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Welcome to the Fourth Edition of Essentials of Negotiation. Again, this book represents
our response to many faculty who wanted a brief version of the longer text, Negotiation
(Fifth Edition). The objective of this shorter volume is to provide the reader with the
core concepts of negotiation in a more succinct version. Many faculty requested such
a book for use in shorter academic courses, executive education programs, or as an
accompaniment to other resource materials for courses in negotiation, labor relations,
conflict management, human resource management, and the like.
The organization of this volume generally follows the more complete Fifth Edition
of Negotiation. The fundamental difference between this and the Fifth Edition text is
that this book contains only 12 chapters, while the complete Fifth Edition contains
20 chapters. The first four chapters have only been minimally shortened for this volume,
because we believe that the content is essential to any negotiation course. (The shorten-
ing process includes editing out some of the more research-oriented references and de-
scriptions, deleting many of the boxes and sidebars, and occasionally some secondary
sections.) Similarly, the last chapter is reproduced in full. The other seven chapters from
Negotiation have been included, but shortened by 25-50 percent each.
    For the instructor who was not familiar with Essentials (First, Second, and Third
Editions) or Negotiation (Fifth or earlier Editions), a brief overview is in order. The first
four chapters introduce the reader to "Negotiation Fundamentals." The first chapter
introduces the field of negotiation and conflict management, describes the basic prob-
lem of interdependence with other people, and briefly explores the challenges of man-
aging that interdependence. Chapters 2 and 3 then present the two core strategic
approaches to negotiation: the basic dynamics of competitive (win-lose) bargaining
(Chapter 2) and the basic dynamics of integrative (win-win) negotiation (Chapter 3).
Chapter 4 describes the fundamental prework that negotiators must do to get ready for a
negotiation: selecting the strategy, framing the issues, defining negotiation objectives,
and planning the steps one will pursue to achieve those objectives.
     The next four chapters describe the fundamental psychological subprocesses of
negotiation: perception, cognition, emotion, communication, power, influence, and ethical
judgment. In Chapter 5, we review the basic processes of perception, cognition, and emo-
tion in negotiation; we specifically examine common cognitive and judgment biases made
by negotiators, and how emotion can affect negotiations. In Chapter 6, we examine com-
munication dynamics. We look at the ways that negotiators communicate their interests, po-
sitions, and goals, and how this information is communicated to the other. Chapter 7
focuses on power. We look at the capabilities negotiators can use to muster power to pres-
sure the other side, so as to change his or her perspective or give in to our arguments. In
Chapter 8, we examine the ethical standards and criteria that surround negotiation. The ef-
fective negotiator must recognize when ethical questions are relevant and what factors must
be considered to address them effectively.
  The next two chapters examine the social contexts in which these negotiations
occur, and which also therefore influence how they evolve. In Chapter 9, we examine
how the negotiation process changes when the parties have an established relationship
with each other, and how the type of relationship affects the negotiation process. We also
examine the key roles played by trust, justice, and negotiator reputation in shaping
negotiations. In Chapter 10, we look at multiparty negotiations, when multiple individ-
uals must work together as a group, team, or task force to solve a complex problem or
make a decision.
    In Chapter 11, we attempt to clarify how international and cross-cultural differences
can shape the diverse ways that parties approach negotiations.
    Finally in Chapter 12, we present a new concluding chapter, summarizing the
book's content and offering ten "best practices" principles for all negotiators.
Comparison of This Book to the Third Edition of Essentials
In addition to this major chapter organization, which required a more extensive treat-
ment of subjects than in previous editions, there are several other changes worth noting:
~   The physical layout of the book has been improved. We have tried to add more
    white space, a wider trim size with wider margins, and more readable charts and
    figures.
~   The content of the book has been revised and updated. Every chapter was re-
    viewed by the authors, based on extensive feedback from faculty who have used
    the book in previous editions. Many of the chapters have been rewritten to present
    the material more effectively.
~   In our continued effort to enhance the book's readability, we have also updated
    and revised many of the boxes and cartoons that offer real-life perspectives on
    negotiation dynamics.
~   As noted earlier, the structure of this book parallels that of a completely revised
    readings and classroom activities book, Negotiation: Readings, Exercises and
    Cases by Lewicki, Barry, and Saunders (Fifth Edition, 2007), also published by
    McGraw-Hill/Irwin. This text and reader can be used together, or separately. We
    encourage instructors to contact their local McGraw-Hill/Irwin representative for
    an examination copy (call 800-634-3963, or visit the Web site at www. mhhe.com).
