2023A-14483-CHC-ROC Notice of Hearing & Packet MAILED 2023-14483.pdf

2023A-14483-CHC-ROC · Registrar of Contractors · 2024-05-14

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Tommy Ford , Case No. 2023-14483 COMPLAINANT, Docket No. 2023A-14483-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Shea Homes Limited Partnership License No. ROC 195895,

RESPONDENT.

This Notice of Hearing is issued under A.R.S. § 41-1092.05(D). HEARING INFORMATION The hearing is set for: June 17, 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 2, 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 May 14, 2024.

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

Copy mailed via USPS First Class mail May 14, 2024 to:

Respondent(s) Shea Homes Limited Partnership 8800 N Gainey Center Dr Ste 350 Scottsdale, AZ 85258

Respondent's Attorney James N. Hanson, Esq. 6730 N Scottsdale Rd Ste 101 Scottsdale, AZ 85253

Complainant(s) Tommy Ford 2017 E Fallen Leaf Lane Phoenix, AZ 85024

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

Case No. 2023-14483 /

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: Tommy Ford 2017 E Fallen Leaf Lane Phoenix, AZ 85024

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: Shea Homes Limited Partnership 8800 N Gainey Center Dr Ste 350 Scottsdale, AZ 85258

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 21, 2023

Jobsite Inspection Notice Re: Complaint Number 2023-14483

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for January 22, 2024 at 09:00 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, Daniel Edwards Daniel Edwards, Investigator #218 602 771 6788 [email redacted] 1700 W Washington St, Suite 105 Phoenix, Arizona 85007-2812

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

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

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

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

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

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

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

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

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

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 Received by Investigations 12/20/2023 2023-14483 Received by Investigations 12/20/2023 2023-14483 Case no. 2023-14483

Dan Edwards, 1/26/2024 1 2017 E Fallen Leaf Lane JSI PHOTOS

Crack in kitchen sink, cause unknown Case no. 2023-14483

Dan Edwards, 1/26/2024 2 2017 E Fallen Leaf Lane JSI PHOTOS

Complainant believes crack due to overtightening the disposal, unsubstantiated Case no. 2023-14483

Dan Edwards, 1/26/2024 3 2017 E Fallen Leaf Lane JSI PHOTOS

Paint at exterior walls patchy Case no. 2023-14483

Dan Edwards, 1/26/2024 4 2017 E Fallen Leaf Lane JSI PHOTOS

Poor paint, exterior Case no. 2023-14483

Dan Edwards, 1/26/2024 5 2017 E Fallen Leaf Lane JSI PHOTOS

Wood filler used at fascia Case no. 2023-14483

Dan Edwards, 1/26/2024 6 2017 E Fallen Leaf Lane JSI PHOTOS

Patio lid recently caulked at corners Case no. 2023-14483

Dan Edwards, 1/26/2024 7 2017 E Fallen Leaf Lane JSI PHOTOS

Hairline cracks at lid Case no. 2023-14483

Dan Edwards, 1/26/2024 8 2017 E Fallen Leaf Lane JSI PHOTOS

Toilet base not sealed, parties working to address Case no. 2023-14483

Dan Edwards, 1/26/2024 9 2017 E Fallen Leaf Lane JSI PHOTOS

Hairline cracks at baseboards/grout Case no. 2023-14483

Dan Edwards, 1/26/2024 10 2017 E Fallen Leaf Lane JSI PHOTOS

Hairline cracks at baseboards/grout Case no. 2023-14483

Dan Edwards, 1/26/2024 11 2017 E Fallen Leaf Lane JSI PHOTOS

Paint touch up, sheen difference visible only at certain angles/lighting conditions Case no. 2023-14483

Dan Edwards, 1/26/2024 12 2017 E Fallen Leaf Lane JSI PHOTOS

Area seen in photo #11, head on Case no. 2023-14483

Dan Edwards, 1/26/2024 13 2017 E Fallen Leaf Lane JSI PHOTOS

Paint touch up, sheen difference visible only at certain angles/lighting conditions Case no. 2023-14483

Dan Edwards, 1/26/2024 14 2017 E Fallen Leaf Lane JSI PHOTOS

Paint touch up, sheen difference visible only at certain angles/lighting conditions Case no. 2023-14483

Dan Edwards, 1/26/2024 15 2017 E Fallen Leaf Lane JSI PHOTOS

Area seen in photo no. 14, head on Case no. 2023-14483

Dan Edwards, 1/26/2024 16 2017 E Fallen Leaf Lane JSI PHOTOS

Paint touch up, sheen difference visible only at certain angles/lighting conditions Case no. 2023-14483

