2023A-12568-CHC-ROC Notice of Hearing and Packet MAILED

2023A-12568-CHC-ROC · Registrar of Contractors · 2024-04-01

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Hector Zepeda , Case No. 2023-12568 COMPLAINANT, Docket No. 2023A-12568-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design License No. ROC 332472,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

May 15, 2024 9:00 AM Adam Stone 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 March 8, 2024.

SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED The complaint and citation allege that the Respondent committed the following act(s):

Charge: 1 A.R.S. § 32-1154(A)(2)(a)

Charge: 2 A.R.S. § 32-1154(A)(3) - R4-9-108(a)

Charge: 3 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158.01

Charge: 4 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 March 29, 2024.

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

Copy mailed via USPS First Class mail March 29, 2024 to:

Respondent(s) Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design 1870 W Prince Rd., Ste 38 Tucson, AZ 85705

Complainant(s) Hector Zepeda 3159 West Salvia Drive Tucson, AZ 85745

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. 2023-12568 /

Complainant: HECTOR ZEPEDA 3159 West Salvia Drive TUCSON, AZ 85745

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: Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design 1870 W Prince Rd., Ste 38 Tucson, AZ 85705

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 November 30, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-12568

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for February 7, 2024 at 09:30 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, Gregory Johndrow Gregory Johndrow, Investigator #195 (520) 628-6896 [email redacted] 1700 W. Washington St., Ste. 105 Phoenix, Arizona 85007

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Complainant: HECTOR ZEPEDA 3159 West Salvia Drive TUCSON, AZ 85745

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Respondent: Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design 1870 W Prince Rd., Ste 38 Tucson, AZ 85705

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 February 14, 2024

License No. ROC 332472

Re: Complaint No. 2023-12568

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 March 1, 2024.

RESTRICTIONS • You may not perform or hire other contractors to perform work that is outside the scope of your license. • If your license is currently suspended for administrative 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 4: “PLUMBING IS EXPOSED IN A AREA ON THE POOL” Investigator’s Observations: Verified. An exposed plumbing line was observed outside of the pool on the spa side of the pool. Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner.

Complaint Item 5: “THE COPING IS SHARP AND UNSAFE IN ONE AREA AND NOT ROUNDED OFF AS I REQUESTED, THE TOP OF THE COPING IS FILTY AND STAINED” Investigator’s Observations: Verified. One section of the coping was not rounded at the end where it finishes against the stack stone veneer next to the spa. Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner.

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

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Complaint Item 6: “3 POOL LIGHTS ARE MISSING FROM WHAT WE ORIGINALLY AGREED TO” Investigator’s Observations: Verified. Lights was not installed as specified on the contract. Governing Rule: A.R.S. § 32-1154(A)(2)(a): Departure from or disregard of: (a) Plans or specifications...

Complaint Item 7: “400000 BTU GAS HEATER STILL NOT INSTALLED; JANDY PDA-PS4 AUTO PROGRAMER STILL NOT INSTALLED” Investigator’s Observations: Verified. The heater and auto programmer are not installed as specified in the contract. Governing Rule: A.R.S. § 32-1154(A)(2)(a): Departure from or disregard of: (a) Plans or specifications...

Complaint Item 11: “After further review of the contract that was sent to me from Arizona pools it shows that I was supposed to get a in floor cleaning system that was not done.” Investigator’s Observations: Verified. The in floor cleaning system specified in the contract has not been installed. Governing Rule: A.R.S. § 32-1154(A)(2)(a): Departure from or disregard of: (a) Plans or specifications...

Complaint Item 12: “The spa was supposed to have 8 jets and only 6 were installed.” Investigator’s Observations: Verified. The contract specified 8 therapy jets for the spa, 6 jets were observed in the completed spa. Governing Rule: A.R.S. § 32-1154(A)(2)(a): Departure from or disregard of: (a) Plans or specifications...

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

Complaint Item 1: “I REQUESTED POOL TO BE 5 FEET FROM PORCH PILLARS CURRENTLY APPROX 3 1/2 FEET IN SOME AREAS” Investigator’s Observations: This allegation is NOT verified. No plans or specifications were provided to confirm this allegation. Governing Rule: N/A

Complaint Item 2: “I REQUESTED SPA SPILLWAY IN ONE AREA AND THEY CUT OUT IN THE OPPOSITE SIDE” Investigator’s Observations: This allegation is NOT verified. No plans or specifications were provided to confirm this allegation. 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 12/23 Complaint Item 3: “I REQUESTED CEMENT SITTING STOOLS IN ONE AREA AND THEY WERE NOT INSTALLED ( HE THEN SAID HE WOULD GET US PLASTIC WATER STOOLS WHICH HE PROBOBLY WILL NOT FOLLOW THROUGH WITH AT THIS POINT )” Investigator’s Observations: This allegation is NOT verified. No plans or specifications were provided to confirm this allegation. Governing Rule: N/A

