2024A-03254-NPC-ROC Notice of Hearing & Packet MAILED 2024-03254.pdf

2024A-03254-NPC-ROC · Registrar of Contractors · 2024-05-30

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA SFA Contracting LLC, Case No. 2024-03254 COMPLAINANT, Docket No. 2024A-03254-NPC-ROC v. NOTICE OF HEARING ON A & E Builders LLC CONTESTED CASE License No. ROC 336255,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

July 8, 2024 1:00 PM Tammy Eigenheer Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person. If you have requested to appear in-person at the hearing, the hearing will

be held at 1740 W Adams Street, Phoenix, AZ 85007.

You must attend this hearing. This is an adversarial hearing before an administrative

law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be

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

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION

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

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

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

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

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED

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

complaint and citation, which were served on the Respondent on April 19, 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 May 30, 2024.

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

Copy mailed via USPS First Class mail May 30, 2024 to:

Respondent(s) A & E Builders LLC 505 S Val Vista Dr Ste 1 Mesa, AZ 85204

Respondent's Attorney Stephen Brower Esq. 1222 East Baseline Road, Suite 200 Tempe, AZ 85283 Complainant(s) SFA Contracting LLC 9297 E Old Vail Rd Tucson, AZ 85747

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

Case No. 2024-03254 /

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

March 27, 2024

Via U.S. Mail and Email

Complainant Nicholas Joseph Carolan SFA Contracting LLC 9297 E Old Vail Rd Tucson, AZ 85747

Via U.S. Mail and Email

Respondent A & E Builders LLC 505 S Val Vista Dr Ste 1 Mesa, AZ 85204

Re: Complaint No. 2024-03254

Dear Complainant and Respondent:

The Registrar received a complaint filed against A & E Builders 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. Invoice EO-1036 #1165 with the amount reflecting the outstanding balance of $3,370.33 2. Invoice RO-7096 #1154 with the amount reflecting the outstanding balance of $8,534.06

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100a 11/23 Please provide ALL requested information by April 3, 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, Arizona, 85005-8244 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 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/Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department 1700 W Washington St. Ste 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100a 11/23 Invoice SFA Contracting,LLC 9297 E. Old Vail Road DATE INVOICE # Tucson, AZ 85747 Phone # 520-647-7908 ROC #324669 KB-1 11/18/2022 7096 RO 1

BILL TO PROJECT DESCRIPTION

A&E BUILDERS, LLC SALAD & GO #1154 505 S VAL VISTA DRIVE SUITE 1 1919 E FORT LOWELL RD MESA, AZ 85204 TUCSON AZ 85719

Purchase Order # REP DUE DATE PROJECT #

#1154 TJS 12/18/2022 RO-7096

DESCRIPTION Contract Amt Prior Current

Building Awning 29,027.81 16,542.37 To include fabricated awning per plan. Awning to be constructed using 12x10.6 channel, and 2"x2"x3/16"square tube supports. Awning to be decked using 20ga galvanized B deck paneling, secured using self-grommeted screws. (12) 1-1/2" bracket and rod support assemblies to be supplied and installed evenly a maximum of 6' -6" on center. All steel to be primed only. Roof Access Ladder 2,591.25 1,295.63 To include (1) exterior roof access ladder. Ladder rails to be furnished using 2-1/2" x ½" flat bar spaced 18" apart, rungs to be¾" round bar spaced 12" on center. Ladder rails to extend a minimum of 42" above top rung and return to roof side of parapet wall. Landing to be 2"x2"x3/16" tube steel supports and 1/8" diamond plate. Ladder to be primed only.

Subtotal TPT Tax ()

Total

Payments/Credits We Appreciate Your Business Balance Due

Page 1 Invoice SFA Contracting,LLC 9297 E. Old Vail Road DATE INVOICE # Tucson, AZ 85747 Phone # 520-647-7908 ROC #324669 KB-1 11/18/2022 7096 RO 1

