Professional Documents
Culture Documents
Participant Binder
Advanced Negotiation
This binder belongs to:
Table of Contents
Overview 4
The WHO Leader as Negotiator 10
The Mutual Gains Approach to Negotiation 19
Guidelines for Negotiation Behavior 37
Communications and Responding to Difficult 44
Tactics
Multi-Stakeholder Negotiations 53
Appendix 69
5
Advanced Negotiation: Objectives
By the end of this workshop, you will be able to:
Bridgeway consultants have extensive experience both in the health sector and in UN agencies
and other international organizations. Bridgeway has worked with WHO for over 15 years to
design and develop training, coaching and facilitation programs for both WHO staff and member
state officials.
Overview 7
About the Consensus Building Institute
The Consensus Building Institute (CBI) improves the way that leaders collaborate to make
organizational decisions, achieve agreements, and manage multi-party conflicts and planning
efforts. A nationally and internationally recognized not-for-profit organization, we work with
public, private, multilateral and non-profit organizations and their stakeholders in the U.S.
and around the world. CBI provides:
facilitation and mediation to resolve conflict and build consensus on public and
organizational issues;
training and organizational capacity building in negotiation and collaborative
leadership to the public, private, and non-profit sectors; and,
evaluative research on negotiation and consensus building practices in public and
organizational settings.
Since its inception, CBI has been providing a wide range of organizational services to
government agencies, private companies, and non-governmental organizations involved in
issues of public interest in New England, nationally, and internationally. CBI also plays a key
role in helping to build the intellectual capital in the fields of collaborative leadership,
negotiation and conflict resolution. Our contributions include Built to Win: Creating a World
Class Negotiating Organization (Harvard Business Press 2009), Breaking Robert’s Rules
(Oxford University Press 2006), the Workable Peace Curriculum Series (PON Books, 2008),
the award winning Consensus Building Handbook (Sage 1999) and Dealing with an Angry
Public (Free Press 1996).
Overview 8
Facilitator Bio: Stephan Sonnenberg
Consultant, Consensus Building Institute
As a Lecturer on Law at Harvard Law School and a Clinical Instructor with the Harvard Negotiation
and Mediation Clinical Program, Mr. Sonnenberg works with law students on applied dispute
management, conflict analysis, and negotiation curriculum design projects. In the past two years, he
has supervised a variety of conflict management efforts, including a project to explore the use of
consensus building techniques to help resolve environmental disputes in China, a partnership with
Hewlett Packard to design grievance mechanisms at two of its supplier factories in southern China, a
training for village elders negotiating with representatives of major multinational oil companies in the
Niger Delta, and a consultancy with a Boston area hospital to redesign its patient complaint response
procedure. Stephan also co-teaches the Negotiation Workshop at Harvard Law School, among other
courses.
Before accepting his current position, Mr. Sonnenberg worked primarily in the non-profit sector,
focusing on human rights, international development, and conflict resolution. He has lived and
worked in Northern Uganda and the Caucasus region of southern Russia, consulting for Amnesty
International, the International Rescue Committee, the International Council on Human Rights Policy,
the International Criminal Court in The Hague, and Physicians for Human Rights, among others. His
research focuses on ways in which alternative dispute resolution procedures can be used to prevent
mass atrocities.
Mr. Sonnenberg is a graduate of Harvard Law School, and the Fletcher School of Law and
Diplomacy. He also holds a degree in European Studies from the Institut d’Études Politiques in Paris,
and an undergraduate degree from Brown University.
11
Agency Leadership Tasks Include:
Working with HWCOs /CDs/ UN Partners
Working with Key National Counterparts
Government
Donors
Civil Society
Private Sector
Managing Cluster/Department Staff and Projects
Liaising with Regional Offices and Country Offices
In order to…
Advance WHO Goals
Support a National Development Agenda
Advance UN System Goals
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 12
Negotiation: A Working Definition
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 13
Negotiation Happens When:
Interdependence Exists
Cannot Command Behavior
Limited Authority
Differences Exist
In Interests, Priorities, Capacities, Resources
Potential for Mutually Beneficial Exchange
Communication is possible
May be clear or unclear
May be straightforward, strategic or misleading
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 14
Negotiating DOWN, OUT, and UP
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 15
Negotiating DOWN and UP: Direct Leadership
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 16
Negotiating OUT: Indirect Leadership
Degree of Control < Degree of Responsibility
Develop Objectives
What is the desired result? (based on…)
Map Stakeholders
Who is involved?
What does each want and need?
