Negotiation Strategies for Mutual Gain: The Basic Seminar of the Program on Negotiation at Harvard Law School
Publication Year: 1993
Subject: Negotiation & Conflict Management
With contributions from top scholars in the field of negotiation, this clear and entertaining volume effectively blends technique with theory to present frameworks for effective negotiating, analyses of person-to-person negotiating situations and applications in organizational settings. Building on the concept that conflict, when managed well, can provide the impetus for growth, constructive change and mutual benefit, the book is dedicated to breaking the paradigm of winning and losing and transforming negotiation into a search for improved solutions to problems.
- Front Matter
- Back Matter
- Subject Index
- Chapter 1: Negotiation Power: Ingredients in an Ability to Influence the Other Side
- Chapter 2: The Neutral Analyst: Helping Parties to Reach Better Solutions
- Chapter 3: Facilitated Collaborative Problem Solving and Process Management
- Chapter 4: The Courthouse and Alternative Dispute Resolution
- Chapter 5: Resolving Public Disputes
- Chapter 6: Why the Labor Management Scene Is Contentious
- Chapter 7: Searching for Mutual Gains in Labor Relations
- Chapter 8: Options and Choice for Conflict Resolution in the Workplace
Copyright ampnumx00A9; 1993 by Sage Publications, Inc.
ampnumx201C;Style and Effectiveness in Negotiationampnumx201D; ampnumx00A9; 1993 by Gerald R. Williams
All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission in writing from the publisher.
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Printed in the United States of America
Library of Congress Cataloging-in-Publication Data
Main entry under title:
Negotiation: strategies for mutual gain: the basic seminar of the Harvard Program on Negotiation / [edited by] Lavinia Hall.
Includes bibliographical references and index.
ISBN 0-8039-4849-2 (hard).ampnumx2014;ISBN 0-8039-4850-6 (pbk.)
1. Negotiation. 2. Conflict management. 3. Interpersonal conflict. 4. Harvard Law School. Program on Negotiation. I. Hall, Lavinia.
00 01 10 9 8 7 6
Sage Production Editor: Astrid Virding
The work of righteousness shall be peace and the effect of righteousness, quietness, and assurance forever.Isaiah 32:17
We have thought of peace as passive and war as the active way of living. The opposite is true. War is not the most strenuous life. It is a kind of rest cure compared to the task of reconciling our differences. From war to peace is ampnumx2026; from the futile to the effective, from the strategic to the active, from the destructive to the creative way of lifeampnumx2026;. The world will be regenerated by the people who rise above these passive ways and heroically seek, by whatever hardship, by whatever toil, the methods by which people can agree.Mary Parker Follett
This book is for people in all fields who need to deal with conflict and resolve issues on a continual basis. Conflicts, improperly managed, within or between organizations or between individuals, are frustrating and waste valuable resources of time, energy, [Page viii]and finances. The Harvard Program on Negotiation is dedicated to improving the processes of reaching agreements. It assumes that conflicts, managed well, can provide the impetus for growth, constructive change, and mutual benefit. Ideas for settling disputes, improving communication, and changing the nature of certain debates are covered in this book.
Negotiation: Strategies for Mutual Gain is about breaking the paradigm of winning and losing and transforming negotiation into a search for improved solutions to problems. While many successful businessmen, judges, lawyers, therapists, and other people act on this instinctively, the common wisdom still holds that nice guys finish last and that asking for more than you want or need ensures that you will get your minimum.
An assumption of the Harvard Program on Negotiation is that there is nothing so practical as good theory, and nothing more stimulating to good theory than engaging in practice. While fully developed academic theories are as yet few in this relatively new area of study, the invention of new techniques and their creative application to everyday situations and negotiations is quite productive, as I think this volume attests.
This is a collection of key ideas and process strategies about negotiating and resolving disputes more effectively. All of the authors have been lecturers in the seminar of the Program of Negotiation at Harvard Law School. Each of their lectures is organized around a key idea in their work and expands on their particular approach to dispute resolution and problem solving. In some cases the lectures have simply been edited; in others, it was necessary to construct a separate chapter because of the format of the original lecture. In the case of Roger Fisherampnumx0027;s presentation, we decided that the chapter on power from his 1991 edition of Getting to Yes, co-authored with Bill Ury and Bruce Patton, was the best version.