Dan Edwards, 1/26/2024 17 2017 E Fallen Leaf Lane JSI PHOTOS

Area seen in photo no. 16 Case no. 2023-14483

Dan Edwards, 1/26/2024 18 2017 E Fallen Leaf Lane JSI PHOTOS

Dings from window repairs Case no. 2023-14483

Dan Edwards, 1/26/2024 19 2017 E Fallen Leaf Lane JSI PHOTOS

Dings from window repairs Case no. 2023-14483

Dan Edwards, 1/26/2024 20 2017 E Fallen Leaf Lane JSI PHOTOS

Cracking at stucco/weep screed is normal Case no. 2023-14483

Dan Edwards, 1/26/2024 21 2017 E Fallen Leaf Lane JSI PHOTOS

No cracks exceed 1/16” Case no. 2023-14483

Dan Edwards, 1/26/2024 22 2017 E Fallen Leaf Lane JSI PHOTOS

Window cracks Case no. 2023-14483

Dan Edwards, 1/26/2024 23 2017 E Fallen Leaf Lane JSI PHOTOS

Window cracks Case no. 2023-14483

Dan Edwards, 1/26/2024 24 2017 E Fallen Leaf Lane JSI PHOTOS

Outdoor unit Case no. 2023-14483

Dan Edwards, 1/26/2024 25 2017 E Fallen Leaf Lane JSI PHOTOS

Valve shaking and making excessive noise Case no. 2023-14483

Dan Edwards, 1/26/2024 26 2017 E Fallen Leaf Lane JSI PHOTOS

Warped slats at gate Case no. 2023-14483

Dan Edwards, 1/26/2024 27 2017 E Fallen Leaf Lane JSI PHOTOS

Warped slats at gate Case no. 2023-14483

Dan Edwards, 1/26/2024 28 2017 E Fallen Leaf Lane JSI PHOTOS

Lights not observed to flicker Case no. 2023-14483

Dan Edwards, 1/26/2024 29 2017 E Fallen Leaf Lane JSI PHOTOS

Missing paint, left side of range hood Case no. 2023-14483

Dan Edwards, 1/26/2024 30 2017 E Fallen Leaf Lane JSI PHOTOS

Caulking needed at new scribe molding and voids in grout joint Case no. 2023-14483

Dan Edwards, 1/26/2024 31 2017 E Fallen Leaf Lane JSI PHOTOS

Drawer secured poorly Case no. 2023-14483

Dan Edwards, 1/26/2024 32 2017 E Fallen Leaf Lane JSI PHOTOS

Drawer secured poorly Case no. 2023-14483

Dan Edwards, 1/26/2024 33 2017 E Fallen Leaf Lane JSI PHOTOS

Drawer secured poorly Case no. 2023-14483

Dan Edwards, 1/26/2024 34 2017 E Fallen Leaf Lane JSI PHOTOS

Spice rack difficult to operate Case no. 2023-14483

Dan Edwards, 1/26/2024 35 2017 E Fallen Leaf Lane JSI PHOTOS

Tankless heater Case no. 2023-14483

Dan Edwards, 1/26/2024 36 2017 E Fallen Leaf Lane JSI PHOTOS

Product detail Case no. 2023-14483

Dan Edwards, 1/26/2024 37 2017 E Fallen Leaf Lane JSI PHOTOS

Lack of texture behind bedroom door Case no. 2023-14483

Dan Edwards, 1/26/2024 38 2017 E Fallen Leaf Lane JSI PHOTOS Case no. 2023-14483

Dan Edwards, 1/26/2024 39 2017 E Fallen Leaf Lane JSI PHOTOS

Paint at base of window frame Jobsite Inspection Notes

Case No.: 2023-14483 Investigator: Daniel Edwards Inspection Date: January 22, 2024 Inspection Time: 9:00 AM

Complainant: Tommy Ford Respondent: Shea Homes Limited Not Present: Partnership Not Present:

Jobsite General Notes:

Present at inspection was Tommy Ford, complainant. No representatives for respondent appeared during the inspection. Photos taken with Canon ELPH digital camera and/or state-issued Google Pixel cell phone camera. Audio recorded with Olympus DM-720 digital voice recorder. Labelled photos included in case attachments labelled "20240122 JSI Photos 2023-14483."

Complaint Item: 1 - The kitchen sink is cracked, not a material defect Investigator’s Observation: Per complainants, the crack in the sink appeared approx. 10 months after occupancy. Per standards, "Contractor’s responsibility on all manufactured surfaces is valid only if the damaged surface is indicated to the contractor or contractor’s representative within 10 days after move-in." At this time, there is insufficient evidence to order corrective action for this issue and this would need to be addressed with the product manufacturer. Governing Rule:

Complaint Item: 2 - The exterior paint did not get adequate coverage Investigator’s Observation: The grey portions of the exterior walls appear to require additional paint - paint coverage and overall appearance is poor. Respondent shall correct by appropriate means. Parties are advised that some inconsistencies in the appearance of painted walls are common on stucco sand

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

finishes. Governing Rule:

Complaint Item: 3 - Fascia board with putty filler Investigator’s Observation: A fascia board was observed to have wood filler applied to the board and painted. This does not appear to violate any workmanship standards enforced by the Registrar. Governing Rule:

Complaint Item: 4 - Patio lid uneven drywall @ edges and sections Investigator’s Observation: Patio lid edges were caulked prior to inspection. Work appears to meet minimum standards. Some cracks are present in the patio lid drywall. Per standards, respondent is responsible to correct nail pops, hairline cracks and seam lines one time within the first year. After the first year these issues are considered owner maintenance items. At this time, there is insufficient evidence to verify that the cracks observed at inspection were present within the first year and reported at that time. Respondent has already performed drywall repairs since occupancy and there is insufficient evidence to verify thesecracks were included in the drywall punch coordinated between the parties. Governing Rule:

Complaint Item: 5 - Grouting around front bathroom toilet Investigator’s Observation: Bathroom toilet was reportedly replaced since occupancy and the toilet base is not sealed. Shims are visible at the sides of the toilet. Parties are reportedly planning to address this issue. Respondent shall correct by appropriate means. Governing Rule:

