2023A-09455-NPC-ROC Notice of Hearing and Packet MAILED

2023A-09455-NPC-ROC · Registrar of Contractors · 2023-10-30

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Bel Aire Construction LLC, Case No. 2023-09455 COMPLAINANT, Docket No. 2023A-09455-NPC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Patterson Homes LLC DBA: Patterson Restoration License No. ROC 315545,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

December 8, 2023 1:00 PM Velva Moses-Thompson Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

If you have requested to appear in-person at the hearing, the hearing will

be held at 1740 W Adams Street, Phoenix, AZ 85007.

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

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

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

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

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

The statutes and rules governing the hearing can be found at: Arizona Revised Statutes §§ 41-1092 to -1092.12, and Arizona Administrative Code R2-19-101 to -122. PARTICULAR ARIZONA STATUTES AND RULES INVOLVED The statutes and rules the Respondent is alleged to have violated are cited in the complaint and citation, which were served on the Respondent on September 15, 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)(10)

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.

RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney.

A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32- 1156(B). CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of any change of address within five (5) days of the change. A.R.S. § 41-1092.04.

HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092 to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles regarding the administrative hearing process can be found at https://www.azoah.com/.

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

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

certain documents to the parties and the Office of Administrative Hearings. These documents

are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit

additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below. SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their

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

possession, the party must prepare and file a written subpoena for the Administrative Law

Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a

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

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

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

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

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

CHANGING THE HEARING DATE

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

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

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

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

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

RESOLUTION SHORT OF ADJUDICATION

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

Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated October 31, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail October 31, 2023 to:

Respondent(s) Patterson Homes LLC DBA: Patterson Restoration 16424 N 91st St Scottsdale, AZ 85215 Andrew R. DiCarlo, Esq. 15029 N Thompson Peak Pkwy Ste B-111 #406 Scottsdale, AZ 85260

Complainant(s) Bel Aire Construction LLC 10632 N Scottsdale Rd Ste B-168 Scottsdale, AZ 85254

Copy sent electronically this same date to: Respondent at email address on record with the Registrar Respondent’s Attorney at email address of record with Registrar Complainant at email address on record with the Registrar

Case No. 2023-09455 /

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

August 18, 2023

Via U.S. Mail and Email

Complainant Bel Aire Construction LLC 10632 N Scottsdale Rd Ste B#168 Scottsdale, AZ 85254

Via U.S. Mail and Email

Respondent Patterson Homes LLC 16424 N 91st St Scottsdale, AZ 85215

Re: Complaint No. 2023-09455

Dear Complainant and Respondent:

The Registrar received a complaint filed against Patterson Homes LLC for non- payment of materials or services rendered. This complaint is complete and will be substantively reviewed by the Registrar.

Respondent is free to raise any issue or affirmative defense to this complaint by filing a response with the Registrar by August 25, 2023. Please reference the complaint number listed above if you file a response. Respondent may file a response by:

Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Email: [email redacted]

The Registrar will not issue a citation before August 25, 2023 and will review Respondent’s response, if one is submitted.

Please be advised that a response to the complaint is not the same as a written answer. If the Registrar issues a citation Respondent must file a written answer to that citation in accordance with A.R.S. § 32-1155.

Sincerely,

/s/ Dylan Warwick Dylan Warwick Legal Department 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 1700 W Washington St. Ste 105 Phoenix, AZ 85007

CC: John Marcolini 5353 N 16th St. Suite 315 Phoenix, AZ 85016

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 RECEIVED LEGAL 8/25/2023

Andrew R. DiCarlo, Esq. (No. 035571) DICARLO LAW, PLC 15029 N. Thompson Peak Pkwy Suite B-111, #406 Scottsdale, Arizona 85260 [email redacted] (602) 341-5154 Attorney for Payer

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA BEL AIRE CONSTRUCTION LLC License No. ROC 240252/240253 PAYEE, WRITTEN ISSUE OR AFFIRMATIVE vs. DEFENSE TO COMPLAINT NO. 2023- 09455 PATTERSON HOMES LLC License No. ROC 315545 PAYER,

