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Carefully read “Essentials”, Chapter 5: Ethics in Negotiation. Table 5.2 (p.124) lists six categories of marginally ethical negotiating tactics (also referred to as “deceptive tactics”). Only two of these tactics are acceptable, according to the authors. Using the attached role-play salary exercise (read both attachments), describe how you would employ one of these tactics, if appropriate? You may assume the role of either the employer or employee. What is the outcome you believe is fair?


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Essentials of
R OY J . L E W I C K I
Essentials of
Sixth edition
Roy J. Lewicki
The Ohio State University
Bruce Barry
Vanderbilt University
David M. Saunders
Queen’s University
Published by McGraw-Hill Education, 2 Penn Plaza, New York, NY 10121. Copyright © 2016 by
McGraw-Hill Education. All rights reserved. Printed in the United States of America. Previous editions
© 2011, 2007, 2004, and 2001. No part of this publication may be reproduced or distributed in any form
or by any means, or stored in a database or retrieval system, without the prior written consent of McGrawHill Education, including, but not limited to, in any network or other electronic storage or transmission, or
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United States.
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ISBN 978-0-07-7862466
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Library of Congress Cataloging-in-Publication Data
Lewicki, Roy J.
Essentials of negotiation / Roy J. Lewicki, The Ohio State University,
Bruce Barry, Vanderbilt University David M. Saunders, Queen’s University. —
Sixth Edition.
pages cm
ISBN 978-0-07-786246-6 (alk. paper)
1. Negotiation in business. 2. Negotiation. I. Barry, Bruce, 1958- II.
Saunders, David M. III. Title.
HD58.6.L487 2015
The Internet addresses listed in the text were accurate at the time of publication. The inclusion of a website
does not indicate an endorsement by the authors or McGraw-Hill Education, and McGraw-Hill Education
does not guarantee the accuracy of the information presented at these sites.
We dedicate this book to all negotiation, mediation, and dispute
resolution professionals who try to make the world a more peaceful
and prosperous place.
And to John W. Minton (1946–2007): friend, colleague, and co-author.
About the Authors
Roy J. Lewicki is the Irving Abramowitz Memorial Professor of Business Ethics Emeritus and Professor of Management and Human Resources Emeritus at the Max M. Fisher
College of Business, The Ohio State University. He has authored or edited 36 books, as
well as numerous research articles and book chapters. Professor Lewicki has served as the
president of the International Association for Conflict Management, and he received its
Lifetime Achievement Award in 2013. He received the Academy of Management’s Distinguished Educator Award in 2005 and was recognized as a Fellow of the Organizational
Behavior Teaching Society for his contributions to the field of teaching in negotiation and
dispute resolution.
Bruce Barry is the Brownlee O. Currey Jr. Professor of Management at the Owen
Graduate School of Management at Vanderbilt University. His research on negotiation,
ethics, power, influence, and justice has appeared in numerous scholarly journals and
volumes. Professor Barry is a past president of the International Association for Conflict
Management and a past chair of the Academy of Management Conflict Management
Division. He is associate editor of the scholarly journal Business Ethics Quarterly and
sits on the editorial boards of several others.
David M. Saunders has served as Dean of Queen’s School of Business (QSB) since
July 2003. Under Professor Saunders’s strategic leadership, the School has experienced
dramatic growth, including the addition of new and innovative MBA, professional masters, and executive education programs. To keep pace with this growth, he oversaw a significant expansion to Goodes Hall, the home of the School of Business, which opened in
2012. In support of QSB’s mission to develop outstanding leaders with a global perspective, Professor Saunders has internationalized the School, adding 80 strategic partnerships
with business schools around the globe. Professor Saunders is Chair of the EQUIS Awarding Body, the accreditation arm of the European Foundation for Management Development, and sits on the board of CEIBS, the China Europe International Business School.
