2023A-12200-CHC-ROC Notice of Hearing and Packet MAILED
2023A-12200-CHC-ROC · Registrar of Contractors · 2024-01-29
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Jeremy Fellers , Case No. 2023-12200 COMPLAINANT, Docket No. 2023A-12200-CHC-ROC
v. NOTICE OF HEARING ON CONTESTED CASE Jacob Tyler Fallon DBA: Jacob Fallon License No. ROC 333525,
RESPONDENT.
This Notice of Hearing is issued under A.R.S. § 41-1092.05(D).
HEARING INFORMATION The hearing is set for:
March 14, 2024 9:00 AM Jenna Clark 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 January 5, 2024.
SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED The complaint and citation allege that the Respondent committed the following act(s):
Charge: 1 A.R.S. § 32-1154(A)(3) - R4-9-108(a)
Charge: 2 A.R.S. § 32-1154(A)(22)
THE PARTIES TO THE ADMINISTRATIVE HEARING
Because Respondent is a licensee and is charged with an act(s) or omission(s) that is cause for the suspension or revocation of a license, Respondent is a party to this case and will be a party to the hearing. Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing.
Respondent and Complainant, as the parties to the hearing, will present evidence and
argument to the administrative law judge.
The Registrar’s assigned investigator will appear as a witness at the hearing.
RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney. A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32- 1156(B).
CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of any change of address within five (5) days of the change. A.R.S. § 41-1092.04.
HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092 to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles regarding the administrative hearing process can be found at https://www.azoah.com/.
REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE The Registrar’s investigators, employees, and attorneys will appear at the hearing via video conference or telephone unless requested by a party to appear in-person. Requests for the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date.
HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses
certain documents to the parties and the Office of Administrative Hearings. These documents
are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit
additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below. SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their
case. If a party wants to obtain testimony from a witness or documents not in the party’s
possession, the party must prepare and file a written subpoena for the Administrative Law
Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a
subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04.
DISCLOSURE STATEMENT
At least seven calendar days before the hearing, each party must prepare and serve a disclosure statement on all other parties, and file it with the Office of Administrative Hearings. A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is
available on the Registrar’s website at https://roc.az.gov/forms/RC-L-800A%20-
%20Prehearing%20Disclosure%20Statement%2020191007v4.pdf
CHANGING THE HEARING DATE The date of the hearing may only be advanced or delayed on the agreement of the parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may be changed by filing a written agreement of the parties to change the date of the hearing. The written agreement must be filed with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com If a party would like to move the date of the hearing without agreement of all parties,
the party must file a written motion with the Office of Administrative Hearings, directed to the
assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties.
The motion must state in detail good cause for why the date of the hearing should be advanced or delayed, and the position of all other parties regarding the advancement or delay. A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).
RESOLUTION SHORT OF ADJUDICATION In any case which is resolved or settled by the parties, or which is withdrawn by the Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated January 30, 2024.
By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail January 30, 2024 to: Respondent(s) Jacob Tyler Fallon 1312 S Hardy Dr Unit 13 Tempe, AZ 85281
Complainant(s) Jeremy Fellers 34 W Edgemont Ave Phoenix, AZ 85003
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. 2023-12200 /
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
Jobsite Inspection Notes
Case No.: 2023-12200 Investigator: Jack Grimm Inspection Date: November 20, 2023 Inspection Time: 10:00 AM
Complainant: Jeremy Fellers Respondent: Jacob Tyler Fallon Not Present: Not Present:
Jobsite General Notes: No one was present representing the Respondent. Also present was Taylor Fellers – wife co-owner.
Complaint Item #1: Faulty pavers grade in the backyard, grading towards the residence. Investigators Observation: Pavers at the back porch and up against the house as installed are the same or above the elevation of the home floor. Pavers have no positive slope away from the home and in most location are flat or in some areas have back slope towards the house. Pavers are installed above the stucco weep screed. Per IRC code R703.7.2.1 Weep screeds “The weep screed shall be place not less than 4 inches above earth or 2 inches above paved areas.” The location of the weep screed is set by the bottom of the framed wall and is in the correct location. The paver elevation have buried the weep screed and the soil location of the planter on the east side of the new addition is graded at or above the weep screed. The entire grade around the new addition does not meet the required 4 inches below the weep screed. This condition on the east side of the new addition has caused damage to the lower portion of the interiors of the walls, drywall, base and flooring. The condition of the buried weep screed (paver set to high) is also present around the addition to the garage. *Correct pavers at all locations to meet the required elevation of 2 inches below stucco weep screed with positive flow to drain away. Correct location of graded soil to meet the requirement of 4 inches below stucco weep screed. The entire new paver patio and soil around the new addition must have positive drainage to a location that will not pool water. Correct/repair all locations of drywall, baseboards and flooring damaged by water intrusion. Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
Complaint Item #2: Non-disclosure of irrigation leak leading to warping of the baseboards and flooring. Investigators Observation: Property owner’s state irrigation had to be shut off to this area (planter on east side of new addition) to prevent continued damage to the interior. Baseboards and flooring have been addressed in complaint item #1. *After the grade issued as outlined in complaint item #1 is addressed correct irrigation as needed. Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner.