The book itself is an outgrowth of a popular semester-length seminar that is given each year at Radcliffe by the Harvard Program on Negotiation. It is open to graduate students and professionals. I designed it and was its main instructor during its initial 3 years. The idea for the seminar as the core of the program was the brainchild of Lawrence Susskind, then executive director of the Program on Negotiation, who obtained initial funding from the [Page ix]Hewlett and Exxon foundations to help spread the word about the academic work and fieldwork being done in negotiation. He asked me to create a seminar that would be a window on the field of negotiation and dispute resolution ideas developed by faculty and affiliated practitioners. I remain grateful for the chance it provided to work with enthusiastic theorists, practitioners, and students of negotiation and dispute resolution.
Designing and teaching the seminar provided fertile ground for honing my own mediation skills, because the faculty often saw different issues as most worthy of being emphasized and presented a wide range of exciting ideas, case studies, and simulations. To some degree, the pedagogy of the course follows literary critic Kenneth Burkeampnumx0027;s idea of developing ampnumx201C;perspectives by incongruity.ampnumx201D; Rather than reconciling the contradictions and gaps in the lecturersampnumx0027; approaches vis-ampnumx00E0;-vis each other, the students and I needed to spend substantial time debating and integrating the ideas presented into their own frameworks of negotiation and dispute resolution practice. It allowed, indeed required, them to synthesize things for themselves in order to develop their own work. Pedagogically speaking, we were learning to learn.
Negotiation (much as the structure of the course does) attempts to present a set of ideas, organized around frameworks for improving negotiation; the challenges to applying these ideas in organizational settings; and some analyses of individual behavior in negotiation. It is hoped that the format offers readers the chance to pick and choose among its ideas for integration into their own practice at work, at home and in a variety of negotiations where its ideas prove useful.
In Negotiation, the most compelling and unifying theme is the critical importance of good process. Virtually all of the authors, from Roger Fisher in his analysis of the elements of negotiation power, to Gerry Williamsampnumx0027;s description of lawyersampnumx0027; negotiating, emphasize the need for negotiators to develop awareness and constructive processes. All of the authors are positive in outlook and firmly believe that reframing how we negotiate and problem solve is highly possible; they are also realistic and demonstrate how hard it is at times to change ingrained habits. These brief, birdampnumx0027;s-eye looks at some of the most interesting ideas in negotiation and dispute resolution work today should hearten us all about the [Page x]possibilities of improving outcomes by improving the processes we use to reach them.
For those interested, the full curriculum and pedagogical design of the course itself is presented in Appendix I. It was first given in the fall of 1985 and has been given annually since then. Approximately half of the participants are graduate students and the balance are professionals (lawyers, psychotherapists, planners, managers) seeking ways to incorporate negotiation and dispute resolution techniques and practice into their work. The approach is intentionally cross-disciplinary; the premise is that negotiation is not a field in itself but rather a set of process and analytic skills that can be applied to good effect in courts, diplomacy, city planning, and inside corporations and government agencies.
I would like to thank all the contributors for their time and work in helping the Program on Negotiation and the National Institute for Dispute Resolution, which will share all proceeds from this book. Thanks also to all those lecturers who have participated over the six years of the program. The National Institute for Dispute Resolution provided funding for the bookampnumx0027;s production, and I must thank Michael Lewis and Madeleine Crohn also for their support and patience when it took longer than anticipated. Esther Siskind helped in the early stages of copy editing, and Maria Hortaridis and Meemee Swofford were an enormous help in final typing and production.
Chris Christensen of Harvard Business School taught a seminar about teaching that helped me think about how to present these ideas. Finally, I am grateful to past and present students of the seminar who continue to demonstrate what learning to learn by unfreezing old habits and integrating these techniques into practice really means.
