2023A-09182-CHC-ROC Notice of Hearing & Packet MAILED 2023-09182.pdf

2023A-09182-CHC-ROC · Registrar of Contractors · 2024-11-01

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Nichole Lundberg , Case No. 2023-09182

COMPLAINANT, Docket No. 2023A-09182-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE TLC Contractors LLC License No. ROC 326693,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

December 10, 2024 9:00 AM Velva Moses-Thompson Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

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

You must attend this hearing. This is an adversarial hearing before an administrative law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be

prepared to present evidence, including witness testimony and documents, in support of your case.

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION

The State of Arizona has determined that the licensing and regulation of construction contractors is a proper state function, and has vested authority in the Registrar of Contractors to administer Title 32, Chapter 10 of the Arizona Revised Statutes. A.R.S. §§ 32-1101 et seq. All hearings for alleged violations of Title 32, Chapter 10 are conducted under Title 41,

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

The statutes and rules governing the hearing can be found at: Arizona Revised

Statutes §§ 41-1092 to -1092.12, and Arizona Administrative Code R2-19-101 to -122.

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED

The statutes and rules the Respondent is alleged to have violated are cited in the

complaint and citation, which were served on the Respondent on October 8, 2024. SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED

The complaint and citation allege that the Respondent committed the following act(s): Charge: 1 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Charge: 2 A.R.S. § 32-1154(A)(22)

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

be a party to the hearing.

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

argument to the administrative law judge.

The Registrar’s assigned investigator will appear as a witness at the hearing. RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney.

A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented

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

1156(B).

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

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

to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE

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

HEARING PACKET

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

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

SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS

The parties to the hearing must be prepared to present evidence in support of their

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

possession, the party must prepare and file a written subpoena for the Administrative Law Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a

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

DISCLOSURE STATEMENT

At least seven calendar days before the hearing, each party must prepare and serve a disclosure statement on all other parties, and file it with the Office of Administrative Hearings. A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is available on the Registrar’s website at https://roc.az.gov/forms/RC-L-800A%20- %20Prehearing%20Disclosure%20Statement%2020191007v4.pdf

CHANGING THE HEARING DATE

The date of the hearing may only be advanced or delayed on the agreement of the

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

be changed by filing a written agreement of the parties to change the date of the hearing. The written agreement must be filed with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com

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

extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).

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

Complaints – Resolved/Settled/Withdrawn.”

Dated November 1, 2024.

By: /s/ Erika Hoskin Erika Hoskin Legal Assistant II Legal Department Arizona Registrar of Contractors

Copy mailed via USPS First Class mail November 1, 2024 to:

Respondent(s) TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

Complainant(s) Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

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. 2023-09182 /

Hearing Packet FAQ What is the The Hearing Packet is a packet of certain documents collected or Hearing Packet? issued by the Registrar over the course of its investigation. Who gets the The Hearing Packet is assembled and distributed to all parties and Hearing Packet? to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing. What types of The Registrar prepares a Hearing Packet for Complainant-Handled cases does the Cases and No-Pay Cases. Note: If the Docket Number on the Registrar prepare a Notice of Hearing contains a “CHC” or “NPC”, your case is a Hearing Packet for? Complainant-Handled Case or a No-Pay Case. What is in the The Hearing Packet contains essential case-specific documents and Hearing Packet? at a minimum will include the following documents: ● Original complaint; ● 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 If there is any evidence you submitted to the Registrar that are not documents missing included in the Hearing Packet it is your responsibility to introduce from the Hearing that evidence at the administrative hearing. Note: The Packet? 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

How do I disclose You must properly disclose any and all documents and witnesses evidence I intend to you intend to use at your hearing according to the Registrar’s use at a Hearing? 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 If you previously submitted documents to the Registrar and need a documents I copy of these documents, please contact the Registrar’s Legal previously submitted Department or submit a public records request at to the Registrar? 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: Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

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: TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 October 23, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-09182

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for November 14, 2023 at 10:00 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

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

RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 If either party needs to reschedule the jobsite inspection, please notify the assigned investigator at least three business days prior to the inspection date to schedule a new date and time.

If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.

Sincerely, Steven Avila Steven Avila, Investigator 602 7716772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Jobsite Inspections

Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license alleging poor workmanship, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

Jobsite Inspection Rights and Responsibilities Access to inspect: The property owner has complete control over who they allow on the property. However, if the Registrar’s investigator or the contractor cannot inspect the work, the Registrar will not move forward with a citation.

