国际商务谈判 复习资料

Part zero1、definition of negotiationNegotiation is a dialogue intended to resolve disputes, to produce an agreement upon courses of action, to bargain for individual or collective advantage, or to craft outcomes to satisfy various interests.A negotiation is a process of communication between parties to manage conflicts in order for them to come to an agreement, solve a problem or make arrangements.2、business negotiation1）definition：It is a process in which the participants of business activities communicate, discuss, and adjust their views, settle differences and finally reach a mutually acceptable agreement in order to close a deal or achieve a proposed financial goal.2）Characteristics ：The objective of business negotiation is to obtain financial interestThe core of business negotiation is priceIts principle is equality and mutual benefitItems of contract should keep strictly accurate and rigorous3、international business negotiation1）definition：It refers to the business negotiation that takes place between the interests groups from different countries or regions. It is an important activity frequently involved in foreign trade and other economic exchange, serving a critical approach and method for these interest groups or individuals to confer together to reach an agreement or settle the issues of their interest conflicts.2）Characteristics ：In addition to the general characteristics of typical business negotiations, international business negotiation demonstrated the following features: The difficulty and the cost are greater than that of domestic businessLanguage barriersCultural differenceInternational laws and domestic laws are both in forceInternational political factors must be taken into account3）FormsClassified by forms: ①one-to-one negotiation ②multilateral negotiationClassified by negotiation site: ①Host venue ②Guest venue ③The third party’s venueClassified by attitudes of two parties:①Soft negotiation ②Hard negotiation ③Principled negotiationClassified by ways of communication: ①Oral negotiation ②Written negotiation Classified by negotiation object:①Product trade negotiation ②Technology trade negotiation ③Service trade negotiationClassified by the order of negotiators discuss problems:①Horizontal Negotiation ②Vertical negotiation4）PrinciplesEquality and mutual benefit principleKeep it flexible and fluidSincere cooperationAct in strict accordance with the lawPartⅠ4、Maslow's hierarchy of needsMaslow's hierarchy of needs is often portrayed in the shape of a pyramid, with the largest and most fundamental levels of needs at the bottom, and the need for self-actualization at the top. Maslow’s theory suggests that the most basic level of needs must be met before the individual will strongly desire the secondary or higher levels needs.In negotiation, how to use the need theory to find, analyze and satisfy each other’s needs is very crucial for any negotiator to gain over the most possible benefits.1）Survival needs and negotiationThe survival needs are embodied in the negotiation as the negotiator’s needs or dress, food, accommodation, and traveling. As a host and negotiating organizer oneshould provide for the other party a better living condition to lighten the inconveniences, the psychological pressures and the doubtful feelings of the guest negotiators, which is helpful for creating a friendly negotiating atmosphere.2）Security needs and negotiationThe negotiator’s security needs are mainly that of personal, positional and economical benefits.The guest negotiator is not familiar with the local social situation, customs and public order and traffic. They may feel a lack of security or safety. So the host should try to give more considerations to every detail of safety issues.Status security represents that both parties will probably regard reaching an agreement as his task. The negotiator should have a correct understanding of negotiation on an equal basis and for mutual benefit. A negotiator’s work should not be evaluated by the standard of reaching an agreement.The negotiator’s superiors are likely to link the negotiation result with the negotiator’s income. Sometimes the negotiator may take the risk of seeking his personal benefit by reaching an agreement at the cost of the interests of the country or organization.3）Social needs and negotiationEvery negotiator hopes to establish friendly relationship with the other party. In addition, they also hope to have a solidary team of their own to get a successful negotiation result. Therefore negotiators should understand each other andself-surrender a bit to satisfy their own social needs.4）Ego needs and negotiationOne’s need for respect is from three different sources: He needs the respect of his colleagues back home which is fundamental to his personal satisfaction from the negotiation. He will be influenced by the respect of the other party and believe that the other party’s respect depends on his success in earning those material goods. He will also be concerned with his self-respect which will equally focus on his success in winning material goods.In a negotiation if both parties can satisfy each other’s needs for respect, then this respect will change into a power to restrict each other’s behavior and ensure a successful negotiation.5）Self-actualization needs and negotiationThe satisfaction of the self-realization needs in negotiation depends on the achievement the negotiator has made. The more benefits you obtained, the higher degree of satisfaction you’ll have of self-realization needs. To evaluate the negotiator, it is not enough to observe the benefits he strives for. Under what condition and how he strives for the benefits should also be taken into consideration.Negotiators