Complaint Item 8: “THE EXTERIOR OF THE POOL/ STUCCO IS DAMAGED IN SOME AREAS” Investigator’s Observations: This allegation is NOT verified. The complainant omitted this item at the time of the inspection. Governing Rule: N/A

Complaint Item 9: “DAMAGED GATE THAT I ALREADY HAD REPAIRED” Investigator’s Observations: This allegation is NOT verified. Repaired by complainant. Governing Rule: N/A

Complaint Item 10: “THE PROJECT STARTED 15 MONTHS AGO AND STILL NOT COMPLETE” Investigator’s Observations: This statement by the complainant does not implicate a workmanship issue to inspect or report on. Governing Rule: N/A

Complaint Item 13: “I have a video I took right before they did the mini pebble showing cracks on the concrete floor. My concern is that the pool was not waterproofed before pouring the mini pebble. I am concerned with future issues that can cause.” Investigator’s Observations: This allegation is NOT verified. In response to this complaint item: There is not sufficient evidence to find that the Respondent failed to meet minimum workmanship standards per A.A.C. R4-9-108. I am unable to visually inspect the conditions below the mini pebble. Governing Rule: N/A

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

Sincerely,

Gregory Johndrow Gregory Johndrow, Investigator #195 (520) 628-6896 [email redacted] 1700 W. Washington St., Ste. 105 Phoenix, Arizona 85007

CC: Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Arizona Registrar of Contractors Jobsite Inspection Notes Case No.: 2023-12568 Investigator: Greg Johndrow #195 Inspection Date: 2/7/2024 Inspection Time: 9:30 AM

Complainant: Hector Zepeda Respondent: Arizona Pools and Design LLC

Overview of project: New in-ground pool General Notes: The site inspection was performed on this date and time. The respondent was not present for this inspection. Photos taken with agency issued Google cell phone. Audio recorded with agency issued Olympus recorder.

Complaint Item 3: “I REQUESTED CEMENT SITTING STOOLS IN ONE AREA AND THEY WERE NOT INSTALLED ( HE THEN SAID HE WOULD GET US PLASTIC WATER STOOLS WHICH HE PROBOBLY WILL NOT FOLLOW THROUGH WITH AT THIS POINT )” Investigator’s Observations: This allegation is NOT verified. No plans or specifications were provided to confirm this allegation. Governing Rule: N/A

RCC100 11/14

Arizona Registrar of Contractors Jobsite Inspection Notes Complaint Item 6: “3 POOL LIGHTS ARE MISSING FROM WHAT WE ORIGINALLY AGREED TO” Investigator’s Observations: Verified. Lights was not installed as specified on the contract. Governing Rule: A.R.S. § 32-1154(A)(2)(a): Departure from or disregard of: (a) Plans or specifications...

Complaint Item 9: “DAMAGED GATE THAT I ALREADY HAD REPAIRED” Investigator’s Observations: This allegation is NOT verified. Repaired by complainant. Governing Rule: N/A

RCC100 11/14

Arizona Registrar of Contractors Jobsite Inspection Notes

ADDITIONAL VIOLATIONS In addition to the allegations in the complaint, the following violations were verified:

Warning Letter: Pool Contract.

RCC100 11/14

Picture 1 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 2 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 3 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 4 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 5 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 6 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 7 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 8 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 9 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 10 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 11 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 12 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 13 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 Picture 14 Jobsite Inspection Photos

Case: 2023-12568 Date: 2-7-24 Address: 3159 West Salvia Dr.; Tucson, AZ 85745 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

HECTOR ZEPEDA Case No. 2023-12568 ,

COMPLAINANT, v. CITATION Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design License No. ROC 332472, RESPONDENT.

The Registrar issues this Citation to Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by March 23, 2024, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On October 31, 2023, HECTOR ZEPEDA (“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)(2)(a) Departure from or disregard of: (a) Plans or specifications in any material respect that is prejudicial to another without consent of the owner or the owner’s

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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 duly authorized representative and without the consent of the person entitled to have the particular construction project or operation completed in accordance with such plans and specifications and code. Charge 2: 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. Charge 3: A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158.01 Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158.01. Charge 4: 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

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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 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. 2023-12568. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted]

The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday.

