2024A-07078-CHC-ROC Notice of Hearing & Packet MAILED 2024-07078.pdf

2024A-07078-CHC-ROC · Registrar of Contractors · 2024-10-07

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Wesley Odom , Case No. 2024-07078

COMPLAINANT, Docket No. 2024A-07078-CHC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE Aqua Group LLC License No. ROC 311651,

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

HEARING INFORMATION The hearing is set for:

November 19, 2024 9:00 AM 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 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(c)

Charge: 4 A.R.S. § 32-1154(A)(12) - A.R.S. § 32-1158 Charge: 5 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 7, 2024. By: /s/ Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors

Copy mailed via USPS First Class mail October 7, 2024 to: Respondent(s) Aqua Group LLC 26618 N 59th Dr. Phoenix, AZ 85083 Complainant(s) Wesley Odom 9636 W Avenida Del Sol Peoria, AZ 85383

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. 2024-07078 /

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: Wesley Odom 9636 W Avenida Del Sol Peoria, AZ 85383

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: Aqua Group LLC 26618 N 59th Dr. Phoenix, AZ 85083

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 25, 2024

Re: Complaint No. 2024-07078

Dear Complainant and Respondent:

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

A jobsite inspection is scheduled for Monday July 1, 2024 at 1:00 PM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

COMPLAINANT: 1. Under A.R.S. § 32-1155(D)(1), the Respondent must be allowed, upon request, the opportunity to inspect the work complained of within fifteen (15) days of receiving this notice. If Respondent is not provided an opportunity to inspect the work within the fifteen (15) day time period, the Registrar may be prohibited from taking further action on this complaint. 2. The Registrar may also be precluded from taking further action on this complaint, if the work that is the subject of the complaint is subject to neglect, modification, or abnormal use. A.R.S. § 32-1155(D)(2) 3. You must provide safe access to any area to be inspected. If access to a roof or other elevated area is required, you must provide a means to safely access the area (ladder or manlift as appropriate). Additionally, please secure any animals.

RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection. If either party needs to reschedule the jobsite inspection, please notify the assigned investigator at least three business days prior to the inspection date to schedule a new date and time.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.

Sincerely,

David Fagerburg, Investigator #210 (602) 771-6735 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007-2812

Cc: File Respondent Complainant

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.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C008 12/23 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 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 .. .. 26618 North 59 Drive Phoenix, Arizona 85083 .. 623-566-9692 .. E-mail [email redacted] . ROC # 311651 B-6

Aqua Group llc

6-25-2024

Re: Complaint No. 2024-07078 Jobsite Meeting

Dear David Fagerburg

I have received your email with the Complaint, and the notice of jobsite meeting. I respectfully request that the meeting be rescheduled later. I will be attending a funeral on that date and will not be able to attend the meeting. I feel it is important to be at the meeting so I can explain my side of things.

Sincerely

Daniel M Henderson

Aqua Group LLC

............................ HOME OF VENETIAN GLASS, POOLS Complainant: Wesley Odom 9636 W Avenida Del Sol Peoria, AZ 85383

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Respondent: Aqua Group LLC 26618 N 59th Dr. Phoenix, AZ 85083

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 June 27, 2024

JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2024-07078

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for July 1, 2024 at 1:00 PM has been rescheduled for Monday July 8, 2024 at 1:30 PM.

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

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

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

Sincerely,

David Fagerburg, Investigator #210 (602) 771-6735 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007-2812

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Complainant: Wesley Odom 9636 W Avenida Del Sol Peoria, AZ 85383

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 Respondent: Aqua Group LLC 26618 N 59th Dr. Phoenix, AZ 85083

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 July 1, 2024

JOBSITE INSPECTION RESCHEDULE Re: Complaint No. 2024-07078

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the jobsite inspection scheduled for July 8, 2024 at 1:30 PM has been rescheduled for Thursday July 25, 2024 at 11:30 AM.

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

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

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

Sincerely,

David Fagerburg, Investigator #210 (602) 771-6735 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007-2812

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C010 12/23 David Fagerburg #210 2024-07078 JSI Photos

July 25, 2024 - 11:30 AM

9636 W Avenida Del Sol Peoria, AZ 85383

P 1 P 2 P 3 P 4 P 5 P 6 P 7 P 8 P 9 P 10 P 11 P 12 P 13 P 14 P 15 P 16 Katie Hobbs, Governor Martín Quezada, Director

Jobsite Inspection Notes

Case No.: 2024-07078 Investigator: David Fagerburg #210 Inspection Date: July 25, 2024 Inspection Time: 11:30 AM

Complainant: Wesley Odom, Respondent: Aqua Group LLC Homeowner Not Present: Not Present:

Jobsite General Notes: The respondent was not present at this jobsite investigation JSI photos taken with my Pixel 6 Pro Cell Phone JSI audio recorded with my Olympus Digital Voice Recorder model DM-720. Photos #1 and #2 are of the complainant’s address and residence.

