NEGOTIATION, EIGHTH EDITION
E I G H T H E D I T I O N
Negotiation R O Y J . L E W I C K I B R U C E B A R R Y D AV I D M . S A U N D E R S
Negotiation
eighth edition
Roy J. Lewicki The Ohio State University
Bruce Barry Vanderbilt University
David M. Saunders Queen’s University
NEGOTIATION, EIGHTH EDITION
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Library of Congress Cataloging-in-Publication Data
Names: Lewicki, Roy J., author. | Saunders, David M., author. | Barry, Bruce, author. Title: Negotiation / Roy J. Lewicki, The Ohio State University, David M. Saunders, Queen’s University, Bruce Barry, Vanderbilt University. Description: Eighth edition. | New York, NY : McGraw-Hill Education, [2020] Identifiers: LCCN 2018050087| ISBN 9781260043648 (alk. paper) | ISBN 1260043649 (alk. paper) Subjects: LCSH: Negotiation in business. Classification: LCC HD58.6 .L49 2020 | DDC 658.4/052—dc23 LC record available at https://lccn.loc.gov/2018050087
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iii
Dedication
We dedicate this book to all negotiation, mediation, and dispute resolution professionals who try to make the world a more peaceful and prosperous place.
And to John W. Minton (1946–2007): friend, colleague, and co-author.
iv
About the Authors
Roy J. Lewicki is the Irving Abramowitz Memorial Professor of Business Ethics Emeritus and Professor of Management and Human Resources Emeritus at the Max M. Fisher Col- lege of Business, The Ohio State University. He has authored or edited 40 books, as well as numerous research articles and book chapters. Professor Lewicki has served as the presi- dent of the International Association for Conflict Management, and he received its Lifetime Achievement Award in 2013. He received the Academy of Management’s Distinguished Educator Award in 2005 and has been recognized as a Fellow of the Academy of Manage- ment, International Association of Conflict Management, and Organizational Behavior Teaching Society for his contributions to the fields of negotiation and dispute resolution.
Bruce Barry is the Brownlee O. Currey Jr. Professor of Management at the Owen Gradu- ate School of Management at Vanderbilt University. His research on negotiation, ethics, power, influence, and justice has appeared in numerous scholarly journals and volumes. Professor Barry is a past president of the International Association for Conflict Manage- ment and a past chair of the Academy of Management Conflict Management Division. He is editor in chief of the scholarly journal Business Ethics Quarterly and sits on the editorial boards of several others.
David M. Saunders has served as dean of Smith School of Business at Queen’s Univer- sity since July 2003. Under his strategic leadership, the school has experienced dramatic growth, including the addition of new and innovative MBA, professional Master’s, and exec- utive education programs. In support of Smith’s mission to develop outstanding leaders with a global perspective, Dr. Saunders has internationalized the school, adding 80 strategic partnerships around the globe and naming of the Smith School of Business after a $50 million gift from Stephen J.R. Smith. Most recently, he co-developed the Analytics Climate Assessment Tool (ACAT), which is used to assess organizations’ technological capacity, skill sets, and analytics culture to compete effectively with business analytics in the era of Big Data. ACAT guides the creation of tailored executive education programs to enhance organizations’ analytics culture, strategy, and leadership.
v
Preface
Welcome to the eighth edition of Negotiation! Those familiar with the seventh edition will note that there has been no substantial change in the fundamental organization of this book. We continue to emphasize negotiator ethics as a core concept that any student of negotiation should read and understand. The authors have carefully organized Negotiation to coordinate with the previous edition of Negotiation: Readings, Exercises and Cases, seventh edition. The Readings book will no longer be published in paper form, but its contents are available online to be adopted separately or paired with versions of the Negotiation text. A condensed version of this text is also available as Essentials of Negotiation, seventh edition, which will be available in 2020.
New Features and Content Changes Faculty familiar with previous editions will also note the following other changes:
• The entire book has been revised and updated. The authors reviewed every chapter, utilizing extensive feedback from faculty who have used previous editions of the book. The content in some of the chapters has been reorganized and rewritten to present the material more coherently and effectively.
