1、Chapter 1Basic Theories for International Business Negotiation （）1.Quotation（引言）2.Definition of business negotiation（商务谈判定义）3.Characteristics of business negotiation（商务谈判特征）4.The basic principles of business negotiation （商务谈判的基本原则）5.Key terms of business negotiation（重要术语）6.Determinants that affect b
2、usiness negotiation（影响商务谈判的决定因素）7.Chinese case（中国案例）8.Chinese culture（中国文化）1.Quotation（引言）In business as in life,you dont get what you deserve,you get what you negotiate.Chester L.Karras,American business negotiation expert 人生如对弈，商场如人生，你只能通过谈判得到你应该得到的。切斯特卡拉斯 (美国商务谈判专家)2.Definition of business negoti
3、ation The word“negotiation”derives from the Latin word“negotiari”,which means“to do business”.In a broad sense,negotiation is a social phenomenon and a special embodiment of human relations.Negotiation is a process of information exchange between two sides,which are counterparts of matched qualifica
4、tion and rather independent in material force,personality and social status,etc.Due to mutual contact,conflicts and differences in viewpoints,needs,basic interests and action modes,both parties try to persuade the other party to understand or accept their viewpoints and to satisfy their own needs.2.
5、商务谈判定义“谈判”一词源于拉丁语“negotiari”，意思是“做生意”。从广义上讲，谈判是一种社会现象，是人际关系的特殊体现。谈判是双方在物质力量、人格和社会地位等方面具有相当独立性的对等方之间进行信息交换的过程。由于双方在观点、需求、基本利益和行动方式等方面的相互接触、冲突和差异，双方都试图说服对方理解或接受自己的观点，满足自己的需求。3.Characteristics of business negotiation Business negotiation demonstrates the following characteristics:3.1 The objective of b
6、usiness negotiation is to obtain financial interests.3.2 The core of business negotiation is price.3.3 There are randomness and variability in business negotiation.3.4 Cooperation and exclusion of the business negotiating parties coexist.3.5 There is no absolute fairness or equality in business nego
7、tiations.3.商务谈判的特征 商务谈判具有以下特点:3.1 商务谈判的目的是获得经济利益。3.2 商务谈判的核心是价格。3.3 商务谈判具有随机性和可变性。3.4 合作与排斥商务谈判双方并存。3.5 商务谈判中不存在绝对的公平和平等。4.The basic pri nciples of business negotiation4.1 Principle of PIOC(People,Interest,Options,Criteria)；4.2 Collaborative negotiation vs.Competitive negotiation；4.3 Integrative neg
8、otiation vs.Distributive negotiation；4.4 Principle of trust in negotiation.4.The basic principles of business negotiation4.1 PIOC原则(人、利益、方案、标准);4.2 协同式谈判与竞争式谈判;4.3 整合式谈判与分配式谈判;4.4 谈判中的信任原则。4.1 Principle of PIOC(People,Interest,Options,Criteria)i)People:Separating the people from the problem People p
9、roblems are usually caused by inaccurate perceptions,inappropriate emotions and poor communication.In order to deal with those problems,three techniques are recommended for both parties as follows:Establish an accurate perception;Cultivate appropriate emotion;Strive for better communication.4.1 PIOC
10、原则(人、利益、选择、标准)i)人：人事分开 人的问题通常是由不准确的看法、不恰当的情绪和沟通不畅造成的。为了解决这些问题，建议双方采用以下三种方法:建立准确的感知;培养适当的情感;争取更好的沟通。ii)Interests:Focus on interests,not position Positions are often pre-determined,concrete and explicit.Interests allow flexibility and define positions by determining the underlying needs,concerns and m
