2023A-14579-NPC-ROC Notice of Hearing and Packet MAILED
2023A-14579-NPC-ROC · Registrar of Contractors · 2024-03-19
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Canyon Painting LLC, Case No. 2023-14579 COMPLAINANT, Docket No. 2023A-14579-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:
May 2, 2024 1:00 PM Jenna Clark 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 22, 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 15, 2024.
By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail March 15, 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) Canyon Painting LLC PO Box 20524 Sedona, AZ 86341
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. 2023-14579 /
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
December 29, 2023
Via U.S. Mail and Email
Complainant Canyon Painting LLC PO Box 20524 Sedona, AZ 86341
Via U.S. Mail and Email
Respondent 928 Construction, LLC 3266 S Little Dr Flagstaff, AZ 86005
Re: Complaint No. 2023-14579
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 5, 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 5, 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/ Shaquira Adebule Shaquira Adebule
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Legal Assistant II Legal Department AZ Registrar of Contractors 602-542-1525
1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Case No. 2023-14579 Canyon Painting LLC,
COMPLAINANT, CITATION v. 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 6, 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 26, 2023, Canyon Painting 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
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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 unless the 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. 2023-14579. 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 6, 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 22, 2024. By: /s/ Margaret Lindsey Margaret Lindsey Assistant General Counsel Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, January 22, 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 Law Office of Tevis Reich, PLLC E. Dale Avenue Flagstaff, AZ 86001
Complainant Canyon Painting LLC PO Box 20524 Sedona, AZ 86341 Copy sent electronically this same date to: Respondent at email address on record with the Registrar Respondent’s Attorney email address on record with the Registrar Complainant at email address on record with the Registrar
Case No. 2023-14579 / SA
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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received by Investigations 12/26/2023 2023-14579 Received 2/7/2024 ROC Legal
REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
CANYON PAINTING, LLC, File No.: 2023-14579 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 2/7/2024 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 ***
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 Canyon Painting has not yet been met and Canyon Painting’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.
WHEREFORE, Respondent/Contractor requests the Citation be dismissed, and 928 be found not responsible for the charges set forth therein. Dated this 6th day of February, 2024
/s/ Tevis Reich Tevis Reich
Received 2/7/2024 ROC Legal
ORIGINAL and COPY of the foregoing sent as indicated this 6th Day of February, 2024 to:
Legal Department Registrar of Contractors 1700 W. Washington Street, Suite 105 Phoenix, AZ 85007 Via email: [email redacted]
Canyon Painting, LLC PO Box 20524 Sedona, AZ 86341 Via email: [email redacted]
/s/ Rene Horne
Received 2/7/2024 ROC Legal
Exhibit 1
Exhibit 1 Received 2/7/2024 ROC Legal /
a
CONSTRUCT!ON3 CONTRACTOR/SU BCONTRACTOR CONSTRUCTION CONTRACT
92t Construction, Ll-C 989 S. Main St. Ste A PMB#469 Cottonwood, AZt6326 o fl rce. g - 11 c.>r ):' t ru cl i (\r r l l L' i(t ill_{i !t rlql Phone: 928.82 1.9667 LICENSE #ROC 339617 Gencral Dual KB-2 Dual Residential & Small Commercial
Subcontractor: Ca \ofl I'arnlillg
Principal: Poul Morslcs
Addrcss: l'.() Ilor 10514 s.dona Al &i3.1 I
AZ, Liccnse #: .ll{Dl?(i Tax I.D. #: n:--.1ii0.l-tr,
Subject Property Owner: K ll) I,roP€rtics
Address: lr-{)2 & l7{)/' llch(' ( tln\oll I)r
Clarktlalc. A/, ll6.llt
PAR'I-IES: This contract is made and entered into on thls l0 day of :ulY
bv and between (hercinalicr rcl-crrcd to as ''Subcontractor") and 92t Construction, LLC, (hercinafter rcfcrred to as "Contractor"). 'lllis contract is for the beneht of K l{) ttopcrtics (hereinafter referred to as "Owner") is thc owner of subject property stated above.
