(完整版)国际商务谈判知识点

1、1 关键词语What is a negotiation?A negotiation is a process of communication between parties to manage conflicts in order for them to come to an agreement, solve a problem or make arrangements. 谈判是各方为化解冲突而进行 沟通的过程，目的是使各方达成一项协议、解决一个问题或做出某种安排。Factors in a successful negotiation1. Result of mutual taking an

2、d giving 共同的给予和获取的结果2. The existence of conflicts and collaboration 冲突与合作并存3. Every party can exercise （行使） veto right （否决权） to the results of the negotiation 各方 都可对谈判决议行使否决权What is a conflict ?A conflict is a dispute, disagreement or argument between two or more interdependent parties who have diff

3、erent and common interests. 冲突是发生在两个或更多既有不同利益又有共同利益的 相互依赖的当事人之间的对抗、争执或不同意见。Stakes are the value of benefits that may be gained or lost,and costs that may be incurred or avoided.利益是指（通过谈判）可以获得的利益或者是失去的利益及可以引发或者是避免的 成本。Four points1. The negotiations are pertinent to relevant parties interests.谈判是对于各方具

4、有利害关系的 事件2. All parties have to pay for the gaining, but what they will get is determined by how well negotiators manage the situation. 谈判各方必须有所付出才能获取利益，但所获取利益取决于 谈判者如何应对谈判3. What they will get is also determined by the current situation. 所获取利益也取决于谈判时的事 态发展现状4. Negotiators have to balance the relati

5、on between the current interests and long-term interests. 谈 判者必须对眼前利益和长远利益之间作出权衡2 谈判结构 General Structure of Negotiation1. Determine interests and issues 确定利益与议题Negotiators should identify their own interests and the other side inst erests （specially their underlying interests） and find out what issu

6、es are involved.2. Design and offer options 设计和提出方案Set forth suggestions and optionsGenerate a number of options before making a final decision3.Introduce criteria to evaluate options 引入评价方案的标准For their own interests, all parties will examine and evaluate all suggested options according to their own

7、 criteria to find out the most favorable one .4. Estimate reservation points 估计各自的保留点和底线5. Explore alternatives to agreement 寻求达成协议的替代方案If the agreement is important, negotiators should come up with some alternative suggestions compromising all p arties interests.6. Reach an agreement 达成最终协议BATNA Be

8、st Alternative to a Negotiated Agreement 谈判协议最佳替代方案 BA TNA 是罗杰 费希尔（Roger Fisher）和威廉 尤里（William Ury ） 在他们所著的经典文章 Getting to Yes 中所提出来的。知道你的 BATNA 就意味着如果目前的 谈判没有成功，你对应该做什么和将要发生什么心中有数。 What you will do if an agreement is NOT reachedWhat is the best result you would get if you walked away from this nego

9、tiation?If you don t sell your house, what will you do with it?Keep it on the market indefinitely; Rent it out; Let someone house-sit（ 代为照管房屋） in return for maintenanceAlternatives are OUTSIDE the negotiationFigure out the value of your BA TNA, and then you know what your base for negotiation is. Th

10、ere may be several alternatives, the BATNA is the one you would choose.The BATNA may be a course of action or a set of decisions contingent on（视 .而定） the resolution of uncertainty.Reservation Price （bottom line） 保留价格（又称免谈价格）是你在谈判中所能接受的最低条件或价格。The least favorable point at which one will accept a deal

11、The “ wa-lakway ”Example: you are looking for larger office space. You set your BATNA at $20/SF and your Reservation Price at $30/SF（ square foot 平方英尺）If owner won t budge（改变态度或意见） from $35, you walk away and take advantage of your BA TNA.“ Zone of Potential Agreement ” （ZOPA） 可达成协议的空间。是指可以达成一桩交易的空间

12、。 谈判各方的保留价格决定着可达成协议的空间的界限， 该空间存在于谈判各方的保留价格限 度相互重叠的区域内。ZOPA: Series of points on a line between the bottom line of both parties where settlement is possible.1. Enquiry 询盘Business negotiations in international trade usually start with an enquiry by an importer to an exporter, asking for the price list

