2024A-05692-CHC-ROC Notice of Hearing & Packet MAILED 2024-05692.pdf

2024A-05692-CHC-ROC · Registrar of Contractors · 2024-10-08

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Audrey Summers , Case No. 2024-05692

COMPLAINANT, Docket No. 2024A-05692-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE Rivas Custom Builders LLC License No. ROC 239109,

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

HEARING INFORMATION The hearing is set for:

November 20, 2024 9:00 AM Kay Abramsohn 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 5, 2024. SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED

The complaint and citation allege that the Respondent committed the following act(s): Charge: 1 A.R.S. § 32-1154(A)(1) Charge: 2 A.R.S. § 32-1154(A)(2)(b)

Charge: 3 A.R.S. § 32-1154(A)(3) - R4-9-108(a)

Charge: 4 A.R.S. § 32-1154(A)(3) - R4-9-108(b) Charge: 5 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158 Charge: 6 A.R.S. § 32-1154(A)(22)

THE PARTIES TO THE ADMINISTRATIVE HEARING Because Respondent is a licensee and is charged with an act(s) or omission(s) that is cause for the suspension or revocation of a license, Respondent is a party to this case and will be a party to the hearing. Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing. Respondent and Complainant, as the parties to the hearing, will present evidence and

argument to the administrative law judge.

The Registrar’s assigned investigator will appear as a witness at the hearing.

RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney. A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32- 1156(B).

CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of any change of address within five (5) days of the change. A.R.S. § 41-1092.04.

HEARING PROCEDURES AND RULES

The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092 to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE

The Registrar’s investigators, employees, and attorneys will appear at the hearing via

video conference or telephone unless requested by a party to appear in-person. Requests for

the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days prior to the hearing date.

HEARING PACKET

In the interests of administrative efficiency, the Registrar compiles and discloses

certain documents to the parties and the Office of Administrative Hearings. These documents

are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit

additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below.

SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their case. If a party wants to obtain testimony from a witness or documents not in the party’s possession, the party must prepare and file a written subpoena for the Administrative Law Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com.

The party seeking a subpoena must serve notice on all the parties to the hearing, and on the

Registrar. A.R.S. § 41-1092.04.

DISCLOSURE STATEMENT At least seven calendar days before the hearing, each party must prepare and serve a disclosure statement on all other parties, and file it with the Office of Administrative Hearings. A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the

party will use at the hearing. A party’s failure to timely disclose any witness or exhibit,

without good cause, may result in the administrative law judge excluding those witnesses or

exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is

available on the Registrar’s website at https://roc.az.gov/forms/RC-L-800A%20-

%20Prehearing%20Disclosure%20Statement%2020191007v4.pdf

CHANGING THE HEARING DATE The date of the hearing may only be advanced or delayed on the agreement of the parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may

be changed by filing a written agreement of the parties to change the date of the hearing. The written agreement must be filed with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The assigned Administrative Law Judge may be found on the Office of Administrative Hearings’ web portal at www.azoah.com If a party would like to move the date of the hearing without agreement of all parties,

the party must file a written motion with the Office of Administrative Hearings, directed to the

assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties.

The motion must state in detail good cause for why the date of the hearing should be advanced

or delayed, and the position of all other parties regarding the advancement or delay. A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).

RESOLUTION SHORT OF ADJUDICATION

In any case which is resolved or settled by the parties, or which is withdrawn by the

Complainant without objection from Respondent after the Notice of Hearing is issued, the

parties must notify the Office of Administrative Hearings of the resolution or settlement. Any

such cases will be listed on the Registrar’s website and its records under the category: “Closed Complaints – Resolved/Settled/Withdrawn.” Dated October 8, 2024. By: /s/ Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors

Copy mailed via USPS First Class mail October 8, 2024 to: Respondent(s) Rivas Custom Builders LLC 702 S Campbell Ave Tucson, AZ 85719 Complainant(s) Audrey Summers 4450 E 16th St Tucson, AZ 85711

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. 2024-05692 /

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: AUDREY SUMMERS 4450 E 16th St Tucson, AZ 85711

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: Rivas Custom Builders LLC 702 S Campbell Ave 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 June 21, 2024

Re: Complaint No. 2024-05692

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for August 1, 2024 at 08:00 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,

John Smith, Investigator #194 (520) 483-0027 [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 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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 What to expect after a Jobsite Inspection 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 professionalism to

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 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: AUDREY SUMMERS 4450 E 16th St Tucson, AZ 85711

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C003 08/19 June 21, 2024

RE: Complaint No. 2024-05692

Dear AUDREY SUMMERS:

The Registrar of Contractors reviewed the information in your recently filed complaint. Before the Registrar can proceed with its investigation, additional information is required. Please submit the following information.

