Developing Negotiation Case

Studies
James K. Sebenius

Working Paper
11-008

Copyright 2010 by James K. Sebenius

Working papers are in draft form. This working paper is distributed for purposes of comment and
discussion only. It may not be reproduced without permission of the copyright holder. Copies of working
papers are available from the author.


DevelopingNegotiationCaseStudiesi
EditedversionforthcomingintheNegotiationJournal
October6,2010,v2.51
JamesK.Sebenius,jsebenius@hbs.edu
HarvardBusinessSchool

Abstract

Whileagreatdealofexcellentadviceexistsforproducingcasestudieson
manageriallyrelevanttopicsingeneral,negotiationcaseshavedistinctiveaspectsthatmerit
explicittreatment.Thisarticleoffersthreetypesoftailoredadviceforproducingcaseson
negotiationandrelatedtopics(suchasmediationanddiplomacy)thatareprimarilyintended
forclassroomdiscussion:1)howtodecidewhetheranegotiationrelatedcaseleadisworth
developing;2)howtochoosetheperspectiveandcasetypemostsuitedtoonesobjectives;
and3)inbyfarthelongestpartofthediscussion,tennutsandboltssuggestionsfor
structuringandproducinganexcellentnegotiationcasestudy.

Supposeyoureadabout,participatein,orotherwisebecomeawareofanegotiation
thatintriguesyouasapossiblecandidateforacasestudy.Perhapsastudent,colleague,
participantinanexecutiveprogram,orprivateclientsuggestssuchanepisode.Youmay
considerresearchingandwritingupthecaseyourselforyoumightsupervisesomeoneelse
forthispurpose.Shouldyouproceedwithaninvestmentofyourscarcetimeand
resources?Ifso,how?Whatsthebestcasewritingadviceyoucangivetoaresearch
assistant,astudent(team)grapplingwithacourseassignmenttoproduceacasestudy,or
someoneelsewhoissimplyinterestedinwritingupanegotiationfordiscussion
purposes?ii
Generationsofexperienced,evenlegendary,casewritershavecodifiedguidelines
forproducingexcellentcasestudiesonvirtuallyanysubject.iiiYetnegotiationcasesoften
havedistinctiveaspectsthatmeritexplicittreatment.Overtheyears,Ivefoundmyselfin
manyconversationstryingtocrystallizeandconveytheelementsthatseemtocontribute
tocraftingsuperiornegotiationcases.Ihopethatpullingtheseinsightstogetherand
developingthemabitmoresystematicallywillbeusefulforothersundertaking
casewritingprojects.
Aquickcaveat:thoughcasewritingisoftenproperlypartofalargerresearch
program,andsynergisticwithothermethodologies,Ifocushereoncasestudiesthatare
mainlyintendedasvehiclesforclassroomdiscussionandanalysis.Assuch,Isidestep
importantissuesassociatedwithsystematicallyselectinganddevelopingcasesforwell
definedresearchprojects.Forexample,inthefieldofinternationalrelations,whichthrives
oncasestudies,themethodofstructured,focusedcomparisonsisaresearchstaple.iv
Moregenerally,exactingcriteriaexistforidentifying,developing,comparing,and
Draft:DevelopingNegotiationCaseStudies.Copyright 2010byJamesK.Sebenius.

