2023A-13836-CHC-ROC Notice of Hearing & Packet MAILED 2023-13836.pdf

2023A-13836-CHC-ROC · Registrar of Contractors · 2024-11-12

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Kathy Rios , Case No. 2023-13836

COMPLAINANT, Docket No. 2023A-13836-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE Lockman Pool LLC DBA: Mohave County Pools and Spas License No. ROC 274928,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

December 18, 2024 9:00 AM Kay Abramsohn Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person. If you have requested to appear in-person at the hearing, the hearing will

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

You must attend this hearing. This is an adversarial hearing before an administrative

law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be

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

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION

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

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

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

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

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED

The statutes and rules the Respondent is alleged to have violated are cited in the

complaint and citation, which were served on the Respondent on June 27, 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 November 12, 2024.

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

Copy mailed via USPS First Class mail November 12, 2024 to:

Respondent(s) Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403 Respondent's Attorney T'Shura-Ann Elias, Esq. 3640 Hwy 95 Ste 140 Bullhead City, AZ 86442 Complainant(s) Kathy Rios 1724 Sailing Hawks Dr. Lake Havasu City, AZ 86406

Complainant's Attorney Heather C. Wellborn, Esq. 500 Lake Havasu Ave N Ste., B100 Lake Havasu City, AZ 86403 Copy sent electronically this same date to:

Respondent at email address on record with the Registrar Respondent’s Attorney at email address of record with Registrar Complainant at email address on record with the Registrar Complainant’s Attorney at email address of record with Registrar Case No. 2023-13836 /

Hearing Packet FAQ What is the The Hearing Packet is a packet of certain documents collected or Hearing Packet? issued by the Registrar over the course of its investigation. Who gets the The Hearing Packet is assembled and distributed to all parties and Hearing Packet? to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing. What types of The Registrar prepares a Hearing Packet for Complainant-Handled cases does the Cases and No-Pay Cases. Note: If the Docket Number on the Registrar prepare a Notice of Hearing contains a “CHC” or “NPC”, your case is a Hearing Packet for? Complainant-Handled Case or a No-Pay Case. What is in the The Hearing Packet contains essential case-specific documents and Hearing Packet? at a minimum will include the following documents: ● Original complaint; ● 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 If there is any evidence you submitted to the Registrar that are not documents missing included in the Hearing Packet it is your responsibility to introduce from the Hearing that evidence at the administrative hearing. Note: The Packet? 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

How do I disclose You must properly disclose any and all documents and witnesses evidence I intend to you intend to use at your hearing according to the Registrar’s use at a Hearing? 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 If you previously submitted documents to the Registrar and need a documents I copy of these documents, please contact the Registrar’s Legal previously submitted Department or submit a public records request at to the Registrar? 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

February 2, 2024

Respondent: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

Complainant: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

Jobsite Inspection Notice Re: Complaint Number 2023-13836

Dear Complainant and Respondent:

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

 A jobsite inspection is scheduled for February 13, 2024 at 12:00 PM.  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. 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: 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.

============================================================= 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, /s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812

CC: File

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: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Respondent: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 February 21, 2024

Respondent: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

Complainant: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2023-13836

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for February 13, 2024 at 11:30AM has been rescheduled for: March 1, 2024 at 10:00 AM.

If either party is unable to attend, the Registrar requires 36-hours advance notice for cancellation or continuance.

Complainant: Safe access is required to any area to be inspected. Should you have any questions regarding the above, please contact me.

Sincerely,

/s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812

CC: file

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Jobsite Inspection Notes

Case No.: 2023-13836 Investigator: Cliff Corlett Inspection Date: Friday, March 1, 2024 Inspection Time: 10:00 AM

Complainant: Kathy Rios Respondent: Lockman Pool LLC Not Present: Not Present:

Jobsite General Notes:

Compliance Item: 1 - 1. Gunite height from beginning above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4- inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 2 - 2. Deck height above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4- inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 3 - 3. Stairs - travertine height and straightness had to be redone 3 times. Investigator’s Observation: Stair height and travertine slope was also established from height of the pool shell. When Respondent corrects complaint item # 1 and 2, item 3 would also be affected. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

RESPONDNET SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 11 - 11. Trough is being overfilled due to spa pump flowing too hard to account for the unlevel water flow, which is causing excess water on the deck/travertine. Investigator’s Observation: Spa trough overflows onto travertine deck. RESPONDNET SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 12 - Still need warranty paperwork on plaster and contractor's warranty. Investigator’s Observation: A.R.S. 32-1155 & A.R.S. 32-1162 define that a homeowner can file a complaint with the Registrar of Contractor for 2- years from date of completion. Any additional warranties the contractor offered should be provided to the homeowner if that was a condition of the written contract. Governing Rule: Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158.01.

Compliance Item: 15 - Instructions and labeling needed for control on spa jets. Investigator’s Observation: Respondent should properly provide all instructions and label all pool controls. Governing Rule: 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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

ITEMS NOT REQUIRING CORRECTION:

Compliance Item: 4 - 4. Lack of craftsmanship, supervision, and quality control. Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. NO CONTRACTOR ACTION REQUIRED.

Compliance Item: 5 - 5. Travertine deck lines and coping not followed and had to be redone. Were told all work was done in-house and then find out subs were being used. Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. B-5 pool contractor may sub-contract. NO CONTRACTOR ACTION REQUIRED.

Compliance Item: 7 - 7. They insisted that the water needed to be in the pool before they could check it and make water flow corrections. Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. Also, water leveling is a common practice. . NO CONTRACTOR ACTION REQUIRED.

Compliance Item: 8 - 8. We paid the final payment on that agreement and understanding. Investigator’s Observation: A.R.S. 32-1158.01 defines the mandated payment schedule for in ground pools and spas. Final payment is due prior to the application of the interior finish materials.

Compliance Item: 9 - 9. Fencing is still not correct. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.

Compliance Item: 10 - 10. Missing grout on champagne edge. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 13 - 13. Drain cleanout still has plaster in bottom – pool cleaner has been unable to remove it with vacuum. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.

Compliance Item: 14 - 14. Pop-ups still need modifications - not going all the way down. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.

Compliance Item: 16 - No completion dates being given for items listed above. Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. NO CONTRACTOR ACTION REQUIRED.

/s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

2023-13863-LOCKMAN POOLS DBA; MOHAVE COUNTY POOLS 3-1-24JSI PHOTOS

1724 SAILING HAWKS LAKE HAVASU CITY

P-01

P-02

Allegation: Gunite pool shell too high affecting the height and slope of travertine decking.

P-03 P-04

P-05 P-06

Travertine less than required 2-inch separation from weep screed.

P-07 P-08

P-09 P-10

P-11 P-12

Pool shell height causes deck to drop over 2-inches in 4 feet.

P-13 P-14

P-15

Travertine is almost touching weep screed. P-16

“Champagne” edge almost dry at far end.

P-17 P-18

P-19 P-20

Spa overflow water approx. ¾-inch below top of travertine.

P-21

Water flow increased and water level rising. P-22

Water level below bottom of travertine an west end of trough.

P-23

Water overflowing east end of trough. P-24 Water overflowing east end of trough. 3/17/24, 7:33 PM 20230515_174327.jpg

https://mail.google.com/mail/u/0/#advanced-search/from=katncar%40msn.com&subset=all&within=1d&sizeoperator=s_sl&sizeunit=s_smb&query=fro… 1/1 3/17/24, 7:31 PM 58156.jpeg

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: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 March 25, 2024

Respondent: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

Complainant: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

License No. ROC 274928

Re:Complaint No. 2023-13836

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 or before 4-25-24.

