Getting to Yes

1. Preparation is the key to successful negotiation

Whatever kind of negotiation we face—from an internal office problem to an international sale, from seeking a raise to buying a business, from dealing with a union to dealing with the Russians—lack of preparation is perhaps our most serious handicap.

Invest time wisely. On average, you should spend as much time preparing as you expect to spend in face-to-face negotiation. While some matters may be trivial, others involve high stakes, multiple issues, and several parties, justifying extensive preparation.

Use a systematic approach. To be well prepared:

• Get your hands around the entire negotiation
• Use a checklist to identify areas where preparation is most helpful
• Focus on seven key elements: interests, options, alternatives, legitimacy, communication, relationship, and commitment

Practice and learn. Treat each negotiation as an opportunity to improve your preparation skills. Review what worked well and what could be improved after each negotiation. Consider practicing preparation techniques even when you don't have an immediate negotiation coming up.

2. Focus on interests, not positions

A position is simply one way to satisfy interests. A position is a means, rather than an end.

Uncover underlying needs. Interests are the needs, desires, and fears that drive negotiations. They differ from positions, which are the demands or offers parties make. To identify interests:

• Ask "why?" and "for what purpose?" behind each position
• Consider both your interests and those of the other party
• Prioritize interests to guide decision-making

Avoid common mistakes:

• Focusing only on your own interests
• Thinking only about what you want
• Ignoring the other side's interests

By understanding everyone's interests, you can create more value and find mutually beneficial solutions.

3. Generate creative options to maximize value

Out of diversity—of perspectives, resources, or interests—comes the opportunity to create value.

Expand the pie. Look for ways to create value before dividing it. Identify opportunities to:

• Achieve economies of scale
• Combine different skills and resources
• Create joint benefits

Find value in differences. Explore how differences in risk tolerance, timing, perceptions, and marginal value can create opportunities for trades that benefit both parties.

Brainstorm possibilities. Generate a variety of options that could satisfy both parties' interests. Avoid limiting yourself to a single position or solution. Consider:

• Ways to work together to make more
• Options that meet each party's key interests
• Creative combinations of resources and skills

4. Know your BATNA and estimate theirs

Never underestimate the power of knowing what you will do if you do not reach agreement.

Develop your BATNA. Your Best Alternative To a Negotiated Agreement (BATNA) is what you'll do if you don't reach a deal. To prepare:

• Identify multiple alternatives to satisfy your interests
• Evaluate each alternative based on how well it meets your needs
• Choose the best alternative as your BATNA
• Look for ways to improve your BATNA

Consider their BATNA. Try to estimate the other party's alternatives:

• What might they do if no agreement is reached?
• How can you make their alternatives less attractive?
• How can you make your offer more appealing compared to their BATNA?

Knowing both BATNAs helps you determine when to accept a deal and when to walk away.

5. Use objective criteria to persuade

Criteria of fairness are valuable as a sword to persuade others and as a shield to protect ourselves from being unfairly treated.

Develop a range of fairness. Prepare multiple objective standards or criteria that could define fair solutions. This helps avoid getting locked into a single "right answer" and allows for more flexible negotiations.

Consider:

• Industry standards
• Precedents
• Expert opinions
• Legal principles
• Scientific findings

Use fair processes. When specific criteria aren't available, consider agreeing on fair procedures for reaching a decision, such as:

• Taking turns
• Drawing lots
• Using a neutral third party

Prepare explanations. Think about how the other party will explain the agreement to their constituents. Develop persuasive rationales that they can use to justify the deal to others.

6. Communicate effectively and manage relationships

Process is important. It can change outright antagonism between two negotiators into a win/win feeling and vice versa.

Prepare for two-way communication:

• Think about what you expect them to say and how you'd recognize a different message
• Consider how they might interpret your statements
• Prepare to reframe your points to make them easier to hear

Build a good working relationship:

• Separate relationship issues from substantive issues
• Take unconditionally constructive steps to improve the relationship
• Avoid confusing relationship problems with substantive disagreements

Manage emotions:

• Recognize and acknowledge feelings on both sides
• Look for ways to address emotional needs without making substantive concessions

7. Plan for clear and durable commitments

Knowing where you would like to end up is not the same as having a negotiation position fixed in your mind; nor should it mean having an inflexible bottom line.

Plan ahead for operational commitments:

• Create a list of issues that need to be addressed in the agreement
• Consider what's required to implement each aspect of the deal
• Identify who needs to approve or be involved in implementation
• Define timelines and milestones for measuring progress

Clarify meeting purposes:

• Define the purpose of each negotiation session
• Specify the desired product or outcome of each meeting
• Plan an appropriate process to achieve the desired results

Map out the path to agreement:

• Identify necessary steps and decision points
• Consider who needs to be involved at each stage
• Anticipate potential obstacles and plan how to address them

8. Separate people from the problem

Failing to distinguish between the two as we get ready to negotiate is likely to leave us trying to fix a relationship by making substantive concessions, and vice versa.

Address relationship and substance independently:

• Identify which issues are substantive (e.g., price, terms, conditions)
• Recognize which problems are relationship-based (e.g., trust, respect, communication)
• Deal with each type of issue separately

Avoid common mistakes:

• Confusing relationship problems with substantive disagreements
• Assuming the relationship is fixed or beyond your control
• Blaming the other side for relationship difficulties

Take responsibility for the relationship:

• Prepare steps to improve understanding, build trust, and enhance communication
• Focus on what you can do, regardless of the other side's actions
• Aim for a relationship that facilitates efficient problem-solving

9. Prepare to agree jointly with your counterpart

Instead of preparing to negotiate by yourself, you should think of your next step as preparing to agree jointly with your counterpart.

Shift your mindset. Approach the first part of the negotiation as an extension of your preparation, but now done collaboratively with the other party.

Discuss key elements:

• Review interests together to ensure mutual understanding
• Brainstorm options and ways to create value jointly
• Explore possible objective criteria for evaluating solutions
• Address communication and relationship issues openly

Be selective about sharing. While many preparation elements can be discussed openly, use discretion with sensitive information:

• Avoid detailed discussions of walk-away alternatives (BATNAs)
• Focus on standards and criteria that are mutually beneficial
• Share commitment planning to ensure all issues are addressed

By preparing to agree jointly, you set the stage for a more collaborative and productive negotiation process.

Last updated: January 22, 2025