2023A-08961-CHC-ROC Notice of Hearing and Packet MAILED
2023A-08961-CHC-ROC · Registrar of Contractors · 2024-01-08
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Steven Pluska , Case No. 2023-08961 COMPLAINANT, Docket No. 2023A-08961-CHC-ROC
v. NOTICE OF HEARING ON CONTESTED CASE Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona License No. ROC 311233,
RESPONDENT.
This Notice of Hearing is issued under A.R.S. § 41-1092.05(D). HEARING INFORMATION The hearing is set for: February 22, 2024 9:00 AM Kay Abramsohn 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 December 11, 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)(2)(b)
Charge: 2 A.R.S. § 32-1154(A)(3) - R4-9-108(a)
Charge: 3 A.R.S. § 32-1154(A)(3) - R4-9-108(b)
Charge: 4 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158 Charge: 5 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 January 8, 2024.
By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors
Copy mailed via USPS First Class mail January 8, 2024 to:
Respondent(s) Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st St Tempe, AZ 85281 Complainant(s) Steven Pluska 5030 W Pheasant St Tucson, AZ 85742 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. 2023-08961 /
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: Steven Pluska 5030 W Pheasant St Tucson, AZ 85742
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: Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st Street Tempe, AZ 85281
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 18, 2023
Jobsite Inspection Notice Re: Complaint Number 2023-08961
Dear Complainant and Respondent:
A formal complaint has been filed with the Arizona Registrar of Contractors.
A jobsite inspection is scheduled for September 14, 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 Complainant: Steven Pluska 5030 W Pheasant St Tucson, AZ 85742
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: Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st Street Tempe, AZ 85281
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 September 5, 2023
Jobsite Inspection Notice Re: Complaint Number 2023-08961
Dear Complainant and Respondent:
A formal complaint has been filed with the Arizona Registrar of Contractors.
A jobsite inspection is scheduled for September 14, 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.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Complainant: Steven Pluska Respondent: Southwest Windows and Doors, LLC DBA Renewal by Anderson of Arizona
Present for the complainant: Steven Pluska Present for the respondent: The respondent was not present. Overview of project: Replacement of windows and doors. General Notes: Photos taken with agency issued Canon PowerShot ELPH180 and/or agency issued Google cell phone. Audio recorded with agency issued Olympus recorder and/or agency issued Google cell phone.
Complaint Item 1: “Back door completely built and installed wrong. Not blocked in;” Investigator’s Observations: Verified. Installation of door to back patio is poor and incomplete: • There is a 1-1/2 inch void between the tile flooring and the threshold. • There are voids between the interior casing and the base trim, approximately 3/4 inch. • The drywall is damaged around the perimeter of the interior casing. • Exterior trim is incomplete, and unpainted. • Exterior trim is butted up to the door jamb as opposed to being fastened to the door jamb. • Mullion strip is delaminating • Exterior trim is recessed from the jamb approximately 1/2 inch at the top, and protruding from the jamb approximately 3/4 inch at the bottom. • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support. • Security screws for the strike plates are threaded into foam only. 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 2: “Front door wrong size not blocked in.;” Investigator’s Observations: Verified. Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top. 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.
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Arizona Registrar of Contractors Jobsite Inspection Notes Complaint Item 3: “Window damaged in shipping replacement ordered and yet to be installed. Told them to wait until the doors are in to install.” Investigator’s Observations: Verified. Rear facing window in the family has not been replaced/installed. 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: “No one has come out to remeasure the front door. Was told house was "fucked up." ;” Investigator’s Observations: Verified. As stated by the complainant, there has been no work on site since March 30, 2023. The project is incomplete. Governing Rule: A.R.S. § 32-1154(A)(1): Abandonment of a contract or refusal to perform after submitting a bid on work without legal excuse for the abandonment or refusal. 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 5: “laborers would not fill voids with spray foam, had to do it myself.” Investigator’s Observations: Verified. Doors are not properly insulated, between jambs and wall framing. 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.
ADDITIONAL VIOLATIONS In addition to the allegations in the complaint, the following violations were verified:
Warning Letter: Elements of a Contract. Investigator’s Observations: The respondent’s contract is missing the following information: • An estimated date of completion o The contract includes: “Estimated Completion: Subject to change” • Information about the customer’s right to file a complaint with the registrar o Included, but not in at least ten point bold type. • Contact information for the registrar o Included, but not in at least ten point bold type. Governing Rule: A.R.S. § 32-1154(A)(12), Namely A.R.S. § 32-1158(A) Minimum Elements of a Contract. Any contract in an amount of more than one thousand dollars entered into between a contractor and the homeowner of a property to be improved shall contain in writing at least the following information: 1: The name of the contractor and the contractor's business address and license number. 2: The name and mailing address of the owner and the jobsite address or legal description. 3: The date the parties entered into the contract. 4: The estimated date of completion of all work to be performed under the contract. 5: A description of the work to be performed under the contract.
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Arizona Registrar of Contractors Jobsite Inspection Notes 6: The total dollar amount to be paid to the contractor by the owner for all work to be performed under the contract, including all applicable taxes. 7: The dollar amount of any advance deposit paid or scheduled to be paid to the contractor by the owner. 8: The dollar amount of any progress payment and the stage of construction at which the contractor will be entitled to collect progress payments during the course of construction under the contract. 9a: That the property owner has the right to file a written complaint with the registrar for an alleged violation of section 32-1154, subsection A. 9b: The contract shall contain the registrar's telephone number and website address and shall state that complaints must be made within the applicable time period as set forth in section 32-1155, subsection A. 9c: The information in this paragraph must be prominently displayed in the contract in at least ten point bold type... 9d: ...and the contract shall be signed by the property owner and the contractor or the contractor's designated representative. REQUIRED CORRECTIVE ACTION: The respondent is to submit a copy of a current contract form that complies with A.R.S. § 32-1158
Warning Letter: Performing permit required work without a permit being obtained. Investigator’s Observations: This project includes replacing windows. This is permit required work that was performed without a permit being obtained. The contract includes: “Contractor shall obtain all building permits for the work to be performed under this Agreement.” Governing Rule: A.R.S. § 32-1154 (A)(2)(b): Departure from or disregard of: (b) A building code... Governing Rule: A.R.S. § 32-1154 (A)(3) - R 4-9-108(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 and professional industry standards… Building Code: IRC (International Residential Code) R105.1: “Any owner or authorized agent who intends to construct, enlarge, alter, repair, move, demolish, or change the occupancy of a building or structure, or to erect, install, enlarge, alter, repair, remove, convert or replace any electrical, gas, mechanical or plumbing system, the installation of which is regulated by this code, or to cause any such work to be done, shall first make application to the building official and obtain the required permit.” REQUIRED CORRECTIVE ACTION: The Respondent is to obtain any and all required building permits from the Local Building Authorities prior to making corrections listed in this Directive. If the local jurisdiction finds corrective issues relating to the respondent’s work, the respondent will be required to correct those issues by appropriate means. The respondent is required to satisfy all requirements of the local building official, and to submit a copy of the approved inspection results to the ROC Investigator.
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Jobsite Inspection Photos 1 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Jobsite Inspection Photos 2 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of back door to patio Installation of door to back patio is poor and incomplete:
Jobsite Inspection Photos 3 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • There is a 1-1/2 inch void between the tile flooring and the threshold.
Jobsite Inspection Photos 4 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • There is a 1-1/2 inch void between the tile flooring and the threshold.
Jobsite Inspection Photos 5 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • There are voids between the interior casing and the base trim, approximately 3/4 inch.
Jobsite Inspection Photos 6 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • The drywall is damaged around the perimeter of the interior casing.
Jobsite Inspection Photos 7 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • The drywall is damaged around the perimeter of the interior casing.
Jobsite Inspection Photos 8 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • The drywall is damaged around the perimeter of the interior casing.
Jobsite Inspection Photos 9 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • Exterior trim is incomplete, and unpainted. • Exterior trim is butted up to the door jamb as opposed to being fastened to the door jamb.
Jobsite Inspection Photos 10 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • Mullion strip is delaminating
Jobsite Inspection Photos 11 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • Exterior trim is recessed from the jamb approximately 1/2 inch at the top, and protruding from the jamb approximately 3/4 inch at the bottom.
Jobsite Inspection Photos 12 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • Exterior trim is recessed from the jamb approximately 1/2 inch at the top, and protruding from the jamb approximately 3/4 inch at the bottom.
Jobsite Inspection Photos 13 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • Exterior trim is recessed from the jamb approximately 1/2 inch at the top, and protruding from the jamb approximately 3/4 inch at the bottom.
Jobsite Inspection Photos 14 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support.
Jobsite Inspection Photos 15 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support.
Jobsite Inspection Photos 16 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of door to back patio is poor and incomplete: • Security screws for the strike plates are threaded into foam only.
Jobsite Inspection Photos 17 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 18 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 19 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 20 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 21 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 22 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 23 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 24 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 25 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 26 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top.
Jobsite Inspection Photos 27 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 9/14/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Rear facing window in the family has not been replaced/installed.
