2024A-01236-NPC-ROC Notice of Hearing and Packet MAILED

2024A-01236-NPC-ROC · Registrar of Contractors · 2024-04-26

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

4RB SERVICES LLC, Case No. 2024-01236 DBA: A-AMERICAN SEPTIC, Docket No. 2024A-01236-NPC-ROC COMPLAINANT, NOTICE OF HEARING ON v. CONTESTED CASE

SSE Construction LLC License No. ROC 336591,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

May 30, 2024 9:00 AM Amy Haley 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 21, 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 April 18, 2024.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail April 18, 2024 to: Respondent(s) SSE Construction LLC 4246 S 37th St Phoenix, AZ 85040

SSE Construction LLC 2929 N 44th St Ste 230 Phoenix, AZ 85018

Seth McGinnity, Esq. 6501 E Greenway Pkwy #103-466 Scottsdale, AZ 85254 Complainant(s) 4RB SERVICES LLC DBA: A-AMERICAN SEPTIC, 2239 W Shangri La Rd Phoenix, AZ 85029 Copy sent electronically this same date to:

Respondent at email address on record with the Registrar Respondent’s Attorney at email address of record with Registrar Complainant at email address on record with the Registrar

Case No. 2024-01236 /

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

February 5, 2024

Via U.S. Mail and Email

Complainant 4RB SERVICES LLC DBA: A-AMERICAN SEPTIC 2239 W Shangri La Rd Phoenix, AZ 85029

4RB SERVICES LLC DBA: A-AMERICAN SEPTIC 2245 W Shangri La Rd Phoenix, AZ 85029

Via U.S. Mail and Email

Respondent SSE Construction LLC 4246 S 37th St Phoenix, AZ 85040

SSE Construction LLC 2929 N 44th St Ste 230 Phoenix, AZ 85018

Re: Complaint No. 2024-01236

Dear Complainant and Respondent:

The Registrar received a complaint filed against SSE Construction 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. A description of the work to be performed under the contract (including any addenda or change orders); V. The date the work was to be completed;

1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100a 11/23 VI. The agreed upon payment schedule; and VII. An explanation of who was to receive payment

Please provide all requested information by February 15, 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]

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 02/08/2024 ROC LEGAL Katelyn Rolling <[email redacted]>

ROC Notice of Incomplete No-Pay Complaint 2024-01236 - DO NOT REPLY messages

Katelyn Rolling <[email redacted]> Mon, Feb 5, 2024 at 10:45 AM Bcc: [email redacted], Vince De Sotomayor <[email redacted]>, [email redacted]

Hello,

Attached, please find an electronic courtesy copy of the Notice of Incomplete No-Pay Complaint issued in Complaint No. 2024-01236. 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

20240205 Notice of Incomplete No-Pay Complaint MAILED 2024-01236.pdf 184K

Vince De Sotomayor <[email redacted]> Thu, Feb 8, 2024 at 8:51 AM To: Katelyn Rolling <[email redacted]>, [email redacted]

Hi Katelyn, My apologies for the delay, it's been hectic here. Please find attached the signed contract. [Quoted text hidden]

7014.pdf 168K RECEIVED 02/08/2024 ROC LEGAL

CUSTOMER NAME: JEFF BLANCHARD ESTIMATE #: 080923-7014 STREET ADDRESS: 7014 E. PALO VERDE LANE DATE: 08/09/2023 CITY, STATE & ZIP: PARADISE VALLEY, AZ 85253 G.C. ROC #: 480.955.4744 [email redacted] ESTIMATE VALID FOR 30 DAYS PHONE #: E-MAIL: FROM ABOVE DATE OR DEPOSIT

DESCRIPTION OF WORK: SEPTIC REPLACEMENT FOR ABOVE PROPERTY PENDING DESIGN AND APPROVAL

INCLUDES THE FOLLOWING: 2,000 GALLON SEPTIC TANK

TWO 4' X 35' SEEPAGE PITS

AGGREGATE, PERFORATED PIPE & D-BOX FOR SEEPAGE PITS

TWO SEPTIC SYSTEM ABANDONMENTS (SLURRY FOR SOUTH SYSTEM)

