《国际商务谈判》（英文版） chapter 5 Collaborative Principled Negotiation合作原则谈判法

Chapter5 Collaborative Principled Negotiation合作原则谈判法 Separate the People from the Problem对事不对人 Focus on Interests not positions针对利益而非立场 Invent Options for Mutual Gain为共同利益献策 IV. Introduce an Objective Criterion以客观标准为本 V. Communication practice交际练习 I. Effective negotiating成功谈判 4. Clarifying Positions VCD Collaborative Principled Negotiation(CPN) is also commonly known as Harvard Principled Negotiation, which is developed by Roger Fisher and William Ury in the book Getting to Yes The core of the princ iple is to reach a solution to both parties by way of stressing interests and not by way of bargaining It suggests that you look for mutual gains whenever and that where your interests you should insist that the result be based on some fair of the will of either side. i.e. an criterion should be applied to It enables you to be while protecting you against those who would take dvantage of your fairness CPN consists of four basic components separate the people from the problem 2. focus on interests not positions 3. invent options for mutual gain 4. introduce an objective criterion The four components are with each other and should be applied to throughout the whole course of the negotiations 1. Separate the People from the Problem It is generally understood that in negotiations problems will be discussed and

1 Chapter 5 Collaborative Principled Negotiation 合作原则谈判法 I. Separate the People from the Problem 对事不对人 II. Focus on Interests Not Positions 针对利益而非立场 III. Invent Options for Mutual Gain 为共同利益献策 IV. Introduce an Objective Criterion 以客观标准为本 V. Communication practice 交际练习 VI. Effective negotiating 成功谈判 4. Clarifying Positions （VCD） Collaborative Principled Negotiation (CPN) is also commonly known as Harvard Principled Negotiation, which is developed by Roger Fisher and William Ury in the book Getting to Yes. The core of the principle is to reach a solution to both parties by way of stressing interests and not by way of bargaining. It suggests that you look for mutual gains whenever , and that where your interests , you should insist that the result be based on some fair standards of the will of either side. i.e. an criterion should be applied to. It enables you to be while protecting you against those who would take advantage of your fairness. CPN consists of four basic components: 1. separate the people from the problem 2. focus on interests not positions 3. invent options for mutual gain 4. introduce an objective criterion The four components are with each other and should be applied to throughout the whole course of the negotiations. 1. Separate the People from the Problem It is generally understood that in negotiations problems will be discussed and

resolved if talks are going on in a and atmosphere. Unfortunately more often than not high is build up due to negotiators' prejudice against the other party or poor on each other or misled of the other partys Intention As a result negotiators feeling is mingled with interests and events to be discussed For situation as such, CPn develops threes steps for both parties to follow, which are 1. Develop empathy 1) We put ourselves in their 2) We avoid blaming them for our 3)We help them 2. Manage emotions 1) We allow them to let 2)We overreact to emotional outbursts 3. Communicate 1) We listen and summarize what we 2)We trying to score points and debating them as opponents 3)We do not berate them about what they are doing On the whole, to separate people from problem, the crucial point is to other party one's own emotion and communication We look for chances to correct our counterpa if their opinion is not right; we allow them to express their if they feel upset and we find more chances to our opinions if misunderstand ing happens By doing so we treat our counterpart as a cooperator sitting on the same sinking and floating together, and the course of negotiation as a achieving success hand in hand 2. Focus on Interests not positions of interests bring people to negotiation table. Negotiating parties holding on to their own positions is for the purpose of having their realized or protecting their or gaining more otiations are the result of mutual and interests rather than keeping firm on one's own Negotiating parties can try the following methods in order to concentrate 1. Identify interests 1)We explore their which stand in our way 2) We examine the different of different people on their sides, 3)We look at their human needs underlying their 2

2 resolved if talks are going on in a and atmosphere. Unfortunately more often than not high is build up due to negotiators’ prejudice against the other party or poor on each other or misled of the other party’s intention. As a result negotiators’ feeling is mingled with interests and events to be discussed. For situation as such, CPN develops threes steps for both parties to follow, which are: 1. Develop empathy 1) We put ourselves in their ; 2) We avoid blaming them for our ; 3) We help them in the process. 2. Manage emotions: 1) We allow them to let steam; 2) We overreact to emotional outbursts 3. Communicate: 1) We listen and summarize what we ; 2) We trying to score points and debating them as opponents; 3) We do not berate them about what they are doing . On the whole, to separate people from problem, the crucial point is to the other party, one’s own emotion and communication. We look for chances to correct our counterparts if their opinion is not right; we allow them to express their if they feel upset and we find more chances to our opinions if misunderstanding happens. By doing so we treat our counterpart as a cooperator sitting on the same_____ sinking and floating together, and the course of negotiation as a of achieving______ success hand in hand. 2. Focus on Interests Not Positions ______ of interests bring people to negotiation table. Negotiating parties holding on to their own positions is for the purpose of having their realized or protecting their or gaining more . Successful negotiations are the result of mutual and of interests rather than keeping firm on one’s own . Negotiating parties can try the following methods in order to concentrate on______ not . 1. Identify interests 1) We explore their which stand in our way; 2) We examine the different of different people on their sides; 3) We look at their human needs underlying their

