Essentials of

Negotiation
谈判学概要
 Essentials of
Negotiation
1. The Nature of Negotiation 谈判的特征
2. Strategy and Tactics of Distributive Bargaining 对立型谈判的战略和技术
3. Strategy and Tactics of Integrative Negotiation
合作型谈判和的战略、战术

4. Negotiation: Strategy and Planning 谈判、 战略和计划

5. Perception, Cognition, and Emotion 感知 、认知和情感
6. Communication 交流
7. Finding and Using Negotiation Power 发现和利用谈判杠杆
8. Ethics in Negotiation 谈判中的道德规范
9. Relationships in Negotiation 谈判中的关系因素
10. Multiple Parties and Teams 多方团体和组织
11. International and Cross-Cultural Negotiation 国际性及跨文化的谈判
12. Best Practices in Negotiation 谈判实践
 A Few words about our style
and approach
First, we will be careful about how we
use terminology
in this book. e.g. Bargaining and
negotiation
Bargaining is used to describe the
competitive, win-
lose situations such as haggling the price
that happens
at a yard sale, flea market, or a used car
lot.
 Negotiation is used to refer to win-win situations
such as those that occur when parties are trying to
find a mutually acceptable solution to a complex
conflict.
Second, many people assume that the heart of
negotiation is the give-and-take process used to
reach an agreement. But negotiation is a very
complex social process. Many of the most important
factors occur before the parties start to negotiate, or
shape the context around the negotiation.
Third, our insights into negotiation are drawn from
three sources:
a. The first is our experience as negotiators
ourselves and the rich
number of negotiations that occur every day in
our own lives and
in the lives of people around the world.
b. The second source is the media- TV, radio,
newspaper, magazine,
 Characteristics of a Negotiation
Situation
1. There are two or more parties---that is, two
or more individuals, groups, or
organizations.
2. There is a conflict of needs and desires
between two or more parties ---that is, what
one wants is not necessarily what the other
one wants---and the parties search for a way
to resolve the conflict.
3. The parties negotiate by choice! That is,
they negotiate because they can get a better
deal by negotiating than by simply
accepting what the other side will
voluntarily give them or let them have.
 Negotiation is largely a voluntary process. We negotiate
because we think we can improve our outcome or result,
compared with not negotiating or simply accepting what the
other side offers. It is strategy pursued by choice. Seldom
are we required to negotiate. There are times to negotiate
and times not to negotiate. Most people do not negotiate
enough.

4. When we negotiate we expect a “give-and-

take”( 双方让步 ) process that is fundamental to the
definition of negotiation itself. We expect
that both sides will modify or move away from
their opening statements, requests, or demands.

[Link] parties prefer to negotiate and search

for agreement rather than to fight openly, have
one side dominate and the other capitulate

[kə'pɪtjʊleɪt 认输，屈服；屈从，停止反抗 ] , permanently

break off contact, or take their dispute to a
higher authority to resolve it.
(e.g., the price or the terms of agreement ) and
also the resolution of [Link]
factors are the underlying psychological
motivations that may directly or indirectly
influence the parties during a negotiation.
Intangibles are often rooted in personal values
and emotions. . Intangible factors can have an
enormous influence on negotiation process and
outcomes.
Some examples of intangibles:
(1). the need to “win”, beat the other party,
or avoid losing to the other party; (2)the need
to look “good”, “competent”, or “tough” to the
people you represent; （ 3 ） the need to defend an
important principle or precedent in a
negotiation;(4)the need to appear “fair”, or
“honorable ” or to protect one’s reputation.
There are times when you should to avoid
negotiating?
[Link] you’d lose the farm: if you are in
a situation where you could lose
everything, choose other options rather
than negotiate.
When you are sold out: when you are
running at capacity, don’t deal. Raise
your price instead.
[Link] the demands are unethical: Don’t
negotiate if your counterpart asks for
something you cannot support because it
is illegal, unethical, or morally
inappropriate. When your character or
There are times when you should to avoid
negotiating?
You have everything to lose and nothing
to gain.
When you don’t have time: When you are
pressed for time, you may choose not to
negotiate.
[Link] they act in bad faith: Stop the
negotiation when your counterpart shows
signs of acting in bad faith. Stick to your
guns and cover your position, or discredit
them.
5. When waiting would improve your
position: Perhaps you’ll have a new
There are times when you should to avoid
negotiating?
If the odds are good that you will gain
ground with a delay, wait.
When you are not prepared: If you don’t
prepare, you will think of all your best
questions, responses, and concessions on
the way home. Gathering your
reconnaissance [ri'kɔnəsəns] 侦察 ; 初步调
查 and rehearsing [rɪˈhɜ:sɪŋ] 排练 ; 预演 the
negotiation will pay off handsomely. If you
are not ready, just say “no”
 Interdependence 互相依存
One of the key characteristics of a negotiation situation
is that the parties need each other in order to achieve
their preferred objectives or outcomes. When the
parties depend on each other to achieve their own
preferred outcome they are interdependent. Most
relationships between parties may be characterized in
one of three ways: independent; dependent; or
interdependent.
Independent parties are able to meet their own
needs without the help and assistance of others; they
can be relatively detached, indifferent and uninvolved
with others.
Dependent parties must rely on others for what they
need; since they
need the help, benevolence, or cooperation of the other.

