2024A-06341-CHC-ROC Notice of Hearing & Packet MAILED 2024-06341.pdf

2024A-06341-CHC-ROC · Registrar of Contractors · 2024-07-29

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Aaron Kafer , Case No. 2024-06341

COMPLAINANT, Docket No. 2024A-06341-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE SunUp America LLC License Nos. ROC 333266, 325273, 325608

RESPONDENT.

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

HEARING INFORMATION The hearing is set for:

September 9, 2024 1:00 PM Tammy Eigenheer Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person. If you have requested to appear in-person at the hearing, the hearing will

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

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

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

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

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION

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

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

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

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

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED

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

complaint and citation, which were served on the Respondent on July 12, 2024. SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED

The complaint and citation allege that the Respondent committed the following act(s): Charge: 1 A.R.S. § 32-1154(A)(1) Charge: 2 A.R.S. § 32-1154(A)(3) - R4-9-108(a)

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

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 July 29, 2024.

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

Copy mailed via USPS First Class mail July 29, 2024 to:

Respondent(s) SunUp America LLC 625 S. Smith Rd., Suite. 11 Tempe, AZ 85288 Complainant(s) Aaron Kafer 6146 E 14th Ave Apache Junction, AZ 85119

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. 2024-06341 /

Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

Hearing Packet FAQ What is the Hearing Packet?

The Hearing Packet is a packet of certain documents collected or issued by the Registrar over the course of its investigation.

Who gets the Hearing Packet?

The Hearing Packet is assembled and distributed to all parties and to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing.

What types of cases does the Registrar prepare a Hearing Packet for?

The Registrar prepares a Hearing Packet for Complainant-Handled Cases and No-Pay Cases. Note: If the Docket Number on the Notice of Hearing contains a “CHC” or “NPC”, your case is a Complainant-Handled Case or a No-Pay Case.

What is in the Hearing Packet?

The Hearing Packet contains essential case-specific documents and at a minimum will include the following documents:

● Original complaint;

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

Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

● Citation; and ● Answer.

The Hearing Packet will also contain the following documents (if applicable):

● Jobsite inspection notices, notes, and photos; ● Written directives; and ● Compliance inspection notices, notes, and photos.

What if there are documents missing from the Hearing Packet?

If there is any evidence you submitted to the Registrar that are not included in the Hearing Packet it is your responsibility to introduce that evidence at the administrative hearing. Note: The administrative law judge assigned to your case does not have access to the entire Registrar record.

If there is additional evidence you submitted to the Registrar during the investigation that you also want to introduce as evidence during your hearing, it is your responsibility to:

● Properly disclose that evidence to the other party; and ● Introduce the evidence during your hearing.

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

Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

How do I disclose evidence I intend to use at a Hearing?

You must properly disclose any and all documents and witnesses you intend to use at your hearing according to the Registrar’s Prehearing Disclosure Rules. See Arizona Administrative Code Section R4-9-118.

A sample prehearing disclosure form and instructions are provided to the parties by the Registrar.

How do I obtain documents I previously submitted to the Registrar?

If you previously submitted documents to the Registrar and need a copy of these documents, please contact the Registrar’s Legal Department or submit a public records request at https://roc.force.com/AZRoc/s/roc-public-request.

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

Complainant: Aaron Kafer 6146 E 14th Ave Apache Junction, AZ 85119

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: SunUp America LLC 625 S. Smith Rd., Suite 11 Tempe, AZ 85288

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 20, 2024

Re: Complaint No. 2024-06341

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for Wednesday, July 10, 2024 at 10:15 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,

Mark Nipp, Investigator (602) 771-6740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

Cc: File Complainant Respondent

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 Jobsite Inspection Notes

Case No.: 2024-06341 Investigator: Mark Nipp Inspection Date: 7/10/2024 Inspection Time: 10:15 AM

Complainant: Respondent: Aaron Kafer SunUp America LLC Not Present: ☐ Present at Jobsite Inspection: JC Candelario – Electrician (employee). Not Present: ☐

Jobsite General Notes: The Respondent’s ROC license has been revoked. As such, there will be Written Directive.

