A Review of Beyond Winning

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WILLIAM GOLDMAN
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10/3/2011
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For Educational Use Only
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A REVIEW OF BEYOND WINNING, 6 Harv. Negotiation L. Rev. 319
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\u169\'3f 2011 Thomson Reuters. No claim to original U.S. Government Works.
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6 Harv. Negotiation L. Rev. 319
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Harvard Negotiation Law Review
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Spring 2001
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Book Review
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A REVIEW OF BEYOND WINNING
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BEYOND WINNING: NEGOTIATING TO CREATE VALUE IN DEALS AND DISPUTES. BY ROBERT H.
MNOOKIN, SCOTT R. PEPPET, ANDREW S. TULUMELLO. CAMBRIDGE, MA: HARVARD, 2000. PP.
354.
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Stephen B. Goldberg
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Copyright (c) 2001 Harvard Negotiation Law Review; Stephen B. Goldberg
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If you speed-read book reviews, your goal being to find out quickly whether the
book would be worth your time, you can stop at the end of this paragraph: Beyond
Winning should be read by every practicing lawyer who engages in negotiation (are
there any who do not?) and by every law student who wants to be a better
negotiator.
\par
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The basic message of Beyond Winning is that treating negotiations as an opportunity
for joint problem-solving will often permit both negotiators to do better than they
could by a more traditional \u8220\'3fhard bargaining\u8221\'3f approach--start
high, give ground grudgingly, threaten to walk out, etc. \u8220\'3f[T]he central
activity in problem-solving negotiation [is] the search for value-creating trades
that can make one or both parties better off . . . [W]hen we talk about creating
value, we typically mean reaching a deal that, when compared to other possible
negotiated outcomes, either makes both parties better off or makes one party better
off without making the other worse off.\u8221\'3f (p. 12, emphasis in original,
citation omitted).
\par
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This concept is not, as the authors recognize, novel. Much of the negotiation
literature discusses the \u8220\'3fintegrative\u8221\'3f or \u8220\'3fwin-
win\u8221\'3f possibilities present in negotiations.
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But the authors do offer a valuable new analysis of negotiation, redefining it in
terms of three tensions: one, between the desire for joint gain (enlarging the size
of the pie) and the desire for distributive gain (getting a bigger piece of the
pie); two, between empathy (demonstrating an understanding of the other
person\rquote s point of view) and asserting your own views, interests, and
concerns; and three, between principal and agent. (pp. 9-10). The third tension
exits whenever an agent (such as a lawyer) negotiates
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on behalf of another person and arises because agents have interests of their own,
which may conflict with the interests of the principal.
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No negotiator, according to the authors, can make these tensions disappear. The
best that a skilled negotiator can do is to manage them effectively, and this is
the subject of Chapters 1-3. Chapters 4-6 focus on opportunities for lawyers to
create value in negotiations and the barriers to doing so. Chapters 7-10 provide
advice to the lawyer-negotiator on managing the three tensions in dealings with the
client and opposing counsel. Finally, Chapters 11 and 12 deal with two topics that
can further complicate legal negotiations: problems of professional ethics, and
organizational and multi-party complexities.
\par
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The tension between the desire for joint gain and the desire for distributive
gain--characterized by David Lax and James Sebenius as the tension between value-
creating and value-claiming
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--exists because if negotiators share no information, it is difficult to create
value, but sharing increases the risk of exploitation by the other negotiator.
\par
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The classic example of two negotiators failing to create value because they did not
share information is the story of the two sisters and the one orange. One sister
wanted the orange to make juice; the other wanted the peel to flavor a cake.
Neither shared the reason for wanting the orange, so they cut it in half, each of
them throwing out what the other valued.
}
Since they did not share information, they lost the opportunity to create an
outcome that would have been better for both--all the juice to one, all the peel to
the other.
\par
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A slight twist on the same story, however, demonstrates the risks of sharing
information. If the first sister had said that she wanted the orange to make juice,
the other one could have replied that she did too, but that she would give up her
claim for a dollar. Then, after her sister paid the money, squeezed the orange, and
threw away the peel, the other sister could have retrieved the peel to flavor her
cake. The sister who shared information would have a mediocre deal (all the juice,
but at the cost of a dollar), the sister who did not share information would have a
great deal (all the peel, plus a dollar).