HORIZONTAL PIPE AND FITTINGS AS REQUIRED / STANDARD LABOR AND EQUIPMENT

MARICOPA COUNTY NEW SEPTIC PERMIT AND INSPECTION AND ADEQ SOILS TESTING

TRENCHING FROM SOUTH SEPTIC TO NEW SYSTEM EXCLUDED (OPTIONAL $1,892) EXCLUDES POOL EQUIPMENT REPAIR AND SURFACE REMOVAL OR RESTORATION

TOTAL PRICE $ 26,550.80 DEPOSIT (Non-Refundable) $ 7,965.24 DUE AT START OF WORK $ 7,965.24 THE SCOPE OF WORK EXCLUDES THE FOLLOWING: • LANDSCAPING. DUE UPON COMPLETION $ 10,620.31 We recommend hiring a landscaper to complete restoration of your property. We are not responsible for any damages to your landscaping caused during the repairs or installation of your septic system. We only fill the area of work to surrounding grade, this does not mean we do “finish” grade work. Improved surfaces such as pavers, curbing, concrete & gravel driveways will require restoration by others. • DAMAGED UTILITIES. Any utilites not marked by 811, damaged during work on your septic system will not be the responsibility of A-American Septic. This includes any irrigation lines, sprinkler lines, water lines, gas lines, electrical or communications lines. In the event of damage to any utility our recommendation will be to contact an appropriate licensed third party for repairs. • HARD DIG. Excavation through any cemented soils “Caliche” or rock like soil is billed in addition to the contract total via a change order. • SPECIFIC TIME FRAMES. We do our best to ensure your project is moving forward. Unfortunately, when using thLUG party engineering firms and variable plan review timeframes and weather, it’s not possible for us to accurately predict when permits will be approved, reviewed, revisons completed or permit numbers issued. NOTE: PLAN REVISIONS MAY IMPACT PRICING. • MATERIAL HAUL-AWAY & DISPOSAL. Unless included in the scope of work above, we do not haul away material left over from our work. We will stage soil on-site within 25’ of the area we are working, transporting material away from the area of work will incur an additional labor cost. Hauling material off-site will incur an additional labor and transport cost. Our rate for hauling away clean dirt is $350 per 13 ton load. • PERMITTING / SOILS TESTING. Unless included above, permitting is the responsibility of the property owner. Approved permits may vary from the original scope of work. When necessary a revised estimate will be provided to the customer, prior to starting work or ordering materials. When adequate soils data is not available for a specific property, new soils testing may be required for permitting. In the event that soils testing was not included in the scope of work and is required the standard price for performing those tests is $3,200. 200. Owner must provide pr water to pass inspection and for dust control.

Jeff Blanchard Accepted By: Signature: Date: 08/11/23 BY SIGNING YOU ARE AGREEING THAT YOU HAVE READ AND UNDERSTAND THE SCOPE & EXCLUSIONS ABOVE. A DO NOT HESITATE TO CONTACT US FOR CLARIFICATION.

SELECT ONE: ■ HOMEOWNER CONTRACTOR CONTRACTOR ROC # &5(',7&$5'3

lt;0(176$5(68%-(&772$352&(66,1*)((

OFFICE : 602-462-5858 4RB SERVICES LLC [email redacted] DBA:A-AMERICAN LLC ROC LICENSE #333848 & 333849 1737 E. JACKSON ST. PHOENIX, AZ 85034 February 12, 2024

Via U.S. Mail and Email

Complainant 4RB SERVICES LLC DBA: A-AMERICAN SEPTIC 2239 W Shangri La Rd Phoenix, AZ 85029

4RB SERVICES LLC DBA: A-AMERICAN SEPTIC 2245 W Shangri La Rd Phoenix, AZ 85029

Via U.S. Mail and Email

Respondent SSE Construction LLC 4246 S 37th St Phoenix, AZ 85040

SSE Construction LLC 2929 N 44th St Ste 230 Phoenix, AZ 85018

Re: Complaint No. 2024-01236

Dear Complainant and Respondent:

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

Respondent is free to raise any issue or affirmative defense to this complaint by filing a response with the Registrar by February 19, 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 19, 2024 and will review Respondent’s response, if one is submitted.