Payer Patterson Homes LLC, an Arizona limited liability company (the “Payer”)

has retained this law firm to represent their interest in the above referenced matter. The Payer is in receipt of a correspondence dated August 18, 2023 (the “Correspondence”) from the Arizona Registrar of Contractors (the “Registrar”) accompanied by a Non-

Payment Complaint Form for the alleged non-payment of materials or services rendered

(the “Complaint”) filed by Payee Bel Aire Construction LLC, an Arizona limited liability company (The “Payee”). The Payer hereby files this WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455 showing why the

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 1 RECEIVED LEGAL 8/25/2023

specified Complaint should be dismissed in its entirety and no action should be taken against the Payer’s license. I. LEGAL STANDARD

A.R.S. § 32-1154 holds in pertinent part that “A. The holder of a license or any person

named on a license pursuant to this chapter may not commit any of the following acts or omissions:” The Complaint itself is rooted in an alleged violation A.R.S. § 32-

1154(A)(10) or the “Failure by a licensee or agent or official of a licensee to pay monies

in excess of $750 when due for materials or services rendered in connection with the licensee's operations as a contractor unless the licensee proves that the licensee lacks the capacity to pay and has not received sufficient monies as payment for the particular

construction work project or operation for which the services or materials were rendered or purchased.” II. WRITTEN ISSUE AND AFFIRMATIVE DEFENSE TO

COMPLAINT

As indicated in the Complaint, the Payer (as indicated by the Registrar) is not the relevant party to Payee’s demand, has no affiliation with the party indicated as Payor in the Complaint, and therefore has not violated any provision of A.R.S. § 32-1154.

Patterson Homes LLC is not indicated by name anywhere in the Complaint, nor are they

indicated in any of the relevant documents disclosed by Payee, including the demand letter prepared by Payee’s attorney’s related to this action.

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 2 RECEIVED LEGAL 8/25/2023

As shown in the Complaint, Payee indicates Patterson Enterprises LLC, not Patterson Homes LLC, as the entity responsible for the alleged debt in question, or the “Payor” as indicated in the Registrar’s forms. Ryan Patterson Enterprises LLC is re-affirmed as the

indebted party, by Payee’s own admission, in the following areas disclosed by Payee: 1.) Non-Payment Complaint Form; 2.) Contract for City of Scottsdale Sewer Improvements; and 3.) Demand Letter from Payee’s Attorney to Ryan Patterson

Enterprises LLC, which clearly evidences Payee’s intent to contract with Ryan Patterson

Enterprises LLC. In fact, Payee’s alleged contract, which is the very basis of the Complaint, indicates Ryan Patterson Enterprises LLC and not Payer as the party

contracting for services. Payer is not indicated on any contract for services with Payee.

Ryan Patterson Enterprises LLC is not affiliated with Payer. Ryan Patterson Enterprises LLC does not maintain an active license with the Arizona Registrar of Contractors and thus is not the “holder of a license” as required under A.R.S. § 32-1154.

Ryan Patterson Enterprises LLC is not an agent or official of Payer, and thus any alleged action on behalf of Ryan Patterson Enterprises LLC was not taken on behalf of Payer, or its operations as a contractor, and therefore does not satisfy the requirements of a

violation of A.R.S. § 32-1154(A)(10) on behalf of Payer.

III. CONCLUSION For the above-mentioned reasons, Payee’s Complaint should be dismissed in its entirety with no action on behalf of the Registrar. As stated herein, Ryan Patterson

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 3 RECEIVED LEGAL 8/25/2023

Enterprises LLC is not affiliated with Payer. Ryan Patterson Enterprises LLC is not an agent or official of Payer, and thus any alleged action on behalf of Ryan Patterson Enterprises LLC was not taken on behalf of Payer, or its operations as a contractor. As

such Payee’s claims are inapplicable against Payer and are more appropriate for another

venue. Predicated on the foregoing, the Complaint brought forth against Payer’s license should be dismissed in its entirety with no action to be taken against Payer’s license.

Respectfully submitted August 25, 2023.

