CHAPTER 4
Negotiation : Strategy and
Planning
Overview of Chapter 4
• Figure 4.1 Relationship between key steps in
the planning process
Goals
Strategy
Planning
The Titles
1. Goals—The Focus That Drives a
Negotiation Strategy
2. Strategy—The Overall Plan to Achieve
One’s Goals
3. Understanding the Flow of Negotiation：
Stages and Phases
4. Getting Ready to Implement the
Strategy: The Planning Process
5. Chapter Summary
1. Goals: The Focus That Drives a Negotiation Strategy
• Direct Effects of Goals on Choice of Strategy.
Four aspects of how goals affect negotiation are
important to understand:
(1) Wishes are not goals, especially in negotiation.
(2) Goals are often linked to the other party’s goals.
(3) There are boundaries or limits to what goals can be.
(4) Effective goals must be concrete, specific, and
measurable.
• Direct Effects of Goals on Choice of Strategy.
2. Strategy—The Overall Plan to Achieve One’s Goals
• Strategy versus Tactics
• Unilateral versus Bilateral to Strategy
• The Dual Concern Model as a Vehicle for Describing
Negotiation Strategies.
Alternative Situation Strategies
The Nonengagement Strategy: Avoidance
Active-Engagement Strategies: Competition,
Collaboration, and Accommodation
The Dual Concern Model
• Figure 4.2
Substantial outcome important?
Yes
Relational
Outcome
Important?
No
Yes Collaboration Accommodation
No
Competition
Avoidance
3. Understanding the Flow of Negotiation：Stages and
Phases
• Figure 4.3 Phases of Negotiation
Phase 1
Phase 2
Phase 3
Phase 4
Preparation
Relationship
building
Information
gathering
Information
using
Phase 5
Bidding
Phase 6
Closing
the deal
Phase 7
Implementating
The agreement
• However, people frequently deviate from this model and that one
can track differences in their practice according to his or her
national culture.
杠杆原理
4. Getting Ready to Implement the Strategy: The
Planning Process -1
(1)Defining the Issues
(2)Assembling the Issues and Defining the Bargaining Mix
(3)Defining Interests
(4)Knowing Limits and Alternatives
(5)Setting Targets and Openings
(6)Assessing Constituents and the Social Context of the
Negotiation
(7)Analyzing the Other Party
(8)Presenting Issues to the Other Party
(9)What protocol needs to Be Followed in The Negotiation.
4. Getting Ready to Implement the Strategy: The
Planning Process -2
• Before we commencing this discussion, we want to
note four things:
 We assume that a single planning process can be
followed for both an distributive and an integrative
process.
 There are several “structural ” factors surrounding a
negotiation that may also affect the strategizing and
planning process.
 We assume that negotiations will be conducted
primarily one to one.
 Complete and up-to-date planning will require a certain
degree of shuttling back and forth between steps.
4.1 Defining the Issues -1
• Figure 4.4 How Issues Affect the Choice between
Distributive and Integrative Strategy
Increasing
Value to
Buyer
Claiming Value
A
C
Creating Value
B
Increasing
Value to
Seller
4.1 Defining the Issues -2
• While the number of issues impact strategy, it does not
preclude the possibility that single-issue negotiations can
be made integrative, or that multiple-issue negotiations
will remain distributive.
• Single-issue negotiations can often be made integrative
by increase the number of issues.
• Similarly, in multiple-issue negotiations, the opportunity
to create value may be lost in competitive dynamics.
4.2 Assembling the Issues and Defining the Bargaining Mix
• Large bargaining mixes allow many possible
components and arrangements for settlement, thus
increasing the likelihood that a particular package will
meet both sides’ needs.
• After assembling issues, the negotiator next must
prioritize them. Prioritization includes two steps:
 Determine which issues are most important and which
are less important.
 Determine whether the issues are linked together or
separate.
4.3 Define Interests
• Although defining interests is more important to
integrative negotiation than to distributive bargaining,
even distributive discussions can benefit from one or
both parties identifying the key interests.
• Asking “why” questions usually bring critical values,
needs, or principles that we want to achieve in the
negotiation to the surface.
• Interests may be Substantive, Process-based, or
Relationship-based.
4.4 Knowing Limits and Alternatives
• Good preparation requires that you establish two clear
points: your resistance point and your alternatives.
 A resistance point is the place where you decide that you
should absolutely stop the negotiation rather than
continue because any solution beyond this point is
minimally acceptable.
 Alternatives define whether the current outcome is better
than another possibility.
4.5 Setting Targets and Openings
• Target Setting Requires Positive Thinking about
One’s Own Objectives.
• Target Setting often Requires Considering How to
Package Several Issues and Objectives .
• Target Setting Requires an Understanding of Tradeoffs and Throwaways.
4.6 Assessing Constituents and the Social Context
of the Negotiation
• When people negotiate in a professional context, there
maybe more than two parties.
• When one has a constituent or observers, other issues
arise, such as who conduct the negotiation, who can
participate in the negotiation, and who has the ultimate
power to ratify negotiated agreements.
• One way to assess all the key parties in a negotiation is
to completed a “field analysis”.
4.7 Analyzing the Other Party
• The Other party’s Resource, Issues, and Bargaining
Mix
• The Other party’s Interests and Needs
• The Other party’s Targets and Openings
• The Other party’s Constituents, Authority, and Social
Structure
• The Other party’s Reputation and Style
• The Other party’s Strategy and Tactics
4.8 Presenting Issues to the Other Party
• One important aspect of negotiations is to present a case
clearly and to provide ample supporting facts ad
arguments; another is to refute the other party’s
arguments with counterarguments.
• Because of the breadth and diversity of issues that can
be included in negotiations, it is not possible to specify
all the procedures that can be used to assemble
information. There are, however, some good general
guides that can be used.
4.9 What protocol needs to Be Followed in The Negotiation?
• A negotiator should consider a number elements of
protocol or process:
 What agenda should we follow?
 Where should we negotiate?
 What is the time period of negotiation?
 What might be done if negotiation fails?
 How will we keep track of what is agreed to ?
 How do we know whether we have a good agreement?
5. Chapter Summary
• Planning is critically important actively in negotiation.
As we noted the outset, however, negotiators frequently
fail to plan for a variety of reasons. Effective planning
allows negotiators to design a road map that will guide
them to agreement.
• While this map may frequently need to be modified and
updated as discussions with the other side proceed,
working from the map is far more effective than
attempting to work without it.