BILL TO PROJECT DESCRIPTION

A&E BUILDERS, LLC SALAD & GO #1154 505 S VAL VISTA DRIVE SUITE 1 1919 E FORT LOWELL RD MESA, AZ 85204 TUCSON AZ 85719

Purchase Order # REP DUE DATE PROJECT #

#1154 TJS 12/18/2022 RO-7096

DESCRIPTION Contract Amt Prior Current

Trash Enclosure Gates 8,682.50 4,341.25 To include (4) trash enclosure leaves. Gate leaves to be framed using 3"x3"x1/4" angle and 2"x1/4" flat bar. Gates to be full privacy panels, galvanized B deck to be welded to inside or steel angle and any supports needed on back of gate. Gates to hinged on 6" steel columns dug and set in concrete footers. Gates to be hinged using (2) ci3000 hinges. Gates to be primed only Site Bollards 4,136.56 2,068.28 To include (6) site bollards and (8) trash enclosure bollards. Bollards to be 4" black pipe dug and set in concrete footers. Trash enclosure bollards to be min 5' above grade, site bollards to be min 3' above grade. Bollards to be filled with concrete and finished with concrete cap. Bollards to be primed only

Subtotal TPT Tax ()

Total

Payments/Credits We Appreciate Your Business Balance Due

Page 2 Invoice SFA Contracting,LLC 9297 E. Old Vail Road DATE INVOICE # Tucson, AZ 85747 Phone # 520-647-7908 ROC #324669 KB-1 11/18/2022 7096 RO 1

BILL TO PROJECT DESCRIPTION

A&E BUILDERS, LLC SALAD & GO #1154 505 S VAL VISTA DRIVE SUITE 1 1919 E FORT LOWELL RD MESA, AZ 85204 TUCSON AZ 85719

Purchase Order # REP DUE DATE PROJECT #

#1154 TJS 12/18/2022 RO-7096

DESCRIPTION Contract Amt Prior Current

Trex Fencing 8,580.94 4,290.47 To include 34' of Trex fencing on west side of building. Fencing to be furnished directly from Trex Fence Distribution and installed by SFA Contracting. Fence posts to be S"xS" square posts dug and set in concrete footers per manufacturers requirements. Fence enclosure to receive (1) 4' wide walk gate in location detailed on 2-AS.1. panels to be fastened to columns using manufacturer supplied hardware. Gate hardware to be supplied by manufacturer as well. Fence color to be Winchester Grey

Subtotal $28,538.00 Should you have any questions regarding this invoice, TPT Tax () $0.00 we can be reached at (520) 647-7908. Total $28,538.00

Payments/Credits -$27,419.82 We Appreciate Your Business Balance Due $1,118.18

Page 3 Invoice SFA Contracting,LLC 9297 E. Old Vail Road DATE INVOICE # Tucson, AZ 85747 Phone # 520-647-7908 ROC #324669 KB-1 2/22/2023 7096 RO 2

BILL TO PROJECT DESCRIPTION

A&E BUILDERS, LLC SALAD & GO #1154 505 S VAL VISTA DRIVE SUITE 1 1919 E FORT LOWELL RD MESA, AZ 85204 TUCSON AZ 85719

Purchase Order # REP DUE DATE PROJECT #

#1154 TJS 3/24/2023 RO-7096

DESCRIPTION Contract Amt Prior Current

Building Awning 29,027.81 16,542.37 12,485.44 To include fabricated awning per plan. Awning to be constructed using 12x10.6 channel, and 2"x2"x3/16"square tube supports. Awning to be decked using 20ga galvanized B deck paneling, secured using self-grommeted screws. (12) 1-1/2" bracket and rod support assemblies to be supplied and installed evenly a maximum of 6' -6" on center. All steel to be primed only. Roof Access Ladder 2,591.25 1,295.63 1,295.62 To include (1) exterior roof access ladder. Ladder rails to be furnished using 2-1/2" x ½" flat bar spaced 18" apart, rungs to be¾" round bar spaced 12" on center. Ladder rails to extend a minimum of 42" above top rung and return to roof side of parapet wall. Landing to be 2"x2"x3/16" tube steel supports and 1/8" diamond plate. Ladder to be primed only.

Subtotal TPT Tax ()

Total

Payments/Credits We Appreciate Your Business Balance Due

Page 1 Invoice SFA Contracting,LLC 9297 E. Old Vail Road DATE INVOICE # Tucson, AZ 85747 Phone # 520-647-7908 ROC #324669 KB-1 2/22/2023 7096 RO 2