Investigator Notes: 1: Upon reviewing the written proposal dated November 17, 2023 submitted by the complainant I am able to verify there is at least 1 of the 9 minimum elements of a contract missing violating ARS §32-1158 (A) Minimum elements of a contract. Specifically #4 and #9.

2. After this jobsite investigation the complainant provided a timeline of events showing the days and number of workers from the beginning of the project thru June 27, 2024. The documentation verifies this project is not being worked on or completed in a timely manner

Complaint Narrative: The contractor has offered nothing but excuses for months on why the project is not being completed in a timely manner. Children born, family death, crew vacations, crew injuries, illnesses, family issues, out of town, etc. Contractor now wants more money but hasn't completed items already paid for. Contractor has stopped work again.

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 RCC100 11/18

Compliant Item 1: Excessive project timeline. Project not completed by March as promised at initial proposal signing. Investigator’s Observation: At this jobsite investigation I observed a pool remodel project in progress in the backyard of the home. The complainant explained that the Baja shelf was enlarged with modifications to the pool steps and believes a permit was not obtained for the structural modifications. See P (3) thru P (6). Prior to completing the project the respondent shall obtain a permit from the local building authority, pass all inspections and complete the project per contract. Governing Rule: ARS §32-1154 (A) (2) (B) Departure from or disregard of a building code, ARS §32-1154 (A) (3) namely R4-9-108, Poor work not performed in accordance with professional industry standards.

Compliant Item 2: In April 2024, contractor provided written updated completion date of 5/17. Project still not done. Investigator’s Observation: After this jobsite investigation the complainant provided a copy of a revised completion date of May 17, 2024 that appears to be hand written by the respondent. Prior to completing the project the respondent shall obtain a permit from the local building authority, pass all inspections and complete the project per contract. Governing Rule: ARS §32-1154 (A) (2) (B) Departure from or disregard of a building code, ARS §32-1154 (A) (3) namely R4-9-108, Poor work not performed in accordance with professional industry standards.

Compliant Item 3: Items which have been paid in full have not been completed.. Investigator’s Observation: Upon reviewing the proof of payment submitted by the complainant I am able to verify the respondent has received a total amount of $35,373.20 towards the contract amount of $39,120.00 leaving a balance for the project of $3,746.80. Prior to completing the project the respondent shall obtain a permit from the local building authority, pass all inspections and complete the project per contract. Governing Rule: ARS §32-1154 (A) (2) (B) Departure from or disregard of a building code, ARS §32-1154 (A) (3) namely R4-9-108, Poor work not performed in accordance with professional industry standards.

Compliant Item 4: Open trenches in backyard since February 2024. Investigator’s Observation: At this jobsite investigation I observed an open gas line trench for the fire features on the side of the pool and a fire pit in the backyard that is incomplete and there is no propane tank on the jobsite. The gas line appears to be under test pressure. See P (8) thru P (16). The complainant acknowledged obtaining a permit for the gas line and the respondent has not completed the work required to call for inspection. Prior to completing the project the respondent shall obtain a permit from the local building authority, pass all inspections and complete the project per contract. Governing Rule: ARS §32-1154 (A) (2) (B) Departure from or disregard of a building code, ARS §32-1154 (A) (3) namely R4-9-108, Poor work not performed in accordance with professional industry standards.

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 RCC100 11/18

Compliant Item 5: Poor invoicing. I have paid for invoices just to have contractor come back and say they are void while creating new ones Investigator’s Observation: The ROC does not get involved in contract or financial disputes and cannot direct a contractor to provided construction documents. Governing Rule: No Action

Compliant Item 6: Work has stopped due to contractor running out of money on project. Investigator’s Observation: This is a statement made by the complainant that does not imply poor workmanship. Governing Rule: No Action

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 RCC100 11/18

Complainant: Wesley Odom 9636 W Avenida Del Sol Peoria, AZ 85383

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: Aqua Group LLC DBA: 26618 n 59th dr phoenix, AZ 85083

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 July 31, 2024

License No. ROC 311651

Re:Complaint No. 2024-07078

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 Friday August 23, 2204.

