2024A-00820-CHC-ROC Notice of Hearing and Packet MAILED

2024A-00820-CHC-ROC · Registrar of Contractors · 2024-04-16

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Kyle McGauley , Case No. 2024-00820 COMPLAINANT, Docket No. 2024A-00820-CHC-ROC v. NOTICE OF HEARING ON CONTESTED CASE Legacy Contracting LLC License No. ROC 333553,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

May 31, 2024 1:00 PM Tammy Eigenheer 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 March 15, 2024. SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED The complaint and citation allege that the Respondent committed the following act(s): Charge: 1 A.R.S. § 32-1154(A)(1)

Charge: 2 A.R.S. § 32-1154(A)(2)(b)

Charge: 3 A.R.S. § 32-1154(A)(3) - R4-9-108(a)

Charge: 4 A.R.S. § 32-1154(A)(9(

Charge: 5 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158

Charge: 6 A.R.S. § 32-1154(A)(22)

THE PARTIES TO THE ADMINISTRATIVE HEARING Because Respondent is a licensee and is charged with an act(s) or omission(s) that is

cause for the suspension or revocation of a license, Respondent is a party to this case and will

be a party to the hearing.

Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing. Respondent and Complainant, as the parties to the hearing, will present evidence and argument to the administrative law judge. The Registrar’s assigned investigator will appear as a witness at the hearing.

RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney. A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented

by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32-

1156(B).

CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of

any change of address within five (5) days of the change. A.R.S. § 41-1092.04.

HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092

to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles

regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE

The Registrar’s investigators, employees, and attorneys will appear at the hearing via

video conference or telephone unless requested by a party to appear in-person. Requests for

the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date.

HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses certain documents to the parties and the Office of Administrative Hearings. These documents are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below.

SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their case. If a party wants to obtain testimony from a witness or documents not in the party’s possession, the party must prepare and file a written subpoena for the Administrative Law Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04.

DISCLOSURE STATEMENT At least seven calendar days before the hearing, each party must prepare and serve a

disclosure statement on all other parties, and file it with the Office of Administrative Hearings.

A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the

party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is available on the Registrar’s website at https://roc.az.gov/forms/RC-L-800A%20- %20Prehearing%20Disclosure%20Statement%2020191007v4.pdf

CHANGING THE HEARING DATE The date of the hearing may only be advanced or delayed on the agreement of the

parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may

be changed by filing a written agreement of the parties to change the date of the hearing. The

written agreement must be filed with the Office of Administrative Hearings, directed to the

assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The

assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com If a party would like to move the date of the hearing without agreement of all parties, the party must file a written motion with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties.

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

RESOLUTION SHORT OF ADJUDICATION In any case which is resolved or settled by the parties, or which is withdrawn by the Complainant without objection from Respondent after the Notice of Hearing is issued, the parties must notify the Office of Administrative Hearings of the resolution or settlement. Any such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated April 11, 2024.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail April 11, 2024 to: Respondent(s) Legacy Contracting LLC 12211 West Bell Road Suite 204 Surprise, AZ 85378

Complainant(s) Kyle McGauley 17222 N Fairway Ct Glendale, AZ 85308

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. 2024-00820 /

Katie Hobbs, Governor Martin Quezada, Director

Hearing Packet FAQ What is the Hearing Packet?

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

Who gets the Hearing Packet?

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

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

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

What is in the Hearing Packet?

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

● Original complaint;

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

Katie Hobbs, Governor Martin Quezada, Director

● Citation; and ● Answer.

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

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

What if there are documents missing from the Hearing Packet?

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

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

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

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

Katie Hobbs, Governor Martin Quezada, Director

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

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

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

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

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

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

Complainant: Kyle McGauley 17222 N Fairway Ct Glendale, AZ 85308

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Respondent: Legacy Contracting LLC DBA: 12211 W Bell Rd, Suite 204 Surprise, AZ 85378

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 January 24, 2024

Jobsite Inspection Notice Re: Complaint Number 2024-00820

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for February 29, 2024 at 09:30 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

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

RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection. If either party needs to reschedule the jobsite inspection, please notify the assigned investigator at least three business days prior to the inspection date to schedule a new date and time. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.

Sincerely, Mike Wiskow Mike Wiskow, Investigator 602 7716750 [email redacted] 1700 W Washington StSte 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Jobsite Inspections

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

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

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

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

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

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

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

Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

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

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

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

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

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

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

Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 05/21 Complainant: Kyle McGauley 17222 N Fairway Ct Glendale, AZ 85308

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 Respondent: Legacy Contracting LLC DBA: 12211 W Bell Rd, Suite 204 Surprise, AZ 85378

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 February 7, 2024

Re: Complaint No. 2024-00820

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for Friday, March 1, 2024 at 09:30 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.

Sincerely,

Mike Wiskow Mike Wiskow, Investigator 602 7716750 [email redacted] 1700 W Washington StSte 105 Phoenix, AZ 85007

A Guide to Jobsite Inspections

Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.

Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 Complainant: Kyle McGauley 17222 N Fairway Ct Glendale, AZ 85308

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Respondent: Legacy Contracting LLC DBA: 12211 W Bell Rd, Suite 204 Surprise, AZ 85378

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 February 28, 2024

License No. ROC 333553

Re:Complaint No. 2024-00820

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

After investigation, the Registrar determined that you failed to meet the requirements of A.R.S. § 32-1154(A), and now issues this Directive requiring you to take appropriate corrective action. Failure to comply with this Directive constitutes a violation of A.R.S. § 32-1154(A)(22) and may result in the issuance of a citation, discipline of your license, and a civil penalty pursuant to A.R.S. § 32-1154(E) of up to $500.00. You must notify the Registrar’s assigned Investigator of your compliance with this Directive prior to 5:00 p.m. on Wednesday, March 13, 2024.

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

This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F).

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

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

Compliance Item: 1 - There has been no work completed on the wall since 12/28/24 Investigator’s Observation: Confirmed. There has been no work done on the project since the footing was placed in December of 2023. The Contractor should finish the project per plan and contract (oral or written) by appropriate means. Governing Rule: Abandonment of a contract or refusal to perform after submitting a bid on work without legal excuse for the abandonment or refusal.

Compliance Item: 2 - The fence footing was done improperly Investigator’s Observation: Confirmed. Per a third party licensed contractor, the footing is not placed properly. The footing should be placed properly per the local building authority. Contractor should repair by appropriate means. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 3 - The project was started without a permit. Investigator’s Observation: Confirmed. There was no permit information on site. There should be a permit pulled for this project from the local building authority. Contractor should obtain a permit from the local building authority and get all the necessary approval signatures required by the local building authority.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Governing Rule: Departure from or disregard of: (b) A building code of this state or any political subdivision of this state in any material respect that is prejudicial to another.

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

Sincerely,

Mike Wiskow Mike Wiskow, Investigator 602 7716750 [email redacted] 1700 W Washington StSte 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Complainant: Kyle McGauley 17222 N Fairway Ct Glendale, AZ 85308

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Respondent: Legacy Contracting LLC DBA: 12211 W Bell Rd, Suite 204 Surprise, AZ 85378

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Case No.: 2024-00820 Investigator: Mike Wiskow Inspection Date: Tuesday, February 27, 2024 Inspection Time: 09:30 AM

Compliance Jobsite General Notes: Photos taken with Pixel 6 Pro. Audio recorded with Pixel Pro 6 digital voice recorder. Respondent’s License is currently suspended for administrative reasons. (Lack of qualifying party)

Compliance Findings:

Compliance Item: 1 - There has been no work completed on the wall since 12/28/24 Investigator’s Observation: Confirmed. There has been no work done on the project since the footing was placed in December of 2023. The Contractor should finish the project per plan and contract by appropriate means. Governing Rule: Abandonment of a contract or refusal to perform after submitting a bid on work without legal excuse for the abandonment or refusal. *No additional work has been done on the wall.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 Compliance Item: 3 - The project was started without a permit. Investigator’s Observation: Confirmed. There was no permit information on site. There should be a permit pulled for this project from the local building authority. Contractor should obtain a permit from the local building authority and get all the necessary approval signatures required by the local building authority. Governing Rule: Departure from or disregard of: (b) A building code of this state or any political subdivision of this state in any material respect that is prejudicial to another. *Per the respondent a permit has been pulled. However there have been no necessary approval signatures obtained for job completion.

Note:

Please review the complaint items listed above. If any of the items have not been corrected at the time of the compliance inspection this complaint will be forwarded to the Registrar’s legal department and a citation may be issued.

If all items are corrected after receipt of this letter, please notify the Registrar’s legal department by sending a notice of compliance signed by the complainant to fax number (602) 364-0416 or by mail to: Arizona Registrar of Contractors, P.O. Box 18244, Phoenix, Arizona 85005-8244. Sincerely,

Mike Wiskow Mike Wiskow, Investigator 602 7716750 [email redacted] 1700 W Washington StSte 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 12/23 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Kyle McGauley, Case No. 2024-00820 COMPLAINANT v. Legacy Contracting LLC, CITATION License No. ROC 333553, RESPONDENT

The Registrar issues this Citation to Legacy Contracting LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by March 30, 2024, then under

A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or

acts charged in the underlying complaint, and the Registrar may then suspend or revoke

Respondent’s license(s).

THE WRITTEN COMPLAINT On January 22, 2024, Kyle McGauley (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged

with violating:

Charge: 1 A.R.S. § 32-1154(A)(1) Abandonment of a contract or refusal to perform after submitting a bid on work without legal excuse for the abandonment or refusal.

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge: 2 A.R.S. § 32-1154(A)(2)(b) Departure from or disregard of: (b) A building code of this state or any political subdivision of this state in any material respect that is prejudicial to another. Charge: 3 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. Charge: 4 A.R.S. § 32-1154(A)(9( Attempting to evade this chapter by: (a) Aiding or abetting a licensed or unlicensed person. Charge: 5 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158 Failure in any material respect to comply with this chapter; Namely A.R.S. § 32- 1158. Charge: 6 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F).

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2024-00820. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted] The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than March 30, 2024. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written

complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s

license(s).

THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an

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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 administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S.

§ 41-1092.05(D).

INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and

serve a subpoena in compliance with the rules and processes established by the Office of

Administrative Hearings.

RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE

Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after

receiving the request. Respondent’s request for an informal settlement conference must be in

writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41-

1092.06(A).