BILL TO PROJECT DESCRIPTION

A&E BUILDERS, LLC SALAD & GO #1154 505 S VAL VISTA DRIVE SUITE 1 1919 E FORT LOWELL RD MESA, AZ 85204 TUCSON AZ 85719

Purchase Order # REP DUE DATE PROJECT #

#1154 TJS 3/24/2023 RO-7096

DESCRIPTION Contract Amt Prior Current

Trash Enclosure Gates 8,682.50 4,341.25 129.82 To include (4) trash enclosure leaves. Gate leaves to be framed using 3"x3"x1/4" angle and 2"x1/4" flat bar. Gates to be full privacy panels, galvanized B deck to be welded to inside or steel angle and any supports needed on back of gate. Gates to hinged on 6" steel columns dug and set in concrete footers. Gates to be hinged using (2) ci3000 hinges. Gates to be primed only

Subtotal $13,910.88 Should you have any questions regarding this invoice, TPT Tax () $0.00 we can be reached at (520) 647-7908. Total $13,910.88

Payments/Credits -$10,033.00 We Appreciate Your Business Balance Due $3,877.88

Page 2 Invoice SFA Contracting,LLC 9297 E. Old Vail Road DATE INVOICE # Tucson, AZ 85747 Phone # 520-647-7908 ROC #324669 KB-1 3/3/2023 7096 RO 3

BILL TO PROJECT DESCRIPTION

A&E BUILDERS, LLC SALAD & GO #1154 505 S VAL VISTA DRIVE SUITE 1 1919 E FORT LOWELL RD MESA, AZ 85204 TUCSON AZ 85719

Purchase Order # REP DUE DATE PROJECT #

#1154 TJS 4/2/2023 RO-7096

DESCRIPTION Contract Amt Prior Current

Trash Enclosure Gates 8,682.50 4,471.07 4,211.43 To include (4) trash enclosure leaves. Gate leaves to be framed using 3"x3"x1/4" angle and 2"x1/4" flat bar. Gates to be full privacy panels, galvanized B deck to be welded to inside or steel angle and any supports needed on back of gate. Gates to hinged on 6" steel columns dug and set in concrete footers. Gates to be hinged using (2) ci3000 hinges. Gates to be primed only Site Bollards 4,136.56 2,068.28 1,826.57 To include (6) site bollards and (8) trash enclosure bollards. Bollards to be 4" black pipe dug and set in concrete footers. Trash enclosure bollards to be min 5' above grade, site bollards to be min 3' above grade. Bollards to be filled with concrete and finished with concrete cap. Bollards to be primed only

Subtotal $6,038.00 Should you have any questions regarding this invoice, TPT Tax () $0.00 we can be reached at (520) 647-7908. Total $6,038.00

Payments/Credits -$2,500.00 We Appreciate Your Business Balance Due $3,538.00 Invoice SFA Contracting,LLC 9297 E. Old Vail Road DATE INVOICE # Tucson, AZ 85747 Phone # 520-647-7908 ROC #324669 KB-1 1/19/2024 1036 EO 7

BILL TO PROJECT DESCRIPTION

A&E BUILDERS, LLC SALAD & GO 505 S VAL VISTA DRIVE SUITE 1 SPEEDWAY BLVD MESA, AZ 85204

Purchase Order # REP DUE DATE PROJECT #

#1165 JAO 2/18/2024 EO-1036

DESCRIPTION Contract Amt Prior Current

CHANGE ORDER #4: AS PER REQUEST FROM A&E 2,920.00 2,920.00 ON 5/10/2023 CHANGE ORDER #5 9/13/2023 - Coordinate sturgeon 4,960.00 4,960.00 and TEP for mandrel test and secondary feeders to Salad N' Go wire pull. Sturgeon will on site all day until services are completed and secondary wires are terminated within the CT enclosure. Sturgeon will provide all labor and equipment required for the installation, SFA electricians will provide the 4" mandrel and terminate the secondary. CHANGE ORDER #5 10/04/2023 - Add conduit system 1,050.27 1,050.27 raceway and power for an additional sign added to the East elevation CHANGE ORDER #6 10/04/2023 - Two trips on 900.33 900.33 different occasions were needed to repair cut and broken conduits below grade that was damaged during trenching and again during the conrete pouring.

