CHAPTER 3 Strategy and Tactics of Integrative Negotiation

一体化（整合型）谈判

(expanding the pie

增大蛋糕

)

Approach: a comparative view

Warming-up: Questions to ponder Do you believe in IN? To what extent?

Can you name some differences btwn IN & DN?

Why is the distinction in btwn so important?

Why is the distinction in btwn so important?

If you want to play well, you need to know the rules of the game

.

The Negotiators’ mental models are central to understanding how the negotiation game is defined. How parties understand the game is a critical determinant of how they play the game.

Customer Case 1 Storekeeper How much do you want for this brass dish?

Oh come on, it’s dented. I’ll give you $175.

Well, I could go to $200, but I would never pay anything like $500. Quote me a realistic price. This is a beautiful antique, isn’t it? I guess I could let it go for $500.

Really! I might consider a serious offer, but $175 certainly isn’t serious.

You drive a hard bargain, young lady. $425 cash, right now. $200.

It cost me a great deal more than that. Make me a serious offer.

Distributive negotiation

A’s goals and demands B’s goals and demands

Case 1 Graphically depicted

Remarks on case 1: Distributive  focus on one single issue (often, money).  Conflict dominated and relationship ignored or sacrificed.

 Myth: negotiation as a

fixed pie

perception.  Possible outcomes: win-lose, lose-lose (compromise), no agreement  Often common for one-off, low-value deals, e.g. buying items at a flea market where

haggling

is the accepted “game.”  Inefficient (a battle of will) AND ……?

Case 2 • Two men were

quarrel

ling in a library. One

want

s the window open and the other

want

s it closed. They

argue

back and forth about how much to leave it open

: a crack, halfway, three quarters of the way

. No satisfies them both.

solution

• The librarian enters. She

ask

s

why

he wants the window open: “ To get some fresh air .” She ask s the other

why

he wants it closed: “ To avoid the draft .” After thinking a minute, she opens wide a window in the next room, bringing in fresh air without a draft.

Integrative Negotiation

Negotiator A’s goals and strategies Negotiator B’s goals and strategies

Case 2 Integrative  win-win perception: both can win.  problem-solving, cooperative: focus on mutual

interests

(e.g. “care about”, “want”), and a potential script: What can I learn from this demand? (vs. How can I avoid accepting this demand?)  Multiple issues and multiple options: A position is just one possible option or a possible solution (e.g. a crack, halfway, three quarters of the way).

 positions not identical to interests  Asking questions of “why” and “why not” can help explore interests behind positions (e.g. “To get some fresh air.” “to avoid the draft.”)

Distributive Negotiation 1. little cooperation Integrative Negotiation 1. strong cooperation 2. mutual gain 2. what I gain is what you lose 3. win-lose 3. win-win

Win-win revolution Popularized by the book

Getting to Yes. Negotiating Agreement Without Giving In

by Fisher, Ury, and Patton in the early 1980s. (1981, 1991, 1995) The focus shifted from battling over the division of the pie to the means of expanding it by uncovering and reconciling underlying interests. Principled Negotiation: Four key contributions

Principled Negotiation

people options interests criteria

Principled negotiation

：

4D

dig Options design Interests develop BATNA Criteria decide

IN as a six-step procedure 1. State what you want.

2. Express how you feel.

3. Give the reasons that underlie your wants and feelings.

4. Communicate your understanding of the other person’s wants, feelings, and reasons.

5. Invent three or more possible solutions that enhance everyone’s outcomes.

6. Agree and shake hands on the solution that maximizes mutual benefits.

Classic Case • Two kids are squabbling over the last orange in the fridge. When Dad hears the ruckus, he goes into the kitchen and is sure he’s got the answer. He slices the fruit into equal halves and gives one to each kid. Surprising, no one is happy. Why? Because one kid just wanted the pulp, and the other just wanted the rind.

Classic case Recently two of my sons were squabbling over some apple pie, each insisting that he would have the larger slice. Neither would agree to an even split. So I suggested that one boy cut the pie any way he liked, and the other boy could choose the piece he wanted. This sounded fair to both of them, and they accepted. Each felt that he had gotten the square deal.

Ready?

• NOW, the chapter content is coming.

The Titles 1. Introduction. 2. An Overview of the Integrative Negotiation (IN) Process.