The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the

authority to settle the case and must waive their right to object to the participation of the

Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B).

Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are

inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B).

RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in

prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s

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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 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 March 15, 2024.

By: /s/ Meridith Bell Meridith Bell Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, March 15, 2024 to:

Respondent Certified Mail No: [number redacted] Legacy Contracting LLC 12211 W. Bell Rd., Suite 204 Surprise, AZ 85378 Copy mailed by USPS First Class mail this same date to: Respondent Legacy Contracting LLC 12211 W. Bell Rd., Suite 204 Surprise, AZ 85378 Complainant Kyle McGauley 17222 N. Fairway Ct. Glendale, AZ 85308 Copy sent electronically this same date to: of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar

Case No. 2024-00820

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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 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

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

Kyle McGauley Mailing Address (Enter jobsite in Contract/Project section) City State Zip

17222 N Fairway Ct Glendale Arizona 85308 Phone Number Email

(602) 614-5818 [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Street Address of Attorney City State Zip

Phone Number of Attorney Email of Attorney

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

Legacy Contracting LLC ROC 333553 Street Address City State Zip

12211 W Bell Rd, Suite 204 Surprise AZ 85378 Phone Number Email

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

Daylyn Eagleshield Contract/Project Information Contract Date Contract Amount Amount Paid

October 20, 2023 $13,939.50 $6,970.50 Date Work Started Date Work Stopped Date Work Was Completed

December 19, 2023 January 2, 2024 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

17222 N Fairway Ct Glendale AZ 85308 Name of Construction Site Owner Construction Site Name (if applicable)

Kyle McGauley Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Abandonment;Poor Work I have contacted the contractor by Phone/Text;Email Have you filed a complaint in court? No

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

Has any work been corrected? No

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

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

Dates for original start are October 14th. ; There was no communication from contractor for 1month from 10/14-11/17; Then again no communication from 11/17-12/13; Footer is done incorrectly on 12/28 ; No block has been delivered; No block work has been done; According to project manager Tuscon the company does not have money to order materials ie. block and fencing; Trash is left all over site promised to be cleaned up rusty rebar exposures to children; Fencing has not been ordered and no money to order it; No communication since Jan 17th; They have asked us to purchase remainder of materials out of pocket and they will deduct it back from total. We responded that we wont give them more money when they have only done 2500$ worth of work.

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

Kyle McGauley \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 On October 10th a quote was sent for work to be completed at my home for a new back wall and fence. Per Tuscon(project manager/ salesman) who came and collected to deposit money on 10/12/2023 and gave us a verbal contract that they would start in two weeks from deposit of the check and it would take 7 workings days to complete. About a month went by with no communication and we spoke with Legacy again in November stating that he was going to have the fence completed before thanksgiving. After no start of work we told them that we needed to get our money back and go with a new company. The owner Daylyn then contacted us saying that legacy gave us start dates that no one in the o ce knew about and that a contract was send and needed to be signed. After we said that we needed a site visit from the owner Daylyn. He showed up and did a visit with us. He verbally told us that since we are contractors he didn’t need us to sign anything. He told us that the work would start on 12/18/23 and be completed by 12/23/23. Since the “o cial” start date from Daylyn they have torn down our back fence. Had a temporary fence installed but it was laying on the ground not securing my backyard for 6 days a footer has been poured on 12/28. Since that day no work has been completed. No fence was not put back up. I the homeworker had to try and put he fence back up to secure my backyard. We had multiple golfers come into our backyard to get golf balls and my kids went out on the golf course multiple times. Since then Legacy has stated that the company does not have any money to purchase any more materials for this job. That they are locked out of their accounts at the bank. I was told by Legacy on the phone that they are trying to get more sales from other customers to back pay for our job. Legacy has since said that they are going to deliver block on site multiple times and there is no show or no delivery. The project manager at Legacy asked us if we could buy the block and fence and they would deduct if from the total price of the project. Since then they have no communicated any signs of completion of this project. ffi ffi On October 10th a quote was sent for work to be completed at my home for a new back wall and fence. Per Tuscon(project manager/ salesman) who came and collected to deposit money on 10/12/2023 and gave us a verbal contract that they would start in two weeks from deposit of the check and it would take 7 workings days to complete. About a month went by with no communication and we spoke with Legacy again in November stating that he was going to have the fence completed before thanksgiving. After no start of work we told them that we needed to get our money back and go with a new company. The owner Daylyn then contacted us saying that legacy gave us start dates that no one in the o ce knew about and that a contract was send and needed to be signed. After we said that we needed a site visit from the owner Daylyn. He showed up and did a visit with us. He verbally told us that since we are contractors he didn’t need us to sign anything. He told us that the work would start on 12/18/23 and be completed by 12/23/23. Since the “o cial” start date from Daylyn they have torn down our back fence. Had a temporary fence installed but it was laying on the ground not securing my backyard for 6 days a footer has been poured on 12/28. Since that day no work has been completed. No fence was not put back up. I the homeworker had to try and put he fence back up to secure my backyard. We had multiple golfers come into our backyard to get golf balls and my kids went out on the golf course multiple times. Since then Legacy has stated that the company does not have any money to purchase any more materials for this job. That they are locked out of their accounts at the bank. I was told by Legacy on the phone that they are trying to get more sales from other customers to back pay for our job. Legacy has since said that they are going to deliver block on site multiple times and there is no show or no delivery. The project manager at Legacy asked us if we could buy the block and fence and they would deduct if from the total price of the project. Since then they have no communicated any signs of completion of this project. ffi ffi Received 3/30/2024 ROC LegalLLC LEGACY CONTRACTING 12211 WEST BELL ROAD, SUITE 204 SURPRISE, ARIZONA 85378 ROC#333553 [email redacted] O: (602) 320-8759 C: (602) 320-2963