Subtotal $9,830.60 Should you have any questions regarding this invoice, TPT Tax () $0.00 we can be reached at (520) 647-7908. Total $9,830.60

Payments/Credits -$6,460.27 We Appreciate Your Business Balance Due $3,370.33 3/29/24, 2:24 PM State of Arizona Mail - Re: Complaint No. 2024-03254

Legal New Mail - AZROC <[email redacted]>

Re: Complaint No. 2024-03254 message

Giovanna Kerr <[email redacted]> Wed, Mar 27, 2024 at 1:09 PM To: "[email redacted]" <[email redacted]>

Please see attached invoices that were requested. For RO-7096 its’s a combination of 3 invoices that total the amount $8,534.06

Thank you,

Giovanna Kerr Controller

[email redacted]

520-647-7908 Office

520-574-2383 Fax

attachments 20240327 Notice of Incomplete No-Pay Complaint MAILED 2024-03254.pdf 120K Inv_1036_EO_7_from_SFA_ContractingLLC_22348.pdf 121K Inv_7096_RO_1_from_SFA_ContractingLLC_22348.pdf 128K Inv_7096_RO_2_from_SFA_ContractingLLC_22348.pdf 125K Inv_7096_RO_3_from_SFA_ContractingLLC_22348.pdf 121K

https://mail.google.com/mail/b/AEoRXRRigVZyOg24bPg5zpV21_U8j0Kp7IPR8c698D9MdbBvKo0P/u/0/?ik=d3afebeda9&view=pt&search=all&permth… 1/1 March 27, 2024

Via U.S. Mail and Email

Complainant Nicholas Joseph Carolan SFA Contracting LLC 9297 E Old Vail Rd Tucson, AZ 85747

Via U.S. Mail and Email

Respondent A & E Builders LLC 505 S Val Vista Dr Ste 1 Mesa, AZ 85204

Re: Complaint No. 2024-03254

Dear Complainant and Respondent:

1. Invoice EO-1036 #1165 with the amount reflecting the outstanding balance of $3,370.33 2. Invoice RO-7096 #1154 with the amount reflecting the outstanding balance of $8,534.06

Documents can be submitted by:

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

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/Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department 1700 W Washington St. Ste 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100a 11/23 April 4, 2024

Via U.S. Mail and Email

Complainant Nicholas Joseph Carolan SFA Contracting LLC 9297 E Old Vail Rd Tucson, AZ 85747

Via U.S. Mail and Email

Respondent A & E Builders LLC 505 S Val Vista Dr Ste 1 Mesa, AZ 85204

Re: Complaint No. 2024-03254

Dear Complainant and Respondent:

The Registrar received a complaint filed against A & E Builders 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 April 11, 2024. Please reference the complaint number listed above if you file a response. Respondent may file a response by:

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

The Registrar will not issue a citation before April 11, 2024 and will review Respondent’s response, if one is submitted.

Please be advised that a response to the complaint is not the same as a written answer. If the Registrar issues a citation Respondent must file a written answer to that citation in accordance with A.R.S. § 32-1155.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Sincerely,

/s/Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department 1700 W Washington St. Ste 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 4/19/24, 1:13 PM State of Arizona Mail - No Pay Notice 2024-03254 LEGAL RECEIVED 04/17/2024

Legal New Mail - AZROC <[email redacted]>

No Pay Notice 2024-03254 messages

Legal New Mail - AZROC <[email redacted]> Thu, Apr 4, 2024 at 1:00 PM Bcc: Zulema Valenzuela <[email redacted]>, Giovanna Kerr <[email redacted]>

Hello,

Attached please find an electronic courtesy copy of the letter issued in this case. This document was also sent to your attention via US Mail.

Thank you,

Arizona Registrar of Contractors Legal Department

Fill out AZ ROC’s survey to let us know how we’re doing and how we can better serve you!

20240404 Notice of No-Pay Complaint MAILED 2024-03254.pdf 102K

Zulema Valenzuela <[email redacted]> Wed, Apr 17, 2024 at 3:59 PM To: Legal New Mail - AZROC <[email redacted]>, "[email redacted]" <[email redacted]>

Madelyn,

I apologize for my delayed response.

Please see attached documentation. This subcontractor has been paid. They cashed checks that state final retention, highlighted. I attached a copy of one cleared check have requested the other cleared check.

Thank you for your time.

https://mail.google.com/mail/b/AEoRXRSJlQu4pIuhkt2XYgwfvjI-MlALjixIOF2NRDKzBDlDbX03/u/0/?ik=d3afebeda9&view=pt&search=all&permthid=th… 1/2 4/19/24, 1:13 PM State of Arizona Mail - No Pay Notice 2024-03254 LEGAL RECEIVED 04/17/2024

From: [email redacted] <[email redacted]> on behalf of Legal New Mail - AZROC <[email redacted]> Date: Thursday, April 4, 2024 at 1:01 PM To: Subject: No Pay Notice 2024-03254

Hello,

Attached please find an electronic courtesy copy of the letter issued in this case. This document was also sent to your attention via US Mail.

