2023A-14536-NPC-ROC Notice of Hearing and Packet MAILED

2023A-14536-NPC-ROC · Registrar of Contractors · 2024-03-06

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

PG Plumbing LLC, Case No. 2023-14536 COMPLAINANT, Docket No. 2023A-14536-NPC-ROC v. NOTICE OF HEARING ON CONTESTED CASE 928 Construction, LLC License No. ROC 339617,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

April 23, 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 January 18, 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)(10)

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.

RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney.

A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32- 1156(B). CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of any change of address within five (5) days of the change. A.R.S. § 41-1092.04.

HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092 to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE The Registrar’s investigators, employees, and attorneys will appear at the hearing via video conference or telephone unless requested by a party to appear in-person. Requests for the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date.

HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses

certain documents to the parties and the Office of Administrative Hearings. These documents

are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit

additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below. SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their

case. If a party wants to obtain testimony from a witness or documents not in the party’s

possession, the party must prepare and file a written subpoena for the Administrative Law

Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a

subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04.

DISCLOSURE STATEMENT

At least seven calendar days before the hearing, each party must prepare and serve a disclosure statement on all other parties, and file it with the Office of Administrative Hearings. A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is

available on the Registrar’s website at https://roc.az.gov/forms/RC-L-800A%20-

%20Prehearing%20Disclosure%20Statement%2020191007v4.pdf

CHANGING THE HEARING DATE The date of the hearing may only be advanced or delayed on the agreement of the parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may be changed by filing a written agreement of the parties to change the date of the hearing. The written agreement must be filed with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com If a party would like to move the date of the hearing without agreement of all parties,

the party must file a written motion with the Office of Administrative Hearings, directed to the

assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties.

The motion must state in detail good cause for why the date of the hearing should be advanced or delayed, and the position of all other parties regarding the advancement or delay. A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).

RESOLUTION SHORT OF ADJUDICATION In any case which is resolved or settled by the parties, or which is withdrawn by the Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated March 6, 2024.

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

Copy mailed via USPS First Class mail March 6, 2024 to:

Respondent(s) 928 Construction, LLC 3266 S. Little Dr FLAGSTAFF, AZ 86005

Megan N. Schandle, Esq. 6730 N Scottsdale Rd Scottsdale, AZ 85253

Complainant(s) PG Plumbing LLC 1951 S. Desert Flower Cir Cottonwood, AZ 86326

Copy sent electronically this same date to:

Respondent at email address on record with the Registrar Respondent’s Attorney at email address of record with Registrar Complainant at email address on record with the Registrar Complainant’s Attorney at email address of record with Registrar Case No. 2023-14536 /

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

January 5, 2024

Via U.S. Mail and Email

Complainant PG Plumbing LLC 1951 S. Desert Flower Cir Cottonwood, AZ 86326

Via U.S. Mail and Email

Respondent 928 Construction, LLC 3266 S. Little Dr. Flagstaff, AZ 86005

Re: Complaint No. 2023-14536

Dear Complainant and Respondent:

The Registrar received a complaint filed against 928 Construction, LLC for non- payment of materials or services rendered. This complaint is complete and will be substantively reviewed by the Registrar.

Respondent is free to raise any issue or affirmative defense to this complaint by filing a response with the Registrar by January 12, 2024. Please reference the complaint number listed above if you file a response. Respondent may file a response by:

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

The Registrar will not issue a citation before January 12, 2024 and will review Respondent’s response, if one is submitted.

Please be advised that a response to the complaint is not the same as a written answer. If the Registrar issues a citation Respondent must file a written answer to that citation in accordance with A.R.S. § 32-1155.

Sincerely,

/s/ Tedi Quezada _______________

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Tedi Quezada Legal Department 1700 W Washington St. Ste 105 Phoenix, AZ 85007

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Non-P aymen t Compl aint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 18243 Phoenix, AZ 85005-8243 - Person Filing Complaint (Pavee) Business Name Full Name (First Middle Last) ROC License Number(s) (if any) PG Plumbing LLC I Philip Benjamin Graham 333027 Street Address City State Zi~Code 1951 S Desert Flower Cir Cottonwood Arizona I86 26 Phone Number Email Address 928-301-1730 I [email redacted] I consent to receive communications electronically in connection with this case. Yes~

Name of Attorney (if any)

Attorney's Street Address City State I ZipCode Attorney's Phone Number Attorney's Email Address . , ""- Licensee Information (Paver) . ~·- Name (as shown on contracts, invoices, etc.) ROC License Number(s) 928 Construction LLC 339617 Street Address City State Zi~Code 989 S. Main St. Ste A PMB#469 Cottonwood Arizona I86 26 Phone Number Email Address 928.821.9667 [email redacted] Name of Person(s) Representing License Adam Cook Complaint Information r.·- __ ...,',i(, y

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Contract Date (if applicable) Princibal Amount Due (excluding interest and fees) $7,70 4/6/2023 Have you filed a civil complaint? Yes D (If yes, provide a copy of the civil judgment) No~ No List all specific invoices which have not been paid. Attach additional pages if necessary. 1. Invoice #210129 (See attached document) 2.

