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1、1 关键词语 What is a negotiation?A negotiation is a process of communication between parties to manage conflicts in order for them to come to an agreement,solve a problem or make arrangements.谈判是各方为化解冲突而进行沟通的过程，目的是使各方达成一项协议、解决一个问题或做出某种安排。Factors in a successful negotiation 1.Result of mutual taking and
2、giving 共同的给予和获取的结果 2.The existence of conflicts and collaboration 冲突与合作并存 3.Every party can exercise（行使）veto right（否决权）to the results of the negotiation 各方都可对谈判决议行使否决权 What is a conflict?A conflict is a dispute,disagreement or argument between two or more interdependent parties who have different an
3、d common interests.冲突是发生在两个或更多既有不同利益又有共同利益的相互依赖的当事人之间的对抗、争执或不同意见。Stakes are the value of benefits that may be gained or lost,and costs that may be incurred or avoided.利益是指（通过谈判）可以获得的利益或者是失去的利益及可以引发或者是避免的成本。Four points 1.The negotiations are pertinent to relevant parties interests.谈判是对于各方具有利害关系的事件 2.
4、All parties have to pay for the gaining,but what they will get is determined by how well negotiators manage the situation.谈判各方必须有所付出才能获取利益，但所获取利益取决于谈判者如何应对谈判 3.What they will get is also determined by the current situation.所获取利益也取决于谈判时的事态发展现状 4.Negotiators have to balance the relation between the cu
5、rrent interests and long-term interests.谈判者必须对眼前利益和长远利益之间作出权衡 2 谈判结构 General Structure of Negotiation 1.Determine interests and issues 确定利益与议题 Negotiators should identify their own interests and the other sides interests(specially their underlying interests)and find out what issues are involved.2.De
6、sign and offer options 设计和提出方案 Set forth suggestions and options Generate a number of options before making a final decision 3.Introduce criteria to evaluate options 引入评价方案的标准 For their own interests,all parties will examine and evaluate all suggested options according to their own criteria to find
7、out the most favorable one.4.Estimate reservation points 估计各自的保留点和底线 5.Explore alternatives to agreement 寻求达成协议的替代方案 If the agreement is important,negotiators should come up with some alternative suggestions compromising all parties interests.6.Reach an agreement 达成最终协议 BATNA Best Alternative to a N
8、egotiated Agreement 谈判协议最佳替代方案BATNA 是罗杰 费希尔（Roger Fisher）和威廉 尤里（William Ury）在他们所著的经典文章 Getting to Yes 中所提出来的。知道你的 BATNA 就意味着如果目前的谈判没有成功，你对应该做什么和将要发生什么心中有数。What you will do if an agreement is NOT reached What is the best result you would get if you walked away from this negotiation?If you dont sell y
9、our house,what will you do with it?Keep it on the market indefinitely;Rent it out;Let someone house-sit(代为照管房屋）in return for maintenance Alternatives are OUTSIDE the negotiation Figure out the value of your BATNA,and then you know what your base for negotiation is.There may be several alternatives,t
10、he BATNA is the one you would choose.The BATNA may be a course of action or a set of decisions contingent on（视.而定）the resolution of uncertainty.Reservation Price(bottom line)保留价格（又称免谈价格）是你在谈判中所能接受的最低条件或价格。The least favorable point at which one will accept a deal The“walk-away”Example:you are looking
11、 for larger office space.You set your BATNA at$20/SF and your Reservation Price at$30/SF（square foot 平方英尺）If owner wont budge（改变态度或意见）from$35,you walk away and take advantage of your BATNA.“Zone of Potential Agreement”(ZOPA)可达成协议的空间。是指可以达成一桩交易的空间。谈判各方的保留价格决定着可达成协议的空间的界限，该空间存在于谈判各方的保留价格限度相互重叠的区域内。ZOP
12、A:Series of points on a line between the bottom line of both parties where settlement is possible.1.Enquiry 询盘 Business negotiations in international trade usually start with an enquiry by an importer to an exporter,asking for the price list,catalogues,samples and details about the goods or trade te
13、rms and conditions.However,as some times,an exporter can initiate the negotiation by making an enquiry to a foreign importer,including his intention of selling certain goods to the Latter.It is worthy of note that whoever makes an enquiry is not liable for the buying or the selling.And the opposite
14、side,at the same time,can make no reply at all.But,according to the commercial practice the receiver of an enquiry will respond without delay in the usual form of a quotation,an offer,or a bid.2.offer 发盘 An offer is a proposal of terms and conditions presented in a potential contract by one party,ca
15、lled the offeror,to another party,called the offeree.There are two kinds of offer:offer with engagement(firm offer),offer without engagement(non-firm offer).An offer with engagement(firm offer)is made when a seller promises to sell goods at a stated price within a stated period of time.It can develo
16、p into a contractual obligation.Thus,once it is accepted by a buyer,the seller cannot revoke（撤消）or amend it.3.counter-offer 还盘 A counter-offer is an offer made by an offeree to an offeror,accepting some terms and changing other terms.It can be made verbally or in writing.In fact,a counter-offer is a
17、 partial rejection of the original offer.It is a new offer,at the same time,the original offer lapses（失效）.The original offeror or the seller now becomes the offeree and he has the right to accept or refuse.This process can go on for many a round till the transaction is concluded or called off.4.Acce