Copies of Proof of Payment • Acceptable forms of proof of payment are copies of: 1. Front and back of cancelled checks (redact account numbers) 2. Credit card statements (redact account numbers) 3. Executed lien releases/waivers 4. Bank/Lender documents showing payments/draws actually received by the contractor (redact account numbers) 5. For new homes provide a copy of the Final Statement/Closing Statement

Note: The requested information can be emailed directly to the undersigned Investigator.

Please do not send originals as they will not be returned to you.

Reference the complaint number listed above when you mail this additional information to P.O. Box 18243, Phoenix, AZ 85005-8243. If you have any questions, please contact our office or visit our website.

Sincerely, John Smith, Investigator #194 (520) 483-0027 [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 C003 08/19 Complainant: AUDREY SUMMERS 4450 E 16th St Tucson, AZ 85711

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: Rivas Custom Builders LLC 702 S Campbell Ave 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 July 18, 2024

Re: Complaint No. 2024-05692

Dear Complainant and Respondent:

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

Sincerely,

John Smith, Investigator #194 (520) 483-0027 [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 C008 12/23 A Guide to Jobsite Inspections

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 professionalism to

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: AUDREY SUMMERS 4450 E 16th St Tucson, AZ 85711

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C003 08/19 July 29, 2024

RE: Complaint No. 2024-05692

Dear AUDREY SUMMERS:

Note: The requested information can be emailed directly to the undersigned Investigator.

Please do not send originals as they will not be returned to you.

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: Rivas Custom Builders LLC 702 S Campbell Ave 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 15, 2024

License No. ROC 239109

Re: Complaint No. 2024-05692

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 Tuesday, September 3, 2024.

RESTRICTIONS • You may not perform or hire other contractors to perform work that is outside the scope of your license. • If your license is currently suspended for administrative reasons1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

DIRECTIVE REQUIREMENTS You are directed to: • Complete work per contract dated 8/2/2022 • Obtain all required permits from the local building authorities • Satisfy all requirements of the local building authorities • Remedy the following violations by the appropriate means:

Complaint Item 2: “whole house was not complete” Investigator’s Observations: Verified. The original contract, in the amount of $105,000.00, is dated 8/22/2022. Work progressed, and payments were made, based on the original contract. Work stopped 11/8/2023 Current conditions on site: Work is not complete

This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F).

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 • The interior of the house has been demoed to the framing and concrete. • Plumbing, gas lines, HVAC, Electrical, and framing have all been started, and left incomplete. o Plumbing work includes under-ground and under-slab plumbing that is longer visible. o Framing work includes structural load bearing beams. Per contract, no progress payments are currently due. Work stopped 11/8/2023. A new proposal, with additional work items, in the amount of $189,900.00, is dated 12/6/2023. The complainant’s did not accept to the new proposal. No work has progressed. Without a mutual agreement on a new proposal, the respondent is required to complete all work per the original contract, dated 8/22/2022. Additionally, this entire project is permit required work, which has been started without permits being obtained. Governing Rule: 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. Governing Rule: A.R.S. § 32-1154(A)(2): Departure from or disregard of: (b) A building code... Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner. Governing Rule: A.R.S. § 32-1154(A)(3) – R4-9-108(b): Violation of any rule adopted by the registrar; Namely R 4-9-108(b): A contractor shall perform 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.

ADDITIONAL VIOLATIONS In addition to the allegations in the complaint, the following violations were verified:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 • Information about the customer’s right to file a complaint with the registrar • Contact information for the registrar • A signature of the property owner • A signature of the contractor Governing Rule: A.R.S. § 32-1154(A)(12), Namely A.R.S. § 32-1158(A) Minimum Elements of a Contract. Any contract in an amount of more than one thousand dollars entered into between a contractor and the owner of a property to be improved shall contain in writing at least the following information: 1: The name of the contractor and the contractor's business address and license number. 2: The name and mailing address of the owner and the jobsite address or legal description. 3: The date the parties entered into the contract. 4: The estimated date of completion of all work to be performed under the contract. 5: A description of the work to be performed under the contract. 6: The total dollar amount to be paid to the contractor by the owner for all work to be performed under the contract, including all applicable taxes. 7: The dollar amount of any advance deposit paid or scheduled to be paid to the contractor by the owner. 8: The dollar amount of any progress payment and the stage of construction at which the contractor will be entitled to collect progress payments during the course of construction under the contract. 9a: That the property owner has the right to file a written complaint with the registrar for an alleged violation of section 32-1154, subsection A. 9b: The contract shall contain the registrar’s telephone number and website address and shall state that complaints must be made within the applicable time period as set forth in section 32- 1162, subsection A. 9c: The information in this paragraph must be prominently displayed in the contract in at least ten- point bold type… 9d: …and the contract shall be signed by the property owner and the contractor or the contractor’s designated representative. This paragraph does not apply to a person who is subject to and complies with section 12-1365. REQUIRED CORRECTIVE ACTION: The respondent is to submit a contract form (for use on future projects) that complies with A.R.S. § 32-1158

