麻省理工学院“开放式课程网页” | 史隆管理学院 | 15.667 2001春季课程：谈判与冲突管理

课

课程单元

阅读资料

课程简介及概论.
Introduction and Course Overview

时间允许的话，请尽可能的阅读《谈判要素》这本书─至少读完第一、二、三、四章，也就是本书的概论部分。如果你已读过本书的话，请再读一遍，因为本书最近改版过了。如果你将这几章都念过的话，本课程才能引导你更深入了解谈判学。别忘下周须缴交许多作业.

If you have time, read as much of Essentials of Negotiation as you can – at least read Chapters 1, 2, 3 and 4 which introduce the book. If you have read the book before, this edition has been revised, so – please read it again. 15.667 will make more sense if you have read these chapters – and there is a lot of writing due the following week.

了解个人谈判风格
What Kind of Negotiator am I?

阅读：《职场中解决冲突的选项与选择》，由Rowe, Mary所著。《谈判双赢策略》，Lavinia Hall编，Sage 出版公司，1993年，105-119页，最后的练习部分是你的第一个自我评量。《谈判要素》的前四章请务必念完。

Read: Rowe, Mary. Options and Choice for Conflict Resolution in the Workplace. In Negotiation: Strategies for Mutual Gain. Edited by Lavinia Hall. Sage Publications, Inc., 1993, pp. 105-119. The Exercise self-assessment is at the end. Be sure you have read the first four chapters of Essentials of Negotiation.

本周个案 : Stratego Aero I

Case this week: Stratego Aero I.

分配性及混合动机谈判
Distributive and Mixed Motive Bargaining

阅读：《谈判要素》第7章－〈谈判中的道德议题〉。今日课程重点在于道德议题，同时探讨谈判中的零和问题，亦即胜者全拿。请务必阅读第三章，我们将讨论分配型谈判之本质。

Read: Chapter 7, Ethics in Negotiation, in Essentials of Negotiations. In today's class we are concerned with ethics, and with classic, zero-sum negotiating problems – the gain of one is the loss of the other. Chapter 3 – be sure you have read it – discussed the nature of distributive bargaining.

个案：请准备好在〈泰瑞及侨瑟芬〉个案中所扮演的角色，建议与扮演相同角色的同员一同练习。

Case: Prepare your role in the Terry and Josephine case. If you can, prepare together with anyone who is playing the same role as you.

文章摘自：Cutcher-Gershenfeld, Joel, Robert McKersie与Richard Walton合着，《基础变革的谈判策略》August 1996，讨论由外在压力或是内在培养组织的变革

Passages from: Cutcher-Gershenfeld, Joel, Robert McKersie, and Richard Walton, Strategies for Negotiating Fundamental Change, August 1996 regarding forcing and fostering organizational change.

整合性及混合动机谈判
Integrative and Mixed Motive Bargaining

本周有许多阅读、作业及个案准备，但无须缴交作业.

This week there is a lot of reading, writing and case preparation but nothing to hand in.

阅读：本周进度已至《谈判要素》第四章，请继续阅读第五章—沟通及第六章─影响力及杠杆运作；请阅读Fisher与Ury《永不让步的谈判》在课堂笔记中第5~14页及101~111页；也请阅读课堂笔记中一段关于如何逐步改善绩效的简短导引。本周的阅读都在告诉我们如何在谈判中探寻双赢、混合式的解决方案及沟通的背景，如果你必须面临开除员工的情况，这些阅读也提供你该如何在谈判中沟通，并提出一个混合动机的草案。 (解雇其实并不该是个“全赢或大败”的结果)

Read: Essentials of Negotiations – you should have read through chapter 4 – read chapter 5 on communications, and chapter 6 on power and leverage; Fisher & Ury, Getting To Yes, pp. 5-14 and 101-111 in the Class Notes; and the short guidelines in the Class Notes on progressive discipline for unsatisfactory performance. These readings explore the possibilities of win-win and mixed motive solutions, give background on communications in negotiation and lay out a mixed motive protocol if you have to fire someone. (Letting someone go usually should not be "win-lose").

