2023A-10427-OMC-LS-ROC Notice of Hearing and Packet MAILED

2023A-10427-OMC-LS-ROC · Registrar of Contractors · 2023-10-12

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA Arizona Registrar of Contractors, Case No. 2023-10427 COMPLAINANT, Docket No. 2023A-10427-OMC-LS- ROC v. NOTICE OF HEARING ON SchaMac Custom Homes Inc CONTESTED CASE DBA: RamCore Construction License No. ROC 347218,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

November 29, 2023 1:00 PM Kay Abramsohn Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

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

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

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

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

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

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

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

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED The statutes and rules the Respondent is alleged to have violated are cited in the

complaint and citation, which were served on the Respondent on September 19, 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) – The holder of a license or any person listed

on a license pursuant to this chapter shall not commit any of the following acts or

omissions: (12) Failure in any material respect to comply with this chapter.

Specifically, A.R.S. § 32-1122(E)(2), which provides: Before a license is issued,

the qualifying party must … [s]uccessfully show, by written examination taken not

more than two years before application, if required, qualification in the kind

of work for which the applicant proposes to contract, the applicant’s general knowledge of the building, safety, health and lien laws of the state, administrative principles of the contracting business and the rules adopted by the registrar of contractors pursuant to this chapter, demonstrate knowledge and understanding of construction plans and specifications applicable to the particular industry or craft and of the standards of construction work and techniques and practices in the

particular industry or craft and demonstrate a general understanding of

other related construction trades…

Charge 2: A.R.S. § 32-1154(A) – The holder of a license or any person listed

on a license pursuant to this chapter shall not commit any of the following acts or omissions: (19) Subsequent discovery of facts that if known at the time of issuance of a license or the renewal of a license would have been grounds to deny the issuance or renewal of a license.

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 12, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail October 12, 2023 to:

Respondent(s) SchaMac Custom Homes Inc DBA: RamCore Construction W 8th Ave Mesa, AZ 85210 Shane D. Buntrock Esq 2158 N Gilbert Rd Ste 119 Mesa, AZ 85203 Complainant(s) Arizona Registrar of Contractors 1700 W Washington St Ste 105 Phoenix, AZ 85007

Wesley Cox, Esq. 2005 N Central Ave Phoenix, AZ 85004 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’s Attorney at email address of record with Registrar

Case No. 2023-10427 /

Douglas A. Ducey, Governor Jeffrey L. Fleetham, 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

Douglas A. Ducey, Governor Jeffrey L. Fleetham, 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

Douglas A. Ducey, Governor Jeffrey L. Fleetham, 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

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Case No. 2023-10427 Arizona Registrar of Contractors,

COMPLAINANT, v. CITATION AND COMPLAINT SchaMac Custom Homes Inc. DBA: RamCore Construction, License No. ROC 347218,

RESPONDENT.

The Registrar issues this Citation to SchaMac Custom Homes Inc. DBA: RamCore Construction (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by October 4, 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). JURISDICTION This Citation and Complaint is issued pursuant to A.R.S. § 32-1101 et seq., which authorizes the Registrar to impose disciplinary sanctions against licensees for violations of Title 32, Chapter 10 of the Arizona Revised Statutes. FACTUAL ALLEGATIONS 1. On August 22, 2023, the Registrar issued to Respondent License No. 347218, a B-2 General Small Commercial Contractor license. Exhibit 1. 2. Wallace Todd Schafer1 was named on the application as the sole owner/president and While the completed application form listed Mr. Schafer’s full name as “Todd Todd Schafer”, Mr. Schafer’s driver’s license, submitted with the application, shows his name as “Wallace Todd Schafer”. of 6

