Chapter 5 Collaborative Principled Negotiation 合作原则谈判法 Separate the People from the Problem 对事不对人 Focus on Interests Not Positions 针对利益而非立场 Invent Options for Mutual Gain 为共同利益献策 Introduce an Objective Criterion 以客观标准为本 Communication practice交际练习 Effective negotiating 成功谈判 4. Clarifying Positions （VCD） Collaborative Principled Negotiation (CPN) is also commonly known as Harvard Principled Negotiation, which is developed by Roger Fisher and William Ury in the book Getting to Yes. The core of the principle is to reach a solution to both parties by way of stressing interests and not by way of bargaining. It suggests that you look for mutual gains whenever , and that where your interests , you should insist that the result be based on some fair standards of the will of either side. i.e. an criterion should be applied to. It enables you to be while protecting you against those who would take advantage of your fairness. CPN consists of four basic components: separate the people from the problem focus on interests not positions invent options for mutual gain introduce an objective criterion The four components are with each other and should be applied to throughout the whole course of the negotiations. Separate the People from the Problem It is generally understood that in negotiations problems will be discussed and resolved if talks are going on in a and atmosphere. Unfortunately more often than not high is build up due to negotiators’ prejudice against the other party or poor on each other or misled of the other party’s intention. As a result negotiators’ feeling is mingled with interests and events to be discussed. For situation as such, CPN develops threes steps for both parties to follow, which are: Develop ?empathy We put ourselves in their ; We avoid blaming them for our ; We help them in the process. Manage emotions: We allow them to let steam; We overreact to emotional outbursts Communicate: We listen and summarize what we ; We trying to score points and debating them as opponents; We do not berate them about what they are doing . On the whole, to separate people from problem, the crucial point is to the other party, one’s own emotion and communication. We look for chances to correct our counterparts if their opinion is not right; we allow them to express their if they feel upset and we find more chances to our opinions if misunderstanding happens. By doing so we treat our counterpart as a cooperator sitting on the same_____ sinking and floating together, and the course of negotiation as a of achieving______ success hand in hand. 2. Focus on Interests Not Positions ______ of interests bring people to negotiation table. Negotiating parties holding on to their own positions is for the purpose of having their realized or protecting their or gaining more . Successful negotiations are the result of mutual and of interests rather than keeping firm on one’s own . Negotiating parties can try the following methods in order to concentrate on______ not . Identify interests We explore their which stand in our way; We examine the different of different people on their sides; We look at their human needs underlying their . Talk about interests We and accept their interests; We our understanding or a problem before proposing solutions; We try not to look and focus more on looking forward. In negotiation it is very often difficult to focus on since the interests of one party are frequently not clearly identified and expressed , and comparatively speaking are concrete and explicitly exposed to each other. One important task of negotiations is to overpass one’s position and to look for solutions satisfying both parties’ . Case The prolonged dispute over the South China Sea among neighboring countries has been a disturbing factor for the instability in the region. Some countries have demanded sea territory and some other countries have declared actual controlling right over some islands. Facing the dispute, China, being the real owner of the sea area, reiterates China’s sovereignty over the territory, meanwhile exploring the real interests of the neighboring countries’ demanding for the territory. It was found out that an important reason behind their claim is the rich fishing and mineral resources in the area. The Chinese government hence proposed in talks with relative countries that “put aside dispute, engage in joint exploration”. The proposal met with general acceptance and proved to be quite effective in lightening the tense atmosphere in the region. 