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Building Advocacy Skills


									                Idea Quality
              Poor           Good

              Lucky          Wasted
      Low                  Opportunity
      High     Wasted

                      Advocacy           1
                              Focusing (Screening
                              & Business Analysis)


                       Prototyping &

                          Advocacy Matters at Each Stage
                       Advocacy                      2
 Components of Advocacy

Influence                       Build
  Others                        Affinity

   Pre-Sell                    Create
   Your Idea                Partnerships

                 Advocacy                  3
  Building Advocacy Skills

Communicate Clearly

           Advocacy          4
Building Advocacy Skills

 Build Affinity

          Advocacy         5
    Affinity matters more when you have limited
                  positional power

                          Positional Power
                    Low                 High

           Low    “Forget About It!”   Authoritarian

           High      Advocacy          High Influence

                          Advocacy                      6
              Building Loyalty

  Always Deliver More than Others Expect

A. The Key Formula:
     Effectiveness     =         ----------------------------
        Possible Ranges:     < 1.0
                             = 1.0
                             > 1.0
                      Advocacy                              7
             Building Loyalty

 Always Deliver More than Others Expect

B. Enhancing the Formula by Offering More and Better
               • Product deliverables
               • Process deliverables
               • People deliverables

                     Advocacy                  8
              Building Loyalty

  Always Deliver More than Others Expect

C. Enhancing the Formula by Better Managing
         • Choose based on expectations
         • Underpromise and then overdeliver
         • Create expectations

                       Advocacy                9
             Building Loyalty

  Always Deliver More than Others Expect

D. Challenges We Face

        • Awareness
        • Progressiveness
        • Responsibility

                        Advocacy       10
                   Building Loyalty

         Stay Attentive and Responsive

A. Act Attentive

B. Show Responsiveness

      - we prefer understanding to agreements
      - grasp “secret tests”

                          Advocacy              11
                Building Loyalty

What “secret tests” tell us:

      • You cannot not communication
      • Different people have different tests
      • Everybody is an accountant

                          Advocacy              12
-   Engage in perspective taking: Different people may
    see the same event or issue differently”

                        Advocacy                    13
Developing Perspective Taking Skills

Seek out “interests” that underlie “positions”

       Position               Possible Interests
    “I want a raise”
  “You are absolutely
 “Why don’t you listen
       to me?”

                         Advocacy                  14
                  Building Loyalty

              Build Loyalty through Rewards
                 Intrinsic         Extrinsic



                             Advocacy          15
               Building Loyalty

   Consistency, Dependability, and Reliability

A. Avoid Learned Helplessness

B. Be Careful of Silly Consistencies

C. Use Reciprocity

D. Understand Fairness
                         Advocacy          16
                Building Loyalty

Defining Fairness:

      (1) Outcome fairness

           O(outputs) A
             I (inputs) A

                                Advocacy   17
                 Building Loyalty

Defining Fairness:

      (2) Equity Theory

            O(outputs) A O(outputs) B
            ------------------ = ------------------
              I (inputs) A        I (inputs) B

                                Advocacy              18
                Building Loyalty

Defining Fairness:

     (3) Procedural fairness

     (4) Interactional fairness

                         Advocacy   19
Involve people in decisions that affect them (ask for their input;
 let them refute the merits of another’s ideas and assumptions)

Everyone involved understands why finals decisions are made
    and why individuals’ ideas and inputs may have been
                overridden in final decision

                     Expectation Clarity
  People know what is expected of them; the new rules of the
               game are clearly understood

                             Advocacy   Kim & Mauborgne, 1998   20
What makes a procedure fair?
 The consistency rule: Consistency across people and time
 The bias suppression rule: Personal self interest and blind allegiance to
narrow preconceptions should be prevented
 The accuracy rule: The process is based as much as possible on good
information and informed opinions
 The correctability rule: Opportunities exits to modify and reverse decisions
 The representativeness rule: The process must reflect the basic concerns,
values, and outlooks of important subgroups
 The ethicality rule: Allocations must be compatible with fundamental moral
and ethical values

                                                      Leventhal, 1980
                                    Advocacy                                  21
              Building Loyalty

              Focus and Purpose

Motivation without direction gets you no where

                       Advocacy                  22
            Building Advocacy Skills

    Create Partnerships
"The quality of the people is less important than the quality of
               the connections between them."

                                            Reuben McDaniel

                             Advocacy                              23
      Building and Using Interpersonal Networks

• Task performance is critical, but networking helps
   – Jobs
   – Knowledge
   - Promotability
   - Influence
• Networking is the task of leaders: Up to 80% of effective GM’s time
  is spent building and maintaining networks
• Key: who you know is less important than who knows you

                               Advocacy                          24
People Get Jobs Through Their Networks


  40                                                                          Search Firm
  30                                                                          Internet
                                                                              Direct Approach


        Gen X     Baby            Mature
                 Boomer           Worker

                      Source: Survey of 15800 workers by Drake Beam Morin, NY, 2001; reported in Wall Street Journal,
                      Nov. 13, 2001, p. b8

                              Advocacy                                                                           25
                   Networks are Vital

Past View:
Networks are a           Networks
subversive way to                                  Influence
get influence rather   Performance
than through

Current View:          Networks
Networks drive
performance and,                     Performance
thus, influence.

                                               Source: Baron, 2003
                          Advocacy                                   26
     Outside Your Organization              Within Your Organization


 Peers                           YOU                                   Peers



                                 Advocacy                              27
                  Networking Skills

1. You have a bigger network than you think
2. Never underestimate the value of “connecting”
             Metcalfe’s Law: the value of a network grows as
             the square of the number of its users
3. Don’t burn bridges--you may need them later
4. Keep in touch—regularly
5. Over-reciprocate: Do more than they do---but don’t
   appear to be manipulative

                            Advocacy                           28
6. Do favors that cost you a little and gain you a lot; be
   proactive--offer favors before they are asked.
   Remember the “Platinum Rule”: Do unto others as
   they would have done unto themselves
7. Keep records--stay personal
       - note individuating characteristics—what
       makes them unique
8. Exercise your network--a network that you don’t
   use, goes away
9. Network others—become the parent of relationships

                              Advocacy                       29
10. Differentiate between power and position---never
assume that position implies power-- look for the
informal influencers
                                                  Weak Links
11. Seek out opportunities to
expand your network

   - weak links matter (acquaintances count even more than
      friends because they have different sorts of links)
                           Advocacy                          30
12. Befriend those without friends

13. Proximity, proximity, proximity

14. Remember “Thumper’s rule”--Don’t
    be negative; it will get back to them

      - the question: would you say it to their face?

15. Manage your disclosures--don’t
    overestimate your relational strengths
      - associative versus reciprocal friends

                          Advocacy                      31
       Building Advocacy Skills
  Effective Advocates Forge Partnerships

The Importance of “Face” Sensitivity

 - Face refers to who we want to be seen as
 - Most of us have two very basic
   face concerns:
       autonomy and positive evaluation
 - All of us have individual face concerns

                     Advocacy                 32
       Building Advocacy Skills
  Effective Advocates Forge Partnerships

The Importance of “Face” Sensitivity

- When our face is “stepped on,” we react by
    suppressing, seething, lashing out, or
    becoming resistant
- We need to know others’ face concerns
    - by observation
    - by listening

                     Advocacy                  33
       Building Advocacy Skills
  Effective Advocates Forge Partnerships

The Importance of “Face” Sensitivity

- We can also communicate in face
  sensitive ways
     Case: Someone is late for work
    Face threatening: “You’re always late. You must not
    care about this job!”
    Face sensitive: “I notice you’ve been late a lot
   recently. Is something going on I can help you with?”
                        Advocacy                           34
        Building Advocacy Skills
  Effective Advocates Forge Partnerships

The Importance of “Face” Sensitivity

The basic principle:

    Give them a way out!

                       Advocacy            35
When you have to say “no”
  – Talk about what you can do, not what you can’t
  – Use a three step sequence

        Empathize      Explain

                       Advocacy                      36
           Building Advocacy Skills
      Effective Advocates Forge Partnerships

Building Close Relationships Through Stories

   - Our lives revolve around stories
       - We think narratively
       - We learn many of our values via stories
       - We create and share bonds through stories
  - Stories are an especially effective way of
  communicating your ideas
       - People often “get it” through stories
                         Advocacy                    37
       What Makes a Narrative Interesting

 Coherence (clarity, flow, and organization)
 Vividness (imaginable and memorable descriptions)
 Thematic complexity (multiple interpretations lie below
the surface)
 Topic familiarity (with the theme)
 Informational completeness (sufficient to be
 Suspense (evoking momentary feelings of mystery)

                           Advocacy                    38
The grammar of a story


                  Advocacy   39
             Building Advocacy Skills
        Effective Advocates Forge Partnerships

- Guidelines for effective narrative

  tell it quickly
  make a strong point
  confirm listeners’ values
  veracity is important
  invoke images listeners can identify with
  personal stories are best
                             Advocacy            40
Did you know:

• Just to keep your balance while standing you need to work 300 muscles
• A rat can last longer without water than a camel.
• Your stomach has to produce a new layer of mucus every two weeks or it will digest itself.
• The dot over the letter "i" is called a tittle.
• A raisin dropped in a glass of fresh champagne will bounce up and down continuously from the
bottom of the glass to the top.
• A female ferret will die if it goes into heat and cannot find a mate.
• A duck's quack doesn't echo. No one knows why.
• A 2 X 4 is really 1-1/2 by 3-1/2.
• During the chariot scene in "Ben Hur," a small red car can be seen in the distance.
• On average, 12 newborns will be given to the wrong parents daily!
• Donald Duck comics were banned from Finland because he doesn't wear pants.
• Because metal was scarce, the Oscars given out during World War II were made of wood.
• The number of possible ways of playing the first four moves per side in a game of chess is
• There are no words in the dictionary that rhyme with orange, purple and silver.
• The name Wendy was made up for the book "Peter Pan." There was never a recorded Wendy
• The very first bomb dropped by the Allies on Berlin in World War II killed the only elephant in the
Berlin Zoo.
• If one places a tiny amount of liquor on a scorpion, it will instantly go mad and sting itself to death.
• Bruce Lee was so fast that they actually had to s-l-o-w film down so you could see his moves.
• The first CD pressed in the US was Bruce Springsteen's "Born in the USA."
• The original name for butterfly was flutterby.
• The phrase "rule of thumb" is derived from an old English law which stated that you couldn't beat
your wife with anything wider than your thumb.
• The first product Motorola started to develop was a record player for automobiles. At that time, the
most known player on the market was Victrola, so they
•called themselves Motorola.
• Roses may be red, but violets are indeed violet.
• By raising your legs slowly and laying on your back, you cannot sink into quicksand.
• Celery has negative calories. It takes more calories to eat a piece of celery than the celery has in it
to begin with.
• Charlie Chaplin once won third prize in a Charlie Chaplin look-alike contest.
• Chewing gum while peeling onions will keep you from crying.
• Sherlock Holmes NEVER said "Elementary, my dear Watson."
• An old law in Bellingham, Washington, made it illegal for a woman to take more than 3 steps
backwards while dancing.
• The glue on Israeli postage is certified kosher.
• The Guinness Book of Records holds the record for being the book most often stolen from Public
• Astronauts are not allowed to eat beans before they go into space because passing wind in a
spacesuit damages them. Not to mention the other drawback.
• Bats always turn left when exiting a cave.       Advocacy                                         42
• It is impossible to lick your elbow.
• A crocodile can't stick its tongue out.
• A shrimp's heart is in their head.
• People say "Bless you" when you sneeze because when you sneeze, your heart stops for a mili-
• In a study of 200,000 ostriches over a period of 80 years, no one reported a single case where an
ostrich buried its head in the sand (or attempted to do so - apart from Bones ).
• It is physically impossible for pigs to look up into the sky.
• A pregnant goldfish is called a twit
• Between 1937 and 1945 Heinz produced a version of Alphabetti Spaghetti especially for the German
market that consisted solely of little pasta swastikas.
• In average, a human being will have sex more than 3,000 times and spend two weeks kissing in their
lifetime. (I think I'm way behind, darn it)
• More than 50% of the people in the world have never made or received a telephone call.
• Rats and horses can't vomit. (luck critters)
• The "sixth sick sheik's sixth sheep's sick" is said to be the toughest tongue twister in the English
• If you sneeze too hard, you can fracture a rib. If you try to suppress a sneeze, you can rupture a blood
vessel in your head or neck and die. If you keep your eyes open by force, they can pop out.
• Rats multiply so quickly that in 18 months, two rats could have over million descendants.
• Wearing headphones for just an hour will increase the bacteria in your ear by 700 times.
                                                  Advocacy                                         43
• If the government has no knowledge of aliens, then why does Title 14, Section 1211 of the Code of
Federal Regulations, implemented on July 16, 1969, make it illegal for U.S. citizens to have any contact
with extraterrestrials or their vehicles?
• In every episode of Seinfeld there is a Superman somewhere.
• The cigarette lighter was invented before the match.
• Thirty-five percent of the people who use personal ads for dating are already married.
• A duck's quack doesn't echo, and no one knows why.
• 23% of all photocopier faults worldwide are caused by people sitting on them and photocopying their
• In the course of an average lifetime you will, while sleeping, eat 70 assorted insects and 10 spiders.
• Most lipstick contains fish scales.
• Cat's urine glows under a black light.
• Like fingerprints, everyone's tongue print is different.
• Over 75% of people who read this will try to lick their elbow. (I came extremely close---may have
something to do with being double-jointed in my shoulders)

                                                 Advocacy                                         44
                     Building alliances

• Generate external support for idea
    Grassroots support
    Customer support
    Supplier support
    Leadership support

• Give them a “win”
    Make the other person feel like a winner; If they think you are
     winning and they are losing they will not adopt your idea
    Give them credit; Make the other person look good in the eyes of
    Don’t disagree with people on unimportant issues

                                 Advocacy                               45
• People need to find a way to justify their decisions
    Know their needs; People will let you fulfill you needs only after their
     needs are fulfilled
    Needs might be a win; reduce risk, security, predictability;
    People only adopt ideas that match their needs—make them believe
     your idea meets their needs (just because it is something you want
     and need does not mean it is what the other person wants and
    What is exciting and innovative about your idea may be just what
     creates fear and anxiety in the other person
    Talk about what they are prepared to listen to
    Talk to them when they can listen

                                  Advocacy                                  46
                   Building alliances

• Be part of the “team”
    Be perceived as a team player (“First, I want you to know that I will
     support whatever the team decides….”)
    Understand group identity
    Understand your relationship with them…know who owes what to
    Don’t make them look bad; don’t “trash” the past

• Get people excited
    Vision
    Energy
    Credibility
    Optimism

                                  Advocacy                                   47
Building Advocacy Skills

Pre-Selling Your

         Advocacy          48
    Understand your idea and what matters to you
                      about it

• Have contingency                    Must Issues
plans ready--
alternatives are
important                           Should Issues

• Give on what is                 Nice Issues
not important—love
the outcome, not
the product
                       Advocacy                     49
Importance: Does your idea                __________________________
deliver something that is highly          __________________________
valued?                                   __________________________

Distinctive: Does your idea offer         __________________________
special things that other                 __________________________
proposals lack?                           __________________________

Superiority: Is you idea superior         __________________________
to other ways of obtaining the            __________________________
benefit?                                  __________________________

Communicable: Are the                     __________________________
strengths and differences of your         __________________________
idea understandable and visible?          __________________________
                                   Advocacy                      50
           Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

Distinguish your idea
  - What’s your “niche?”
  - Is this the right time, right place, right audience?
  - Complete a SWOT analysis

                         Advocacy                          51
            Building Advocacy Skills
 Effective Advocates Seek a Competitive Advantage

Strengths: What makes this idea especially good?
Weaknesses: What are the problems with the idea?
Opportunities: What are the advantages of the idea?
Threats: What is wrong with the status quo? Why now?

                         Advocacy                  52
     Strengths: What makes this idea especially good?
     Weaknesses: What are the problems with the idea?
     Opportunities: What are the advantages of the idea?
     Threats: What is wrong with the status quo? Why now?
What are the advantages                                             What are the positive changes
of the idea? What does                                                facing you? What are the
   this idea do well?                                                     favorable trends?
                           Strengths           Opportunities
             Internal         convert                  convert

                          Weaknesses                Threats
                          (constraints)           (vulnerability)          What factors are
What could be improved?   Minimize/avoid          Minimize/avoid        threatening us? What
 What is done poorly?                                                      could “kill” us?

                                           Advocacy                                    53
              Strengths                                Weaknesses
•   Abundant financial resources               •   Lack of strategic direction
•   Great reputation-image                     •   Weak spending on R&D
•   Any distinctive competence                 •   Outdated facilities
•   Market leader                              •   Obsolete technology
•   Economies of scale                         •   Past failures
•   Proprietary knowledge                      •   Very narrow product line
•   Patented processes                         •   Limited distribution
•   Lower costs                                •   Higher costs
•   Good marketing image                       •   Out-of-date products
•   Superior managerial talent                 •   Internal operating
•   Better marketing skills                        problems
•   Product quality                            •   Weak market image
•   Partnerships with other firms              •   Poor marketing skills
•   Distribution skills                        •   Limited management skills
•   Committed employees                        •   Under-trained employees
                                    Advocacy                                     54
          Opportunities                                       Threats
•   Rapid market growth                         •   Entry of foreign competition
•   Rival firms are complacent                  •   Introduction of new substitutes
•   Changing customer                           •   Resource shortage
    needs/tastes                                •   New regulations
•   Opening of foreign markets                  •   Product life cycle in decline
•   Mishap of rival firm                        •   Changing customer needs/tastes
•   New product uses                            •   Rival firms adopt new strategies
•   Economic boom                               •   Increased regulation
•   Deregulation                                •   Recession
•   New technology                              •   New technology
•   Demographic shifts                          •   Demographics shifts
•   Other firms seeking alliances               •   Foreign trade barriers
•   High brand switching                        •   Poor performance of ally firm
•   Sales decline for a substitute
•   New distribution methods

                                     Advocacy                                     55
     Position Your Proposal in Terms of the Needs that
                    Exist for Your Idea

                        Needs of Your Customers and Your Organization

                        Need 1   Need 2      Need 3   Need..   Need..   Need k

Feature of Proposal a

Feature of Proposal b

Feature of Proposal c

Feature of Proposal…

Feature of Proposal n

                                  Advocacy                                56
             Dimensions of a Problem (Need)

Number of People Affected
  x Degree of Importance                           Magnitude
(Influence) of those People              Degree to which people are
                                        affected (e.g., life threatening)

       Degree of difficulty in
        resolving the issue                         History
                                            Random, cyclical, regular

                                 Advocacy                               57
                   Timing Matters

Economics Creates Opportunities

    Flush times are better, in most cases
    In tough times, saving money seems key
    Radical risks in tough economic times
    Understand the budget cycle
    Grasp where you are in the business cycle (e.g.,
     announcing new product leaves customers
     unwilling to buy old product—inventory of old

                         Advocacy                       58
Establish the Urgency (Why Now?)

Crises encourage innovation (resolve a problem)
  •Major Failures
  •Time pressure (first mover)
Market demand
Interdependencies (without X we cannot do Y)
Time pressure
Powerful people
Consequences of not acting
                           Advocacy                59
                   Timing Matters

Feasibility---can the idea be implemented?

    Graft to current ideas or existing strategies

    Demonstrate it is doable

    Reassure that talent and technology is available

    The “almost done” strategy

                        Advocacy                        60
                 Timing Matters

Changes create opportunities

    New strategy (our idea fits our new strategy)

    Leadership changes

    New internal issues the firm is facing

    New external issues the firm is facing

                       Advocacy                      61
The Big Questions:

• What are we going to do?
• Why are we going to do it?
• How are we going to do it?

                     The Numerical Criteria:

                     • Probability of success
                     • Net present value of expected profits
                     • Expected remaining R&D costs of project

                               Advocacy                          62
Create A Need

      Have A Plan

                Show Benefits

                              What Happens
                            If We Don’t Adopt

                 Advocacy                   63
           Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

 Do a “competitor analysis”

     - How is your idea different from other ones?
     - What are the advantages (strengths) and disadvantages
       (weaknesses) of various alternatives?
     - Anticipate resistance: What won’t they like?

