国际商务谈判(英文)Chapter 4 Preparing for Negotiation

CATALOGUEThe General Overview on International Business NegotiationThe General Procedures of International Business NegotiationFive Links of International Business NegotiationCross-Cultural Problems in International Business NegotiationBasic Qualities for NegotiatorsSome Styles in International Business NegotiationTactical Expressions in Business NegotiationPreparation for ExportingPreparation for NegotiationBusiness Negotiation IBusiness Negotiation IIBusiness Negotiation IIIBusiness Negotiation IVAfter the NegotiationChapter Onee GTheneral Overview on International Business NegotiationAn Overall Framework of International Business NegotiationFeatures of International Business NegotiationBasic Rules of International Business NegotiationStock PhrasesSome Tips for Trade Delegation1.What is Negotiation?The word “negotiation” derives from the Latin Infinitive “negotiari”（做贸易或生意）which means “to trade or do business”. This word itself is from another word, “negare”（拒绝）, meaning “ to deny” and a noun, otium(休闲), meaning “leisure”. Thus , the ancient Romanbusinessperson would “deny leisure” until the business has been settled. Negotiation is a common human activity as well as a process that people undertake everyday to manage their relationships such a buyer and a seller, a husband and wife, children and parents. As the stakes in some of these negotiations are not very high, people need not have to get preparations for the process and the outcome. But in international business negotiations, the stakes are usually high, people cannot ignore this fact, they have to get preplans in a more careful way. Both parties in this kind of negotiation should contact each other so that they can get a better deal rather than simply accepting or rejecting what the other is offering. The whole process of negotiation is based upon the premise that both parties are interdependent, that is, one side cannot get what he/she wants without taking the other into consideration. In the process of negotiation, there are no rules, tradition, rational methods or higher authorities available to resolve their conflict once it crops up. Negotiation is a voluntary process of giving and taking where both parties amend their offers and modify their expectations so as to come closer to each other and they can quit, at any time.2. Why do People Negotiate?Negotiation is at the heart of every transaction and, for the most part, it comes down to the interaction between two sides with a common goal (profits) but divergent methods. These methods (the details of the contract) must be negotiated to the satisfaction of both parties. As we will see later that it can be a very trying process that is full of confrontation and concession. Whether it is trade or investment, one party will always arrive at the negotiation table in a position of greater power. That power ( the potential for the profits ) may derive from the extent of the demand or from the ability to supply. The purpose of negotiation is to redistribute that potential. There is no such thing as “to take it or leave it” in international business. In fact, everything is negotiable. It all depends on the expertise of the negotiators.3. An Overall Framework of IBNInternational business negotiation (IBN) is a consultative process between governments, trade organizations, multinational enterprises, private business firms and buyers and sellers in relation to investment and import and export of products, machinery and equipments and technology. Negotiation is one of the important steps taken towards completing import and export trade agreements.To reach the desired results, the negotiators must seriously carry out the relative trade policies of their own countries. They should have good manners and speak fluent English. They should have a profound knowledge of professional technology and international markets. They should know the specifications, packing, features and advantages of the products and be able to use idiomatic and professional terms. In general, an overall framework of international business negotiation cover the following aspects: background factors, the atmosphere and the process.3.1 Background factors refer to objectives, environment, markets position, third parties and negotiators. They influence the process of negotiation and the atmosphere in a positive or negative way. Objectives mean what each side desires to achieve in the end. They are common, conflicting or complementary interests in both sides’ w anting a successful transaction to take place; their interests conflict as profit to one is cost to the other; and complementary interest brings themtogether. Common and complementary objectives leave direct and positive effects while conflicting objectives have negative ones on the negotiation process. Environment here is defined as the political, social and structural factors related to both parties. It often hinders the process in international negotiation. Political and social aspects can affect the process whereas market structure does the atmosphere. The market position of the parties involved plays a leading role in the negotiation process. The third parties such as governments, brokers, consultants and so on may influence the process with their own objectives. Negotiators affect the negotiating process by means of their own experience and negotiating skills.3.2 The atmosphere is of great importance to the whole process of the international business negotiation. The atmosphere and the process influence each other at each stage. Atmosphere refers to the perceived “milieu”(氛围) around the interaction, how each party regards the other’s behavior, and the properties of the process. It has to do with people’s perception of reality. To be more exact, in negotiation it is the perception of reality that is far more important than the reality itself. Some