2024A-03311-NPC-ROC Notice of Hearing & Packet MAILED 2024-03311.pdf

2024A-03311-NPC-ROC · Registrar of Contractors · 2024-07-31

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

AFR Dynamics LLC, Case No. 2024-03311

COMPLAINANT, Docket No. 2024A-03311-NPC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE COE RENOVATION LLC License No. ROC 317313,

RESPONDENT.

This Notice of Hearing is issued under A.R.S. § 41-1092.05(D). HEARING INFORMATION The hearing is set for:

September 13, 2024 9:00 AM Samuel Fox 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 May 14, 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 July 31, 2024.

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

Copy mailed via USPS First Class mail July 31, 2024 to:

Respondent(s) COE RENOVATION LLC 2316 E Roosevelt St Phoenix, AZ 85006

Respondent's Attorney Andrew J. Wenker, Esq. 6730 N Scottsdale Rd, Ste. 101 Scottsdale, AZ 85253 Complainant(s) AFR Dynamics LLC 502 E Ingram St Mesa, AZ 85203

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. 2024-03311 /

Douglas A. Ducey, Governor Jeffrey L. Fleetham, 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

Douglas A. Ducey, Governor Jeffrey L. Fleetham, 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

Douglas A. Ducey, Governor Jeffrey L. Fleetham, 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 26, 2024

Via U.S. Mail and Email

Complainant AFR Dynamics LLC 502 E Ingram Street Mesa, AZ 85203

Respondent COE RENOVATION LLC 2316 E Roosevelt St Phoenix, AZ 85006

Re: Complaint No. 2024-03311

Dear Complainant and Respondent:

The Registrar received a complaint filed against COE RENOVATION 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. Please provide a copy of the original contract signed by both parties. If no written contract, provide: a. The reason a written contract is not being provided. b. A description of any written documents used to describe the contract. c. The work to be performed under the contract. d. The names of the people who negotiated the contract. e. The agreed upon payment schedule. f. Who was to receive payment; and g. Date the work was to be completed.

You can also attach credit application, promissory note, emails, and/or texts.

Please provide ALL requested information by April 8, 2024. The Registrar will close this complaint (as incomplete) without further written notice if you fail to provide the requested documentation by such date.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100a 11/23 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] or [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/Gail Mathews Gail Mathews Legal Assistant II Legal Department 1700 W Washington St. Ste 105 Phoenix, AZ 85007

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ÿ ÿ1661786 QR! o) OO"p qrÿ!!stQRÿuv2w) <lp 8888ÿ3126ÿ) "Axp Reference Complaint No: 2024-03311 Sub: Non-Payment Project: The Quinn Apartment

Complainant: AFR Dynamics, LLC 502 E. Ingram Street Mesa AZ 85203 Respondent: Coe Renovation 2316 E. Roosevelt Phoenix AZ 85006

Description of documents requested by ROC

Item 1 (a,b): Copy of Original Contract Signed by both Parties.

AFR Dynamics has conducted multiple contracts with Coe Renovation with the following items outlined:

1. AFR Dynamics would submit an estimate for a specific Project via email and upon approval, agreed to the terms and conditions outlined in estimate, Coe Renovation would issue a “Purchase Order” in order to proceed. 2. Coe Renovation’s Approval/Purchase Orders that were issued were never signed and an email with a “Purchase Order” was considered as an approval of the contract. Note: AFR Dynamics can submit various “Purchase Orders” as evidence if needed.

Item 1(d): Name of the People who negotiated the contract.

1. James Leonard 2. David Segal

Item 1(e): The Agreed upon Payment Schedule. 1. Estimate submitted by AFR Dynamics always dictates terms of payments and issuing of an “Purchase Order” (by Coe Renovation) by default agree to the “Terms and Conditions” under which, Coe Renovation supposed to pay to AFR Dynamics a 25% of total original Contract Amount. 2. AFR Dynamics submitted an invoice for the initial 25% of the original contract amount, which Coe Renovation never paid and made AFR dynamics work until their dispute started with the owner, at which point they had asked AFR Dynamics to stop the work.

