Form SK 1-15
BATNA refers to "Best Alternative to a Negotiated Agreement" as discussed in
Getting to YES- 1991 by
Roger Fisher and William Ury13 Step Mediation - Process Guidelines General Strategy- Create an atmosphere conducive to resolution, increase
understanding, model appropriate and effective behavior, and shape consensus
to secure verifiable, actionable agreements Definition: Success is an agreement
detailing and securing the advancement of all the parties' individual goals
for a specific time period.
1. Frame the conflict (Get a fix on what it's about)
a. Do the 3 P's: Prepare-Prepare-Prepare: (use worksheets - available from
Negotiation Services Company for $ 9.95)
Determine all of the relevant parties to the conflict. (Ask who could block
the proposal?) Determine who should represent each group (non
extremists). Assess the parties' interests and positions (identify common
ground as well as areas of open conflict)
b. Coordinate scheduling and organization. Facilitate the availability of
accurate, relevant, objective information to empower all the parties
2. Set the Players (begin to set expectations about the process)
a. Make the introductions establishing your authority, responsibility, and the
restrictions of all the parties in the mediation. (Mention interrupting)
b. Present, recognize, and legitimize all of the parties to the conflict
c. Know the parties and history of the relationships (effects on each other)
d. Create a reduced-tension environment to foster agreement
Engender an empathetic, sincere approach to mediation- (Possibly tell a story)
e. Establish a sense of humor and worldliness about the fallibility of
ourselves, the process, and the task at hand. Remember, unbelievable as it
seems, the world will continue long after us!
3. Clarify the Goals and Intent of the Mediation
Establish the participant's ownership of the process - (key point)
a. Emphasize benefits of the mediation process: safe, private, self-directed,
trained-assistance, confidential, less costly
b. Re-emphasize your own position of neutrality and confidentiality
c. Set expectations for agreement early and reaffirm them often
d. Review (and model) effective, interactive behavior; specifically, insist on
participants' honesty and encourage them to:
1 . Be Respectful, Responsible, and Reasonable
2. Understand and respect cultural differences by using the Platinum Rule:
Treat others the way they want to be treated, not the way you want to be treated.
3. Not underestimate the power of listening and to listen intently to
what others are saying, instead of preparing their own responses
4. Write down their own interests as well as others; a short pencil is
better than a long memory.
5. Preserve the relationships by trying to "save face" for all parties.
6. Seek elegant solutions:
Are there solutions that tie the parties
together, instead of breaking them apart?
4. Review (familiarize) the Process and Procedures for the Participants
a. Define consensus and clarify its importance
b. Advocate for objective standards which are acceptable to all parties.
c. Advocate a philosophical approach which "leaves the past in the past",
emphasizes reasonability over fairness, and induces people to (AEIOU)
Appreciate, Empathize, Improve, Organize, and Understand each other
5. Increase the Accuracy and Understanding of Information
a. Clearly confirm facts if possible or agree to negotiate any differences of
opinion about the facts and the relevant importance of those disagreements. If necessary,
make an agreement about disagreement which can be used as a building block for further
negotiation.
b. Confirm the definition of terms - don't assume!! Attempt to ensure all
parties are reading out of the same prayer book.
c. Encourage the open sharing of information
d. Encourage the parties to explain their limitations and the reasons for them
e. Offer positions strategically which set parameters for the negotiators
6. Set the Universe of Issues and Structure the Debate
a. Help the parties identify underlying interests as well as any positions they
offer. Deflect any unusually high positions by reframing the intent.
b. Design an organizational framework to compartmentalize issues
c. Control the number of issues
d. Frame problem-solving in a fun way as puzzle-solving
7. Seek and Emphasize Commonalities
a. Continually reaffirm progress to emphasize consensus and momentum
b. Help the parties to negotiate on small things first, then go on to the
larger issues
8. Expand the Awareness of Options
a. Strategize Together: Assume the unobvious;
b. Encourage all of the parties to enhance the opposing side's interests, e.g. if one
side (S-1) wants the cost of the other side (S-2) to be lowered, could (S- 1) instead
raise the income of (S-2). Conversely, if (S-2) wants more money, could (S- 1) help reduce
(S-2's) expenses.