Complainant: Steven Pluska 5030 W Pheasant St Tucson, AZ 85742
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: Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st Street Tempe, AZ 85281
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 15, 2023
License No. ROC 311233
Re: Complaint No. 2023-08961
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 6, 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:
Complaint Item 1: “Back door completely built and installed wrong. Not blocked in;” Investigator’s Observations: Verified. Installation of door to back patio is poor and incomplete: • There is a 1-1/2 inch void between the tile flooring and the threshold. • There are voids between the interior casing and the base trim, approximately 3/4 inch. • The drywall is damaged around the perimeter of the interior casing. • Exterior trim is incomplete, and unpainted. • Exterior trim is butted up to the door jamb as opposed to being fastened to the door jamb. • Mullion strip is delaminating
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 • Exterior trim is recessed from the jamb approximately 1/2 inch at the top, and protruding from the jamb approximately 3/4 inch at the bottom. • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support. • Security screws for the strike plates are threaded into foam only. 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 2: “Front door wrong size not blocked in.;” Investigator’s Observations: Verified. Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top. 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 3: “Window damaged in shipping replacement ordered and yet to be installed. Told them to wait until the doors are in to install.” Investigator’s Observations: Verified. Rear facing window in the family has not been replaced/installed. 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: “No one has come out to remeasure the front door. Was told house was "fucked up." ;” Investigator’s Observations: Verified. As stated by the complainant, there has been no work on site since March 30, 2023. The project is incomplete. Governing Rule: A.R.S. § 32-1154(A)(1): Abandonment of a contract or refusal to perform after submitting a bid on work without legal excuse for the abandonment or refusal. 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 5: “laborers would not fill voids with spray foam, had to do it myself.” Investigator’s Observations: Verified. Doors are not properly insulated, between jambs and wall framing. 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 ADDITIONAL VIOLATIONS In addition to the allegations in the complaint, the following violations were verified:
Elements of a Contract Investigator’s Observations: The respondent’s contract is missing the following information: • An estimated date of completion o The contract includes: “Estimated Completion: Subject to change” • Information about the customer’s right to file a complaint with the registrar o Included, but not in at least ten point bold type. • Contact information for the registrar o Included, but not in at least ten point bold type. Governing Rule: A.R.S. § 32-1154(A)(12), Namely A.R.S. § 32-1158(A) Minimum Elements of a Contract. Any contract in an amount of more than one thousand dollars entered into between a contractor and the homeowner of a property to be improved shall contain in writing at least the following information: 1: The name of the contractor and the contractor's business address and license number. 2: The name and mailing address of the owner and the jobsite address or legal description. 3: The date the parties entered into the contract. 4: The estimated date of completion of all work to be performed under the contract. 5: A description of the work to be performed under the contract. 6: The total dollar amount to be paid to the contractor by the owner for all work to be performed under the contract, including all applicable taxes. 7: The dollar amount of any advance deposit paid or scheduled to be paid to the contractor by the owner. 8: The dollar amount of any progress payment and the stage of construction at which the contractor will be entitled to collect progress payments during the course of construction under the contract. 9a: That the property owner has the right to file a written complaint with the registrar for an alleged violation of section 32-1154, subsection A. 9b: The contract shall contain the registrar's telephone number and website address and shall state that complaints must be made within the applicable time period as set forth in section 32-1155, subsection A. 9c: The information in this paragraph must be prominently displayed in the contract in at least ten point bold type... 9d: ...and the contract shall be signed by the property owner and the contractor or the contractor's designated representative. REQUIRED CORRECTIVE ACTION: The respondent is to submit a copy of a current contract form that complies with A.R.S. § 32-1158
Performing permit required work without a permit being obtained Investigator’s Observations: This project includes replacing windows. This is permit required work that was performed without a permit being obtained. The contract includes: “Contractor shall obtain all building permits for the work to be performed under this Agreement.” 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)(2)(b): Departure from or disregard of: (b) A building code... Governing Rule: A.R.S. § 32-1154 (A)(3) - R 4-9-108(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 and professional industry standards… Building Code: IRC (International Residential Code) R105.1: “Any owner or authorized agent who intends to construct, enlarge, alter, repair, move, demolish, or change the occupancy of a building or structure, or to erect, install, enlarge, alter, repair, remove, convert or replace any electrical, gas, mechanical or plumbing system, the installation of which is regulated by this code, or to cause any such work to be done, shall first make application to the building official and obtain the required permit.” REQUIRED CORRECTIVE ACTION: The Respondent is to obtain any and all required building permits from the Local Building Authorities prior to making corrections listed in this Directive. If the local jurisdiction finds corrective issues relating to the respondent’s work, the respondent will be required to correct those issues by appropriate means. The respondent is required to satisfy all requirements of the local building official, and to submit a copy of the approved inspection results to the ROC Investigator.
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 Complainant: Steven Pluska 5030 W Pheasant St Tucson, AZ 85742
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov
C012 05/21 Respondent: Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st Street Tempe, AZ 85281
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov
C012 05/21 October 30, 2023
Compliance Jobsite Inspection Notice Re: Complaint No. 2023-08961
Dear Complainant and Respondent:
A Compliance Inspection has been scheduled for November 28, 2023 at 1:30 PM to determine the current status of the items listed on the issued Directive.
The Complainant is required to be present for this inspection. The Respondent is encouraged to be present but is not required to attend.
Complainant: SAFE ACCESS IS REQUIRED TO ANY AREA TO BE INSPECTED.
Sincerely,
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
C012 05/21 Complainant: Steven Pluska 5030 W Pheasant St Tucson, AZ 85742
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 Respondent: Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st Street Tempe, AZ 85281
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 04/21 November 8, 2023
Re: Complaint Number 2023-08961
Dear Complainant and Respondent:
The Compliance Inspection scheduled for November 28, 2023 has been rescheduled for December 7, 2023 at 09:00 AM.
If either party is unable to attend, the Registrar requires 3 business days advance notice for cancellation or continuance.
Complainant: Safe access is required to any area to be inspected.
Should you have any questions regarding the above, please contact me.
Sincerely,
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 C010 04/21 Complainant: Steven Pluska 5030 W Pheasant St Tucson, AZ 85742
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Respondent: Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st Street Tempe, AZ 85281
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Case No.: 2023-08961 Investigator: John Smith Inspection Date: December 7, 2023 Inspection Time: 09:00 AM
Complainant: Steven Pluska
Respondent: Southwest Windows and Doors, LLC DBA Renewal by Anderson of Arizona
Compliance Jobsite Inspection
Present for the Complainant: Steven Pluska Present for the Respondent: Matt Kyte Number of days allowed for corrective work per the Directive: 21 Number of days from issuance of the Directive to this inspection: 83
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…
Compliance Jobsite Inspection General Notes: This Compliance Inspection was to evaluate the current conditions of item(s) requiring corrective action as stated on the Directive. Those item(s) are listed below.
As stated on the Directive: Complaint Item 1: “Back door completely built and installed wrong. Not blocked in;” Investigator’s Observations from the initial inspection: Verified. Installation of door to back patio is poor and incomplete: • There is a 1-1/2 inch void between the tile flooring and the threshold. • There are voids between the interior casing and the base trim, approximately 3/4 inch. • The drywall is damaged around the perimeter of the interior casing. • Exterior trim is incomplete, and unpainted. • Exterior trim is butted up to the door jamb as opposed to being fastened to the door jamb. • Mullion strip is delaminating • Exterior trim is recessed from the jamb approximately 1/2 inch at the top, and protruding from the jamb approximately 3/4 inch at the bottom. • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support. • Security screws for the strike plates are threaded into foam only. 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 C013 4/21 Compliance Inspection Findings for this item: This has NOT been corrected. Some work has been performed; however, the current conditions do not meet ROC Workmanship Standards. • Interior drywall has been repaired, but not painted/finished. • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support. • Voids between the trim and the walls have been filled with caulking. Areas of caulking are up to 3/4 inch thick.
As stated on the Directive: Complaint Item 2: “Front door wrong size not blocked in.;” Investigator’s Observations from the initial inspection: Verified. Installation of main entry door is poor and incomplete: • The door is not centered in the framed opening. • There are no supports or shims between the hinges and the wall framing. • There is no interior or exterior trim. • Stucco damages around exterior of door. • Drywall damaged around interior of the door. • The door jamb is flush to the drywall at the bottom, and protruding into the house approximately 1-3/8 inches at the top. 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. Compliance Inspection Findings for this item: This has NOT been corrected. Some work has been performed; however, the current conditions do not meet ROC Workmanship Standards. • Voids between the trim and the walls have been filled with caulking. Areas of caulking are up to one inch thick.
As stated on the Directive: Complaint Item 3: “Window damaged in shipping replacement ordered and yet to be installed. Told them to wait until the doors are in to install.” Investigator’s Observations from the initial inspection: Verified. Rear facing window in the family has not been replaced/installed. 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. Compliance Inspection Findings for this item: This has been corrected. The complainant stated this is now acceptable.
As stated on the Directive: Complaint Item 4: “No one has come out to remeasure the front door. Was told house was "fucked up." ;” Investigator’s Observations from the initial inspection: Verified. As stated by the complainant, there has been no work on site since March 30, 2023. The project is incomplete. Governing Rule: A.R.S. § 32-1154(A)(1): Abandonment of a contract or refusal to perform after submitting a bid on work without legal excuse for the abandonment or refusal. 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 C013 4/21 Compliance Inspection Findings for this item: This has NOT been corrected. Some work has been performed; however, the current conditions do not meet ROC Workmanship Standards. • Voids between the trim and the walls have been filled with caulking. Areas of caulking are up to one inch thick.
As stated on the Directive: Complaint Item 5: “laborers would not fill voids with spray foam, had to do it myself.” Investigator’s Observations from the initial inspection: Verified. Doors are not properly insulated, between jambs and wall framing. 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. Compliance Inspection Findings for this item: This is not currently visible.