18、ptance 接受 In business law,an acceptance is the assent to the terms of an offer,required before a contract can be valid.An acceptance can only be made in the form of a statement or any other conduct(行为)by an offeree,the particular person or a group of persons,who are clearly stipulated in a firm offe
19、r.Either a verbal or a written statement is good for this purpose.On the contrary,silence or inactivity is by no means an acceptance.3 谈判润滑剂 Target levels 目标层次 1.desirable target 希望达到的目标(to achieve all desired results)Two purposes:setting a potential goal for negotiators to strive for and leaving ro
20、om for bargaining in negotiations.2.acceptable target 可能达到的目标(fair for both sides,but slightly lower than desirable target)What negotiators make all efforts to achieve.3.bottom target 保底目标(the minimum level both sides can bear)What negotiators will defend and safeguard with all their might.Collectin
21、g Information 进行信息调研 1.Applications of information in negotiations:(1)Problem solving（解决问题）(2)Strategic planning（战略策划）2.Obtaining Information(1)The political system(政治制度）：the extent（程度、范围）of state control over business enterprises and its organization;social stability:the extent of political interes
22、t in the project.(2)The legal system（法律制度）：the legal and judicial systems;their influences on business,the relevant laws on establishment of a local company and on employment(P45 case),etc.(3)The business system(商业体制）：business conduct;significance given to contracts;negotiating proceedings(议程）.(4)Th
23、e financial system(财政体制）：the country s foreign exchange reserves;the currency freely exchangeable within the territory and its restrictions;procedures for obtaining payments in foreign currencies;the country s record on honoring(兑现、支付）payment obligations including delays;the type of L/C used in the
24、country;the applicable tax laws;restrictions on remittance（汇付、汇款）of the final payment;regulations on the payment of customs duties;other fees concerning the contract,etc.(5)Infrastructure and logistics system(基础设施和物流系统）：the availability of labor and materials for construction in the territory;the av
25、ailability of finding competent and financially sound sub-contractors;restrictions on import of labor,material and plant(工厂,车间,设备);local logistics problems relating to transportation.(6)The counterpart(谈判对手）:information about your opponent party is equally or even more important.Learn as much as pos
26、sible about the team members of the opponent party in the aspects of abilities,weaknesses,strong points,hobbies,personalities,etc.More information about your opponent company is necessary,such as its business scope,annual sales volumes,and credit.(P46 3 C s-character 资信,capacity 偿债能力,capital 财务状况)3C
27、 来源The counterparts credit-worthiness is determined by previous loans and by his standing with credit rating bureaus.Such information can also be gained fromfinancial institutions,primarily from banks.Capital,the financial position of the counterpart is determined by checking the counterparts financ
28、ial statements,chiefly balance sheets and profit and loss statements.3.Information Source(1)International Organizations 国际组织 United Nations Statistical Yearbook 联合国统计年鉴 United Nations Conference on Trade and Development 联合国贸易与发展会议 The World Atlas published by the World Bank 世界银行发表的世界地图集 Internationa
29、l Monetary Fund 国际货币基金组织 The Organization for Economic Cooperation and Development（OECD）经济合作与发展组织(2)Governments 政府 (3)Service Organizations 服务组织(4)Directories and Newsletters 时事通讯与指南 (5)On-line Service 在线服务 4.Analyzing Information Feasibility Study(可行性研究）5.Finalizing the Strategies and Techniques 2.
30、Selecting team members Commercial(商务方面）：responsible for the negotiation on price,delivery terms，and commercial policy(商业政策)of risk taking.Technical(技术方面）：responsible for specifications,programs,and methods of work.Financial(财务方面）：responsible for terms of payment,credit insurance(信用保险),and financial
31、guarantees.Legal(法律方面）：responsible for contract documents,terms and conditions of contract,insurance,and legal interpretation.Interpreter(翻译人员）:familiar with the foreign language needed as well as with related knowledge and good at cooperating with other personnel.How to Be a Chief Negotiator?1.Resp
32、onsibilities:Panel set-ups(selection,assignments,etc.)Coordinating the strategy,tactics,style Finalizing the negotiation plan 2.Personal requirements:Self-control and self-confidence 3.Leadership Loyalty is essential(ethics 道德规范).(ethnics 伦理学,人种学)Planning,Organizing,leading,controlling.Qualification
33、s for Interpreters Know who you are(position in the panel)Familiar with all info.and panel members Knowing necessary technical data and terms High spirit and confidence Stand for business Suggested Answers The role of the CN:a decision-making,responsible for unifying the team and designing the strat
34、egies and tactics to be used in the coming negotiation.Various kinds of information are necessary,finance,market,technology,policy,even the background of a particular executive,etc.Choice of Negotiation Venues 确定谈判地点 1.Host Venue（主场）Psychological advantages Information resources readily available 2.
