第1章
The Art of Principled Negotiation: Finding Win-Win Solutions
In a world where conflicts are inevitable, imagine having a proven method to resolve disputes without damaging relationships or compromising your interests. "Getting to Yes," the groundbreaking work by Harvard Negotiation Project founders Roger Fisher and William Ury, has transformed how millions approach negotiation since its publication in 1981. This international bestseller, translated into 36 languages and endorsed by business leaders and diplomats alike, offers a revolutionary alternative to the traditional adversarial bargaining that leaves both parties dissatisfied. Whether you're negotiating a business deal, resolving a family dispute, or engaging in international diplomacy, the principles in this book provide a practical roadmap to finding mutually beneficial agreements.
第2章
Beyond Positional Bargaining: A Revolutionary Approach
Traditional negotiation often resembles a haggling match at a market. One person starts with an extreme position, the other counters with their own extreme stance, and both reluctantly make concessions until reaching a compromise or walking away. This positional bargaining creates several problems: it produces unwise agreements, it's inefficient, and it endangers ongoing relationships.
Fisher and Ury present an alternative they call "principled negotiation" or "negotiation on the merits." This approach focuses on basic interests, mutually satisfying options, and fair standards rather than haggling over positions. The method works whether the other party is more experienced, more powerful, or refuses to play by the same rules.
The authors developed this approach through their work at the Harvard Negotiation Project, where they studied thousands of negotiations across business, government, and international relations. They discovered that successful negotiators follow similar patterns regardless of culture or context. The resulting method has been applied to everything from family disputes to corporate mergers to peace negotiations.
Principled negotiation isn't about being "nice" or giving in. Rather, it's about being simultaneously hard on the problem and soft on the people. It allows you to obtain what you're entitled to while remaining principled. As the authors note, "The reason you negotiate is to produce something better than the results you could obtain without negotiating."
第3章
Separate the People from the Problem
Human beings are not computers. We have emotions, deeply held values, different backgrounds, and unpredictable reactions. These human factors can either derail a negotiation or become its greatest strength.
Consider what happened when Egyptian President Anwar Sadat flew to Jerusalem in 1977-a city no Egyptian leader had visited in a generation. His unexpected visit transformed Israeli public opinion overnight. Before his arrival, most Israelis regarded Sadat as an enemy; afterward, they saw him as a genuine partner for peace. By addressing the human relationship first, Sadat created the foundation for the Camp David Accords.
The authors identify three categories of "people problems" that complicate negotiations: perceptions, emotions, and communication. Our perceptions are selective and influenced by our beliefs. Emotions like fear, anger, and frustration can overwhelm rational thinking. Communication breaks down through poor listening, misunderstandings, and talking past each other.
To separate people from the problem:
1. Put yourself in their shoes. Ask "Why would a reasonable person take that position?" rather than assuming malicious intent.
2. Don't blame them for your problem. Instead of saying "Your price is too high," try "I have a problem with the price."
3. Involve them in the process. People support what they help create.
4. Make emotions explicit and acknowledge them as legitimate. Say "I notice you seem upset about this proposal. I'd like to understand why."
5. Allow them to vent. Sometimes people need to release emotions before they can focus on substance.
6. Use symbolic gestures that speak to the relationship. Small acts of consideration-like Sadat's visit-can transform the negotiation climate.
When Fisher worked with a couple going through a bitter divorce, he noticed they fought constantly about their furniture. By exploring their underlying interests, he discovered the husband wanted items that represented his family heritage, while the wife wanted enough furniture to maintain her lifestyle. Once they understood these different interests, they quickly divided the furniture in a way that satisfied both.
第4章
Focus on Interests, Not Positions
Imagine two people arguing in a library. One wants the window open, the other wants it closed. They bicker back and forth about how much to leave it open: a crack, halfway, three-quarters? No solution satisfies both.
Then the librarian asks why each wants what they want. One person wants fresh air. The other wants to avoid a draft. Once these interests are revealed, the solution becomes obvious: open a window in the next room, providing fresh air without a draft.
This simple story illustrates a fundamental principle: behind opposed positions lie shared and compatible interests. The most powerful interests are basic human needs for security, economic wellbeing, belonging, recognition, and control over one's life.
In the Camp David negotiations between Israel and Egypt, positions seemed irreconcilable. Israel insisted on keeping parts of the Sinai Peninsula it had captured in the 1967 war. Egypt demanded every inch of the Sinai back. The breakthrough came when negotiators identified Israel's underlying interest in security and Egypt's interest in sovereignty. The solution: return the Sinai to Egyptian sovereignty while demilitarizing large areas to address Israel's security concerns.