                                                                                      

Once amain��this b00k COilld not have been completed withOUt the assistance of many
other people��We WOUld specifically like to thank
·  Steve Stenner,��r his excellent WOrk in editing this V01ume��and revising and
    compiling the InstructOrs’Manual CD-ROM��
·    Many of our COlleagtleS in the negotiation and dispute resolution field��whose
    research efforts have made the growth of this field possible��and who have used
    earlier edition and told US what they“ked and did not 1ike��
·    The staff of McGraw��HiII��Irwin��Publisher John Biemat and Editor Ryan
  Blankenship��fbr their ongoing confidence and patience as we completed the
  WOrks��A11ison Belda��Editorial Coordinator'fbr SOlVing any problem and fixing
  any disaster��Kristin Bradley Proiect Manage r��fbr turning a jumble 0f WOrds into
  readable text and finding(almost)every spelling and coPYediting mistake��
  Marketing Manager Jared Harless��fbr continuing to promote the v01ume��and
  JOyce Chappetto��fbr pr��paring our Flew supplcments��
·  Our familjes��who contiflue to provide us with the time and suppon that we
  require to finish this prOject��
Thank vOU one and all!
C0mmunication  ����
Reduced to its essence, negotiation is a form of interpersonal communication. Commu-
nication processes, both verbal and nonverbal, are critical to achieving negotiation goals
and to resolving conflicts. In this chapter we examine the process by which negotiators
communicate their own interests, positions, and goals--and in turn make sense of those
of the other party and of the negotiation as a whole. The chapter opens with a discussion
of what is communicated in a negotiation, followed by an exploration of how people
communicate in negotiation. The chapter concludes with discussions of how to improve
communication in negotiation and of special communication considerations at the close
of negotiations.
What ls Communicated during Negotiation?  Մ������Ҫ������Щ����?
One of the fundamental questions that researchers in communication and negotiation
have examined is, What is communicated during negotiation? This work has taken
several different forms but generally involves audiotaping or videotaping negotiation
role-plays and analyzing the patterns of communication that occur in them. In one study,
researchers videotaped executives who participated in a 60-minute, three-person nego-
tiation involving two oil companies.1 The researchers found that over 70 percent of the
verbal tactics that buyers and sellers used during the negotiation were integrative. In ad-
dition, buyers and sellers tended to behave reciprocally--when one party used an
integrative tactic, the other tended to respond with an integrative tactic.
    Most of the communication during negotiation is not about negotiator preferences.2
Although the blend of integrative versus distributive content varies as a function of the
issues being discussed, it is also clear that the content of communication is only partly
responsible for negotiation outcomes.3 For example, one party may choose not to com-
municate certain things (e.g., the reason she chose a different supplier), so her counter-
part (e.g., the supplier not chosen) may be unaware why some outcomes occur. In the
following sections, we discuss five different categories of communication that take place
during negotiations and then consider the question of whether more communication is al-
ways better than less communication.
1.  Offers, Counteroffers, and Motives ��r��߀�r�̈́әC
Among the most important communications in negotiation are those that convey offers
and counteroffers.4 Bargainers have definite preferences and exhibit rational behavior by
acting in accordance with those preferences. A negotiator's preferences reflect in good
measure his or her underlying motivations, which are also communicated during a ne-
gotiation, and they can have a powerful influence on the actions of the other party and
on negotiation outcomes. A communicative framework for negotiation is based on the
assumptions that (1) the communication of offers is a dynamic process (the offers
change or shift over time); (2) the offer process is interactive (bargainers influence each
other); and (3) various internal and external factors (e.g., time limitations, reciprocity
norms, alternatives, constituency pressures) drive the interaction and "motivate a bar-
gainer to change his or her offer.”5 In other words, the offer-counteroffer process is
dynamic and interactive, and subject to situational and environmental constraints. This
process constantly revises the parameters of the negotiation, eventually narrowing the
bargaining range and guiding the discussion toward a settlement point.
2.  Information about Alternatives  �P���x�����Ϣ
Communication in negotiation is not limited to the exchange of offers and counteroffers,
however. Another important aspect that has been studied is how sharing information
with the other party influences the negotiation process. For instance, is simply having a
best alternative to a negotiated agreement (BATNA) sufficient to give a negotiator an
advantage over the other party? Should one's BATNA be communicated to the other
person? Research suggests that the existence of a BATNA changes several things in a
negotiation: (1) compared to negotiators without attractive BATNAs, negotiators with
attractive BATNAs set higher reservation prices for themselves than their counterparts
did; (2) negotiators whose counterparts had attractive BATNAs set lower reservation
points for themselves; and (3) when both parties were aware of the attractive BATNA
that one of the negotiators had, that negotiator received a more positive negotiation out-
come.6 The results of this research suggest that negotiators with an attractive BATNA
should tell the other party about it ifthey expect to receive its full benefits. We hasten to
add that the style and tone used to convey information about an attractive BATNA
matters. Politely (even subtly) making the other party aware of one's good alternative
can provide leverage without alienating the other party. On the other hand, waving a
good BATNA in the other party's face in an imposing or condescending manner may be
construed as aggressive and threatening.