Interdependent parties , however, are

 Relationships between
parties
a. independent. Independent parties are
able to meet their own needs without
the help and assistance of others. They
can be relatively detached, indifferent,
and uninvolved with others.
b. dependent. Dependent parties must
rely on others for what they need.
c. interdependent. Interdependent parties,
however, are characterized by
interlocking goals---the parties need
each other in order to accomplish their
objectives.
Types of Interdependence Affect Outcomes
不同的相互依存类型对结果的影响
The interdependence of people’s goals, and the
structure of
the situation in which they are going to negotiate,
strongly
shapes negotiation processes and outcomes.
a. a zero-sum, or distributive situation 分发的，分配的 ( 零和 )
--competitive, only one winner. Their goals are
interconnected so that only one can achieve the goal.
One person achieves his or her goal, the other’s goal
attainment is blocked.
b, In contrast, when parties’ goals are linked so that one
person’s goal achievement helps others to achieve
their goals, it is a mutual-gains situation , also known
as a non-zero-sum or integrative situation
Alternatives Shape Interdependence 选择影响互相
依存
1. Why do you choose to work together?
Because the possible outcome is better than what may
occur if they do
not work together.
2. Evaluating interdependence depends heavily on
the desirability of
alternatives to working together.
3. Whether you should or should not agree on
something in a
negotiation depends entirely upon the alternatives to
you of the best
available alternative. They call this alternative a
BATNA (Best Alternative
to a Negotiated Agreement) and suggest that
 BATNA ( 达成谈判协议的最佳选择方案 )
Whether you should or should not agree on something
in a negotiation
depends entirely upon the attractiveness to you of the
best available
alternative. We call this alternative a BATNA. ( Best
Alternative to a
Negotiated Agreement)
最佳替代方案：指的是假如目前的谈判不成，达到目标所在的其他可能性，如果除了目前的谈判结果之
外，其他的可能性微乎其微，那么谈判者就应该尽量将谈判谈成而不是放弃。一个人对 BATNA 的
估计决定这个人的谈判底线或者临界点在哪一点，在这一点之上，任何谈判条件都超越他的期望，都是他
可以接受的。
The value of a person’s BATNA is always relative to
the possible
settlements available in the current situation. A BATNA
may offer
independence, dependence, or interdependence with
someone else.
 Mutual Adjustment 相互协调
When parties are interdependent, they have to find
a way to resolve
their differences. Both parties can influence the other’s
outcomes and
decisions, their own outcomes and decisions can be
influenced by the
other one.
It is important to recognize that negotiation is a
process that
transforms over time. Mutual adjustment is one of the
key causes of the
changes that occur during a negotiation.
Mutual adjustment continues throughout the
negotiation as both
parties act to influence the other.
The parties need to exchange information, attempt to
influence each
other, and solve problems.
 What is an effective
negotiator?
The effective negotiators need to understand
how people
will adjust and readjust, and how the
negotiations might twist
and turn, based on the one’s own moves and the
other’s
responses.
It might seem that the best strategy for
successful adjustment
to the other is grounded in the assumption that
the more
information one has about the other person the
better. There is
 Mutual Adjustment and Concession
Making
Negotiations often begin with statements of opening
positions: Both
parties have defined their outer limits for an acceptable
settlement (how
high or how low they are willing to go.)
Each party states its most preferred settlement
proposal, hoping the
other side to simply accept it. But not really believing
that a simple “yes”
will be forthcoming from the other side. If the proposal
isn’t readily
accepted by the other, negotiators begin to defend their
own initial
proposals and critique the others’ proposals.
. Each party’s rejoinder [rɪˈdʒɔɪndə] 应答 ; 应对 usually
suggests
alternations[ˌɔ:ltə'neɪʃn] to the other party’s proposal
and perhaps
contains changes to his or her own position.
 Two Dilemmas in Mutual Adjustment
Mutual Adjustment
signals (one party) -----signals (the
other)
Deciding how to use concessions as
signals to the other
side and attempting to read the signals in the
other ’s
concessions are not easy tasks, especially there
is little trust
between negotiators.
Two dilemmas: honesty; trust
a. The first dilemma, the dilemma of honesty,
concerns
how much of the truth to tell the other
 How much should negotiators trust
the other party?
How much negotiators should trust
the other party
depends on many factors, including
a. the reputation of the other party
b. your past experiences (how did he or
she
treat you. )
c. a clear understanding of the
pressures on the
other party in the present
circumstances.