2023A-13968-CHC-ROC Notice of Hearing & Packet MAILED 2023-13968.pdf

2023A-13968-CHC-ROC · Registrar of Contractors · 2024-05-21

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Michael Murray , Case No. 2023-13968

COMPLAINANT, Docket No. 2023A-13968-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE Diggin AZ Excavating & Grading LLC License No. ROC 336207,

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

HEARING INFORMATION The hearing is set for:

July 1, 2024 1:00 PM Velva Moses-Thompson 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 April 15, 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)(12) - A.R.S. § 32-1158

Charge: 3 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 May 21, 2024.

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

Copy mailed via USPS First Class mail May 21, 2024 to:

Respondent(s) Diggin AZ Excavating & Grading LLC PO Box 915 Dewey, AZ 86327

Complainant(s) Michael Murray 2741 Austin Road Prescott, AZ 86301

Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar

Case No. 2023-13968 /

Katie Hobbs, Governor Martin Quezada, Director

Hearing Packet FAQ What is the Hearing Packet?

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

Who gets the Hearing Packet?

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

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

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

What is in the Hearing Packet?

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

● Original complaint;

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

Katie Hobbs, Governor Martin Quezada, Director

● Citation; and ● Answer.

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

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

What if there are documents missing from the Hearing Packet?

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

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

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

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

Katie Hobbs, Governor Martin Quezada, Director

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

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

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

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

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

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

Complainant: Michael Murray 2741 Austin Road Prescott, AZ 86301

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: Diggin AZ Excavating & Grading LLC PO Box 915 Dewey, AZ 86327

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 December 13, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-13968

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for January 11, 2024 at 11:00 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

COMPLAINANT: 1. Under A.R.S. § 32-1155(D)(1), the Respondent must be allowed, upon request, the opportunity to inspect the work complained of within fifteen (15) days of receiving this notice. If Respondent is not provided an opportunity to inspect the work within the fifteen (15) day time period, the Registrar may be prohibited from taking further action on this complaint. 2. The Registrar may also be precluded from taking further action on this complaint, if the work that is the subject of the complaint is subject to neglect, modification, or abnormal use. A.R.S. § 32-1155(D)(2) 3. You must provide safe access to any area to be inspected. If access to a roof or other elevated area is required, you must provide a means to safely access the area (ladder or manlift as appropriate). Additionally, please secure any animals.

RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection.

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 If either party needs to reschedule the jobsite inspection, please notify the assigned investigator at least three business days prior to the inspection date to schedule a new date and time.

If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.

Sincerely,

/s/ Jim Dimond #170 Jim Dimond #170, Investigator 1700 W. Washington St., Suite 105/Yavapai County Phoenix, Arizona, 85007 Phone: (602)542-1525 Office: (928)637-1463 Cell: (623)680-9585 Email: [email redacted]

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

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

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

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

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

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

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

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

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

Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Jobsite Inspection Notes

Case No.: 2023-13968 Investigator: Jim Dimond Inspection Date: Thursday, January 11, 2024 Inspection Time: 10:00 AM

Complainant: Michael Murray Respondent: Diggin AZ Excavating & Grading LLC

Not Present: Not Present: X

Jobsite General Notes:

At the inspection I took pictures with my state issued Google Pixel 6pro cellphone camera and I have uploaded the pictures to the complaint document file.

I also digitally recorded the inspection on my state issued Olympus DS-30 digital audio recorder and I have uploaded the audio recording to the complaint document file.

Compliance Item: 1 - Diggin AZ has been paid $55,999.07 for a $70,641.28 contract but only approx 30% of the work is done.

Investigator’s Observation: At the jobsite, I observed and partially completed masonry structure about 4' higher than the footing. The rebar is installed however the grout has not been placed.

There is an interior slab at the bottom of the structure that has not been poured yet.

The exterior wall is not poured yet.

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

The deck that is to match the concrete 2nd floor of the existing house is not poured.

The respondent maintains that he cannot pour that deck as of yet as the building materials on the house are not yet removed and he cannot match the elevation.

The respondent also indicates that the slab in the bottom of the structure needs a pipe installed prior to the slab installation.

The complaint initially engaged a general contractor for this project but he has parted ways with them.