contrastingcasestudiesinordertoextractvalidinductivesocialscientificknowledge.v
However,Ileavethatsetofconsiderationsforspecialistswithcasewritingasacomponent
ofwelldefinedresearchagendas.vi
Thefollowingsectionsofferthreetypesofadviceforproducingcasesthatare
primarilyintendedforclassroomdiscussion:1)howtodecidewhetheracaseleadisworth
developing;2)howtochoosetheperspectiveandcasetypemostsuitedtoyourobjectives;
and,3)inthebyfarthelongestpartofthediscussion,tennutsandboltssuggestionsfor
structuringandproducinganexcellentcasestudy.
Oneofthebestwaystolearnthecasewriterscraftistostudyanumberoftruly
excellentcasestudies,orbetter,todiscusssuchcasesinaforumledbyanexperiencedcase
methodinstructor.Assuch,ineachofthethreeadvicesectionsthatfollow,Imtemptedto
listanumberofmyfavoritenegotiationcasesasmodels.Since,however,thesechoices
maybeunfamiliartomanyreaders,andmaybesetintimes,places,orcontextsoflittle
interesttoothers,Iwillinsteadofferasetofmodelcases,pluscommentary,inanonline
foruminthehopethatotherswillconsult,comment,andcontribute.(Seeonlineurltobe
providedlater.).
I.Adviceondevelopingaprospectivecase:acaseforwhat?Acaseofwhat?
Startbyseekingclarityonyouroverallpurpose:acaseforwhat?Whendone
well,negotiationcasesprovidevaluablerawmaterialforgroupdiscussionandanalysis.
Theyfosterlearningfromtheexperiencesofotherswhohaveconfrontednegotiation
challengesarisinginpractice.Theyshowcaseboththepowerandlimitsofreceivedtheory.
Thelargergoalofnegotiationcasewritingshouldbetodevelopbettertheoryand
prescriptiveimplicationsthatpowerfullygeneralizeacrossdiversecontexts.Bydescribing
strategiesandtacticsthatdifferentprotagonistsuse,successfullyornot,toovercome
specificbarriers,casewritingcancontributetothisobjective.Caseanalysiscangenerate
unexpectedhypotheses,novelinsights,midlevelgeneralizations,anduseableknowledge
abouthowtoovercomethemostdauntingsituationsthatnegotiatorsandmediators
actuallyface.Asyouconsiderlaunchingacasestudyproject,agoodstartistoask,atleast
provisionally,whetherandhowthecaseprospectcouldadvancethesebroaderobjectives.
Youshouldalsoclarifyanymorespecificgoalsyouhaveforpursuingacaselead.
Forexample,ifitforacourse,whereandforwhatpurposeswillitbesituated?Isthecase
largelyexploratory,tohelpagroupunderstandthelayofthelandforasetofproblemsor
howaphenomenonofinterestplaysoutinagivencontext?Tohighlightaparticular
negotiationchallengeorclassofchallenges?Tomotivateacoursesection,concept,or
frameworktobedevelopedthatwill,perhaps,arisenaturallyinthecasesetting?To
cementkeyconceptsorskills?Tochallengestudentstoseehowatheoryappliesina
messy,realsituationorhowitmustbemodifiedtobeofvaluetopractitioners?Andso
on.
Goodanswerstothecaseforwhatquestionscanhelpyoudecidewhetherto
proceedand,ifso,how.Forexample,yourpurposemaydictatehowmuchambiguityand
complexityyoubuildintoacase(thatforcesthestudentstostrugglewiththeanalysis)
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versushowmuchhelpyougivethembyexplicitstructureandsignposting.Alternatively,if
partofyourpurposeistohavestudentslearnabouttheeffectsanindustrysmostcurrent
featuresoncontemporarydealmaking,oldersituationsobviouslywontdo.Ofcourse,
universaltruthsaboutnegotiationcanbegleanedfromstudyingclassicepisodesreaching
backtothePeloponnesianWars,theCongressofVienna,theU.S.CivilWar,theJ.P.Morgan
orchestratedrescueofthefinancialsystembeforetheFederalReservewascreated,or
GreatBritainsnegotiationswiththePrimeMinisterofMaltainthe1970s.Itdependson
yourobjectives.
Developagoodanswertothecaseofwhatquestion.Caseleadsaregenerally
goodcandidatesfordeeperstudyiftheirprotagonistsactpurposefullyandareable,for
nonidiosyncraticreasons,toovercomehighbarrierstoproductiveagreement.Or
protagonistsmayactpurposefully,butfailforreasonswellworthfurtheranalysis.For
caseleadsthatsatisfyatleastoneofthesepreliminarytests,mycolleague,MikeWheeler,
oftenwiselybutpersistentlydisciplinesmyenthusiasmbyasking:sothiscertainlysounds
interesting,but,hisvoiceinflectingup,itiscaseofwhat?
Sometimesyoufindanegotiationcaseleadthatmeetscriteriathatinterestyou;by
definitionsuchprospectspreanswerthecaseofwhatquestion.Forothercasesthatmay
havearisenastargetsofopportunity,developingacleareranswerisworthwhile.For
example,isitachallenginginstanceofasmaller,apparentlyweakerpartynegotiating
againstalarger,strongerone?Or,arethetacticshardballorcooperativeunusualand
worthanalysis?Isitsinterestmainlydrivenbygender,culture,orpersonalityclash?Does
itfeatureremarkablecoalitionbuilding,breaking,orverycreativedealdesign?Doestime
oradeadlineplayanunexpectedrole?Doprincipalagentdynamics,internalnegotiations,
negotiationsoneachsideofthetable,ornonstandardmovesawayfromthetableloom
large?Aretherenewsortsofmomentumgeneratingoractionforcingevents?Arethere
distinctcriticalmomentsorturningpoints?Howaboutmovesthatentailirreversibilities?
Doesaninsightfulstrategyorsetoftacticschangeperceptionsofthegameitself?Isthe
processorchestratedinanunusualfashionorarethedynamicsintriguing?Istherean
unexpectedfailureorbreakthroughfromwhichotherscouldlearn?Isthiscasepartofa
contextortopiconwhichyouorothersconsciouslyseektodevelopabodyofknowledge
(e.g.,negotiatingjointventuresinChinaorTurkey,onbiotechlicensingdeals,forbudgetor
headcount,etc.)
However,theepisodeyouhaveinmindmaysimplynotbeaverygoodcandidatein
thatlotsofother,verysimilarcaseshavebeenwrittenandthecandidatesituationwould
addlittle.Forexample,supposeitisaprettysimple,oneoffpricedealwiththeparties
eithersplittingthedifferenceafterafewroundsorplayingchickenwiththeirfinaloffers.
Nottoointerestingorworthmucheffortdeveloping.Whilecaseswithbigdollarnumbers
orfamousprotagonistsorwellknownorganizationshavesomeintrinsicinterest,such
glitzyhookswillrarelycarryacasethatdoesnthaveamuchbettersubstantiveanswerto
thecaseofwhatquestion.Youmayhaveaprotagonistorsponsoringorganizationthat
wantsanegotiationcasewritten(andpublished)butslantedforhighlyselfserving
reasons,withlittleprospectofincludingotherperspectives.Andsometimesacasemeets
allyourcriteriaofinterest,buttheessentialstoryand/orvitalinformationwillbeclearly
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unattainableforreasonssuchasstrongconfidentiality,competitiveorlegalsensitivities,
threatenedpride,restrictionsontalkingtokeyplayers(includingtheotherside),etc.
Thesefactorsmaypreventagoodanswertothecaseofwhatquestion.(Ofcourse,
sometimesacasewontlikelybeofmuchvalueorinteresttoabroaderaudience,buta
potentialcasewriterwhoactuallylivedthroughanintensenegotiationmayderivepersonal
insightfromtheexerciseofwritingitup,maygainasenseofclosure,orevenfindthe
processcathartic.)
Ordoesyourpotentialcaseseemcompellingforreasonsthatarehardtoputyour
fingeron?IveoftenwrittencasesthathadsomethingaboutthemthatIjustfound
intriguingandwasonlylaterabletopindownandclarifyitsvalue.Forexample,lookingat
animpressivebutunexpectedoutcome,oradealthatshouldhavehappenedbut
somehowblewup,Iwilloftensimplywonderhowdtheypullthatoff?orWHAT
happened?Whenthatfeelingisstrongbutlacksdefinition,itcanstillbeworth
proceeding.Oneinvaluablefunctionoffieldbasedcasewritingistounearthphenomena
anddynamicsthathavemostlybeenoverlookedintheliterature.
Onceacaseiswritten,itoftentakesanumberofinstructorsdiscussingandteaching
itseveraltimestodiscoveritsgreatestvalueandtoidentifyitsmostimportantinsights.(It
isstillanothermattertodevelopthepedagogyforagivencasesothatagroupleavesthe
discussionwiththekeyinsights,inJohnHammondswords,ringingintheirears.)And,if
yourcaseiswellconceivedandexecuted,otherswillfrequentlyuseitindifferentsettings,
fordifferentpurposes,andderivingdifferentinsightsfromthoseyouoriginallyenvisioned.
So,expectingthatyou(orothers!)willuncoverunexpectedaspectsofthesituation