To uncover interests:
1. Ask "Why?" and "Why not?" questions. "Why do you want that?" "Why wouldn't our proposal work for you?"
2. Recognize that each side has multiple interests. Even in a seemingly simple salary negotiation, an employee might care about base pay, benefits, start date, responsibilities, and title.
3. Acknowledge their interests before presenting yours. "I understand you need to keep costs down. Let me explain our concerns..."
4. Be concrete but flexible. Express what you want precisely, but be open to different ways of achieving it.
5. Look forward, not back. Instead of arguing about who was right or wrong yesterday, focus on what you want to achieve tomorrow.
The authors tell the story of a tenant negotiating with a prospective landlord. Rather than simply arguing over the rent amount (positions), the tenant explained her interests: she loved the apartment but had limited funds, could pay a higher deposit, and would maintain the place impeccably. Understanding these interests, the landlord agreed to lower rent in exchange for a larger security deposit and maintenance responsibilities.
第5章
Invent Options for Mutual Gain
In most negotiations, people fall into the trap of believing there's a fixed pie to divide. This zero-sum thinking-where one person's gain is another's loss-severely limits the possibilities for agreement.
The authors describe four obstacles that inhibit creative problem-solving in negotiations:
1. Premature judgment. We criticize new ideas before fully exploring them.
2. Searching for the single answer. We assume there's only one "right" solution.
3. The assumption of a fixed pie. We see the situation as win-lose.
4. Thinking that "solving their problem is their problem." We focus only on our own concerns.
To overcome these obstacles and expand the pie:
1. Separate inventing from deciding. First generate options without criticism, then evaluate them later.
2. Broaden the options on the table. Instead of asking "Should we do A or B?" ask "How might we solve this problem?"
3. Look for mutual gain. Identify shared interests where both sides benefit from the same outcome.
4. Make their decision easy. Design solutions that address their constraints and appear legitimate to their constituencies.
The authors describe a labor negotiation where management and union representatives were deadlocked over wages. By exploring other interests, they discovered the union was concerned about members' financial security, while management worried about fixed costs. The solution: a modest wage increase coupled with a profit-sharing plan that would provide workers additional income when the company performed well without increasing fixed costs.
Another technique is to develop multiple options of approximately equal value to you, then ask which the other side prefers. This gives them a sense of choice and control while ensuring you'll be satisfied with any option they select.
Fisher and Ury suggest brainstorming with phrases like:
• "What if we tried..."
• "One possibility might be..."
• "Have you considered..."
• "Would it make sense to..."
This approach transformed a negotiation between environmentalists and a development company. Instead of fighting over whether a tract of land should be preserved or developed, they created a plan that concentrated development in less environmentally sensitive areas while preserving the most valuable habitats-a solution that satisfied both parties' core interests.
第6章
Insist on Using Objective Criteria
Even with goodwill on both sides, interests will sometimes conflict. When this happens, how do you resolve differences without resorting to a test of wills?
The answer lies in negotiating on the basis of objective criteria rather than pressure. This approach is both more legitimate and more practical than positional bargaining. It produces agreements that reflect fair standards instead of arbitrary will, and it reduces the relationship costs that come from hard bargaining.
Consider two children dividing a cake. The classic solution: one cuts, the other chooses. This works because it uses a fair procedure that both recognize as legitimate.
In more complex negotiations, parties can draw on:
1. Fair standards: market value, precedent, scientific judgment, professional standards, efficiency, costs, moral standards, equal treatment, tradition, or reciprocity.
2. Fair procedures: taking turns, drawing lots, letting someone else decide, or splitting the difference.
When purchasing a house, for example, you might refer to comparable sales prices, an independent appraisal, replacement cost, or the original purchase price plus improvements and inflation.
To negotiate with objective criteria:
1. Frame each issue as a joint search for objective criteria. "What's the principle that should guide us here?"
2. Reason and be open to reason about which standards apply. "How did you arrive at that figure?"
3. Never yield to pressure, only to principle. "I'm happy to reconsider if you can show me why that standard is more relevant."
The authors describe a boundary dispute between two neighbors. Instead of arguing over where the property line should be drawn (positions), they agreed to hire a neutral surveyor and abide by the results (objective criterion). This transformed a potentially relationship-damaging conflict into a joint problem-solving exercise.
When negotiating salary, an applicant might research industry standards, the company's typical compensation for similar roles, or the cost of living in the area. By framing the discussion around these objective factors rather than arbitrary demands, they create a more productive conversation.
第7章
What If They're More Powerful? Developing Your BATNA
What do you do when the other side has all the power? Perhaps they have more resources, better connections, or simply more attractive alternatives.