"Owner" is the owner of thc subject property and desires to have improvematts constnrcted on said property. "Contractor" and "subcontractor" are licensed contractors in the State of Arizona willing to construct the desired improvements.
I. GENERAL PROJECT DESCRITTION. Painting the exterior and interior ol new house build.
Pagc I ol l0 Subconrsctor lnitisls: Conlractor lnilials. K/ Received 2/7/2024 ROC Legal
2. GENERAL SCOPE OF WORIL Subcontractor shatt furnish all labor, materials, tools, equipment and supervision to perform the followrng work at the subject property stated above. Ah wsrk witl be per Constnrction Drawings and Constnrction Contract Specificatio'ns. All work wilt be per cunent applicable building codes and performed in afl asc€ptable workmanlike manntr. Prepare. paint and finish extuior W.alls and rim as Leed. as wEll as interior walls. trim. and ceilines.
3. EXCLUSTONS FROM GENERAL SCOPE"OT woRIC The Subcontractor has not included labor and materials for the following work in&is agreement;
4. CONSTRUCTION DOCUMENTS. The Subcontractor qrees to be bound by and perform in accordance with the following constnrction documents:
A. The "Approved for Construction Dmwings" 03-0G2023 dated:
B. The "Conshrrction Contract" as executed as executed benrreen Owner and Contractor 03-0G2023 dated:
C. The "Construction Contrast Specihcations" between Owner and the Contrastor dated: 0106-2023
D. The "Crenetral Conditions ofthe Constnrction Confact" as executed betwem Orrner 03-06-2023 and Contraclor dated:
S. CONTRACT PRICE AND PAYMENTS. The Contractor shall pay the Subcontractor the sum of S 15,000.00 for the work as stakd under this agreement, subject to additions and deductions as stipulated in the General Conditions of the Constnrction Contracl
Page 2 offO Subconuactor Contractor ntw Received 2/7/2024 ROC Legal
A. Progress payments witl be made to subcontractor as fofiows: Job Deposit: $ 3,750.00 Completed Phase of Work: Amount to be paid: 1) Cnmpletinn ofWo* c 11,250.00 z) 3) s 4) s
B. The invoice and payment schedule will be as follows: l) Invoices received in our offiee by the 25e of the month wilt be paid by the 10e of the next rnonth. 2) Time and material contract invoices nust include a labor and rraterials desuiption of&e work actuatly completed by the 25n of the rnonth. 3) Progr€,ss payment contract invoices must include a description ofthe contrast work completed by the 25ft of &e month. 4) In the svent that a Subcsrtractor needs to have ajob deposif the deposit invoice must be received by the 25e of the month. Change Order invoices rrceived in our office by the 25e of the month will be pald by the IOe of the next month. 5) If $ubcontrasto,r has outstanding issues regarding a specific job task inspection or completion of ajob task, payment will not be made until the inspection itsms are corrcctd and uncompleted work finished. Final paymemt will not be paid to Subcontractor until the conditions as stated under Project Final Punch List have been fulfilled. The final paymant invoice must be recsived in our office by the 25e of the month to be paid by the 10e of the next month. 6) Receipt of a progress payment from Ov',ner to Contactor is a condition precede,nt to paying $ubcontractor unde'r this Contractual Agreement. Contrastor must notify Subcontractor within three (3) days of a late or of a nonpayment to Contractor from Ov,.ner,
6. PROIECT tr'INAL PUNCH LIST ANI) FINAL PAYMENT. At the near completion of the project, Coatrastor's Lead Carpenter and/or Production Manager will develop a Project final Punch LisL The Lead Carpenter and/or Production Manager will specifically list eaetr item lyhich either needs corrected or completed by Subcontuactor in order for Contractor to consider their work complcted. A signed copy of dre Pnojoct Fiml Punch List will be issued to Subcontractor,
A. Final payment for the project wi[[ not be paid to Subconhactor until: l) Subconfactor bas completed the Project Final Punotr List and has met tlre Contrnctual Agreement; 2) Subcontractor work has been inspected and approved by the appropriate auttrorities; 3) Contactor has bcen paid final payment from Owner for work SubconEactor has completed; and 4) Subcontractor mut also issuc to Coutractor any watranty information and operations manuals for equipment and/or products insalled on the project before
Page 3 of l0 SubcontraEtor r"i.i"rpfrl Contactor l*irws9Z- Received 2/7/2024 ROC Legal
Subcontractor will receive final payment. Conhactor will forward to Owner all warranty and product i nformation.