Cooperation: Arizona law enables injured parties to seek relief for damages through several paths. When dealing with a licensed contractor, the Registrar of Contractors’ administrative complaint process may serve as one of those possible paths. However, in order to use that path, the Registrar relies on the cooperation of all parties to a complaint.

Minimum workmanship: The Registrar investigates workmanship complaints for compliance with minimum workmanship and professional industry standards. The Registrar does not issue citations for work that meets these standards.

Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.

The Role of the Investigator At the Jobsite Inspection, the Registrar’s investigator will: ● Only investigate the items listed on the complaint form filed with the Registrar. ● Will gather evidence to make an informed decision about the complaint items.

What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will determine whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

Written Directives Access: In order to use the administrative process offered by the Registrar, a property owner must provide reasonable access to allow the contractor to fix their work as directed by the Registrar in a Written Directive. Complainants may not put any additional, unnecessary restrictions on the Respondent above and beyond the initial contract requirements agreed upon at the beginning of the project. Respondents are required to make repairs on items identified on any Written Directive, not otherwise restricted by local code or HOA limitations. Complainants must make access available to the Respondent to make the required repairs and failure to provide reasonable access may result in the Registrar dismissing the complaint.

Contractor obligations: The Written Directive will set a deadline for compliance. This is the period of time determined by the Investigator as necessary to complete the items listed in the Directive. ● The deadline for compliance assumes the contractor will promptly begin working on the items listed in the Directive. ● Do not wait. Both parties should communicate quickly to schedule the work.

Extensions: If good cause exists to extend this deadline, either party may submit a written request to the Investigator. The Registrar will review requests for extension and determine if the Directive should be extended.

Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.

Compliance Inspection: After the Written Directive expires, the Registrar’s Investigator will contact the complainant to determine if the contractor performed any corrective work. ● If the contractor did corrective work, the Investigator may schedule a Compliance Inspection to determine if the poor work is corrected. ● If the contractor did not perform any corrective work, the Registrar’s Investigator will not do a Compliance Inspection and will determine whether to issue a citation based on the administrative record.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.

Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Complainant: Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 Respondent: TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 February 16, 2024

Re: Complaint No. 2023-09182

Dear Complainant and Respondent:

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

A follow up jobsite inspection is scheduled for Friday, March 15, 2024 at 09:00 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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 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,

Steven Avila Steven Avila, Investigator 602 7716772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 A Guide to Jobsite Inspections

What to expect after a Jobsite Inspection 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 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.

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 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 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.

Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 Complainant: Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Respondent: TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 March 12, 2024

JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2023-09182

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for March 15, 2024 at 9:00 AM has been rescheduled for Friday, March 29, 2024 at 09:00 AM.

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

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

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

Sincerely,

Steven Avila Steven Avila, Investigator 602 7716772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Jobsite Inspection Notes

Case No.: 2023-09182 Investigator: Steven Avila Inspection Date: Friday, March 29, 2024 Inspection Time: 09:00 AM

Complainant: Nichole Lundberg Respondent: TLC Contractors LLC Not Present: Not Present:

Jobsite General Notes: Present at the inspection: Nichole Lundberg – Homeowner Mary Beth Bannon – TLC Contractors LLC Mark Hittner – TLC Contractors LLC Investigator Avila – Registrar of Contractors

Prior to this jobsite inspection an previous jobsite inspeciton was held. No determinations were made per the prior inspection and this jobsite inspeciton held with the homeowner still stand as the inspeciont.

Compliance Item: 4 - Wall behind guest bathroom toilet was not painted and possibly not textured. Doesn't match the other walls of the room. Investigator’s Observation: Wall behind this toile was missing paint coverage. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 7 - Kitchen track lighting patches on ceiling are visible. Investigator’s Observation: Repairs made during the replacement of the kitchen lighting are visible and the textures do not match surrounding areas. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards.