                         Advocacy                       64
                                   Inform; Involve;
                                Grounded Commitment

     Positive                                            Bolster; Inoculate


 Feelings                                         Answer Questions;
About Idea                        Skeptics         Inform; Persuade

                 Abandon; Use
    Negative        Power                                       Inform; Persuade

                Low         Knowledge &                       High
                       Understanding About Idea
                                   Advocacy                               65
       Organizations Differ in How Quickly They Adopt New Ideas
Prospectors              Analyzers               Defenders                         Reactors

Seek out new             Fast followers; Bring   Find a secure niche               Respond only when
opportunities; Value     a cost-efficient        --protect it; focus on            forced to by the
being first in the       model to market;        market penetration;               market; no clear
marketplace; broad       Great imitators;        solve engineering                 business model;
scanning for             multiple markets;       problems; single                  incoherent
opportunities            steady growth           core technology                   internally
-% profit from new       -Development program    -Focused/narrow                   -Development
products                 ROI                     market                            program ROI
-% sales from new         Matrix structure       -New product fit with             -New product fit with
products                 -New product fit with   business strategy                 business strategy
-Products lead to new    business strategy       -Emphasize                        -Success/failure rate
opportunities            -Success/failure rate   efficiency/cost control           -Overall program
-Multiple technologies   -% profit from new      -Invest in process                success
-Marketing/R&D lead      products                improvement, not new              -Limited viability
-Decentralized control   -Low cost               products
-Task forces/project     - Complex planning      -Centralized control
teams                    -Marketing/Applied      -Acctg/production lead
-Acquisition common      research lead           -Measure against self

                                                                           Miles & Snow, 1978; Griffin & Page, 1996
                                          Advocacy                                                           66
                      Prospector              Analyzer              Defender
  Proactiveness           High                Medium                       Low

   Differentiation        High                  High                       Low

 Low Cost Strategy        High                  Low                        Low
  Market Focus
                         Narrow               Moderate                    Broad
   New Product
                          High                Moderate                     Low
   New Product
                          High                  High                       Low
   Success Rate
                                         Balanced (Incentive
Sales Compensation   Incentive-based                            Incentive-based
                                              & Fixed)
  SBU Autonomy           Strong                Strong                     Weak

                                                               Slater & Narver, 1993; Slater & Olson, 2000
                                   Advocacy                                            67
                   Building Advocacy Skills
   Effective Advocates Seek a Competitive Advantage
What are the likely objections?
    Objection          Response          Objection   Response
We lack the
I have a better idea
Doing it will be
I don’t like you

                              Advocacy                    68
           Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

     Pro                            Con
-                               -
-                               -
-                               -
-                               -
-                               -
-                               -
-                               -
-                               -
                     Advocacy                 69
                   Differing perceptions
                   on the importance of                 Bureaucratic
                          your idea                        inertia                           Desired
                                Disruptions caused by                    Resource
                                  your idea to team                    requirements


                             Customer                           Sense of crisis       Supporting
                             demands                               in firm             Change
            Competitor                            New
            pressures                         technologies

                                                  Advocacy                                     70
            Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

Labeling is a key skill
  - Labels become the shorthand for your idea
  - Get people to use your label
  - Understand what you label brings to mind

                               NAVSEA – INDIAN HEAD
                               Naval Surface Warfare Center
                               The National Center for Energetics

                          Advocacy                            71
Create an Image

 • Let people imagine the future with your idea implemented
 • We infer quality from observable features (exterior of car;
 restaurant parking lot)

                            Advocacy                             72
Advocacy   73
Welcome to breathtaking Tokyo Water Park where you can wash
away the pressure and stress of the overcrowded city and relax
with your friends in the soothing enjoyment of sun, fun and

                                  Tokyo Water Park

                             Advocacy                            74
Advocacy   75
   Features are different from benefits

Because of _______ you can _________ which means ________
           (feature)      (function)             (benefit)

        Feature            Function            Benefit

                              Advocacy                       76
           Portability                 Use on road             Connect to office               Easy to use

Rugged        Micro-      High           Wireless    6-hour       Low-profile,     Compact    Trackball Wrist rest
casement      circuitry   resolution     modem       battery      built-in disk,   keyboard    mouse    on keyboard
                          flat LCD                                CD drives

                                                         Advocacy                                               77
The screwdriver battery contacts are
  covered by a plastic sliding door

           The screwdriver battery is protected
                from accidental shorting

                                Your screwdriver will have
                            dependable power that will make it
                            easy to use for important household

                            Advocacy                        78
People don’t want to buy a three
       quarter-inch drill

            People want a quarter-inch hole

                             That will let them keep their
                          memories fresh by hanging pictures
                              of loved ones on the wall

                          Advocacy                       79
          Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

Stay Centered on Your Audience
   - Who is your audience?
   - What matters to your audience about the idea?
   - Always remember the key concern:

             “What’s in it for me?”

                       Advocacy                      80
           Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

 Know the answer to WIIFM

  Person               “What’s in it for me?”

                      Advocacy                  81
Match Your Proposal to Decision-Makers’ Needs and Wants

       Organizational Reputation
       Financial
       Efficiency
       Individual Status
       Relationship Enhancement
       Productivity
       Safety/Security
                           Advocacy                82
          Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

                 A basic maxim:
   People seek rewards and avoid punishments.
   Find things in your idea that offer pleasure to
        others or allow them to avoid pain.

                      Advocacy                       83
          Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

Leverage Support
  - Whom does your idea depend upon?
         (your dependencies)
     - whose cooperation do you need?
     - whose compliance do you need?
     - what opposition would stop me?

                     Advocacy                 84
             Building Advocacy Skills
 Effective Advocates Seek a Competitive Advantage

Who Are the Decision-Makers?

                          Advocacy             85
               Building Advocacy Skills
  Effective Advocates Seek a Competitive Advantage

How would my idea affect others?

      Person                          Impact

                           Advocacy             86
                Adoption Process
Stages in the adoption process:
   – Awareness: individuals first learn of the new idea, but they lack
     full information about it.
   – Interest: potential “buyers” begin to seek information about it.
   – Evaluation: they consider the likely benefits of the idea.
   – Trial: they make trial “purchases” to determine its usefulness.
   – Adoption/rejection: if the trial “purchase” produces
     satisfactory results, they decide to use the product regularly.

                             Advocacy                            87
Categories of Adopters Based on Relative Times
                 of Adoption
                 Time of Adoption of New Product*

   Innovators    Early       Early        Late      Laggards
                Adopters    Majority     Majority
      2.5%       13.5%       34%          34%         16%
*excludes nonadopters - those who never adopt the innovation
                           Advocacy                        88
           The “S” Curve of Adoption

 Rate of


                   Advocacy            89
      Two Step Flow of Influence                     Person


                              Opinion                Person
          Media                Leader


Media Messages Do Not
Influence People Directly;                           Person
Opinion Leaders Mediate the           This person
Media; The Media Informs              is optimally
People; Opinion Leaders              homophilous
Influence People                        (similar)
                                   Advocacy                   90
Opinion Leaders’ Sources of Influence

• Personification of Accepted Values: Opinion leaders views are
accepted as the norm; people trust their opinions to be the way
things should be.

• Competence (What one knows): Opinion leaders are more
knowledgeable than others; therefore people trust their opinions
and views.

• Who They Know (Strategic Social Position): Opinion leaders are
located at the center of the network; they are in the position to
network innovators with everyday people.

                             Advocacy                         91
An Opinion Leader is Someone Who is Knowledgeable About
 Products and Whose Advice is Taken Seriously By Others

                                                 Are Technically
               Are Often Among
                                               Competent and Have
               the First to Adopt
                                                  Expert Power
                   New Ideas

  Are Similar to                                          Reduce Risk:
  the Others in                                        Have Prescreened,
Values and Beliefs            Opinion                    Evaluated, and
                              Leaders                     Synthesized
 Have Slightly Higher                                  Information About
    Social Status                                           the Idea

                                                 Have Connections
                       Are Socially               Outside of Their
                        Active in                   Community
                     Their Community
                                    Advocacy                          92
     Rate of Adoption Determinants
 Relative advantage
 Compatibility
 Complexity
 Possibility of trial use
 Observability

If you want to accelerate the rate of adoption you can
    manipulate these five characteristics to some extent

                             Advocacy                 93
   Characteristics of Successful Innovations for the
                  Cautious Audience

• Provable: You can demonstrate that your product works (let
people try it out)
• Divisible: The idea can be segmented; adopting it one step at a
• Reversible: If it fails, all is not lost
• Tangible: It makes a difference in lives
• Fit: It fits with prior investments and builds on them
• Familiar: It is consistent with previously successful idea
• Future Alignment: It is in line where we are heading
• Publicity Value: It will make us look good

                                 Adapted from Rosabeth Moss Kanter in Business 2.0 (2/2002), p 87.
                           Advocacy                                                             94
          Building Advocacy Skills
Effective Advocates Seek a Competitive Advantage

  How Do People View Me?
    - what is my “brand reputation?” What am I known
      for in the organization?
    - A “brand” allows certain actions and disallows

                     Advocacy                   95
Understanding Your Personal
  Strengths              Weaknesses

              Advocacy                96
Understanding Your “Brand” Name
What is a brand?

   - familiar: we immediately recognize the brand
   - attention: we pay more attention to a brand
   - preferable: given a choice we select the brand
   - dependable: we trust products using the brand
   - valued: we willing pay more for the brand
   - extendable: we buy new products under the
           brand name
                      Advocacy                    97
                           How distinctive is your
 Brand                     brand?
Strength                       How important is your
                               brand to me and my life?
                               How much regard do I
                               have for your brand?
Stature                        How much do I know
                               about your brand?

                    Advocacy                          98
Brand Strength

      Differentiation   How distinctive is your brand?

      Relevancy         How important is your brand to me and my life?

Brand Stature

         Esteem         How much regard do I have for your brand?

       Knowledge        How much do I know about your brand?

                            Advocacy                                99

                      Niche           Leadership

                2               10                   20

                                Advocacy                  100
                                  Levels of Brand
Rejection                           Familiarity





                   Advocacy                         101
People have “brand” names as well. You are known for certain things
and not known for other things. From the day you join your firm, you
are establishing a “brand” name. What is your “brand” name within
your firm?


The more you understand your “brand” name within your firm, the more
effective you will be within the organization

   Your         Others                     Your Others
perception    perceptions                     perceptions

                                        Good understanding
  No understanding
                             Advocacy                        102
Brands allow or preclude you from succeeding and
  getting credit for what you do

   “Brand” name      What it implies within your firm

                        Advocacy                    103
Enhancing Your “Brand” Name

Principle of Resources: The individual who has
more resources has greater impact.

What resources do you offer your firm?

                       Advocacy                  104
The only resources that “matter” are those that are
valued within your firm.

Principle of Scarcity: Resources that are particularly
scarce are very valued

Bottom Line: Develop resources that are both valued
and scarce within your firm. What might these be?