As stated on the Directive: Elements of a Contract Investigator’s Observations: The respondent’s contract is missing the following information: • An estimated date of completion o The contract includes: “Estimated Completion: Subject to change” • Information about the customer’s right to file a complaint with the registrar o Included, but not in at least ten point bold type. • Contact information for the registrar o Included, but not in at least ten point bold type. Governing Rule: A.R.S. § 32-1154(A)(12), Namely A.R.S. § 32-1158(A) Minimum Elements of a Contract. REQUIRED CORRECTIVE ACTION: The respondent is to submit a copy of a current contract form that complies with A.R.S. § 32-1158 Compliance Inspection Findings for this item: This has NOT been corrected. The respondent has not submitted an updated contract form.
As stated on the Directive: Performing permit required work without a permit being obtained Investigator’s Observations: This project includes replacing windows. This is permit required work that was performed without a permit being obtained. The contract includes: “Contractor shall obtain all building permits for the work to be performed under this Agreement.” REQUIRED CORRECTIVE ACTION: The Respondent is to obtain any and all required building permits from the Local Building Authorities prior to making corrections listed in this Directive. If the local jurisdiction finds corrective issues relating to the respondent’s work, the respondent will be required to correct those issues by appropriate means. The respondent is required to satisfy all requirements of the local building official, and to submit a copy of the approved inspection results to the ROC Investigator. Compliance Inspection Findings for this item: This has NOT been corrected. The respondent has not submitted any permit information.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Note:
Please review the complaint items listed above. If any of the items have not been corrected at the time of the compliance inspection this complaint will be forwarded to the Registrar’s legal department and a citation may be issued.
If all items are corrected after receipt of this letter, please notify the Registrar’s legal department by sending a notice of compliance signed by the complainant to fax number (602) 364-0416 or by mail to: Arizona Registrar of Contractors, P.O. Box 18244, Phoenix, Arizona 85005-8244. Sincerely,
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 C013 4/21 Compliance Inspection Photos 1 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Compliance Inspection Photos 2 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of back door to patio • Drywall around interior of the door has been patched, but not painted.
Compliance Inspection Photos 3 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of back door to patio • Drywall around interior of the door has been patched, but not painted.
Compliance Inspection Photos 4 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of back door to patio • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support.
Compliance Inspection Photos 5 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of back door to patio • The full width of the threshold is hanging over the foundation approximately 3-1/2 inches with no support.
Compliance Inspection Photos 6 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of back door to patio • Areas of caulking up to 3/4 inch thick.
Compliance Inspection Photos 7 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of back door to patio • Areas of caulking up to 3/4 inch thick.
Compliance Inspection Photos 8 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of main entry door • Areas of caulking up to 1 inch thick.
Compliance Inspection Photos 9 Case No.: 2023-08961 Investigator: John Smith #194 Inspection Date: 12/7/2023 Inspection Time: 9:00AM Address: 5030 W. Pheasant St., Tucson, AZ 85742
Overview of main entry door • Areas of caulking up to 1 inch thick.
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Steven Pluska, Case No. 2023-08961 COMPLAINANT, v.
Southwest Windows and Doors, LLC, CITATION DBA: Renewal by Andersen of Arizona, License No. ROC 311233, RESPONDENT.
The Registrar issues this Citation to Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by December 26, 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 August 5, 2023, Steven Pluska (“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)(2)(b) Departure from or disregard of: (b) A building code of this state or any political subdivision of this state in any material respect that is prejudicial to another.
of 6 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge :2 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. Charge :3 A.R.S. § 32-1154(A)(3) - R4-9-108(b) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity. Charge :4 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158 Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158. Charge :5 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)
of 6 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 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. 2023-08961. 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, AZ 85007-2812 Mail: P.O. Box 18244, Phoenix, AZ 85005-8244 Email: [email redacted] The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than December 26, 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,
of 6 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s
of 6 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated December 11, 2023 By: /s/ Katelyn Rolling Katelyn Rolling Legal Assistant II Legal Department Arizona Registrar of Contractors
COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, December 11, 2023 to: Respondent Certified Mail No: [number redacted] Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st St Tempe, AZ 85281 Copy mailed by USPS First Class Mail this same date to:
Respondent Southwest Windows and Doors, LLC DBA: Renewal by Andersen of Arizona 2401 W 1st St Tempe, AZ 85281
of 6 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Complainant Steven Pluska 5030 W Pheasant St Tucson, AZ 85742
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. 2023-08961
of 6 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees
Person Filing Complaint Full Name (First Middle Last) Business Name (if a licensed contractor or supplier) ROC License Number(s) (if any)
Steven Pluska Mailing Address (Enter jobsite in Contract/Project section) City State Zip
5030 W Pheasant St Tucson Arizona 85742 Phone Number Email
[number redacted] [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)
Street Address of Attorney City State Zip
Phone Number of Attorney Email of Attorney
Contractor Information Name (as shown on contract/invoice) ROC License Number(s)
Southwest Windows and Doors, LLC ROC 311233 Street Address City State Zip
2401 W 1st Street Tempe AZ 85281 Phone Number Email
Name of Person(s) Representing License
Jasmin Castaneda Contract/Project Information Contract Date Contract Amount Amount Paid
September 1, 2022 $42,606.00 $3,667.76 Date Work Started Date Work Stopped Date Work Was Completed
March 30, 2023 March 30, 2023 Close of Escrow (New Home) Move-In Date (New-Home)
Jobsite Street Address City State Zip
5030 W Pheasant St Tucson AZ 85742 Name of Construction Site Owner Construction Site Name (if applicable)
Phone Number of Construction Site Owner Email of Construction Site Owner
This complaint is for Abandonment;Poor Work I have contacted the contractor by Phone/Text;Email Have you filed a complaint in court? No Has any work been corrected? No
RCC099 12/05/18 Page 1 of 2 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees
The contract was Written All change orders were Written This project was Residential This project involved Remodel
A building permit was obtained by N/A List and briefly describe each complaint item (Please do not write "see attached" or use additional pages unless necessary to further describe issues or list more complaint items) (limited to 100 characters per line)
Back door completely built and installed wrong. Not blocked in; Front door wrong size not blocked in.; Window damaged in shipping replacement ordered and yet to be installed. Told them to wait until the doors are in to install. No one has come out to remeasure the front door. Was told house was "fucked up." ; laborers would not fill voids with spray foam, had to do it myself.
Signature I declare under penalty of perjury that the information and documents contained on this Complaint Form, included with this complaint, or hereafter submitted in support of this complaint are true and accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date
Steven Pluska \complainant1\ \complainantd1\
RCC099 12/05/18 Page 2 of 2 DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
Thank you for your order Please find, enclosed for your convenience, the contents of your agreement with Southwest Windows and Doors LLC d/b/a Renewal By Andersen of Arizona
Table of Contents Agreement Document and Payment Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2
Itemized Order Receipt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3
Notice of Cancellation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5
Terms and Conditions of Sale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.
What to Expect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 .
Lead-Safe Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 .
Sales Cost Savings Program (SCSP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11
Price Presentation Discounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12
RbA Limited Warranty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 .
Limited Lifetime Install . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15
Image . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17
Image . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18
HOA Form-1 Pluska.pdf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19
09/01/22 Page 1 / 20 Agreement Document and Payment Terms DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
Steven Pluska 09/01/22
BUYER(S) NAME CONTRACT DATE
5030 W. Pheasant St. , Tucson, AZ 85742 (520)965-3877
BUYER(S) STREET ADDRESS PRIMARY NUMBER SECONDARY NUMBER
[email redacted]
PRIMARY EMAIL SECONDARY EMAIL
NOTES:
Buyer(s) hereby jointly and severally agrees to purchase the products and/or services of Southwest Windows and Doors LLC d/b/a Renewal By Andersen of Arizona("Contractor"), in accordance with the terms and conditions described in this Agreement Document and Payment Terms, any documents listed in the Table of Contents, and any other document attached to this Agreement Document, the terms of which are all agreed to by the parties and incorporated herein by reference (collectively, this "Agreement"). Buyer(s) hereby agrees to sign a completion certificate after Contractor has completed all work under this Agreement.
TOTAL JOB AMOUNT: $42,606 By signing this Agreement, you acknowledge that the Balance Due, and the Amount Financed must be made by personal check, bank check, credit card, or cash. DEPOSIT RECEIVED: $0 Estimated Start: Estimated Completion: BALANCE DUE: $42,606 4-5 months Subject to change AMOUNT FINANCED: $42,606 We schedule installations based on the date of the signed contract and secondarily on the date METHOD OF PAYMENT: Financing in which we complete the technical measurements. The installation date that we are providing at this time is only an estimate. We will communicate an official date and time at a later date. Rain and extreme weather are the most common causes for delay. NOTES: Financed for 15 years @ 6.99%
Buyer(s) agrees and understands that this Agreement constitutes the entire understandings between the parties and that there are no verbal understandings changing or modifying any of the terms of this Agreement. No alterations to or deviations from this Agreement will be valid without the signed, written consent of both the Buyer(s) and Contractor. Buyer(s) hereby acknowledges that Buyer(s) 1) has read this Agreement, understands the terms of this Agreement, and has received a completed, signed, and dated copy of this Agreement, including the two attached Notices of Cancellation, on the date first written above and 2) was orally informed of Buyer’s right to cancel this Agreement.
NOTICE TO BUYER: Do not sign this contract if blank. You are entitled to a copy of the contract at the time you sign.