35、Guest Venue（客场）The inconvenience can be explored as acceptable excuses for asking for a halt or withdrawal.3.Third Partys Venue（第三方场所）This is a neutral location which is equally convenient to both sides.Reasons for choosing the third partys venue The two negotiating parties are hostile and antagonis
36、tic（a.对抗的）to each other.A negotiation goes into an impasse（n.僵局）and there is no sign of rapprochement（n.友好关系的恢复）.Both parties demand strongly to host the negotiation.4 双赢理念 1.Traditional Concept Win-lose Model 输-赢模式 also called Zero-sum Negotiation/Distributive Negotiation(零和谈判/分配式谈判/两分法谈判):is a com
37、petitive approach that is used when there is a fixed“pie”-a finite limit to a resource and negotiators have to decide who gets how much of that pie.The negotiators assume that there is not enough to go around,and they cannot“expand the pie”,so the more one side gets,the less the other side gets.2.Wi
38、n-Win Concept 赢赢理念 Also called integrative negotiation/a mutual-gains negotiation/a non-zero-sum negotiation(整合式谈判/互利谈判/非零和谈判):is an approach in which parties collaborate to look for a solution that enlarge the“pie”-maximizes joint gain and allows everyone to walk away feeling like they have won som
39、ething.The basic idea is that both sides can achieve their objectives.Goals of negotiation positively correlate Results of negotiation Negotiators make trade-off across issues in order for both sides to be satisfied with the outcome,potentially giving each side all what they want.Interests of negoti
40、ation Both sides integrate their interests in the negotiation and cooperate to get maximum interests.Steps of win-win model Determine each partys interests and needs.（确定谈判己方的利益和需求）Find out the other partys interests and demands.（寻找对方的利益和需求）Offer constructive options and solutions.（提出建设性的提议和解决方法）Anno
41、unce success of negotiations.（宣布谈判成功）Or Declare failure of negotiation or negotiations in impasse.（或宣布谈判失败或谈判陷入僵局）Integrative Win-Win Strategies Strategies that Work Build trust and share information tactically Ask diagnostic questions Make multiple offers simultaneously Invent options for mutual ga
42、in Capitalize on（v.利用）differences(valuation,expectations,etc.)How to apply win-win concept to negotiation Identify each sides interests（要求价值 Claiming value）Why-understanding their interests better Figure out both sides interests Underlying interests-find a solution benefits both sides Collaborate to
43、 figure out the best ways to meet those interests（创造价值 Creating value）Brainstorming（自由讨论）-list all the options Case Study(P59)Negotiation between Egypt and Israel on Sinai Peninsula(19671978)Interests of both parties Egypts interest lied in the recovery of its territory.Israels interest lied in its
44、safety.Solutions Egypt designated much part of Sinai as Nonmilitary Zone.Israel returned the occupied territory to Egypt.Two concepts always function together in a negotiation.5 合作原则谈判法 Collaborative Principled Negotiation 合作原则谈判法 Getting to YES:Negotiation Agreement Without Giving In by Roger Fishe
45、r and William Ury CPN also called Principled Negotiation.Particularly oriented to collaborative negotiations,but can be used in competitive negotiations and in other aspects of conflict management.Some Definitions Issue a matter or question in dispute,often stated as a problem.Position a statement b
46、y a party as to how an issue can or should be resolved,a proposal for a particular solution.Interest a specific need or concern that must be addressed in an agreement.Principled Negotiation Four principles People（对待谈判对手）:Separate people from the problem 对事不对人 The participants should come to see them
47、selves as working side by side on a problem,attacking the problem instead of each other.Interests（对待各方利益）:Focus on interests,not positions 着眼于利益而非立场 Interests always underlie(构成的基础或做的说明或解释)positions?Gaining（对待利益获取）:Invent options for mutual gain 制定双赢方案 Generate a variety of possibilities before deci
48、ding what to do Criteria（对待评判标准）:Introduce objective criteria 引入客观评判标准 Insist that the result be based on some objective standard Introduce an objective criterion The guidelines for objective criteria:*Independent of wills of all parties.*Legitimate and practical.*Acceptable to all parties.To choose
49、 a fair procedural standard,the way of implementing the criterion.To discuss the criteria and procedures with other party.*Focus on objective criteria firmly but flexibly.factors of an objective criterion 1.An objective criterion should be independent of wills of all parties and thus be free from se
50、ntimental influence of any one.客观标准应当独立于所有各方的主观意志之外，因而它不受任何一方的感情影响。2.An objective criterion should be valid and realistic.客观标准应当具有合法性并且切合实际。3.An objective criterion should be at least theoretically accepted by both sides.客观标准应当具有科学性和权威性。6 利益分配法则 Personal Interests VS Organizational Interests Persona