All proceeds from this book will be divided between the Program on Negotiation at Harvard Law School and the National Institute for Dispute Resolution to further their work.Lincoln, MA
Appendices[Page 175][Page 176]
Appendix I: Sample Curriculum on Negotiation and Dispute Resolution[Page 177]
The following is an outline of the curriculum for the seminar that I taught and from which I created the book. I designed the course to be approximately one-third lecture and discussion led by the main instructor, one-third lectures by guest lecturers, and one-third experiential exercises and simulations including two all-day classes. Weekly seminar sessions run 2ampnumx00BD; hours for a full semester.
The course was designed and taught by me in its first 3 years as a window on the field of dispute resolution techniques and theories currently being worked on by practitioners and academics chiefly from the Boston area. Each year, the guest lecturers varied, although over the past 7 years, some guests have spoken more than once. The topics covered by guest lecturers also change annually, but are designed with a balance between different perspectives.
The course aims to teach a range of effective negotiation and dispute resolution practices. Its goal is to have students become aware of their own and othersampnumx0027; behavior in negotiation and the effect or response that their communication has on others. The skills taught in the course include reversing roles and seeing the other sideampnumx0027;s perspective, creating mutually acceptable options, and using external standards to evaluate agreements. The participants are both graduate students and professionals (lawyers, psychotherapists, urban planners, businesspeople, etc.) who wish to improve their negotiating and dispute resolution skills.
All students are required to keep a journal that reflects on their real-world negotiations and relates to the readings, lectures and discussions in the course. Where possible, students are urged to write in it daily, and then turn in their [Page 178]journals at midterm and the end of the semester. In addition, two sets of questions, based on the course for that year, are developed by the students and instructor at midterm and at the end of the term and answered by each student. Examples of such questions follow the sample curriculum below.
The following texts are assigned to be read in advance of the course, if possible. While specific readings are assigned during the semester, reading the four books in their entirety is strongly recommended. The books are:
Fisher and Ury (1981), Getting to Yes
Raiffa (1982), The Art and Science of Negotiation
In addition, two other books should be read for background. These are:
Pruitt and Rubin (1986), Social Conflict: Escalation, Stalemate and and Settlement
Susskind and Cruikshank (1987), Breaking the Impasse
Exercises are handed out in class as are copies of particular articles. (A sample exercise is contained as an appendix to Roweampnumx0027;s chapter in this volume.) Finally, the additional articles are assigned for the relevant session. All exercises are available through Harvard Program on Negotiation (see Appendix II).Session I. Overview of Seminar
ampnumx201C;Window-on-the-fieldampnumx201D; integrative approach; mapping of sessions, readings, and goals of the workshop sessions.
Readings (to be read after first class meeting)[Page 179]
Fisher and Ury (1981), Getting to Yes (reread)
Hofstadter (1983), ampnumx201C;Metamagical Themasampnumx201D;
White (1985), ampnumx201C;Review of Getting to Yesampnumx201D;
McCarthy (1985), ampnumx201C;The Role of Power and Principle in Getting to Yesampnumx201D;
Fisher (1985), ampnumx201C;Beyond YESampnumx201D;
Bazerman (1987), ampnumx201C;Six Years Later: Where Negotiation Is Now and Where It Should Goampnumx201D;
During the first all-day workshop and the second one at midterm, the class is exposed to different dispute resolution techniques including negotiation, mediation, facilitation, and collaborative problem solving.Saturday Workshop I
9:15ampnumx2013;12:00 Positions Versus Interests: An analysis of principled negotiation and its techniques in contrast to positional bargaining and other theories of horse trading Exercise: ampnumx201C;Sally Swansongampnumx201D; and debriefing 12:00-1:00 Lunch and preparation for exercise 1:00-5:00 Exercise: ampnumx201C;Harborcoampnumx201D; and debriefing
Raiffa (1982, pp. 137ampnumx2013;147), The Art and Science of Negotiation (reread)
Schelling (1960), ampnumx201C;Essay on Bargainingampnumx201D;
Lewicki and Litterer (1985, chap. 5), ampnumx201C;Strategies and Tactics of Integrative Bargainingampnumx201D;II. Alternative Dispute Resolution and the Legal System
Sander (1985), ampnumx201C;Alternatives Inside and Outside the Courts: The Forgotten Forumsampnumx201D;
Goldberg, Green, and Sander (1985, chap. 1), ampnumx201C;The Disputing Universeampnumx201D;
Zack (1980), ampnumx201C;Understanding Grievance Arbitration in the Public Sectorampnumx201D;
Bazerman and Farber (1984), ampnumx201C;Analyzing the Decision Making Processes of Third Partiesampnumx201D;III. Mediated Negotiation and Public Disputes
Susskind and Cruikshank (1987, chaps.) ampnumx201C;Introductionampnumx201D; and ampnumx201C;Assisted Negotiationampnumx201D;[Page 180]IV. The Issue of Gender in Negotiation
Rubin and Brown (1985), ampnumx201C;Bargainers as Individualsampnumx201D;
Pruitt and Rubin (1986) Social Conflict: Escalation, Stalemate and Settlement Random House (look through generally)V. Ways of Disputing, an Ombuds Perspective
Rowe (1987), ampnumx201C;The Corporate Ombudsman: An Overview and Analysisampnumx201D; Questions to be handed outVI. Mediation
Bercovitch (1984), ampnumx201C;Uniform or Diverse Interventionsampnumx201D;
Journals and answers to questions are due. Students should also submit any questions that they would like to discuss at the midterm discussion on this date.[Page 181]VII. Mid-Course Discussion: What are the Common and Conflict Themes and Issues So Far?