13、, catalogues, samples and details about the goods or trade terms and conditions. However, as some times, an exporter can initiate the negotiation by making an enquiry to a foreign importer, including his intention of selling certain goods to the Latter.It isworthy of note that whoever makes an enqui

14、ry is not liable for the buying or the selling. And the opposite side, at the same time, can make no reply at all. But, according to the commercial practice the receiver of an enquiry will respond without delay in the usual form of a quotation, an offer, or a bid.2.offer 发盘An offer is a proposal of

15、terms and conditions presented in a potential contract by one party, called the offeror, to another party ,called the offeree.There are two kinds of offer:offer with engagement(firm offer),offer without engagement(non-firm offer). An offer with engagement(firm offer)is made when a seller promises to

16、 sell goods at a stated price within a stated period of time.It can develop into a contractual obligation.Thus,once it is accepted by a buyer,the seller cannot revoke (撤消) or amend it.3. counter-offer 还盘A counter-offer is an offer made by an offeree to an offeror, accepting some terms and changing o

17、ther terms.It can be made verbally or in writing.In fact,a counter-offer is a partial rejection of the original offer.It is a new offer,at the same time,the original offer lapses (失效).The original offeror or the seller now becomes the offeree and he has the right to accept or refuse.This process can

18、 go on for many a round till the transaction is concluded or called off.4. Acceptance 接受In business law,an acceptance is the assent to the terms of an offer,required before a contract can be valid. An acceptance can only be made in the form of a statement or any other conduct( 行为 ) by an offeree, th

19、e particular person or a group of persons, who are clearly stipulated in a firm offer. Either a verbal or a written statement is good for this purpose. On the contrary, silence or inactivity is by no means an acceptance.3 谈判润滑剂Target levels 目标层次1. desirable target 希望达到的目标 (to achieve all desired res

20、ults)Two purposes: setting a potential goal for negotiators to strive for and leaving room for bargaining in negotiations.2. acceptable target可能达到的目标 (fair for both sides, but slightly lower than desirable target) What negotiators make all efforts to achieve.3. bottom target 保底目标 (the minimum level

21、both sides can bear) What negotiators will defend and safeguard with all their might. .Collecting Information进行信息调研1. Applications of information in negotiations:(1) Problem solving (解决问题)(2) Strategic planning (战略策划) 2.Obtaining Information(1) The political system(政治制度)： the extent(程度、范围) of state

22、control over business enterprises and its organization;social stability:the extent of political interest in the project.(2) The legal system(法律制度) ： the legal and judicial systems; their influences on business, the relevant laws on establishment of a local company and on employment(P45 case),etc.(3)

23、 The business system(商业体制) ：business conduct; significance given to contracts; negotiating proceedings(议程) .（4）The financial system（ 财政体制）：the country s foreign exchange reserves; the currency freely exchangeable within the territory and its restrictions; procedures for obtaining payments in foreign

24、 currencies; the country s record on honoring（ 兑现、支付） payment obligations including delays; the type of L/C used in the country; the applicable tax laws; restrictions on remittance （汇付、汇 款） of the final payment; regulations on the payment of customs duties; other fees concerning the contract, etc.（5

25、）Infrastructure and logistics system（ 基础设施和物流系统） ： the availability of labor and materials for construction in the territory;the availability of finding competent and financially sound sub-contractors; restrictions on import of labor, material and plant（工厂, 车间, 设备 ）;local logistics problems relating

26、 to transportation.（6）The counterpart（ 谈判对手） :information about your opponent party is equally or even more important. Learn as much as possible about the team members of the opponent party in the aspects of abilities, weaknesses, strong points, hobbies, personalities, etc. More information about yo

27、ur opponent company is necessary, such as its business scope, annual sales volumes, and credit. （P46 3 Cs- character 资信 , capacity 偿债能力 , capital 财务状况 ）3C 来源 The counterparts credit-worthiness is determined by previous loans and by his standing with credit rating bureaus.Such information can also be

28、 gained fromfinancial institutions,primarily from banks.Capital,the financial position of the counterpart is determined by checking the counterparts financial statements,chiefly balance sheets and profit and loss statements.3.Information Source（1）International Organizations 国际组织United Nations Statis