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 Lg101 8/21 qualifying party. Exhibits 2-4. 3. Part 5 of the license application form notes that the application must include “The Qualifying Party’s original exam results, or a Completed Waiver Form.” 4. During the only application process, Respondent indicated that Mr. Schafer completed the trade exam on August 21, 2023. Exhibit 5. 5. In fact, Mr. Schafer has not completed the required trade exam, AZ B-2 General Small Commercial Contractor exam (“Exam”). 6. On August 23, 2023, the Registrar issued a letter to Respondent, noting that the “license application was incorrectly approved through our portal,” and instructing Respondent to submit the qualifying party’s trade exam results by September 6, 2023. Exhibit 6. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT Charge 1: A.R.S. § 32-1154(A) – The holder of a license or any person listed on a license pursuant to this chapter shall not commit any of the following acts or omissions: (12) Failure in any material respect to comply with this chapter. Specifically, A.R.S. § 32-1122(E)(2), which provides: Before a license is issued, the qualifying party must … [s]uccessfully show, by written examination taken not more than two years before application, if required, qualification in the kind of work for which the applicant proposes to contract, the applicant’s general knowledge of the building, safety, health and lien laws of the state, administrative principles of the contracting business and the rules adopted by the registrar of contractors pursuant to this chapter, demonstrate knowledge and understanding of construction plans and specifications applicable to the particular industry or craft and of the standards of construction work and techniques and practices in the particular industry or craft and demonstrate a general understanding of other related construction trades… Charge 2: A.R.S. § 32-1154(A) – The holder of a license or any person listed on a license pursuant to this chapter shall not commit any of the following acts or omissions:

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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 Lg101 8/21 (19) Subsequent discovery of facts that if known at the time of issuance of a license or the renewal of a license would have been grounds to deny the issuance or renewal of a license. The Registrar issued a license to Respondent prematurely because Respondent’s qualifying party had not yet taken and passed the Exam as required by A.R.S. § 32-1122(E)(2). The conduct and circumstances set forth above constitute a violation of this section because Mr. Schafer has not passed the examination that is specific to Respondent’s license classification. 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. 2023-10427. 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 Fax: (602) 364-0416 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 4, 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.

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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 Lg101 8/21 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 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

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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 Lg101 8/21 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 September 19, 2023. By: /s/Margaret Lindsey Margaret Lindsey Assistant Chief Counsel Legal Department Arizona Registrar of Contractors

COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, September 19, 2023 to: Respondent Certified Mail No.: [number redacted] SchaMac Custom Homes Inc. dba RamCore Construction 15 W 8th Ave Mesa, AZ 85210

Copy mailed by USPS First Class mail this same date to: Respondent SchaMac Custom Homes Inc. dba RamCore Construction w 8th Ave Mesa, AZ 85210

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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 Lg101 8/21 Copy sent electronically this same date to: Respondent at email address on record with the Registrar

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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 Lg101 8/21 EXHIBIT 1 STATE OF ARIZONA License No. ROC 347218

Office of the Registrar of Contractors This is to certify that: SchaMac Custom Homes Inc DBA (if any) RamCore Construction Having been shown to possess all the necessary qualifications, and having complied with all the requirements of the law, is by order of the Registrar of Contractors duly licensed and admitted to engage in and pursue the business of

B-2 General Small Commercial Contractor

Contractor in the State of Arizona. Given my hand and the seal of the Registrar of Contractors in my office, City of Phoenix, on August 22, 2023

CYNTHIA D. CASAUS, INTERIM DIRECTOR, ARIZONA REGISTRAR OF CONTRACTORS EXHIBIT 2 DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

For Internal Use Only Form LICENSE APPLICATION Pending # APP- RC-L-200C (CORPORATION) [number redacted]

PART 1: APPLICANT INFORMATION To avoid delay or denial, the Applicant must completely and accurately fill out the following information.  An Authorized Representative is a person with the authority to sign on behalf of the Corporation.  The business address you provide will be publicly available on the Registrar’s website. o To obtain a contractor’s license, an applicant must provide their mailing address and the address or location of the applicant’s place of business if it is different from the applicant’s mailing address. A.R.S. §§ 32-1122(B)(1)(b) & (f).  To determine the appropriate License Classification Description in box 6, refer to the Registrar’s License Classifications located at https://roc.az.gov/license-classifications. 1. Corporation Name 2. Fictitious Trade Name (i.e. DBA), if applicable. SchaMac Custom Homes Inc RamCore Construction 3. Who is Filling Out This Application? 4. Arizona Corporation Commission File Number Margaret R Peralta 08463986