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 • New gas lines • New sewer lines, including new lines below grade and below the foundation that are no longer visible or accessible to the local code official. • New water supply lines. • New framing, including new structural load bearing beam(s) • Removal of existing HVAC equipment. • Installation of new HVAC duct work. This entire project is permit required work, which has been started without permits being obtained. Governing Rule: A.R.S. § 32-1154 (A)(2)(b): Departure from or disregard of: (b) A building code... Governing Rule: A.R.S. § 32-1154 (A)(3) - R 4-9-108(b): Violation of any rule adopted by the registrar; Namely R 4-9-108(b): A contractor shall perform work in accordance with any applicable building codes and professional industry standards… Building Code: IRC (International Residential Code) R105.1: “Any owner or authorized agent who intends to construct, enlarge, alter, repair, move, demolish, or change the occupancy of a building or structure, or to erect, install, enlarge, alter, repair, remove, convert or replace any electrical, gas, mechanical or plumbing system, the installation of which is regulated by this code, or to cause any such work to be done, shall first make application to the building official and obtain the required permit.” REQUIRED CORRECTIVE ACTION: The Respondent is to obtain any and all required building permits from the Local Building Authorities prior to making corrections listed in this Directive. If the local jurisdiction finds corrective issues relating to the respondent’s work, the respondent will be required to correct those issues by appropriate means. The respondent is required to satisfy all requirements of the local building official, and to submit a copy of the approved inspection results to the ROC Investigator.

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

Complaint Item 1: “contractor told us ( homeowners) that the AC company was paid in full, but come to find out the AC company has not been” Investigator’s Observations: This allegation is NOT verified. If a subcontractor, hired by the general contractor, has not been paid by the general contractor, that subcontractor may considering filing a non-payment complaint against the general contractor.

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: N/A

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

Sincerely,

John Smith, Investigator #194 (520) 483-0027 [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 Arizona Registrar of Contractors Jobsite Inspection Notes Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Complainant: Audrey Summers Respondent: Rivas Custom Builders LLC

Present for the complainant: Audrey Summers, Justin Summers Present for the respondent: William Rivas Overview of project: As stated in the contract: “Remodel” General Notes: One contract is dated 5/22/2022 One contract is dated 12/6/2023 As stated in the submitted complaint: • Work started 2/18/2023 • Work stopped 11/8/2023

As stated on the complaint form, this complaint is for: Abandonment;Poor Work

Submitted narrative: “The owners only received proposals from William Rivas/Rivas Custom Builders LLC. Have verbally requested estimate numerous times, also via text but never received.

First proposal dated 8/2022 was given the same day as proposal dated 12/6/2023. Were told verbally it started as $105,000, changes were made to include master bathroom upgrade. Rivas verbally gave a $15,000 increase, so we agreed. Sat back down in Dec. 2023 for an update on cost, now totaled $189,900. Rivas did understand our budget of $120,000. 0 $125,000, this was mentioned since we were living in the house.

Who negotiated contract: Justin Summers, Audrey Summers, William Rivas

Payment schedule not provided. Since 12/2023, Rivas was requesting $25,000 more to touch project. Did not provide anymore money before an estimate.

Olivia Rivas took the 2 payments we provided.

Verbally told 6 months to complete project.”

RCC100

Arizona Registrar of Contractors Jobsite Inspection Notes (Complaint Items) Complaint Item 1: “contractor told us ( homeowners) that the AC company was paid in full, but come to find out the AC company has not been” Investigator’s Observations: This allegation is NOT verified. If a subcontractor, hired by the general contractor, has not been paid by the general contractor, that subcontractor may considering filing a non-payment complaint against the general contractor. Governing Rule: N/A