?. WORK COMMENCEMENT AND COMPLETION TIME. Subcontractor's rough-in work shall begin |}1s yyggl5 qf or:r:o:: and lake approximately 4 calendar days to complotc. Subcontractor's finish work shall begin fig ryggf, gfi ro-o:.:car and take approximately ru calendar days to complete. Confactor 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 cvcnt or occurrence which is beyond the control of the Subcontractor, Contactor will not hold Subcontractor liable for the time delay. Conkactor will rcissuc Suboontactor an updated project Production Schedule as soon as possible. Subconhactor shall not be entitled to any compensation as a result ofa time delay regardless ofwho is responsible for the time delay.
A, In the Event Subcontractor is the caus€ for a time delay without reasonable cause, Confractor has the right to end this Conaactual Agreernent if Subcontraclor does not perform work within five (5) days after receiving written notice from Contractor. Contractor shall not be entitled to sny compensation as a result of Subcontractor time delay. Contractor will only pay for the amount of work completed and not the fi.rll contsact amount to Subcontractor, should this Ageement be cancelled.
E. ITNFORSf,,EN WORK A.IID BUILDING CODE ISSUES. It shall be the responsibility of Subcontractor to notifu Conhactor 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 Subconkactor's submittal of the cost estimate to Contractor and signing the Contractor/Subcontactor Construction Contract. Contactor and Ovmer will not be held liable for expenses incurred to Subcontractor from Subcontractor's tack ofinsight and poor planning in regards to unforeseen work and building code issues.
A. In the event that conceslgg substandard conditions and/or building code violations are discovered on the construction site by Subcontractor it will be Subcontractor's responsibility to notifr Confiactor of those issues. The expcnses 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. Subconlractor must submit in writing, as stated in paragraph #16 of this conkact, a Change Order invoice to Contactor for the costs incurred to correct the substandard conditions and building code violations prior to payment,
9. MATERIAL PRICE INCREASES. The conhact price for this Construction Contract has been calculated based on the curgnt prices for the component building materials. The market
Page40fr, *H#ffiixlffi Received 2/7/2024 ROC Legal
for the building materials as specified in this contract are considered to be volatile and sudden price increaseJmay occur. Subconkactor 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 agreBs to pay the cost incnease !o Subcontractor. SubconEactor shall provide to Contractor a written notice of lhs increased cost of the specified material, the souroe of supply, ard written invoices from the material supplier indicating price increases. Subcontractor will forfeit his mark up for the price increase difference.
IO. REQUIRED PAPERWORIC
A. Subcontractor will also be required to forward a Workman's Compensatron Certifrcate and a General Liability Insurance Certificate to Contractor'
for B. Subcontactor shall complete and return to contractor 'Tederal Form w-9 Request Taxpayer Idmtifi cation Number and Certification"'
c, con8actor shall issue to subcontactor a state of Arizona sales Tax Exemption Form releasingSubcontractorofanysalestaxliabilitiesinregardstothisproject.
II.INSURANCE. subcontractor will issue to contractor a workman's compensation agrees Certilicate ofinsurance and a General Liability certificate oflnsurance. Subcontractor *additionat insured" on Liability Inswance to hold harmless, and Confactor shau be named as Certificat€. SuU"oot u"iori, irr**o shall be the primary insurance for the work which insurance shall be iuU"ont rrto, pofomrs oo ttrir projecr Neither Contractor's nor Owner's called on to conribute to a loss caused in whole or part by the negligence of Subcontactor' Certificates of insurance acceptable to Confiactor are as follows:
A. Worket's Compcnsation Insurance, the statutory maximum'
B. Employer's Liability lnsurance, $ I 00,000/each person'
C. Comprehensive General Liability Insurance: 1) B;dily Injury/Propertv Damase !!,!!!'OOO/rcr (rccurence 2i General Aggregate $2'000'000 3) Products/Completedoperations $2,000'000 aggregate 4i personal & Advertising $1'000'000 5i 928 Construction, LLC shall be na'rred as sdditional insured' D. per Project Aggregate Limit of Liability Insurance is to apply to thb project.