11、otivations of each party.The more interests that are found,the greater is the potential for developing options for mutual gain.No conflicting interests,no need for negotiation.Methods for focusing on interests instead of positions are as follows:Identify the self-interests;Discuss interests with the
12、 other party.ii)利益：关注利益不要关注立场 立场通常是预先确定的，具体而明确的。利益决定了各方的潜在需求、关注和动机，从而允许灵活性和定义立场。发现的利益越多，就越有可能创造出互惠互利的方案。没有利益冲突，就没有谈判的必要。关注利益而不关注立场的方法如下:确定自身利益;与对方讨论利益。iii)Options:Invent options for mutual gains There are four major obstacles that prevent negotiators from creative thinking:premature judgment;searchi
13、ng for the single answer;the assumption of a fixed pie;thinking that“solving their problems is their problems.”Here are four steps of overcoming the obstacles and developing multiple solution options:Separate the act of inventing options from the act of judging them;Develop as many options as possib
14、le before choosing one;Search for mutual gains;Find ways to help make the other partys decision easy.iii)方案:创造出互惠互利的方案 阻碍谈判者创造性思维的主要障碍有四:过早判断;寻找唯一的答案;假设利益是固定的;认为“解决他们的问题就是他们的问题”。以下是克服障碍和形成多种解决方案的四个步骤:1）将创造方案的行为与判断方案的行为分开;2）在选择方案之前要思考尽可能多的方案;3）寻求共同利益;4）想办法让对方更容易做出决定。iv)Criteria:Insist on using object
15、ive criteria There are three basic points to remember:Frame each issue as a joint search for objective criteria;Reason and be open to reason as to which standards are most appropriate and how they should be applied;Never yield to pressure,only to principle yield to an argument or presentation that i
16、s based on reason and principle,not to one based on pressure.iv)标准:坚持使用客观标准 有三个基本要点要记住:将每个问题作为共同寻找客观标准的框架;对哪些标准是最合适的以及应该如何应用这些标准进行理性的思考和开放的思考;永远不要屈服于压力，只屈服于原则屈服于基于理性和原则的论证或陈述，而不是屈服于基于压力的论证或陈述。4.2 Collaborative negotiation vs.Competitive negotiation Collaborative negotiation involves people with dive
17、rse interests working together to achieve mutually satisfying outcomes.The collaborative negotiation focuses on interests rather than positions.Collaborators find a way to ensure their needs are met as well as those of the other parties involved.Negotiators adopting competitive style negotiate to wi
18、n.They are not concerned with the other partys feelings or outcomes and treats the negotiation process like a game that must be won.A person or company that utilizes competitive negotiation tactics is under the assumption that there is only one fixed outcome that both parties are striving to obtain.
19、4.2 协同谈判与竞争谈判 协同式谈判指的是利益不同的人共同努力，以实现双方满意的结果。协同式谈判注重的是利益而不是立场。协作者找到一种方法来确保他们的需求以及其他相关方的需求得到满足。采用竞争风格的谈判者谈判是为了取胜。他们不关心对方的感受和结果，把谈判过程当作一场必须赢的游戏。使用竞争性谈判策略的个人或公司假设只有一个固定的结果，因此双方都需要努力获得。4.3 Integrative negotiation vs.Distributive negotiation Integrative negotiation,similar to cooperative negotiation,is of
20、ten referred as“win-win”and typically entails two or more issues to be negotiated.“Integrative”refers to the potential for the parties interest to be combined in ways that create joint value or enlarge the pie.Integrative negotiation often involves an agreement process that better integrates the aim