Certification fifty dollars when I certify, upon information and belief, that the above-named licensee has failed to pay monies in excess of seven hundred information and due for materials or services rendered in connection with the licensee's operations as a contractor. I further certify, upon construction belief, that the above-named licensee has the capacity to pay, or has received sufficient monies as payment for the particular work proiect or operation for which the services or materials wer.u_ender ed or vurchased.A ,R.S. § 32-1154(A) (10). Printed Name ISignatu;~ · Z - ~ I Date t7-/ 2 Z-/ l3 Philip Graham i Declaration & Simatur e of perjury that I am the Complainant in this Complaint Form or Complainant's duly authorized representative. I declare under penalty that any documents submitted in the information contained in this Form is true and correct to the best of my knowledge. I further certify knowledge. I will assist in the support of this complaint are true and correct copies of the originals and are accurate to the best of my and testi{1/ to facts. investi~ation or in the prosecution of the contractor or other part~and will, if necessan;, attend hearin~s P~ted Name Ph1hp Graham IS i g n a t u r ~ ~ ~ I Date \ Z/ 2-1--/ 2,3 [number redacted]ÿ0783ÿ9 ÿÿ ÿ ÿÿÿ1814043 0123ÿ5617828ÿ9:123;<617828=>?@;87;A?BC

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722 !2 2"282#$%&4!'!3!10()*+%) !% ) ,% ,71838(4('44'(014(8-.7.13(84'04438'./ 020 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

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

Philip Graham PG Plumbing LLC ROC 333027 Mailing Address (Enter jobsite in Contract/Project section) City State Zip

1951 S. Desert Flower Cir. Cottonwood Arizona 86326 Phone Number Email

(928) 301-1730 [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Street Address of Attorney City State Zip

Phone Number of Attorney Email of Attorney

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

928 Construction, LLC ROC 339617 Street Address City State Zip

989 S. Main St Ste A PMB#469 Cottonwood Arizona 86326 Phone Number Email

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

Adam Cook Contract/Project Information Contract Date Contract Amount Amount Paid

April 6, 2023 $34,500.00 $26,100.00 Date Work Started Date Work Stopped Date Work Was Completed

May 5, 2023 October 10, 2023 October 10, 2023 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

1702 & 1706 Echo Canyon Dr Clarkdale AZ 86324 Name of Construction Site Owner Construction Site Name (if applicable)

Phone Number of Construction Site Owner Email of Construction Site Owner

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

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

The contract was Written All change orders were Oral This project was Residential This project involved New Home

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

Non Payment of final invoice submitted for completion of work done by PG Plumbing on said project.

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

Philip Graham \complainant1\ \complainantd1\

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Case No. 2023-14536 PG Plumbing LLC,

COMPLAINANT, v. CITATION 928 Construction, LLC License No. ROC 339617,

RESPONDENT.

The Registrar issues this Citation to 928 Construction, LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by February 2, 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 24, 2023, PG Plumbing LLC (“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)(10) — Failure by a licensee or agent or official of a licensee to pay monies in excess of $750 when due for materials or services rendered in connection with the licensee's operations as a contractor unless 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 licensee proves that the licensee lacks the capacity to pay and has not received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased.

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. 2023-14536. 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 February 2, 2024. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a

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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 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). 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

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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 inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated January 18, 2024. By: /s/ Robert Stirling Robert Stirling Assistant General Counsel Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, January 18, 2024 to:

Respondent Certified Mail No: [number redacted]

928 Construction, LLC 3266 S Little Dr. Flagstaff, AZ 86005 Copy mailed by USPS First Class mail this same date to: 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 Respondent 928 Construction, LLC 3266 S Little Dr. Flagstaff, AZ 86005

Respondent’s Attorney Tevis S. Reich Esq. Law Office of Tevis Reich, PLLC 6 E Dale Ave Flagstaff, AZ 86001

Complainant PG Plumbing LLC 1951 S. Desert Flower Cir Cottonwood, AZ 86326

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. 2023-14536

of 5

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Via U.S. Mail and Email

Complainant PG Plumbing LLC 1951 S. Desert Flower Cir Cottonwood, AZ 86326

Via U.S. Mail and Email

Respondent 928 Construction, LLC 3266 S. Little Dr. Flagstaff, AZ 86005

Re: Complaint No. 2023-14536

Dear Complainant and Respondent:

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

The Registrar will not issue a citation before January 12, 2024 and will review Respondent’s response, if one is submitted.