Compliance Item: 16 - Guest bathroom shower tile is uneven and jagged. Residue was left on the tile that we are unable to get off. Investigator’s Observation: At the time of the inspection there guest bathroom wall tile had multiple locations in which the lippage between adjacent tiles exceeded 1/32 of an inch. Workmanship standards state - Lippage of all manufactured Natural Stone Tiles are to be no greater than 1/32" between individual tiles. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 20 - Master bathroom requires new paint as the grout as continued work in the bathroom was done after the full house was painted. Investigator’s Observation: At the time of the inspection there were a couple locations in the master restroom in which there was inadequate paint coverage/finish. Allegation is verified. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 29 - Kitchen backsplash/tile is uneven throughout. Grout and layout in multiple areas are not aligned to the boarders, countertops, cupboards, and walls. Investigator’s Observation: The kitchen tile work contained irregular grout lines, unevenness and lippage in multiple locations. Workmanship standards state -Tile surface should be straight and reasonably flat, allowing for individual characteristics of the tile. Nominal centerline of all joints should be straight and even width, with due allowances for hand-molded or rustic tiles. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 30 - Boarder tiles show they were not finished or painted in guest bathroom and some areas of the kitchen. Investigator’s Observation: Border tile in bathroom was left without a bull nose edging. The trim pieces were used on the top edge of the backsplash but not visible side edges. These side edges appear unfinished and bare. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

ITEMS NOT REQUIRING CORRECTION:

Compliance Item: 1 - All 3 rooms with new floors are warped, dislodged, and creak. Investigator’s Observation: At the time of the inspection there was peaking and cupping in multiple locations of the LVP flooring. The materials per the agreement between the two parties was purchase by the homeowner. Although peaking and cupping is present there was no evidence brought forth

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

to substantiate that the issues are due to the installation workmanship of the respondent. Allegation is not verified. Governing Rule:

Compliance Item: 2 - Guest bathroom door on one side was not painted nor were the hinges Investigator’s Observation: Both parties agreed that the door was no painted at the homeowners request as the expectation was the doors were to be replaced at a late date. Allegation is not verified. Governing Rule:

Compliance Item: 3 - Spare room door and closest doors no longer close properly or latch. Easily pushed opened. Investigator’s Observation: Homeowner brought forth one door which was not latching. The hardware on this door was replaced by the homeowner after the respondent completed their scope of work. Therefore the investigator is unable to determine the issues to be due to the respondent's workmanship. Governing Rule:

Compliance Item: 5 - Paint quality of walls in many areas are spotty are chipping. Paint throughout the house cannot be cleaned without it coming off. Investigator’s Observation: Homeowner brought forth a hallway corner wall containing some damage. The allegation was that the wall began to peel and then her cats decided to scratch at the affected area. Because the wall contained the scratch marks the investigator was unable to determine if the paint in that area is peeling. Allegation is not verified. Governing Rule:

Compliance Item: 6 - Once paint and baseboards were done, floor protectors were not used consistently after the first few weeks of the project. Investigator’s Observation: Complainant brought forth one area of staining in the restroom. This area had a second contractor working after the 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

respondent's scope was completed. Therefore, the investigator is unable to determine the staining to be due to the respondent. Allegation is not verified. Governing Rule:

Compliance Item: 8 - Front door requires force to ensure it latches correctly. Investigator’s Observation: Front door appeared to function properly at the time of the inspection. Allegation is not verified. Governing Rule:

Compliance Item: 9 - Many blinds are missing the rods, or the rods no longer work that are needed to open and close the shades. They require manual adjustments to adjust the level of light. Investigator’s Observation: Respondent stated that they removed the blinds, however, there is no evidence to determine if the blinds had any issues prior to the inspections or if the issues were caused by the respondent. Governing Rule:

Compliance Item: 10 - Dryer was dented by an employee while stepping or kneeling on it. Actions were taken to rectify the dent but it is still visible. Investigator’s Observation: There was no evidence to determine the cause of the dents. Allegation is no verified. Governing Rule:

Compliance Item: 11 - New master bathroom countertop was stained and scratched through the renovation process. Investigator’s Observation: Front of master countertop contains scratches that are consistent with usage. Left side of counter near wall contained back marks. The investigator was unable to determine if the scratches were due to usage workmanship. Allegation is not verified. Governing Rule:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 12 - Water pressure in the kitchen and guest bathroom is lower and doesn't heat as it did prior to renovation. Investigator’s Observation: Scope of work does not reflect any changes that would adjust the water pressure in the residence. Allegation is not verified. Governing Rule:

Compliance Item: 13 - Water pressure in the master bathroom sinks are extremely high. Investigator’s Observation: Scope of work does not reflect any changes that would adjust the water pressure in the residence. Allegation is not verified. Governing Rule:

Compliance Item: 14 - Caulking was not done on many baseboards through the house. Investigator’s Observation: Caulking does not appear on the contract as part of the respondent’s scope of work. Allegation is not verified. Governing Rule:

Compliance Item: 15 - When doors were reinstalled and when opening the doors the handles made new holes in the walls. No fix was done, but sticky patches were placed over to prevent further holes. Investigator’s Observation: Damage cause by doors was due to usage and not the workmanship of the respondent. Allegation is not verified... Governing Rule:

Compliance Item: 17 - Caulking around the guest bathroom tub was not cleaned / treated and needed to do that myself. Investigator’s Observation: Corrected by others prior to the inspection. Governing Rule:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 18 - Install of the master bathroom shower tile were extremely thick, uneven and poorly installed. Investigator’s Observation: Corrected by others prior to the inspection. Governing Rule:

Compliance Item: 19 - The insert and such, I think it's called thinnest, in the shower was 3 inches thick, uneven, and made the space requested smaller than what is standard based on review from other Contractors. Investigator’s Observation: Corrected by others prior to the inspection. Governing Rule:

Compliance Item: 21 - No final invoice provided or completion of work. Investigator’s Observation: This is a statement and not a measurable workmanship item. Governing Rule:

Compliance Item: 22 - No official breakdown of new charges and changes of work being done or cost associated. Investigator’s Observation: This is a statement and not a measurable workmanship item. Governing Rule:

Compliance Item: 23 - My personal home depot and Floor and decor card were used to purchase supplies when the invoice stated what was required was part of the original estimate. I offered to use my card due to changes in the project. I was informed after from other contractors Investigator’s Observation: This was an agreed upon term. Governing Rule:

Compliance Item: 24 - Toilet paper fixture was not installed properly and when it was brought up the product I purchased was to be the problem.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Investigator’s Observation: At the time of the inspection the toilet paper holder was loose to the touch. Respondent stated that repairs were to be made by the homeowners spouse and was corrected by this person. Therefore, investigator is unable to determine if the remaining issues are due to the workmanship of the respondent or changes made post inspection. Governing Rule:

Compliance Item: 25 - Bush in front of the house was not protected and was stained with white paint from rinsing in the yard. The company cut out the branches that were stained causing large gap in the Bush. Investigator’s Observation: Corrected prior to the inspection. Governing Rule:

Compliance Item: 26 - Black grout tools were cleaned in the front yard and black grout water (from what I could tell) were discarded as well staining the rocks the front requiring many washes to get them back to HOA standards. Investigator’s Observation: Corrected prior to the inspection. Governing Rule:

Compliance Item: 27 - Garage was left with many items (paint, tins, small amount of garbage from team, misc. items related to the remodel) with no attempt to clean or remove items. Investigator’s Observation: Corrected prior to the inspection. Governing Rule:

Compliance Item: 28 - Some door hinges did not have the screws re- installed... Investigator’s Observation: At the time of the inspection there were some hinges that were missing screws. Investigator was unable to determine if the screws were present prior to the work performed by the respondent. Allegation is not verified. Governing Rule:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 31 - Boarder tile is unevenly spaced, protrudes out, and is not consistent under cabinets and counters. Investigator’s Observation: Grout lines were addressed in line item number 29. Homeowner stated that uneven top edge of tile is visible due to her removing trim. Governing Rule:

Steven Avila Steven Avila, Investigator 602 7716772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

P 1 JSI PHOTOS J

Room in which peaking and cupping was present. P 2 JSI PHOTOS J

Lippage shown next to metal lippage gauge P 3 JSI PHOTOS J

Visible peaking and cupping. P 4 JSI PHOTOS J

Extreme peaking and cupping. P 5 JSI PHOTOS J

Area behind toilet missing paint. P 6 JSI PHOTOS J

Area behind toilet missing paint. P 7 JSI PHOTOS J

Wall in which cat have begun to peel paint. P 8 JSI PHOTOS J

Staining on restroom floor. P 9 JSI PHOTOS J

Scratches on front of master bath counter P 10 JSI PHOTOS J

Additional scratches to back left of master bath counter. P 11 JSI PHOTOS J

Lippage on guest bath wall. P 12 JSI PHOTOS J

Lippage between adjacent tile. P 13 JSI PHOTOS J

Lippage in guest bath shower wall. P 14 JSI PHOTOS J

Lippage between guest bath wall tile. P 15 JSI PHOTOS J

Poor paint master bath P 16 JSI PHOTOS J

Kitchen tile with irregular grout lines and lippage. P 17 JSI PHOTOS J

Irregular grout lines and tile cuts in kitchen. P 18 JSI PHOTOS J

Lippage/ unevenness between adjacent tile. P 19 JSI PHOTOS J

Improper tile work around oulet. P 20 JSI PHOTOS J

Irregular grout lines in kitchen tile P 21 JSI PHOTOS J

Restroom tile edge with no trim. P 22 JSI PHOTOS J P 23 JSI PHOTOS J

Kitchen tile with irregular pattern at edges. Complainant: Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Respondent: TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 April 25, 2024

License No. ROC 326693

Re:Complaint No. 2023-09182

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 May 13, 2024.

