2024A-02168-CHC-ROC Notice of Hearing & Packet MAILED 2024-02168.pdf

2024A-02168-CHC-ROC · Registrar of Contractors · 2024-05-20

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Shirley Nelson , Case No. 2024-02168

COMPLAINANT, Docket No. 2024A-02168-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE All Valley Rooter And Plumbing LLC License No. ROC 348344,

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

HEARING INFORMATION The hearing is set for:

June 24, 2024 9:00 AM Velva Moses-Thompson Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

If you have requested to appear in-person at the hearing, the hearing will be held at 1740 W Adams Street, Phoenix, AZ 85007.

You must attend this hearing. This is an adversarial hearing before an administrative law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be

prepared to present evidence, including witness testimony and documents, in support of your case.

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION

The State of Arizona has determined that the licensing and regulation of construction contractors is a proper state function, and has vested authority in the Registrar of Contractors to administer Title 32, Chapter 10 of the Arizona Revised Statutes. A.R.S. §§ 32-1101 et seq. All hearings for alleged violations of Title 32, Chapter 10 are conducted under Title 41,

Chapter 6, Article 10. A.R.S. § 32-1156.

The statutes and rules governing the hearing can be found at: Arizona Revised

Statutes §§ 41-1092 to -1092.12, and Arizona Administrative Code R2-19-101 to -122.

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED

The statutes and rules the Respondent is alleged to have violated are cited in the

complaint and citation, which were served on the Respondent on April 8, 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)(a)

Charge: 3 A.R.S. § 32-1154(A)(2)(b)

Charge: 4 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Charge: 5 A.R.S. § 32-1154(A)(14) 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 May 20, 2024. By: /s/ Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors

Copy mailed via USPS First Class mail May 20, 2024 to:

Respondent(s) All Valley Rooter And Plumbing LLC 5159 NE 5th St Redmond, OR 97756 Respondent's Attorney Wesley M. Cox, Esq. 2525 E Camelback Rd 7th Fl Phoenix, AZ 85016 Complainant(s) Shirley Nelson 1305 Northside Dr Prescott, AZ 86301

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. 2024-02168 /

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: Shirley Nelson 1305 Northside Drive Prescott, AZ 86301

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: All Valley Rooter And Plumbing LLC 5159 ne 5th st Redmond, OR 97756

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 26, 2024

Re: Complaint No. 2024-02168

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for Monday, March 18, 2024 at 09:00 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 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,

/s/ Jim Dimond #170 Jim Dimond #170, Investigator 1700 W. Washington St., Suite 105/Yavapai County Phoenix, Arizona, 85007 Phone: (602)542-1525 Office: (928)637-1463 Cell: (623)680-9585 Email: [email redacted]

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

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 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.

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 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 Complainant: Shirley Nelson 1305 Northside Drive Prescott, AZ 86301

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: All Valley Rooter And Plumbing LLC 5159 ne 5th st Redmond, OR 97756

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 March 20, 2024

License No. ROC 348344

Re:Complaint No. 2024-02168

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 Friday, April 5, 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.

DIRECTIVE REQUIREMENTS

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

Compliance Item: 3 - Floor in studio bathroom breached at wall and not repaired (not the toilet or sewer connection).

Investigator’s Observation: At the right of the commode, a small clean out is present and it looks like the tile was removed and set back in its place. The clean out lid is exposed and a trim piece should be in place.

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 The respondent is to correct condition in an appropriate manner

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: 4 - Toilet in 2 bedroom unit now not flushing correctly when it did prior to the work by the contractor.

Investigator’s Observation: The toilet refills extremely slowly and when flushed, gurgles and burps. It is clearly not functioning properly.

The respondent is to correct the condition in an appropriate manner

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: 6 - Not all new sewer line wrapped in vinyl per contract, written communications and verbal discussions.

Investigator’s Observation: The drain line is only partially wrapped.

The respondent if to correct the condition in an appropriate manner.

Governing Rule: Violation of any rule adopted by the Registrar;

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

Compliance Item: 11 - No city permit obtained. Contractor didn't file one and owner did not know one needed to be filed

Investigator’s Observation: The respondent had an obligation to either contract for and obtain a permit or ensure that the homeowner had a permit in place.