The authors argue that the most important source of negotiating power isn't position, resources, or authority-it's your Best Alternative To a Negotiated Agreement (BATNA). Your BATNA is what you'll do if you can't reach agreement. The better your BATNA, the greater your power.
Consider a job seeker negotiating salary. If they have another job offer paying $75,000, they won't accept less than that amount. Their BATNA gives them confidence and defines their bottom line. Without this alternative, they might feel pressured to accept whatever is offered.
To improve your negotiating position:
1. Identify your BATNA. What will you do if no agreement is reached?
2. Improve your BATNA. Can you develop other options before negotiating?
3. Consider the other side's BATNA. How attractive are their alternatives?
A homeowner negotiating with a contractor might research other companies, consider doing the work themselves, or explore prefabricated solutions. Each alternative strengthens their position.
Sometimes your best protection against a bad agreement is simply knowing you can walk away. As the authors note, "Developing your BATNA not only enables you to determine what is a minimally acceptable agreement, it will probably raise that minimum."
The authors tell the story of a small company negotiating with a larger supplier. By researching alternative suppliers and developing relationships with them before negotiations began, the small company strengthened its position considerably-even though its size and resources hadn't changed.
第8章
What If They Won't Play? Negotiation Jujitsu
Sometimes the other side refuses to engage in principled negotiation. They may make personal attacks, dig into their position, or mislead about facts. How do you respond without abandoning your principles or giving in?
The authors propose "negotiation jujitsu"-redirecting the other side's energy rather than resisting it directly. When they push, don't push back. Instead:
1. Don't attack their position; look behind it for interests and concerns.
2. Don't defend your ideas; invite criticism and advice. "What's wrong with my proposal? How would you improve it?"
3. Reframe attacks on you as attacks on the problem. "You think I'm being unreasonable. Let's look at the standards that should apply here."
4. Ask questions instead of making statements. "How did you arrive at that figure?" rather than "That's too expensive."
5. Use silence. When faced with an unreasonable proposal, simply wait.
The authors describe a tenant negotiating with a difficult landlord who refused to fix problems in the apartment. Instead of arguing, the tenant asked questions: "What standards do you think should apply to apartment maintenance?" "How would you feel living with these conditions?" These questions redirected the conversation toward objective standards rather than personal conflict.
Another technique is the "one-text procedure," where a neutral third party develops a single working document that evolves based on feedback from both sides. This approach was used successfully in the Camp David negotiations, with U.S. mediators drafting proposals that incorporated both Israeli and Egyptian concerns.
第9章
What If They Use Dirty Tricks? Taming the Hard Bargainer
Some negotiators deliberately use deceptive or manipulative tactics: starting with extreme positions, making phony facts or authorities, applying psychological pressure, or using various forms of pressure.
The authors suggest a three-step approach:
1. Recognize the tactic. You can't address what you don't notice.
2. Raise the issue explicitly. "I notice you've raised your price since our last conversation. Is there a reason for that?"
3. Question the tactic's legitimacy and desirability. "It seems like we're playing a game of making extreme demands and then slowly compromising. Is that really the most efficient way to reach agreement?"
Specific responses to common tactics include:
• For deliberate deception: Verify claims independently and build verification into agreements.
• For psychological warfare (uncomfortable seating, interruptions): Name the tactic and suggest a more comfortable venue.
• For pressure tactics ("take it or leave it"): Ignore the threat, redirect to the merits, or let them know your BATNA.
The authors describe a negotiation where one party kept claiming "company policy" prevented any flexibility. Rather than accepting this at face value, the other negotiator asked, "Who sets this policy? Can we speak with them?" This simple question revealed that the "policy" was more flexible than initially presented.
When facing a "good cop/bad cop" routine, you might say: "I notice that Joe seems to take a harder position while you're more reasonable. Are you two playing good cop/bad cop with me?" Simply naming the tactic often neutralizes it.
第10章
The Power of Principled Negotiation in Practice
The principles in "Getting to Yes" have been applied successfully in countless real-world situations, from international diplomacy to business deals to family disputes, demonstrating their universal applicability and effectiveness across different scales of negotiation.
The 1979 United Auto Workers negotiation with General Motors serves as a landmark example of principled negotiation at work. Rather than focusing solely on wage positions, the union explored GM's underlying interests and discovered the company was deeply concerned about competing with Japanese manufacturers. This led to an innovative agreement that linked worker compensation to company performance and quality improvements-addressing both the union's interest in fair compensation and GM's interest in competitiveness. The resulting contract included quality circles, worker participation in decision-making, and profit-sharing mechanisms that transformed the traditional adversarial relationship into a more collaborative one.