RESTRICTIONS  You may not perform or hire other contractors to perform work that is outside the scope of your license.  If your license is currently suspended for administrative reasons1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated. Pg 1 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 DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:

Complaint Allegation: 1 - 1. Gunite height from beginning above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4- inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Complaint Allegation: - 2. Deck height above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4- inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. Pg 2

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 SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Complaint Allegation: - 3. Stairs - travertine height and straightness had to be redone 3 times. Investigator’s Observation: Stair height and travertine slope was also established from height of the pool shell. When Respondent corrects complaint item # 1 and 2, item 3 would also be affected, corrected. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Complaint Allegation: - 6. Champagne edge is the worst complaint – could not get it level after 7 attempts with different subs, and then they decided to completely start over. We did not know they had made that decision until the sub was here breaking off the glass tile again. Even after the total redo, it is still not acceptable. Contractor says we accepted the 8th redo even though they did not check it for levelness.

Investigator’s Observation: Champagne edge did not flow evenly across entire edge. RESPONDNET SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Pg 3

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 Allegation: - 11. Trough is being overfilled due to spa pump flowing too hard to account for the unlevel water flow, which is causing excess water on the desk/travertine.

Investigator’s Observation: Spa trough overflows onto travertine deck. RESPONDNET SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Complaint Allegation: 12 - Still need warranty paperwork on plaster and contractor's warranty. Investigator’s Observation: A.R.S. 32-1155 & A.R.S. 32-1162 define that a homeowner can file a complaint with the Registrar of Contractor for 2-years from date of completion. Any additional warranties the contractor offered should be provided to the homeowner if that was a condition of the written contract. Governing Rule: Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158.01.

Complaint Allegation: 15 - Instructions and labeling needed for control on spa jets. Investigator’s Observation: Respondent should properly provide all instructions, label all pool controls, Governing Rule: 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. Pg 4

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

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

Complaint Allegation: - 4. Lack of craftsmanship, supervision, and quality control. Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. NO CONTRACTOR ACTION REQUIRED.

Complaint Allegation: - 5. Travertine deck lines and coping not followed and had to be redone. Were told all work was done in-house and then find out subs were being used.

Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. NO CONTRACTOR ACTION REQUIRED.

Complaint Allegation: - 7. They insisted that the water needed to be in the pool before they could check it and make water flow corrections. Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. NO CONTRACTOR ACTION REQUIRED.

Complaint Allegation: - 8. We paid the final payment on that agreement and understanding. Investigator’s Observation: A.R.S. 32-1158.01 defines the mandated payment schedule for in ground pools and spas. Final payment is due prior to the application of the interior finish materials.

Pg 5

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 Allegation: - 9. Fencing is still not correct. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.

Complaint Allegation: - 10. Missing grout on champagne edge. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.

Complaint Allegation: - 13. Drain cleanout still has plaster in bottom – pool cleaner has been unable to remove it with vacuum. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.

Complaint Allegation: - 14. Pop-ups still need modifications - not going all the way down. Investigator’s Observation: Corrected prior to onsite inspection. NO CONTRACTOR ACTION REQUIRED.

Complaint Allegation: 16 - No completion dates being given for items listed above. Investigator’s Observation: This is a statement, and not a specific poor workmanship allegation. NO CONTRACTOR ACTION REQUIRED.

Please direct all questions regarding this Directive to the undersigned Investigator. Sincerely, /s/ Cliff Corlett Cliff Corlett, Investigator #167 928 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812

CC: file pg 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 5/20/24, 8:41 AM State of Arizona Mail - RE: Rios v. Lockman Pool, LLC d/b/a Mohave County Pools and Spas

Clifford Corlett <[email redacted]>

RE: Rios v. Lockman Pool, LLC d/b/a Mohave County Pools and Spas message

[email redacted] <[email redacted]> Thu, May 2, 2024 at 12:14 PM To: "Administration - Law Offices of Heather C. Wellborn, P.C." <[email redacted]> Cc: "[email redacted]" <[email redacted]>

I can extend to May 10. There is a time frame for the corrective work to be completed, and we are already pushing this time frame.

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

The information contained in this e-mail message, and any attachments hereto, is attorney privileged and confidential information intended only for the use of the individual or entity named above. If the reader of this message is not the intended recipient, or the employee or agent responsible to deliver to the intended recipient, you are hereby notified that any dissemination, distribution or copying of this communication is strictly prohibited. If you have received this communication in error, please immediately reply by email or by calling (928) 704-7267 to notify us of this error, and immediately delete the original and all copies of this message, including any copies contained in any deleted items folder. Unauthorized disclosure, copying, distribution, reliance or use is prohibited. Neither this e-mail nor its attachment(s) establish an attorney-client relationship, constitute an electronic signature or provide consent to contract electronically, unless expressly so stated by a Lundberg & Elias, PLLC attorney in the body of this e-mail or an attachment.

FEDERAL TAX ADVICE DISCLAIMER: Under U.S. Treasury Regulations, we are informing you that, to the extent that this message includes any federal tax advice, this message is not intended or written by the sender to be used, and cannot be used for the purpose of avoiding federal tax penalties.

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From: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Sent: Thursday, May 2, 2024 12:10 PM To: [email redacted] Subject: Rios v. Lockman Pool, LLC d/b/a Mohave County Pools and Spas

Dear Ms. Elias:

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 1/2 5/20/24, 8:41 AM State of Arizona Mail - RE: Rios v. Lockman Pool, LLC d/b/a Mohave County Pools and Spas

I have been retained by Mr. & Mrs. Rios with regard to the above-referenced matter. My client’s provided me with a copy of the letter you sent to them on April 29, 2024. In the letter you gave them a deadline of this Friday to respond. Given I am now retained and you gave my client’s less than a week’s notice to respond, would you be agreeable to extending the time to respond to May 20, 2024? I would like to have an opportunity to review the file and the ROC Findings to prepare a comprehensive response. Please advise.

Thank you.

HCW

Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100 Lake Havasu City, AZ 86403 Telephone No.: (928) 854-5700 Facsimile No.: (928) 854-6006

To comply with U.S. Treasury regulations, we advise you that any discussion of Federal tax issues in this communication was not intended or written to be used, and cannot be used, by any person (i) for the purpose of avoiding penalties that may be imposed by the Internal Revenue Service, or (ii) to promote, market or recommend to another party any matter addressed herein.

The information contained in this message is confidential and/or privileged. It may contain information which is legally privileged, confidential and exempt from disclosure. This email is intended to be reviewed only by the individual or organization named above. If you are not the intended recipient or an authorized representative of the intended recipient, you are hereby notified that any review, dissemination, copying, use or any action or reliance on the communication is strictly prohibited by the Electronic Communication Privacy Act at 18 U.S.C. 2510-2521. If you have received this email in error, please immediately notify the sender by return email and delete this email from your system. Attorney retains all rights to this message, its content and value. Thank you.

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 2/2 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

Clifford Corlett <[email redacted]>

RE: Rios v. Mohave County Pools message

[email redacted] <[email redacted]> Wed, Jun 12, 2024 at 4:45 PM To: "Administration - Law Offices of Heather C. Wellborn, P.C." <[email redacted]> Cc: "[email redacted]" <[email redacted]>

Ms. Wellborn gave me a very short deadline to respond to your clients’ offer, so I do not believe it is unreasonable. The fact that Ms. Wellborn is on vacation does not stop the case.