onceyoureintothecasewritingprocess,orwhenlaterteachingand/ordiscussingthe
case,youshouldstillseekgoodprovisionalanswerstothecaseforwhatandcaseof
whatquestions.Withhumilityastotheultimateanswers,agoodcaseprospectshould
permityoutoplausiblyfillinthefollowingblanks:thisappearstobeanintriguingcaseof
_________,andthus,worthdelvingintomoredeeply,inordertouseforthefollowing
reason(s):__________.
II.Adviceonchoosingcaseperspectiveandtype.
Casescanoftenbedividedaccordingtotheirperspective:theycanmainlybetold
fromtheviewpointofaspecificprotagonist(protagonistcentered)ortheycandescribe
anoverallsituationfromanonspecificormultipleperspectives(situationcentered).
Hybridsarecommon,butnormallyemphasizeoneortheotherperspective.Andafew
otherdesignchoicesstandaloneorwhethertoincorporateanassociatedexperiential
exercise,"library"v."field"cases,actualv.disguisedsituationsmeritbriefmention.
Protagonistcenteredcases.Fromthestandpointofimprovingpractice,Im
convincedthatnegotiationcasesusuallybenefitfromhavingoneormoreidentifiable
protagonistswhooccupydistinctpositionsandwhofacedifficultdecisionsinthecourseof
theprocess.Anidealprotagonisthasadistinctivehistory,personality,psyche,and
perspective.Heorsheshouldbeembeddedinaspecificcontextandorganization,withits
ownformalandinformalstructure,culture,andincentives.Caseswithoutdistinct
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individualslosethepotentialvalueofreadersputtingthemselvesintheprotagonists
actualsituation,wrestlingwithhisorherhardchoices,andlearningfromtheprocess.
Mostrealfinancialnegotiations,forexample,cantbemeaningfullyreducedto
disembodied,duelingspreadsheetsthoughthissometimeshappensinfinancecase
studiesthatseem,almostincidentally,toentailnegotiations.Inprotagonistcenteredcases
justasintheactualnegotiationstheymirror,individualsmustinterpretthesituation
throughtheirownpartialandoftenbiasedlenses.Andindividualsultimatelymustchoose
coursesofaction,whethersolooraspartofagroup,activelyorpassively,takinginto
accounttheanticipatedreactionsofothers,ornot.Themoreacasefaithfullyreflectsthis
protagonistcentricreality,thebetterthechancesofitsteachinggenuine,relevantlessons
formorebetterdecisionmakinginnegotiation.
Multipleprotagonistsformostcases,twoorthreeonthesame"side"canenliven
thestoryandbuildinusefulconflict.Forexample,twopartiesonthesamesidecanhold
radicallydifferentviewsofhowbesttoproceedvisavistheotherside.Forexample,one
personmayadvocateadeliberate,cooperativeapproachonalltheissues;anothermay
urgeactingquickly,committingtoaninflexibleposition,anddealingonlywithasubsetof
theissuespotentiallyatstake.Workingthroughthis"internal"conflictmaybeenormously
instructive.
Afewdistinctiverisksdoattendprotagonistcentriccases.Casewriterscan
unconsciouslydownplayoromitothersperspectivesinthecasenarrativeand/orin
preparatoryresearchandinterviewing.Theymayneglectvitalinteractivecomponentsof
negotiatingsituations.Theymayinadvertentlycraftthecaseasiftheoutcomepurely
resultedfromindividualdecisionsmadeagainstakindofinertbackground.
Situationcenteredcases.Alternatively,acasemaybewrittenfromamore
omniscient,nonspecificperspective,sometimescalledsituationcentered.Thegoalmay
beanalytic:tochallengereaderstosizeupanoverallsituationwithoutregardtopointof
view,toassessbarriersandopportunities,and/ortounderstandthechallengefrom
multipleperspectives.Forexample,withoutreferencetospecificindividuals,isa
communitydisputeorcivilwarripeforproductivenegotiationormediation?Or,ifthe
caseposesapolicychallenge,thenasituationcentered,overallperspectivemaybethe
mostappropriate(thoughtrackingaprotagonistsnegotiationdecisionsthroughacurrent
orproposedsystemmaybeanilluminatinganalyticaldevice).Exampleswouldinclude
howbesttodesignadisputeresolutionsystem,aprocessfordistributingcompensation
funds,oramechanismforinducingmoreproductivenegotiationssitinghazardouswaste
facilities.
Ofcourse,effectiveprotagonistsshouldstrivetodevelopsuchabroadersituational
understandingandconditiontheirindividualactionsonit.Afterall,howcanoneparty
negotiateormediateeffectivelywithoutanuancedunderstandingoftheoverallsituation
aswellasoftheotherparties,theirinterestsandperspectives,nodealoptions,
organizationalpositions,andnetworks,aswellastherulesofengagement?(Bytheway,
thiscommonmistakefailingtoassessotherplayersortheoverallsituationmayitself
bethecoreofapotentcasestudy.)Assuch,manycaseshaveahybridperspective,written
largelyfromtheprotagonistsviewpointbutwithanoverallorientationtothesituation.
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DecisionorAutopsyCase?Twootherdimensionsmeritdiscussion.Decision
cases,whichIgenerallyprefer,ultimatelyplacereadersinchallengingsituationsfacedby
theprotagonists.Readers,typicallyinlargerclassesordiscussiongroups,mustthen
evaluatethesituationatkeypoints,figureoutarangeofoptions,anddecidewhatthey
wouldactuallydotoovercomethechallengeorbarrier.Theymustmakethesedecisions
knowingonlywhatisactuallyknownatthatpartofthestory,withalltheusualgapsand
ambiguities.Itishard,butimmenselyeducational,toconfrontthechallengewithout
knowingwhatthecaseprotagonistactuallydidorwhathappened.Then,onpowerpoints
(orvideos),shownatappropriatepointsinthediscussion,orinasequeltobereadbeforea
subsequentdiscussion,participantscanlearnwhattheprotagonistactuallydid,evaluate
theaction(s),suggestotheroptions,seehowthingsplayedout,andseektogeneralizethe
conditionsunderwhichthiswouldbeawisechoiceornot.Evenbetterarecaseswrittenas
theyunfoldinrealtime,withoutknowledgeoftheoutcome,whichcancolorperceptions.
Autopsycases,bycontrast,tellthestoryofthenegotiation,frombeginningtoend.
Sothereisnosuspenseandnodecisionpointswithunknownoutcomes.Inthissense,such
casesaredeadanditisuptotheclass,almostasamatterofnegotiationforensics,to
dissecttheresultanddrawconclusions.Bynature,autopsycaseslendthemselvestomore
dispassionateanalysisanddiscussion,whichcanbemostinsightful,includingexploring
counterfactuals.Ifcategorized,lengthymonographs,articles,orbooksdevotedto
particularnegotiationsgenerallyfallintheautopsycategory.But,fordiscussionpurposes,
Ialmostalwayspressfordecisioncases,whichcallforrealengagementwithoutthesense
ofexpostinevitabilitythatofteninfusesautopsycasediscussions.
Standaloneorwithanassociatednegotiationexercise?Thereisanartand
scienceforwritingsuccessfulnegotiationexercises.Thatisnottheconcernhere,butitcan
bewellworthkeepingthepossibilityalivethatthestructureofthecaseyoureundertaking
mayusefullybeabstractedintoanegotiationexercise,possiblytobecarriedoutbeforeor
afterthefullcasediscussion.Noteworthyexamplesexistinwhichanexperientialpiece
stronglycomplements,orevensupplants,thewrittencasediscussion.
"Library"or"field"case?Ingeneral,"field"casesbasedoninterviewswith
protagonistsandaccesstononpublicinformationhaveaclearedgeoversecondarysource,
"library"cases,despitethehighercostinmoneyandtimeoffieldresearch.Theexception
maybeforindepth,NewYorkerstyleaccountsbyserious,objectiveauthorsorjournalists
whohaveprobedsituationswithouttheneedforwrittenpermissionfromsources(thatis
generallyrequiredforacademiccasestudies.)Yet,sensitivitiescompetitive,legal,
personalmaypreventprotagonistsfrombeingwillingtoapprovevitalinformationforuse
inpublishedcases,eventhoughthey'vesharedthisinformationwithyouprivately.Ifyou
developconfidenceintheviewsofsuchsources,especiallyafterinterviewingothers,their
guidanceabouthiddenperspectives,dynamics,andthelikecanstillbeinvaluableinhow
youstructurethenarrativeeveniftheresultendsupasapurelysecondarysource,
"library"case.Andforsituationsthatbecome(highly)publicorcontentious,you'lloften
haverecoursetodetailedoutsideaccountsinmagazinestoriesortrialtranscripts.
Calibratingforsourcebiasandensuringtheintegrityoftheprocess,agood"inside"source