Welcome to the sixth edition of Essentials of Negotiation! Again, this book represents our
response to many faculty who wanted a brief version of the longer text. Negotiation (Seventh
Edition). The objective of this shorter version is to provide the reader with the core concepts
of negotiation in a more succinct presentation. Many faculty requested such a book for use in
shorter academic course, executive education programs, or as a companion to other resource
materials. It is suitable for courses in negotiation, labor relations, conflict management, human
resource management, and the like.
Overview of This Book
The organization of this volume generally follows the more complete Seventh Edition of
Negotiation. The fundamental difference between this and the Seventh Edition text is that this
book contains only 12 chapters, while the complete Seventh Edition contains 20 chapters. The
first four chapters have only been minimally shortened for this volume, because we believe
that the content is essential to any negotiation course. (The shortening process includes editing out some of the more research-oriented references and descriptions, deleting many of the
boxes and sidebars, and occasionally some secondary sections.) Similarly, the last chapter
is reproduced in full. The other seven chapters from Negotiation, have been included, but
shortened by 25–50 percent each.
For the instructor who is not familiar with Essentials (the first five editions) or Negotiation (Seventh or earlier editions), a brief overview is in order. The first five chapters introduce
the reader to “Negotiation Fundamentals.” The first chapter introduces the field of negotiation
and conflict management, describes the basic problem of interdependence with other people,
and briefly explores the challenges of managing that interdependence. Chapters 2 and 3 then
present the two core strategic approaches to negotiation: the basic dynamics of competitive
(win-lose) bargaining (Chapter 2) and the basic dynamics of integrative (win-win) negotiation (Chapter 3). Chapter 4 describes the fundamental prework that negotiators must do to
get ready for a negotiation: selecting the strategy, framing the issues, defining negotiation
objectives, and planning the steps one will pursue to achieve those objectives. In Chapter 5, we
examine the ethical standards and criteria that surround negotiation. The effective negotiator
must recognize when ethical questions are relevant and what factors must be considered to
address them effectively.
The next three chapters describe the fundamental psychological subprocesses of negotiation: perception, cognition, and emotion; communication; and power. In Chapter 6, we review
the basic processes of perception, cognition, and emotion in negotiation, we specifically examine common cognitive and judgment biases made by negotiators, and how emotion can
affect negotiations. In Chapter 7, we examine communication dynamics. We look at the ways
that negotiators communicate their interests, positions and goals, and how this information is
communicated to the other. Chapter 8 focuses on power. We look at the capabilities negotiators can muster power to pressure the other side, so as to change his or her perspective or give
in to our arguments.
The next two chapters examine the social contexts in which these negotiations occur, and
which also therefore influence how they evolve. In Chapter 9, we examine how the negotiation
process changes when the parties have an established relationship with each other, and how
the type of relationship affects the negotiation process. We also examine the key roles played
by trust, justice and negotiator reputation in shaping negotiations. In Chapter 10, we look at
multiparty negotiations, when multiple individuals must work together as a group, team or
task force to solve a complex problem or make a decision.
In Chapter 11, we attempt to clarify how international and cross-cultural differences can
shape the diverse ways that parties approach negotiations.
Finally, in Chapter 12, we present a new concluding chapter, summarizing the book’s
content and offering ten “best practices” principles for all negotiators.
Comparison of This Book to the Fifth Edition of Essentials

All of this book has been revised and updated. The authors reviewed every chapter, utilizing extensive feedback from faculty who have used the book in previous
editions. The content in some of the chapters has been reorganized to present the
material more effectively.
The Ethics chapter was moved into the “fundamentals” section as Chapter 5.
We have further improved the graphics format and page layout of the book to make it
visually more interesting and readable.
We have added learning objectives to the beginning of each chapter.
The new structure of this book will be paralleled by a major revision to our readings
and classroom activities book. Negotiation: Readings, Exercises, and Cases, Seventh
Edition, edited by Roy Lewicki, Bruce Barry, and David Saunders to appear in 2015.