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

From: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Sent: Wednesday, June 12, 2024 4:43 PM To: [email redacted] Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

That seems very unreasonable especially in light of the fact that Ms. Wellborn is on vacation. I will convey this message to Ms. Wellborn; however, she is out of the country. If a response can be

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 1/8 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

provided by Monday we will provide one.

Jennifer Ward Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100

Lake Havasu City, AZ 86403 Telephone No.: (928) 854-5700 Facsimile No.: (928) 854-6006

From: [email redacted] <[email redacted]> Sent: Wednesday, June 12, 2024 2:39 PM To: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

My client will not authorize an extension of time. Your clients have liberally taken a long time with respect to this matter. I am sure a response can be provided by email by Monday.

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 2/8 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools The information contained in this e-mail message, and any attachments hereto, is attorney privileged and confidential information intended only for the use of the individual or entity named above. If the reader of this message is not the intended recipient, or the employee or agent responsible to deliver to the intended recipient, you are hereby notified that any dissemination, distribution or copying of this communication is strictly prohibited. If you have received this communication in error, please immediately reply by email or by calling (928) 704-7267 to notify us of this error, and immediately delete the original and all copies of this message, including any copies contained in any deleted items folder. Unauthorized disclosure, copying, distribution, reliance or use is prohibited. Neither this e-mail nor its attachment(s) establish an attorney-client relationship, constitute an electronic signature or provide consent to contract electronically, unless expressly so stated by a Lundberg & Elias, PLLC attorney in the body of this e-mail or an attachment.

.................................................................................................................................................

From: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Sent: Wednesday, June 12, 2024 2:34 PM To: [email redacted] Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

Dear Ms. Elias:

Your settlement offer was forwarded to Mr. & Mrs. Rios for their review. Ms. Wellborn is on vacation and returning June 24, 2024 so we are unable to respond to your offer by June 17, 2024. I would request an extension to respond to June 28, 2024. If we are able to get you a response prior to that date, we will send that to you.

Thank you.

Jennifer Ward

Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100

Lake Havasu City, AZ 86403 Telephone No.: (928) 854-5700

Facsimile No.: (928) 854-6006

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 3/8 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools or organization named above. If you are not the intended recipient or an authorized representative of the intended recipient, you are hereby notified that any review, dissemination, copying, use or any action or reliance on the communication is strictly prohibited by the Electronic Communication Privacy Act at 18 U.S.C. 2510-2521. If you have received this email in error, please immediately notify the sender by return email and delete this email from your system. Attorney retains all rights to this message, its content and value. Thank you.

From: [email redacted] <[email redacted]> Sent: Wednesday, June 12, 2024 10:31 AM To: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

RULE 408 SETTLEMENT COMMUNICATION

Ms. Wellborn,

I spoke to my client regarding your email dated June 7, 2024. Please be advised that the proposed offer is rejected.

The estimate your clients secured is for removal and replacement of the pool and decking in its entirety, so it is far from comparable to the cost of the corrective work that needs to be completed pursuant to the written directive issued by the ROC. I suspect that the other estimates secured by your clients came in significantly less than the CDC Pools estimate. I am also sure that CDC Pools did not physically come to the property to view your clients’ pool (if they had, I believe that they would have told your clients there full replacement and/or a “remodel” is not necessary). My client uses CDC Pools to complete work, and can state with certainty that the estimate is inflated. My client is not going to finance the remodel of your clients’ pool.

I have requested on four different occasions dates and times for my client to come and complete the work outlined by the written directive, and each request has been avoided. At this point in time, my client would like for your clients to provide dates and times for my client to come to the property and complete the corrective work outlined in the ROC directive no later than Monday June 17, 2024. My client is not providing a “detailed description of the work to be performed” as the written directive speaks for itself, and as we both know, your clients have no right to dictate how the work is performed by my client. If I do not receive dates and times by June 17, 2024, I will take this as a denial of access and request that the complaint be dismissed. In the alternative, if your clients wish to settle this matter monetarily, my client’s original offer of $25,000.00 stands and will remain open until June 17, 2024. My client will not entertain any other offers to settle this matter.

I strongly urge your clients to choose one option or the other.

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 4/8 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

From: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Sent: Friday, June 7, 2024 12:41 PM To: [email redacted] Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

Dear Ms. Elias:

On April 17, 2024, my clients met with Bart & Corey and they agreed to provide a full written detailed description of the corrective work to be performed. After the last meeting, my client’s were waiting on the written description of corrective work to be performed; however, instead they received a letter from you stating that your clients “are not required to provide such a description”, “nor are you permitted to dictate how the corrective work is performed”. My client’s spoke with the ROC investigator who advised that it was not unreasonable to request a written detailed description of the work to be performed. Therefore, my clients are again requesting a written description of what corrective work your clients intend to perform which should include an engineering report.

Your client’s previously advised they would remove 3 inches from the current deck; however, removing 3 inches from the current deck would significantly affect other areas of the pool, etc. My client’s have been in contact with other contractors in order to obtain estimates to fix the issues; however, they have only received one written estimate. The other estimates, at his time, have only been verbal estimates; however, they should be receiving written estimates in the next 2 weeks. I have attached a copy of the written estimate my client’s received which was approximately $104,000.00.

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 5/8 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

To put this matter to rest and avoid costly litigation should this matter move forward, my client’s would accept a settlement of $80,000.00 in addition to attorneys fees. In exchange, the parties would sign a release of warranties and confidentiality agreement. Please advise of your client’s position in this regard no later than June 14, 2024.

HCW

Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100

Lake Havasu City, AZ 86403

Telephone No.: (928) 854-5700

Facsimile No.: (928) 854-6006

From: [email redacted] <[email redacted]> Sent: Sunday, June 2, 2024 2:34 PM To: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

Heather,

I did not receive anything from you on Friday, which was the deadline I gave to receive, at the very least, dates and times, for my client to come to the property and perform corrective work to the pool in accordance with the written directive. Please provide dates and times so this matter can be resolved.

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 6/8 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

From: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Sent: Wednesday, May 22, 2024 1:08 PM To: [email redacted] Cc: [email redacted] Subject: Rios v. Mohave County Pools

Dear Ms. Elias:

My clients are waiting on some estimates and as soon as those are received we will be responding to your letter. I previously reached out to Cliff Corlett, the ROC Investigator with regard to an extension. Your paralegal was included in Mr. Corlett’s response and he advised that “if progress is being made, either with actual corrections or negotiations as to what the parties agree to correct, and timeframe, the ROC has no objection to reasonable extensions of the Written Directive compliance date”. Therefore, I anticipate responding to your letter on or before June 1, 2024. If we have not received the estimates by that time, I will reach out to you again and advise you of the status.

Thank you.