5. Requested License Classification Description B-2 General Small Commercial Contractor

6. Business Address (No PO Boxes or Private Mail Boxes) City State Zip Code W 8th Ave Mesa AZ 85210

7. Mailing Address (If different than business address) City State Zip Code W 8th Ave Mesa AZ 85210

8. Phone Number 9. Email Address [number redacted] [email redacted]

10. Prior to completing this application, did you or any other member of your organization participate in the Registrar's 'Applicant Education Seminar'? - No CONSENT Enter [Email / Telephone] 11. I consent to receive notifications from the Registrar by Yes email at the following email address................................................................ No 12. I consent to receive notifications from the Registrar by text messaging at the following telephone number............................. “Notifications” include renewal notices and monthly newsletters. By consenting to receive notifications via text or email, you will not be excluded from receiving notifications by regular mail. You consent by entering the information above.

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov Form RC-L-200C License Application (Corporation) Rev. March 12, 2018 Page 1 of 6 DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

PART 2: QUALIFYING PARTY QUALIFYING PARTY The "Qualifying Party" is a person who is regularly employed by the Applicant and is actively engaged in the classification of work for which the person qualifies on behalf of the Applicant. The Qualifying Party must have the necessary experience, knowledge and skills to supervise or perform the contracting work. The Qualifying Party cannot be a 1099 employee. If the Applicant and Qualifying Party are the same person, check the box and skip to the “Relevant Experience” section  1. Name as it appears on your government issued ID 2. Date of Birth (MM/DD/YYYY) Todd Todd Schafer **/**/**** 3. Driver’s License or Government ID No. 4. Social Security Number ********** ***-**-**** 5. Residential Address City State Zip Code W 8th Ave Mesa AZ 85210 6. Background Check Receipt Number Background Check Date

7. Phone Number 8. Email Address [number redacted] [email redacted] CONSENT Email / Telephone 9. I consent to receive notifications from the Registrar by text messaging at the No following telephone number 10. Is the Qualifying Party currently active for another entity in AZ? No

A.R.S. § 32-1127 The Qualifying Party listed above may be listed as the qualifying party for up to two licenses, but only when: 1. There is a common ownership of at least twenty-five per cent of each licensed entity for which the person acts in a qualifying capacity. 2. One licensee is a subsidiary of another licensee for which the same person acts in a qualifying capacity. "Subsidiary" as used in this section means a corporation of which at least twenty-five per cent is owned by the other licensee.

If you have questions for what constitutes an 1127 violation, contact the licensing department at 602-542-1525

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov Form RC-L-200C License Application (Corporation) Rev. March 12, 2018 Page 2 of 6 DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

RELEVANT EXPERIENCE I Am applying for the classification listed in Part 1 and below. I attest to having the requisite knowledge and experience dealing specifically with this type of construction, or its equivalent, as detailed on the roc.az.gov website. If this is a dual license, please refer to both the commercial and residential components on the website 32-1122 (E). ● Under A.R.S. § 32-1122(E)(1), at least two years of experience must be earned within the last ten years. 1. I hold the requisite experience in the form of (Select all that 2.Classification applying for. apply): B-2 General Small Commercial Contractor Hands-On;Supervisor 3. Signature

Reference Section (Optional)

1. Optional Reference Name (If you would like you may provide a reference) Isaac Jacobs

2. Reference Phone Number [number redacted]

3. Reference Email Address

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov Form RC-L-200C License Application (Corporation) Rev. March 12, 2018 Page 3 of 6 DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

PART 3: PERSONS COMPLETE AND ATTACH ADDITIONAL PART 3S AS NECESSARY TO PROVIDE THE INFORMATION FOR ALL OF THE FOLLOWING PERSONS ON THE LICENSE.  President, Vice-President, Secretary, Treasurer, or the functional equivalent of these officers;  Owners of at least twenty-five percent of the stock or beneficial interest of the corporation; and  Directors. This information is required under A.R.S. § 32-1122(B)(1)(d). Every person listed on this application must be 18 years of age or older and must sign this application form under Part 6: Signatures. Arizona Corporation Commission Documents All persons listed on the entity documents filed with the Arizona Corporation Commission must be listed in this section. Entity documents can be located using the Corporation Commission’s search tool located at http://ecorp.azcc.gov/Search.  Note: This application is only for corporations owned solely by individuals.  If any corporation, LLC, partnership, trust, or other business organization is listed on the applying entity’s Arizona Corporation Commission documents, then you must contact the Registrar’s Licensing Department at (602) 542-1525 for assistance.