YOU, THE BUYER, MAY CANCEL THIS TRANSACTION AT ANY TIME NOT LATER THAN MIDNIGHT OF 09/06/2022 OR THE THIRD BUSINESS DAY AFTER THE DATE OF THIS TRANSACTION, , WHICHEVER DATE IS LATER. SEE THE ATTACHED NOTICE OF CANCELLATION FORM FOR AN EXPLANATION OF THIS RIGHT.
SIGNATURE OF SALES PERSON SIGNATURE SIGNATURE
Ron Kelley Steven Pluska
PRINT NAME OF SALES PERSON PRINT NAME PRINT NAME
09/01/22 Page 2 / 20 Itemized Order Receipt DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
ID#: ROOM: SIZE: DETAILS: PRICE:
0W Misc, Misc, Job Miscellaneous Charges, * Tech Measure , 0H Tech Measure
0W Misc, Misc, Job Miscellaneous Charges, **** Customer 0H Removing and Reinstall Interior Blinds, NOTE TO OFFICE
101 Family room 59 W Window, Gliding, Double, 1:1, Active / Passive, Base Frame, H Exterior Canvas, Interior Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Hardware, Canvas, Standard Color Extra Lock, Screen, TruScene, Half Screen, Grille Style, No Grille, Misc, None
102 Kitchen 22 W Window, Casement, Single, Right, Base Frame, Exterior H Canvas, Interior Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Hardware, Canvas, Screen, TruScene, Full Screen, Grille Style, No Grille, Misc, None
103 Kitchen 70 W Window, Casement, Fixed Window, Base Frame, Exterior H Canvas, Interior Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Grille Style, No Grille, Misc, None
104 Kitchen 22 W Window, Casement, Single, Left, Base Frame, Exterior H Canvas, Interior Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Hardware, Canvas, Screen, TruScene, Full Screen, Grille Style, No Grille, Misc, None
09/01/22 Page 3 / 20 Itemized Order Receipt DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
ID#: ROOM: SIZE: DETAILS: PRICE:
105 Kitchen 46 W Window, Awning, Base Frame, Exterior Canvas, Interior H Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Hardware, Canvas, Screen, TruScene, Full Screen, Grille Style, No Grille, Misc, None
106 Living room 58 W Specialty, Springline, Base Frame, Exterior Canvas, Interior H Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Grille Style, No Grille, Misc, None
107 Front room 94 W Window, Picture, Base Frame, Exterior Canvas, Interior H Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Tempered Glass, Grille Style, No Grille, Misc, None
108 Wntry 22 W Window, Double-Hung, 1:1, Flat Sill Insert, Exterior Canvas, H Interior Canvas, Glass, All Sash: High Performance SmartSun Glass, No Pattern, Tempered Glass, Hardware, Canvas, Screen, TruScene, Full Screen, Grille Style, No Grille, Misc, None
A Backroom 0W Misc, Misc, Job Miscellaneous Charges, ** Provia Door - Per 0H Door, See Provia Spec Sheet ENTRY LINK # -
B Entry 0W Misc, Misc, Job Miscellaneous Charges, ** Provia Door - Per 0H Door, See Provia Spec Sheet ENTRY LINK # -
WINDOWS: 7 PATIO DOORS: 0 ENTRY DOORS: 0 SPECIALTY: 1 MISC: 4 TOTAL $42,606
09/01/22 Page 4 / 20 Notice of Cancellation DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
You, the buyer(s) may cancel this transaction at any time prior to midnight on 09/06/2022
NOTICE OF CANCELLATION NOTICE OF CANCELLATION
Date of Transaction: 09/01/22. You may cancel this Date of Transaction: 09/01/22. You may cancel this transaction, without any penalty or obligation, before midnight transaction, without any penalty or obligation, before midnight on 09/06/2022 or the third business day after the date of this on 09/06/2022 or the third business day after the date of this transaction, whichever date is later. If you cancel, any property transaction, whichever date is later. If you cancel, any property traded in, any payments made by you under the Contract or traded in, any payments made by you under the Contract or Sale, and any negotiable instrument executed by you will be Sale, and any negotiable instrument executed by you will be returned within 10 business days following receipt by the Seller returned within 10 business days following receipt by the Seller of your cancellation notice, and any security interest arising out of your cancellation notice, and any security interest arising out of the transaction will be canceled. If you cancel, you must of the transaction will be canceled. If you cancel, you must make available to the Seller at your residence, in substantially make available to the Seller at your residence, in substantially as good condition as when received, any goods delivered to as good condition as when received, any goods delivered to you under this Contract or Sale; or you may, if you wish, comply you under this Contract or Sale; or you may, if you wish, comply with the instructions of the Seller regarding the return with the instructions of the Seller regarding the return shipment of the goods at the Sellers expense and risk. If you shipment of the goods at the Sellers expense and risk. If you do make the goods available to the Seller and the Seller does do make the goods available to the Seller and the Seller does not pick them up within 20 days of the date of your Notice of not pick them up within 20 days of the date of your Notice of Cancellation, you may retain or dispose of the goods without Cancellation, you may retain or dispose of the goods without any further obligation. If you fail to make the goods available to any further obligation. If you fail to make the goods available to the Seller, or if you agree to return the goods to the Seller and the Seller, or if you agree to return the goods to the Seller and fail to do so, then you remain liable for performance of all fail to do so, then you remain liable for performance of all obligations under the Contract. To cancel this transaction, mail obligations under the Contract. To cancel this transaction, mail or deliver a signed and dated copy of this cancellation notice or deliver a signed and dated copy of this cancellation notice or any other written notice, or send a telegram, to: or any other written notice, or send a telegram, to: dba: Renewal By Andersen of Arizona dba: Renewal By Andersen of Arizona Legal Name: Southwest Windows and Doors LLC Legal Name: Southwest Windows and Doors LLC 2401 W. First St. 2401 W. First St. Tempe, AZ 85281 Tempe, AZ 85281 Phone: 480-967-2597 Phone: 480-967-2597 Fax: 480-383-6902 Fax: 480-383-6902 Email: [email redacted] Email: [email redacted] NOT LATER THAN MIDNIGHT OF 09/06/2022 NOT LATER THAN MIDNIGHT OF 09/06/2022 OR THE THIRD BUSINESS DAY AFTER THE DATE OR THE THIRD BUSINESS DAY AFTER THE DATE OF THIS TRANSACTION, WHICHEVER DATE IS LATER. OF THIS TRANSACTION, WHICHEVER DATE IS LATER.
I HEREBY CANCEL THIS TRANSACTION I HEREBY CANCEL THIS TRANSACTION
BUYER SIGNATURE DATE BUYER SIGNATURE DATE
09/01/22 Page 5 / 20 Terms and Conditions of Sale DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
"I", "my" and "me" means each person who signs this Agreement as a Buyer. "Contractor" means Southwest Windows and Doors LLC d/b/a Renewal by Andersen of Arizona. "We and ''us" mean both the Buyer, or Buyers if more than one, and the Contractor. Southwest Windows and Doors LLC d/b/a Renewal by Andersen of Arizona is an authorized and independent dealer of Renewal by Andersen. You are entering into a contract with Southwest Windows and Doors LLC d/b/a Renewal by Andersen of Arizona.
Warranties/Intended Use: I understand that Andersen Corporation ("Andersen") is providing me with a warranty in connection with my purchase. I understand that I should read Andersen's written warranty for complete details of my warranty coverage and that the Andersen warranty is available for my complete review before I sign this Agreement. I understand that the Andersen warranty will not be effective or enforced while a balance due remains on this Agreement.
Contractor’s Promises:Contractor promises to perform all work in a professional manner and within industry standards. Contractor will remove and transport away from the premises any debris and waste materials that are generated by Contractor. Contractor shall obtain all building permits for the work to be performed under this Agreement.
My Promises:I promise to Contractor that (a) I will provide Contractor with reasonable access to my property, including access to electrical outlets; (b) I will be responsible for preparation, moving, and reinstalling of any materials, personal property, cars, or equipment as may be needed for Contractor to perform its work; (c) The walls and surfaces upon which the work is to be performed are sound and suitable for the work being performed; (d) When the work is “substantially complete”, I will pay Contractor the balance due under this Agreement. I understand that “substantially complete” means the work has been materially finished and is functional as intended; (e) In the event that I disagree with Contractor that the work is substantially complete, I agree that I will not withhold more than 10% of the Total Job Amount; and (f) If taxes are necessary to complete the work, I will pay them unless the law requires Contractor to pay them.
Measurements:I understand that dimensions referred to in this Agreement are estimates and used only for arriving at the Total Job Amount. I understand that the actual measurements will be determined during a follow-up visit by a qualified measurement technician. I understand that if Contractor must make changes to the estimated measurements, I will have to sign an addendum to this Agreement.
Late Cancellation:I understand that I have 3 business days to cancel this Agreement, as described in this Agreement. I understand that if I want to cancel this Agreement after those 3 business days, Contractor does not have to allow that. I understand that if Contractor does let me cancel, however, I will have to pay to Contractor a late cancellation fee equal to 25% of the Total Job Amount for Contractor’s labor, administrative, and material costs.
Delay / Unknown Conditions: I understand that if Contractor determines that Contractor cannot perform the work according to Contractor’s normal professional standards, then Contractor can cancel this Agreement, notify me in writing of the cancellation, and return my money to me. I understand that some of the things that could cause Contractor to cancel this Agreement would be incorrect pricing, unforeseen structural defects, or unknown pre-existing conditions to my property. I understand that Contractor is not responsible for structural or other defects in my property, and that Contractor’s products do not cure those types of problems. I also understand that the work could be delayed by events that Contractor does not control, and that is acceptable to me. Some of the things that could cause the work to be delayed would be acts of God, labor strikes, inclement weather, material shortages, my inability to qualify for or obtain financing, delays by local government authorities in issuing or otherwise approving inspections, permitting, or other required authorizations for the work.