选读—谈判影响力：请阅读Orson Scott Card所著之科幻小说《战争游戏》，Tor出版，1977，本书曾获Hugo 及 Nebula 奖。如果有空阅读这本书的话，请在每周心得中以我们所学的谈判理论来分析故事内容。包括书中主要人所使用的影响力来源为何? 在现实生活中，年轻人有那些影响力的来源?对于被资深人员所掌控的年轻人又有那些影响力的来源呢?这些影响力的来源你有办法获得吗?它们对你有吸引力吗?

<译注>在网页原文中的Enders Game, 经Amazon查询后其书名应为Ender’s Game。Ender’s Game中译为《战争游戏》，或译《致命儿戏》，在国家图书馆数据库中是由咏星艺能出版：星定石文化发行，许文达译，ISBN 986-7261-01-1

Optional Reading Assignment about Power: Read Orson Scott Card's, Enders Game, Tor, 1977, science fiction, Hugo & Nebula awards. If you are able to read Enders Game, please consider analyzing the story briefly in your journal in terms of negotiations theory. What sources of power are used by the major actors? In real life, what sources of power are available to someone who is young, and to someone who appears to be otherwise much under the control of senior people? Are these sources of power available to you? Attractive to you?

这些情况之下是否还有其他的策略可以选择?如今在世界各地有三十多个武装冲突正在发生，而战争游戏中的策略对于这些武装冲突是必然的吗?以你的道德标准来看，使用武力是合乎道德的吗?

Under the circumstances, was there any alternative strategy available? There are about three dozen very serious armed conflicts underway in the world today. Is the Enders Game strategy inevitable? Is the use of force ethical, according to the ethical standards you hold for yourself?

个案：请在课前准备好在〈律师、顾问、法官与倡导者〉及〈年度检讨〉两个案中所扮演的角色，并请与扮演相同角色的学员一同准备

Cases: Prepare your role in Barrister, Counselor, Solicitor and Avocat, and your role in The Yearly Review. Please prepare together with anyone who is playing the same role as you.

竞争与合作谈判风格及性别或文化在谈判上的差异
Competitive and Cooperative Styles and Do Gender or Culture Make a Difference?

本周依旧有许多的阅读教材，但都是跟有力的谈判有关。建议依照顺序阅读，如果已经快要无法负荷的话，建议提前开始阅读下周的跨文化阅读教材

This week there is yet more reading but at least it is about effectiveness. You might want to read the assignments in order, and read the cross-cultural articles next week if you get bogged down.

阅读 : Williams, Gerald着，《法律谈判与协议》，West出版，1983，第1-69页

Read: Williams, Gerald. Legal Negotiation and Settlement, West, 1983, pp. 1-69;

以及 Menkel-Meadow, Carrie着，〈谈判与性别之教学：性、真相、录影带〉，《谈判学期刊》，2000年10月.

and Menkel-Meadow, Carrie. Teaching about Gender and Negotiation: Sex, Truths, and Videotape, Negotiation Journal, October 2000.

若有机会与不同文化的人进行谈判的话，则不妨阅读两篇《史隆管理评论》中的文章，讨论〈如何跟“罗马人”谈判〉，文由Stephen E. Weiss 所著，发表在《史隆管理评论》，1994年，冬，第35卷第二号，第51-61页;

If you will be negotiating with people outside your own culture, please also read the two Sloan Management Review articles on Negotiating with 'Romans' by Stephen E. Weiss, Winter 1994, Vol. 35, No. 2, pp. 51-61;

以及《谈判要素》第八章—全球谈判

and Essentials of Negotiations, chapter 8 on global negotiation.

如果你对性别议题感到兴趣的话，不妨阅读Deborah Kolb的新书—《影子谈判：女性如何于决定谈判成功之隐藏议程中胜出》，Simon & Schuster出版，2000.

