(完整版)国际商务谈判知识点

1关键词语

What is a negotiation?

A negotiation is a process of communication between parties to manage conflicts in order for them to come to an agreement, solve a problem or make arrangements.谈判是各方为化解冲突而进行沟通的过程，目的是使各方达成一项协议、解决一个问题或做出某种安排。

Factors in a successful negotiation

1. Result of mutual taking and giving共同的给予和获取的结果

2. The existence of conflicts and collaboration 冲突与合作并存

3.Every party can exercise（行使）veto right（否决权）to the results of the negotiation各方都可对谈判决议行使否决权

What is a conflict ?

A conflict is a dispute, disagreement or argument between two or more interdependent parties who have different and common interests. 冲突是发生在两个或更多既有不同利益又有共同利益的相互依赖的当事人之间的对抗、争执或不同意见。

Stakes are the value of benefits that may be gained or lost,and costs that may be incurred or avoided.利益是指（通过谈判）可以获得的利益或者是失去的利益及可以引发或者是避免的成本。

Four points

1.The negotiations are pertinent to relevant parties’interests.谈判是对于各方具有利害关系的事件

2.All parties have to pay for the gaining, but what they will get is determined by how well negotiators manage the situation.谈判各方必须有所付出才能获取利益，但所获取利益取决于谈判者如何应对谈判

3.What they will get is also determined by the current situation.所获取利益也取决于谈判时的事态发展现状

4.Negotiators have to balance the relation between the current interests and long-term interests.谈判者必须对眼前利益和长远利益之间作出权衡

2谈判结构

ⅡGeneral Structure of Negotiation

1.Determine interests and issues确定利益与议题

Negotiators should identify their own interests and the other side’s interests (specially their underlying interests) and find out what issues are involved.

2.Design and offer options设计和提出方案

Set forth suggestions and options

Generate a number of options before making a final decision

3.Introduce criteria to evaluate options引入评价方案的标准

For their own interests, all parties will examine and evaluate all suggested options according to their own criteria to find out the most favorable one .

4.Estimate reservation points估计各自的保留点和底线

5.Explore alternatives to agreement寻求达成协议的替代方案

If the agreement is important, negotiators should come up with some alternative suggestions compromising all p arties’ interests.

6.Reach an agreement达成最终协议

BA TNA Best Alternative to a Negotiated Agreement

谈判协议最佳替代方案[BA TNA是罗杰·费希尔（Roger Fisher）和威廉·尤里（William Ury）在他们所著的经典文章Getting to Yes中所提出来的。知道你的BATNA就意味着如果目前的谈判没有成功，你对应该做什么和将要发生什么心中有数。]

What you will do if an agreement is NOT reached

What is the best result you would get if you walked away from this negotiation?

If you don’t sell your house, what will you do with it?

Keep it on the market indefinitely; Rent it out; Let someone house-sit(代为照管房屋）in return for maintenance

Alternatives are OUTSIDE the negotiation

Figure out the value of your BA TNA, and then you know what your base for negotiation is. There may be several alternatives, the BATNA is the one you would choose.

The BATNA may be a course of action or a set of decisions contingent on（视...而定）the resolution of uncertainty.

Reservation Price (bottom line)

保留价格（又称免谈价格）是你在谈判中所能接受的最低条件或价格。

The least favorable point at which one will accept a deal

The “walk-away”

Example: you are looking for larger office space. You set your BATNA at $20/SF and your Reservation Price at $30/SF（square foot平方英尺）

If owner won’t budge（改变态度或意见）from $35, you walk away and take advantage of your BA TNA.

“Zone of Potential Agreement”(ZOPA)可达成协议的空间。是指可以达成一桩交易的空间。谈判各方的保留价格决定着可达成协议的空间的界限，该空间存在于谈判各方的保留价格限度相互重叠的区域内。

ZOPA: Series of points on a line between the bottom line of both parties where settlement is possible.