This text and reader can be used together or separately. We encourage instructors to
contact their local McGraw-Hill/Irwin representative for an examination copy (or call
800-634-3963, or visit the Web site at
Instructional resources, including a test bank, chapter outlines, PowerPoint slides,
and extensive assistance on ways that new instructors can improve their teaching of
negotiation skills, are available to accompany this volume. Instructors should contact
their McGraw-Hill/Irwin representative.
Connect Plus Management
Less Managing. More Teaching. Greater Learning.
Connect® Management is McGraw-Hill’s web-based assignment and assessment platform that
connects you and your students to the coursework. Students apply what they’ve learned and
receive immediate feedback. Instructors can customize these activities and monitor student
progress. Connect Management for Essentials of Negotiation includes:
Simple Assignment Management and Grading
With Connect Management, creating assignments is easier than ever, so you can spend more
time teaching and less time managing. The assignment management function enables you to:

Create and deliver assignments easily with selectable Test Bank items.
Streamline lesson planning, student progress reporting, and assignment grading to
make classroom management more efficient than ever.
Go paperless with the eBook and online submission and grading of student
New! LearnSmart and SmartBookTM
LearnSmart is an adaptive study tool proven to strengthen memory recall, increase class retention, and boost grades. Students are able to study more efficiently because they are made
aware of what they know and don’t know. Real-time reports quickly identify the concepts that
require more attention from individual students—or the entire class. SmartBook is the first
and only adaptive reading experience designed to change the way students read and learn.
It creates a personalized reading experience by highlighting the most impactful concepts a
student needs to learn at that moment in time. As a student engages with SmartBook, the reading experience continuously adapts by highlighting content based on what the student knows
and doesn’t know. This ensures that the focus is on the content he or she needs to learn, while
simultaneously promoting long-term retention of material. Use SmartBook’s real-time reports
to quickly identify the concepts that require more attention from individual students—or the
entire class. The end result? Students are more engaged with course content, can better prioritize their time, and come to class ready to participate.
Instructor Library
The Connect Management Instructor Library is your repository for additional resources to improve student engagement in and out of class. You can select and use any asset that enhances
your lecture. The Connect Management Instructor Library includes:

The Instructor’s Manual: Each chapter includes an overview, learning objectives,
chapter outline, and summary.
Test Bank: Includes more than 700 questions and consists of fill in the blank, true/
false, multiple choice, and short-answer questions.
PowerPoint: Contains figures and tables from the text plus additional graphic
Web Links: Offers additional links for more information on negotiation.
Support Materials
Instructional resources—including a test bank, chapter outlines, PowerPoint slides, and extensive resource materials on teaching negotiation skills for new instructors—are available
to accompany this volume on the text-specific website,
Using Create, McGraw-Hill’s custom publishing service, instructors can build a text tailored to individual course needs incorporating materials from the three
texts in this series. Create allows instructors to customize teaching resources to match the
way they teach! With McGraw-Hill Create,, you can easily rearrange chapters; combine material from other content sources; and quickly upload content
you have written, like your course syllabus or teaching notes. Find the content you need in
Create by searching through thousands of leading McGraw-Hill textbooks. Arrange your book
to fit your teaching style. Create even allows you to personalize your book’s appearance by
selecting the cover and adding your name, school, and course information. Order a Create
book and you’ll receive a complimentary print review copy in three to five business days or
a complimentary electronic review copy (eComp) via e-mail in about one hour. Go to www. today and register. Experience how McGraw-Hill Create empowers
you to teach your students your way.
Introducing McGraw-Hill CreateTM ExpressBooks! ExpressBooks contain a combination
of preselected chapters, articles, cases, or readings that serve as a starting point to help you
quickly and easily build your own text through McGraw-Hill’s self-service custom publishing
website, Create. These helpful templates are built using content available on Create and organized in ways that match various course outlines across all disciplines. We understand that you
have a unique perspective. Use McGraw-Hill Create ExpressBooks to build the book you’ve
only imagined!