If you are especially interested in gender questions, read Deborah Kolb's new book Shadow Negotiations: How Women Can Master the Hidden Agendas That Determine Bargaining Success, Simon & Schuster, 2000.

许多学生都对Gerald Williams所著的一本经典感到兴趣，此书是有关于每一种谈判策略的效果，Williams相信“谈判者的成败并非取决于其所采行的策略(像是合作性或是竞争性），而是他在所采行的策略中执行的程度。”─文章节录自Williams, Gerald所著的《法律谈判及协议》，West出版社，1983年出版.

Almost all students are interested in Gerald Williams' classic book on effectiveness in each strategy. Williams believes: "A negotiator's effectiveness is not determined by the pattern he or she follows, (i.e. cooperative vs. competitive) but rather by what he or she does with that pattern." – passage from Williams, Gerald. Legal Negotiation and Settlement, West, 1983.

个案 : 《税务手册》，Gerald Williams教授着，杨百翰大学. (二对二谈判)

Case: Tax Books by Prof. Gerald Williams, Brigham Young University. (negotiated two on two)

结盟谈判
Negotiating in Context

阅读：请务必将《谈判要素》过去两周的阅读进度跟上。也请阅读课堂笔记中丹尼尔．高曼的《情绪智商》第35~45页及第148~163页。本书提供许多案例证明成功的管理主要依靠许多社交及与人互动的技巧。请回想你现在的谈判策略如何助你准备谈判并将零和竞赛转变成双赢策略。

Read: If you did not get to the other chapters of Essentials of Negotiations in the last two weeks, try to read them now please. Also read Goleman, Emotional Intelligence, pp. 35-45 and pp. 148-163, found in the Class Notes. This book reviews a lot of evidence that managerial success depends primarily on social skills. Please be thinking in all your current negotiations, about the importance of your having a strategy, on the importance of preparing for current negotiations and on converting win-lose to win-win.

个案：Telemachus科技公司及结盟游戏: Susskind, Lawrence着。《三方结盟练习》可在哈佛大学法学院过期书库中的谈判学课程类取得

Cases: Telemachus Technology and Coalition Game: Susskind, Lawrence. Three-Party Coalition Exercise. Available from the Program on Negotiation at Harvard Law School Clearinghouse.

放假
Holiday Week

选读 :先前建议过各位阅读的《战争游戏》，与／或另一本 Joan Slonczewski 的科幻小说《通往大海之门》，Avon出版社，1986年出版;本书深入地呈现与《战争游戏》武装冲突的权力来源中不同的观点。如同《战争游戏》，这本书可能会让你对世界各地的冲突感到兴趣。如果你念了其中一本或是两本都念了，请依第四堂课所提出的问题写出你对于《战争游戏》的想法

Optional Reading: Enders Game, as suggested earlier and/or Joan Slonczewski's A Door Into Ocean, Avon, 1986, science fiction, which presents a profoundly different view – from Enders Game – of sources of power in dealing with armed conflict. As with Enders Game, this book may interest you especially in the light of hostilities in many parts of the world. If you do read either or both books, please consider writing in your journal your responses to the questions I asked for Session 4, with respect to Enders Game.

冲突的源起─避免争端─由争辨的双方来作冲突管理
Origins of Conflict – Dispute Prevention – Delegating Conflict Management to the Disputant

阅读 : Felstiner, William L. F., Richard L. Abel, 及 Austin Sarat着。〈争端的浮现及变化：命名、归咎、主张……〉，《法律与社会评论》第15卷，3-4号，1980-81年，第631-654页;

Read: Felstiner, William L. F., Richard L. Abel, and Austin Sarat. The Emergence and Transformation of Disputes: Naming, Blaming, Claiming.... Law and Society Review 15, no. 3-4, 1980-81, pp. 631-654;

以及 Rowe, Mary着，〈帮助人们帮助自己：抱怨处理者的新选择〉《谈判学期刊》6，no. 3，1990年7月，第239-248页

and Rowe, Mary. Helping People Help Themselves: An Option for Complaint Handlers. Negotiation Journal 6, no. 3, July 1990, pp. 239-248.