Sincerely,

/s/ Tedi Quezada _______________

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Name of Attorney (if any)

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722 !2 2"282#$%&4!'!3!10()*+%) !% ) ,% ,71838(4('44'(014(8-.7.13(84'04438'./ 020 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

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

Philip Graham PG Plumbing LLC ROC 333027 Mailing Address (Enter jobsite in Contract/Project section) City State Zip

1951 S. Desert Flower Cir. Cottonwood Arizona 86326 Phone Number Email

(928) 301-1730 [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Street Address of Attorney City State Zip

Phone Number of Attorney Email of Attorney

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

928 Construction, LLC ROC 339617 Street Address City State Zip

989 S. Main St Ste A PMB#469 Cottonwood Arizona 86326 Phone Number Email

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

Adam Cook Contract/Project Information Contract Date Contract Amount Amount Paid

April 6, 2023 $34,500.00 $26,100.00 Date Work Started Date Work Stopped Date Work Was Completed

May 5, 2023 October 10, 2023 October 10, 2023 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

1702 & 1706 Echo Canyon Dr Clarkdale AZ 86324 Name of Construction Site Owner Construction Site Name (if applicable)

Phone Number of Construction Site Owner Email of Construction Site Owner

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

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

The contract was Written All change orders were Oral This project was Residential This project involved New Home

Non Payment of final invoice submitted for completion of work done by PG Plumbing on said project.

Philip Graham \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 Received 2/1/2024 ROC Legal

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

PG PLUMBING, LLC, File No.: 2023-14536 Complainant, WRITTEN ANSWER TO CITATION vs. AND COMPLAINT

928 CONSTRUCTION, LLC, License No. ROC 339617, Respondent 928 Construction, LLC (“928”) responds to the Citation issued on the foregoing matter as follows:

Respondent denies Charge 1 together with the allegations as set forth in the Citation for the above captioned matter. In further response to the Charges and allegations in the Citation, Respondent affirmatively states as follows: 1. Under the Subcontract Agreement (attached hereto as Exhibit 1) the following pertinent provisions exist: 5. CONTRACT PRICE AND PAYMENTS.

B. The invoice and payment schedule will be as follows: *** 6. Receipt of a progress payment from Owner to Contractor is a condition precedent to paying Subcontractor under this Contractual Agreement. Contractor must notify Subcontractor within three (3) days of a late or of a nonpayment to Contractor from Owner.

Received 2/1/2024 ROC Legal

6. PROJECT FINAL PUNCH LIST AND FINAL PAYMENT. At the near completion of the project, Contractor’s Lead Carpenter and/or Production Manager will develop a Project Final Punch List. The Lead Carpenter and/or Production Manager will specifically list each item which either needs corrected or completed by Subcontractor in order for Contractor to consider their work completed. A signed copy of the Project Final Punch List will be issued to Subcontractor. A. Final payment for the project will not be paid to Subcontractor until: 1) Subcontractor has completed the Project Final Punch List and has met the Contractual Agreement; *** 3)Contractor has been paid final payment from Owner for work Subcontractor has completed; and *** 20. BACKCHARGES AND PROTECTION OF WORK. Contractor will have the right to deduct from Subcontractor’s progress payment the cost of repairs for damage done by Subcontractor and or Subcontractor’s employees to any construction phase or phases of the project to include rough-in trade work and finish trade work of all trades whom are involved in the project. Contractor will have the right to deduct from Subcontractor’s progress payment the cost of repairs to correct or replace Subcontractor’s defective work. Contractor will give Subcontractor written notice of damages, non-conforming work, or defective work. If Subcontractor does not respond within [SIC] given time frame, Contractor has the right to correct or repair the defect at the Subcontractor’s expense. Subcontractor agrees to be responsible for protecting all of his work in progress.

928 has just recently invoiced the owner for the final draw and payment on the project and has not yet been paid. Accordingly, the express conditions precedent for the requirement of final payment due PG Plumbing have not yet been

Received 2/1/2024 ROC Legal

met and PG Plumbing’s claim for payment is premature. Furthermore, the project may be subject to punch list items which need to be performed prior to the

obligation for 928 to make final payment. Without final payment from the owner,

928 lacks the capacity to pay and has insufficient funds to pay. In addition, PG’s final invoice is subject to offset due to nonperformance. Specifically, in mid-November, 2023 as the project was nearing completion, the

building department requested the correction of some items prior to the issuance of the certificate of occupancy. PG was requested to perform certain corrective work including the installation of a recirculation pump and strapping and securing expansion tanks in order to obtain a certificate of occupancy. PG, through its principal Phil Gram, failed to timely perform stating that he was “leaving town” and would not perform or be able to perform the required work until mid- December (nearly a month later). This timeline was neither timely nor acceptable and PG’s was notified that a failure to perform this minimal, but required work,

would result in 928 engaging another plumber to perform the work and back

charging PG under paragraph 20 of the contract. PG failed to perform and 928 engaged another plumber and is entitled to offset the amounts claimed and owed for the charges incurred.