What can each contribute?
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 17
Negotiating in 3-D
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 18
Negotiation Skills for Leaders
© 2010 CBI and Bridgeway. All rights reserved. Who Leader as Negotiator 19
The Mutual Gains Approach (MGA)
to Negotiation
20
What are the goals of successful negotiation?
Realize efficiency
with respect to Build relationships
time, effort, and and institutions
mutual gains
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 21
Seeking Mutual Gains through Negotiation
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 22
Effective Preparation
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 23
Effective Preparation
Mandate
Clarify your authority
Maximize your flexibility
Interests
Know your interests
Think about their interests
Alternatives
Estimate Your Best Alternative (BATNA)
Improve Your Alternative (if possible)
Analyze their Alternative
Options
Prepare to suggest mutually beneficial options
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 24
Big Idea #1: Best Alternative to a Negotiated
Agreement (BATNA)
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 25
Big Idea #2: Move from Positions to Interests
Key Question:
“Why is that important to you?”
Of all the things we’ve discussed, which is most
important to you?
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 26
#2: From Positions to Interests
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 27
#2: From Positions to Interests
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 28
What Kinds of Interests (for projects)?
• Money
• Time of Completion
• Commitment of staff
• Relationship
• Development Impact(!)
• Risk
• Credit / Visibility
• Sustainability
• Ownership/Control
• Transaction Costs, etc
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 29
Big Idea #3: Asking what might be possible
Negotiation Tip:
Explore interests BEFORE you start proposing options.
This can help us to propose more creative solutions that
more effectively meet the key interests of all parties.
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 30
#3: From Interests to Options
Shared Commitment,
Ownership
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 31
Big Idea #4: Fairness is a Source of Power
and a Means for Decision-Making
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 32
Criteria of Legitimacy
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 33
Use Contingent Commitments
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 34
Big Idea #5: Prepare for “Predictable Surprises”
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 35
MGA Summary: Five Key Questions
© 2010 CBI and Bridgeway. All rights reserved. The Mutual Gains Approach 36
The Mutual Gains Approach 37
Guidelines for
Negotiation Behavior
38
NEGOTIATION STYLE
TOUGH Soft SMART
NEGOTIATION
BEHAVIOR
© 2010 CBI and Bridgeway. All rights reserved. Guidelines for Behavior 39
You ALWAYS want to be SMART;
When can you be tougher? Softer?
© 2010 CBI and Bridgeway. All rights reserved. Guidelines for Behavior 40
A Guide for SMART Behavior: The Strategic Compass
Communication
Relationship
Interests
Options
Criteria
If “No” If “Yes”
Alternatives Commitment
© 2010 CBI and Bridgeway. All rights reserved. Guidelines for Behavior 41
Smart Behavior: Guidelines 1 of 3
Deal with RELATIONSHIP and substance issues each on their own merits
Do not threaten or buy the relationship
Be soft on the people, firm on the substance
Create communication and relationship strategies for people problems
© 2010 CBI and Bridgeway. All rights reserved. Guidelines for Behavior 42
Smart Behavior: Guidelines 2 of 3
© 2010 CBI and Bridgeway. All rights reserved. Guidelines for Behavior 43
Smart Behavior: Guidelines 3 of 3
© 2010 CBI and Bridgeway. All rights reserved. Guidelines for Behavior 44
Communications and Responding
to Difficult Tactics
45
Why Inquiry Matters …
Why Inquiry Matters …
Canadians Americans
“Please divert your course 15 degrees “Recommend you divert your course 15
to the south to avoid a collision.” degrees to the north to avoid a
collision.”
“Negative. You will have to divert
your course 15 degrees to the “This is the Captain of a U.S. Navy ship.
south to avoid a collision.” I say again, divert YOUR course.”
“No, I say again, you divert YOUR “This is the Aircraft Carrier U.S.S.
course.” Lincoln, the second largest ship in the
United States Atlantic Fleet. We are
accompanied by three destroyers,
“This is a lighthouse. three cruisers, and numerous support
vessels. I demand that you change
Your call.” your course 15 degrees north. I say
again, that’s one-five degrees north,
or counter-measures will be
undertaken to ensure the safety of
this ship.
Three Rules for Good Communication
1. Listen Actively
-- Verbal and non-verbals
© 2010 CBI and Bridgeway. All rights reserved. Responding to Difficult Tactics 48
When to Use Active Listening
• Emotional situations
© 2010 CBI and Bridgeway. All rights reserved. Responding to Difficult Tactics 49
INQUIRY
Low High
A High
Imposing Mutual
D Learning
V
O
C
A
C
Y Withdrawal Easing In
Low
© 2010 CBI and Bridgeway. All rights reserved. Guidelines for Behavior 50
Understanding
CAUTION: Understanding Does Not Mean Agreement!
