Filing an ROC complaint, or responding to one, does not require the use of an attorney but lack of experience often prevents contractors from achieving more successful outcomes. ROC complaint attorney Mark Molique offers experienced advice and guidance to help prevent further escalation if possible or achieve a more positive outcome. Often, contractors mistakenly hurt themselves despite attempting to handle the process in an open and honest fashion, not realizing that the process is adversarial from the beginning. Some contractors wait too late to seek professional advice. Others proceed to a hearing without valuable information or presenting their case effectively, hurting their chances of success.

If you have had an ROC complaint filed against you, call me for a free 20-minute consultation to discuss your case to see if it makes sense to seek legal advice as early in the process as possible. The following is a description of the process that will unfold in a typical complaint filed with the Arizona Registrar of Contractors.

[Return to Home Page.]

1. Complaint Filed with the Arizona Registrar of Contractors. The process begins when a complaint is filed. Typically, the Registrar will send the contractor a complaint and ask for an informal written response. In a case involving allegations of workmanship violations, the investigator will schedule an inspection of the work. Based on the response and/or the inspection, the Registrar of Contractors may issue a Written Directive.

2. Written Directive Issued by the ROC . After an inspection, if appropriate, an investigator may cause the Registrar to issue a Written Directive to a contractor. Absent some reason, the contractor is given 15 days to correct work provided for in a Written Directive. Handling this process can vary based upon the defenses the contractor will wish to raise. The Written Directive is not an official agency finding by the Registrar of Contractors that the workmanship is defective. After the deadline expires, a follow up inspection may be scheduled and if the investigator determines that there are still merits to the issues raised in the Directive, the Registrar may issue a Citation.

Other times, contractors fail to make certain legal arguments that could prevail or realize that certain decisions can be worth appealing to the superior court. Another problem comes by failing to properly garner all the evidence available for a defense or to have the necessary witnesses to testify. An important tool to present one’s case is the power to subpoena documents and witnesses to force documents production or testimony. Less formal methods permit a contractor to obtain copies of everything another party will use at the hearing. Records can also be obtained directly from the Registrar to anticipate expected testimony from investigators and provide a basis to challenge any negative testimony.

4. Ruling by Administrative Law Judge. After hearing testimony and legal arguments, the judge must issue a decision within the statutory period. Favorable rulings will result in the matter being dismissed by the judge. Unfavorable rulings could provide for suspension or revocation of a license or the assessment of penalties. A contractor’s prior disciplinary history will play an important factor in determining a discipline. Discipline can range from suspension of a few hours to revocation of the license, depending on the severity of the allegations. Various statutes provide for penalties depending on the violations established at the hearing.

5. Appeal of Administrative Law Judge Ruling. An adverse ruling can be appealed to superior courts. Appeal of rulings are appropriate where the administrative law judge has made an error in the law governing the hearing. Administrative Law Judge are allowed to believe one witness over another. So the resolution of factual disputes where the two parties testify to different version of events by an Administrative Law Judge is not a basis to appeal. That is one reason why effectively presenting at the hearing is so critical. It is also about keeping testimony from being admitted that should not have any basis, such as when an investigator attempts to offer an opinion that is beyond his scope of expertise or when a complainant attempts to testify about something without the proper experience or training. If these and other issues are missed at the hearing, they are difficult to overcome on appeal.

6. Post Ruling. In the case of an unfavorable ruling of a complaint filed by residential homeowners, a homeowner may apply to recover costs from the Residential Recovery Fund. If the amount sought is not reasonable, this can also be disputed at a separate hearing.

Contact Mark Molique for a free 20-minute consultation.