OFFICER, DIRECTOR, OR OWNER The Registrar requires all of the information below for each officer, director and owner. 1. Name as it appears on your government-Issued ID Todd Todd Schafer 2. Title/Position (“Officer”, “Director” or “Owner”) 3. Ownership % 4. Date of Birth (MM/DD/YYYY) President 100.00 **/**/**** 5. Identification No. (Driver’s License or Government ID No.) 6. Social Security Number ********** ***-**-**** 7. Residential Address City State Zip Code W 8th Ave Mesa AZ 85210

8. Background Check Receipt Number Background Check Date

9. Phone Number 10. Email Address [number redacted] [email redacted]

CONSENT Enter [Email / Telephone] 11. I consent to receive notifications from the Registrar by email at Yes the following email address................................................................................................... 12. I consent to receive notifications from the Registrar by text No messaging at the following telephone number....................................................... “Notifications” include renewal notices and monthly newsletters. By consenting to receive notifications via text or email, you will not be excluded from receiving notifications by regular mail. You consent by entering the information above.

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov Form RC-L-200C License Application (Corporation) Rev. March 12, 2018 Page 4 of 6 DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

PART 4: DISCLOSURES WORKERS’ COMPENSATION COMPLIANCE Under A.R.S. § 32-1122(B), to obtain or renew a license, an applicant must demonstrate compliance with the statutes or rules governing workers’ compensation insurance. Failure to comply with these statutes or rules is a violation of A.R.S. § 32-1154(A)(4). Possible methods of compliance include:  Insurance Carrier: Obtaining Workers’ Compensation with an insurance carrier authorized by the Director of Insurance to write workers’ compensation insurance in this state; or  Self-Insured: Obtaining a “Resolution of Authorization” from the Industrial Commission of Arizona to act as a self-insurer for payment of Workers’ Compensation benefits to employees; or  Exemption: Being exempt from the statutes or rules governing Workers’ Compensation by being self-employed and not employing workers. 1. The Applicant is in compliance with the statutes or rules governing Workers’ Yes Compensation insurance. Note: Supporting documentation is not required.

PRIOR LICENSE INFORMATION 2. Has the Qualifying Party listed in Part 2 or any individual listed in Part 3: Persons ever been named on a license in any other state? Failure to accurately answer this question may No be a material misrepresentation of fact and a violation of A.R.S. § 32-1154(A)(5). 3. Has the Qualifying Party listed in Part 2 or any individual listed in Part 3: Persons of this application ever been named on a license in any state that was revoked or is No currently suspended? Failure to accurately answer this question may be a material misrepresentation of fact and a violation of A.R.S. § 32-1154(A)(5). FELONY CHARGES Answering ‘yes’ does not automatically disqualify the Applicant from receiving a contractor’s license. 4. Has the Qualifying Party listed in Part 2 or any individual listed in Part 3: Persons of this application ever been convicted of a felony or have a pending felony charge that has No not yet received a disposition? If ‘yes’ is selected, that person must complete and attach the Felony Disclosure Form with this application. UNLICENSED ACTIVITY 5. Has the Qualifying Party listed in Part 2 or any individual listed in Part 3: Persons of this application ever received a citation for, or been convicted of, contracting without a No license in any state? If ‘yes’ is selected, that person must complete and attach the Unlicensed Activity Disclosure Form with this application.

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov Form RC-L-200C License Application (Corporation) Rev. March 12, 2018 Page 10 of 6 DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

AGENCY DISCLOSURE

• A.R.S. § 41-1030(B): An agency shall not base a licensing decision in whole or in part on a licensing requirement or condition that is not specifically authorized by statute, rule or state tribal gaming compact. A general grant of authority in statute does not constitute a basis for imposing a licensing requirement or condition unless a rule is made pursuant to that general grant of authority that specifically authorizes the requirement or condition. • A.R.S. § 41-1030(D): This section may be enforced in a private civil action and relief may be awarded against the state. The court may award reasonable attorney fees, damages and all fees associated with the license application to a party that prevails in an action against the state for a violation of this section. • A.R.S. § 41-1030(E): A state employee may not intentionally or knowingly violate this section. A violation of this section is cause for disciplinary action or dismissal pursuant to the agency’s adopted personnel policy. • A.R.S. § 41-1030(F): This section does not abrogate the immunity provided by § 12-820.01 or 12-820.02.