(Allegations) Complaint Item 2: “whole house was not complete” Investigator’s Observations: Verified. The original contract, in the amount of $105,000.00, is dated 8/22/2022. Work progressed, and payments were made, based on the original contract. Work stopped 11/8/2023 Current conditions on site: Work is not complete • The interior of the house has been demoed to the framing and concrete. • Plumbing, gas lines, HVAC, Electrical, and framing have all been started, and left incomplete. o Plumbing work includes under-ground and under-slab plumbing that is longer visible. o Framing work includes structural load bearing beams. Per contract, no progress payments are currently due. Work stopped 11/8/2023. A new proposal, with additional work items, in the amount of $189,900.00, is dated 12/6/2023. The complainant’s did not accept to the new proposal. No work has progressed. Without a mutual agreement on a new proposal, the respondent is required to complete all work per the original contract, dated 8/22/2022. Additionally, this entire project is permit required work, which has been started without permits being obtained. Governing Rule: 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. Governing Rule: A.R.S. § 32-1154(A)(2): Departure from or disregard of: (b) A building code... Governing Rule: A.R.S. § 32-1154 (A)(3) - R4-9-108(a): Violation of any rule adopted by the registrar; Namely R 4-9-108(a) A contractor shall perform work in a professional and workmanlike manner. Governing Rule: A.R.S. § 32-1154(A)(3) – R4-9-108(b): Violation of any rule adopted by the registrar; Namely R 4-9-108(b): A contractor shall perform 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.

RCC100 11/14

Arizona Registrar of Contractors Jobsite Inspection Notes

ADDITIONAL VIOLATIONS In addition to the allegations in the complaint, the following violations were verified:

Elements of a Contract Investigator’s Observations: The respondent’s contract is missing the following information: • The date the parties entered into the agreement o The agreement is dated; however, without signatures, it is not possible to determine the date the parties entered into the agreement. • An estimated date of completion • A payment schedule • Information about the customer’s right to file a complaint with the registrar • Contact information for the registrar • A signature of the property owner • A signature of the contractor Governing Rule: A.R.S. § 32-1154(A)(12), Namely A.R.S. § 32-1158(A) Minimum Elements of a Contract. Any contract in an amount of more than one thousand dollars entered into between a contractor and the owner of a property to be improved shall contain in writing at least the following information: 1: The name of the contractor and the contractor's business address and license number. 2: The name and mailing address of the owner and the jobsite address or legal description. 3: The date the parties entered into the contract. 4: The estimated date of completion of all work to be performed under the contract. 5: A description of the work to be performed under the contract. 6: The total dollar amount to be paid to the contractor by the owner for all work to be performed under the contract, including all applicable taxes. 7: The dollar amount of any advance deposit paid or scheduled to be paid to the contractor by the owner. 8: The dollar amount of any progress payment and the stage of construction at which the contractor will be entitled to collect progress payments during the course of construction under the contract. 9a: That the property owner has the right to file a written complaint with the registrar for an alleged violation of section 32-1154, subsection A. 9b: The contract shall contain the registrar’s telephone number and website address and shall state that complaints must be made within the applicable time period as set forth in section 32- 1162, subsection A. 9c: The information in this paragraph must be prominently displayed in the contract in at least ten- point bold type… 9d: …and the contract shall be signed by the property owner and the contractor or the contractor’s designated representative. This paragraph does not apply to a person who is subject to and complies with section 12-1365. REQUIRED CORRECTIVE ACTION: The respondent is to submit a contract form (for use on future projects) that complies with A.R.S. § 32-1158

RCC100 11/14

Arizona Registrar of Contractors Jobsite Inspection Notes

Performing permit required work without a permit being obtained Investigator’s Observations: Work performed on this project includes: • Main electric panel upgrade • New electrical circuits and electrical wiring • New gas lines • New sewer lines, including new lines below grade and below the foundation that are no longer visible or accessible to the local code official. • New water supply lines. • New framing, including new structural load bearing beam(s) • Removal of existing HVAC equipment. • Installation of new HVAC duct work. This entire project is permit required work, which has been started without permits being obtained. Governing Rule: A.R.S. § 32-1154 (A)(2)(b): Departure from or disregard of: (b) A building code... Governing Rule: A.R.S. § 32-1154 (A)(3) - R 4-9-108(b): Violation of any rule adopted by the registrar; Namely R 4-9-108(b): A contractor shall perform work in accordance with any applicable building codes and professional industry standards… Building Code: IRC (International Residential Code) R105.1: “Any owner or authorized agent who intends to construct, enlarge, alter, repair, move, demolish, or change the occupancy of a building or structure, or to erect, install, enlarge, alter, repair, remove, convert or replace any electrical, gas, mechanical or plumbing system, the installation of which is regulated by this code, or to cause any such work to be done, shall first make application to the building official and obtain the required permit.” REQUIRED CORRECTIVE ACTION: The Respondent is to obtain any and all required building permits from the Local Building Authorities prior to making corrections listed in this Directive. If the local jurisdiction finds corrective issues relating to the respondent’s work, the respondent will be required to correct those issues by appropriate means. The respondent is required to satisfy all requirements of the local building official, and to submit a copy of the approved inspection results to the ROC Investigator.