21、s and goals of all the involved negotiating parties through creative and collaborative problem solving.A distributive negotiation type or process that normally entails a single issue to be negotiated is also referred to as a“win-lose”,or“fixed-pie”negotiation because one party gains at the expense o
22、f another party.4.3 整合式谈判与分配式谈判 整合式谈判与合作谈判类似，通常被称为“双赢”，通常需要协商两个或两个以上的问题。“整合”是指以创造共同价值或扩大利益的方式整合各方利益。整合式谈判通常包括一个协议过程，通过创造性和协作式解决问题，可以更好地整合谈判参与方的目标。通常只涉及单个问题的分配谈判类型或过程也被称为“赢输”或“固定馅饼”谈判，因为一方以另一方的损失为代价获得利益。4.4 Principle of trust in negotiationThere is a list of 15 things that a negotiator can do to buil
23、d trust in his or her counterpart.Demonstrate your competence;Make sure the nonverbal signals you are sending match the words you are saying;Maintain a professional appearance;Communicate your good intentions;Do what you say you are going to do;Go beyond the conventional relationship;Listen;Over-com
24、municate;Discuss the discussible;Provide accurate information,without any hidden agenda;Be honest,even when it costs you something;Be patient;Uphold fairness;Negotiate for abundance,not scarcity;Take calculated risks.4.4 谈判中的信任下面列出了15件谈判者可以做的事情来建立对方的信任。展示你的能力;确保你发出的非语言信号与你所说的话相符;保持职业形象;传达你良好的意图;做你说过
25、你要做的事;超越传统关系;听;进行密集沟通;讨论可讨论的内容;提供准确的信息，没有任何隐藏的目的;诚实，即使它会让你付出代价;有耐心;维护社会公平;为富足而谈判，而不是稀缺;承担可计算的风险。5.Key terms 5.1 Positional negotiation With the positional style of negotiation,each party starts with an extreme(usually unjustified)position.The basis for this approach stems from the belief that the ul
26、timate solution will be favorable only if the initial offer is extreme.It is seen as a zero-sum game.One party will win and one will lose.An extreme position increases the chances of a“win”.The more extreme the opening positions and the smaller the concessions,the more time and effort it will take t
27、o come to an agreement.5.重要术语 5.1 5.1 立场谈判立场谈判 在立场风格的谈判中，每一方都从一个极端(通常是不合理的)立场开始。这种做法的基础源于这样一种信念:只有在最初的报价是极端的情况下，最终解决方案才会有利。这被视为一种零和游戏。一方会赢，一方会输。一个极端的位置增加了“赢”的机会。开放立场越极端，让步越小，达成协议需要的时间和努力就越多。5.2 Lose-lose negotiation There has been a negotiation result where all parties to a negotiation leave resourc
28、es or“gold”on the table at the conclusion of a negotiation and fail to recognize or exploit more creative options that would lead to a“win-win”negotiated outcome.The term is also used in“Game Theory”and Economics.5.3 Lose-win or win-lose negotiation This term refers to a distributive negotiation whe
29、reby one partys gain is another partys loss.Both parties are competing to get the most value from the negotiation.It is also called the“fixed-pie”scenario in that there is only a limited amount to be distributed.It is also a term used in“Game Theory”and Economics,and also known as Win-Lose Negotiati
30、on.5.2 5.2 双输的谈判双输的谈判 谈判的结果是，谈判各方在谈判结束时将资源或谈判的结果是，谈判各方在谈判结束时将资源或“黄金黄金”放在桌上，而没有认识到或利用更多的创造性放在桌上，而没有认识到或利用更多的创造性选择，从而实现选择，从而实现“双赢双赢”的谈判结果。这个术语也用的谈判结果。这个术语也用于博弈论和经济学。于博弈论和经济学。5.3 5.3 输赢或赢输的谈判输赢或赢输的谈判 这一术语指的是分配式谈判，一方的收益是另一方这一术语指的是分配式谈判，一方的收益是另一方的损失。双方都在竞争从谈判中获得最大的价值。它的损失。双方都在竞争从谈判中获得最大的价值。它也被称为也被称为“固定馅饼