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov Form RC-L-200C License Application (Corporation) Rev. March 12, 2018 Page 11 of 6 DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

PART 5: REQUIRED DOCUMENTS Before you submit your application, please review the following checklist. Missing documents will delay the processing of your application.

Review the License Application and ensure that it contains the following: Exam Results. The Qualifying Party’s original exam results, or a Completed Waiver Form.

Background Checks. Copies of the payment transaction receipt from the background check for every individual named in Part 3: Persons and the Qualifying Party.

Bond. Completed original Bond Verification Form.

Fees. The required application fee, licensing fee and for dual or residential licenses also include the recovery fund assessment

Government-Issued Identification. The Qualifying Party listed in Part 2, and each individual listed in Part 3: Persons in this License Application must submit a legible copy of a government issued photo identification with the application. Acceptable forms of identification include a valid driver’s license or passport.

Signatures. Completed Signatures section (see next page).

SUPPLEMENTAL DOCUMENTS – Attach the following documents if necessary. License Cancellation Form. If you currently have a license that you wish to cancel upon the issuance of a new license, complete and attach a License Cancellation Form.

Felony Disclosure Forms. If ‘yes’ is selected for any of the Felony Charges questions under, Part 4, attach signed and completed Felony Disclosure Forms and supporting documentation.

Unlicensed Activity Disclosure Forms. If ‘yes’ is selected for any of the Unlicensed Activity questions under Part 4, attach signed and completed Unlicensed Activity Disclosure Forms and documentation of remedial measures.

Solar Warranty. A copy of the solar warranty (if applying for a solar license)

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

If this application was completed by a third party (like a lawyer, contractor’s school, employee, or family member), their information will be displayed below.

Third Party Information

Margaret R Peralta

Third Party Name

[email redacted] Arizona Contractor License Center Email Company Name or School Relationship to Applicant

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

ARIZONA REGISTRAR OF CONTRACTORS

PART 6: SIGNATURES By signing below, each person certifies that the entire contents of this License Application Form, including all supplementary statements and materials attached, are true and correct, and that this application is not submitted with the intent to evade Chapter 10, Title 32 of the Arizona Revised Statutes. A.R.S. § 32-1154(A)(9). It is a violation of A.R.S. § 32-1154(A)(5) to make a misrepresentation of a material fact in obtaining a license. Qualifying Party The Qualifying Party listed under Part 2: Qualifying Party must sign this application, even if they already signed above.

While engaged as the qualifying party for a licensee, the qualifying party is responsible for any violation of this chapter by the licensee.

Todd Todd Schafer ~datemorocco.shotcrete.az@gmail. 8/21/2023 ~signaturemorocco.shotcrete.az@ com ________________ gmail.com Print Name _________________ ____________________ Date Signature

Persons Every person listed under Part 3: Persons must sign this application, even if they already signed above. If you need additional space for signatures, complete and attach additional signature pages with your application. ~datemorocco.shotcrete.az@gma 8/21/2023 Todd Todd Schafer il.com ~signaturemorocco.shotcrete.az ________________ @gmail.com __________________ Date Print Name __________________ Signature

1700 W. Washington Street, Suite 105 ● Phoenix AZ 85007-2812 602.542.1525 ● Toll Free 877.692.9762 ● roc.az.gov DocuSign Envelope ID: E5E600EB-BC26-4B7A-BCFB-A7A90BE23B45

Relevant Experience The Qualifying Party must demonstrate sufficient experience as required by the desired license classification. The required amount of experience can be determined by referring to the License Classification Requirements table. Technical training, military service, diplomas, or certifications may be submitted to substantiate experience, or a portion of experience.

• Under A.R.S. § 32-1122(E}(1}, at least two years of experience must be earned within the last ten years . • If additional space is needed, complete and attach as many "Additional Relevant Experience" paqes as necessary.