Complaint Item #3: Failure to grade the home properly lead to water coming in from the base of the home. Major flood damage to wood flooring and baseboards. Investigators Observation: Addressed in complaint item #1. Governing Rule: N/A
Complaint Item #4: Black mold discovered when baseboards removed. Investigators Observation: The ROC has no jurisdiction over mold and has no way to determine severity if issue. Governing Rule: N/A
Complaint Item #5: Failure to remove sediment from around the plumbing lead to flooding in the master shower and dirt sediment is still coming from the guest shower. Investigators Observation: Homeowners state they have resolved this issue. Governing Rule: N/A
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19
Complainant: Jeremy Fellers W Edgemont Ave Phoenix, AZ 85003
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Respondent: Jacob Tyler Fallon DBA: Jacob Fallon 1312 S Hardy Dr Unit 13 Tempe, AZ 85281
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 October 24, 2023
Jobsite Inspection Notice Re: Complaint Number 2023-12200
Dear Complainant and Respondent:
A formal complaint has been filed with the Arizona Registrar of Contractors.
A jobsite inspection is scheduled for November 20, 2023 at 10:00 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.
COMPLAINANT: 1. Under A.R.S. § 32-1155(D)(1), the Respondent must be allowed, upon request, the opportunity to inspect the work complained of within fifteen (15) days of receiving this notice. If Respondent is not provided an opportunity to inspect the work within the fifteen (15) day time period, the Registrar may be prohibited from taking further action on this complaint. 2. The Registrar may also be precluded from taking further action on this complaint, if the work that is the subject of the complaint is subject to neglect, modification, or abnormal use. A.R.S. § 32-1155(D)(2) 3. You must provide safe access to any area to be inspected. If access to a roof or other elevated area is required, you must provide a means to safely access the area (ladder or manlift as appropriate). Additionally, please secure any animals.
RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 If either party needs to reschedule the jobsite inspection, please notify the assigned investigator at least three business days prior to the inspection date to schedule a new date and time.
If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.
Sincerely, Jack Grimm Jack Grimm, Investigator #172 602 7716741 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Jobsite Inspections
Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license alleging poor workmanship, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.
Jobsite Inspection Rights and Responsibilities Access to inspect: The property owner has complete control over who they allow on the property. However, if the Registrar’s investigator or the contractor cannot inspect the work, the Registrar will not move forward with a citation.
Cooperation: Arizona law enables injured parties to seek relief for damages through several paths. When dealing with a licensed contractor, the Registrar of Contractors’ administrative complaint process may serve as one of those possible paths. However, in order to use that path, the Registrar relies on the cooperation of all parties to a complaint.
Minimum workmanship: The Registrar investigates workmanship complaints for compliance with minimum workmanship and professional industry standards. The Registrar does not issue citations for work that meets these standards.
Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.
The Role of the Investigator At the Jobsite Inspection, the Registrar’s investigator will: ● Only investigate the items listed on the complaint form filed with the Registrar. ● Will gather evidence to make an informed decision about the complaint items.
What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.
Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.
What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will determine whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.
Written Directives Access: In order to use the administrative process offered by the Registrar, a property owner must provide reasonable access to allow the contractor to fix their work as directed by the Registrar in a Written Directive. Complainants may not put any additional, unnecessary restrictions on the Respondent above and beyond the initial contract requirements agreed upon at the beginning of the project. Respondents are required to make repairs on items identified on any Written Directive, not otherwise restricted by local code or HOA limitations. Complainants must make access available to the Respondent to make the required repairs and failure to provide reasonable access may result in the Registrar dismissing the complaint.
