Presentation on theme: "PART Ⅰ ESSENTIALS OF NEGOTIATION 第一篇 谈判的基础知识"— Presentation transcript:
1 PART Ⅰ ESSENTIALS OF NEGOTIATION 第一篇 谈判的基础知识 1 Negotiation: The Mind and the Heart2 The Negotiation Flow (Procedure and Structure)3 Preparation: What to Do Before Negotiation4 Distributive Negotiation: Slicing the Pie5 The Power of Fairness6 Win-Win Negotiation: Expanding the Pie7 Collaborative Principled Negotiation8 Law of Interest Distribution
5 1) Preparation is the key to successful negotiation. The work that you do prior to negotiation pays offsubstantiallywhen you finally find yourself seated at the table.The rule applies to negotiation:About 80% of your effort should go toward preparation;20% should be actual work involved in the negotiation.
7 Most people clearly realize that preparation is important, yet they do not prepare in an effective fashion.Faulty preparation is not due to lack of motivation;rather, it has its roots in negotiator’s faulty perceptionsabout negotiation.
9 2）Fixed-Pie Perceptions We noted in Chapter 1 that most negotiators viewnegotiation as a fixed-pie enterprise.Most negotiators (about 80% of them) operate under thisperception.Negotiators who have fixed-pie perceptions usually adoptone of three mind-sets when preparing for negotiation.
11 (1) They resign themselves to capitulating to the other side (also known as a soft bargaining).(2) They prepare themselves for an attack(also known as a hard bargaining).(3) They compromise in an attempt to reach a midpointbetween their opposing desires(often regarded to be a win-win negotiation, when in fact,it is not).
13 Depending on what the other party decides to do in the negotiation, fixed-pie perceptions can either lead toa battle of wills(e.g., if both parties are in attack mode),mutual compromise(e.g., if both parties are soft), ora combination of attack and capitulation.
15 The common assumption among all three approaches is that concessions are necessary by one or both parties to reach anagreement.The fixed-pie perception is almost always wrong;thus, choosing between capitulation, attack, andcompromise is not an effective approach to negotiation.
17 3) Mixed-Motive Decision Making Enterprise A more accurate model of negotiation is a mixed-motivedecision making enterprise.As a mixed-motive enterprise, negotiation involves bothcooperation andcompetition.
19 4）The Essentials of Effective Preparation In this chapter,we review the essentials of effective preparation,whether it be witha next-door neighbor,a corporate executive officer, orsomeone from a different culture.
25 Negotiation preparation begins when people related with negotiation have to make decisionon the following issues:（1）Information to be researched;（2）Team members to be involved;（3）Objectives and targets to be achieved;（4）Locations where negotiations to beconducted.
29 By far,the first question is the more intuitive and easier of thetwo to answer.Even so, many people do not think carefully about whatthey want before entering negotiations.The second questiondefines a negotiator’s power in the negotiation andinfluences the ultimate outcome of the negotiation.We now take up these questions in more detail.
31 3.1.1 What Do I Want?3.1.2 What Are My Alternativesto Reaching Agreement in This Situation?3.1.3 Determine Your Reservation Point3.1.4 Identify the Issues in the NegotiationAssess Your Risk Propensity
33 3.1.1 What Do I Want?In any negotiation scenario, a negotiator needs to determinewhat constitutes an ideal outcome.This ideal is known as a target or aspiration(sometimes called a target point or aspiration point).Identifying a target or aspiration may soundstraightforward enough,but three major problems often arise at this point:
34 What Do I Want?3.1.1 我想得到什么？在任何谈判中，谈判者都需要决定：对于他们来说什么是最理想的局面，即所谓的目标或期望值（有时称为目标点、期望点）。确认目标或期望值听起来可能非常简单，但是经常会出现以下三个问题：
35 1）The Winner’s CurseThe underaspiring negotiator sets his or her target oraspirations too low.The underaspiring negotiator opens the negotiationby requesting something that is immediately granted,resulting in a regrettable stage of affairsknown as the winner’s curse.
37 The winner’s curse occurs when a negotiator makes an offer that is immediatelyaccepted by the other party.The immediately acceptance of one’s offer by an opponentsignals that a negotiator did not ask for enough.The winner’s curse is nearly impossible to remedy.In a series of experiments,None is effective in eliminating the faulty behavior.
39 2）Positional Bargaining The overaspiring negotiator or positional negotiatoris too “tough”;he or shesets the target point too high andrefuses to make any concessions.The other problem with positional bargaining is that itreinforces egocentrism.
41 Indeed,people quickly develop ownership of the arguments andpositions they make, and these positions become part ofpeople’s own self-concept, making any opposition an egothreat.Ego-defensive behavior triggerscompetitive communication,retaliatory behavior,negative perceptions of the counterparty, andattitude polarization.
43 3）Reactive Devaluation The grass-is-greener negotiator does not knowwhat he or she really wants– only that he or she wants what the other party does notwant to give– and does not want what the other party is willing to offer.This type of negotiation behavior is also known as reactivedevaluation.
45 3.1.2 What Are My Alternatives to Reaching Agreement in This Situation?A negotiator needs to determinehis or her best alternative to a negotiated agreement.This step is so important thatit merits into an acronym:BATNA(Best Alternative To a Negotiated Agreement).