Complaint Item: 6 - Grouting at all base boards Investigator’s Observation: Minor separation and grout cracks are present where the baseboards meet the tile. Per standards, Per standards for grout cracks up to 1/16th" where grout meets dissimilar materials (such as baseboards), "Contractor should correct one time within the first year." At this time no evidence 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

has been submitted verifying respondent was notified of this condition within the first year. Additionally, baseboards are not required to be grouted/caulked, per any standards. No action is required for this item. Governing Rule:

Complaint Item: 7 - Touch up painting on interior rooms Investigator’s Observation: Some paint touch ups have been performed inside the home. Each location observed during the inspection exhibits minor differences in sheen when compared to surrounding areas. These inconsistencies are only visible under specific lighting conditions and at specific angles. Paint match appears to be acceptable when viewed head-on under normal lighting. While the paint match would not appear to be perfect, the work meets the minimum standards enforced by the Registrar.

There ARE minor touch ups required at the drywall in the hallway where small divots/dings are present around the windows. These areas appear to have been caused during window repairs, but the drywall was never patched and was subsequently painted. Additionally, wall paint has been smeared onto the base of at least one window frame. Respondent shall correct these areas by appropriate means. Complainant will need to assist in identifying all areas where this concern is present. Governing Rule:

Complaint Item: 8 - Main A/C unit makes noise when turning on Investigator’s Observation: Unit is a Lennox ML14XC1-0420230A07. The liquid line service valve is rattling when the unit is engaged. This is causing an excessive amount of noise. Respondent shall correct by appropriate means. Governing Rule:

Complaint Item: 9 - Side gate slats not holding up, bending Investigator’s Observation: Slats are warping in place. Respondent shall

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

correct by appropriate means. Governing Rule:

Complaint Item: 10 - Stucco cracks in exterior walls Investigator’s Observation: None of the cracks observed at inspection appear to exceed the allowable tolerance of 1/16". Work appears to meet minimum standards. Governing Rule:

Complaint Item: 11 - Stucco cracks at all exterior windows/sliding door Investigator’s Observation: Caulking cracks are present at multiple windows and slider door as described. These appear to be common caulking cracks due to expansion/contraction of dissimilar materials. Per standards, owner maintenance items include, "Interior and exterior caulking (excluding roofing sealant) after the first year of occupancy." At this time, no evidence has been submitted that these cracks were specifically reported to the respondent within the first year of occupancy. Issue is considered an owner maintenance item at this point in time. Governing Rule:

Complaint Item: 12 - Courtyard & exterior wall cracks at flashing Investigator’s Observation: Flashing described is actually weep screeds at the base of the stucco. Cracks are occurring where the metal meets the base of the stucco. This is typical and does not appear to violate any workmanship standards enforced by the Registrar. Governing Rule:

Complaint Item: 13 - Bathroom lights that flicker Investigator’s Observation: Light fixtures are LEDs and not observed to flicker during inspection. LED fixtures are sensitive to changes in draw and I am unable to verify any flickering is due to a workmanship deficiency caused by the respondent. Issue likely needs to be addressed with the product manufacturer. Governing Rule: 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Complaint Item: 14 - Caulking where kitchen cabinet repairs Investigator’s Observation: Caulking needed at scribe molding along cabinet to the left of the range hood. Additionally, there are voids in the grout adjacent to the molding. Respondent shall correct by appropriate means. Governing Rule:

Complaint Item: 15 - Kitchen hardware loose / align / re-inforce Investigator’s Observation: Pull out drawer at island is loose and does not appear to be adequately secured to the drawer face. Respondent shall correct by appropriate means. Loose screws at door and drawer hardware (handles/knobs) have been addressed by the homeowner, additional loose hardware is not a workmanship issue and can be readily corrected by the homeowner. Governing Rule:

Complaint Item: 16 - Spice rack drawer not aligned properly Investigator’s Observation: Spice rack drawer does not appear to be overloaded and is very difficult to operate along its intended range of motion. Respondent shall correct by appropriate means. Governing Rule:

Complaint Item: 17 - Reduction in water pressure Investigator’s Observation: Complainant has a tankless water heater (Rannai V75iN). Per complainant, filter screen was cleaned in the past and water pressure improved. Additionally, complainant has concerns over the water pressure being supplied by the local municipality. At this time there is insufficient evidence to discern whether the issue is being caused by a workmanship deficiency caused by respondent, a maintenance issue, or issues outside of respondent's control (such as a municipal water supply issue). Governing Rule:

Complaint Item: 18 - Master bedroom wall texture behind door Investigator’s Observation: Wall texture behind the door does not match

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

surrounding areas, area is smooth and lacks comparable texture compared to surrounding areas. Respondent shall correct by appropriate means. Governing Rule:

Complaint Item: 19 - Touch up paint around hood stack in kitchen Investigator’s Observation: Areas surrounding hood appear to be missing paint. Respondent shall correct by appropriate means. Governing Rule:

Complaint Item: 20 - Touch up paint for kitchen cabinets Investigator’s Observation: Per complainant, this issue has been resolved. Governing Rule:

Daniel Edwards Daniel Edwards, Investigator 602 7716788 [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: Tommy Ford 2017 E Fallen Leaf Lane Phoenix, AZ 85024

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: Shea Homes Limited Partnership 8800 N Gainey Center Dr Ste 350 Scottsdale, AZ 85258

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 February 6, 2024

License No. ROC 195895

Re:Complaint No. 2023-14483

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

After investigation, the Registrar determined that you failed to meet the requirements of A.R.S. § 32-1154(A), and now issues this Directive requiring you to take appropriate corrective action. Failure to comply with this Directive constitutes a violation of A.R.S. § 32-1154(A)(22) and may result in the issuance of a citation, discipline of your license, and a civil penalty pursuant to A.R.S. § 32-1154(E) of up to $500.00. You must notify the Registrar’s assigned Investigator of your compliance with this Directive prior to 5:00 p.m. on March 1, 2024.

