lesson plan administration information · build 2: interest based negotiation: ibn is an...

Admin-1

Lesson Plan

Administration Information

Course Senior Leader Course-Leader Core Competencies (SLC-LCC)

Clearance Access Security Level: Unclassified

Requirements: There are no clearance or access requirements for the

lesson.

Foreign Disclosure

Restrictions

FD1. This training product has been reviewed by the training developer in

coordination with the USASMA S2 foreign disclosure officer. This training

product can be used to instruct international learners from all approved

countries without restrictions.

Safety

Brief emergency exit/evacuation procedures including wires/cords, floor

outlets, ramp/step, confined workspace, electronics, and beverages in the

classroom.

Risk Assessment

Level

Low

Environmental

Considerations

It is the responsibility of all Soldiers and DA civilians to protect the

environment from damage.

Admin-2

This Page Intentionally Left Blank

LP-1

US ARMY SERGEANTS MAJOR ACADEMY

Senior Leader Course

Leader Core Competencies

Lesson Plan for S315

The Basic Principles of Negotiations

Lesson Author: Mr. Lynn Shafer

Department Author: MSG Paul E. Caswell

1. SCOPE:

At the end of this lesson the learner will have the ability to engage in negotiations by utilizing the

three phases of negotiation.

2. LEARNING OBJECTIVES:

This lesson supports SLC TLO 400-SLC-300.3, Human Dimension, as listed in the S300

advance sheet.

ELO: 400-SLC-315

Action: Examine the three phases of negotiation.

Condition: As a learner and leader attending the SLC, using an organizational-level leadership

perspective in notional tactical and operational environments, given references, practical exercises and

classroom discussions.

Standards: Examination includes:

Preparing a negotiation plan

Developing a negotiation plan

Evaluating the negotiation plan

Learning Domain: Cognitive

Level of Learning: Analyzing

21st Century Soldier Competencies:

Adaptability and initiative.

Lifelong learner.

Teamwork and collaboration

Communication and engagement.

Critical thinking and problem solving.

Linking Warfighting Challenges to Required Capabilities:

Develop Situational Understanding

Adapt the Institutional Army

Enhance Training

Improve Soldier, Leader and Team Performance

Develop Agile and Adaptive Leaders

Set the Theater, Sustain Operations, and Maintain Freedom of Movement

Develop Capable Formations

LP-2

3. ISSUE MATERIAL:

a. Advance Issue: S315-Advance sheet

b. During class: (1) Negotiation Observe Checklist

(2) Negotiation Planning Sheet

4. ASSIGNED LEARNER REQUIREMENTS:

a. Read:

RA: Negotiations Smart card

Negotiation_Smart_

Card_August2015.pdf

b. Scan:

SA: Soldiers Guide to Negotiations

Soldiers_Guide_to_

Negotiations.pdf

c. Classroom Discussion: Learners should be prepared to discuss the following in class:

Prepare a negotiation plan

Implement a negotiation plan

Evaluate a negotiation plan

5. FACILITATOR ADDITIONAL READING(S)/MATERIAL: None

6. TRAINING AIDS, REFERENCES, AND RESOURCES:

a. S315 Basic Principles of Negotiations

(1) Appendix A, Slides.

(2) Appendix B, Test(s) and Test Solution(s). None

(3) Appendix C, Practical Exercise(s) and Solution(s).

(4) Appendix D, Learner Handouts.

(a) S315-Advance sheet.

(b) PE Handout Group A.

(c) PE 2 Handout Group B.

(5) Appendix E, Lesson Training Outline (TDC Generated, if needed).

(6) Appendix F, Facilitator Materials.

(a) Assessment Plan.

LP-3

b. Video(s): (1) CE: Analysis of a negotiation

7. CONDUCT OF LESSON:

a. Lesson Timeline:

First Hour 05 minutes CE (Slide 1) (LSA 1)

05 minutes P&P (LSA 2)

40 minutes GNI (Slides 5 thru 9) (LSA 3)

10 minutes Break

Second Hour

05 minutes Develop (LSA 4)

45 minutes Apply; Practical Exercise (LSA 5)

10 minutes Break

b. Concrete Experience (5 minutes): LSA 1

Slide 1, Concrete Experience

Facilitator Note: This CE aims at promoting discussion on why

we should learn the elements of negotiation.

FACILITATOR Note: It is not necessary to cover all the questions during Publish and Process.

Your target audiences’ experience will determine if you need to cover one or use more questions.

c. Publish and Process: (5 minutes): LSA 2

Suggested questions:

ASK: Have learners discuss their observations.

Facilitator Note: Learners must contribute to Publish and Process. Building off another learners

remarks or being in agreement is not acceptable reflection.

LP-4

d. Generalize New Information (GNI) (40 minutes): It is paramount that you share your own

personal and professional experiences with the students about this lesson while at the same

time inviting students to share theirs as well.

LSA 3

Slide 2, Title Slide

Facilitator Note:

Slide 3, Lesson Scope

Facilitator Note:

Slide 4, ELO

Facilitator Note:

Transition into next slide

Transition into GNI discussion (40 minutes) LSA 3

LP-5

Slide 5, The Three Phases of Negotiations

Facilitator Note: Present this information to the learner.

Negotiations can be a challenging and complex

process. We negotiate at many levels every day.

Negotiation is not always about “the other” or

those we encounter while deployed. In fact, we

often apply negotiation skills to interactions

within our own organizations and personal lives.