DAYLYN EAGLESHIELD CEO/PRESIDENT LEGACYCONTRACTING LLC 12211 WEST BELL ROAD, SUITE 204 SURPRISE, ARIZONA 85378 (480) 490-7872 [email redacted]

MARCH 30, 2024

MERIDITH BELL LEGAL ASSISTANT II LEGAL DEPARTMENT ARIZONA REGISTRAR OF CONTRACTORS 1700 WEST WASHINGTON STREET, SUITE 105 PHOENIX, ARIZONA 85007-2812

WRITTEN ANSWER TO CITATION AND COMPLAINT CASE NO. 2024-00820

Dear Ms. Bell,

I appreciate the opportunity to respond to the Citation and Complaint issued against Legacy Contracting LLC, as outlined in your letter dated March 15, 2024. Before delving into the specifics of the allegations, I would like to emphasize that Legacy Contracting LLC has diligently cooperated with the investigation led by Mike Wiskow, Investigator at the Arizona Registrar of Contractors, and provided comprehensive responses to each accusation. These responses were submitted in writing and are enclosed herein for your reference as Exhibit A.

ADDITIONAL INFORMATION: COPYRIGHT © 2024 LEGACY CONTRACTING LLC ALL RIGHTS RESERVED. FOR INQUIRIES, PLEASE CONTACT US AT: (602) 320-8759 [email redacted] Received 3/30/2024 ROC LegalLLC LEGACY CONTRACTING 12211 WEST BELL ROAD, SUITE 204 SURPRISE, ARIZONA 85378 ROC#333553 [email redacted] O: (602) 320-8759 C: (602) 320-2963

I. Preliminary Statement:

Legacy Contracting LLC is dedicated to upholding the highest standards of professionalism and compliance within the construction industry. We value transparency and cooperation in all dealings, especially when addressing regulatory inquiries or allegations. Our primary objective is to ensure that all projects are completed with integrity and in full accordance with the relevant statutes and regulations outlined by the Arizona Registrar of Contractors. As such, we welcome the opportunity to provide detailed responses to the Citation and Complaint issued, demonstrating our commitment to resolving any concerns in a transparent and constructive manner.

II. Response to Allegations:

1. Charge: A.R.S. § 32-1154(A)(1) - Abandonment of Contract or Refusal to Perform Legacy Contracting LLC categorically denies the allegation of abandonment of contract or refusal to perform without legal excuse. As detailed in our previous correspondence with Investigator Wiskow, the project referenced in the complaint was suspended due to the customer's failure to sign a contract despite repeated attempts to engage and facilitate the process. This information was conveyed explicitly in our response dated March 9, 2024, and is enclosed as Exhibit B.

2. Charge: A.R.S. § 32-1154(A)(2)(b) - Departure from or Disregard of Building Codes Regarding Charge 2, Legacy Contracting LLC affirms its strict adherence to all applicable building codes and regulations. Any perceived deviations were addressed promptly and transparently. Our efforts to ensure compliance were detailed in our previous communication with Investigator Wiskow and are provided for your review in Exhibit B.

3. Charge: A.R.S. § 32-1154(A)(3) - Violation of Registrar's Rule R4-9-108(a) Legacy Contracting LLC refutes the allegation of violating Registrar's Rule R4-9-108(a) and asserts that all work performed was executed in a professional and workmanlike manner. We have consistently upheld industry standards and best practices, as evidenced by our track record of successful project completions. Supporting documentation and explanations were provided in our earlier response to Investigator Wiskow, enclosed as Exhibit B.

4. Charge: A.R.S. § 32-1154(A)(9) - Attempting to Evade Chapter Provisions The accusation of attempting to evade Chapter provisions is vehemently denied by Legacy Contracting LLC. Our company has always operated with full transparency and integrity, ensuring compliance with all relevant statutes and regulations. Detailed rebuttals to this allegation were provided in our previous correspondence and are enclosed as Exhibit B for your reference.

5. Charge: A.R.S. § 32-1154(A)(12) - Failure to Comply with Chapter Legacy Contracting LLC maintains that it has consistently strived to comply with all provisions of Chapter 10 of the Arizona Revised Statutes. Any perceived shortcomings were addressed promptly and in good faith, with a firm commitment to rectifying any issues. Our dedication to compliance and adherence to regulatory requirements were thoroughly explained in our prior communication with Investigator Wiskow, enclosed as Exhibit A.

6. Charge: A.R.S. § 32-1154(A)(22) In response to Charge 6, Legacy Contracting LLC contests the allegation and provides comprehensive clarification regarding our efforts to comply with regulations. We have diligently pursued corrective actions following the receipt of the written directive from the Registrar. However, challenges arose that necessitated additional time for compliance. We respectfully request consideration of these extenuating circumstances and an extension to ensure thorough and accurate compliance. Our detailed explanation and request for extension were provided in our previous correspondence to Investigator Wiskow and are enclosed as Exhibit A.