characteristics of the atmosphere are dominant at one stage; others at other stage. For example, cooperation is dominant at the pre-negotiation rather than conflict, as both sides look for mutual solutions. Different characteristics of atmosphere dominate from process to process. These characteristics are classified as conflict vs cooperation, power vs dependence and expectations. The existence of conflict and cooperation is a fundamental characteristic of the negotiation process. On one hand, both sides have some common interests in finding a solution to the problem that fits them both. On the other hand, a conflict of interest may arise, as cost to one can mean income to the other. The relation between power and dependence is closely related to the actual power relation, which is affected by the value of the relationship to the sides and their available alternatives. As for expectations, there are two types: long-term expectations with respect to the possibilities and values of future business; short-term expectations regarding prospects for the present deal. Expectations develop and change in different stages of the process.3.3 The process of international business negotiation is made up of the three different stages. A stage is defined as a specific part of the process and covers all actions and communications by either side pertaining (relevant) to negotiations made during that part. Either side communicates with the other to exchange information within each stage. A specific stage comes to an end with where both sides decide to proceed on to the next stage or decide to abandon the communication if they see no point in further negotiations. The three different stages are: pre-negotiation, face-to face-negotiation and post-negotiation.3.3.1 The pre-negotiation stage starts from the first contact between the two sides whose interest in doing business with each other is shown. From this stage on, both sides begin to understand one another’s needs and evaluate the benefits of entering into the process of negotiation. This stage is more usually important than the formal negotiations in the international business relationship. Social and informal relationships between negotiators, trust and confidence in each other are of great help. Both sides now also start to form their strategy for face-to-face negotiation as well as try to foresee and take precautions against possible events.3.3.2 At Face-to-face stage, both sides know that they can work together for a solution to a joint problem in spite of that the fact that each side may view the situation in its own way. This indicates the importance of having face-to-face negotiation in an open-minded way and getting ready several alternatives. It is time for both sides to explore the differences in preferences and expectations so that they can come closer to each other. Generally, the negotiation process is controlled by the side that has arranged the agenda, for in the process, he can stress his own strengths and the opponent’s weaknesses, thus putting the other side on the defensive. However, the agenda may reveal the preparing side’s position in advance and hence permit the other side to prepare its countermeasures. Some people prefer to start negotiations by discussing and agreeing on broad principles. Another way to ensure success at this stage is an initial discussion on items of common interest, which can help create an atmosphere of cooperation between both sides. As for the choice of strategy, it depends on3.3.3 All the terms and conditions at this(Post-Negotiation ) stage have been agreed upon with the contract being drawn up to be signed. What is worth noticing is that writing the contact and the wording in it is a negotiation process in itself, for meaning and values may be different between both sides. This stage may lead to a renewed face-to-face negotiation if there is negative feedback from background factors and atmosphere. Therefore, the terms and conditions agreed upon should be read to each other after concessions are exchanged and discussions be held by means of minutes of meetings, or something unpleasant and unexpected may arise later on in the course of the implementation of the contract unless both sides make sure that they have paid enough attention to every detail. It is necessary that both sides should make sure that they understand everything they have agreed on before they leave the negotiation table.4. Three Targets of International Business NegotiationFor a successful agreement, participants need to know negotiation principles and tactics. There are two principles in international business negotiations. First, at the beginning of the negotiation, the negotiators should know well their desired results and not be willfully manipulated by their counterparts. Only with a definite purpose will the negotiators grasp the key to the negotiation and realize their expected purpose. Second, negotiators need to put forward what they expect, take a firm stand and make clear their position.In international business negotiations, price is usually the key point because it directly concerns the economic benefits to both sides. Both sides seek a desired result.To get the expected result or achieve a certain purpose, the negotiators, should calculate carefully and decide three different targets: 1) the best target; 2) the intermediate target; 3) the acceptable target4.1 The best target is to achieve all desired results. You should know well whether your first quotation is high or low if it is generally accepted by your counterpart. Usually both sides have a few bargains before acceptance. In the beginning, make a high offer and negotiate for the best target. Generally speaking, persons who firmly maintain the desired objectives to the end can obtain the best deal.4.2 The intermediate target is fair for both sides, although slightly lower than the best target. Don’t begin