Instructors should also note that the authors and McGraw-Hill have partnered with ExpertNegotiator is a set of online tools that serve both student and
instructor. Students are provided with a structured negotiation preparation template, keyed
to the terminology used in the Lewicki et al. texts, to more thoroughly prepare for negotiation simulations. Instructors can use the software as a course management system to pair
students for role-plays (including all role-plays in the companion volume, Negotiation Readings, Exercises, and Cases, 7th Edition), collect and distribute role information, and provide
students with feedback on their negotiation plans. Students access the software by purchasing it as a package price with any of the Lewicki et al. texts. For more information, contact
the local McGraw-Hill Education representative, and explore the power of the software at
Once again, this book could not have been completed without the assistance of numerous
people. We especially thank

Many of our colleagues in the negotiation and dispute resolution field, whose
research efforts have made the growth of this field possible and who have
given us helpful feedback about earlier editions to improve the content of this
The following individuals who reviewed the text and offered their helpful feedback.
The work of John Minton, who helped shape the second, third, and fourth editions of
this book and passed away in the Fall of 2007.

The excellent editorial assistance of Steve Stenner, specifically for his help on copyediting, permissions, and bibliography and for refining the test bank and PowerPoint
The Staff of McGraw-Hill/Education, especially lead product developer Laura Spell,
senior product developer Laura Griffin, and product developer Heather Darr; director
of management and organizational behavior Michael Ablassmeir; and marketing staff
Elizabeth Trepkowski and Liz Steiner.
Our families, who continue to provide us with the time, inspiration, and opportunities
for continued learning about effective negotiation and the personal support required
to sustain this project.
Roy J. Lewicki
Bruce Barry
David M. Saunders
Contents in Brief
The Nature of Negotiation
Strategy and Tactics of Distributive Bargaining
Strategy and Tactics of Integrative Negotiation
Negotiation: Strategy and Planning
Ethics in Negotiation
Perception, Cognition, and Emotion
Finding and Using Negotiation Power
Relationships in Negotiation
10. Multiple Parties, Groups, and Teams in Negotiation
11. International and Cross-Cultural Negotiation
12. Best Practices in Negotiations
Bibliography 283
Index 307
Chapter 1
The Nature of Negotiation 1
Assess the Other Party’s Target, Resistance
Point, and Costs of Terminating
Negotiations 36
A Few Words about Our Style and Approach 3
Manage the Other Party’s Impressions 38
Joe and Sue Carter 4
Modify the Other Party’s Perceptions 40
Characteristics of a Negotiation Situation 6
Interdependence 10
Types of Interdependence Affect Outcomes 10
Alternatives Shape Interdependence 12
Mutual Adjustment 12
Mutual Adjustment and Concession
Making 14
Two Dilemmas in Mutual Adjustment 14
Manipulate the Actual Costs of Delay or
Termination 41
Positions Taken during Negotiation 42
Opening Offers 43
Opening Stance 44
Initial Concessions 44
Role of Concessions 45
Value Claiming and Value Creation 15
Pattern of Concession Making 47
Conflict 18
Final Offers 48
Definitions 18
Closing the Deal 49
Levels of Conflict 19
Provide Alternatives 49
Functions and Dysfunctions of Conflict 19
Assume the Close 49
Factors That Make Conflict Easy
or Difficult to Manage 21
Split the Difference 49
Effective Conflict Management 21
Overview of the Chapters in This Book 25
Endnotes 27
Exploding Offers 50
Sweeteners 50
Hardball Tactics 50
Dealing with Typical Hardball Tactics 51
Chapter 2
Strategy and Tactics of Distributive
Bargaining 28
Typical Hardball Tactics 52
Chapter Summary 58
Endnotes 58
The Distributive Bargaining Situation 29
Settlement Point 33
Chapter 3
Strategy and Tactics of Integrative
Negotiation 60
D …
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