• In our continued effort to enhance the book’s readability, we have also updated many of the features that offer lively perspectives on negotiation dynamics.
• We have included learning objectives at the beginning of each chapter and added an outline of the key sections of each chapter on the first page as well.
• A shorter version of this text, Essentials of Negotiation, seventh edition, can also be used in conjunction with the readings book.
• Finally, adopters should become fully aware of McGraw-Hill’s CREATE service. CREATE allows any adopter to “mix and match” selected chapters from Negotiation, Essentials of Negotiation, or the seventh edition of Negotiation: Readings, Exercises and Cases into their own custom text. These custom texts are ideal for negotiation courses of different lengths, for different student audiences, and for instructors who want to combine text, readings, and selected exercises and cases into a single “course in a box.” We encourage instructors to contact their local McGraw-Hill Education representative for further information, or visit the website at www.mheducation.com or create.mheducation.com.
Support Materials Instructional resources—including a test bank, chapter outlines, PowerPoint slides, and extensive resource materials on teaching negotiation skills for new instructors—are available to accompany this volume on the Connect website, connect.mheducation.com
vi Preface
Using Create, McGraw-Hill’s custom publishing service, instructors can build a text tailored to individual course needs incorporating materials from the three texts in this series. Create allows instructors to customize teaching resources to match the way they teach! With McGraw-Hill Create, create.mheducation.com, you can easily rear- range chapters; combine material from other content sources; and quickly upload content you have written, like your course syllabus or teaching notes. Find the content you need in Create by searching through thousands of leading McGraw-Hill textbooks. Arrange your book to fit your teaching style. Create even allows you to personalize your book’s appear- ance by selecting the cover and adding your name, school, and course information. Order a Create book and you’ll receive a complimentary print review copy in three to five business days or a complimentary electronic review copy (eComp) via email in about one hour. Go to create.mheducation.com today and register. Experience how McGraw-Hill Create empow- ers you to teach your students your way.
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Contents vii
Once again, this book could not have been completed without the assistance of numerous people. We especially thank
• Many of our colleagues in the negotiation and dispute resolution field, whose research efforts have made the growth of this field possible and who have given us helpful feedback about earlier editions to improve the content of this edition.
• The work of John Minton, who helped shape the second, third, and fourth editions of this book and passed away in the fall of 2007.
• The staff of McGraw-Hill Education, especially our current senior editor, Michael Ablassmeir; Laura Spell, our associate portfolio manager who can solve almost any problem and content project manager, Melissa Leick; and Marla Sussman at Integra-CHI, who has provided strong editorial assistance as the authors struggle with the ongoing changes in the process of revising manuscript and creating readable prose.
• Our families, who continue to provide us with the time, inspiration, and opportunities for continued learning about effective negotiation and the personal support required to sustain this project.