DICARLO LAW, PLC /s/ Andrew R. DiCarlo Andrew R. DiCarlo, Esq. (No. 035571) Attorney for Payer Sent via EMAIL to:

[email redacted] The Arizona Registrar of Contractors 1700 W Washington St. #105, Phoenix, AZ 85007

With a COPY via USPS mail to:

John Marcolini 5353 N 16th St. Suite 315 Phoenix, AZ 85016

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 4 RECEIVED LEGAL 8/25/2023

Legal New Mail - AZROC <[email redacted]>

Complaint No. 2023-09455 message

Andrew DiCarlo <[email redacted]> Fri, Aug 25, 2023 at 2:51 PM To: Legal New Mail - AZROC <[email redacted]>

To Whom it May Concern,

Please see the attached on behalf of the Payer in the above-captioned matter. Physical copies are sent upon request only.

-- Andrew R. DiCarlo, Esq. Attorney at Law DICARLO LAW, PLC 15029 N. Thompson Peak Pkwy Suite B-111, #406 Scottsdale, Arizona 85260 Email: [email redacted] Telephone: (602) 341-5154

NOTICE: The information contained in this electronic mail transmission is intended by DiCarlo Law PLC for the use of the named individual or entity to which it is directed and may contain information that is privileged or otherwise confidential. It is not intended for transmission to, or receipt by, anyone other than the named addressee or a person authorized to deliver it to the named addressee). It should not be copied or forwarded to any unauthorized persons. If you have received this electronic mail transmission in error, please delete it from your system without copying or forwarding it, and notify the sender of the error by reply email or by calling DiCarlo Law PLC at 602-341-5154, so that our address record can be corrected.

20230825 - Complaint No. 2023-09455 - v1.pdf 175K Received 9/8/23, 9:23 AM State of Arizona Mail - 2023-09455 Bel Aire Construction Complaint 09/07/2023 ROC Legal

Legal New Mail - AZROC <[email redacted]>

2023-09455 Bel Aire Construction Complaint messages

Robert Stirling <[email redacted]> Thu, Sep 7, 2023 at 11:14 AM To: [email redacted], Legal New Mail - AZROC <[email redacted]>

Mr. Labriola,

I am reviewing the complaint filed with the Registrar's office regarding failure to pay regarding a project for City of Scottsdale Sewer Improvements at or near 12474 N. 82nd Street. Your contract names Patterson Enterprises as the GC. As part of our review, we would like to know if you know of or have a copy of the contract between the owner of the project (City of Scottsdale or another), and the GC.

If you have a copy of the contract with the owner, please forward it as soon as possible.

Sincerely,

-- Robert Stirling Assistant General Counsel Arizona Registrar of Contractors 1700 W. Washington Street Phoenix, AZ 85007-2812 Direct: (602) 771-6795 Cell: (602) 370-4302

jeff labriola <[email redacted]> Thu, Sep 7, 2023 at 11:39 AM To: Robert Stirling <[email redacted]> Cc: Legal New Mail - AZROC <[email redacted]>

Hi Robert,

I will forward you some email threads on this matter from Patterson Homes. I can see now what Patterson does. He represents himself as Patterson homes signs contracts under Patterson Enterprises to insulate himself from the ROC. I believe it rises to the level of fraud.

He obviously owns and controls both companies. Therefore his license should be in play. He personally emailed me that he owes and will pay me.( attached) Included in these you'll see his Patterson home's email address as well.

If you guys want to set this precedent then I could start doing the same thing. Seems like a great way to insulate myself from ROC complaints. I take my licensing very seriously. I hope you hold him to the same standard.