WHEREFORE, Respondent/Contractor requests the Citation be dismissed,

and 928 be found not responsible for the charges set forth therein. Dated this 1ST of February, 2024 /s/ Tevis Reich Tevis Reich

Received 2/1/2024 ROC Legal

ORIGINAL and COPY of the foregoing sent as indicated this 1st Day of February, 2024 to:

Legal Department Registrar of Contractors 1700 W. Washington Street, Suite 105 Phoenix, AZ 85007 Via email: [email redacted]

PG Plumbing, LLC 1951 S. Desert Flower Cir Cottonwood, AZ 86326 Via email: [email redacted]

/s/ Rene Horne

Received 2/1/2024 ROC Legal

Exhibit 1

Exhibit 1 Received 2/1/2024 ROC Legal

coilsTRUcTloNS CONTRAC TOR/SUBC ONTRAC TOR CONSTRUCTION CONTRACT 928 Construction, LLC 989 S. Main St. Ste A PMB#469 Cottonwood, AZ 86326 olfic e.928 c onstructionlIc @,gmai l. com Phone : 928.82| .9 667 LICENSE #ROC 339617 General Dual KB-2 Dual Residential & Small Commercial

Subcontractor: PG Plumbing

Principal: Philip Graham

Address: 1951 S Desert Flower Cir Cottonwood, 42 86326

AZLicense#: 333027 Tax I.D. #: 8s-3173936

Subj ect Property Owner: Kl0 Properties LLC Address: 1702 & 1706 Echo Canyon Dr

Clarkdale, A286324

PARTIES: This contract is made and entered into on this 18 day of May

by and between PG Plumbing (hereinafter referred to as "subcontractor") and928 Construction, LLC, (hereinafter referred to as "Contractor"). This contract is for the benefit of K10 Properties LLC (hereinafter referred to as "Owner") is the owner of subject property stated above.

"Owner" is the owner of the subject property and desires to have improvements constructed on said property. "Contractor" and "subcontractor" are licensed contractors in the State of Arizona willing to construct the desired improvements.

1. GENERAL PROJECT DESCRIPTION. Underground/Rough/Finish Plumbing for new build.

Page I of10 Subcontractor Initials : Contractor Initials: Received 2/1/2024 ROC Legal

2. GENERAL SCOPE OF WORK. Subcontractor shall furnish all labor, materials, tools, equipment and supervision to perform the following work at the subject property stated above. All work will be per Construction Drawings and Construction Contract Specifications. A11 work will be per curent applicable building codes and performed in an acceptable workmanlike manner. Roughin. top-out and finish of all under roof plumbing. water and sewer is included. All labor. roushin materials needed to complete the iob will be orovided

3. EXCLUSIONS FROM GENERAL SCOPE OF WORI(. The Subcontractor has not included labor and materials for the following work in this agreement: Permits are not included. Trenching for all underground plumbing is not included. Backfilline is not included

4. CONSTRUCTION DOCUMENTS. The Subcontractor agrees to be bound by and perform in accordance with the following construction documents:

A. The "Approved for Construction Drawings" dated: 03-06-2023

B. The "Construction Contract" as executed as executed between Owner and Contractor dated: 03-06-2023

C. The "Construction Contract Specifications" between Owner and the Contractor dated: 03-06-2023

D. The "General Conditions of the Construction Contract" as executed between Owner and Contractor dated: 03-06-2023

5. CONTRACT PRICE AND PAYMENTS. The Contractor shall pay the Subcontractor the sum of $ 34,000 for the work as stated under this agreement, subject to additions and deductions as stipulated in the General Conditions of the Construction Contract.

Page 2 of10 Subcontractor Initials: PG- p- Contractor Initials: Received 2/1/2024 ROC Legal

A. Progress payments will be made to Subcontractor as follows Job Deposit: $ o.oo Completed Phase of Work: Amount to be paid: 1) Roughin s 13,800 2) Topout $ 13,800 3) Trim $ 6,e00 4) $

B. The invoice and payment schedule will be as follows: 1) Invoices received in our office by the 25th of the month will be paid by the l0th of the next month. 2) Time and material contract invoices must include a labor and materials description of the work actually completed by the 25ft of the month. 3) Progress payment contract invoices must include a description of the contract work completed by the 25th of the month. 4) In the event that a Subcontractor needs to have a job deposit, the deposit invoice must be received by the 25th of the month. Change Order invoices received in our offrce by the 25th of the month will be paid by the lOth of the next month. 5) If Subcontractor has outstanding issues regarding a specific job task inspection or completion of a job task, payment will not be made until the inspection items are corrected and uncompleted work finished. Final payment will not be paid to Subcontractor until the conditions as stated under Project Final Punch List have been fulfilled. The final payment invoice must be received in our office by the 25ft of the month to be paid by the 1Oth of the next month. 6) Receipt of a progress payment from Owner to Contractor is a condition precedent to paying Subcontractor under this Contractual Agreement. Contractor must notiff Subcontractor within three (3) days of a late or of a nonpayment to Contractor from Owner.

6. PROJECT FINAL PUNCH LIST AND FINAL PAYMENT. At the near completion of the project, Contractor's Lead Carpenter andlor Production Manager will develop a Project final Punch List. The Lead Carpenter and/or Production Manager will specifically list each item which either needs corrected or completed by Subcontractor in order for Contractor to consider their work completed. A signed copy of the Project Final Punch List will be issued to Subcontractor.