Roy J. Lewicki Bruce Barry David M. Saunders
Acknowledgments
vii
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x
Contents in Brief
1. The Nature of Negotiation 1
2. Strategy and Tactics of Distributive Bargaining 32
3. Strategy and Tactics of Integrative Negotiation 73
4. Negotiation: Strategy and Planning 110
5. Ethics in Negotiation 143
6. Perception, Cognition, and Emotion 191
7. Communication 229
8. Finding and Using Negotiation Power 256
9. Influence 285
10. Relationships in Negotiation 318
11. Agents, Constituencies, and Audiences 348
12. Coalitions 384
13. Multiple Parties, Groups, and Teams in Negotiation 405
14. Individual Differences I: Gender and Negotiation 435
15. Individual Differences II: Personality and Abilities 454
16. International and Cross‐Cultural Negotiation 476
17. Managing Negotiation Impasses 509
18. Managing Difficult Negotiations 537
19. Third‐Party Approaches to Managing Difficult Negotiations 558
20. Best Practices in Negotiations 592
Bibliography 603
Name Index 658
Subject Index 671
xi
Contents
Chapter 1 The Nature of Negotiation 1
A Few Words about Our Style and Approach 3
Joe and Sue Carter 4
Characteristics of a Negotiation Situation 6
Interdependence 9
Types of Interdependence Affect Outcomes 10
Alternatives Shape Interdependence 10
Mutual Adjustment 12
Mutual Adjustment and Concession Making 13
Two Dilemmas in Mutual Adjustment 14
Value Claiming and Value Creation 15
Conflict 18
Definitions 18
Levels of Conflict 18
Functions and Dysfunctions of Conflict 19
Factors That Make Conflict Easy or Difficult to Manage 20
Effective Conflict Management 20
Overview of the Chapters in This Book 26
Chapter Summary 30
Chapter 2 Strategy and Tactics of Distributive Bargaining 32
The Distributive Bargaining Situation 34
The Role of Alternatives to a Negotiated Agreement 37
Settlement Point 38
Bargaining Mix 39
Discovering the Other Party’s Resistance Point 39
Influencing the Other Party’s Resistance Point 40
Tactical Tasks 41
Assess the Other Party’s Target, Resistance Point, and Costs of Terminating Negotiations 42
Manage the Other Party’s Impressions of Your Target, Resistance Point, and Cost of Terminating Negotiations 44
Modify the Other Party’s Perceptions of His or Her Target, Resistance Point, and Cost of Terminating Negotiations 46
Manipulate the Actual Costs of Delaying or Terminating Negotiations 47
Positions Taken during Negotiation 49
Opening Offers 49
Opening Stance 50
Initial Concessions 51
Role of Concessions 52
Pattern of Concession Making 54
Final Offers 55
Commitment 56
Tactical Considerations in Using Commitments 56
Establishing a Commitment 57
Preventing the Other Party from Committing Prematurely 59
Finding Ways to Abandon a Committed Position 60
Closing the Deal 61
Provide Alternatives 61
Assume the Close 62
Split the Difference 62
Exploding Offers 62
Sweeteners 62
xii Contents
Assessing the Quality of the Agreement 63
Hardball Tactics 63
Dealing with Typical Hardball Tactics 64
Typical Hardball Tactics 65
Distributive Bargaining Skills Applicable to Integrative Negotiations 71
Chapter Summary 71
Chapter 3 Strategy and Tactics of Integrative Negotiation 73
An Overview of the Integrative Negotiation Process 74
Creating a Free Flow of Information 74
Attempting to Understand the Other Negotiator’s Real Needs and Objectives 75
Emphasizing Things in Common between the Parties and Minimizing the Differences 76
Searching for Solutions That Meet the Needs and Objectives of Both Sides 77
Key Steps in the Integrative Negotiation Process 77
Step 1: Identify and Define the Problem 78
Step 2: Surface Interests and Needs 81
Step 3: Generate Alternative Solutions 85
Step 4: Evaluate and Select Alternatives 92
Assessing the Quality of the Agreement 96
Factors That Facilitate Successful Integrative Negotiation 96
Some Common Objective or Goal 97
Faith in One’s Problem‐Solving Ability 97
A Belief in the Validity of One’s Own Position and the Other’s Perspective 98