negotiating at too low of a price. Your quotation is to be a little lower each time. Do it step by step. Each time you reduce the price, you should remain serious about the desired results. Under this situation, your counterpart may well accept your quotation as the best possible price. It is likely that you may reach an agreement at this price. Please keep in mind that taking a serious and firm attitude is the key to avoiding further price reductions and unnecessary expenses. This will result in increased profits. If you meet with negotiators who always bargain using harsh language, do not be angry. This indicates that they want to buy your products. You should be patient and friendly, using soft words and moderate speaking speed and tone, knowing well what not to say, what to say and when to say. When you feel in danger of going into a deadlocked negotiation, it is suggested to request a break or rest. Then readjust your plan and continue the negotiation.4.3 The acceptable target is the minimum level both sides can bear. It should not be exposed to your counterpart at the beginning of the negotiation. Your counterpart may not believe it and although the price is the lowest, he may reject your quotation. On the other hand, even if the agreement is reached at the minimum acceptable price, your counterpart may not have a satisfactory sense of having brought your price down…In brief, the purpose of the negotiation is to arrive at an agreement to both sides’ advantage. The successful results of the negotiations depend on the determined objectives, perseverance and the language expressed by the negotiators. They should do their best to use soft words, speak euphemistically, use less flowery language, have a sense of humor and create a harmonious atmosphere.5. Basic Rules of International Business NegotiationInterdependenceConcealment and OpennessDifferent Negotiating SituationsBargaining Mix and CreativityProposal ExchangeWinner or Loser5.1 Interdependence“One palm cannot clap”. This is true of everyday life, and is also no exception to conducting a business negotiation, in which both sides are locked together on account of their goals. A seller cannot exist unless he has a buyer，which determines this relationship between them.5.2 Concealment and opennessIn many business negotiations, both parties may conceal their real intentions and goals to better their chances of best deal possible. As this is an open secret, smooth communication and good mutual understanding will to some degree become difficult, which does easily lead to misunderstanding. To achieve more satisfactory results, both parties will have to decide how openand honest they should be about personal preferences and needs, and to what extent they should trust the other side.5.3 Different Negotiating SituationsBoth parties must change as required of them by situations. If either of them fails to find out which type of negotiation is necessary in a particular situation, the odds (chances) are he will fail.5.4 Bargaining Mix and CreativityHow to make both “sides” meet in negot iations without causing much loss to either, which may bring both out of the win-lose mix and help accomplish their objective, requires creativity. And the discovery of this is based on the environment where negotiators feel cooperative and dedicated to se eking the best solution possible instead of meeting but one side’s needs.5.5 Proposal ExchangeThe heart of negotiation is the exchange of offers and proposals. There is an unstated assumption in negotiation that both sides will show their exchange of offers to the process of finding a solution by making concessions to the other side’s offer. And through the process of offer and counter-offer a point is reached on which both sides will agree. To be successful, a negotiator needs to be able to understand the events that are taking place during the exchange of offers, to know how to use them to advantage, to keep the other side from using them to the negotiator’s disadvantage.5.6 Winner or LoserIn the process of business negotiation, if both parties try to reach an agreement that maximizes their outcome, it may lead either party to be concerned about only with his ends and ignore the needs of other side. Such a situation will most probably create problems.Generally speaking, in a common negotiation the parties involved are either winner or loser, but in a formal international negotiation such a phenomenon will not probably occur just because of the engagement of experts.Chapter TwoThe General Procedures of International Business NegotiationPreparing StageAgreement Concluding and Executing StageContacting and Materially Negotiable Stage1. Preparing StageSince there are typical time constraints of international negotiations, good preparations must be made before negotiation begins. Good negotiation preparations mainly cover two aspects: 1) gathering information and planning strategies and tactics; 2) manipulation of the negotiation situation. The best negotiators on both sides manage such details with great care. To get the most out of business negotiations it is important to have every causal factor working in your favor. The following checklist is the general works prepared for negotiation:l Assessment of the situation and the peoplel Agendal Concession strategiesl Facts to confirm during the negotiationl Manipulation of the negotiation situation1.1 Assessment of the Situation and the PeopleIt is common to learn as much as possible about a potential client or partner before negotiations begin. All kinds of information might be pertinent depending on the nature of the contemplated deal.Given the crucial nature of business negotiations, knowledge of a particular executive’s background, hobbies, and family status can be a great advantage. It should be clearly understood that knowing who you will be bargaining with is far more important than most people