Complaint Item #1: Work not finished. Investigator’s Observation: Verified Both parties agreed that the solar panels were installed. Both parties agreed that the inverter, meter, and sub-panels are installed. Both parties agreed the system is not complete or energized. Both parties agreed that the Respondent does not have approved plans from SRP to move forward. I saw that the installation was incomplete and the system was not energized. The contract was signed on 11/10/2023. I was not able to inspect the solar panels themselves because the Complainant did not have an appropriate ladder. However, both parties agreed that the solar panels are installed. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. The Respondent’s

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

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ROC license is currently Revoked and no corrective work can be completed by them. Reference Picture(s) 1-6 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. A.R.S. § 32-1154(A)(3); 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); Violation of any rule adopted by the registrar; Namely R4-9-108(B); in part, A contractor shall perform all work in accordance with any applicable building codes and professional industry standards…a contractor shall use such skills, prudence, and diligence in performing and completing tasks…

Complaint Item #2: Work not permitted before starting. Investigator’s Observation: Not Verified - Insufficient Evidence Both parties agreed that the Respondent has obtained a permit; however, the plans are not approved with SRP because they have to upgrade the main breaker box which is not included on the current plans. Neither party provided a copy of the permit. I am not able to retrieve permits from SRP and could not verify when the permit was issued in relation to when the work began. No further action is required. Reference Picture(s) N/A Governing Rule: N/A

Complaint Item #3: Communication Stopped. Investigator’s Observation: Not Verified – This complaint item does not indicate poor workmanship or a violation of A.R.S. § 32-1154(A). No further action is required.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19

Reference Picture(s) N/A Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov RCC100 08/19

Complaint #2024-06341 P 1 JSI Date 7/10/2024 at 10:15 AM JSI PHOTOS Panels are installed. System is not energized and there are no approved plans with SRP. Complaint #2024-06341 P 2 JSI Date 7/10/2024 at 10:15 AM JSI PHOTOS Complaint #2024-06341 P 3 JSI Date 7/10/2024 at 10:15 AM JSI PHOTOS Complaint #2024-06341 P 4 JSI Date 7/10/2024 at 10:15 AM JSI PHOTOS Complaint #2024-06341 P 5 JSI Date 7/10/2024 at 10:15 AM JSI PHOTOS Complaint #2024-06341 P 6 JSI Date 7/10/2024 at 10:15 AM JSI PHOTOS

400 amp panel is to be installed at the circled location. REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Aaron Kafer, Case No. 2024-06341 COMPLAINANT, v. SunUp America LLC, CITATION License Nos. ROC 333266, 325273, 325608 RESPONDENT.

The Registrar issues this Citation to SunUp America LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by July 27, 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 4, 2024, Aaron Kafer (“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)(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: 3 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. 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. 2024-06341. 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 July 27, 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. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE 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 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 constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar.

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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 Dated July 12, 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, July 12, 2024 to: Respondent Certified Mail No: [number redacted] SunUp America LLC 625 S. Smith Rd., Suite 11 Tempe, AZ 85288 Copy mailed by USPS First Class mail this same date to: Respondent SunUp America LLC 625 S. Smith Rd., Suite 11 Tempe, AZ 85288 Complainant Aaron Kafer 6146 E. 14th Ave Apache Junction, AZ 85119 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. 2024-06341 /

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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 DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

GENERAL TERMS, CONDITIONS, DISCLOSURES, AND CONTRACT ACKNOWLEDGEMENTS 1. Payment. The Company assumes no responsibility or liability for payments you make directly to any of its sales agents, subcontractors or employees unless said payment is made by check payable to SunUp America, LLC. 2. Company. Any reference made to “Company” throughout this Agreement includes SunUp America, LLC, its members, officers, representatives, assigns, employees, agents, installers, contractors, subcontractors, and affiliates where the context so requires.