1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 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 02/02/2024 ROC LEGAL Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 182 Phoenix, AZ 85005-824 Person Filing Complaint (Payee) Business Name Full Name (First Middle Last) ROC License Number(s) (if any) A -AMERICAN SEPTIC Vince de Sotomayor 333848 - 333849 Street Address City State Zip Code PHOENIX AZ 85029 2245 W SHANGRI LA RD Phone Number Email Address 480-607-7763 [email redacted]

I consent to receive communications electronically in connection with this case. Yes x No

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) SSE Construction LLC ROC 336591 Street Address City State Zip Code 2929 N 44th St, Suite 230, Phoenix, AZ, 85018 Phone Number Email Address (480) 955-4744 [email redacted] Name of Person(s) Representing License Jeffrey Lewis Blanchard

Complaint Information Principal Amount Due (excluding interest and fees) Contract Date (if applicable) $12,512.31 10/17/2023 Have you filed a civil complaint? Yes (If yes, provide a copy of the civil judgment) No x no List all specific invoices which have not been paid. Attach additional pages if necessary. 1. Septic sytem installation - Invoices attached 080923-7014-F

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 VINCE DE SOTOMAYOR Signature Date 02/02/2024 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. Printed Name Vince de Sotomayor Signature Date 02/02/2024 Received by Investigations 01/31/2024 2024-01236

Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 182 Phoenix, AZ 85005-824 Person Filing Complaint (Payee) Business Name Full Name (First Middle Last) ROC License Number(s) (if any) 4RB A -AMERICAN LLC Vince de Sotomayor 320581 Street Address City State Zip Code PHOENIX AZ 85029 2245 W SHANGRI LA RD Phone Number Email Address 480-607-7763 [email redacted]

I consent to receive communications electronically in connection with this case. Yes x No

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

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 VINCE DE SOTOMAYOR Signature Date 01/30/2024 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. Printed Name Signature Date 1/30/2024 Vince de Sotomayor Received by Investigations 01/31/2024 2024-01236 A-American Septic Service 2239 W Shangri La Phoenix, AZ 85029 US [email redacted]

INVOICE BILL TO INVOICE 080923-7014-F 7014 E PALO VERDE LN DATE 10/17/2023 7014 E PALO VERDE LN TERMS Due on receipt PARADISE VALLEY, AZ 85253 US DUE DATE 10/17/2023

DATE DESCRIPTION QTY RATE AMOUNT

08/14/2023 32 - Septic Construction Total $28442.80 1 12,512.31 12,512.31 Deposit $7965.24PAID SOC $7956.24PAID Final $12512.31XXXX

If not paid in the next 10 days, a lien on the property will be filed. BALANCE DUE $12,512.31

RECEIVED 02/08/2024 ROC LEGAL

DESCRIPTION OF WORK: SEPTIC REPLACEMENT FOR ABOVE PROPERTY PENDING DESIGN AND APPROVAL

INCLUDES THE FOLLOWING: 2,000 GALLON SEPTIC TANK

TWO 4' X 35' SEEPAGE PITS

AGGREGATE, PERFORATED PIPE & D-BOX FOR SEEPAGE PITS

TWO SEPTIC SYSTEM ABANDONMENTS (SLURRY FOR SOUTH SYSTEM)

HORIZONTAL PIPE AND FITTINGS AS REQUIRED / STANDARD LABOR AND EQUIPMENT

MARICOPA COUNTY NEW SEPTIC PERMIT AND INSPECTION AND ADEQ SOILS TESTING

TRENCHING FROM SOUTH SEPTIC TO NEW SYSTEM EXCLUDED (OPTIONAL $1,892) EXCLUDES POOL EQUIPMENT REPAIR AND SURFACE REMOVAL OR RESTORATION

Jeff Blanchard Accepted By: Signature: Date: 08/11/23 BY SIGNING YOU ARE AGREEING THAT YOU HAVE READ AND UNDERSTAND THE SCOPE & EXCLUSIONS ABOVE. A DO NOT HESITATE TO CONTACT US FOR CLARIFICATION.