c. Encourage the parties to name their mutual constituents and stakeholders.
d. Help the parties establish goals for each other, individually and together.
e. Create unique solutions which enhance interests.
f. Postulate extremes to increase perceptions and awareness.
g. Hypothesize: use "what if" to frame up potential deals.
h. If you are at a sticking point, pretend a deal: Make a deal based on
giveaways the parties aren't prepared to give to facilitate discussion.
9. Encourage Deliberative Participation
a. Let the parties air it out- get the conflict out in the open. Highlight "grey areas",
and the consequences of poorly managed conflict
b. Marginalize "personal issues", and harness and channel those need
related energies toward competitive resolution-seeking
c. If necessary, suggest making the agreement conditional.
d. Help the parties negotiate an acceptable agreement; one that if all else
fails both sides could live with. Then work hard to improve it.
e. Encourage reassessment of BATNAs
f. Encourage reliance on standards
10. Facilitate Cooperation
a. Know when to take a break, i.e.. if things are too fast, too heated, or too
confusing. Statement - Before
we continue, we should take a quick break.
b. Assess the various groups' negotiation posture (win-lose mentality or a win-win mentality
- and identify those behaviors) Ask questions like
In a broad sense, can you see us settling
and making an agreement today?
c. Clarify interests and identify leverage to encourage discussion.
d. Ask the parties if they would be willing to flip the deal, would they take the cut
of the pie that they are offering? Put the shoe on the other foot. If the deal isn't
being made, ask both sides to clarify how they can better meet their counterpart's
interests. Ask them if, in this case, a bird in the hand is worth two in the bush?
Have they seriously considered the offer? Ask them to ask themselves why the
offer couldn't work. Reassess the risk and consequences of not gaining agreement:
recognize the chaos factor; suspended negotiations create an uncontrolled and
potentially damaging environment.
g. Identify and label inappropriate or ineffective behaviors
h. Caucus with the parties individually reviewing the downsides to create the
atmosphere for concessions. Remember - "Never cut what you can untie."
Narrow areas of disagreement by carefully reframing issues, How a thing is said,
is very important. Remind the parties of their investment in the process
11. Shape Consensus by Reframing the Issues
a. Create momentum by confirming progress and being positive.
b. Survey the playing field: Define the negotiation in terms of power perceptions
and realities. Determine strengths and weaknesses. Be wary of being misinformed,
(unintentionally or otherwise) : assess the accuracy and validity of any information given.
Ask yourself questions. What am I missing? Remind the parties, if the deal they cut is too
one-sided, it will likely adversely affect future negotiations and be difficult to implement.
If the one side's proposal is inadequate, ask them to answer how or
why they fee their proposal meets the other side's interests.
12. Test Understanding and Secure Agreement
a. Nail it down Reconfirm the specifics of the agreement.
b. Double check your terminology, your time frames,
the wording of the agreement, etc.
c. Negotiate the checks and balances. Make sure it works. Think of ways it will be
tested and address those issues by establishing verifiable auditing procedures to
ensure the agreement for both parties.
13. Share the credit and reaffirm interests served.
Notes: Tactics To Break Typical Impasses - Ask:
#1 Assuming we could come up with a reasonable settlement, can we work on what the
characteristics of that agreement would be?
#2 Can we put the money aside for a moment and focus on ?
#3 Create an awareness of a necessary internal transformation in the participants
that will encourage facilitative cooperation now and in future interactions
Be Smart: Always negotiate honestly; there is no substitute for a clear mind,
a friendly demeanor, and a good sense of humor.
Copyright SK 1999
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