The complainant and tenants have been without facilities. One tenant is pregnant.

A permit is required and the city of Prescott has confirmed that no permit for this work has been issued.

The line and the cleanouts are not properly sized.

Additionally, the clean out pops are undersized and connection to the city sewer line in the easement is inappropriate and a health hazard.

The respondent is to obtain the necessary permits and comply with the requirements of the city inspections.

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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 12 - Breaches in foundation not properly repaired

Investigator’s Observation: At 2 locations, an approximately 24" long piece of wood was used to fill the hole to under the house.

This is at the foundation and this would is not a replacement for the structural requirements for the home.

The respondent is to correct the condition in an appropriate manner.

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: 13 - Breaches in studio bathroom floor not properly repaired

Investigator’s Observation: The ceiling had an event of water intrusion and is not repaired. It appears that the intrusion was caused after the master bath plumbing was manipulated.

Some damage is also present at the ceiling in the kitchen.

The respondent is to correct the corollary damage in an appropriate manner.

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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 14 - 2 berm toilet worked prior to start project, quit working 2 days after told project completed

Investigator’s Observation: The toilets are not functioning properly.

The respondent is to determine the cause and correct the condition.

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: 15 - Owner told that toilet wasn't included in scope of project, it wasn't checked for functionality during or at completion

Investigator’s Observation: Toilets appear on the invoice.

The respondent is to correct the condition in an appropriate manner.

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: 17 - Area on east side of the house not leveled nor dressed properly

Investigator’s Observation: At the time of inspection, this area is has not been back filled and is a considerable mess.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 The respondent is to correct the condition in an appropriate manner

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.

ITEMS NOT REQUIRING CORRECTION

The following complaint items require no action by the Respondent:

Compliance Item: 1 - Showered installed leaks. (Under 2 year warranty)

Investigator’s Observation: Per the complainant, the shower no longer leaks but questions the need to have a drywall repair just above the floor.

The drywall repair meets minimum standards.

No action is required of the respondent regarding this item.

Compliance Item: 2 - Kitchen faucet installed leaks. (Under 2 year warranty)

Investigator’s Observation: This item was corrected.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliance Item: 5 - Trespassing on neighbor’s property with equipment and tearing up their yard.

Investigator’s Observation: This item is beyond ROC authority and would be a matter for law enforcement

Compliance Item: 7 - Flower beds destroyed and not restored to prior condition. (Beds were not supposed to be disturbed.)

Investigator’s Observation: The lines have been exposed by others and therefore, I cannot make a determination regarding the flower beds.

No action is required of the respondent.

Compliance Item: 8 - No porta potty onsite for workers during a 17 days of work

Investigator’s Observation: This is a matter outside of ROC authority.

Jurisdictions may require a port a john when a permit is issued however in this case the respondent failed to obtain or verify a permit was in place.

Compliance Item: 9 - Trenching for sewer lines in lower yard and upper water main project not where we discussed.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Investigator’s Observation: The complainant relayed that she wanted the line to exist the house to the west and go out to the yard and across the lawn.

The pipe came straight out of the south wall of the home and through the flower beds.

However, I cannot verify the conversation and no plans have been presented to confirm the claim.

No action is required of the respondent at this time.

Compliance Item: 10 - Contractor stopped work on water main project because he got mad at me for recording conversation so I stopped payment.

Investigator’s Observation: The water main portion of the project was not completed and apparently not needed.

The respondent's son merely tightened a nut and the system has been functioning properly.

It was not leaking at the time of inspection.

This is a customer service matter beyond ROC 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 Compliance Item: 16 - Sewer clean outs in flower beds. Owner asked flower beds not be disturbed, was assured pipes would be moved to lawn.

Investigator’s Observation: This item has been addressed.