should learn to use the Maslow Need Theory Model as a situational thermostat. Judging how the other person reacts to offers or proposals will reveal how close to making the deal too painful for the other person to accept.5、Game TheorySince both "rationally" decide to defect, each receives a lower reward than if both were to stay quiet. Traditional game theory results in both players being worse off than if each chose to lessen the sentence of his accomplice at the cost of spending more time in jail himself.We must remember the golden rule when it comes to business competition, as taught by the prisoner’s dilemma: Acting in one’s self interest does not always serve one’s self interest.By analysing the top-scoring strategies, Axelrod stated several conditions necessary for a strategy to be successful.1）NiceThe most important condition is that the strategy must be "nice", that is, it will not defect before its opponent does. Almost all of the top-scoring strategies were nice; therefore, a purely selfish strategy will not "cheat" on its opponent, for purely self-interested reasons first.2）RetaliatingHowever, the successful strategy must not be a blind optimist. It must sometimes retaliate. An example of a non-retaliating strategy is Always Cooperate. This is a very bad choice, as "nasty" strategies will ruthlessly exploit such players.3）ForgivingSuccessful strategies must also be forgiving. Though players will retaliate, they will once again fall back to cooperating if the opponent does not continue to defect. This stops long runs of revenge and counter-revenge, maximizing points.4）Non-enviousThe last quality is being non-envious, that is not striving to score more than the opponent.6、Principled negotiationPrincipled negotiation is the name given to the interest-based approach to negotiation set out in the best-known conflict resolution book, Getting to Yes. The book advocates four fundamental principles of negotiation:1) separate the people from the problem;Separating the people from the problem means separating relationship issues from substantive issues, and dealing with them independently. People problems often involve difficult emotions — fear, anger, distrust and anxiety for example. These emotions get intertwined with the substantive issues in the dispute and make both harder to deal with.2) focus on interests, not positions;Negotiating about interests means negotiating about things that people really want and need, not what they say that want or need. Often, these are not the same. People tend to take extreme positions that are designed to counter their opponents’ positions. If asked why they are taking that position, it often turns out that the underlying reasons--their true interests and needs--are actually compatible, not mutually exclusive.3) invent options for mutual gain;By focusing on interests, disputing parties can more easily fulfill the third principle--invent options for mutual gain. This means negotiators should look for new solutions to the problem that will allow both sides to win, not just fight over the original positions which assume that for one side to win, the other side must lose.4) introduce on objective criteria.If union and management are struggling over a contract, they can look to see what other similar companies have agreed to use as an outside objective criteria. This gives both sides more guidance as to what is "fair," and makes it hard to oppose offers in this range.The four components are interrelated with each other and should be applied to throughout the whole course of the negotiations.Part Ⅱ7、Setting up an AppointmentPersonal Styles VS Degree of AC（个性类型与谈判模式）1）Competing style of persons tends to use high pressure and they force the other party to surrender to their demands.2）Collaborating style of persons show concerns and understanding to parties’ interests, difficulties and satisfactions, trust others and offer help needed in negotiation.3）Compromising style of persons try to split the difference or find an intermediate point according to some principle.4）Avoiding style of persons is never willing to cooperate with others nor do they state their consent or objection openly.5）Accommodating style of persons habitually accept others’ desires and requests. The model clearly shows the position of each personal style in the graph and their combination of different degrees of assertiveness and cooperativeness.1）Competing style and accommodating style are at the high ends of assertiveness and cooperativeness.2）Avoiding style is neither assertive nor cooperative, thus is the least recommended style for negotiations.3）Compromising style, corresponding its middle position, is inclined to take middle way and seeks balance between different people.4）Collaborating style combines highest degree of both assertiveness and cooperativeness and should be recommended as the most suitable personal style for negotiations.By cooperating with different kinds of counterparts, you can adopt different strategies accordingly.8、Negotiation StrategiesYour case and bargaining position will determine which negotiation strategy will work best for you:Competitive, when you must have what you want;Accommodation, when you have done wrong and want to settle quickly; Compromising, when expedience matters most;Collaborative, when you want to create a bigger pie;Avoidance, when you are not yet ready to bargain.The Competitive Strategy——“I win, you lose” is the one most often used in settlement negotiation. Following are examples of some competitive tactics: 1) Alternatives to settlement.Emphasize you have better choices than settlement.2) “Anything but that”Claim your adversary’s offer is not enough, even when it is.3) Bluffing(欺骗，糊弄)Bluffing