2024A-00419-NPC-ROC Notice of Hearing and Packet MAILED

2024A-00419-NPC-ROC · Registrar of Contractors · 2024-03-12

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Blue Pool Plastering LLC, Case No. 2024-00419 Docket No. 2024A-00419-NPC-ROC COMPLAINANT, NOTICE OF HEARING ON v. CONTESTED CASE

New Image Landscape and Pools LLC License Nos. ROC 247546, 319979, and 343242 RESPONDENT.

This Notice of Hearing is issued under A.R.S. § 41-1092.05(D). HEARING INFORMATION The hearing is set for: April 26, 2024 1:00 PM Adam Stone 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 February 27, 2024. SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED The complaint and citation allege that the Respondent committed the following act(s): Charge: 1 A.R.S. § 32-1154(A)(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 14, 2024.

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

Copy mailed via USPS First Class mail March 14, 2024 to: Respondent(s) New Image Landscape and Pools LLC 2815 S Alma School Rd Ste 118 Mesa, AZ 85210

Complainant(s) Blue Pool Plastering LLC 6341 W Florence Ave Phoenix, AZ 85043

Copy sent electronically this same date to:

Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar

Case No. 2024-00419 /

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 22, 2024

Via U.S. Mail and Email

Complainant Blue Pool Plastering LLC 6341 W Florence Ave Phoenix, AZ 85043

Via U.S. Mail and Email

Respondent New Image Landscape and Pools LLC 2815 S Alma School Rd Ste 118 Mesa, AZ 85210

Re: Complaint No. 2024-00419

Dear Complainant and Respondent:

The Registrar received a complaint filed against New Image Landscape and Pools LLC for non-payment of materials or services rendered. This complaint is incomplete and will not be substantively reviewed by the Registrar until the following documentation is provided:

1. Contract signed by both parties, but if there was no written contract, then a written statement that includes the following information: I. The reason a written contract is not being provided (e.g. the contractor did not provide a written contract, the contract is lost, the contract was destroyed); II. A description of any written documents used to describe the contract (e.g. bid, proposal, invoice, receipt); III. The names of the people who negotiated the contract; IV. The agreed upon payment schedule(s); and V. An explanation of who was to receive payment

Please provide all requested information by February 1, 2024. The Registrar will close this complaint (as incomplete) without further written notice if you fail to provide the requested documentation by such date.

Documents can be submitted by:

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

1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100a 11/23 Although the complaint is incomplete at this time, Respondent may file a response with the Registrar raising any issues or affirmative defenses to the complaint.

If the required information is provided and this complaint becomes complete, Respondent will be provided an additional opportunity to respond to the complaint.

Sincerely,

/s/ Katelyn Rolling Katelyn Rolling Legal Assistant II Legal Department Arizona Registrar of Contractors

1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100a 11/23 RECEIVED 02/06/2024 ROC LEGAL Katelyn Rolling <[email redacted]>

(no subject) message

[number redacted]@mms.cricketwireless.net <[number redacted]@mms.cricketwireless.net> Tue, Feb 6, 2024 at 5:43 PM To: [email redacted]

text_0.txt 1K RECEIVED 02/06/2024 ROC I’m not able to answer phone, job has not funded . They are having inspection done. I’m in sameLEGAL boat waiting for funds. I have a 2nd job that I’m trying to get to draw point so I can get that and pay while waiting for other job to fund. I’m hoping Friday if rain doesn’t delay. I will text you Friday. I’m I. Same boat and just need to resolve and collect I truly am working to get resolved so I can collect last of funds. I just got your ROC complaint I will check brave them . RECEIVED 02/06/2024 ROC LEGAL Katelyn Rolling <[email redacted]>

Martin Perez (text messages) message

ROSALIE QUINTERO <[email redacted]> Tue, Feb 6, 2024 at 6:20 PM To: [email redacted]

This is the last text she sent. I’m not able to answer phone, job has not funded . They are having inspection done. I’m in same boat waiting for funds. I have a 2nd job that I’m trying to get to draw point so I can get that and pay while waiting for other job to fund. I’m hoping Friday if rain doesn’t delay. I will text you Friday. I’m I. Same boat and just need to resolve and collect I truly am working to get resolved so I can collect last of funds. I just got your ROC complaint I will check brave them .

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Via U.S. Mail and Email

Complainant Blue Pool Plastering LLC 6341 W Florence Ave Phoenix, AZ 85043

Via U.S. Mail and Email

Respondent New Image Landscape and Pools LLC 2815 S Alma School Rd Ste 118 Mesa, AZ 85210

Re: Complaint No. 2024-00419

Dear Complainant and Respondent:

The Registrar received a complaint filed against New Image Landscape and Pools 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 February 21, 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, AZ 85005-8244 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, AZ 85007-2812 Email: [email redacted]

The Registrar will not issue a citation before February 21, 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/ Katelyn Rolling Katelyn Rolling Legal Assistant II Legal Department Arizona Registrar of Contractors

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 01/11/2024 ROC LEGAL Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors 2024-00419 P.O. Box 18243 Phoenix, AZ 85005-8243

Person Filing Complaint (Payee) Business Name Full Name (First Middle Last) ROC License Number(s) (if any) Martin Perez Street Address City State Zip Code 6341 W Florence Ave Phoenix Arizona 85043 Phone Number Email Address [number redacted] [email redacted] I consent to receive communications electronically in connection with this case

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

Licensee Information (Payer) Name (as shown on contracts, invoices, etc.) ROC License Number(s) New Image Landscape and Pools LLC ROC 247546 Street Address City State Zip Code 2815 S Alma School Rd Ste 118 Mesa AZ 85210 Phone Number Email Address

Name of Person(s) Representing License David/Stacey R Stewart Complaint Information Principal Amount Due (excluding interest and fees) Contract Date (if applicable) $3,900.00 December 26, 2023 Have you filed a civil complaint? No List all specific invoices which have not been paid. Attach additional pages if necessary. 1. Invoice for work done on pool at 782 N Lisbon DR Chandler AZ 85226. Estimate was 6100.00 which down payment was given of 2200.00 leaving a balance of 3900.00. Work done was Mini pebble interior finish 56.00 Acid Wash 250.00 and Slurry Removal 250.00; 2.Invoice for balnce due of 3900.0

