2024A-04986-CHC-ROC Notice of Hearing & Packet MAILED 2024-04986.pdf

2024A-04986-CHC-ROC · Registrar of Contractors · 2024-09-26

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Merritt Cain , Case No. 2024-04986

COMPLAINANT, Docket No. 2024A-04986-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE Definitive Designs LLC DBA: The Wood Floor Store License No. ROC 232765,

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

November 12, 2024 1:00 PM Adam Stone 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 September 4, 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)(3) - R4-9-108(a) Charge: 2 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158

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 September 26, 2024.

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

Copy mailed via USPS First Class mail September 26, 2024 to:

Respondent(s) Definitive Designs LLC PO Box 89036 Tucson, AZ 85752 Respondent's Attorney Doug Newborn, Esq. 7315 North Oracle Rd., Suite 230 Tucson, AZ 85704 Complainant(s) Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718

Copy sent electronically this same date to: Respondent at email address on record with the Registrar Respondent’s Attorney at email address of record with Registrar Complainant at email address on record with the Registrar

Case No. 2024-04986 /

Hearing Packet FAQ What is the The Hearing Packet is a packet of certain documents collected or Hearing Packet? issued by the Registrar over the course of its investigation. Who gets the The Hearing Packet is assembled and distributed to all parties and Hearing Packet? to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing. What types of The Registrar prepares a Hearing Packet for Complainant-Handled cases does the Cases and No-Pay Cases. Note: If the Docket Number on the Registrar prepare a Notice of Hearing contains a “CHC” or “NPC”, your case is a Hearing Packet for? Complainant-Handled Case or a No-Pay Case. What is in the The Hearing Packet contains essential case-specific documents and Hearing Packet? at a minimum will include the following documents: ● Original complaint; ● 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 If there is any evidence you submitted to the Registrar that are not documents missing included in the Hearing Packet it is your responsibility to introduce from the Hearing that evidence at the administrative hearing. Note: The Packet? 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

How do I disclose You must properly disclose any and all documents and witnesses evidence I intend to you intend to use at your hearing according to the Registrar’s use at a Hearing? 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 If you previously submitted documents to the Registrar and need a documents I copy of these documents, please contact the Registrar’s Legal previously submitted Department or submit a public records request at to the Registrar? https://roc.force.com/AZRoc/s/roc-public-request.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Complainant: Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718

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: Definitive Designs LLC DBA: The Wood Floor Store 3550 N 1st Ave Ste 260 Tucson, AZ 85719

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 May 1, 2024

Re: Complaint No. 2024-04986

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for Tuesday, June 25, 2024 at 12:00 PM. 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,

Mike Springer Mike Springer, Investigator #192 520 5089735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

Cc: File Choose an item. Choose an item. Choose an item. Choose an item.

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

Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license alleging poor workmanship, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

Jobsite Inspection Rights and Responsibilities Access to inspect: The property owner has complete control over who they allow on the property. However, if the Registrar’s investigator or the contractor cannot inspect the work, the Registrar will not move forward with a citation.

Cooperation: Arizona law enables injured parties to seek relief for damages through several paths. When dealing with a licensed contractor, the Registrar of Contractors’ administrative complaint process may serve as one of those possible paths. However, in order to use that path, the Registrar relies on the cooperation of all parties to a complaint.

Minimum workmanship: The Registrar investigates workmanship complaints for compliance with minimum workmanship and professional industry standards. The Registrar does not issue citations for work that meets these standards.

Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.

The Role of the Investigator At the Jobsite Inspection, the Registrar’s investigator will: ● Only investigate the items listed on the complaint form filed with the Registrar. ● Will gather evidence to make an informed decision about the complaint items.

What to expect after a Jobsite Inspection 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will determine whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

Written Directives Access: In order to use the administrative process offered by the Registrar, a property owner must provide reasonable access to allow the contractor to fix their work as directed by the Registrar in a Written Directive. Complainants may not put any additional, unnecessary restrictions on the Respondent above and beyond the initial contract requirements agreed upon at the beginning of the project. Respondents are required to make repairs on items identified on any Written Directive, not otherwise restricted by local code or HOA limitations. Complainants must make access available to the Respondent to make the required repairs and failure to provide reasonable access may result in the Registrar dismissing the complaint.

Contractor obligations: The Written Directive will set a deadline for compliance. This is the period of time determined by the Investigator as necessary to complete the items listed in the Directive. ● The deadline for compliance assumes the contractor will promptly begin working on the items listed in the Directive. ● Do not wait. Both parties should communicate quickly to schedule the work.

Extensions: If good cause exists to extend this deadline, either party may submit a written request to the Investigator. The Registrar will review requests for extension and determine if the Directive should be extended.

Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.

Compliance Inspection: After the Written Directive expires, the Registrar’s Investigator will contact the complainant to determine if the contractor performed any corrective work. ● If the contractor did corrective work, the Investigator may schedule a Compliance Inspection to determine if the poor work is corrected. ● If the contractor did not perform any corrective work, the Registrar’s Investigator will not do a Compliance Inspection and will determine whether to issue a citation based on the administrative record.

Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 Complainant: Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Respondent: Definitive Designs LLC DBA: The Wood Floor Store 3550 N 1st Ave Ste 260 Tucson, AZ 85719

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 May 3, 2024

JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2024-04986

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for June 25, 2024 at 12PM has been rescheduled for Wednesday, July 3, 2024 at 12:00 PM.