3. Key Steps in the IN.

4. Factors that Facilitate Successful IN.

5. Why IN is Difficult to Achieve. 6. Chapter Summary.

1. Introduction (p.71) • The fundamental structure of an IN situation

allow

s

both sides

to achieve

their objectives

.

Then, questions to explore in this chapter: What is the fundamental structure of IN? How to go about it (What are the rules of the game)? What are our efforts directed towards? What tactics are amenable to successful IN? ……

What makes IN Different?

For a negotiation to be

characterize

d as integrative, negotiators must

also

: (p.71)  Focus on commonalities rather than differences  Attempt to address needs and interests, not positions.

 Commit to meeting the needs of

all

parties involved  Exchange information and ideas 

Invent

 options for mutual gain (creativity) Use objective criteria for standards of performance

2. An Overview of the Integrative Negotiation Process (p.72) • Creating a Free Flow of Information.

• Attempting to Understand the Other Negotiator’s Real Needs and Objectives.

• Emphasizing the Commonalities between the Parties and Minimizing the Differences.

• Searching for Solutions That Meet the Needs and Objectives of Both Sides.

3. Key Steps in the IN process There are major steps in the IN process (p.75): 1.

2.

3.

4.

Identify and Define the Problem.

Understand the Problem Fully—Identify Interests and Needs.

Generate Alternative Solutions.

Evaluate and Select Alternatives.

3. Key Steps in the IN process •

Figure 3.1

Creating and Claiming Value 主张价值 and the Pareto Efficient Frontier （ p.75) 帕累托

Increasing Value to Buyer Claiming Value Creating Value Pareto efficient frontier Increasing Value to Seller

3.1 Identify and Define the Problem （ pp.75-8) • Define the problem in a way That is Mutually Acceptable to both sides.

• State the Problem with an Eye toward Practicality and Comprehensiveness.

• State the Problem as a Goal and Identify the Obstacles to Attaining This Goal.

• Depersonalize the Problem.

• Separate the Problem Definition from the Search for Solutions.

Define the problem in a way That is Mutually Acceptable to both sides (p.76)

State the Problem with an Eye toward Practicality and Comprehensiveness

State the Problem as a Goal and Identify the Obstacles to Attaining This Goal

Depersonalize the Problem

Separate the Problem Definition from the Search for Solutions

3.2 Understand the Problem Fully—Identify Interests and Needs (pp.78-82) • Identifying interests is a critical step in the integrative negotiation process. Interests are the underlying concerns, needs, desires, or fears that motivate a negotiator to take particular position.

• Bringing their interests in principles to the surface will lead the parties to discuss explicitly the principles at stake and to invent solutions consistent with them.

3.2 Understand the Problem Fully—Identify Interests and Needs (pp.78-82) • Types of Interests • Some Observations 观察 on Interests

Types of Interests (p.79) • Substantive interests 实质性利益 • Process interests 程序性利益 • Relationship interests 关系型利益 • Interests in principle 原则性利益

Some Observations on Interests （ p.81)  There is almost always more than one type of interest underlying a negotiation 谈判背后 .  Parties can have different types of interest at stake 关系 到得失问题 .

 Interests often stem from deeply rooted human needs or values.

 Interests can change.

  Surfacing interests 利益明晰化 .

Surfacing interests is not always easy or to one’s best advantage.

 Focusing interests can be harmful.

3.3 Generate Alternative Solutions Two techniques  Inventing Options: Generating Alternative Solutions by Redefining the Problem or Problem Set 问题集 / 组  Generate Alternative Solutions to the Problem as Given

3.3 Generate Alternative Solutions-1 Generating Alternative Solutions by Redefining the Problem or Problem Set (p.82)  Expand the Pie 把蛋糕做大，增加资源  Logroll 互助  Use Nonspecific Compensation 使用不同（物质） 形态的补偿  Cut the Costs for Compliance 降低顺从（服从） 成本  Find a Bridge Solution 搭架桥

Expanding the Pie    How can both parties get what they are demanding?

Is there a resource shortage?

How can resources be expanded to meet the demands of both sides?

Logrolling  What issues are of higher and lower priority to me?

 What issues are of higher and lower priority to the other?

 Are issues of high priority to me low for the other, and vice versa?

 Can I “unbundled” an issue---i.e. make one larger issue into two or more smaller ones---that can then be logrolled?