Thank you,

Arizona Registrar of Contractors

Legal Department

Fill out AZ ROC’s survey to let us know how we’re doing and how we can better serve you! Image removed by sender.

attachments SFA 2441 ck rqst .pdf 171K SFA Contracting Payments.pdf 31K CK 2626 SFA.pdf 199K

https://mail.google.com/mail/b/AEoRXRSJlQu4pIuhkt2XYgwfvjI-MlALjixIOF2NRDKzBDlDbX03/u/0/?ik=d3afebeda9&view=pt&search=all&permthid=th… 2/2 4/17/24, 3:54 PM PNC Online Banking LEGAL RECEIVED 04/17/2024

Date Description Amount Account 01/31/2024 Check 2626 $453.00 XXXXXX7107

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A&E Builders LLC Transaction List by Vendor All Dates

VENDOR DATE TRANSACTION TYPE NUM POSTING MEMO/DESCRIPTION ACCOUNT FULL NAME AMOUNT

SFA Contracting SFA Contracting 06/12/2023 Check 2284 Yes Salad and Go 1165 Invoice 7889 T1 balance PNC Bank -$75.16 SFA Contracting 05/01/2023 Check 2170 Yes Salad and Go 1165 invoice 7889 T2 PNC Bank -$399.80 SFA Contracting 01/19/2024 Check 2608 Yes SALAD AND GO 1165 SALAD AND GO 1165 EO1036 CO6 PNC Bank -$450.00 SFA Contracting 01/19/2024 Check 2626 Yes SALAD AND GO 1165 1036 EO5 - Final retention PNC Bank -$453.00 SFA Contracting 07/31/2023 Check 2354 Yes Salad and Go 1165 Invoice 7889 T 5 PNC Bank -$500.02 SFA Contracting 01/19/2024 Check 2624 Yes SALAD AND GO 1165 7142 RO2 - Final retention PNC Bank -$711.70 SFA Contracting 01/19/2024 Check 2621 Yes SALAD AND GO 1165 1036 EO4 - Final retention PNC Bank -$819.82 SFA Contracting 05/19/2023 Check 2186 Yes Salad and Go 1165 Inv 7889 T 1 PNC Bank -$863.88 SFA Contracting 09/08/2023 Check 2415 Yes Salad and Go 1165, 7142 CO#2 PNC Bank -$917.69 SFA Contracting 09/08/2023 Check 2416 Yes Salad and Go 1165, 7142 CO#3 PNC Bank -$950.00 SFA Contracting 01/19/2024 Check 2615 Yes SALAD AND GO 1165 7142 RO3 - FINAL RETENTION PNC Bank -$1,034.50 SFA Contracting 01/19/2024 Check 2610 Yes SALAD AND GO 1165 SALAD AND GO 1165 EO1036 CO5 PNC Bank -$1,050.27 SFA Contracting 01/19/2024 Check 2613 Yes SALAD AND GO 1165 7142 RO4 FINAL RETENTION PNC Bank -$1,582.31 SFA Contracting 01/19/2024 Check 2627 Yes SALAD AND GO 1165 1036 EO6 - Final retention PNC Bank -$1,650.00 SFA Contracting 01/19/2024 Check 2625 Yes SALAD AND GO 1165 7142 RO6- Final retention PNC Bank -$1,858.34 SFA Contracting 01/19/2024 Check 2619 Yes SALAD AND GO 1165 1036 EO2 - Final retention PNC Bank -$1,874.00 SFA Contracting 07/10/2023 Check 2319 Yes Salad and Go 1165 Invoice 7889 T3, T4 PNC Bank -$1,942.78 SFA Contracting 11/02/2023 Check 2441 Yes Salad and Go 1154 RETENTION FINAL PNC Bank -$2,188.84 SFA Contracting 01/19/2024 Check 2614 Yes SALAD AND GO 1165 7142 RO5 FINAL RETENTION PNC Bank -$2,195.00 SFA Contracting 01/19/2024 Check 2618 Yes SALAD AND GO 1165 1036 EO1 - Final retention PNC Bank -$2,197.32 SFA Contracting 01/19/2024 Check 2612 Yes SALAD AND GO 1165 SALAD AND GO 1165 7142 CO3 PNC Bank -$2,405.00 SFA Contracting 05/19/2023 Check 2185 Yes Salad and Go 1154 invoice 7096 RO 3 PNC Bank -$2,500.00 SFA Contracting 01/19/2024 Check 2620 Yes SALAD AND GO 1165 1036 EO3 - Final retention PNC Bank -$2,617.75 SFA Contracting 01/19/2024 Check 2611 Yes SALAD AND GO 1165 SALAD AND GO 1165 7142 CO4 PNC Bank -$3,420.69 SFA Contracting 01/19/2024 Check 2622 Yes SALAD AND GO 1165 7142 RO1 - Final retention PNC Bank -$3,446.10 SFA Contracting 09/21/2023 Check 2424 Yes Salad and Go 1165, 1036 EO4 PNC Bank -$3,700.42 SFA Contracting 07/25/2023 Check 