If either party is unable to attend, the Registrar requires 36-hours advance notice for cancellation or continuance.

Complainant: Safe access is required to any area to be inspected.

Should you have any questions regarding the above, please contact me.

Sincerely,

Mike Springer Mike Springer, Investigator #192 520 5089735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

CC: Choose an item. Choose an item. Choose an item. Choose an item.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Complainant: Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 May 17, 2024

JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2024-04986

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for July 3, 2024 at 12PM has been rescheduled for July 1st, 2024 at 12:00 PM.

If either party is unable to attend, the Registrar requires 36-hours advance notice for cancellation or continuance.

Complainant: Safe access is required to any area to be inspected.

Should you have any questions regarding the above, please contact me.

Sincerely,

Mike Springer, Investigator #192 (520) 508-9735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

CC: Choose an item. Choose an item. Choose an item. Choose an item.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Complainant: Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 June 4, 2024

JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2024-04986

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for July 1, 2024 at 12:00PM has been rescheduled for Monday, August 5th, 2024 at 10:30AM.

If either party is unable to attend, the Registrar requires 36-hours advance notice for cancellation or continuance.

Complainant: Safe access is required to any area to be inspected.

Should you have any questions regarding the above, please contact me.

Sincerely,

Mike Springer, Investigator #192 (520) 508-9735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

CC: Choose an item. Choose an item. Choose an item. Choose an item.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Complainant: Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718

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: Definitive Designs LLC DBA: The Wood Floor Store 3550 N 1st Ave Ste 260 Tucson, AZ 85719

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 August 6, 2024

License No. ROC 232765

Re:Complaint No. 2024-04986

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 August 22nd, 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:

Complaint Item: 1 - New wood floors cupping. Investigator’s Observation: Floors are not flat and wavy. Areas from hallway near back door and bathroom area are uneven. One section of flooring is concaved, cupped downward. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards. A.R.S. § 32-1154(A)(3)

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(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards. A.R.S. § 32-1154(A)(3)

Complaint Item: 4 - Flooring different colors in areas Investigator’s Observation: Corners and along edges are darker than open areas. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards. A.R.S. § 32-1154(A)(3)

Complaint Item: 5 - Wood trim not installed along edges of room Investigator’s Observation: Baseboards were not reinstalled. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards. A.R.S. § 32-1154(A)(3)

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Complaint Item: 3 - Floors feel lumpy when walking on due to poor sanding Investigator’s Observation: Addressed in item 1. Governing Rule: Not Applicable

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

Sincerely,

Mike Springer, Investigator #192 (520) 508-9735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

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

Case No.: 2024-04986 Investigator: Mike Springer Inspection Date: Monday, August 5, 2024 Inspection Time: 10:30 AM

Jobsite Address: 7695 N. Ancient Indian Dr. Tucson, AZ 85718

Complainant: Merritt Cain Respondent: Definitive Designs Not Present: LLC Not Present:

Jobsite General Notes: Photos were taken to document items. The complainant and I addressed each item of the complaint. JSI audio recorded.

Complaint Item: 2 - Wood floors not properly sanded when color correction needed; circular sanding marks evident Investigator’s Observation: Circular marks can be seen in toilet room and various areas. Governing Rule: Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards. A.R.S. § 32-1154(A)(3) 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C011 12/23

ITEMS NOT REQUIRING CORRECTION:

Complaint Item: 3 - Floors feel lumpy when walking on due to poor sanding Investigator’s Observation: Addressed in item 1. Governing Rule: Not Applicable

Mike Springer, Investigator #192 (520) 508-9735 [email redacted] 1700 W Washington St,Suite 105 Phoenix, Arizona 85007-2812

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

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Merritt Cain, Case No. 2024-04986 COMPLAINANT, v. Definitive Designs LLC CITATION DBA: The Wood Floor Store License No. ROC 232765,

RESPONDENT.

The Registrar issues this Citation to Definitive Designs LLC DBA: The Wood Floor Store (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by September 19, 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 April 30, 2024, Merritt Cain (“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)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner.

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge :2 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158 Failure in any material respect to comply with this chapter; Namely A.R.S. § 32- 1158. 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 Case No. 2024-04986. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways:

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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 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 September 19, 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 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.

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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 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 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

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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 constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated September 4, 2024. By: /s/ Tedi Quezada Tedi Quezada Legal Assistant Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, September 4, 2024 to:

Respondent Certified Mail No: [number redacted]

Definitive Designs LLC DBA: The Wood Floor Store 3550 N 1st Ave Ste. 260 Tucson, AZ 85719

Copy mailed by USPS First Class mail this same date to: Respondent Definitive Designs LLC DBA: The Wood Floor Store 3550 N 1st Ave Ste. 260 Tucson, AZ 85719

Complainant Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718 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. 2024-04986 of 5

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 6/4/24, 9:15 AM State of Arizona Mail - Complainant - Registrar Of Contractors Complaint

Michael Springer <[email redacted]>

Complainant - Registrar Of Contractors Complaint messages

Mike Springer <[email redacted]> Fri, May 17, 2024 at 9:37 AM To: Merritt Cain <[email redacted]>

Please see the attached documents at the bottom of this email for more information. You will also receive this information by USPS mail.

Additional Information:

The time period between a notification of the jobsite inspection/investigation and the inspection is a review period. The Complainant must allow the Respondent to inspect the items alleged in the complaint during this time period.

