2024A-03324-CHC-ROC Notice of Hearing & Packet MAILED 2024-03324.pdf

2024A-03324-CHC-ROC · Registrar of Contractors · 2024-06-06

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Dennis Ray Barker , Case No. 2024-03324

COMPLAINANT, Docket No. 2024A-03324-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE Lifetime Windows & Doors LLC License No. ROC 313945,

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

HEARING INFORMATION The hearing is set for:

July 23, 2024 1:00 PM 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 May 17, 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)(3) - R4-9-108(b)

Charge: 3 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 June 6, 2024.

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

Copy mailed via USPS First Class mail June 6, 2024 to:

Respondent(s) Lifetime Windows & Doors LLC 4141 S 36th St #120 Phoenix, AZ 85040

Complainant(s) Dennis Ray Barker 4024 E Western Star Blvd Phoenix, AZ 85044

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. 2024-03324 /

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

3/27/24, 4:53 PM State of Arizona Mail - ROC Complaint #2024-03324

Todd Anderson <[email redacted]>

ROC Complaint #2024-03324 Mail Delivery Subsystem <[email redacted]> Wed, Mar 27, 2024 at 4:30 PM To: [email redacted]

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550 5.4.1 Recipient address rejected: Access denied. [CH2PEPF0000009F.namprd02.prod.outlook.com 2024-03-27T23:30:11.772Z 08DC4C20B25B306A]

Final-Recipient: rfc822; [email redacted] Action: failed Status: 5.4.1 Remote-MTA: dns; lifetimewindowscolorado-com.mail.protection.outlook.com. (52.101.194.0, the server for the domain lifetimewindowscolorado.com.) Diagnostic-Code: smtp; 550 5.4.1 Recipient address rejected: Access denied. [CH2PEPF0000009F.namprd02. prod.outlook.com 2024-03-27T23:30:11.772Z 08DC4C20B25B306A] Last-Attempt-Date: Wed, 27 Mar 2024 16:30:11 -0700 (PDT)

---------- Forwarded message ---------- From: Todd Anderson <[email redacted]> To: [email redacted], [email redacted] Cc: Bcc: Date: Wed, 27 Mar 2024 16:29:58 -0700 Subject: ROC Complaint #2024-03324 ----- Message truncated -----

https://mail.google.com/mail/u/0/?ik=9cbed3e67d&view=pt&search=all&permmsgid=msg-f:[number redacted]&simpl=msg-f:[number redacted]… 1/1 Complainant: Dennis Ray Barker 4024 E Western Star Blvd Phoenix, AZ 85044

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: Lifetime Windows & Doors LLC DBA: 4141 S 36th St Phoenix, AZ 85040

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 March 27, 2024

Re: Complaint No. 2024-03324

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for Wednesday, April 17, 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,

Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 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 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.

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Todd Anderson <[email redacted]>

ROC Written Directive #2024-03324 Mail Delivery Subsystem <[email redacted]> Thu, Apr 25, 2024 at 12:06 PM To: [email redacted]

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The response from the remote server was:

550 5.4.1 Recipient address rejected: Access denied. [CY4PEPF0000EDD0.namprd03.prod.outlook.com 2024-04-25T19:06:11.283Z 08DC654491DA894F]

Final-Recipient: rfc822; [email redacted] Action: failed Status: 5.4.1 Remote-MTA: dns; lifetimewindowscolorado-com.mail.protection.outlook.com. (52.101.40.4, the server for the domain lifetimewindowscolorado.com.) Diagnostic-Code: smtp; 550 5.4.1 Recipient address rejected: Access denied. [CY4PEPF0000EDD0.namprd03. prod.outlook.com 2024-04-25T19:06:11.283Z 08DC654491DA894F] Last-Attempt-Date: Thu, 25 Apr 2024 12:06:11 -0700 (PDT)

---------- Forwarded message ---------- From: Todd Anderson <[email redacted]> To: Ray Barker <[email redacted]>, [email redacted] Cc: Bcc: Date: Thu, 25 Apr 2024 12:05:57 -0700 Subject: ROC Written Directive #2024-03324 ----- Message truncated -----

https://mail.google.com/mail/u/0/?ik=9cbed3e67d&view=pt&search=all&permmsgid=msg-f:[number redacted]&simpl=msg-f:[number redacted]… 1/1 Jobsite Inspection Notes