SIGNATURE OF SALES PERSON SIGNATURE SIGNATURE
Ron Kelley Steven Pluska
PRINT NAME OF SALES PERSON PRINT NAME PRINT NAME
09/01/22 Page 6 / 20 Terms and Conditions of Sale DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
Late Payment/Default:I agree that if I do not pay Contractor any of the money owed when it is due, I can be charged a late fee of 1.5% on the amount owed for each month the money is owed and not paid. I also agree that if I default on my promises under this Agreement, and Contractor hires an attorney to enforce this Agreement, I will pay Contractor its reasonable legal fees and related costs or expenses, as long as it is legal for me to do that. I agree and understand that in the event that I do not pay Contractor any of the money owed when it is due, Contractor may have a claim against me, which may be enforced against my property in accordance with the applicable lien laws. I also understand that if I finance the work with Contractor or a third party, my separately provided financing documents may include a security interest. I understand that I should read those documents closely.
I agree and understand that I will assert a dispute, claim, or controversy (hereafter referred to as a “Claim”) arising under or relating to this Agreement only on behalf of my own self and that I will not assert a Claim on behalf of, or as a member of, a class or group in either an arbitration proceeding, a private attorney general action, or in any other forum or action. If a court determines that this specific paragraph is not fully enforceable, the court’s determination shall be subject to appeal. This paragraph does not apply to any lawsuit or administrative proceeding filed against Contractor by a state or federal government agency.
Interpretation of This Agreement: I agree that this Agreement will be enforced under the laws of the state where the work is being performed. If any part of this Agreement is determined to be invalid or illegal, then I agree that the rest of this Agreement will still be valid and enforceable. We both understand that this Agreement and any attachments, make up the entire understanding between us about the work Contractor is doing. There are no other oral or written agreements or representations on which we are relying. We both agree that any change to this Agreement must be in writing and signed by both of us. The paragraph headings contained in this Agreement are for convenience only and will not affect the meaning or interpretation of this Agreement.
(Arizona Sales Only)You have the right to file a written complaint with the Arizona Registrar of Contractors for an alleged violation of A.R.S. § 32-1154, subsection A. Complaints must be made within the applicable time period as set forth in A.R.S. § 32-1155, subsection A. You can contact the Arizona Registrar of Contractors at 1-877-692-9762 or visit http://www.azroc.gov/. This instrument is based upon a home solicitation sale, which is subject to the provisions of title 44, chapter 15. This instrument is not negotiable.
NOTICE TO BUYER: 1. Do not sign this agreement if any of the spaces intended for the agreed terms to the extent of then available information are left blank. 2. You are entitled to a copy of this agreement at the time you sign it. 3. You may pay off the full unpaid balance due under this agreement at any time, and in so doing you shall be entitled to a full rebate of the unearned finance and insurance charges. 4. You may cancel this agreement any time prior to midnight of the third business day after the date of this transaction. See the attached notice of cancellation form for an explanation of this right. 5. It shall not be legal for the seller to enter your premises unlawfully or commit any breach of the peace to repossess goods purchased under this agreement.
By signing below, I hereby agree to the terms and conditions of this agreement.
SIGNATURE OF SALES PERSON SIGNATURE SIGNATURE
Ron Kelley Steven Pluska
PRINT NAME OF SALES PERSON PRINT NAME PRINT NAME
09/01/22 Page 7 / 20 What to Expect DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
PRE-INSTALLATION INSPECTION You are required to be present during your pre-installation inspection in order to open your home and review your contract specifications with our job site evaluator. Our technician will do another walk through of your project, determine materials needed and determine the amount of time required for your installation.
PRE-INSTALLATION Once your units have a scheduled arrival date from our manufacturing facility, our office will confirm the tentative installation date with you. Please keep in mind that this installation date may need to change. Variables, such as rain and extreme weather are the most common reasons for a change in installation date. We appreciate your understanding and flexibility in advance. We will give you a reminder call one day before the scheduled install date.
INSTALLATION DAY The crew will arrive at your home after picking up all required installation materials from our local warehouse. Due to variables in travel distance and possible morning traffic arrival times will vary, but typically the crew will arrive between 8:00 am - 10:00 am, unless you are scheduled for an afternoon installation. Always defer to the arrival window given during the confirmation call. At the end of the project the foreman will do a final walk through, complete our Zero Defect Form/Contract for Customer Happiness and will issue your finish paperwork.
CUSTOMER RESPONSIBILITIES
POSSIBLE GLASS LOSS
Customer has been made aware of the possible glass loss that occurs with the installation of replacement windows.
PAINTING/STAINING RENEWAL BY ANDERSEN DOES NOT PERFORM ANY PAINTING OR STAINING ON ANY WINDOWS, DOORS OR TRIM. In order to provide you with the best finished product, our installers will not prefill nail holes. These tasks will be completed during the painting/staining process. It is your responsibility to coordinate and pay for all painting and/or staining after the windows are installed.
FURNITURE AND DECORATIONS We ask that you remove any furniture that may block access to the windows or door openings. We ask that you remove the pictures from the walls being worked on and any decorations that are in the work area before work begins. This will greatly reduce the likelihood of any accidental damage to personal property.
WINDOW COVERINGS Please remove all blinds, shades or shutters before we arrive. We also assume no liability for any new blinds or shutters: that includes fit, measuring and installation. All of these processes should be handled by a professional window treatment company.
SIGNATURE OF SALES PERSON SIGNATURE SIGNATURE
Ron Kelley Steven Pluska
PRINT NAME OF SALES PERSON PRINT NAME PRINT NAME
09/01/22 Page 8 / 20 What to Expect DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
AIR CONDITIONING UNITS
Owner is responsible for the removal and reinstallation of any AC units and brackets.
ALARM SYSTEMS
Owner is responsible for the removal and reinstallation of any existing alarm systems. PLEASE CONTACT ALARM COMPANY FOR DETAILS.
PETS Because not all pets react favorably to the excitement of the construction process, we ask that you keep all of your pets confined during the time we are working on your home. This should keep them from becoming stressed, accidentally escaping or possible injury.
SECOND AND FINAL PAYMENT The second payment is due at start of installation and final payment is due at the completion of the installation. The check is made payable to Renewal by Andersen of Arizona. You may hand the check to the installer who will then bring the check into the office. If you have financed your project, the remaining balance will be charged to this account.
WHAT IS INCLUDED
VISIBLE ROT Renewal By Andersen of Arizona will replace or repair VISIBLE rot on sills or exterior casings. NOT INCLUDED Any UNSEEN, HIDDEN or STRUCTURAL rot, that will be addressed at time of discovery.
HAUL AWAY/DISPOSAL & CLEAN UP
Renewal By Andersen of Arizona will clean up all job related debris, including old windows and storms, and will vacuum nightly.
FINISH PAPERWORK
Renewal By Andersen of Arizona will present customer with maintenance manuals and warranty documents upon completion of project and payment in full.
ALL CURRENT PROMOTIONS AND DISCOUNTS HAVE BEEN APPLIED TO THIS AGREEMENT - ANY FUTURE DISCOUNTS OR SALES CANNOT BE APPLIED AT A LATER DATE.
SIGNATURE OF SALES PERSON SIGNATURE SIGNATURE
Ron Kelley Steven Pluska
PRINT NAME OF SALES PERSON PRINT NAME PRINT NAME
09/01/22 Page 9 / 20 Lead-Safe Form DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
Lead Safe Work Pamphlet Receipt and Lead Testing Permission Form
Pamphlet Receipt I have received a copy of the lead hazard information pamphlet informing me of the potential risk of the lead hazard exposure from renovation activity to be performed in my dwelling. I received this pamphlet before the work began.
Permission to Test I confirm if my house was built between the years of 1940 and 1977, I understand and give permission to have my house tested for Lead Paint at time the measure technician comes out to take final measurements. I understand that the if the test does show the presence of lead paint, that the firm performing the renovation will be required to use the lead-safe work practices required by EPA’s Lead-Based Paint Renovation, Repair, and Painting Rule. I also understand that there is no added charge for using the lead safe work practices.
By signing below, I hereby agree to the terms and conditions above.
SIGNATURE OF SALES PERSON SIGNATURE SIGNATURE
Ron Kelley Steven Pluska
PRINT NAME OF SALES PERSON PRINT NAME PRINT NAME
09/01/22 Page 10 / 20 Sales Cost Savings Program (SCSP) DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
To: All Sales Personnel
Date: January 1, 2022
From: Matthew Esler - CEO Renewal by Andersen of Arizona
Re: Sales Cost Savings Program (SCSP)
At Renewal by Andersen, we are always looking for ways to increase value, and we've found a new way to lower costs to our customers. The majority of customers that we meet love Renewal by Andersen and are comfortable enough to award us the project on the initial visit. For a variety of reasons, some customers feel they need time to think it over for a day or two before placing the order. This requires a second visit.
We are happy to visit our customers as many times at it takes to earn their business.
However, when the consumer makes a buying decision on the first visit, the sales cost of additional visits is saved and we are happy to pass that savings on to our customers.
Please keep in mind, the savings are only realized during the initial visit.