46 3.1.2 What Are My Alternatives to Reaching Agreement in This Situation?3.1.2 在此情况下，我达成协议的替代方案是什么？谈判者需要明确，对一项谈判协议，自己的最佳替代方案是什么。这一步至关重要，人们已经得到了一个首字母缩略词：BATNA （“谈判的最佳替代方案”）
47 A BATNA determines the point at which a negotiator is prepared to walk away from the negotiation table.In practice, it means that negotiators should be willingto accept any set of terms that is superior to theirBATNA andreject outcomes that are worse than their BATNA.Surprising as it may seem,negotiators often fail on both counts.
49 1）BATNA and RealityDespite its simple appeal, the BATNA concept is somethingthat is consistently difficult to convey to most negotiators.A BATNA is not something that a negotiator wishes for;rather, it is determined by objective reality.In short,if the world does not recognize how great you are,then you do not have a desirable BATNA.
50 1）BATNA and Reality1）BATNA与现实尽管BATNA看似简单，但要让大多数谈判者了解该概念，一直以来都并非易事。BATNA并非由谈判者的主观愿望决定，而是取决于客观现实。简而言之，如果这个世界并不认可你的伟大，那么，你就不会拥有称心如意的BATNA。
51 2）Your BATNA is Not Static Your BATNA - once properly identified– is not static or steady state.Rather, it is dynamic, meaning that at any point in time it iseither improvingor deterioratingas a result of market forces and a variety of other activity.
52 2）Your BATNA is Not Static 并非静态或不变的概念。相反，它是动态的。即，在任何时点上，它要么更好了，要么更糟了。
53 Thus,we don’t suggestnegotiators simply identify their BATNAs.Once their BATNAs are identified,negotiators should constantly attempt to improve them.
55 One strategy for improving BATNAs is to follow Bazerman and Neale’s “falling in love” rule,which applies to most negotiation situations.According to this rule,negotiators should not fall in love withone house,one job, orone set of circumstances,but instead they should try to identify two or threeoptions of interest.
57 By following this strategy, the negotiator has a readily available set of alternativesthat represent viable options should the current alternativecome at too high a price orbe eliminated.The “falling in love” rule is difficult to follow becausemost people set their sights on one target job, house, or set of terms andexclude all others.
59 Many negotiatorsare reluctant to recognize their BATNA andget them confused with their aspiration point.Another problem associated with the failure to properlyidentify one’s BATNA is thatit can be influenced and manipulated by the otherparty during the course of negotiation.
61 3）Do Not Let the Other Party Manipulate Your BATNA You should constantly improve your BATNA.However,the other party has an incentive to minimize the qualityof your BATNA and,thus, will be motivated to provide negative informationvis-à-vis your BATNA.If you have not properly prepared, you might be particularlyinfluenced by such persuasive appeals.
62 3）Do Not Let the Other Party Manipulate Your BATNA 然而，对方总会想方设法破坏你的BATNA。因此，他们总会针对你的BATNA提供消极信息。若无充分准备，可能受其具说服力的说辞影响。
63 However,your BATNA should not change as a result of the otherparty’s persuasion techniques.Your BATNA should only change as a result of objectivefacts and evidence.Negotiators are most likely to fall prey to the counterparty’smanipulation attemptswhen they have not adequately prepared for the negotiation.
65 In a negotiation,the person who stands to gain most by changing ourmind should be the least persuasive.Thus, it is importantto develop a BATNA before commencing negotiationsandto stick to it during the course of negotiations.
67 It should helpful to write your BATNA in ink on a piece of paper and put it in your pocket before negotiating.If you feel tempted to settle for less than your BATNA, itmay be a good time topull out the paper,call a halt to the negotiation process, andengage in an objective reassessment.
69 3.1.3 Determine Your Reservation Point Once the negotiator has identified her BATNA, she is in anexcellent position to determine her reservation point.The reservation point is not determined by what thenegotiator wishes and hopes for but, rather, by what herBATNA represents.A reservation point, then,is a quantification of a negotiator’s BATNA withrespect to other alternatives.
70 3.1.3 Determine Your Reservation Point 3.1.3 确定你的保留点谈判者一旦确定了BATNA，就可以设定自己的保留点了。保留点不是由谈判者的意愿决定的，而是由他的BATNA决定的。因此，保留点是对谈判者关于其他替代方案的BATNA量化。
71 Many negotiators fail to assess their reservation point when they prepare for negotiation.This failure is a serious strategic errorbecause the negotiator’s reservation point has the mostdirect influence on his or her final outcome.
75 Failure to assess reservation points can lead to two unfortunate outcomes.In some instances,negotiators may agree to an outcome that is worse thantheir BATNA.A second problem is thatnegotiators may often reject an offer that is better than
77 Although this example may seem implausible, the incidence ofagreeing to something worse than one’s BATNA andrejecting an offer better than one’s BATNAis quite high.To avoid both of these errors,we suggest thatthe negotiator follow the steps outlined in Exhibit 3-1.
79 Exhibit 3-1 Developing a Reservation Point Step 1: Brainstorm Your Alternatives.You have already determined your target point.That is the easy part.The real question is,“What is your lowest offer you will accept for your home?”
83 Step 2: Evaluate Each Alternative. In this step,you should order the various alternatives identified instep 1 in terms of their relative attractiveness, or value, toyou.If an alternative has an uncertain outcome, such as reducingthe list prices, you should determine the probability a buyerwill make an offer at that price.
87 Step 3: Attempt to Improve Your BATNA. Your bargaining position can be strengthened substantiallyto the extent that you have an attractive, viable BATNA.Unfortunately, this step is the one that many negotiators failto develop fully.You may make some improvements that have high returnon investment.