Case No.: 2024-03324 Investigator: Todd Anderson Inspection Date: Wednesday, April 17, 2024 Inspection Time: 09:00 AM

Complainant: Dennis Ray Barker Respondent: Lifetime Windows & Not Present: Doors LLC Not Present:

Jobsite General Notes:

Respondent was not present at the Jobsite Inspection

Compliance Item: 1 - New OSB Sheathing must meet the manufacturer’s requirements per the City of Phoenix building code inspection. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 2 - OSB seems-edges must be blocked and nailed per manufacturer’s instructions and City of Phoenix building code inspection. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 3 - Remove old weep screed so OSB is nailed tight to the bottom plate per City of Phoenix building code inspection. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 4 - OSB not nailed with a minimum fastener spacing of 6” on center at panel ends and edges per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 5 - OSB not nailed with a minimum fastener spacing of 12” o.c. at intermediate supports per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 6 - Edge fasteners not installed 3/8” from panel ends, edges, and corners per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 7 - OSB joints not placed approx. along the center line of framing and min. bearing of .5” per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 8 - OSB not nailed with manufacture approved nails with shank diameter of .131 inches and minimum penetration of 1.75 inches Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 9 - OSB panels must be spaced 1/8 inch minimum along panel ends and edges per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 10 - Replace 3/8 inch plywood installed my Lifetime Windows with 7/16 inch OSB sheathing. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 11 - Protruding nails, metal lath, debris and staples from the OSB not removed before house wrap installed. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 12 - 3/8” staples used. House Wrap Manufacturer's instructions call out large headed or plastic cap nails or 1” crown staple Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 13 - Very large screw's used in some locations to attach house wrap Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 14 - House wrap Fasteners not placed every 12 inch to 18 inch along vertical studs per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 15 - “Inverted Y” cut and flaps installation not followed per house wrap and flashing and window manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 16 - House wrap tape not used on vertical seems per manufactures instructions. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 17 - The Everbilt Non-Woven House wrap is UV resistant has past it 6-months limit and will need to be replaced. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 18 - The Everbilt Non-Woven House wrap is is not approved to be used under stucco Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 19 - Window #4 needs full king and trimmer stud support per City of Phoenix building code inspection Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 20 - Window #7 need full stud trimmer support per City of Phoenix building code inspection Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 21 - Complete electrical and provide nail plate penetration protection per City of Phoenix building code inspection Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 22 - All framing on the tops of windows must be standard headers (not single 2x4 on it side) per building inspector Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 23 - Sill pan flashing is not TYPE III (flexible Membrane) per the manufacturer's instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 24 - Bottom corners of WRB not trimmed and taped per the manufacturer's instructions. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 25 - Side flaps of WRB not wrapped to the interior and stapled, cut back and taped with seam tape per manufacturer's instruct Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 26 - Nail fin corner gaskets not applied per manufacturer's instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 27 - Vinyl drip cap was damaged and removed. Ridged head flashing must be installed now per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 28 - Vertical strips of flashing not installed and trimmed per window manufacturer's instructions. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 29 - Flashing over the head jamb not applied and trimmed per window manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Compliance Item: 30 - WRB seam tape not applied overtop edge of head jamb flashing per window manufacturer instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 31 - Nailing fins damaged and warped by the sun and screw penetrations need to be replaced per manufacturer's warranty. Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 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 C011 12/23

Complainant: Dennis Ray Barker 4024 E Western Star Blvd Phoenix, AZ 85044

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: Lifetime Windows & Doors LLC DBA: 4141 S 36th St Phoenix, AZ 85040

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 April 25, 2024

License No. ROC 313945

Re:Complaint No. 2024-03324

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 May 13th, 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 reasons 1, 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:

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 Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

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 - OSB not nailed with a minimum fastener spacing of 12” o.c. at intermediate supports per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards .Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

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 - House wrap Fasteners not placed every 12 inch to 18 inch along vertical studs per manufacturer’s instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Compliance Item: 18 - The Everbilt Non-Woven House wrap is is not approved to be used under stucco Investigator’s Observation This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’ specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

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: 23 - Sill pan flashing is not TYPE III (flexible Membrane) per the manufacturer's instructions Investigator’s Observation: This window remodel project started on January 12th, 2022. As of the date of this Jobsite Inspection (April 17th, 2024), it has yet to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’s specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Please direct all questions regarding this Directive to the undersigned Investigator.

