2024A-10150-NPC-ROC Notice of Hearing & Packet MAILED

2024A-10150-NPC-ROC · Registrar of Contractors · 2024-10-16

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Windsor Underground LLC, Case No. 2024-10150

COMPLAINANT, Docket No. 2024A-10150-NPC-ROC

v. NOTICE OF HEARING ON CONTESTED CASE S R J Development LLC License No. ROC 264168,

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

HEARING INFORMATION The hearing is set for:

December 3, 2024 9:00 AM Adam Stone Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

If you have requested to appear in-person at the hearing, the hearing will be held at 1740 W Adams Street, Phoenix, AZ 85007.

You must attend this hearing. This is an adversarial hearing before an administrative law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be

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

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION

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

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

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

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

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED

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

complaint and citation, which were served on the Respondent on September 18, 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)(10)

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.

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 16, 2024.

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

Copy mailed via USPS First Class mail October 16, 2024 to:

Respondent(s) S R J Development LLC 7144 E Jenan Dr. Scottsdale, AZ 85254

Respondent's Attorney William M. Fischbach, Esq. 2525 E Camelback Rd 7th Fl. Phoenix, AZ 85016 Complainant(s) Windsor Underground LLC 1305 W Briles Rd Phoenix, AZ 85085

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

Case No. 2024-10150 /

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

September 5, 2024

Via U.S. Mail and Email

Complainant Windsor Underground LLC 1305 W Briles Rd Phoenix, AZ 85085

Via U.S. Mail and Email

Respondent S R J Development LLC 7144 E Jenan Dr Scottsdale, AZ 85254

Re: Complaint No. 2024-10150

Dear Complainant and Respondent:

The Registrar received a complaint filed against S R J Development LLC for non- payment of materials or services rendered. This complaint is complete and will be substantively reviewed by the Registrar.

Respondent is free to raise any issue or affirmative defense to this complaint by filing a response with the Registrar by September 12, 2024. Please reference the complaint number listed above if you file a response. Respondent may file a response by:

Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Email: [email redacted]

The Registrar will not issue a citation before September 12, 2024 and will review Respondent’s response, if one is submitted.

Please be advised that a response to the complaint is not the same as a written answer. If the Registrar issues a citation Respondent must file a written answer to that citation in accordance with A.R.S. § 32-1155.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Sincerely,

/s/Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department 1700 W Washington St. Ste 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Received by Investigations 09/04/2024 2024-10150

Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 182Śř Phoenix, AZ 85005-824ř Person Filing Complaint (Payee) Business Name Full Name (First Middle ROC License Number(s) (if any) Windsor Underground LLC Last) Ryan Windsor 314826, 328480 Street Address City State Zip Code 1305 W. Briles Rd. Phoenix AZ 85085 Phone Number Email Address (480) 226-0046 [email redacted] I consent to receive communications electronically in connection with this case. Yes ܆ No ܆

Name of Attorney (if any) Andrew J. Wenker Attorney’s Street Address City State Zip Code 6730 N. Scottsdale Rd., Ste. 101 Scottsdale AZ 85253 Attorney’s Phone Number Attorney’s Email Address (480) 534-4900 [email redacted] Licensee Information (Payer) Name (as shown on contracts, invoices, etc.) ROC License Number(s) S R J Development LLC 264168 Street Address City State Zip Code 7144 E. Jenan Dr. Scottsdale AZ 85254 Phone Number Email Address (602) 796-9892 [email redacted] Name of Person(s) Representing License Scott Richard Jung Complaint Information Principal Amount Due (excluding interest and fees) Contract Date (if applicable) $4,114.95 Have you filed a civil complaint? Yes ( ܆If yes, provide a copy of the civil judgment) No ܆

List all specific invoices which have not been paid. Attach additional pages if necessary. 1. 5/13/2024 Invoice #4001 for $12,041.46, less payment of $9,926.46 2. 5/15/2024 Invoice #4008 for $13,906.17, less payment of $11,906.17 3.

Certification I certify, upon information and belief, that the above-named licensee has failed to pay monies in excess of seven hundred fifty dollars when due for materials or services rendered in connection with the licensee’s operations as a contractor. I further certify, upon information and belief, that the above-named licensee has the capacity to pay, or has received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. A.R.S. § 32-1154(A)(10). Printed Name Signature Date Ryan Windsor 09/04/2024

Declaration & Signature I am the Complainant in this Complaint Form or Complainant’s duly authorized representative. I declare under penalty of perjury that the information contained in this Form is true and correct to the best of my knowledge. I further certify that any documents submitted in support of this complaint are true and correct copies of the originals and are accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date 09/04/2024 Ryan Windsor Received by Investigations 09/04/2024 2024-10150

480.226.0046 License #ROC 314826 #ROC 328480

To:SRJ Development Contact:David Lloyd Project Name:WA767450 Phone: Project Location:12800 N 68th PL Scottsdale AZ Bid #2310 Bid Date:02/19/2024 SCOPE OF WORK Trench from Jbox to transformer~145' 42" Depth $9,470.00 Pothole existing utilities in Alley Provide 3'x3'x3' Bellhole **APS to plumb into transformer Install 3" DB120 APS Open trench inspection City of Phoenix open trench inspection Backfill property with native material Backfill alley with MAG Spec ABC Slurry Right of Way $2,425.00

Haul off Excavated material from ROW Backfill 10Y MAG Spec ABC Slurry Provide Pea gravel for dust control replacement Trench Safety $1,267.53