would assume.The last step is estimate the probable goal and preferences of your counterpart by using the analysis of the their various data. For example, the Japanese tend to focus on business relations, and long-term, gradual growth are Japanese modes of business reasoning. The Japanese side will most likely be looking for stable growth over at least a ten-year period. Meanwhile, American companies and executives, looking at the same information, would be focusing on length of payback and profit in the first three years.1.2 AgendaIn general, most business negotiators come to the negotiation table with an agenda for the meeting in mind. It is important to do two things with that agenda. First, write out the agenda for all members of your negotiating team. Second, don’t try to settle each issue at a time. In any bargaining situation, it is better to get all the issues and interests out on the table before trying to settle any one of them. This will be particularly true when the other side brings a carefully considered agenda. A safe strategy for you is to check beforehand with your counterpart about the agenda. However, tactics on agenda should be used with caution as it will result in great discomfort for your counterpart.1.3 Concession StrategiesConcession strategies should be decided upon and written down before negotiations begin. Such a process—discussion and recording—goes a long way toward ensuring that negotiators stick to the strategies. In the midst of a long negotiation there is a tendency to make concessions. When making concessions, you need to have specific reasons for the size of each concession you make. When bargaining with Japanese, you will notice very quickly that they never make a concession without first taking a break. Issues and agreements are reconsidered away from the social pressure of the negotiation table. This is good practice for you to learn.1.4 Facts to confirm during the negotiationNo matter how careful the analysis and how complete the information available, all critical information and assumption should be reconfirmed at the negotiation table. As part of the preparations a list of such facts should be discussed among the members of the negotiation team,and specific questions should be written down.1.5 Manipulation of the Negotiation SituationAnother aspect of negotiation preliminaries is manipulation of the negotiation situation to your company’s advantage. Particularly in a tough negotiation, everything should be working in your favor. If situational factors are working against you, it will be important to manipulate them before the negotiation begins. Also, management of situational factors may be important once the discussions have commenced. There are several situational factors that we consider particularly important: location, number of participants, communication channels, time limit1.5.1 LocationThe location of the negotiation is perhaps the most important situational factor for several reasons, both practical and psychological. Having the “home court” is an advantage because the home team has all its information resources readily available。

商务谈判—chapter4商务谈判--Chapter 42007-11-18 21:59:25| 分类：商务谈判| 标签：|字号⼤中⼩订阅Initiating Negotiations启动谈判getting the lay of the land熟悉地形Sellers and buyers have the same motive—profit—but opposing means of achieving it .The same can be said of companies looking for capital and those looking to invest. Each side needs the other, although the degree of need varies from project to project. Traditionally, buyers and investors set the rules and wait to be courted by commercial suitors. Sometimes, however, the seller calls the shots, as is often the case in the petroleum industry. At other times, an emerging market government seeking technology will play one foreign investor off of another, as has often happened in auto industry licensing.买⽅和卖⽅有同样的动机—利润—但是获得利润的⽅式则相反。

对于寻求资⾦的公司和需求投资的那些公司来讲，也同样。

每⼀⽅都需要另⼀⽅，尽管需求的程度因项⽬不同⽽各不相同。

Chapter 4Negotiation: Strategy and PlanningOverviewIn this chapter, we discuss what negotiators should do before opening negotiations. Effective strategy and planning are the most critical precursors for achieving negotiation objectives. With effective planning and target setting, most negotiators can achieve their objectives; without them, results occur more by chance than by negotiator effort.Regrettably, systematic planning is not something that most negotiators do willingly. Although time constraints and work pressures make it difficult to find the time to plan adequately, for many planning is simply boring and tedious, easily put off in favor of getting into the action quickly. It is clear, however, that devoting insufficient time to planning is one weakness that may cause negotiators to fail.The discussion of strategy and planning begins by exploring the broad process of strategy development, starting with defining the negotiator’s goals and objectives then moves to developing a strategy to address the issues and achieve one’s goals. Finally, we address the typical stages and phases of an evolving negotiation and how different issues and goals will affect the planning process.Learning Objectives1.Goals – The focus that drives a negotiation strategy.2.Strategy –The overall plan to achieve one’s goals.3.Getting ready to implement the strategy: The planning process.I.Goals – The Focus That Drives a Negotiation StrategyA.Direct effects of goals on choice of strategy1.There are four important aspects to understand about how goals affect negotiations:a.Wishes are not goals, especially in negotiation.b.Goals are often linked to the other party’s goals.c.There are boundaries or limits to what goals can be.d.Effective goals must be concrete, specific and measurable. If they are not, then itwill be hard to:(1)Communicate to the other party what we want(2)Understand what the other party wants(3)Determine whether an offer on the table satisfies