HCW

Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100 Lake Havasu City, AZ 86403

Telephone No.: (928) 854-5700 https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 7/8 6/13/24, 7:21 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

Facsimile No.: (928) 854-6006

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]… 8/8 Complainant: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Respondent: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 June 19, 2024

Respondent: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

Complainant: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

Case No.: 2023-13836 Investigator: Cliff Corlett Inspection Date: June 18, 2024 (call from complainant) Inspection Time: N/A

Compliance Jobsite General Notes: On March 25, 2024 the Registrar of Contractors issued a Written Directive for case 2023-13836. Kathy Rios vs Lockman pools LLC DBA: Mohave County Pools & Spas. That directive instructed the Respondent to properly correct complainat allegations # 1, 2, 3, 6, 11, 12, & 15 from the complaint form submitted by Rios on 12/20/2023. The directive had a Compliance due date of April 25, 2024. Due to the extent of the corrective work required, this Investigator did not believe the Respondent could be finished with the corrections in 30-days, however the intention was for the parties to come to an agreement as to an acceptable time frame for repairs. The parties have had discussions and the parties have both retained attorneys. Other than generating a lot of correspondence, no corrective work has even been started and no time frame for repairs has been submitted to the Registrar. On 6/8/24 the Complainant (Rios) called the ROC and stated she wished to proceed to the Administrative Hearing.

Compliance Findings: RESPONDENT IS NOT IN COMPLIANCE.

Compliance Item: 1 - 1. Gunite height from beginning above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4-inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 2 - 2. Deck height above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4-inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 3 - 3. Stairs - travertine height and straightness had to be redone 3 times. Investigator’s Observation: Stair height and travertine slope was also established 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 from height of the pool shell. When Respondent corrects complaint item # 1 and 2, item would also be affected. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 6 - 6. Champagne edge is the worst complaint – could not get it level after 7 attempts with different subs, and then they’d Investigator’s Observation: Champagne edge did not flow evenly across entire edge. RESPONDNET SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 11 - 11. Trough is being overfilled due to spa pump flowing too hard to account for the unlevel water flow, which is causing Investigator’s Observation: Spa trough overflows onto travertine deck. RESPONDNET SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 12 - Still need warranty paperwork on plaster and contractor's warranty. Investigator’s Observation: A.R.S. 32-1155 & A.R.S. 32-1162 define that a homeowner can file a complaint with the Registrar of Contractor for 2-years from date of completion. Any additional warranties the contractor offered should be provided to the homeowner if that was a condition of the written contract. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Governing Rule: Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158.01.

Compliance Item: 15 - Instructions and labeling needed for control on spa jets. Investigator’s Observation: Respondent should properly provide all instructions, label all pool controls, Governing Rule: 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.

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,

Cliff Corlett, Investigator #167 (928) 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 CC: File

Complainant Attorney: Heather C. Wellborn P.C. Law Offices of Heather C. Wellborn 500 N. Lake Havasu Ave. Ste B-100 Lake Havasu City, AZ. 86403

Respondent Attorney: Tshura-Ann Elias Lundberg & Elias PLLC 3640 HWY 95 ste 140 Bullhead City, AZ 86442

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complainant Attorney: Heather C. Wellborn P.C. Law Offices of Heather C. Wellborn 500 N. Lake Havasu Ave. Ste B-100 Lake Havasu City, AZ. 86403

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Respondent Attorney: Tshura-Ann Elias Lundberg & Elias PLLC 3640 HWY 95 ste 140 Bullhead City, AZ 86442

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Complainant: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 June 19, 2024

Respondent: Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403

Complainant: Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406-9292

Case No.: 2023-13836 Investigator: Cliff Corlett Inspection Date: June 18, 2024 (call from complainant) Inspection Time: N/A

Compliance Jobsite General Notes: On March 25, 2024 the Registrar of Contractors issued a Written Directive for case 2023-13836. Kathy Rios vs Lockman pools LLC DBA: Mohave County Pools & Spas. That directive instructed the Respondent to properly correct complainat allegations # 1, 2, 3, 6, 11, 12, & 15 from the complaint form submitted by Rios on 12/20/2023. The directive had a Compliance due date of April 25, 2024. Due to the extent of the corrective work required, this Investigator did not believe the Respondent could be finished with the corrections in 30-days, however the intention was for the parties to come to an agreement as to an acceptable time frame for repairs. The parties have had discussions and the parties have both retained attorneys. Other than generating a lot of correspondence, no corrective work has even been started and no time frame for repairs has been submitted to the Registrar. On 6/18/24 the Complainant (Rios) called the ROC and stated she wished to proceed to the Administrative Hearing.

Compliance Findings: RESPONDENT IS NOT IN COMPLIANCE.

Compliance Item: 1 - 1. Gunite height from beginning above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4-inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 2 - 2. Deck height above grade. Investigator’s Observation: There was no detailed, engineered plan or "bench mark" for elevations of this pool submitted to the ROC. The Respondent established the pool shell height. Every other elevation works off of the height of that shell. The Respondent installed the (travertine) decking which by code must flow water away from the pool. Water must also flow away from the structure (house). 2018 I.R.C. 703.6.2.1 requires the weep screed shall be placed a minimum of 4-inches above the earth or 2-inches above paved areas". The weep screed elevation was established prior to the construction of the pool and the Respondent should have set the pool shell height accordingly so that the pool deck complied with the codes. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 3 - 3. Stairs - travertine height and straightness had to be redone 3 times. Investigator’s Observation: Stair height and travertine slope was also established 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 from height of the pool shell. When Respondent corrects complaint item # 1 and 2, item would also be affected. RESPONDENT SHOULD CORRECT BY APPROPRIATE METHODS. Governing Rule: 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.

Compliance Item: 12 - Still need warranty paperwork on plaster and contractor's warranty. Investigator’s Observation: A.R.S. 32-1155 & A.R.S. 32-1162 define that a homeowner can file a complaint with the Registrar of Contractor for 2-years from date of completion. Any additional warranties the contractor offered should be provided to the homeowner if that was a condition of the written contract. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Governing Rule: Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158.01.

Note:

======================================================

Sincerely,

Cliff Corlett, Investigator #167 (928) 323-4739 [email redacted] 1700 W Washington St. Suite 105 Phoenix, Arizona 85007-2812

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 CC: File

Complainant Attorney: Heather C. Wellborn P.C. Law Offices of Heather C. Wellborn 500 N. Lake Havasu Ave. Ste B-100 Lake Havasu City, AZ. 86403

Respondent Attorney: Tshura-Ann Elias Lundberg & Elias PLLC 3640 HWY 95 ste 140 Bullhead City, AZ 86442

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 6/21/24, 4:35 PM State of Arizona Mail - AZ ROC case 2023-13836 Lockman Pools DBA Mohave County Pools

Clifford Corlett <[email redacted]>

AZ ROC case 2023-13836 Lockman Pools DBA Mohave County Pools message

[email redacted] <[email redacted]> Fri, Jun 21, 2024 at 11:37 AM To: Clifford Corlett <[email redacted]> Cc: "Administration - Law Offices of Heather C. Wellborn, P.C." <[email redacted]>

Mr. Corlett,

I am in receipt of the attached Compliance Jobsite Inspection. First, when did this compliance inspection take place because neither I nor my client was provided any notice of this inspection. Second, you have been copied on all of the written communications by and between the parties and their counsel, and thus, you are aware of the numerous times that access to the property was requested and not granted. Your Compliance Inspection Report fails to mention this. We were also not informed that the Rios requested an administrative hearing prior to today’s correspondence, which can only be described as disingenuous considering that the parties were communicating settlement offers after June 8, 2024 with no mention from the Rios’ counsel that this request is made.

At this point in time, my client requests this matter be dismissed as access to complete the corrective work was denied.