Best Regards,
Matthew Esler CEO, Renewal by Andersen of Arizona
By signing below I acknowledge receipt of the initial visit, sales cost savings plan. As a way of saying thank you, this savings will be included in all your future orders.
SIGNATURE OF SALES PERSON SIGNATURE SIGNATURE
Ron Kelley Steven Pluska
PRINT NAME OF SALES PERSON PRINT NAME PRINT NAME
09/01/22 Page 11 / 20 Price Presentation Discounts DBA: RENEWAL BY ANDERSEN OF ARIZONA Steven Pluska Legal Name: Southwest Windows and Doors LLC 5030 W. Pheasant St. ROC #311233 Tucson, AZ 85742 2401 W. First St. | Tempe, AZ 85281 H: (520)965-3877 Phone: 480-967-2597 | Fax: 480-383-6902 | [email redacted]
PR O JE C T PR I C E B E F O R E DI S CO UNT S $ 56 ,8 0 8
I NDI V I DU A L SAV I N G S B A SE D O N 8 UNIT S
Advertised Offer Savings:
25% Off Project $14,202
TO TA L P R I C E: $ 42, 606 $14,202 S AVI NG S
09/01/22 Page 12 / 20 Products and Installation Transferable Limited Warranty Units Installed After January 1, 2022
Renewal by Andersen® Limited Warranty and Dispute Resolution Process IMPORTANT: Please carefully read the Dispute Resolution Process that appears in this document after the Limited Warranty. The Dispute Resolution Process includes class-action and jury trial waivers that affect your legal rights. To opt out of these waivers, you must visit our website at www.renewalbyandersen.com/optout and complete the opt-out form within one year from the original installation date of your Renewal by Andersen® products. The opt-out only applies to the terms of the Dispute Resolution Process.
Transferable Limited Warranty on Glass Transferable Limited Warranty on Installation The glass in Renewal by Andersen® factory glazed windows including High-Performance Installation of your Renewal by Andersen® windows Low-E4® glass, High-Performance Low-E4® Sun glass, High-Performance Low-E4® SmartSun™ or other Andersen® window and/or door products by glass, High-Performance HeatLock® glass, High-Performance Low-E4 PassiveSun® glass Renewal by Andersen installed after January 1, 2022 patterned glass (including obscure, fern, reed, and cascade designs), Finelight™ grilles, is warranted for a period of two (2) years from the date divided light grilles, and tempered versions of these glass options, is warranted to be free from of original installation. During this period, should your defects in manufacturing, materials, and workmanship for a period of twenty (20) years from Renewal by Andersen window or door fail to perform the original installation date. It is also warranted not to develop, under normal conditions, any according to our specifications due to improper material obstruction of vision or broken glass resulting from manufacturing defects or as a original installation, we will bring the workmanship result of premature failure of the glass or organic seal for a period of twenty (20) years from up to our professional standards, at no cost to you. the original installation date. This limited warranty on glass does not apply to special order See the Andersen product warranties for additional glazings, discontinued glass, art glass, insulated art glass, impact-resistant glass, or glass warranty details. that is not factory installed by Renewal by Andersen. This limited warranty on installation does not extend to labor/services performed by anyone In the event a glass failure occurs as a result of a defect in manufacturing, materials, or other than the original Renewal by Andersen installer or other contractor authorized by workmanship within the limited warranty period, Renewal by Andersen, at its option, will: Renewal by Andersen nor to the installation or repair of any finishing or other materials (1) provide and install the appropriate replacement glass product or (2) provide a factory- that have been applied to or adjacent to the product after the initial installation. authorized repair to the existing glass. Such replacement or repair is warranted for the remainder of the original limited warranty period. Non Renewal by Andersen Products For products that are not specifically branded Renewal by Andersen, see the specific product Transferable Limited Warranty on Fibrex® Material Components warranties for those Andersen products available at andersenwindows.com. The Fibrex® material components of your Renewal by Andersen windows (including frame, sash, and exterior grilles) are warranted not to flake, rust, blister, peel, crack, pit, or corrode and to be free from defects in manufacturing, materials, and workmanship for a period of No Other Warranties or Representations twenty (20) years from the original installation date. THIS LIMITED WARRANTY IS IN LIEU OF ALL OTHER WARRANTIES, EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, ANY IMPLIED WARRANTIES OF MERCHANTABILITY OR In the event a Fibrex material component fails as a result of a defect in manufacturing, FITNESS FOR A PARTICULAR PURPOSE. ALL WARRANTIES ARE LIMITED TO THE APPLICABLE materials or workmanship within the limited warranty period, Renewal by Andersen, at its STATUTE OF LIMITATIONS, BUT IN NO CASE WILL EXTEND BEYOND THE LIMITED WARRANTY option, will: (1) provide and install the appropriate replacement components or (2) provide a PERIODS SPECIFIED ABOVE. RENEWAL BY ANDERSEN EXCLUDES AND WILL NOT BE factory-authorized repair to the existing product. Such replacement or repair is warranted for LIABLE FOR ANY INCIDENTAL OR CONSEQUENTIAL DAMAGES, WHETHER ARISING OUT the remainder of the original limited warranty period. OF CONTRACT, TORT, OR OTHERWISE. THE REMEDY OF REPAIR OR REPLACEMENT OF THE PRODUCT PROVIDED BY THIS LIMITED WARRANTY IS THE EXCLUSIVE REMEDY WITH RESPECT Transferable Limited Warranty on Components TO ANY AND ALL LOSS OR DAMAGE. Other Than Glass and Fibrex® Material The non-glass components of your Renewal by Andersen windows, including non-electric Applicable Law operators, locks, lifts, balance systems, hinges, handles, insect screens, weatherstripping, This Limited Warranty is only applicable in the U.S.A. (i.e., the fifty states and the District of sash, and frame members, are warranted to be free from defects in manufacturing, materials, Columbia) and Canada. This Limited Warranty gives you specific legal rights, and you may and workmanship for a period of ten (10) years from the original installation date. have other rights which vary from state to state or province. Some states do not allow the In the event a component other than glass or Fibrex material fails as a result of a defect in exclusion or limitation of incidental or consequential damages or limitation of the duration manufacturing, materials, or workmanship within the limited warranty period, Renewal by of an implied warranty, so the above limitations or exclusions may not apply to you. If any Andersen, at its option, will: (1) provide and install the appropriate replacement parts or (2) specific term of this Limited Warranty is prohibited by any applicable law, it shall be null provide a factory-authorized repair to the existing product. Such replacement or repair is and void, but the remainder of this Limited Warranty shall remain in full force and effect. warranted for the remainder of the original limited warranty period.
Non-Warranty Repair or Replacement Transferable Limited Warranty on Exterior Color Finish You will be responsible for all costs related to any repair or replacement that is not covered The color finish on Fibrex® material exterior components (frame, sash, window sills, and by this Limited Warranty or which is outside of the limited warranty period. When warranty grilles) on Renewal by Andersen windows is warranted to be free from manufacturing defects coverage is unclear, Renewal by Andersen may charge an inspection fee for any on-site resulting in color fade greater than 5 delta-E^ (Hunter) when measured in accordance with product inspection. If the service provider determines the Renewal by Andersen product has ASTM D2244-16el, for a period of ten (10) years from the original installation date. a defect covered by this Limited Warranty, the inspection fee will be waived. Weatherstripping, accessories, and hardware, including insect screen frames, handles, trim sets, and lock components, exterior trim profiles, and exterior aluminum coil stock are not covered by this exterior color finish warranty. In the event there is a defect covered by this limited warranty for exterior color finish within the limited warranty period, Renewal by Andersen, at its option, will: (1) refinish the product – labor is included (the finish will be applied with standard commercial refinishing techniques and may not be the same finish as originally applied to the product) or (2) repair or replace the affected product or component. Such replacement parts, refinishing, or repairs are warranted for the remainder of the original limited warranty period.