 What are things that would be inexpensive for me to give and valuable for the other to get that might be used in logrolling?

Nonspecific Compensation  What are the other party’s goals and values?

 What could I do for the other side that would make them happy and have them allow me to get my way on the key issue?

 What are things that would be inexpensive for me to give and valuable for the other to get that might be used as nonspecific compensation?

Cost Cutting   What risks and costs does my proposal create for the other?

What can I do to minimize the other’s risks and costs so that they would be more willing to go along?

Bridging  What are the other’s real underlying interests and needs?

 What are my own real underlying interests and needs?

 What are the higher and lower priorities for each of us in our underlying interests and needs?

 Can we invent a solution that meets both sides’ relative priorities and their underlying interests and needs?

3.3 Generate Alternative Solutions-2     Generate Alternative Solutions to the Problem as Given Brainstorming Surveys Electronic Brainstorming Summary

Logrolling 协力使通过 • in US politics 美国政治 the practice of agreeing with somebody to vote to pass a law that they support so that they will later vote to pass a law that you support 互投赞成票（ 促使议案通过 ）

Brainstorming The success of brainstorming depends on the amount of intellectual stimulation that occurs as different ideas are generated. The following rules should be observed: 1. Avoiding judging or evaluating solutions.

2. Separate people from the problem.

3. Be exhaustive in the brainstorming process.

4. Ask outsiders.

Summary-1 立场陈述

Firm flexibility

recognizes one or two fundamental interests or principles, besides a wide variety of positions, possible solutions, or secondary issues therein. Thus, negotiators need to be able to signal to TOS the positions on which they are

firm

and the positions on which they are willing to be

flexible

. Several (Eight) tactics to communicate

firm flexibility

坚定和灵活相结合 to the other negotiator (suggested by Pruitt 1983, Fisher et al 1991): TBCed

Summary-2     Use

competitive tactics

to establish and defend basic interests. State what you want clearly.

Send signals of flexibility and concern about your willingness to address TOS’ interests. Indicate a willingness to change your proposals if a way can be found to bridge both negotiators’ interests. Demonstrate problem solving capacity.

Summary-3  Maintain open communication channels.



Re

affirm what is most important to you thru the use of

clear strategies

.



Re

examine any aspects of your interests that are clearly unacceptable to TOS and determine if they are still essential to you.

 Separate and isolate

contentious tactics

from problem-solving behavior to manage the contentious behavior 争强好胜 .

3.4 Evaluate and Select Alternatives-1 • Narrow the Range of Solution Options • Evaluate Solutions on the Basis of Quality, Standards, and Acceptability.

• Agree to the Criteria in Advance of Evaluating Options • Be Willing to Justify Personal Preferences.

• Be Alert to the Influence of Intangibles in Selecting Options.

3.4 Evaluate and Select Alternatives-2 （ p.89) • Use Subgroup to Evaluate Complex Options • Take Time Out （暂停会议） to Cool Off • Explore Different Ways to Logroll • Keep Decisions Tentative ( 尝试性的） and Conditional （有条件的） until All Aspects of the Final Process • Minimize Formality （正式性） and Record Keeping until Agreement are Closed

4. Factors that Facilitate Successful Integrative Negotiation (p.92) • Some Common Objective or Goal • Faith in One’s Problem-Solving Ability (p.93) • A Belief in the Validity 效度 of One’s Own Position and the Other’s Perceptive (p.93) • The Motivation 动机 and Commitment 诚意 to Work Together • Trust • Clear and Accurate Communication • An Understanding of the Dynamics 动态 of IN

5. Why Integrative Negotiation is Difficult to Achieve ?

（ p.97) • The primary reason negotiators do not pursue integrative agreements is that they fail to perceive a situation as having integrative potential and are primarily motivated to achieve outcomes that satisfy their own needs. Three additional factors:  The history of relationship between the parties  A belief that an issue can only be resolved distributively  The mixed-motive nature of most negotiating situations

6. Chapter Summary • In this chapter, we have reviewed the strategy and tactics of integrative negotiation. The fundamental structure of integrative negotiation is one within which the parties are able to define goals that allow both sides to achieve their objectives.

• We began with an overview of the process, note that successful negotiation requires several processes. Then we discussed various factors that facilitated successful integrative negotiation.