The Motivation and Commitment to Work Together 98
Trust 100
Clear and Accurate Communication 102
An Understanding of the Dynamics of Integrative Negotiation 103
Section Summary 104
Why Integrative Negotiation Is Difficult to Achieve 104
The History of the Relationship between the Parties 104
A Belief That an Issue Can Only Be Resolved Distributively 106
The Mixed‐Motive Nature of Most Negotiating Situations 106
Short Time Perspectives 107
Distributive Bargaining versus Integrative Negotiation 107
Chapter Summary 108
Chapter 4 Negotiation: Strategy and Planning 110
Goals—The Focus That Drives a Negotiation Strategy 112
Direct Effects of Goals on Choice of Strategy 112
Indirect Effects of Goals on Choice of Strategy 114
Strategy—The Overall Plan to Achieve One’s Goals 114
Strategy versus Tactics 115
Unilateral versus Bilateral Approaches to Strategy 115
The Dual Concerns Model as a Vehicle for Describing Negotiation Strategies 115
Understanding the Flow of Negotiations: Phases 118
Getting Ready to Implement the Strategy: The Planning Process 122
1. Defining the Negotiating Goal 124
2. Defining the Major Issue Related to Achieving the Goal 125
Contents xiii
3. Assembling the Issues, Ranking Their Importance, and Defining the Bargaining Mix 127
4. Defining the Interests 128
5. Knowing Your Alternatives (BATNAs) 129
6. Knowing Your Limits, Including a Resistance Point 129
7. Analyzing and Understanding the Other Party’s Goals, Issues, and Resistance Points 130
8. Setting One’s Own Targets and Opening Bids 132
9. Assessing the Social Context of Negotiation 135
10. Presenting the Issues to the Other Party: Substance and Process 138
Chapter Summary 141
Chapter 5 Ethics in Negotiation 143
A Sampling of Ethical Quandaries 144
What Do We Mean by “Ethics,” and Why Do They Matter in Negotiation? 145
Ethics Defined 145
Applying Ethical Reasoning to Negotiation 146
Ethics versus Prudence versus Practicality versus Legality 147
Four Approaches to Ethical Reasoning 148
End‐Result Ethics 148
Duty Ethics 151
Social Contract Ethics 153
Personalistic Ethics 154
Section Summary 155
What Questions of Ethical Conduct Arise in Negotiation? 155
Ethically Ambiguous Tactics: It’s (Mostly) All about the Truth 156
Identifying Ethically Ambiguous Tactics and Attitudes toward Their Use 160
Deception by Omission versus Commission 162
The Decision to Use Ethically Ambiguous Tactics: A Model 163
Why Use Deceptive Tactics? Motives and Consequences 165
The Power Motive 165
Other Motives to Behave Unethically 166
The Consequences of Unethical Conduct 168
Explanations and Justifications 170
What Factors Shape a Negotiator’s Predisposition to Use Unethical Tactics? 173
Demographic Factors 173
Personality Differences 177
Moral Development and Personal Values 179
Contextual Influences on Unethical Conduct 180
How Can Negotiators Deal with the Other Party’s Use of Deception? 186
Chapter Summary 190
Chapter 6 Perception, Cognition, and Emotion 191
Perception 192
Perception Defined 192
Perceptual Distortion 193
Framing 195
Types of Frames 196
How Frames Work in Negotiation 197
Another Approach to Frames: Interests, Rights, and Power 199
The Frame of an Issue Changes as the Negotiation Evolves 201
xiv Contents
Cognitive Biases in Negotiation 204
1. Irrational Escalation of Commitment 205
2. Mythical Fixed‐Pie Beliefs 206
3. Anchoring and Adjustment 208
4. Issue Framing and Risk 208
5. Availability of Information 210
6. The Winner’s Curse 210
7. Overconfidence 211
8. The Law of Small Numbers 212
9. Self‐Serving Biases 212
10. Endowment Effect 215
11. Ignoring Others’ Cognitions 215
12. Reactive Devaluation 216
Managing Misperceptions and Cognitive Biases in Negotiation 216
Mood, Emotion, and Negotiation 219
Chapter Summary 228
Chapter 7 Communication 229
Basic Models of Communication 230
Distortion in Communication 231
What Is Communicated during Negotiation? 234
1. Offers, Counteroffers, and Motives 235
2. Information about Alternatives 235