SELECT ONE: ■ HOMEOWNER CONTRACTOR CONTRACTOR ROC # &5(',7&$5'3

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OFFICE : 602-462-5858 4RB SERVICES LLC [email redacted] DBA:A-AMERICAN LLC ROC LICENSE #333848 & 333849 1737 E. JACKSON ST. PHOENIX, AZ 85034 RECEIVED 02/29/2024 ROC LEGAL Legal New Mail - AZROC <[email redacted]>

Response to Complaint No. 2024-01236 message

[email redacted] <[email redacted]> Thu, Feb 29, 2024 at 10:01 PM To: [email redacted]

Ms. Rolling,

I represent SSE Construction, LLC (“SSE”). Attached, please find SSE’s Response to the above referenced complaint and supporting materials. I would be happy to speak with you should you have any questions.

Sincerely,

Seth P. McGinnity, Esq.

6720 N. Scottsdale Road, Ste. 305

Scottsdale, Arizona 85253

Telephone: 480.659.8818

Facsimile: 480.659.8223

attachments 240229_SSE Response.pdf 99K Invoice 9-11.pdf 59K Notice and Justification of Charges Due to Damages Caused by Septic Company - SSE Development.pdf 152K Palo Verde Gas Line Repair .pdf 373K Palo Verde Repairs.pdf 557K RECEIVED 02/29/2024 ROC LEGAL

February 29, 2024

SENT VIA EMAIL Arizona Registrar of Contractors Attn: Katelyn Rolling P.O. Box18243 Phoenix, Arizona 85005-8243 [email redacted]

RE: Response to Complaint N. 2024-01236 Dear Ms. Rolling, I represent SSE Construction, LLC (“SSE”) with regard to this matter. To that end, please accept this letter as SSE’s Response to Complaint No. 2024-01236. 4RB Services, LLC DBA A-American Septic (“American Septic”) failed to mark other utilities prior to excavation and as a result caused significant damages to the property located at 7014 E. Palo Verde Lane in Paradise Valley, Arizona. Attached, please find the letter from Menotti Construction Group dated February 26, 2024, which further details and attests to the damages caused by American Septic. Photos are also attached. Additionally, please find Menotti Construction Group’s invoice dated February 27, 2024, in the amount of $2,250.00 and Prestige Plumbing Company’s invoice dated November 27, 2023, in the amount of $2,950.00. These expenses were incurred repairing the damage caused by American Septic. Further, SSE had internal costs for addressing the damages caused by American Septic that amounted to $2,600.00. In short, American Septic caused significant damages for which the cost of repair was initially unknown and needed to receive invoices from third parties before issuing any payment. The last invoice was received on February 26, 2024. American Septic claims to be owed $12,512.31. SSE’s total damages amount to $7,800.00. After SSE’s setoff for damages, SSE issued a check payable to American Septic in the amount of $4,712.31. If you have any questions or would like to discuss, please contact me at your convenience.

Sincerely,

s/Seth McGinnity RECEIVED 02/29/2024 ROC LEGAL

Menotti Construction Group LLC 1530 E Williams Field Road, Suite 201 Gilbert, AZ 85295 ROC #342480

February 26, 2024

RE: Notice and Justification of Charges Due to Damages Caused by Septic Company 7014 E Palo Verde Lane, Scottsdale, AZ 85253

To Whom It May Concern:

We are writing to provide a detailed account and justification for the additional charges that have been applied to your project, specifically related to the property located at 7014 E Palo Verde Ln, Paradise Valley. These charges stem from unforeseen damage caused by the excavation activities conducted by the contracted septic company, which necessitated immediate and extensive repairs to both the gas line infrastructure and pool-related plumbing systems.