\par
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Chapter 1 (\u8220\'3fThe Tension between Creating and Distributing Value\u8221\'3f)
deals with techniques for creating value in a fashion that will be familiar to
those who know the negotiation literature:
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3
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\u8226\'3f Identify the issues and think about interests--yours and theirs
\par
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\u8226\'3f Generate value-creating opportunities
\par
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\u8226\'3f Know your BATNA and improve it if possible
\par
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\u8226\'3f Establish an ambitious but realistic aspiration level
\par
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I have but one criticism of the authors\rquote advice on the means by which value-
creating opportunities may be generated. They invoke the concept of brainstorming,
in which ideas are presented by the two negotiators, subject to the ground rules
that there is to be no evaluation of the ideas presented until the brainstorming
session is complete, and that there is to be no ownership of ideas.
\u8220\'3f[T]hose at the table should be free to suggest ideas that are not in
their best interests, purely to stimulate discussion, without fear that others at
the table will later take those ideas as offers.\u8221\'3f (p. 38, emphasis in
orginal). The idea behind the \u8220\'3fno ownership\u8221\'3f rule is to free the
parties from partisan constraints on their creativity.
\par
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My criticism--which may be less a criticism than a limitation on the value of
brainstorming--is that, in my practice as a mediator, I have never found parties
willing to engage in brainstorming, at least not joint brainstorming, when they are
at impasse in a high-stakes, high-tension situation. At that point, there is not
enough trust for the parties to believe that, regardless of the ground rules, their
ideas will not later be thrown back at them as offers. There does, however, appear
to be a solution to this problem. The Federal Mediation and Conciliation Service
has developed software that enables two opposing teams of negotiators to sit in the
same room, each person with a computer, and to type ideas that appear on a common
screen in the front of the room, without attribution.
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This technological solution may permit genuine brainstorming to take place even in
the most tension-filled negotiations.
\par
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The most important advice in Chapter 1 is to treat distributive issues--how the pie
is to be divided--as a shared problem. \u8220\'3fSome negotiators act as if
problem-solving had to be tossed overboard when the going gets tough. We could not
disagree more. In our experience, it\rquote s when distributive issues are at the
forefront that problem-solving skills are most desperately needed.\u8221\'3f (p.
40). By this, the authors mean that distributive issues should be treated as a
shared problem. Both sides know that distributive issues exist. They should discuss
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*322
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those issues, and present their positions on each in a way that respects each
other\rquote s interests, as well as market norms. (Here, as throughout Beyond
Winning, the authors illustrate their point nicely with numerous examples (pp. 40-
42)).
\par
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The authors recognize that following their advice will not always resolve
distributive issues. \u8220\'3fSometimes, of course, you won\rquote t be able to
find a solution that satisfies both sides. No matter how hard you try, you will
continue to disagree about [such items as] salary, the amount to be paid in a
bonus, or some aspect of a dispute settlement . . . . What should you do?\u8221\'3f
(p. 42). The authors\rquote advice is to think about process. \u8220\'3f[Y]ou can
often come up with simple process solutions that will resolve a distributive
deadlock and allow you to move forward.\u8221\'3f (p. 42).
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ERNAC_1}{\*\bkmkend co_g_ID0ERNAC_1}
In the context of dispute resolution negotiation, this is sound advice. In the
deal-making context, however, parties at impasse will rarely call in a mediator,
utilize an arbitrator, or agree to any other process solution. While the authors do
not explicitly suggest otherwise, I would have preferred them to be clearer in
limiting their advice to dispute resolution negotiations. By failing to do so, they
may raise false expectations about the ease with which distributive deadlocks can
be resolved in deal-making negotiation.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EGOAC_1}{\*\bkmkend co_g_ID0EGOAC_1}
On the other hand, when, in Chapter 8 (\u8220\'3fAcross the Table\u8221\'3f), the
authors move on from the issue of value-creation to the tension between value-
creation and the risk of leaving oneself open to exploitation by a value-claimer,
their advice is both creative and practical. In brief, they suggest that the
lawyer-negotiator who wants to engage in problem-solving should make it clear right
from the start that this is his intention. \u8220\'3fThe opening moments of a
negotiation can be crucial. In a matter of minutes, lawyers can poison the
atmosphere or set the stage for collaboration.\u8221\'3f (p. 207, citation
omitted). The key is to negotiate a problem-solving process, not to impose one; to
build in a productive process for discussing legal issues; and to continue to
discuss process as necessary throughout the negotiation.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EKPAC_1}{\*\bkmkend co_g_ID0EKPAC_1}
The authors recognize, however, that try as you may to establish a problem-solving
negotiation, some negotiators will not respond. \u8220\'3f[They] will demonstrate
by their actions (as well as their words) that they see legal negotiation as a form
of combat, that they prefer warfare to diplomacy.\u8221\'3f (p. 211). In light of
that fact, the authors provide useful advice to the negotiator who would like to
engage in constructive, problem-solving negotiations, but who fears that such an
approach will be exploited by a hard-bargainer on the other side of the table (pp.