Sincerely,

Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 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 C009 12/23 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Dennis Ray Barker, Case No. 2024-03324 COMPLAINANT, v. Lifetime Windows & Doors LLC CITATION License No. ROC 313945, RESPONDENT.

The Registrar issues this Citation to Lifetime Windows & Doors LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by June 1, 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 20, 2024, Dennis Ray Barker (“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. Charge :2 A.R.S. § 32-1154(A)(3) - R4-9-108(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 Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in

accordance with professional industry standards, a contractor shall use such

skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity. Charge :3 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F).

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

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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 Case No. 2024-03324. 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 June 1, 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). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either

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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 party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s 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

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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 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 May 17, 2024. By: /s/ Shaquira Adebule Shaquira Adebule Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, May 17, 2024 to: Respondent Certified Mail No: [number redacted] Lifetime Windows & Doors LLC 4141 S 36th St, #Ste 120 Phoenix, AZ 85040

Copy mailed by USPS First Class mail this same date to: Respondent Lifetime Windows & Doors LLC 4141 S 36th St, #Ste 120 Phoenix, AZ 85040 Complainant Dennis Ray Barker 4024 E Western Star Blvd Phoenix, AZ 85044 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 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 Case No. 2024-03324 /

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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

Has any work been corrected? Yes Lifetime Windows The contract was Written All change orders were Written This project was Residential This project involved Remodel

A building permit was obtained by Contractor CTR-[number redacted] Phoenix 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)

The contract with Lifetime Windows was signed almost 3 years ago and they have not been able to complete the work in a professional and workmanlike manner. The contractor has not performed all work following applicable building codes, professional industry standards, and manufacturer's installation instructions. Allegations Listed on Complaint:

New OSB Sheathing must meet the manufacturer’s requirements per the City of Phoenix building code inspection.

OSB seems-edges must be blocked and nailed per manufacturer’s instructions and City of Phoenix building code inspection.

Remove old weep screed so OSB is nailed tight to the bottom plate per City of Phoenix building code inspection.

OSB not nailed with a minimum fastener spacing of 6” on center at panel ends and edges per manufacturer’s instructions

OSB not nailed with a minimum fastener spacing of 12” o.c. at intermediate supports per manufacturer’s instructions

Edge fasteners not installed 3/8” from panel ends, edges, and corners per manufacturer’s instructions

OSB joints not placed approx. along the center line of framing and min. bearing of .5” per manufacturer’s instructions

OSB not nailed with manufacture approved nails with shank diameter of .131 inches and minimum penetration of 1.75 inches

OSB panels must be spaced 1/8 inch minimum along panel ends and edges per manufacturer’s instructions

Replace 3/8 inch plywood installed my Lifetime Windows with 7/16 inch OSB sheathing.

Protruding nails, metal lath, debris and staples from the OSB not removed before house wrap installed.

3/8” staples used. House Wrap Manufacturer's instructions call out large headed or plastic cap nails or 1” crown staple

RCC099 12/05/18 Page 2 of 4 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Very large screw's used in some locations to attach house wrap

House wrap Fasteners not placed every 12 inch to 18 inch along vertical studs per manufacturer’s instructions

“Inverted Y” cut and flaps installation not followed per house wrap and flashing and window manufacturer’s instructions

House wrap tape not used on vertical seems per manufactures instructions.

The Everbilt Non-Woven House wrap is UV resistant has past it 6-months limit and will need to be replaced.

The Everbilt Non-Woven House wrap is is not approved to be used under stucco

Window #4 needs full king and trimmer stud support per City of Phoenix building code inspection

Window #7 need full stud trimmer support per City of Phoenix building code inspection

Complete electrical and provide nail plate penetration protection per City of Phoenix building code inspection

All framing on the tops of windows must be standard headers (not single 2x4 on it side) per building inspector

Sill pan flashing is not TYPE III (flexible Membrane) per the manufacturer's instructions

Bottom corners of WRB not trimmed and taped per the manufacturer's instructions.

Side flaps of WRB not wrapped to the interior and stapled, cut back and taped with seam tape per manufacturer's instruct

Nail fin corner gaskets not applied per manufacturer's instructions

Vinyl drip cap was damaged and removed. Ridged head flashing must be installed now per manufacturer’s instructions

Vertical strips of flashing not installed and trimmed per window manufacturer's instructions.

