieve a settlement; or c. One of the parties withdraws from mediation. _____________________________________ _______________________ Complainant (or representative) Date

_____________________________________ _______________________ Respondent (or representative) Date

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 PREHEARING DISCLOSURE STATEMENT INSTRUCTIONS ***DO NOT SUBMIT THESE INSTRUCTIONS WITH THE PREHEARING DISCLOSURE FORM***

ADMINISTRATIVE RULES A copy of the Arizona Administrative Code’s Rules for the Registrar of Contractors can be located on the Registrar’s Website.

PREHEARING DISCLOSURE REQUIREMENT Under A.A.C. R4-9-118(A), before a hearing, the parties must prepare a disclosure statement. The disclosure statement must contain: • A list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony; and • A list of all the exhibits that the party will use at the hearing.

FILE PREHEARING DISCLOSURE STATEMENTS • The Prehearing Disclosure Statements and Exhibits may be submitted to the Arizona Office of Administrative Hearings using any of the following: • Electronically: https://portal.azoah.com/submission/ • In-Person or by Mail: 1740 West Adams Street, Lower Level, Phoenix, Arizona 85007

EXCHANGING DISCLOSURE STATEMENTS AND EXHIBITS Under A.A.C. R4-9-118(B) (effective November 5, 2017), a party to the hearing must serve on every other party and file with the Office of Administrative Hearings a copy of: • The disclosure statement; and, • Any exhibit that the party will use at the hearing. Service: The disclosure statement and exhibits must be served on all parties in accordance with Arizona Administrative Code R2-19-108 Filing Documents. Under A.A.C. R2-19-108, service is completed by: • Personal delivery; • 1st class, certified or express mail; or • Facsimile. Timing: The disclosure statement and the exhibits must be served and filed not less than seven calendar days before the date of the hearing. Under A.A.C. R2-19-108, a document is served on a party: • On the date it is personally served; • Five days after it is mailed by express or 1st class mail; • On the date of the return receipt if it is mailed by certified mail; or • On the date indicated on the facsimile transmission.

CONSEQUENCES FOR FAILING TO DISCLOSE Under A.A.C. R4-9-108(C), if a witness or an exhibit is not timely disclosed as required the rules, and good cause for the failure to disclose is not shown, then the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

Form RC-L-800A Prehearing Disclosure Statement Rev. 10/08/2019 Instructions Form PREHEARING DISCLOSURE STATEMENT FORM RC-L-800A

PART 1: WITNESS LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony. If you need additional space to list all witnesses, complete and attach additional Witness Lists. Example 1. Name 2. Telephone Number 3. Email Address

John Doe (123) 456-7890 [email redacted] 4. Subject Matter of Expected Testimony

John Doe will testify regarding the poor workmanship and poor installation of the Garage Door. Mr. Doe will also testify regarding the invoices and change orders for the project.

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 1 of 3 PART 2: EXHIBIT LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the exhibits that the party will use at the hearing. Note: All exhibits listed below must be provided to all parties to the hearing. See A.A.C. R4-9-118(B). If you need additional space to list all witnesses, complete and attach additional Exhibit Lists. Example Contract for new garage door. Invoice #10001 – Cost for garage door replacement.

Exhibit Exhibit Name

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 2 of 3 PART 3: ACKNOWLEDGEMENT & SIGNATURE I certify that the above information is true and correct and that I will serve a copy of this disclosure statement and any exhibits listed in Part 2 to all parties to the hearing in accordance with A.A.C. R4-9-118. I acknowledge and understand that if I fail to properly disclose a witness or exhibit, the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

I am the (check one):  Complainant  Respondent Docket No.

Print Name Signature Date

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 3 of 3