                        Advocacy                      105
Enhancing Your “Brand” Name

Communicate your brand name

“What exactly do you do?”

                    Advocacy                  106
Move to your Competitive Advantage

         high                           Your competitive



                not at all                       very
                        Scarcity (uniqueness)
                             Advocacy                      107
      Building Advocacy Skills

  People make decisions in biased ways.
Understanding those biases will aid in you in
           advocating your ideas

                   Advocacy                 108
          Building Advocacy Skills
  Effective Advocates Understand Biases

The availability heuristic
   - People emphasize vivid, most available
The anchoring bias
  - People reference anchors they have
    for information

                      Advocacy                109
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Advocacy   111
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            Building Advocacy Skills
      Effective Advocates Understand Biases

The negativity effect
     - People overemphasize negative information and
     underweight positive information

The contrast effect
     - People judge information in terms of what came before

                         Advocacy                      113
Basic attribution error
     - People tend to see their own behavior as situational
     caused; others as dispositional
       - under stress, people make more dispositional attributions

The attribution-affect bias
     - When you’re liked, you can do no wrong;
     when you’re disliked, you can do nothing right

                                                          Like You   Dislike You

                                            Do Well         YOU      SITUATION

                                           Do poorly     SITUATION      YOU

                                     Advocacy                               114
             Building Advocacy Skills
       Effective Advocates Understand Biases
The Socratic effect
    - People tie information that co-occurs together even
     if seemingly irrelevant

The egocentric bias
     - People assume others have the same motives
     they do
   - Marketing people see everything as a marketing issue

                             Advocacy                       115
             Building Advocacy Skills
        Effective Advocates Understand Biases
Escalation & Entrapment
   - People can get trapped into positions they don’t want
     to take
               Overcoming: Separate proposer from decision-maker

The norming bias
  - People don’t want to appear deviant, especially in
  uncertain situations

                                  Advocacy                         116
               Building Advocacy Skills
         Effective Advocates Understand Biases

   - If everyone can have it; if it is easily available, people do
      not value it.

  - When people have a sense of free choice they are
     more committed…but too many choices actually
     reduces people willingness to choose

                              Advocacy                         117
Advocacy   118
Building Advocacy Skills

Influence Others

         Advocacy          119
          Building Advocacy Skills
      Effective Advocates Influence Opinions

Basic question: Do people like to change?

When you try to persuade someone, what should you

                      Advocacy                  120
           Building Advocacy Skills
      Effective Advocates Influence Opinions

Balance Theory
- People prefer consistency among their beliefs
- When people believe there are inconsistencies among
   their beliefs they will try to restore consistency by
   making a change

                        Advocacy                    121
     Building Advocacy Skills
Effective Advocates Influence Opinions

              “Lite” Beer

         ?                  +

  John                          Famous Athletes
                 Advocacy                     122
Advocacy   123
Advocacy   124
          Building Advocacy Skills
   Effective Advocates Influence Opinions

                    “God” Term

                +                +

Your Listener                        Your Idea
                      Advocacy                   125
            Building Advocacy Skills
       Effective Advocates Influence Opinions

Reactance Theory
- People want a sense of freedom. When that sense of freedom is
   threatened, they work hard to re-establish that sense
- Never push too hard—it might boomerang
- Use “reverse psychology”

                           Advocacy                       126
           Building Advocacy Skills
      Effective Advocates Influence Opinions

Social Judgement Theory
- people’s attitudes are held with varying intensity
- people’s attitudinal continuum include latitudes of:
- changing an opinion is really a campaign
                         Advocacy                        127
                  Building Advocacy Skills
              Effective Advocates Influence Opinions

          Latitude of         Latitude of       Latitude of
          Acceptance        Noncommitment        Rejection



    Against                                                   For
                                   Advocacy                   128
Latitudes of Acceptance and Rejection


         Attitude Anchor

        Latitude of
                                 Latitudes of Rejection

                      Advocacy                            129

             Acceptance          Noncommitment   Rejection


                      Discrepancy from Current Position
Credibility affects this curve
                                    Advocacy                   130
           Building Advocacy Skills
      Effective Advocates Influence Opinions

Expectancy-Value Theory
- people’s attitudes are a function of beliefs
   - a belief is a function of:
        - Likelihoods (“given X how likely is Y?”)
        - Values (“how positive or negative is Y?”)

                         Advocacy                     131
                Building Advocacy Skills
         Effective Advocates Influence Opinions

The current state:
                               Likelihood       Value   Product
Buying A will be expensive             .70       -3       -2.1
Buying A will be a hassle              .60       -2       -1.2
Buying A will create pride             .60       +1         .6
                             Current attitude             -2.7

                                 Advocacy                    132
                Building Advocacy Skills
         Effective Advocates Influence Opinions

(a) Modify likelihood
                             Likelihood       Value   Product
Buying A will be expensive         .70         -3       -2.1
Buying A will be a hassle      ** .60 (.30)    -2       -1.2(-.6)
Buying A will create pride         .60         +1          .6
                             New attitude               -2.7(-2.1)

                               Advocacy                     133
                Building Advocacy Skills
         Effective Advocates Influence Opinions

(b) Modify value
                             Likelihood         Value     Product
Buying A will be expensive          .70          -3         -2.1
Buying A will be a hassle           .60 (.30)    -2         -1.2(-.6)
Buying A will create pride       ** .60          +1(+2)     .6(1.2)
                             New attitude                   -2.7(-1.5)

                               Advocacy                        134
                Building Advocacy Skills
         Effective Advocates Influence Opinions

(c) Add new belief
                             Likelihood         Value     Product
Buying A will be expensive           .70         -3         -2.1
Buying A will be a hassle           .60 (.30)    -2          -1.2(-.6)
Buying A will create pride           .60         +1(+2)    +.6(1.2)
Buying A will be fun **              .80         +2         +1.6
                             New attitude                    -1.5(+.1)

                               Advocacy                         135
       Know and Understand the Organization’s Formal
                   and Informal Criteria
   Formal criteria

            • Understand the “checklists”
            • Manipulate what gets included in the checklist

                                                    Probability of    Market Success
     Criteria         Fit   Time to Market      Development Success
      Score       3 2 1       3 2 1                   3 2 1              3 2 1           Total

Project A         X           X                         X                    X               10
Project B             X               X                     X                    X           5
Project C             X           X                         X            X                   8

                                          Advocacy                                     136
     • Know the weights associated with the screening criteria
         - Manipulate the criteria
         - Manipulate the weights
                                 Excellent       Good   Average   Fair   Poor
      Criteria          Weight                                                   Score
                                   100            75      50       25     0

   Marketability          .2        X                                                 20

Development Costs         .2                       X                                  15

       Risks             .15        X                                                 15

   Competition           .15                              X                           7.5

Material Availability    .15                              X                           7.5

  Patent Issues          .10                                       X                  2.5

  Cannibalization        .05                       X                              3.75
       Total             1.00                                                         75
                                             Advocacy                           137
           Building Advocacy Skills
      Effective Advocates Influence Opinions

Elaboration Likelihood Theory
- people’s level of involvement is key
- highly involved people need facts; strong and high
    quality arguments
- less involved people can be swayed by emotions,
    credibility, and even distractions

                        Advocacy                       138
              Building Advocacy Skills
         Effective Advocates Influence Opinions

Elaboration Likelihood Theory

   - people’s level of involvement is key
   - highly involved people need facts; strong and high
       quality arguments (issue relevant thinking)
   - less involved people can be swayed by emotions,
       credibility, and even distractions

                           Advocacy                       139
                 Building Advocacy Skills
           Effective Advocates Influence Opinions

Elaboration Likelihood Theory
Two Routes to Persuasion

A. Central route: Attitude change that results from a person's careful
   consideration of information that reflects what that person feels are true
   merits of a particular attitudinal issue. Issue relevant thinking based on
   cognitive response. It is a function of involvement.

The Place of Involvement—Central Route

When people are involved, what persuades them?
 high quality evidence
 logical arguments
 comprehensibility of message
 distractions

How do you increase involvement?
    create personal relevancy
    create a sense of responsibility
    create suspicion about motives and/or credibility of advocate
    use rhetorical questions to prompt thinking
    make a counter-attitudinal request

                              Advocacy                          141
                 Building Advocacy Skills
           Effective Advocates Influence Opinions

Elaboration Likelihood Theory
Two Routes to Persuasion

B. Peripheral route: Attitude change that occurs through means
peripheral to (other than) issue relevant thinking. The person has
associated the attitude issue/object with positive or negative cues, or
has made a simple inference about the merits of the advocated position
based on simple cues in the persuasive context

                                 Advocacy                           142
The Place of Involvement-Peripheral Route

When people are not involved, what persuades them?

   liking for advocate
   credibility
   attraction bias (what is good looking must be good)
   numerous arguments (sheer quantity)
   length means strength
   perceived consensus
   labels

                               Advocacy                   143
Perceived Confidence

              Perceived Competence

                Advocacy             144
Language intensity: The degree to which your
language choices vary from neutrality.

Perceptions of confidence are associated with
greater language intensity.

 My idea is:       Okay          Good            Great

               Issue             Low      Moderate       High
     The new project has
                                           Lots of
     __________ potential
     His skills are _______    Adequate
                          Advocacy                              145
Strong qualifiers: Qualifiers can weaken or strengthen
your statements

 A marker of confidence is the use of strong qualifiers

“I think this idea might be one we maybe should consider.”

  The new plan is one I think we might explore. It has some
  features that could possibly make it somewhat successful.
  Apparently, there are a few features that could, under
  some circumstances, be helpful. But, it will depend upon
  how much it costs. It isn’t really that expensive so we
  should probably adopt it.

                         Advocacy                         146
Lexical diversity: The amount of variation in your word

Perceptions of confidence are associated with greater
lexical diversity

      Firm -- Organization -- Company -- Business
      Plan -- Proposal -- Idea -- Concept


                        Advocacy                        147
Vivid details: How vividly and detailed your statements are
when describing an event, idea, person, or product

    Confidence is associated with more vivid details

             The car drove past the stop sign.
             The red car drove past the stop sign.
             The red sports car drove past the stop sign.
             The red sports car sped past the stop sign.

       Jack made a great presentation!

