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.
Case 1
Customer
Storekeeper
How much do you want for this
brass dish?
This is a beautiful antique, isn’t
it? I guess I could let it go for
$500.
Oh come on, it’s dented. I’ll give
you $175.
Really! I might consider a
serious offer, but $175 certainly
isn’t serious.
Well, I could go to $200, but I
would never pay anything like
$500. Quote me a realistic price.
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 quarrelling in a library. One wants the
window open and the other wants it closed. They argue
back and forth about how much to leave it open: a crack,
halfway, three quarters of the way. No solution
satisfies them both.
• The librarian enters. She asks why he wants the window
open: “To get some fresh air.” She asks 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. what I gain is what
you lose
2. mutual gain
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
Criteria
Interests
develop
BATNA
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
allows 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 characterized 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 involved
parties
 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.
Identify and Define the Problem.
2.
Understand the Problem Fully—Identify Interests
and Needs.
3.
Generate Alternative Solutions.
4.
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
Pareto efficient
frontier
Creating Value
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.
 Reaffirm what is most important to you thru the
use of clear strategies.
 Reexamine 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.