RCC100 11/14

Jobsite Inspection Photos 1 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 2 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 3 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 4 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 5 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 6 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 7 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 8 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 9 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 10 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 11 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 12 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 13 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 14 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 15 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 16 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 17 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

Jobsite Inspection Photos 18 Complaint No.: 2024-05692 Investigator: John Smith #194 Inspection Date: 8/15/2024 Inspection Time: 8:00AM Jobsite address: 4450 E. 16 St., Tucson, AZ 85711 th

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Audrey Summers, Case No. 2024-05692 COMPLAINANT, v. Rivas Custom Builders LLC, CITATION License No. ROC 239109, RESPONDENT.

The Registrar issues this Citation to Rivas Custom Builders LLC (“Respondent”) under

A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by September 20, 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 June 2, 2024, Audrey Summers (“Complainant”) filed a written complaint with the

Registrar. A copy of that Complaint is attached to this Citation.

A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT

The Registrar investigated this matter and finds cause to charge Respondent with

violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged

with violating:

Charge: 1 A.R.S. § 32-1154(A)(1)

Abandonment of a contract or refusal to perform after submitting a bid on work

without legal excuse for the abandonment or refusal.

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Charge: 2 A.R.S. § 32-1154(A)(2)(b) Departure from or disregard of: (b) A building code of this state or any political subdivision of this state in any material respect that is prejudicial to another. Charge: 3 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. Charge: 4 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 skill and capacity. Charge: 5 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: 6 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall

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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 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. 2024-05692. 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 September 20, 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.

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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 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. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A).

The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B).

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated September 5, 2024. By: /s/ Meridith Bell Meridith Bell Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, September 5, 2024 to: Respondent Certified Mail No: [number redacted] Rivas Custom Builders LLC 702 S. Campbell Ave. Tucson, AZ 85719 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 Copy mailed by USPS First Class mail this same date to: Respondent Rivas Custom Builders LLC 702 S. Campbell Ave. Tucson, AZ 85719 Complainant Audrey Summers 4450 E. 16th St. Tucson, AZ 85711 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. 2024-05692 /

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1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

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

AUDREY SUMMERS Mailing Address (Enter jobsite in Contract/Project section) City State Zip

4450 E 16th St Tucson Arizona 85711 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)

Rivas Custom Builders LLC ROC 239109 Street Address City State Zip

702 S Campbell Ave Tucson AZ 85719 Phone Number Email

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

Olivia Rivas Contract/Project Information Contract Date Contract Amount Amount Paid

December 6, 2023 $189,900.00 $75,000.00 Date Work Started Date Work Stopped Date Work Was Completed

February 18, 2023 November 8, 2023 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

4450 E 16th St. Tucson AZ 85711 Name of Construction Site Owner Construction Site Name (if applicable)

Justin and/or Audrey Summers Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Abandonment;Poor Work I have contacted the contractor by Have you filed a complaint in court? No

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

Has any work been corrected? No

The contract was Oral All change orders were Both 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)

contractor told us ( homeowners) that the AC company was paid in full, but come to find out the AC company has not been Allegations Listed on Complaint:

whole house was not complete

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

AUDREY SUMMERS \complainant1\ \complainantd1\

RCC099 12/05/18 Page 2 of 2 Received 9/20/2024 ROC Legal Received 9/20/2024 ROC Legal Received 9/20/2024 ROC Legal

RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

702 S. Campbell Ave Tucson, AZ 85719 Office: (520) 663-3550 Mobile: (520) 331-5701

CONSTRUCTION AGREEMENT

Owner(s): Mailing Address: Project Name: Project Address: Architect: Reference Proposal

THIS AGREEMENT is made this _______day of _________________, 20__, by and between Rivas Custom Builders, LLC (Contractor) and Owner(s). Rivas and Owner(s) agree as follows:

ARTICLE 1: Scope of Work

Contractor shall furnish all materials and perform all work (the “Work”) in order to___(Describe work to be done) at the above address. Plans and Specifications will be attached and incorporated into this Construction Agreement as ‘Attachment A’, if applicable.

ARTICLE 2: Commencement and Completion

Contractor shall commence the above Work on or before_______days after acquiring approved building permit, or such later date as agreed to by the Parties, in writing. In no event shall work commence before mortgages are approved and permits issued (if applicable).

Received 9/20/2024 ROC Legal

RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

Contractor estimates that Work will be substantially complete within: ______days of breaking ground.

For purposes of this Agreement, Substantial Completion shall be Final Inspection by the ___________County. This estimate of completion is subject to events outside of Contractor’s control which may affect the date of completion. Time is of the essence.