3.  Information about Outcomes �P�ڽY������Ϣ
Researcher Leigh Thompson and her colleagues examined the effects of sharing differ-
ent types of information on negotiators' evaluations of success.7 The study focused on
how winners and losers evaluated their negotiation outcomes (winners were defined as
negotiators who received more points in the negotiation simulation). Thompson and her
colleagues found that winners and losers evaluated their own outcomes equally when
they did not know how well the other party had done, but ifthey found out that the other
negotiator had done better, or was simply pleased with his or her outcome, then nego-
tiators felt less positive about their own outcome. Another study suggests that even when
negotiators learn that the other party did relatively poorly, they are less satisfied with the
outcome than when they have no comparison information.8 Taken together, these find-
ings suggest that negotiators should be cautious about sharing their outcomes or even
their positive reactions to outcomes with the other party, especially if they are going to
negotiate with that party again in the future.
4.  Social Accounts  ����yӋ����
Another type of communication that occurs during negotiation consists of the "social
accounts" that negotiators use to explain things to the other party, especially when nego-
tiators need to justify bad news? Three types of explanations are important: (1) expla-
nations of mitigating circumstances, where negotiators suggest that they had no choice
in taking the positions they did; (2) explanations of exonerating circumstances, where
negotiators explain their positions from a broader perspective, suggesting that while
their current position may appear negative, it derives from positive motives (e.g., an
honest mistake); and (3) refraining explanations, where outcomes can be explained by
changing the context (e.g., short-term pain for long-term gain)10 Negotiators who use
'multiple explanations are more likely to have better outcomes, and the negative effects
of poor outcomes can be alleviated by communicating explanations for them.11
5.  Communication about Process  �P��Մ���^�̵Ľ���
Lastly, some communication is about the negotiation process itself--how well it is go-
ing or what procedures might be adopted to improve the situation. For example, some
communication strategies in negotiation are used to halt conflict spirals that might oth-
erwise lead to impasse or less-than-ideal outcomes.12 One such strategy involves calling
attention to the other party's contentious actions and explicitly labeling the process as
counterproductive. Research examining conflict spirals suggests that negotiators seek-
ing to break out of a conflict spiral should resist the natural urge to reciprocate con-
tentious communication from the other party. 13
Is More Information Always Better?  �^�����Ϣ�Æ᣿
Some research has suggested that receiving too much information during negotiation may
actually be detrimental to negotiators; this is sometimes called the information-is-weakness
effect.14 Negotiators who know the complete preferences of both parties may have more
difficulty determining fair outcomes than negotiators who do not have this information.
     There is evidence that having more information does not automatically translate
into better negotiation outcomes. One study found that the amount of information ex-
changed does not necessarily improve the overall accuracy of the parties' perceptions of
each other's preferences.15 Thus, the influence of the exchange of accurate information
on negotiation outcomes is not as direct as people might expect--that is, simply ex-
changing information does not automatically lead to better understanding of the other
party's preferences or to better negotiation outcomes.
How People Communicate in Negotiation  �����Մ�����M�н���

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Roy J. Lewicki  is the Dean's Distinguished Teaching Professor and Professor of
Management and Human Resources at the Max M. Fisher College of Business, The
Ohio State University. He has authored or edited 24 books, as well as numerous research
articles. Professor Lewicki has served as the president of the International Association
of Conflict Management, and received the first David Bradford Outstanding Educator
award from the Organizational Behavior Teaching Society for his contributions to the
field of teaching in negotiation and dispute resolution.
Bruce Barry  is Professor of Management and Sociology at Vanderbilt University.
His research on negotiation, influence, power, and justice has appeared in numerous
scholarly journals and volumes. Professor Barry is a past president of the International
Association for Conflict Management and a past chair of the Academy of Management
Conflict Management Division.
David M. Saunders  is Dean of the School of Business at Queen's University,
Canada. He has coauthored several articles on negotiation, conflict resolution, employee
voice, and organizational justice. He has taught at Duke University, People's University
in Beijing, China, and at McGill University in Montreal and Tokyo. Professor Saunders
is currently Chair of the Canadian Federation of Business School Deans, a member of
the Board of Directors of AACSB International, and m