Certification I certify, upon information and belief, that the above-named licensee has failed to pay monies in excess of seven hundred fifty dollars when due for materials or services rendered in connection with the licensee’s operations as a contractor. I further certify, upon information and belief, that the above-named licensee has the capacity to pay, or has received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. A.R.S. § 32-1154(A)(10). Printed Name Signature Date Martin Perez Declaration & Signature I am the Complainant in this Complaint Form or Complainant’s duly authorized representative. I declare under penalty of perjury that the information contained in this Form is true and correct to the best of my knowledge. I further certify that any documents submitted in support of this complaint are true and correct copies of the originals and are 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. RECEIVED Printed Name Signature Date 01/11/2024 Martin Perez ROC LEGAL RECEIVED 01/11/2024 ROC LEGAL RECEIVED 01/11/2024 ROC LEGAL

Blue Pool Plastering, LLC 6341 W. Florence Ave Phx, Az 85043 623-204-6529 /[email redacted] Licensed*B onded *RO C# 343303

ESTIMATE Date:_ 12126/2023

New Pool Remodel

Company Name:_ New Image Landscape and Pool LLC

H/O Name:_ Stacy R. Stewart Phone #: 480 280-8 166 Address:_ 2815 S Alma School Road City:_ Mesa

Perimeter: I.A._ Depth:_

Deseription Iotal Measurements on pool is 800 sq ft Mini Poo l Interior Finish $5600.00

Acid Wash $250.00

Slurry Removal $250.00

Total $6100.00

Down Payment Check # 5260 _- $2200.00

Balance oweing $3900.00

Sub Total Sales Tax —0—

Total $ $3900.00 RECEIVED 01/11/2024 ROC LEGAL RECEIVED 01/11/2024 ROC LEGAL RECEIVED 01/11/2024 ROC LEGAL RECEIVED 01/11/2024 ROC LEGAL RECEIVED 01/11/2024 ROC LEGAL RECEIVED 01/11/2024 ROC LEGAL RECEIVED 01/22/2024 ROC LEGAL Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 18243 Phoenix, AZ 85005-8243

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

Name of Person(s) Representing License Stacy R Stewart Complaint Information Principal Amount Due (excluding interest and fees) Contract Date (if applicable) $3,900.00 December 26, 2023 Have you filed a civil complaint? No List all specific invoices which have not been paid. Attach additional pages if necessary. The contract was enter verbally through text and phone. A written contract was not signed due client not being in office and not having time. So all communcation was done through text and phone. Invoice was written to show what needed to be done and another invoice was done showing what was done , down payment that was given at the time and the amount due. Work was done at 782 N Lisbon Dr, Chandler Arizona 85226. The first payment was given 12/26/2023 in a form of a check with the balance due when the job was complete. Contract was verbal and negotiated between myself Martin Perez and Stacy R Stewart. A check was then written for me, Blue Pool Plastering in the amount of 2200.00 by Ms Stewart from New Image Landscaping and Pool llc to initially start the job. The balance was to be paid to me, Blue Pool Plastering at the completion of the the job. Certification I certify, upon information and belief, that the above-named licensee has failed to pay monies in excess of seven hundred fifty dollars when due for materials or services rendered in connection with the licensee’s operations as a contractor. I further certify, upon information and belief, that the above-named licensee has the capacity to pay, or has received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. A.R.S. § 32-1154(A)(10). Printed Name Signature Date Martin Perez Declaration & Signature I am the Complainant in this Complaint Form or Complainant’s duly authorized representative. I declare under penalty of perjury that the information contained in this Form is true and correct to the best of my knowledge. I further certify that any documents submitted in support of this complaint are true and correct copies of the originals and are 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. RECEIVED Printed Name Signature Date 01/22/2024 Martin Perez ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL Katelyn Rolling <[email redacted]>

ROC Notice of No-Pay Complaint 2024-00419 - DO NOT REPLY messages

Katelyn Rolling <[email redacted]> Wed, Feb 14, 2024 at 8:42 AM Bcc: Martin Perez <[email redacted]>, [email redacted], [email redacted]

Hello,

Attached, please find an electronic courtesy copy of the Notice of No-Pay Complaint issued in Complaint No. 2024-00419. This document was also sent to your attention via US Mail.

Please do not reply directly to this email. Any reply or response should be addressed to [email redacted].

Katelyn Rolling Legal Assistant II Arizona Registrar of Contractors 1700 W Washington St Ste 105 Phoenix, AZ 85007 (602) 542-1525

20240214 Notice of No-Pay Complaint MAILED 2024-00419.pdf 1856K

Stacey Stewart <[email redacted]> Thu, Feb 22, 2024 at 9:41 AM To: Katelyn Rolling <[email redacted]>

Good Afternoon,

The response to this second request and false documents provided is just another issue. The subcontractor is over billing and trying to collect money above the agreed amount. The cost that is contracted listed below. The pool was not chipped out by the subcontract which reduces the rate. Also, there is damage to the turf and issues with the pebble in the pool as seen in photos. This is being discussed with the homeowner as what he will accept as a repair. Also, the false invoice now present at second request was not ever emailed or texted to New Image this is a new made up document. Lastly, the subcontract final check cant be released due to issues onsite and the fact that he failed to provide tax documents and proof of workman's' comp.required.

To back this up, he visited the site without authorization. I was given his card and when I reached out to the subcontractor he proceeded to tell me he had been to this homeowner's house yard and measured the pool.. I notified him that the project had already been started and chipped out by others and not ready for pebble. I said he could provide a bid on the next project. As the project neared the pebble stage, the subcontractor that did our work had a deal due to weather. I reached out to him, he tried giving me a projected cost of over 6000.00 for pebble resurfacing. I told him he was overpriced and the project was sold at our regular subs rates. He proceeded to ask rates and said he would do it at that cost. SO I could see his work and how happy I would be with it and then moving forward I could adjust my rates if I used him. He said he was in need of work and slow. We agreed to do the project at the cost already contracted and I would give him a deposit for materials.

The breakout for pool and standard across the board is as follows:

Base Pool : $4100.00- already chipped out RECEIVED IA 5.70 X 30= $171.00 02/22/2024 Total : 4271.00 ROC LEGAL Less: 2200.00 for material Subcontractor owed- $2000.00

Subcontractor need to complete the subpacket paperwork and documents and then once resolution with Homeowner regarding damaged turf newly installed turf from house being drug across to pebble pool and spots have been inspected by manufacturer and Underwater OPerations. Funds can be released .

Sincerely,

Stacey Stewart

[email redacted] www.newimagelandscapeandpools.com 480-280-8166 Cell 480-654-4422 Office Continually serving in excellence since 1981 ROC #069226 C-21 ROC #247546 B-5 ROC #319979 A-9 Disclaimer: The attached documents are the intellectual property of New Image Landscape and Pools and are not to be shared with other contractors. These designs have been created by the Design Team at New Image Landscape and Pools and are the private intellectual property that's only to be shared with you (the customer) and New Image Landscape and Pool's employees. Thank you for your cooperation.