3. Information, Privacy and Disclosure. By accepting this Agreement, Buyer agrees to provide all information, even if considered "personal information” within the meaning of the Privacy Act of 1974, that may be required to apply for any grant, rebate, credit, or other benefit. Buyer consents to Company's collecting, using, and disclosing your information as set out in this Agreement. 4. Surplus. All surplus material is the property of Company. 5. Perfecting Interest. Buyer agrees that he/she/they will sign a Contractor’s Completion Certificate, as well as any other documents deemed necessary by any financial institution which provides financing to Buyer in order to acquire the Products or show completion of installation. 6. Taxes. Prices stated in this Agreement do not include relevant taxes unless noted otherwise. This Agreement shall comply with applicable gross receipts and transaction privilege tax requirements. 7. Tax Credits and Depreciation Deductions. Buyer understands that tax credits are credits against Buyer's income tax liability. In the event Buyer does not have a tax liability, then tax credits or depreciation deductions will not be useful to Buyer. Company shall not be liable if Buyer does not receive depreciation deductions or federal or state tax credits for any reason. For additional questions, Buyer should consult its own tax advisor(s). 8. Ownership, Access and Authority to Install. Buyer warrants that it owns the Property and/or has the full authority to enter into this Agreement. The Buyer shall afford access to the Buyer's property to Sunup America or its designee(s) to install the Products. 9. Indemnification. Buyer shall indemnify and hold Company harmless from any damage or injury to Buyer, or any other person, or to any property occurring on the premises or in common areas, unless such damage is the result of the sole negligence or willful misconduct of Company. 10. Additional Fees. Additional costs will be charged if incurred at the request of the Buyer, due to any neglect or issues caused by the Buyer, or due to unpermitted structures or unforeseen third party demands outside of the Company's control. 11. Condition of Property; Permits. Buyer warrants that the Property is of such condition that the Products can be installed and there are no outstanding violations, permits, or related issues affecting the Property. Buyer also warrants there are no unpermitted structures or open permits on the property which would make the installation impracticable. Buyer shall take all reasonable measures to permit or remove all unpermitted structures and shall cooperate with Company in a timely manner, no later than 30 days from the date of notice to do so. Should Company decide to correct any permitting issues to finalize the Installation and permitting of the Products, Buyer shall pay Company all costs and fees associated with said correction. The company is not responsible for any damage to Buyer's premises, including roof, walls, piping, electrical panels, etc., due to prior existing poor condition. Buyer understands that there may be exposed conduit and other plumbing and electrical components involved in the installation of the system. Buyer agrees to remove or protect any personal property, inside or out, including trees, shrubs and flowers, and Company shall not be held responsible for damage to said items. Company is not liable for damage to Buyer's roof absent Company's negligent installation thereof. Buyer (and Property owner, if different) is/are to carry their own fire, hurricane, and other necessary insurance. 12. Limited Warranty. Company does not make any representations or warranties except for those set out in this Agreement and those warranties which cannot be excluded from this Agreement. Company shall provide limited warranties in compliance with the minimum standards of applicable law of those states in which it operates. Any warranty is for normal use and conditions only. Any warranty coverage for equipment and workmanship installed by Company will be void if any alterations or repairs are performed by any person(s) not expressly authorized in writing by Company. The warranty does not cover vandalism or damage caused by external forces such as weather or other acts of God; normal wear and tear or aging of material; any implied warranties, additional electric bills, water damage or any other consequential damages to the property, damage to the system or its efficiency due to adjustment, moving