Flashing over the head jamb not applied and trimmed per window manufacturer’s instructions

WRB seam tape not applied overtop edge of head jamb flashing per window manufacturer instructions

Nailing fins damaged and warped by the sun and screw penetrations need to be replaced per manufacturer's warranty.

RCC099 12/05/18 Page 3 of 4 Table of Contents Note to Installer ......................................................................................................................................................... 3 Cutting the Weather Resistive Barrier (WRB) and Pan Flashing .............................................................................. 4 Flashing the Installation ............................................................................................................................................ 6 Insulating and Sealing the Installation-Nailing Fin .................................................................................................... 9 Insulating and Sealing the Installation-Casing ........................................................................................................ 10 Exterior Sealing Procedures ....................................................................................................................................11

2019-05-13 2 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System Cutting the Weather Resistive Barrier (WRB) and Pan Flashing NOTE: This does not apply to self-adhering WRB sheathing systems.

1. Make horizontal cuts to the Weather Resistive Barrier (WRB) across the top and bottom of the Rough Opening. Make a vertical cut down the center of the RO. then make 45 degree cuts away from the corners of the top of the RO. See Figure 1.

Figure 2

3. Flip the top up and side flaps away and tack temporarily. See Figure 3.

Figure 1

2. Trim up from the bottom corners about 2" (51) and then make an additional horizontal cut about 3 1/2" (89) wide. See Figure 2.

Figure 3

4. Optional: Add a continuous "Sill Wedge" out of cedar siding or similar water resistant material to create a positive drainage slope. Glue it to the RO sill with two beads of adhesive and screw in place. See Figure 4.

2019-05-13 4 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System 6. Wrap side flaps to the interior and staple in place about 1 1/2" (38) from the interior edge of the opening. Cut the excess off near the staple so that a 1" -1 1/2" (25-38) strip of bare wood is exposed. Tape this edge with seam seal tape. See Figure 6.

Figure 4

NOTE: This will affect your RO height, plan according- ly.

5. TYPE III Sill Pan Flash: Apply self sealing flexible membrane slope. See Figure 5. Figure 6

7. Apply seam seal tape over the corners. Place plastic or composite shims at the ends and in the middle of the RO to counter the slope of the sill wedge and support the unit. Fasten with adhesive or finish nails. If using finish nails, place adhesive under shim where the nail will penetrate. See Figure 7.

Figure 5

Flexible flashing membrane

NOTE: Some situations call for an upturned leg at the interior. If that is the case, do so using the excess sill flashing membrane to the interior. Figure 7

2019-05-13 5 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System Flashing the Installation 4. Install a rigid head flash. Seal both horizontal and I M P O R TA N T vertical legs of the rigid head flash. See Figure 10. Nailing fin is not designed to be a weatherproof flashing.

I M P O R TA N T Follow the flashing tape manufacturer’s recommended instructions for attaching to the building materials under the WRB. For example, priming wet or frozen wood, ap- plication temperature, etc.

1. On units that use nailing fin, apply nailing fin corner gaskets. Follow the instructions on the back of the gasket. See Figure 8. Figure 10

Rigid head flash Sealant

5. Optional Skirt: Install an optional "skirt" in applications with exposure to wind driven rain/climate. Use flashing material or a 12" (305) strip of WRB and attach to the sill of the window with seam seal tape or flashing tape. See Figure 11.

Figure 8

2. If using the factory applied vinyl drip cap, make sure it extends about 1/8" (3) beyond the edge of the window on each side.

3. Apply a bead of sealant beneath the vinyl drip cap along the top of the head jamb as shown in Figure 9

Figure 11

Skirt (WRB material or other) Adhesive tape Attached to sill of window

6. Lap vertical strips of adhesive flashing tape onto the Figure 9 unit and out over the WRB. Make small diagonal cuts at Vinyl drip cap the head jamb as in Figure 12 to allow the membrane to Sealant fold back onto the exterior and frame.

2019-05-13 6 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System NOTE: This does not apply to self adhered WRB.