216-221):
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
}
{\i1 \fs20 \cf20 \f2 \b1
*323
}
}
\u8226\'3f Recognize hard-bargaining tactics, such as the commitment tactic
(\u8220\'3fMy client will not accept less than 5%, there\rquote s nothing I can do
about it.\u8221\'3f).
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EGBAE_1}{\*\bkmkend co_g_ID0EGBAE_1}
\u8226\'3f Deal with those tactics in a way that protects your client\rquote s
interests while continuing to try to convert the other side to a more collaborative
approach. For example, suggest to the lawyer who claims that her client has tied
her hands that you could make the same claim for your client, and the negotiation
would go nowhere. Suggest that you both try a different approach.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EYBAE_1}{\*\bkmkend co_g_ID0EYBAE_1}
\u8226\'3f Change the negotiators.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EECAE_1}{\*\bkmkend co_g_ID0EECAE_1}
\u8226\'3f Play their game, but better. \u8220\'3fThe key here is to make a
deliberate choice: don\rquote t just respond reactively to their approach by
fighting fire with fire.\u8221\'3f (p. 220).
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E6CAE_1}{\*\bkmkend co_g_ID0E6CAE_1}
Chapter 9 (\u8220\'3fAdvice for Resolving Disputes\u8221\'3f) is as valuable as
Chapter 8. In it, the authors describe the two different frameworks that can be
used in dispute resolution negotiation. Initially, the parties can seek to value
the litigation alternative as a means of arriving at a settlement. The key to
creating value when pursuing this approach is to minimize transaction costs through
pursuing early settlement, designing creative processes (such as substituting an
agreed-upon information-exchange process for formal discovery), and using decision
analysis, either separately or by constructing a joint decision tree.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EUDAE_1}{\*\bkmkend co_g_ID0EUDAE_1}
The more significant opportunities for value-creation in dispute resolution come
through what the authors call \u8220\'3fnegotiating at the interest-based
table.\u8221\'3f (p. 240). As they say, \u8220\'3fIn some disputes you can look for
value-creating trades that are based on the parties\rquote interests, resources,
and priorities. These trades may have little if anything to do with the
parties\rquote formal legal dispute. And the settlement may be of a sort that a
court could never consider imposing.\u8221\'3f (p. 226).
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EYEAE_1}{\*\bkmkend co_g_ID0EYEAE_1}
What the authors are talking about here is resolving a dispute by entering into an
agreement to do business in the future. This is not an easy sell in the midst of a
heated dispute. Parties who are embroiled in litigation because a prior deal has
gone bad, with each accusing the other of being at fault, are understandably
reluctant to discuss a settlement that will require them to deal with each other in
the future. Additionally, each party may fear that a willingness to discuss future
business will be taken as a sign of weakness, or that such discussions may lead it
to disclose information that will weaken its settlement position. Once these fears
are calmed, through assurances that the more traditional settlement talks will not
be affected by the entirely separate interest-based talks, resolutions can often be
}
{\i1 \fs20 \cf20 \f2 \b1
*324
}
}
reached that benefit each party significantly more than could settling the dispute
on the basis of one party paying the other a certain sum. The authors point to the
settlement of a patent infringement suit brought by Digital Equipment Corporation
against Intel (pp. 243-47), and I could cite similar examples from my own mediation
practice, including \u8220\'3fProsando v. High Tech\u8221\'3f.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F5284591027_ID0EVFA}{\*\bkmkend
co_footnoteReference_F5284591027_ID0EVFA}
5
}}}
}
Indeed, every time that I mediate a breach of contract case, I begin with the
assumption that at one time the two parties saw joint gains in dealing with each
other, and that once tempers have cooled, they may do so again.Chapter 11
(\u8220\'3fProfessional and Ethical Dilemmas\u8221\'3f) provides a straightforward
approach to common ethical questions and the variety of vantage points from which
those questions may be considered (the law of fraud, the Model Rules of
Professional Conduct, reputational concerns, and individual moral standards).
Chapter 12 (\u8220\'3fOrganizations and Multiple Parties\u8221\'3f) is a useful
introduction to the complexities introduced by the existence of multiple parties to
a deal or dispute, and by the fact that in addition to the principal-agent
relationship that exists between the client and the attorney, each may also stand
in an agency relationship with another principal, the attorney with her firm, the
client with his corporation.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EBGAE_1}{\*\bkmkend co_g_ID0EBGAE_1}
The tension between principal and agent, one of the three tensions inherent in
negotiation, is dealt with primarily in Chapter 3. The central challenge in the
agency relationship, the authors state, is to manage the tension so as to capture
the maximum benefits while minimizing the costs and risks. Their sound advice is
(p. 87):
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
\u8226\'3f Acknowledge the principal-agent tension and treat it as a shared
problem.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EDHAE_1}{\*\bkmkend co_g_ID0EDHAE_1}
\u8226\'3f Look for arrangements tailored to fit the client\rquote s particular
concerns. (If the client wants to be certain that an issue is thoroughly
researched, an hourly fee would be wise; if the client is concerned about over-
researching an issue, a fixed fee may be better.)