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 1/2 6/21/24, 4:35 PM State of Arizona Mail - AZ ROC case 2023-13836 Lockman Pools DBA Mohave County Pools

2023-13836-Compliance Jobsite Inspection Lockman Pools.pdf 121K

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 2/2 6/21/24, 4:34 PM State of Arizona Mail - Re: AZ ROC case 2023-13836 Lockman Pools DBA Mohave County Pools

Clifford Corlett <[email redacted]>

Re: AZ ROC case 2023-13836 Lockman Pools DBA Mohave County Pools message

Clifford Corlett <[email redacted]> Fri, Jun 21, 2024 at 3:45 PM To: "[email redacted]" <[email redacted]> Cc: katncar rios <[email redacted]>

See my reply in RED. and attached ROC "Guide to Written Directive" and Page 1 of 6-19-24 Compliance Report letter. Cliff Corlett- Investigator # 167 Mohave & La Paz Counties Arizona Registrar of Contractors 1700 W. Washington St. Suite 105 Phoenix, AZ. 85007-2812 Cell (928) 323-4739 Fax: (602) 542-3919 e-mail: [email redacted] website: roc.az.gov

ROC Logo/ To ROC Home Page ROC Investigator Badge/ Link to Investigations menu facebook 4 twitter 2

cid:[email protected] out AZ ROC’s survey to let us know how we’re doing.

On Fri, Jun 21, 2024 at 11:37 AM [email redacted] <[email redacted]> wrote:

Mr. Corlett,

I am in receipt of the attached Compliance Jobsite Inspection. First, when did this compliance inspection take place (Not Required, See Guide to Written Directive, attached. Note # 1) because neither I nor my client was provided any notice of this inspection. Second, you have been copied on all of the written communications by and between the parties and their counsel, and thus, you are aware of the numerous times that access to the property was requested and not granted. Your Compliance Inspection Report fails to mention this. (Written Directive allowed 30-days for Compliance. See Note # 2) We were also not informed that the Rios requested an administrative hearing prior to today’s correspondence, (Not required, See Note # 1) which can only be described as disingenuous considering that the parties were communicating settlement offers after June 8, 2024 with no mention from the Rios’ counsel that this request is made. (On 6/18/24 (84 days after Written Directive issued) Kathy Rios called ROC and requested to proceed to Administrative Hearing)(See Note #3) 6-19-24 Compliance Report letter did have a typo regarding this date as 6/8/24. This has been corrected to 6/18/24 and a correct copy of 6-19-24 Compliance Report attached.

At this point in time, my client requests this matter be dismissed as access to complete the corrective work was denied.

(Feel free to argue this position at an Administrative Hearing. My response is no) (See # 4)

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-a:r1654440203743209169… 1/2 6/21/24, 4:34 PM State of Arizona Mail - Re: AZ ROC case 2023-13836 Lockman Pools DBA Mohave County Pools Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

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2023-13836 Answer to 6-21-24 T shura-ann Elias Compliance email..pdf 536K 2023-13836- Typo Corrected Compliance Report.pdf 922K

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-a:r1654440203743209169… 2/2 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

Clifford Corlett <[email redacted]>

RE: Rios v. Mohave County Pools message

[email redacted] <[email redacted]> Mon, Jul 1, 2024 at 9:16 AM To: "Administration - Law Offices of Heather C. Wellborn, P.C." <[email redacted]> Cc: "[email redacted]" <[email redacted]>

Then I suggest your clients provide a reasonable offer rather than repeating an offer that was previously rejected. In the alternative your clienrs can request a mediation through the ROC.

Sent from my T-Mobile 5G Device (Please excuse any typographical and/or grammatical errors)

-------- Original message -------- From: "Administration - Law Offices of Heather C. Wellborn, P.C." <[email redacted]> Date: 7/1/24 9:13 AM (GMT-07:00) To: [email redacted] Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

My clients are still willing to engage in settlement negotiations to try to resolve this amicably and to absolve the need for a contested hearing. A substantive response would be more beneficial than bickering about procedure. I am hopeful we can continue toward a settlement all parties can live with and move forward from this.

HCW Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100 Lake Havasu City, AZ 86403 Telephone No.: (928) 854-5700

Facsimile No.: (928) 854-6006

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 1/8 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools received this email in error, please immediately notify the sender by return email and delete this email from your system. Attorney retains all rights to this message, its content and value. Thank you.

From: [email redacted] <[email redacted]> Sent: Tuesday, June 25, 2024 8:22 PM To: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

My client has already rejected this offer for the reasons already stated in my prior email.

As your clients already requested a citation be issued on June 18, I highly doubt that your clients do not wish to go to hearing. And quite frankly, your below email appears to be moot in light of your clients' request.

Your clients want an administrative hearing and my client is prepared to proceed in this manner.

Sent from my T-Mobile 5G Device

(Please excuse any typographical and/or grammatical errors)

-------- Original message -------- From: "Administration - Law Offices of Heather C. Wellborn, P.C." <[email redacted]> Date: 6/25/24 8:15 PM (GMT-07:00) To: [email redacted] Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

Dear Ms. Elias:

I received your email and while I understand your client will not “entertain another other offers”, your client’s offer of $25,000.00 is not supported by any written directive. My clients state they met with Bart in person and he came up with a $25,000.00 settlement cost by doing a quick https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 2/8 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

estimate on his phone without taking into consideration what actually needed to be done in order to properly complete the project. Therefore, of course, your clients are going to offer $25,000.00 based on a quick estimate. Bart advised the company was going to lower the deck three inches without any specifics on how they were going to do that and without any information on how that might affect the rest of the pool.

When Jason with CDC Pools came to my client’s home on May 17th, he advised that redoing the entire shell and deck was the only way to do this right to not end up with another issue. My clients did have another contractor from Lake Havasu come to their home for another estimate; however they are awaiting the written estimate. This contractor did advise that there should be no work done until an engineering report is completed to determine what would be involved without damaging or cutting the rebar. This individual further advised that the repairs involved would also require taking the entire pool down to the shell.

My clients are in no way denying access and have never denied access, they are only requesting a written description of what your clients plan on doing to actually fix their error. According to the Written Directive from the Registrar dated March 25, 2024, it states “Investigator’s Observation: There was no detailed, engineered plan or “bench mark” for elevations of this pool submitted to the ROC”. The report further states that your clients should have set the pool shell height accordingly so that the pool desk complied with the codes.

My clients paid a significant amount of money for their pool to be built properly. They are extremely unsatisfied and took proper action and filed a complaint with the ROC. The ROC issued the written directive requiring your clients to correct several of the issues. Prior to your involvement, my clients advised your client was willing to provide them with a written description; however, then you sent my clients a letter stating they did not have to provide said written description of the work to be performed. This is such a simple request and should be complied with. As stated above, my client had two (2) other pool contractors come to the home, both of which stated that the pool needed to go back down to the original shell to have the pool fixed properly. Your clients are attempting to fix this issue the cheapest way possible, not the correct way.

My client’s last offer stands, which I already understand your client does not want to accept. This is fair and reasonable under the circumstances. Your clients are not able to have my client’s complaint dismissed and from the email received on June 21, 2024, Mr. Corlett the ROC Investigator submitted his Compliance Report to their legal department which they will then issue a citation to your clients. Mr. Corlett did advise that the parties are still able to negotiate a resolution; however, if no resolution is reached, this will go forward with a hearing. I know this is not something my clients would like to go through, and I am sure your clients do not wish to go through with the hearing either.