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

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

This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F).

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 20 - Master bathroom requires new paint as the grout as continued work in the bathroom was done after the full house was painted. Investigator’s Observation: At the time of the inspection there were a couple locations in the master restroom in which there was inadequate paint coverage/finish. Allegation is verified. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 29 - Kitchen backsplash/tile is uneven throughout. Grout and layout in multiple areas are not aligned to the boarders, countertops, cupboards, and walls. Investigator’s Observation: The kitchen tile work contained irregular grout lines, unevenness and lippage in multiple locations. Workmanship standards state -Tile surface should be straight and reasonably flat, allowing for individual Characteristics of the tile. Nominal centerline of all joints should be straight and even width, with due allowances for hand-molded or rustic tiles. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

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

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 5 - Paint quality of walls in many areas are spotty are chipping. Paint throughout the house cannot be cleaned without it coming off. Investigator’s Observation: Homeowner brought forth a hallway corner wall containing some damage. The allegation was that the wall began to peel and then her cats decided to scratch at the affected area. Because the wall contained the scratch marks the investigator was unable to determine if the paint in that area is peeling. Allegation is not verified. Governing Rule:

Compliance Item: 6 - Once paint and baseboards were done, floor protectors were not used consistently after the first few weeks of the project. Investigator’s Observation: Complainant brought forth one area of staining in the restroom. This area had a second contractor working after the respondent's scope was completed. Therefore, the investigator is unable to determine the staining to be due to the respondent. Allegation is not verified. Governing Rule:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 prior to the inspections or if the issues were caused by the respondent. Governing Rule:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 14 - Caulking was not done on many baseboards through the house. Investigator’s Observation: Caulking does not appear on the contract as part of the respondent’s scope of work. Allegation is not verified. Governing Rule:

Compliance Item: 19 - The insert and such, I think it's called thinset, in the shower was 3 inches thick, uneven, and made the space requested smaller than what is standard based on review from other Contractors. Investigator’s Observation: Corrected by others prior to the inspection. Governing Rule:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 21 - No final invoice provided or completion of work. Investigator’s Observation: This is a statement and not a measurable workmanship item. Governing Rule:

Compliance Item: 24 - Toilet paper fixture was not installed properly and when it was brought up the product I purchased was to be the problem. Investigator’s Observation: At the time of the inspection the toilet paper holder was loose to the touch. Respondent stated that repairs were to be made by the homeowners spouse and was corrected by this person. Therefore, investigator is unable to determine if the remaining issues are due to the workmanship of the respondent or changes made post inspection. Governing Rule:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Investigator’s Observation: Corrected prior to the inspection. Governing Rule:

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

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Sincerely,

Steven Avila Steven Avila, Investigator 602 7716772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Addendum inspection items 2023-09182

Homeowner has submitted additional evidence in the form of a report from White Rhino Solutions.

The allegations to be inspected are:

1. Levelness of the flooring has a max deviation of 5/8” over ten feet 2. All rooms baseboards installed in direct contact with the flooring planks compressing the perimeter of the installation. Complainant: Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 12/23 Respondent: TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 12/23 July 15, 2024

Re: Complaint No. 2023-09182

Dear Complainant and Respondent:

After the initial filing of the complaint 2023-09182, the Complainant filed the attached amended complaint containing additional complaint items.

A jobsite inspection is scheduled Monday, July 29, 2024 at 11:00 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 amended complaint items 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 the amended complaint items. 2. The Registrar may also be precluded from taking further action on the amended complaint items, if the work that is the subject of the amended 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. Additionally, please secure any animals.

RESPONDENT: 1. Enclosed is a copy of the amended complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity 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 amended 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.

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. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 12/23 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,

Steven Avila, Investigator (602) 771-6772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C007 12/23 Complainant: Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Respondent: TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 July 30, 2024

ADDENDUM JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2023-09182

Dear Complainant and Respondent:

In an attempt to allow all parties to attend, the addendum jobsite inspection scheduled for July 29, 2024 at 11:00 AM has been rescheduled for Tuesday, August 6, 2024 at 11:00 AM.