Contractor obligations: The Written Directive will set a deadline for compliance. This is the period of time determined by the Investigator as necessary to complete the items listed in the Directive. ● The deadline for compliance assumes the contractor will promptly begin working on the items listed in the Directive. ● Do not wait. Both parties should communicate quickly to schedule the work.
Extensions: If good cause exists to extend this deadline, either party may submit a written request to the Investigator. The Registrar will review requests for extension and determine if the Directive should be extended.
Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.
Compliance Inspection: After the Written Directive expires, the Registrar’s Investigator will contact the complainant to determine if the contractor performed any corrective work. ● If the contractor did corrective work, the Investigator may schedule a Compliance Inspection to determine if the poor work is corrected. ● If the contractor did not perform any corrective work, the Registrar’s Investigator will not do a Compliance Inspection and will determine whether to issue a citation based on the administrative record.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.
Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Complainant: Jeremy Fellers W Edgemont Ave Phoenix, AZ 85003
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Respondent: Jacob Tyler Fallon DBA: Jacob Fallon 1312 S Hardy Dr Unit 13 Tempe, AZ 85281
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 November 27, 2023
License No. ROC 333525
Re:Complaint No. 2023-12200
WRITTEN DIRECTIVE FROM THE REGISTRAR
Dear Respondent:
After investigation, the Registrar determined that you failed to meet the requirements of A.R.S. § 32-1154(A), and now issues this Directive requiring you to take appropriate corrective action. Failure to comply with this Directive constitutes a violation of A.R.S. § 32-1154(A)(22) and may result in the issuance of a citation, discipline of your license, and a civil penalty pursuant to A.R.S. § 32-1154(E) of up to $500.00. You must notify the Registrar’s assigned Investigator of your compliance with this Directive prior to 5:00 p.m. on December 29, 2023.
RESTRICTIONS You may not perform or hire other contractors to perform work that is outside the scope of your license. If your license is currently suspended for administrative reasons1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.
DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:
Complaint Item #1: Faulty pavers grade in the backyard, grading towards the residence. Investigators Observation: Pavers at the back porch and up against the house as installed are the same or above the elevation of the home floor. Pavers have no positive slope away from the home and in most location are flat or in some areas have back slope towards the house. Pavers are installed above the stucco weep screed. Per IRC code R703.7.2.1 Weep screeds “The weep screed shall be place not less than 4 inches above earth or 2 inches above paved areas.” The location of the weep screed is set by the bottom of the framed wall and is in the correct location. The paver elevation have buried the weep screed and the soil location of the planter on the east side of the new addition is graded at or above the weep screed. The entire grade around the new addition does This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F). 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 not meet the required 4 inches below the weep screed. This condition on the east side of the new addition has caused damage to the lower portion of the interiors of the walls, drywall, base and flooring. The condition of the buried weep screed (paver set to high) is also present around the addition to the garage. *Correct pavers at all locations to meet the required elevation of 2 inches below stucco weep screed with positive flow to drain away. Correct location of graded soil to meet the requirement of 4 inches below stucco weep screed. The entire new paver patio and soil around the new addition must have positive drainage to a location that will not pool water. Correct/repair all locations of drywall, baseboards and flooring damaged by water intrusion. Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner.
Complaint Item #2: Non-disclosure of irrigation leak leading to warping of the baseboards and flooring. Investigators Observation: Property owner’s state irrigation had to be shut off to this area (planter on east side of new addition) to prevent continued damage to the interior. Baseboards and flooring have been addressed in complaint item #1. *After the grade issued as outlined in complaint item #1 is addressed correct irrigation as needed. Governing Rule: 32-1154(A)(3) Poor work – A contractor shall perform all work in a professional and workmanlike manner.
ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:
Complaint Item #3: Failure to grade the home properly lead to water coming in from the base of the home. Major flood damage to wood flooring and baseboards. Investigators Observation: Addressed in complaint item #1. Governing Rule: N/A
Complaint Item #4: Black mold discovered when baseboards removed. Investigators Observation: The ROC has no jurisdiction over mold and has no way to determine severity if issue. Governing Rule: N/A
Complaint Item #5: Failure to remove sediment from around the plumbing lead to flooding in the master shower and dirt sediment is still coming from the guest shower. Investigators Observation: Homeowners state they have resolved this issue. Governing Rule: N/A
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Please direct all questions regarding this Directive to the undersigned Investigator.