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canhelpyouaccuratelyparsethiswelterofpublicinformationtochoosethemostvaluable
foryourpurposes.
Actualordisguisedcase?Ingeneral,wherepossible,Istronglyprefercasesthat
accuratelynameanddepicttheunderlyingpeople,organizations,andsituations.Ifthe
situationistoosensitivetoobtainsourceapproval,however,ratherthanabandoninga
casewritingprojectormovingtoapurepublicsourcesversion,youmayultimatelyofferto
disguiseidentifyingcharacteristics(names,locations,figures,evenindustries),while
retainingtheanalyticessenceofthesituation.JohnHammondsagelyobservesthat
disguisedcasesmayleadprotagoniststobemuchmoreforthcoming,withfarbetterresults
thanactual,but"neutered"versions.(And,heobserves,thereisacertainpleasurein
havingmultipleparticipantsfromdifferentfirmscomeuptoyouafterdiscussinga
disguisedcase,insistingthatthisis,withoutadoubt,theircompany.)
III.Nutsandboltsadviceonstructuringandproducingyourcase.
Letsassumethatyouvedecidedtopursueacaselead.Herearetensuggestions
anddesigncriteriaaddressedtocasewritersandresearchersforpreliminary
casewritingefforts.Yes,youcandoansituationcenteredorautopsycase,butImgoingto
framemyadviceforaprospectthatwillultimatelybecomeadecisioncase,withaflesh
andbloodprotagonist,fromwhoseviewpointthecasewillbecraftedandwithwhose
decisionsatkeyjuncturesreaderswillhavetowrestle.
1.Planultimatelytoproducemultipartcaseseries,withatleast"A"and"B"
parts.Startwithmypreferredgoal:the"A"caseshouldsetthestageandposenegotiating
challengesfordiscussion,withasequel"B"casethatexplainshowtheprotagonist
addressedthechallengesandtheresults.(Iftherearemultiplesequels,theremaybeC,
D,andfurtherparts.)The"A"caseshouldconveyessentialinformationaboutthe
situationinbriefhistoricalcontext,criticaleventsasthenegotiationsunfold,an
understandingofthekeypartiesandtheirinterests,aswellasthemajorbarriersto
successfulnegotiationthatfacedtheprotagonistearlyon:structural,process,dealdesign,
psychological,tactical,cultural,etc.Inotherwords,theAcaseshouldpermitreadersto
assessthemajorbarriersthatstandbetweentheprotagonistandasuccessfulresult;that
is,whatmakeshisorhertaskdifficult?Ideally,the"A"caseshouldalsosetupafew
especiallychallengingspecificsituationsthatfacedtheprotagonistduringtheprocess
withoutrevealinghowheorshehandledthem.Infact,anexcellentwaytostartacaseis
withtheprotagonistconfrontingachallengingdecision,thenflashingbacktodevelop
supportingmaterial.vii
Imaginethatagroupofstudentsorseminarparticipantsweretoreadthe"A"case
beforeaclasssession.Thiscaseshouldcontainenoughinformationtosupportagood
conversationaroundthefollowingkindsofquestions(aswellasothers):a)Whatmajor
barriersfacedtheprotagonistasheorshebecameinvolved?b)Whatbroadoptionsdidhe
orshehavetoovercometheseoptions,andwhichseemmostpromising?c)Whatshould
heorshedoandwhy?d)Withrespecttoeachspecificchallenge(enumeratedintheA
case),whatspecificallyshouldheorshedo?Why?e)Underwhatconditionswouldyour
advice(failto)hold,andwhy?
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ForafollowonclassbeforewhichstudentsreadtheBcase(orifthemainpoints
fromBarepresentedlaterinthefirstclassasvideointerviews,inperson,oronslides),
the"B"caseshouldrevealwhattheprotagonistactuallydidtoovercomethosebarriers,
howheorshehandledthespecificchallenges,andhowthingsplayedout.Soequipped,the
classcanevaluatehisorheractions,suggestpossiblealternatives,andseektodraw
generalizations.Topermitthiskindofevaluation,itisimportantfortheBcasetobe
specific.Itshouldavoidlargelymeaningless,butdistressinglycommon,generalitieslike
Theprotagonistreadthetrickysituationperfectly,negotiatedhard,andattainedthe
followingoutcome...
I'vewrittenthisasiftwopartcasesshouldbethenorm.Inmanycircumstances,
however,thesituationshouldunfoldthroughaclasssessionorovermultipleclassperiods
via"B","C","D",andevenmorecaseparts.Typicallyshortenoughtobedistributedand
readinafewminutesorpresentedonslideseachsubsequentpartcan"rollthetape"
forward,addinformation,andposenewdecisions.Alternatively,latercasepartscanbe
vehiclestosuggesthypotheticalchangesinkeycasefacts,tostimulatediscussionof(any)
appropriatechangesindecisions.
Atsomepointinthecasewritingprocess,ifatallpossible,youshouldplantoaskthe
protagonistsuchquestionsdirectlyandgethisorheranswersandinsights(ideally,on
video)tobeintegralpartsoftheultimatecasematerialsanddiscussions.Dittofor
counterpartsifatallavailable(which,surprisinglyoften,inmyexperience,theyare).
Letmepauseforamomenttostressthevalueofbrief,highlyrelevantvideo
supplementstowrittenmaterials.Shortofaninpersonvisit,videocanprovidethebest
directsenseoftheprotagonist(s),hisorherstyle,quirks,affect,bodylanguage,etc.With
videoincreasinglyeasytoshoot,edit,andshow,andwithexpectationsofaudiences
increasinglyrunningtowardthismedium,Istronglyrecommendmakingtheefforttovideo
keyplayers.(And,asbeenmyhappyexperience,yourinitialplansforawrittencasemay
beentirelysupersededbyaselfcontainedmultipart,videocaserequiringNOspecific
preparationfordiscussionandanalysis.)
WithawrittenandvideoA,B,etc.,caseseriesasthegoalofthecasewriting
process,Ihaveseveralsuggestionsabouthowtogetthere.
2.Startthecasewritingprocessbydevelopingatimelineandnarrativethat
telltheessentialstoryandincludeinformationoncriticalelements.Asyouread
enoughaccounts,articles,books,courttranscripts,andotherpublicsourcematerialto
begintounderstandthecase,andafteryouvedoneanypreliminaryinterviews,start
puttingtogetherarough,annotatedtimeline,whichyoullcontinuallyupdateandrefine.
Noteblanksandgapsinyourunderstanding,andkeepaneyeoutlaterforinformationto
fleshouttheevents.Fromthistimeline,writeadraftthattellsthestoryfrombeginningto
endinonepiece,includingbothchallengesandactionstohandlethem,aswellashow
thingsplayout.Fornow,dontworryabouthowtostructurethematerialintheultimate
AandBformatasdescribedabove;thatstepwillcomelater.