Item 1(f): Who was to Receive the Payment 1. AFR Dynamics, LLC

Item 1(g): Date the Work was Completed. 1. AFR Dynamics had started the project after receiving a purchase order from Coe Renovation and continued worked until told to stop, until such time Coe Renovation kept AFR Dynamics in the dark and failed to disclose that they had an issue with the owner of the project. AFR Dynamics had purchased material, put labor (receipts can easily be obtained from the vendors). AFR Dynamics had run hard metal (EMT) Power Conduits from SES Panel Location to individual Buildings, Provided major J-Boxes.

2. AFR Dynamics Material and Labor cost was approximately, $67,000.00 but under contract 25% ($102,500.00) must paid up-front which Coe Renovation failed to do.

Note: AFR Dynamics sees an intentional violation of contract committed by Coe Renovation as: 1. Failed to disclose a dispute with owner and had made AFR Dynamics continue to work. 2. It has been brought to the attention of AFR Dynamics that Coe Renovation had collected funds from the owner of the project though legal battle but failed to be passed on to its Subcontractor. 3. AFR Dynamics is considering legal action, if fails through ROC channel.

Mohammad Afridi AFR Dynamics 502 E. Ingram Street Mesa AZ 85203 COe-Renovation, LLC 727 E Bethany Home Rd Ste D230 Phoenix, AZ 85014 US (602) 501-5632 [email redacted] www.coerenovation.com

Purchase Order VENDOR SHIP TO P.O. NO. 1416 AFR Dynamics The Quinn Apartments DATE 03/07/2022 502 E. Ingram St 5125 N La Puente Mesa, AZ 85203 Phoenix, AZ 85044

ACTIVITY QTY RATE AMOUNT

Contractors 15,000.00 Arch-fault breakers through out ACTIVITY QTY RATE AMOUNT

Contractors 395,000.00 Phase 1: • PVC conduit from main power to utility transformer • Providing installation and hooking up SRP provided utility Transformer • Feeders from utility transformer to SES 1000 amps panel. • Providing installation of SES 1000 amps – 3 phase panel • Running feeders from SES Panel to the main distribution panel • Providing and installation of Main distribution panel/SES comprises of (3) Distribution panels with 400 amps Disconnects each. Each with minimum four 3 phase disconnects • Providing close cabinet for distribution panel • Installation of EMT conduit (3”, 2-1/2”, 2”,1-1/2”) from Main distribution panel to four buildings (Building# 3, building# 4, building# 5, building# 6) to various floors, to total of 25 Electrical panels. • Pulling various wires (per plans) from Main distribution to each individual panel Phase 2: • Providing an installation of 25 New Electrical panels with circuit breakers • Running feeders from each individual panel to the kitchen area (Range, Appliance circuit, disposal, microwave hood). Note: Plans doesn’t call out for Smoke detector, but we verify if there is an existing circuit for it. • Providing 2 led light in the kitchen area and trimming of switches outlets etc. Phase 3: • Providing installation of 3 Mini Split Units for units. • Providing Installation of 4 Ton Heat Pump Packaged Rooftop Unit in gym and laundry area • Providing Installation of external and internal Duct work for 4 Ton Heat Pump Packaged Rooftop Unit in gym and laundry area • Providing installation of Supply and Return registers • Re-routing of all existing conduit and wire as explained by Mr. Jim."

TOTAL $410,000.00 Approved By

Date 502 E. Ingram Street Invoice Mesa AZ 85203 Invoice No Date Phone: 480-275-7535 AFR21-039 4/19/2022

Customer Information Site Information CoeRenovation 727 E Bethany Home Rd Ste D230 Phoenix, AZ 85014

Phone: 602-501-5632 E-mail: [email redacted]

Customer P.O Project Number / Name Date Serviced Due Date The Quinn Ahwatukee 4/19/2022 4/19/2022

Item Code Work Description Est Amt Curr % Amount New Install Project Total Cost (See AFR Project Estimate) 395,000.00 25.00% 98,750.00 Chg. Order See Attached File for details- Arch Fault Breakers Throughout 15,000.00 25.00% 3,750.00

Payment Terms & Conditions Sub Total $102,500.00 Payment made by Credit Card may subject to an additional 7% Charge. Amount Paid $0.00 Payment in Installment: "A Payment Promissory Agreement" MUST need to be Signed. Amount Due $102,500.00 April 10, 2024

Via U.S. Mail and Email

Complainant AFR Dynamics LLC 502 E Ingram Street Mesa, AZ 85203

Respondent COE RENOVATION LLC 2316 E Roosevelt St Phoenix, AZ 85006

Re: Complaint No. 2024-03311

Dear Complainant and Respondent:

The Registrar received a complaint filed against COE RENOVATION 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 17, 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 17, 2024 and will review Respondent’s response, if one is submitted.