Sincerely,
Jack Grimm Jack Grimm, Investigator #172 602 7716741 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812
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611 !""! 1 1#11$%&7'07( )*+7,-.&, & , +& +6)**(3323(2*()2**/( "60()077))((77**1 212 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Jeremy Fellers, Case No. 2023-12200 COMPLAINANT, v. Jacob Tyler Fallon CITATION DBA: Jacob Fallon, License No. ROC 333525,
RESPONDENT.
The Registrar issues this Citation to Jacob Tyler Fallon DBA: Jacob Fallon (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by January 20, 2024, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On October 23, 2023, Jeremy Fellers (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged with violating: Charge :1 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.
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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge :2 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held.
If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F). FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2023-12200. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted]
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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than January 20, 2024. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an
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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar.
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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 Dated January 5, 2024. By: /s/ Tedi Quezada Tedi Quezada Legal Assistant Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, January 5, 2024 to:
Respondent Certified Mail No: [number redacted]
Jacob Tyler Fallon DBA: Jacob Fallon 1312 S Hardy Dr. Unit 13 Tempe, AZ 85281
Copy mailed by USPS First Class mail this same date to: Respondent Jacob Tyler Fallon DBA: Jacob Fallon 1312 S Hardy Dr. Unit 13 Tempe, AZ 85281
Complainant Jeremy Fellers W Edgemont Ave Phoenix, AZ 85003 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. 2023-12200
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711 !""! 1 1#11$%&'(0')28*'+,-&+ & + *& *734.023)482034'044)/0) "70)20424)3.8'2/)1 414 City of Phoenix PERMIT Planning And Development Department
To find out about Phoenix construction code adoption news and to research your permits or projects, please visit http://www.phoenix.gov/PDD 200 West Washington Street STATUS: OPEN Permitted Building Construction hours are (non-Holiday weekdays): Phoenix, Arizona 85003 POST THIS PERMIT ON JOB SITE 6:00 a.m. and 7:00 p.m. from May 1 to September 30 7:00 a.m. and 7:00 p.m. from October 1 to April 30 General Information 602-262-78 Before you start to dig, call Blue Stake 602-263-1100
NOTICE - This permit authorizes the above described work to be done in accordance with the approved plans and all applicable City codes and ordinances. Plan approval and permit issuance does not authorize violation of any city code or ordinance. The contractor(s) doing the work and the property owner or tenant/occupant authorizing the work are all legally responsible for complying with all codes and ordinances. This permit expires by limitation and is null and void if work has not started within or ceased for any reason for 180 days, or if work is not completed by the expiration date printed above. Work after this time or beyond the scope of this permit requires a new supplemental permit. This permit can be suspended or revoked for failing to follow the approved plans or for violation of any City code or ordinance. Work within the public right-of-way shall comply with all City standard details and specifications. The contractor is responsible for maintaining streets and sidewalks safe and usable at all times. All barricades shall be approved in advance and shall comply with the City Traffic Barricade Manual.
Printed: 10/23/23 bprp01w Rev 10.3 07/10/13 bk Permit Fees
Fee Code Description Total Amount Paid
Permit Fee Total: City of Phoenix BUILDING PERMIT
CHECK STATUS Planning And Development Department
To find out about Phoenix construction code adoption news and to research your permits or projects, please visit http://www.phoenix.gov/PDD 200 West Washington Street STATUS: SHAP Permitted Building Construction hours are (non-Holiday weekdays): Phoenix, Arizona 85003 POST THIS PERMIT ON JOB SITE 6:00 a.m. and 7:00 p.m. from May 1 to September 30 7:00 a.m. and 7:00 p.m. from October 1 to April 30 General Information 602-262-78 Before you start to dig, call Blue Stake 602-263-1100
Permit # RSME 21026630 Issued 09-AUG-2021 Expires 09-AUG-2023 Permit Description ADDITION AND REMODEL Project 00-1672 WELLINGTON PLACE Address 34 W EDGEMONT AVE PHOENIX AZ 85003-1065 Zoning L 12 B 3 WELLINGTON PLACE Q S Q14-27 APN 118-43-114 Dist 04 Description/Scope of Work: ADDITION TO EXISTING RESIDENCE DESCRIPTION OF WORK: ADDITION TO THE EXISTING SINGLE FAMILY RESIDENCE PER APPROVED PLANS.