RESTRICTIONS • You may not perform or hire other contractors to perform work that is outside the scope of your license. • If your license is currently suspended for administrative reasons 1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

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 Complaint Narrative: The contractor has offered nothing but excuses for months on why the project is not being completed in a timely manner. Children born, family death, crew vacations, crew injuries, illnesses, family issues, out of town, etc. Contractor now wants more money but hasn't completed items already paid for. Contractor has stopped work again.

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

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 Compliant Item 4: Open trenches in backyard since February 2024. Investigator’s Observation: At this jobsite investigation I observed an open gas line trench for the fire features on the side of the pool and a fire pit in the backyard that is incomplete and there is no propane tank on the jobsite. The gas line appears to be under test pressure. See P (8) thru P (16). The complainant acknowledged obtaining a permit for the gas line and the respondent has not completed the work required to call for inspection. Prior to completing the project the respondent shall obtain a permit from the local building authority, pass all inspections and complete the project per contract. Governing Rule: ARS §32-1154 (A) (2) (B) Departure from or disregard of a building code, ARS §32-1154 (A) (3) namely R4-9-108, Poor work not performed in accordance with professional industry standards.

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

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

Sincerely,

David Fagerburg, Investigator #210 (602) 771-6735 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007-2812

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C009 12/23 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Wesley Odom Case No. 2024-07078 COMPLAINANT, v. Aqua Group LLC CITATION License No. ROC 311651,

RESPONDENT.

The Registrar issues this Citation to Aqua Group 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 23, 2024, Wesley Odom (“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(c) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(c): All work performed by a contractor in a county, city, or town that has not adopted building codes or where any adopted building codes do not contain specific provisions applicable to that aspect of construction work shall be performed in accordance with professional industry standards. Charge 4: 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 5: A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E)

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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 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. 2024-07078. 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. 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 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 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). 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

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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 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/ Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department Arizona Registrar of Contractors

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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 COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, September 5, 2024 to:

Respondent Certified Mail No: [number redacted]

Aqua Group LLC 26618 N 59th Dr Phoenix, AZ 85083-6578 Copy mailed by USPS First Class mail this same date to: Aqua Group LLC 26618 N 59th Dr Phoenix, AZ 85083-6578

Complainant Wesley Odom 9636 W Avenida Del Sol Peoria, AZ 85383

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. 2024-07078 / MTH

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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 Descrip(on of Work Agreement by Aqua Pools (Daniel Henderson) 9636 W Avenida Del Sol, Peoria AZ 85383

• No wriIen contract available due to the contractor not providing one. Signed proposal only.

• The ini(al job agreement was prepared by the contractor on a form (tled, “Proposal”. On the proposal was a descrip(on of work to be performed and associated costs. At the boIom of the proposal, myself and the contractor signed the “acceptance of proposal”. There was also a rough drawing. The contractor has provided many invoices.

• Work to be performed – pool remodel.

o Demo exis(ng plaster, (le, water feature, and rock o New waterline (le o Convert rolled bond beam o Increase size of baja step o Install 20’ long 30” tall water feature with sheer decent o Install ﬁre feature o Install plaster pozzolan ﬁnish o Cut paver walkway to 3’ for con(nuous walkway o Install propane tank 120 gallons o Run gas line to ﬁre feature and ﬁrepit o Install traver(ne coping, can(lever facia, and ﬁeld area o Traver(ne sidewalk o Install automa(on for phone control o Blower

• Addenda: o Ligh(ng: 2 lights at groIo, 2 lights at baja, conduit, transformer, electrical, labor o Upgrade stone material for water feature wall with columns o Repair therapy jets plumbing o Add deco (les to waterline (le o Repair leak behind therapy jets o Tile accent trim for steps, baja, and bench

• Contract nego(ated between Wes Odom and Daniel Henderson.

• Payment schedule agreement: 20% down payment. Weekly progress payments, balance on comple(on of project.

• Payments made via Zelle sent to Daniel Henderson via Bank of America.

• Ini(al verbal agreement was that project would be complete in 2-3 months from start of project. Contractor stated many (mes the job would be “done by March for sure”. Workers on site for pool remodel 9636 W Avenida Del Sol:

11/29/2024 – 1116AM to 1142. Dan’s son on site draining pool.

