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INTEREST-BASED APPROACH to Problem Solving & Decision-making CCSC Thursday, April 19, 2007

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Intro/Overview <ul><li>What is the Interest Based Approach (IBA)? </li></ul><ul><ul><li>Based on interests (rather than positions ) </li></ul></ul><ul><ul><li>Sometimes called “mutual gains” or “principled negotiation” </li></ul></ul><ul><li>Various contexts in which IBA is used </li></ul><ul><ul><li>Labor/management; env. conflict res; interpersonal; business contracts; international conflicts </li></ul></ul><ul><li>How is it different from traditional negotiation? </li></ul><ul><ul><li>Parties seek to “expand the pie” rather than divvy up a “fixed pie.” </li></ul></ul><ul><li>When to use / when not to use IBA </li></ul><ul><li>Importance of relationships (relate to NVC) </li></ul><ul><ul><li>Respect; autonomy; truthfulness; clarity; equity; trust </li></ul></ul>

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Learning Outcomes <ul><li>Five Key Points about IBA </li></ul><ul><li>The difference between positions ( what ) and interests ( why ) </li></ul><ul><li>Why it is useful to “unpack” them </li></ul><ul><li>Strategies for success of the IBA process </li></ul><ul><li>Interactive: Conference with a Professor </li></ul><ul><ul><li>Tell the truth in a way that strengthens the relationship; deal with other issues on their merits; develop solutions that meet interests. </li></ul></ul>

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How is IBA different from positional bargaining? <ul><li>FIVE KEY POINTS </li></ul><ul><li>PEOPLE: Separate the people from the problem </li></ul><ul><li>INTERESTS: Focus on interests, not positions </li></ul><ul><li>OPTIONS: Generate a variety of options before deciding what to do (including mix & match) </li></ul><ul><li>CRITERIA: </li></ul><ul><ul><li>objective standards </li></ul></ul><ul><ul><li>how well option meets separate & mutual interests </li></ul></ul><ul><li>CONSENSUS decision-making </li></ul>

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Point One Separate People from Problem <ul><li>Focus on issues – not personalities or “who did what when” </li></ul><ul><li>Describe – do not blame or characterize (NVC: observations) </li></ul><ul><li>Focus on the actual problem: CPR </li></ul><ul><li>Be mindful of physical positions </li></ul><ul><ul><li>Side by side </li></ul></ul><ul><ul><li>Not face to face or across the table </li></ul></ul>

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Point Two Focus on Interests not Positions <ul><li>Positions (what): solutions, strategies, demands </li></ul><ul><li>Interests (why): values, needs, motivations </li></ul><ul><li>Why do you think it might be important to “unpack” them? </li></ul><ul><ul><li>Positions represent limited “pie” </li></ul></ul><ul><ul><li>Interests offer possibility to expand the pie </li></ul></ul><ul><ul><li>Relationships improved </li></ul></ul><ul><ul><li>Agreements more easily implemented </li></ul></ul><ul><ul><li>Agreements last / not subject to challenge </li></ul></ul>

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More About Interests vs. Positions Feelings, emotions: hurt, anger, sadness; Needs: respect, consideration (NVC bridge) Things you say you will/ will not do: I won’t call you until you call me to apologize Aspirations, future hopes, standards: professional quality, aesthetics, meaningful contribution Terms & Conditions I will not submit this report until I think it is ready Needs, values, concerns: health, safety, on time to school, responsibility Demands: Clean up your room right now! Underlying motivations: organic, locally grown, good wine, open late, ambiance Things you say you want: I want to go to Avanti for dinner tonight! Interests (why) Positions (what)

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Story (choose one) <ul><ul><li>Queen of Orange-Landia </li></ul></ul><ul><ul><ul><li>Small kingdom: Queen and three subjects </li></ul></ul></ul><ul><ul><ul><li>One orange > divided three ways > 3 “equal” parts </li></ul></ul></ul><ul><ul><ul><li>No one happy! Why ? </li></ul></ul></ul><ul><ul><ul><li>Rind – juice – pithy center > each got only 1/3 of what they needed </li></ul></ul></ul><ul><ul><ul><li>TEACHING POINTS: </li></ul></ul></ul><ul><ul><ul><ul><li>Question assumptions re: “pie is limited” </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Seek to understand interests (ask “why”) </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Explore options (ACBD) </li></ul></ul></ul></ul><ul><ul><li>The Bakers and the Egg </li></ul></ul><ul><ul><ul><li>Two competitive bakers in same bakery: one egg remaining – “indivisible” </li></ul></ul></ul><ul><ul><ul><li>Broke – Oh no, my yellow cake / Oh no, my angel cake </li></ul></ul></ul><ul><ul><ul><li>Instead of two cakes > No cakes! </li></ul></ul></ul><ul><ul><ul><li>TEACHING POINTS : </li></ul></ul></ul><ul><ul><ul><ul><li>Lack of communication > did not buy more eggs </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Lack of trust > not “tip off” the competition </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Ineffective communication & lack of clarity on interests > inefficiency, loss of productivity, loss of opportunity </li></ul></ul></ul></ul>