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ESHAE_1}{\*\bkmkend co_g_ID0ESHAE_1}
\u8226\'3f Don\rquote t be constrained by received wisdom about who should be at
the table. Think through that question based on the competence of both principal
and agent.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EBIAE_1}{\*\bkmkend co_g_ID0EBIAE_1}
Another good suggestion in Chapter 3 is to think about principal-agent issues on
the other side of the table.
}
In part, this is as simple as not being fooled by such ploys as good cop-bad cop
tactics. More
}
{\i1 \fs20 \cf20 \f2 \b1
*325
}
}
interesting is the authors\rquote advice to think about the interests of the
agents on the other side of the table. (p. 90). Can you structure your proposals to
satisfy the agent\rquote s interests, so that the agent will enter into an
agreement favorable to you? Doing so can range from the unlawful expedient of
offering a bribe (the ultimate way to exploit the financial tension between
principal and agent) to the more defensible approach of structuring a deal so that
it serves the interests of the agent, while not diminishing its value to the
principal. In a recent union-management contract negotiation dispute that I
mediated, management agreed to let the union president take credit for having
proposed an idea that in fact originated with management. In doing so, they
satisfied the president\rquote s interest in preserving his reputation as a shrewd
negotiator, while at the same time getting an agreement that benefited both the
union members (the principals) and management.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EHJAE_1}{\*\bkmkend co_g_ID0EHJAE_1}
The last of the three tensions that the authors claim to be present in all
negotiations is that between empathy (demonstrating an understanding of the other
side\rquote s needs, interests, and perspective) and assertiveness (advocating
one\rquote s own needs, interests, and perspective). The authors make the point in
Chapter 2 that the good negotiator can manage this tension by doing both, and offer
suggestions for doing so. (Be curious about the other side. (p. 58). Don\rquote t
agree if you disagree. (p. 65). Check the other side\rquote s understanding of your
story. (p. 67)).
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EIKAE_1}{\*\bkmkend co_g_ID0EIKAE_1}
No doubt this is good advice, and many negotiators will profit by it, but I found
this chapter intellectually less satisfying than those dealing with the tensions
between value-creating and value-claiming and between the principal and agent. The
tension between empathy and assertiveness exists only in the mind of the less
skilled negotiator, who thinks that one cannot demonstrate both characteristics,
but must choose between one or the other. It is important to point out that one can
do both, and to provide advice on how to do so, but once that advice is taken, the
tension disappears. On the other hand, the tension between value-creating and
value-claiming, and between the interests of principal and agent exist independent
of the negotiator\rquote s skill. Thus, I was more interested in the authors\rquote
efforts to deal with managing the latter two tensions than in their comments on the
empathy-assertion tension.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EALAE_1}{\*\bkmkend co_g_ID0EALAE_1}
In sum, however, that is just a quibble about a substantial book that tackles many
difficult issues. Both the would-be negotiator and the would-be-better negotiator
will be wiser about theory and better in practice for having taken the time to read
Beyond Winning.
\par
}
}
}
}
}{
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Footnotes
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}
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Professor of Law, Northwestern University Law School. Professor Goldberg serves
frequently as a mediator of labor and commercial disputes.
\par
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}
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\intbl
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1
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Roger Fisher et al., Getting to Yes: Negotiating Agreements without Giving In
(2d ed. 1991); see also other works cited in Mnookin et al., Beyond Winning 325
n.1.
\par
}
}
}
\intbl
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See David A. Lax & James K. Sebenius, The Manager as Negotiator: Bargaining for
Cooperation and Competitive Gain 29-45 (1986).
\par
}
}
}
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See supra note 1.
\par
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
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See Federal Mediation and Conciliation Service, Technology Assisted Group Solutions
(TAGS System), at http://tags.fmcs.gov (last visited March 22, 2001).
\par
}
}
}
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See Stephen B. Goldberg et al., Dispute Resolution:Negotiation, Mediation, and
Other Processes 223 (3d ed. 1999); see also Videotape: Mediation in Action:
Resolving a Complex Business Dispute (CPR Institute for Dispute Resolution 1994).
\par
}
}
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End of Document
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\u169\'3f 2011 Thomson Reuters. No claim to original U.S. Government Works.
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}\sect }

A Review of Beyond Winning

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