(3) 5x10 road plates (4) V5.27 Hydraulic Shores Delivery/pick up **Estimate cost for 10 days. Subject to change per APS schedule** Additional days: $7.55/Day/Shore $8.15/Day/Plate Materials $737.60 145’ 3” DB120 All Sweeps Bends and fittings TOTAL $13,900.13 Prices are subject to change per SRP/APS and or SWGAS specifications Received by Investigations 09/04/2024 Notes: 2024-10150 General Conditions: Customer shall ensure the work area is ready for the work to commence and there are no obstructions that may cause a delay in the completion of work. Customer shall provide reasonable access to a water source at no cost to Windsor Underground. This proposal is based on performing the work during normal business hours. Private utilities: Windsor Underground will not be responsible for damages to private utilities including but not limited to: as water lines, Sewer lines, gas lines, underground tanks, electrical, and/or irrigation lines unless properly located by the Builder/Owner. On private property it is the responsibility of the Builder/Owner to identify these services. Nor are we responsible for landscape damages, removal or replacement. Exclusions(Unless Otherwise Stated): Landscape replacement, Shoring, Shading, Hard Dig (Caliche), Conflict with other utilities, Risers, Construction water, Road plates, Haul off, materials for utility relocation/adjustment,Racking and encasement, Duct banks, Mud Disposal, Compaction Testing, Asphalt Patchback, Slurry Seal, Asphalt Milling for Road Plates, Asphalt or pavement cutting, concrete replacement, Sidewalk replacement, curb replacement, gutter replacement, Traffic Control, Right of Ways, Demolition, Tree and landscape removal, night time/weekend work, Temporary hydrant meters, Water meter, Groundwater control, Infiltration Repair, Certified As -builts, Utility Adjustments, Primary power extension or splicing, Irrigation Repairs, private utility adjustment/relocation, damages to private utilities, Weed Abatement, Slurry, Davis Bacon & Prevailing Wages. PermBonds, Sales Tax, OCIP or CCIP Programs, Retention of Monies, Fees, Plans, Engineering, Survey, Testing, Staking. **Prices are subject to change per SRP/APS and or SWGAS specifications**

Potential Extras:Soil conditions, conflict with other utilities, and/or utility Unit Price adjustments Hydraulic Breaker- 3hr minimum (Hard Dig, Caliche) $325/hr Shading-Rocky Soil conditions, 40’ minimum *additional haul off not included $3.75/ft Hand Dig Time $135/hr Vacuum excavation- 3hr minimum $280/hr Mud Disposal **for sites that do not allow dumping $300/trip Private Utility Locating $210/hr Jack Hammer $135/hr

Trip Charge- Required for additional Open Trench Inspection $350 **Shoring required for any trenches deeper than 60"** TBD Received by Investigations Terms & Conditions: 09/04/2024 2024-10150 1.Proposals are Valid for 15 days: Unless otherwise stated, this Contract must be accepted and signed by Customer within 15 days of the date of this Contract. Otherwise, Windsor Underground is not obligated to honor any terms hereof and the parties may be required to enter into a new contract. 2.Material Price and Fuel Surcharges: In the event of significant price increase of material or fuel occurring from the date of this proposal to the date of installation Windsor Underground shall equitably adjust the price of materials and mobilization via change order. A Change in price shall be considered significant when the price increases 5%. Material prices are subject to change based on market conditions. 3.Force Majeure: Windsor Underground is not liable for a failure or delay in performance hereunder due to acts of God, riots, war, terrorist act, epidemic, pandemic, quarantine, civil commotion, failure of any ISP, changes in laws or regulations, fire, lack of availability of raw materials or energy 4.Delay: If Windsor Underground is delayed at any time in the progress of its work for any reason outside of its control, then (1) the Contract Time will be reasonably extended, and (2) Customer will be liable for any delay-related costs, damages, or losses whatsoever incurred by Windsor Underground. If delays in the commencement or progress of the Work exceed 30 days, Windsor Underground has the right to terminate this Contract and recover from Customer any funds due up to the date of termination and any delay-related costs. Completion times are approximate, and may change depending on permitting, material or labor delays, or other factors beyond Windsor Underground’s control. Nor is Windsor Underground liable for any time required for remobilization following any delay not wholly caused by Windsor Underground. 5.Insurance: Customer must purchase and maintain property insurance covering Windsor Underground’s work and the property on which it is situated. 6.Limitation of Liability: Customer agrees that the liability of Windsor Underground, its agents, and/or employees, in connection with the Work, resulting from any breach of this Contract, negligent acts, willful misconduct by Windsor Underground, its agents, and/or employees (including attorneys’ fees) is limited to the total payments actually paid by Customer to Windsor Underground under this Contract. 7.Waiver of Certain Damages, Jury Trial: Customer waives claims against Windsor Underground for any consequential or punitive damages arising out of or relating to this Contract or the Work, including but not limited to: damages incurred for loss of use; rental, lodging, or travel expenses; loss of profit or revenue, financing, business; and reputation harm. Customer waives any right to trial by jury and waives subrogation. 8.Remedies are Contractual: Customer’s only remedies for claims arising out of or related to this Contract shall be contractual. 9.Dispute Resolution: All claims of Customer relating to the Contract or the Work must be made promptly in writing to Windsor Underground at the address listed on the front page of this Contract, or such other address as Windsor Underground may designate. Such written notice must include a detailed description of Customer’s claim[s]. Windsor Underground will then have 14 days from its receipt of the written notice to begin to cure any alleged deficiencies. If Windsor Underground cannot resolve Customer’s claim[s] after being given the notice and an opportunity to cure outlined herein, or if any other dispute arises between the parties, the Courts of Maricopa County, State of Arizona will be the exclusive forum for any legal action or proceeding. Customer understands that their failure to comply with this section is a material breach of the Contract. 10.Concealed Site Conditions: If conditions at the job site are materially different from the conditions observed prior to execution of this Contract, or unusual or unknown conditions exist that are materially different than conditions typically encountered (collectively “Concealed Conditions”), Windsor Underground may immediately cease work and notify Customer of such conditions. Windsor Underground is not required to perform any further Work unless and until the parties reach a mutual written agreement with respect to the Concealed Conditions and any changes in the Contract Price or Contract Time resulting therefrom. Customer hereby releases, defends, indemnifies, and holds Windsor Underground harmless from and against any and all liability, claims, demands, or damages arising out of or related to any Concealed Conditions. 11.Changes: Changes in the Work may be accomplished only by Change Order, which is a written instrument prepared by Windsor Underground and signed by Customer and Windsor Underground stating their agreement upon: (a) the change in the Work; (b) the adjustment to the Contract Price; and (c) the adjustment to the Contract Time. Payment for Change Order work is due in full upon execution of the Change Order. Under no circumstances is Customer entitled to the value of work done by Windsor Underground at Customer’s request. 12.Attorneys’ Fees: In any dispute, legal suit, action, or proceeding arising out of or related to this Contract, the prevailing party is entitled to an award of all costs and expenses, including without limitation, all reasonable attorneys’ fees incurred (including such costs, expenses and attorneys’ fees incurred on all appeals). The reasonableness of attorneys’ fees will be based upon prevailing rates for commercial litigators in Maricopa County, Arizona. 13.Integration: This Contract consists of this document, and any exhibits hereto, which are incorporated herein by reference. The Contract represents the entire and integrated agreement between the parties and supersedes prior negotiations, representations, or agreements, whether written or oral. 14.Warranty: Windsor Underground warrants to the Customer that materials furnished under this Agreement will be of good quality and new unless otherwise required or permitted by the Contract Documents, and that the Work will be free from defects not permitted by the Arizona Registrar of Contractors Minimum Workmanship Standards for a period 2 years following the substantial completion of the Work. The warranty hereunder excludes defects or damage caused by: (1) normal wear and tear; (2) abuse, modification, or improper maintenance; and (3) weather and/or Acts of God. Corrective work does not extend warranty duration. Windsor Underground does not warrant Customer-provided materials. Windsor Underground’s warranty obligations herein are void unless and until Windsor Underground has been paid the Contract Price in full. Received by Investigations 09/04/2024 16.Landscape Rock Variations: Customer agrees that Windsor Underground assumes no responsibility and no 2024-10150 guarantees that the products you are purchasing do not contain certain color, size or other cosmetic variations. Many products contain naturally colored materials known as fines. 17.Panels and Hubs: Windsor Underground will not provide trench and conduit until panels have been installed (unless otherwise stated). If no panel is installed Windsor Underground will charge additional mobilization and labor. Builder to provide hubs for panels. Windsor Underground will charge additional mobilization and labor if no hub is installed. 18.Prices are Based on Other Trades Not Impacting Our Work and Encroaching on Our Work Zone: Additional mobilization will be charged if the jobsite is not accessible due to other trades, scaffolding, trenches or any other reason that impedes Windsor Underground’s ability to timely perform its work. 19.Traffic Control: Windsor Underground will provide an estimated cost for traffic control. Pricing is subject to change based on city requirements, changes in scope of work, conflict with other utilities, testing, utility adjustments, or delay not caused by Windsor Underground. Final amount will be billed at the end of project. 20.Shoring and Road Plates: Windsor Underground will provide an estimated cost for shoring and road plates. Prices are subject to change based on conflicts with other utilities, inspection schedules, trench dimensions, and changes to scope of work. Final amount will be billed at the end of project. 21.Survey: It is the Customer’s responsibility to provide accurate surveying. Windsor Underground shall charge additional mobilization, labor, and equipment on a time and materials basis to adjust any utility due to incorrect surveying. 22Stub Ups and Markers: Windsor Underground will provide markers above ground for all stub outs. If markers are removed by builder or other trades; Windsor Underground shall charge additional mobilization, Labor, and equipment to locate and remark. 23.Under A.R.S. § 32-1155, a written complaint may be filed against Windsor Underground with the Arizona Registrar of Contractors (“ROC”) within 2 years of the commission of an act in violation of A.R.S. § 32-1154(a). Written material regarding the procedures for resolution of disputes with licensed contractors or a copy of the law contained in A.R.S. § 32-1154, may be obtained by contacting the ROC at 1700 W Washington St, Ste 105 Phoenix, Arizona 85007, by phone at (602) 542-1525, or online at www.azroc.gov.