If Respondent submits a written answer by mail, it is not filed with the Registrar until the

Registrar actually receives it.

Deadline for Filing a Written Answer: Respondent must file a written answer with the

Registrar no later than March 23, 2024.

This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a

deadline ten days after service of the Citation. Service of the Citation and Complaint is

complete five days after the Registrar mails a copy of the Citation and Complaint to

Respondent’s latest address of record in the Registrar’s office.

Consequences for Failing to File a Written Answer: If Respondent fails to answer,

Respondent’s failure may be deemed an admission of the act or acts charged in the written

complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s

license(s).

THE ADMINISTRATIVE HEARING

If Respondent files a timely written answer contesting any charges in the Complaint,

then the Registrar will request the Office of Administrative Hearings set a date for an

administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S.

§ 41-1092.05(D).

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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 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 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.

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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 EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated March 8, 2024. By: /s/ Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, March 8, 2024 to:

Respondent Certified Mail No: [number redacted] Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design 1870 W Prince Rd., Ste 38 Tucson, AZ 85705

Copy mailed by USPS First Class mail this same date to: Arizona Pools & Design LLC DBA: Arizona Outdoor Landscape & Design 1870 W Prince Rd., Ste 38 Tucson, AZ 85705

Complainant HECTOR ZEPEDA 3159 West Salvia Drive TUCSON, AZ 85745 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. 2023-12568 / 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

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

HECTOR RUBEN ZEPEDA Mailing Address (Enter jobsite in Contract/Project section) City State Zip

3159 West Salvia Drive TUCSON Arizona 85745 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)

Arizona Pools & Design LLC ROC 332472 Street Address City State Zip

1870 W Prince Rd., Ste 38 Tucson AZ 85705 Phone Number Email

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

VERANO VARGAS Contract/Project Information Contract Date Contract Amount Amount Paid

Date Work Started Date Work Stopped Date Work Was Completed

Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

Name of Construction Site Owner Construction Site Name (if applicable)

Phone Number of Construction Site Owner Email of Construction Site Owner

This complaint is for Other I have contacted the contractor by Have you filed a complaint in court? No Has any work been corrected?

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

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

A building permit was obtained by Contractor 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)

I REQUESTED POOL TO BE 5 FEET FROM PORCH PILLARS CURRENTLY APPROX 3 1/2 FEET IN SOME AREAS;I REQUESTED SPA SPILLWAY IN ONE AREA AND THEY CUT OUT IN THE OPPOSITE SIDE;I REQUESTED CEMENT SITTING STOOLS IN ONE AREA AND THEY WERE NOT INSTALLED ( HE THEN SAID HE WOULD GET US PLASTIC WATER STOOLS WHICH HE PROBOBLY WILL NOT FOLLOW THROUGH WITH AT THIS POINT );PLUMBING IS EXPOSED IN A AREA ON THE POOL;THE COPING IS SHARP AND UNSAFE IN ONE AREA AND NOT ROUNDED OFF AS I REQUESTED;THE TOP OF THE COPING IS FILTY AND STAINED ;3 POOL LIGHTS ARE MISSING FROM WHAT WE ORIGINALLY AGREED TO;400000 BTU GAS HEATER STILL NOT INSTALLED;JANDY PDA-PS4 AUTO PROGRAMER STILL NOT INSTALLED;THE EXTERIOR OF THE POOL/ STUCCO IS DAMAGED IN SOME AREAS;DAMAGED GATE THAT I ALREADY HAD REPAIRED; THE PROJECT STARTED 15 MONTHS AGO AND STILL NOT COMPLETE

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

HECTOR RUBEN ZEPEDA \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 Received 3/15/2024 ROC Legal

Arizona Pools & Design LLC

License No. ROC 332472

DIRECTIVE REQUIREMENTS

Complaint Item 4: Originally, we leveled the soil around the pool so that no plumbing was exposed. If the plumbing was exposed after we finished the job, it could be because the client leveled the soil further or removed more of the soil that was originally there. We have pictures that prove that the plumbing was not exposed.

Complaint Item 5: We told the customer that we could smooth the coping as soon as the pending payment was made. Originally when we installed the coping there were no stains and it was not dirty. The client chose that coping which is not a natural stone and is a porous material. This was the second type of coping material that we installed for them which further added to the delay with the completion of his project. We also have photos to prove it.

Complaint Item 6: The contract that was signed by the customer only specified one pool light and one light for the spa. We installed one more light at no extra charge. Now he wants 3 more lights at no charge. We also have pictures as proof.