RESTRICTIONS • You may not perform or hire other contractors to perform work that is outside the scope of your license. • If your license is currently suspended for administrative reasons 1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

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

Compliance Item: 2 - The exterior paint did not get adequate coverage Investigator’s Observation: The grey portions of the exterior walls appear to require additional paint - paint coverage and overall appearance is poor. Respondent shall correct by appropriate means. Parties are advised that some inconsistencies in the appearance of painted walls are common on stucco sand finishes. Governing Rule: Violation of any rule adopted by the Registrar;

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

Compliance Item: 5 - Grouting around front bathroom toilet Investigator’s Observation: Bathroom toilet was reportedly replaced since occupancy and the toilet base is not sealed. Shims are visible at the sides of the toilet. Parties are reportedly planning to address this issue. Respondent shall correct by appropriate means. 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: 7 - Touch up painting on interior rooms Investigator’s Observation: Some paint touch ups have been performed inside the home. Each location observed during the inspection exhibits minor differences in sheen when compared to surrounding areas. These inconsistencies are only visible under specific lighting conditions and at specific angles. Paint match appears to be acceptable when viewed head-on under normal lighting. While the paint match would not appear to be perfect, the work meets the minimum standards enforced by the Registrar.

Compliance Item: 8 - Main A/C unit makes noise when turning on Investigator’s Observation: Unit is a Lennox ML14XC1-0420230A07. The liquid line service valve is rattling when the unit is engaged. This is causing an excessive amount of noise. Respondent shall correct by appropriate means. 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: 9 - Side gate slats not holding up, bending Investigator’s Observation: Slats are warping in place. Respondent shall correct by appropriate means. 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: 14 - Caulking where kitchen cabinet repairs Investigator’s Observation: Caulking needed at scribe molding along cabinet to the left of the range hood. Additionally, there are voids in the grout adjacent to the molding. Respondent shall correct by appropriate means. 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 C009 12/23 (handles/knobs) have been addressed by the homeowner, additional loose hardware is not a workmanship issue and can be readily corrected by the homeowner. 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: 16 - Spice rack drawer not aligned properly Investigator’s Observation: Spice rack drawer does not appear to be overloaded and is very difficult to operate along its intended range of motion. Respondent shall correct by appropriate means. 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: 18 - Master bedroom wall texture behind door Investigator’s Observation: Wall texture behind the door does not match surrounding areas, area is smooth and lacks comparable texture compared to surrounding areas. Respondent shall correct by appropriate means. 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: 19 - Touch up paint around hood stack in kitchen Investigator’s Observation: Areas surrounding hood appear to be missing paint. Respondent shall correct by appropriate means. 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 C009 12/23 ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Compliance Item: 1 - The kitchen sink is cracked, not a material defect Investigator’s Observation: Per complainants, the crack in the sink appeared approx. 10 months after occupancy. Per standards, "Contractor’s responsibility on all manufactured surfaces is valid only if the damaged surface is indicated to the contractor or contractor’s representative within 10 days after move-in." At this time, there is insufficient evidence to order corrective action for this issue and this would need to be addressed with the product manufacturer. Governing Rule: N/A

Compliance Item: 3 - Fascia board with putty filler Investigator’s Observation: A fascia board was observed to have wood filler applied to the board and painted. This does not appear to violate any workmanship standards enforced by the Registrar. Governing Rule: N/A

Compliance Item: 4 - Patio lid uneven drywall @ edges and sections Investigator’s Observation: Patio lid edges were caulked prior to inspection. Work appears to meet minimum standards. Some cracks are present in the patio lid drywall. Per standards, respondent is responsible to correct nail pops, hairline cracks and seam lines one time within the first year. After the first year these issues are considered owner maintenance items. At this time, there is insufficient evidence to verify that the cracks observed at inspection were present within the first year and reported at that time. Respondent has already performed drywall repairs since occupancy and there is insufficient evidence to verify these cracks were included in the drywall

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 punch coordinated between the parties. Governing Rule: N/A

Compliance Item: 6 - Grouting at all base boards Investigator’s Observation: Minor separation and grout cracks are present where the baseboards meet the tile. Per standards, Per standards for grout cracks up to 1/16th" where grout meets dissimilar materials (such as baseboards), "Contractor should correct one time within the first year." At this time no evidence has been submitted verifying respondent was notified of this condition within the first year. Additionally, baseboards are not required to be grouted/caulked, per any standards. No action is required for this item. Governing Rule: N/A

Compliance Item: 10 - Stucco cracks in exterior walls Investigator’s Observation: None of the cracks observed at inspection appear to exceed the allowable tolerance of 1/16". Work appears to meet minimum standards. Governing Rule: N/A