2343 Yes Salad and Go 1154, 7096 RO 4 PNC Bank -$4,078.96 SFA Contracting 09/22/2023 Check 2435 Yes Salad and Go 1164 RETENTION FINAL PNC Bank -$4,451.29 SFA Contracting 01/19/2024 Check 2609 Yes SALAD AND GO 1165 SALAD AND GO 1165 EO1036 CO4 PNC Bank -$4,960.00 SFA Contracting 05/01/2023 Check 2159 Yes PGMAA invoice 7106 RO 1 PNC Bank -$5,412.83 SFA Contracting 07/31/2023 Check 2356 Yes Invoice 7143 RO 2 PNC Bank -$6,190.02 SFA Contracting 06/12/2023 Check 2252 Yes Salad and Go 1165 Invoice 7142 RO 2 PNC Bank -$6,405.30 SFA Contracting 09/08/2023 Check 2418 Yes Salad and Go 1165, 1036 EO4 PNC Bank -$7,128.00 SFA Contracting 07/31/2023 Check 2353 Yes Salad and Go 1165 Invoice 7142 RO3 PNC Bank -$9,311.10 SFA Contracting 04/03/2023 Check 2114 Yes Salad and Go #1154 Invoice 7096 RO2 PNC Bank -$10,033.00 SFA Contracting 11/01/2023 Check 2513 Yes SALAD AND GO 1165 1036 EO5 INCLUDES CO#2 PNC Bank -$12,627.00 SFA Contracting 11/01/2023 Check 2512 Yes Salad and Go 1165 SFA CO#3, LESS 10% RETENTION PNC Bank -$14,850.00 SFA Contracting 05/01/2023 Check 2167 Yes Salad and Go 1165 invoice 1036 EO 2 PNC Bank -$16,870.00 SFA Contracting 04/03/2023 Check 2112 Yes Salad and Go #1165 - inv 1036 EO 1 PNC Bank -$19,775.93 SFA Contracting 06/12/2023 Check 2253 Yes Salad and Go 1165 Invoice 1036 EO 3 PNC Bank -$23,558.00 SFA Contracting 01/06/2023 Check 2038 Yes Salad and Go #1154 - material deposit PNC Bank -$25,684.20 SFA Contracting 05/01/2023 Check 2168 Yes Salad and Go 1165 invoice 7142 RO 1 PNC Bank -$31,014.90 SFA Contracting 06/12/2023 Check 2251 Yes Salad and Go 1164 Inv 7143 RO 1 PNC Bank -$42,130.80

Wednesday, April 17, 2024 Wednesday, April 17, 2024 10:49 PM GMTZ 1/1 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

SFA Contracting LLC, Case No. 2024-03254 COMPLAINANT, v. A & E Builders LLC CITATION License No. ROC 336255, RESPONDENT.

The Registrar issues this Citation to A & E Builders LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by May 4, 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 March 19, 2024, SFA Contracting LLC (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT

Charge :1 A.R.S. § 32-1154(A)(10) — Failure by a licensee or agent or official of a licensee to pay monies in excess of $750 when due for materials or services rendered in connection with the licensee's operations as a contractor

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 unless the licensee proves that the licensee lacks the capacity to pay and has not received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. 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:

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. 2024-03254. 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

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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 Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than May 4, 2024. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an 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

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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 Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s 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 19, 2024. By: /s/ Robert Stirling Robert Stirling Assistant General Counsel 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 19, 2024 to:

Respondent Certified Mail No: [number redacted]