89 Step 4: Determine Your Reservation Price. Once you have determined your most attractive BATNA , itis then time to identify your reservation price– the least amount of money you would accept for yourhome at the present time.Once again,it is not advisable to make a guess.Your assessment must be based on facts.
91 Note that in our calculation, the probabilities always sum to exactly 100%, meaning we have considered all possibleevents occurring.No alternative is left to chance.An overall value for each of these “risky” alternatives isassessed by multiplying the value of each option by itsprobability of occurrence.This value is your reservation price.
93 2）Be Aware of Focal Points Negotiators who make the mistake of not developing areservation point before they negotiateoften focus on an arbitrary valuethat masquerades as a reservation price.Such arbitrary points are focal points.
94 2）Be Aware of Focal Points 2）当心聚焦点如果谈判者没有设置保留点，通常就会专注于一个被伪装成保留价格的臆断价格。这个臆断价格就是聚焦点。
95 Focal points aresalient numbers,figures, orvaluesthatappear to be validbut have no basis in fact.It would seem absurd to base judgments on random digits,but people did.
97 3）Beware of Sunk CostsSunk costs are just what they sound like – money you haveinvested that is, for all practical purposes gone.Economic theory asserts that only future costs and benefitsshould affect decisions.The purchase price, by economic standards, is a sunk costand should, for all practical purposes, be irrelevant to thenegotiation the seller has with a buyer today.
98 3）Beware of Sunk Costs3）当心沉没成本沉没成本，顾名思义，指已经投资于各种实际用途而无法收回的资金。经济学理论认为只有未来成本和未来利益影响决策。按经济学的标准来看，购买价就是沉没成本实际上，与买卖双方现在的谈判无关。
99 However,people have a hard time forgetting the past, andthey often try to recoup sunk cots.This mind-set can lead to trouble.Most people are affected by the past.
101 The seller’s sunk costs influenced the buyer’s behavior. Moreover, sellers’ BATNA were significantly lower whenthey had low, as opposed to high, sunk costs.Final settlements were significantly lower in the low (as opposed to high) sunk cost situations.When preparing for negotiations, negotiators must be awarethat sunk costswill not only influence their own behaviorbut the behavior of the counterparty.
103 4）Do Not Confuse Your Target Point with Your Reservation PointNegotiators often make the mistake of using their targetpoint as their reservation point.This can result in one of two undesirable outcomes.The negotiator who lacks a well-formed reservation pointruns the risk of agreeing to a settlement that is worse thanwhat he or she could do by following another course ofaction.In another case, the negotiator may walk away from apotentially profitable deal.
104 4）Do Not Confuse Your Target Point with Your Reservation Point4）不要混淆你的目标点和保留点谈判者常犯这样的错误：将目标点当成了保留点。谈判者很清楚他要达到什么结果。却没有想过自己能接受的最低条件是什么。这一不当的策略可能会造成两个严重后果之一：接受某种非最佳选择的条件。拒绝可能有利可图的交易。
105 3.1.4 Identify the Issues in the Negotiation Many negotiators make the mistake of identifying only asingle issue to negotiate.Usually, this issue is money (e.g., sales price or salary, etc.).It is a grave mistake to focus on a single issue in anegotiation because, in reality, more issues are at stake inmost negotiation situation.
106 3.1.4 Identify the Issues in the Negotiation 3.1.4 明确谈判中的议题许多谈判者都会错误地认为：有待解决的议题只有一个。通常这个议题就是钱（如售价或薪水等）。将谈判只集中于单一议题上，是大错而特错的。因为在事实上，大多数的谈判中亟待解决的议题远远不止一个。
107 The problem is that they remain “hidden” unless negotiators do the work of unbundling them.By identifying other issues, negotiators can add value tonegotiations.Negotiators should take timeto brainstorm how a single-issue negotiation may besegmented into multiple issuesor they should attempt to add issues.
109 1）Identify the Alternatives for Each Issue Once the negotiator has identified the issues to benegotiated, it is a good idea to identify several alternativeswithin each issue.Negotiators can formalize the issues and alternatives bycreating a matrix in whichthe issue are located along the columns andthe alternatives specified along the rows.
110 1）Identify the Alternatives for Each Issue 1）明确每个议题的替代方案谈判者一旦确定了需要解决的议题，就应确认每个议题都有哪些备用的解决方案。谈判者通过明确议题及解决方法，可以形成一个矩阵，其中：列为谈判中已经明确的议题行为多种选择方案。
111 2）Identify Equivalent Multi-issue Proposals The nest step of preparation is to determine a variety ofdifferent combinations of the issues that all achieve thetarget or aspiration point.By identifying multiple-issue packages,negotiators expand their options.
113 The most important aspect of identifying packages of offers is that the packages should all be of equivalent value orattractiveness to oneself.This requires that negotiators ask themselves someimportant questions aboutwhat they value andwhat is attractive to them.
115 We strongly discourage negotiators from stating a range (e.g. a salary range).By stating a range, the negotiator give up importantbargaining ground and moves too close to his or her BATNA.We call it a premature concession.By stating a range, a negotiator has already made aconcession.Ideally, a negotiator should identify as many possiblepackages of a given value before making a concession in hisor her target point.
117 Another benefit of identifying packages of offers is that the negotiator does not give the counterparty the impression thathe or she is a positional negotiator.A positional negotiator refers to a person who determines aset of terms desired in a negotiation, presents those terms,and refuses to budge on any dimension of any issue.By identifying multiple issues and multiple alternativeswithin each issue, a negotiator is more likely to achieve his orher target.