Compliance Item: 11 - Stucco cracks at all exterior windows/sliding door Investigator’s Observation: Caulking cracks are present at multiple windows and slider door as described. These appear to be common caulking cracks due to expansion/contraction of dissimilar materials. Per standards, owner maintenance items include, "Interior and exterior caulking (excluding roofing sealant) after the first year of occupancy." At this time, no evidence has been submitted that these cracks were specifically reported to the respondent within the first year of occupancy. Issue is considered an owner maintenance item at this point in time. Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 12 - Courtyard & exterior wall cracks at flashing Investigator’s Observation: Flashings described are actually weep screeds at the base of the stucco. Cracks are occurring where the metal meets the base of the stucco. This is typical and does not appear to violate any workmanship standards enforced by the Registrar. Governing Rule: N/A

Compliance Item: 13 - Bathroom lights that flicker Investigator’s Observation: Light fixtures are LEDs and not observed to flicker during inspection. LED fixtures are sensitive to changes in draw and I am unable to verify any flickering is due to a workmanship deficiency caused by the respondent. Issue likely needs to be addressed with the product manufacturer. Governing Rule: N/A

Compliance Item: 17 - Reduction in water pressure Investigator’s Observation: Complainant has a tankless water heater (Rannai V75iN). Per complainant, filter screen was cleaned in the past and water pressure improved. Additionally, complainant has concerns over the water pressure being supplied by the local municipality. At this time there is insufficient evidence to discern whether the issue is being caused by a workmanship deficiency caused by respondent, a maintenance issue, or issues outside of respondent's control (such as a municipal water supply issue). Governing Rule: N/A

Compliance Item: 20 - Touch up paint for kitchen cabinets Investigator’s Observation: Per complainant, this issue has been resolved. Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Please direct all questions regarding this Directive to the undersigned Investigator.

Sincerely,

Daniel Edwards Daniel Edwards Investigator #218 602 771 6788 [email redacted] 1700 W Washington St, Ste 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Complainant: Tommy Ford 2017 E Fallen Leaf Lane Phoenix, AZ 85024

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 8, 2024

License No. ROC 195895

Re:Complaint No. 2023-14483

WRITTEN DIRECTIVE FROM THE REGISTRAR (AMENDED)

Dear Respondent:

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

Compliance Item: 1 - The kitchen sink is cracked, not a material defect Investigator’s Observation: Crack originates at the sink drain. Per communications with the sink manufacturer, manufacturer determined that the crack is likely due to overtightening the garbage disposal. Respondent shall correct by appropriate means. Governing Rule: Violation of any rule adopted by the Registrar;

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 ARE minor touch ups required at the drywall in the hallway where small divots/dings are present around the windows. These areas appear to have been caused during window repairs, but the drywall was never patched and was subsequently painted. Additionally, wall paint has been smeared onto the base of at least one window frame. Respondent shall correct these areas by appropriate means. Complainant will need to assist in identifying all areas where this concern is present. 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 C009 12/23 adjacent to the molding. Respondent shall correct by appropriate means. 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: 15 - Kitchen hardware loose / align / re-inforce Investigator’s Observation: Pull out drawer at island is loose and does not appear to be adequately secured to the drawer face. Respondent shall correct by appropriate means. Loose screws at door and drawer hardware (handles/knobs) have been addressed by the homeowner, additional loose hardware is not a workmanship issue and can be readily corrected by the homeowner. 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.

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

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 6 - Grouting at all base boards Investigator’s Observation: Minor separation and grout cracks are present where the baseboards meet the tile. Per standards, Per standards for grout cracks up to 1/16th" where grout meets dissimilar materials (such as baseboards), "Contractor should correct one time within the first year." At this time no evidence has been submitted verifying respondent was notified of this condition within the first year. Additionally, baseboards are not required to be grouted/caulked, per any standards. No action is required for this item. Governing Rule: N/A

Compliance Item: 12 - Courtyard & exterior wall cracks at flashing Investigator’s Observation: Flashing described is actually weep screeds

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 at the base of the stucco. Cracks are occurring where the metal meets the base of the stucco. This is typical and does not appear to violate any workmanship standards enforced by the Registrar. Governing Rule: N/A

Compliance Item: 20 - Touch up paint for kitchen cabinets Investigator’s Observation: Per complainant, this issue has been resolved. Governing Rule: N/A

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

Sincerely,

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Daniel Edwards Daniel Edwards, Investigator #218 602 771 6788 [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 C009 12/23 March 12, 2024

VIA EMAIL

Daniel Edwards, Investigator #218 Arizona Registrar of Contractors 1700 W. Washington St., Suite 105 Phoenix, Arizona 85007 Email: [email redacted]

Re: Complaint No. 2023-14483, 2017 E. Fallen Leaf Lane (the “Home”) Complainant: Tommy Ford

Dear Mr. Edwards,

We are in receipt of an Amended Written Directive dated March 8, 2024, regarding the above-referenced complaint filed by Tommy Ford against Shea. The Amended Written Directive, Compliance Item 1 now directs Shea to make repairs to a crack in the kitchen sink. It appears that the Registrar received additional information from Mr. Ford leading to the Amended Written Directive, however Shea did not receive a copy of any information or an opportunity to respond. Shea respectfully requests the Registrar consider the information below and to rescind the Amended Written Directive.