Contractor shall be entitled to an equitable extension of time in the event of any delay caused by Owner, or by any event outside of Contractor’s reasonable control (including but not limited to fires, strikes, acts of God, supply shortages, long lead times on materials, long lead times on permits and architectural/engineering plans, inclement weather, any delays correlated to COVID-19 or other epidemics, etc.) or other force majeure events which actually delays Contractor’s Work.

ARTICLE 3: Contract Price

The Owner shall pay the Contractor the contract amount of ______________________, $________with sales tax included on the above amount. This amount is subject to additions and deductions by change orders.

Payment shall be made as follows:

Start Up Costs (Due at Signing of Agreement):_________

Balance Paid in Accordance with Attached Draw Schedule and /or structured by Owners Financial Institution:

Upon Completion of__________: $____________ Upon Completion of__________: $____________ Upon Final Completion ________: $____________

Final payment shall be made not more than 15 days after substantial completion. Owner will not move into the Residence until substantial completion and certificate of occupancy obtained, or final inspection obtained and final payment made.

Received 9/20/2024 ROC Legal

RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

ARTICLE 4: Price Escalation

The Contract Price is based on current market conditions for labor, equipment and materials. In the event prices for any labor, equipment or materials increase by more than ten percent (10%) from the prices incorporated in this Agreement, then the increased costs shall be passed along to Owner as a price increase and Owner agrees to pay for such increased costs.

ARTICLE 5: Permits, Fees and Taxes

Owner shall pay for all applicable city and county building permits and other permits and governmental fees, licenses and inspections necessary for completion of the work, and all applicable state and local taxes.

ARTICLE 6: Changes and Modifications

Any request for changes (alterations, increases or decreases) in the Work, in materials, design, or installation, must be requested in writing and submitted to Contractor before commencement of the related work. Any such changes will affect the Contract Price and Completion Date. Such changes will only be made pursuant to a written agreement between the Parties stating the effect of the change on Contract Price and Completion Date.

ARTICLE 7: Insurance

Contractor shall provide insurance on the Project as follows:

A. Comprehensive General Liability - one million dollars per occurrence/two million dollars aggregate, or as described on the attached certificate of insurance; B. Comprehensive Automobile Liability (owned, non-owned, hired) of $300,000 per occurrence; C. In no event shall Contractor provide insurance of a type or amount not described on the attached certificate of insurance. (Attachment B).

Received 9/20/2024 ROC Legal

RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

Owner’s Insurance: Owner shall purchase and maintain Home Insurance for the Project (including coverage for theft, vandalism, fire, etc.), which shall name Contractor as an additional insured. Owner shall hold the Contractor harmless from any claims, damages or expenses.

If project consists of new construction, Owner shall purchase and maintain Course of Construction Insurance for the Project (including coverage for theft, vandalism, fire, etc.), which shall name Contractor as an additional insured. Owner shall hold the Contractor harmless from any claims, damages or expenses.

ARTICLE 8: Mutual Indemnification

Contractor shall indemnify, defend, and hold harmless the Owner from and against claims, damages, losses and expenses, including but not limited to attorney fees, arising out of or resulting from performance of Contractor’s Work under this Agreement, provided that any such claim, damage, loss or expense is attributable to bodily injury, sickness, disease or death, or to injury to or destruction of tangible property (other than the Work itself), but only to the extent caused by the negligent acts or omissions of Contractor, Contractor’s subcontractors, anyone directly or indirectly employed by them or anyone for whose acts they may be liable.

Owner shall indemnify, defend, and hold harmless Contractor from and against claims, damages, losses and expenses, including but not limited to attorney fees, incurred by Contractor, provided that any such claim, damage, loss or expense is attributable to bodily injury, sickness, disease or death, or to injury to or destruction of tangible property (other than the Work itself), but only to the extent caused by the negligent acts or omissions of the Owner, their employees, subcontractors (other than Contractor) or any party under their control or anyone for whose acts they may be liable.

Received 9/20/2024 ROC Legal

RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

ARTICLE 9: Inspection

Contractor’s obligation to examine documents, the Project site, and materials and work furnished by Owner or others not under Contractor’s control is limited to the obligation to bring to the attention of the Owner any defects or deficiencies that Contractor actually observes or discovers. No testing beyond reasonable visual inspection shall be required.

ARTICLE 10: Cancellation/Termination

Contractor shall be entitled to cancel and terminate this Agreement at any time prior to the start of construction. If any cancellation or termination without cause is made by Owner after the execution of this Agreement, Contractor shall be compensated for any work performed including, but not limited to, meeting with architects and engineers, travel expenses related to the project, permits applied for (or in review), materials purchased, labor expended and equipment rented, plus interest from the date of expenditures, plus all other applicable costs, overhead, and lost profit on completed and canceled work.