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

or tampering with components by individuals other than those specified by Company. TO THE EXTENT NOT PROHIBITED UNDER APPLICABLE LAW, THE LIMITED WARRANTY SET FORTH HEREIN IS EXPRESSLY IN LIEU OF AND EXCLUDES ALL OTHER EXPRESS OR IMPLIED WARRANTIES, INCLUDING BUT NOT LIMITED TO WARRANTIES OF MERCHANTIBILITY AND OF FITNESS FOR PARTICULAR PURPOSE, USE, OR APPLICATION, AND ALL OTHER OBLIGATIONS OR LIABILITIES ON THE PART OF COMPANY, UNLESS SUCH OTHER WARRANTIES, OBLIGATIONS OR LIABILITIES ARE EXPRESSLY AGREED TO IN WRITING AND SIGNED AND APPROVED BY COMPANY. COMPANY SHALL HAVE NO RESPONSIBILITY OR LIABILITY WHATSOEVER FOR DAMAGE OR INJURY TO ANYONE CAUSED BY A FAILURE OF ANY PART OF THE SYSTEM. 13. Manufacturers’ and Product Warranties. Company agrees to pass along to the Buyer(s) all existing product and manufacturers' warranties. 14. Workmanship. Company will perform all work in a workmanlike manner in accordance with all local building codes and regulations and warrants that work for two (2) years. Any work performed outside the scope of Company's licenses shall be performed by a duly licensed contractor holding the requisite license in the jurisdiction in which the work is being performed. Production from the photovoltaic solar system that is sold is warranted by the manufacturer for a period of twenty-five (25) years. The remaining components of the solar energy device and their installation shall be warranted for a period of at least ten (10) years. A written statement of warranty, responsibilities assumed or disclaimed, and performance data of the solar energy device and its components shall be furnished to the Buyer. The solar energy device complies with the requirements of federal, state and local law, including A.R.S. requirements for qualifying for the Arizona income tax solar credit. In addition, Company provides a separate 10-year warranty covering any roof leak related to or associated with the solar system's points of attachment to the roof. 15. Estimated Timing. Again, it is estimated that this project will typically be completed within 4-18 weeks after the contract has been signed by Buyer and SUA. We shall not be liable for any delay in delivery or failure to deliver resulting from any cause beyond our control. Such causes include, but shall not be limited to, vandalism, an act of God or of the public enemy, governmental prohibition, fire, flood, epidemic or pandemic, quarantine, strike, freight embargo, natural disaster, unusually severe weather or Company's inability to obtain necessary materials, labor or transportation. 16. Severability. If any provision or any part of a provision of this Agreement is held invalid or unenforceable, the remainder of the Agreement shall be construed as if not containing the invalid or unenforceable provision or portion thereof, and the rights and obligations of each party shall be construed and enforced accordingly. 17. Disclosure Regarding Utility Rates. Utility rates and utility rate structures are subject to change. These changes cannot be accurately predicted. Projected savings from your distributed energy generation system are therefore subject to change. Tax incentives are subject to change or termination by executive, legislative or regulatory action. 18. Cancellations. Cancellations are accepted anytime during the 3-day right of rescission. If for any reason you choose to cancel your solar project after the 3-day right of rescission, you will be charged for the work performed on your project. Stage 1 is $1,395 at expiration of the right of rescission, Stage 2 is an additional $695 through Pre- inspection, Stage 3 is an additional $1,000 through Designs, Stage 4 is an additional $1,500 through permit submission, Stage 5 is an additional $2,500 when material arrives at our warehouse. Additionally, you will be charged the cost of any work that has been completed on your property to cover expenses, labor, materials, plus any applicable attorneys’ fees. 19. Demand, Acceleration and Collection. If the Buyer refuses to complete the purchase as agreed or defaults under any terms of the Agreement, the entire balance of the purchase price shall accelerate and become due and payable immediately. In any civil action, lawsuit or other proceeding arising out of or in connection with the Agreement, the Company or its assignees shall be entitled to recover all expenses incurred in connection therewith, whether as plaintiff/petitioner or defendant/respondent. Expenses shall include but not be limited to court costs, attorneys’ fees and costs of collection. Any sums awarded to the Company as damages, prejudgment interest, taxable court costs, attorneys’ fees or sanctions, if applicable, or other financial awards however denominated, shall bear post-judgment simple interest at the rate of eighteen percent (18%) per year. 20. Insurance. a. General Requirements. SUA shall carry workers’ compensation insurance and public liability insurance as required by law and regulation for the protection of SUA and Buyer during process of the Work.

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

b. Commercial General Liability Insurance (CGL). SUA carries commercial general liability insurance. You may contact Rockingham Insurance Company at 833.506.9238 to check insurance coverage of SUA. c. Worker’s Compensation Insurance. SUA carries worker’s compensation insurance for all employees. 21. Changes in the Work. a. SUA may delay acting on any written or oral direction, instruction, interpretation, or determination of Buyer which would constitute Extra Work and may assert the right to an amendment to this contract by written Change Order before proceeding. b. When signed by SUA and Buyer, each Change Order becomes a contract document. 22. Information about the Arizona Registrar of Contractors. At any time throughout this construction project, the Buyer may file a written complaint with the Registrar of Contractors for any alleged violations of ARS §32-1154, subsection A, within the applicable time as set forth in that section. The Registrar of Contractors may be contacted at: 1700 W. Washington St., Suite 105, Phoenix, AZ 85007-2812, phone (602) 542-1525, www.roc.az.gov.

Finance Summary

Lender Name _______________________ Dividend Interest Rate ________ 7.99 Term ________ Loan Amount $_____________ 37881.00

Estimated Payments for the first __________ 2-16 months “(Initial Time Period)” will be $___________ 214.98

Estimated Payments for months ___________ 17-300 will be $ __________, 117.89 if you make a payment to the Lender equal to the amount of the federal solar tax credit within the Initial Time Period.