A. Final payment for the project will not be paid to Subcontractor until: l) Subcontractor has completed the Project Final Punch List and has met the Contractual Agreement ; 2) Subcontractoi work has been inspected and approved by the appropriate authorities; 3) Contractor has been paid final payment from Owner for work Subcontractor has completed; and 4) Subconfactor must also issue to Contractor any warranty information and operations manuals for equipment and/or products installed on the project before

Page 3 of 10 Subcontractor Initials: Contractor Initials: Ie *{- Received 2/1/2024 ROC Legal

Subcontractor will receive final payment. Contractor will forward to Owner all wananty and product information.

7. WORI( COMMENCEMENT Al[D COMPLETION TIME. Subcontractor's rough-in work shall begin the week of: rse and take approximately5 calendar days to complete. Subcontractor's finish work shall begin the week of: rea and take approximately s calendar days to complete. Contractor will provide Subcontractor with a Project Production Schedule as soon as possible once a project has been awarded. In the event there is a time delay, which is the fault of the Contractor or Owner or Act of God and/or an event or occurrence which is beyond the control of the Subcontractor, Contractor will not hold Subcontractor liable for the time delay. Contractor will reissue Subcontractor an updatedproject Production Schedule as soon as possible. Subcontractor shall not be entitled to any compensation as a result of a time delay regardless of who is responsible for the time delay.

A. In the event Subcontractor is the cause for a time delay without reasonable cause, Contractor has the right to end this Contractual Agreement if Subcontractor does not perform work within five (5) days after receiving written notice from Contractor. Contractor shall not be entitled to any compensation as a result of Subcontractor time delay. Contractor will only pay for the amount of work completed and not the full contract amount to Subcontractor, should this Agreement be cancelled.

8. UNFORSEEN WORK AND BUILDING CODE ISSUES. It shall be the responsibility of Subcontractor to notify Contractor of any unforeseen work or building code issues which is not indicated on the Construction Drawings, Contract, and Specifications. It will be the responsibility of Subcontractor to inspect the construction site for reasonably likely but concealed work, substandard conditions, building code and general site conditions prior to Subcontractor's submittal of the cost estimate to Contractor and signing the Contractor/Subcontractor Construction Contract. Contractor and Owner will not be held liable for expenses incurred to Subcontractor from Subcontractor's lack of insight and poor planning . in regards to unforeseen work and building code issues. A. In the event that concealed substandard conditions and/or building code violations are discovered on the construction site by Subcontractor it will be Subcontractor's responsibility to notiff Contractor of those issues. The expenses incurred to correct concealed substandard conditions and/or building code violations will be the responsibility of the Owner as stated in the Contractor's Construction Contract Agreement with Owner.

B. Subcontractor must submit in writing, as stated in paragraph #16 of this contract, a Change Order invoice to Contractor for the costs incurred to correct the substandard conditions and building code violations prior to payment.

9. MATERIAL PRICE INCREASES. The contract price for this Construction Contract has been calculated based on the current prices for the component building materials. The market

Page 4 oflO Subcontractor Initials: Contractor Initials: W Received 2/1/2024 ROC Legal

for the building materials as specified in this contract are considered to be volatile and sudden price increases may occur. Subcontractor agrees to use his best effort to obtain these building materials from his material suppliers at the best possible price. In the event that specified materials increase in price after the execution of this contract, Contractor agrees to pay the cost increase to Subcontractor. Subcontractor shall provide to Contractor a written notice of the increased cost of the specified material, the source of supply, and written invoices from the material supplier indicating price increases. Subcontractor will forfeit his mark up for the price increase difference.

10. REQUTRED PAPERWORK.

A. Subcontractor will also be required to forward a Workman's Compensation Certificate and a General Liability Insurance Certificate to Contractor.

B. Subcontractor shall complete and retum to Contractor "Federal Form W-9 Request for Taxpayer Identification Number and Certification."

C. Contractor shall issue to Subcontractor a State of Arizona Sales Tax Exemption Form releasing Subcontractor of any sales tax liabilities in regards to this project.

II.INSURANCE. Subcontractor will issue to Contractor a Workman's Compensation Certificate of insurance and a General Liability Certificate of Insurance. Subcontractor agrees to hold harmless, and Contractor shall be named as "additional insured" on Liability Insuiance Certificate. Subcontractor's insurance shall be the primary insurance for the work which Subcontractor performs on this project. Neither Contractor's nor Owner's insurance shall be called on to contribute to a loss caused in whole or part by the negligence of Subcontractor. certificates of insurance acceptable to contractor are as follows:

A. Worker's Compensation Insurance, the statutory maximum.

B. Employer's Liability Insurance, $100,000/each person.

C. Comprehensive General Liability Insurance: 1) Bodily Injury/Property Damage $1,000,000/per occurrence 2) General Aggregate 92,000,000 3) Products/Completed Operations $2,000,000 aggregate 4) Personal & Advertising $1,000,000 5) 928 Construction, LLC shall be named as additional insured. D. Per Project Aggregate Limit of Liability Insurance is to apply to this project.

