Analytical Table of Contents Preface to the Third Edition xi Preface to the Second Edition xvii Acknowledgments Xx) Introduction xxvii I. THE PROBLEM 1. Don’t Bargain Over Positions Arguing over positions produces unwise outcomes 4 Arguing over positions is inefficient 6 Arguing over positions endangers an ongoing relationship 7 When there are many parties, positional bargaining is even worse 8 Being nice is no answer 8 There is an alternative 10 Il. THE METHOD 2. Separate the People From the Problem Negotiators are people first 20 Every negotiator has two kinds of interests: in the substance and in the relationship 21 The relationship tends to become entangled with the problem 22 Positional bargaining puts relationship and Substance in conflict 22 Disentangle the relationship from the substance; deal directly with the people problem 23 Perception 24 Put yourself in their shoes 25 Don't deduce their intentions from your fears 26 Dont blame them for your problem 27 Discuss each others perceptions 27196 Analytical Table of Contents Look for opportunities to act inconsistently with their perceptions Give them a stake in the outcome by making sure they participate in the process Face-saving: Make your proposals consistent with their values Emotion First recognize and understand emotions, theirs and yours Pay attention to “core concerns” Consider the role of identity Make emotions explicit and acknowledge them as legitimate Allow the other side to let off steam Dont react to emotional outbursts Use symbolic gestures Communication Listen actively and acknowledge what is being said Speak to be understood Speak about yourself, not about them Speak for a purpose Prevention works best Build a working relationship Face the problem, not the people 3. Focus on Interests, Not Positions For a wise solution reconcile interests, not positions Interests define the problem Behind opposed positions lie shared and compatible interests, as well as conflicting ones How do you identify interests? Ask “Why?” Ask “Why not?” Think about their choice Realize that each side has multipte interests The most powerful interests are basic human needs Make a list Talking about interests Make your interests come alive Acknowledge their interests as part of the problem Put the problem before your answer Look forward, not back 28 The question “Why?” has two quite different meanings 54 Analytical Table of Contents Be concrete but flexible Be hard on the problem, soft on the people 4. Invent Options for Mutual Gain DIAGNOSIS Premature judgment Searching for the single answer The assumption of a fixed pie Thinking that “solving their problem is their problem” PRESCRIPTION: Separate inventing from deciding Before brainstorming 1. Define your purpose 2. Choose a few participants 3. Change the environment 4, Design an informal atmosphere 5. Choose a facilitator During brainstorming 1, Seat the participants side by side facing the problem 2. Clarify the ground rules, including the no-criticism rule 3. Brainstorm 4. Record the ideas in full view After brainstorming 1, Star the most promising ideas 2. Invent improvements for promising ideas 3. Set up a time to evaluate ideas and decide Consider brainstorming with the other side Broaden your options Multiply options by shuttling between the specific and the general: The Circle Chart Look through the eyes of different experts Invent agreements of different strengths Change the scope of a proposed agreement Look for mutual gain Identify shared interests Dovetail differing interests Any difference in interests? Different beliefs? Different values placed on time? Different forecasts?198 Analytical Table of Contents Differences in aversion to risk? 76 Ask for their preferences 77 Make their decision easy 78. Whose shoes? 78 What decision? 78 Making threats is not enough 80 5. Insist on Using Objective Criteria Deciding on the basis of will is costly 82 The case for using objective criteria 83 Principled negotiation produces wise agreements amicably and efficiently 84 Developing objective criteria 86 Fair standards 86 Fair procedures 87 Negotiating with objective criteria 88 Frame each issue as a joint search for objective criteria 89 Ask “Whats your theory?” 89 Agree first on principles 89 Reason and be open to reason 90 Never yield to pressure a1 “its company policy” 93 ill. YES, BUT... 6. What If They Are More Powerful? {DEVELOP YOUR BATNA— BEST ALTERNATIVE TO A NEGOTIATED AGREEMENT) Protecting yourself 99 The costs of using a bottom line 100 Know your BATNA 101 The insecurity of an unknown BATNA 102 Formulate a trip wire 103 Making the most of your assets 104 The better your BATNA, the greater your power 104 Develop your BATNA 105 Consider the other sides BATNA 107 When the other side is powerful 107 7. What If They Won't Play? (USE NEGOTIATION JUJITSU) Negotiation jujitsu 110 Dont attack their position, look behind it ut Analytical Table of Contents Dont defend your ideas, invite criticism and advice Recast an attack on you as an attack on the problem Ask questions and pause Consider the one-text procedure Getting them to play: The case of Jones Realty and Frank Turnbuil The case in brief “Please correct me if I'm wrong” “We appreciate what you've done for us” “Our concern is