2. Talk about interests and accept their interests our understand ing or a problem before proposing solutions; 3)We try not to look and focus more on looking forward In negotiation it is very often difficult to focus since the interests of one party are frequently not clearly identified and expressed comparatively speaking are concrete and explicitly exposed to each other. One important task of negotiations is to overpass one's position and to look for solutions satisfying both parties The prolonged dispute over the South China Sea among neighboring countries has been a disturbing factor for the instability in the region. Some countries have demanded sea territory and some other countries have declared actual controlling right over some islands Facing the dispute, China, being the real owner of the sea area, reiterates China sovereignty over the territory, meanwhile exploring the real interests of the neighboring countries'demand ing for the territory It was found out that an important reason behind their claim is the rich fishing and mineral resources in the area The Chinese government hence proposed in talks with relative countries that put aside dispute, engage in joint exploration The proposal met with general acceptance and proved to be quite effective in lightening the tense atmosphere in the region 3. Invent Options for Mutual Gain The first two components look at the relation between people and problems, and interests and positions, which are conducive for negoti to establishing an objective view on those important factors in negotiations. The third component of inventing options for mutual gain provides an approach to fulfillment of the two parties'demands There are in fact always solutions to problems to be solved. which is unfortunately, often not fully understoo Generally speaking, there are three factors hindering people from seeking for alternative solutions. One is the fixed distributive plan. Th distributive concept retards creative thinking and options and hence results in failure of negotiations The second is seeking for only solution. Negotiators are not aware of the fact that creative thinking and options are part of a successful negotiation The third is considering only ones ptions suiting one's To get rid of the above mentioned barriers and offer creative options, the

3 2. Talk about interests 1) We and accept their interests; 2) We our understanding or a problem before proposing solutions; 3) We try not to look and focus more on looking forward. In negotiation it is very often difficult to focus on since the interests of one party are frequently not clearly identified and expressed , and comparatively speaking are concrete and explicitly exposed to each other. One important task of negotiations is to overpass one’s position and to look for solutions satisfying both parties’ . Case The prolonged dispute over the South China Sea among neighboring countries has been a disturbing factor for the instability in the region. Some countries have demanded sea territory and some other countries have declared actual controlling right over some islands. Facing the dispute, China, being the real owner of the sea area, reiterates China’s sovereignty over the territory, meanwhile exploring the real interests of the neighboring countries’ demanding for the territory. It was found out that an important reason behind their claim is the rich fishing and mineral resources in the area. The Chinese government hence proposed in talks with relative countries that “put aside dispute, engage in joint exploration”. The proposal met with general acceptance and proved to be quite effective in lightening the tense atmosphere in the region. 3. Invent Options for Mutual Gain The first two components look at the relation between people and problems, and interests and positions, which are conducive for negotiators to establishing an objective view on those important factors in negotiations. The third component of inventing options for mutual gain provides an approach to fulfillment of the two parties’ demands. There are in fact always solutions to problems to be solved, which is unfortunately, often not fully understood. Generally speaking, there are three factors hindering people from seeking for alternative solutions: One is the fixed distributive plan. The distributive concept retards creative thinking and options and hence results in failure of negotiations. The second is seeking for only solution. Negotiators are not aware of the fact that creative thinking and options are part of a successful negotiation. The third is considering only one’s options suiting one’s own . To get rid of the above mentioned barriers and offer creative options, the

following steps can be considered 1)We set aside the idea that have to be at our expense 2) We encourage each other problems; 3)We do not prematurely focus on an option people are read 2. Invent creative options 1)We separate inventing options from 2)We develop several options before looking for a 3)We look for common and Interests: 4) We look for options that would make the decision for them ing an option requires a to decide one option is better than the other or is the among several options, and now it comes to the fourth component---introducing an objective criterion 4. Introduce an Objective Criterion The first three components ad vocate the benefits of considering interests and designing a distributive pattern that would satisfy both sides demands However, conflicts and disputes of the two parties over interest gain ing will no matter how considerable the two sides try to be and how creative in provid ing options When the two sides can not which option is and rational looking for an An objective criterion should be fair, effective and rational if it is regarded as objective The following points will be considered when telling if a criterion is fair and objective or not An objective criterion should be independent of of all parties and thus be from sentimental influence of any one 2. An objective criterion should be and realistic 3. An objective criterion should be at least theoretically side One point is clear that different have different objective criteria For example, Criteria of price talking will include factors of cost, market situation depreciation, price competition and other necessary factors In other negotiations, experts'opinions, international conventions and norms and legal documents will all serve as objective criteria Case