31、固定馅饼”，因为只有有限的数量可以分，因为只有有限的数量可以分配。它也是配。它也是“博弈论博弈论”和经济学中使用的一个术语，和经济学中使用的一个术语，也被称为也被称为“赢输谈判赢输谈判”。5.4 Win-win negotiation A win-win negotiation settlement is an integrative negotiated agreement.In theory this means the negotiating parties have reached an agreement after fully taking into account each ot
32、hers interests,such that the agreement cannot be improved upon further by any other agreement.By definition,there are no resources or“gold”left on the table and all creative options have been thoroughly exploited.“Win-Win”has its roots in“Game Theory”and Economics.5.5.4 4 双赢的谈判双赢的谈判 双赢的谈判解决方案是双赢的谈判解
33、决方案是整合式整合式的谈判协议。从理论的谈判协议。从理论上讲，这意味着谈判双方在充分考虑彼此利益的情况上讲，这意味着谈判双方在充分考虑彼此利益的情况下达成了一项协议，因此，任何其他协议都无法进一下达成了一项协议，因此，任何其他协议都无法进一步改善该协议。从定义上看，没有任何资源或步改善该协议。从定义上看，没有任何资源或“黄金黄金”可供选择，所有创造性可供选择，所有创造性方案方案都已被充分利用。都已被充分利用。“双双赢赢”源于源于“博弈论博弈论”和经济学。和经济学。5.5 BATNA An acronym described by Roger Fisher and William Ury whi
34、ch means Best Alternative to a Negotiated Agreement.It is the alternative action that will be taken when your proposed agreement with another party results in an unsatisfactory agreement or when an agreement fails to materialize.If the potential results of your current negotiation only offer a value
35、 that is less than your BATNA,there is no point in proceeding with the negotiation,and one should use his or her best available alternative option instead.Prior to the start of negotiations,each party should have ascertained their own individual BATNA.5.5 5.5 谈判协议的最佳替代方案谈判协议的最佳替代方案 由罗杰由罗杰费希尔和威廉费希尔和威
36、廉尤里描述的首字母缩略尤里描述的首字母缩略词，意思是谈判协议的最佳替代方案。它是当你与另词，意思是谈判协议的最佳替代方案。它是当你与另一方提出的协议结果不令人满意或协议未能实现时所一方提出的协议结果不令人满意或协议未能实现时所采取的替代行动。如果你当前谈判的潜在结果只提供采取的替代行动。如果你当前谈判的潜在结果只提供一个低于你的最佳替代方案的价值，那么继续谈判就一个低于你的最佳替代方案的价值，那么继续谈判就没有意义了，你应该使用自己的最佳可用替代方案。没有意义了，你应该使用自己的最佳可用替代方案。在开始谈判之前，每一方都应确定他们自己的最佳替在开始谈判之前，每一方都应确定他们自己的最佳替代方案
37、。代方案。5.6 Principled negotiation Principled negotiation is an interest-based approach to negotiation that focuses primarily on conflict management and conflict resolution.Principled negotiation uses an integrative approach to finding a mutually shared outcome.Principled negotiation has become synonym
38、ous with the more popular phrase“win-win”originally taken from“Game Theory.”5.7 Fixed pie assumption It is also known as the“mythical fixed pie,”a well-documented phenomenon people believe that negotiation situations are zero-sum,even when there is potential for both parties to create value,not just
39、 claim value.5.6 6 原则谈判原则谈判 原则性谈判是一种以利益为基础的谈判方法，主要原则性谈判是一种以利益为基础的谈判方法，主要侧重于冲突管理和冲突解决。原则性谈判采用综合方侧重于冲突管理和冲突解决。原则性谈判采用综合方法寻求共同的结果。原则性谈判已经成为了更流行的法寻求共同的结果。原则性谈判已经成为了更流行的短语短语“双赢双赢”的同义词，这个短语最初取自博弈论的同义词，这个短语最初取自博弈论。5.7 5.7 固定饼假设固定饼假设 它也被称为它也被称为“神秘的固定馅饼神秘的固定馅饼”，这是一个有充分，这是一个有充分证据的现象证据的现象人们认为谈判情况是零和的，即使双人们认为谈判
40、情况是零和的，即使双方都有创造价值的潜力，而不仅仅是主张价值。方都有创造价值的潜力，而不仅仅是主张价值。5.8 Negotiation anchoring Anchoring is an attempt to establish a reference point(anchor)around which a negotiation will revolve and will often use this reference point to make negotiation adjustments.Anchoring often occurs when the first offer is p