our goals.2.Goals can be tangible or procedural.3.The criteria used to determine goals depend on your specific objectives and yourpriorities among multiple objectives.B.Indirect effects of goals on choice of strategy1.Short-term thinking affects our choice of strategy; in developing and framing ourgoals, we may ignore the present or future relationship with the other party in aconcern for achieving a substantive outcome only.2.Negotiation goals that are complex or difficult to define may require a substantialchange in the other party’s attitude. In most cases, progress will be madeincrementally, and may depend on establishing a relationship with the other party.II.Strategy –The Overall Plan to Achieve One’s GoalsA.Strategy versus Tactics1. A major difference between strategy and tactics is that of scale, perspective orimmediacy.2.Tactics are short-term, adaptive moves designed to enact or pursue broad strategies,which in turn provide stability, continuity, and direction for tactical behaviors.3.Tactics are subordinate to strategy: they are structured, directed, and driven bystrategic considerations.B.Unilateral versus bilateral approaches to strategy1. A unilateral choice is made without the active involvement of the other party.2.Unilaterally pursued strategies can be wholly one-sided and intentionally ignorant ofany information about the other negotiator.3.Unilateral strategies should evolve into ones that fully consider the impact of theother’s strategy on one’s own.C.The dual concerns model as a vehicle for describing negotiation strategies. This modelproposes that individuals have two levels of related concerns: a concern for their ownoutcomes, and a level of concern for the other’s outcomes.1.Alternative situational strategiesa.There are at least four different types of strategies when assessing the relativeimportan ce and priority of the negotiator’s substantive outcome versus therelational outcome: competitive, collaboration, accommodation, and avoidance2.The nonengagement strategy: Avoidancea.There are many reasons why negotiators may choose not to negotiate:(1)If one is able to meet one’s needs without negotiating at all, it may make senseto use an avoidance strategy(2)It simply may not be worth the time and effort to negotiate (although there aresometimes reasons to negotiate in such situations(3)The decision to negotiate is closely related to the desirability of availablealternatives –the outcomes that can be achieved if negotiations don’t work out3.Active-engagement strategies: Competition, collaboration, and accommodationpetition is distributive win-lose bargaining.b.Collaboration is integrative or win-win negotiation.c.Accommodation is as much a win-lose strategy as competition, although it has adecidedly different image it involves an imbalance of outcomes, but in theopposite direction. (“I lose, you win” as opposed to “I win, you lose.”)d.There are drawbacks to these strategies if applied blindly, thoughtlessly orinflexibly:(1)Distributive strategies tend to create “we-they” or “superiority-inferiority”patterns, which may result in a distortion of the other si de’s contributions, aswell as their values, needs and positions.(2)If a negotiator pursues an integrative strategy without regard to the other’sstrategy,then the other may manipulate and exploit the collaborator and takeadvantage of the good faith and goodwill being demonstrated.(3)Accommodative strategies may generate a pattern of constantly giving in tokeep the other happy or to avoid a fight.III.Understanding the Flow of Negotiations: Stages and PhasesA. Phase models of negotiation:1. Initiation2. Problem solving3. ResolutionB. Greenhalgh (2001) suggests that there are seven key steps to an ideal negotiation process:1. Preparation: deciding what is important, defining goals, thinking ahead how to worktogether with the other party.2. Relationship building: getting to know the other party, understanding how you andthe other are similar and different, and building commitment toward achieving amutually beneficial set of outcomes.3. Information gathering: learning what you need to know about the issues, about theother party and their needs, about the feasibility of possible settlements, and aboutwhat might happen if you fail to reach agreement with the other side.4. Information using: at this stage, negotiators assemble the case they want to make fortheir preferred outcomes and settlement, one that will maximize the negotiator’s ownneeds.5. Bidding: the process of making moves from one’s initial, ideal position to the actualoutcome.6. Closing the deal: the objective here is to build commitment to the agreement achievedin the previous phase.7. Implementing the agreement: determining who needs to do what once hands areshaken and the documents signed.IV. Getting Ready to Implement the Strategy: The Planning ProcessA.Defining the issuesually begins with an analysis of what is to be discussed in the negotiation.2.The number of issues in a negotiation, along with the relationship between thenegotiator and the other party, are often the primary determinant of whether one usesa distributive or integrative strategy.3.In any negotiation, a complete list of the issues at stake is best derived from thefollowing sources:a.An analysis of all the possible issues that need to be decided.b.Previous experience in similar negotiations.c.Research conducted to gather information.d.Consultation with experts in that industry.B.Assembling the issues and defining the bargaining mix1.The combination of lists from each side in a negotiation determines the bargainingmix.2.There are two steps a negotiator can use to prioritize the issues on an agenda:a.Determine which issues are most important and which are less important.b.Determine whether the issues are linked together or are separate.C.Defining Interests1.Interests may be:a.Substantive, that is, directly related to the focal