本周的阅读在探讨冲突如何发生及扩大的，也讲探讨如何将冲突控制在最低的程度。Rowe 的论文对于第二篇认知伤害经验(PIE)的小论文是非常重要的。往常过半的学员都不喜欢Felstiner、Abel 及Sarat合着的这篇文章。如果你也是那过半成员的话，可以跳过。但这是一篇经典，如果你对处理家庭或职场上的冲突有兴趣，或是涉身于严重冲突中的话，本文对你必有所助益。

These readings discuss how conflicts begin and develop and how they can be handled at the lowest possible level. The Rowe paper is essential for the second Perceived Injurious Experience (PIE) Little Paper. NB: usually half the class hates the Felstiner, Abel & Sarat article. If you are in that half, please skim it anyway? It is a well-known classic and the article may grow on you if you become interested in dispute prevention at home or at work or if you find yourself dealing with difficult conflicts.

至于各位在未来都会成为管理者，且都会面临下属不同的抱怨及申诉。因此建议各位流览“麻省理工侵扰处理手册”，本手册就职场上的各种申诉情境提供了系统化的处理方式。特别建议阅读第三章─〈快速索引〉

If as a manager you will be handling personnel complaints of any kind, skim the MIT Guide to Dealing with Harassment which describes a systems approach to complaint-handling with respect to one broad class of workplace issues. See especially the "Quick Guide," chapter 3.

员工的争端化解与抱怨申诉处理制度
Your Employer's Dispute Resolution and Complaint Handling System

阅读：节录自Cavanagh, Thomas D所著《商业纠纷的化解：系统设计及个案管理的最佳实务练习》South-Western College Pub出版，1999年出版

Read: The excerpt from Cavanagh, Thomas D. Business Dispute Resolution: Best Practices in System Design and Case Management. South-Western College Pub, 1999;

及Rowe, Mary与Corinne Bendersky合着〈职场正义、零容忍与零障碍：鼓励人们在冲突管理系统中勇往直前〉，刊于《从职场到社会之谈判与变化》Thomas Kochan and Richard Locke合编，康乃尔大学出版社，2002年出版.

and Rowe, Mary, and Corinne Bendersky. Workplace Justice, Zero Tolerance and Zero Barriers: Getting People to Come Forward in Conflict Management Systems, in Negotiations and Change, from the Workplace to Society, edited by Thomas Kochan and Richard Locke, Cornell University Press, 2002.

仍未阅读“麻省理工侵扰处理手册”者, 请至少浏览第三章以参与今日的课程。当今企业界的最佳实务使企业主了解在处理冲突时不应只是提供解决办法，而是应该建立整合性的冲突化解制度。(你服务过的单位有这样的制度吗?)如果你之后工作的单位对犯法者采取零容忍政策，Rowe的文章将告诉你除非这样的政策与整合性的系统结合，否则将会问题重重。

If you did not have a chance to read the MIT Guide to Dealing with Harassment, consider skimming at least chapter 3 for today. Contemporary best practice suggests that employers should not only offer conflict resolution options, but build integrated dispute resolution systems. (Was there an integrated system at the place you worked before?) If you will be working in an arena where there are "zero tolerance" policies for illegal behavior, the Rowe article discusses one reason why zero tolerance policies are problematic unless embedded in an integrated system.

放假
Holiday Week

选读作业：请租电影《马丹．盖赫返乡记》来观赏。看完后，你认为在片中谁可以相信?你能分辨谁在说谎吗?如果可以的话，身为管理者的你要如何处理?如果不行的话，你该如何处置这样的情况?