                           Advocacy                         148
   Make Declarations: The degree to which your language
   Is direct, clear, unambiguous; no jargon

    Martin Luther King: “I have a dream” vs. “I have a strategic plan
    that will enhance our competitive opportunities” Thomas Jefferson
    wrote the “Declaration of Independence” not a Colonial “white

“We need to modify our logistical supply chain to bolster
the velocity of our delivery systems to our markets”
“His performance on the team project far exceeded the parameters
of expected quality”
__________________________________________________________   149
Use powerful metaphors, analogies: People often
“get it” with a strong metaphor or analogy

-"We have gone from boom to bust faster than anytime since the oil
shock," said Stephen S. Roach, the chief economist of Morgan Stanley, a
New York investment bank. "When you screech to a halt like that, it feels
like getting thrown through the windshield.“

-The experience of going through an in-depth audit by the IRS is “an
autopsy without the benefit of death.”

We’re spending too much money
There is a great deal of demand for our product

                               Advocacy                                150
Sound organized: When you sound organized, people
believe you are more confident and competent

              - use orienting and summarizing statements
              - naming points (but beware of announcing the
              count ahead of time)
              - highlight organization on visuals

  We need to talk about the shift changes, the recent hires, the
          benefits plan, and the consultant’s report.

Nonverbal immediacy: The degree to which your
nonverbal behaviors signal interest and involvement

     The more immediate your nonverbal behavior, the
     more confident you are viewed.
When appropriate:
      Gestures: Animated, but purposeful gestures
      Lean: Leaning slightly forward
      Posture: Erect and direct
      Movement: Comfortable but active
      Vocal variety: Use voice, pauses, punch
      Volume: Strong and authoritative
      Gaze: Don’t fear looking at your listeners

Avoid powerless language:

Confidence is revealed by powerful language choices

  Disfluencies: “uh,” “okay,” “you know,” “ah”
  Hedges: Well, this isn’t that important, but…”
  Meaningless particles: “Oh my gosh, really?”
  Emotional rather than intellectual evaluations
  Tag questions: This is great, isn’t it?
  Declarative statements delivered as questions
    “What time is the meeting?”“Around eleven?”
  Overly polite forms

                         Advocacy                   153
           Building Advocacy Skills
      Effective Advocates Influence Meetings

1. Before the meeting

2. During the meeting

3. After the meeting

                        Advocacy               154
           Building Advocacy Skills
      Effective Advocates Influence Meetings

Your attention to process should match your concern
  for the issue.
Overemphasizing either at the expense of the other
  will create problems

                       Advocacy                   155
                Cialdini’s Tactics of Influence

Reciprocation--We should repay, in kind, what another person has
 provided us.
     1) Favors and gifts
     2) Reciprocal concessions
             a) negotiation norm
             b) rejection-then-retreat a.k.a. “door-in-the-face”

  When advocating:
                Leave yourself room to make concessions
                Give them something
                Ask for more than you want.
                Have a history of giving favors

                                       Advocacy                    156
              Cialdini’s Tactics of Influence
Commitment and Consistency--Once we make a choice or take a
 stand, we will encounter personal and interpersonal pressures to
 behave consistently with that commitment.

     1) public commitments (e.g., statement of principles)
     2) minimal commitments (e.g., foot-in-the-door tactic)
     3) large commitments (e.g., low-ball tactic)

  When advocating:
             Generate some early commitment, no matter how small
             Get them to endorse a principle (“God” terms)
             Remember that even innocent requests can be leveraged into large
             Again, choose a reservation price in advance--and stick to it!

                                    Advocacy                                157
               Cialdini’s Tactics of Influence
Social Proof--We view a behavior as correct in a given situation to the degree
 that we see others performing it.

  1) We are especially susceptible in unfamiliar situations.

  2) We more often follow the example others similar to ourselves.

    When advocating:
                Be on your guard; don’t mindlessly follow the example of others.
                Do your homework: prepare so that you are familiar with the
               relevant norms of appropriate behavior. Role-play if needed.
                Remember that standard industry practices, past precedents, etc.
               can be persuasive rationale to your counterpart.

                                      Advocacy                                 158
               Cialdini’s Tactics of Influence
Liking--We prefer to say yes to people we know and like.
      Factors that facilitate liking include:
             a) physical attractiveness
             b) similarity
             c) compliments
             d) familiarity
             e) cooperation
             f) humor

  When advocating:
            Be likeable!
            Cultivate a positive relationship.
            Be wary of insincere attempts to leverage liking.

                                       Advocacy                  159
               Cialdini’s Tactics of Influence

Authority--We are more likely to accede to the request of a perceived
 authority figure.
  1) Authority is a powerful source of influence! (Milgram study)
  2) Symbols of authority include: titles, clothing, and other trappings

    When advocating:
               Don’t allow yourself to be intimidated!
               Be authoritative: prepare thoroughly, dress and act the part.
               Leverage the authoritative power of others (e.g., studies, experts)

                                       Advocacy                                  160
                Cialdini’s Tactics of Influence

Scarcity--Opportunities seem more valuable when they are less available.

 1) People react against threats to their freedom to choose.
 2) This can be manipulated through:
             a) time limits
             b) limited supply
             c) decreasing supply
             d) competition

   When advocating:
    Set your reservation price in advance!
    If you have a weak BATNA, try to improve it; If you have a strong BATNA, let
    your counterpart know! (careful, this could backfire).

                                       Advocacy                                     161
                Message Strategies

Using Evidence as an Influence Tactic
 Evidence must be seen as relevance
 Evidence needs to be believable
 New evidence is the best evidence
 Evidence should be comprehensible
 Best used when:
       - you think you may be seen as low credible
       - you think you may be seen as having vested interests
       - you use multiple sources
       - strategically cite sources of evidence

                           Advocacy                             162
                   Message Strategies

 Using Fear Appeals as an Influence Tactic

 Are you credible? Do                     Is the threat believable?
people believe you can
   “do” the harm?                   Is the threat relevant?*

   Is the appeal addressed                  Does the appeal create
   to a “significant other?”                the appropriate amount
                                                    of fear?
   Is there a way out? Can the
    recipient do something to
                                              *The greater the relevance , the lower the
 reduce or eliminate the threat?                        optimal level of fear
                               Advocacy                                         163
Insure an optimal level of fear

                     Danger control: You
                        concentrate on                  Fear control: You
                      finding a solution              start worrying about

                             Not                                   Avoidance

                     Degree of Threat and Efficacy

                            (Response efficacy: An effective response
                            is available)+(Self-efficacy: I am capable of
                            undertaking the response)
                               Advocacy                                     164
                    Message Strategies

Organizing Your Message for Influence

1. Organized?
      Organizational patterns that work
       Chronological
       Problem-Solution
       Topical
       Cause-Effect
       Criterion focused
      Familiar organizational pattern or one that surprises people?
2. Repetition?
3. Number of arguments?
                                Advocacy                          165
Organizing Your Message for Influence

4.   Forewarning of intent to persuade?
5.   Drawing conclusions?
6.   Problem first; solution first?
7.   Good news first; bad news first?
8.   One-sided vs. two-sided vs. refutational messages

                               Advocacy                  166
Organizing Your Message for Influence

                         Make a Small Request First, Then
 Foot-in-the-Door        Make a Larger One Later.

Low-Ball Technique        Person is Asked for a Small Favor
                          That Turns Out to Be Costly.

                         Make an Extreme Request First,
 Door-in-the-Face        Then a Reasonable Request Later.

                     Advocacy                           167
          What Makes A Good Negotiator?

Good Negotiators           Poor Negotiators

•Assertive                 •Weak
•Rational                  •Emotional
•Decisive                  •Irrational
•Constructive              •Too Conciliatory

                    Advocacy                   168
     Good Negotiation                  Bad Negotiation
• Produces the best possible     • No settlement is reached
outcome (and the best outcome         – because of destructive
is not always a settlement)           interpersonal dynamics
• Increases the likelihood of         – because of the failure of
compliance by parties to the          parties to discover technical
agreement                             solutions that address each
• Improves the relationship           sides needs
between the parties              • A settlement is reached, but:
• Is efficient                        – the outcome is less than
                                      – full compliance by both
                                      sides is problematic
                                      – the relationship is
                            Advocacy damaged in the process 169
Preparing to Negotiate

         Advocacy        170
                 BATNA & Negotiating Power: An Illustration
 From the Internet: an“actual” radio conversation of a US naval ship with Canadian authorities
 off the coast of Newfoundland in October, 1995.

Americans: Please divert your course 15 degrees to the North to avoid a collision.

Canadians: Recommend you divert YOUR course 15 degrees to the South to avoid a collision.

Americans: This is the Captain of a US Navy ship. I say again, divert YOUR course.

Canadians: No. I say again, you divert YOUR course.

Americans: This is the aircraft carrier USS Lincoln, the second largest ship in the United
   States’ Atlantic fleet. We are accompanied by three destroyers, three cruisers and
   numerous support vessels. I demand that you change your course 15 degrees north, that's
   one five degrees north, or counter-measures will be undertaken to ensure the safety of this

Canadians: This is a lighthouse. Your call.
                                          Advocacy                                   171
Preparation is Everything:

• Know what you want
• Know what the other side wants
• Know what you can give on
• Know what the other can give on
• Know what you can get without negotiating
• Know the image the other person wants to maintain
• Know you shared interests

                          Advocacy                    172
           Negotiation Preparation
                                     Always know what
I want            I can give          you can swap. If
                                     you can’t get one
                                      thing, what can
                                          you get?

You want          You can give

                     Advocacy                       173
Approaches to Negotiation

           Advocacy         174
              Positional Negotiation
                 • a “position” is a single answer or
                 solution to a problem, one which the
                 other party may or may not be able to
                 accept. I gain at your expense.

              Interest-Based Negotiation
                • an “interest” is a need or concern
                regarding a problem or issue, which might
                be solved or resolved by a variety of
                solutions, some of which will be acceptable
                to both parties. Expand the pie so we both
                    Advocacy                             175
Every negotiation requires some degree of distributive
(positional) and integrative negotiating. It is a question
of balancing the two.