© 2010 CBI and Bridgeway. All rights reserved. Responding to Difficult Tactics 51
Pause, Think, then Act
PAUSE: Do not react blindly
Take a breath, step back for a moment
Recognize what is happening within and around you
Acknowledge: What are you feeling? What might they be feeling? Why?
“Does this conversation threaten how I/they would like to be perceived?”
© 2010 CBI and Bridgeway. All rights reserved. Responding to Difficult Tactics 52
Act: Three Smart Responses to Difficult Tactics
Reframe their actions and statements
From positions, demands, and threats to interests
“Is your concern about follow-through, or public perceptions?”
“How would working with another partner be good for you?”
From positions to options
“That’s one option, let’s explore others.”
From positions to criteria
“How did you develop that number?” “Let’s consider other possible standards.”
54
Goals for Policy Decisions
Maximize joint
Minimize need for gains (economic,
trade-offs environmental,
social, political)
(Re)Build relationships and institutions
• No single agreement with any one party can satisfy all key parties or interests
• Negotiations with any one party impact negotiations with others, yet…
Multi-stakeholder Negotiations
From Bilateral to Multilateral Negotiations
Complicating Factors
Number of actors increases
Principal-agent tensions become more pronounced
Relationship
Coalitions become important
Sequencing: with whom do we negotiate first? How, and to what end? Second?
Third?
Multi-stakeholder Negotiations
A Common Approach
In crisis, we generally…
• Resort early to BATNA – compete to see which single player can exert
the most pressure immediately
Consequences…
• Hard on working relationships
• Fails to build a sustainable capacity to prevent or efficiently manage
future surprises
Multi-stakeholder Negotiations
A SMART Approach
Systematically maximize both your efficiency and leverage
Consensus Building
Stakeholder Mapping
Key ally
Potential
challenger
Can we
mobilize?
Leave alone?
“Deference”
Sources of “deference”
• Personal respect, admiration
• Mentorship, sponsorship
• Political power, raw strength, seniority
• Expertise, status, reputation, etc.
Multi-stakeholder Negotiations
“Influence”
Party A is likely to
• Do what Party B advises, asks or directs Party A to do
Sources of “influence”
• Follow Party B’s lead, or
• Trust of judgment, best intentions
• Successful track record
• Shared interests, etc.
Multi-stakeholder Negotiations
“Antagonism”
Sources of “antagonism”
• Mistrust of judgment, intentions
• Unsuccessful track record
• Conflicting interests, etc.
Multi-stakeholder Negotiations
Analyze Your Maps
Multi-stakeholder Negotiations
Identify Coalitions
Multi-stakeholder Negotiations
Plan Your Strategy
Use interests, BATNAs and patterns of deference, influence and
antagonism to create an optimal negotiation sequence.
• Consider
– Bootstrapping from “easier” parties to “harder” ones, exploiting
deference, influence, etc.
– Backward Mapping from needed decision makers to yourself,
exploiting overall patterns of deference, etc.
– Pyramiding from “hardest” and most impacting downward to other
parties
– Sequencing to conceal or reveal information
– Coalition Building to build momentum or disempower blockers
Multi-stakeholder Negotiations
DEFINING THE “INSIDE/OUTSIDE” PROBLEM...
s
s s s s s Negotiations often
T involve multiple
s s organizations with their
s
s s s own ongoing internal
negotiations
N5 N1
Each of these group
s s s must send a
s s s representative “outsid
N4 T N2 e” to negotiate on their
s s s behalf.
Resulting
communication
N3 KEY challenges is the inside /
Negotiator outside dilemma
N
Negotiation
s T
Table
s s S Stakeholder
s s s Communication Links
Appendix
70
Readings on Negotiation and Consensus Building
Mutual Gains Negotiation
Breslin, J. & J. Rubin, eds., (1993). Negotiation Theory and Practice. Cambridge, MA: Program on
Negotiation Books.
Fisher, R. and W. Ury (1991). Getting to Yes. New York, NY: Penguin Books.
Movius, Hallam and Lawrence Susskind (2009). Built to Win: Creating a World-class Negotiating
Organization. Cambridge, MA: Harvard Business School Press.