E. Automobile Liability Insurance: 1) Bodily Injury: $ 500,000leachperson $ 1,000,000/per accident or $ 1 ,000,000 combined single limit

Page 5 of10

W Subcontractor Initials: Contractor Initials: Received 2/1/2024 ROC Legal

2) Property Damage: $ 500,000/per accident F. The insurance policies and certificates required shall contain a provision on that policy or certificate which states that the coverage under the policy will not be cancelled or allowed to expire until the Contractor has been given written notice or a certificate of cancellation at least thirty (30) days prior to the cancellation.

I2.CONTRACTOR'S SERVICES. Contractor shall provide at the project jobsite the following: portable toilets, trash containers, suitable areas for material and equipment storage, electrical power, water, temporary lighting, temporary heat, scaffolding, specialty safety equipment, fire extinguisher, and first aid kit. Except as agreed upon, Contractor's tools and equipment will not be available for the use of Subcontractor.

A. In the event special equipment is required to perform certain job tasks, Contractor will provide to Subcontractor, at Subcontractor's request, the special equipment. Contractor must be notified by Subcontractor of the need for the special equipment prior to Contractor entering into a contractual agreement with Owner. If Subcontractor gives notification of special equipment to Contractor after Contractor has a contractual agreement with Owner, Subcontractor will be responsible for securing the equipment and for all expenses of the equipment.

I3.WARRANTY. Subcontractor will warrant to Contractor and Owner any labor, materials, and equipment that fail to function properly for a period of two (2) years. The warranty period will begin from the date of "Final inspection sign-off' and/or Owner's possession, whichever occurs first. All repairs to correct defects wilt be at the Subcontractor's expense and will be completed in a timely manner. Subcontractor will also repair any damage done to surrounding parti of the structure as a result of a defect in Subcontractor's work during the warranty period- This warranty shall be in addition to and not in limitation of any other warranty required by law or by Contractor's Construction Contract with Owner. Contractor's "Limited Warranty" to Owner is available for review upon Subcontractor's request.

14. SAFETY. Subcontractor shall perform all work in a safe manner as set forth by the statutes and regulations as established by OSHA and/or any state agency regulating construction jobsite safety. Subcontractor shall take all precautions necessary to ensure the safety of his own employees as well as other persons on the jobsite. Contractor and/or a representative of Contractor shall have the right to enforce jobsite safety and/or dismiss from the jobsite any Subcontractor or any employee of Subcontractor who refuses to comply with proper jobsite safety standards. If Subcontractor thereafter refuses to comply with reasonable and proper safety standards, Contractor may terminate this contract. Subcontractor shall report to Contractor in writing within three (3) days of an injury to an employee or agent of the Subcontractor.

15.JOBSITE RULES AND REGULATIONS. Subcontractor and./or his employees shall comply with the "Jobsite Rules and Regulations" as stated in the "Subcontractor's Performance Standards and Guidelines" manual and as posted on the jobsite. Contractor

Page 6 of 10 Subcontractor Initials: Conffactor Initials: !e TL Received 2/1/2024 ROC Legal

and/or a representative of Contractor shall have the right to enforce the "Jobsite Rules and Regulations" and/or dismiss from the jobsite any Subcontractor or any employee of Subcontractor who refuses to comply with the "Jobsite Rules and Regulations". If Subcontractor thereafter refuses to comply with reasonable and proper safety standards, Contractor may terminate this contract.

16. CHANGE ORDERS. At the request of the Owner, changes may occur to the project original scope of work. Subcontractor must notifz Contractor of any such changes requested by Owner. If the Change Order is under S1,000.00 a separate invoice stating the charges for the changes may be sent with Subcontractor's monthly billing for payment. When a Change Order is in excess of a $1,000.00 Subcontractor must submit promptly to Contractor the cost adjustment and the additional amount of time required for the revised work in writing on the Contractor/Subcontractor Change Order Contract form which is attached to this contract as Exhibit'0A". When Change Orders have exceeded $1,000.00 and there are multiple Change Orders the Subcontractor will be responsible to maintain and forward to Contractor with his monthly billings the attached Subcontractors Change Order Summary form. Contractor must approve all Change Orders prior to Subcontractor starting the additional work. Contractor will not pay for any additional work that is started by Subcontractor without Contractor's approval.

IT.CLEAN-UP. Subcontractor shall keep his jobsite work area free from waste materials and it shall be cleaned up on a daily basis. All waste materials shall be discarded in the trash container provided by Contractor. Contractor may bill Subcontractor at the rate of $110.00 per/hour if clean-up is not performed by Subcontractor on a daily basis.

18.LAWS, NOTICES, AND PERMITS. Subcontractor shall give notices and comply with all laws, ordinances, rules, regulations, and orders of federal, state, and municipal public authorities. Subcontractor shall especially abide by rules pertaining to wages, working hours, safe operations, and payment of all taxes. Contractor shall provide the Building Permit as required by county and/or city authorities for construction of the project. In the event a special permit is required to perform Subcontractor's work, it shall be Subcontractor's responsibility to obtain the special permit. It shall be the Subcontractor's responsibility to have his work inspected by the Building Official as required to fulfiII inspection requirements as stated in the Building Permit.