4 following steps can be considered: 1. Diagnose 1) We set aside the idea that their have to be at our expense; 2) We encourage each other to help problems; 3) We do not prematurely focus on an option people are ready. 2. Invent creative options: 1) We separate inventing options from them; 2) We develop several options before looking for a ; 3) We look for common and interests; 4) We look for options that would make the decision for them. Selecting an option requires a to decide one option is better than the other or is the among several options, and now it comes to the fourth component---introducing an objective criterion. 4. Introduce an Objective Criterion The first three components advocate the benefits of considering parties’ interests and designing a distributive pattern that would satisfy both sides’ demands. However, conflicts and disputes of the two parties over interest gaining will not______ no matter how considerable the two sides try to be and how creative in providing options. When the two sides can not which option is and rational, looking for an will be a way . An objective criterion should be fair, effective and rational if it is regarded as objective. The following points will be considered when telling if a criterion is fair and objective or not. 1. An objective criterion should be independent of of all parties and thus be from sentimental influence of any one. 2. An objective criterion should be and realistic 3. An objective criterion should be at least theoretically by both sides. One point is clear that different have different objective criteria. For example, Criteria of price talking will include factors of cost, market situation, depreciation, price competition and other necessary factors. In other negotiations, experts’ opinions, international conventions and norms and legal documents will all serve as objective criteria. Case

In the Sino-US negotiation on China's accession into WTO, the two parties disputed over China's developing country status US took the position that China should be treated as a developed country. To back US stance, American negotiator cited China's growing exports and large foreign reserve holdings They argued that in developing countries China's sophisticated technology in lunching and retrieving satellites had no parallel One American negotiator even compared the situation in China with that in India and some African countries. He said when he opened the door of a family in a poorest area randomly chosen by the Chinese government and asked the people if they had their breakfast, he was told they did, and he went on asking if lunch and supper were guaranteed, the answer was yes. However he had a very different story in some African countries and even in some areas in India. People there had little food for breakfast, not to mention lunch and supper The two countries insisted on their own standards and it was hard to bridge the d When an objective criterion is agreed upon, the other important thing to do is a fair procedural standard, which means the procedure or carrying out the criteria othe. he procedure will be regarded as fair when one party cuts a cake and asks the Other procedures which may be called fair can be 1.d g 2. drawing lots 3. looking for an arbitrator To sum up, in introducing an objective criterion 1. We look for objective criteria; different standards may be appropriate 3. We look for procedural standard In Fisher and Ury's view, the three standards described below can be applied to for jud ging success or failure of a negotiation approach 1. If an agreement is possibly reached, it should satisfy the interests of both parties to the and resolve their conflicts meanwhile protecting public interests 2. The agreement should be highly The agreement will or at least not hurt the relationship of the two parties

5 In the Sino-US negotiation on China’s accession into WTO, the two parties disputed over China’s developing country status. US took the position that China should be treated as a developed country. To back US stance, American negotiator cited China’s growing exports and large foreign reserve holdings. They argued that in developing countries China’s sophisticated technology in launching and retrieving satellites had no parallel. One American negotiator even compared the situation in China with that in India and some African countries. He said when he opened the door of a family in a poorest area randomly chosen by the Chinese government and asked the people if they had their breakfast, he was told they did, and he went on asking if lunch and supper were guaranteed, the answer was yes. However he had a very different story in some African countries and even in some areas in India. People there had little food for breakfast, not to mention lunch and supper. The two countries insisted on their own standards and it was hard to bridge the discrepancy. When an objective criterion is agreed upon, the other important thing to do is to______ a fair procedural standard, which means the procedure or ______ of carrying out the criteria. The procedure will be regarded as fair when one party cuts a cake and asks the other party to choose first. Other procedures which may be called fair can be 1. doing in turns 2. drawing lots 3. looking for an arbitrator To sum up, in introducing an objective criterion: 1. We look for______ objective criteria; 2. We discuss ______ different standards may be appropriate; 3. We look for______ procedural standard. In Fisher and Ury’s view, the three standards described below can be applied to for judging success or failure of a negotiation approach: 1. If an agreement is possibly reached, it should satisfy the ______ interests of both parties to the ______ and resolve their conflicts, meanwhile protecting public interests; 2. The agreement should be highly ______; 3. The agreement will ______, or at least not hurt the relationship of the two parties