III. Further Explanation Regarding Demand Letters:

In addition to the information provided in our previous responses, I would like to highlight that Legacy Contracting LLC sent two demand letters to Mr. Kyle McGauley in an effort to resolve the contractual issues amicably. These demand letters, as detailed in Exhibit C, outlined the options available to Mr. McGauley and reiterated our commitment to compliance with all contractual obligations and statutory requirements.

IV. Conclusion:

In conclusion, Legacy Contracting LLC reiterates its commitment to transparency, integrity, and compliance with all regulatory requirements. We have provided exhaustive responses to each allegation outlined in the Citation and Complaint, as evidenced by our previous correspondence with Investigator Wiskow. We stand ready to engage in any further proceedings, including an administrative hearing, to address these matters comprehensively and fairly.

Thank you for your attention to this matter. Should you require any further information or clarification, please do not hesitate to contact me directly at (480) 490-7872 or [email redacted].

Sincerely,

Daylyn Eagleshield CEO/President Legacy Contracting LLC

ADDITIONAL INFORMATION: COPYRIGHT © 2024 LEGACY CONTRACTING LLC ALL RIGHTS RESERVED. FOR INQUIRIES, PLEASE CONTACT US AT: (602) 320-8759 [email redacted] Received 3/30/2024 EXHIBIT A - CITATION RESPONSE ROC Legal Received 3/30/2024 ROC Legal

EXHIBIT A - CITATION RESPONSE Received 3/30/2024 ROC Legal EXHIBIT A - CITATION RESPONSE Received 3/30/2024 ROC Legal

EXHIBIT B - CITATION RESPONSE Received 3/30/2024 ROC Legal

EXHIBIT B - CITATION RESPONSE EXHIBIT B - CITATION RESPONSE Received 3/30/2024 ROC Legal

DAYLYN EAGLESHIELD CEO/PRESIDENT LEGACY CONTRACTING LLC 12211 WEST BELL ROAD, SUITE 204 SURPRISE, ARIZONA 85378 [email redacted] (602) 320-2963

FEBRUARY 27, 2024

KYLE MCGAULEY 17222 NORTH FAIRWAY COURT GLENDALE, ARIZONA 85308 [email redacted] (602) 614-5818

Demand for Completion of Contractual Obligations and Resolution of Outstanding Matters

Dear Mr. McGauley,

I hope this letter finds you well. I am writing to address the unresolved issues surrounding our contractual agreement and the commencement of work on your project. As per our discussions and agreements, on October 11, 2023, you issued a deposit payment in the amount of $6,970.50 (Check #23440), and subsequently signed Quote #1904 on October 20, 2023. These actions constituted a binding commitment to proceed with the outlined project in accordance with the terms and conditions stipulated within our company's standard contract. However, despite multiple attempts to finalize the contract and commence work, you have expressed reluctance to sign the required documentation necessary for compliance with the regulatory requirements of the Arizona Registrar of Contractors (ROC), and other relevant statutes. Your email communication dated December 13, 2023, explicitly stated your refusal to proceed with the project under the existing contractual framework. Nonetheless, in a gesture of good faith and a desire to facilitate progress, we proceeded with certain aspects of the project, incurring substantial expenses. Notably, we engaged labor to dismantle the existing

Received 3/30/2024 EXHIBIT B - CITATION RESPONSE ROC Legal

wall and fence, undertook excavation for the footing, installed rebar, and procured specialized equipment such as a concrete truck and pump for the concrete work.

Furthermore, your request for a change order cannot be accommodated without a formalized contract in place. Despite our offer to amend the contract and engage in negotiations to address any concerns you may have, you have failed to engage in this process. Your subsequent threats of legal action and complaints to the Arizona Registrar of Contractors (ROC) have only served to exacerbate the situation. We wish to remind you that we are fully committed to resolving this matter amicably and in compliance with all applicable regulations.

In light of the impending ROC meeting scheduled for today, February 27, 2024, at 12:00 PM, we hereby demand the following courses of action: 1. Promptly sign and execute the attached contract, thereby reaffirming your commitment to the project and enabling us to proceed with the remaining work. 2. Alternatively, provide an amended contract reflecting any desired modifications, which we are willing to negotiate in good faith. 3. In the event that you choose not to proceed with the project under the existing terms, you agree to paying for the cost of all materials including concrete and concrete pump on site, you also agree to all labor provided, as well as office administration work, all with a reasonable margin added to the total. Any remaining funds shall be reimbursed to you promptly. If there is a negative reimbursement, this will be met with an invoice promptly. Please be advised that your current actions may be in violation of the following Arizona statutes:

ARS § 32-1154: Failure to enter into a written contract as required by law. ARS § 32-1157: Failure to provide a written change order for additional work requested by the homeowner. ARS § 32-1161: Failure to comply with the requirements of the Arizona Registrar of Contractors. Furthermore, your actions constitute a breach of contract: Your refusal to sign the change order constitutes a breach of our contract. The contract explicitly outlines the scope of work, including any modifications or alterations. We kindly request that you promptly review and sign the necessary change order to ensure alignment with the project’s evolving requirements. Written Change Order Requirements: Arizona law emphasizes the importance of written change orders in construction projects. To protect both parties’ interests, we must follow the established procedure for any deviations from the original contract. Cardinal Change Doctrine: Insisting on completing work without proper documentation may trigger the cardinal change doctrine. Significant deviations from the original agreement could have legal implications. Let us work together to ensure transparency and clarity throughout the project.