119 3.1.5 Assess Your Risk Propensity Negotiations always involve risk.The key question is not necessarilyhow to minimize risk;rather, the key is to understandhow risk affects decision making.
120 3.1.5 Assess Your Risk Propensity 3.1.5 评估你的风险倾向谈判总是有风险的。关键问题不是：如何将风险最小化。关键问题是：理解风险是如何影响决策的。
121 As an exercise, suppose you are offered a choice between the following two options:Option A:Receiving a cashier’s check for $5,000.Option B:Playing a game that offersa 50% chance of winning a $10,000 cashier’s check anda 50% chance of winning nothing.
123 When presented with a choice between a sure thing and a gamble of equivalent value, most people choose option A,the sure thing.Note that the expected value of each choice is $5,000,which would mean that negotiators should be indifferent (orrisk-neutral) between the two.The strong preference for option A over B reflects afundamental principle of negotiator behavior:risk-aversion.
125 Now, imagine yourself facing the following unenviable choice:Option C:Paying $5,000 for unexpected expense.Option D:Playing a game that offersa 50% chance of paying nothing anda 50% chance of paying $10,000.Most people find it difficult to choose between options Cand D because choices are undesirable.
127 However, When forced to make a decision, the majority of negotiators choose option D, even though the expected valueof C and D is exactly the same: $5,000.Option D represents the “risky” alternative.The dominant choice of D over C reflects a fundamentalprinciple of human psychology:risk-seeking behavior in the face of loss.
133 3）Three Sources of Risk in Negotiations What are the implications for negotiation?Negotiators should consider the differential impact of threesources of risk in any negotiation:strategic risk,BATNA risk, andcontractual risk.
134 3）Three Sources of Risk in Negotiations 3）谈判中的三种风险来源这（谈判者的风险偏好）对谈判有什么意义呢？谈判者应该考虑：三种风险来源对任何谈判的不同影响。谈判中的三种风险来源包括：策略风险BATNA风险合同风险。
135 （1）Strategic RiskStrategic risk refers to the riskiness of the tactics thatnegotiators use at the bargaining table.Negotiators often choose betweenextremely cooperative tactics (such as informationsharing and brainstorming) and,at the other extreme,competitive tactics (such as threats and demands).
137 Negotiators who have recently experienced a string of failure are more likely to adopt a “loss frame” and feel less“in control” in a negotiation;conversely, negotiators who have experienced a recentstring of successes feel greater control.Consequently,loss-framed negotiators are reluctant to revealinformation that could be used to exploit them;instead, they prefer to mange risk by delaying outcomes.
139 （2）BATNA RiskIn actual practice, many people’s BATNAs are uncertainbecause potential alternatives arrive sequentially.Under most circumstances, we might expect negotiatorswho are in a “gain frame” to be more risk-averse (andtherefore, more concessionary) than negotiators who hold a“loss frame” (who might hold out).This gain-loss basis can be a potential problem innegotiation because negotiators can be “framed”.
141 A negotiator’s BATNA acts as an important reference point from which other outcomes are evaluated.Outcomes and alternatives that fall short of one’s BATNAare viewed as losses;outcomes that exceed a negotiator’s reservation point orBATNA are viewed as gains.The more risk-averse the negotiator, the more likely it isthat she or he will make greater concessions.
145 （3）Contractual RiskContractual risk refers to the risk associated with thewillingness of the other party to honor its terms.How does such contractual risk affect negotiator behavior?Under contractual risk, negotiators with negative frames(risk-seeking) are more likely to reach integrativeagreements than those with positive frames (risk-averse).
147 The reason is that attaining a high aspiration entails some creative risk.Thus, if integrative negotiation outcomes involve “surethings”,positive frame are more effective;however, if the integrative outcomes require negotiators to“roll the dice”,negative frames are more effective.
149 In a series of studies involving contractual risk, negotiators with a “loss frame” aremore cooperative andmore likely to settlethan those with a “gain frame”.Further,“loss frame” negotiators create more integrativeagreements.
151 4) Endowment EffectsThe value or utility we associate with a certain object oroutcome should not be influenced by irrelevant factors,such as who owns the object.Simply staged,the value of the object should be about the same,whether we are a buyer or a seller.
153 Note:buyers and sellers might want to adopt different bargainingpositions for the object, but their private valuations for theobject should not differ as an consequence of who haspossession of it.However, negotiators’ reference points may lead buyersand sellers to have different valuations for objects.
157 The difference between what sellers demand and what buyers are willing to pay is a manifestation of loss-aversion,coupled with the rapid adaptation of the reference point.Therefore, sellers demand more than buyers are willing topay.
159 If sellers are risk-seeking by virtue of their endowment, how can it be that horses, cars, furniture, companies, and landare bought and sold every day?The endowment effect operates only when the seller regardshimself or herself to be the owner of the object.If a seller expects to sell goods for a profit and view thegoods as currency, the endowment effect does not occur.
161 5）Am I Going to Regret This? People evaluate reality by comparing it to its salientalternatives.Sometimes we feel we made the “right” decision when wethink about alternatives.Other times, we are filled with regret.What determines whether we feel we did the right thing(e.g., took the right job, married the right person) or we feelregret?