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Interactive Exercise: Guess the Interests! Palestine: viable political state Israel: land & water No more settlements in the West Bank! International Mom/Dad: health Kids: fun! I want krispy kremes for dinner Family Buyer: Financial well being Seller: Financial well being I refuse to pay > 10 % commission Business Water District: water supply Fish advocates: sustainable fishery Put more water in this stream! Environment Employees: incentives Management: $ certainty We want bonuses of $1K each quarter Labor Interests Position Context

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Point Three: Generating Options <ul><li>Define/clarify the problem to be solved </li></ul><ul><li>Generate many possibilities </li></ul><ul><li>Record ALL ideas </li></ul><ul><li>No attribution / no evaluation </li></ul><ul><li>Remember: Options =/= commitment! </li></ul><ul><li>Be curious / be creative </li></ul><ul><ul><li>Mix & match; play “what if”; reverse; keep asking “why” </li></ul></ul><ul><li>Winnow the list </li></ul><ul><li>Build on promising “possibles” </li></ul>

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Point Four: Develop Objective Criteria <ul><li>Objective criteria = independent of the will of all sides </li></ul><ul><li>Examples: </li></ul><ul><ul><li>Do-able: money, resources, time </li></ul></ul><ul><ul><li>Politically viable , fits organization culture </li></ul></ul><ul><ul><li>Data: agreement on data & interpretation of… </li></ul></ul><ul><li>Meets separate and mutual interests </li></ul>

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Point Five Evaluation & Decision Making <ul><li>Be clear on what a good outcome looks like </li></ul><ul><ul><li>Increases opportunities / creates value </li></ul></ul><ul><ul><li>Better than your BATNA / others’ BATNA’s </li></ul></ul><ul><ul><li>Specifies commitments for implementation & monitor. </li></ul></ul><ul><li>Assess how well options meet criteria </li></ul><ul><li>Yield to principle, not to pressure </li></ul><ul><li>Use TRUE consensus to decide </li></ul><ul><ul><li>Everyone in the group supports or can live with a particular decision =/= unanimous or everyone happy </li></ul></ul><ul><li>Question: experience of the group w/consensus? </li></ul>

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Behaviors that Support Consensus <ul><li>Listen non-judgmentally </li></ul><ul><li>Check for understanding </li></ul><ul><li>Be open / authentic / honest </li></ul><ul><li>Allow enough time </li></ul><ul><li>Support / build on each other’s thoughts </li></ul><ul><li>Build a “golden bridge” (make it easy </li></ul>

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Strategies for Success: Key Review Points <ul><li>Separate the People from the Problem </li></ul><ul><li>Focus on Interests not Positions </li></ul><ul><li>Invent Creative Options for Mutual Gain </li></ul><ul><li>Use Objective Criteria </li></ul><ul><li>Use Consensus to decide </li></ul><ul><li>Engage Behaviors that Support Consensus </li></ul><ul><li>Two New Points: </li></ul><ul><ul><li>Get Buy in to use this Process </li></ul></ul><ul><ul><li>Get Agreement on Ground Rules </li></ul></ul>

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How is IBA different from positional bargaining or problem solving ? <ul><ul><li>(PROMPTS FOR DISCUSSION) </li></ul></ul><ul><ul><li>It builds relationships </li></ul></ul><ul><ul><li>It promotes creative solutions </li></ul></ul><ul><ul><li>It identifies ways to satisfy the interests of several parties with one solution </li></ul></ul><ul><ul><li>It focuses on “making the pie bigger” rather than dividing up the existing one </li></ul></ul><ul><ul><li>It builds collaborative solutions with strong buy-in among multiple stakeholders </li></ul></ul><ul><ul><li>It generates agreements that last </li></ul></ul>

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Mini-Negotiation: “Conference w/a Professor” (40 min) <ul><li>Read scenario to whole class / Q & A (5) </li></ul><ul><li>Clarify Context (2 people) and Challenge: Tell the truth in a way that strengthens the relationship and allows other issues to be dealt with on their merits (5) </li></ul><ul><li>Identify Process themes (5) </li></ul><ul><ul><li>Communication; separate people from problem; power imbalance; issue control; interpersonal skills. </li></ul></ul><ul><li>Set up in Groups of Four (5) </li></ul><ul><ul><li>2 negotiators; 2 coaches </li></ul></ul><ul><li>Prepare (5) </li></ul><ul><ul><li>read confidential instructions </li></ul></ul><ul><ul><li>Confer with coach </li></ul></ul><ul><li>Negotiate (10) </li></ul><ul><li>Debrief (5) </li></ul><ul><ul><li>Aha’s? Surprises? What worked well? Take-aways for other situations? AND what didn’t work well? Do different next time? </li></ul></ul>

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Readings & Resources <ul><li>Getting to Yes , Fisher & Ury </li></ul><ul><li>“ Getting to Yes ,” (A review of the book by Glaser, Conflict Research Consortium) </li></ul><ul><li>“ Inventing Options for Mutual Gain,” http://www.va.gov/adr/invent.html </li></ul><ul><li>Getting Past No , Ury </li></ul><ul><li>“ Interest-Based Aikido: Taming the Positional Tiger,” Neil Bodine </li></ul><ul><li>“ Find More Value at the Bargaining Table,” </li></ul><ul><ul><li>(Lawrence Susskind, Program on Negotiation at Harvard Law School) </li></ul></ul>