1.Enquiry询盘

Business negotiations in international trade usually start with an enquiry by an importer to an exporter, asking for the price list, catalogues, samples and details about the goods or trade terms and conditions. However, as some times, an exporter can initiate the negotiation by making an enquiry to a foreign importer, including his intention of selling certain goods to the Latter. It is worthy of note that whoever makes an enquiry is not liable for the buying or the selling. And the opposite side, at the same time, can make no reply at all. But, according to the commercial

practice the receiver of an enquiry will respond without delay in the usual form of a quotation, an offer, or a bid.

2.offer发盘

An offer is a proposal of terms and conditions presented in a potential contract by one party, called the offeror, to another party ,called the offeree.

There are two kinds of offer:offer with engagement(firm offer),offer without engagement(non-firm offer). An offer with engagement(firm offer)is made when a seller promises to sell goods at a stated price within a stated period of time.It can develop into a contractual obligation.Thus,once it is accepted by a buyer,the seller cannot revoke（撤消）or amend it.

3.counter-offer还盘

A counter-offer is an offer made by an offeree to an offeror, accepting some terms and changing other terms.It can be made verbally or in writing.In fact,a counter-offer is a partial rejection of the original offer.It is a new offer,at the same time,the original offer lapses（失效）.The original offeror or the seller now becomes the offeree and he has the right to accept or refuse.This process can go on for many a round till the transaction is concluded or called off.

4.Acceptance接受

In business law,an acceptance is the assent to the terms of an offer,required before a contract can be valid. An acceptance can only be made in the form of a statement or any other conduct(行为) by an offeree, the particular person or a group of persons, who are clearly stipulated in a firm offer. Either a verbal or a written statement is good for this purpose. On the contrary, silence or inactivity is by no means an acceptance.

3谈判润滑剂

Target levels目标层次

1.desirable target希望达到的目标(to achieve all desired results)

Two purposes: setting a potential goal for negotiators to strive for and leaving room for bargaining in negotiations.

2.acceptable target可能达到的目标(fair for both sides, but slightly lower than desirable target) What negotiators make all efforts to achieve.

3.bottom target保底目标(the minimum level both sides can bear)

What negotiators will defend and safeguard with all their might.

Ⅱ.Collecting Information 进行信息调研

1.Applications of information in negotiations:

(1)Problem solving（解决问题）

(2)Strategic planning（战略策划）

2.Obtaining Information

(1)The political system(政治制度）：the extent（程度、范围）of state control over business enterprises and its organization;social stability:the extent of political interest in the project.

(2)The legal system（法律制度）：the legal and judicial systems; their influences on business, the relevant laws on establishment of a local company and on employment(P45 case),etc.

(3)The business system(商业体制）：business conduct; significance given to contracts; negotiating proceedings(议程）.

(4)The financial system(财政体制）：the country’s foreign exchange reserves; the currency freely exchangeable within the territory and its restrictions; procedures for obtaining payments in foreign currencies; the country’s record on honoring(兑现、支付）payment obligations including delays; the type of L/C used in the country; the applicable tax laws; restrictions on remittance（汇付、汇款）of the final payment; regulations on the payment of customs duties; other fees concerning the contract, etc.

(5)Infrastructure and logistics system(基础设施和物流系统）：

the availability of labor and materials for construction in the territory;the availability of finding competent and financially sound sub-contractors; restrictions on import of labor, material and plant(工厂, 车间, 设备);local logistics problems relating to transportation.

(6)The counterpart(谈判对手）:

information about your opponent party is equally or even more important. Learn as much as possible about the team members of the opponent party in the aspects of abilities, weaknesses, strong points, hobbies, personalities, etc. More information about your opponent company is necessary, such as its business scope, annual sales volumes, and credit. (P46 3 C’s- character资信, capacity偿债能力, capital财务状况)3C来源——The counterpart's credit-worthiness is determined by previous loans and by his standing with credit rating bureaus.Such information can also be gained fromfinancial institutions,primarily from banks.