Thank you, Jeff Labriola 602-620-1973 direct

https://mail.google.com/mail/b/AEoRXRRe9bti-ykNcrKoRl8VekhcFW185i3yw6jDNIinLDCKiXil/u/0/?ik=d3afebeda9&view=pt&search=all&permthid=thre… 1/2 Received 9/8/23, 9:23 AM State of Arizona Mail - 2023-09455 Bel Aire Construction Complaint 09/07/2023 ROC Legal

[Quoted text hidden]

attachments patterson homes 82nd st plans.pdf 486K patterson fraud 4.pdf 163K patterson fraud 1.pdf 92K patterson fraud.pdf 118K patterson fraud 2.pdf 143K patterson fraud 3.pdf 101K

https://mail.google.com/mail/b/AEoRXRRe9bti-ykNcrKoRl8VekhcFW185i3yw6jDNIinLDCKiXil/u/0/?ik=d3afebeda9&view=pt&search=all&permthid=thre… 2/2 Received 09/07/2023 ROC Legal Received 09/07/2023 ROC Legal Received 09/07/2023 ROC Legal Received 09/07/2023 ROC Legal Received 09/07/2023 ROC Legal Received 09/07/2023 ROC Legal

PUBLIC SEWER IMPROVEMENT PLAN FOR 12474 N. 82ND STREET SCOTTSDALE, AZ, 85260

OWNER: ENGINEER:

BUILDING PLANS: SURVEYOR:

SITE ADDRESS: ASSESSOR'S PARCEL NO.:

ZONING: QUARTER SECTION.:

FEMA INFORMATION BOX

PUBLIC SEWER PLAN

SCOTTSDALE, AZ 85260 12474 N. 82ND STREET AS-BUILT CERTIFICATION

FOR ENGINEERS CERTIFICATION APPROVAL

11-14-2022 Marc Palichuk P.E. 7-5-2022

SHEET INDEX:

BENCHMARK:

LEGAL DESCRIPTION:

OF 2 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Case No. 2023-09455 Bel Aire Construction LLC,

COMPLAINANT, v. CITATION Patterson Homes LLC License No. ROC 315545,

RESPONDENT.

The Registrar issues this Citation to Patterson Homes LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by October 2, 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).

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602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 THE WRITTEN COMPLAINT On August 15, 2023, Bel Aire Construction LLC (“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)(10) — Failure by a licensee or agent or official of a licensee to pay monies in excess of $750 when due for materials or services rendered in connection with the licensee's operations as a contractor unless the licensee proves that the licensee lacks the capacity to pay and has not received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased.

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. 2023-09455. of 5

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602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 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] 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 2, 2023. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an of 5

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. of 5

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Dated September 15, 2023. By: /s/ Robert Stirling Robert Stirling Assistant General Counsel Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, September 15, 2023 to: Respondent Certified Mail No: [number redacted] Patterson Homes LLC 16424 N 91st St Scottsdale, AZ 85215

Copy mailed by USPS First Class mail this same date to: Patterson Homes LLC 16424 N 91st St Scottsdale, AZ 85215 Andrew R. DiCarlo, Esq. 15029 N Thompson Peak Pkwy Ste B-111 #406 Scottsdale, AZ 85260 Complainant Bel Aire Construction LLC 10632 N Scottsdale Rd Ste B#168 Scottsdale, AZ 85254 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. 2023-09455 /

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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 RECEIVED LEGAL 10/2/2023

Andrew R. DiCarlo, Esq. (No. 035571) DICARLO LAW, PLC 15029 N. Thompson Peak Pkwy Suite B-111, #406 Scottsdale, Arizona 85260 [email redacted] (602) 341-5154 Attorney for Respondent

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA BEL AIRE CONSTRUCTION LLC License No. ROC 240252/240253 COMPLAINANT, WRITTEN ASNWER TO CITATION NO. vs. 2023-09455

PATTERSON HOMES LLC License No. ROC 315545 RESPONDENT,

Respondent Patterson Homes LLC, an Arizona limited liability company (the

“Respondent”) has retained this law firm to represent their interest in the above referenced matter. The Respondent is in receipt of a Citation dated September 15, 2023 (the “Correspondence”) from the Arizona Registrar of Contractors (the “Registrar”)

accompanied by a Non-Payment Complaint Form for the alleged non-payment of

materials or services rendered filed by Complainant Bel Aire Construction LLC, an Arizona limited liability company (The “Complainant”). The Respondent hereby files this WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 1 RECEIVED LEGAL 10/2/2023

showing why the specified Complaint is deficient and why the Registrar should take should be dismissed in its entirety and no action should be taken against the Respondent’s license.

