Texas Administrative Code
Title 16 - ECONOMIC REGULATION
Part 9 - TEXAS LOTTERY COMMISSION
Chapter 403 - GENERAL ADMINISTRATION
Section 403.223 - Use of Assisted Negotiation Processes
Universal Citation: 16 TX Admin Code ยง 403.223
Current through Reg. 49, No. 12; March 22, 2024
Any of the following methods, or a combination of these methods, or any assisted negotiation process agreed to by the parties, may be used in seeking resolution of disputes or other controversy arising under Government Code, Chapter 2260. If the parties agree to use an assisted negotiation procedure, they should agree in writing to a detailed description of the process prior to engaging in the process.
(1) Mediation.
(2) Early evaluation by a third-party neutral.
(A) This a confidential conference
where the parties and their counsel present the factual and legal bases of
their claim and receive a non-binding assessment by an experienced neutral with
subject-matter expertise or with significant experience in the substantive area
of law involved in the dispute.
(B)
After summary presentations, the third-party neutral identifies areas of
agreement for possible stipulations, assesses the strengths and weaknesses of
each party's position, and estimates, if possible, the likelihood of liability
and the dollar range of damages that appear reasonable to him or her.
(C) This is a less complicated procedure than
the mini-trial, described in paragraph (4) of this section. It may be
appropriate for only some issues in dispute, for example, where there are
clear-cut differences over the appropriate amount of damages.
(3) Neutral fact-finding by an expert.
(A) In this process, a neutral
third-party expert studies a particular issue and reports findings on that
issue. The process usually occurs after most discovery in the dispute has been
completed and the significance of particular technical or scientific issues is
apparent.
(B) The parties may agree
in writing that the fact-finding will be binding on them in later proceedings
(and entered into as a stipulation in the dispute if the matter proceeds to
contested case hearing), or that it will be advisory in nature, to be used only
in further settlement discussions between representatives of the
parties.
(4) Mini-trial.
(A) A mini-trial is generally a summary
proceeding before a representative of upper management from each party, with
authority to settle, and a third-party neutral selected by agreement of the
parties. A mini-trial is usually divided into three phases: a limited
information exchange phase, the actual hearing, and post-hearing settlement
discussions. No written or oral statement made in the proceeding may be used as
evidence or an admission in any other proceeding.
(B) The information exchange stage shall be
sufficient for each party to understand and appreciate the key issues involved
in the case. At a minimum, the parties shall exchange key exhibits,
introductory statements, and a summary of witness's testimony.
(C) At the hearing, representatives of the
parties shall present a summary of the anticipated evidence and any legal
issues that must be decided before the case can be resolved. The third-party
neutral presides over the presentation and may question witnesses and counsel,
as well as comment on the arguments and evidence. Each party may put on
abbreviated direct and cross-examination testimony.
(D) Settlement discussions, facilitated by
the third-party neutral, shall take place after the hearing. The parties may
ask the neutral to formally evaluate the evidence and arguments and give an
advisory opinion as to the issues in the case. If the parties cannot reach an
agreed resolution to the dispute, either side may declare the mini-trial
terminated and proceed to resolve the dispute by other means.
Disclaimer: These regulations may not be the most recent version. Texas may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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