<译注> The Return of Martin Guerre 中译《马丹盖赫返乡记》或是《军士返乡记》，是由史学家史家戴维斯(Natalie Zemon Davis)所著，由哈佛大学大学于1984年出版, ISBN: 0674766911

Optional Assignment: Rent the video The Return of Martin Guerre. The question is, whom can you believe? Is it possible to tell if someone is lying? If so – how will you do it as a manager? If not – how will you manage?

妥协与调停
Conciliation and Mediation

阅读：Moore所著的《调解工作如何运作》(第二章)，第41-77页，《设计一个调解计划》(第六章)及《建立信任和合作》(第七章)，第141-192页。未购买本书者可在图书馆取得。本周的阅读呈现了策略、战术、非裁定程序与第三方介入的具体要项。在下次的练习中各位将扮演第三者的调解角色。各位在未来可能都会有部属，也可能要管理人，很可能要帮你的上司或下属作正式或非正式的调解。你也很有可能要代表上司进行调解, 特别是现在很多公司在处理职场或合约上的纠纷或多或少采行由内部或外部的机制来进行调解。所以，尽可能的多读这本书。

Read: Moore, How Mediation Works (Chapter 2), pp. 41-77, and Designing a Plan for Mediation (Chapter 6) and Building Trust and Cooperation (Chapter 7), pp. 141-192. If you did not buy this text, you may find copies on Reserve. These readings lay out elements of strategy, tactics, and process for non-adjudicatory, third party intervention. In your next job you will almost certainly have to function as a third party intermediary. You may also be helping colleagues and bosses, and you may be supervising subordinates, as they mediate informally or formally. You are also very likely to be engaged in mediation on behalf of your employer, since so many companies are now switching over to using internal and external mediation in at least some employment and contract disputes. So – read as much of this book as you can.

如果你对本书不感兴趣的话，你会觉得这本书很内容枯燥乏味。如果是这样的话，应该尽可能地浏览这本书并且至少记得本书。明年当你需要本书的协助的时后，你会发现所有的内容都在其中了。

If you are not interested, you may find the book dry and too thorough. In this case, skim whatever you can stand of it and remember this book next year as soon as you need to know the material, because you will find everything here.

如果阅读量已经使你招架不住的话，那请研读Moore图即可，并把它应用在Stratego I and II 的个案中以利调解的练习。Moore图就是Moore, Christopher W 所著的调解的程序中一书的表2.1. 调解的程序，2版，Jossey-Bass出版社，1996出版

If you are too totally swamped to read anything, then study the Moore chart and then apply it to Stratego I and II to prepare for the mediation. The Moore chart is Figure 2.1 from: Moore, Christopher W, The Mediation Process: Practical Strategies for Resolving Conflict, 2nd ed., Jossey-Bass, 1996.

个案：准备 Stratego Aero II。为准备此个案，你应该把Stratego I 及II 的特别说明重看一次。请与扮演相同角色的同学一同准备，并请充分准备，否则会影响到其他同学的表现。不满的同学时常写信反映给我要求同学们必须认真准备，所以请各位特别注意。

Case: Prepare Stratego Aero II. To do so, you should have re-read Stratego Aero I as well as your Stratego II Secret Instructions. Prepare together with someone who is playing the same role as you and please prepare carefully. Otherwise you will mess up your colleagues' role-playing, and they will write me fierce notes about requiring people to prepare better.

调查、仲裁及非常难缠的人
(两堂课, 6小时)
Investigation, Arbitration and Exceptionally Difficult People
(Double Class, 6 hours)

阅读：《谈判要素》第九章及Halliburton《争端化解方案》两篇阅读清楚的阐明如何处理复杂的情境及第三者的介入。Halliburton方案是一个囊括了外部仲裁整合性系统的基本案例。,但从我看来仍是有一个显著的缺点，就是这是一种“被动”的仲裁(你愿意主动签名丧失控告雇主的权利以作为被雇用的条件之一吗?)