Figure 12

7. Install another layer of adhesive membrane lapping onto the head jamb of the unit and over the sheathing. The membrane flashing at the head jamb should extend and cover the flashing previously installed at the jambs. Make relief cuts and fold down so that it wraps around the jamb See Figure 13 and Figure 14. Figure 15

9. Seal the ends of the rigid head flash by injecting sealant at each end. See Figure 16.

Figure 13

Figure 16

10. Seal the ends of the vinyl drip cap or rigid head flash, by injecting sealant at each end. See Figure 17.

Figure 14

8. Tape the top edge of the head jamb flashing with seam seal tape. See Figure 15.

2019-05-13 7 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System Figure 17

11. Fold the head jamb WRB down over the head jamb flashing. Apply seam seal tape over the diagonal cut in the WRB. Make sure the seam seal tape laps onto the unit or casing. Tape any seams and fasteners directly above the unit with seam seal tape. See Figure 18. Figure 19

NOTE: This does not apply to self adhered WRB.

Figure 18

12. On Round Top units, flash the head jamb using a flexible membrane.

2019-05-13 8 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System Insulating and Sealing the Installation-Nailing Fin We recommend two ways of insulating and sealing the 2. Low Expansion Foam. Install a backer rod at the rough opening cavity. Both follow the principle that stop- exterior plane of the RO. Apply a low expansion/low ping air intrusion will aid in managing water intrusion compression closed cell foam in the cavity. Install a into the RO. backer rod and sealant at the interior plane of the RO to create a continuous air seal. See Figure 21. 1. Loose Fill Fiberglass Insulation. Insulate the RO cavity with loose fill fiberglass insulation. Install a backer rod and sealant at the interior plane of the RO to create a continuous air seal. See Figure 20.

Figure 21

Low expansion foam Backer rod

Figure 20 3 Continuous air seal (sealant) Flashing Loose fill fiberglass insulation Sealant underneath drip cap Backer rod Backer rod Continuous air seal (sealant) Flashing Sealant underneath drip Backer rod

2019-05-13 9 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System Insulating and Sealing the Installation-Casing We recommend two ways of insulating and sealing the 2. Low Expansion Foam. Install a backer rod at the rough opening cavity. Both follow the principle that stop- exterior plane of the RO. Apply a low expansion/low ping air intrusion will aid in managing water intrusion compression closed cell foam in the cavity. Install a into the RO. backer rod and sealant at the interior plane of the RO to create a continuous air seal. See Figure 21. 1. Loose Fill Fiberglass Insulation. Insulate the RO cavity with loose fill fiberglass insulation. Install a backer rod and sealant at the interior plane of the RO to create a continuous air seal. See Figure 20.

Figure 23

Low expansion foam Backer rod Continuous air seal (sealant) Figure 22 4 Flashing Rigid head flash Loose fill fiberglass insulation Sealant Backer rod Continuous air seal (sealant) Flashing Rigid head flash Sealant

2019-05-13 10 Window Rough Opening Prep and Flashing 19913776 Method A1-Membrane Drainage System OSB Information Sheet Residential Floor, Wall & Roof Applications