Estimated Payments for months __________ 17-300 will be $____________, 304.17 if you choose not to make a payment equal to the amount of the federal solar tax credit within the Initial Time Period.

Loan payments start: days after installation for Service Finance Buyers; days after installation for Dividend Buyers; days after installation for Sunlight Buyers; days after installation for Goodleap Buyers; and days after installation or 15 days after permission to operate is obtained, whichever is earlier, for Mosaic Buyers. days after date of contract for all Deed of Trust Construction Loans.

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

NOTICE TO BUYER

1. Do not sign this Agreement if any of the spaces intended for the agreed terms, to the extent of then-available information, are left blank. 2. You are entitled to a completely filled in copy of this Agreement, signed by both you and SUA, before any work may be started. 3. You may cancel this Agreement any time prior to midnight of the third business day after the date of this transaction. See the attached Notice of Cancellation form for an explanation of this right. 4. It shall not be legal for the Company to enter your premises unlawfully or commit any breach of the peace to repossess goods purchased under this Agreement. 5. No Agreement of the Buyer in a home solicitation sale shall be effective unless the following completed form, in duplicate and in the language used in the oral sales presentation which, if in English, would be in the form set forth in this subsection, is attached to the contract or receipt.

NOTICE OF CANCELLATION Buyer may cancel this Contract without any penalty or obligation within three (3) business days after signing by notifying Sunup America, LLC of such in writing. If you cancel, any property traded in, any payments made by you under the contract or sale, and any negotiable instrument executed by you will be returned within 10 days following receipt by the Company of your cancellation notice, and any security interest arising out of the transaction will be canceled. If you cancel, you must make available to the Company at your property, in substantially as good condition as when received, any goods delivered to you under this contract or sale, or you may, if you wish, comply with the instructions of the Company regarding the return shipment of the goods at the Company’s expense and risk. If you do make the goods available to the Company and the Company does not pick them up within 20 days of the date of your notice of cancellation, you may retain or dispose of the goods without any further obligation. If you fail to make the goods available to the Company, or if you agree to return the goods to the Company and fail to do so, then you remain liable for performance of all obligations under the contract. SunUp America, LLC may cancel this agreement if existing conditions at the site of the work prohibit the work or add additional costs to the work that the Buyer is unwilling to pay for under the change order provisions of this Agreement.

To cancel this transaction, mail or deliver a signed and dated copy of this cancellation notice or any other written notice to: 3321 E. Atlanta Ave., Phoenix, AZ 85040 no later than DATE: __________________. 11/14/2023

Initial________Initial_______

We hereby cancel this transaction on DATE: _______________________ Signature: _______________________

Signature: _______________________

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

NOTICE TO BUYER

We hereby cancel this transaction on DATE: _______________________ Signature: _______________________

Signature: _______________________

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Solar System Is Working

Just a reminder that your solar system was designed based on your average "Peak" monthly utility usage. It was designed on a 12-month overall view, so it is not possible to tell in one or two months what the system will produce. It must be given the full 12 months. We cannot stress enough that the system was based on your electricity usage before solar. So just because you have solar does not mean you have an endless supply of energy. Even during months when your system produces more than you consume, you will still have utility company taxes and fees. We want to take a few minutes of your time to make sure we are all on the same page and nothing is lost in translation. We want to make sure that you, the Buyer, understand that the tax credits are credits against your income tax liability. In the event that that you do not have an income tax liability this year, then the tax credits will not be available to you now, but they may be carried forward up to 20 years beyond the year of activation. Please consult with your tax professional. All savings illustrations shown in the presentation are for illustration purposes only. Although we do everything in our power to provide you with an accurate assessment of your savings potential, every home is unique, and savings will vary based on many factors. Also, please remember to let the system work the way it is designed. You will have some electric bills with usage. and some with credits throughout the next 12 months which all balances out as explained to you today.

Anyone on the Fulfillment team can assist you throughout the process. Please call (844) 786-8729 9am-4pm (MST) Monday through Friday.