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Whilethisdraftshouldbeinnarrativeform,itshouldcontaininformationvitalto
understandandanalyzethesituation.Somesuchelementsaredescribedabove,butheres
afullersummaryofwhatshouldbeincludedsomewhereinthenarrative.Important:these
elementsshouldnotbepresentedinmechanicallistsorcasesections,butrather,shouldbe
workedintothenaturalflowofthestory:
a)essentialhistoryandcontext;

b)criticalissuestoberesolved;

c)keydirectlyandindirectlyinvolvedpartiesandconstituencies,theirpersonalities
andimportantaspectsoftheirindividualhistoriesandexperiences,theirformaland
informalroles,afullunderstandingoftheirinterestsandincentives,important
formalandinformalrelationships,theirpositionsontheissues,aswellastheir
perspectivesonthesituation;

d)asenseofhoweachpartysaw,assessed,andpossiblyshapeditsnodealoptions
(whatwouldlikelyhappenintheeventofnoagreement);

e)themainprocesssofar,especiallyhowtheinteractionhasbeenorchestratedand
whatseemtobestrategies,importantmoves,tactics,criticalmoments,turning
points,andanystickingpoints;

h)theshapeofpossibleemergingagreements;

f)actionsbythepartiesorothersawayfromthetablethataffecttheatthetable
negotiations;and