                         Advocacy                            176
Positional Negotiating

 Use when:

    resources are limited
    there is competition over the resources
    the resources are assumed to be fixed
    a party wants to maximize his/her share
    interests are not interdependent, are contradictory, or are
   mutually exclusive
    current or future relationships have a lower priority than
   immediate substantive gain

                              Advocacy                             177
Positional Negotiating

 Assumptions:

    the pie is limited
    you should get the biggest piece or (when powerless) minimize
    a win for me = a loss for you
    we are opponents
    there is a best solution….mine!
    I must stay on the offensive
    a concession is a sign of weakness

                            Advocacy                          178
Positional Negotiating
 Characteristics

    Large initial demands; open with an extreme position;
    Low level of disclosure
    Use tactics to keep the other party off balance (e.g., bluffing,
    Argue merits of your position, defending it from attack by the
   other party
    Discredit the positions and claims of the other party
    Trade concessions; Each concession should be matched with a
   concession from the other side
    Incremental concessions
    Hard on people…difficult for relationship

                              Advocacy                            179
Positional Negotiating
 How to do positional bargaining


       Determine your bottom line (Reservation Price): If you cannot
       achieve a price that is at least as good as your RP, you should not
       agree to a deal
        Know your BATNA (Best alternative to negotiated alternative);
       This is your most preferred course of action if negotiations break
       down; Try to improve it
        Try to figure out the opponent’s bottom line; Try to figure out their
        Set a goal or aspiration that is optimistic but not absurd
        Determine opening offer. It should be: a) significantly better than
       your reservation price (leaving room for concessions); and b) not so
       extreme that you lose credibility
        Think of what objective standards might be acceptable to the
       other party                 Advocacy                               180
  Positional Negotiating

    Parties propose solutions to one another and make offers and
   counteroffers until they reach a solution that is acceptable to
                                      A                                          B

                   X                                                   Y
    1         2         3         4       5          6       7     8       9         10


                                                                               Negotiating Range

X: Party A’s target                                              A: Party B’s resistance point
Y: Party A’s resistance point                                    B: Party B’s target
Z: Party A’s acceptable options                                  C: Party B’s acceptable options
                                              Advocacy                                    181
Determine you maximum acceptable position (the best you could get). Find a
objective justification for it. This is your opening position.

Determine you target (where you want to end up). Be optimistic. Don’t be too

Determine you minimal acceptable result (the least you can get compared to
your BATNA). This is your walk away position at which point there is no point in
continuing to negotiate.

                                     Advocacy                                      182
                            Bargaining Zone Analysis
      B1                                     S5         S4 S3              S2         S1
                    B2      B3     B4

    $200K                        $225K      $232K                                        $260K
S1: “The listing price is $260K.”
B1: “That’s much higher than I can afford. But I could manage $200K”
S2: “You must be joking! I mean, I could go as low as $250K, but….”
B2: “Well, what if I were to come up to $212K?”
S3: “Well, if you are able to move quickly on this, I guess I could sell for $244K”
B3: “That’s kind of you, but still high compared to comparables. How about $219?”
S4: “No, but we’re getting closer... My wife’ll kill me--but what if we say $240K?”
B4: “It would really be hard for me to go any higher than $224K”
S5: “I shouldn’t do this...but we’re so close. Why not split the difference at $232K?”
B5: “Well….alright, you have yourself a deal!”
                                             Advocacy                                    183
 Positional Negotiating
 How to do positional bargaining

       Negotiation Session
        Start with high opening position (that can be justified—don’t lose your
       credibility by too extreme an opening). The higher your goals the more
       favorable the outcome;
        High goals increase likelihood of distributive negotiation and limit the
       chances of integrative negotiation (less chance of expanding pie)
        High goals also reduce information seeking during negotiation
        Make the first offer—set the anchor
        When buyer makes the opening offer the final settlement is lower than
       when seller makes opening offer
        A good predictor of the final outcome is the mid-point between each
       party’s opening bid, provided this falls within the ZOPA
                                   Advocacy                                184
 Stay focused on your target value; don’t get distracted by the other’s offer
 Use offers/counteroffers to get bargaining range
 Arrive at a compromise
 People are more sensitive to your willingness to make concessions than they
are to the reasonableness of your opening bid
 People are more sensitive to the rate of concessions than they are to the
magnitude of those concession
 People are more sensitive to price increases than they are to the number of
times (e.g., number of months), they pay. Increase the number of months (36 to
48) rather than monthly payments
 Have some planned concessions (some ready for deadlocks; a sequence for
making them; at closing {this is rewards other})
 Judgments are relative or comparative

                                Advocacy                                185
 Use the norm of reciprocity to your advantage. Avoid making unilateral
concessions—never make a unilateral concession
 Offer a reason for each concession
 Make contingent concessions. Never give without getting
 Trade in different “currencies” (price, quality, time guarantees). The more you
have, the more bargaining power you have; you can make “false” concessions
by trading in unimportant currencies
 Be patient. Don’t give in too easily. Make each concession painful; stress
that your ability to concede is limited
 Be wary of “fair” solutions proposed by the other side. Note that we are all
self-interested in choosing fairness norms
 Use imposition from above (“boss requires me to go no further…”). You would
like to but your company won’t permit it
 Never gloat or reveal your true reservation price after a deal!

                                 Advocacy                               186
              Understand Your Leverage

Positive Leverage: What can you give them that they want?

Negative Leverage: What can you take away from them that
they don’t want to lose?

Normative Leverage: What are the rules, precedents, norms
that can “force” them to do something?

Psychological Leverage: What are the psychological “tricks”
that you can use?

                       Advocacy                          187
What concessions will cost you a little but get you a lot—they would be more
important to the other party than you? Are you committed to getting something for
every concession you make?

What concessions do you want from the other party?

What concessions can you hold back until the end of the negotiation in order to
trigger closing

                                     Advocacy                                     188
            Tangibles                            Intangibles
Price                                 Return on psychological
Quality of goods and services         Quality of relationship
Quantity                              Principles and fairness
Timing                                Consistency
Length of agreement                   Beating the counterpart
Payment terms                         Looking good to my audiences

                                Advocacy                         189
Some tactical moves in positional bargaining

• make the first offer (it anchors the negotiation)
• don’t accept the first offer
• do homework about the alternative available to the other (principles of
• don’t disclose your limits (low or high)
• don’t disclose your desires (principle of least interest)
• discover a weakness (flaw) with the product and use that do lower the value
• ask “why?” for the price
• act stupid
• use status
• hint at long term, large and frequent business
• use multiple levels of authority (at every level, negotiation happens)
• frame the range of negotiation (we will only talk about X)
• sell in units, buy as total
• patience is everything (time pressure forces negotiation)
• use limits “set by others” that you cannot change
                                      Advocacy                                  190
Some tactical moves in positional bargaining

• make last minute claims (when the other side assumes the negotiation is done)
• be aggressive and emotional
• use deadlines
• beware of being dissatisfied with not getting everything you want—satisfaction is
negotiation is based on a comparative standard versus an absolute one

                                      Advocacy                                191
                                   Concession Tactics
Start high and make small concessions; Exaggerate the importance of your concessions and denigrate theirs

Shock Opening               Open with an extremely low offer or high demand, creating a contrast effect and
                            lowering the counterpart’s expectations

What’s Your Best            Pre-empt the negotiation by asking for a closing position immediately to save
                            time, then treat that as an opening position
Decoy                       Argue strenuously for what you don’t want, and trade a false concession for a
                            real one
The Super-Contract          Offer to buy a big volume to get a good price, then reduce the volume without
                            increasing the price
Salami Tactic               Erode the counterpart’s position by taking repeated small concessions
                            insignificant in themselves but collectively important
Split the Difference        Move the “middle” of the range in your direction, then split the difference in your
That’s my Last Offer        Pre-empt the negotiation by making a final offer and suggesting that you have
                            reached your resistance level
Boulwarism                  Present a “take it or leave it” offer at the opening (named after Lemuel Bouware
                            who used it in labor negotiations at GE until a Federal Court ruled it illegal after
                            a 104 day strike
Nibble                      An additional “small” request after the deal has been almost closed
                                       Audience Tactics
Exaggerate the limits imposed by your constituencies. Insist on establishing their unlimited authority to negotiate

Limited Authority              Deny having the authority to discuss an issue or agreement.
                               Renege on agreements that have already been reached by
                               “failing to persuade” constituencies.
Every Level A New              Negotiate hard and finally agree to some things and then tell
Deal                           the other party they will now need to meet with your bosses.
                               The bosses negotiate hard, agree to something, and then say
                               they will not need to meet with their bosses…
The New Team                   Change negotiating team after preliminary agreements have
                               been reached
My Hands Are Tied              Publicly commit yourself to an irreversible course of action,
                               making a concession impossible
                                      Information Tactics
          Get information; don’t give it. Research and ask lots of questions. Misrepresent your limits

What’s Your Bottom             Make unfair unilateral requests for information that would
Line                           damage the counterpart’s ability to negotiate
Distraction                    Engage or create distractions during the session

Confuse                        Offer confusing information that sounds (and may well be)
Silence                        Refuse to speak or respond or offer explanations
                        Psychodrama Tactics
                   Exaggerate negative reactions and impatience

Temper Tantrum     Simulate explosions of anger to destabilize your counterpart
Broken Record      Constant repetition of the same demand

Good Guy/Bad Guy   Alternate two negotiators: one rigid and aggressive; the other
                   conciliatory. The resulting contrast effect makes the good guy’s
                   proposals look better than they are
Strongly focusing on getting the most you can (high goal) is
   both good and bad

A. The higher your goal, the better your distributive outcome, but:
B. The higher your goal, the greater your bargaining inefficiencies
   • Higher goals are more likely to create impasses
   • Higher goals lead to a great focus on distributive, rather than
      integrative outcomes (you will be able to claim value, but not
      be able to create value)
   • Higher goals lead people to not incorporate new information
      presented during the negotiation and to ignore feedback
   • Higher goals lead to riskier strategies and gamble
   • Higher goals lead to lower satisfaction because the one
      seldom gets all they want

                               Advocacy                         196
Using Time in Positional Negotiation

Two sorts of time pressure in negotiation:
   Time costs: penalties negotiators pay for continued negotiation
   (e.g., opportunity costs, cost of bargaining agents (e.g., attorneys),
        - when you face larger time costs, you get a smaller share of the
        negotiated outcome (lower aspirations, more concessions,
        opponent threatens delay when they know the costs)…
        Principle: Don’t let the other side know your time costs
   Time constraints: a final deadline beyond which agreement I no
   longer possible—when one leaves, there is no more negotiation
   (budget calendars, tenure clocks, timed explosives)
        - when you you believe seller has time constraints, you are
        more likely to offer more… Principle: If you know there is a
        final deadline, let the other side know
                                  Advocacy                            197
           Time Pressure in Complex Decision Making

Acceleration:         Filtration:                       Change:
People try to         People process only               People change the
process the same      a subset of the                   way in which they
information at a      available information             process information
faster rate                                             (move from thorough
                                                        to shallow

                                        Chu & Spires, 2001, OBHDP, 85, 226-249

                             Advocacy                                            198
Time pressure:

       - leads to lower demands
       - is marked by less persuasive arguments
       - results in more concessions
       - leads to less integrative solutions
       - leads to people seeking cognitive closure
       - less consideration of multiple alternatives
            - more likely to engage in shallow information
            - less likely to critically probe seemingly adequate
            solutions or judgments
       - results in people engaging in more stereotyping
       - leads people to fall prey to the primacy effect

                               Advocacy                            199
Other findings on time and negotiation
Immediate benefits are preferred to delayed benefits; delayed
burdens are preferred to immediate burdens
People prefer to space out good outcomes over time and dispense
with bad outcomes quickly.
People who get impatient with delays give more away; thus, if you
can force an impasse, the other side may concede more.