Received

EXHIBIT B - CITATION RESPONSE 3/30/2024 ROC Legal

Timely Notice and Good Faith: Written change orders provide timely notice to adjust project scope, budget, and timeline. We value open communication and expect all changes to be documented promptly. Your cooperation in this matter is crucial to maintaining a positive working relationship.

Rights After Suspension of License (ARS § 32-1161): If your license was suspended due to any of the grounds specified in ARS § 32-1154, you have the right to seek renewal. The registrar will renew your license upon proof of compliance with provisions related to license renewal or upon proper showing that all loss caused by the act or omission (for which the license was suspended) has been fully satisfied. Legal Remedies and Consequences: Failure to comply with contractual obligations and legal requirements may result in legal action. We hope to resolve this matter amicably, but we are prepared to pursue appropriate remedies if necessary. This demand letter, along with the accompanying exhibits and documentation, will be served in person by our employee, Tucson Freeman, at the aforementioned ROC meeting. We intend for this correspondence to serve as a formal legal notice of our intentions and to ensure full compliance with all regulatory requirements.

We remain eager to fulfill our contractual obligations and bring this matter to a satisfactory resolution. Should you have any questions or require further clarification, please do not hesitate to contact me directly.

Thank you for your attention to this matter.

Sincerely, Daylyn Eagleshield

CEO/President [email redacted] (602) 320-2963

Received EXHIBIT B - CITATION RESPONSE 3/30/2024 ROC Legal

DAYLYN EAGLESHIELD CEO/PRESIDENT LEGACY CONTRACTING LLC 12211 WEST BELL ROAD, SUITE 204 SURPRISE, ARIZONA 85378 (602) 320-2963 [email redacted]

MARCH 7, 2024

MIKE WISKOW INVESTIGATOR 1700 WEST WASHINGTON STREET, SUITE 105 PHOENIX, ARIZONA 85007

Dear Mr. Wiskow,

I am writing in response to your 20240228 C013b Warning Letter dated February 28, 2024, regarding Complaint No. 2024-00820 and License No. ROC 333553. We appreciate your diligence in investigating the matter, but we must respectfully dispute the assertions made in your letter.

First and foremost, we want to clarify that all individuals present on the jobsite in question are bona fide employees of Legacy Contracting LLC. We have not engaged in any business activities with unlicensed entities, nor have we allowed any unauthorized use of our license. The suggestion that we are in violation of A.R.S. §§ 32-1154(A)(9) and (13) is unfounded and without merit.

Your letter implies that we provided assurances regarding payroll documentation for individuals from South Dakota yet failed to deliver such documentation. However, we must emphasize that no such assurances were made from any member/owner, as there were no unlicensed individuals from South Dakota or elsewhere involved in our operations. Therefore, the absence of documentation cannot be construed as evidence of wrongdoing on our part. Received 3/30/2024 EXHIBIT B - CITATION RESPONSE ROC Legal

We are deeply concerned about the implications of your letter and request further clarification on the basis of these allegations against Legacy Contracting LLC. If there has been any misunderstanding or misinformation, we urge you to provide us with the opportunity to address it promptly.

Additionally, we will be including Michael's warning letter "20240228 C013b WARNING LETTER" as "EXHIBIT A" for your reference.

Furthermore, if we do not receive a response or further clarification regarding Complaint No. 2024-00820 C013b Warning Letter within 10 business days, we will then consider this matter closed.

Furthermore, we will be mailing a certified copy of this statement to your address listed, as well as to Mr. Kyle McGauley's address. Additionally, this statement will be emailed to both yourself and Mr. Kyle McGauley.

Until such time as these matters are resolved satisfactorily, we expect any references to potential violations by our company to be retracted or amended accordingly. We take pride in our commitment to compliance with all relevant regulations and laws governing our industry and will vigorously defend our reputation against any unjust accusations.

Please do not hesitate to contact us if you require any additional information or clarification on this matter. We look forward to your prompt response and resolution of this issue.

Sincerely,

Daylyn Eagleshield CEO/President Legacy Contracting LLC Received 3/30/2024 ROC Legal EXHIBIT B - CITATION RESPONSE

DAYLYN EAGLESHIELD LEGACY CONTRACTING LLC 12211 WEST BELL ROAD, SUITE 204 SURPRISE, ARIZONA 85378 (602) 320-2963 [email redacted]

MARCH 7, 2024

MIKE WISKOW INVESTIGATOR 1700 WEST WASHINGTON STREET, SUITE 105 PHOENIX, ARIZONA 85007

Dear Mr. Wiskow,

I am writing in response to your 20240228 C013b Warning Letter dated February 28, 2024, regarding Complaint No. 2024-00820 and License No. ROC 333553. While we appreciate the diligence of the Registrar in investigating the matter, we respectfully contest the allegations outlined in your letter.

Regarding the issue of building permits for the project located at 17222 N Fairway Ct., Glendale, AZ 85308, we wish to clarify that the necessary permits are indeed being pursued. Contrary to the assertion in your letter, we have taken proactive steps to address this matter. On February 29th, 2024, a completed permit was obtained, signed, dated, and stamped, which we will provide as "EXHIBIT B" for your reference.