162 5）Am I Going to Regret This? 5）我会对此后悔吗？人们通过将现实与其明显的替代方案相比较的方法，对现实进行评估。有时，想想替代方案，我们觉得自己做了“正确的”决定。而有时，我们却后悔不已。什么决定我们感到做对了事情或感到后悔呢？
163 An important component in determining whether a person experiences regret is counterfactual thinking.Counterfactual thinking, or thinking about what might havebeen but did not occur,may be a reference point for the psychologicalevaluation of actual outcome.
165 6) Violations of the Sure Thing Principle When faced with uncertainty about event occurring, peopleare often reluctant to make decisions andwill even pay money to delay decisions until theuncertain event is known.This is paradoxical becauseno matter what happens,people choose to do the same thing.
166 6) Violations of the Sure Thing Principle 6）违背确定事件原则当不确定某个事件是否会发生的时候，人们往往不愿意做出决策，甚至花钱来延迟决定，直到形式明朗化。但是，这种行为是自相矛盾的。因为，不论结果是什么，人们做出的选择其实是相同的。
167 This behavior violates one of the basic axioms of the rational theory of decision making under uncertainty:the sure thing principle
169 According to the sure thing principle, if an alternative X is preferred to Y in the condition thatsome event, A, occurs,and if X is also preferred to Y in the condition that someevent, A, does not occur,then X should be preferred to Y,even when it is not known whether A will occur.
171 Why would people pay a fee to a consultant or intermediary to delay the decision when they would make the same choiceeither way?Violations of the sure thing principle are rooted in thereasons people use to make their decisions.
173 In the Hawaii example, people have different reasons for gong to Hawaii for each possible event.When the decision maker does not know whether he or shehas passed the exam, he or she may lack a clear reason forgoing to Hawaii.In the presence of uncertainty, people may be reluctant tothink through the implications of each outcome and, as aresult, they violate the sure thing principle.
175 7）Do I Have an Appropriate Level of Confidence? How accurate are people in judgments of probability?How do they make assessments of likelihood, especiallywhen full, objective information is unavailable?Judgments of likelihood for certain types of eventsare often more optimistic thanis warranted.
176 7）Do I Have an Appropriate Level of Confidence? 7）我的自信适度吗？人们判断概率的精确度有多少呢？尤其是当缺乏完整、客观的信息的时候，人们是如何面对可能性的大小做出评估的呢？对某类事件发生的可能性的判断，往往是乐观有余而根据不足。
177 The overconfidence effect refers to unwarranted levels of confidence in people’s judgmentof their abilities andthe likelihood of positive events andunderestimates of the likelihood of negative events.
179 When we find ourselves to be highly confident of a particular outcome occurring (whether it be our opponentcaving in to us, a senior manger supporting our decision, etc.),it is important to examine why.On the other hand, overconfidence about the value of theother party’s BATNA might serve the negotiator well.Negotiators who are optimistically biased (i.e., they thinktheir counterpart will concede more than he or she rally can)have a distinct bargaining advantage.
181 3.2 Sizing Up the Other Party Once the negotiator has prepared for evaluating what he orshe wants in a negotiation situation,it is time to think about the other party (or parties).
182 3.2 Sizing Up the Other Party 3.2 评估对方一旦谈判者评估了自己在谈判中想要得到的价值完成了准备程序就到了考虑对方（各方）的时候了。
183 1）Who Are the Other Parties? It is always importantto identify the players in negotiation.A party is a person(or group of people with common interests)who acts in accord with his or her preferences.
184 1）Who Are the Other Parties? 1）对手是谁认清谈判的参与者是谁，这一点一直很重要。谈判方（A Party）：是指按他们自己的偏好行动的一个人（或拥有共同利益的一群人）。
185 Sometimes,it is obvious who the other parties are, andthey have a legitimate place at the table.However, in other situations,the other parties may not be obvious at all, andtheir legitimacy at the table may be questionable.
187 Parties are readily identified when they are physically present, but often the most important parties are not presentat the negotiation table.Such parties are known as the hidden table.When more parties are involved in the negotiations, thesituation becomes a team or multiparty negotiation, andthe dynamics change considerably.A variety of issues crop upas more parties enter the bargaining room.
189 2）Are the Parties Monolithic? Monolithic refers to whether parties on the same side of thetable are in agreement with one another concerning theirinterests in the negotiation.Although it would make sense for parties on the same sideto be of one voice, often they are not.Frequently, the parties are composed of people whoare on the same sidebut have differing values, beliefs, and preferences.
190 2）Are the Parties Monolithic? 2）各方都是统一的整体吗？统一的整体（Monolithic）：指同一方的各参与者相互支持彼此的谈判利益。同一边的谈判方理应统一口径，但人们往往做不到。通常，各方成员表面上在同一边，但在价值、信念、偏好上却有不同看法。
191 3）Counterparties’ Interests and Position A negotiator should do as much research and homeworkas possible to determine the counterparties’ interests in thenegotiation.For example, of the multiple issues identified,which issues are most important to the other party?What alternatives are most preferable to the other party?
192 3）Counterparties’ Interests and Position 3）对方的利益和立场谈判者应该尽其所能，做大量的研究和功课，以确定对方在谈判中的利益所在。例如，在发现的多个议题中，哪些议题对于对手是最重要的呢？对方会偏爱哪些选择方案呢？
193 4）Counterparties’ BATNAs Probably the most important piece of information anegotiator can have in a negotiation is the BATNA of theother party.Unfortunately,unless you are negotiating with an extremely naïvenegotiator,it is unlikely the counterparty will reveal his or herBATNA.
195 However,a negotiator should do research about the other party’sBATNA.Most negotiators severely under-research theircounterparty’s BATNA.This lack of information, of course,limits their ability to effectively negotiate.