Payment Terms: Day Progress Payments

Any failure to pay pursuant to this schedule may be considered a material breach of this Contract, and will entitle Windsor Underground to cease work and terminate the Contract at its discretion. Interest will accrue on all past due amounts at the rate of 1.5% per month. A 4% charge will be applied to all credit card payments. Payment is due pursuant to the above schedule, irrespective of the schedules for other contractors, utility companies, or anyone else involved in the project.

By signing this agreement, Customer is accepting the above terms, specifications and conditions. The undersigned represents and warrants, that they are the legal and equitable owner, or the legal and equitable owner’s legally authorized agent. All invoices will be sent electronically. We will not schedule without a signed agreement.

Property Owners or Legally Authorized Agent’s Signature Date

If you have any questions concerning this proposal, contact: Nicole Windsor 480-226-0046 [email redacted] 1305 W Briles Rd, Phoenix, AZ 85085 ROC #314826 #328480 Received by Investigations 09/04/2024 2024-10150 Received by Investigations 09/04/2024 2024-10150

480.226.0046 License #ROC 314826 #ROC 328480

To:SRJ Development Contact:David Lloyd Project Name: WA772862 Phone: Project Location: 4670 E Sunset Dr, Phoenix, AZ 85028 Bid #2509 Bid Date:03/15/2024 SCOPE OF WORK Trench from existing utility pole to 400A SES~ 310' 36" depth $9,561.50 Install (1) 3” DB120 and APS provided J-Box Shade one foot with native material Install (1) .75" for COX and (1) 1" for Centurylink Backfill and compact with native material Materials $2,409.65 310’ 3” DB120 310' .75" COX 310' 1" Centurylink 3” SCH80 Riser All Sweeps Bends and fittings TOTAL $11,971.15 Prices are subject to change per SRP/APS and or SWGAS specifications Notes: General Conditions: Customer shall ensure the work area is ready for the work to commence and there are no obstructions that may cause a delay in the completion of work. Customer shall provide reasonable access to a water source at no cost to Windsor Underground. This proposal is based on performing the work during normal business hours. Private utilities: Windsor Underground will not be responsible for damages to private utilities including but not limited to: as water lines, Sewer lines, gas lines, underground tanks, electrical, and/or irrigation lines unless properly located by the Builder/Owner. On private property it is the responsibility of the Builder/Owner to identify these services. Nor are we responsible for landscape damages, removal or replacement. Exclusions(Unless Otherwise Stated): Landscape replacement, Shoring, Shading, Hard Dig (Caliche), Conflict with other utilities, Risers, Construction water, Road plates, Haul off, materials for utility relocation/adjustment,Racking and encasement, Duct banks, Mud Disposal, Compaction Testing, Asphalt Patchback, Slurry Seal, Asphalt Milling for Road Plates, Asphalt or pavement cutting, concrete replacement, Sidewalk replacement, curb replacement, gutter replacement, Traffic Control, Right of Ways, Demolition, Tree and landscape removal, night time/weekend work, Temporary hydrant meters, Water meter, Groundwater control, Infiltration Repair, Certified As -builts, Utility Adjustments, Primary power extension or splicing, Irrigation Repairs, private utility adjustment/relocation, damages to private utilities, Weed Abatement, Slurry, Davis Bacon & Prevailing Wages. PermBonds, Sales Tax, OCIP or CCIP Programs, Retention of Monies, Fees, Plans, Engineering, Survey, Testing, Staking. **Prices are subject to change per SRP/APS and or SWGAS specifications**

