2023A-12349-CHC-ROC Notice of Hearing and Packet MAILED

2023A-12349-CHC-ROC · Registrar of Contractors · 2024-01-19

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

John Wesley Upperman , Case No. 2023-12349 COMPLAINANT, Docket No. 2023A-12349-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Alliance LLC License No. ROC 243303,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

March 5, 2024 1:00 PM 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 3, 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 19, 2024.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail January 19, 2024 to: Respondent(s) Alliance LLC 20165 N 67th Ave # 122A-191 Glendale, AZ 85308-7002

Complainant(s) John Wesley Upperman 1114 e palo verde dr phoenix, AZ 85013

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. 2023-12349 /

Katie Hobbs, Governor Martin Quezada, Director

Hearing Packet FAQ What is the Hearing Packet?

The Hearing Packet is a packet of certain documents collected or issued by the Registrar over the course of its investigation.

Who gets the Hearing Packet?

The Hearing Packet is assembled and distributed to all parties and to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing.

What types of cases does the Registrar prepare a Hearing Packet for?

The Registrar prepares a Hearing Packet for Complainant-Handled Cases and No-Pay Cases. Note: If the Docket Number on the Notice of Hearing contains a “CHC” or “NPC”, your case is a Complainant-Handled Case or a No-Pay Case.

What is in the Hearing Packet?

The Hearing Packet contains essential case-specific documents and at a minimum will include the following documents:

● Original complaint;

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Katie Hobbs, Governor Martin Quezada, Director

● Citation; and ● Answer.

The Hearing Packet will also contain the following documents (if applicable):

● Jobsite inspection notices, notes, and photos; ● Written directives; and ● Compliance inspection notices, notes, and photos.

What if there are documents missing from the Hearing Packet?

If there is any evidence you submitted to the Registrar that are not included in the Hearing Packet it is your responsibility to introduce that evidence at the administrative hearing. Note: The administrative law judge assigned to your case does not have access to the entire Registrar record.

If there is additional evidence you submitted to the Registrar during the investigation that you also want to introduce as evidence during your hearing, it is your responsibility to:

● Properly disclose that evidence to the other party; and ● Introduce the evidence during your hearing.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Katie Hobbs, Governor Martin Quezada, Director

How do I disclose evidence I intend to use at a Hearing?

You must properly disclose any and all documents and witnesses you intend to use at your hearing according to the Registrar’s Prehearing Disclosure Rules. See Arizona Administrative Code Section R4-9-118.

A sample prehearing disclosure form and instructions are provided to the parties by the Registrar.

How do I obtain documents I previously submitted to the Registrar?

If you previously submitted documents to the Registrar and need a copy of these documents, please contact the Registrar’s Legal Department or submit a public records request at https://roc.force.com/AZRoc/s/roc-public-request.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Complainant: John Wesley Upperman 1114 e palo verde dr phoenix, AZ 85013

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: Alliance LLC 20165 N 67th Ave # 122A-191 Glendale, AZ 85308-7002

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 December 7, 2023

License No. ROC 243303

Re:Complaint No. 2023-12349

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 12/29/2023.

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 reasons 1, 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- Turf has multiple bubbles in turf along with seams that are noticeable and areas the installer cut to reglue turf. installer says he is unable to fix the problems; Investigator’s Observation: Verified. I observed areas in the turf where cross cuts were made in an attempt to repair areas where adhesive has failed. I also observed areas where rippling/bubbling is visible, including along the back wall of the business. The Respondent inspected and accepted the substrate and performed preparation prior to turf installation. The Respondent shall correct by the appropriate means. Governing Rule: Workmanship Rule: ARS §32-1154 (A) (3), namely R4-9-108, Poor work not performed in accordance with professional industry standards.

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

Complaint Item: 1a- seams that are noticeable. Investigator’s Observation: Unverified. The full length E to W seams appear to be tight and are not noticeable when viewing from the N to S (direction of store fronts natural light) and appear to have tightly abutted edges that do not exhibit gaps or overlaps. No further action required by the Respondent on this specific part of the complaint item. Governing Rule: N/A

Complaint Item: Rubber flooring has large seams that are very noticeable. Investigator’s Observation: Unverified. Visible seams are typical in rubber flooring applications because of material width and length limitations, making installation manageable. Thickness variation was slightly visible and acceptable. No further action required by the Respondent. Governing Rule: N/A

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

Sincerely, Robert Di Alto Robert Di Alto Investigator 602 7716758 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 04/21 Jobsite Inspection Notes

Case No.: 2023-12349 Investigator: Robert Di Alto Inspection Date: December 1, 2023 Inspection Time: 09:30 AM

Complainant: John Wesley Respondent: Alliance LLC Upperman Not Present: Not Present:

Jobsite General Notes: JSI photos taken with my Google Pixel Phone camera. JSI audio recorded with my Olympus Digital Voice Recorder model DM-720. JSI photos and audio have been placed into the ROC complaint file.