197 The other party’s aspiration point will be quite clear; however, the negotiator who determinesonly the other party’s aspiration point andnot the BATNAis in a severely disadvantageous negotiation positionbecause the counterparty’s aspiration may act as ananchor in the negotiating process.
201 3.3.1 Is the NegotiationOne Shot, Long Term, or Repetitive?1) One-shot negotiation2) Long term negotiation3) Repetitive negotiations
202 3.3.1 Is the NegotiationOne Shot, Long Term, or Repetitive?3.3.1 谈判是一次性，长期性，还是反复性的呢？1）一次性谈判2）长期谈判3）反复性谈判
203 1) One Shot NegotiationIn a one-shot negotiation,a transaction occurs, andno future ramifications accrue to the parties.Most negotiation situations are not one-shot situations inwhich the parties involved come together only at one point intime to conduct business.
204 1) One Shot Negotiation1）一次性谈判一次性谈判所达成的交易不会对各方的未来造成影响。大多数谈判都不是一次性的。在一次性谈判中，各方只在一个时点相聚进行谈判。
205 One of the few situations that has been identified as a truly one-shot negotiation is the interaction that occurs betweencustomers and wait staff at interstate roadside diners– neither party will likely ever see one another again.
207 2) Long Term Negotiation Even if the parties to negotiation change over time,negotiators’ reputations precede them to the table.Because most people negotiate in the context of socialnetworks,most negotiations are long term in naturebecause reputations information carried through thosesocial network.
208 2) Long Term Negotiation 2）长期谈判尽管谈判的参与方会随着时间的推移而发生变化，但谈判者的名声却会先于他们本人传到谈判中。因为大多数人都是在社会网络背景下谈判的，大多数谈判本质上都具有长期性，因为名声信息会在他们的社会网络中流传散布。
209 3) Repetitive Negotiation Repetitive negotiations are situations in whichnegotiators must renegotiate terms on some regular basis(e.g., unions and their management).
211 In long-term and repetitive negotiations, negotiators must considerhow their relationship evolves andhow trust is maintained over time.Probably the most important long-term relationship is theemployment negotiation.
213 3.3.2 Do the Negotiations Involve Scarce Resources, Ideologies, or Both?The two major types of conflict areconsensus conflict andscarce resource competition.
214 3.3.2 Do the Negotiations Involve Scarce Resources, Ideologies, or Both?3.3.2 谈判涉及资源、意识形态还是二者兼而有之？两类主要的冲突是：意见冲突稀缺资源的竞争
215 1）Consensus ConflictConsensus conflict occurswhen one person’s opinions, ideas, or beliefs areincompatible with those of another, andthe two seek to reach an agreement of opinion.Consensus conflictis about ideology and fundamental beliefs and,as you might imagine,is difficult to resolve because it involves values and morals.
219 2）Scarce Resource Competition Scarce resource competition existswhen people vie for limited resources.For example, when business partners are in conflictconcerning how to divide responsibilities and profits, eachmay feel he or she deserves more than the other feels isappropriate.
221 3) Consensus Conflict and Scarce Resource Competition Many conflict situations involvenot only scarce resourcesbut ideologies.People who are in conflict about interests (e.g., money andresources) are more likely to make value-added trade-offsand reach win-win outcomes than are people in conflict aboutvalues or beliefs.
222 3) Consensus Conflict and Scarce Resource Competition 3）意见冲突与稀缺资源竞争许多冲突都涉及到：稀缺资源意识形态。与那些因价值观和信念而冲突的人相比，因利益（如金钱和资源）而冲突的人更有可能达成增值的交替互换交易，达成双赢的结局。
223 People who are in conflict about interests (e.g., money and resources) are more likely tomake value-added trade-offs andreach win-win outcomesthan are people in conflict about values or beliefs.When negotiations involve such “sacred issues”,more impasses,lower joint profits, andmore negative perceptions of the counterparty result.
225 3.3.3 Is the Negotiation One of Necessity or Opportunity? In many cases,we must negotiate;in other situations,negotiations are more of a luxury of opportunity.
226 Is the NegotiationOne of Necessity or Opportunity?3.3.3 谈判是必要性的还是机会性的？在许多情况下，我们必须谈判。在另一些情况下，谈判多半是一种奢侈的机会性行为。
227 No pressing need to negotiate exists; rather, negotiation is initiated for opportunistic reasons.Many people avoid negotiations of opportunitybecause they feel they lack skills.Indeed,having confidence in oneself as a negotiator is important forsuccess.
229 1）Is the Negotiation an Exchange or Dispute Situation? In a typical negotiation,parties come together to exchange resources.In a classic example,a buyer sees greater value in a seller’s goods than theseller wants for them, andan exchange takes place(money is paid for goods or services).
230 1）Is the Negotiationan Exchange or Dispute Situation?1）谈判是交换性的还是争端性的形势呢？典型谈判中，谈判者聚在一起就是为了交换资源。举一个经典的例子，当买方认为卖方货物的价值大于卖方想要换得的价值时，于是交换就发生了（付钱购买货物或服务）。
231 In other situations,negotiations take place because a claim has been made byone party andhas been rejected by the other party.This is a dispute.
233 The difference between exchanges and disputes concerns the alternatives to mutual settlement.In an exchange situation,parties simply resort to their BATNAs;in a dispute,negotiators often go to court.