                                Advocacy                            200
 Interest-Based Negotiating

 Starts with building and/or preserving the relationship(s)
 Parties educate each other about their needs, and then jointly problem
solve on how to meet those needs
 Begins with agreements-in-principle: general levels of agreement that
outline the parameters within which the final agreement will be forged
 There are many kinds of interests:

     substantive: the resources at stake (e.g., money, time, people, goods)
     procedural: needs for specific kinds of behavior or “the way something is
     psychological: needs referring to how one feels, how one is treated, the
    conditions of the relationship
     values: shared values that can be agreed upon to guide the continuation of
    the relationship

                                   Advocacy                               201
 Interest-Based Negotiating

Why integrative negotiation has value:

     identification of all available resources
     ability to meet the aspirations of both parties
     creation of more stable and enduring agreements

                                 Advocacy               202
Interest-Based Negotiating

 Use when:

    interests are interdependent
    it is unclear there is a fixed pie; when all options to increase the
   pie are exhausted
    future relationships matter (i.e., interests other than
   “substantive” are important)
    joint exploration of individual interests can result in shared
    when more than two parties are involved

                               Advocacy                             203
Interest-Based Negotiating

 Assumptions:

    the pie is not limited
    the goal is win/win
    the needs of all parties must be addressed to reach agreement
    we are cooperative problem-solvers
    the values that guide us really matter
    the relationship is important
    there are probably several satisfactory solutions

                            Advocacy                           204
Interest-Based Negotiating

 How to do interest-based bargaining


        Identify your interests/needs and the values at stake
        Speculate on the other party’s interests/needs and values…not
       their positions…understand what they need
        Consider the interests that both sides in the negotiation are trying
       to satisfy. Include both tangible and intangible interests. Consider
       each issue in terms of interests
        Identify your BATNA (Best Alternative To Negotiated Alternative)
            what will you have if you don’t reach agreement?
            will what you have if you don’t reach agreement be better than what you
           get if you do reach agreement?
        Try to understand the other’s BATNA
                                    Advocacy                                  205
   Interest-Based Negotiating
 How to do interest-based bargaining


        Consider the relative attractiveness of outcomes to both you and your
       counterpart. Consider constructing a point scheme. Which issues are
       congruent? Which might be tradable?
        Think about differences (in beliefs, risk preferences, time preferences,
       and production capabilities or talents) that might provide joint gain. Add
       issues to the mix or construct a contingent contract, if necessary
        Set in advance a reservation price or a minimally acceptable package.
        Think in advance about possible multiple issue packages that will be
       attractive to both you and your counterpart
        Plan your opening. Think about supporting arguments that address
       your counterpart’s interests and might also be perceived as fair.
                                    Advocacy                             206
After one of the many conflicts between Egypt and Israel,
negotiators sat down to try to hammer out some agreement
that would yield a long-term peace. Negotiators had to go
beyond what each side said to try to discover the underlying
interests. What they found was critical: Israel wanted security;
Egypt wanted sovereignty. The solution was a demilitarized
zone under the Egyptian flag.

                                                      From Sebenius, HBR, April 2001.

                             Advocacy                                      207
Interest-Based Negotiating

 How to do interest-based bargaining (cont’d)

    Negotiation Session

        Don’t make premature concessions (concessions on issues
       before they are raised). You may miss opportunities to identify
       compatible issues.
       Begin with the relationship (rapport and tone); Build trust and
       share information in the early stages of negotiation
        State the purpose of the negotiation
        Become a master questioner. Ask questions of your counterpart
       to help you determine their interests. Listen to their answers
        Begin by educating each other on interests (disclose and listen);
       delay talking about solutions
        Be firm about concerns; be flexible about positions
                                Advocacy                               208
Interest-Based Negotiating

   Questions to discover interests

        What is important to you?
        Can you help me understand why that’s important?
        What concerns you about the situation?
        How does ____ affect you?
        ____ matters a lot to you---is that right?
        Is there something you think that (the other party) doesn’t
       understand about your situation?

                                     From Beers & Stief, 1997
                             Advocacy                            209
Interest-Based Negotiating

 How to do interest-based bargaining (cont’d)

    Negotiation Session

        Define problem jointly, to meet both parties needs. “How
       can we ___ and also ___?
        Search for shared values
        Find agreement at the highest level of abstraction
        Look for ways to expand the pie (create value before you
       claim value)
        Consider making multiple offers simultaneously: “Do you
       prefer package “x” or package “y”?
        Jointly problem solve on how to meet both sets of needs

                             Advocacy                          210
Interest-Based Negotiating

 How to do interest-based bargaining (cont’d)

    Negotiation Session

        Generate multiple options for settlement; if you get stuck,
       go back and review what people’s interests are
        Evaluate the options (how well do they meet needs?)
       Remember your BATNA
        Select/modify options based on which ones meet needs
       most (look for the “elegant” solution)
        Develop a plan to implement: who, what, where, when, why,
        After you’ve reached a tentative agreement, don’t stop
       there. Search for possible post-settlement settlements that
       would make both sides better off
                             Advocacy                           211
Interest-Based Negotiating

 How to do interest-based bargaining (cont’d)

    Negotiation Session

        Continually test your assumptions about where you are in
       the process (ask the other side“are we making progress?,”
       “are we overlooking something?”)
        Develop rescue and recovery routines for high conflict
       moments and misunderstandings (apologies, shifting to
       another topic, explicitly naming the problem)
        Use caucuses and time-outs to interrupt disruptive
       behaviors and gain perspective
        Develop a shared language
        Develop a tolerance for ambiguity
                             Advocacy                          212
Interest-Based Negotiating

 How to do interest-based bargaining (cont’d)

   Negotiation Session (cont’d)

        separate people from the problem or issue
        focus on interests, not positions
        invent options for mutual gain
        insist on using objective criteria
                •Market value                  •Professional standards
                •Prevailing wage/price         •Legal decisions
                •Various price indices         •Moral standards
                •Cost of living                •Equality/Equity norms
                •Precedent                     •Tradition
                •Scientific merit   Advocacy
                                               •Community practice       213
   Problem          Interpretation                Position               Interests                        Issue
 The immediate      How you interpret Demands, threats,                 What really              What we need to
   course of          the other’s      fixed solutions,                matters to you              talk about
    conflict           behavior           proposals
Barking Dog         Neighbor is unfriendly   Buy a muzzle              I’m not well. I           How to control the
                    and inconsiderate;                                 need my sleep; I          barking at night
                    Violates my privacy                                want my home to
                                                                       be a quiet, private
Unfair Bill         The company is           I will not pay for work   Wants to be               What work was
                    ripping me off. They     you did not do            treated fairly;           done, what is fair
                    think I am not smart                               Needs to how              payment; How rest
                    enough to notice                                   much something            of the job is billed
                                                                       cost so to budget

Wants me to force
me to change the
software I use
Rude treatment,
excluded from

                                                 Advocacy                     From Beer and Stief, 1997     214
                             Party 1             Party 2


Positions (concrete…
reservations, etc.)
(underlying goals, broad


                           Options/Packages   Rationale/Support
Possible Solutions
                           Interests I: Defining Interests

                                 Clarify the Interests

Ours                              Theirs                      Others
What are our real interests in    How much do we know about   What are the concerns of
this negotiation?                 their real interests?       our/their constituents and

                                        Advocacy                                      216
                   Interests II: Options
             Create options to meet interests
                     Look at the Interests form
     List options for meeting your interests in the negotiation
                Do any of them meet their interests

Our Interests         Possible Options               Their Interests

                             Advocacy                              217
                      Leverage: Understand Alternatives
                              Define BATNA’s
       What can we/they do to satisfy our interests is we fail to reach agreement?
                        How attractive are these alternatives?
         How does our BATNA look to them and what we know about theirs?

Possible Alternatives                    Pro’s                         Con’s

What can we do to make out BATNA more attractive and realistic?

Possible Alternatives                    Pro’s                         Con’s

What can we do to make their BATNA less attractive and realistic?
                                       Advocacy                                      218
In interest based negotiating you are firm about your interests
(concerns) and flexible about your positions

                             Advocacy                             219
        Moving from Positional to Interest-Based Negotiating
• Ignore positions and keep on talking and listening for interests
• Do not ask for specific solutions in the negotiation; stick to the general
• Do not respond to positional moves with counter-positions
• Ask why a position is important to the party. Try to identify underlying interests
• Verbalize and, if possible, make interests explicit
• Separate substantive, procedural, and psychological interests contained in a
stated position
• Look for general principles behind positions to which both parties can agree
• Reframe problem as a search for means to satisfy interests rather than a way
to persuade the other party to agree to a position
• Reframe the problem to emphasize commonality of interests or the possibility
of joint gains. Say you want to look for solutions that are advantageous to all
parties. Do not expect the other parties to hear you the first time you say it,
especially if you are more powerful

                                      Advocacy                                 220
        Moving from Positional to Interest-Based Negotiating
• Separate the problem from the people involved
• Ask for principles by which to evaluate positions offered
• Respond with several counter-positions and suggest that all merit further
investigation to see how they meet the parties interests
• Do not negotiate the use of interest-based bargaining procedures using
position-based bargaining tactics
• If you are clearly more powerful, expect the other to assume you are pursuing
only your self-interests
• If you are clearly less powerful, you can choose not to behave in a
dependent/powerless manner
• If you are more powerful, don’t expect the others to initially believe you
• When you are close to agreement about meeting each others’ interests, look
for an objective criteria to measure satisfaction of those interests
• When there are more than two parties, exploring interests is very hard
• When you can “lead from the middle,” you have a higher probability of
maximizing your gains                  Advocacy                              221
 Aspirations                                     Integrative

Self Concern

                Egotistical                            Prosocial
                (maximize my         Other Concern     (maximize my
                outcome with no                        and your
                concern for other;                     outcome; more
                more competitive/                      information
                contentious)                           sharing &
                                      Advocacy                            222
                                                       problem solving)
Change the Game: Negotiate on Merits