Compliance Item: 18 - 2 bdrm toilet was pulled, line scoped & cleared without written bid and signed permission. Owner was onsite. not asked

Investigator’s Observation: This is a customer service matter that is beyond ROC authority

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

Sincerely,

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 4/4/24, 10:45 AM State of Arizona Mail - 2024-02168

James Dimond <[email redacted]>

2024-02168 Andrew Croce <[email redacted]> Wed, Apr 3, 2024 at 1:20 PM To: James Dimond <[email redacted]>

The name Armour drain is in the process of being a dba for the company. I was unable to get to this meeting as I was in the hospital and I can see have been made out to be the villain my attorney will be reaching out [Quoted text hidden]

https://mail.google.com/mail/u/0/?ik=6fd2afdf83&view=pt&search=all&permmsgid=msg-f:[number redacted]&simpl=msg-f:[number redacted] 1/1 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Shirley Nelson Case No. 2024-02168 COMPLAINANT, v. All Valley Rooter And Plumbing LLC CITATION License No. ROC 348344,

RESPONDENT.

The Registrar issues this Citation to All Valley Rooter And Plumbing LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by April 23, 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 February 22, 2024, Shirley Nelson (“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)(a) Departure from or disregard of: (a) Plans or specifications in any material respect that is prejudicial to another without consent of the owner or the owner’s duly authorized representative and without the consent of the person entitled to have the particular construction project or operation completed in accordance with such plans and specifications and code. Charge 3: 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 4: 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 5: A.R.S. § 32-1154(A)(14) Acting in the capacity of a contractor under any license issued under this chapter in a name other than as set forth upon the license. 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.

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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 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. 2024-02168. 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 April 23, 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, 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’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). 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).

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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 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 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 April 8, 2024. By: /s/ Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department Arizona Registrar of Contractors

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, April 8, 2024 to:

Respondent Certified Mail No: [number redacted]

All Valley Rooter And Plumbing LLC 5159 ne 5th st Redmond, OR 97756 Copy mailed by USPS First Class mail this same date to: All Valley Rooter And Plumbing LLC 5159 ne 5th st Redmond, OR 97756

Complainant Shirley Nelson 1305 Northside Drive Prescott, AZ 86301

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. 2024-02168 / MTH

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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)

Shirley Nelson Mailing Address (Enter jobsite in Contract/Project section) City State Zip

1305 Northside Drive Prescott Arizona 86301 Phone Number Email

[number redacted] [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)

All Valley Rooter And Plumbing LLC ROC 348344 Street Address City State Zip

307 Apple Aveunue Silverton Oregon 97381 Phone Number Email

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

Michael Lina;Andrew Croce Contract/Project Information Contract Date Contract Amount Amount Paid

February 2, 2024 $35,829.00 $35,829.00 Date Work Started Date Work Stopped Date Work Was Completed

February 2, 2024 February 19, 2024 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

1305 Northside Drive Prescott AZ 86301 Name of Construction Site Owner Construction Site Name (if applicable)

Phone Number of Construction Site Owner Email of Construction Site Owner

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

RCC099 12/05/18 Page 1 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

The contract was Both All change orders were Both This project was Residential This project involved Other separate contracts with first one starting on Feb 2, 2025 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)

Contractor had excuses why verbal & written promises would not be fulfilled. Work was not done in a timely fashion (3-4 days). I am not confident the work was done to code. Asked for proof, none provided. Contractor does not want to honor warranty and choose to stop work so I stopped payment on Ph 3 project. Allegations Listed on Complaint:

Showered installed leaks. (Under 2 year warranty)

Kitchen faucet installed leaks. (Under 2 year warranty)

Floor in studio bathroom breached at wall and not repaired (not the toilet or sewer connection).

Toilet in 2 bedroom unit now not flushing correctly when it did prior to the work by the contractor.

Trespassing on neighbors property with equipment and tearing up their yard.

Not all new sewer line wrapped in vinyl per contract, written communcations and verbal discussions.

Flower beds destroyed and not restored to prior condition. (Beds were not supposed to be distrubed.)

No porta potty onsite for workers during a 17 days of work

Trenching for sewer lines in lower yard and upper water main project not where we discussed.

Contractor stopped work on water main project because he got mad at me for recording conversation so I stopped payment.

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.