3. Invent Options for Mutual Gain The first two components look at the relation between people and problems, and interests and positions, which are conducive for negotiators to establishing an objective view on those important factors in negotiations. The third component of inventing options for mutual gain provides an approach to fulfillment of the two parties’ demands. There are in fact always solutions to problems to be solved, which is unfortunately, often not fully understood. Generally speaking, there are three factors hindering people from seeking for alternative solutions: One is the fixed distributive plan. The distributive concept retards creative thinking and options and hence results in failure of negotiations. The second is seeking for only solution. Negotiators are not aware of the fact that creative thinking and options are part of a successful negotiation. The third is considering only one’s options suiting one’s own . To get rid of the above mentioned barriers and offer creative options, the following steps can be considered: Diagnose We set aside the idea that their have to be at our expense; We encourage each other to help problems; We do not prematurely focus on an option people are ready. Invent creative options: We separate inventing options from them; We develop several options before looking for a ; We look for common and interests; We look for options that would make the decision for them. Selecting an option requires a to decide one option is better than the other or is the among several options, and now it comes to the fourth component---introducing an objective criterion. 4. Introduce an Objective Criterion The first three components advocate the benefits of considering parties’ interests and designing a distributive pattern that would satisfy both sides’ demands. However, conflicts and disputes of the two parties over interest gaining will not______ no matter how considerable the two sides try to be and how creative in providing options. When the two sides can not which option is and rational, looking for an will be a way . An objective criterion should be fair, effective and rational if it is regarded as objective. The following points will be considered when telling if a criterion is fair and objective or not. An objective criterion should be independent of of all parties and thus be from sentimental influence of any one. An objective criterion should be and realistic An objective criterion should be at least theoretically by both sides. One point is clear that different have different objective criteria. For example, Criteria of price talking will include factors of cost, market situation, depreciation, price competition and other necessary factors. In other negotiations, experts’ opinions, international conventions and norms and legal documents will all serve as objective criteria. Case In the Sino-US negotiation on China’s accession into WTO, the two parties disputed over China’s developing country status. US took the position that China should be treated as a developed country. To back US stance, American negotiator cited China’s growing exports and large foreign reserve holdings. They argued that in developing countries China’s sophisticated technology in launching and retrieving satellites had no parallel. One American negotiator even compared the situation in China with that in India and some African countries. He said when he opened the door of a family in a poorest area randomly chosen by the Chinese government and asked the people if they had their breakfast, he was told they did, and he went on asking if lunch and supper were guaranteed, the answer was yes. However he had a very different story in some African countries and even in some areas in India. People there had little food for breakfast, not to mention lunch and supper. The two countries insisted on their own standards and it was hard to bridge the discrepancy. When an objective criterion is agreed upon, the other important thing to do is to______ a fair procedural standard, which means the procedure or ______ of carrying out the criteria. The procedure will be regarded as fair when one party cuts a cake and asks the other party to choose first. Other procedures which may be called fair can be doing in turns drawing lots looking for an arbitrator To sum up, in introducing an objective criterion: We look for______ objective criteria; We discuss ______ different standards may be appropriate; We look for______ procedural standard. In Fisher and Ury’s view, the three standards described below can be applied to for judging success or failure of a negotiation approach: If an agreement is possibly reached, it should satisfy the ______ interests of both parties to the ______ and resolve their conflicts, meanwhile protecting public interests; The agreement should be highly ______; The agreement will ______, or at least not hurt the relationship of the two parties. Summary to Collaborative Principled Negotiation: Collaborative Principled Negotiation provides us with a way to reach a ______agreement for tough negotiations. CPN has proved to be suitable to almost ______ situations: from international negotiations to ______ and private negotiations; from simple events to ______ situations and from ______ talks to urgent meetings. Every negotiation is different, but the basic elements do not ______. Collaborative Principled Negotiation is an all-purpose strategy. The success of CPN does not rely on playing tricks or negotiators’ resourcefulness but on ______, ______ and mutual understanding. COMMUNICATION SKILLS交际练习 1. Make proposals about the following. 1) A five per cent cut in the training budget. 2) A two per cent rise in productivity. 