Effective Negotiation Checklist: Phases Overview & Activities Guidelines

1. Check Lists For Each Phase Because we have reconfigured the phases, these older slides are not fully aligned with the phases in the current slide set. However, each activity--preparing, opening, exploring, focusing and agreeing--is encompassed in the new configuration. Check Lists

2. Inadequate preparation -- Phase I • Accept positional mandates from constituents • Focus only on the members of the two bargaining teams • Overestimate your power/underestimate others’ • Being either too trusting or too cautious with advanced sharing of data Phase I: Overview

3. Phase I: Preparation checklist • Identify stakeholders and potential issues • Assess stakeholder interests on each issue • Identify potential mutual gains options • Clarify constituent mandates on each issue Be direct on tough issues Reframe positional mandates into interests • Analyze power realities on each issue • Establish target, fall-back and BATNAs for each issue and anticipate same for other side • Explore opportunities for joint data collection Ask “What are the core interests -- ours and others?” Phase I: Overview

4. Risky opening -- Phase II • Define the problem too narrowly or too broadly • Unyielding position • No clear indication of priorities • Minimize/ignore other’s stated positions/interests • Overt threats or no indication of alternatives Phase II: Overview

5. Phase II: Opening checklist • Clear definition of problem • Firm on interests, flexible on solutions • Acknowledge other’s interests • Recognize power realities • Construct agreements on ground rules, bargaining plan, and joint data collection Be able to answer the question, “Why?” Phase II: Overview

6. Unconstructive exploration -- Phase III • Boundaries set by opening positions • Communication only channeled through spokespeople • Incomplete notes/language not written out • Unilaterally or prematurely rejecting options • Not communicating constraints on exploration Phase III: Overview

7. Phase III: Exploration checklist • Review boundaries on scope of exploration (constituent expectations, time constraints, etc.) • Consider separate brainstorming prior to joint brainstorming • Encourage “out of the box” thinking • Generate many options • Build on mutual gains possibilities • Keep separate “parking lots” for questions about feasibility and criteria to measure success Ask “What other options can we identify?” Phase III: Overview

8. Unconstructive exploration -- Phase III • Boundaries set by opening positions • Communication only channeled through spokespeople • Incomplete notes/language not written out • Unilaterally or prematurely rejecting options • Not communicating constraints on exploration Phase III: Overview

9. Phase III: Exploration checklist • Review boundaries on scope of exploration (constituent expectations, time constraints, etc.) • Consider separate brainstorming prior to joint brainstorming • Encourage “out of the box” thinking • Generate many options • Build on mutual gains possibilities • Keep separate “parking lots” for questions about feasibility and criteria to measure success Ask “What other options can we identify?” Phase III: Overview

10. Ineffective focusing -- Phase IV • Wait for others to take the first step • Jump to a single solution -- cutting a deal • Push without reasons • Impose self-serving criteria • Ignore points made by others • Make final demands Phase IV: Overview

11. Phase IV: Focusing checklist • Determine that exploring is as complete as possible • Indicate that it’s time to focus toward agreement (step “into the void”) • Agree on fair criteria/standards (if possible) • Consider “What if?” and “What about?” scenarios • Offer “supposals” and other potential solutions • Build on interests, data, and points made by others • Propose potential linkages • Establish fair criteria/standards • Signal consequences of impasse -- BATNA Ask “Can we at least agree that . . . ?” Phase IV: Overview

12. Unstable agreements -- Phase V • Superficial consensus • Only take into account the “people in the room” • Agreement easily undone by unexpected or inconsistent actions Phase V: Overview