RCC099 12/05/18 Page 2 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Printed Name Signature Date

Shirley Nelson \complainant1\ \complainantd1\

RCC099 12/05/18 Page 3 of 3 4/8/24, 3:44 PM State of Arizona Mail - Complaint 2024-02168

Madelyn Hayes <[email redacted]>

Complaint 2024-02168 message

Madelyn Hayes <[email redacted]> Mon, Apr 8, 2024 at 3:44 PM To: [email redacted] Cc: Mary Coyne <[email redacted]>

Hello,

I wanted to follow up on our phone conversation from today with more information. With the process of the citation is that there most likely won't be further inspections unless there is a need to do a compliance jobsite inspection. By submitting an answer this can progress into a hearing when requested but we will need a NOA from you first confirming that you are representing the Respondent in this matter and so more information can be provided.

Please let me know if you have any questions or concerns. Thank you,

-- Madelyn Hayes Legal Assistant II Arizona Registrar of Contractors Legal Department 1700 W. Washington Suite 105 Phoenix, AZ 85007

https://mail.google.com/mail/u/0/?ik=50f2084a1a&view=pt&search=all&permthid=thread-a:r-[number redacted]&simpl=msg-a:r-[number redacted]… 1/1 Received 4/23/2024 ROC Legal Wesley M. Cox Attorney at Law Direct Line: (602) 255-6057 [email redacted] Offices in: Albuquerque, New Mexico Birmingham, Alabama Detroit, Michigan Fort Lauderdale, Florida Las Vegas, Nevada Orlando, Florida Phoenix, Arizona San Diego, California

April 23, 2024

Via Email, Regular Mail and Certified Mail

Madelyn Hayes Legal Assistant II Arizona Registrar of Contractors 1700 W. Washington St. Ste. 105 Phoenix, AZ 85007-2812 [email redacted] Shirley Nelson 1305 Northside Dr. Prescott, AZ 86301

WRITTEN ANSWER TO CITATION AND COMPLAINT

Re: Nelson v. All Valley Rooter and Plumbing LLC Case No. 2024-02168 My File No.: 31647-001

Dear Ms. Hayes:

This firm has been retained by All Valley Rooter and Plumbing LLC (“All Valley”) regarding the Citation filed against All Valley in Case No. 2024-02168. Any and all communication regarding this matter is to be directed to our office.

Regarding the investigation that occurred by the Arizona Registrar of Contractors (“ROC”), please note that Andrew Croce, the sole Principal of All Valley, was unavailable to participate in the investigation because his wife suffered from an emergency and had to go to the hospital. See St. Charles Health System Health Note, attached hereto as “Exhibit A.” Due to the fact that it was an emergency, Mr. Croce was unable to contact investigator Jim Diamond in order to attempt to reschedule the investigation. The investigation occurred without All Valley’s presence, and therefore, All Valley was prejudiced because some important information was not disclosed in the investigation that should have affected the scope of the written directive. Both All Received 4/23/2024 ROC Legal

Arizona Registrar of Contractors Case No. 2024-02168 April 23, 2024 Page 2

Valley, as well as myself reached out to Mr. Diamond regarding the written directive to request another investigation in which All Valley could participate, however, that request was ignored and the Citation was issued.

There are many things that affect the status of this project that were not submitted with Ms. Nelson’s Complaint against All Valley. Please note that a good portion of the project included change orders and additional items to the original contract. One change order, which was requested by Ms. Nelson in the amount of $4,200 was never signed. See February 16, 2024 Change Order, attached hereto as “Exhibit B.” Additionally, Ms. Nelson paid All Valley with a check that All Valley was unable to cash because the check was bad. In other words, the Complaint included work that was never signed off on by Ms. Nelson and All Valley was never paid for all of the work listed in the Complaint. Furthermore, the terms and conditions portion of the contract between Ms. Nelson and All Valley, which clearly outlines what All Valley is and isn’t responsible for was not submitted with the Complaint. See Terms and Conditions, attached hereto as “Exhibit C.” A.R.S. § 32-1155(D)(1) shows the legislative intent to provide All Valley the opportunity to “inspect the work within fifteen days after receiving a written notice from the registrar.” If it was not for Mr. Croce’s wife having an emergency that brought her to the hospital, All Valley would have attended the inspection. All Valley is only asking for another inspection in which it is permitted to participate.