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

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

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

Sincerely,

Steven Avila, Investigator (602) 771-6772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 P 1 AJSI PHOTOS J P 2 AJSI PHOTOS J P 3 AJSI PHOTOS J

Photo of investigators business card slid in partially and then stopped due to lack of space. P 4 AJSI PHOTOS J

Business card unable to slide between flooring and baseboards. P 5 AJSI PHOTOS J

Location from photo #2 P 6 AJSI PHOTOS J

Second location in which business card could not fit due to lack of proper space. P 7 AJSI PHOTOS J

Third location in which business card did not fit due to lack of space. P 8 AJSI PHOTOS J

Location of photo number 7 P 9 AJSI PHOTOS J

Peaking and cupping of flooring P 10 AJSI PHOTOS J

Peaking and cupping of flooring P 11 AJSI PHOTOS J

Measurement taken at inspection of floor levelness. Complainant: Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Respondent: TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 August 30, 2024

License No. ROC 326693

Re:Complaint No. 2023-09182

AMMENDED WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

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

Complaint Item: 1 - All 3 rooms with new floors are warped, dislodged, and creak. Investigator’s Observation: At the time of the inspection there was peaking and cupping in multiple locations of the LVP flooring. The materials per the agreement between the two parties was purchase by the homeowner. Although peaking and cupping is present there was no evidence brought forth to substantiate that the issues are due to the installation workmanship of the respondent.

Given the new evidence gathered on 8/6/2024 and address in line item 32 the allegation of warped flooring due to improper installation has been verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154(A)(3) - R4-9-108(a) Workmanship

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 12/23 Complaint Item: 4 - Wall behind guest bathroom toilet was not painted and possibly not textured. Doesn't match the other walls of the room. Investigator’s Observation: Wall behind this toile was missing paint coverage. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154(A)(3) - R4-9-108(a) Workmanship

Complaint Item: 7 - Kitchen track lighting patches on ceiling are visible. Investigator’s Observation: Repairs made during the replacement of the kitchen lighting are visible and the textures do not match surrounding areas. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154(A)(3) - R4-9-108(a) Workmanship

Complaint Item: 16 - Guest bathroom shower tile is uneven and jagged. Residue was left on the tile that we are unable to get off. Investigator’s Observation: At the time of the inspection there guest bathroom wall tile had multiple locations in which the lippage between adjacent tile exceeded 1/32 of an inch. Workmanship standards state - Lippage of all manufactured Natural Stone Tiles are to be no greater than 1/32" between individual tiles. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154(A)(3) - R4-9-108(a) Workmanship

Complaint Item: 20 - Master bathroom requires new paint as the grout as continued work in the bathroom was done after the full house was painted. Investigator’s Observation: At the time of the inspection there were a couple locations in the master restroom in which there was inadequate paint coverage/finish. Allegation is verified. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154(A)(3) - R4-9-108(a) Workmanship

Complaint Item: 29 - Kitchen backsplash/tile is uneven throughout. Grout and layout in multiple areas are not aligned to the boarders, countertops, cupboards, and walls. Investigator’s Observation: The kitchen tile work contained irregular grout lines, unevenness and lippage in multiple locations. Workmanship standards state -Tile surface should be straight and reasonably flat, allowing for individual characteristics of the tile. Nominal centerline of all joints should be straight and even width, with due allowances for hand-molded or rustic tiles. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154(A)(3) - R4-9-108(a) Workmanship

Complaint Item: 30 - Boarder tiles show they were not finished or painted in guest bathroom and some areas of the kitchen.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Investigator’s Observation: Border tile in bathroom was left without a bull nose edging. The trim pieces were used on the top edge of the backsplash but not visible side edges. These side edges appear unfinished and bare. Allegation is verified. Respondent shall correct by the appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154(A)(3) - R4-9-108(a) Workmanship

Complaint Item: 32 - All rooms baseboards installed in direct contact with the flooring planks compressing the perimeter of the installation. Investigator’s Observation: At the time of the inspection. Brian Coon, the flooring inspector was able to confirm the allegation that the baseboards installed above the laminate flooring have direct contact with the flooring, creating pinch points. Page 4 Section 11b of the installation instructions for the flooring states - When installing moldings, leave slight clearance between the molding and the planks. Nail the molding to the wall surface, not through the flooring. This installation item was not followed by the baseboard installation throughout the flooring installation. Allegation is verified. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards. A.R.S. § 32-1154(A)(3)