Business name of Employer or Self-Employed

1. Self Employed- SchaMac Custom Homes, Inc.

2. Start date of Experience: August 11, 1998

3. End date of Experience: August 21, 2023

4. Average Hours Worked Per Week: Over 40 Hours

5. I Hold the requisite experience in the form of: Hands-On;Supervisor EXHIBIT 3 9/12/23, 2:21 PM QP-[number redacted] ~ Salesforce - Unlimited Edition

Close Window Print This Page Expand All | Collapse All

QP-[number redacted]

Information Application APP-[number redacted] License Status Active Status Active Association Date 8/22/2023 QP Account Contact ACX-00731865 Disassociation Date

Qualifying Party Name Wallace Todd Schafer License ROC 347218 Account SchaMac Custom Homes Inc

System Information Qualifying Party ID QP-[number redacted] Last Modified By Christine Cornelius, 8/22/2023 10:22 AM Created By Christine Cornelius, 8/22/2023 10:22 AM

Copyright © 2000-2023 salesforce.com, inc. All rights reserved.

https://azroc.my.salesforce.com/a0y8y000000jxOOAAY/p 1/1 EXHIBIT 4 9/12/23, 2:56 PM ACX-00731865 ~ Salesforce - Unlimited Edition

Close Window Print This Page

ACX-00731865

Number ACX-00731865 Account SchaMac Custom Homes Inc Related Entity Status Active Contact Wallace Todd Schafer Start Date 8/11/1998 Authorized End Date Representative

Title Qualifying Party Unlicensed Contact Name

Other Position(s) Director Phone

Ownership Address Percentage

Qualifying Party? Tier

Contact Name Wallace Todd Schafer Sort Order AC99A00000 License

APP ACX APP-[number redacted] LIC ACX ROC 336812 QP ACX QP-[number redacted] Created By Data Migration, 9/11/2018 12:50 AM Last Modified By Lauren Johnston, 8/23/2023 2:42 PM Owner ROC Admin

Qualifying Parties QP-[number redacted] License ROC 336812 License Status Active Association Date 1/24/2022 Disassociation Date

QP-[number redacted] License ROC 347218 License Status Active Association Date 8/22/2023 Disassociation Date

QP-[number redacted] License ROC 154461 License Status Active Association Date 4/17/2000 Disassociation Date

QP-[number redacted] License ROC 137572 License Status Active Association Date 8/11/1998

https://azroc.my.salesforce.com/a0Wt000000BNAqTEAX/p 1/2 9/12/23, 2:56 PM ACX-00731865 ~ Salesforce - Unlimited Edition

Disassociation Date

Copyright © 2000-2023 salesforce.com, inc. All rights reserved.

https://azroc.my.salesforce.com/a0Wt000000BNAqTEAX/p 2/2 EXHIBIT 5 9/12/23, 4:42 PM APP-[number redacted] | Application | Salesforce Application No defects found. Auto Approve Review Date 8/22/2023 10:22 AM References Called Status

Renewal Information

Fees

Who is Filling out this Application

Business Entity

Licensee Information

Qualifying Party

Personnel/QP Disclosure

Workers Compensation Coverage

Cancel/Inactivate Existing AZ ROC License

Repeated Email Detected

SRE

Trade Exam

Trade Status Test Manually Entered Completion Date For Trade 8/21/2023

Candidate ID Doing Number For Business As Trade Name of the XXXXXXXXX Licensee

Did the QP Current Status complete the of the Prior Trade Exam? License Yes, the QP completed the trade exam

Business Name Prior License of the Prior Classification Licensee

State Where Date QP asso this License ciated with this was Issued License

Prior License Number

Is QP still associated

Will you at‐ tempt to waive trade exam?