issues under negotiation.b.Process-based, that is, related to how the negotiators behave as they negotiate.c.Relationship-based, that is, tied to the current or desired future relationshipbetween the parties.2.Interests may also be based on intangibles of negotiation.D.Knowing limits and alternatives1.Good preparation requires that you establish two clear points:a.Resistance point – the place where you decide that you should absolutely stop thenegotiation rather than continue.b.Alternatives – other agreements negotiators could achieve and still meet theirneeds. Alternatives define whether the current outcome is better than anotherpossibility.E.Setting targets and openings1.Two key points should be defined in this step:a.The specific target point where one realistically expects to achieve a settlementb.The asking price, representing the best deal one can hope to achieve.2.Target setting requires positive thinking about one’s own objectives.3.Target setting often requires considering how to package several issues and objectives.4.Target setting requires an understanding of trade-offs and throwaways.F.Assessing constituents and the social context of a negotiation1.When people negotiate in a professional context, there may be more than two parties.a.There may be more than two negotiators at the table. Multiple parties often leadto the formation of coalitions.b.Negotiators also have constituents who will evaluate and critique them.c.Negotiation occurs in a context of rules – a social system of laws, customs,common business practices, cultural norms, and political cross-pressures.2.“Field analysis” can be used to assess all the key parties in a negotiation.a.Who is, or should be, on the team on my side of the field?b.Who is on the other side of the field?c.Who is on the sidelines and can affect the play of the game? Who are thenegotiation equivalents of owners, managers and strategists?d.Who is in the stands? Who is watching the game, is interested in it, but can onlyindirectly affect what happens?e.What is going on in the broader environment in which the negotiation takesplace?f.What is common and acceptable practice in the ethical system in which the deal isbeing done?g.What is common and acceptable practice given the culture in which thenegotiation is conducted?G.Analyzing the other party1.Learning the other’s issues, preferences, priorities, interests, alternatives andconstraints is almost as important as determining one’s own.2.Several key pieces of background information will be of great importance, including:a.The other party’s resources, issues, and bargaining mix – investigate:(1)Other party’s business history or previous negotiations.(2)Financial data.(3)Inventories.(4)Visit or speak with the other party’s friends and peers.(5)Question past business partners.b.The oth er party’s interests and needs.(1)Conduct a preliminary interview including a broad discussion of what theother party would like to achieve in the upcoming negotiations.(2)Anticipating the other party’s interests.(3)Asking others who know or have negotiated with the other party.(4)Reading how the other party portrays him/herself in the media.c.The other party’s limits (resistance point) and alternative(s).(1)Understanding the other party’s limits and alternatives is important because itwill provide information as to how far you can “push” them.d.The other party’s targets and openings.(1)Systematically gather information directly from the other party.e.Constituents, social structure, and authority to make an agreement.(1)The most direct impact of the broader social context is on the othernegotiator’s ability to make binding agreements.(2)T he negotiator needs to know how the other party’s organization makesdecisions to support or ratify an agreement.f.Reputation and negotiation style.(1)A negotiator’s typical style (integrativ e or distributive approach) is animportant determinant of how to approach the other party in the negotiation.(2)One’s impression of the other party’s reputation may be based on severalfactors:(i)How the other party’s predecessors have negotiated with you in the past.(ii)How the other party has negotiated with you in the past, either in the same or in different contexts.(iii)How the other party has negotiated with others in the past.g.Likely strategy and tactics.(1)Information collected about issues, objectives, reputation, style, alternatives,and authority may indicate a great deal about what strategy the other partyintends to pursue.H.Presenting issues to the other party1.What facts support my point of view?2.Whom may I consult or talk with to help me elaborate or clarify the facts?3.Have these issues been negotiated before by others under similar circumstances?4.What is the other party’s point of view likely to be?5.How can I develop and present the facts so they are most convincing?I.What protocol needs to be followed in this negotiation?1.The agenda2.The location of negotiation3.The time period of negotiation4.Other parties who might be involved in the negotiation5.What might be done if negotiation fails?6.How will we keep track of what is agreed to?7.How do we know whether we have a good agreement?SummaryPlanning is a critically important activity in negotiation. As we noted at the outset, however, negotiators frequently fail to plan for a variety of reasons. Effective planning allows negotiators to design a road map that will guide them to agreement. While this map may frequently need to be modified and updated as discussions with the other side proceed, and as the world around the negotiation changes, working from the map is far more effective than attempting to work without it.We began this chapter with a basic understanding of the concepts of strategy, and we presented a model of negotiation strategy choice, returning to the familiar framework of the dual concerns model. Having described the model, we then discussed the importance of setting clear goals, based on the key issues at stake.When negotiators are able to consider and evaluate each of ten factors of protocol, they will know what they want and will have a clear sense of direction on how to proceed. This sense of direction, and the confidence derived from it, is a very important factor in affecting negotiating outcomes.。