If the Complainant wishes to allow the Respondent to correct items during this period,they may do so but it is not required, they may wish to wait for the inspection/investigation. If the complaint items are corrected and the Complainant is satisfied, the inspection and case may be dismissed. The Complainant must notify the investigator and let them know they wish to dismiss.

Please understand, although this is referred to as an inspection it is more of an investigation, the Complainant will be responsible for pointing out the alleged complaint items to the investigator at the inspection.

Additionally, any items that have been corrected by others be it by the Complainant or another contractor, those items or the entire case will not be considered. 32-1155(D)(2) states "Respondent’s work was subject to neglect, modification, or abnormal use. For that reason, the Registrar is prohibited from issuing a citation for the Respondent’s alleged poor workmanship or the alleged departure from applicable building codes".

Mike Springer

Investigator #192

Arizona Registrar of Contractors

1700 west Washington, Ste, 105

Phoenix, AZ 85007

520-508-9735 – Mobile

520-628-6588 – Fax

Email: [email redacted]

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20240517 C010 Re-Schedule of Jobsite Inspection-2024-04986.pdf 97K

Merritt Cain <[email redacted]> Fri, May 17, 2024 at 9:52 AM Reply-To: Merritt Cain <[email redacted]> To: Mike Springer <[email redacted]>

I am very sorry to keep rescheduling, however I will be out of town on the new date. My flight home doesn't land until 7:30 on Monday, July 1st. I fly out on Tuesday June 25, and return home the evening of the 1st.

Merritt Cain (520) 591-4625

[Quoted text hidden]

Mike Springer <[email redacted]> Fri, May 17, 2024 at 9:56 AM To: Merritt Cain <[email redacted]>

How about July 11th, 10:30AM? [Quoted text hidden] [Quoted text hidden]

Mike Springer <[email redacted]> Wed, May 22, 2024 at 2:16 PM To: Merritt Cain <[email redacted]>

Need to know if this works. [Quoted text hidden] [Quoted text hidden]

https://mail.google.com/mail/u/0/?ik=6fc03499a2&view=pt&search=all&permthid=thread-a:r1759330748193687482&simpl=msg-a:r-[number redacted]… 2/4 6/4/24, 9:15 AM State of Arizona Mail - Complainant - Registrar Of Contractors Complaint

Mike Springer <[email redacted]> Wed, May 22, 2024 at 2:17 PM To: Merritt Cain <[email redacted]>

Actually, the 11th is taken. Next available is 7-12 10:30AM [Quoted text hidden] [Quoted text hidden]

Merritt Cain <[email redacted]> Fri, May 24, 2024 at 11:08 AM Reply-To: Merritt Cain <[email redacted]> To: Mike Springer <[email redacted]>

Hi Mike

Summer is tough to coordinate, isn't it!

How about July 17th?

Also, can I request information from the contractor?

Before reaching out to the ROC I was just going to hire someone to come fix what I saw as the problem. It was then that I learned of the other more serious problems.

So I have been urged to request:

Name and receipt for moisture barrier used under the wood floors Name and receipt for the glue used under the wood floors Name and receipt for the wood Name and receipt for the stains used on the wood (all of them) Name and receipt for the sealers used on the wood

Timeline for project, including how many days they allowed the wood floors to dry and they accidentally sprayed them with water how many times did they sand down the wood floors in preparation to re-stain when the floors were sealed after re-staining

I could not find a form online. If there is something I should fill out, I will.

Thank you, Merritt Cain

Merritt Cain (520) 591-4625

[Quoted text hidden]

Mike Springer <[email redacted]> Fri, May 24, 2024 at 12:19 PM To: Merritt Cain <[email redacted]>

https://mail.google.com/mail/u/0/?ik=6fc03499a2&view=pt&search=all&permthid=thread-a:r1759330748193687482&simpl=msg-a:r-[number redacted]… 3/4 6/4/24, 9:15 AM State of Arizona Mail - Complainant - Registrar Of Contractors Complaint

I have the 15th and 18th that week. 10:30AM

We dont require those items to be provided as we do not require any certain brand or material, only that it's the proper material to be used. That would come possibly after an inspection and only if needed. [Quoted text hidden] [Quoted text hidden]

Mike Springer <[email redacted]> Thu, May 30, 2024 at 2:53 PM To: Merritt Cain <[email redacted]>

Now I have 7-23 at 12PM or 7-25-24 at 10:30AM [Quoted text hidden] [Quoted text hidden]

Mike Springer <[email redacted]> Tue, Jun 4, 2024 at 8:41 AM To: Merritt Cain <[email redacted]>

Good Morning,

We need to nail down this inspection date. We are now scheduling into the last week of July. Any day but the 29th at this point. [Quoted text hidden] [Quoted text hidden]

Merritt Cain <[email redacted]> Tue, Jun 4, 2024 at 9:07 AM To: Mike Springer <[email redacted]>

I am so sorry. I just realized that my response to you from a couple of weeks ago wound up in drafts. I must have gotten distracted before hitting send. I am embarrassed. Please forgive me.

I am out of town that last week of July. How did our summer disappear so quickly!?

How about Monday August 5th?