My clients would like to have their pool fixed and the $80,000.00 offer of settlement, including attorney fees is very reasonable considering they will have to basically have their entire pool redone. Please advise as to your client’s position in this regard. https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 3/8 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

HCW

Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100

Lake Havasu City, AZ 86403

Telephone No.: (928) 854-5700

Facsimile No.: (928) 854-6006

RULE 408 SETTLEMENT COMMUNICATION

Ms. Wellborn,

I spoke to my client regarding your email dated June 7, 2024. Please be advised that the proposed offer is rejected.

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 4/8 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools later than Monday June 17, 2024. My client is not providing a “detailed description of the work to be performed” as the written directive speaks for itself, and as we both know, your clients have no right to dictate how the work is performed by my client. If I do not receive dates and times by June 17, 2024, I will take this as a denial of access and request that the complaint be dismissed. In the alternative, if your clients wish to settle this matter monetarily, my client’s original offer of $25,000.00 stands and will remain open until June 17, 2024. My client will not entertain any other offers to settle this matter.

I strongly urge your clients to choose one option or the other.

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

Dear Ms. Elias:

On April 17, 2024, my clients met with Bart & Corey and they agreed to provide a full written detailed description of the corrective work to be performed. After the last meeting, my client’s were

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 5/8 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

waiting on the written description of corrective work to be performed; however, instead they received a letter from you stating that your clients “are not required to provide such a description”, “nor are you permitted to dictate how the corrective work is performed”. My client’s spoke with the ROC investigator who advised that it was not unreasonable to request a written detailed description of the work to be performed. Therefore, my clients are again requesting a written description of what corrective work your clients intend to perform which should include an engineering report.

HCW

Law Offices of Heather C. Wellborn, P.C.

500 N. Lake Havasu Avenue, Suite B-100 Lake Havasu City, AZ 86403

Telephone No.: (928) 854-5700 Facsimile No.: (928) 854-6006

From: [email redacted] <[email redacted]> Sent: Sunday, June 2, 2024 2:34 PM

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 6/8 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools To: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Cc: [email redacted] Subject: RE: Rios v. Mohave County Pools

Heather,

T’shura-Ann Elias

Attorney at Law

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

Telephone: (928) 704-7267

Facsimile: (928) 704-7269

Licensed to Practice Law in Arizona and New York

.................................................................................................................................................

From: Administration - Law Offices of Heather C. Wellborn, P.C. <[email redacted]> Sent: Wednesday, May 22, 2024 1:08 PM To: [email redacted] Cc: [email redacted] Subject: Rios v. Mohave County Pools

Dear Ms. Elias:

My clients are waiting on some estimates and as soon as those are received we will be responding to your letter. I previously reached out to Cliff Corlett, the ROC Investigator with regard to an https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 7/8 7/8/24, 8:47 AM State of Arizona Mail - RE: Rios v. Mohave County Pools

extension. Your paralegal was included in Mr. Corlett’s response and he advised that “if progress is being made, either with actual corrections or negotiations as to what the parties agree to correct, and timeframe, the ROC has no objection to reasonable extensions of the Written Directive compliance date”. Therefore, I anticipate responding to your letter on or before June 1, 2024. If we have not received the estimates by that time, I will reach out to you again and advise you of the status.

Thank you.

HCW

Law Offices of Heather C. Wellborn, P.C. 500 N. Lake Havasu Avenue, Suite B-100

Lake Havasu City, AZ 86403 Telephone No.: (928) 854-5700 Facsimile No.: (928) 854-6006

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-f:[number redacted]%7Cmsg-f:[number redacted]&… 8/8 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Kathy Rios, Case No. 2023-13836 COMPLAINANT, v. Lockman Pool LLC CITATION DBA: Mohave County Pools and Spas License No. ROC 274928,

RESPONDENT.

The Registrar issues this Citation to Lockman Pool LLC DBA: Mohave County Pools and Spas (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by July 12, 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 December 20, 2023, Kathy Rios (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged with violating: Charge :1 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge :2 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F). FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2023-13836. 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.

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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 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 July 12, 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 informal settlement conference, the Registrar must hold a conference within 15 days after

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

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Dated June 27, 2024. By: /s/ Tedi Quezada Tedi Quezada Legal Assistant Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, June 27, 2024 to:

Respondent Certified Mail No: [number redacted] Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave Lake Havasu City, AZ 86403 Copy mailed by USPS First Class mail this same date to:

Respondent Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave Lake Havasu City, AZ 86403 Respondent’s Attorney T'Shura-Ann Elias, Esq. Lundberg & Elias PLLC 3640 Hwy 95 Ste. 140 Bullhead City, AZ 86442 Complainant Kathy Rios 1724 Sailing Hawks Dr. Lake Havasu City, AZ 86406-9292 Complainant’s Attorney Heather C. Wellborn 500 Lake Havasu Ave N Ste. B100 Lake Havasu City, AZ 86403 of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Copy sent electronically this same date to: Respondent at email address on record with the Registrar Respondent’s Attorney at email address of record with Registrar Complainant at email address on record with the Registrar Complainant’s Attorney at email address of record with Registrar

Case No. 2023-13836

of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 2/28/24, 11:50 AM State of Arizona Mail - RE: AZ ROC case 2023-13836 Lockman Pools = Rios

Clifford Corlett <[email redacted]>

RE: AZ ROC case 2023-13836 Lockman Pools = Rios message

katncar rios <[email redacted]> Wed, Feb 21, 2024 at 5:11 PM To: Clifford Corlett <[email redacted]>

Cliff, we are not comfortable with Mohave bringing all three of there foreman to our meeting with you. Unfortunately, our past experience with them has been a feeling of being ganged up on, and we would like to avoid that. May we request that only one representative from Mohave attend on March 1, preferrably the only person we didn't get into heated arguments with. Corey Culley was who sold us on Mohave Pools from the start, and he has been the only one who has kept a cool head during our many arguments with the foremans.

Thank you for expediting our meeting, and any help you can provide during this complaint process.

~Kathy and Carlos Rios

Sent from my Verizon, Samsung Galaxy smartphone

-------- Original message -------- From: Clifford Corlett <[email redacted]> Date: 2/21/24 3:36 PM (GMT-07:00) To: [email redacted], katncar rios <[email redacted]> Subject: AZ ROC case 2023-13836 Lockman Pools = Rios

Please find attached copies of the agency letter rescheduling the onsite meeting for March 1, 2024. Cliff Corlett- Investigator # 167 Mohave & La Paz Counties Arizona Registrar of Contractors 1700 W. Washington St. Suite 105 Phoenix, AZ. 85007-2812 Cell (928) 323-4739 Fax: (602) 542-3919 e-mail: [email redacted] website: roc.az.gov

ROC Logo/ To ROC Home Page ROC Investigator Badge/ Link to Investigations menu facebook 4 twitter 2

cid:[email protected] out AZ ROC’s survey to let us know how we’re doing.

https://mail.google.com/mail/u/0/?ik=488712f564&view=pt&search=all&permthid=thread-a:r8066126448011596755%7Cmsg-f:[number redacted]… 1/1 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)

Kathy Rios Mailing Address (Enter jobsite in Contract/Project section) City State Zip

1724 Sailing Hawks Dr Lake Havasu City Arizona 86404 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)

Lockman Pool LLC ROC 274928 Street Address City State Zip

2005 Swanson Ave. Lake Havasu City AZ 86403 Phone Number Email

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

Corey C. Contract/Project Information Contract Date Contract Amount Amount Paid

May 9, 2023 $159,974.80 $159,970.00 Date Work Started Date Work Stopped Date Work Was Completed