E. Automobile Liability lnsurance: l) Bodilylnjury: $ 500,000/eachpcrson $ 1,000,0001per accident or $ 1,000,000 combined single limit
Page 5 of l0 Subcmtraator Cmfoctor ^rrr fr/\ mIilaY.M_ Received 2/7/2024 ROC Legal
2) Property Damage: $ 500,000/per accident F. The irsurance policies and certificates required shall contain a provision on that policy or c€rtificste which states that ttre coverage unds 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.
f2. CONTRACTOR'S SERVICBS. Contractor shall provide at the project jobsite the following: portable toilets, trash containers, suitable areas for material and equipment stomge, electicat powetr, water, temporary lighting, temporary heat sca{Iolding, specidty safety equipment, fire extinguisher, and first aid kit. Except as agreed upotr, 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 Subconhactor, at Subcontractor's request the special equipment. Contactor must be notilied by Subcontractor of the need for the special equipment prior to Contractor entering into a contacfual agreement with Owner. If Subcontrastor gives notification of special equipment to Contractor after Contractor has a contractual agreement with Ovr'ner, Subcontactor witl be responsible for sccuring the equipment and for a[[ experues of the equipment.
13. WARRANTY. Subcomractor will watrant to Contrastor and Orrner 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 'Tinal inspection sign-off'and/or Owner's possession, whichever occurs first. All repain to correct defects will be at ttrc Subcontractor's expsll$G and will bs completed in atimely ruumer. Subcontractor will also repair any danrqge done to suttounding parts ofthe stnrcture as a result of a defect in Subcontrastor's work during the warranty period. This warranty shall bc in addition to and not in limitation of any other warranty required by law or by Contractor's Construction Conhact with Ornner. Contactor's "Limited Warranty" to Ornner is available forreview upon Subcmtractor's request
14, SAF'ETY. Subcontractor shall perform all work in a safe manner as set forth by the statutes and regulations as establishsd by OSHA andlor 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 andlor a representative of Contractor shall have the right to enforce jobsite safety andlot dismiss from the jobsite any Subcontactor or any employee of Subcontactor who refuses to comply with proper jobsite safety standards. If Subcontractor thereafter refuses to comply with reasonable and proper safety standards, Conbactor may terminate this contract. Subcontractor shall report to Contractor in writing within tlree (3) days of an injury to an employee or ageirt of the Subcontractor.
I.S.JOBSITE RULES AND REGIILATIONS. Subcontractor and/or his employees shall comply with the 'Tobsite Rules and Regulations" as stated in the "Subcontractor's Performance Standards and Guidelines" manual and as posted on the jobsite. Contractor
Page 6 of10 Subconracor h*#& Contractor InidaKffi. Received 2/7/2024 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 "lobsite Rules and Regulations"' If Subcontractor thereafter refuses to comply with reasonable and proper safety standards, Contrector may terminate this contract.
16. CIIANGE ORDERS. At the requ€st of the owner, changes may occur to the projecr original scope of work. Subcontraclor must noti$ Contractor of any such changes requested !V Owner. Ifthe Change Order is under $1,000.00 a separate invoice stating the charges fot the changes may be sent with Subcontractor's monthly billing for payment. When a Change Order is in excesi 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 fotm which is attached to this contract as Exhibit..A". When Change Orders have exceeded $1,000.00 and there are multiple Change Orders the Subeontractor *ill b" .rpo*ible to maintain and forward to Contractor with his monthly bitlings the attached Subcontractors Change Order Summary fomr. Contractor must uppron. .ll Cliu.tg" Orders prior to Subcontractor starting the additional work. Contractor will not pay for any aiditional work that is started by Subcontractor without Contractor's appmval.