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

Complaint Item: 2 - Guest bathroom door on one side was not painted nor were the hinges Investigator’s Observation: Both parties agreed that the door was no painted at the homeowners request as the expectation was the doors were to be replaced at a late date. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 3 - Spare room door and closest doors no longer close properly or latch. Easily pushed opened. Investigator’s Observation: Homeowner brought forth one door which was not latching. The hardware on this door was replaced by the homeowner after the respondent completed their scope of work. Therefore the investigator is unable to determine the issues to be due to the respondent's workmanship. Governing Rule: Not Applicable

Complaint Item: 5 - Paint quality of walls in many areas are spotty are chipping. Paint throughout the house cannot be cleaned without it coming off. Investigator’s Observation: Homeowner brought forth a hallway corner wall containing some damage. The allegation was that the wall began to peel and then her cats decided to scratch at the affected area. Because the wall contained the scratch marks the investigator was unable to determine if the paint in that area is peeling. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 6 - Once paint and baseboards were done, floor protectors were not used consistently after the first few weeks of the project.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Investigator’s Observation: Complainant brought forth one area of staining in the restroom. This area had a second contractor working after the respondent's scope was completed. Therefore, the investigator is unable to determine the staining to be due to the respondent. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 8 - Front door requires force to ensure it latches correctly. Investigator’s Observation: Front door appeared to function properly at the time of the inspection. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 9 - Many blinds are missing the rods, or the rods no longer work that are needed to open and close the shades. They require manual adjustments to adjust the level of light. Investigator’s Observation: Respondent stated that they removed the blinds, however, there is no evidence to determine if the blinds had any issues prior to the inspections or if the issues were caused by the respondent. Governing Rule: Not Applicable

Complaint Item: 10 - Dryer was dented by an employee while stepping or kneeling on it. Actions were taken to rectify the dent but it is still visible. Investigator’s Observation: There was no evidence to determine the cause of the dents. Allegation is no verified. Governing Rule: Not Applicable

Complaint Item: 11 - New master bathroom countertop was stained and scratched through the renovation process. Investigator’s Observation: Front of master countertop contains scratches that are consistent with usage. Left side of counter near wall contained back marks. The investigator was unable to determine if the scratches were due to usage workmanship. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 12 - Water pressure in the kitchen and guest bathroom is lower and doesn't heat as it did prior to renovation. Investigator’s Observation: Scope of work does not reflect any changes that would adjust the water pressure in the residence. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 13 - Water pressure in the master bathroom sinks are extremely high. Investigator’s Observation: Scope of work does not reflect any changes that would adjust the water pressure in the residence. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 14 - Caulking was not done on many baseboards through the house. Investigator’s Observation: Caulking does not appear on the contract as part of the respondent’s scope of work. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 15 - When doors were reinstalled and when opening the doors the handles made new holes in the walls. No fix was done, but sticky patches were placed over to prevent

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 further holes. Investigator’s Observation: Damage cause by doors was due to usage and not the workmanship of the respondent. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 17 - Caulking around the guest bathroom tub was not cleaned / treated and needed to do that myself. Investigator’s Observation: Corrected by others prior to the inspection. Governing Rule: Not Applicable

Complaint Item: 18 - Install of the master bathroom shower tile were extremely thick, uneven and poorly installed. Investigator’s Observation: Corrected by others prior to the inspection. Governing Rule: Not Applicable

Complaint Item: 19 - The insert and such, I think it's called thinset, in the shower was 3 inches thick, uneven, and made the space requested smaller than what is standard based on review from other Contractors. Investigator’s Observation: Corrected by others prior to the inspection. Governing Rule: Not Applicable

Complaint Item: 21 - No final invoice provided or completion of work. Investigator’s Observation: This is a statement and not a measurable workmanship item. Governing Rule: Not Applicable

Complaint Item: 22 - No official breakdown of new charges and changes of work being done or cost associated. Investigator’s Observation: This is a statement and not a measurable workmanship item. Governing Rule: Not Applicable

Complaint Item: 23 - My personal home depot and Floor and decor card were used to purchase supplies when the invoice stated what was required was part of the original estimate. I offered to use my card due to changes in the project. I was informed after from other contractors Investigator’s Observation: This was an agreed upon term. Governing Rule: Not Applicable

Complaint Item: 24 - Toilet paper fixture was not installed properly and when it was brought up the product I purchased was to be the problem. Investigator’s Observation: At the time of the inspection the toilet paper holder was loose to the touch. Respondent stated that repairs were to be made by the homeowners spouse and was corrected by this person. Therefore, investigator is unable to determine if the remaining issues are due to the workmanship of the respondent or changes made post inspection. Governing Rule: Not Applicable