Read: Lewicki, chapter 9, and the Halliburton Dispute Resolution Program. These readings illuminate dealing with difficult situations, and third party intervention. The Halliburton program is a benchmark example of an integrated system with the option of outside arbitration. It is now seen as best practice – with one big shortcoming in my view – namely, "imposed" arbitration. (Are you willing to sign away your ability to sue your employer as a condition of employment?)

阅读：Fein, Robert A., Bryan Vossekuil与 Gwen A. Holden合着〈威胁评估: 避免目标暴力的方法〉《美国司法研究所：进行中的研究》1995年9月，第1-7 (采行系统性的方式分析目标暴力)，这些阅读是今晚课程的准备资料。本文亦可在美国联邦密勤局网站取得。

Read: Fein, Robert A., Bryan Vossekuil, and Gwen A. Holden, Threat Assessment: An Approach to Prevent Targeted Violence, National Institute of Justice: Research in Action, September 1995, pp. 1-7 (taking a systems approach to targeted violence) as preparation for the evening presentation. This article is also available at the U.S. Secret Service web site.

个案: 注册会计师公司(窃盗)；讨论大纲将于上课时发下(吸毒、密告及被控告的员工)

Cases: Certified Public Accountants, Inc. (theft); Discussion of cases distributed in class (drugs, whistleblowers, and a convicted employee).

谈判研讨─更多与难缠的人谈判的技巧
More Negotiating with Difficult People

阅读：请阅读Ury的《让难缠的人也说好》，我建议各位将这本简短易读的书读完，而且这本书应该是这类谈判书中最经典的几本之一。也请阅读Levinson, Harry的〈伤害他人的人格特质〉刊于《哈佛商业评论》波士顿，麻州，1978年出版。这几本书提供各位与难相处的人共处的方法与模式。

Read: The third text for the course: Ury, Getting Past No: Negotiating with Difficult People. My recommendation is that you read the whole book – it is short and easy to read, and arguably one of the two or three best books of its type in negotiations. Read also Levinson, Harry. The Abrasive Personality, Boston, MA: Harvard Business Review, 1978. These readings suggest ideas and modes that you may find helpful if you know anyone who is a difficult person.

如果能让冲突的两造双方(像是你的两位同事)都阅读Ury的这本书的话，对于解决冲突会有相当的帮助。同样地，如果你认识这种容易刺激或伤害到别人的人，Levinson的文章会很有帮助，而且通常对当事人不会很冒犯。(容易伤害或刺激到别人的人通常不会觉得自己是这样的，因此对于阅读这样的文章也会很感到兴趣；如果不知道什么样的人容易伤害到别人的话，可以看看别人是怎么看待且详加叙述这些容易伤害到别人的人的主要要素)

The Ury book can be remarkably helpful if you can get both parties to a dispute – two of your colleagues, for example – to read it. By the same token, if you know an abrasive person, the Levinson article may be useful – and usually not offensive – to such a person. (Abrasive personalities usually do not see themselves as abrasive and are therefore sometimes very interested, if puzzled, to see the main elements of what other people see as abrasiveness spelled out.)

选读─时间允许的话：建议阅读：Ekman, Paul, and Maureen O'Sullivan合着的〈谁能逮到说谎的人〉刊于《美国心理学家期刊》第46卷，第9号，1991年9月，第913-920页─这本书在Clarence Thomas听证会时备受瞩目。Jordan W所著的〈儿童病因学〉则清楚的说明了“见山不是山”的道理，这本书也建议各位有空时可以看。

Optional – if you have time: Ekman, Paul, and Maureen O'Sullivan. Who Can Catch a Liar? American Psychologist 46, no. 9, September 1991, pp. 913-920 – this article got a lot of attention during the Clarence Thomas Hearings; and Smoller, Jordan W. The Etiology of Childhood. This last article illuminates the point that "things are not necessarily what they seem."