Potential Extras:Soil conditions, conflict with other utilities, and/or utility Unit Price adjustments Received by Investigations Hydraulic Breaker- 3hr minimum (Hard Dig, Caliche) 09/04/2024 $325/hr 2024-10150 Shading-Rocky Soil conditions, 40’ minimum *additional haul off not included $3.75/ft Hand Dig Time $135/hr Vacuum excavation- 3hr minimum $280/hr Mud Disposal **for sites that do not allow dumping $300/trip Private Utility Locating $210/hr

Jack Hammer $135/hr Trip Charge- Required for additional Open Trench Inspection $350 **Shoring required for any trenches deeper than 60"** TBD Received by Investigations Terms & Conditions: 09/04/2024 2024-10150 1.Proposals are Valid for 15 days: Unless otherwise stated, this Contract must be accepted and signed by Customer within 15 days of the date of this Contract. Otherwise, Windsor Underground is not obligated to honor any terms hereof and the parties may be required to enter into a new contract. 2.Material Price and Fuel Surcharges: In the event of significant price increase of material or fuel occurring from the date of this proposal to the date of installation Windsor Underground shall equitably adjust the price of materials and mobilization via change order. A Change in price shall be considered significant when the price increases 5%. Material prices are subject to change based on market conditions. 3.Force Majeure: Windsor Underground is not liable for a failure or delay in performance hereunder due to acts of God, riots, war, terrorist act, epidemic, pandemic, quarantine, civil commotion, failure of any ISP, changes in laws or regulations, fire, lack of availability of raw materials or energy 4.Delay: If Windsor Underground is delayed at any time in the progress of its work for any reason outside of its control, then (1) the Contract Time will be reasonably extended, and (2) Customer will be liable for any delay-related costs, damages, or losses whatsoever incurred by Windsor Underground. If delays in the commencement or progress of the Work exceed 30 days, Windsor Underground has the right to terminate this Contract and recover from Customer any funds due up to the date of termination and any delay-related costs. Completion times are approximate, and may change depending on permitting, material or labor delays, or other factors beyond Windsor Underground’s control. Nor is Windsor Underground liable for any time required for remobilization following any delay not wholly caused by Windsor Underground. 5.Insurance: Customer must purchase and maintain property insurance covering Windsor Underground’s work and the property on which it is situated. 6.Limitation of Liability: Customer agrees that the liability of Windsor Underground, its agents, and/or employees, in connection with the Work, resulting from any breach of this Contract, negligent acts, willful misconduct by Windsor Underground, its agents, and/or employees (including attorneys’ fees) is limited to the total payments actually paid by Customer to Windsor Underground under this Contract. 7.Waiver of Certain Damages, Jury Trial: Customer waives claims against Windsor Underground for any consequential or punitive damages arising out of or relating to this Contract or the Work, including but not limited to: damages incurred for loss of use; rental, lodging, or travel expenses; loss of profit or revenue, financing, business; and reputation harm. Customer waives any right to trial by jury and waives subrogation. 8.Remedies are Contractual: Customer’s only remedies for claims arising out of or related to this Contract shall be contractual. 9.Dispute Resolution: All claims of Customer relating to the Contract or the Work must be made promptly in writing to Windsor Underground at the address listed on the front page of this Contract, or such other address as Windsor Underground may designate. Such written notice must include a detailed description of Customer’s claim[s]. Windsor Underground will then have 14 days from its receipt of the written notice to begin to cure any alleged deficiencies. If Windsor Underground cannot resolve Customer’s claim[s] after being given the notice and an opportunity to cure outlined herein, or if any other dispute arises between the parties, the Courts of Maricopa County, State of Arizona will be the exclusive forum for any legal action or proceeding. Customer understands that their failure to comply with this section is a material breach of the Contract. 10.Concealed Site Conditions: If conditions at the job site are materially different from the conditions observed prior to execution of this Contract, or unusual or unknown conditions exist that are materially different than conditions typically encountered (collectively “Concealed Conditions”), Windsor Underground may immediately cease work and notify Customer of such conditions. Windsor Underground is not required to perform any further Work unless and until the parties reach a mutual written agreement with respect to the Concealed Conditions and any changes in the Contract Price or Contract Time resulting therefrom. Customer hereby releases, defends, indemnifies, and holds Windsor Underground harmless from and against any and all liability, claims, demands, or damages arising out of or related to any Concealed Conditions. 11.Changes: Changes in the Work may be accomplished only by Change Order, which is a written instrument prepared by Windsor Underground and signed by Customer and Windsor Underground stating their agreement upon: (a) the change in the Work; (b) the adjustment to the Contract Price; and (c) the adjustment to the Contract Time. Payment for Change Order work is due in full upon execution of the Change Order. Under no circumstances is Customer entitled to the value of work done by Windsor Underground at Customer’s request. 12.Attorneys’ Fees: In any dispute, legal suit, action, or proceeding arising out of or related to this Contract, the prevailing party is entitled to an award of all costs and expenses, including without limitation, all reasonable attorneys’ fees incurred (including such costs, expenses and attorneys’ fees incurred on all appeals). The reasonableness of attorneys’ fees will be based upon prevailing rates for commercial litigators in Maricopa County, Arizona. 13.Integration: This Contract consists of this document, and any exhibits hereto, which are incorporated herein by reference. The Contract represents the entire and integrated agreement between the parties and supersedes prior negotiations, representations, or agreements, whether written or oral. 14.Warranty: Windsor Underground warrants to the Customer that materials furnished under this Agreement will be of good quality and new unless otherwise required or permitted by the Contract Documents, and that the Work will be free from defects not permitted by the Arizona Registrar of Contractors Minimum Workmanship Standards for a period 2 years following the substantial completion of the Work. The warranty hereunder excludes defects or damage caused by: (1) normal wear and tear; (2) abuse, modification, or improper maintenance; and (3) weather and/or Acts of God. Corrective work does not extend warranty duration. Windsor Underground does not warrant Customer-provided materials. Windsor Underground’s warranty obligations herein are void unless and until Windsor Underground has been paid the Contract Price in full. Received by Investigations 09/04/2024 16.Landscape Rock Variations: Customer agrees that Windsor Underground assumes no responsibility and no 2024-10150 guarantees that the products you are purchasing do not contain certain color, size or other cosmetic variations. Many products contain naturally colored materials known as fines. 17.Panels and Hubs: Windsor Underground will not provide trench and conduit until panels have been installed (unless otherwise stated). If no panel is installed Windsor Underground will charge additional mobilization and labor. Builder to provide hubs for panels. Windsor Underground will charge additional mobilization and labor if no hub is installed. 18.Prices are Based on Other Trades Not Impacting Our Work and Encroaching on Our Work Zone: Additional mobilization will be charged if the jobsite is not accessible due to other trades, scaffolding, trenches or any other reason that impedes Windsor Underground’s ability to timely perform its work. 19.Traffic Control: Windsor Underground will provide an estimated cost for traffic control. Pricing is subject to change based on city requirements, changes in scope of work, conflict with other utilities, testing, utility adjustments, or delay not caused by Windsor Underground. Final amount will be billed at the end of project. 20.Shoring and Road Plates: Windsor Underground will provide an estimated cost for shoring and road plates. Prices are subject to change based on conflicts with other utilities, inspection schedules, trench dimensions, and changes to scope of work. Final amount will be billed at the end of project. 21.Survey: It is the Customer’s responsibility to provide accurate surveying. Windsor Underground shall charge additional mobilization, labor, and equipment on a time and materials basis to adjust any utility due to incorrect surveying. 22Stub Ups and Markers: Windsor Underground will provide markers above ground for all stub outs. If markers are removed by builder or other trades; Windsor Underground shall charge additional mobilization, Labor, and equipment to locate and remark. 23.Under A.R.S. § 32-1155, a written complaint may be filed against Windsor Underground with the Arizona Registrar of Contractors (“ROC”) within 2 years of the commission of an act in violation of A.R.S. § 32-1154(a). Written material regarding the procedures for resolution of disputes with licensed contractors or a copy of the law contained in A.R.S. § 32-1154, may be obtained by contacting the ROC at 1700 W Washington St, Ste 105 Phoenix, Arizona 85007, by phone at (602) 542-1525, or online at www.azroc.gov.