[Quoted text hidden]

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2024 price list.pdf 31K FW9 (5).pdf 160K BILLING INSTRUCTIONS (1).pdf 127K 2022 NEW INFO (1).pdf 136K RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL RECEIVED 02/22/2024 ROC LEGAL

PRICE LIST 2024

Group 1:White Pearl, Caribbean Blue, TahoeBlue, Sandy Beach, Plum , Plum Aqua Blue, Aqua White, Sea Blue, Aqua Cool , Salt & Pepper Kool, French Gray, Laguna Blue, Laguna White, Mauve, Sand, White, Gray Harbor and all Noble mp-15, DC-18 except black

Group 1 Group 2 Group 3 I.A. 720 and Under (min. Charge) $ 3,060.00 $ 3,780.00 $ 4,320.00 Over 720 I.A. Per Foot $ 4.25 $ 5.25 $ 6.00 Attached Spa up to 30' Perimeter $ 850.00 $ 1,050.00 $ 1,450.00 Attached 31' to 39' (per) Perimeter $ 28.00 $ 38.00 $ 48.00 Spa Only up to 30' $ 1,600.00 $ 1,700.00 $ 2,000.00 Spa Only 31' to 39' (per) Perimeter $ 53.00 $ 56.00 $ 65.00

Remodel Pool Construction - Chip Out Included Group 1 Group 2 Group 3 I.A. 720 and Under (min. Charge) $ 4,100.00 $ 4,825.00 $ 5,365.00 Over 720 I.A. Per Foot $ 5.70 $ 6.70 $ 7.45 Attached Spa up to 30' Perimeter $ 1,250.00 $ 1,450.00 $ 1,800.00 Attached 31' to 39' (per) Perimeter $ 42.00 $ 48.00 $ 59.00 Spa Only up to 30' $ 2,100.00 $ 2,500.00 $ 2,800.00 Spa Only 31' to 39' (per) Perimeter $ 68.00 $ 83.00 $ 95.00 Chip out pebble interiors add $ 0.30 per ft extra Remodel Pool Construction - Already Chipped Out Group 1 Group 2 Group 3 I.A. 720 and Under (min. Charge) $ 3,240.00 $ 3,960.00 $ 4,500.00 RECEIVED 02/22/2024 Form (Rev. October 2018) W-9 Request for Taxpayer Identification Number and Certification Give FormROC to theLEGAL requester. Do not Department of the Treasury send to the IRS. Internal Revenue Service ▶ Go to www.irs.gov/FormW9 for instructions and the latest information.

Name (as shown on your income tax return). Name is required on this line; do not leave this line blank.

Business name/disregarded entity name, if different from above See Specific Instructions on page 3.

Check appropriate box for federal tax classification of the person whose name is entered on line 1. Check only one of the 4 Exemptions (codes apply only to following seven boxes. certain entities, not individuals; see instructions on page 3): Individual/sole proprietor or C Corporation S Corporation Partnership Trust/estate single-member LLC Exempt payee code (if any) Print or type.

Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=Partnership) ▶ Note: Check the appropriate box in the line above for the tax classification of the single-member owner. Do not check Exemption from FATCA reporting LLC if the LLC is classified as a single-member LLC that is disregarded from the owner unless the owner of the LLC is code (if any) another LLC that is not disregarded from the owner for U.S. federal tax purposes. Otherwise, a single-member LLC that is disregarded from the owner should check the appropriate box for the tax classification of its owner. Other (see instructions) ▶ (Applies to accounts maintained outside the U.S.)

Address (number, street, and apt. or suite no.) See instructions. Requester’s name and address (optional)

City, state, and ZIP code

List account number(s) here (optional)

Part I Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid Social security number backup withholding. For individuals, this is generally your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the instructions for Part I, later. For other – – entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN, later. or Note: If the account is in more than one name, see the instructions for line 1. Also see What Name and Employer identification number Number To Give the Requester for guidelines on whose number to enter. –

Part II Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. I am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions for Part II, later.

Sign Signature of Here U.S. person ▶ Date ▶

General Instructions • Form 1099-DIV (dividends, including those from stocks or mutual funds) Section references are to the Internal Revenue Code unless otherwise • Form 1099-MISC (various types of income, prizes, awards, or gross noted. proceeds) Future developments. For the latest information about developments • Form 1099-B (stock or mutual fund sales and certain other related to Form W-9 and its instructions, such as legislation enacted transactions by brokers) after they were published, go to www.irs.gov/FormW9. • Form 1099-S (proceeds from real estate transactions) Purpose of Form • Form 1099-K (merchant card and third party network transactions) An individual or entity (Form W-9 requester) who is required to file an • Form 1098 (home mortgage interest), 1098-E (student loan interest), information return with the IRS must obtain your correct taxpayer 1098-T (tuition) identification number (TIN) which may be your social security number • Form 1099-C (canceled debt) (SSN), individual taxpayer identification number (ITIN), adoption • Form 1099-A (acquisition or abandonment of secured property) taxpayer identification number (ATIN), or employer identification number (EIN), to report on an information return the amount paid to you, or other Use Form W-9 only if you are a U.S. person (including a resident amount reportable on an information return. Examples of information alien), to provide your correct TIN. returns include, but are not limited to, the following. If you do not return Form W-9 to the requester with a TIN, you might • Form 1099-INT (interest earned or paid) be subject to backup withholding. See What is backup withholding, later.