__________________________________ __________________________________ Signature Signature

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Initial ___ Initial ___ Demand rate: If you have a demand rate plan, you are responsible to control your own demand. Sunup America, LLC has no liability for your demand rate or charges. Initial___ Initial___ Time-of-Use Plan: If you choose a TOU plan, your buyback rate may change depending on your utility provider and your choice of usage plan from it. Initial____Initial____ Offset seldom equals usage. Buyer’s utility bill reduction from solar will seldom offset all of the Buyer’s utility bill cost because utility companies generally charge more per kWh during the hours Buyer most uses electricity than the utility companies reimburse per kWh during the hours Buyer is selling electricity back to the grid. Initial____Initial____ Silence is Assent. If SunUp provides installation plans and drawings to Buyer for approval and does not hear back from the Buyer within 48 hours, Buyer will be deemed to have assented to plans/drawings and Company will be authorized to continue the installation process on that basis. Initial____Initial____ Refusal of Entry. Buyer is liable for a one thousand dollar ($1,000) “truck roll” charge if it turns SunUp’s work crew away or otherwise prevents SunUp from performing any previously scheduled and confirmed installation. Buyer is liable for a two hundred and fifty dollar ($250) truck roll charge if it turns SunUp’s work crew away or otherwise prevents SunUp from performing any previously scheduled and confirmed repair, maintenance or other customer service. Initial____Initial____ Additional default remedy. If Buyer has been in default under this Agreement for longer than thirty (30) days, Buyer grants SunUp the right to enter Buyer’s property without breaching the peace to turn off or disable the solar system until the default is cured. Initial____Initial____ Solar Tax Documents. Tax documents to help the Buyer claim tax credits and depreciation on its solar purchase will be emailed or otherwise provided to the Buyer by March 15 of the year following the date of purchase and/or the date of activation. Initial____Initial____ Agreement Interpretation. This Agreement shall not be interpreted against the party drafting it. Initial____Initial____ Company-financed Deals. In the event SunUp helps the Buyer to finance its purchase through execution of a promissory note and deed of trust, Buyer agrees that any conflicting terms of those documents shall take precedence over the terms in this Agreement. Initial____Initial____ Entire Agreement: This Agreement, the video sales presentation, worksheet and materials, the Contract Acknowledgments page, and all attachments hereto, constitute the entire understanding of the parties. All prior and contemporaneous agreements, representations, statements, negotiations, understandings, undertakings and oral assertions are superseded. This Agreement may be modified only in a written document signed by both parties.

____________________________ ___________________________________ Buyer Signature Buyer Signature

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Welcome to SunUp America

Congratulations on your decision to go Solar! Shortly, you will receive a “Welcome Call.” The purpose of this call is to go over your customized solar package and review your energy savings products. During this call we will be scheduling a time to do a “technical site survey.”

Technical Site Survey An electronic site survey will be requested to verify roof, your service panel(s) and verify the specific layout of your property. This is an important part of the solar process. In addition to the electronic site survey, we will conduct an in- person survey to verify placement and accuracy of designs. The homeowner must be present for the scheduled survey.

Engineering Drawings The completed site survey will be sent over to a Design Technician for "Engineering." These engineered site plans will be sent to you for approval. Please keep in mind that these plans are designed to give you the optimal production of your new system. A site plan will be e-mailed to you for your acknowledgment.

Permit Approval Your approved site plans and engineering drawing will be sent with the appropriate applications to your Utility Company and Governmental Authority to obtain the required permits we need to install your solar system. We like to refer to this as the hurry up and wait time.

Installation Process The equipment package will be delivered before your install to your home. While we strive to plan for every possible contingency, issues may still arise the day of install. We will work diligently to solve all issues in a timely manner and keep the process as smooth as possible. (We will need access to your Wi-Fi to activate monitoring.)

Power-Up Process Once installed, the next and final step is "Power Up." This will occur once Utility and Final Jurisdictional Clearance has occurred. Depending on the utility company, this process could take up to 30 - 45 days after final inspection. As your representative, we push this process along as fast as we can. It is not uncommon for Site Inspectors to question the work or certain aspects of the job. Please do not be alarmed. Any issues will be corrected as soon as they are detected. Once again, depending on the jurisdiction, this process could take several weeks.

Your utility company will set your bi-directional meter and grant permission to operate.

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Certificate of Qualified Electrical Contractor The undersigned represents and certifies to SRP and agrees that:

1. It has designed, constructed, installed, and inspected the electrical facilities at the service address described above.