The complainant is now the owner builder and is considered the general contractor. The GC has an obligation to monitor the day to day operations and ensure that the project stays on track.

The respondent is to complete the project in accordance with the contract.

The complainant as the GC will need to ensure that work necessary by other trades is completed in a timely manner in order for the respondent to comply with the directive.

It should be noted that the Registrar and other parties cannot dictate the means and methods used by the respondent.

The respondent is to complete his portion of the project in an appropriate manner

Governing Rule: Violation of any rule adopted by the

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

Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 2 - Contract not per AZ state statutes

Investigator’s Observation: The respondent contract does not contain an approximate completion date and does not contain the notice to the public of the right to file an ROC complaint.

The respondent is to correct his contracts in an appropriate manner. Warning letter sent

Governing Rule: Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158.

ITEMS NOT REQUIRING CORRECTION:

NONE

Jim Dimond Jim Dimond, Investigator #170 928 6371463 [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

Complainant: Michael Murray 2741 Austin Road Prescott, AZ 86301

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: Diggin AZ Excavating & Grading LLC P O Box 915 Dewey, AZ 86327

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 12, 2024

License No. ROC 336207

Re:Complaint No. 2023-13968

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 Friday, April 12, 2024.

RESTRICTIONS You may not perform or hire other contractors to perform work that is outside the scope of your license. If your license is currently suspended for administrative reasons1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

DIRECTIVE REQUIREMENTS

You are directed to remedy the following violations by the appropriate means:

Compliance Item: 1 - Diggin AZ has been paid $55,999.07 for a $70,641.28 contract but only approx 30% of the work is done.

Investigator’s Observation: At the jobsite, I observed and partially completed masonry structure about 4' higher than the footing. The rebar is installed however the grout has not been placed.

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 There is an interior slab at the bottom of the structure that has not been poured yet.

The exterior wall is not poured yet.

The deck that is to match the concrete 2nd floor of the existing house is not poured.

The respondent maintains that he cannot pour that deck as of yet as the building materials on the house are not yet removed and he cannot match the elevation.

The respondent also indicates that the slab in the bottom of the structure needs a pipe installed prior to the slab installation.

The complaint initially engaged a general contractor for this project but he has parted ways with them.

The complainant is now the owner builder and is considered the general contractor. The GC has an obligation to monitor the day to day operations and ensure that the project stays on track.

The respondent is to complete the project in accordance with the contract.

The complainant as the GC will need to ensure that work necessary by other trades is completed in a timely manner in order for the respondent to comply with the directive.

It should be noted that the Registrar and other parties cannot dictate the means and methods used by the respondent.

The respondent is to complete his portion of the project in an appropriate manner

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 - Contract not per AZ state statutes

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Investigator’s Observation: The respondent contract does not contain an approximate completion date and does not contain the notice to the public of the right to file an ROC complaint.

The respondent is to correct his contracts in an appropriate manner. Warning letter sent

Governing Rule: Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158.

ITEMS NOT REQUIRING CORRECTION:

NONE

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

Sincerely,

/s/ Jim Dimond #170 Jim Dimond #170, Investigator 1700 W. Washington St., Suite 105/Yavapai County Phoenix, Arizona, 85007 Phone: (602)542-1525 Office: (928)637-1463 Cell: (623)680-9585 Email: [email redacted]

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 4/11/24, 9:23 AM State of Arizona Mail - Murray Residence (Austin Dr.)

James Dimond <[email redacted]>

Murray Residence (Austin Dr.) Daniel Jones <[email redacted]> Tue, Apr 2, 2024 at 12:34 PM To: James Dimond <[email redacted]> Cc: Mike Murray <[email redacted]>

Good Morning Michael, I reached out to Micah Wilson my former partner with concrete. I believe you know Micah you asked him to sign a letter you wrote that is completely false due to the lack of understanding of basic construction management and the order in scope of work is to be conducted to maintain progress. Your complaint is completely invalid. You also asked Jose to sign a letter stating he did not receive payment for the block and that I was the reason he was unable to complete the block wall, also false. You filed a complaint stating I did not have proper licensing for the mason and concrete work, and I abandoned the job, that again is false on you, I would like to remind you that you personally denied me access to the project and never once contacted me. It’s your job as a GC (owner builder to communicate schedule and ensured each task is a smooth transition until the project is complete. I’m sorry Michael but the issue here is not me or my company it is you and you only.