General Installation West Fraser OSB panels are APA – The Engineered General Wood Association certified panels manufactured to West Fraser OSB panels can be used for floor, wall, Department of Commerce Voluntary Product and roof construction, each having specific Standard PS 2, which is recognized by 1) the requirements. All Rated Sheathing and Sturd-I-Floor International Building Code, 2) the International panels must be spaced 1/8” minimum along panel Residential Code, 3) the International Code Council ends and edges. Refer to APA D481 for situations Evaluation Service (ICC-ES) Evaluation Report ESR- that may require a space greater than 1/8". Panels 2586, and 4) the HUD Use of Materials Bulletin No. marked Sized for Spacing are manufactured 40c. The APA trademark also indicates the panel undersized to allow for an 1/8” minimum gap between grade, span rating, bond classification, and mill panels. When panels become acclimated, gaps that number. West Fraser markings include the were initially present may have closed due to normal production date and time and may also include the moisture-related panel expansion (see APA M300). product brand. For large buildings with continuous sections of panels exceeding 80 feet in length, a 3/4" expansion joint is Sheathing Grades required. Refer to APA U425 for details. Avoid heavy construction loading when the panels have been Rated Sheathing is designed for subfloor, wall, and exposed to substantial wetting and have not yet fully roof sheathing applications. Rated Sturd-I-Floor is dried. designed specifically for use in single-layer floor construction beneath carpet and pad and other For complete installation recommendations and approved floor coverings. PointSIX® is a patented tapered edge exclusive to West Fraser's TruFlor® and requirements, refer to the APA’s Engineered Wood Association Construction Guide E30, the local Durastrand® Sturd-I-Floor. building code, or the design professional. Storage and Handling Floor West Fraser OSB panels should be properly stored, West Fraser produces Rated Sheathing and Rated handled, kept dry, and protected during construction Sturd-I-Floor for subfloor applications. to ensure expected in-service performance. Refer to the latest version of APA’s Engineered Wood The T&G edges of West Fraser's TruFlor, Association Construction Guide, E30. Durastrand, Stabledge®, and Pinnacle® Sturd-I-Floor panels are self-spacing. Subfloor panels with the Bond Classification pointSIX tapered edge should be installed with the tapered side up. All subflooring should be installed West Fraser OSB Rated Sheathing and Sturd-I-Floor with the grade stamped side facing down. Floor are manufactured in accordance with PS 2 and are panels are to be installed with the long dimension produced with an Exposure 1 bond classification perpendicular to supports, continuous over two or suitable for uses not permanently exposed to the more spans, and must have a minimum width of 24". weather. Panels are intended to resist the effects of moisture on structural performance during active Rated Sturd-I-Floor with T&G edges is designed construction. Exposure to moisture can cause specifically for use in single-layer floor construction cosmetic changes like edge swell, surface flaking, beneath carpet and pad. For hardwood, vinyl, thin mold, and mildew. resilient, glued-down carpet, ceramic tile flooring, or lightweight concrete with flooring on top, refer to the latest version of APA’s Engineered Wood Association 1|Page Revised August 4, 2023 Construction Guide, E30 for additional requirements. Fasteners PointSIX is a patented tapered edge exclusive to Minimum nail fastener spacing is 6” on center (o.c.) West Fraser TruFlor and Durastrand Sturd-I-Floor. at panel ends and edges and 12” o.c. minimum at intermediate supports. Edge fasteners must be For West Fraser's Trubord™ Rated Sheathing used installed 3/8” from panel ends, edges, and corners. for subfloor applications, the long panel edges should Wind and seismic design may require fasteners to be be 1) supported with blocking, 2) covered with a installed closer than the minimum fastener spacing. separate layer of underlayment having edges offset a For information regarding the use of fasteners, see minimum 2" from the subfloor edges below, 3) the IBC, IRC, NDS, and APA E30. covered with 1-1/ 2" of lightweight concrete, or 4) covered with 3/4" thick wood strip flooring installed perpendicular to the unsupported edge. Moisture Control/Ventilation Panels are intended for dry-use moisture conditions Wall where in-service moisture content will be less than Panel orientation (horizontal or vertical) does not 16% over the service life of the panel. The use of affect wall assembly shear capacity since shear water, moisture, and vapor control systems must be capacity is based on panel thickness. Panels integrated into the building design to maintain a dry branded as TallWall®, Windstorm®, and QuakeZone® service environment. Proper attic and crawl space are intended to be installed vertically. ventilation shall be provided according to the latest version of the International Building Code, Roof International Residential Code, and the International Roof panels are to be installed with the long Energy Conservation Code. dimension perpendicular to supports, continuous over two or more spans, and have a minimum width of Sustainability 24". Edge support is required for roof panels with a width less than 24" per APA R275 or E30. See APA We hold third-party verified Sustainable Forest E30 for roof panels installed parallel to supports. Management and Fiber Sourcing certification. Please Cover roof sheathing without delay with a code- see https://osb.westfraser.com/ for information on approved roofing underlayment. If any edge swelling third-party certification. occurs prior to roof underlayment installation, all uneven edges should be sanded flat.

Table 1 – West Fraser OSB Product Line and Span Ratings for Wall Applications(a)(b)

Performance 24" Maximum Wall Sheathing Span(c) Span Rating Category Trubord TallWall Windstorm QuakeZone 24/0(d) 3/8 (d) (d) Wall 24(e) 7/16  24/16 7/16    32/16(d) 15/32 (d) (d)  32/16 1/2  40/20(d) 19/32 (d) a) All Rated Sheathing conforms to PRP-108 (US), PS 2 (US), ESR-2586 (US), and CSA-0325.0.16 (Canada). b) All Rated Sheathing has an Exposure 1 Bond Classification. c) Maximum stud spacing for wind applications. Check local building codes for wind loads. d) Available in Structural I. e) Not rated for roof or floor use.