Capital,the financial position of the counterpart is determined by checking the counterpart's financial statements,chiefly balance sheets and profit and loss statements.

https://www.360docs.net/doc/a515245718.html,rmation Source

(1)International Organizations国际组织

United Nations Statistical Yearbook 联合国统计年鉴

United Nations Conference on Trade and Development 联合国贸易与发展会议

The World Atlas published by the World Bank世界银行发表的《世界地图集》

International Monetary Fund 国际货币基金组织

The Organization for Economic Cooperation and Development（OECD）经济合作与发展组织

(2)Governments政府

(3)Service Organizations服务组织

(4)Directories and Newsletters

时事通讯与指南

(5)On-line Service在线服务

4.Analyzing Information

Feasibility Study(可行性研究）

5. Finalizing the Strategies and Techniques

2.Selecting team members

Commercial(商务方面）：responsible for the negotiation on price, delivery terms，and commercial policy(商业政策)of risk taking.

Technical(技术方面）：responsible for specifications, programs,and methods of work.

Financial(财务方面）：responsible for terms of payment, credit insurance (信用保险) , and

financial guarantees.

Legal(法律方面）：responsible for contract documents,terms and conditions of contract, insurance, and legal interpretation.

Interpreter(翻译人员）:familiar with the foreign language needed as well as with related knowledge and good at cooperating with other personnel.

How to Be a Chief Negotiator?

1.Responsibilities:

Panel set-ups (selection, assignments, etc.)

Coordinating the strategy, tactics, style

Finalizing the negotiation plan

2.Personal requirements:

Self-control and self-confidence

3.Leadership

Loyalty is essential (ethics道德规范). (ethnics伦理学, 人种学)

Planning, Organizing, leading, controlling.

Qualifications for Interpreters

Know who you are ( position in the panel )

Familiar with all info. and panel members

Knowing necessary technical data and terms

High spirit and confidence

Stand for business

Suggested Answers

The role of the CN: a decision-making, responsible for unifying the team and designing the strategies and tactics to be used in the coming negotiation.

Various kinds of information are necessary, finance, market, technology,policy,even the background of a particular executive,etc.

Ⅳ.Choice of Negotiation Venues

确定谈判地点

1.Host Venue（主场）

Psychological advantages

Information resources readily available

2.Guest Venue（客场）

The inconvenience can be explored as acceptable excuses for asking for a halt or withdrawal.

3.Third Party’s Venue（第三方场所）

This is a neutral location which is equally convenient to both sides.

Reasons for choosing the third party’s venue

The two negotiating parties are hostile and antagonistic（a.对抗的）to each other.

A negotiation goes into an impasse（n.僵局）and there is no sign of rapprochement（n.友好关系的恢复）.

Both parties demand strongly to host the negotiation.

4双赢理念

1.Traditional Concept

Win-lose Model输-赢模式

also called Zero-sum Negotiation/ Distributive Negotiation (零和谈判/分配式谈判/两分法谈判):is a competitive approach that is used when there is a fixed “pie”--a finite limit to a resource and negotiators have to decide who gets how much of that pie. The negotiators assume that there is not enough to go around, and they cannot “expand the pie”, so the more one side gets, the less the other side gets.

2.Win-Win Concept赢—赢理念

Also called integrative negotiation/a mutual-gains negotiation /a non-zero-sum negotiation(整合式谈判/互利谈判/非零和谈判):is an approach in which parties collaborate to look for a solution that –enlarge the “pie”--maximizes joint gain and allows everyone to walk away feeling like they have won something. The basic idea is that both sides can achieve their objectives.

Goals of negotiation

positively correlate

Results of negotiation

Negotiators make trade-off across issues in order for both sides to be satisfied with the outcome,potentially giving each side all what they want.

Interests of negotiation

Both sides integrate their interests in the negotiation and cooperate to get maximum interests.

Steps of win-win model

Determine each party’s interests and needs.（确定谈判己方的利益和需求）

Find out the other party’s interests and demands.（寻找对方的利益和需求）

Offer constructive options and solutions.（提出建设性的提议和解决方法）

Announce success of negotiations.（宣布谈判成功）

Or Declare failure of negotiation or negotiations in impasse.（或宣布谈判失败或谈判陷入僵局）

Integrative Win-Win Strategies

Strategies that Work

Build trust and share information tactically

Ask diagnostic questions

Make multiple offers simultaneously

Invent options for mutual gain

Capitalize on （v.利用）differences (valuation, expectations, etc.)