I paused my concrete license after I was unable to move forward at your property. I advised you that the wall needed to be removed and reinforced, I also told you I will install French drain after demo completion. I advised of the utility conflict from the a/c unit to be relocated as well the siding to be removed to establish proper elevation of top of wall. I asked for the height of your floor truss and toe plate and sub floor, that was not provided, those are needed to establish wall the wall height is correct. You were also advised that I was not going to do the demo work because I was not licensed and the liability is too great and not worth the risk. I introduced you to builders that you were also rude with and were disrespectful to and you did not respond to there emails and even met with your engineer to save you money twice for no charge to try and help you. I went over your plans and saw the mistakes first day and instead having a meeting with them you to address the issues you chose to fire Yavapai County design build who originally contracted me. Your decision to take over the project as the GC (owner builder) to deliberately try and put this on me and deny any wrong doing on your end and then falsify letters to have them signed by individuals and in return offer the job that Im contracted to complete. You are terminating that contract. Well Mike a contract protects us both that’s a great thing after seeing how you lack integrity and have no common sense of conducting business.

Im asking you to withdraw your complaint that you knowingly falsified and deliberately prevented progress to complete my scope of work per our signed contract immediately with the R.O.C.

You denied me access and did not hold up your obligations as acting general contractor (Owner builder) you took on that responsibility and failed to deliver. I will be sending the outstanding invoice that is due upon receipt. You failed to allow me to complete work and delayed process and my scheduling on other projects.

I filed a pre lien on the property on Austin Dr and I will not remove it until the invoice is paid in full as well as the penalty for no justification of your contractual termination with Diggin AZ and complaint is withdrawn by you through the R.O.C and James Diamond provides proof that this has been removed and done.

You read his response Actions to be taken by Diggin AZ NONE!

I will be billing for my time with the engineer, potential builders, special inspections scheduling, the equipment rental, the rebar change, and the extra work per details that were emailed separately for the footings. And de mobilization fees that I informed you off when I let you know what I needed to move forward on your project. Late fees, stand by time and late payment fees will be attached to the total bill starting 8/16/23 to today. I advised you of additional fees and your response was you’re not paying them. You acting as an owner builder and me as a sb contractor will ensure I receive payment. I also would like an apology for your threat you made to me stating that when you’re done with me that my family and I will be on the streets. Well mike we won’t when I’m done with you I hope you learn to appreciate and respect people better than what I have witnessed. Take care.

Best Regards, Daniel Jones Owner Diggin AZ

https://mail.google.com/mail/u/0/?ik=6fd2afdf83&view=pt&search=all&permmsgid=msg-f:[number redacted]&simpl=msg-f:[number redacted] 1/2 4/11/24, 9:23 AM State of Arizona Mail - Murray Residence (Austin Dr.)

https://mail.google.com/mail/u/0/?ik=6fd2afdf83&view=pt&search=all&permmsgid=msg-f:[number redacted]&simpl=msg-f:[number redacted] 2/2 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Michael Murray Case No. 2023-13968 COMPLAINANT, v. Diggin AZ Excavating & Grading LLC CITATION License No. ROC 336207,

RESPONDENT.

The Registrar issues this Citation to Diggin AZ Excavating & Grading LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by April 30, 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 7, 2023, Michael Murray (“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)(12) - A.R.S. § 32-1158 Failure in any material respect to comply with this chapter; Namely A.R.S. § 32-1158. Charge 3: 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. 2023-13968. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways:

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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 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted]

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

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

Registrar actually receives it.

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

Registrar no later than April 30, 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 of 5

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. 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

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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 Registrar. Dated April 15, 2024. By: /s/ Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, April 15, 2024 to:

Respondent Certified Mail No: [number redacted]

Diggin AZ Excavating & Grading LLC PO Box 915 Dewey, AZ 86327 Copy mailed by USPS First Class mail this same date to:

Diggin AZ Excavating & Grading LLC P O Box 915 Dewey, AZ 86327 Complainant Michael Murray 2741 Austin Road Prescott, AZ 86301 Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar Case No. 2023-13968 / MTH

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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 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received by Investigations 12/7/2023 2023-13968 Received 4/30/2024 ROC Legal

Written Answer to Citation and Complaint Case number 2023-13968 Submitted by Respondent

Michael Murray (“Complainant”) v. Diggin AZ Excavating & Grading LLC License No. ROC 336207 (“Respondent”)

To The Arizona Registrar of Contractors:

I, Daniel Jones, owner and operator of Diggin AZ Excavating & Grading LLC (“Diggin AZ”), have written this letter to serve as Diggin AZ’s answer to the above referenced case erroneously filed by Michael Murray (“Complainant”) specifically related to the following charges:

1. 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.