Cat. No. 10231X Form W-9 (Rev. 10-2018) RECEIVED 02/22/2024 Form W-9 (Rev. 10-2018) Page 2 ROC LEGAL By signing the filled-out form, you: Example. Article 20 of the U.S.-China income tax treaty allows an 1. Certify that the TIN you are giving is correct (or you are waiting for a exemption from tax for scholarship income received by a Chinese number to be issued), student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in 2. Certify that you are not subject to backup withholding, or the United States exceeds 5 calendar years. However, paragraph 2 of 3. Claim exemption from backup withholding if you are a U.S. exempt the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows payee. If applicable, you are also certifying that as a U.S. person, your the provisions of Article 20 to continue to apply even after the Chinese allocable share of any partnership income from a U.S. trade or business student becomes a resident alien of the United States. A Chinese is not subject to the withholding tax on foreign partners' share of student who qualifies for this exception (under paragraph 2 of the first effectively connected income, and protocol) and is relying on this exception to claim an exemption from tax 4. Certify that FATCA code(s) entered on this form (if any) indicating on his or her scholarship or fellowship income would attach to Form that you are exempt from the FATCA reporting, is correct. See What is W-9 a statement that includes the information described above to FATCA reporting, later, for further information. support that exemption. Note: If you are a U.S. person and a requester gives you a form other If you are a nonresident alien or a foreign entity, give the requester the than Form W-9 to request your TIN, you must use the requester’s form if appropriate completed Form W-8 or Form 8233. it is substantially similar to this Form W-9. Backup Withholding Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS 24% of such • An individual who is a U.S. citizen or U.S. resident alien; payments. This is called “backup withholding.” Payments that may be • A partnership, corporation, company, or association created or subject to backup withholding include interest, tax-exempt interest, organized in the United States or under the laws of the United States; dividends, broker and barter exchange transactions, rents, royalties, • An estate (other than a foreign estate); or nonemployee pay, payments made in settlement of payment card and third party network transactions, and certain payments from fishing boat • A domestic trust (as defined in Regulations section 301.7701-7). operators. Real estate transactions are not subject to backup Special rules for partnerships. Partnerships that conduct a trade or withholding. business in the United States are generally required to pay a withholding You will not be subject to backup withholding on payments you tax under section 1446 on any foreign partners’ share of effectively receive if you give the requester your correct TIN, make the proper connected taxable income from such business. Further, in certain cases certifications, and report all your taxable interest and dividends on your where a Form W-9 has not been received, the rules under section 1446 tax return. require a partnership to presume that a partner is a foreign person, and pay the section 1446 withholding tax. Therefore, if you are a U.S. person Payments you receive will be subject to backup withholding if: that is a partner in a partnership conducting a trade or business in the 1. You do not furnish your TIN to the requester, United States, provide Form W-9 to the partnership to establish your 2. You do not certify your TIN when required (see the instructions for U.S. status and avoid section 1446 withholding on your share of Part II for details), partnership income. 3. The IRS tells the requester that you furnished an incorrect TIN, In the cases below, the following person must give Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding 4. The IRS tells you that you are subject to backup withholding withholding on its allocable share of net income from the partnership because you did not report all your interest and dividends on your tax conducting a trade or business in the United States. return (for reportable interest and dividends only), or • In the case of a disregarded entity with a U.S. owner, the U.S. owner 5. You do not certify to the requester that you are not subject to of the disregarded entity and not the entity; backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only). • In the case of a grantor trust with a U.S. grantor or other U.S. owner, generally, the U.S. grantor or other U.S. owner of the grantor trust and Certain payees and payments are exempt from backup withholding. not the trust; and See Exempt payee code, later, and the separate Instructions for the Requester of Form W-9 for more information. • In the case of a U.S. trust (other than a grantor trust), the U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Also see Special rules for partnerships, earlier. Foreign person. If you are a foreign person or the U.S. branch of a foreign bank that has elected to be treated as a U.S. person, do not use What is FATCA Reporting? Form W-9. Instead, use the appropriate Form W-8 or Form 8233 (see The Foreign Account Tax Compliance Act (FATCA) requires a Pub. 515, Withholding of Tax on Nonresident Aliens and Foreign participating foreign financial institution to report all United States Entities). account holders that are specified United States persons. Certain payees are exempt from FATCA reporting. See Exemption from FATCA Nonresident alien who becomes a resident alien. Generally, only a reporting code, later, and the Instructions for the Requester of Form nonresident alien individual may use the terms of a tax treaty to reduce W-9 for more information. or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a “saving clause.” Exceptions specified in the saving clause may permit an exemption from tax to Updating Your Information continue for certain types of income even after the payee has otherwise You must provide updated information to any person to whom you become a U.S. resident alien for tax purposes. claimed to be an exempt payee if you are no longer an exempt payee If you are a U.S. resident alien who is relying on an exception and anticipate receiving reportable payments in the future from this contained in the saving clause of a tax treaty to claim an exemption person. For example, you may need to provide updated information if from U.S. tax on certain types of income, you must attach a statement you are a C corporation that elects to be an S corporation, or if you no to Form W-9 that specifies the following five items. longer are tax exempt. In addition, you must furnish a new Form W-9 if 1. The treaty country. Generally, this must be the same treaty under the name or TIN changes for the account; for example, if the grantor of a which you claimed exemption from tax as a nonresident alien. grantor trust dies. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the Penalties saving clause and its exceptions. Failure to furnish TIN. If you fail to furnish your correct TIN to a 4. The type and amount of income that qualifies for the exemption requester, you are subject to a penalty of $50 for each such failure from tax. unless your failure is due to reasonable cause and not to willful neglect. 5. Sufficient facts to justify the exemption from tax under the terms of Civil penalty for false information with respect to withholding. If you the treaty article. make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty. RECEIVED 02/22/2024 Form W-9 (Rev. 10-2018) Page 3 ROC LEGAL Criminal penalty for falsifying information. Willfully falsifying IF the entity/person on line 1 is THEN check the box for . . . certifications or affirmations may subject you to criminal penalties a(n) . . . including fines and/or imprisonment. Misuse of TINs. If the requester discloses or uses TINs in violation of • Corporation Corporation federal law, the requester may be subject to civil and criminal penalties. • Individual Individual/sole proprietor or single- • Sole proprietorship, or member LLC Specific Instructions • Single-member limited liability company (LLC) owned by an Line 1 individual and disregarded for U.S. You must enter one of the following on this line; do not leave this line federal tax purposes. blank. The name should match the name on your tax return. • LLC treated as a partnership for Limited liability company and enter If this Form W-9 is for a joint account (other than an account U.S. federal tax purposes, the appropriate tax classification. maintained by a foreign financial institution (FFI)), list first, and then • LLC that has filed Form 8832 or (P= Partnership; C= C corporation; circle, the name of the person or entity whose number you entered in 2553 to be taxed as a corporation, or S= S corporation) Part I of Form W-9. If you are providing Form W-9 to an FFI to document or a joint account, each holder of the account that is a U.S. person must provide a Form W-9. • LLC that is disregarded as an entity separate from its owner but a. Individual. Generally, enter the name shown on your tax return. If the owner is another LLC that is you have changed your last name without informing the Social Security not disregarded for U.S. federal tax Administration (SSA) of the name change, enter your first name, the last purposes. name as shown on your social security card, and your new last name. Note: ITIN applicant: Enter your individual name as it was entered on • Partnership Partnership your Form W-7 application, line 1a. This should also be the same as the • Trust/estate Trust/estate name you entered on the Form 1040/1040A/1040EZ you filed with your application. Line 4, Exemptions b. Sole proprietor or single-member LLC. Enter your individual If you are exempt from backup withholding and/or FATCA reporting, name as shown on your 1040/1040A/1040EZ on line 1. You may enter enter in the appropriate space on line 4 any code(s) that may apply to your business, trade, or “doing business as” (DBA) name on line 2. you. c. Partnership, LLC that is not a single-member LLC, C Exempt payee code. corporation, or S corporation. Enter the entity's name as shown on the • Generally, individuals (including sole proprietors) are not exempt from entity's tax return on line 1 and any business, trade, or DBA name on backup withholding. line 2. • Except as provided below, corporations are exempt from backup d. Other entities. Enter your name as shown on required U.S. federal withholding for certain payments, including interest and dividends. tax documents on line 1. This name should match the name shown on the • Corporations are not exempt from backup withholding for payments charter or other legal document creating the entity. You may enter any made in settlement of payment card or third party network transactions. business, trade, or DBA name on line 2. • Corporations are not exempt from backup withholding with respect to e. Disregarded entity. For U.S. federal tax purposes, an entity that is attorneys’ fees or gross proceeds paid to attorneys, and corporations disregarded as an entity separate from its owner is treated as a that provide medical or health care services are not exempt with respect “disregarded entity.” See Regulations section 301.7701-2(c)(2)(iii). Enter to payments reportable on Form 1099-MISC. the owner's name on line 1. The name of the entity entered on line 1 should never be a disregarded entity. The name on line 1 should be the The following codes identify payees that are exempt from backup name shown on the income tax return on which the income should be withholding. Enter the appropriate code in the space in line 4. reported. For example, if a foreign LLC that is treated as a disregarded 1—An organization exempt from tax under section 501(a), any IRA, or entity for U.S. federal tax purposes has a single owner that is a U.S. a custodial account under section 403(b)(7) if the account satisfies the person, the U.S. owner's name is required to be provided on line 1. If requirements of section 401(f)(2) the direct owner of the entity is also a disregarded entity, enter the first 2—The United States or any of its agencies or instrumentalities owner that is not disregarded for federal tax purposes. Enter the disregarded entity's name on line 2, “Business name/disregarded entity 3—A state, the District of Columbia, a U.S. commonwealth or name.” If the owner of the disregarded entity is a foreign person, the possession, or any of their political subdivisions or instrumentalities owner must complete an appropriate Form W-8 instead of a Form W-9. 4—A foreign government or any of its political subdivisions, agencies, This is the case even if the foreign person has a U.S. TIN. or instrumentalities Line 2 5—A corporation 6—A dealer in securities or commodities required to register in the If you have a business name, trade name, DBA name, or disregarded United States, the District of Columbia, or a U.S. commonwealth or entity name, you may enter it on line 2. possession Line 3 7—A futures commission merchant registered with the Commodity Check the appropriate box on line 3 for the U.S. federal tax Futures Trading Commission classification of the person whose name is entered on line 1. Check only 8—A real estate investment trust one box on line 3. 9—An entity registered at all times during the tax year under the Investment Company Act of 1940 10—A common trust fund operated by a bank under section 584(a) 11—A financial institution 12—A middleman known in the investment community as a nominee or custodian 13—A trust exempt from tax under section 664 or described in section 4947 RECEIVED 02/22/2024 Form W-9 (Rev. 10-2018) Page 4 ROC LEGAL The following chart shows types of payments that may be exempt M—A tax exempt trust under a section 403(b) plan or section 457(g) from backup withholding. The chart applies to the exempt payees listed plan above, 1 through 13. Note: You may wish to consult with the financial institution requesting IF the payment is for . . . THEN the payment is exempt this form to determine whether the FATCA code and/or exempt payee for . . . code should be completed.