I. FACTUAL BACKGROUND

Complainant filed Non-Payment Complaint Form dated August 15, 2023, (the “Complaint”) for the alleged non-payment of materials or services rendered for the real property located at 12474 N 82nd St, Scottsdale, AZ 85260 (the “Property”). The

Complaint is pursuant to an alleged agreement dated June 1, 2023, between Complainant

and Ryan Patterson Enterprises, LLC (the “Agreement”). See Exhibit A. The Agreement does not make any mention of Respondent’s name or license number; nor does it implicate Respondent’s involvement in any form. Id.

II. LEGAL STANDARD

A.R.S. § 32-1154 holds in pertinent part that “A. The holder of a license or any person named on a license pursuant to this chapter may not commit any of the following acts or omissions:” The Complaint itself is rooted in an alleged violation A.R.S. § 32-

1154(A)(10) or the “Failure by a licensee or agent or official of a licensee to pay monies

in excess of $750 when due for materials or services rendered in connection with the licensee's operations as a contractor unless the licensee proves that the licensee lacks

the capacity to pay and has not received sufficient monies as payment for the particular

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 2 RECEIVED LEGAL 10/2/2023

construction work project or operation for which the services or materials were rendered or purchased.” III. RYAN PATTERSON ENTERPRISES, LLC IS A SEPARATE AND

DISTINCT ENTITY. The Respondent (as indicated by the Registrar) is not the relevant party to Complainant’s demand, has no affiliation with Ryan Patterson Enterprises, LLC, as it

pertains to its operations as a contractor and therefore has not violated any provision of

A.R.S. § 32-1154. Ryan Patterson Enterprises, LLC, an Arizona limited liability company, is recognized by the Arizona Corporation Commission as validly existing. See Exhibit B. Patterson Homes LLC is not indicated by name anywhere in the Complaint, nor are they

indicated in any of the relevant documents disclosed by Complainant and accompanying the Complaint. Upon information and belief, Ryan Patterson Enterprises, LLC was the sole owner of the Property previously and held an ownership interest at the time that the

alleged Agreement was entered into between Complainant and Ryan Patterson

Enterprises, LLC. See Exhibit C. Predicated on the foregoing, the alleged contract undoubtedly does not arise out of services “rendered in connection with the licensee's

operations as a contractor” and thus does not violate A.R.S. § 32-1154.

In fact, the first time that Respondent Patterson Homes LLC was ever mentioned as it relates to this alleged debt was on the REGISTRAR’S OWN ACCORD, as even the Non-Payment Complaint Form (the “Complaint”) indicates Patterson Enterprises LLC as

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 3 RECEIVED LEGAL 10/2/2023

the entity which owes the alleged debt. See Exhibit D. Complainant has failed to provide the Registrar or Respondent with ANY evidence which even depicts the name of Patterson Homes LLC as it relates to the alleged debt. Rather, Complainant retained an

attorney to send demand letters to Ryan Patterson Enterprises, LLC, the entity which had previously solely owned the Property and to which Complainant had contracted, to recover the alleged debt. See Exhibit E. After Complainant’s attempts to recover from

Ryan Patterson Enterprises, LLC were unsuccessful, Complainant filed the Complaint

with the Registrar attempting to levy Ryan Patterson Enterprises, LLC’s alleged debt onto Patterson Homes LLC. Complainant uses Mr. Patterson’s email as the sole basis for

Patterson Homes LLC’s liability in this matter, even though Patterson Homes LLC is still

omitted from the Complaint by name. IV. RYAN PATTERSON ENTERPRISES, LLC’S ACTIONS ARE NOT RENDERED IN CONNECTION WITH RESPONDENT’S

OPERATIONS AS A CONTRACTOR. Ryan Patterson Enterprises, LLC is not affiliated with Respondent. Ryan Patterson Enterprises, LLC does not have the authority to enter agreements on behalf of Patterson