Below, please find a response to each individual charge in the Citation.

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.

Response: All Valley has not abandoned this contract. All Valley had no choice but to pause work due to the fact that it had been paid with a bad check. This was not proper per the terms of the contract between Ms. Nelson and All Valley. Not only was one of the change orders not signed, which would have permitted All Valley to continue work as Ms. Nelson requested; but Ms. Nelson did not even provide a valid source of payment for one of the checks she submitted to All Valley. See “Exhibit B.” The Licensed Complaint Form Instructions & Checklist posted to ROC’s website requires a Complainant to provide proof of payments with his/her complaint. 1 Ms. Nelson failed to notify ROC of her bad check when she submitted her complaint. All Valley has not abandoned the project and is willing to perform on the project, but cannot agree to perform work while Ms. Nelson is unable to properly submit payment to All Valley.

https://roc.az.gov/forms/RCC099L_line-limit_2-2019.pdf Received 4/23/2024 ROC Legal

Arizona Registrar of Contractors Case No. 2024-02168 April 23, 2024 Page 3

Charge 2 A.R.S. § 32-1154(A)(2)(a): Departure from or disregard of: (a) Plans or specifications in any material respect that is prejudicial to another without consent of the owner or the owner’s duly authorized representative and without the consent of the person entitled to have the particular construction project or operation completed in accordance with such plans and specifications and code.

Response: The written directive mentions a total of nine complaint items that Mr. Diamond determined needed to be repaired. Only two of the items mention what was included on the contract or invoice, with one mentioning a need for a permit, and the other six being determined upon verbal communication between Ms. Nelson and Mr. Diamond. As is aforementioned, All Valley was unable to participate in the inspection due to a family emergency. See “Exhibit A.” Additionally, Ms. Nelson failed to sign change orders and submit a valid check to All Valley in submitting payment. See “Exhibit B.” Mr. Diamond never gave All Valley the opportunity to explain why some of the items complained about were in the condition they were, including disputes over payment that needed to be settled before All Valley could correct any work that needed to be corrected; as well as work that was not in the scope of the contract because Ms. Nelson failed to sign change orders. These are important items that inherently affect the plans, specifications and terms of the contract.

Charge 3 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.

Response: The agreement under the contract was that Ms. Nelson would pay for and obtain all necessary permits on this project. This information was not provided to Mr. Diamond because All Valley was not present at the inspection due to the emergency. With that being said, All Valley is happy to ensure the proper permits are obtained before any further work is performed.

Charge 4 A.R.S. § 32-1154(A)(3): 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.

Response: Out of the nine complaint items that Mr. Diamond determined needed to be repaired, the majority of these are citations for failure to perform work in a professional and workmanlike manner in violation of A.A.C. R4-9-108. None of those complaint items addressed the contract or any verbal communications that were made between Mr. Diamond and Ms. Nelson during the investigation. Additionally, some of the items were not completed due to the fact that Ms. Nelson did not sign change orders and did not submit valid payment to All Valley. See “Exhibit B.” All Valley is unable to complete work for Ms. Nelson if she refuses to sign change orders and pay All Valley for the work it performs. Received 4/23/2024 ROC Legal

Arizona Registrar of Contractors Case No. 2024-02168 April 23, 2024 Page 4

Charge 5 A.R.S. § 32-1154(A)(14): Acting in the capacity of a contractor under any license issued under this chapter in a name other than as set forth under the license.

Response: All Valley operates under a “doing business as” name as was submitted to ROC. See d/b/a Contractor’s License and Sales Tax Application, attached hereto as “Exhibit D.”

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.

Response: As is aforementioned, Mr. Croce’s wife was in the hospital during the investigation, which is why All Valley could not participate in the investigation. See “Exhibit A.” After receiving the written directive, both Mr. Croce, as well as counsel for All Valley reached out to Mr. Diamond to request to reschedule another inspection. Furthermore, the written directive includes requirements to perform work related to change orders that were not signed by Ms. Nelson and for which Ms. Nelson has submitted bad checks for. See “Exhibit B.”