Lewicki and Litterer (1985, chap.), ampnumx201C;Planning and Preparationampnumx201D;
Fisher (1983), ampnumx201C;Negotiating Powerampnumx201D;
Lax and Sebenius (1986, chaps.), ampnumx201C;Creating and Claiming Valueampnumx201D; and ampnumx201C;The Managerampnumx0027;s Dilemmaampnumx201D;
Raiffa (1982, pp. 119ampnumx2013;130), The Art and Science of Negotiation (reread)
Schelling (1960, chap.), ampnumx201C;An Essay on Bargainingampnumx201D; (reread)VIII. Intra-organizational Conflict
Kolb (1987), ampnumx201C;Out of Sightampnumx201D;Saturday Workshop II
9:15ampnumx2013;12:30 Facilitation and Collaborative Problem Solving Exercise: ampnumx201C;Dirty Stuffampnumx201D; 12:30-1:30 Lunch 1:30-5:00 Video on union negotiation, Final Offer
Heckscher (1988, chaps.), ampnumx201C;Introductionampnumx201D; and ampnumx201C;Multilateral Negotiationampnumx201D;IX. Community Mediation
Goldberg, Green, and Sander (1985), ampnumx201C;Neighborhood Justice Centersampnumx201D;
Davis (1987), ampnumx201C;Justice Without Judgesampnumx201D; (just skim)[Page 182]X. Competitive and Cooperative Negotiating Styles
Williams (1983, chap.), ampnumx201C;The Dynamics of Cooperative and Competitive Negotiationampnumx201D;XI. Intercultural Factors in Negotiation
Casse (1980), Training for the Cross-Cultural Mind
Journals and answers to questions due. Questions for discussion should be submitted.XII. Wrap-up and Synthesis of Course
Pruitt and Rubin (1986), Social Conflict
Susskind and Cruikshank (1987), Breaking the Impasse
Others to be handed out in classSample Questions
Please answer one question in each set (for a total of three questions). Your exam should be typewritten, double-spaced, and stapled. Each response should be about 1,000 words in length.Question 1
What three (and only three) key lessons about negotiations have you learned this semester? Or, stated differently, what three points of advice would you give to your best friend facing a negotiation? Be as [Page 183]specific as possible (such as particular techniques, different kinds of knowledge, etc.) Describe these lessons in ampnumx201C;plain Englishampnumx201D; (assume your friend has not and will not have time to read Getting to Yes) and explain why they are important.
What are the limitations of negotiation as a dispute resolution method? That is, are there types of disputes, situations, or conditions under which negotiations, principled or otherwise, should be avoided? Explain how one should judge whether negotiations ought to be undertaken, giving illustrative examples as appropriate.
Question 3 (Everyone Must Answer This Question)
How do you think an outside ampnumx201C;helperampnumx201D; can assist in a negotiation? In your answer, consider the range of third-party roles you have read about, tried, and discussed this semester. Be as specific as possible, using illustrative examples that draw on your own experience in work or your field of study.