g)consequentialeventsanddevelopmentsalongtheway.
Whilenotexplicitlyincludedinthisenumeration(above),theseelementsshould
provideenoughinformationforreaderstoidentifyandcharacterizethemostimportant
barrierstorealizingthepotentialofagreementdescribedabove.Forexamplebarriersmay
beinterpersonal,psychological,andtactical;theymayinvolveshortcomingsinthe
proposeddealdesign;theymayinvolvethesetupofthenegotiation(wrongparties,
wronginterests,disadvantageousnodealoptions,poorsequenceorprocess
orchestration);aswellasmanyotherpossibilities.viii
Finally,thenarrativeshouldincludeinformationrequiredtomakesenseofthe
negotiation.Littleismoreannoyingtothediscerningreaderthantoreviewamerger
negotiationcase,forexample,withoutsufficientindustry,strategic,orfinancialdatato
assessitsfeasibility.Ortobeconfrontedwithfinancialdata,buttohavenosenseofhow
whotheprotagonistsare,letalonehowtheyaremotivatedorcompensated.
3.Interviewwithtactandcare.Asyouidentifypotentiallyvaluableinterviewees,
approachthemcarefullyandrespectfully.(Makespecialeffortstointerviewthoseonthe
othersidethatalmostalwaysprovidevaluable,sharplydivergentperspectives.)
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Intervieweesareoftenextremelybusyandunderstandablyreluctanttosharewhatmight
besensitiveinformation.So,Isuggestseveralactions.
a)afterestablishingsomerapportandexpressinggenuineappreciation,becrystal
clearonyourpurpose,whichiseducational.Fullstop.Yourewritingacasefromwhichto
learnandadvancetheory,nottogetascooporengageingotchajournalism,acommon
fearamonginterviewees.Youshouldstronglyemphasizethispoint;
b)ifappropriate,makethisassertioncrediblebyclarifyingthetermsofthe
interviewupfront,specificallybyindicatingthatanynonpublicinformationresultingfrom
yourconversationwillbeheldinstrictconfidenceandwillonlybedisclosedtoothersor
usedinacase(orarticle)withthewrittenpermissionofthesource.(Becareful,however,
aboutsigningformalconfidentialityornondisclosureagreements;asamatterofprinciple,
Irefusetodoso,sincetheycanexposeyoutosignificantunexpectedliabilities.)If
necessary,asdiscussedaboveandgenerallyasalastresort,youcanoffertodisguise
identifyingaspectsofthecasewhilepreservingtheessentialnegotiationdynamics;
c)closelyrelatedtoyourpurpose,rememberthatthepossibilityforotherstolearn
fromtheirexperienceoftenstronglyappealstointerviewees.Dontbeshyaboutmaking
thispoint,whichistrue;
d)demonstraterespectforintervieweestimebykeepingcarefullytoanagreed
scheduleandmakingclearthatyouvealreadyinvestedheavilyinunderstandingall
publiclyavailableinformationbeforetheinterview.Inthisway,youareevidentlyusing
theirscarcetimeforhighvaluepurposes,notgoingovergroundyoucouldhave
independentlycovered;
e)stressthattheirperspectiveisvitaltofleshout(correct?)thepublicbasisforthe
case(onwhichyoumightreluctantlyhavetorelyoniftheywontcooperateifthisis
true);
f)employamixofspecificquestions(tofillingapsyouvealreadyidentified)aswell
asopenendedquestions(toopenupunforeseentopics).Someexamplesoftheopen
endedvariety:Whatwereyouworriedaboutandwhatdidyouhopetoachieveasyou
approachedthenegotiation?Whatwasthemostdifficultaspectoftheprocessandhowdid
youplantoovercomeit?Werethereanycriticalmomentsorturningpointsintheprocess?
Ifso,pleasedescribethemandhowtheyaffectedtheprocessandoutcome.What
especiallyeffective(andineffective!)movesdidyouortheotherside(s)make?Ifyouwere
doingthenegotiationagain,whatmightyoudodifferently?Ifyouwerecoachingtheother
side,whatwouldyouadvisethemtododifferently?Etc.;
g)keepgoodnotes(and,withtheirpermission,ataperecording).
h)expressgenuineappreciationforthetimeandclarifyanynextstepsforboth
sides,includingofferingthemcasecopieswhentheprocessisdone;and