Furthermore, we have provided evidence of our efforts to communicate with Mr. Kyle McGauley regarding the project, including the delivery of contractual documents, as witnessed by yourself on February 28, 2024. This documentation was sent via USPS-certified mail and hand-delivered to Mr. McGauley's property in accordance with Arizona law. We believe these actions demonstrate our commitment to compliance and transparency in our dealings.

We understand the seriousness of compliance with building codes and regulations and assure you that we have been diligently working to meet all requirements. However, we have refrained from procuring the permit until Mr. McGauley responds to the options outlined in our letter, which we believe are fair and in the best interest of the customer.

In light of the evidence provided and our ongoing efforts to address the matter, we respectfully request that you consider dropping the warning letter if no further factual data or accusations are forthcoming. We believe that our compliance efforts and the completion of the permit demonstrate our commitment to resolving this issue in good faith. Received 3/30/2024 EXHIBIT B - CITATION RESPONSE ROC Legal

Please find attached "EXHIBIT A" containing your warning letter and "EXHIBIT B" containing the completed permit for your review. We will also mail a certified copy of this statement to your address listed as well as to Mr. Kyle McGauley's address. Additionally, this statement will be emailed to yourself and Mr. Kyle McGauley.

If we do not hear back regarding Complaint No. 2024-00820 C013c Warning Letter after 10 business days, we will then consider this matter closed.

We look forward to your understanding and cooperation in resolving this matter amicably.

Please do not hesitate to contact us if you require any further clarification or information on this matter. We look forward to resolving this issue promptly and maintaining our commitment to quality and compliance.

Sincerely,

Daylyn Eagleshield CEO/President Legacy Contracting LLC Received 3/30/2024 EXHIBIT B - CITATION RESPONSE ROC Legal

DAYLYN EAGLESHIELD CEO/PRESIDENT LEGACYCONTRACTING LLC 12211 WEST BELL ROAD, SUITE 204 SURPRISE, ARIZONA 85378 (602) 320-2963 [email redacted]

MARCH 7, 2024

MIKE WISKOW INVESTIGATOR 1700 WEST WASHINGTON STREET, SUITE 105 PHOENIX, ARIZONA 85007

Dear Mr. Wiskow,

I am writing in response to the 20240228 C013f Warning Letter dated February 28, 2024, concerning Complaint No. 2024-00820 and License No. ROC 333553. While I appreciate your thoroughness in investigating the matter, I must respectfully contest the assertions outlined in your letter.

Firstly, regarding the alleged violation of A.R.S. § 32-1158(A), I wish to clarify that our contract with the property owner indeed includes all nine required elements as stipulated by the statute. This information was verbally communicated to you during our in-person conversation, in the presence of Mr. Kyle McCauley, and witnessed by all parties involved. We have provided evidence of this compliance through various means:

A. The original contract was sent to the customer, Mr. Kyle McGauley, on December 13, 2023, which is labeled as "EXHIBIT A." Despite our efforts, Mr. McGauley declined the contract on December 20, 2023.

B. Furthermore, on February 28, 2024, we hand-delivered the contract along with a demand letter to Mr. McGauley. This delivery was witnessed by yourself, Mr. Michael Wiskow, where Tucson Freeman, our representative, verbally stated the contents of the enclosed envelope. We will provide this as "EXHIBIT B." Received 3/30/2024

EXHIBIT B - CITATION RESPONSE ROC Legal

C. During the delivery, Mr. McGauley's father intervened aggressively, threatening to discard the documents. However, the documents were retrieved, and we proceeded to mail them via certified mail, which we will demonstrate as "EXHIBIT C."

D. Additionally, a second demand letter was issued to Mr. McGauley, offering three options for his consideration, along with the original contract, which will be labeled as "EXHIBIT E."

Furthermore, we assert that the original contract sent to Mr. McGauley, labeled as "EXHIBIT D," is fully compliant with the requirements of A.R.S. § 32-1158(A) and all relevant AZROC standards, codes, and statutes.

Given the provided evidence, we respectfully demand that all allegations outlined in your warning letter be retracted and considered closed. Should you require further clarification or documentation, we stand ready to provide it promptly.

Furthermore, if we do not receive a response or further clarification regarding Complaint No. 2024-00820 C013b Warning Letter within 10 business days, we will then consider this matter closed.

Please note that a copy of this response will be emailed to all parties involved, in addition to being sent via certified mail through USPS.

Thank you for your attention to this matter. We look forward to a swift resolution.

Sincerely,

Daylyn Eagleshield CEO/President Legacy Contracting LLC Received 4/1/24, 8:22 AM State of Arizona Mail - Written Answer to Citation and Complaint Case No. 2024-00820 3/30/2024 ROC Legal

Answers - AZROC <[email redacted]>

Written Answer to Citation and Complaint Case No. 2024-00820 message

Daylyn Eagleshield <[email redacted]> Sat, Mar 30, 2024 at 8:16 PM To: "[email redacted]" <[email redacted]>

Hello,

Please see my attached response for this written response to case No. 2024-00820.

