NIH Office of the Ombudsman
Center for Cooperative Resolution
NEGOTIATION
TRAINING WORKSHOP
NIH Office of the Ombudsman/
Center for Cooperative Resolution
Presenters:
Linda Brothers and Lisa Witzler
Associate Ombudsmen
November 13, 2013
WHY DO WE NEGOTIATE?
Approaches to Conflict
Positional
Interest-Based
Issues
Issues
Positions
Interests
Power Assertion
Win-Lose Outcome
Options
Collaborative Outcome
Handling Conflict - Two Models
• Traditional/Positional
• Each side is focused on his/her self interest only
• They perceive sides, assume adversaries
• Focus on positions – with often high initial demands,
threats
• Limited information shared
• Interest-Based
• Each person recognizes the legitimate interests of
the other party
• People take a joint approach, perceive themselves
working on common problem(s)
• More open communication and information sharing
5
Advantages of
Interest-Based Negotiation
More creative solutions, reached more
quickly
• Fewer deadlocks and lost opportunities
• More satisfied participants
• Better compliance
• Better dealings in the future
• Preserve and even strengthen workplace
relationships
Interest-Based Negotiation (IBN)
A method of negotiation used to decide issues based on
interests, rather than by haggling over positions.
Five Basic Principles of IBN:
– Separate the people from the PROBLEM
– Focus on INTERESTS, not positions
– Create OPTIONS for mutual gain
– Develop your BATNA
– Define objective CRITERIA
R. Fisher, W. Ury, B. Patton. Getting to Yes.
Separate the
people from the
problem
Separating People from the Problem
 Perceptions
 Place yourself in their shoes
 Do not interpret their motives by your fears
 Discuss the perceptions
 Emotions
 Recognize they exist
 Acknowledge them and allow for venting
 Do not react to them
 Communication
 Listen and avoid misunderstandings
 Assumptions
 Be mindful of the assumptions you are making (often
unconsciously), especially cultural assumptions
Separate the
people from the
problem
Focus on
interests
not positions
Explore all interests underlying the
issues
A Position is…
• What a person feels, believes, wants
• One person’s desired outcome
• Something that often cannot be negotiated
Focusing on Positions





Each side is only focused on his/her self-interest
The parties perceive “sides,” assume they are adversaries
Focus on positions – with often high initial demands, threats
Limited information shared
Often involves lawsuits, adjudication or similar processes
Interests: Part of Problem Resolution
An Interest is…
• Underlying need or concern
• Why an issue is important
• Fears, hopes, needs, desires
• Tangible or psychological
Focusing on Interests
Each person recognizes the interests of the other party
Identifying interests can open the door to negotiation
People take a joint approach
Perceive themselves as working on a common problem
More open communication and information sharing
Often involves mediation, facilitation, or other alternative dispute
resolution processes
Positions v. Interests
Positions
 Solutions to problems
 Specific & definite
 Basis for argument
 Require justification
 End discussion
Interests
 Why a particular solution
is preferred
 Reasons underlying
positions
 Require explanation not
justification
 Start discussion
Focus on Interests
Look for interests behind positions
Prioritize interests
Consider other side’s interests
Critical to preparation before the
negotiation!
Interests…..communicated
“What I’m trying to do here is…..”
“I have to do X because….”
“I cannot do X because…..”
“I’m really concerned about….”
Separate the
people from the
problem
Focus on
interests
not positions
Create options
for mutual gain
Options for Mutual Gain
• Recognize there can be more than 1 option
• Expand the pie
17
Which Plan Would You Choose?
Plan A
This plan will save the
cargo of one of the
three barges, worth
$200,000.
Plan B
This plan has a
one/third probability of
saving the cargo of all
three barges, worth
$600,000, but has a
two-thirds probability of
saving nothing.
18
What if you were presented these two
plans instead?
Plan C
This plan will result in
the loss of two of the
three cargoes, worth
$400,000.
Plan D
This plan has a
two/thirds probability of
resulting in the loss of
all three cargoes and
the entire $600,000, but
has a one-third
probability of losing no
cargo.
Reframing
Changing the wording or
characterization of
something to make it:
Useful for:
• Moving from positions to
• Easier to understand,
interests
• Easier to accept, or
• De-escalating conflict
• More conducive to joint
• Adding perspective
problem-solving
Options for Mutual Gain

Brainstorm possible solutions together

Consider options for joint benefit

Create what neither of you could do on your own

Look for possible trade-offs that can turn potential into
reality
Separate the
people from the
problem
Focus on interests
not positions
Create options
for mutual gain
Define objective
criteria
Objective Criteria
When you’re almost there…..
Avoid a contest of wills
Agree to use objective criteria
Agree on which criteria to use
THEN apply the standard to the dispute
Types of Objective Criteria
• “Others
• “The
in the field do….” (What is customary)
last time this happened we….”
(Precedent)
• “The regulation says…” (Law)
• “If you were me would you….?” (Reciprocity)
Separate the
people from the
problem
Create options
for mutual gain
Develop
your
BATNA
Focus on interests
not positions
Define objective
criteria
BATNA
Best Alternative to a Negotiated Agreement
• What you will do if an agreement is NOT reached
• Alternatives OUTSIDE of the negotiation
Identify and Strengthen BATNA
 Know your BATNA
 Focus on what you want to achieve and the different ways to
accomplish this
 Strengthen your BATNA
 Construct your BATNA to be more achievable, probable, or
satisfying more of your interests
 Improves your confidence during the negotiation
 Consider other side’s BATNA
 Make their BATNA less attractive to them
Negotiation Preparation
• Who will be there?
• Is there anyone missing?
• Will you have a team member?
• What will you discuss?
• When will you negotiate?
• Pick a time that is best for all
parties
• Why are you negotiating?
• Are there guidelines for the
• Why do you need/want to
discussion?
• What to you want to
accomplish?
negotiate?
• Why is this important to you/to
them?
• Where will you negotiate?
• Will the negotiation be over the
phone or in person in an office
or in a “neutral” place?
• How will you begin, stay
on track, end?
• How will you communicate and
make decisions with your team?
Negotiation Prep Worksheet
Party A (you)
Party B (the other person)
My position
Their position
My needs/interests
Their needs/interests
My BATNA
Their BATNA
What can I offer to meet their
needs/interests?
What can they offer to meet my
needs/interests?
Reframe(s)
Options for agreement
Conclusion
Understanding Interest-Based Negotiation
The 5 principles
• Separate the people from the PROBLEM
• Focus on INTERESTS not positions
• Create OPTIONS for mutual gain
• Develop your BATNA
• Define objective CRITERIA