Interest and dividend payments All exempt payees except Line 5 for 7 Enter your address (number, street, and apartment or suite number). Broker transactions Exempt payees 1 through 4 and 6 This is where the requester of this Form W-9 will mail your information through 11 and all C corporations. returns. If this address differs from the one the requester already has on S corporations must not enter an file, write NEW at the top. If a new address is provided, there is still a exempt payee code because they chance the old address will be used until the payor changes your are exempt only for sales of address in their records. noncovered securities acquired prior to 2012. Line 6 Enter your city, state, and ZIP code. Barter exchange transactions and Exempt payees 1 through 4 patronage dividends Part I. Taxpayer Identification Number (TIN) Payments over $600 required to be Generally, exempt payees Enter your TIN in the appropriate box. If you are a resident alien and reported and direct sales over 1 through 52 you do not have and are not eligible to get an SSN, your TIN is your IRS $5,0001 individual taxpayer identification number (ITIN). Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN Payments made in settlement of Exempt payees 1 through 4 below. payment card or third party network If you are a sole proprietor and you have an EIN, you may enter either transactions your SSN or EIN. If you are a single-member LLC that is disregarded as an entity See Form 1099-MISC, Miscellaneous Income, and its instructions. separate from its owner, enter the owner’s SSN (or EIN, if the owner has However, the following payments made to a corporation and one). Do not enter the disregarded entity’s EIN. If the LLC is classified as reportable on Form 1099-MISC are not exempt from backup a corporation or partnership, enter the entity’s EIN. withholding: medical and health care payments, attorneys’ fees, gross proceeds paid to an attorney reportable under section 6045(f), and Note: See What Name and Number To Give the Requester, later, for payments for services paid by a federal executive agency. further clarification of name and TIN combinations. Exemption from FATCA reporting code. The following codes identify How to get a TIN. If you do not have a TIN, apply for one immediately. payees that are exempt from reporting under FATCA. These codes To apply for an SSN, get Form SS-5, Application for a Social Security apply to persons submitting this form for accounts maintained outside Card, from your local SSA office or get this form online at of the United States by certain foreign financial institutions. Therefore, if www.SSA.gov. You may also get this form by calling 1-800-772-1213. you are only submitting this form for an account you hold in the United Use Form W-7, Application for IRS Individual Taxpayer Identification States, you may leave this field blank. Consult with the person Number, to apply for an ITIN, or Form SS-4, Application for Employer requesting this form if you are uncertain if the financial institution is Identification Number, to apply for an EIN. You can apply for an EIN subject to these requirements. A requester may indicate that a code is online by accessing the IRS website at www.irs.gov/Businesses and not required by providing you with a Form W-9 with “Not Applicable” (or clicking on Employer Identification Number (EIN) under Starting a any similar indication) written or printed on the line for a FATCA Business. Go to www.irs.gov/Forms to view, download, or print Form exemption code. W-7 and/or Form SS-4. Or, you can go to www.irs.gov/OrderForms to place an order and have Form W-7 and/or SS-4 mailed to you within 10 A—An organization exempt from tax under section 501(a) or any business days. individual retirement plan as defined in section 7701(a)(37) If you are asked to complete Form W-9 but do not have a TIN, apply B—The United States or any of its agencies or instrumentalities for a TIN and write “Applied For” in the space for the TIN, sign and date C—A state, the District of Columbia, a U.S. commonwealth or the form, and give it to the requester. For interest and dividend possession, or any of their political subdivisions or instrumentalities payments, and certain payments made with respect to readily tradable D—A corporation the stock of which is regularly traded on one or instruments, generally you will have 60 days to get a TIN and give it to more established securities markets, as described in Regulations the requester before you are subject to backup withholding on section 1.1472-1(c)(1)(i) payments. The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until E—A corporation that is a member of the same expanded affiliated you provide your TIN to the requester. group as a corporation described in Regulations section 1.1472-1(c)(1)(i) Note: Entering “Applied For” means that you have already applied for a F—A dealer in securities, commodities, or derivative financial TIN or that you intend to apply for one soon. instruments (including notional principal contracts, futures, forwards, and options) that is registered as such under the laws of the United Caution: A disregarded U.S. entity that has a foreign owner must use States or any state the appropriate Form W-8. G—A real estate investment trust Part II. Certification H—A regulated investment company as defined in section 851 or an To establish to the withholding agent that you are a U.S. person, or entity registered at all times during the tax year under the Investment resident alien, sign Form W-9. You may be requested to sign by the Company Act of 1940 withholding agent even if item 1, 4, or 5 below indicates otherwise. I—A common trust fund as defined in section 584(a) For a joint account, only the person whose TIN is shown in Part I J—A bank as defined in section 581 should sign (when required). In the case of a disregarded entity, the K—A broker person identified on line 1 must sign. Exempt payees, see Exempt payee code, earlier. L—A trust exempt from tax under section 664 or described in section 4947(a)(1) Signature requirements. Complete the certification as indicated in items 1 through 5 below. RECEIVED 02/22/2024 Form W-9 (Rev. 10-2018) Page 5 ROC LEGAL 1. Interest, dividend, and barter exchange accounts opened For this type of account: Give name and EIN of: before 1984 and broker accounts considered active during 1983. 14. Account with the Department of The public entity You must give your correct TIN, but you do not have to sign the Agriculture in the name of a public certification. entity (such as a state or local 2. Interest, dividend, broker, and barter exchange accounts government, school district, or opened after 1983 and broker accounts considered inactive during prison) that receives agricultural 1983. You must sign the certification or backup withholding will apply. If program payments you are subject to backup withholding and you are merely providing your correct TIN to the requester, you must cross out item 2 in the 15. Grantor trust filing under the Form The trust certification before signing the form. 1041 Filing Method or the Optional Form 1099 Filing Method 2 (see 3. Real estate transactions. You must sign the certification. You may Regulations section 1.671-4(b)(2)(i)(B)) cross out item 2 of the certification. 4. Other payments. You must give your correct TIN, but you do not 1 List first and circle the name of the person whose number you furnish. have to sign the certification unless you have been notified that you If only one person on a joint account has an SSN, that person’s number have previously given an incorrect TIN. “Other payments” include must be furnished. payments made in the course of the requester’s trade or business for 2 Circle the minor’s name and furnish the minor’s SSN. rents, royalties, goods (other than bills for merchandise), medical and health care services (including payments to corporations), payments to You must show your individual name and you may also enter your a nonemployee for services, payments made in settlement of payment business or DBA name on the “Business name/disregarded entity” card and third party network transactions, payments to certain fishing name line. You may use either your SSN or EIN (if you have one), but the boat crew members and fishermen, and gross proceeds paid to IRS encourages you to use your SSN. attorneys (including payments to corporations). 4 List first and circle the name of the trust, estate, or pension trust. (Do 5. Mortgage interest paid by you, acquisition or abandonment of not furnish the TIN of the personal representative or trustee unless the secured property, cancellation of debt, qualified tuition program legal entity itself is not designated in the account title.) Also see Special payments (under section 529), ABLE accounts (under section 529A), rules for partnerships, earlier. IRA, Coverdell ESA, Archer MSA or HSA contributions or *Note: The grantor also must provide a Form W-9 to trustee of trust. distributions, and pension distributions. You must give your correct Note: If no name is circled when more than one name is listed, the TIN, but you do not have to sign the certification. number will be considered to be that of the first name listed. What Name and Number To Give the Requester Secure Your Tax Records From Identity Theft For this type of account: Give name and SSN of: Identity theft occurs when someone uses your personal information 1. Individual The individual such as your name, SSN, or other identifying information, without your 2. Two or more individuals (joint The actual owner of the account or, if permission, to commit fraud or other crimes. An identity thief may use account) other than an account combined funds, the first individual on your SSN to get a job or may file a tax return using your SSN to receive maintained by an FFI the account a refund. 3. Two or more U.S. persons Each holder of the account To reduce your risk: (joint account maintained by an FFI) • Protect your SSN, 4. Custodial account of a minor The minor • Ensure your employer is protecting your SSN, and (Uniform Gift to Minors Act) • Be careful when choosing a tax preparer. 5. a. The usual revocable savings trust The grantor-trustee If your tax records are affected by identity theft and you receive a (grantor is also trustee) notice from the IRS, respond right away to the name and phone number b. So-called trust account that is not The actual owner printed on the IRS notice or letter. a legal or valid trust under state law If your tax records are not currently affected by identity theft but you 6. Sole proprietorship or disregarded 3 The owner think you are at risk due to a lost or stolen purse or wallet, questionable entity owned by an individual credit card activity or credit report, contact the IRS Identity Theft Hotline 7. Grantor trust filing under Optional The grantor* at 1-800-908-4490 or submit Form 14039. Form 1099 Filing Method 1 (see For more information, see Pub. 5027, Identity Theft Information for Regulations section 1.671-4(b)(2)(i) Taxpayers. (A)) Victims of identity theft who are experiencing economic harm or a For this type of account: Give name and EIN of: systemic problem, or are seeking help in resolving tax problems that 8. Disregarded entity not owned by an The owner have not been resolved through normal channels, may be eligible for individual Taxpayer Advocate Service (TAS) assistance. You can reach TAS by 9. A valid trust, estate, or pension trust Legal entity calling the TAS toll-free case intake line at 1-877-777-4778 or TTY/TDD 1-800-829-4059. 10. Corporation or LLC electing The corporation Protect yourself from suspicious emails or phishing schemes. corporate status on Form 8832 or Phishing is the creation and use of email and websites designed to Form 2553 mimic legitimate business emails and websites. The most common act 11. Association, club, religious, The organization is sending an email to a user falsely claiming to be an established charitable, educational, or other tax- legitimate enterprise in an attempt to scam the user into surrendering exempt organization private information that will be used for identity theft.