Mr. Ford acknowledges that the “crack” in his sink did not appear until approximately 10 months after occupancy. Nevertheless, in an effort to provide excellent service, Shea offered to arrange for a Kohler authorized representative, Flying Colors Surface Repair, to attempt a repair at no cost to Mr. Ford. Ultimately Flying Colors was not able to effectuate a repair. However, as an authorized representative for Kohler, Flying Colors determined that the crack was covered under Kohler’s warranty and arranged for Kohler to provide a replacement sink (see Exhibit A).

One day after Kohler agreed to replace Mr. Ford’s sink under their warranty, Mr. Ford emailed Kohler customer service a cell phone picture of the crack 1. The service representative wrote, “After reviewing the picture you have provided, the crack seems to be due to overtightening of the drain, which is not covered under warranty.” However as outlined above, a Kohler representative made an in-person evaluation and already determined the crack was covered by the Kohler warranty and not caused by Shea’s installation.

Shea was not in control over Mr. Ford’s kitchen sink during the 10 months between his occupancy and the appearance of the crack. Including the manufacturer defect acknowledged and determined by Kohler after their in-person review, countless things can happen to cause the sink to crack (e.g. dropping items, Mr. Ford adjusting or unclogging disposal, etc.). It is for this very reason the Registrar states “Contractor’s

Mr. Ford did not provide Shea with a copy of his original email to Kohler customer service. Did he disclose to Kohler that the crack only appeared after 10 months of usage, or did he imply that the sink and disposal were recently installed and that’s when the crack appeared? Did he disclose to Kohler that they already determined the crack was covered? sheahomes.com 8800 N. Gainey Center Dr., Suite 350, Scottsdale, AZ 85258 - O: 480.348.6000

Shea Homes Limited Partnership (AZROC 195895 and 195896); Shea Homes Marketing Company (C0550381000). Arizona Registrar of Contractors March 12, 2024

responsibility on all manufactured surfaces is valid only if the damaged surface is indicated to the contractor or contractor’s representative within 10 days after move-in.”

As the Registrar notes, “Defects in appliances and plumbing and electrical fixtures properly installed by the contractor should be limited to the manufacturer's warranty.” That is exactly the situation here, Kohler determined the plumbing fixtures were properly installed and the crack in the sink was covered by the manufacturer’s warranty. Accordingly, we respectfully request the Registrar rescind the Amended Written Directive.

Sincerely,

Rick Young Regional Counsel Exhibit A 8/23/2023

Kohler Homeowner 2017 E Fallen Leaf Ln Phoenix, AZ, 85024-0115 United States

Dear Kohler Homeowner,

As a leader in the plumbing industry, Kohler Co. strives to delight our customers with superior products and impeccable service. We were very concerned to discover this was not your experience.

As an exception to our warranty, we authorize the replacement of your (1) K-6489-0 WHITEHAVEN™ UC 36" TALL APRON SINK; however, our warranty does not cover reimbursement for labor charges.

Please contact your place of purchase and have them order (1) replacement K-6489-0 WHITEHAVEN™ UC 36" TALL APRON SINK. Please specify the color of your product when ordering the replacement. You do not need to return your product to your place of purchase. Please give them a copy of this letter to ensure that the appropriate credit is issued to all parties involved. Your place of purchase may require an original receipt. Be advised this letter has a three month expiration date from the time it was issued.

Thank you for choosing THE BOLD LOOK OF KOHLER®, the leader in plumbing product design and innovation for your home. Kohler Co. looks forward to improving your level of gracious living by exceeding your needs in kitchen and bath design. Please call our Customer Care Center at 1-800-4KOHLER (1-800-456-4537) Monday through Friday 8am–5pm CST if we can assist you.

Sincerely,

JELANE L. Kohler Customer Care Center Representative

DISTRIBUTOR PARTNER: Please contact your dedicated Kohler Customer Service Team for inquiries related to the fulfillment of a warranty replacement order.

For Supplier/Distributor Use Only For Kohler Co. Use Only

Supplier/Distributor Name: FERGUSON ENTERPRISES Req. Dept.: 3C

Supplier/Distributor Address: ____________ Requestor CN: KO49711 ____________ Approver CN: KO49711 Supplier/Distributor Phone #: ____________ Order Reason: A14 Account #____________ Dr/Ref# ____________ Request #: 05231937 Complete Model # of Product Returned ____________

Complete Model # of Replacement Product ____________

Note: Please accept letter from customer in Fax, Email or Printed format.

Please fax letter to Kohler / Sterling Customer Service Dept. for credit. The product should be scrapped in the field; not returned to Kohler. REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Tommy Ford Case No. 2023-14483 COMPLAINANT, v. Shea Homes Limited Partnership CITATION License No. ROC 195895,

RESPONDENT.

The Registrar issues this Citation to Shea Homes Limited Partnership (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by April 17, 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).

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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 THE WRITTEN COMPLAINT On December 20, 2023, Tommy Ford (“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.

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).