Thanks, Merritt

Sent from my iPhone

On Jun 4, 2024, at 8:41 AM, Mike Springer <[email redacted]> wrote:

[Quoted text hidden]

Mike Springer <[email redacted]> Tue, Jun 4, 2024 at 9:09 AM To: Merritt Cain <[email redacted]>

No worries, we are all swamped. 8-5-24 at 10:30AM it is, incoming documents. [Quoted text hidden] [Quoted text hidden]

https://mail.google.com/mail/u/0/?ik=6fc03499a2&view=pt&search=all&permthid=thread-a:r1759330748193687482&simpl=msg-a:r-[number redacted]… 4/4 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Person Filing Complaint Full Name (First Middle Last) Business Name (if a licensed contractor or supplier) ROC License Number(s) (if any)

Merritt Cain Mailing Address (Enter jobsite in Contract/Project section) City State Zip

7695 N. Ancient Indian Dr. Tucson Arizona 85718 Phone Number Email

[number redacted] [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Street Address of Attorney City State Zip

Phone Number of Attorney Email of Attorney

Contractor Information Name (as shown on contract/invoice) ROC License Number(s)

Definitive Designs LLC ROC 232765 Street Address City State Zip

3550 N 1st Ave Ste 260 Tucson AZ 85719 Phone Number Email

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

Ryan and Jenna Norris Contract/Project Information Contract Date Contract Amount Amount Paid

August 18, 2023 $28,361.83 $28,361.83 Date Work Started Date Work Stopped Date Work Was Completed

January 8, 2024 January 25, 2024 January 25, 2024 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

7695 N. Ancient Indian Dr. Tucson AZ 85718 Name of Construction Site Owner Construction Site Name (if applicable)

Merritt Cain Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Poor Work I have contacted the contractor by Have you filed a complaint in court? No Has any work been corrected? No

RCC099 12/05/18 Page 1 of 2 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

The contract was Both All change orders were N/A This project was Residential This project involved Remodel

A building permit was obtained by N/A List and briefly describe each complaint item (Please do not write "see attached" or use additional pages unless necessary to further describe issues or list more complaint items) (limited to 100 characters per line)

New wood floors have evident problems, both visually and underfoot. Install company closed their business and we have not been able to contact them, nor has the designer who hired them for us. Allegations Listed on Complaint:

New wood floors cupping.

Wood floors not properly sanded when color correction needed; circular sanding marks evident

Floors feel lumpy when walking on due to poor sanding

Flooring different colors in areas

Wood trim not installed along edges of room

Signature I declare under penalty of perjury that the information and documents contained on this Complaint Form, included with this complaint, or hereafter submitted in support of this complaint are true and accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date

Merritt Cain \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 Progress Invoice Date Invoice #

9/18/2023 963

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

Materi... Purchase and supply unfinished solid walnut wood flooring 3/4" x 14,163.60 100.00% 100.00% 14,163.60 6" x 1'-7' lengths, character grade, square rectified edge. (Special Order - eta 6-8 weeks).

Materi... Purchase and supply wood flooring adhesive. 1,200.00 100.00% 100.00% 1,200.00

Materials Payment Schedule- 100% payment is due upon ordering materials. Payment via secure online payment link via checking/savings account.

Refini... Purchase, supply and install new subfloor. Install (nail-down 11,766.00 0.00% 0.00% 0.00 method), sand, stain (color TBD), seal and finish wood floor in master bedroom and bathroom. Purchase, mill, sand, stain seal, and install flatstock trim. Custom mill two reducers. Estimate includes one coat of stain, one coat of waterbased color sealer and two coats of waterbased finish in semi-gloss. If additional stain, and/or finish coats are desired or color/sheen is modified, cost will be adjusted accordingly.

Labor Payment Schedule- 50% payment is due 10 days prior to project start date and 50% is due upon completion of project. Payment via secure online payment link via checking/savings account.

Thank you for your business! Note: All orders are considered firm, therefore, ALL SALES ARE FINAL. There are no cancellations, refunds or returns. Remaining flooring boxes, Subtotal flooring adhesive, transition pieces are also not returnable. Wood is a natural product that is subject to variation such as: character, color, knots, mineral streaks, etc. and are not considered defects (sample may differ from actual material). Flooring should be one of the last Sales Tax (8.7%) trades in a construction/remodeling project. Prior to installing hardwood floors, the building must be structurally complete and enclosed, including installation of exterior doors and windows. HVAC must be turned on and remain (typically between 60-80 degrees) year round Total for wood flooring delivery, installation, and life of floor. Relative Humidity must be maintained per manufacturer's guidelines (typically between 30-50%). Payments/Credits Definitive Designs, LLC 3550 N. 1st Ave., Ste.260 Amount Due Tucson, AZ 85719 520-917-2155 ROC 232765 Page 1 Progress Invoice Date Invoice #

9/18/2023 963

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

Floor must be free of objects and debris prior to start of project. Base repairs, touchup, paint and drywall repairs to be performed by others (if needed). Water and gas lines to be connected by others. Price of material and/or freight is subject to change without notice (cost will be adjusted accordingly upon ordering). Cost of installation is subject to change if scope of work is modified/changed. Definitive Designs is not responsible for shipping delays beyond our control.

Note: 220 volt outlets must be provided to working area for the duration of the project. If 220 access is not readily available, customer is responsible for hiring electrician to provide a 220 outlet PRIOR to the project start date.

9/18/2023 963

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

Note: Wood flooring is a porous product that may absorb some stains/discoloration over time (pet urine, direct sunlight patterns) that may not be removed during the sanding process. I understand that some discoloration penetrates deeper than machines may sand and may not show up until sanding and finish work is completed. Many species of wood floors will change color over time. Refinishing an existing handscraped wood floor will eliminate any handscraped and micro-bevel features of the floor upon sanding. When purchasing new wood to tie into an existing original wood floor, there may be color variation on the final product. This can happen due to the age of the floor, floor finish, and possible mixed wood species used in the original floor.

