The negotiation process consists of four major components or stages: the establishment of ground rules, the selection and clarification of issues, problem solving to select viable options, and establishing a mutually beneficial agreement.
Establishing ground rules is comprised of three elements and sets the stage for the behavior and process that will follow:
- Make introductions; gain rapport.
- Clarify expectations on purpose, length, and process of the meeting.
- Reach agreement on the agenda.
Taking the time to establish ground rules and norms is often overlooked or seen as a waste of time. Negotiation is a communication process where relationship is as important as substance. To develop a relationship time is needed to build trust. Establishing ground rules is a preventive measure that provides a foundation and expectation that all parties can work from. It establishes a direction, helps parties to stay on track, and provides the means to prevent the escalation of conflict when it arises. Ground rules and norms should address how people will communicate how conflict will be resolved, how issues will be discussed, etc.
Having an agenda provides a plan for conducting the meeting. It is the primary means by which the participants learn and commit to the content, objectives, and process of the negotiation meeting. It is also the primary tool that helps the facilitator to keep the participants on track.
Once an issue is selected for negotiation, we must identify and clarify the underlying interests of each party. This is the point for each party to express their understanding. The facilitator may have to remind people to avoid judging or defending behavior. Information should be written down on an easel pad in full view of the participants. This act symbolically gets everyone on the same side of the problem. When everyone is satisfied that all interests have been expressed and all agree, an interest-based problem statement can be formed.
Once the problem statement has been formed participants can begin to generate options using brainstorming. The facilitator may have to remind people to avoid justifying their option and that criticizing others is not appropriate. The objective at this stage is to generate as many creative options as possible.
When the participants have exhausted the bank of ideas the facilitator can move the group to evaluation. During the evaluation the facilitator will use interest-based questions to get clarification on the meaning of each option. “What specifically do you mean by this?” “How does this option meet the interests of both parties?” “How would this be implemented?” The final test of an option is whether it meets the interests defined in the problem statement. If it does not, then it should be removed from the list, unless both parties agree that is should remain.
The remaining list of options provides a group of alternatives for the participants to select from or to combine to create other options. The list, when prioritized, can also form the basis of an action plan. At this point the participants are in the process of crafting an agreement. The objective criteria defined during preparation can be discussed at this time to analyze and finalize the agreement in a way that is fair to everyone.