2. The electrical facilities have been designed, constructed, installed, and inspected (and will operate) in compliance with all relevant construction and safety codes and standards.

3. It is qualified to make the representation set forth above.

Please email completed Certificate to the SRP City Clearance Desk at [email redacted].

Contractor’s Signature:

License Printed Name: Number:

Company Name: Title:

Address: Phone:

Date:

REV DATE: 05-01-2020 Page 3 of 3 Certificate Of Completion Envelope Id: 37782EE789384A4BB0CB2D5162AD36A2 Status: Completed Subject: Solar Closing Documents for Megan Kafer Source Envelope: Document Pages: 18 Signatures: 7 Envelope Originator: Certificate Pages: 2 Initials: 32 Docs Team AutoNav: Enabled 3049 Executive Parkway EnvelopeId Stamping: Enabled Lehi, UT 84043 Time Zone: (UTC-07:00) Mountain Time (US & Canada) [email redacted] IP Address: 34.172.114.152

Record Tracking Status: Original Holder: Docs Team Location: DocuSign 11/10/2023 9:11:22 PM [email redacted] Status: Original Holder: Docs Team Location: DocuSign 11/10/2023 9:11:25 PM [email redacted]

Signer Events Signature Timestamp Jay Campagne Sent: 11/10/2023 9:11:25 PM [email redacted] Viewed: 11/10/2023 9:12:52 PM Security Level: Email, Account Authentication Signed: 11/10/2023 9:26:10 PM (None) Signature Adoption: Pre-selected Style Using IP Address: 173.24.203.131

Electronic Record and Signature Disclosure: Not Offered via DocuSign

Megan Kafer Sent: 11/10/2023 9:26:12 PM [email redacted] Viewed: 11/10/2023 9:28:42 PM Security Level: Email, Account Authentication Signed: 11/10/2023 9:30:07 PM (None) Signature Adoption: Drawn on Device Using IP Address: 174.234.198.254 Signed using mobile Electronic Record and Signature Disclosure: Not Offered via DocuSign

In Person Signer Events Signature Timestamp

Editor Delivery Events Status Timestamp

Agent Delivery Events Status Timestamp

Intermediary Delivery Events Status Timestamp

Certified Delivery Events Status Timestamp

Carbon Copy Events Status Timestamp Docs Team Sent: 11/10/2023 9:11:25 PM [email redacted] Viewed: 11/10/2023 9:11:25 PM Security Level: Email, Account Authentication Signed: 11/10/2023 9:11:25 PM (None) Electronic Record and Signature Disclosure: Not Offered via DocuSign Carbon Copy Events Status Timestamp Susan Cardenas Sent: 11/10/2023 9:30:09 PM [email redacted] Security Level: Email, Account Authentication (None) Electronic Record and Signature Disclosure: Not Offered via DocuSign

Shay Helie Sent: 11/10/2023 9:30:09 PM [email redacted] Security Level: Email, Account Authentication (None) Electronic Record and Signature Disclosure: Not Offered via DocuSign

Witness Events Signature Timestamp

Notary Events Signature Timestamp

Envelope Summary Events Status Timestamps Envelope Sent Hashed/Encrypted 11/10/2023 9:11:25 PM Certified Delivered Security Checked 11/10/2023 9:28:42 PM Signing Complete Security Checked 11/10/2023 9:30:07 PM Completed Security Checked 11/10/2023 9:30:09 PM

Payment Events Status Timestamps DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Finance Summary

Lender Name _______________________ Dividend Interest Rate ________ 7.99 Term ________ Loan Amount $_____________ 37881.00

Estimated Payments for the first __________ 2-16 months “(Initial Time Period)” will be $___________ 214.98

Estimated Payments for months ___________ 17-300 will be $ __________, 117.89 if you make a payment to the Lender equal to the amount of the federal solar tax credit within the Initial Time Period.

Estimated Payments for months __________ 17-300 will be $____________, 304.17 if you choose not to make a payment equal to the amount of the federal solar tax credit within the Initial Time Period.

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

NOTICE TO BUYER

Initial________Initial_______

We hereby cancel this transaction on DATE: _______________________ Signature: _______________________

Signature: _______________________

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

NOTICE TO BUYER

We hereby cancel this transaction on DATE: _______________________ Signature: _______________________

Signature: _______________________

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Solar System Is Working

Anyone on the Fulfillment team can assist you throughout the process. Please call (844) 786-8729 9am-4pm (MST) Monday through Friday.