During the excavation for a new septic tank installation, significant damage was inflicted upon the existing underground utilities, including polyethylene gas pipes of varying diameters and critical components of the pool’s plumbing system. It was observed that the standard protocol for utility marking, commonly referred to as blue stake markings, was not adequately followed by the septic company prior to the commencement of their excavation work. This oversight led to the accidental severing of these essential services. The damage resulted in the gas line and pool plumbing systems being exposed and subsequently filled with water, mud, and debris due to adverse weather conditions, as the trenches were left open for an extended period. The complexity of the situation was further exacerbated by the need for multiple attempts to clear the lines using pressured air, a process that was both time-consuming and costly.

Prestige Plumbing Company, under the guidance of Mr. Raul Leyva, was commissioned to undertake the necessary repairs. Despite the challenging conditions, they successfully restored both the gas line service and pool plumbing functionality. However, the nature of these repairs led to significant additional costs due to the extensive labor and materials required. The additional charges levied on your project account for the direct costs associated with the emergency repair work. These were essential actions taken to ensure the safety of the property and its future occupants, as well as to mitigate further damage and potential delays to the project timeline.

Menotti Construction Group LLC is committed to the successful and timely completion of your project. We understand the inconvenience and potential financial impact these unforeseen charges may cause. Therefore, we are prepared to assist SSE Development in seeking reimbursement from the septic company responsible for the damages through legal back charge procedures. We appreciate your understanding and cooperation in this matter. Please find attached detailed documentation of the repairs conducted, including itemized costs and photographic evidence of the damage and repair process. We are at your disposal for any further information or clarification you may require.

Sincerely,

Steven Menotti, Owner Menotti Construction Group LLC RECEIVED 02/29/2024 ROC LEGAL

Damages Caused by American Septic at 7014 E. Palo Verde Lane in Paradise Valley, AZ

Damage to T Connection.

Above- Damaged gas line. American Septic tore the connection at the T connection, which allowed dirty water to get into the gas line. The connection had to be replaced and the contractor found dirt in the line, which had to be thoroughly cleaned before making the repair.

RECEIVED 02/29/2024 ROC LEGAL

American Septic failed to compact dirt – pavers had to be removed, soil compacted and reset.

RECEIVED 02/29/2024 ROC LEGAL

RECEIVED 02/29/2024 ROC LEGAL Invoice 9-11 Invoice Date February 27, 2024 Payment Due March 28, 2024

PREPARED BY PREPARED FOR Steven Menotti Sukari Ulis Menotti Construction Group LLC (ROC #342480) SSE Development LLC (480) 226-5479 (480) 226-5160 [email redacted] [email redacted] 1530 E Williams Field Rd Suite 201, Gilbert, AZ 85295, USA 7014 E Palo Verde Ln, Scottsdale, AZ 85253, USA

INVOICE DETAILS 7014 E Palo Verde Ln, Scottsdale, AZ 85253, USA

DESCRIPTION TOTAL

Plumbing Repairs/Prep Work $2,250.00 Plumbing labor dedicated to repairing broken pool lines and investigating and cleaning out of existing gas line prior to Prestige installing new line additions.

TOTAL $2,250.00

PAYMENTS STARTING FROM $48/month on Learn More

This invoice is allocated to the investigation and repair work that was needed after the septic contractor was completed with their scope of work on site. RECEIVED 02/29/2024 ROC LEGAL REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

4RB SERVICES LLC, Case No. 2024-01236 DBA: A-AMERICAN SEPTIC,

COMPLAINANT, v. SSE Construction LLC, CITATION License No. ROC 336591, RESPONDENT.