I9.INDENMIFICATION. To the fullest extent permitted by law, Subcontractor shall indemniSi and hold harmless the Owner, Contractor, Architect, Architect's consultants and agents and/or employees of any of them from and against claims, damages, losses and expenses, including but not limited to attorney's fees arising out of, or resulting from, performance of the Subcontractor's Work under this Contract Agreement, provided that any such claims, damage, loss or expense is attributable to bodily injury, sickness, disease, or death, or to injury or to destruction of tangible property (other than the Work itself1, but only to the extent caused by the negligent acts or omissions of Subcontractor, Subcontractor's sub-subcontractors, anyone directly or indirectly employed by them or anyone for whose acts they may be liable, regardless of whether or not such claim, damage, loss or expense is caused in part by aparfi indemnified hereunder. Such obligation shall not be construed to negate, abridge, or otherwise reduce other

?o- Page 7 of 10 Subcontractor Initials : Contractor Initials: T Received 2/1/2024 ROC Legal

rights or obligations of indemnity which would otherwise exist as to a party or person described in this paragraph.

20. BACKCHARGES AND PROTECTION OF WORK. Contractor will have the right to deduct from Subcontractor's progress payment the cost of repairs for damage done by Subcontractor and or Subcontractor's employees to any construction phase or phases of the project to include rough-in trade work and finish trade work of all trades whom are involved in the project. Contractor will have the right to deduct from Subcontractor's progress payment the cost of repairs to correct or replace Subcontractor's defective work. Contractor will give Subcontractor written notice of damages, non-conforming work, or defective work. If Subcontractor does not respond within given time frame, Contractor has the right to correct or repair the defect at the Subcontractor's expense. Subcontractor agrees to be responsible for protecting all of his work in progress.

2|.LIEN RELEASES. At the Owner and/or Contractor's request, Subcontractor must furnish to Contractor a signed, Unconditional Lien Release for all work and materials supplied and paid to date by Contractor. A Conditional Lien Release, if requested by Owner and/or Contractor must also be signed and furnished to Contractor by Subcontractor. If Subcontractor does not provide to Contractor a requested and signed Lien Release, progress payments and/or final payment may be withheld from Subcontractor.

22.TERMINATIONS, SUSPENSION OR ASSIGNMENT OF THE SUBCONTRACT. Subcontractor may terminate this Contractual Agreement for the same reasons and under the same circumstances and procedures with respect to the Contractor as the Contractor may terminate with respect to Owner under Contractor's Construction Contract, or for nonpayment of amounts due under this Contractual Agreement for sixty (60) days or longer. The term "due" is based on a monthly billing cycle and represents the date payment is to be made to Subcontractor.

A. The Contractor may terminate this Contractual Agreement if Subcontractor repeatedly (3 or more times) fails or is negligent to carry out the Work in accordance with the Construction Documents or otherwise perform in accordance to this Contractor I Subcontractor Construction Contract. Following wriffen notice to commence completion or correct such default or negligence with diligence and promptness, the Contractor may terminate this Contractual Agreement and finish the Subcontractor's Work by whatever method the Contractor may deem expedient and necessary.

B. If the Owner terminates the Contractor's Construction Contract for the Owner's convenience, the Contractor shall deliver written notice to the Subcontractor. Upon receipt of such notice the Subcontractor shall cease operations as directed by the Contractor and submit a final invoice for Work completed. Contractor may withhold payment subject to back-charges, damages and off-sets caused by Subcontractor's breach, and may seek all available remedies at law or in equity.

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C. The Contractor may, without cause, order the Subcontractor to suspend, delay or intemrpt the Work of this Contractual Agreement in whole or in part for such period of time as the Contractor may determine.

D. Subcontractor shall not assign the Work of this Contractual Agreement to another party without the written consent of Contractor, nor subcontract the whole of this Contractual Agreement without the written consent of Contractor.

23. MISCELLANEOUS PROVISIONS.

A. Severability. If any portion of this Agreement shall be declared by any court of competent jurisdiction to be invalid, illegal or unenforceable, such portion shall be deemed severed from this Agreement and the remaining parts hereof shall remain in full force and effect as fully as though such invalid, illegal or unenforceable portion had never been part of this Agreement.

B. Merger Clause. This Agreement contains the entire agreement between the parties hereto and all previous negotiations leading hereto, and it may be modified only by an agreement in writing signed and sealed by the parties.

C. Venue, Applicable law, & Attorney's Fees. In the event that a dispute arises with regards to this contract the parties agree to stipulate to the venue of Coconino County and this agreement shall be governed by and construed in accordance with the laws of the state of Arizona. The prevailing party in such dispute shall be reimbursed by the other party for all attorney's fees and costs, including all appellate actions.

D. Construction. The parties acknowledge that each party has reviewed and revised this Agreement and that the normal rule of construction to the effect that any ambiguities are to be resolved against the draftingparty shall not be employed in the interpretation of this Agreement or any amendment or exhibits hereto. The captions preceding the text of each Section and subsection are included for convenience of reference only and shall be disregarded in the construction and intelpretation of this Agreement. Use in this Agreement of the words "including", "such as", or words of similar import, when following any general term, statement or matter, shall not be construed to limit such statement, term or matter to the specific items or matter, whether or not language of non-limitation such as "without limitation" or "but not limited to", or words of similar import, are used with reference thereto, but rather shall refer to all other terms or matters that could reasonably fall within the broadest possible scope of such statement, term or maffer. Unless otherwise stated, all references to "sections" "paragraphs" and "Exhibits" are references to the sections, paragraphs and Exhibits of this Agreement.