If, based upon this Answer and the attached exhibits, ROC is not willing to redact the Citation and grant All Valley another investigation during a time in which both All Valley and Ms. Nelson are available to participate, All Valley would like to request an informal settlement conference with the Registrar under A.R.S. § 41-1092.06.

Please direct all future correspondence to this firm.

Sincerely,

TIFFANY & BOSCO, P.A.

Wesley M. Cox

WMC:ad Enclosures cc: Clients Received 4/23/2024 ROC Legal

Exhibit A Received 4/23/2024 ROC Legal Received 4/23/2024 ROC Legal

Exhibit B Received 4/23/2024 ROC Legal Received 4/23/2024 ROC Legal

Exhibit C Received 4/23/2024 ROC Legal Received 4/23/2024 ROC Legal

Exhibit D Received 4/23/2024 ROC Legal Received 4/24/24, 8:33 AM State of Arizona Mail - Nelson v Alley Valley Rooter and Plumbing- 202-02168 4/23/2024 ROC Legal

Answers - AZROC <[email redacted]>

Nelson v Alley Valley Rooter and Plumbing- 202-02168 message

Ashli DeVargas <[email redacted]> Tue, Apr 23, 2024 at 1:57 PM To: "[email redacted]" <[email redacted]> Cc: "Wesley M. Cox" <[email redacted]>

Good afternoon,

Please see the attached Citation response from Attorney Wesley Cox on the above matter.

Thank you,

Ashli DeVargas

Legal Assistant to Richard C. Gramlich | x 6078

Seventh Floor Camelback Esplanade II | 2525 E Camelback Road | Phoenix, AZ 85016

D 602.255.6078 | F 602.255.0103

[email redacted] | Website

CONFIDENTIALITY NOTICE: The information contained in this message may be protected by the attorney-client privilege.

If you believe that it has been sent to you in error, do not read it. Please immediately reply to the sender that you have

received the message in error, then delete it. Thank you.

4-23-2-24 Citation Response w. exhibits.pdf 1899K

https://mail.google.com/mail/b/AEoRXRSsk3zVYMra27EgPCeJd3kbwgD2nYOxBhO3MOn1v3q3wKJo/u/0/?ik=581c53cf5c&view=pt&search=all&per… 1/1 LEGAL RECEIVED 04/24/2024

Wesley M. Cox Attorney at Law Direct Line: (602) 255-6057 [email redacted] Offices in: Albuquerque, New Mexico Birmingham, Alabama Detroit, Michigan Fort Lauderdale, Florida Las Vegas, Nevada Orlando, Florida Phoenix, Arizona San Diego, California

April 23, 2024

Via Email, Regular Mail and Certified Mail

Madelyn Hayes Legal Assistant II Arizona Registrar of Contractors 1700 W. Washington St. Ste. 105 Phoenix, AZ 85007-2812 [email redacted] Shirley Nelson 1305 Northside Dr. Prescott, AZ 86301

WRITTEN ANSWER TO CITATION AND COMPLAINT

Re: Nelson v. All Valley Rooter and Plumbing LLC Case No. 2024-02168 My File No.: 31647-001

Dear Ms. Hayes:

Arizona Registrar of Contractors Case No. 2024-02168 April 23, 2024 Page 2

Below, please find a response to each individual charge in the Citation.

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.

https://roc.az.gov/forms/RCC099L_line-limit_2-2019.pdf LEGAL RECEIVED 04/24/2024

Arizona Registrar of Contractors Case No. 2024-02168 April 23, 2024 Page 3

Charge 4 A.R.S. § 32-1154(A)(3): 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.

Arizona Registrar of Contractors Case No. 2024-02168 April 23, 2024 Page 4

Charge 5 A.R.S. § 32-1154(A)(14): Acting in the capacity of a contractor under any license issued under this chapter in a name other than as set forth under the license.

Response: All Valley operates under a “doing business as” name as was submitted to ROC. See d/b/a Contractor’s License and Sales Tax Application, attached hereto as “Exhibit D.”

Please direct all future correspondence to this firm.

Sincerely,

TIFFANY & BOSCO, P.A.