2. Charge 2: A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158 Failure in any material respect to comply with this chapter; Namely A.R.S. §32-1158.

3. Charge 3: 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.

Summary of Parties Involved in Project at Issue: The Complainant is the homeowner of the property house addition project at issue located at 2741 Austin Rd., Prescott Arizona 86301. As the Complainant mentioned, Yavapai Design Build was the original General Contractor on the house addition project. Diggin AZ was originally hired by Yavapai Design Build as a Subcontractor. Yavapai Design Build and Complainant had a falling out early on in the project due to the Complainant being unreasonable with communication and pricing. At this point, Diggin AZ was still under the belief that it was still under contract as a Subcontractor and would not be responsible to any work outside of their contract, nor would they be asked to do any work that was not covered under their 2 active licenses. - James Dimond #170 Inspector for the Arizona Registrar of Contractors - Division One Construction was hired without Diggin AZ’s knowledge to complete the project in place of Diggin AZ . Received 4/30/2024 ROC Legal

- Sandy Griffis is the Executive Director of Yavapai County Contractors Association - Bill Edmunds is the owner of AZ Renovations. AZ Renovations was brought out by Sandy Griffis in hopes he and the Complainant could communicate well and agree on pricing to schedule sub-contractors and oversee daily progress until the project was completed.

A. Diggin AZ did, in fact, perform work in a professional workman like manner until DENIED ACCESS to property location by Complainant (New General Contractor/Home Owner).

Complainant’s statement that Diggin AZ has only performed 30% of the total job is inaccurate. Diggin AZ performed its duties to a professional and workman like standard until the Complainant denied Diggin AZ access to the property and ceased all communications which prevented Diggin AZ from finishing the project.

Evidence of such includes that Complainant has paid Diggin AZ a total of $55475.07 (See chart below). This amount equates to 78% of the invoiced and signed contract, of which Diggin AZ has completed 77% of the contractual work. This includes not only one but two change orders which demonstrates the project was being diligently tended to. Unfortunately, Diggin AZ was prevented from completing the outstanding 23% of contractual work due to Complainant’s actions.

Payments made to Diggin AZ are as follows:

Yavapai Design Build Deposit for Job Check 3955 $ 20176.00 Date: 6/30/2023 Diggin AZ Invoiced Contract Amount Total $ 70641.28 Date: 7/23/2023 Payments Received from Mr. Murray Check 109 Memo: Foundation Change Order 1 $13691.55 Date: 7/25/23 Check 110 Memo: Change Order 2 $ 1453.22 Date: 8/7/23 Check 111 Memo: Progress Payment $20154.30 Date: 8/14/23 Payments Total: To Date Payments Made to Diggin AZ $ 55475.07 Balance Due After Completion of Contractual Agreement $ 15166.21

After receiving Jobsite Inspection Directive, Dated March 12th, 2024, Diggin AZ contacted Complainant via email on April 2,2023 with no response. Complainant has not reached out to Diggin AZ via email or phone. Complainant notified a third party, James Dimond, that he attempted to make contact Diggin AZ. Reviewing Diggin AZ Verizon Business Phone records, there has been no contact made by Complainant between the dates Sept 1, 2023 – December 12, 2023 at which time the complaint was issued and the Complainant brought YCCA into the project to assist in its from December 15, 2023 to the current date.

Diggin AZ was then made aware by Division One Construction that Complainant had contacted them to complete the job. Thus, showing evidence that Complainant is in fact restricting Diggin Received 4/30/2024 ROC Legal

AZ from being able to complete the project and in effect follow the Written Directive From The Registrar to complete the project in accordance with the contract.