fairness” “We would like to settle this on the basis of independent standards, not of who can do what to whom” “Trust is a separate issue” “Could | ask you a few questions to see whether my facts are right?” “Whats the principle behind your action?” “Let me see if | understand what you're saying” “Let me get back to you" “Let me show you where | have trouble following some of your reasoning” “One fair solution might be...” “If we agree... . If we disagree..." “We'd be happy to see if we can leave when its most convenient for you” “It been a pleasure dealing with you” 8. What If They Use Dirty Tricks? (TAMING THE HARD BARGAINER) How do you negotiate about the rules of the game? Separate the people from the problem Focus on interests, not positions Invent options for mutual gain Insist on using objective criteria Some common tricky tactics Deliberate deception Phony facts Ambiguous authority Dubious intentions Less than full disclosure is not the same as deception Psychological warfare 199 112 113 113 114 119 119 120 121 121 122 123 124 125 125 126 127 127 128 129 129 132 133 133 133 133 134 134 134 135 136 136 137200 Analytical Table of Contents Stressful situations 137 Personal attacks 137 The good-guy/bad-guy routine 138 Threats 139 Positional pressure tactics 140 Refusal to negotiate 140 Extreme demands 141 Escalating demands 141 Lock-in tactics 142 Hardhearted partner 143 A calculated delay 143 “Take it or leave it” 144 Don't be a victim 144 IV. IN CONCLUSION You knew it all the time 149 Learn from doing 149 “Winning” 150 V. TEN QUESTIONS PEOPLE ASK ABOUT GETTING TO YES QUESTIONS ABOUT FAIRNESS AND “PRINCIPLED” NEGOTIATION 153 Question 1: “Does positional bargaining ever make sense?” 153 How important is it to avoid an arbitrary outcome? 153 How complex are the issues? 154 How important is it to maintain a good working relationship? 154 What are the other sides expectations, and how hard would they be to change? 154 Where are you in the negotiation? 155 Question 2: “What if the other side believes in a different standard of fairness?” 155 Explore how conflicting standards developed 156 Agreement on the “best” standard is not necessary 156 Question 3: “Should | be fair if 1 don't have to be?” 157 How much is the difference worth to you? 158 Will the unfair result be durable? 158 spiesucmnu ieee Analytical Table of Contents What damage might the unfair result cause to this or other relationships? Will your conscience bother you? QUESTIONS ABOUT DEALING WITH PEOPLE Question 4: “What do | do if the people are the problem?” Build a working relationship independent of agreement or disagreement Negotiate the relationship Distinguish how you treat them from how they treat you Deal rationally with apparent irrationality Question 5: “Should I negotiate even with terrorists or someone like Hitler? When does it make sense not to negotiate?” Negotiate with terrorists? Negotiate with someone like Hitler? Negotiate when people are acting out of religious conviction? When does it make sense not to negotiate? Question 6: “How should | adjust my negotiating approach to account for differences of personality, gender, culture, and so on?” Get in step Adapt our general advice to the specific situation Pay attention to differences of belief and custom, but avoid stereotyping individuals Question your assumptions, listen actively QUESTIONS ABOUT TACTICS Question 7: “How do | decide things like ‘Where should we meet?’ ‘How should we communicate?’ ‘Who should make the first offer?’ and ‘How high should | start?’” Where should we meet? How should we communicate? Who should make the first offer? How high should I start? Strategy depends on preparation Question 8: “Concretely, how do | move from inventing options to making commitments?” Think about closure from the beginning 201 158 159 159 159 159 161 162 162 163 163 165 166 166 168 168 169 169 170 170 170 71 171 173 174 174 175 175202 Analytical Table of Contents Consider crafting a framework agreement 176 Move toward commitment gradually 176 Be persistent in pursuing your interests but not rigid in pursuing any particular solution 177 Make an offer 178 Be generous at the end 179 Question 9: "How do | try out these ideas without taking too much risk?” 179 Start small 179 Make an investment 179 Review your performance 180 Prepare! 180 QUESTIONS ABOUT POWER 181 Question 10: “Can the way | negotiate really make a difference if the other side is more powerful?” And “How do I enhance my negotiating power?” 181 Some things you can’t get 181 How you negotiate makes a big difference 181 “Resources” are not the same as “negotiation power” 182 Don't ask “Who's more powerful?” 182 There are many sources of negotiation power 183 ° There is power in developing a good working relationship between the people negotiating 183 There is power in effective communication 185 There is power in understanding interests 188 There is power in inventing an elegant option 188 There is power in using external standards of legitimacy 189 There is power in developing a good BATNA 190 There is power in making a carefully crafted commitment 191 Clarify what you will do 191 Consider committing to what you will not do 192 Clarify what you want them to do 192 Make the most of your potential power 193