NEGOTIATION TRAINING

WORKSHOP

NIH Office of the Ombudsman/Center for Cooperative Resolution

Presenters:Linda Brothers and Lisa WitzlerAssociate OmbudsmenNovember 13, 2013

WHY DO WE NEGOTIATE?

Approaches to Conflict

Interest-Based Issues

Interests

Options

Collaborative Outcome

Positional Issues

Positions

Power Assertion

Win-Lose Outcome

Handling Conflict - Two Models

• Traditional/Positional• Each side is focused on his/her self interest only• They perceive sides, assume adversaries• Focus on positions – with often high initial demands,

threats• Limited information shared

• Interest-Based• Each person recognizes the legitimate interests of

the other party• People take a joint approach, perceive themselves

working on common problem(s)• More open communication and information sharing

Advantages of Interest-Based Negotiation

More creative solutions, reached more quickly

• Fewer deadlocks and lost opportunities • More satisfied participants • Better compliance• Better dealings in the future• Preserve and even strengthen workplace relationships

5

Interest-Based Negotiation (IBN)

A method of negotiation used to decide issues based on interests, rather than by haggling over positions.

Five Basic Principles of IBN:– Separate the people from the PROBLEM– Focus on INTERESTS, not positions– Create OPTIONS for mutual gain – Develop your BATNA– Define objective CRITERIA

R. Fisher, W. Ury, B. Patton. Getting to Yes.

Separate the people from the

problem

Separating People from the Problem Perceptions

Place yourself in their shoes Do not interpret their motives by your fears Discuss the perceptions

Emotions Recognize they exist Acknowledge them and allow for venting Do not react to them

Communication Listen and avoid misunderstandings

Assumptions Be mindful of the assumptions you are making (often

unconsciously), especially cultural assumptions

Separate the people from the

problem

Focus on interests

not positions

A Position is…• What a person feels, believes, wants• One person’s desired outcome• Something that often cannot be negotiated

Explore all interests underlying the issues

Focusing on Positions Each side is only focused on his/her self-interest The parties perceive “sides,” assume they are adversaries Focus on positions – with often high initial demands, threats Limited information shared Often involves lawsuits, adjudication or similar processes

An Interest is…• Underlying need or concern• Why an issue is important• Fears, hopes, needs, desires• Tangible or psychological

Interests: Part of Problem Resolution

Focusing on InterestsEach person recognizes the interests of the other partyIdentifying interests can open the door to negotiationPeople take a joint approachPerceive themselves as working on a common problemMore open communication and information sharingOften involves mediation, facilitation, or other alternative

dispute resolution processes

Positions v. Interests

Positions

Solutions to problems

Specific & definite

Basis for argument

Require justification

End discussion

Interests

Why a particular solution is preferred

Reasons underlying positions

Require explanation not justification

Start discussion

Focus on Interests

Look for interests behind positions

Prioritize interests

Consider other side’s interests

Critical to preparation before the negotiation!

Interests…..communicated

“What I’m trying to do here is…..”

“I have to do X because….”

“I cannot do X because…..”

“I’m really concerned about….”

Separate the people from the

problem

Focus on interests

not positions

Create options for mutual gain

Options for Mutual Gain• Recognize there can be more than 1 option

• Expand the pie

Which Plan Would You Choose?

Plan A

This plan will save the cargo of one of the three barges, worth $200,000.

Plan B

This plan has a one/third probability of saving the cargo of all three barges, worth $600,000, but has a two-thirds probability of saving nothing.

17

What if you were presented these two plans instead?

Plan C

This plan will result in the loss of two of the three cargoes, worth $400,000.

Plan D

This plan has a two/thirds probability of resulting in the loss of all three cargoes and the entire $600,000, but has a one-third probability of losing no cargo.

18

Reframing

Changing the wording or characterization of something to make it:

•Easier to understand,

•Easier to accept, or

•More conducive to joint problem-solving

Useful for:

•Moving from positions to interests

•De-escalating conflict

•Adding perspective

Options for Mutual Gain

Brainstorm possible solutions together

Consider options for joint benefit

Create what neither of you could do on your own

Look for possible trade-offs that can turn potential into reality

Separate the people from the

problem

Focus on interests not positions

Create options for mutual gain

Define objective criteria

Objective Criteria

When you’re almost there…..

Avoid a contest of wills

Agree to use objective criteria

Agree on which criteria to use

THEN apply the standard to the dispute

Types of Objective Criteria

• “Others in the field do….” (What is customary)

• “The last time this happened we….” (Precedent)

• “The regulation says…” (Law)

• “If you were me would you….?” (Reciprocity)

Separate the people from the

problem

Focus on interests not positions

Create options for mutual gain

Develop your

BATNA

Define objective criteria

BATNA

Best Alternative to a Negotiated Agreement

• What you will do if an agreement is NOT reached

• Alternatives OUTSIDE of the negotiation

Identify and Strengthen BATNA

Know your BATNA Focus on what you want to achieve and the different ways to

accomplish this

Strengthen your BATNA Construct your BATNA to be more achievable, probable, or

satisfying more of your interests Improves your confidence during the negotiation

Consider other side’s BATNA Make their BATNA less attractive to them

Negotiation Preparation• Who will be there?

• Is there anyone missing?• Will you have a team member?

• What will you discuss?• Are there guidelines for the

discussion?• What to you want to

accomplish?

• Where will you negotiate?• Will the negotiation be over the

phone or in person in an office or in a “neutral” place?

• When will you negotiate?• Pick a time that is best for all

parties

• Why are you negotiating?• Why do you need/want to

negotiate?• Why is this important to you/to

them?

• How will you begin, stay on track, end?• How will you communicate and

make decisions with your team?

Negotiation Prep Worksheet

Party A (you) Party B (the other person)

My position Their position

My needs/interests Their needs/interests

My BATNA Their BATNA

What can I offer to meet their needs/interests?

What can they offer to meet my needs/interests?

Options for agreement

Reframe(s)

ConclusionUnderstanding Interest-Based Negotiation

The 5 principles• Separate the people from the PROBLEM• Focus on INTERESTS not positions• Create OPTIONS for mutual gain • Develop your BATNA• Define objective CRITERIA