Optional Trade Exam

A li i https://azroc.lightning.force.com/lightning/r/Application__c/a0Z8y000004ClyLEAS/view 3/4 EXHIBIT 6 August 23, 2023

SchaMac Custom Homes Inc W 8th Ave Mesa, AZ 85210

Re: Application Number APP-[number redacted] For SchaMac Custom Homes Inc ROC 347218

Dear Applicant/Licensee:

We are writing to notify you that your license application was incorrectly approved through our portal. Upon review, the Registrar has identified one or more administrative or substantive deficiencies that must be corrected in order to maintain the license in active status. Please submit the following REQUIRED items no later than September 6, 2023 to avoid action against the license:

1. The Qualifying Party’s trade exam results. Your license cannot be validated without this passing exam. You can learn more about exams at: https://roc.az.gov/applying-for-a-license

If the Registrar does not receive the requested information by September 6, 2023, the Registrar will issue a citation seeking suspension of the license until such information is received. In that case, your license will not be suspended until after you are given an opportunity for an administrative hearing. Further, if the Registrar receives the requested information prior to the administrative hearing, the Registrar will withdraw the citation and close the case.

If you have any questions, please contact me or the licensing department.

Sincerely,

/s/ Lauren Johnston

Lauren Johnston Licensing Account Professional 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 L102 07/23 Received 10/04/2023 ROC Legal

2158 N. Gilbert Road, Suite 119 Mesa, Arizona 85203 Telephone (480) 664-7728 Facsimile (480) 668-3110 Shane D. Buntrock, Esq. (SBN 019693) Email [email redacted] Attorneys for Respondent

BEFORE THE REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA Arizona Registrar of Contractors, ROC Case No. 2023-10427 Complainant, WRITTEN ANSWER TO vs. CITATION AND COMPLAINT SchaMac Custom Homes Inc. DBA: RamCore Construction, License No. ROC 347218 Respondent.

Pursuant to A.R.S. § 32-1155, Respondent SchaMac Custom Homes Inc. DBA: RamCore Construction ("Respondent") submits this Written Answer to Citation and Complaint to the Arizona Registrar of Contractors ("ROC") as follows:

I. INTRODUCTION This matter arises from Respondent applying for a B-2 General Small Commercial Contractor’s license and pursuant to the Arizona Department of Registrar (“AROC”). Respondent believes he was exempt based on prior experience.

II. FACTUAL BACKGROUND 1. Respondent applied for a license application for a B-2 General Small Commercial Contractor license on August 21, 2023, and was issued license number 347218 on August 22, 2023. Received 10/04/2023 ROC Legal

2. Wallace Todd Schafer has been the qualifying party for ROC# 137572 since August 11, 1998. 3. Respondent believed that it was exempt from the exam based on Mr. Schafer’s prior experience with ROC137572. 4. On or about August 23, 2023 the Arizona Registrar of Contractors (“AROC”) sent a letter to Respondent stating that the license was incorrectly approved and that the Respondent must take the trade exam prior to the license being validated. 5. Respondent inadvertently did not respond to the letter because during that time Mr. Schafer underwent two medical surgical procedures. 6. AROC issued a citation to Respondent on September 19, 2023.

III. THE CITATION 7. On September 19, 2023, the Arizona Registrar of Contractors (“AROC”) issued a Citation to Respondent for applying for an AZ B-2 General Small Commercial Contractor License without taking the necessary contractor’s exam. 8. Charge 1 of the Citation alleges that Respondent violated A.R.S. § 32- 1154(A)(12) and A.R.S. § 32-1154(A)(19). 9. A.R.S. § 32-1154(A). provides that “The holder of a license or any person listed on a license pursuant to this chapter shall not commit any of the following acts or omissions. 10. A.R.S. § 32-1154(A)(12) provides that Failure in any material respect to comply with this chapter. Specifically, A.R.S. § 32-1154(E)(2) which provides:

[s]uccessfully show, by written examination taken not more than two years before application, if required, qualification in the kind of work for which the applicant proposes to contract, the applicant’s general knowledge of the building, safety, health and lien laws of the state, administrative principles of the contracting business and the rules adopted by the registrar of contractors pursuant to this chapter, demonstrate knowledge and understanding of construction plans and Received 10/04/2023 ROC Legal

specifications applicable to the particular industry or craft and of the standards of construction work and techniques and practices in the particular industry or craft and demonstrate a general understanding of other related construction trades…”

11. A.R.S. § 32-1154(A)(19) provides that Failure in any material respect to comply with this chapter. Specifically, A.R.S. § 32-1154(E)(2) which provides:

Subsequent discovery of facts that if known at the time of issuance of a license or the renewal of a license would have been grounds to deny the issuance or renewal of a license.