41、resented at the beginning of a negotiation.5.9 Negotiation concessions Negotiation concessions are also sometimes referred to as“Trade-Offs”,where one or more parties to a negotiation engage in conceding,yielding,or compromising on issues under negotiation and do so either willingly or unwillingly.N
42、egotiation concessions often include“log rolling”.5.8 5.8 谈判锚定谈判锚定 锚定是试图建立一个参考点锚定是试图建立一个参考点(锚锚)，谈判将围绕这个，谈判将围绕这个参考点进行，并经常使用这个参考点来进行谈判调整参考点进行，并经常使用这个参考点来进行谈判调整。锚定通常发生在谈判开始时提出第一个报价时。锚定通常发生在谈判开始时提出第一个报价时。5.9 5.9 谈判让步谈判让步 谈判让步有时也被称为谈判让步有时也被称为“权衡权衡”，即谈判的一方或，即谈判的一方或多方对谈判中的问题作出让步、让步或妥协，并自愿多方对谈判中的问题作出让步、让步或妥
43、协，并自愿或不情愿地这样做。谈判让步通常包括或不情愿地这样做。谈判让步通常包括“滚动原木滚动原木”。6.Determinants that affect business negotiation 6.1 Socio-cultural determinants 6.1.1 Values systems Value systems affect many human aspects that are important in shaping societys economic behavior and performance.The study of different cultural valu
44、es indicates that an act considered right in one society may be repugnant in another.Value systems or the ideological aspects of a culture refer to the ways of looking at life philosophical tenets,religious beliefs,and rules of behavior.Values are beliefs upon which people built their lives.Each ind
45、ividuals perception of the world around him or her is to some extent viewed through his or her enculturative screen.Ones own culture and values were taken as the standard against which all others were judged.6.影响商务谈判的决定因素 6.1 社会文化因素社会文化因素 6.1.1 价值体系价值体系 价值体系影响人类的许多方面，而这些方面在塑造社会的经济行为和表现方面很重要。对不同文化价值的
46、研究表明，在一个社会被认为是正确的行为在另一个社会可能是令人反感的。一种文化的价值体系或意识形态是指看待生活哲学原则、宗教信仰和行为准则的方式。价值观是人们建立生活的信念。在某种程度上，每个人对他或她周围世界的感知都是通过他或她的文化屏幕来观察的。一个人的文化和价值观被当作评判其他所有人的标准。6.1.2 Personal contacts Western executives and investors know by their experience that to facilitate their business negotiations,they should,at a price,
47、communicate sometimes with people who make things happen and who have good contacts with key officials.In many countries,personal contacts have more effect in speeding negotiations and related business than in bureaucratic systems.6.1.2 人际交往人际交往 西方的企业高管和投资者从他们的经验中知道，为了促进他们的商业谈判，他们有时应该以一定的代价与那些促成事情发生
48、、与重要官员有良好联系的人进行沟通。在许多国家，人际交往在加快谈判和相关业务方面比在官僚体制中更有效。6.1.3 Patterns of negotiation agreements Businesspeople should know the rules for negotiating agreements in other countries.Generally speaking,westerners will not conduct any business without some written agreement or contract.In some cultures,howev
49、er,once a mans word is given in a particular kind way,it is just as binding as most contracts.Informal patterns and unstated agreements often cause untoward difficulty in a cross-cultural situation.One of the greatest difficulties businesspeople have comes from the fact that they often think they ha
50、ve a commitment when they do not.It is difficult for executives to adjust their frame of reference to the fact that what constitutes one thing to them is something entirely different to others.6.1.3 谈判协议的模式谈判协议的模式 商人应该了解其他国家谈判协议的规则。一般来说，没有书面协议或合同，西方人是不会做生意的。然而，在某些文化中，一旦一个人的承诺以一种特殊的方式给出，它就像大多数合同一样具有约