A & E Builders LLC 505 S Val Vista Dr Ste 1 Mesa, AZ 85204 Copy mailed by USPS First Class mail this same date to: A & E Builders LLC 505 S Val Vista Dr Ste 1 Mesa, AZ 85204

Complainant SFA Contracting LLC 9297 E Old Vail Rd Tucson, AZ 85747

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. 2024-03254 / 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 Received 5/03/2024 ROC Legal

BRENTWOOD LAW GROUP, PLLC Stephen Brower (No. 024908) [email redacted] 1222 East Baseline Road, Suite 200 Tempe, Arizona 85283 Telephone: (480) 428-8015 Attorneys for Respondent A&E Builders, LLC For e-filing service only: [email redacted]

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA SFA Contracting, LLC Case No. 2024-03254 COMPLAINANT, ANSWER v. A&E Builders, LLC, License No. ROC336255 RESPONDENT.

Respondent A&E Builders, LLC (“Respondent”) answers Complainant’s Complaint and the Registrar’s Citation as follows: 1. Respondent has paid all pay application and invoices provided by SFA Contracting, LLC (“Complainant”) which aligned with the scope of work. 2. Complainant submitted a change order dated June 9, 2023 (“Change Order”) to Respondent which described the work and the amount which would be owed. A copy of the unsigned Change Order is attached as Exhibit A. 3. The client for the project did not approve the Change Order. 4. Complainant knew it did not have the client’s permission to undergo the work described in the Change Order. 5. Respondent did not pay for the work referenced in the Change Order because it was not approved by the client. Received 5/03/2024 ROC Legal

6. Respondent was not obligated to pay for the work referenced in the Change Order. 7. Respondent denies all allegations in the Complaint which were not expressly admitted herein. REQUEST FOR HEARING 8. Respondent also submits a request for an informal settlement conference pursuant to A.R.S. § 41-1092.06. DATED: May 3, 2024. BRENTWOOD LAW GROUP, PLLC By: /s/ Stephen Brower Stephen Brower Attorneys for Respondent A&E Builders, LLC

ORIGINAL of the foregoing electronically filed by email with the ROC on May 3, 2024:

Registrar of Contractors P.O. Box 18244, Phoenix Arizona, 85005-8244 [email redacted]

Copy of the foregoing served via U.S. Mail and email on May 3, 2024 to:

SFA Consulting, LLC Nicholas Carolan 9297 E Old Vail Tucson, Arizona 85747 [email redacted]

/s/ L. Zeebuyth

BRENTWOOD LAW GROUP, PLLC -2- TEMPE, AZ Received 5/6/24, 8:12 AM State of Arizona Mail - SFA Contracting v. A&E Builders - Notice of Appearance and Answer 5/03/2024 ROC Legal

Answers - AZROC <[email redacted]>

SFA Contracting v. A&E Builders - Notice of Appearance and Answer message

Lena Zeebuyth <[email redacted]> Fri, May 3, 2024 at 5:38 PM To: "[email redacted]" <[email redacted]>, "[email redacted]" <[email redacted]> Cc: Stephen Brower <[email redacted]>, Joel Wresh <[email redacted]>

Good afternoon,

See the attached Notice of Appearance and Answer for the above referenced matter.

Sincerely, Lena

Lena Zeebuyth Associate Attorney

Direct: (480) 428-8487 | Office: (480) 428-8015 [email redacted] 1222 E. Baseline Road, Suite 200, Tempe, Arizona 83283 NOTE: The information in this email and any attachments is confidential and may be legally privileged. If it appears that you are not the intended recipient or have received this email in error, you may not read, use, or disseminate the email or information contained or attached to it, and no privilege has been waived by your receipt of the same. In such case, please notify the sender and then delete the message. Thank you.

attachments 2024.05.03 Notice of Appearance.pdf 131K 2024.05.03 Answer to ROC Citation.pdf 158K

https://mail.google.com/mail/b/AEoRXRS_JuIHqyeoMTSYSM1cMCO6iYpvwGcZUN2Igqrs-5zjv2I7/u/0/?ik=581c53cf5c&view=pt&search=all&permthid… 1/1 Mediation Notice

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

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

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

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

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

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

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

_____________________________________ _______________________ Respondent (or representative) Date

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

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

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

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

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

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

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

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

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

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

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

Exhibit Exhibit Name

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

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

Print Name Signature Date

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