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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 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. 2023-14483. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted] The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than April 17, 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,

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

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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 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. Dated April 2, 2024. By: /s/ Dylan Warwick Dylan Warwick Legal Department Arizona Registrar of Contractors

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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, April 2, 2024 to:

Respondent Certified Mail No: [number redacted]

Shea Homes Limited Partnership 8800 N Gainey Center Dr Ste 350 Scottsdale, AZ 85258

Copy mailed by USPS First Class mail this same date to:

Shea Homes Limited Partnership 8800 N Gainey Center Dr Ste 350 Scottsdale, AZ 85258

Complainant Tommy Ford 2017 E Fallen Leaf Lane Phoenix, AZ 85024 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. 2023-14483 / <<CreatedBy_DW>

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1700 W. Washington Street, Suite 105 ꞏ Phoenix AZ 85007-2812 602.542.1525 ꞏ Toll Free 877.692.9762 ꞏ roc.az.gov Lg101 8/21 Received by Investigations 12/20/2023 2023-14483 Received by Investigations 12/20/2023 2023-14483 Received by Investigations 12/20/2023 2023-14483 Received 4/17/2024 ROC Legal

LANG THAL KING & HANSON PC 6730 N. SCOTTSDALE RD., SUITE 101 SCOTTSDALE, ARIZONA 85253 TELEPHONE (480) 534-4900 Please e-serve filings on: [email redacted] Please note new firm name and email addresses JAMES N. HANSON, #029091 [email redacted] (not for e-service)

Attorneys for Shea Homes Limited Partnership ARIZONA REGISTRAR OF CONTRACTORS Tommy Ford, Case No.: 2023-14483 Complainant, WRITTEN ANSWER TO CITATION AND COMPLAINT, CONTAINING: v. (1) A REQUEST FOR HEARING Shea Homes Limited Partnership, License No. ROC 195895 & Respondent. (2) A REQUEST FOR INFORMATION Under A.R.S. § 32-1155 and in response to the Registrar’s Citation and Complaint issued on April 2, 2024, Respondent Shea Homes Limited Partnership files this Written Answer. Shea Homes’s basic position is this: The Registrar should not discipline the license of Shea Homes in connection with the administrative complaint filed by Tommy Ford. Background On or about February 6, 2024, Shea Homes received a Written Directive. Under the section Items Not Requiring Correction was Compliance Item 1, which relates to Mr. Ford’s kitchen sink. Under the Investigator’s Observation, it stated that the kitchen sink was brought up approximately 10 months after the COE (this home closed on March 31, 2022). Shea Homes believed that conclusion about the kitchen sink was a fair, sensible result. But on March 8, 2024, Shea Homes received an Amended Written Directive that switched the kitchen-sink item to be one of the items needing to be addressed/remedied by Shea Homes. In response, on March 12, 2024, Shea Homes submitted a letter to the Registrar about this case. Exhibit A, attached. Shea Homes asked if the Registrar’s change in position resulted Received 4/17/2024 ROC Legal

from new information or allegations from the homeowner. The Registrar’s Investigator, Daniel Edwards, responded to Shea Homes, stating: In response to your letter, the Registrar did not receive additional information from the complainant. Rather, department leadership has reviewed the current record and has determined that appropriate corrective action should be taken for compliance item no 1. As such, the directive for this case has been updated and now includes compliance item no. 1, and the deadline has been adjusted as appropriate. Your information has been reviewed, and the Registrar is declining to remove this item from the directive. At this time, Shea Homes is encouraged to work diligently to resolve this item. Alternatively, Shea Homes has the option to request an administrative hearing in the event a citation is issued for this complaint. On March 26, 2024, emails exchanged between Mr. Ford and Investigator Dan Edwards, and then between Mr. Edwards and Rick Young (Shea Homes’s Regional Counsel), indicated that the only remaining item with the Registrar’s directive was the sink. Mr. Young’s email stated a basis1 for Shea Homes’s defense against any disciplinary action: Mr. Ford acknowledges that the “crack” in his sink did not appear until approximately 10 months after occupancy. Kohler, the manufacturer, determined that the crack was covered under Kohler’s warranty and ultimately provided a replacement sink. Shea was not in control over Mr. Ford’s kitchen sink during the 10 months between his occupancy and the appearance of the crack. It is for this very reason the Registrar states “Contractor’s responsibility on all manufactured surfaces is valid only if the damaged surface is indicated to the contractor or contractor’s representative within 10 days after move-in.” As the Registrar further notes, “Defects in appliances and plumbing and electrical fixtures properly installed by the contractor should be limited to the manufacturer's warranty.”

That is exactly the situation here, Kohler determined the plumbing fixtures were properly installed and the crack in the sink was covered by the manufacturer’s warranty, and the manufacturer provided Mr. Ford with a new sink pursuant to their warranty. Thus, the Registrar issued the Amended Written Directive in error. Shea Homes reserves the right to assert any and all factual and legal defenses to protect its license in the administrative proceeding.

