Rule 5.15 - Alternative Dispute Resolution(a) In addition to the procedures under Rule 5.14, the Commission encourages the resolution and early settlement of all contested disciplinary matters through voluntary settlement procedures.(b) At any time after the filing of a complaint against a respondent and before referral to a review committee under Rule 5.8(d), the Director may initiate a settlement conference on the Director's own motion or at the request of any party. Settlement conferences are voluntary.(c) The Director, on behalf of Commission staff, and the respondent are the parties in a settlement conference. The complainant may also participate as a party in a settlement conference at the sole option of the presiding officer.(d) A settlement conference may be used to reach agreement about all or a portion of the ultimate issues in a disciplinary matter or to reach agreement about how to handle disputed matters. The parties may use a mediator for a settlement conference or conduct the settlement conference without a mediator.(e) The parties to a settlement conference cannot bind the Commission to any resolution of a disciplinary matter pending before the Commission. The presiding officer may appoint one or more Commission members or staff to attend the settlement conference. The Commission representative must participate in the proceedings in an effort to resolve the dispute within the parameters of any instructions received from the Commission and must recuse themselves from any subsequent hearings or deliberations regarding the case.(f) In the event a settlement of some or all of the disputed issues is reached during the settlement conference, the Commission must review the terms of the settlement at the next regularly scheduled Commission meeting. The Commission may accept the settlement terms, reject the settlement terms and restore all proceedings on the disciplinary matter to the status quo as it existed immediately prior to the settlement conference, or refer the matter for further negotiation.(g) The parties may agree to retain a mediator to assist with the settlement conference. (1) The parties must notify the presiding officer in writing of their agreement to retain a mediator. That notice must include the name, address, and telephone number of the mediator selected; a statement that the parties have entered into an agreement with the mediator as to rate and method of his or her compensation; and an affirmation that the mediator is qualified to serve.(2) Upon receipt of a properly filed notice under (1), the presiding officer will enter an order referring the case to the mediator.(h) If the parties do not agree to a mediator, the presiding officer may appoint an individual to serve as mediator in the settlement conference.(i) An individual appointed to serve as a mediator under (g) or (h) must meet the qualifications set forth in the Civil Practice and Remedies Code Section 154.052.(j) The Commission will not pay any fees or costs associated with a settlement conference unless good cause is shown and the Commission and Office agree to do so prior to the settlement conference.(k) All communications in the settlement conference between or among the parties, and between each party and mediator, if any, are confidential under the same terms as provided in Section 154.053 of the Civil Practice and Remedies Code. Information shared with the mediator in separate meetings will not be given to any other party unless the party sharing the information explicitly gives the mediator permission to do so. Material provided to the mediator is not required to be provided to the other parties and will not be filed or become a record in the disciplinary proceedings. Notes taken during the settlement conference by the parties and the mediator must be destroyed at the end of the process.(l) Any agreement reached by the parties will be reduced to writing and signed by the parties before the end of the settlement conference. These writings may be informal in nature. The parties may agree that the written agreement remain confidential if there is no requirement of law to the contrary. Any part of the agreement that may affect the disposition of the disciplinary proceeding (such as agreements concerning relevant facts) must be filed in the record of the disciplinary proceeding.(m) If the parties use a mediator for the settlement conference, the mediator must maintain confidentiality in accordance with Section 2009.054 of the Government Code. The mediator may not communicate to the Commission matters discussed with the parties in the settlement conference. The mediator will report to the Commission in writing whether the settlement conference resulted in a settlement of the matter in dispute, or other stipulations or matters that the parties agreed be reported. (n) Required Filings. The following documents must be filed with the Commission: any request for the appointment of a mediator, any objection to the referral of the matter to a settlement conference, any objection to the appointment of a mediator, any notice required to be given, any settlement agreement, any report prepared by the mediator, and any similar documents as may become necessary or appropriate in the course of the settlement conference.Tex. R. Judi. Cert. Commi. 5.15
Amended effective 4/12/2018 immediately.