is at negotiation’s core because each side has limited information. Look for signs of uncertainty on adversary’s face or in his body language. Uses the uncertainty to create even more doubt. And doubt translates into risk, and risk into money.4) Bringing in the mediaThreaten to report some action or behavior to the media to induce concessions. (media-sensitive industries)5) Creating deadlockCreate deadlock to force your adversary into concessions to move the negotiations along.6) Diversion/DistractionIf you feel you are losing an important issue, shift the discussions to a different issue before you concede(让步).7) Done dealTake some unilateral(单边的) action and present it to other side as a “done deal”. Your adversary is thus forced to acquiesce(勉强同意) or walk out.8) Good cop/Bad copTeam an aggressive negotiator with a friendly negotiator to win concessions. The aggressive negotiator uses competitive tactics to anger and distract your adversary. The friendly negotiator steps in to smooth things over. You can strike a deal on thefriendly negotiator’s terms.9) Irrational behaviorSometimes act irrationally, not only to distract and unnerve, but also to undermine your adversary’s confidence.10) Limited authorityClaim to lack authority to settle at some amount and ask your adversary to reduce the offer to your authority limits.11) Limited timeConstrain the time limits of the negotiation.12) “Poor me”Act like you have no background or training in negotiation and ask your adversary’s help. He may sympathize with you and be more reasonable than he intended.13) SilenceVery few people can endure silence. Silence can impel your adversary to give you more information or concede more than he intended.14) Straw manDemand agreement on issue 1, which your adversary cares about most. Create deadlock and then “reluctantly” concede issue 1 to gain agreement on issue 2.15) TurnaboutAfter you have conceded an issue or otherwise acted defensively, “gain space” by coming out strong on the next issue.16) Use of powerThreaten to use your power and sometimes actually use it.●The Accommodation Strategy——An accommodating party will sublimate itsconcerns to satisfy the other party’s, at least for the present. You choose an Accommodation Strategy if you have done wrong and want to get the matter over with quickly and less expensively.1) Face-savingPrioritize the other side’s dignity. Allow the other side to make tactful retreats to avoid embarrassment.2) IdentificationAlign your interests with your adversary’s, see the facts from her perspective, and agree with her arguments. But don’t concede unnecessary issues.3 )Take the lead oarMove the negotiation forward regardless of who created the difficulty.4) Take reasonable actionsAlways be the party of reason, whether setting realistic deadlines or other conditions of the negotiation.●The Compromising Strategy——Compromisers look for an expedient, partiallysatisfactory middle ground.1) Bit-by-bitGain your concessions “bit-by-bit” rather than all at once.2) Conditional proposalsMake a proposal conditioned upon your adversary’s acceptance of issues you need favorably resolved.3) “Log-rolling”Concede on an unimportant issue to you in exchange for your adversary’s concession on an issue that does matter to you.4) “Splitting the baby”At some point offer to split the difference with the other side5) Tit-for-tat针锋相对Never make a concession without obtaining one in return.●The Collaborative Strategy——The Collaborative Strategy（win-win）seeks tocreate value for both sides. Its focus is on each side’s underlying interests and not their positions.1) FlexibilityBe flexible. Know when to mount a tactical retreat and when to press for an important point.2) Focus on processProcess often translates into improved substance.3) Identify with others in similar circumstancesArgue that the other side has already treated similarly-situated X in a particular way, and they should treat you the same way.●The Avoidance Strategy——Avoiders try to ignore the entire dispute, or somespecific issues, for at least some period of time.1) Negotiate money issues firstIf you prioritize money, insist that money be negotiated first.2) Negotiate non-money issues firstIf you wish to avoid paying money, address the non-money issues first. You can then value your none-monetary concessions and use those values to reduce the amount of money you will pay your adversary.3) Refuse to combine negotiation of related disputesIf you are litigating multiple related actions, refuse to negotiate the actions together if you determine that you are stronger in one case than another.4) Walk out of the negotiationIf you become engaged in negotiations you are not ready for, walk out.5) Withdraw an issueIf you are not yet ready to address an issue, perhaps because it is too painful or simply not ripe for discussion, remove that issue from the negotiation, for at least some period of time.6) Switching strategiesYou may decide to switch strategies if you feel you are making insufficientprogress.Part Ⅲ9、Free trade areaWTO means the World Trade OrganizationGATS means the General Agreement on Trade in Services, which is part of the WTO Agreement;GATT means the General Agreement on Tariffs and Trade, which is part of the WTO Agreement.FTA（free-trade area）is a theoretical concept where a trade bloc whose member countries have signed a free-trade agreement (FTA), which eliminates tariffs, import quotas, and preferences on most (if not all) goods and services traded between them.