12/01/2024 – 0753 AM to 1615. Several workers on site for boulder demolition and chip out of pebble-tec. 12/08/2024 – 0712 AM to 1408. One worker. Dan on site at 0822 AM. Red truck. 12/11/2024 – 0715 AM to 0845. Two workers. Red truck. 12/12/2024 – 0800 AM to 1314. Two workers. Red truck. 12/14/2024 – 0741 AM to 1005. Two workers. Red truck. 12/18/2024 – 0730 AM to 1500. Two workers. 12/19/2024 – 0745 AM to 1420. Two workers. 12/20/2024 – 0722 AM to 1450. Two workers. 12/21/2024 – 0715 AM to 1438. Two workers. Dan on site 0915 to 1057 12/26/2024 – 0722 AM to 1430. Dan on site from 0745 to 0756. 12/27/2024 – 0759 AM to 1445. Two workers. 12/28/2024 – 0719 AM to 1500. Two workers.

01/02/2024 – 0722 AM to 1442. Two workers. 01/03/2024 – 0726 AM to 1422. Two workers. 01/04/2024 – 0710 AM to 1400. Two workers. 01/05/2024 – 0800 AM to 1345. Two workers. 01/08/2024 – 0750 AM to 1445. Two workers. 01/09/2024 – 0727 AM to 1530. Two workers. 01/10/2024 – 0745 AM to 1300. Two workers. Dan on site from 0745 to 0800. 01/12/2024 – 0730 AM to 0838. One worker removing items. 01/15/2024 – 0941 AM to 1436. Arturo and one unknown worker. 01/16/2024 – 0831 AM to 1259. Arturo and one unknown worker. 01/31/2024 – 0709 AM to 1320. Junior and Alex.

02/01/2024 – 0710 AM to 0853. Dropped off pipes. 02/02/2024 – 0715 AM to 0812 AM. Rainy weather. 02/05/2024 – 0704 AM to 1420. Arturo plus 1 worker. 1049 AM Load of sand dropped off. 02/12/2024 – 0725 AM to 1405 .Arturo plus one worker. Gas line delivered. Exposed to UV beginning this day. 02/13/2024 – 0722 AM to 0725. Dan on site for 3 minutes. 02/15/2024 – 1119 AM to 1332. Arturo started trench in garden. 02/16/2024 – 0705 AM to 1008 . Arturo trench work in garden. 02/20/2024 – 0720 AM to 1327. Dan on site. 3 workers digging trench for gas line in garden. 02/22/2024 – 0955 AM to 1453. 2 unknown workers. Working on placing gas line. 02/23/2024 – 0700 AM to 1424. 2 unknown workers.