29、tical Yearbook 联合国统计年鉴United Nations Conference on Trade and Development 联合国贸易与发展会议 The World Atlas published by the World Bank 世界银行发表的世界地图集 International Monetary Fund 国际货币基金组织The Organization for Economic Cooperation and Development （ OECD ）经济合作与发展组织 （2）Governments 政府（3）Service Organizations 服务组织（

30、4）Directories and Newsletters 时事通讯与指南（5）On-line Service 在线服务4. Analyzing Information Feasibility Study（ 可行性研究）5. Finalizing the Strategies and Techniques2.Selecting team members Commercial（ 商 务 方 面 ）： responsible for the negotiation on price, delivery terms ， and commercial policy（ 商业政策 ）of risk tak

31、ing.Technical（ 技术方面）： responsible for specifications, programs,and methods of work.Financial（ 财务方面） ： responsible for terms of payment, credit insurance （信用保险 ） , andfinancial guarantees.Legal（法律方面） ：responsible for contract documents,terms and conditions of contract, insurance, and legal interpreta

32、tion.Interpreter（ 翻译人员） :familiar with the foreign language needed as well as with related knowledge and good at cooperating with other personnel.How to Be a Chief Negotiator?1. Responsibilities:Panel set-ups （selection, assignments, etc.）Coordinating the strategy, tactics, styleFinalizing the negot

33、iation plan2. Personal requirements:Self-control and self-confidence3. LeadershipLoyalty is essential （ethics 道德规范 ）. （ethnics 伦理学 , 人种学 ）Planning, Organizing, leading, controlling.Qualifications for InterpretersKnow who you are （ position in the panel ）Familiar with all info. and panel membersKnowi

34、ng necessary technical data and termsHigh spirit and confidenceStand for businessSuggested AnswersThe role of the CN: a decision-making, responsible for unifying the team and designing the strategies and tactics to be used in the coming negotiation.Various kinds of information are necessary, finance

35、, market, technology,policy,even the background of a particular executive,etc. .Choice of Negotiation Venues确定谈判地点1.Host Venue（主场）Psychological advantagesInformation resources readily available2. Guest Venue（客场）The inconvenience can be explored as acceptable excuses for asking for a halt or withdraw

36、al.3. Third Party s Venue（第三方场所）This is a neutral location which is equally convenient to both sides.Reasons for choosing the third party s venueThe two negotiating parties are hostile and antagonistic （ a.对抗的） to each other.A negotiation goes into an impasse （ n.僵局） and there is no sign of rapproch

37、ement （ n.友好关 系的恢复） .Both parties demand strongly to host the negotiation.4 双赢理念1.Traditional Concept Win-lose Model 输 -赢模式also called Zero-sum Negotiation/ Distributive Negotiation （ 零和谈判 /分配式谈判 /两分法谈 判）:is a competitive approach that is used when there is a fixed “ pie”-a finite limit to a resourc

38、e and negotiators have to decide who gets how much of that pie. The negotiators assume that there is not enough to go around, and they cannot“ expand the pie ” , so the more one side gets, the lessthe other side gets.2. Win-Win Concept 赢赢理念 Also called integrative negotiation/a mutual-gains negotiat

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

40、s.Goals of negotiation positively correlate Results of negotiation Negotiators make trade-off across issues in order for both sides to be satisfied with the outcome,potentially giving each side all what they want.Interests of negotiationBoth sides integrate their interests in the negotiation and coo

41、perate to get maximum interests.Steps of win-win model Determine each party s interests and needs.（确定谈判己方的利益和需求） Find out the other party s interests and demands.（寻找对方的利益和需求） Offer constructive options and solutions. （提出建设性的提议和解决方法） Announce success of negotiations. （宣布谈判成功）Or Declare failure of neg

42、otiation or negotiations in impasse. （或宣布谈判失败或谈判陷入僵局）Integrative Win-Win Strategies Strategies that WorkBuild trust and share information tactically Ask diagnostic questions Make multiple offers simultaneously Invent options for mutual gain Capitalize on （ v.利用） differences （valuation, expectations,

43、 etc.）How to apply win-win concept to negotiation Identify each side s interests （要求价值 Claiming value ）Why-understanding their interests better Figure out both side s interestsUnderlying interests- find a solution benefits both sidesCollaborate to figure out the best ways to meet those interests （创造