• Principled
     participants are problem solvers
     the goal is a wise outcome reached efficiently and amicably
• Separate the people from the problem
     be soft on the people and hard on the problem
     the conflicts needs to be solved; not a person to be manipulated
• Focus on interests not positions
     explore interests
     emphasize what you have in comments
     avoid having a bottom line
• Invent options for mutual gain
      develop multiple options to choose from; decide later
• Insist on using objective criteria
     try to reach a result based upon standards independent of will
     yield to principle not pressure
                                   Advocacy                              223
    “Hard” Bargaining              “Soft” Bargaining         Interest-Based Bargaining
                                                              Participants are problem-
Participants are adversaries     Participants are friends
                                                                 Goal is wise outcome
      Goal is victory              Goal is agreement            reached efficiently and
 Demand concessions as            Make concessions to         Separate the people from
 condition of relationship        cultivate relationship            the problem
Be hard on the people and      Be soft on the people and     Be soft on the people, hard
       the problem                    the problem                 on the problem
                                                               Focus on interests, not
  Commit to your position      Change your position easily
       Make threats                   Make offers                 Explore interests

      Distrust others                 Trust others           Proceed independent of trust
                                         Advocacy                                  224
    “Hard” Bargaining               “Soft” Bargaining            Interest-Based Bargaining

 Mislead as to bottom line       Disclose your bottom line        Avoid having a bottom line

Demand one-sided gains as       Accept one-sided losses to        Invent options for mutual
   price of agreement               reach agreement                          gain

  Search for the single         Search for the single single
                                                                  Develop mutual options to
 answer: the one you will        answer: the one they will
                                                                  choose from; decide later
         accept                           accept
                                                                   Insist on using objective
   Insist on your position          Insist on agreement
                                                                  Try to reach a result based
 Try to win a contest of will   Try to avoid a contest of will   on standards independent of
                                                                    Yield to principle, not
      Apply pressure                 Yield to pressure
                                           Advocacy                                    225
                    Classifying Issues in a Negotiation
                     Congruent                Distributive              Integrative
Outcome               win/win                   win/lose                  win/win

Number of             single                    single                    multiple

Interests             compatible                adversarial               convergent

Motivation            cooperative               competitive               cooperative/
to exploit                                                                competitive

   An agreement is called pareto efficient if no party can be made better off without
   making at least one party worse off.

                                           Advocacy                                     226
                     Negotiation Worksheet

 Who is your counterpart: _______________________
 What organization/department does she/he represent:___________________

Describe the issue you need to resolve

What happens if no agreement is reached?
To you.                                    To them.
____________________________               ____________________________
____________________________               ____________________________
____________________________               ____________________________
____________________________               ____________________________
____________________________               ____________________________
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Mine/Ours          Theirs

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What about the person(s) you are negotiating with. What are the
challenges you face with them as “people” or “organizations”?

          Challenges                  Possible Approach You Can Take

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What do you want?                             What do they want?
__________________________                    __________________________
__________________________                    __________________________
__________________________                    __________________________
__________________________                    __________________________
__________________________                    __________________________
__________________________                    __________________________

What are each parties interests. Indicate whether they are (s) shared, (d)
differing, or (o) opposed
Mine/Ours                                    Theirs

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What are some possible options that would satisfy both your interests and

What are some possible independent standards?

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Possible offers?

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Judging the Success of Your Negotiation

 If agreement was possible, was it reached?
 Is the relationship as good as it was before?
 Was the process efficient?

What makes a negotiator satisfied?
 Having your first offer accepted immediately reduces
 Higher pre-negotiation expectations lowers your satisfaction
 Having an unsupportive third-party lowers satisfaction
 Having many issues reduces satisfaction

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Negotiation Strategies

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Shape the structure of your situations
•No negotiation is preordained or fixed.
•Don’t react to your counterparts' moves; shape your own situations.
•Mold the basic structure of the negotiation (e.g., involve the right people, control
the issue agenda, introduce action-forcing events create linkages that bolster your
bargaining power)
•Actions away from the negotiating table are as important as what goes on at the
table (e.g., what influences outcomes takes place before the parties sit down

                   Adapted from Michael Watkin’s Breakthrough Negotiation: Don't Leave It On the Table s described in HBSWK Pub. Date: Mar 11, 2002

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Organize to learn

•Do the necessary preparation to negotiate
•Diagnose the essential features of the situation
•Familiarize yourself with the history and context and with the record of prior
•Probe the backgrounds and reputations of their counterparts
•Cope with constraints on time, expertise, money, data, and access to documents.
•Continue to learn at the negotiation table as you carefully gauge reactions and
responses while testing hypotheses by asking questions and putting offers on the
•Devote substantial time between at-the-table sessions to integration and distillation of

                  Adapted from Michael Watkin’s Breakthrough Negotiation: Don't Leave It On the Table s described in HBSWK Pub. Date: Mar 11, 2002

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Become masters of process design

•Control of the process yields control over outcomes
•Think hard about the impact of process on perceptions of interests and alternatives, on
the part of their counterparts and those they represent, and on their own side
•Fashion and negotiate processes likely to lead in favorable directions (e.g., one-on-
one negotiations are suited to some issues and group negotiations to others; potential
benefits and costs of setting up a secret channel;details as small as the timing of a
meeting or the size and shape of the negotiating table can make a difference)
•Be reflective about the process design choices you make (a bad process—one
perceived as unfair, illegitimate, or simply confusing—can create unnecessary barriers
to agreement; good process design can promote breakthroughs)

                   Adapted from Michael Watkin’s Breakthrough Negotiation: Don't Leave It On the Table s described in HBSWK Pub. Date: Mar 11, 2002

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Foster agreement when possible but employ force when

•Make skilled use of explicit and implicit threats
•Recognize the need for threats to be credible
•Recognize too that their counterparts will probably view any agreement
achieved by means of coercive power as illegitimate and will feel free to violate
its terms unless power is applied on an ongoing basis to enforce it
•Backing weak players into a corner triggers resistance and escalation

 "You can do a lot with diplomacy, but with diplomacy backed up by force you can get
 a lot more done.“ Kofi Annan

 "Treating force and diplomacy as discrete phenomena caused our power to lack
 purpose and our negotiations to lack force.“ Henry Kissinger

                  Adapted from Michael Watkin’s Breakthrough Negotiation: Don't Leave It On the Table s described in HBSWK Pub. Date: Mar 11, 2002

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Anticipate and manage conflict
•Be skilled at diagnosing potential sources of conflict.
•Recognize the potential for escalation in zero-sum thinking, mutual perceptions of
vulnerability, a history of distrust or injury that has transformed perceptions, and
cultural misunderstandings.
•Reframing issues or setting up confidence-building mechanisms.
•Foster productive working relationships (e.g., develop trust)
•Project seriousness and, if necessary, also toughness with regard to principles and
positions that you believe you have to protect.
•Do not let agreement or avoidance of conflict become ends in themselves.
•Do not get so caught up in the process that they lose sight of the end they are trying
to achieve
•No agreement is preferable to a bad agreement

                  Adapted from Michael Watkin’s Breakthrough Negotiation: Don't Leave It On the Table s described in HBSWK Pub. Date: Mar 11, 2002

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Build momentum toward agreement

Make hard choices (such as to make an unfavorable concession) only when
you lack more attractive alternatives and doing nothing is not an option.
•As long as counterparts believe the potential benefits of inaction outweigh that
costs of action , they cannot be expected to act
•Develop an attractive vision of a desirable future that pulls the other side
forward toward agreement
•Break a logjam by proposing a formula or framework or face-saving
•Erect barriers to backsliding that impel the process forward—taking advantage
of the irreversibilities characteristic of complex negotiation systems
•Secure early agreement on basic principles or a framework for detailed
bargaining—it makes a reversal more costly

                Adapted from Michael Watkin’s Breakthrough Negotiation: Don't Leave It On the Table s described in HBSWK Pub. Date: Mar 11, 2002

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Lead from the middle

Work internally to shape your mandates and negotiating instructions
•Be able to sell the resulting agreements to constituents
•Balance your relationships within your organization with your relationship with your
•Manage internal decision making (e.g., shaping internal negotiating processes)
•Pay close attention to how the other side makes decisions
•Act as a bridge between internal decision making and external negotiating and
reconcile the divergent interests of fractious constituencies
•Maintain your credibility

                 Adapted from Michael Watkin’s Breakthrough Negotiation: Don't Leave It On the Table s described in HBSWK Pub. Date: Mar 11, 2002

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                        Stages of Negotiation

Rituals and Positions          Exploration        Seeking Closure

 Ground rules            Tactical persuasion     Deadlines
 Set agenda              Listening               Criteria for settling
 Build trust             Casting doubt           Reciprocity
 Opening positions       Asking questions        BATNA
                          Making concessions
                          Exploring commitment

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     Some Techniques for Reaching Agreement

• Precedent and pattern
• Relationship
• History and future
• Reciprocal concession
• “Prominence” or “salience” of solution; the split the difference rule
• Equity and effort; appeals to fairness
• “Needs”
• Use of principles
• Third party reference
• Conceding on value

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Reciprocity in Negotiation: The Tit-for-Tat Model

  Principle: Cooperate on initial encounter and thereafter simply
      imitate the action done by opponent


  (1) You don’t need to retaliate immediately against non-cooperation,
      but don’t wait too long
  (2) Immediate reciprocation of opponent’s cooperative move is
      crucial (“forgiveness”)
  (3) Tit-for-tat is not easily perceived, but that does not matter
  (4) Anguish over non-cooperativeness can be resolved by:
      •    Explanation for difference
      •    Offer to make it up later

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         How to protect yourself from bluffing
1) Check the other party’s reputation.
2) Ask several questions and listen for consistency.
3) Ask questions to which you know the answer, and see how they
4) Check your assumptions--ask that they be verified.
5) Include contingency clauses.
6) Don’t be seduced by ingratiation or flattery.
7) Frame the context as long-term; build incentives not to lie.
8) Trust your instincts.

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          How do you know if they are lying?
1) Check the other party’s reputation.
2) Ask several questions and listen for consistency.
3) Ask questions to which you know the answer, and see how they
4) Check your assumptions--ask that they be verified.
5) Include contingency clauses.
6) Don’t be seduced by ingratiation or flattery.
7) Frame the context as long-term; build incentives not to lie.
8) Trust your instincts.

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