Small-scale negotiations equally benefit from these principles. The classic example of two sisters arguing over an orange illustrates how focusing on interests rather than positions can lead to optimal solutions. When they moved beyond the position of "I want the orange" to explore their actual interests, they discovered one wanted the peel for baking while the other wanted the fruit for juice. This allowed for a solution that gave both sisters 100% of what they wanted, rather than settling for a 50-50 split that would have left both partially unsatisfied.
In business contexts, the approach has proven particularly valuable in vendor negotiations. For instance, a software company negotiating with a supplier might initially focus on price, but by exploring interests, they might discover the supplier's concern about consistent order volume. This could lead to a volume-based pricing structure that benefits both parties. Similarly, in real estate transactions, buyers and sellers often move beyond the simple position of price to consider closing dates, repair responsibilities, and included furnishings, creating agreements that satisfy multiple interests.
The power of this approach lies in its versatility and practicality. Whether negotiating a multi-million dollar contract or deciding where to go for dinner, the same principles apply: separate people from the problem, focus on interests, generate options, and use objective criteria. International peace negotiations have employed these principles to break deadlocks by identifying shared interests in regional stability and economic growth. Even in personal relationships, couples use these techniques to resolve conflicts by focusing on underlying needs rather than surface-level demands.
The success of principled negotiation across such diverse scenarios stems from its focus on fundamental human psychology and problem-solving approaches. By providing a structured yet flexible framework, it enables negotiators to move beyond positional bargaining to create value-adding solutions that benefit all parties involved.
第11章
Becoming a Principled Negotiator
Mastering principled negotiation requires developing a fundamental mindset shift that views conflict as an opportunity for collaborative problem-solving rather than adversarial competition. This transformation begins with understanding that most negotiations aren't zero-sum games, but rather chances to create value for all parties involved.
The journey to becoming a principled negotiator involves deliberate practice and gradual skill development. The authors recommend starting with low-stakes situations, such as discussing weekend plans with family members or negotiating minor workplace matters with colleagues. These everyday scenarios provide safe opportunities to experiment with key principles without significant consequences.
During these practice sessions, focus on:
• Actively listening for underlying interests when others express positions
• Asking "why" questions to uncover deeper motivations
• Brainstorming multiple solutions before settling on one approach
• Looking for fair standards and precedents to resolve differences
• Managing emotions while maintaining a problem-solving orientation
Thorough preparation becomes crucial for more significant negotiations. This involves:
1. Analyzing interests systematically:
- Document your own core interests and priorities
- Research and anticipate the other party's likely interests
- Identify potential areas of overlap and conflict
2. Generating creative options:
- Brainstorm solutions without judgment
- Consider different ways to bundle or unbundle issues
- Think about how to expand available resources
3. Identifying objective criteria:
- Research market values and industry standards
- Gather relevant precedents
- Find independent expert opinions
4. Developing your BATNA (Best Alternative To a Negotiated Agreement):
- Explore multiple fallback options
- Strengthen your alternatives before negotiating
- Calculate your walk-away point
5. Considering relationship aspects:
- Assess the importance of long-term relationships
- Plan communication strategies that build trust
- Prepare ways to separate people from the problem
As these skills become ingrained through practice, they naturally extend beyond formal negotiations into daily interactions. Principled negotiators find themselves automatically:
• Focusing on interests rather than positions
• Generating creative solutions to problems
• Using objective standards to resolve differences
• Managing relationships while addressing issues
• Maintaining composure under pressure
The ultimate goal is to make principled negotiation your default approach to handling differences, leading to better outcomes and stronger relationships in both professional and personal contexts.
第12章
The Lasting Legacy of "Getting to Yes"
Four decades after its publication, "Getting to Yes" remains the definitive text on negotiation. Its principles have been incorporated into negotiation training for diplomats, executives, lawyers, and conflict resolution professionals worldwide.
The book's enduring relevance stems from its focus on fundamental human dynamics rather than manipulative tactics. By addressing the core challenges in any negotiation-the tension between substance and relationship, the difficulty of communicating effectively, the tendency toward positional thinking-Fisher and Ury created a framework that transcends cultural and contextual differences.
As conflicts become increasingly complex in our interconnected world, the ability to negotiate effectively becomes ever more valuable. Whether addressing international trade disputes, corporate mergers, or family disagreements, the principles of "Getting to Yes" offer a path toward agreements that satisfy interests, preserve relationships, and stand the test of time.
The authors conclude with a powerful insight: principled negotiation isn't just about getting what you want-it's about creating value that wouldn't exist otherwise. By focusing on interests, inventing options, and using objective criteria, negotiators can often discover solutions that leave both parties better off than they would have been without negotiating. In a world of limited resources and competing interests, this approach offers our best hope for resolving differences constructively and building a more cooperative future.