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19

required by the Respondent. 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: John Wesley Upperman 1114 e palo verde dr phoenix, AZ 85013

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Respondent: Alliance LLC 20165 N 67th Ave # 122A-191 Glendale, AZ 85308-7002

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 December 15, 2023

Compliance Jobsite Inspection Notice Re: Complaint No. 2023-12349

Dear Complainant and Respondent:

A Compliance Inspection has been scheduled for December 22, 2023 at 10:45 AM to determine the current status of the items listed on the issued Directive.

The Complainant is required to be present for this inspection. The Respondent is encouraged to be present but is not required to attend.

Complainant: SAFE ACCESS IS REQUIRED TO ANY AREA TO BE INSPECTED.

Sincerely, Robert Di Alto Robert Di Alto Investigator 602 7716758 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 12/15/23, 3:48 PM State of Arizona Mail - Regarding complaint#2023-12349

Robert Di Alto <[email redacted]>

Regarding complaint#2023-12349 Devon Kulina (Alliance Flooring) <[email redacted]> Fri, Dec 15, 2023 at 3:45 PM To: [email redacted] Cc: [email redacted]

Hi Robert,

Per our conversation, we are in compliance with written directive dated 12/7/23.

Please let us know when you have availability to schedule a compliance inspection.

Thank you, have a great weekend!

Devon Kulina Alliance Flooring Services ROC#243303

20165 N. 67th Ave #122A.

Glendale, AZ 85308

Cell:623-349-3722

Email: [email redacted]

Web: alliancefloorcovering.com

>>Notice: This message is privileged and confidential

https://mail.google.com/mail/u/0/?ik=129aee39bd&view=pt&search=all&permmsgid=msg-f:[number redacted]&simpl=msg-f:[number redacted]… 1/1 Complainant: John Wesley Upperman 1114 e palo verde dr phoenix, AZ 85013

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Respondent: Alliance LLC 20165 N 67th Ave # 122A-191 Glendale, AZ 85308-7002

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 December 22, 2023

Compliance Jobsite Inspection Notice Re: Complaint No. 2023-12349

Dear Complainant and Respondent:

A Compliance Inspection has been scheduled for December 29, 2023 at 12:00 PM to determine the current status of the items listed on the issued Directive.

The Complainant is required to be present for this inspection. The Respondent is encouraged to be present but is not required to attend.

Complainant: SAFE ACCESS IS REQUIRED TO ANY AREA TO BE INSPECTED.

Sincerely, Robert Di Alto Robert Di Alto Investigator 602 7716758 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Complainant: John Wesley Upperman 1114 e palo verde dr phoenix, AZ 85013

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Respondent: Alliance LLC 20165 N 67th Ave # 122A-191 Glendale, AZ 85308-7002

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Case No.: 2023-12349 Investigator: Robert Di Alto Inspection Date: December 29, 2023 Inspection Time: 12:00 PM

Compliance Jobsite General Notes:

CJSI photos taken with my Google Pixel Phone camera. CJSI audio recorded with my Olympus Digital Voice Recorder model DM-720. CJSI photos and audio have been placed into the ROC complaint file.

Compliance Item: 1- Turf has multiple bubbles in turf along with seams that are noticeable and areas the installer cut to reglue turf. installer says he is unable to fix the problems; Investigator’s Observation: Verified. I observed areas in the turf where cross cuts were made in an attempt to repair areas where adhesive has failed. I also observed areas where rippling/bubbling is visible, including along the back wall of the business. The Respondent inspected and accepted the substrate and performed preparation prior to turf installation. The Respondent shall correct by the appropriate means. Compliance Findings: The Respondent stated that some corrective work was performed. Rippling and bubbling was still visible along the back wall. The Complainant was able to easily sepperate a small cross seam using his fingers with minimal effort. NOT CORRECTED

Note: Please review the complaint items listed above. If any of the items have not been corrected at the time of the compliance inspection this complaint will be forwarded to the Registrar’s legal department and a citation may be issued.