12. At the time of the application, the Respondent believed that it was exempt from the examination pursuant to A.R.S. § 32-1122(F). 13. Any errors in the application were not intentional but were inadvertent. 14. Respondent inquired with the ROC about whether the ROC could apply the exemption of A.R.S. § 32-1122(F). As of this date, Respondent has not received any response to the request for waiver. Alternatively, Respondent will have Wallace Todd Schafer complete the trade exam but will need additional time to do so due to recovery from surgical procedures.

IV. CONCLUSION Respondent requests that the exam waiver be applied, or alternatively that the Respondent be given additional time to complete the exam. DATED this 4th day of October 2023.

BUNTROCK HARRISON & GARDNER LAW, PLLC

Shane D. Buntrock, Esq. Attorneys for Respondent Received 10/04/2023 ROC Legal

FILED via EMAIL this 4th day of October 2023, to: Arizona Registrar of Contractors [email redacted]

/s/ Kari Williams Kari Williams Paralegal Received 10/04/2023 ROC Legal

2158 N. Gilbert Road, Suite 119 Mesa, Arizona 85203 Telephone (480) 664-7728 Facsimile (480) 668-3110 Shane D. Buntrock, Esq. (SBN 019693) Email [email redacted] Attorneys for Respondent BEFORE THE REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Arizona Registrar of Contractors, ROC Case No. 2023-10427 Complainant, REQUEST FOR INFORMAL SETTLEMENT CONFERENCE vs. SchaMac Custom Homes Inc. DBA: RamCore Construction, License No. ROC 347218 Respondent.

Pursuant to A.R.S. § 41-1092.06, SchaMac Custom Homes, Inc., d/b/a RamCore Construction (“Respondent”), respectfully requests a settlement conference on ROC Case No. 2023-10427. RESPECTFULLY SUBMITTED this 4th day of October 2023.

BUNTROCK HARRISON & GARDNER LAW, PLLC /s/ Shane D. Buntrock Shane D. Buntrock, Esq. Attorneys for Respondent FILED via EMAIL this 4th day of October 2023, to: Arizona Registrar of Contractors [email redacted]

/s/ Kari Williams Kari Williams Received 10/5/23, 8:06 AM State of Arizona Mail - ROC Case No. 2023-10427 Written Answer to Citation and Complaint 10/04/2023 ROC Legal

Answers - AZROC <[email redacted]>

ROC Case No. 2023-10427 Written Answer to Citation and Complaint message

Kari Williams <[email redacted]> Wed, Oct 4, 2023 at 3:16 PM To: "[email redacted]" <[email redacted]> Cc: Shane Buntrock <[email redacted]>

Good afternoon:

Please see the Respondent’s Written Answer to Citation and Complaint, along with the Request for Informal Settlement Conference.

Have a great day,

Kari

Kari Williams | Paralegal

BUNTROCK HARRISON & GARDNER LAW, PLLC

2158 North Gilbert Road, Suite 119, Mesa, Arizona 85203

480-664-7728 office

480-659-6994 direct/text

480-668-3110 fax

[email redacted]

___________________________________________________________________________________________

This communication may contain CONFIDENTIAL INFORMATION WHICH ALSO MAY BE LEGALLY PRIVILEGED and is

intended only for the use of the intended recipients identified above. If you are not the intended recipient of this

communication, you are notified that any unauthorized review, use, dissemination, distribution, downloading or

copying of this communication is strictly prohibited. If you are not the intended recipient and have received this

communication in error, please immediately notify us, delete the communication and destroy all copies.

www.BHGLaw.com

attachments 2023-10-04 Answer to Citation & Complaint.pdf 231K

https://mail.google.com/mail/b/AEoRXRTLWDwKEBUKHOmYie-aHD1xB2zwA3oeZlkdi4odLizZY0Hw/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/2 Received 10/5/23, 8:06 AM State of Arizona Mail - ROC Case No. 2023-10427 Written Answer to Citation and Complaint 10/04/2023 ROC Legal 2023-10-04 Request for settlement conference.pdf 158K

https://mail.google.com/mail/b/AEoRXRTLWDwKEBUKHOmYie-aHD1xB2zwA3oeZlkdi4odLizZY0Hw/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 2/2 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