IZ.CLEAN-LP. Subcontractor shatl keep his jobsirc work area free ftom waste materials and it shall be cleaned up on a daily basis. Ali waste materials shall be discarded in the trash rate of $l 10.00 container provided by Contractor. Contractor may bill Subcontractor at the per/hour iiclean-up ii not perfonned by Subconractor on a daily basis'
l& LAWS, NOTICES, AND PERMITS. Subconlractor shall give notices and compty with atl laws, ordinances, rules, regutations, and orders of federal, state, and municipal public hours' authorities. Subcontractor siall especialiy abide by rules pertaining to wag€s, working Permit as safe operations, and payment of al tanes. Contraptor shall provide the- Building *qriria ti .o*ty *d/*.ity authorities for construction ofthe project. In the event a speciai p"i-it i. required to perfonn SubconEactor's wort<' it shall be Subcontractor's responsibility his work io obtain the special pemrit. It shall be the Subcontractor's Iesponsibility to have as stated in the inspected by the Builiing Offrcial as required to fulfill inspection requirements Building Pennit. indemnify Ig.INIIENMIFICATION. To the fullest extent permitted by la% Subcontractor shall and agents andlor and hold harrnless the O"mer, Contractor, Architect, Architect's consultaflts expeflses, including emptoyees of any of thon from and against claims, damages, Iosses and of the but not limited to attorney,s fees aisi,g out of, or reiulting from, performance any such claims, darnage, Subcontractor's Wort undei this Contract Agreemen! providcd that injury, sickness, disease, or death, or to injury or to loss or expense is attributable to bodily-than desfuction of tangiUfe property (other the Work itsell)' but only to the extent caused by anyone the negligent acts or omissions of Subcontractor, Subcontractor's sub-subcontacto$, airectl-y o:r indirectly employed by them or anyone for whose acts they may be liable, regardless part by a party indernnified of whether or not such ciaim, damage,loss oi expense is caused in or otherwise reduce other heremder. Such obligation siau ,oI b" conslrued 10 negate, abridge, Plg€7ofro *,'ooffi,*i*w Received 2/7/2024 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 Otr' WORIC Contracior will have the right to deduct &om Subcontractorns progress payment the cost of repairs for damage done by Subcontaotor and or Subcontractor's employees to any constrtrction phase or phases of the project to include rough-in trade work and finish trad€ work of all ffides whorn are involvsd in the project. Contactor will have the right to deduct frorn Subcontactor's progress payment the cost of repairs to corect or replace Subconhac{or's defective work. Contractor will give Subcontractor written notice of damagBS, nofi-corforrning nork 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. SubconEactor egrees to be responsible for protecting all of his work in progress.
21, LIEN RELEASES, At the Ovmer and/or Contractor's request, Subcontractor must fumish 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 andlor Conhactor must also be signed and furnished to ConEactor by Subcontractor. If Subcontractor does not pmvide to Contractor a requested and signed Lien Releasc, progrsss payments and/or final payment may be withheld from Subcontractor.
22.TERMINATIONS, SUSPENSION OR ASSIGNMENT OF THE ST}BCONTRACT. Subcontractor may terminate this Contractual Agreemerrt for the same reasons and under the same circumstances and procedures with respect !o the Contraptor as the Contractor rnay terminate with respect to Owner rmder Contactor's Constnrction Contract, or for nonpayment of amounts due under this Contrastual Agreement for sffi(60) days or longer. The term "due" is based on a monthly bi[ing cycle and represents the date payment is to be made to Subconfractor.
A. The ConEactor may terminate this Contractual Agreement if Subcontactor repeatedly (3 or more times) fails or is negligent to carry out the 1ilork in accordance with the Constn"rction Docunents or otherwise perftrrm in accordance to this Contractor / Subcontactor Construction Confiact. Following written notice to ofinmence completion or correct such default or negligence with diligence and prompfiress, the Contractor may terminate ttris Contractual Agreernent and finish the Subcontractor's lVork by whatwer method the Contractor may deem oryedient and necessary.
B. If the Ov,'ner temrinatcs the Contractor's Constnrction Contract for the Owner's convenience, the Contraotor shall deliver written noticc to the Subconfractor. Upon receipt of such notice the Subcontractor shall cease operations as dirested by the Conhactor and submit a final invoice for IMork completed. Contractor may withhold paymerrt subject to back-charges, damages and off-sets caused by Subcontractor's breach, and rnay seek all available rernedies at law or in equity-
Page t of l0 Subcontrastor Contactor ffiW Received 2/7/2024 ROC Legal
C. The Contrastor ffiay, wilhout c&use, order the Subcon$astsr 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 deternrine.