__________________________________ __________________________________ Signature Signature

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

____________________________ ___________________________________ Buyer Signature Buyer Signature

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Welcome to SunUp America

Your utility company will set your bi-directional meter and grant permission to operate.

Initials _____/_____ SunUp America, LLC 3321 E. Atlanta Ave., Phoenix, AZ 85040 (844) 786-8729 ROC 325273 and 333266 www.sunupamerica.com DocuSign Envelope ID: 37782EE7-8938-4A4B-B0CB-2D5162AD36A2

Certificate of Qualified Electrical Contractor The undersigned represents and certifies to SRP and agrees that:

1. It has designed, constructed, installed, and inspected the electrical facilities at the service address described above.

2. The electrical facilities have been designed, constructed, installed, and inspected (and will operate) in compliance with all relevant construction and safety codes and standards.

3. It is qualified to make the representation set forth above.

Please email completed Certificate to the SRP City Clearance Desk at [email redacted].

Contractor’s Signature:

License Printed Name: Number:

Company Name: Title:

Address: Phone:

Date:

Electronic Record and Signature Disclosure: Not Offered via DocuSign

In Person Signer Events Signature Timestamp

Editor Delivery Events Status Timestamp

Agent Delivery Events Status Timestamp

Intermediary Delivery Events Status Timestamp

Certified Delivery Events Status Timestamp

Shay Helie Sent: 11/10/2023 9:30:09 PM [email redacted] Security Level: Email, Account Authentication (None) Electronic Record and Signature Disclosure: Not Offered via DocuSign

Witness Events Signature Timestamp

Notary Events Signature Timestamp

Payment Events Status Timestamps 7/18/24, 1:43 PM State of Arizona Mail - Re: Citation Case No. 2024-06341

Answers - AZROC <[email redacted]>

Re: Citation Case No. 2024-06341 message

Paul Gugel <[email redacted]> Thu, Jul 18, 2024 at 11:51 AM To: [email redacted] Cc: [email redacted], Alex Elder <[email redacted]>

Written Answer to Citation and Complaint Case No. 2024-06341 | Kafer

Dear Sirs:

Respondent, SunUp America LLC, denies all charges in the above-referenced Citation and Complaint. Mr. Kafer's solar system has been the subject of several design changes ordered first by the utility and then by the Complainant.

SunUp America sold its existing customer base to SunUp- Arizona, LLC d/b/a Simple Solar Industries earlier this year, before all of SunUp America's licenses were voluntarily cancelled or revoked.

SunUp had a 07/10/2024 telephone conversation with the ROC, the same day SunUp's representative at the Kafer job site inspection was told by the ROC Inspector not to touch anything. The ROC Legal Department indicated that if SunUp- Arizona LLC has a valid license (which it does, ROC 347584), the ROC cannot tell Sun-Up- Arizona it can or can't do work sold to it by SunUp America. We would appreciate the Legal Department's passing that word on to the job site inspectors so that potential resolution of claims is not delayed or prevented by their being uninformed on this issue.

In that spirit, SunUp- Arizona plans to continue sending its technicians out to get as many systems activated, and as many ROC complaints against SunUp America resolved, as it has resources to accomplish.

Our most recent communications with Mr. and Mrs. Kafer informed them that we would be following up on the issue.

Respectfully,

Paul E. Gugel Corporate Counsel

On Fri, Jul 12, 2024 at 1:01 PM Legal New Mail - AZROC <[email redacted]> wrote: Hello,

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

Thank you,

Arizona Registrar of Contractors Legal Department

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

https://mail.google.com/mail/b/AEoRXRRCFX44Hv_WYtuX1QaluU6OYfz44nsl_DrZIuiLQYBGalDI/u/0/?ik=581c53cf5c&view=pt&search=all&permthid… 1/2 7/18/24, 1:43 PM State of Arizona Mail - Re: Citation Case No. 2024-06341

https://mail.google.com/mail/b/AEoRXRRCFX44Hv_WYtuX1QaluU6OYfz44nsl_DrZIuiLQYBGalDI/u/0/?ik=581c53cf5c&view=pt&search=all&permthid… 2/2 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