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i)rememberthatonemarkofatruescholarisgenuineeagernesstoandexpectation
oflearningsomethingvaluablefrompractice,oftenfrompeoplewithlittleformal
educationortraining,butwithremarkableexperienceandaccomplishment.
4.Ifrelevant,drawheavilyonthejudgmentof(faculty)supervisors,outside
readers,orotheradvisorstohelpidentifykeyelementsofthestories,vital
information,majorbarriers,criticalmomentsandactions,missingpieces,and
ultimatelythemostpromisingstructureandfocusforthecases.Whileitisthe
responsibilityofresearchassociates,casewriters,and/orstudenttogatherandpresentthe
rawmaterialforthestory,(faculty)supervisors,outsidereaders,orotheradvisorsshould
offertheirexperienceandjudgmentabouttheseaspectsofthecase.Asthestoriesbecome
clearer,thefaculty/supervisorshouldbegintocrystallizethekeybarriersandchallenges
overallandveryspecificinordertofocustheemergingcases.Supervisorswillalso
highlightkeygapsandmissinginformationalongtheway.Asthepreliminarycasestake
shape,outsidejudgmentwillbeessentialtomakingwisechoicesabouthowandwhereto
breakupandorganizethematerialintotheultimateAandBcasesdescribedabovein
point#1.
5.KeepthemaintextoftheultimateAandBcasesshort:aimfor46
singlespacedpagesforeachcasepart,withastronglysuggestedMAXIMUMof10
pagesperpart,possiblywithasetofsupplementaryexhibitstofollowandelaborate
informationinthemaintext.Books,monographs,andlengthyarticleshaveoftenbeen
writtenonspecificnegotiationsand,innegotiationsthathaveattractedpublicnotice.Such
extensivebackgroundworkisgreatforindustry,areaspecialists,issueanalysts,and
broaderpolicytypes.However,normally,themainpurposeforyouraudiencesisnotto
learnagreatdealabouttheparticularpeople,place,industry,oranynumberofintriguing
historical,cultural,orpolicyquestionsthatpervadenegotiatingsituations.Instead,we
needtoknowjustenoughabouteachsituationtoposeandanswersophisticatedquestions
relevanttonegotiation,mediation,anddiplomacy.Certainmaterialsuchasmaps,tables,
timelines,andothersupplementaryinformationnotvitaltothenarrativeoftenmakegood
"exhibits"orappendicesfollowingthetext.
Inmysadexperiencemoretruein2010thanin2000andevenmorethecasethan
in1990orbeforethelongerthetext,thelesslikelypeoplewillreaditwithanycare.Dont
fightthisreality;whiledifficult,adaptthecasetoit.Ihavewritten(andread!)fartoomany
casesthatweredysfunctionallylong.Nomore!RememberAbeLincoln'sapology:"I'm
sorryIwrotesuchalongletter.Ididnothavethetimetowriteashortone."Wemustbe
concise.Whilethepreliminary,unstructurednarratives(seeitem#2above)willalmost
alwaysbemuchlongerthan10pages,eachofthefinalAandBproductsshouldbe
ruthlesslydistilledtofallwithinthislimit,andpreferably46pagesperpart.
6.Letthecasestellthestory;donteditorializeorevaluateaspartofthe
narrative;saveyouranalysisforothervehicles.Ifrequiredordesirable,supplement
thecaseswithyouranalysisandassessment.Inparticular,keepyouranalyses,
explanations,andevaluationsoutofthecases,especiallytheAcase.Casesshouldprovide
therawmaterialforanalysis,explanation,andevaluationbuttheyshouldnotinclude
theseelements.Thecasesshouldequipstudentswhodiscussthecasesandauthorsof
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11

academicarticlesbasedoncaseeventswiththenecessaryingredientstosupporttheirown
assessments.Whileitisoftenusefultoincludetheviewsofprotagonistsandclose
observersatthetimeaboutthedifficultyofachallengeortheplusesandminusesofan
action,thecases(includingsuchobservations)shouldmainlyhelpreadersunderstand
whathappenedandprotagonists'perspectives.Inparticular,dontattachyourown
assessments(brilliantmove,remarkableprescience,anactofincrediblestupidity,an
inexplicablelapse,etc.).Ifsuchassessmentsseemwarranted,letthereadercometothat
view,ornot,asaresultofreadingthestory.Bcasescancontainevaluationsand
assessmentsbyvariousparticipants,observers,andcommentators,butIurgeyoutokeep
yourownexplicitevaluativeandanalyticviewsoutoftheAandBcases.
Wherethen,shouldyouranalyses,explanations,insights,assessments,evaluations,
comparisons,andgeneralizationsgo?Afterall,theseshouldbetherealpayoffsfrom
casewriting.Iurgeyoutoconsiderwritingaseparatecaseanalysisorcase
commentaryinwhichyoucandeveloptheseimplicationsofthecase.Ofcourse,writing
anarticleforwhichthecaseprovideskeyrawmaterialisoftenvaluable.And,ifyoure
pedagogicallyadept,itmakesgoodsensetocraftaseparateteachingnote,inwhichyounot
onlydevelopthecasepedagogybuttheunderlyinganalysisandgeneralizationsaswell.
7.Keepdetailedreferences/sourcesalongtheway;obtainanyrequired
sourcepermissionsrapidly.Asyouproceed,carefullyfootnoteallstatements,quotes,
andclaimsthatarentgeneralknowledge.Includepagenumbers.Keeparunninglistof
fullbibliographicsourcesbywhichImeanfullnameofauthor(s),exactarticleorbook
titles,editor(s),publisher,city,date,volumenumber,issuenumber,pagerange,anyurls
includingtitleofassociatedwebpagesanddatereferencedsufficienttocitelaterwithout
hunting.Makethisahabit.Dontwaituntillaterto(desperately)huntforsourcesfornon
generalknowledgeitemsanddevelopsuchareferencelist.Tounderscore:Dontwaituntil
latertocitesourcesforkeystatementsortodevelopadetailedreferencelist.
Ifyouinterviewsomeoneforapotentialcase,besurethatpersonknowsthatmost
caseclearinghouses(likeHarvardBusinessSchools)wontpublishanydirectquotesor
anynonpublicinformationsharedwithyoubyacasesourceswithoutthatpersons
writtenpermission.Itisawiseideatogetthenecessaryquotereleaseforms,whichyou
shouldhavesignedassoonaspossible,oftenwellbeforewevegotthewholecaseinhand
(forexample,ifyourequestpermissiontousespecificquotesinanyultimatecase.)Of
course,ifyouarewritingacasethatwontbepublishedordistributed,these
considerationsaremuchweaker.
8.Keeparunning,alphabeticalglossaryofnames,organizations,and
acronymswithafewidentifyingfactsabouteachentry.Thislistwillbeinvaluablefor
youandothersasthecasedevelops.Infact,Ivefoundthatsuchaglossaryultimately
makesawonderfullastExhibitfortheAcase.(Whylast?Thisoffersreadersa
detachablecheatsheettostayorientedtotheoftencomplexplayersandentitiesinvolved.)
9.Minimizedirectquotationsfromcopyrightedsources.Whilequotesfrom
involvedplayersandobserversarevital,itisgenerallybetterintheultimate,publishable
casestoavoidmorethanverybriefquotationsfromothercopyrightedsources.In
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intermediatedraftssuchasthenarrativetimeline,lengthydirectquotesmaybe
economical,efficient,andelegantdevicestoconveykeyaspectsofthestory;goaheadand
includethem.Ingeneral,asyoumovetofinalversions,however,itisbettertoparaphrase
andfullycitesourcesratherthandirectlyquotethemexceptwhereabsolutely
necessary.Why?Directquotesfromarticlesandbooksthataremorethanverybrief
typicallyrequirewrittenpermissionofthesourcestoinclude.Obtainingthatpermission
canrequiretrackingdowncopyrightholders,whichcanbedifficult,timeconsuming,
expensive,andoftenimpossible.Soextractcriticalinformation,citefully,andlookfor
supportingitems(e.g.,maps)thatareinthepublicdomain.Governmentsources,which
aretypicallynotcopyrighted,aregreatforthis.
10.Avoidothercommonmistakes:Hereareafewofmany:a)includingmaterial
inaprotagonistcenteredcasethatheorshecould/didnotknowatthetimeadecisionwas
required;b)confusingastapledtogetherpileofnewsandbusinessstoriesoratwo
paragraphillustrativeanecdotefromanairplanemagazinewithawellresearched,well
craftedcasestudy;andc)shoehorningthenegotiationasitactuallyhappenedintoaform
thatmoreneatlyfitsapreconceivedoraprioritheoreticalconstruct,inorderto
illustratetheorywithpractice.Yes,yes,weallknowaboutinevitablesubjectivityin
casewritingandtheeffectthatpriorconceptionshaveonwhatweseeandjudgetobe
importantbutweshouldstrivetobeopentotheworldteachingussomethingnew
duringthecasewritingprocess.
***
Broadlyspeaking,progressinunderstandingnegotiationhasandwillcomefrom
twovenerablemethodologicaltraditions,ultimatelyinspiredbyFrancisBaconandRen
Descartes.Tooversimplify,thebulkofmodernnegotiationanalysishasbeenCartesianin
spirit;thatis,eitherimplicationsarededucedfromfirstprinciples,orasetofideas,
embodiedinatheory,issubjectedtocontrolledexperimentsorstatisticalinvestigations.
Bycontrast,fieldcasewritingaboutnegotiationisBaconianinitsextensiverelianceon
directobservationandaninductiveapproach.FreemanDyson,professoremeritusatthe
InstituteforAdvancedStudy(Princeton)andoneofthetwentiethcenturysmost
distinguishedphysicists,contrastedtheseapproachesinotherscientificrealms:
"Therearetwokindsofscience,knowntohistoriansasBaconianandCartesian....
Modernscienceleaptahead...asaresultoffruitfulcompetitionbetweenBaconian
andCartesianviewpoints.TherelationbetweenBaconianscienceandCartesian
scienceiscomplementary.WeneedBaconianscientiststoexploretheuniverseand
findoutwhatistheretobeexplained.WeneedCartesianscientiststoexplainand
unifywhatwehavefound...Itisrightandhealthythatthereshouldbeaclash
betweentheirviewpoints,butitiswrongforeithersidetotreattheotherwith
contempt."ix
Forfieldcasewriters,operatingintheBaconiantradition,Ihopethesetof
observationsandsuggestionsthatIveputtogetherabovewillenhancethequalityand
impactoftheirwork.
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iIowemuchtomanypeople,especiallyauthorsofterrificcasesthatIhaveencounteredoverthe