Lax, David and James Sebenius (2006). 3D Negotiation: Powerful Tools to Change the Game in Your
Most Important Deals. Cambridge, MA: Harvard Business School Publishing.
Malhortra, Deepak and Max Bazerman (2007). Negotiation Genius. New York, NY: Bantam Dell.
McKearnan, S. and D. Fairman (1999). “Chapter 8, Producing Consensus.” In Susskind, L.; S.
McKearnan, & J. Thomas-Larmer, eds., (1999). The Consensus Building Handbook. Thousand Oaks,
CA: Sage Publications.
Potapchuk, W. & J. Crocker (1999). “Chapter 14, Implementing Consensus-Based Agreements.” In
Susskind, L.; S. McKearnan, & J. Thomas-Larmer, eds., (1999). The Consensus Building Handbook.
Thousand Oaks, CA: Sage Publications.
Raiffa, H. (1982). The Art and Science of Negotiation. Cambridge, MA: Harvard University Press.
Ury, William. (2007) The Power of a Positive No: Save the Deal Save the Relationship - And Still Say
No by William Ury. New York, NY: Bantam Dell.
Carpenter, S. & W. Kennedy (2001). Managing Public Disputes: A Practical Guide for Government,
Business, and Citizen’s Groups. San Francisco, CA: Jossey-Bass.
De Jongh, P. & S. Captain, eds., (1999). Our Common Journey: A Pioneering Approach to Cooperative
Environmental Management. London: Zed Books.
Dukes, E.F. (1996). Resolving Public Conflict: Transforming Community and Governance. Manchester:
Manchester University Press.
Policy Consensus Initiative (1999). A Practical Guide to Consensus. Santa Fe, NM: Policy Consensus
Initiative.
Susskind, L.& J. Cruikshank (1987). Breaking the Impasse: Consensual Approaches to Resolving Public
Disputes. New York: Basic Books.
Susskind, L., S. McKearnan & J. Thomas-Larmer, eds.,(1999). The Consensus Building Handbook.
Thousand Oaks, CA: Sage Publications.
Wondolleck, Julia M., & Yaffee, Steven, L. (2000). Making collaboration work: Lessons from
innovation in natural resource management. Washington, DC: Island Press.
Consensus Building Institute and The Land Use Law Center, Pace University School of Law. (2000).
Conducting Conflict Assessments in the Land Use Context: A Manual. The Land Use Law Center, Pace
University School of Law, and the Consensus Building Institute.
Susskind, L., S. McKearnan, & J. Thomas-Larmer, eds., (1999). The Consensus Building Handbook.
London, UK: Sage Publications.
Strauss, D. & M. Doyle (1993). How to Make Meetings Work. Berkeley, CA: Berkeley Publishing Group.
Conflict Research Consortium (2000). Treating Fact-Finding Problems: Strategies for Obtaining
Information About Facts and Uncertainties. Boulder, CO: Conflict Research Consortium, University of
Colorado.
Ehrman, J. & B. Stinson (1999). “Chapter 9, Joint Fact-Finding and the Use of Technical Experts.” In
Susskind, L.; McKearnan, S.; Thomas-Larmer, J. eds., (1999). The Consensus Building Handbook.
Thousand Oaks, CA: Sage Publications.
Lee, K. (1995). Compass and Gyroscope: Integrating Science and Politics for the Environment.
Washington, DC: Island Press.
Elliott, M. (1999). “Chapter 5, The role of Facilitators, Mediators, and Other Consensus Building
Practitioners.” In Susskind, L.; S. McKearnan, & J. Thomas-Larmer, eds., (1999). The Consensus
Building Handbook. Thousand Oaks, CA: Sage Publications.
Susskind, L.& J. Cruikshank (1987). Breaking the Impasse: Consensual Approaches to Resolving Public
Disputes. New York: Basic Books.
Negotiation:
Date:
Your Role:
Issues:
What did the other person do well, and that perhaps helped you both do well?
Be specific and concrete - identify their actions and words
What 2 or 3 things would you do differently next time – If you had to conduct the conversation
over again?
As you look through the binder, the laminate card, and your notes we
encourage you to identify one specific thing you might “do differently”
For example:
Set aside time to prepare using the Five Key Questions
Understand the interests that underlie yours and the other side’s positions
Explore what might be possible – invent many options for agreement
Seek outcomes perceived as fair by all parties
Prepare for predictable surprises
Choose stakeholder engagement strategies wisely
Role play with a colleague before an important conversation
Use the Journal to reflect on your next negotiation
Other?