Payment Terms: Day Progress Payments

Property Owners or Legally Authorized Agent’s Signature Date

SRJ Development, LLC 7144 E. Jenan Dr. Scottsdale, AZ 85254 (Office) 602-224-9899 (Fax) 602-224-9893 AZ-ROC 264168

September 11, 2024

Complaint No. 2024-10150

Response Letter

Dear Madelyn Hayes,

SRJ Development is disputing the invoices 4001 & 4008 after asking Windsor Underground to revise them.

Invoice 4001 • April 24 - During the installation of the sleeve, Windsor Underground ripped out the water service to the house. SRJ Development had to run temporary water piping to the house because the homeowners were living in the house. SRJ Development paid to have the permanent water line to be installed. • The scope of work description is to trench from the existing utility pole to the 400A SES 96', 36" depth - the actual length of the trench was 77'. SRJ Development requested a credit of $500.00. • June 4th - The electrical panels are disconnected, power shut off for APS to pull the new line but APS notified the riser had been installed on the wrong side of the utility pole and they would not be able to energize the new panel, so the electrical had to be re installed to the existing panels so the homeowners could live in the home. • SRJ Development requested a credit of $1615. 00 to cover the electricians labor to reinstall the electrical for the homeowner, since the new conversion could not be done as riser installed in the wrong place. • Windsor Underground relocated the riser per plan. • June 25th - APS was able to run the line from the transformer to the corrected riser location. • July 2nd - The homeowner moved out of the house to have the old electrical panels disconnected, the new electrical lines were pulled and the new 400A panel was energized by APS.

Invoice 4008 • The scope of work description is to trench from j-box to transformer 145' 42" depth - the actual length of the trench dug by Windsor Underground was 29'. SRJ Development hand dug 116' inside the property between the wall and landscaping. Windsor did backfill the trench. • SRJ Development requested a credit of $2000.00 to cover the labor cost of the digging.

When Windsor Underground refused to revise the invoices, SRJ Development told them over the phone that the credits will be taken off the invoices and a final check was mailed on August 9, 2024 for the amount of $21,832.63. The check was endorsed and deposited to the account of Windsor Underground as final payment. LEGAL RECEIVED 09/11/2024

Sincerely,

Scott R. Jung SRJ Development LEGAL RECEIVED 09/11/2024

A.RlzONA REGISTRAR OF CONTRACTORS

September 5, 2024 Via U.S. Mail and Email Complainant Windsor Underground LLC 1305 W Briles Rd Phoenix, AZ 85085 Via U.S. Mail and Email Respondent S RJ Development LLC 7144 E Jenan Dr Scottsdale, AZ 85254 Re: Complaint No. 2024-10150 Dear Complainant and Respondent: The Registrar received a complaint filed against S RJ Development LLC for non payment of materials or services rendered. This complaint is complete and will be substantively reviewed by the Registrar. Respondent is free to raise any issue or affirmative defense to this complaint by filing a response with the Registrar by September 12, 2024. Please reference the complaint number listed above if you file a response. Respondent may file a response by: Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Email: [email redacted] The Registrar will not issue a citation before September 12, 2024 and will review Respondent's response, if one is submitted. Please be advised that a response to the complaint is not the same as a written answer. If the Registrar issues a citation Respondent must file a written answer to that citation in accordance with A.R.S. § 32-1155.