03/07/2024 – 0805 AM to 1134. 2 unknown workers. One left quickly. 03/28/2024 – 0652 AM to 1415. Unknown solo worker. 04/08/2024 – 0700 AM to 0712. Arturo and partner picking up tools only. 04/09/2024 – 0720 AM to 1112. Propane crew x 2 guys. 04/15/2024 – 0647 AM to 1354. Junior and Alex. 04/16/2024 – 0647 AM to 1422. Junior and Alex. 04/17/2024 – 0635 AM to 1433. Junior and Alex. Dan on site at 1400. 04/18/2024 – 0659 AM to 1510. Junior and Alex. 04/19/2024 – 0630 AM to 1400. Junior and Alex. 04/22/2024 – 0625 AM to 1359. Junior and Alex. Dan on site at 0653 AM. 04/23/2024 – 0634 AM to 1400. Junior and Alex. 04/24/2024 – 0633 AM to 1408. Junior and Alex. 04/25/2024 – 0657 AM to 1517. Junior and Alex. 04/26/2024 – 0636 AM to 1415. Junior and Alex. 04/29/2024 – 0636 AM to 1416. Junior and Alex. Junior in chair from 1104 to 1208. 04/30/2024 – 0629 AM to 1346. Junior and Alex. Dan on site at 1000 to 1045. 05/01/2024 – 0630 AM to 1353. Junior and Alex. 05/02/2024 – 0630 AM to 1316. Junior and Alex. 0900 to 0952 sitting in chair. 05/03/2024 – 0621 AM to 1330. Alex at 0621. Junior 0739 to 1010. Back at 1100. Both leave 1330. 05/06/2024 – 0620 AM to 1253. Junior and Alex. Junior leaves 0938 back 1004 stayed on break until 1055. 05/07/2024 – 0635 AM to 1341. Junior and Alex. Alex sits 0942 to 1058. Junior leaves 0942. Alex sitting in chair 1307. 05/08/2024 – 0635 AM to 1358. Alex at 0635. Junior arrives 0735 on break at 0830 to 0900 in chair. Alex sitting in chair from 1000 to 1026. 05/09/2024 – 0625 AM to 1335. Junior and Alex. 05/10/2024 – 0625 AM to 1405. Junior and Alex. 0851 to 1010 sitting break. 1125 to 1148 break. 05/13/2024 – 0621 AM to 1350 Junior and Alex. Junior left 0708. Alex sits 1000 to 1105. 05/14/2024 – 0640 AM to 1342 Junior and Alex. 05/15/2024 – 0626 AM to 1436 Junior and Alex. 1400 to 1432 Dan arrives to review paperwork and project. 05/16/2024 – 0621 AM to 0814 Alex. Light rain day. Left early. 05/17/2024 – 0655 AM to 1348 Alex. Sitting in chair from 0930 to 1042. 05/20/2024 – 0616 AM to 1300 Junior and Alex. Junior sitting in chair from 0904 to 0955 05/21/2024 – 0616 AM to 1425 Alex. Sitting in chair from 0958 to 1058 05/22/2024 – 0621 to 0752 Junior and Alex pack out tile equip. 0936 Dan drops off some stone 05/23/2024 – 0737 AM to 1402 Arturo 05/24/2024 – 0636 AM to 1423 Arturo 05/27/2024 – 0625 AM to 1002 AM Arturo 05/28/2024 – 0704 AM to 1330 Arturo (brought his kid) 05/29/2024 – 0651 AM to 1431 Arturo 05/30/2024 – 0658 AM to 1358 Arturo. Dan on site 0850 to 0927. 06/03/2024 – 0636 AM to 1419 PM Arturo 06/04/2024 – 0642 AM to 1023 AM Arturo 06/05/2024 – 0725 AM to 1255 PM Arturo 06/07/2024 – 0618 AM to 1025 AM Arturo 06/13/2024 – 1013 AM to 1109 AM Propane 2 man crew. Arrived and sat down for lunch. 06/14/2024 – 0616 AM Arrival 0758 Depart. Propane 2 man crew. 06/26/2024 – 0848 AM to 1220. Junior drives away at 1220. 06/27/2024 – 0626 AM to 1033 AM. Alex only. Left with wheelbarrow full of tools. LEGAL RECEIVED 09/20/2024 .. .. 26618 North 59 Drive Phoenix, Arizona .. 623-566-9692 .. ROC # 311651 . Aqua Group llc 9-19-24 Written Answer to Citation and Complaint Case Number 2024-07078 To Registrar of Contractors of the State of Arizona 1700 W. Washington St. Suite 105 Phoenix Az. 85007 Charge 1 My firm has not abandoned the project. Mr Odom pulled a permit to install a new gas line and asked me to install the line. I installed the line and Mr Odom failed to remove Electrical lines that were to close to the line to pass inspection. I informed him he had to move the lines and pass inspection before I could return. To date this has not happened. Charge 2 My firm has not departed from or disregarded building code. Charge 3 all work performed by my firm is installed in accordance with professional standards. all work is installed in a professional and workmanlike manner. All work follows applicable building codes and industry standards. All work in installed using skill, prudence, and diligence to complete tasks. Charge 4 I have complied with a majority of this chapter. I regrettably missed 3 minor requirements and have made adjustments to comply. Charge 5 the project is 95% complete. I have refused to return until the owner brings his preexisting condition items into compliance with current building code requirements. These items are outside of my scope of work and or my responsibility to correct. Daniel M. Henderson Aqua Group llc

............................ FLAGSTONE, TRAVERTINE, VENETIAN GLASS 9/23/24, 9:39 AM State of Arizona Mail - Written Answer for citaition no. 2024-07078 LEGAL RECEIVED 09/20/2024

Answers - AZROC <[email redacted]>

Written Answer for citaition no. 2024-07078 message

DANIEL HENDERSON <[email redacted]> Fri, Sep 20, 2024 at 1:15 PM To: "[email redacted]" <[email redacted]> Cc: "[email redacted]" <[email redacted]>

Please accept the attached written answer for citation and copmplaint # 2024-07078

Thank you

Daniel M Henderson

Aqua Group llc

WRITTEN ANSWER TO REGESTRAR 9-19--24.pdf 55K

https://mail.google.com/mail/b/AEoRXRRYFfLZhUoYaHeG568BgQWLOJnjLj9N9O6QUqG_61X3gK4r/u/0/?ik=581c53cf5c&view=pt&search=all&permt… 1/1 Mediation Notice

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

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

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

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

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

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

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

_____________________________________ _______________________ Respondent (or representative) Date

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

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

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

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

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

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

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

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

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

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

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

4. Subject Matter of Expected Testimony

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

Exhibit Exhibit Name

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

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

Print Name Signature Date

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