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

Sincerely,

/s/ Gail Mathews Gail Mathews Legal Assistant II Legal Department Arizona Registrar of Contractors

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 18243 Phoenix, AZ 85005-8243

Person Filing Complaint (Payee) Business Name Full Name (First Middle Last) ROC License Number(s) (if any) Mohammad Afridi Street Address City State Zip Code 502 E. Ingram Street Mesa Arizona 85203 Phone Number Email Address [number redacted] [email redacted] I consent to receive communications electronically in connection with this case

Name of Attorney (if any)

Attorney’s Street Address City State Zip Code

Attorney’s Phone Number Attorney’s Email Address

Licensee Information (Payer) Name (as shown on contracts, invoices, etc.) ROC License Number(s) COE RENOVATION LLC ROC 317313 Street Address City State Zip Code 727 E. Bethany Home Rd Suite: D230 Phoenix Arizona 85014 Phone Number Email Address

Name of Person(s) Representing License James Leonard Complaint Information Principal Amount Due (excluding interest and fees) Contract Date (if applicable) $102,500.00 April 19, 2022 Have you filed a civil complaint? No List all specific invoices which have not been paid. Attach additional pages if necessary. 102500.00

Certification I certify, upon information and belief, that the above-named licensee has failed to pay monies in excess of seven hundred fifty dollars when due for materials or services rendered in connection with the licensee’s operations as a contractor. I further certify, upon information and belief, that the above-named licensee has the capacity to pay, or has received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. A.R.S. § 32-1154(A)(10). Printed Name Signature Date Mohammad Afridi Declaration & Signature I am the Complainant in this Complaint Form or Complainant’s duly authorized representative. I declare under penalty of perjury that the information contained in this Form is true and correct to the best of my knowledge. I further certify that any documents submitted in support of this complaint are true and correct copies of the originals and are accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date Mohammad Afridi Reference Complaint No: 2024-03311 Sub: Non-Payment Project: The Quinn Apartment

Complainant: AFR Dynamics, LLC 502 E. Ingram Street Mesa AZ 85203 Respondent: Coe Renovation 2316 E. Roosevelt Phoenix AZ 85006

Description of documents requested by ROC

Item 1 (a,b): Copy of Original Contract Signed by both Parties.

AFR Dynamics has conducted multiple contracts with Coe Renovation with the following items outlined:

Item 1(d): Name of the People who negotiated the contract.

1. James Leonard 2. David Segal

Item 1(f): Who was to Receive the Payment 1. AFR Dynamics, LLC

2. AFR Dynamics Material and Labor cost was approximately, $67,000.00 but under contract 25% ($102,500.00) must paid up-front which Coe Renovation failed to do.

Mohammad Afridi AFR Dynamics 502 E. Ingram Street Mesa AZ 85203 COe-Renovation, LLC 727 E Bethany Home Rd Ste D230 Phoenix, AZ 85014 US (602) 501-5632 [email redacted] www.coerenovation.com

Purchase Order VENDOR SHIP TO P.O. NO. 1416 AFR Dynamics The Quinn Apartments DATE 03/07/2022 502 E. Ingram St 5125 N La Puente Mesa, AZ 85203 Phoenix, AZ 85044

ACTIVITY QTY RATE AMOUNT

Contractors 15,000.00 Arch-fault breakers through out ACTIVITY QTY RATE AMOUNT

TOTAL $410,000.00 Approved By

Date 502 E. Ingram Street Invoice Mesa AZ 85203 Invoice No Date Phone: 480-275-7535 AFR21-039 4/19/2022

Customer Information Site Information CoeRenovation 727 E Bethany Home Rd Ste D230 Phoenix, AZ 85014

Phone: 602-501-5632 E-mail: [email redacted]

Customer P.O Project Number / Name Date Serviced Due Date The Quinn Ahwatukee 4/19/2022 4/19/2022

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