SPECIAL INSPECTIONS PER IBC 1704: N/A
**SMOKE ALARMS ARE REQUIRED PER IRC R314 FOR ALL NEW CONSTRUCTION/ADDITIONS OR ALTERATIONS THAT REQUIRE A PERMIT & CARBON MONOXIDE ALARMS ARE REQUIRED FOR NEW/REMODEL CONSTRUCTION PER IRC R315 WHERE FUEL FIRED APPLIANCES ARE INSTALLED AND/OR IN ANY DWELLING UNIT WITH AN ATTACHED GARAGE.**NEW OR ALTERED FIREPLACES PERMITTED AFTER 1-1-99 MUST COMPLY WITH ORDINANCE G4062.
EFFECTIVE BUILDING CODES: 2018 IBC, 2018 IRC, 2018 IMC, 2018 IPC, 2018 UPC, 2018 IFGC, 2018 ISPSC, 2017 NEC, 2018 PHX FIRE CODE.
CONSTRUCTION TYPE: FRAME ROOFING: ROLLED ASPHALT SHINGLES ENERGY CODE: PRESCRIPTIVE WATER METER: 3/4" REQUIRED LIVABLE S.F.- 1115 PATIO S.F.: 179 FIRE SPRINKLERS: NO FENCE: NO FINISHED FLOOR ELEVATION: Finished floor elevations are grandfathered in to match the existing legally established livable finished floor elevation of the dwelling unit. Current local drainage conditions are unknown. The permitted structure or structures shall not affect the drainage to neighboring lots. HILLSIDE: NO FLOOD PLAIN: NO RETENTION REQUIRED: NO POST-TENSION SLAB: NO ZONING: R-3 REVIEWER(S): ZONING: MDE RES: DCL1 / MCH1
Valuation: $79,797 Str Class 021 Units 0 Sq.Ft. 935 Cnst I:VB Occ I:R-3 Owner Information Certificate of Name CONSTUCTION WORKS LLC Occupancy Type: COFO Address 6726 E LAFAYETTE BLVD SCOTTSDALE AZ 85251 Contractor Information Type Contact Phone Name JACOB TYLER FALLON Ins Exp Address 1312 S HARDY DR UNIT 13 City/St/Zip TEMPE AZ 85281 Phone Instructions and Comments Permit Issued By EPR Entered By MCH1
GENERAL Inspections Required: Call 602-495-0800 or go online to www.phoenix.gov/BUSINESS before 8PM to request for a next day inspection NOTICE - This permit authorizes the above described work to be done in accordance with the approved plans and all applicable City codes and ordinances. Plan approval and permit issuance does not authorize violation of any city code or ordinance. The contractor(s) doing the work and the property owner or tenant/occupant authorizing the work are all legally responsible for complying with all codes and ordinances. This permit expires by limitation and is null and void if work has not started within or ceased for any reason for 180 days, or if work is not completed by the expiration date printed above. Work after this time or beyond the scope of this permit requires a new supplemental permit. This permit can be suspended or revoked for failing to follow the approved plans or for violation of any City code or ordinance. Work within the public right-of-way shall comply with all City standard details and specifications. The contractor is responsible for maintaining streets and sidewalks safe and usable at all times. All barricades shall be approved in advance and shall comply with the City Traffic Barricade Manual.
Printed: 10/23/23 bprp01w Rev 10.3 07/10/13 bk Permit Fees
Fee Code Description Total Amount Paid
PMTRCDCHG* PERMIT RECORD CHANGE 37.50 X RESADDPMT* RESIDENCE ACCESS/ADDTN PERMIT 1069.00 X WIMTR3/4 WATER METER ONLY, IN CITY,3/4" 700.00 X
Permit Fee Total: $1,806.50 City of Phoenix BUILDING PERMIT
CHECK STATUS Planning And Development Department
To find out about Phoenix construction code adoption news and to research your permits or projects, please visit http://www.phoenix.gov/PDD 200 West Washington Street STATUS: SHAP Permitted Building Construction hours are (non-Holiday weekdays): Phoenix, Arizona 85003 POST THIS PERMIT ON JOB SITE 6:00 a.m. and 7:00 p.m. from May 1 to September 30 7:00 a.m. and 7:00 p.m. from October 1 to April 30 General Information 602-262-78 Before you start to dig, call Blue Stake 602-263-1100
Permit # RSME 21033938 Issued 07-OCT-2021 Expires 07-OCT-2023 Permit Description ADDITON TO DET. GARAGE Project 00-1672 WELLINGTON PLACE Address 34 W EDGEMONT AVE PHOENIX AZ 85003-1065 Zoning R1-6 HP L 12 B 3 WELLINGTON PLACE Q S Q14-27 APN 118-43-114 Dist 04 Description/Scope of Work: ADDITION TO EXISTING RESIDENCE DESCRIPTION OF WORK: ADDITION TO THE EXISTING DETACHED GARAGE FOR THE SINGLE FAMILY RESIDENCE PER APPROVED PLANS.