235 2）Are Linkage Effects Present? Linkage effects refers to the fact thatsome negotiations affect other negotiations.One example is in the case of law and setting precedent.Resolutions in one situation have implications for othersituations.
237 Often direct linkages will occur when a multinational firm has operations in several countries and a decision made inone country carries over to other countries.Sometimes, indirect linkage effects occur, such as when adecision made at the negotiation table affects some interestgroup in a fashion that no one anticipates fully.A key reason why mergers are often unsuccessful is thatcompanies do not think about linkage effects with currentemployees.
239 3）Is Agreement Required? In many negotiation situations,reaching agreement is a matter of preference.For example, in a salary negotiation a person might bewilling to decline an offer from one company and either staywith the current company, start his or her own company, ordelay negotiations indefinitely.However, in other situations, reaching agreement is not justthe only course of action – it is required.
241 4）Is It Legal to Negotiate? In the United States, it is illegal to negotiate the sale ofhuman organs.However, in the Philippines, it is legal to sell kidneys,despite ongoing debate about the issue.Sometimes, no specific laws govern what can or cannot benegotiated;rather, individuals rely on strong cultural norms that arehighly situation specific.
242 4）Is It Legal to Negotiate? 4）谈判合法吗？在美国，出卖人体器官是不合法的。然而，在菲律宾出卖肾脏却是合法的，尽管有争议。有些时候，没有具体的法律规定：什么可以谈判、什么不可以谈判。但是，人们会依赖强有力的文化规范，这些规范是需要具体情况具体对待的。
243 For example,most people in the United States do not negotiate the priceof fruit at major grocery stores,but they do it freely in farmer’s markets.But farmer’s markets are not the only place to haggle.Most home electronic stores will negotiate, as will storesthat sell large, durable goods.
245 5）Is Ratification Required? Ratification refers to whether a party to the negotiationtable must have any contract approved by some other body orgroup.In some circumstances, negotiators may tell the other sidethat ratification is required when it is not.
247 3.3.4 Are Time Constraintsor Other Time-Related Costs Involved?Virtually all negotiations have some time-related costs.Although the negotiator who desperately needs anagreement, or for whom the passage of time is extremelycostly, is likely to be at a disadvantage, more time pressure isnot necessarily bad.It is important to distinguish final deadlines from time-related costs.
248 Are Time Constraintsor Other Time-Related Costs Involved?3.3.4 时间紧迫或涉及其他时间相关成本吗？几乎所有的谈判都有一些与时间相关的成本。尽管以下谈判者在谈判中可能处于劣势地位：迫切需要达成协议的谈判者或时间流逝的成本极高的谈判者但是，时间压力大些并不一定是坏事。认清最后期限与时间相关成本的区别非常重要。
249 Two negotiators may face radically different time-related costs, but a deadline for one is a deadline for the other.The shortest final deadline is the only one that counts, and ifthey don’t have a deal by that point, the two negotiators mustexercise their BATNA.
251 1）Time Pressure and Deadlines A final deadline is a fixed point in time that ends thenegotiations.The rate of concessions made by negotiators increases asnegotiators approach final deadlines.
252 1）Time Pressure and Deadlines 1）时间压力和最后期限最后期限（Deadlines）：是标明谈判结束的一个时间上的固定点。随着最后期限的临近，谈判者做出让步的比例不断提高。
253 However, because deadlines restrict the length of the negotiation for all parties, they place all parties underpressure.One person’s final deadline is also the other’s final deadline.However, when negotiators keep their deadlines secret, theresult it that they rush to get a deal before the deadline, whereas their opponents. Who expect longer negotiations,concede at a more leisurely pace.
255 The reason why negotiators so often incorrectly predict the consequences of final deadlines in negotiation has to do withthe more general psychological tendency to focusegocentrically on the self when making comparisons orpredictions.Negotiators focus on the deadline’s effect on themselvesmore than its effect on their negotiating partners.
261 3）Time HorizonAnother time-related question concerns what Okhuysen andcolleagues refer to as the time horizon– the amount of time between the negotiation and theconsequences or realization of negotiated agreements.As a general principle, the longer the temporal distancebetween the act of negotiation and the consequences ofnegotiated agreements, the better the agreement.
263 3.3.5 Forms of Negotiations1) Are Contracts Official or Unofficial?2) Where Do the Negotiations Take Place?3) Are Negotiations Public or Private?4) Is Third-Party Intervention a Possibility?5) What Convention Guide the Process of Negotiation(Such as Who Makes the First Offer)?6) Do Negotiations Involve More Than One Offer?7) Do Negotiators Communicate Explicitly or Tacitly?8) Is There A Power Differential Between Parties?9) Is Precedent Important?
264 Forms of Negotiations3.3.5 谈判形式1）合同是正式的还是非正式的？2）谈判在哪里进行？3）谈判是公开的，还是秘密进行的？4）有可能有第三方调解吗？5）按什么规矩引导谈判（如谁先出价）呢？6）谈判包含的报价不止一个吗？7）谈判沟通是清楚的，还是心照不宣的？ ？8）各方存在权势差异吗？9）先例重要吗？
265 1）Are Contracts Official or Unofficial? Many negotiation situations, such as the purchase of a houseor a job offer, involve official contracts that legally obligateparties to follow through with stated promises.However, in several negotiation situations of equal orgreater importance, negotiators are conducted through ahandshake or other forms of informal agreements.