May 16, 2023 October 12, 2023 November 27, 2023 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

1724 Sailing Hawks Dr Lake Havasu City AZ 86404 Name of Construction Site Owner Construction Site Name (if applicable)

Kathy Rios sailing hawks dr. Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Abandonment;Poor Work;Other I have contacted the contractor by Phone/Text;Email;Letter Have you filed a complaint in court? No

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

Has any work been corrected? No

The contract was Written All change orders were Written This project was Residential This project involved Other new pool A building permit was obtained by Property Owner 913566 Lake Havasu City 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)

Gunite height from beginning above grade. Deck height above grade. Stairs - travertine height and straightness had to be redone 3 times. Lack of craftmanship, supervision, and quality control. Travertine deck lines and coping not followed and had to be redone. Were told all work was done inhouse and then find out subs were being used. Champagne edge is the worst complaint - could not get it level after 7 attempts with different subs, and then they decided to completely start over. We did not know they had made that decision until the sub was here breaking off the glass tile again. Even after the total redo, it is still not acceptable. Contractor says we accepted the 8th redo even though they did not check it for levelness. They insisted that the water needed to be in the pool before they could check it and make waterflow corrections. We paid the final payment on that agreement and understanding. Fencing is still not correct. Missing grout on champagne edge. Trough is being overfilled due to spa pump flowing too hard to account for the unlevel water flow, which is causing excess water on the desk/travertine. Still need warranty paperwork on plaster and contractor's warranty. Drain cleanout still has plaster in bottom - pool cleaner has been unable to remove it with vacuum. Pop-ups still need modifications - not going all the way done. Instructions and labeling needed for control on spa jets. No completion dates being given for items listed above.

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

Kathy Rios \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 MOHAVE COUNTY POOLS

We were told before the contract signing:

• Pool digging starting date 5-16-23 and a 10-12-week completion before our family reunion. • All work done in-house, no subs. • Their most experienced tiler would be on our job.

What we got:

• Twenty-two weeks, plus an extra month for water stabilization, before ready for swimming. • Inexperienced project manager (Paul) was rarely onsite to give workers directions or to inspect their work. We became the project manager and quality control. • Experienced tiler on the first day, then a less detail-oriented tiler, and then a third sub-tiler. And then the experienced tiler returned and did the current results. • The gunite crew did not follow the pool design drawing, and no verification or inspection. • Workmanship issues every step of the way, and three project managers with different solutions.

What we ended it up with:

• Pool shell above ground level • Tile and travertine work had many do-overs. • Pool deck and entry steps above home foundation sill. Drainage had do-overs, and still not optimal. • The fence and gates had do-overs due to lack of communication and lack of inspections. • Entry and stairs are not as designed and required many do-overs. • The spa is still not level after eight attempts, and the last payment was forced on us to add water to see if the champagne edge was level. Then we were told after the water was in that no more tile work corrections will be done. • The pool project managers, without any sense to complete the job on time, only assigned workers on Thursdays or Fridays, and sometimes weeks until we called in and inquired. • As of today, we are still waiting for signed copies of plaster and Mohave warranties 3/17/24, 7:34 PM 20230515_174351.jpg

https://mail.google.com/mail/u/0/#advanced-search/from=katncar%40msn.com&subset=all&within=1d&sizeoperator=s_sl&sizeunit=s_smb&query=fro… 1/1 3/17/24, 7:33 PM 20230515_174327.jpg

https://mail.google.com/mail/u/0/#advanced-search/from=katncar%40msn.com&subset=all&within=1d&sizeoperator=s_sl&sizeunit=s_smb&query=from%3A(katncar%40msn.com)?projector=1 1/2 Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/09/2024 ROC Legal Received 7/10/24, 8:05 AM State of Arizona Mail - Rios v. Lockman Pools--Case No. 2023-13836 7/09/2024 ROC Legal

Answers - AZROC <[email redacted]>

Rios v. Lockman Pools--Case No. 2023-13836 message

Tiana Hunter <[email redacted]> Tue, Jul 9, 2024 at 2:29 PM To: "[email redacted]" <[email redacted]> Cc: Heather Wellborn <[email redacted]>, "[email redacted]" <[email redacted]>

Good Afternoon,

Attached please find the Respondent’s Answer to Citation for the above-cited matter.

Hard copies of same are being sent under separate cover via United States mail as indicated on the Certificate of Service.

Please do not hesitate to contact our offices if there are any questions.

Respectfully Submitted,

Mrs. Tiana Hunter

Managing Paralegal

Lundberg & Elias, PLLC

3640 Highway 95, Suite 140

Bullhead City, Arizona 86442

T: (928) 704-7267 F: (928) 704-7269

..........................................................................................................................................................

The information contained in this e-mail message, and any attachments hereto, is attorney privileged and confidential information intended only for the use of the individual or entity named above. If the reader of this message is not the intended recipient, or the employee or agent responsible to deliver to the intended recipient, you are hereby notified that any dissemination, distribution or copying of this communication is strictly prohibited. If you have received this communication in error, please immediately reply by email or by calling (928) 704-7267 to notify us of this error, and immediately delete the original and all copies of this message, including any copies contained in any deleted items folder. Unauthorized disclosure, copying, distribution, reliance or use is prohibited. Neither this e-mail nor its attachment(s) establish an attorney-client relationship, constitute an electronic signature or provide consent to contract electronically, unless expressly so stated by an attorney in the body of this e-mail or an attachment.

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240709 SIGNED Answer to Citation.pdf 2732K

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I<<TL600R=CFNW??WF>NP?R0R=CF0X0AY?KZK;[Y>:\\]E^_`a5^VL1<bB@K[^G\L[CQcSd5be:GfgPHhiG0^070jCQke5=@>X>e=lmMC>nkT<mL>=BPIk=FFmT>BR<ICeo 101 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Kathy Rios, Case No. 2023-13836

COMPLAINANT, v. Lockman Pool LLC, ORDER DENYING REQUEST TO DBA: Mohave County Pools and Spas, DISMISS License No. ROC 274928,

RESPONDENT.

BACKGROUND On June 27, 2024, the Registrar issued a Citation against Respondent’s License No. ROC 274928, charging Respondent with violations of A.R.S. § 32-1154(A)(3) and (22). On July 9, 2024, Respondent filed its Answer. The Answer included a request to dismiss the Citation. ORDER IT IS ORDERED that Respondent’s request to dismiss is DENIED. The issues underlying the Citation and Complaint are best suited for presentation before the Office of Administrative Hearings. Respondent is free to raise the arguments and defenses presented in its request to dismiss before the administrative law judge. A Notice of Hearing will be issued in due course. Dated October 22, 2024. By: /s/ Robert Stirling Robert Stirling Assistant General Counsel Legal Department Arizona Registrar of Contractors of 2 REGISTRAR OF CONTRACTORS 1700 W. Washington St. – Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602) 542-1525 Toll Free (877) 692-9762 Lg127 5/21 Copy mailed via USPS First Class Mail October 22, 2024 to: Respondent Lockman Pool LLC DBA: Mohave County Pools and Spas 2005 Swanson Ave. Lake Havasu City, AZ 86403 Respondent’s Attorney T’Shura-Ann Elias, Esq. 3640 Hwy 95 Ste 140 Bullhead City, AZ 86442 Complainant’s Attorney Heather C. Wellborn, Esq. 500 Lake Havasu Ave N Ste B100 Lake Havasu City, AZ 86403 Complainant Kathy Rios 1724 Sailing Hawks Dr Lake Havasu City, AZ 86406 Copy sent electronically this same date to:

Case No. 2023-13836 / KR

of 2 REGISTRAR OF CONTRACTORS 1700 W. Washington St. – Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602) 542-1525 Toll Free (877) 692-9762 Lg127 5/21 Mediation Notice

Mediation Services Mediation services are available to the parties. What is Mediation? Mediation is a method of resolving disputes where the parties can end conflict without the expense and time associated with the full administrative process. Who Participates in During mediation, a mediator will attempt to help the Mediation? parties find an optimal solution to the conflict. Both parties must agree to participate in mediation, and both parties must bring a representative to mediation that has full authority to settle the entire matter. Mediation Is Not Neither the Registrar nor the Office of Administrative Mandatory Hearings will penalize a party for not agreeing to mediation. Where do the Parties The parties will meet at the Office of Administrative Meet for Mediation? Hearings to participate in mediation.

The Office of Administrative Hearings is located at 1400 West Washington, Suite 101, Phoenix, Arizona 85007. When does Mediation can occur after the Registrar issues a citation, but Mediation Occur? before the administrative hearing. Why Should Parties Mediation can be an alternative to the full administrative Consider Mediation? process. Mediation is beneficial because it is (1) time- efficient, (2) cost-effective, (3) confidential, and (4) capable of providing flexible solutions to complex problems. How to Request If the parties wish to mediate this case, they must file a Joint Mediation Request for Mediation with the Office of Administrative Hearings. A Joint Request for Mediation is included with this Mediation Notice. REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA _________________________ Case No. _______________ COMPLAINANT,

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

The parties jointly request that this matter be referred to mediation in the Office of Administrative Hearings (OAH). ☐ This matter is set for hearing on __________________(date). ☐ This matter is not currently set for hearing. MEDIATION AGREEMENT By requesting this mediation and signing below, the parties understand, represent, and agree: 1. The parties are prepared to commence mediation and will be ready for mediation on _____________________(date); 2. The parties will participate in the mediation process in good faith; 3. This request for mediation is not intended to hinder or delay administrative proceedings; 4. No party will contend that the mediation limits the power of OAH and its administrative law judges to conduct an administrative hearing and issue decisions under A.R.S. §§ 41-1092 – 1092.12; 5. The parties will be courteous and respectful throughout the mediation process to all participants; 6. The mediation is completely voluntary and the principal purpose is to allow the parties a full and fair opportunity to discuss settlement; of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 7. The mediator may conduct joint and separate meetings with the parties and may suggest resolutions to the parties’ dispute, but the mediator has no authority to impose a settlement upon the parties; 8. The mediation process is confidential. Communications made, material created for or used during, and acts occurring during mediation are confidential and may not be discovered or admitted into evidence in any proceeding except as provided by A.R.S. § 12-2238; 9. The mediator is not subject to service of process or a subpoena to produce evidence or to testify regarding any evidence or occurrence relating to the mediation except as provided in A.R.S. § 12-2238(C); 10. Neither the mediator, nor the Registrar of Contractors, nor the Office of Administrative Hearings is subject to civil liability for any act or omission in connection with any mediation service or activity except for acts involving

intentional misconduct or reckless disregard of a substantial risk of injury to the rights of others; 11. Throughout the mediation process, each party must have a representative present who will have full settlement authority to settle all claims at issue in the administrative

proceeding. 12. The mediation process will terminate when: a. The parties reach settlement; b. The mediator determines that further efforts at mediation are no longer likely

to achieve a settlement; or c. One of the parties withdraws from mediation. _____________________________________ _______________________ Complainant (or representative) Date

_____________________________________ _______________________ Respondent (or representative) Date

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 PREHEARING DISCLOSURE STATEMENT INSTRUCTIONS ***DO NOT SUBMIT THESE INSTRUCTIONS WITH THE PREHEARING DISCLOSURE FORM***

ADMINISTRATIVE RULES A copy of the Arizona Administrative Code’s Rules for the Registrar of Contractors can be located on the Registrar’s Website.

PREHEARING DISCLOSURE REQUIREMENT Under A.A.C. R4-9-118(A), before a hearing, the parties must prepare a disclosure statement. The disclosure statement must contain: • A list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony; and • A list of all the exhibits that the party will use at the hearing.

FILE PREHEARING DISCLOSURE STATEMENTS • The Prehearing Disclosure Statements and Exhibits may be submitted to the Arizona Office of Administrative Hearings using any of the following: • Electronically: https://portal.azoah.com/submission/ • In-Person or by Mail: 1740 West Adams Street, Lower Level, Phoenix, Arizona 85007

EXCHANGING DISCLOSURE STATEMENTS AND EXHIBITS Under A.A.C. R4-9-118(B) (effective November 5, 2017), a party to the hearing must serve on every other party and file with the Office of Administrative Hearings a copy of: • The disclosure statement; and, • Any exhibit that the party will use at the hearing. Service: The disclosure statement and exhibits must be served on all parties in accordance with Arizona Administrative Code R2-19-108 Filing Documents. Under A.A.C. R2-19-108, service is completed by: • Personal delivery; • 1st class, certified or express mail; or • Facsimile. Timing: The disclosure statement and the exhibits must be served and filed not less than seven calendar days before the date of the hearing. Under A.A.C. R2-19-108, a document is served on a party: • On the date it is personally served; • Five days after it is mailed by express or 1st class mail; • On the date of the return receipt if it is mailed by certified mail; or • On the date indicated on the facsimile transmission.

CONSEQUENCES FOR FAILING TO DISCLOSE Under A.A.C. R4-9-108(C), if a witness or an exhibit is not timely disclosed as required the rules, and good cause for the failure to disclose is not shown, then the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

Form RC-L-800A Prehearing Disclosure Statement Rev. 10/08/2019 Instructions Form PREHEARING DISCLOSURE STATEMENT FORM RC-L-800A

PART 1: WITNESS LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony. If you need additional space to list all witnesses, complete and attach additional Witness Lists. Example 1. Name 2. Telephone Number 3. Email Address

John Doe (123) 456-7890 [email redacted] 4. Subject Matter of Expected Testimony

John Doe will testify regarding the poor workmanship and poor installation of the Garage Door. Mr. Doe will also testify regarding the invoices and change orders for the project.

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 1 of 3 PART 2: EXHIBIT LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the exhibits that the party will use at the hearing. Note: All exhibits listed below must be provided to all parties to the hearing. See A.A.C. R4-9-118(B). If you need additional space to list all witnesses, complete and attach additional Exhibit Lists. Example Contract for new garage door. Invoice #10001 – Cost for garage door replacement.

Exhibit Exhibit Name

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 2 of 3 PART 3: ACKNOWLEDGEMENT & SIGNATURE I certify that the above information is true and correct and that I will serve a copy of this disclosure statement and any exhibits listed in Part 2 to all parties to the hearing in accordance with A.A.C. R4-9-118. I acknowledge and understand that if I fail to properly disclose a witness or exhibit, the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

I am the (check one):  Complainant  Respondent Docket No.

Print Name Signature Date

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 3 of 3