SPECIAL INSPECTIONS PER IBC 1704: N/A
**SMOKE ALARMS ARE REQUIRED PER IRC R314 FOR ALL NEW CONSTRUCTION/ADDITIONS OR ALTERATIONS THAT REQUIRE A PERMIT & CARBON MONOXIDE ALARMS ARE REQUIRED FOR NEW/REMODEL CONSTRUCTION PER IRC R315 WHERE FUEL FIRED APPLIANCES ARE INSTALLED AND/OR IN ANY DWELLING UNIT WITH AN ATTACHED GARAGE.**NEW OR ALTERED FIREPLACES PERMITTED AFTER 1-1-99 MUST COMPLY WITH ORDINANCE G4062.
EFFECTIVE BUILDING CODES: 2018 IBC, 2018 IRC, 2018 IMC, 2018 IPC, 2018 UPC, 2018 IFGC, 2018 ISPSC, 2017 NEC, 2018 PHX FIRE CODE.
CONSTRUCTION TYPE: FRAME ROOFING: ROLLED ASPHALT SHINGLES ENERGY CODE: PRESCRIPTIVE WATER METER: 3/4" REQUIRED LIVABLE S.F.: 359 PATIO S.F.: 146 GARAGE EXTENSION S.F.: 117 FIRE SPRINKLERS: YES - 22 L.F. OF 6' CMU FENCE: NO FINISHED FLOOR ELEVATION: Finished floor elevations are grandfathered in to match the existing legally established livable finished floor elevation of the dwelling unit. Current local drainage conditions are unknown. The permitted structure or structures shall not affect the drainage to neighboring lots. HILLSIDE: NO FLOOD PLAIN: NO RETENTION REQUIRED: NO POST-TENSION SLAB: NO ZONING: R-3 REVIEWER(S): ZONING: MDE RES: DCL1 / MCH1
Valuation: $43,371 Str Class 021 Units 0 Sq.Ft. 622 Cnst I:VB Occ I:R-3 Owner Information Certificate of Name CONSTUCTION WORKS LLC Occupancy Type: COFO Address 6726 E LAFAYETTE BLVD SCOTTSDALE AZ 85251 Contractor Information Type Contact Phone Name JACOB TYLER FALLON Ins Exp Address 1312 S HARDY DR UNIT 13 City/St/Zip TEMPE AZ 85281 Phone Instructions and Comments Permit Issued By KSH Entered By SWO
GENERAL Inspections Required: Call 602-495-0800 or go online to www.phoenix.gov/BUSINESS before 8PM to request for a next day inspection NOTICE - This permit authorizes the above described work to be done in accordance with the approved plans and all applicable City codes and ordinances. Plan approval and permit issuance does not authorize violation of any city code or ordinance. The contractor(s) doing the work and the property owner or tenant/occupant authorizing the work are all legally responsible for complying with all codes and ordinances. This permit expires by limitation and is null and void if work has not started within or ceased for any reason for 180 days, or if work is not completed by the expiration date printed above. Work after this time or beyond the scope of this permit requires a new supplemental permit. This permit can be suspended or revoked for failing to follow the approved plans or for violation of any City code or ordinance. Work within the public right-of-way shall comply with all City standard details and specifications. The contractor is responsible for maintaining streets and sidewalks safe and usable at all times. All barricades shall be approved in advance and shall comply with the City Traffic Barricade Manual.
Printed: 10/23/23 bprp01w Rev 10.3 07/10/13 bk Permit Fees
Fee Code Description Total Amount Paid
RESADDPMT* RESIDENCE ACCESS/ADDTN PERMIT 503.00 X
Permit Fee Total: $503.00 0121234ÿ00607ÿ89 ÿÿ8 ÿ9 ÿÿ 6ÿÿÿ22022
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711 !""!#1 1$11%&'(#8#)#30*+,-'+ #' + ' 7..0)4000**2*404/2"702*2280430323.0 010 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