^Technical measurement of color fade What Is Not Covered by This Limited Warranty Dispute Resolution Process Specific Additional Exclusions In addition to any other limitations or exclusions in this Limited Warranty, Renewal by Andersen General shall have no obligation for product failure, damage, or costs due to or related If you are dissatisfied with the remedy provided to you under the Limited Warranty set forth to the following: above or have any other claim against Renewal by Andersen related to your Renewal by • Product modifications or glass shading devices (e.g., glass tinting, security systems, Andersen® products, you and Renewal by Andersen agree to resolve the claim using the painting or staining, insulated coverings, etc.) following process (“Dispute Resolution Process”). This Dispute Resolution Process will apply • Failure due to the application of non Renewal by Andersen hardware (e.g., locksets, to claims of any nature relating to your Renewal by Andersen product (“Dispute(s)”). Disputes trim sets, hinges, panic hardware, closers, etc.) include, but are not limited to: claims for breach of contract or breach of warranty; claims for violation of state or federal laws or regulations; claims based in tort, negligence, or product • Water infiltration other than as a result of a defect in manufacturing, materials, or liability; claims based in fraud or fraud in the inducement, marketing, or advertising claims; workmanship and claims related to the enforceability or effect of any term of the Limited Warranty or the • Failure as a result of settling or structural failure of the structure in which the products Dispute Resolution Process, including, but not limited to, the waivers of class action and jury are installed trials. • Condensation • Improper maintenance, such as use of brick wash, razor blades, sealants, sanding, or improper washing Notice Required • Failure to properly seal and maintain the exposed wood portions and veneer of a product in To assert a Dispute, you must first provide Renewal by Andersen with written notice. accordance with Renewal by Andersen painting or staining guidelines A Notice of Dispute form is available for your use on Renewal by Andersen’s website at www.renewalbyandersen.com/noticeofdispute. • Obtaining safe and reasonable access to the product for service • Fading of furniture, flooring, window coverings, or other surrounding materials • Chemicals or airborne pollutants, such as salt or acid rain Renewal by Andersen Response Renewal by Andersen will have 60 days from receipt of your Notice of Dispute to respond to • Accidents you in writing. In that response or at any later time, Andersen may make one or more written • Acts of God offers to you to resolve your Dispute. • Normal wear and tear No Class-Action or Jury Trials Additional Items Excluded from This Limited Warranty: YOU AGREE THAT YOU MAY ASSERT DISPUTES AGAINST RENEWAL BY ANDERSEN • Products not manufactured by Renewal by Andersen ONLY ON AN INDIVIDUAL BASIS AND NOT AS A PLAINTIFF OR CLASS MEMBER IN • Products not purchased through Renewal by Andersen and installed by an authorized ANY CLASS OR REPRESENTATIVE ACTION OR PROCEEDING. AS PART OF THIS DISPUTE Renewal by Andersen installer RESOLUTION PROCESS, YOU AND ANDERSEN ALSO AGREE TO WAIVE ANY RIGHT • Installation services other than by authorized Renewal by Andersen installers TO A JURY AND AGREE TO HAVE ALL DISPUTES HEARD AND DECIDED SOLELY BY THE FEDERAL OR STATE COURT JUDGE. • Removal of Renewal by Andersen windows from the structure in which it was originally installed by anyone other than an authorized Renewal by Andersen installer • Labor, service, and materials to paint or stain any repaired or replaced product, component, Opt-Out Procedure trim, finish, or other materials applied to or adjacent to products or other carpentry work You may opt out of this Dispute Resolution Process by completing and submitting that may be required a written Opt-Out Notice. The Opt-Out Notice is located on Renewal by Andersen’s website • The performance of the low-maintenance exterior glass coating on products with High- at www.renewalbyandersen.com/optout. Whether or not you opt out of the Dispute Resolution Performance Low-E4® glass (performance will vary depending on environmental conditions) Process, all terms of the Limited Warranty set forth above remain in force and effect. • Slight glass curvature, minor scratches, or other imperfections in the glass that do not impair structural integrity or significantly obscure normal vision Applicable Law and Severability • Rattling of grille bars within an air space This Dispute Resolution Process, including, but not limited to, issues related to its • Insects passing through or around the insect screen enforceability and effect, will be governed by the laws of the State of Minnesota without • Tarnish or corrosion to hardware finishes regard to conflict of law principles. If any term of this Dispute Resolution Process is found to be invalid or unenforceable in any particular jurisdiction, that term will not apply to • Special glazings – contact us concerning the limited warranty on special glazings that issue in that jurisdiction. Instead, that term will be severed with the remaining terms • Broken glass continuing in full force and effect. • Art glass and decorative insulated art glass, impact-resistant glass • Fading of furniture, flooring, window coverings, or other surrounding materials Questions • Other product series: Some products, product options, and accessories have their own If you have questions about the Dispute Resolution Process or Opt-Out Procedure, limited warranties and are not covered by this Limited Warranty. For information on contact us at 1-800-441-1109. warranty coverage, please refer to the specific limited warranties for these products available at andersenwindows.com
Warranty Claim Procedure To make a claim under this Limited Warranty, contact the nearest Renewal by Andersen location, our Warranty Service Line at 800-441-1109, or visit our website at renewalbyandersen.com. We will contact you to investigate your claim within approximately two weeks after notification and arrange for appropriate action. Warranty services may be provided by Renewal by Andersen and/or an authorized Renewal by Andersen service provider. You can help us serve you faster by providing the following important information: • The serial number of the affected product (located on a label affixed to the top or side of the window frame) • Description of the product concerns • Documentation of the purchase date, if available • Your name, address (with zip code) where product is installed, and telephone numbers
“Renewal by Andersen” and other marks where denoted are marks of Andersen Corporation. © 2021 Andersen Corporation. All rights reserved. Revised August 12, 2021. RBA12755 RENEWALBYANDERSEN.COM EXTENDED LIMITED LIFETIME LABOR WARRANTY
In addition to your Renewal by Andersen® (“RBA”) products and installation being warranted under a fully transferable limited warranty provided by RBA covering parts and labor services (a copy of such warranty having been provided to you separately), 4PVUIXFTU8JOEPXTBOE%PPST--$. doing business as RBA of Arizona hereby provides you, the original owner, with this Extended Limited Lifetime Labor Warranty that will become effective if and when the RBA Limited Warranty expires – AND WILLCONTINUE FOR AS LONG AS YOU OWN AND RESIDE IN YOUR HOME.
5his Extended Limited Lifetime Labor Warranty is available for inspection prior to the signing of your purchase order. 5his document is two (2) pages and the terms and conditions are on both the front and the reverse. Please read both sides carefully. ~ LIMITED LIFETIME LABOR WARRANTY ON INSTALLATION ~
Upon your RBA Limited Warranty expiring, installation of your RBA window or door products by RBA of Arizona is warranted by RBA of Arizona for as long as you own and reside in thehouse in which your RBA window or door products were installed. After your RBA Limited Warranty has expired,should your Renewal by Andersen products fail to perform according to specifications due to improper originalinstallation, RBA of Arizona will bring the workmanship up to professional standards, at nocost to you.
5IF following sections provide an explanation of how to obtain help under this Extended Limited Lifetime Labor Warranty (this “Warranty”) and an itemization of conditions not covered by this Warranty.
How to Obtain Warranty Service To submit a claim following the expiration of the RBA Limited Warranty, a copy of this Warranty and a copy of the original owner’s purchase order must be submitted in writing by registered mail to RBA of Arizona with a brief explanation of the claim. You may also contact RBA of Arizona at to request warranty servicing. Claims must be submitted to RBA of Arizona promptly after discovery of the claimed defect and within the applicable warranty period. Claims that are determined by RBA of Arizona to have been present during and subject to the RBA Limited Warranty may be refused. Upon receipt of a claim, RBA of Arizona will schedule an appointment to inspect the premises and the claim within a reasonable period of time after having received the claim. If after inspection, RBA of Arizona determines that a valid claim exists under this Warranty, RBA of Arizona will, at RBA of Arizona option, repair, re-install, replace, or refund the purchase price of the failing product. If RBA of Arizona determines to replace any or all product(s), and if such product(s) as originally installed is no longer available, RBA of Arizona shall have the right to substitute product(s) designated by RBA of Arizona to be of equal quality. Replacement of a product or component does not renew the warranty period. Minor color variations may exist between replacement product and the originally installed product and are not indicative of a defective product. If, at RBA of Arizona option, a purchase price refund is conveyed to you, then this Warranty is terminated, and repair, replacement, or removal of the RBA products shall become your sole responsibility. 5IJT Warranty is not valid unless and until the original owner has made full payment under the original RBA of 1IPFOJY purchase order and all addenda thereto. Non-warranty calls for repair or adjustment may result in a service charge.
What Is Not Covered 5IJT Warranty is granted by RBA of Arizona to the original owner only and only materials purchased from and installed by RBA of Arizona are covered by this Warranty. 5IJT Warranty on installation does not extend to labor/services performed by anyone other than RBA of Arizona nor to the installation or repair of any finishing or other materials that have been applied to or adjacent to the product after the initial installation by RBA of Arizona Uorn or ripped screens are not considered to be labor issues, and will not be repaired under this warranty, but may be addressed by RBA of Arizona upon agreement with you, for a nominal charge.
PLEASE READ ADDITIONAL TERMS AND CONDITIONS ON REVERSE PAGE EXTENDED LIMITED LIFETIME LABOR WARRANTY
What Is Not Covered, continued This Warranty terminates immediately upon the transfer of home ownership, unless the terms of transfer are met (see “How to Transfer This Warranty” below). This Warranty assumes normal and reasonable use of RBA products or components. Minor color or textural variations from lot to lot of product are not product or installation defects. This Warranty does not cover any other damage, workmanship, or material failure including, but not limited to, damage caused by occurrences beyond the control of RBA of Arizona such as settlement of the building, failure of the structure (including foundations and walls), use of incompatible accessories, removal, repair, or re-installation of any of RBA of Arizona-installed RBA products or components by other than RBA of Arizona normal weathering, corrosive effects of salt air and chemical pollutants, normal fading, deterioration of caulking compounds, fire, flood, lightning, high winds, windblown objects, earthquake, hurricanes, ice dams, icicles and/or ice storms, atmospheric conditions or weather of catastrophic nature as defined by the U.S. National Weather Service, other acts of God, intentional acts, unreasonable use, vandalism, or pollution. This Warranty also will not apply to damages resulting from the failure to provide reasonable maintenance, including failure to clean the product, maintain sealing, painting, and/or caulking as reasonably necessary. RBA of Arizona is not responsible for condensation that may form on or within a window or between windows or glass surfaces resulting from pre-existing conditions in your home and external temperatures. Some condensation may also form on the frame or portions of the roof and walls. RBA of Arizona is not responsible for existing or developing spore or mold growth. There is conflicting evidence as to whether or not the existence or accumulation of molds (of which there are many different types and varieties) can be harmful to humans. Mold and mildew may be due to condensation that may form on or within walls or other surfaces resulting from pre-existing conditions in your home and internal or external temperatures. Reducing the humidity in your home will often remedy any condensation or mold problems. This Warranty does not apply to damages due to or arising from the identification, detection, abatement, encapsulation, or removal of mold, asbestos, lead-based products, or other hazardous substances inside or outside of the structure being improved.