ARTICLE 11: Lien Information

Pursuant to A.R.S. § 33-992.01(1) Contractor hereby requests that the Owner provide the following information in writing within 10 days of execution of this Agreement:

A. The legal description, subdivision plat, street address or location with respect to commonly known roads or other landmarks in the area, or any other description of the Jobsite sufficient for identification.

B. The legal name and address of the (any and all) Owner(s) or reputed Owner(s).

C. The name and address of the construction lender, if any, or reputed construction lender.

Lien Releases: Contractor shall provide partial lien and claim waivers in the amount of its applications for payment that shall be conditional upon payment of the full amount of such application. Contractor will not sign any unconditional waiver of lien or claim prior to

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RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

actually receiving funds deposited into their account for the full amount due and after the funds have cleared the bank.

ARTICLE 12: Miscellaneous

Clean Up: Contractor shall remove all debris and rubbish resulting from its performance of the Work, on a regular basis. Contractor may keep a dumpster onsite for collection of such waste. Contractor will leave the Project in a broom clean condition.

Limitations: It is understood and agreed that Contractor shall not be held liable for any loss, damage or delays occasioned by fire, strikes, or material stolen after delivery to jobsite, lockouts, acts of God, accidents, circumstances beyond Contractor’s reasonable control, material shortages, disrupted labor conditions, delayed delivery of materials from suppliers, force majeure, inclement weather, floods, freight embargoes, war, national emergencies, epidemics, or other causes beyond the reasonable control of Contractor, whether foreseeable or not.

Default: In the event Owner determines that Contractor is in default in regard to its duties pursuant to this Agreement, Owner shall provide Contractor with seven (7) days’ written notice and opportunity to commence correction of such default prior to termination of the Agreement.

Governing Law: This Agreement shall be governed by the laws of the State of Arizona. Jurisdiction of any action to enforce any provision of this Agreement or to obtain any remedy with respect hereto shall be in Pima County, Arizona. In the event legal action is brought to enforce the terms of this Agreement, the prevailing party shall be entitled to an award of attorney fees and costs.

Dispute Resolution: All claims, disputes, and matters arising out of or relating to this Agreement or breach thereof shall be subject to mediation prior to any suit or litigation. The Parties agree to share the mediator’s fee. Any such matter not resolved by mediation shall be decided by binding arbitration in accordance with the Uniform Arbitration Act, Arizona Revised Statutes §§12-3001,et seq, then in effect, unless the Parties mutually agree

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RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

otherwise at the time. The location of the arbitration shall be in Pima County and governed by the laws of the State of Arizona. Any decision of an arbitrator in such arbitration shall be final and binding. The prevailing party shall be entitled to recover its reasonable attorney fees, costs and expenses incurred.

Liquidated Damages: Contractor shall not be subject to any consequential damages other than any contractually provided liquidated damages. The Owner expressly waives all other consequential damages. In the event Contractor’s work is delayed, slowed, or halted by any cause beyond Contractor’s control, Contractor shall not be charged with liquidated damages for that period of delay.

Backcharges: No back charge or claim of the Owner for services shall be valid except by an agreement in writing by Contractor before the work is executed, except in the case of Contractor’s failure to meet any requirement of the Agreement. In such event, the Owner shall notify Contractor of such default, in writing, and allow the Contractor reasonable time to correct any deficiency before incurring any costs chargeable to the Contractor.

Warranty: Contractor shall perform its work in a workmanlike manner in substantial compliance with the Plans and any other design documents described in Exhibit A. Contractor warrants all materials and workmanship for a period of 24 months from the date of completion of the Work. This Warranty does not cover normal wear, aging, abnormal use, or homeowner maintenance items.

Contract Documents: The Contract Documents include this Agreement, all documents attached to this Agreement, the Plans and Specifications, any proposal submitted by Contractor. Contractor’s Insurance Certificate and any change orders or written agreements between the Parties.

Rock Clause: Contractor shall promptly, and before the conditions are disturbed, provide written notice to Owners on encountering unforeseeable conditions adversely affecting the work, including but not limited to unexpected or concealed site conditions such as subsurface rock. Owners shall investigate the site conditions promptly after receiving notice. If the conditions cause an increase in cost to Contractor and/or the time required for performing any part of the work and were previously unknown to Contractor, an equitable adjustment will be made under this clause and the contract will be modified in writing accordingly.