Homes LLC. Ryan Patterson Enterprises, LLC does not maintain an active license with

the Arizona Registrar of Contractors and thus is not the “holder of a license” as required under A.R.S. § 32-1154. Ryan Patterson Enterprises, LLC is not an agent or official of

Respondent, and thus any alleged action on behalf of Ryan Patterson Enterprises, LLC

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 4 RECEIVED LEGAL 10/2/2023

was not taken on behalf of Respondent, but rather Ryan Patterson Enterprises, LLC. If anything, common sense would suggest that Ryan Patterson Enterprises, LLC’s actions were taken to advance its own interest in the Property. As such, the alleged Agreement,

and any obligation stemming therefrom, does not arise from Respondent or its operations as a contractor, and therefore does not satisfy the requirements of a violation of A.R.S. § 32-1154(A)(10). Complainant has failed to provide any evidence that the alleged debt

arose out of Respondent’s operations as a contractor and has thus failed to satisfy the

requirements. V. COMPLAINANT’S DISCLOSED PERMIT VARIES FROM THAT

HELD WITH THE CITY OF SCOTTSDALE.

As an exhibit to the Complaint, Complainant included a copy of the alleged permit obtained for the work at the Property. See Exhibit F. However, the same Permit No. C70895, when searched on the City of Scottsdale’s website, includes numerous

discrepancies from the exhibit disclosed by Complainant, including a Permit Date of 12/05/2022 rather than 06/01/2023 and that the permit is “On Hold.” See Exhibit G. Respondent’s attorney made attempts to contact the City of Scottsdale to confirm the

status of the permit and was informed that the permit has been marked for “refund.” As

of the time of this Response, the permit is not active, nor can any work be completed thereunder.

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 5 RECEIVED LEGAL 10/2/2023

VI. CONCLUSION For the above-mentioned reasons, Complainant’s Complaint should be dismissed in its entirety with no action on behalf of the Registrar. As stated herein, Ryan Patterson

Enterprises, LLC is not affiliated with Respondent. Ryan Patterson Enterprises, LLC is

not an agent or official of Respondent, and thus any alleged action on behalf of Ryan Patterson Enterprises, LLC was not taken on behalf of Respondent, or its operations as a contractor. As such Complainant’s claims are inapplicable against Respondent and are

more appropriate for another venue. Predicated in the foregoing evidence, the Registrar

has unilaterally included Respondent as a party to this matter, even though that entity was absent from any of Complainant’s allegations or in the evidence submitted for review by the Registrar.

Predicated on the foregoing, the Complaint brought forth against Respondent’s

license should be dismissed in its entirety with no action to be taken against Respondent’s license. Respectfully submitted October 2, 2023. DICARLO LAW, PLC

/s/ Andrew R. DiCarlo Andrew R. DiCarlo, Esq. (No. 035571) Attorney for Respondent Sent via EMAIL to: [email redacted] The Arizona Registrar of Contractors 1700 W Washington St. #105, Phoenix, AZ 85007

WRITTEN ISSUE OR AFFIRMATIVE DEFENSE TO COMPLAINT NO. 2023-09455- 6 RECEIVED

EXHIBIT A LEGAL 10/2/2023 RECEIVED LEGAL 10/2/2023 RECEIVED LEGAL 10/2/2023 RECEIVED

EXHIBIT B LEGAL 10/2/2023 RECEIVED 10/2/23, 2:46 PM Arizona Corporations Commission LEGAL 10/2/2023

Entity Information Search Date and Time: 10/2/2023 2:46:29 PM

Entity Details

Entity Name: RYAN PATTERSON Entity ID: L21639770 ENTERPRISES, LLC Entity Type: Domestic LLC Entity Status: Active Formation Date: 2/24/2017 Reason for Status: In Good Standing

Approval Date: 2/28/2017 Status Date: Original Incorporation 2/24/2017 Life Period: Perpetual Date: Business Type: Last Annual Report Filed: Domicile State: Arizona Annual Report Due Date: Years Due: Original Publish Date:

Statutory Agent Information

Name: BRAD HATANAKA Appointed Status: Active 5/24/2022 Attention: Address: RYAN PATTERSON ENTERPRISES, LLC, 9170 East Bahia Drive Unit 106, SCOTTSDALE, AZ 85260, USA Agent Last Updated: 11/3/2022 E-mail: Attention: Mailing Address: RYAN PATTERSON ENTERPRISES, LLC, 9170 East Bahia Drive Unit 106, SCOTTSDALE, AZ 85260, USA County: Maricopa

Principal Information

Date of Taking Last Title Name Attention Address Office Updated

RYAN 8702 W. JENAN DRIVE, Manager 2/24/2017 2/28/2017 PATTERSON SCOTTSDALE, AZ, 85260, USA

RYAN 8702 W. JENAN DRIVE, Member 4/4/2017 4/24/2017 PATTERSON SCOTTSDALE, AZ, 85260, USA

Page 1 of 1, records 1 to 2 of 2

Entity Known Place of Business

Attention: RYAN Address: 9170 East County: Maricopa Last Updated: PATTERSON Bahia Drive Unit 106, 11/3/2022 ENTERPRISES, LLC SCOTTSDALE, AZ, Privacy Policy (http://azcc.gov/privacy-policy) 85260, USA ǀ Contact Us (http://azcc.gov/corporations/corporation-contacts)

https://ecorp.azcc.gov/PublicBusinessSearch/PublicBusinessInfo?entityNumber=L21639770 1/2 RECEIVED 10/2/23, 2:46 PM Arizona Corporations Commission LEGAL 10/2/2023 Entity Principal Office Address

Attention: Address: County: Last Updated:

Back Return to Search Return to Results Document History

Name/Restructuring History

Pending Documents

Microfilm History

https://ecorp.azcc.gov/PublicBusinessSearch/PublicBusinessInfo?entityNumber=L21639770 2/2 RECEIVED

EXHIBIT C LEGAL 10/2/2023 RECEIVED LEGAL 10/2/2023 RECEIVED LEGAL 10/2/2023 RECEIVED

EXHIBIT D LEGAL 10/2/2023 RECEIVED LEGAL 10/2/2023 RECEIVED

EXHIBIT E LEGAL 10/2/2023 RECEIVED LEGAL 10/2/2023 RECEIVED

EXHIBIT F LEGAL 10/2/2023 RECEIVED LEGAL 10/2/2023 RECEIVED

EXHIBIT G LEGAL 10/2/2023 RECEIVED 10/2/23, 2:50 PM City of Scottsdale - Right-of-Way Permit LEGAL 10/2/2023

RIGHT-OF-WAY PERMIT Permit Number C70895 Status ON HOLD Issued 12/05/2022 Project Name 82ND STREET RESIDENCE Location 12474 N 82ND ST  Quarter Section 31-47 Purpose NEW, SSR SEWER TAP Owner RYAN PATTERSON ENTERPRISES Contractor BEL AIRE CONSTRUCTION LLC Plan Number 10327-21-1 Total Fee $889.40

100 PRE CONSTRUCTION NOTIFICATION

201 SEWER RELATED

202 SEWER WALK THRU

301 PAVING RELATED

302 PAVING WALK THRU

401 CONCRETE RELATED

402 CONCRETE WALK THRU

901 MISC RELATED

902 MISC WALK THRU

https://eservices.scottsdaleaz.gov/bldgresources/ROWPermit/Details/C70895 1/2 RECEIVED LEGAL 10/2/2023

Legal New Mail - AZROC <[email redacted]>

Complaint No 2023-09455 message

Andrew DiCarlo <[email redacted]> Mon, Oct 2, 2023 at 4:16 PM To: Legal New Mail - AZROC <[email redacted]>

Please see the attached on behalf of Respondent in the above-captioned matter. Physical copies are sent upon request only.

-- Andrew R. DiCarlo, Esq. Attorney at Law DICARLO LAW, PLC 15029 N. Thompson Peak Pkwy Suite B-111, #406 Scottsdale, Arizona 85260 Email: [email redacted] Telephone: (602) 341-5154

20231002 - Complaint No. 2023-09455 - v1 (FINAL).pdf 4304K REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Bel Aire Construction LLC, Case No. 2023-09455

COMPLAINANT, v. Patterson Homes LLC, ORDER DENYING REQUEST TO DBA: Patterson Restoration, DISMISS License No. ROC 315545,

RESPONDENT.