Water and gas lines to be connected by others. No one will have access to the floor when sanding process starts AND until the final coat has cured and ready to walk on. Additional fees will be charged if floor has been walked on.

Thank you for your business! Note: All orders are considered firm, therefore, ALL SALES $15,363.60 ARE FINAL. There are no cancellations, refunds or returns. Remaining flooring boxes, Subtotal flooring adhesive, transition pieces are also not returnable. Wood is a natural product that is subject to variation such as: character, color, knots, mineral streaks, etc. and are not considered defects (sample may differ from actual material). Flooring should be one of the last Sales Tax (8.7%) $1,232.23 trades in a construction/remodeling project. Prior to installing hardwood floors, the building must be structurally complete and enclosed, including installation of exterior doors and windows. HVAC must be turned on and remain (typically between 60-80 degrees) year round Total $16,595.83 for wood flooring delivery, installation, and life of floor. Relative Humidity must be maintained per manufacturer's guidelines (typically between 30-50%). Payments/Credits -$16,595.83 Definitive Designs, LLC 3550 N. 1st Ave., Ste.260 Amount Due $0.00 Tucson, AZ 85719 520-917-2155 ROC 232765 Page 3 Progress Invoice Date Invoice #

1/25/2024 992

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

Materi... Purchase and supply unfinished solid walnut wood flooring 3/4" x 14,163.60 0.00% 100.00% 0.00 6" x 1'-7' lengths, character grade, square rectified edge. (Special Order - eta 6-8 weeks).

Materi... Purchase and supply wood flooring adhesive. 1,200.00 0.00% 100.00% 0.00

Materials Payment Schedule- 100% payment is due upon ordering materials. Payment via secure online payment link via checking/savings account.

Refini... Purchase, supply and install new subfloor. Install (nail-down 11,766.00 50.00% 100.00% 5,883.00 method), sand, stain (color TBD), seal and finish wood floor in master bedroom and bathroom. Purchase, mill, sand, stain seal, and install flatstock trim. Custom mill two reducers. Estimate includes one coat of stain, one coat of waterbased color sealer and two coats of waterbased finish in semi-gloss. If additional stain, and/or finish coats are desired or color/sheen is modified, cost will be adjusted accordingly.

Labor Payment Schedule- 50% payment is due 10 days prior to project start date and 50% is due upon completion of project. Payment via secure online payment link via checking/savings account.

1/25/2024 992

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

1/25/2024 992

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

Thank you for your business! Note: All orders are considered firm, therefore, ALL SALES $5,883.00 ARE FINAL. There are no cancellations, refunds or returns. Remaining flooring boxes, Subtotal flooring adhesive, transition pieces are also not returnable. Wood is a natural product that is subject to variation such as: character, color, knots, mineral streaks, etc. and are not considered defects (sample may differ from actual material). Flooring should be one of the last Sales Tax (8.7%) $0.00 trades in a construction/remodeling project. Prior to installing hardwood floors, the building must be structurally complete and enclosed, including installation of exterior doors and windows. HVAC must be turned on and remain (typically between 60-80 degrees) year round Total $5,883.00 for wood flooring delivery, installation, and life of floor. Relative Humidity must be maintained per manufacturer's guidelines (typically between 30-50%). Payments/Credits -$5,883.00 Definitive Designs, LLC 3550 N. 1st Ave., Ste.260 Amount Due $0.00 Tucson, AZ 85719 520-917-2155 ROC 232765 Page 3 Progress Invoice Date Invoice #

12/22/2023 987

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

Materi... Purchase and supply unfinished solid walnut wood flooring 3/4" x 14,163.60 0.00% 100.00% 0.00 6" x 1'-7' lengths, character grade, square rectified edge. (Special Order - eta 6-8 weeks).

Materi... Purchase and supply wood flooring adhesive. 1,200.00 0.00% 100.00% 0.00

Materials Payment Schedule- 100% payment is due upon ordering materials. Payment via secure online payment link via checking/savings account.

Refini... Purchase, supply and install new subfloor. Install (nail-down 11,766.00 50.00% 50.00% 5,883.00 method), sand, stain (color TBD), seal and finish wood floor in master bedroom and bathroom. Purchase, mill, sand, stain seal, and install flatstock trim. Custom mill two reducers. Estimate includes one coat of stain, one coat of waterbased color sealer and two coats of waterbased finish in semi-gloss. If additional stain, and/or finish coats are desired or color/sheen is modified, cost will be adjusted accordingly.

Labor Payment Schedule- 50% payment is due 10 days prior to project start date and 50% is due upon completion of project. Payment via secure online payment link via checking/savings account.

12/22/2023 987

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

12/22/2023 987

Bill To Project:

Merritt Cain Master Bedroom & Master Bathroom 7695 N. Ancient Indian Dr. Solid Walnut Tucson, AZ 85718 Materials & Labor

Terms

Due on receipt

Item Description Total Amount Current % Total % Current Amt Due

Legal New Mail - AZROC <[email redacted]>

Complaint 2024-04986 message

jenna definitivedesignsllc.com <[email redacted]> Mon, Sep 9, 2024 at 10:29 AM To: "[email redacted]" <[email redacted]> Cc: "[email redacted]" <[email redacted]>

Hello,

I am just now learning of a complaint that was filed against our license 232765. Our business closed earlier this year and we were not aware of any complaint and have had no notifications from the ROC until our old Landlord just notified us that he had certified mail that we need to pick up.