B. Complainant’s actions ALONE did NOT allow Diggin AZ to follow the Written Directive From The Registrar.

I did not and have not failed to take appropriate corrective action to comply with both the Jobsite Inspection Notice dated December 13, nor the Written Directive from the Registrar dated January 12, 2023.

At the end of July after separating from the contracted GC and Prior to the Complainant filing a complaint with the ROC, the Complainant was notified of the scope of work that was not covered by the licenses held by Diggin AZ. As the acting General Contractor, the Complainant did not have the requested work completed and he abandoned the job when he left the country on or around September 1st. There was no communication from the Complainant to Diggin AZ from August 30, 2023 until December 13, 2023.

In regards to the Inspection Notice dated December 13,, 2023, Diggin AZ was refused access to review the project during the phone conversations with the Complainant on December 13, 2023 and December 15, 2023. The Complainant notified Diggin AZ that he contacted Sandy Griffis and would not meet Diggin AZ on site until a meeting was held with Sandy Griffis. Both parties met with Sandy Griffis in person at her office on December 18, 2023. On December 21, 2023, Diggin AZ, Sandy Griffis, and AZ Renovations met on site with the Complainant to review the project. The Complainant was re-notified of the scope of work required in order for Diggin AZ to complete their contract. The Complainant has not continued to use Yavapai County Contractors Association and did not hire AZ Renovations.

Diggin AZ followed the Jobsite Inspection Notice by attending multiple meetings in person on and off site within the outlined time frame in order to make a good faith effort to resolve this complaint prior to the jobsite inspection.

The Written Directive from the Registrar (“Directive”), dated March 12, 2024, indicated that the Complainant is now the General Contractor of his project, rather than Yavapai Design Build. On July 25, 2023, Diggin AZ was notified by the Complainant that Yavapai Design Build was no longer the General Contractor. Diggin AZ informed the Complainant of the scope of work that would not be covered under their licensees. It was requested for the Complainant to hire a contractor with approved licenses to complete these items.

In such Directive, it states that the Complainant and now new General Contractor must ensure that work necessary by other trades is completed in a timely manner. Complainant has not complied with the Directive in a timely manner in order to allow Digging AZ to comply with its directive issued. Once Complainant’s obligations have been completed, the following Directive line items would be completed by Diggin AZ:

1. Grout placement on 4ft constructed block wall, Received 4/30/2024 ROC Legal

2. Interior slab at the bottom of the structure, 3. Pour of the exterior wall, 4. Pour concrete slab to match existing house slab elevation, 5. French Drainpipe to be installed prior to the interior slab pour

The above line items represent the cost of 23% of contracted work not completed.

As the acting GC

C. Diggin AZ denies all charges based upon Complainant’s unwillingness to communicate.

In conclusion, the formal statement of charges against Digging AZ are erroneous and not truthful because Diggin AZ was actively prevented from completing the project. Diggin AZ is respectfully requesting to settle this dispute amicably and is willing to work out and comply with any outstanding issues at hand to rectify the Citation and Complaint to ensure the health of its business and license.

If you have any questions or concerns, please feel free to contact me via email or cell phone at your convenience.

Thank you for your time.

/s/ Daniel Jones Diggin AZ Excavating & Grading LLC 928-713-3356 PO Box 915 Dewey, AZ 86327 Received 5/1/24, 8:05 AM State of Arizona Mail - Written Answer to Citation and Complaint Case number 2023-13968 4/30/2024 ROC Legal

Answers - AZROC <[email redacted]>

Written Answer to Citation and Complaint Case number 2023-13968 message

[email redacted] <[email redacted]> Tue, Apr 30, 2024 at 4:19 PM To: "[email redacted]" <[email redacted]>, "[email redacted]" <[email redacted]>

Please find the Written Answer to Citation and Complaint - Case number 2023-13968 attached in PDF format.

Daniel Jones

Owner

Diggin AZ Excavating & Grading LLC

928-713-3356

Po Box 915

Dewey, AZ 86327

Respondent Written Answer to Citation and Complaint 4.30.24.pdf 132K

https://mail.google.com/mail/b/AEoRXRQF8Ljiw74RmsadoHSNlFPGUwzFMj5da-ASsCdv7X-22rZv/u/0/?ik=581c53cf5c&view=pt&search=all&permthi… 1/1 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