Wesley M. Cox

WMC:ad Enclosures cc: Clients LEGAL RECEIVED 04/24/2024

Exhibit A LEGAL RECEIVED 04/24/2024 LEGAL RECEIVED 04/24/2024

Exhibit B LEGAL RECEIVED 04/24/2024 LEGAL RECEIVED 04/24/2024

Exhibit C LEGAL RECEIVED 04/24/2024 LEGAL RECEIVED 04/24/2024

Exhibit D LEGAL RECEIVED 04/24/2024 4/24/24, 10:17 AM State of Arizona Mail - ROC Complaint 2024-02168 Notice of Settlement Conference04/24/2024 LEGAL RECEIVED

Erika Hoskin <[email redacted]>

ROC Complaint 2024-02168 Notice of Settlement Conference messages

Erika Hoskin <[email redacted]> Wed, Apr 24, 2024 at 9:31 AM Bcc: [email redacted], [email redacted], [email redacted], Erika Hoskin <[email redacted]>

Attached is a courtesy copy of the Notice of Settlement Conference that was mailed to you today. Also included Google Meet information

PLEASE RETURN WAIVER

Meeting ID meet.google.com/bdd-qvts-sen

Phone Numbers (US)+1 516-447-1147 PIN: 254 894 720#

Kindly,

Erika Hoskin

Legal Secretary

Arizona Registrar of Contractors, Legal Department

1700 W. Washington Suite 105

Phoenix, AZ 85007

602-771-6785

www.roc.az.gov

20240424 Notice of Settlement Conference MAILED.pdf 132K

Wesley M. Cox <[email redacted]> Wed, Apr 24, 2024 at 10:03 AM To: Erika Hoskin <[email redacted]>

Hello Erika,

Thank you for providing me with the notice of settlement conference. It was issued very quickly. My client provided a very detailed response including information related to payments that were not made and emergencies that occurred

https://mail.google.com/mail/u/0/?ik=[number redacted]&view=pt&search=all&permthid=thread-a:r167224676951261464&simpl=msg-a:r-[number redacted]… 1/3 4/24/24, 10:17 AM State of Arizona Mail - ROC Complaint 2024-02168 Notice of Settlement Conference04/24/2024 LEGAL RECEIVED that resulted in my client being unable to participate in the investigation. Is anyone at ROC going to review the response prior to the settlement conference?

Thank you,

Wesley M. Cox | Associate | 602.255.6057

Seventh Floor Camelback Esplanade II | 2525 E Camelback Road | Phoenix, AZ 85016

P 602.255.6000 | F 602.255.0103

[email redacted] | Website

CONFIDENTIALITY NOTICE: The information contained in this message may be protected by the attorney-client privilege.

If you believe that it has been sent to you in error, do not read it. Please immediately reply to the sender that you have

received the message in error, then delete it. Thank you.

From: Erika Hoskin <[email redacted]> Sent: Wednesday, April 24, 2024 9:32 AM Subject: ROC Complaint 2024-02168 Notice of Settlement Conference

Attached is a courtesy copy of the Notice of Settlement Conference that was mailed to you today. Also included Google Meet information

PLEASE RETURN WAIVER

Meeting ID

meet.google.com/bdd-qvts-sen

Edit

Phone Numbers

(US)+1 516-447-1147 https://mail.google.com/mail/u/0/?ik=[number redacted]&view=pt&search=all&permthid=thread-a:r167224676951261464&simpl=msg-a:r-[number redacted]… 2/3 4/24/24, 10:17 AM State of Arizona Mail - ROC Complaint 2024-02168 Notice of Settlement Conference04/24/2024 LEGAL RECEIVED PIN: 254 894 720# [Quoted text hidden]

4-23-2-24 Citation Response w. exhibits.pdf 1899K

Erika Hoskin <[email redacted]> Wed, Apr 24, 2024 at 10:17 AM To: "Wesley M. Cox" <[email redacted]>

Hi,

This case has been assigned to Madelyn for review. I will upload the information and alert her to please review. [Quoted text hidden]

https://mail.google.com/mail/u/0/?ik=[number redacted]&view=pt&search=all&permthid=thread-a:r167224676951261464&simpl=msg-a:r-[number redacted]… 3/3 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