Can someone please call us to discuss this matter as soon as possible? I called the ROC this morning when I learned of the complaint and they stated that I needed to change my address in my profile. My address in my profile is PO Box 89036 Tucson AZ 85752, and I have not received any correspondence at that address.

Ryan has a voicemail into Mike Springer as of 15 minutes ago. I look forward to hearing from someone as soon as possible.

Thank you, Jenna Norris 520-906-6824

Ryan Norris 520-991-6106

https://mail.google.com/mail/b/AEoRXRSHT7vou7Mua_aqxnGLPNrqCxIZu01Ck0DbCPwB8qgrYtDh/u/0/?ik=d3afebeda9&view=pt&search=all&permth… 1/1 Received 9/18/2024 ROC Legal

Douglas J. Newborn – SBN 029688 DOUG NEWBORN LAW FIRM, PLLC 7315 North Oracle Rd., Suite 230 Tucson, Arizona 85704 Phone: (520) 585-5525 Fax: (855) 365-3158 [email redacted] Attorney for Respondent Definitive Designs, LLC REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA MERRITT CAIN; Case No.: 2024-04986 Complainant, v. ANSWER DEFENITIVE DESIGNS, LLC, an Arizona Corporation; DBA: The Wood Floor Store, License No. ROC 232765; Respondent. This is not a case about an improperly installed wood floor. Instead, this is a case about a Claimant who wanted another type of flooring installed to begin with and is now taking advantage of the situation by falsely claiming that the new floor that was installed was installed improperly. This Tribunal should not let Claimant get away with such conduct. What follows is an allegation-by-allegation response as compared to the Citation (and the Licensed Complaint Form). Charge 1 (A.R.S. § 32-1154(A)(3) & R4-9-108(a)) (Poor Workmanship) Respondent has been proudly licensed, bonded, and insured for nearly 17 years. Respondent performed their work with honesty and integrity and treated every client with professionalism. Respondent takes great pride in the

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

quality of their work and have nearly two decades of experience in the construction and flooring industry. In all Respondent’s projects, they prioritize thorough planning, precision, and the satisfaction of their clients. Respondent followed professional industry standards through the AZ ROC and the National Wood Flooring Association (“NWFA”). Respondent’s work has consistently met high- quality standards, as evidenced by zero complaints against Respondent’s license in 17 years of business. Respondent dedicated their career to being an expert in the wood flooring industry. Respondent was a proud member of the NWFA, as well as being featured in multiple wood flooring publications and receiving a national recognition from the NWFA in 2020 as a top industry expert dedicated to wood flooring. Respondent maintained open and clear communication with their clients throughout any project. Any concerns raised were promptly addressed, and all issues were handled in a timely manner. Prior to the hearing in this matter, Respondent will provide proof of text messages between Claimant and Respondent, and pictures and video of the final work product to verify that the work performed was completed in a professional and workman like manner. Additionally, Respondent has not seen the complaints that are in question, and would like the opportunity to see them in person. That said, per Claimant’s Licensed Complaint Form, the allegations are as follows: 1. New wood floors cupping. a. Respondent was made aware of this complaint on 9/9/24. There was no cupping when Respondent and its crew left the jobsite on 1/25/24. There are photos taken by Respondent during the final walkthrough on 1/26/24 that show no cupping had occurred. It should be noticed

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

that Complainant hired a plumber to install the tub after Respondent’s work was completed. b. Did the plumber cause a leak to affect the floor? Was the bathtub drain properly installed? Did the other trades scheduled after Respondent’s completed work cause any damage to the floor? Respondent should not be held responsible for water intrusions or damage caused by other trades. c. Were Claimant’s humidity and HVAC levels maintained in the home per the signed agreement on 9/15/23? d. Is Claimant intentionally sabotaging her own floor to get a new floor based off conversations Claimant had with Jennifer Cutler (designer) that Claimant did not like the floor after the fact and Claimant didn’t like having wood in her bathroom? e. Is Claimant leaving the back doors open in the hallway to open air (which I have witnessed on multiple occasions reminding Claimant the doors cannot be left open)? f. Did Claimant continue to leave the doors open and did rain come through? g. Is there a roof leak? h. Is irrigation leaking or running in excess outside near the area? i. Is water being splashed on the floor from the tub being too full or coming in and out of the bathtub and soaking the floor? j. Are window seals leaking? k. To Respondent’s knowledge, Claimant and Mike Springer have determined there is “cupping”. Please note, neither are certified wood flooring inspectors and the floor needs to be professionally inspected. Mike Springer was not descriptive in his observation, and Respondent requests additional information regarding the alleged

