Principled Negotiation
Maureen Gauci
29 Sept 2013
What is Negotiation?
• The parties in conflict attempt to resolve
their issues on their own, without third
party assistance
Queen's Fall 2012 M. Gauci
When to Negotiate:
Trust levels between parties are decent
Current or relatively untroubled history
Low or manageable power imbalance
Phase of escalation is at productive level (or
slightly higher)
able to strategically think through the
matters that will arise during the
negotiation, and the potential outcomes of
the negotiation
Queen's Fall 2012
M. Gauci
Negotiation Styles
Soft (Co-operative)
Hard (Competitive)
Principled (IBN)
Avoid conflict
Friends
Change positions
easily
Concede generously
Avoid contests of will
Make concessions for
the relationship
Back down to
ultimatums
Win at all costs
Adversaries
Dig in to your position
Concede stubbornly
Win contests of will
Demand concessions to
have a relationship
Make threats,
ultimatums
Problem solve
Professionals
Focus on interests
Invent options
Use objective criteria
Separate people from the
problem
Know each side’s best
walkaway alternative
Queen's Fall 2012 M. Gauci
Understanding Interests
Interests
Substantive
Psychological
Interests
Interests
Procedural
Interests
Principled Negotiator Assumptions:
 Common
interests are valued and
sought
 Interdependence is seen as positive
 Resources can be expanded through
cooperation
 The goal is a mutually agreeable
solution that is fair
Queen's Fall 2012
M. Gauci
Negotiation Essentials
• Prepare your BATNA/WATNA and
objective criteria
• Distinguish between the person and the
problem (what are the issues?)
• Move from positions to interests
• Develop multiple and creative options
• Craft a thorough agreement-fair, wise,
enduring
Queen's Fall 2012 M. Gauci
Separating people from the
problem:
 Human beings first and foremost with:
 Emotions, deeply held values and beliefs,
different backgrounds and viewpoints
 Make working relationships work by:
 Building trust, understanding, and respect
Common Interests
Queen's Fall 2012
M. Gauci
The Differences Between…
Talking about Positions:
• Fail to listen – restate your
position
• Focus on the past
• Focus on who to blame,
who is right, wrong
• Identify the other person as
part of the problem
• Go for the win
Talking about Interests:
• Actively listen to the other
point of view
• Focus on the future
• Identify the problem and
discuss what has to be done
• Tackle the problem together
• Clarify interests
• Use creative problem solving
and option generation
Queen's Fall 2012 M. Gauci
FOCUS ON INTERESTS; NOT POSITIONS
Positions
POSITIONS:
• The ideal outcome from MY point
of view
• Usually stated as a demand
• One party is advantaged over the
other
• Position is thrust on the other
party with little or no opportunity
or desire for understanding
• Limits options – but very
important to hear
FOCUS ON INTERESTS; NOT POSITIONS
Positions
INTERESTS:
• Closely connected to values and
priorities
• Expressed as underlying wants,
needs, fears, etc.
Interests
• Qualities that motivate our
position
• Fundamental reasons behind
positions not generally discussed
- unless someone asks!
• Concerns, Hopes, Expectations,
Assumptions, Perceptions,
Priorities, Values, Impacts,
Consequences (CHEAPP VIC)
FOCUS ON INTERESTS; NOT POSITIONS
Positions
Interests
Needs
Basic Human Needs*:
•Have fun, relax, play, be happy, peace
•
Survive: physical, financial, emotional
•
Power: respect, dignity, consultation,
•
Success: competent, capable, recognition,
purpose/meaning, important, autonomy
•
Contribute: co-operate, collaborate
•
Belonging: friends, family, workplace,
social connection*
*As per Dr. William Glasser
Some common interests:
•
•
•
•
•
•
•
•
To be heard
To be consulted
To be respected
To co-operate, collaborate
To be treated fairly, equitably
To have stability
To trust, be trusted
To have flexibility
Queen's Fall 2012
M. Gauci
Stage 1 - Preparation
• Think through the (potential) difficult
conversation
• Identify the issues you believe need to be
resolved
• What are your interests?
• Develop your BATNA/WATNA
• Determine applicable objective criteria
• What are the interests for the other side?
• Who (authority), How, Where?
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M. Gauci
BATNA
Best Alternative to a Negotiated Agreement:
•
Invent a list of actions you might conceivably take if no
agreement is reached.
•
Improve some of the more promising ideas and
convert them into practical options
•
Select, tentatively, the one option that seems best (the
better your BATNA, the better your negotiating
strength is)
Queen's Fall 2012
M. Gauci
WATNA
Worst Alternative to a Negotiated Agreement
• WATNA is the worst case scenario
against which any proposal should be
measured
• WATNA is used to aid in decisionmaking when searching for solutions
Queen's Fall 2012 M. Gauci
OBJECTIVE CRITERIA
• Examples of Fair Standards
• Precedent
• Scientific judgment
• Professional standards
• Efficiency
• Costs
• What a court would likely decide
• Moral standards
• Equal treatment
• Tradition
• Reciprocity
• Examples of Fair Procedures
• Coin toss
•Taking turns
•Drawing straws, cards etc.
Stage 1 –Set the Stage
Some common ground rules:
• All relevant information will be disclosed
• All information will be kept confidential
• Good faith will be demonstrated throughout the process
• Parties will demonstrate active and respectful listening
• Parties will use non-judgmental communication (no
accusing, blaming, name-calling etc.)
• Agree on method for breaks and caucus (if necessary to
use this)
• Settlement discussions are on a “without prejudice”
basis
Queen's Fall 2012 M. Gauci
Stage 2: Stories
Each person gives their perspective on:
• The “what happened” conversation
• Use “I” messages to remove blame and
maximize the opportunity to be heard.
• Frame in neutral, non-blaming language.
• Use CHEAPP VIC to frame your interests
From this stage will come the identification of issues
Queen's Fall 2012 M. Gauci
Stage 2 - Issues
Separating People from the Problem:
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


Focus on the subject matter of the problem
Put yourself in their “shoes” to try and
understand their perceptions
Be empathic and non-judgmental
Look for opportunities to act inconsistently
with their perception of you
Expect to determine differences of
opinion/value/expectation, etc.
Use neutral framing– don’t make it personal!
Queen's Fall 2012 M. Gauci
Stage 3 - Discussion
• When the parties communicate back and forth,
looking toward agreement, the same four elements
are the best subjects to discuss:
• Problems (people & other) can be acknowledged
and addressed.
• Each side comes to understand the interests of the
other.
• Both can then jointly generate options that are
mutually advantageous
• Together they seek agreement on objective
standards for resolving opposed interests.
Generating Options
• Only when interests have been identified,
should the search for solutions/options begin.
Otherwise, the danger is what you are trying
to “fix” may not actually be the problem…
• Avoid the assumption of the “fixed pie”
• Reality-check options to ensure they will stand
the test of time and wisdom!
Queen's Fall 2012
M. Gauci
Fair, wise and enduring
Agreements
Any resulting agreement should
always answer the questions:
?
?
?
?
?
?
Who
What
How
When
Where, and
What if
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M. Gauci
Obstacles
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Time
Environment
Expectations of others
History
Competitive party
“Un-enlightened” i.e lack of training
Unclear expectations of process and parties
Lack of preparation
Power imbalances
Unaddressed Cultural Differences
Queen's Fall 2012 M. Gauci