How to apply win-win concept to negotiation

Identify each side’s interests （要求价值Claiming value）

Why---understanding their interests better

Figure out both side’s interests

Underlying interests--- find a solution benefits both sides

Collaborate to figure out the best ways to meet those interests （创造价值Creating value）Brainstorming（自由讨论）---list all the options

Case Study (P59)

Negotiation between Egypt and Israel on Sinai Peninsula (1967~1978)

Interests of both parties

Egypt’s interest lied in the recovery of it’s territory.

Israel’s interest lied in its safety.

Solutions

Egypt designated much part of Sinai as Nonmilitary Zone.

Israel returned the occupied territory to Egypt.

Two concepts always function together in a negotiation.

5合作原则谈判法

Collaborative Principled Negotiation

合作原则谈判法

Getting to YES: Negotiation Agreement Without Giving In by Roger Fisher and William Ury CPN also called Principled Negotiation. Particularly oriented to collaborative negotiations, but can be used in competitive negotiations and in other aspects of conflict management.

Some Definitions

Issue – a matter or question in dispute, often stated as a problem.

Position – a statement by a party as to how an issue can or should be resolved, a proposal for a particular solution.

Interest – a specific need or concern that must be addressed in an agreement.

Principled Negotiation

Four principles

People（对待谈判对手）: Separate people from the problem对事不对人

The participants should come to see themselves as working side by side on a problem, attacking the problem instead of each other.

Interests（对待各方利益）: Focus on interests, not positions着眼于利益而非立场

Interests always underlie (构成…的基础或做…的说明或解释)positions?

Gaining（对待利益获取）: Invent options for mutual gain制定双赢方案

Generate a variety of possibilities before deciding what to do

Criteria（对待评判标准）: Introduce objective criteria引入客观评判标准

Insist that the result be based on some objective standard

Introduce an objective criterion

The guidelines for objective criteria:

*Independent of wills of all parties.

*Legitimate and practical.

*Acceptable to all parties.

To choose a fair procedural standard, the way of implementing the criterion.

To discuss the criteria and procedures with other party.

*Focus on objective criteria firmly but flexibly.

factors of an objective criterion

1.An objective criterion should be independent of wills of all parties and thus be free from sentimental influence of any one. 客观标准应当独立于所有各方的主观意志之外，因而它不受任何一方的感情影响。

2.An objective criterion should be valid and realistic.客观标准应当具有合法性并且切合实际。

3.An objective criterion should be at least theoretically accepted by both sides. 客观标准应当具有科学性和权威性。

6利益分配法则

Personal Interests VS Organizational Interests

Personal interests:Interests of individuals who participate in negotiation.

Organizational interests:Interests of collective bodies such as private or state-owned enterprises,institutions and other kinds of entities.

If personal interests are in line with those of the organization that he represents in the negotiation: the realization of his personal value,position promotion,salary increase and more comfort in life etc.are closely related to and determined by his contribution to the organization. The negotiator will try his best to push for the most attractive deal for the organization.

Personal Interests VS Organizational Interests & National Interests

National interests:The interests of the whole nation---the entire population of a country---not merely the interests of certain groups.

Organizational interests and national interests should be in sync(同步，协调)and well coordinated.

*when dealing with issues involving bilateral or multilateral relations of countries, organizations have to get the support from the government because bilateral or multilateral relations of countries are so complicated that they are beyond organizations’ abilities and authorities to manage.

*By requesting assistance from the government, organizations can still have strong influence on government’s decision-making.

* The government will give its full support for the realization of the interests at both the organizational and national level.