1700 W. Washington Street, Suite 105 • Phoenix AZ 85007-2812 602.542.1525 • Toll Free 877.692.9762 • roc.az.gov Lg1004/21 LEGAL RECEIVED 09/11/2024

ARIZONA REGISTRAR OF CONTRACfORS

Sincerely, /s/Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department 1700WWashington St. Ste 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 • Phoenix AZ 85007-2812 602.542.1525 • Toll Free 877.692.9762 • roc.az.gov Lg100 4/21 r-"1.1:::l,;l:HVt:U uy HIV��ll�c:1llUII� LEGAL RECEIVED09/04/2024 09/11/2024 2024-10150

Non-Payment Complaint Form Departmental Use Only Complaint Number: Mail to: Registrar of Contractors P.O. Box 18243 Phoenix, AZ 85005-8243 Person Filing Complaint (Payee) Business Name I Full Name (First Middle ROC License Number(s) (if any) Windsor Underground LLC Street Address Last) Ryan Windsor City 314826,328480 State I ZipCode 1305 W. Briles Rd. Phone Number (480) 226-0046 I Email Address Phoenix

[email redacted] AZ 85085

consent to receive communications electronically in connection with this case. Yes iii No □

Name of Attorney (if any) Andrew J. Wenker Attorney's Street Address 6730 N. Scottsdale Rd., Ste. 101 City Scottsdale State AZ I ZipCode 85253 Attorney's Phone Number Attorney's Email Address (480) 534-4900 [email redacted] Licensee Information (Paver) Name (as shown on contracts, invoices, etc.) ROC License Number(s) S R J Development LLC Street Address City 264168 State ZipCodeI 7144 E. Jenan Dr. Phone Number (602) 796-9892 I Email Address Scottsdale

[email redacted] AZ 85254

Name of Person(s) Representing License Scott Richard Jung Complaint Information Principal Amount Due (excluding interest and fees) Contract Date (if applicable) $4,114.95 Have you filed a civil complaint? Yes D (If yes, provide a copy of the civil judgment) No ii I List all specific invoices which have not been paid. Attach additional pages if necessary. 1. 5/13/2024 Invoice #4001 for $12,041.46, less payment of $9,926.46 2. 5/15/2024 Invoice #4008 for $13,906.17, less payment of $11,906.17 3.

5. - Certification I certify, upon information and belief, that the above-named licensee has Jailed to pay monies in excess of seven hundred fifty dollars when due for materials or services rendered in connection with the licensee's operations as a contractor. l further certifi;, upon information and

I belief, that the above-named licensee has the capacity to pay, or has received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. A.R.S. § 32-1154(A)(10). Printed Name Signature Date 12_� (} M�1v 09/04/2024 Ryan Windsor Declaration & Signature - I am the Complainant in this Complaint Form or Complainant's duly authorized representative. I declare under penalty of perjury that the information contained in this Form is true and correct to the best of my knowledge. I further certifiJ that any documents submitted in support of this complaint are true and correct copies of tile originals and are accurate to the best of my knowledge. I will assist in the invest i)!ation or in the vrosecution of the contractor or other parties, and will, if necessarlJ, attend /iearin:?s and testify to facts. Printed Name Ryan Windsor I Signature 12-ytCUL, (} M�1v - Date 09/04/2024 r\t:t.:t:ivt:u uy 111vt::;uyc1uu11:; LEGAL RECEIVED09/04/2024 09/11/2024 2024-10150

480.226.0046 License #ROC 314826 #ROC 328480

To:SRJ Development Contact:David Lloyd Project Name: WA772862 Phone: Project Location: 4670 E Sunset Dr, Phoenix, AZ 85028 INVOICE11: 4001 DATE:05/13/2024 SGOl?E OF WORK Trench from existing utility pole to 96' 36" depth $9,103.50 Install (1) 3" -,-, ' C.-r��4 --.> S"'i,0 ,00 Shade one foot with native material Install (1) .75" for COX and (1) 1" for Centurylink Backfill and compact with native material HAND DIG UNDER SECOND WALL- 3HRS

SHADING- ROCKY MATERIAL $360.00

MATERIAL HAUL OFF- 2 LOADS $650.00 Materials $1,345.01 "'2' ' 3" D8120 -- • I ,75" cox

All Sweeps Bends and fittings $177. 95 Finance Charge (60-90 days) Original Invoice 5/13/2024 TOTAL $12,041.46

Please include your invoice# on your payment. 1.5% per month interest on payments past 30days "B [c • �II\�,\ . J\IW\<. 2.S- J � I 3 C..C Service charge on all unpaid balances. Pa�men_t made via 5=ard i� _s��.! _t� 3�_f:e �l c. �Jl\t'I - �"' "'i :z.,.A rtJ 0 - 5 wi. Please Remit Payment to: Windsor Excavating 1305 W Briles Rd. Phoenix, AZ 85085 .. o If you have any questions concerning this invoice, contact: I to\ S' -- Nicole Windsor 480·226-0046 [email redacted] �t,(,t:IIVt:U UY IIIVt:::>llYdllUII::> LEGAL RECEIVED 09/11/2024 09/04/2024

w1ribso� 2024-10150

-� UNOE�G�OUNO

480.226.0046 License #ROC 314826 #ROC 328480

To:SRJ Development Contact:David Lloyd Project Name:WA767450 Phone: Project Location:12800 N 68th PL Scottsdale AZ INVOICE#:4008 DATE:05/15/2024 S€:OPE OF WORK Trench from Jbox to transforme 145' 42" Dept-==--- cr-t..l:4- 2 ll. $9,071.00 Pothole existing utilities in Alley Provfde3'x3'x3' Bellhole **APS to plumb into transformer ....,,c.o\C.. 13Sl4'" 11t....J d·<; Install 3" DB120 APS Open trench inspection City of Phoenix open trench inspection Backfill property with native material Backfill alley with MAG Spec ABC Slurry Right of Way $2,425.00

Haul off Excavated material from ROW Backfill 10V MAG Spec ABC Slurry Provide Pea gravel for dust control replacement Trench Safety $1,267.53

(3) 5x10 road plates (4) V5.27 Hydraulic Shores Delivery/pick up **Estimate cost for 10 days. Subject to change per APS schedule** itional days: 7.55/Day/Shore . 15/Day/Plate $737. 60 '"'ll-'-''-"_.IBJ2 0.. - - ---- weeps Bends and fittings Charge (60-90 days) Original Invoice 5/15/2024

ll, 'i'o ,. 17 9/11/24, 6:59 AM Screensho.jpg LEGAL RECEIVED 09/11/2024

https://mail.google .com/mail/u/0/?tab=rm&ogbl#inbox/FMfcgzQVzXgbnmJVdhzgfmjxWMXFCBzh?projector= 1 &messagePartld=O .0 1/1 9/11/24, 6:59AM Screensho.jpg LEGAL RECEIVED 09/11/2024

https://mail.google.com/mail/u/0/?tab=rm&ogbl#inbox/FMfcgzQVzXgbnmJMVjQsfWSHsHhwJdfk?projector = 1&messagePartld=O.0 1/1 9/11/24, 7:12 AM SRJ Development Mail - Re: WA772862 for 4670 E SUNSET LEGAL DR RECEIVED 09/11/2024

The inspection was re-submitted and might be done sometime this morning.