Do you believe gender is a significant factor in negotiations? If yes, how does gender affect negotiations (illustrate with examples)? What can a negotiator do to mitigate or eliminate any negative impacts of gender differences (from the perspective of either a male or female)? If no, what factors are significant in negotiations?
- What have you learned about yourself with respect to negotiations? How will this information affect the way you deal with conflict and disputes in the future in your professional and/or personal life?
The Seminar in Negotiation and Dispute Resolution is the core component in the Specialization that the Program on Negotiation (PON) has offered since 1985. The Specialization offers encouragement and support to graduate students committed to developing a special expertise in negotiation and dispute resolution to apply in fields such as human resources management, international peacemaking, managerial negotiations, competitive decision making, family conflicts, or environmental and public policymaking.[Page 184]
The specialization program includes:
- The above curriculum in negotiation and dispute resolution and a one semester course in mediation offered in collaboration with Radcliffe College (also open to nonspecialization students and midcareer professionals).
- Four additional, elective courses in negotiation and dispute resolution, subject to approval by PON staff.
- A 300-hour internship with selected public and private dispute resolution agencies and organizations.
Students enrolled in the specialization program work with PON staff to design an individualized curriculum that balances study in theory with training in the skills of negotiation and dispute resolution. The specialization does not confer a degree or certification. Specialization staff are available for consultation on coursework, internship possibilities, and career opportunities.
The Specialization was designed to complement graduate study, and participants are largely enrolled in degree-granting programs at Boston-area institutions. However, professionals or students from outside the Boston area may pursue the Specialization as a ampnumx201C;special studentampnumx201D; without concurrent enrollment in a nearby graduate degree program.10.4135/9781452229096.n12
Appendix II: Case Clearinghouse Materials[Page 185]
The Program on Negotiation has a Case Clearinghouse that provides teaching materials for those interested in developing programs within their own organizations.
Simulations, role-plays, videotapes, and teaching notes are available at cost and can be obtained by calling or writing the Case Clearinghouse:
Program on Negotiation at Harvard Law School
Pound Hall 513
Cambridge, MA 02138
For more specific curriculum questions or issues about systems design for organizations, write the editor:
Lavinia Hall, Esq.
c/o Program on Negotiation at Harvard Law School10.4135/9781452229096.n13
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Alternative dispute resolution that worksampnumx002F;North York, Ont: Captus Press.(1980). Too much invested to quit. New York: Pergamon., , , ampnumx0026; (Thakur, R. (Ed.). (1988). International conflict resolution. Boulder, CO: Westview.[Page 197]1975). Procedural justice: A psychological analysis. Hillsdale, NJ: Lawrence Erlbaum. http://dx.doi.org/10.2307/1227990, ampnumx0026; (1982). The peace brokers: Mediators in the Arab-Israeli conflict, 1948ampnumx2013;1979. Princeton, NJ: Princeton University Press.(Touval, S., ampnumx0026; Zartman, I. W. (Eds.). (1985a). International mediation in theory and practice. Boulder, CO: Westview.Touval, S., ampnumx0026; Zartman, I. W. (Eds.). (1985b). The man in the middle: International mediation in theory and practice. Boulder, CO: Westview.1985). Beyond the hotline: How crisis can prevent nuclear war. Boston: Houghton Mifflin.