3) A meal with your colleagues after work. 4) A company excursion to the national forest park. 5) A reduce production costs. 6) To shorten the working hours by two and a half hours per week. 2. Use the conditional constructions (if…or unless…) to exert pressure in the following situations. 1) (company to IT providers) cancel the contract/reduce our fees. 2) (factory to supplier) choose another supplier/ pay on time. 3) (negotiator to negotiator) end the negotiation/ a concession. 4) (boss to employee) lose your job/ work harder. 5) (employee to boss) leave the company/better working condition. 6) ( job candidate to boss) accept a new job/higher pay. 7) (supplier to company) order 10,000 pieces of this product /get a quantity discount. 3. Put the following situational dialogue into English. 你好，何先生。很高兴再次见到你。 我也很高兴再次见到你，Smith 先生。 我想你已收到了我方寄给你们的关于毛纺厂的项目建议书了吧。我觉得当面交谈总是更为方便一些。 是的。我希望我们这次能够达成协议。 我也希望如此。但是这需要我们双方的共同努力。 确实如此。我们开门见山，谈这一项目好吗？ 好的。我想你一定已看了我方的建议书。你能够告诉我你方对此的总的看法吗？ 非常感谢你把建议书寄给我们。但是我们认为在诸如价格、付款方式等一些问题上我们还需进一步详细地讨论。 这些问题当然可以进一步讨论。我们一个一个地谈，从价格谈起，好吗？ 我完全同意。 我想你一定同意我方的报价是相当有吸引力的。 恐怕在这一点上我不敢苟同。我们已收到了比你方低得多的报价。 要是你方把我方机器的质量考虑进去的话，你们会觉得我方的价格是公平合理的。 我同意你方机器的质量是好的，但是不能因为质量好一点价格就比其他供货商提供的价格高出这么多啊！ 你们一定注意到我方的设备是很先进的，是20世纪90年代中期研制出来的。我相信我方的价格是十分有吸引力的。 很难说。老实跟你说，在这一项目上竞争很激烈。我们在与你方谈的同时，还在和另外两家公司谈。 我相信我们会赢得这一项目的，因为要是把一切考虑在内的话，你方无疑会觉得我方的价格是很有竞争力的。 我认为你方坚持原先的报价是不很明智的。坦率地说，这比生意能否成功主要取决于你方的价格。要是你方坚持原先的报价，我们别无选择，只有到其他的厂家哪儿去购买。 那你方认为什么样的价格是可以接受的呢？ 为了做成交易，你方至少应降价20%。 降价20%？这超出了我所能谈的范围。恐怕我得先向公司汇报一下。 请你先向公司汇报一下。我们将等候你的答复。 (Two days later ) 前天我们谈完之后我马上和公司取得了联系。公司指示我转告你方，我们一直非常诚心地想和你方做生意，但是你我价格之间的差异实在太大了。 我们也是诚心想和你方做生意。而且我方的还价是相当有根据的，是和国际市场价相一致的。 为了做成这笔交易，我是否可以建议我们大家折中一下？ 你的意思是说你方将降价10%？ 是得。这实在是我方的最低价了。我们没法再进一步降价了。 但是我觉得价格还是有点高。要是我们大家再各让一步的话，我想我们就能拍板成交了。 你实在是很有办法说服人。好吧，我接受。 我很高兴我们就价格达成了协议。我们下一次将谈其他的条款。 是的。我希望一切进展顺利。 EFFECTIVE NEGOTIATING 成功谈判 4. Clarifying positions The people Andrew Carter is ready to support Karen, if she needs it. Karen Black is hoping to clarify some of the details of the Okus offer. Francoise Quantin is worried about the fees for project management. Sean Morrissey is concerned about the level of support they will get from Okus. The negotiation Karen is trying to clarify the options which Okus has proposed. Essentially there are two levels of support: Level A:　A complete package: All support work and projects specified at the start of the year are included in the monthly invoice. Levien consider this a very expensive option. Level B: A cheaper option: the monthly invoice will include all support work but no project work; any project work would be logged by the engineers and then charged at an hourly rate the following month. Levien do not like this option because they feel it is open to abuse----who will decide what is support work and what is project work? Script 1 Karen Black tries to clarify how the contract pricing is calculated A: =Andrew K: =Karen F: =Fran?oise S: =Sean K: No, what we’re saying is that costs a number of factors, the time of day, of course, is one of them. We and, if the figure for a month exceeds the fixed invoice fee, there’ll be an adjustment the following month. F: What is ? K: The rates are o page twenty-two of the proposal. It depends… S: What about the ? K: It depends on the time of day. S: Can you give me ? F: Where are the figures for project manager fees? K: Right. Andrew, have you got for that? The point we’d like to stress is that we have calculated a global price, and you only pay more if you go over we have offered. S: Yeah, but do we get a choice on this? K: That was what I was saying. We have offered two levels of support. The basic level buys you… F: Sorry, Karen, before you go on, I see Andrew for project management. A: Our project manager rate is hourly, but if you look at , the_____ can . S: What about my options? K: They’re on page thirty-four. Script 2 Karen Black gets a chance to clarify the figures in the Okus proposal A: =Andrew K: =Karen F: =Fran?oise S: =Sean K: If you look at page twenty-two: what we do is keep a log of all call-outs and, if the figure for a month is , we make an adjustment the following month. F:So, we can’t be certain about how much will be. K: It depends which level of support you opt for. F: Can you explain that? K: Certainly. As you can see, there are two levels. Level A is . You pay a , you specify what IT projects you want doing, and you don’t pay anything extra. F: So our contract would specify for the next five years. K: No, it’s . We’d . S: Okay. What’s the difference between project and regular support work? K: Can I come back to that in a moment, Sean? I’d just like to get the two options out of the way. With Level A, you only pay a monthly bill. With Level B, there are no in the charge, so there would be additions to . F: So what we have to decide is how we want to pay: an even cost each month, or project by project. K: Which is Level B. Exactly. S: , Karen. When is it a project and when is it just regular support work? A: As Karen was saying, we’d specify the projects in Level A. With Level B, the IT manager will need to get approval . S: Okay. Can we go over the ? A: Yes. If you look at section three of the proposal, .