{Quolcd lexl hidden)

David Lloyd <david@s�development.com> Tue, May 21, 2024 at 1 :04 PM To: "Warnstedt, Kurt" <[email redacted]> Cc: ScottJung < [email redacted]>

Hi Kurt, I left you a voice message about the overhead line being disconnected and the new line being energized. When we last talked , you were going to check the inspection and the disconnect schedule but I haven't heard anything. The homeowners are out of town starting this Friday and need to get this scheduled ASAP. Let me know what you think. Thanks. David (Quoted text hidden]

Warnstedt, Kurt <[email redacted]> Thu, May 23, 2024 at 9:17 AM To: David Lloyd < david@s�development.com> Cc: ScottJung < [email redacted]>

Good morning Gentlemen,

I hope that this emails finds each of you well!

I heard back from John with Station Power and have scheduled your service for Tues ay June th , hey'II be out between 7:00 - 9:00 a.m. You were previously approved by the APS Meter Shop, so all that I believe needs to be do ryou to get your city clearance from Phoenix and you should be able to do that anytime between now and then. The crew will not be able to re-energize without a green sticker. Next Tuesday would have been potentially problematic coming off the holiday weekend.

1auoled 1ex1 hidden) -r "-J",,..:)t., .\--h G)t\� Ekllr<t(.. T);�(.bl\� M olcl l I � r�J. 4,, Sok, p.,/\cJ( David Lloyd <[email redacted]> 1-\-j D Pt>wtt $ �vT Dow .J Tue, Jun 18, 2024 at 12:21 PM To: "Warnstedt, Kurt" <[email redacted]> Cc:ScottJung < [email redacted]> t't,�I') To C<..,._: .-\ s_� �/ -Ail ()\! uf Hi Kurt, Any update on the disconnect/energize of the new panel? {1v..L- +0 /<.'k., /oc.·l.J:c-,, Wl"O� DA--( Thanks, David

Nor A-1/.L +o d� /,J{)f/L (Oooled text hidden)

Warnstedt, Kurt <[email redacted]> Thu, Jun 20, 2024 at 7:01 AM To: David Lloyd <[email redacted]> Cc: ScottJung <[email redacted]>

Good morning Team,

I hope that this email finds you well!

I have re-scheduled your service for next Tuesday, June 25 between 7:00 - 9:00 a.m.

(OtJoted text hidden)

Warnstedt, Kurt <[email redacted]> Thu, Jun 27, 2024 at 10:00 AM To: David Lloyd <[email redacted]> Cc: ScottJung <[email redacted]>

Good morning Team,

I hope that this email finds you well!

I have re-scheduled your service for next Tu �een 7:00 - 9:00 a.m. Please make sure that your electrician is aware of such.

{Quolod lext hidden)

David Lloyd <[email redacted]> Thu, Jun 27, 2024 at 10:26 AM To: FRANCISCO GAMA <[email redacted]> Cc: ScottJung < [email redacted]>

https://mail.google.com/mail/u/0/?ik=dba4063b05&view=pt&search=all&permthid=thread-f: [number redacted]&simpl=msg-f:[number redacted]... 8/9 9/11/24, 6:57 AM IMG_4198.jpg LEGAL RECEIVED 09/11/2024

45' 1-UP

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https:l/mail.google.com/mail/u/0/?tab=rm&ogbl#inbox/FMfcgzQVzXgbnmJDJLgmlPGwWsVBsBrR?projector=1&messagePartld=0.0 1/1 9/11/24, 6:58 AM Screensho.jpg LEGAL RECEIVED 09/11/2024

https://mail.google.com/mail/u/0/?tab=rm&ogbl#inbox/FMfcgzQVzXgbnmJMQKDSvBTZWnDSMcxL?projector=1 &messagePartld=O.0 1/1 9/5/24, 2:23 PM Check Details - chase.com

CHASE O for BUS IN ESS� LEGAL RECEIVED 09/11/2024

Printed from Chase for Business

$21,832.63 Aug 28, 2024 Post date 16614 Check# Total

JPt.torean Chase Bank 16614 SR J DEVELOPMENT LLC tHhJfl 7144 E.Jenan Dr. Sco�o. AZ85254 8/912024 602-22-1-9899

PAVTOTiiE $ "21.832.63 ORDER OF Windsor Excavating 631100•..••••..•••.......................... ........... - Twenty-One Thousand Eight Hundred Thirty-Two and DOU.AAS j Windsor Excavating G 1305 W. Bn1es Rd. ��" t_.EMO Final invoice 4001,4008 ----�- er-��---�� i1

https://secure.chase.com/web/auth/dashboard#/dashboard/overvlewAccounts/overview/accountSummaryDetall:flyout=transactionlmageDetails,deposl... 1/1 JPlVIORGAN CHASE & Co. LEGAL RECEIVED 09/11/2024

Post date: [account number redacted] Amount: Check Number: 16614

16614 SR J DEVELOPMENT UC 71"9£..,....,Dr. 8=r4111.AZ.lsa& CI02-G'-"'t

5"21,832.63 ::. WindSofE=avatillSI I

-ll,......,--Pi _• and831100""_____, _ Twen11-<>ne'ThcmandEightttundledTllllly•Two DOU.AAS Wllldsot Excavating 1305W.BriesRd. Pno.nix. AZ 15085 • r • ·• •·• ., • .... •---••� I • I

Legal New Mail - AZROC <[email redacted]>

Response letter Complaint No. 2024-10150 message

David Lloyd <[email redacted]> Wed, Sep 11, 2024 at 4:46 PM To: [email redacted] Cc: Scott Jung <[email redacted]>

Registrar, Here is the response letter with backups for the complaint no. 2024-10150. Thanks you, David

-- We have moved to a new location: 7144 E. Jenan Dr., Scottsdale, AZ 85254 David Lloyd (602) 224-9899 office (602) 224-9893 fax ROC 264168 [email redacted]

Response letter to Complaint No. 2024-10150.pdf 3034K

https://mail.google.com/mail/b/AEoRXRT0kkorepPlpvKDmJICsusw16LOiZekU6LSwfAa-OR1IQfO/u/0/?ik=d3afebeda9&view=pt&search=all&permthid… 1/1 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Case No. 2024-10150 Windsor Underground LLC,

COMPLAINANT, v. CITATION S R J Development LLC License No. ROC 264168,

RESPONDENT.