12. Partnership or multi-member LLC The partnership 13. A broker or registered nominee The broker or nominee RECEIVED 02/22/2024 Form W-9 (Rev. 10-2018) Page 6 ROC LEGAL The IRS does not initiate contacts with taxpayers via emails. Also, the Privacy Act Notice IRS does not request personal detailed information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access Section 6109 of the Internal Revenue Code requires you to provide your information for their credit card, bank, or other financial accounts. correct TIN to persons (including federal agencies) who are required to file information returns with the IRS to report interest, dividends, or If you receive an unsolicited email claiming to be from the IRS, certain other income paid to you; mortgage interest you paid; the forward this message to [email redacted]. You may also report misuse acquisition or abandonment of secured property; the cancellation of of the IRS name, logo, or other IRS property to the Treasury Inspector debt; or contributions you made to an IRA, Archer MSA, or HSA. The General for Tax Administration (TIGTA) at 1-800-366-4484. You can person collecting this form uses the information on the form to file forward suspicious emails to the Federal Trade Commission at information returns with the IRS, reporting the above information. [email redacted] or report them at www.ftc.gov/complaint. You can Routine uses of this information include giving it to the Department of contact the FTC at www.ftc.gov/idtheft or 877-IDTHEFT (877-438-4338). Justice for civil and criminal litigation and to cities, states, the District of If you have been the victim of identity theft, see www.IdentityTheft.gov Columbia, and U.S. commonwealths and possessions for use in and Pub. 5027. administering their laws. The information also may be disclosed to other Visit www.irs.gov/IdentityTheft to learn more about identity theft and countries under a treaty, to federal and state agencies to enforce civil how to reduce your risk. and criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to file a tax return. Under section 3406, payers must generally withhold a percentage of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to the payer. Certain penalties may also apply for providing false or fraudulent information. RECEIVED 02/22/2024 ROC LEGAL