If all items are corrected after receipt of this letter, please notify the Registrar’s legal department by sending a notice of compliance signed by the complainant to fax number (602) 364-0416 or by mail to: Arizona Registrar of Contractors, P.O. Box 18244, Phoenix, Arizona 85005-8244.

Sincerely, Robert Di Alto Robert Di Alto Investigator 602 7716758 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Complaint #2023-12349 P 1 CJSI date 12/29/2023 at 12:00 PM CJSI PHOTOS Complaint #2023-12349 P 2 CJSI date 12/29/2023 at 12:00 PM CJSI PHOTOS Complaint #2023-12349 P 3 CJSI date 12/29/2023 at 12:00 PM CJSI PHOTOS REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

John Wesley Upperman Case No. 2023-12349 COMPLAINANT, v. Alliance LLC CITATION License No. ROC 243303,

RESPONDENT.

The Registrar issues this Citation to Alliance LLC (“Respondent”) under A.R.S. § 32- 1155(A). If Respondent fails to answer this Citation by January 18, 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 25, 2023, John Wesley Upperman (“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.

of 5

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 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. 2023-12349. 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]

of 5

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 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 18, 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

of 5

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

of 5

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Dated January 3, 2024. By: /s/ Mary Coyne Mary Coyne, CP Paralegal Manager Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, January 3, 2024 to:

Respondent Certified Mail No:[number redacted]

Alliance LLC 20165 N 67th Ave # 122A-191 Glendale, AZ 85308-7002 Copy mailed by USPS First Class mail this same date to:

Alliance LLC 20165 N 67th Ave # 122A-191 Glendale, AZ 85308-7002 Complainant John Wesley Upperman 1114 E Palo Verde Dr. Phoenix, AZ 85013 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. 2023-12349 / MTH

of 5

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees 2023-12349

Person Filing Complaint Full Name (First Middle Last) Business Name (if a licensed contractor or supplier) ROC License Number(s) (if any)

John Wesley Upperman Mailing Address (Enter jobsite in Contract/Project section) City State Zip

1114 e palo verde dr phoenix Arizona 85013 Phone Number Email

[number redacted] [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Street Address of Attorney City State Zip

Phone Number of Attorney Email of Attorney

Contractor Information Name (as shown on contract/invoice) ROC License Number(s)

Alliance LLC ROC 243303 Street Address City State Zip

20165 N 67th Ave # 122A-191 Glendale AZ 85308-7002 Phone Number Email

[number redacted] [email redacted] Name of Person(s) Representing License

Devon Kulina Contract/Project Information Contract Date Contract Amount Amount Paid 09/19/2023 $21,298 $10,649 Date Work Started Date Work Stopped Date Work Was Completed 09/30/2023 10/23/2023 Not completed Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

10953 N Frank Loyd Wright Blvd #112 Scottsdale AZ 85259 Name of Construction Site Owner Construction Site Name (if applicable)

Casey Upperman & John Upperman Phone Number of Construction Site Owner Email of Construction Site Owner

(602) 725-0964 This complaint is for Poor Work I have contacted the contractor by Have you filed a complaint in court? No Has any work been corrected? No

RCC099 12/05/18 Page 1 of 2 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees 2023-12349

The contract was All change orders were This project was This project involved Repair

A building permit was obtained by N/A List and briefly describe each complaint item (Please do not write "see attached" or use additional pages unless necessary to further describe issues or list more complaint items) (limited to 100 characters per line)

Turf has multiple bubbles in turf along with seams that are noticeable and areas the installer cut to reglue turf. installer says he is unable to fix the problems; Rubber flooring has large seams that are very noticeable

Signature I declare under penalty of perjury that the information and documents contained on this Complaint Form, included with this complaint, or hereafter submitted in support of this complaint are true and accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date

John Wesley Upperman \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 RECEIVED LEGAL 1/05/2024

20165 N 67th Ave #122a - Glendale, Arizona 85308 602-694-4884 FAX# 602-795-9701 ROC # 243303 CR 8 WWW.ALLIANCEFLOORINGSERVICES.COM

Arizona Registrar of Contractors 1700 West Washington St., Suite 105 Phoenix, AZ 85007