D. Subcontractor shall not assign the'Work ofthis Contractual Agreement to anotherparty without the written consent of Contactorn nor subcontract the whole ofthis Contractual Agreernent without the written conseflt of Contractor.
23. MISCELLAI\IEOUS PROVISIONS.
A. Severability. If any portion of this Agreement shatl bc declared by any court of competent jurisdiction to be invalid, illegal or unenforceable, such portion shall be desmed severed from this Agreeurent and the remainiug parts hereof shall remain in full force and effect as fully as though such invali{ illegal or unenforceable portion had nwer been part of this Agreement.
B. Merger Clausc. This Agreement contains the entire agreement betrreeir 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 govetned by and constnred in aocordance with the laws of the state of Arizona. The prevailing party in suc'h dispute shall be reimbursed by the other party for all attomey's fees and costs, including all appellate actions.
D. Constnrction. The panies acknowledge that each party has reviewed and revised this Agreement and that the normal rule of consfiuction to the effect that any ambiguities are to be rpsolved against the drafting party shall not be employed in the interpretation of this Agreunmt or any amendment or exhibits hereto. The capions preceding the text of each Section and subsection are included for convenience of reference only and shall be disregarded in the conshrrction and interpretation of this Agreement. Use in this Agreement of the words "including", "such as", or words of similar import, when following any general tstln, statcment or matter, shall not be construed to limit such stat€ment, term or mattcr to the specific iterns or matter, whether or not language of non-timitation such as '\ritbout limitation" or "but not limited to", or words of similar import, are used with re ferenee thsreto, but rather shall refer to all other terrns or matters that could reasonably fall within the broadest possible scoPe of such statement, term or matter. Unless o*te"*ir" stated, all refereflces to "sections" "paragraphs" and *Extribits'n are references tothe sestions, paragraphs and Exhibits of this Agreeinent.
E. Waiver. The waiver or failure to snforce any provision of this Agreerrent shall not operate as a waiver of any future b,reach of any such provision or any other provision hereof.
Page 9 of10 Subcontractor Contztctor ffiW Received 2/7/2024 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 counu"i*a acknorvledge that adequate timc has been provided for the parties to consult with counsel.
92t Construction, LLC
Contactor: Date: rr Date: C p<-:
7"2{,;2-3 ^\hj
Page l0 of10 Subcon tractor In itials : Contrastor lnitials: Nz_ Received 2/7/24, 2:18 PM State of Arizona Mail - Complaint No.: 2023-14579 2/7/2024 ROC Legal
Answers - AZROC <[email redacted]>
Complaint No.: 2023-14579 message
Rene Horne <[email redacted]> Wed, Feb 7, 2024 at 11:34 AM 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 - Canyon Painting.pdf 6901K
https://mail.google.com/mail/b/AEoRXRSdIjq3ZspkGuHH3K5i9loID2OW4KL7QcRT0w9e_YqMrUxa/u/0/?ik=581c53cf5c&view=pt&search=all&permthi… 1/1 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA
Canyon Painting LLC, Case No. 2023-14579 COMPLAINANT, v. 928 Construction, LLC ORDER DENYING REQUEST TO License No. ROC 339617, DISMISS RESPONDENT.
BACKGROUND On January 19, 2024 the Registrar issued a citation against Respondent’s License No. ROC 339617. Respondent filed its Answer on February 7, 2024 The Answer included a request to dismiss the citation and close the complaint. 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 March 6, 2024. By: /s/ Robert Stirling Robert Stirling Assistant General Counsel Legal Department Arizona Registrar of Contractors
of 2 REGISTRAR OF CONTRACTORS 1700 W. Washington St.– Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602)542-1525 Toll Free (877)692-9762 Lg127 5/21
Copy mailed via USPS First Class mail 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) Canyon Painting LLC PO Box 20524 Sedona, AZ 86341 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. 2023-14579/ dw
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