BACKGROUND On September 15, 2023, the Registrar issued a Citation against Respondent’s License No. 315545, charging Respondent with a violation of A.R.S. § 32-1154(A)(10). On October 2, 2023, Respondent filed an Answer. The Answer included a request to dismiss the complaint. ANALYSIS Respondent asserts that its name is not indicated anywhere in the Complaint nor any of the documents disclosed by Complainant. Respondent further asserts that is does not have any affiliation with Ryan Patterson Enterprises LLC, and that Ryan Patterson Enterprises LLC does not have the authority to enter agreements on behalf of Respondent. And finally, Respondent asserts that Complainant has failed to provide the Registrar or Respondent with evidence that indicates Respondent’s name as it relates to the alleged debt. On September 7, 2023, Complainant forwarded an email it had received from Ryan Patterson’s administrative assistant, Ms. Torres, at the email address of [email redacted] on June 16, 2023, to the Registrar. The signature line of Ms. Torres’ email includes Respondent’s phone number of record with the Registrar, (480) 245-

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. – Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602) 542-1525 Toll Free (877) 692-9762 Lg127 5/21 7614. Attached to Ms. Torres’ June 16, 2023 email to Complainant was a New Vendor Packet. Respondent’s name is indicated throughout. The domain, “pattersonhomesaz.com,” of Respondent’s email of record with the Registrar, is the same as Mr. Patterson’s and Ms. Torres’. A Google search of Respondent brings up Respondent’s website. https://pattersonhomesaz.com/#!. Respondent’s website indicates that Mr. Patterson is the CEO. https://pattersonhomesaz.com/employees/. Additionally, the Better Business Bureau’s website indicates the following individuals and their corresponding titles: Mr. Ryan C Patterson, CEO; Mr. Jason Clonts, Member; and Ms. Denise Torres, Administration. https://www.bbb.org/us/az/scottsdale/profile/building-contractors/patterson-homes-llc-1126- [number redacted]. A search of Respondent’s complaint history with the Registrar shows this is not the first time Mr. Patterson has had involvement with Respondent. In Complainant No. 2020-05485, Mr. Patterson built and sold a home to Ms. Nehring. When Respondent’s chief operations officer and general counsel, Mr. Stewart, conversed with the Registrar’s investigator regarding Ms. Nehring’s complaint, Mr. Stewart never brought up the arguments that Respondent has decided to raise in this matter, nearly two years later. The foregoing reasonably indicates that Mr. Patterson is indeed associated with Respondent, notwithstanding Respondent’s failure to note any such affiliation in documents filed with the Arizona Corporation Commission and the Registrar. ORDER IT IS ORDERED that Respondent’s request to dismiss is DENIED. The issues underlying the Citation and complaint are best suited for presentation before the Office of Administrative Hearings. Respondent is free to raise the arguments and defenses presented in its request to dismiss before the administrative law judge. A Notice of Hearing will be issued in due course. //

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. – Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602) 542-1525 Toll Free (877) 692-9762 Lg127 5/21 Dated October 20, 2023. By: /s/ Chance Peterson Chance Peterson General Counsel Legal Department Arizona Registrar of Contractor Copy mailed via USPS First Class Mail October 20, 2023 to: Respondent Patterson Homes LLC DBA: Patterson Restoration 16424 N 91st St Scottsdale, AZ 85215 Respondent’s Attorney Andrew R. DiCarlo, Esq. DiCarlo Law PLC 15029 N Thompson Peak Pkwy Ste B-111 #406 Scottsdale, AZ 85260

Complainant Bel Aire Construction LLC 10632 N Scottsdale Rd Ste B-168 Scottsdale, AZ 85254

Case No. 2023-09455 / KR

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. – Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602) 542-1525 Toll Free (877) 692-9762 Lg127 5/21 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