CHAPTER 3
Strategy and Tactics of Integrative
Negotiation
整合型谈判
(expanding the pie 增大蛋糕)
Approach: a comparative view
Learning Objective
1. Understand the relationship btwn Strategy & Tactics
2. Remember and internalize the distinctive features of
Integrative Negotiation, in comparison with those of
Distributive Bargaining
3. Develop the awareness of and capacity to applying
the fundamentals of Integrative Negotiation for
better outcomes of negotiation, including creating
value, developing alternatives and applying
objective criteria at the value-claiming stage.
Outline
1. Strategy & Tactics
2. Integrative vs Distributive: Case illustrations
3. Q&A exercise: Salary Negotiation
4. Pair Work
5. Case Studies
6. Assignment: Discussion Questions
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
Process interests
Relationship interests
Interests in principle
Some Observations on Interests （p.81)
 There is almost always more than one type of interest
underlying a negotiation
 Parties can have different types of interest at stake
 Interests often stem from deeply rooted human needs or
values.
 Interests can change.
 Surfacing interests.
 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
 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 增加资源法
 Logroll “切割法”
 Use Nonspecific Compensation “挂钩战术”
 Cut the Costs for Compliance “奖（罚）战术”
 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 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.
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 to Cool Off
• Explore Different Ways to Logroll
• Keep Decisions Tentative and Conditional until
All Aspects of the Final Process
• Minimize Formality 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 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.