The Registrar issues this Citation to S R J Development LLC (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by October 3, 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 September 4, 2024, Windsor Underground LLC (“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

Charge :1 A.R.S. § 32-1154(A)(10) — Failure by a licensee or agent or official of a licensee to pay monies in excess of $750 when due for materials or services rendered in connection with the licensee's operations as a contractor 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 unless the licensee proves that the licensee lacks the capacity to pay and has not received sufficient monies as payment for the particular construction work project or operation for which the services or materials were rendered or purchased. 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:

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. 2024-10150. 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

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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 Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than October 3, 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). 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

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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 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. Dated September 18, 2024. By: /s/ Robert Stirling Robert Stirling Assistant General Counsel 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 18, 2024 to:

Respondent Certified Mail No: [number redacted]

S R J Development LLC 7144 E Jenan Dr Scottsdale, AZ 85254 Copy mailed by USPS First Class mail this same date to: S R J Development LLC 7144 E Jenan Dr Scottsdale, AZ 85254

Complainant Windsor Underground LLC 1305 W Briles Rd Phoenix, AZ 85085

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. 2024-10150 / MTH

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 Received by Investigations 09/04/2024 2024-10150

Via U.S. Mail and Email

Complainant Windsor Underground LLC 1305 W Briles Rd Phoenix, AZ 85085

Via U.S. Mail and Email

Respondent S R J Development LLC 7144 E Jenan Dr Scottsdale, AZ 85254

Re: Complaint No. 2024-10150

Dear Complainant and Respondent:

Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Email: [email redacted]

The Registrar will not issue a citation before September 12, 2024 and will review Respondent’s response, if one is submitted.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Sincerely,

/s/Madelyn Hayes Madelyn Hayes Legal Assistant II Legal Department 1700 W Washington St. Ste 105 Phoenix, AZ 85007

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg100 4/21 Received by Investigations 09/04/2024 2024-10150

480.226.0046 License #ROC 314826 #ROC 328480

Haul off Excavated material from ROW Backfill 10Y MAG Spec ABC Slurry Provide Pea gravel for dust control replacement Trench Safety $1,267.53

Payment Terms: Day Progress Payments

Property Owners or Legally Authorized Agent’s Signature Date

480.226.0046 License #ROC 314826 #ROC 328480

Payment Terms: Day Progress Payments

Property Owners or Legally Authorized Agent’s Signature Date

William M. Fischbach (SBN 019769) Mitchell S. Antalis (SBN 037922) SEVENTH FLOOR CAMELBACK ESPLANADE II 2525 EAST CAMELBACK ROAD PHOENIX, ARIZONA 85016-4237 (602) 255-6000 (PHONE) (602) 255-0103 (FACSIMILE) EMAIL: [email redacted]; [email redacted] Attorneys for Respondent REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA Windsor Underground LLC, Case No. 2024-10150 COMPLAINANT, WRITTEN ANSWER TO CITATION v. AND COMPLAINT S R J Development LLC License No. ROC 264168, RESPONDENT. S R J Development LLC (“Respondent”) answers the Citation issued by the Arizona

Registrar of Contractors (“Registrar”) on September 18, 2024, in connection with the Complaint filed with the Registrar by Windsor Underground LLC (“Complainant”) on September 4, 2024. Respondent denies the allegations and charges set forth in the Citation. The Citation

should be dismissed because Respondent’s actions were justified under A.R.S. § 32- 1183(C) by Complainant’s failure to render services meeting applicable minimum quality standards. Respondent requests the Registrar set an administrative hearing in this matter

pursuant to A.R.S. § 41-1092.05(D). \\\

WRITTEN ANSWER TO CITATION AND COMPLAINT -1 Received 10/03/2024 ROC Legal

RESPECTFULLY SUBMITTED this 3rd day of October, 2024. By: /s/ William M. Fischbach William M. Fischbach Mitchell S. Antalis Seventh Floor Camelback Esplanade II 2525 East Camelback Road Phoenix, Arizona 85016-4237 Attorneys for Respondent CERTIFICATE OF SERVICE COPIES of the foregoing e-mailed and mailed on October 3, 2024 to: Arizona Registrar of Contractors P.O. Box 18244, Phoenix, Arizona, 85005-8244 [email redacted] Andrew J. Wenker Lang Thal King & Hanson PC 6730 N. Scottsdale Rd., #101 Scottsdale, AZ 85253 [email redacted] Attorney for Complainant /s/ Cara Eells

WRITTEN ANSWER TO CITATION AND COMPLAINT -2 Received 10/4/24, 8:15 AM State of Arizona Mail - Windsor v SRJ Development | 2024-10150 10/03/2024 ROC Legal

Answers - AZROC <[email redacted]>

Windsor v SRJ Development | 2024-10150 message

Cara Eells <[email redacted]> Thu, Oct 3, 2024 at 4:01 PM To: "[email redacted]" <[email redacted]> Cc: William Fischbach <[email redacted]>, "Mitchell S. Antalis" <[email redacted]>, "[email redacted]" <[email redacted]>

To whom it may concern,

Please find the attached Written Answer to Citation and Complaint for filing.

Cara Eells | Paralegal

Seventh Floor Camelback Esplanade II | 2525 E Camelback Road | Phoenix, AZ 85016

P 602.255.6021 | F 602.255.0103

[email redacted] | Website

CONFIDENTIALITY NOTICE: The information contained in this message may be protected by the attorney-client privilege.

If you believe that it has been sent to you in error, do not read it. Please immediately reply to the sender that you have

received the message in error, then delete it. Thank you.

2024-10-03 Written Answer to Citation and Complaint.pdf 350K

https://mail.google.com/mail/b/AEoRXRRiXHnWhBekwK1QW85A72_573FOP_AAvnjT_LMAu8cZXbj9/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