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RIVAS CUSTOM BUILDERS, LLC. License #: ROC 0239109

Pursuant to Arizona law we are required to inform you of your right to file a written complaint with the Registrar of Contractors for an alleged violation of Arizona Revised Statutes section 32-1154, subsection A. Any complaints must be made within the applicable time period as set forth in section 32-1162, subsection A. The ROC can be contacted at (602) 542-1525 or online at http://www.roc.az.gov. Contractor requests that if any portion of its work is unsatisfactory that it be notified prior to the filing of a complaint so that it can attempt to resolve any concerns.

We appreciate the opportunity to work with you and we look forward to the successful completion of this project. This Agreement shall be considered the full and integrated agreement between the Parties. Any changes shall be agreed to in writing and shall be reasonable. Should you have any questions or require additional information, please do not hesitate to contact William J. Rivas, Sr. of Rivas Custom Builders, LLC.

CONTRACTOR ACKNOWLEDGMENT: ACCEPTED BY:

RCB SIGNATURE: ______________________ SIGNATURE__________________________ William J. Rivas Sr. Member

DATE: ______________________ DATE: ______________________

SIGNATURE__________________________

DATE: _____________________

For: Rivas Custom Builders, LLC

Received 9/20/2024 ROC Legal Received 9/20/2024 ROC Legal

RIVAS CUSTOM BUILDERS LLC. GENERAL CONTRACTOR AND CUSTOM HOME BUILDER Residential & Commercial Serving Southern Arizona Since 1984 ROC 0239109

702 S. Campbell Ave. OFFICE: (520) 663-3550 TUCSON, AZ 85719 MOBILE: (520) 331-5701 [email redacted]

Charge 1: RCB did not abandon this project or refused to perform. By mutual agreement, project was placed on hold due to the homeowners lack of funds to continue with additional items requested by homeowners. (Additional items requested were master & guest bathrooms remodel, lath and stucco of exterior of residence and new interior sewer line replacement). Charge 2: All work has been performed up to the City of Tucson building codes and performed by licensed contractors in the State of AZ. ( Note: Not all work is completed and will be in the intermediate inspection stage). Charge 3: All work performed up to date has been performed up to the City of Tucson codes and all subcontractors are licensed in the State of AZ. All work that has been initiated has been in a professional and workmanlike manner. Charge 4: All work has been performed up to code and to professional industry standards. All work that has been performed meets all standards for a license subcontractor and City of Tucson codes and regulations. Charge 5: RCB has a Construction Agreement drawn up by our attorney that includes all required information to comply with the registrar requirements. Please see the attachment. Charge 6: RCB received the Written Directive on August 15, 2024 the same day as the jobsite inspection with the investigator. RCB’s compliance with the directive was for Sept. 3, 2024 (13 working days). RCB was to obtain any and all required building permits from the City of Tucson. In order to obtain plans and permits approx. 6-7 weeks are required. The Directive clearly states that RCB was to obtain any and all building permits from local building authorities prior to making corrections listed in the Directive. How was RCB supposed to fulfill this unrealistic requirement with such a short time frame? I feel Mr. Smith was unrealistic with his request for RCB to be in compliance with the Directive. As per 32-1154(A)(22), “ The time permitted for compliance may not be less than fifteen days from the date of issuance of the directive.” Reason as to why RCB requested a written extension to comply with the Directive which was denied by the investigator. Received 9/20/2024 ROC Legal Received 9/23/24, 8:01 AM State of Arizona Mail - "Written Answer to Citation and Complaint" 9/20/2024 ROC Legal

Answers - AZROC <[email redacted]>

"Written Answer to Citation and Complaint" message

Rivas Custom Builders <[email redacted]> Fri, Sep 20, 2024 at 3:49 PM To: [email redacted] Cc: William Rivas Sr <[email redacted]>

Written Answer to Citation and Complaint

Case No. 2024-05692

Olivia Y. Rivas Rivas Custom Builders, LLC. Office: (520) 663-3550 Cell: (520) 248-1401 [email redacted]

attachments Written Anser to Citation and Complaint.pdf 760K List of Charges Case No. 2024-05692 (1).pdf 228K ROC Summer Letter.pdf 274K Electrical Permit.pdf 115K Contract Template (2023)-3.pdf 227K

https://mail.google.com/mail/b/AEoRXRSJs3dJJGdZTcC9niHFA4LYXdfqkvAq7QxSGDJfDzQFhWjk/u/0/?ik=581c53cf5c&view=pt&search=all&permthid… 1/1 Mediation Notice

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

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

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

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

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

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

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

_____________________________________ _______________________ Respondent (or representative) Date

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

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

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

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

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

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

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

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

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

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

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

Exhibit Exhibit Name

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

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

Print Name Signature Date

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