44、价值 Creating value ） Brainstorming （自由讨论） -list all the optionsCase Study （P59）Negotiation between Egypt and Israel on Sinai Peninsula （19671978）Interests of both partiesEgypt s interest lied in the recovery of it s territory.Israel s interest lied in its safety.SolutionsEgypt designated much part of

45、 Sinai as Nonmilitary Zone.Israel returned the occupied territory to Egypt.Two concepts always function together in a negotiation.5 合作原则谈判法Collaborative Principled Negotiation 合作原则谈判法Getting to YES: Negotiation Agreement Without Giving In by Roger Fisher and William UryCPN also called Principled Neg

46、otiation. Particularly oriented to collaborative negotiations, but can be used in competitive negotiations and in other aspects of conflict management.Some DefinitionsIssue a matter or question in dispute, often stated as a problem.Position a statement by a party as to how an issue can or should be

47、resolved, a proposal for a particular solution.Interest a specific need or concern that must be addressed in an agreement.Principled NegotiationFour principlesPeople（对待谈判对手） : Separate people from the problem 对事不对人The participants should come to see themselves as working side by side on a problem, a

48、ttacking the problem instead of each other.Interests（对待各方利益） : Focus on interests, not positions 着眼于利益而非立场 Interests always underlie （ 构成的基础或做的说明或解释 ）positions?Gaining （对待利益获取） : Invent options for mutual gain 制定双赢方案Generate a variety of possibilities before deciding what to doCriteria （对待评判标准） : In

49、troduce objective criteria 引入客观评判标准Insist that the result be based on some objective standardIntroduce an objective criterionThe guidelines for objective criteria:*Independent of wills of all parties.*Legitimate and practical.*Acceptable to all parties.To choose a fair procedural standard, the way o

50、f implementing the criterion.To discuss the criteria and procedures with other party.*Focus on objective criteria firmly but flexibly.factors of an objective criterion1.An objective criterion should be independent of wills of all parties and thus be free from sentimental influence of any one. 客观标准应当

51、独立于所有各方的主观意志之外， 因而它不受 任何一方的感情影响。2.An objective criterion should be valid and realistic. 客观标准应当具有合法性并且切合实际。3. An objective criterion should be at least theoretically accepted by both sides.客观标准应当具有科学性和权威性。6利益分配法则Personal Interests VS Organizational InterestsPersonal interests:Interests of individuals

52、 who participate in negotiation.Organizational interests:Interests of collective bodies such as private or state-owned enterprises,institutions and other kinds of entities.If personal interests are in line with those of the organization that he represents in the negotiation: the realization of his p

53、ersonal value,position promotion,salary increase and more comfort in life etc.are closely related to and determined by his contribution to the organization. The negotiator will try his best to push for the most attractive deal for the organization.Personal Interests VS Organizational Interests & Nat

54、ional InterestsNational interests:The interests of the whole nation-the entire population of a country-not merely the interests of certain groups.Organizational interests and national interests should be in sync（ 同步，协调）and well coordinated.*when dealingwith issues involvingbilateral or multilateral

55、relations of countries,organizations have to get the support from the government because bilateral or multilateral relations of countries are so complicated that they are beyond organizations abilit ies and authorities to manage.*Byrequesting assistance from the government, organizations can still h

56、ave stronginfluence on governments d-mecaiskionng.* The government will give its full support forthe realization of the interests at both theorganizational and national level.Law of Two Level Game 双层游戏规则 (外交和国内政治：双层游戏规则) written by Robert D.PutnamLevel :Domestic interestsLevel :International interes

57、tsHow both domestic and international variables interact on each other and jointlyinfluence theresult of bilateral negotiations and thus reveals the law of two level game. 国际和国内两个层次的 利益变量是如何相互作用，共同影响两国之间的谈判结果的，也就是双层游戏规则。Two-level gameThe concept that in order to arrive at satisfactory international

58、agreements, a countrys diplomats actually have to deal with (at one level) the other countrys negotiators and (at the second level) legislators, interest groups, and other domestic forces at home.Case Study1.1)Yes,they did the right thing.principle.2) They followed the” national interests go before organizational interests2.1)Two parties were involved in th