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

“cupping”. Respondent has not had the opportunity to look at the floor in person and Respondent would like to see the floor, in person, to determine if the cupping even exists. 2. Wood floors not properly sanded when color correction needed; circular sanding marks evident. a. There was no “color correction” needed. It was a change in “color preference” which Respondent obliged at Respondent’s expense to please the customer/Claimant even though the color that was applied the first time was the agreed upon color (stain samples were applied to the floor prior to any full staining that Claimant and Jennifer Cutler (designer) approved). b. The wood floor was properly sanded per the NWFA guidelines and industry standards. There were no circular sanding marks evident when Respondent left the project. Again, video and pictures will be provided as evidence to verify these statements. 3. Flooring different colors in areas. a. As stated in the Estimate #2273 that Complainant signed on 9/15/23, “Wood is a natural product that is subject to variation such as: character, color, knots, grain, mineral streaks, and other imperfections are not considered defects (sample may differ from actual material). Color, character, grain and finish variation shown in the showroom may appear in larger variation in your installed floor. Product samples may have variations in color due to sunlight exposure/age of sample, they are meant to be indicative of shade and millwork.” b. On the estimate Complainant signed, Complainant agreed to the following: “Note: Wood flooring is a porous product that may absorb some stains/discoloration over time (pet urine, direct sunlight

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

patterns) that may not be removed during the sanding process. I understand that some discoloration penetrates deeper than machines may sand and may not show up until sanding and finish work is completed. Many species of wood floors will change color over time. Refinishing an existing handscraped wood floor will eliminate any handscraped and micro-bevel features of the floor upon sanding. When purchasing new wood to tie into an existing original wood floor, there may be color variation on the final product. This can happen due to the age of the floor, floor finish, and possible mixed wood species used in the original floor.” c. Wood is a natural product and there may be color variation because it is a natural product (as well as light source). 4. Wood trim not installed along edges of room. a. Respondent was not contracted to install baseboards. Please refer to Estimate 2273 stating that we were only to install flat stock trim (which was completed). Respondent milled, sanded, stained, sealed, finished and installed the flat stock trim per the agreement. Claimant decided she would rather have a taller baseboard instead of the flat stock trim (purely based on preference). Respondent installed the flat stock trim and then removed it per Claimant’s request. Claimant opted to have a contractor named John Carter (hired by Claimant’s designer, Jennifer Cutler) to install the taller base at a later date at her expense because it was outside of our original agreement. When the project was completed on 1/25/24, Respondent received a text message from Claimant’s husband stating, “the end result looks great and for that we are thankful.” On 1/26/24, Respondent met with Jim & Merritt Cain,

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

and Jennifer Cutler to do a final walkthrough and we all agreed the floor was beautiful. If Claimant does not voluntarily dismiss her Complaint against Respondent, Respondent will subpoena both Claimant’s Husband and Claimant’s Designer, who will then be forced to testify against Claimant regarding the false workmanship allegations by Claimant. Respondent has had no prior disciplinary actions with the AZ ROC. After deciding to close its business, Respondent chose not to renew their bonds, which is why their current license is suspended. This suspension is purely due to the business closure, not any issues with Respondent’s performance or professionalism. For 17 years, the owners of Respondent has been dedicated business owners, serving hundreds of satisfied clients. Throughout that time, Respondent has built their reputation on professionalism, honesty, and integrity, values they always upheld in every project they performed. Charge 2 (A.R.S. §§ 32-1154(A)(12) - A.R.S. § 32-1158) (Failure to Contact all Elements of a ROC-Based Contract) Respondent unknowingly failed to comply with every requirement of A.R.S. § 32-1158(A). Had Respondent known of the specific requirements it was missing in its contract, Respondent would have certainly added the missing information. At the end of the day, the most important parts of A.R.S. § 32-1158 were complied with as the Claimant understood the scope of work, the charge for the scope of work, and who she was contracting with. Charge 3 (A.R.S. § 32-1154(A)(22)) (Failure to Respond to the ROC’s Initial Correspondence to Respondent) Respondent was unaware that there was a complaint until 9/9/24. Respondent completed Claimant’s project on 1/25/24 and closed its business

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

in February 2024. Respondent vacated their retail store on January 31, 2024, and were no longer receiving mail, nor had access to the mailbox. Respondent’s old Landlord (Wayne Even at Anything Wood) texted Ryan on 9/9/24 to let Respondent know there was Certified Mail from the Arizona Registrar of Contractors. Before Jenna picked up the mail from Wayne, she went on the ROC website and saw there was a complaint made against Respondent’s license. Jenna called the ROC immediately and the secretary informed her that the ROC has been emailing notices to [email redacted] and mailing notices to 3550 N. 1st Ave. Ste.260 Tucson, AZ 85719. Respondent was no longer receiving mail at that location, and although had monitored [email redacted] for a few months after the business closed, had stopped checking said email prior to any contact initiated by the ROC. All of Respondent’s previous correspondence from the ROC has been mailed to our PO Box 89036, Tucson, AZ 85752, and that address is also listed in our AZ ROC profile. Respondent has no record of any phone call or voicemail from the ROC regarding the complaint. Jenna emailed Mike Springer (investigator at AZ ROC) and [email redacted] per the secretary’s recommendation on 9/9/24. Ryan left a voicemail for Mike Springer on 9/9/24 and has called him three times and attempted to reach Mike Springer on 9/10/24. After 17 years of a perfect record, why would Respondent knowingly avoid an ROC complaint? Why wasn’t any of this correspondence mailed to Respondent’s PO Box address that is listed on file? If Respondent had known there was a complaint made, Respondent would have addressed it immediately. Further, prior to and during the project, Claimant texted and called Ryan on his cell phone. However, after the project was completed, Claimant