The Registrar issues this Citation to SSE Construction LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by April 5, 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 31, 2024, 4RB SERVICES LLC DBA: A-AMERICAN SEPTIC (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged with violating: Charge :1 A.R.S. § 32-1154(A)(10) Failure by a licensee or agent or official of a licensee to pay monies in excess of

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 $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. 2024-01236. 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 April 5, 2024.

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 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 written document, created or expressed solely for the purpose of settlement negotiations, are

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 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 March 21, 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, March 21, 20224 to: Respondent Certified Mail No: [number redacted] SSE Construction LLC 4246 S 37th St Phoenix, AZ 85040

///

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Copy mailed by USPS First Class Mail this same date to: Respondent SSE Construction LLC 4246 S 37th St Phoenix, AZ 85040 SSE Construction LLC 2929 N 44th St Ste 230 Phoenix, AZ 85018

Complainant 4RB SERVICES LLC DBA: A-AMERICAN SEPTIC 2239 W Shangri La Rd Phoenix, AZ 85029 4RB SERVICES LLC DBA: A-AMERICAN SEPTIC 2245 W Shangri La Rd Phoenix, AZ 85029 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. 2024-01236 / KR

of 5 1700 W. Washington Street, Suite 105 · Phoenix, AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 RECEIVED 02/02/2024 ROC LEGAL Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 182 Phoenix, AZ 85005-824 Person Filing Complaint (Payee) Business Name Full Name (First Middle Last) ROC License Number(s) (if any) A -AMERICAN SEPTIC Vince de Sotomayor 333848 - 333849 Street Address City State Zip Code PHOENIX AZ 85029 2245 W SHANGRI LA RD Phone Number Email Address 480-607-7763 [email redacted]

I consent to receive communications electronically in connection with this case. Yes x No

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

I consent to receive communications electronically in connection with this case. Yes x No

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

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 VINCE DE SOTOMAYOR Signature Date 01/30/2024 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. Printed Name Signature Date 1/30/2024 Vince de Sotomayor Received by Investigations 01/31/2024 2024-01236 A-American Septic Service 2239 W Shangri La Phoenix, AZ 85029 US [email redacted]

INVOICE BILL TO INVOICE 080923-7014-F 7014 E PALO VERDE LN DATE 10/17/2023 7014 E PALO VERDE LN TERMS Due on receipt PARADISE VALLEY, AZ 85253 US DUE DATE 10/17/2023

DATE DESCRIPTION QTY RATE AMOUNT

08/14/2023 32 - Septic Construction Total $28442.80 1 12,512.31 12,512.31 Deposit $7965.24PAID SOC $7956.24PAID Final $12512.31XXXX

If not paid in the next 10 days, a lien on the property will be filed. BALANCE DUE $12,512.31

RECEIVED 02/08/2024 ROC LEGAL

DESCRIPTION OF WORK: SEPTIC REPLACEMENT FOR ABOVE PROPERTY PENDING DESIGN AND APPROVAL

INCLUDES THE FOLLOWING: 2,000 GALLON SEPTIC TANK

TWO 4' X 35' SEEPAGE PITS

AGGREGATE, PERFORATED PIPE & D-BOX FOR SEEPAGE PITS

TWO SEPTIC SYSTEM ABANDONMENTS (SLURRY FOR SOUTH SYSTEM)

HORIZONTAL PIPE AND FITTINGS AS REQUIRED / STANDARD LABOR AND EQUIPMENT

MARICOPA COUNTY NEW SEPTIC PERMIT AND INSPECTION AND ADEQ SOILS TESTING

TRENCHING FROM SOUTH SEPTIC TO NEW SYSTEM EXCLUDED (OPTIONAL $1,892) EXCLUDES POOL EQUIPMENT REPAIR AND SURFACE REMOVAL OR RESTORATION

Jeff Blanchard Accepted By: Signature: Date: 08/11/23 BY SIGNING YOU ARE AGREEING THAT YOU HAVE READ AND UNDERSTAND THE SCOPE & EXCLUSIONS ABOVE. A DO NOT HESITATE TO CONTACT US FOR CLARIFICATION.