Received 4/17/2024 ROC Legal

Conclusion It is undersigned counsel’s impression that the Registrar does not generally dismiss citations summarily. Consequently, any written answer that contains a request to dismiss, or that even seems to suggest dismissal as an outcome, receives an automatic denial from the Registrar with a statement that the matter should be set for a hearing. Accordingly, Shea Homes requests that a hearing be set in this matter. Shea Homes, however, does request the following affirmative action from the Registrar in conjunction with the setting of any hearing: (1) that the Registrar identify with particularity the “department leadership [who] has reviewed the current record and [who] has determined that appropriate corrective action should be taken for compliance item no 1”; (2) that the Registrar disclose any written materials (whether those are statutes, regulations, or policies either internal or published) relied on by department leadership in making that determination; and (3) that the Registrar disclose all facts surrounding the switch of the kitchen-sink item to be one of the items allegedly needing to be addressed/remedied by Shea Homes.2 Shea Homes, as much as any regulated party, is entitled to that information as part of the notice prior to an administrative hearing. Cf. A.R.S. § 41-1092.03(A)(2) (requiring notice from the agency to identify “with reasonable particularity the nature of any alleged violation, including, if applicable, the conduct or activity constituting the violation”). When the record reflects that Shea Homes has provided particular reasons for taking no further action on the directive with respect to the kitchen sink, and when the record shows that the Registrar itself has made a change in its thinking about the kitchen sink, it would not be appropriate for the Registrar to require Mr. Ford to explain the Registrar’s particular position. The definite and detailed statement explaining why the hearing is happening must be from the agency, and not from the private party handling the proceeding. Cf. A.R.S. § 41-1092.05(D) (“The agency shall prepare and serve a notice of hearing….”). Shea Homes is aware that certain facts might be obtained via a public-records request. But the information requested here is in addition to whatever might be gleaned or conjectured from public records. Shea Homes seeks here an explicit, thorough, simple statement of what caused the Registrar’s position to change to the detriment of Shea Homes.

Received 4/17/2024 ROC Legal

DATED this 17th day of April, 2024. LANG THAL KING & HANSON PC By: /s/ James Hanson James N. Hanson Attorneys for Respondent ORIGINAL sent via email this 17th day of April, 2024, to: Arizona Registrar of Contractors P.O. Box 18244 Phoenix, Arizona 85005-8244 [email redacted] [email redacted] COPY emailed this same day to: Tommy Ford 2017 E. Fallen Leaf Lane Phoenix, AZ 85024 [email redacted] By: /s/ Amanda Smith

Received 4/17/2024 ROC Legal

EXHIBIT A Received 4/17/2024 ROC Legal

March 12, 2024

VIA EMAIL

Daniel Edwards, Investigator #218 Arizona Registrar of Contractors 1700 W. Washington St., Suite 105 Phoenix, Arizona 85007 Email: [email redacted]

Re: Complaint No. 2023-14483, 2017 E. Fallen Leaf Lane (the “Home”) Complainant: Tommy Ford

Dear Mr. Edwards,

Shea Homes Limited Partnership (AZROC 195895 and 195896); Shea Homes Marketing Company (C0550381000). Received 4/17/2024 ROC Legal Arizona Registrar of Contractors March 12, 2024

responsibility on all manufactured surfaces is valid only if the damaged surface is indicated to the contractor or contractor’s representative within 10 days after move-in.”

Sincerely,

Rick Young Regional Counsel Received 4/17/2024 ROC Legal

Exhibit A Received 4/17/2024 ROC Legal Received 4/17/2024 ROC Legal

8/23/2023

Kohler Homeowner 2017 E Fallen Leaf Ln Phoenix, AZ, 85024-0115 United States

Dear Kohler Homeowner,

As a leader in the plumbing industry, Kohler Co. strives to delight our customers with superior products and impeccable service. We were very concerned to discover this was not your experience.

As an exception to our warranty, we authorize the replacement of your (1) K-6489-0 WHITEHAVEN™ UC 36" TALL APRON SINK; however, our warranty does not cover reimbursement for labor charges.

Sincerely,

JELANE L. Kohler Customer Care Center Representative

DISTRIBUTOR PARTNER: Please contact your dedicated Kohler Customer Service Team for inquiries related to the fulfillment of a warranty replacement order.

For Supplier/Distributor Use Only For Kohler Co. Use Only

Supplier/Distributor Name: FERGUSON ENTERPRISES Req. Dept.: 3C

Complete Model # of Replacement Product ____________

Note: Please accept letter from customer in Fax, Email or Printed format.

Please fax letter to Kohler / Sterling Customer Service Dept. for credit. The product should be scrapped in the field; not returned to Kohler. Received 4/17/24, 11:00 AM State of Arizona Mail - Shea Homes Limited Partnership adv. Tommy Ford (ROC Case No. 2023-14483) 4/17/2024 ROC Legal

Answers - AZROC <[email redacted]>

Shea Homes Limited Partnership adv. Tommy Ford (ROC Case No. 2023-14483) message

Amanda Smith <[email redacted]> Wed, Apr 17, 2024 at 10:07 AM To: "[email redacted]" <[email redacted]>, "[email redacted]" <[email redacted]>, "[email redacted]" <[email redacted]> Cc: James Hanson <[email redacted]>

Good Morning,

For filing, please find attached Respondent’s Written Answer to Citation and Complaint regarding the above-referenced matter. Please contact our office if you have any questions.

Thank you,

Amanda

Amanda Smith Legal Assistant Direct: 480-534-4894 | Website | vCard 6730 N. Scottsdale Rd., Suite 101 | Scottsdale, AZ 85253 480-534-4900 NOTICE: This message and its attachments are confidential and may be attorney-client privileged. They are protected by law. If you are not the intended recipient, please destroy the message in both electronic and paper form and notify Lang Thal King & Hanson at 480-534-4900 or by email to the sender. Thank you.

Shea Homes Written Answer to Citation.pdf 452K

https://mail.google.com/mail/b/AEoRXRS8KChKAaZZX8gdYQVf8Bgnv8nCv8YhlFyXvpWH3YZgKBpi/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 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