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

called one time and didn’t leave a message, and never texted. Then, Claimant appears to have not provided Ryan’s cell phone number to the ROC so that the ROC could contact Ryan directly at the same cell phone that Claimant had used prior. It appears to Respondent that Claimant knew that Respondent had closed its business and was no longer receiving mail, so the Claimant pretended that she had attempted to get a hold of Respondent through known invalid means instead of the known best means of communicating directly with Respondent, which was through Ryan’s cell phone. In any event, not responding to the Complaint was not intentional. Had Respondent known of the Complaint, Respondent would have been happy to attempt to try to handle the matter informally without getting the ROC needlessly involved. Given the circumstances here of shutting down Respondent’s business, while still having a known mailing address and cell number in place for Claimant to use; given the fact that Claimant failed to use the form of communication she had used prior (texting Ryan’s cell), and given that Claimant failed to notify the ROC that she had Ryan’s cell phone, Respondent should not be punished for not responding to a Complaint that it couldn’t have been aware of. Conclusion Respondent no longer conducts business in the flooring/contracting space. Claimant’s contract was the last contract fulfilled by Respondent. However, as Respondent has been installing floors for nearly 17 years, with a perfect record before the ROC, Respondent has a stellar reputation that it desires to protect. In that vein: (1) because the work contracted for was done properly; (2) because the failure of containing one of nine elements of a contract per A.R.S. 32-1158(A) should not raise to the level of suspension,

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

revocation, or fines; and (3) because Complainant failed to provide the ROC with a known method to contact Respondent, leading the ROC to attempt to reach Respondent in manners that would fail due to Respondent shutting its business down; there should be no adverse action against Respondent’s license; there should be no fines assessed Respondent; and Complainant should recover nothing through her Complaint. WHEREFORE, Respondent Definitive Designs, LLC, hereby respectfully requests this Tribunal: A. Find in favor of Respondent in full; B. Find against Claimant in full; C. Deny Claimant all relief she seeks; D. For attorney’s fees and costs against Claimant under A.R.S. §§ 12-341 and -341.01; E. For such other and further relief as this Tribunal deems just and proper. Dated, September 18, 2024. DOUG NEWBORN LAW FIRM, PLLC Douglas J. Newborn, Esq. Attorney for Respondent Certificate of Service This pleading was e-mailed on September 18, 2024, to: The Registrar of Contractors 1700 W. Washington St., Suite 105 Phoenix, AZ 85007 [email redacted]

and

Copies of the foregoing were e-mailed on September 18, 2024, to:

Case No.: 2024-04986 | Answer Received 9/18/2024 ROC Legal

Merritt Cain 7695 N. Ancient Indian Dr. Tucson, AZ 85718 [email redacted] Claimant ________________________ Doug Newborn

Case No.: 2024-04986 | Answer Received 9/19/24, 8:35 AM State of Arizona Mail - Case No 2024-04986 - Cain v. Definitive Designs - Answer 9/18/2024 ROC Legal

Answers - AZROC <[email redacted]>

Case No 2024-04986 - Cain v. Definitive Designs - Answer Doug Newborn <[email redacted]> Wed, Sep 18, 2024 at 9:08 PM To: "[email redacted]" <[email redacted]>, Merritt Cain <[email redacted]> Cc: Mike Springer <[email redacted]>

ROC and Mrs. Cain,

Please see attached for the Answer on behalf of Definitive Designs.

Please direct all communication going forward to this email, and all written correspondence to the address in my signature below.

Thank you.

Sincerely,

Doug Newborn, Esq. Owner - CEO

Phone/Text: 520-585-5525 Fax: 855-365-3158 Email: [email redacted] 7315 N. Oracle Road Suite 230 Tucson, Az 85704

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This Firm is not a debt collection Firm, nor is it a tax Firm. Thus, this email is not an attempt to collect a debt, nor should it be considered tax advice. This message is subject to attorney client privilege and is intended only for the use of the individual or entity to which it is addressed. If the

https://mail.google.com/mail/b/AEoRXRS7lmGKbqK2d70f-JI00dvvushijp6n91y2dS7sbsk4c3Te/u/0/?ik=581c53cf5c&view=pt&search=all&permmsgid=… 1/2 Received 9/19/24, 8:35 AM State of Arizona Mail - Case No 2024-04986 - Cain v. Definitive Designs - Answer 9/18/2024 reader of this message is not the intended recipient, or the employee or agent responsible for ROC Legal delivering the message to the intended recipient, you are hereby notified that any dissemination, distribution, or copying of this message is strictly prohibited. If you have received this communication in error, please notify us immediately.

20240918_Answer.pdf 155K

https://mail.google.com/mail/b/AEoRXRS7lmGKbqK2d70f-JI00dvvushijp6n91y2dS7sbsk4c3Te/u/0/?ik=581c53cf5c&view=pt&search=all&permmsgid=… 2/2 9/17/24, 10:01 AM State of Arizona Mail - Complaint 2024-04986

Michael Springer <[email redacted]>

Complaint 2024-04986 message

jenna definitivedesignsllc.com <[email redacted]> Mon, Sep 9, 2024 at 10:29 AM To: "[email redacted]" <[email redacted]> Cc: "[email redacted]" <[email redacted]>

Hello,

Ryan has a voicemail into Mike Springer as of 15 minutes ago. I look forward to hearing from someone as soon as possible.

Thank you, Jenna Norris 520-906-6824

Ryan Norris 520-991-6106

https://mail.google.com/mail/u/0/?ik=6fc03499a2&view=pt&search=all&permthid=thread-f:[number redacted]&simpl=msg-f:[number redacted] 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