Sincerely,

Daylyn Eagleshield Legacy Contracting LLC | CEO

M: (602) 320-2963 O: (602) 320-8759 12211 W Bell Rd, Suite 204 Surprise, AZ 87358 Book time to meet with me

Strictly Confidential and Non-Disclosure Notice (Admissible for Sender's Use in Court) The information contained in and transmitted with this communication is strictly confidential and proprietary to Legacy Contracting LLC ROC#333553 and its affiliates and subsidiaries ("Legacy Contracting"). It is intended solely for the use of the individual or entity to whom it is addressed and may contain legally privileged and confidential information, including trade secrets, proprietary information, and client or vendor data. Any unauthorized use, disclosure, or distribution of this communication, including any attachments, is strictly prohibited and may result in legal action. Recipients are hereby notified that they are strictly prohibited from disclosing, copying, distributing, or taking any action based on the contents of this communication. If you are not the intended recipient, or if you have received this communication in error, please notify the sender immediately by replying to this email and permanently delete the original message and any copies from your system. The views or opinions presented in this communication are solely those of the author and do not necessarily represent those of Legacy Contracting. This communication is not intended to create, and receipt of it does not constitute, a binding contractual relationship between Legacy Contracting and the recipient. However, any communication or response from the recipient may constitute a binding contractual relationship between Legacy Contracting and the recipient. Legal Disclaimer: This notice is provided in accordance with the laws of the State of Arizona. It serves as a formal notification of confidentiality and non-disclosure. This notice and its contents are admissible for the sender's use in court proceedings or disputes, but any attempt by the recipient to use this notice or its contents in a legal context will be deemed null and void.

Written Answer to Citation and Complaint Case No. 2024-00820 (ROC).pdf 3646K

https://mail.google.com/mail/b/AEoRXRSzMJIm0GmQIPZE_iibWpGG8KuXEDLSqrUj1lZ4Crbx_F0_/u/0/?ik=581c53cf5c&view=pt&search=all&permth… 1/1 Inspection Date:

Back Yard Inspection Date:

Fence not completed

Footing Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: Inspection Date: 3/12/24, 11:56 AM State of Arizona Mail - Directive Extension

Michael Wiskow <[email redacted]>

Directive Extension messages

Michael Wiskow <[email redacted]> Tue, Mar 12, 2024 at 9:49 AM To: Daylyn Eagleshield <[email redacted]>, Kyle McGauley <[email redacted]>

Good Morning, The respondent recently asked for a directive extension. The Registrar has denied that request. The directive is due at close of business tomorrow, 3/13/24.

Thank You

-- Mike Wiskow Investigator #217 AZ State Registrar of Contractors 602.771.6750

Daylyn Eagleshield <[email redacted]> Tue, Mar 12, 2024 at 10:47 AM To: Michael Wiskow <[email redacted]>

Michael,

May we ask why? On all things you blame or ask of us, we have an answer, but you deny or ignore it. Why is that?

Daylyn Eagleshield CEO | Legacy Contracting LLC | ROC# 333553 M: (602) 320-2963 O: (602) 320-8759

From: Michael Wiskow <[email redacted]> Sent: Tuesday, March 12, 2024 9:49 AM To: Daylyn Eagleshield <[email redacted]>; Kyle McGauley <[email redacted]> Subject: Directive Extension

https://mail.google.com/mail/u/0/?ik=e45caa793b&view=pt&search=all&permthid=thread-a:r3237574071346364312&simpl=msg-a:r-[number redacted]… 1/2 3/12/24, 11:56 AM State of Arizona Mail - Directive Extension [Quoted text hidden]

Michael Wiskow <[email redacted]> Tue, Mar 12, 2024 at 11:56 AM To: Daylyn Eagleshield <[email redacted]>, Kyle McGauley <[email redacted]>

Good Morning, "Michael,

May we ask why? On all things you blame or ask of us, we have an answer, but you deny or ignore it. Why is that?"

In response to the email sent: Per Statute, the Registrar must allow at least 15 days to satisfy a directive. This has been done. In the interest of the complainant, who filed the complaint, they need to be allowed to participate in a timely complaint process in the event a contractor does not complete a directive in a timely manner.

The Registrar denies the claim that we have ignored you.

Thank You

[Quoted text hidden]

https://mail.google.com/mail/u/0/?ik=e45caa793b&view=pt&search=all&permthid=thread-a:r3237574071346364312&simpl=msg-a:r-[number redacted]… 2/2 2/12/24, 1:31 PM State of Arizona Mail - JSI Rescheduled

Michael Wiskow <[email redacted]>

JSI Rescheduled message

Michael Wiskow <[email redacted]> Mon, Feb 12, 2024 at 1:31 PM To: Daylyn Eagleshield <[email redacted]> Cc: [email redacted]

The JSI has been moved again . The new date and time is 2/27/24 at noon.

Thank You

-- Mike Wiskow Investigator #217 AZ State Registrar of Contractors 602.771.6750

https://mail.google.com/mail/u/0/?ik=e45caa793b&view=pt&search=all&permthid=thread-a:r-[number redacted]&simpl=msg-a:r80815442289023… 1/1 Mediation Notice

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

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

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

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

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

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

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

_____________________________________ _______________________ Respondent (or representative) Date

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

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

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

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

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

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

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

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

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

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

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

Exhibit Exhibit Name

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

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

Print Name Signature Date

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