E. Waiver. The waiver or failure to enforce any provision of this Agreement shall not operate as a waiver of any future breach of any such provision or any other provision hereof.

Page 9 of10 Subcontractor Initials: ?cr Contractor Initials: W Received 2/1/2024 ROC Legal .:

F. Legal Counsel. The parties have consulted with their own legal counsel, or hereby knowingly and voluntarily waive the right to seek legal counsel and acknowledge that adequate time has been provided for the parties to consult with counsel.

928 Construction, LLC

Contractor: Subcontractor:

Date: 1- to- z3 Date: i 7"2

Page 10 of10 Subcontractor Initials: /1-' Conffactor lnitials: Received 2/2/24, 8:07 AM State of Arizona Mail - Complaint No. 2023-14536 2/1/2024 ROC Legal

Answers - AZROC <[email redacted]>

Complaint No. 2023-14536 message

Rene Horne <[email redacted]> Thu, Feb 1, 2024 at 2:00 PM To: "[email redacted]" <[email redacted]> Cc: Tevis Reich <[email redacted]>

See the attached Written Answer to Citation and Complaint for the above referenced case on behalf of Respondent, 928 Construction, LLC.

Thank you,

Rene Horne Legal Assistant Law Office of Tevis Reich, PLLC East Dale Avenue Flagstaff, AZ 86001 928-213-1800 (W) 928-779-0447 (FAX) [email redacted] website: treichlaw.com

Federal Law requires that we give you the following notice: This correspondence is an attempt to collect a debt and any information obtained will be used for that purpose. This office is acting as a debt collector in regard to this correspondence.

The information contained in this message is intended only for the personal and confidential use of the designated recipients named above. This message may be an Attorney-Client communication, and, as such is privileged and confidential. If the reader of this message is not the intended recipient or an agent responsible for delivering it to the intended recipient, you are hereby notified that you have received this document in error, and any review, dissemination, distribution, or copying of this message is strictly prohibited. If you have received this message in error, please notify us immediately by phone or email and delete this message.

Answer to Citation and Complaint - 2023-14536.pdf 7511K

https://mail.google.com/mail/b/AEoRXRT30wFBqhIo-XnCdGXPZ_uux3IOUTivEsa-iqfBWufCqv0r/u/0/?ik=581c53cf5c&view=pt&search=all&permthid=… 1/1 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

PG Plumbing LLC, Case No. 2023-14536 COMPLAINANT, v. 928 Construction, LLC, ORDER DENYING REQUEST TO License No. ROC 339617, DISMISS RESPONDENT. BACKGROUND On January 18, 2024 the Registrar issued a citation against Respondent’s License No. 339617 charging Respondent with a A.R.S. § 32-1154(A)(10) violation. Respondent filed its Answer on February 1, 2024. The Answer included a request to dismiss the citation and close the complaint. ANALYSIS In the Answer, Respondent lists the following reasons for not paying Complainant’s final invoice: 1) Respondent has not received payment from the owner, 2) “the project may be subject to punch list items which need to be performed prior to the obligation for 928 to make final payment,” and 3) the invoice is subject to offsets based on nonperformance. However, Respondent did not provide any support for the aforementioned reasons. In a correspondence with Complainant, Respondent acknowledges that an amount is owed. Therefore, it is not appropriate to dismiss the citation and close the complaint as there are factual disputes that are best to be resolved before an Administrative Law Judge at the Office of Administrative Hearings.

of 2 REGISTRAR OF CONTRACTORS 1700 W. Washington St.– Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602)542-1525 Toll Free (877)692-9762 Lg127 5/21 ORDER IT IS ORDERED that Respondent’s request to dismiss is DENIED. The issues underlying the Citation and Complaint are best suited for presentation before the Office of Administrative Hearings. Respondent is free to raise the arguments and defenses presented in its request to dismiss before the administrative law judge. A Notice of Hearing will be issued in due course. Dated February 22, 2024. By: /s/ Margaret Lindsey Margaret Lindsey Assistant General Counsel Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail on February 22, 2024 to: Respondent 928 Construction, LLC 3266 S. Little Dr Flagstaff, AZ 86005 Respondent’s Attorney Megan N. Schandle Lang Thal King & Hanson PC 6730 N. Scottsdale Rd., Suite 101 Scottsdale, Arizona 85253 Complainant PG Plumbing LLC 1951 S. Desert Flower Cir Cottonwood, AZ 86326 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. 2023-14536/du

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

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

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

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

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

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

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

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

_____________________________________ _______________________ Respondent (or representative) Date

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

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

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

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

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

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

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

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

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

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

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

Exhibit Exhibit Name

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

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

Print Name Signature Date

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