2|Page Revised August 4, 2023 JSI Photos #2024-03324 P 1 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 2 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 3 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 4 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 5 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 6 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 7 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 8 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 9 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 10 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 11 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 12 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 13 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 14 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 15 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 16 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 17 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 18 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 19 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 20 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 21 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 22 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 23 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 24 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 25 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 26 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 27 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 28 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 29 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 30 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 31 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 32 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 33 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 34 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 35 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 36 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 37 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 38 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 39 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 40 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 41 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 42 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 43 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 44 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 45 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 46 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 47 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 48 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 49 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 50 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 51 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 52 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 53 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 54 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM JSI Photos #2024-03324 P 55 Date: 4/17/24 at 9:00 am JSI PHOTOS 00AM Jobsite Inspection Notes

Case No.: 2024-03324 Investigator: Todd Anderson Inspection Date: Wednesday, April 17, 2024 Inspection Time: 09:00 AM

Complainant: Dennis Ray Barker Respondent: Lifetime Windows & Not Present: Doors LLC Not Present:

Jobsite General Notes:

Respondent was not present at the Jobsite Inspection

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 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 C011 12/23

Complainant: Dennis Ray Barker 4024 E Western Star Blvd Phoenix, AZ 85044

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 April 25, 2024

License No. ROC 313945

Re:Complaint No. 2024-03324

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

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

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 to be completed. It appears as though this project has been abandoned. All work needs to be completed as per contract, manufacturer’ specifications, change orders, local building codes, and industry standards. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity.

Sincerely,

Todd Anderson Todd Anderson, Investigator #227 (602) 771-6769 [email redacted] 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 C009 12/23 5/22/24, 4:19 PM State of Arizona Mail - Case No. 2024-03324

Todd Anderson <[email redacted]>

Case No. 2024-03324 message

Jeff Callahan <[email redacted]> Wed, May 22, 2024 at 7:58 AM To: "[email redacted]" <[email redacted]> Cc: Zhong Li <[email redacted]>

Good morning Todd,

This is Jeff Callahan from Lifetime Windows and Doors. We are a window trade company, and our scope of work is window and door installation.

We received citation paperwork for case number 2024-03324 May 17th by email. Previous to this citation paperwork we have not received any notices for the jobsite inspection that took place April 17th at 9:00 AM. We would have been present for this to go over any issues. We have been trying to resolve and complete this job for a very long time..

Could you please give me a call to discuss this project and the ongoing issues we have had with this project.

Thank you.

Jeff

Jeff Callahan

Production Manager

[email redacted]

office: (480)550.9993

4141 S 36th St Ste 120

Phoenix AZ 85040

https://mail.google.com/mail/u/0/?ik=9cbed3e67d&view=pt&search=all&permthid=thread-f:[number redacted]&simpl=msg-f:[number redacted]… 1/2 5/22/24, 4:19 PM State of Arizona Mail - Case No. 2024-03324

https://mail.google.com/mail/u/0/?ik=9cbed3e67d&view=pt&search=all&permthid=thread-f:[number redacted]&simpl=msg-f:[number redacted]… 2/2 5/22/24, 4:26 PM State of Arizona Mail - Case No. 2024-03324

Todd Anderson <[email redacted]>

Case No. 2024-03324 Todd Anderson <[email redacted]> Wed, May 22, 2024 at 4:26 PM To: Jeff Callahan <[email redacted]>

Good afternoon Jeff,

Thank you for reaching out to me yesterday. I do need to inform you, however, that you need to contact the person in our Legal Department who has been assigned to your complaint. They can answer any legal questions you might have at this point.

Sincerely,

Todd Anderson Investigator #227

Arizona Registrar of Contractors Construction Investigations 1700 W Washington St., Ste 105 Phoenix, AZ 85007 Phone: (602) 771-6769 Email: [email redacted]

[Quoted text hidden]

https://mail.google.com/mail/u/0/?ik=9cbed3e67d&view=pt&search=all&permmsgid=msg-a:r8595675753294114595&simpl=msg-a:r85956757532941… 1/1 5/24/24, 8:44 AM State of Arizona Mail - Case No. 2024-03324

Todd Anderson <[email redacted]>

Case No. 2024-03324 Jeff Callahan <[email redacted]> Thu, May 23, 2024 at 1:58 PM To: Todd Anderson <[email redacted]>

Sounds good. You can also reach me on my cell at (602) 329-5624.

Thank you.