SELECT ONE: ■ HOMEOWNER CONTRACTOR CONTRACTOR ROC # &5(',7&$5'3

lt;0(176$5(68%-(&772$352&(66,1*)((

OFFICE : 602-462-5858 4RB SERVICES LLC [email redacted] DBA:A-AMERICAN LLC ROC LICENSE #333848 & 333849 1737 E. JACKSON ST. PHOENIX, AZ 85034 Received 4/03/2024 ROC Legal Received 4/03/2024 ROC Legal Received 4/03/2024 ROC Legal Received 4/03/2024 ROC Legal

Invoice 9-11 Invoice Date February 27, 2024 Payment Due March 28, 2024

INVOICE DETAILS 7014 E Palo Verde Ln, Scottsdale, AZ 85253, USA

DESCRIPTION TOTAL

Plumbing Repairs/Prep Work $2,250.00 Plumbing labor dedicated to repairing broken pool lines and investigating and cleaning out of existing gas line prior to Prestige installing new line additions.

TOTAL $2,250.00

PAYMENTS STARTING FROM $48/month on Learn More

This invoice is allocated to the investigation and repair work that was needed after the septic contractor was completed with their scope of work on site. Received 4/03/2024 ROC Legal

Menotti Construction Group LLC 1530 E Williams Field Road, Suite 201 Gilbert, AZ 85295 ROC #342480

February 26, 2024

RE: Notice and Justification of Charges Due to Damages Caused by Septic Company 7014 E Palo Verde Lane, Scottsdale, AZ 85253

To Whom It May Concern:

Sincerely,

Steven Menotti, Owner Menotti Construction Group LLC Received 4/03/2024 ROC Legal Received 4/03/2024 ROC Legal

Damages Caused by American Septic at 7014 E. Palo Verde Lane in Paradise Valley, AZ

Damage to T Connection.

Received 4/03/2024 ROC Legal

American Septic failed to compact dirt – pavers had to be removed, soil compacted and reset.

Received 4/03/2024 ROC Legal

Received 4/4/24, 8:37 AM State of Arizona Mail - SSE Construction, LLC's Answer to Citation and Complaint, Case No. 2024-01236 4/03/2024 ROC Legal

Answers - AZROC <[email redacted]>

SSE Construction, LLC's Answer to Citation and Complaint, Case No. 2024-01236 message

[email redacted] <[email redacted]> Wed, Apr 3, 2024 at 3:58 PM To: [email redacted]

Hello,

Attached, please find SSE Construction, LLC’s Answer to Citation and Complaint, Case No. 2024-01236 and attachments.

Sincerely,

Seth P. McGinnity, Esq.

McGinnity Law, PLC

6501 E. Greenway Pkwy

#103-466

Scottsdale, AZ 85254

Telephone: 480.659.8818

Facsimile: 480.659.8223

attachments

A-American Payment check.jpg 499K

240403_Answer to Citation and Complaint.pdf 205K Invoice 9-11.pdf 59K Notice and Justification of Charges Due to Damages Caused by Septic Company - SSE Development.pdf 152K Palo Verde Gas Line Repair .pdf 373K

https://mail.google.com/mail/b/AEoRXRT2FDzwvCZ1cLcQosa80HqJHzWUYl8ZyUgvlEMNQS3DDrNE/u/0/?ik=581c53cf5c&view=pt&search=all&per… 1/2 Received 4/4/24, 8:37 AM State of Arizona Mail - SSE Construction, LLC's Answer to Citation and Complaint, Case No. 2024-01236 4/03/2024 ROC Legal Palo Verde Repairs.pdf 557K

https://mail.google.com/mail/b/AEoRXRT2FDzwvCZ1cLcQosa80HqJHzWUYl8ZyUgvlEMNQS3DDrNE/u/0/?ik=581c53cf5c&view=pt&search=all&per… 2/2 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