3. Information about Outcomes 236
4. Social Accounts 236
5. Communication about Process 236
Are Negotiators Consistent or Adaptive? 237
Does It Matter What Is Said Early in the Negotiation? 237
Is More Information Always Better? 238
How People Communicate in Negotiation 239
Characteristics of Language 239
Use of Nonverbal Communication 241
Selection of a Communication Channel 243
How to Improve Communication in Negotiation 248
The Use of Questions 249
Listening 252
Role Reversal 253
Special Communication Considerations at the Close of Negotiations 254
Avoiding Fatal Mistakes 254
Achieving Closure 254
Chapter Summary 255
Chapter 8 Finding and Using Negotiation Power 256
Why Is Power Important to Negotiators? 257
A Definition of Power 258
Sources of Power—How People Acquire Power 262
Informational Sources of Power 264
Power Based on Personality and Individual Differences 265
Power Based on Position in an Organization (Structural Power) 268
Power Based on Relationships 277
Contextual Sources of Power 278
The Consequences of Unequal Power 281
Dealing with Others Who Have More Power 282
Chapter Summary 283
Chapter 9 Influence 285
Two Routes to Influence: An Organizing Model 286
Contents xv
The Central Route to Influence: The Message and Its Delivery 287
Message Content 287
Message Structure 290
Persuasive Style: How to Pitch the Message 292
Peripheral Routes to Influence 296
Aspects of Messages That Foster Peripheral Influence 297
Source Characteristics That Foster Peripheral Influence 298
Aspects of Context That Foster Peripheral Influence 306
The Role of Receivers—Targets of Influence 312
Understanding the Other’s Perspective 313
Resisting the Other’s Influence 314
Chapter Summary 317
Chapter 10 Relationships in Negotiation 318
Challenging How Relationships in Negotiation Have Been Studied 319
Forms of Relationships 323
Four Fundamental Relationship Forms 324
Key Elements in Managing Negotiations within Relationships 327
Reputation 327
Trust 330
Justice 341
Relationships among Reputation, Trust, and Justice 344
Section Summary 344
Repairing a Relationship 344
Chapter Summary 347
Chapter 11 Agents, Constituencies, and Audiences 348
The Number of Parties in a Negotiation 349
How Agents, Constituents, and Audiences Change Negotiations 350
Audiences: Team Members, Constituents, Bystanders, and Others 350
Tactical Implications of Social Structure Dynamics: The Negotiator’s Dilemma 363
Advice to Agents on Managing Constituencies and Audiences 365
Clarify the Role Expectations and Performance Contract 365
Clarify Authority to Make Agreements 366
Manage Constituency Visibility and Communication 366
Communicate Indirectly with Audiences and Constituents 370
Communicate Directly to the Other Party’s Constituency 374
Communicate Directly to Bystanders 375
Build Relationships with Audiences, Constituents, and Other Agents 378
When to Use an Agent 380
Managing Agents 380
Chapter Summary 382
Chapter 12 Coalitions 384
A Situation with More Than Two Parties 385
What Is a Coalition? 386
Types of Coalitions 387
How and Why Coalitions Form and Develop 388
When Do Coalitions Form? 388
How Do Coalitions Develop? 393
xvi Contents
Standards for Coalition Decision Making 398
Power and Leverage in Coalitions 399
How to Build Coalitions: Some Practical Advice 400
Chapter Summary 404
Chapter 13 Multiple Parties, Groups, and Teams in Negotiation 405
The Nature of Multiparty Negotiations 406
Differences between Two‐Party Negotiations and Multiparty Negotiations 407
What Dynamics Can Make a Multiparty Negotiation Effective? 411
Managing Multiparty Negotiations 413
The Prenegotiation Stage 414
The Formal Negotiation Stage—Managing the Process and Outcome 416
The Agreement Stage 426
Interteam Negotiations 429
Chapter Summary 434
Chapter 14 Individual Differences I: Gender and Negotiation 435
Defining Sex and Gender 436
Research on Gender Differences in Negotiation 437
Male and Female Negotiators: Theoretical Perspectives 437