266 1）Are Contracts Official or Unofficial? 1）合同是正式的还是非正式的？诸如购房或工作机会之类的许多谈判形式都会涉及到正式的合同，他们从法律上强制各方遵守所作出的承诺。然而，在一些同样重要或者更重要的谈判形势下，谈判是通过一次握手或其他形式的非正式协议达成的。
267 Considerable cultural variation surrounds the teams of what social symbols constitute agreement (handshakes versustaking tea together), as well as which situations are treatedofficially or unofficially.Awkwardness can result when one party approaches thesituations from a formal stance and the other treats itinformally.
269 2）Where Do the Negotiations Take Place? Common wisdom holds thatit is to one’s advantage to negotiate on one’s own turf,as opposed to that of the other side.So important is this perception that great preparation andexpense are undertaken to find neutral ground for importantnegotiations.
270 2）Where Do the Negotiations Take Place? 2）谈判在哪里进行？一般观点认为：相对于在对方的地盘进行谈判，在自己的地盘谈判更有利。这种认知很重要，需要人们进行大量的准备工作，并承担大量的费用，去寻找一个中立的地点进行重要的谈判。
271 3）Are Negotiations Public or Private? In many areas,the negotiation dance takes place in the public eye.In other negotiation situations,negotiations occur privately.
272 3）Are Negotiations Public or Private? 3）谈判是公开的，还是秘密进行的？在许多领域中，谈判之舞是在公众的眼球下进行的。而在另一些谈判形势下，谈判是秘密进行的。
273 One of unique aspects of sports negotiations is that they take place in a fishbowl atmosphere, with fans and the mediaobserving every move at the bargaining table.This kind of attention can lead to a media circus, withowners and players projecting their opinions on issues andevents.
275 4）Is Third-Party Intervention a Possibility? In many negotiation situation, third-party intervention iscommonplace (and even expected).Most commonly, third-party intervention takes the form ofmediation or arbitration.However, in other areas, third intervention is unheard of.In other situations, it is less common to involve third parties.
276 4）Is Third-Party Intervention a Possibility? 4）可能有第三方调解吗？在许多谈判中，第三方调解很常见（甚至是期待的）。最普遍的是，第三方调解以调停或仲裁的形式出现。然而，在有些领域，第三方调解是闻所未闻的。还有一些情形，并不经常涉及第三方。
277 5）What Convention Guide the Process of Negotiation (Such as Who Makes the First Offer) ?In many negotiations,people have complete freedom of process.However, in other negotiations, strong conventions andnorms dictate how the process of negotiation unfolds.However, marked differences characterize the processacross the country, with some home negotiations beingconducted via spoken word and some via official contract.
278 5）What Convention Guide the Process of Negotiation (Such as Who Makes the First Offer) ?5）什么规则引导谈判（如谁先出价）呢？在许多谈判中，人们可以完全自由地安排谈判过程。但在有的谈判中，有严格规矩和规范控制谈判进程。然而，全国各地的谈判过程存在相当大的差异，一些家庭谈判以口头形式进行，而有些则是以正式的契约形式进行。
279 6）Do Negotiations Involve More Than One Offer? In some situations,it is typical to go back and forth several times before a mutually agreeable deal is struck.In other situations,this type of dealing is considered unacceptable.
280 6）Do Negotiations Involve More Than One Offer? 6）谈判包含的报价不止一个吗？在有些情况下，在双方都接受的交易达成之前，来来回回进行几次报价的情形是经常发生的。而在另一些情况下，这样的交易过程是不被接受的。
281 In the real estate world, for example, buyers and seller expect to negotiate.These same people, however, would not dream ofnegotiation in an upscale department store.As another example,The opponent later told him there was no way he wasgoing to accept the first offer made – no matter what it was.
283 7）Do Negotiators Communicate Explicitly or Tacitly? In a typical buyer-seller negotiation or employmentnegotiation, negotiators communicate explicitly with oneanother.However, in other situations, communication is not explicitbut tacit, and people communicate through their actions.This issues so important that we devote an entire chapter toit.
284 7）Do Negotiators Communicate Explicitly or Tacitly? 7）谈判沟通是清楚明晰的，还是心照不宣的？在典型的买卖谈判或雇佣谈判中，谈判者相互之间的沟通是清清楚楚的进行的。然而，在另一些情况下，沟通却是心照不宣的，人们通过自己的行为进行交流。这一话题非常重要，我们将用一章篇幅进行讲述。
285 8）Is There A Power Differential Between Parties? Technically, negotiation occurs between people who areinterdependent, meaning the actions of one party affectthose of the other party, and vice versa.If one person has complete authority over another and is notaffected by the actions of others, then negotiation cannotoccur.
286 8）Is There A Power Differential Between Parties? 8）各方存在权势差异吗？从技术层面上讲，谈判会发生在相互依赖的人们之间，即意味着一方的行动会影响到另一方。反之，亦然。如果一个人对另一个人具有绝对的权威，并且不会被另一个人的行为所影响的话，就不会发生谈判。
287 However, it is often the case that low-power people can affect the outcomes of high-power others.This topic is so important that we devote an entire chapterto power and influence in this course.
289 9）Is Precedent Important? In many negotiation situations, precedent is important,not only in anchoring negotiations on a particular point ofreferencebut also in defining the range of alternatives.Often the major argument negotiators must confront whenattempting to negotiate.
291 In a sense, the negotiator fears that making a decision in one case will set him or her up for future negotiations.Of course,most precedent allow for a great deal of interpretation onthe part of the precedent follower and the person attemptingto challenge the precedent.Oftentimes,negotiators will invoke precedent as a way of cutting offnegotiations.
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