BILLING INSTRUCTIONS

All invoices need to contain the following info prior to submitting payment:

1. Invoice # 2. Job Name 3. Sub Address 4. Itemized billing 5. Any supporting documents necessary (Take photos as you complete the work & of any issues)

All invoices submitted on or by Thursday will be paid the following Friday. Any change orders or additional work need to be on a separate invoice with copy or change/work order. RECEIVED 02/22/2024 ROC LEGAL

11/05/2021

Dear Sub Contractor,

First, we want to thank you for all your hard work during this year of 2021. As we approach 2022, we need to update our records with the following information:

• Contact info: phone #, address & email • Copy of License • Copy of Insurance • New W-9 • Updated pricing sheet as of 01/01/2022

If you have any questions, please feel free to give us a call at 480.654.4422 Please have all documents returned to New Image no later than 12/10/2021 by email at [email redacted] or Mail to: 2815 S Alma School Rd. Suite #118 Mesa, AZ 85210

Best Wishes,

New Image Landscape and Pools RECEIVED 02/22/2024 ROC LEGAL

COMPANY NAME: ________________________________________________ Address: _______________________________________________________________________________

__________________________________________________________________________________________

Phone #: _______________________________________________________________________________

Email: __________________________________________________________________________________

Owner Name: _________________________________________________________________________

Field Supervisor Name: ______________________________________________________________

Field Supervisor Phone #: ___________________________________________________________

Scheduling Contact Info: _____________________________________________________________

__________________________________________________________________________________________

Accounting Contact: __________________________________________________________________

__________________________________________________________________________________________ REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Blue Pool Plastering LLC, Case No. 2024-00419 COMPLAINANT, v.

New Image Landscape and Pools LLC, CITATION License Nos. ROC 247546, 319979, and 343242,

RESPONDENT.

The Registrar issues this Citation to New Image Landscape and Pools LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by March 13, 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 January 11, 2024, Blue Pool Plastering LLC (“Complainant”) filed a written complaint with the Registrar against Respondent. 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

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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 $750 when due for materials or services rendered in connection with the licensee’s operations as a contractor 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. 2024-00419. 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, AZ 85007-2812 Mail: P.O. Box 18244, Phoenix, AZ 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 March 13, 2024.

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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 This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). 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

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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 written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated February 27, 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, February 27, 2024 to: Respondent Certified Mail No: [number redacted] New Image Landscape and Pools LLC 2815 S Alma School Rd Ste 118 Mesa, AZ 85210

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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 Copy mailed by USPS First Class Mail this same date to: Respondent New Image Landscape and Pools LLC 2815 S Alma School Rd Ste 118 Mesa, AZ 85210 Complainant Blue Pool Plastering LLC 6341 W Ave Phoenix, AZ 85043 Florence

Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar Case No. 2024-00419 / KR

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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 01/11/2024 ROC LEGAL Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors 2024-00419 P.O. Box 18243 Phoenix, AZ 85005-8243

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

Blue Pool Plastering, LLC 6341 W. Florence Ave Phx, Az 85043 623-204-6529 /[email redacted] Licensed*B onded *RO C# 343303

ESTIMATE Date:_ 12126/2023

New Pool Remodel

Company Name:_ New Image Landscape and Pool LLC

H/O Name:_ Stacy R. Stewart Phone #: 480 280-8 166 Address:_ 2815 S Alma School Road City:_ Mesa

Perimeter: I.A._ Depth:_

Deseription Iotal Measurements on pool is 800 sq ft Mini Poo l Interior Finish $5600.00

Acid Wash $250.00

Slurry Removal $250.00

Total $6100.00

Down Payment Check # 5260 _- $2200.00

Balance oweing $3900.00

Sub Total Sales Tax —0—

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

Name of Person(s) Representing License Stacy R Stewart Complaint Information Principal Amount Due (excluding interest and fees) Contract Date (if applicable) $3,900.00 December 26, 2023 Have you filed a civil complaint? No List all specific invoices which have not been paid. Attach additional pages if necessary. The contract was enter verbally through text and phone. A written contract was not signed due client not being in office and not having time. So all communcation was done through text and phone. Invoice was written to show what needed to be done and another invoice was done showing what was done , down payment that was given at the time and the amount due. Work was done at 782 N Lisbon Dr, Chandler Arizona 85226. The first payment was given 12/26/2023 in a form of a check with the balance due when the job was complete. Contract was verbal and negotiated between myself Martin Perez and Stacy R Stewart. A check was then written for me, Blue Pool Plastering in the amount of 2200.00 by Ms Stewart from New Image Landscaping and Pool llc to initially start the job. The balance was to be paid to me, Blue Pool Plastering at the completion of the the job. Certification I certify, upon information and belief, that the above-named licensee has failed to pay monies in excess of seven hundred fifty dollars when due for materials or services rendered in connection with the licensee’s operations as a contractor. I further certify, upon information and belief, that the above-named licensee has the capacity to pay, or has received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. A.R.S. § 32-1154(A)(10). Printed Name Signature Date Martin Perez Declaration & Signature I am the Complainant in this Complaint Form or Complainant’s duly authorized representative. I declare under penalty of perjury that the information contained in this Form is true and correct to the best of my knowledge. I further certify that any documents submitted in support of this complaint are true and correct copies of the originals and are 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. RECEIVED Printed Name Signature Date 01/22/2024 Martin Perez ROC LEGAL RECEIVED 02/27/2024 ROC LEGAL Legal New Mail - AZROC <[email redacted]>