(1988). Getting disputes resolved: Designing systems to cut the costs of conflict. San Francisco: Jossey-Bass., , ampnumx0026; (Vermont Law School Dispute Resolution Project. (1984a). Removing the barriers to the use of alternative methods of dispute resolution. South Royalton: Vermont Law School.Vermont Law School Dispute Resolution Project. (1984b). A study of the barriers to the use of alternative methods of dispute resolution. South Royalton: Vermont Law School.Vermont Law School Dispute Resolution Project. (1987). The role of mediation in divorce proceedings: A comparative perspective. South Royalton: Vermont Law School.1944). Theory of games and economic behavior. Princeton, NJ: Princeton University Press., ampnumx0026; (1985). Negotiation: Theory and practice. Glenview, IL: Scott, Foreman. http://dx.doi.org/10.1177/014920639101700203(Wallensteen, P. (Ed.). (1988). Peace research: Achievements and challenges. Boulder, CO: Westview.1961). The impact of the Professional Engineering Union. Boston: Division of Research, Graduate School of Business Administration, Harvard University.(1969). Interpersonal peacemaking: Confrontation and third party consultation. Reading, MA: Addison-Wesley.(1987). Managing conflict: Interpersonal dialogue. Reading, MA: Addison-Wesley. http://dx.doi.org/10.2307/2391364(1965). A behavioral theory of labor negotiations: An analysis of a social interaction system. New York: McGraw-Hill., ampnumx0026; (1980). Winning by negotiation. New York: McGraw-Hill.(Separate strengths? How women and men negotiate. Center for Negotiation and Conflict Resolution at Rutgers University, NJ., ampnumx0026; (n.d.).1979). Conflict regulation. Boulder, CO: Westview. http://dx.doi.org/10.1037/0096-15126.96.36.1992(Weithorn, L. A. (Ed.). (1987). Psychology and child custody determination: Knowledge, roles and expertise. Lincoln: University of Nebraska Press.1988). Resolving employment disputes without litigation. Washington, DC: BNA Books., ampnumx0026; (1990). The Moscow summit, 1988: Reagan and Gorbachev in negotiation. Boulder, CO: Westview.(1968). Nobody wanted war: Misperception in Vietnam and other wars. Garden City, NY: Doubledayampnumx002F;Anchor.([Page 198]1984). Fearful warriors: A psychological profile of U.S.-Soviet relations. New York: The Free Press.(1985, January). Review of getting to yes. Negotiation Journal1 (1).(White, R. K. (Ed.). (1986). Psychology and the prevention of nuclear war: A book of readings. New York: New York University Press.1989). Developing corporate character: How to successfully change an organization without destroying it. San Francisco: Jossey-Bass.(Wilkinson, J. H. (Ed.). (1990). Donovan Leisure Newton ampnumx0026; Irvine ADR practice book. Colorado Springs, CO: Wiley Law Publications.1983). Legal negotiation and settlement. St. Paul, MN: West.(1986). International trade and Tokyo round negotiation. Princeton, NJ: Princeton University Press.(1988). Trading with Canada: The Canada-U.S. free trade agreement. New York: Priority Press. http://dx.doi.org/10.1017/S147474560300140X(1988). Public lands conflict and resolution: Managing national forest disputes. New York: Plenum Press.(Woodhouse, T. (Ed.). (1988). The international peace directory. Plymouth, UK: Northcote House.1967). The intermediaries: Third parties in international crises. Princeton, NJ: Princeton University Press. http://dx.doi.org/10.1016/S0300-595X%2877%2980073-X(Young, O. R. (Ed.). (1975). Bargaining: Formal theories of negotiation. Urbana: University of Illinois Press. http://dx.doi.org/10.1097/00000446-195701000-000041980). Understanding grievance arbitration in the public sector. Washington, DC: Department of Labor.(1983). Labor agreement in negotiations and arbitration. Washington, DC: Bureau of National Affairs., ampnumx0026; (Zack, A. M. (Ed.). (1984). Arbitration in practice. Ithaca, NY: ILR Press.1988). The ombudsman: How good governments handle citizensampnumx0027; grievances. Cabin John, MD: Seven Locks Press.(1976). The 50ampnumx0025; solution: How to bargain successfully with hijackers, strikers, bosses, oil magnate, Arabs, Russians, and other worthy opponents in the modern world. Garden City, NY: Anchor Press.(Zartman, I. W. (Ed.). (1978). The negotiation process: Theories and applications. Beverly Hills, CA: Sage.1982). The practical negotiator. New Haven, CT: Yale University Press., ampnumx0026; (Zimny, M., Dolson, W., ampnumx0026; Barreca, C. (Eds.). (1990). Labor arbitration: A practical guide for advocates. Washington, DC: BNA Books.
EDITORampnumx0027;S NOTE: This bibliography was originally compiled by staff of the Harvard Program on Negotiation. I have added to it many of the authorsampnumx0027; references in this volume. It was developed as a resource list for those interested in dispute resolution and so contains more than is directly referenced in this book.
About the Authors