Step 5 - DRS Model - The optional Caucus

Step 5 in the Dispute Resolution Services, Inc. (DRS) model is the optional caucus. The caucus, or individual interview, is a technique for obtaining more information about each party's position and determining the areas of flexibility of the parties. The mediator meets separately with one of the disputants (and his or her attorney).

Some mediators never use the caucus, while others never mediate without using the caucus, particularly in litigated cases. The caucus can be useful (1) to clarify details or obtain personal data in a private atmosphere; (2) to move beyond an impasse; (3) to build trust or reduce tension; (4) to explore movement or test positions; (5) to allow people to cool off and reflect, or to allow the mediator time to absorb and analyze new information; (6) to explore hidden agendas; (7) to allow the disputants to let off steam, or to save face; (8) to learn what people want and what they are willing to give; and (9) to brainstorm.

It is important in the caucus that the disputants stress to the mediator, and the mediator to the disputants, that everything stated is confidential, except that which the mediator is expressly authorized to disclose to the other party.

According to the DRS, while it is common for the parties to ask the mediator's opinion or judgments during a caucus, the mediator should away away from this, continuing to communicate impartiality, emphasizing strengths to both parties and areas of agreement.

If an agreement in principle seems to have been reached in caucus, the parties are ready to move to Step 6 of the mediation process. If fighting erupts, one must either continue the joint negotiations or re-caucus. There are times when no agreement will be reached, and it may be appropriate to ask the parties whether they would like to discontinue the mediation or reschedule for another day. The mediator should allow the parties to determine when further mediation will not be successful.

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