Empirical Findings on Gender Differences in Negotiation 439
Overcoming Gender Differences 448
Motivational Interventions 449
Cognitive Interventions 449
Situational Interventions 450
Section Summary 450
Do Gender Differences Really Exist? 451
Chapter Summary 452
Chapter 15 Individual Differences II: Personality and Abilities 454
Personality and Negotiation 455
Conflict Style 456
Social Value Orientation 457
Interpersonal Trust 459
Self‐Efficacy and Locus of Control 460
Self‐Monitoring 461
Machiavellianism 462
Face Threat Sensitivity 463
Epistemic Motivation 464
The “Big Five” Personality Factors 464
Section Summary 466
Abilities in Negotiation 466
Cognitive Ability 466
Emotional Intelligence 468
Perspective‐Taking Ability 469
Cultural Ability 470
An Alternative Approach: Studying Experienced Negotiators 472
A Concluding Note 474
Chapter Summary 475
Chapter 16 International and Cross‐Cultural Negotiation 476
International Negotiation: Art and Science 479
What Makes International Negotiation Different? 480
Environmental Context 480
Immediate Context 483
Contents xvii
Conceptualizing Culture and Negotiation 485
Culture as Learned Behavior 485
Culture as Shared Values 486
Culture as Dialectic 489
Culture in Context 490
The Influence of Culture on Negotiation: Managerial Perspectives 491
Definition of Negotiation 491
Negotiation Opportunity 491
Selection of Negotiators 492
Protocol 492
Communication 492
Time Sensitivity 492
Risk Propensity 493
Groups versus Individuals 494
Nature of Agreements 494
Emotionalism 495
Section Summary 495
The Influence of Culture on Negotiation: Research Perspectives 495
Effects of Culture on Negotiation Outcomes 496
Effects of Culture on Negotiation Process and Information Exchange 497
Effects of Culture on Negotiator Cognition 499
Effects of Culture on Negotiator Ethics and Tactics 500
Effects of Culture on Conflict Resolution 501
Section Summary 502
Culturally Responsive Negotiation Strategies 502
Weiss’s Culturally Responsive Strategies 504
Low Familiarity 504
Moderate Familiarity 505
High Familiarity 506
Chapter Summary 507
Chapter 17 Managing Negotiation Impasses 509
The Nature of Difficult‐to‐Resolve Negotiations and Why They Occur 510
The Nature of Impasse 510
What Causes Impasses and Intractable Negotiations? 511
Characteristics of the Issues 513
Characteristics of the Parties 514
Characteristics of the Negotiation Environment 516
Characteristics of the Negotiation Setting 517
Fundamental Mistakes That Cause Impasses 517
Preventing Impasses 519
How to Resolve Impasses 519
Agreement on the Rules and Procedures 521
Reducing Tension and Synchronizing De‐escalation 522
Improving the Accuracy of Communication 523
Controlling Issues 526
Establishing Common Ground 529
Enhancing the Desirability of Options to the Other Party 534
Section Summary 535
Chapter Summary 536
Chapter 18 Managing Difficult Negotiations 537
Managing the Shadow Negotiation and Social Contract 539
Power Moves 541
Process Moves 541
Appreciative Moves 541
Section Summary 541
xviii Contents
Responding to the Other Side’s Hard Distributive Tactics 541
Call Them on It 542
Ignore Them 542
Respond in Kind 542
Offer to Change to More Productive Methods 543
Section Summary 543
Responding to Irrationality 543
Responding When the Other Side Has More Power 544
The Special Problem of Handling Ultimatums 546
Responding to Anger 547
Responding When the Other Side Is Being Difficult 548
Ury’s Breakthrough Approach 549
Responding to Difficult People 552
Having Conversations with Difficult People 552
Duplicitous Negotiations 555
Chapter Summary 556
Chapter 19 Third‐Party Approaches to Managing Difficult Negotiations 558
Adding Third Parties to the Two‐Party Negotiation Process 559
Benefits and Liabilities of Third‐Party Intervention 560
When Is Third‐Party Involvement Appropriate? 561
Which Type of Intervention Is Appropriate? 562
Types of Third‐Party Intervention 564
Formal Intervention Methods 564