Law of Two Level Game

双层游戏规则

（外交和国内政治：双层游戏规则）written by Robert D.Putnam

Level Ⅱ:Domestic interests

Level Ⅰ:International interests

How both domestic and international variables interact on each other and jointly influence the result of bilateral negotiations and thus reveals the law of two level game.国际和国内两个层次的利益变量是如何相互作用，共同影响两国之间的谈判结果的，也就是双层游戏规则。

Two-level game

The concept that in order to arrive at satisfactory international agreements, a country's diplomats actually have to deal with (at one level) the other country's negotiators and (at the second level) legislators, interest groups, and other domestic forces at home.

Case Study

1.1)Yes,they did the right thing.

2)They followed the”national interests go before organizational interests” principle.

2.1)Two parties were involved in the negotiation at the beginning.Two more were added to it later.They were the conservation group,the landowner,the international bondholders and the Central Bank of the South American country.

2)This was a negotiation at the international level.Principled Negotiation approach was applied.Principles used included separating the people from the problem,identifying interests,discussing interests with other parties and inventing options for mutual gains,etc.

3)Three.Personal,organizational and national interests were involved in the negotiation. As to the second part,answer the question on your own.

The bank was able to retire debt and cancel dollar-interest obligation, which were very costly to the country. The conservation group was able to save more rainforest at the same dollar cost, and the landowner got a higher price and hence a better income.

7谈判力及相关因素

“People think of negotiating power as being determined by resources like wealth, political connections, physical strength, friends, and military might. In fact, the relative power of two parties depends primarily upon how attractive to each i s the option of not reaching agreement.” “Getting to Yes, Negotiating Agreement Without Giving In”written by Roger Fisher，William Ury

Motivation（动机）

Desires and incentives for gaining interests and stakes.（获取利益的愿望和激励因素）

The relationship between negotiating power and motivation:

negatively correlate

motivation↓negotiating power↑

motivation↑negotiating power↓

How to provoke the counterpart’s motivations

Offering inducements to the other or to the other’s supporters. 诱导谈判对手或对手的支持者Eg: Sales promotions in the department stores.

Demonstrating attractiveness of options.向对方展示你所提供方案的诱人之处

Getting external third party to endorse your inducements.获取第三方对所提供的具有诱惑力的方案的支持

Eg: Famous singers and movie stars always appear on the TV advertisements.

Placing a time limit on the availability of your offer. 限定获得所提供好处的时间

Dependence（依赖）

The need one party has from its counterpart for realizing its goals.谈判一方为实现其利益和目的对对方的需求

The relationship between negotiating power and dependence:

negatively correlate

dependence↓negotiating power↑

dependence↑negotiating power↓

How to increase the counterpart’s dependence

Reducing, delaying or withholding services or resources the other party hopes to attain. 削弱、延迟或抑制对方希望获得的服务或资源。

Blocking the other party’s ability to work on their own. 削弱对方独立工作的能力

Eg: After the “Gulf War”, many countries imposed sanctions against Iraq to force it accept the requirements.

Convincing the other party’s supporters to block the other party’s operation.(Isolating the other party) 说服对方的支持者阻止对方的行动。（孤立对方）

Eg: The U.S. persuaded Pakistan to declare the breaking the diplomatic tie with Afghanistan.

Substitutes（替代

Alternatives one party can explore instead of other things and the move one party takes to reduce its dependence on the other party.谈判一方所能寻求的其他选择方案，以及它为了降低对对方的依赖而采取的行动。

The relationship between negotiating power and substitutes:

positively correlate

substitutes ↑negotiating power↑

substitutes ↓negotiating power↓

How to increase a party’s chances of gaining substitutes

One party has alternatives which allow operating without the other party.谈判一方具有不需要依赖对方独自维持下去的替代选择。

One party is able to absorb the escalating cost of conflicts.谈判一方有能力承受不断升级的冲突成本。

One party can continue despite the other party’s discouraging effects on its supporters.谈判一方

在对方向自己的支持者施加不利影响时仍然能够独自坚持下去。

One party has ability to use expert counsel, persuasion, communication and legal, historical or moral precedents to gain access to alternatives.谈判一方有能力使用专家意见、其他人的说服和关系以及法律的、历史的或者道德的先例获得其他出路。

8信任法则

定义：

He points out trust consists of:

1)Increasing your vulnerability;

2)To another person whose behavior is not under your control;向别人暴露你的易受伤害之处，而此人的行为不在你的控制之下；

3)In a situation in which the penalty, loss or deprivation you would suffer;

4)If the other person abuses or fails to protect your vulnerability;如果此人滥用你的信任而没有能够保护你的易受伤害之处，你将因此而受到惩罚、遭受损失或被剥夺幸福和快乐；

5)Is substantially greater than;但你所失将大大超过你所得。

6)The benefit, reward or satisfaction you would gain;

7)If the other person fulfills or protects your vulnerability.如果此人按照你的意愿行事或者保护了你的易受伤害之处，你可能获得利益、回报或满足。

Example:

Parents show trust when they hire a baby-sitter to take care of their baby so they do not have to quit their job or they may leave home to pay a visit to a friend or go for an entertainment.

If the baby-sitter abuses their vulnerability and hijack the baby, the tragedy will surely adversely affect the rest of their lives.

If the baby-sitter protects their vulnerability and takes good care of the baby, the parents can do what they want freely.

How to Decide a Person Trusts and is Trusted?

如何判断是否被信任

Three Fundamental Elements:

information, influence and control.

They act on each other, feed back on each other and together influence the level of trust.

The person reveals information he need not disclose.

Eg: A designer struck on a brilliant idea which he told a colleague working in the same office, but the colleague used the idea to advance his own interests and was promoted soon.

The person allows others to influence his decision.

Eg: In a China’s famous story of Fighting in Chibi i n Tale of Three States, Caocao asked for Pangtong’s advice for defeating Dongwu. Pangtong offered him a seemingly clever advice, which turned out to be a part of fatal plot inducing him and his troops into a trap.

The person does not try to impose his control over others and he shows his dependence on others. Eg: A principal of a middle school had peep holes installed in all the doors of classrooms in order for the administrative to have a tighter control over students.

Determinants Affecting a Person’s Trustful or Mistrustful Behavior

决定信任与不信任倾向的因素

Childhood education儿童教育

Professional or special training职业训练或者是特殊训练

Past credit record以往的信任记录

Competence of others to perform a task完成一项使命的能力

Intention of others他人的意图

Reward system奖励制度

9个性类型与谈判模式

COMPETING ? SHARK竞争型——鲨鱼

Overpowers opponents by forcing them to accept your solution

Goals important/ relationship is not

Wants to win

Competitive

COMPROMISING FOX 折中型——狐狸

Somewhat concerned about own goals and relationships.

Seeks compromise.

Seek solution where both sides gain.

A VOIDING –WITHDRAW-Turtle回避型——乌龟

Withdraws to avoid conflict

Gives up personal goals and relationships

Stays away from issues involving conflict

Feels helpless

ACCOMMODATING--TEDDY BEAR迎合型——熊

Relationships more important than own goals

Wants acceptance.

Afraid that conflict will harm relationships,conflict is avoided.

COLLABORATING ? OWL合作型——夜猫

Look at conflict as relationship building because tension is reduced.

Value own goals and relationships.

Seek solutions that achieve goals of both parties.

Work until solution is arrived at.

Personal Style VS Negotiation Modes

Each of the five personal styles acts differently in negotiations and produces different effects on the negotiation process and its outcome.每一种性格类型在谈判中都有自己规定的行为模式，不同的行为又对谈判的过程和结果产生不同的影响。

Approach, issues, information, condition, difference, strategy, solution, relation, time, request, and

assistance----personality styles connecting with negotiation modes（P139 table 9.1)

Game theory---Prisoners’ Dilemma

Two friends, Harold and William, are suspected of committing a crime

They are separated

They are unable to communicate and act co-operatively

They may take two actions:

to confess or not to confess the crime

Consequences

Neither of them confesses

Both of them will be convicted of a minor offence and sentenced to 1 month in jail Both of them confess

They will be sentenced to jail for 6 months.

Only one of them confesses

The confessor acts as a witness against the other

The confessor will be freed

The other will be sentenced to 9 months in jail