国际商务谈判教案Chapter4（预习复习）Chapter 04 - Negotiation: Strategy and PlanningChapter 4Negotiation: Strategy and PlanningOverviewIn this chapter, we discuss what negotiators should do before opening negotiations. Effective strategy and planning are the most critical precursors for achieving negotiation objectives. With effective planning and target setting, most negotiators can achieve their objectives; without them, results occur more by chance than by negotiator effort. Regrettably, systematic planning is not something that most negotiatorsdo willingly. Although time constraints and work pressures make it difficult to find the time to plan adequately, for many planning is simply boring and tedious, easily put off in favor of getting into the action quickly. It is clear, however, that devoting insufficient time to planningis one weakness that may cause negotiators to fail.The discussion of strategy and planning begins by exploring the broad process of strategy development, starting with defining the negotiator’s goals and objectives then moves to developing a strategy to address the issues and achieve one’s goals. Finally, we address the typical stages and phases of an evolving negotiation and how different issues and goals will affect the planning process.Learning Objectives1. Goals – The focus that drives a negotiation strategy.2. Strategy– The overall plan to achieve one’s goals.3. Getting ready to implement the strategy: The planning process.I. Goals – The Focus That Drives a Negotiation StrategyA. Direct effects of goals on choice of strategy1. There are four important aspects to understand about how goals affect negotiations: a. Wishes are not goals, especially in negotiation. b. Goals are often linked to the other party’s goals. c. There are boundaries or limits to what goals can be.d. Effective goals must be concrete, specific and measurable. If they are not, then itwill be hard to:(1) Communicate to the other party what we want (2) Understand what the other party wants(3) Determine whether an offer on the table satisfies our goals.2. Goals can be tangible or procedural.4-1Chapter 04 - Negotiation: Strategy and Planning3. The criteria used to determine goals depend on your specific objectives and your priorities among multiple objectives.B. Indirect effects of goals on choice of strategy1. Short-term thinking affects our choice of strategy; in developing and framing our goals, we may ignore the present or future relationship with the other party in a concern for achieving a substantive outcome only.2. Negotiation goals that are complex or difficult to define may requirea substantial change in the other party’s attitude. In most cases, progress will be madeincrementally, and may depend on establishing a relationship with the other party.II. Strategy – The Overall Plan to Achieve One’s GoalsA. Strategy versus Tactics1. A major difference between strategy and tactics is that of scale, perspective or immediacy.2. Tactics are short-term, adaptive moves designed to enact or pursue broad strategies, which in turn provide stability, continuity, and direction for tactical behaviors.3. Tactics are subordinate to strategy: they are structured, directed, and driven by strategic considerations.B. Unilateral versus bilateral approaches to strategy1. A unilateral choice is made without the active involvement of the other party.2. Unilaterally pursued strategies can be wholly one-sided and intentionally ignorant of any information about the other negotiator.3. Unilateral strategies should evolve into ones that fully consider the impact of the other’s strategy on one’s own.C. The dual concerns model as a vehicle for describing negotiation strategies. This model proposes that individuals have two levels of related concerns: a concern for their own outcomes, and a level of concern for the other’s outcomes.1. Alternative situational strategiesa. There are at least four different types of strategies when assessing the relativeimportance and priority of the negotiator’s substantive outcome versus the relational outcome: competitive, collaboration, accommodation, and avoidance2. The nonengagement strategy: Avoidancea. There are many reasons why negotiators may choose not to negotiate:(1) If one is able to meet one’s needs without negotiating at all, it may make sense to use an avoidance strategy(2) It simply may not be worth the time and effort to negotiate (although there are sometimes reasons to negotiate in such situations4-2Chapter 04 - Negotiation: Strategy and Planning(3) The decision to negotiate is closely related to the desirability of availablealternatives – the outcomes that can be achieved if negotiations don’t work out3. Active-engagement strategies: Competition, collaboration, and accommodation a. Competition is distributive win-lose bargaining. b. Collaboration is integrative or win-win negotiation.c. Accommodation is as much a win-lose strategy as competition, although it has adecidedly different image it involves an imbalance of outcomes, but in the opposite direction. (“I lose, you win” as opposed to “I win, you lose.”) d. There are drawbacks to these strategies if applied blindly, thoughtlessly orinflexibly:(1) Distributive strategies tend to create “we-they” or “superiority-inferiority” patterns, which may result in a distortion of the other side’s contributions, as well as their values, needs and positions.(2) If a negotiator pursues an integrative strategy without regard to the other’s strategy, then the other may manipulate and exploit the collaborator and take advantage of the good faith and goodwill being demonstrated.