中日韩自由贸易区CJK FTA1）General Trade and Economic Relations among the Three Countries China, Japan and Korea are major economic players in the world which recorded nearly 20% of the world’s total GDP. The share of intra-regional trade among the three countries has increased steadily. China was the largest trading partner of Japan and Korea, and the two countries were regarded as the second and third largest trading partners of China.However, intra-regional trade levels were still much lower than those of the EU and NAFTA, substantial economic integration has not yet evolved in this region. Given the region’s economic power and competitiveness, economic integration in the region will certainly bring tremendous benefits not only to the region, but also to the world.2) Impacts of a Future CJK FTA on Agriculture, FisheryA possible CJK FTA will bring the three countries potential benefits, including access for consumers to a wider range of agricultural products with lower prices and improved access for exporters to the partners’ markets. However, it would raise concerns in Japan and Korea for serious impacts on domestic agriculture production. It also increase pressure for China to meet domestic demand and lost price advantage in agriculture due to the rapidly increasing labor and input cost. In pursuing a possible CJK FTA, due consideration should be given to sensitive products of each country.In the fishery sector, China is more competitive in fresh water fishery, while Japan and Korea are more competitive in marine capture fisheries. With a possible CJK FTA, trade in fish products would benefit consumers and improve the overall national welfare of the three countries. However, a decline of fishery resources, increasing cost of capturing and stronger competition from areas will attenuate the positive effect. So consideration should be given to the effect of an appropriatefishery resources management to ensure sustainable development of fishery industries.3) Impacts of a Future CJK FTA on Industrial GoodsA CJK FTA will likely increase the trade volumes and enhance production networks among them. On the other hand, a CJK FTA would reveal sensitive sectors in all three countries. For China, a CJK FTA could result in further accelerated increase of imports from Japan and Korea, thus bringing bigger pressure on China’s domestic enterprises in such sensitive industries as chemicals; automobiles; electronics and ship-building, etc.In order to enhance the competitiveness of the manufacturing industries of China, Japan and Korea, the three countries should not only reduce tariff andnon-tariff measures which have adverse effects to trade, but also deepen and strengthen economic linkages among the three countries to establish a win-win-win relationship through forming a CJK FTA, with due consideration to the sensitivities of each country in these areas.4) Impacts of a Future CJK FTA on Trade in servicesBy reducing barriers and enhancing transparency, a possible CJK FTA might contribute to and enhance the momentum of mutual cooperation, MA, movement of goods, capital, persons and technology and trade facilitation. A future CJK FTA will help bring down costs and prices, increase efficiency and innovation, and broaden the range of services being offered, thus improving the quality of services through maximization of cross-border resource allocation processes. The facilitation of movement of business personnel will also promote the overall development in the services sectors.5) Impacts of a Future CJK FTA on InvestmentWith a comprehensive CJK FTA, which focuses on enhancing market access by eliminating restrictions against foreign investment in an appropriate manner, more active trade and investment in Northeast Asia would ensue. Liberalization of investment would also enable investors to mobilize their resources for further development in this region, thus leading to a mutually beneficial cooperative partnership among the three countries in the future.In future negotiations on the investment chapter, more flexibility should be given to China for adaption and modification in its liberalization process.6) E-commerceWith the development of information technology, e-commerce has emerged as a dynamic form of transaction and one of the most quickly growing business industries in the world. Increasing use of e-commerce can bring economic growth and opportunity through facilitating trade in goods and introducing new services. Enterprises, including SMEs, will profit from the use of e-commerce as it improves efficiency and reduces the cost of transactions. A possible CJK FTA would provide an opportunity to enhance trilateral e-commerce cooperation and transaction.中国-东盟自由贸易区中国-新西兰自由贸易区Part Ⅳ10、Four modes of supply of the General Agreement on Trade in Services(GATS)1) Cross-border (跨境交付)——from the territory of one Member into the territory of any other Member.Mode 1: A user in country A receives services from abroad through its telecommunications or postal infrastructure.2) Consumption abroad（境外消费）——in the territory of one Member to the service consumer of any other Member.Mode 2: Nationals of A have moved abroad as tourists, students, or patients to consume the respective services.3) Commercial Presence（商业存在）——by a service supplier of one Member, through commercial presence, in the territory of any other Member.Mode 3: The service is provided within A by a locally-established affiliate, subsidiary, or representative office of a foreign-owned and — controlled company (bank, hotel group, construction company, etc.).4) Presence of natural persons（自然人流动）——d.by a service supplier of one Member, through the presence of natural persons of a Member in the territory of any other Member.Mode 4: A foreign national provides a service within A as an independent supplier (e.g., consultant, health worker) or employee of a service supplier (e.g. consultancy firm, hospital, construction company).。