Citation issued in Complaint No. 2024-00419 message

Stacey Stewart <[email redacted]> Tue, Feb 27, 2024 at 9:26 AM To: [email redacted]

Good Afternoon,

The breakout for pool and standard across the board is as follows:

Base Pool : $4100.00- already chipped out IA 5.70 X 30= $171.00 Total : 4271.00 Less: 2200.00 for material Subcontractor owed- $2000.00

Sincerely,

Stacey Stewart

[email redacted] www.newimagelandscapeandpools.com 480-280-8166 Cell 480-654-4422 Office RECEIVED 02/27/2024 Continually serving in excellence since 1981 ROC LEGAL ROC #069226 C-21 ROC #247546 B-5 ROC #319979 A-9 Disclaimer: The attached documents are the intellectual property of New Image Landscape and Pools and are not to be shared with other contractors. These designs have been created by the Design Team at New Image Landscape and Pools and are the private intellectual property that's only to be shared with you (the customer) and New Image Landscape and Pool's employees. Thank you for your cooperation.

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IMG_9240.jpg 2571K RECEIVED 02/27/2024 ROC LEGAL

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IMG_9229.jpg 1778K RECEIVED 02/27/2024 ROC LEGAL RECEIVED 02/27/2024 ROC LEGAL RECEIVED 02/27/2024 ROC LEGAL RECEIVED 02/27/2024 ROC LEGAL RECEIVED 02/27/2024 ROC LEGAL RECEIVED 02/27/2024 ROC LEGAL Katelyn Rolling <[email redacted]>

ROC Citation 2024-00419 - DO NOT REPLY messages

Katelyn Rolling <[email redacted]> Tue, Feb 27, 2024 at 8:12 AM Bcc: Martin Perez <[email redacted]>, [email redacted], [email redacted], [email redacted]

Hello,

Attached, please find an electronic courtesy copy of the Citation issued in Complaint No. 2024-00419. This document was also sent to your attention via US Mail.

Please do not reply directly to this email. Any reply or response should be addressed to [email redacted].

Katelyn Rolling Legal Assistant II Arizona Registrar of Contractors 1700 W Washington St Ste 105 Phoenix, AZ 85007 (602) 542-1525

20240227 Citation MAILED 2024-00419.pdf 1882K

Stacey Stewart <[email redacted]> Tue, Feb 27, 2024 at 9:38 AM To: Katelyn Rolling <[email redacted]>

I need to see how to file additional appeal to this ruling, somehow the sub has sent invoices to you that he made up. THese documents are fraud. Also, this is an issue with projects that need resolved, no tax form and insurance provided to release payment. Also, the signed contract was for 6100.00 including chip/out. This amount is above the contracted amount and your asking me to pay more than standard. So you're allowing him to send documents that are not part of the contract. He made this up and New Image has never been sent this document. Did you ask for proof that this was submitted to New Image, he made up amounts to fit his need. Sincerely,

Stacey Stewart

[email redacted] www.newimagelandscapeandpools.com RECEIVED 02/27/2024 480-280-8166 Cell ROC LEGAL 480-654-4422 Office Continually serving in excellence since 1981 ROC #069226 C-21 ROC #247546 B-5 ROC #319979 A-9 Disclaimer: The attached documents are the intellectual property of New Image Landscape and Pools and are not to be shared with other contractors. These designs have been created by the Design Team at New Image Landscape and Pools and are the private intellectual property that's only to be shared with you (the customer) and New Image Landscape and Pool's employees. Thank you for your cooperation. [Quoted text hidden]

Katelyn Rolling <[email redacted]> Tue, Feb 27, 2024 at 9:55 AM To: Stacey Stewart <[email redacted]>

Hello,

The second invoice reflects the balance owed for the first invoice after payment was made by you on behalf of New Image Landscape and Pools LLC. I will treat your email as an Answer and request for hearing.

Katelyn Rolling Legal Assistant II Arizona Registrar of Contractors 1700 W Washington St Ste 105 Phoenix, AZ 85007 (602) 542-1525

[Quoted text hidden]

Stacey Stewart <[email redacted]> Tue, Feb 27, 2024 at 9:57 AM To: Katelyn Rolling <[email redacted]>

Absolutely, what I’m asking is he over charging , proof of what he is saying is the original agreed amount. That not the agreed amount, the total and he didn’t do chip/out. So yes hearing. As he changed cost agreed and making up pricing .

Sincerely,

Stacey Stewart RECEIVED 02/27/2024 ROC LEGAL [email redacted] www.newimagelandscapeandpools.com 480-280-8166 Cell 480-654-4422 Office Continually serving in excellence since 1981 ROC #069226 C-21 ROC #247546 B-5 ROC #319979 A-9 Disclaimer: The attached documents are the intellectual property of New Image Landscape and Pools and are not to be shared with other contractors. These designs have been created by the Design Team at New Image Landscape and Pools and are the private intellectual property that's only to be shared with you (the customer) and New Image Landscape and Pool's employees. Thank you for your cooperation. [Quoted text hidden]

Stacey Stewart <[email redacted]> Tue, Feb 27, 2024 at 9:59 AM To: Katelyn Rolling <[email redacted]>

Also, you and he both stated he was paid 1/2 down , that is the 2,200.00 check, which means the second 1/2 was the same. You can see where he changed this to get additional funds. Along with there is damage at site pebble issues and damaged turf. Sincerely,

Stacey Stewart

Stacey Stewart <[email redacted]> Tue, Feb 27, 2024 at 10:01 AM To: Katelyn Rolling <[email redacted]>

I will send a full written response for hearing as this is such a scam.

Sincerely,

Stacey Stewart

Katelyn Rolling <[email redacted]> Tue, Feb 27, 2024 at 10:06 AM To: Stacey Stewart <[email redacted]>

Based on the information I have gathered, there was no formal subcontractor agreement that spelled out everything that was to be done, the agreed upon amount, and grounds for withholding payment.

Your request for hearing is currently being processed.

Katelyn Rolling Legal Assistant II Arizona Registrar of Contractors 1700 W Washington St Ste 105 Phoenix, AZ 85007 (602) 542-1525 RECEIVED 02/27/2024 ROC LEGAL

[Quoted text hidden] 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