Complaint Item: 25 - Bush in front of the house was not protected and was stained with white paint from rinsing in the yard. The company cut out the branches that were stained causing large gap in the Bush. Investigator’s Observation: Corrected prior to the inspection. Governing Rule: Not Applicable

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Complaint Item: 26 - Black grout tools were cleaned in the front yard and black grout water (from what I could tell) were discarded as well staining the rocks the front requiring many washes to get them back to HOA standards. Investigator’s Observation: Corrected prior to the inspection. Governing Rule: Not Applicable

Complaint Item: 27 - Garage was left with many items (paint, tins, small amount of garbage from team, misc. items related to the remodel) with no attempt to clean or remove items. Investigator’s Observation: Corrected prior to the inspection. Governing Rule: Not Applicable

Complaint Item: 28 - Some door hinges did not have the screws re-installed. Investigator’s Observation: At the time of the inspection there were some hinges that were missing screws. Investigator was unable to determine if the screws were present prior to the work performed by the respondent. Allegation is not verified. Governing Rule: Not Applicable

Complaint Item: 31 - Boarder tile is unevenly spaced, protrudes out, and is not consistent under cabinets and counters. Investigator’s Observation: Grout lines were addressed in line item number 29. Homeowner stated that uneven top edge of tile is visible due to her removing trim. Governing Rule: Not Applicable

Complaint Item: 32 - Levelness of the flooring has a max deviation of 5/8” over ten feet Investigator’s Observation: In regards to the levelness of the sub floor on which the flooring was installed, measurements taken by the investigator using an 8 foot straight edge showed an unevenness of 3/16 of an inch. This would meet the requirements of the installation instructions. Although no directive is being issues for this item at this time should the respondent chose to correct the issues with the flooring they shall verify installation meets manufacturer's spec for no more deviation than 3/16" in 10'". Allegation not confirmed at the inspection. Governing Rule: Not Applicable

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

Sincerely,

Steven Avila, Investigator (602) 771-6772 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Choose an item.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Choose an item. Choose an item. Choose an item.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 (DELETE THIS ADDRESS/PAGE IF NOT WARRANTED)

Complainant Attorney:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 (DELETE THIS ADDRESS/PAGE IF NOT WARRANTED)

Respondent Attorney:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Nichole Lundberg Case No. 2023-09182 COMPLAINANT, v. TLC Contractors LLC CITATION License No. ROC 326693,

RESPONDENT.

The Registrar issues this Citation to TLC Contractors LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by October 23, 2024, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On October 9, 2023, Nichole Lundberg (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged with violating:

Charge 1: A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge 2: A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F).

FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2023-09182. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted]

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than October 23, 2024. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. 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

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated October 8, 2024.

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 By: /s/ Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, October 8, 2024 to:

Respondent Certified Mail No: [number redacted]

TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331 Copy mailed by USPS First Class mail this same date to:

TLC Contractors LLC 31014 N 68th St Cave Creek, AZ 85331 Complainant Nichole Lundberg 1741 S Clearview Ave Unit 27 Mesa, AZ 85209 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. 2023-09182 / MTH

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

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

Nichole Lundberg

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https://www.tranzact.org/Services/ShareDrafts 2/2 10/10/24, 10:48 AM State of Arizona Mail - Written Answer to Citation and Complain Case No. 2023-09182

Answers - AZROC <[email redacted]>

Written Answer to Citation and Complain Case No. 2023-09182 message

TLC Contractors <[email redacted]> Thu, Oct 10, 2024 at 9:59 AM To: [email redacted]

Written Answer to Citation and Complain Case No. 2023-09182

To Whom it May concern: In regards to charge 1- modifications were made to the workwe completed after we left the job site. in regards to charge 2- We made an attempt to contact the homeowner. She did not respond. She had told us prior we would not be allowed back in her home to complete work.

Why are there checks attached to this filing for her boyfriend, her car, and payments to other companies(A/c and Elite)? Thank you for your attention to this matter.

https://mail.google.com/mail/b/AEoRXRQkm5355LtskOZ9AfjOimC_4rktOxrkbVAHoozHe20-dcgC/u/0/?ik=581c53cf5c&view=pt&search=all&permthid=t… 1/1 Mediation Notice

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

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

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

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

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

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

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

_____________________________________ _______________________ Respondent (or representative) Date

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

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

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

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

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

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

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

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

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

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

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

Exhibit Exhibit Name

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

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

Print Name Signature Date

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