Complaint Item 7: The electric heater was not installed because of a pending payment. We told the client that as soon as the payment was made that we would install the heater.

Complaint Item 11: Originally this was going to be a concrete pool designed and built by another company. We were contacted by his friend Manny, one of the managers from Superior Pools (who sells this product), to construct his pool with a new product called ICF Block. He agreed to do it as a pilot project, and we gave him a special price for it. For this reason, the in-floor system was not included in the price and was not installed.

Complaint Item 12: Originally the spa was going to have 8 jets, but the client changed his mind at the last minute. It was too late to add more jets to the spa because we would have to demolish the concrete to add plumbing and jets. Received 3/15/2024 ROC Legal

ITEMS NOT REQUIRING CORRECTION

Complaint Item 1: We built this pool as requested. We marked the layout with him and he approved it.

Complaint Item 2: Originally the spillway was going to be on the side where we did not install the jets (facing the mountains). The client changed the spillway to face the lagoon so it could be easily seen. Therefore, the area where the spillway was supposed to be does not have jets because of the change. It was already too late to change the spillway to face the mountains.

Complaint Item 3: The pool that we constructed was based on a pool design from another company. The stone seats were not in the design and not requested by the customer. When Hector’s wife was shown the materials for the pool (tile, copying at the pool store) she saw some pool chairs, stools and tables on display and asked if they were also included in the price of the project. She was told by the owner it was not included. We never offer plastic water stools to the customer.

Complaint Item 8: We told the client we can fix the stucco areas that are damaged. We are still waiting for a pending payment.

Complaint Item 9: We did not damage any gate. There were more people working in this residence when we were working on the pool. We have pictures to prove it.

Complaint Item 10: If the project is not finished yet is because there is still a pending payment. In addition to this, Hector Zepeda forgot to mention that we were waiting for the material to arrive at the store because he and his wife wanted material that was not available. When we placed the special order, the company gave us a time frame of 3 to 4 weeks, however they kept delaying the date that it would be available by a total of more than 6 months. This was something beyond our control. Hector knows this very well because he called the company directly and he got the same answer. Then he went to Superior (pool supply store) to speak to the manager. The client decided to order a different material which is the one we installed.

Complaint Item 13: The pool was waterproof before laying the mini pebble. It was accomplished by adding Flexible Waterproofing Bondcoat (Basecrete). His friend Manny recommended it. Received 3/15/2024 ROC Legal Received 3/18/24, 10:22 AM State of Arizona Mail - Fwd: Complaint No. 2023-12568 3/15/2024 ROC Legal

Legal New Mail - AZROC <[email redacted]>

Fwd: Complaint No. 2023-12568 message

Gregory Johndrow <[email redacted]> Fri, Mar 15, 2024 at 1:51 PM To: Legal New Mail - AZROC <[email redacted]>

Hello,

Please see the forwarded email from the respondent.

Thank you,

Gregory Johndrow Investigator #195 Arizona Registrar of Contractors 1700 W. Washington St., Ste. 105 Phoenix, AZ 85007 Office: (520) 628-6896 Cell: (520) 833-3303 E-mail: [email redacted]

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CONFIDENTIALITY NOTICE: This e-mail message, including any attachments, is for the sole use of the intended recipient(s) and may contain confidential and privileged information. Any unauthorized review, use, disclosure or

https://mail.google.com/mail/b/AEoRXRSg9uq8jOq_NWQX0dTWKZmmkhUvc3I8YkdGx3RpOspG4ZCS/u/0/?ik=d3afebeda9&view=pt&search=all&pe… 1/2 Received 3/18/24, 10:22 AM State of Arizona Mail - Fwd: Complaint No. 2023-12568 3/15/2024 distribution is prohibited. If you are not the intended recipient, please contact the sender by reply e-mail andROC Legalall destroy copies of the original message.

---------- Forwarded message --------- From: azpoolsdesign <[email redacted]> Date: Fri, Mar 15, 2024 at 12:58 PM Subject: RE: Complaint No. 2023-12568 To: [email redacted] <[email redacted]>

Enclosed is our response from a complaint by Hector Zepeda. Thank You

Antonio Medina Arizona Pools and Design LLC 1870 W Prince Rd., Suite 38 Tucson, AZ 85705 520-981-3761

Hector Zepeda complaint.pdf 34K

https://mail.google.com/mail/b/AEoRXRSg9uq8jOq_NWQX0dTWKZmmkhUvc3I8YkdGx3RpOspG4ZCS/u/0/?ik=d3afebeda9&view=pt&search=all&pe… 2/2 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

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