What Voids This Warranty Installation, removal, repair, adjustment, tampering, or re-installation of any of the RBA products or components by other than RBA of Arizona voids this Warranty, and RBA of Arizona expressly disclaims any liability for any costs, defects, or damages with respect to such actions.
Remedies and Rights This Warranty is the only express warranty provided by RBA of Arizona No employee, representative, agent, nor any other person, has authority to assume or incur on behalf of RBA of Arizona any obligation, liability, or responsibility in place of or in addition to this Warranty. IN NO EVENT SHALL THE DURATION OF ANY IMPLIED WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE BE LONGER THAN THE DURATION OF OWNERSHIP AND OCCUPATION BY THE ORIGINAL OWNER (OR SECONDARY HOMEOWNER AS PER THE BELOW- STATED CONDITIONS FOR TRANSFER) OF THE HOME ON WHICH THE RBA PRODUCT IS INSTALLED. SOME STATES DO NOT PERMIT ANY LIMITATION ON THE LENGTH OF AN IMPLIED WARRANTY, AND THEREFORE THE IMMEDIATELY PRECEDING SENTENCE MAY NOT APPLY. EXCEPT FOR THIS WARRANTY PROVIDED HEREIN, RBA OF A A MAKES NO WARRANTY OF ANY KIND, EXPRESS, IMPLIED, OR STATUTORY, INCLUDING, WITHOUT LIMITATION, ANY WARRANTY OF NON-INFRINGEMENT, MERCHANTABILITY, OR FITNESS FOR A PARTICULAR PURPOSE. RBA OF A A LIABILITY TO OWNER (OR ANY SECONDARY HOMEOWNER) UNDER THIS DOCUMENT IS LIMITED TO THE AMOUNTS RECEIVED BY RBA OF A A FOR SERVICES RENDERED UNDER THE PURCHASE ORDER WITH THE ORIGINAL OWNER. IN NO EVENT SHALL RBA OF A A BE OBLIGATED OR LIABLE FOR INCIDENTAL, SPECIAL, INDIRECT, OR CONSEQUENTIAL DAMAGES OF ANY KIND FOR THE BREACH OF ANY EXPRESS OR IMPLIED WARRANTY OF RBA OF A A INSTALLED RBA PRODUCTS OR SERVICES. SOME STATES DO NOT ALLOW EXCLUSION OR LIMITATION OF INCIDENTAL OR CONSEQUENTIAL DAMAGES, AND THEREFORE SOME OR ALL OF THE IMMEDIATELY PRECEDING SENTENCE MAY NOT APPLY. THIS WARRANTY PROVIDE SPECIFIC LEGAL RIGHTS, AND YOU MAY HAVE OTHER RIGHTS THAT VARY FROM STATE TO STATE.
How to Transfer This Warranty Subject to the other terms and conditions contained in this Warranty, this Warranty is transferable by the original owner if such transfer is done prior to the expiration of the RBA Limited Warranty. Any attempted transfer after expiration of the RBA Limited Warranty will be void. Any transfer by the original owner can only be done once, and the transferee will then step into the shoes of the original owner for purposes of this Warranty. To transfer this Warranty, the original owner must request, by registered mail, an inspection and re-certification of RBA of Arizona installed RBA products by RBA of Arizona and upon inspection and re- certification to the satisfaction of RBA of Arizona this Warranty shall transfer to the subsequent home owner. No other or further transfers of this Warranty are permitted. Steven Pluska r t r ss 5030 W Pheasant St. 2401 W. First St. 2 1 it St t i Tucson, Az 85742 Office: 4 0 2 F 480-383-6902
HOA AUTHORIZATION FORM HOA APPROVAL IS NOT NECESSARY FOR MY REPLACEMENT PROJECT I acknowledge and accept all responsibility for the progression and processing of my window/ door project without Home Owners Association approval. By waiving the right of approval through my HOA, I take full responsibility and release liability of Renewal by Andersen for the product that is ordered and installed in my home. If the Association/Management Group should deny approval of product sold and/or installed and the contract should need to be or amended to fall within HOA guidelines, fees including, but not limited to, a 25% ti fee may apply.
09/01/2022 Si t r t
Steven Pluska ri t
rs r s t ti Si t r
______________________________________________________________________________________________________________________
I WILL OBTAIN APPROVAL FROM MY HOA ARCHITECTURAL COMMITTEE
I will communicate with my Home Owners Association and notify Renewal by Andersen of Arizona once approval of my replacement project has been granted. I understand that delays caused by the HOA approval process will delay the delivery of my project and the quoted time for installation. In addition, I understand that it is my sole responsibility to inform Renewal by Andersen of Arizona in writing of any stipulations required by my Home Owners Association for my window / door replacement.
Si t r t
ri t
rs r s t ti Si t r June 10, 2021
Hello,
First, thank you for choosing Renewal by Andersen. It is both an honor and a privilege to be trusted with something as meaningful as providing products and services for your home. As many of us have seen our homes transformed into places of work and school over the last year and a half, “home” has never been more important.
While these times are an unprecedented on many fronts, we are thankful for our retailers continued hard work and grateful for homeowners like you, who are choosing Renewal by Andersen in record numbers.
Unfortunately, as you may be aware, the pandemic has stressed labor markets and created tremendous challenges for materials suppliers who are struggling to keep up with demand from companies and manufacturers. We are not alone in facing this difficulty, but it does not make it any less of an inconvenience. Ultimately, these challenges have resulted in extended lead times in our manufacturing process and in our shipping product to you. We apologize for these delays and want you to rest assured we are doing everything possible to reduce lead times to normal levels.
Your satisfaction—your delight—with your Renewal by Andersen experience is paramount to all of us. I assure you that we are working diligently with our suppliers to resolve these issues as quickly as possible, and I thank you for your business and for your patience as we continue to work through these challenges.
Sincerely,
Troy Barrow President Renewal by Andersen [number redacted]ÿ1718ÿ9 ÿÿ ÿ ÿÿÿÿÿ ÿ ÿ1 14 !"Received 0ÿ# $ÿ9%&'Legal 12/27/2023 ?@ABCDAÿFÿ?GHIJÿKL@ABCDAMDNOPLQPRNST
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( 722) ** +)2) 2,2-./%01 +2)*(30% )$4956 3 0*7 8 196+0 :,2%2 2;&<8 0+84+8+=$5<= +(< =) > 020 Received Legal 12/27/2023
Writen Answer to Cita�on and Complaint Re: Case No. 2023-08961
12/27/2023
Southwest Windows and Doors LLC
DBA Renewal by Andersen of Arizona
2401 W. 1st St.
Tempe, AZ, 85281
To Whom it may concern,
This leter is the Writen Answer to Cita�on and Complaint for Case No. 2023-08961 for customer Steven Pluska. Mr. Pluska filed a writen complaint to the Registrar on 8/18/2023. Mr. John Smith was the inves�gator assigned to the case, and Mr. Smith conducted an ini�al jobsite inspec�on on 9/14/2023.
Mr. Smith issued a direc�ve to correct concerns raised by the customer that Mr. Smith substan�ated during his jobsite inspec�on. Our team returned to complete the aforemen�oned work on 9/20/2023. Mr. Pluska allowed our team to correct some of the work while also preven�ng us from con�nuing work on the back door that Mr. Puska deemed was improperly manufactured. Mr. Pluska believed we needed to reorder the en�re door to obtain the proper handing which was not correct – the door was manufactured in the proper handing as confirmed by 2 members of our installa�on leadership team who met Mr. Pluska on site on mul�ple occasions. As part of our commitment to correc�ng any outstanding work we also engaged a 3rd party to correct stucco and drywall challenges that were pre-exis�ng to the home to ensure that our products could be installed to manufacturer standards.
Mr. Jeremy Campas, Produc�on Manager, made contact with Mr. Smith via email on 9/20/23 to discuss the challenges Mr. Pluska presented by preven�ng us from comple�ng all work outlined in the direc�ve. An email correspondence between Mr. Smith, Mr. Pluska, Mr. Campas and Mr. Robert Tillman was exchanged between 9/20/2023 and 9/25/2023 where Mr. Smith directed Mr. Pluska to allow us to complete the work men�oned in the direc�ve. On 10/10/2023, Mr. Tillman emailed Mr. Smith to no�fy him that our team had been in contact with Mr. Pluska and that he was allowing our team to return on 10/17/2023. During the installa�on visit on 10/17/2023 the back door in ques�on was reinstalled per the direc�ve and was awai�ng final stucco/drywall work prior to interior and exterior trim being installed. The interior and exterior trim work was completed on 11/30/2023.
A site visit was set for 12/7/2023 where Mr. Smith, Mr. Pluska and Produc�on Manager Mat Kyte met. Mr. Smith then provided a report that indicated some addi�onal work was necessary. From this report,
Received Legal 12/27/2023
our team will be scheduling the final outstanding work to be completed. While there is s�ll outstanding work, we believe we have con�nued to make good-faith efforts to complete the direc�ve and to bring Mr. Pluska’s concerns to a close. We ask for considera�on for our license to not receive suspension or revoca�on as we have every inten�on of comple�ng this mater.
Southwest Windows and Doors LLC 2401 W 1st St. Tempe, AZ 85281 ROC 311233
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