years,forusefulinsightsintocasewriting.Whileahopelesslyincompletelist,Idliketoespecially
acknowledgeJohnHammond,DavidLax,MarkMoore,HowardRaiffa,MalcolmSalter,andMichael
Wheeler.JohnHammondandMikeWheelerprovidedespeciallyusefulfeedbackonearlierdraftsof
thisarticle.
iiForbrevity,Iwillusethetermnegotiationasaninexactbutshorthandproxyforrelatedtopics
suchasbargaining,dealmaking,diplomacy,mediation,arbitration,aswellasconflictmanagement
andresolution.
iiiForseasonedgeneraladviceonwritingmanagementcasestudiesintheHarvardBusinessSchool
tradition,see,forexampleRaymondE.CoreysWritingCasesandTeachingNotes,item399077,
Boston:HarvardBusinessPublishing,November5,1998;orMichaelJ.RobertsDevelopinga
TeachingCase(Abridged.),item901055,Boston:HarvardBusinessPublishing,June28,2001.
ivGeorge,AlexanderL.(1979).CaseStudiesandTheoryDevelopment:TheMethodofStructured,

FocusedComparison,inPaulG.Lauren(ed.),Diplomacy:NewApproachesinHistory,Theoryand
Policy.NewYork:FreePress,pp.4368.
vAmongmanydiscussionsofthisvasttopic,see,forexample,George,AlexanderL.andAndrew
Bennett,(2005),Casestudiesandtheorydevelopmentinthesocialsciences.London,MITPress2005.
viTheoryandempiricalevidenceeconomic,gametheoretic,behavioral,etc.shouldcertainly
informtheanalysisofnegotiationcasestudies.Andfieldbasedcasestudiesshouldcertainlyinform
theorydevelopmentandvalidation.Yetteasingoutthelegitimateintellectualbasesforexploiting
potentialcomplementaritiesbetweencasewritingandotherresearchmethodologiesmustremaina
subjectforelsewhere.
viiPlease,however,sparereadersfromthecasewritingequivalentofonceuponatime,which
generallytakestheform:ItwasacrispfallafternoonasHuberttwirledhisjeweledcigaretteholder,
gazingoutthe15thfloorwindowofhisoffice,wonderingwhatheshoulddo.
viiiForafullerunderstandingoftheelementsIfindessentialforagoodnegotiationanalysisandforgreater
clarityonwhatImeanbytheaboveterms,Isuggestthatyoureadthefirst50pages,thenutshell
framework,ofmybook(withDavidLax),3DNegotiation(HBSPress,2006).Whilethisbookisaimedata
businessaudience,itselementsapplyequallyinpublicanddiplomaticnegotiations.Otherswillhave
differentframeworksanddifferentemphasesthatimplykeyelementsforinclusioninthecase.
ix

Dyson,F.J.(2002)."InPraiseofAmateurs."NewYorkReviewofBooks49(19):67.

14 Draft:DevelopingNegotiationCaseStudies.Copyright2010byJamesK.Sebenius.