(3) Accommodative strategies may generate a pattern of constantly giving in to keep the other happy or to avoid a fight.III. Understanding the Flow of Negotiations: Stages and PhasesA. Phase models of negotiation:1. Initiation2. Problem solving3. ResolutionB. Greenhalgh (2001) suggests that there are seven key steps to an ideal negotiation process:1. Preparation: deciding what is important, defining goals, thinking ahead how to work together with the other party.2. Relationship building: getting to know the other party, understanding how you and the other are similar and different, and building commitment toward achieving a mutually beneficial set of outcomes.3. Information gathering: learning what you need to know about the issues, about the other party and their needs, about the feasibility of possible settlements, and about what might happen if you fail to reach agreement with the other side.4. Information using: at this stage, negotiators assemble the case they want to make for their preferred outcomes and settlement, one that will maximize the negotiator’s own needs.5. Bidding: the process of making moves from one’s initial, ideal position to the actual outcome.6. Closing the deal: the objective here is to build commitment to the agreement achieved in the previous phase.7. Implementing the agreement: determining who needs to do what once hands are shaken and the documents signed.4-3Chapter 04 - Negotiation: Strategy and PlanningIV. Getting Ready to Implement the Strategy: The Planning Process A. Defining the issues1. Usually begins with an analysis of what is to be discussed in the negotiation.2. The number of issues in a negotiation, along with the relationship between thenegotiator and the other party, are often the primary determinant of whether one uses a distributive or integrative strategy.3. In any negotiation, a complete list of the issues at stake is best derived from the following sources:a. An analysis of all the possible issues that need to be decided.b. Previous experience in similar negotiations.c. Research conducted to gather information.d. Consultation with experts in that industry.B. Assembling the issues and defining the bargaining mix1. The combination of lists from each side in a negotiation determines the bargaining mix.2. There are two steps a negotiator can use to prioritize the issues on an agenda: a. Determine which issues are most important and which are less important. b. Determine whether the issues are linked together or are separate.C. Defining Interests1. Interests may be:a. Substantive, that is, directly related to the focal issues under negotiation.b. Process-based, that is, related to how the negotiators behave as they negotiate.c. Relationship-based, that is, tied to the current or desired future relationshipbetween the parties.2. Interests may also be based on intangibles of negotiation.D. Knowing limits and alternatives1. Good preparation requires that you establish two clear points:a. Resistance point – the place where you decide that you should absolutely stop thenegotiation rather than continue.b. Alternatives – other agreements negotiators could achieve and still meet theirneeds. Alternatives define whether the current outcome is better than another possibility.E. Setting targets and openings1. Two key points should be defined in this step:a. The specific target point where one realistically expects to achieve a settlement4-4Chapter 04 - Negotiation: Strategy and Planningb. The asking price, representing the best deal one can hope to achieve.2. Target setting requires positive thinking about one’s own objectives.3. Target setting often requires considering how to package several issues and objectives.4. Target setting requires an understanding of trade-offs and throwaways.F. Assessing constituents and the social context of a negotiation1. When people negotiate in a professional context, there may be more than two parties. a. There may be more than two negotiators at the table. Multiple parties often leadto the formation of coalitions.b. Negotiators also have constituents who will evaluate and critique them.c. Negotiation occurs in a context of rules – a social system of laws, customs,common business practices, cultural norms, and politicalcross-pressures.2. “Field analysis” can be used to assess all the key parties in a negotiation. a. Who is, or should be, on the team on my side of the field?b. Who is on the other side of the field?c. Who is on the sidelines and can affect the play of the game? Who are thenegotiation equivalents of owners, managers and strategists?d. Who is in the stands? Who is watching the game, is interested in it, but can onlyindirectly affect what happens?e. What is going on in the broader environment in which the negotiation takesplace?f. What is common and acceptable practice in the ethical system in which the deal isbeing done?g. What is common and acceptable practice given the culture in which thenegotiation is conducted?G. Analyzing the other party1. Learning the other’s issues, preferences, priorities, interests, alternatives and constraints is almost as important as determining one’s own.2. Several key pieces of background information will be of great importance, including: a. The other party’s resources, issues, and bargaining mix – investigate:(1) Other party’s business history or previous negotiations. (2) Financial data. (3) Inventories.(4) Visit or speak with the other party’s friends and peers. (5) Question past business partners. b. The other party’s interests and needs.(1) Conduct a preliminary interview including a broad discussion of what the other party would like to achieve in the upcoming negotiations. (2) Anticipating the other party’s interests.(3) Asking others who know or have negotiated with the other party. (4) Reading how the other party portrays him/herself in the media.4-5。