Jeff Callahan

Production Manager

[email redacted] office: (480)550.9993

4141 S 36th St Ste 120

Phoenix AZ 85040

From: Todd Anderson <[email redacted]> Sent: Thursday, May 23, 2024 1:55 PM To: Jeff Callahan <[email redacted]> Subject: Re: Case No. 2024-03324

Jeff,

[Quoted text hidden] [Quoted text hidden]

https://mail.google.com/mail/u/0/?ik=9cbed3e67d&view=pt&search=all&permmsgid=msg-f:[number redacted]&simpl=msg-f:[number redacted]… 1/1 Received 5/29/2024 ROC Legal

Written Answer to Citation on Case No. 2024-03324

This is the second time Lifetime Windows has received a Citation on this project. The first time, just like this time Lifetime never received paperwork for the Complaint and therefore not having any notification a site inspection took place. Lifetime would have appreciated the opportunity to clarify and go over any window installation concerns that pertain to our scope of work that needed to be corrected.

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. A1: Lifetime Windows has made several attempts to communicate with Mr. Barker to move forward on completing his window project. It will take months to get a response From Mr. Barker if we get a response at all.

Charge : 2 A.R.S. § 32-1154(A)(3) - R4-9-108(b) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skills and capacity.

A2: Lifetime Window trade contractor. Our scope of work is window and door replacement and installation. We strive to have every customer satisfied. On this project we were asked to go outside our window installation scope of work by the customer. The work that Mr. Barker was demanding was the work of a carpenter trade and a lathe and stucco trade. We tried to accommodate his request to go beyond our scope of work to move his project forward. The Sheer and house wrapping we were asked to do was done to the best of our ability with not Received 5/29/2024 ROC Legal

having the proper sequences to accomplish the todays standards of home construction. This project is a full remodel that needs more than just a window trade company.

Charge : 3 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.

A3: Lifetime Windows is a professional company and stand behind our work with a lifetime warranty. We received a written directive from the ROC inspector (Christopher Fultz) the first complaint and had a corrective action plan within days. We had communication with the inspector on our scope of work that needed to be performed. After our plan of action was set in place Mr. Fultz said he closed out the complaint. This time Lifetime did not receive any directive or notification of a site inspection from the ROC. Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal

Notes on Mr. Barker file Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal

Scheduling for Mr. Barker project

Attachments on file for Mr. Barker Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal

Removal of original windows Received 5/29/2024 ROC Legal

Original installation of new windows AAMA Method A. Customer ordered a window with nail fin and was installed and secured to stud framing. The customer afterwards had us remove the windows to move them out ½” for his drywall to have a larger return. The nail fin must have a solid backing to secure, so we had to add plywood to studs to move windows out and secure them. At that point the windows were exceeding the plane of the stucco wall. Customer then had stucco completely removed from various areas of the home and wanted Lifetime Windows to sheer the home in pieces. That is beyond our scope of work and should be completed by a framing trade. A change order was signed for removing the windows again and adding plywood around the window openings re-flash and re-install. This was not intended to sheer the home but to have solid backing behind the flashing. Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal

This plywood was requested by the customer after the first installation. Received 5/29/2024 ROC Legal

What the customer requested for our third time of installation. The customer was informed that what he was asking for was incorrect prosses of what he was trying to accomplish. Customer was informed to properly wrap a home all the stucco would need to be removed and the stucco trade would wrap the home correctly with continuous plane with proper lapping from bottom of the home all the way to the top. This is why the change order was created for deleting Lifetime Windows responsibility for stucco on this project. Home wrap is performed by a lath and stucco trade. Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal

. Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/2024 ROC Legal Received 5/29/24, 1:05 PM State of Arizona Mail - Written answer to Citation and complaint case number 2024-03324 5/29/2024 ROC Legal

Answers - AZROC <[email redacted]>

Written answer to Citation and complaint case number 2024-03324 message

Jeff Callahan <[email redacted]> Wed, May 29, 2024 at 11:58 AM To: "[email redacted]" <[email redacted]> Cc: Zhong Li <[email redacted]>, Jeff Callahan <[email redacted]>

Attached is the Lifetime Windows and Doors written answer to citation and complaint 2024-03324

Jeff Callahan

Production Manager

[email redacted]

office: (480)550.9993

4141 S 36th St Ste 120

Phoenix AZ 85040

Written Answer to Citation on Case No 2024-03324 Ray Barker.docx 30454K

https://mail.google.com/mail/b/AEoRXRQO1TgykD-fvjYPp5KyAXQW3rM6QtOfQ2gbRYK0t0mGFyCc/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 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