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DoNotCopyHarvardBusinessSchool9-800-316Rev.May8,2000ProfessorMichaelWatkinspreparedthisnote.Copyright©2000bythePresidentandFellowsofHarvardCollege.Toordercopiesorrequestpermissiontoreproducematerials,call1-800-545-7685,writeHarvardBusinessSchoolPublishing,Boston,MA02163,orgoto—electronic,mechanical,photocopying,recording,orotherwise—withoutthepermissionofHarvardBusinessSchool.1NegotiationAnalysis:ASynthesisNegotiationisafundamentalmanagerialskill.Managersnegotiateeverytimeadealisdone,abudgetestablished,aprojectdeadlineshifted,oraproblemwithanemployeeresolved.Inaneraofglobalizationandrapidtechnologicaladvance,ofvirtualcorporationsandstrategicalliances,ofteam-basedorganizationsanddiverseworkforces,theabilitytonegotiateeffectivelyisessentialforprofessionalsuccess.Becausebusinessnegotiationscomeinawidearrayofshapesandsizes,strategiesmustalwaysbetailoredtosituations.Dealingwithsuppliersdemandsdifferentapproachesthanresolvingdisputeswithunionsorimplementingchangesinsideorganizations.Negotiationscanrangefromtwo-minuteexchangestomulti-monthprocesses.Someareone-timetransactions;othersinvolveongoingrelationships.Sometimesthereareopportunitiesformutuallybeneficialtrades,whileinothersituationsthenameofthegameis“dividethepie.”Howcanmanagersfigureouthowbesttodealwiththediversenegotiationstheyface?Whileyouhavetoadapttocircumstances,negotiationanalysisisapowerfulsetoftoolsforassessinganynegotiatingsituationanddevelopingwinningstrategies.FourModesofNegotiationAnalysisThisnoteprovidesguidelinesforconductingfourmutuallysupportingmodesofnegotiationanalysis:Diagnosingthesituation:assessingtheessentialfeaturesofanegotiation’scontextandstructure,soyoucanidentifypotentialbarrierstoagreementandopportunitiestoadvanceyourinterests.Shapingthestructure:figuringouthowtoinfluencethebasicstructureofnegotiations–whoparticipates,whattheissuesare,whatyouralternativesare–soyoudon’tplaysomeoneelse’sgame.Managingtheprocess:planningforandconductingface-to-faceinteractionswithcounterparts,tolearnabouttheirinterestsandtoshapetheirperceptionsfavorably.Judgingsuccess:settinggoalsandperiodicallysteppingbacktoassesshowyouaredoing,soyoucanrefineyourdiagnosisandrethinkhowbesttoshapethestructureandmanagetheprocess.DoNotCopy800-316NegotiationAnalysis:ASynthesis2Effectivenegotiatorsshiftflexiblyamongthesefourmodesofanalysisastheirnegotiationsevolves;theyarenotundertakeninarigidsequence.Bycarefullydiagnosingthesituation,yougaininsightintohowyoucanfavorablyshapethestructureandmanagetheprocess.Bythinkingthroughhowtoshapethestructure,youenhanceyourabilitytomanagetheprocessonceyougettothenegotiatingtable.Byperiodicallysteppingbackandjudgingyoursuccess,youidentifynewprioritiesfordiagnosisandnewopportunitiesforshapingthestructureandmanagingtheprocess.FromAnalysistoAction:AtandAwayfromtheTableAsSebenius(1996)hasnoted,goodstrategiesconsistofcoordinatedsequencesofactionsthatnegotiatorstakeat,andawayfrom,thenegotiatingtable.1Itiseasytofocustoomuchonwhathappensatthenegotiatingtable,wheninfactthegameisoftenlostorwonawayfromthetable.Itisessentialtothinkthroughwhatyouneedtodobeforemeetingwithyourcounterpartsforthefirsttime,aswellaswhatactionsyouwilltakebetweennegotiatingsessions.Thismeansmorethanjustgatheringinformation;itmeansthinkingthoughhowyoucanimproveyourbargainingposition.Whatmightyoudotoalteryourcounterparts’perceptionsoftheiralternativestoagreement?Whatcoalitionsmightyoubuild?Whatothernegotiationsmightyouinitiateinparallel?DevelopingStrategiesHigh-levelguidelinesfordevelopingstrategiesaresummarizedinthetablebelowanddevelopedindetailintheremainderofthisnote.Thecolumnsrepresentthefouranalyticalmindsetsthateffectivenegotiatorsbringtobear.Therowsrepresentthearenasinwhichnegotiatoroperate,atandawayfromthenegotiatingtable.Thecellsarestrategicimperatives–broadsetsofguidelinesfordevelopingsuitablestrategies.Table1StrategicImperativesDiagnosingtheSituation(negotiatorasdoctor)ShapingtheStructure(negotiatorasarchitect)ManagingtheProcess(negotiatorasprocessmanager)JudgingSuccess(negotiatorasjudge)AwayfromtheTableAnalyzethecontextandstructureofthenegotiation.Worktoalterperceptionsofchoices–bothyourownandcounterparts’.Planhowtolearnfromyourcounterpartsandhowtoshapetheirperceptionsofwhatisacceptable.Establishgoalsbeforegoingtothetableandevaluatehowyouaredoingbetweennegotiatingsessions.AttheTableTestandreviseyourhypothesesaboutbarriersandopportunities.Settheagendaandframethegame.Learnandshapeperceptionsofwhatisacceptable.Periodicallygotothebalconytoassesswhatisgoingonintheprocess.1ThisdistinctionisdevelopedinSebenius,J.1996.“IntroductiontoNegotiationAnalysis:Structure,People,andContext”HBSNote#896-034.DoNotCopyNegotiationAnalysis:ASynthesis800-3163ConceptualUnderpinningsTheconceptualfoundationofthisframeworkisthesituation-strategy-process-outcomesmodelofnegotiationillustratedinthefigurebelow.2Figure1Situation-Strategy-Process-Outco