Re: Case No. 2023-12349 Written Answer to the Citation

In the case involving the flooring installation at Rotational Athletics located at 10953 N Frank Lloyd Wright Blvd #112 Scottsdale , AZ 85259. For over 16 years as qualifying party for Alliance LLC Roc # 243303 and 15 years prior licensee. We have always provided a quality service and products and take our responsibility seriously as evident in the fact that we have no complaints in all of this time however in this instance, we have a customer that is attempting to unduly enrich themselves by refusing to pay for material and installation of flooring product. The overall installation of the rubber flooring is acceptable per the opinion of the Registrar Inspector and the turf material has been installed per common industry standards and possible product manufacturing issues or adhesive furnished by the customer may be a possible concern. Contrary to Charge #1 A contractor shall perform all work in a professional and workmanlike manner. As proven for over 17 years, we always perform work in a professional and workmanlike manner and no different in this case. Contrary to charge #2 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. Alliance LLC has made several return visits to the site to address the complainants’ concerns prior to and after the Complaint submitted to the ROC on Oct 25, 2023. The work was completed on October 2, 2023 in which the scope is reflected in the signed proposal received from Casy Upperman, Not John Upperman.( The Complainant) Upon trying to collect payment for the balance due we were asked to address a few concerns with the “Artificial Turf product” furnished by the customer. We immediately set up time to address these concerns. 1st attempt was on October 5, 2023 to only address some latent bubbles that are somewhat expected with this type of Artificial Turf. Again, the customer refused to pay the $ 9,500.00 balance due stating that he will wait to see if he notices anything else the next day. We contacted the customer again for payment and was refused. We returned again on Oct 10th to address a few additional concerns and was hurried out before we finished. We returned again on Oct 18th to address the concerns and advised the customer that it seems that there may be a problem in the actual pile of the material that they provided that gives an appearance of bubbles since the areas being pointed out are sufficiently adhered… We asked that they contact the material manufacturer for input. They were told that the product that they were sold is mostly used for exterior installations but can be installed in a building with adhesives that was “also furnished by the customer”. We were still not able to collect the balance owed. We again attempted to appease the customer. Continued pg 2 RECEIVED LEGAL 1/05/2024

Pg 2

We returned again on Oct 23rd to address the same issues. Again, we were rushed out by the customer after a short time and were unable to complete the re-work. Upon asking again for the payment or at least a discounted amount we were told no. I then suggested that I will request a building confidence inspection to allow for an opinion from the ROC. I sent the request to the ROC and received a Inspection date of Nov 9th 2023. I then received a notice on Nov 7th 2023 that a complaint was filed and that a new date would be set for Dec 1st 2023. Robert De Alto was assigned as the inspector. Please refer to “Written Directive from the Registrar” Dated Dec 7, 2023. We returned again pursuant to the directive on Dec 14th 2023 and again address the remaining concerns that we were unable to address prior since we were not allowed sufficient time to complete. Again, we asked for payment and were denied. The only lingering issue as I understand from Mr. De Alto is there is a 12 inch seam in an area around an electrical penetration ( Pipe) that will require some additional adhesive. In Closing. I believe that Alliance LLC has not in any way “Failed” to perform all work in a professional and workmanlike manner or in any way failed to take corrective action on many occasions prior to and after written complaint was filed with the Registrar.

Sincerely,

John Kulina Alliance Flooring Services RECEIVED LEGAL 1/05/2024

Legal New Mail - AZROC <[email redacted]>

RE: Citation 2023-12349- Rotational Athletics Turf message

[email redacted] <[email redacted]> Fri, Jan 5, 2024 at 11:08 AM Reply-To: [email redacted] To: Legal New Mail - AZROC <[email redacted]>, [email redacted] Cc: [email redacted], [email redacted]

Hello,

Please see attached written answer to the citation.

Please schedule Administrative Hearing.

Additionally, Per A.R.S. § 41-1092.06 Please accept this as written request for an informal settlement conference.

Please Confirm receipt of this communication!

Thank You!

John Kulina

Alliance Flooring Services

602-694-4884 [email redacted]

www.alliancefloorcovering.com

From: [email redacted] <[email redacted]> On Behalf Of Legal New Mail - AZROC Sent: Thursday, January 4, 2024 1:00 PM To: undisclosed-recipients: Subject: Citation 2023-12349 RECEIVED LEGAL Hello, 1/05/2024

Attached please find an electronic courtesy copy of the Citation issued in this case. This document was also sent to your attention via US Mail.

Thank you,

Arizona Registrar of Contractors

Legal Department

Fill out AZ ROC’s survey to let us know how we’re doing and how we can better serve you!

Case No. 2023-12349 Written Answer to the Citation.pdf 192K 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