NIH Office of the Ombudsman Center for Cooperative Resolution NEGOTIATION TRAINING WORKSHOP NIH Office of the Ombudsman/ Center for Cooperative Resolution Presenters: Linda Brothers and Lisa Witzler Associate Ombudsmen November 13, 2013

WHY DO WE NEGOTIATE?

Approaches to Conflict Interest-Based Issues Interests Options Collaborative Outcome Positional Issues Positions Power Assertion Win-Lose Outcome

Handling Conflict - Two Models Traditional/Positional Each side is focused on his/her self interest only They perceive sides, assume adversaries Focus on positions – with often high initial demands, threats Limited information shared Interest-Based Each person recognizes the legitimate interests of the other party People take a joint approach, perceive themselves working on common problem(s) More open communication and information sharing

Advantages of Interest-Based Negotiation More creative solutions, reached more quickly Fewer deadlocks and lost opportunities More satisfied participants Better compliance Better dealings in the future Preserve and even strengthen workplace relationships 5

Interest-Based Negotiation (IBN) A method of negotiation used to decide issues based on interests, rather than by haggling over positions. Five Basic Principles of IBN: – Separate the people from the PROBLEM – Focus on INTERESTS, not positions – Create OPTIONS for mutual gain – Develop your BATNA – Define objective CRITERIA R. Fisher, W. Ury, B. Patton. Getting to Yes.

Separate the people from the problem

Separating People from the Problem  Perceptions  Place yourself in their shoes  Do not interpret their motives by your fears  Discuss the perceptions  Emotions  Recognize they exist  Acknowledge them and allow for venting  Do not react to them  Communication  Listen and avoid misunderstandings  Assumptions  Be mindful of the assumptions you are making (often unconsciously), especially cultural assumptions

Separate the people from the problem Focus on interests not positions

A Position is… What a person feels, believes, wants One person’s desired outcome Something that often cannot be negotiated Explore all interests underlying the issues Focusing on Positions  Each side is only focused on his/her self-interest  The parties perceive “sides,” assume they are adversaries  Focus on positions – with often high initial demands, threats  Limited information shared  Often involves lawsuits, adjudication or similar processes

An Interest is… Underlying need or concern Why an issue is important Fears, hopes, needs, desires Tangible or psychological Interests: Part of Problem Resolution Focusing on Interests  Each person recognizes the interests of the other party  Identifying interests can open the door to negotiation  People take a joint approach  Perceive themselves as working on a common problem  More open communication and information sharing  Often involves mediation, facilitation, or other alternative dispute resolution processes

Positions v. Interests Positions  Solutions to problems  Specific & definite  Basis for argument  Require justification  End discussion Interests  Why a particular solution is preferred  Reasons underlying positions  Require explanation not justification  Start discussion

Focus on Interests  Look for interests behind positions  Prioritize interests  Consider other side’s interests  Critical to preparation before the negotiation!

Interests…..communicated “What I’m trying to do here is…..” “I have to do X because….” “I cannot do X because…..” “I’m really concerned about….”

Separate the people from the problem Focus on interests not positions Create options for mutual gain

Options for Mutual Gain Recognize there can be more than 1 option Expand the pie

Which Plan Would You Choose? Plan A This plan will save the cargo of one of the three barges, worth $200,000. Plan B This plan has a one/third probability of saving the cargo of all three barges, worth $600,000, but has a two-thirds probability of saving nothing. 17

What if you were presented these two plans instead? Plan C This plan will result in the loss of two of the three cargoes, worth $400,000. Plan D This plan has a two/thirds probability of resulting in the loss of all three cargoes and the entire $600,000, but has a one-third probability of losing no cargo. 18

Reframing Changing the wording or characterization of something to make it: Easier to understand, Easier to accept, or More conducive to joint problem-solving Useful for: Moving from positions to interests De-escalating conflict Adding perspective

Options for Mutual Gain Brainstorm possible solutions together Consider options for joint benefit Create what neither of you could do on your own Look for possible trade-offs that can turn potential into reality

Separate the people from the problem Focus on interests not positions Create options for mutual gain Define objective criteria

Objective Criteria When you’re almost there….. Avoid a contest of wills Agree to use objective criteria Agree on which criteria to use THEN apply the standard to the dispute

Types of Objective Criteria “ Others in the field do….” (What is customary) “ The last time this happened we….” (Precedent) “The regulation says…” (Law) “If you were me would you….?” (Reciprocity)

Separate the people from the problem Focus on interests not positions Create options for mutual gain Develop your BATNA Define objective criteria

BATNA Best Alternative to a Negotiated Agreement What you will do if an agreement is NOT reached Alternatives OUTSIDE of the negotiation

Identify and Strengthen BATNA  Know your BATNA  Focus on what you want to achieve and the different ways to accomplish this  Strengthen your BATNA  Construct your BATNA to be more achievable, probable, or satisfying more of your interests  Improves your confidence during the negotiation  Consider other side’s BATNA  Make their BATNA less attractive to them

Negotiation Preparation Who will be there? Is there anyone missing? Will you have a team member? What will you discuss? Are there guidelines for the discussion? What to you want to accomplish? Where will you negotiate? Will the negotiation be over the phone or in person in an office or in a “neutral” place? When will you negotiate? Pick a time that is best for all parties Why are you negotiating? Why do you need/want to negotiate? Why is this important to you/to them? How will you begin, stay on track, end? How will you communicate and make decisions with your team?

Negotiation Prep Worksheet Party A (you)Party B (the other person) My positionTheir position My needs/interestsTheir needs/interests My BATNATheir BATNA What can I offer to meet their needs/interests? What can they offer to meet my needs/interests? Options for agreement Reframe(s)

Conclusion Understanding Interest-Based Negotiation The 5 principles Separate the people from the PROBLEM Focus on INTERESTS not positions Create OPTIONS for mutual gain Develop your BATNA Define objective CRITERIA