Ask the learners what each phases mean to them.

Transition into next slide for Prepare Phase

Facilitator Note: Negotiation contexts are always changing depending on your Area of

Operations, the social situation, and the environment. It is important to keep an open mind in

approaching any engagement, meeting, or negotiation. Remember that both parties are at the table

because both parties want something.

Tell learners that interactions with people, whether situational or preplanned, usually follow these

three phases

ASK: How important is it for leaders to know and apply the negotiation phases?

Now we will discuss each phase of the negotiation process.

Slide 6, The Prepare Phase

Facilitator Note:

In planning for any meeting or negotiation,

understand what you need and want, the rules of

engagement and your commander’s guidance.

Ensure learners understand that this information

applies to the civilian sector as well as the

military sector.

Prepare phase

Build 1: Negotiation Approaches: During the negating process, you may need to adjust or completely

change the approach based on evolving circumstances or new information. Army doctrine outlines the

following negotiation approaches;

Distributive:

Known as “win-lose” or “fixed-pie” approach. There are usually a fixed number of available

resources. One party usually feels they won; the other feels they lost

LP-6

Conflict viewed as inevitable; negotiation guided by competition rather than collaboration

Deception and distrust may be perceived with this approach. Information seen as powerful

Negotiations focus on positions or the “what.” For example, “I need more checkpoints.” The

relationship is not as critical

Integrative:

Known as “win-win” or “expanding-the-pie” approach. Interest based negotiation (IBN) is an

example. Both parties feel they have gained something

Conflict not viewed as inevitable; mutual gains exist. Trust-building initiated to develop a

cooperative environment

Through collaboration, valued resources become known to both parties; interests from both sides

are satisfied

Negotiations focus on the interests or “the why.” For example, “We need better security.” The

relationship is crucial; mutual long-term gain is often the goal

Build 2: Interest based negotiation: IBN is an integrative approach focusing on relationships.

Essential components of IBN are:

Separate the people from the problem

Focus on the interests not the position

Determine Best Alternative to a Negotiated Agreement (BATNA)

Brainstorm for Mutual Gains

Use Objective Criteria to measure fairness or reasonableness of the agreement

Build 3: Negotiation plan sheet: Keeps track of what is being done in the negotiation process. Refer

learners to the Soldiers’ Guide to Negotiation pages 7-10 and discuss the negotiation plan sheet.

Build 4: Zone of possible agreement: Zone of possible agreement (ZOPA):

Range between reservation point (referred to as Bottom line – the least you will accept) and

Aspiration Point (the ideal outcome)

Often used to gauge fairness

Limiting offers to within this range can hinder the discussion and possibilities regarding options for

mutual gains

Explore ways to improve your BATNA

Build 5: Options for mutual gain: Satisfy interests of both parties when possible; you must brainstorm

for mutual gains and discover all the ways parties can work together. Get the options on the table and

then identify which best satisfy the parties’ interests. Look for ways to create value.

Transition to the prepare phase (cont.) slide

LP-7

Slide 7, The Prepare Phase (cont.).

Facilitator Note: Objective Criteria:

Military Regulations, historical data, local

norms, etc.

Next Slide Continue with Prepare phase

The Prepare phase

Build 1: Objective criteria use this to measure fairness or reasonableness of the agreement. Refer

learners to the Soldiers’ Guide to Negotiation page 13 and discuss the objective criteria of the US Army

and the counterpart.

Build 2: Culture considerations: Be mindful of Cultural behaviors and norms, in this build you will

discuss high/low context, language, status, gender, emotions, etc. that plays a big part during the

negotiation process. Refer learners to the Soldiers’ Guide to Negotiation pages 14-17 and discuss the

culture considerations.

Build 3: Considering emotions: Emotions play an important role in human interactions. Understanding

emotions is essential to being able to leverage them. Acknowledge your own and, if appropriate validate

the other party’s. Allow time to process, discuss, and vent if needed. Refer learners to the Soldiers’ Guide

to Negotiation pages 18-20 and discuss emotions.

Build 4: Negotiations styles: Are critical component of negotiation; there are five a person’s behavior in

conflict situations can be assessed along two basic dimensions: Assertiveness, the extent to which the

individual attempts to satisfy his or her concern. Cooperativeness, the extent to which the individual

attempts to satisfy the other’s concern. Refer learners to the Soldiers’ Guide to Negotiation pages 21-28

and discuss the styles go over some of the military examples:

Competing or insisting

Collaborating or Cooperating

Compromising or settling

Avoiding or evading

Accommodating or complying

Note: Transition to the next slide; now let’s discuss the Implement Phase.

ASK: What is the importance of negotiations?

LP-8

Slide 8, The Implement phase

Facilitator Note:

Negotiation Framework: Basic framework consists of the following:

Introduction: Use appropriate greeting within cultural context; Apply Culture considerations and

facilitate rapport; Transition from social to business using a mutual interest

Discussion: Allow each side to state its case without interruption and prejudgments. Be mindful of

how the current cultural context influences the negotiation.

Proposals: Allow your counterpart to make offer proposal first. Listen to offers; are they at least as

good as your BATNA and within the ZOPA? Take breaks as needed to regroup or strategize.

Agreements: Consider offers; determine place within ZOPA, see the Soldiers’ Guide to Negotiation

page 32.

Closing: Review all agreements, see the Soldiers’ Guide to Negotiation page 32.

Setting the Stage: Although something like choice of location seems simple, it too can greatly

impact a negotiation also maintain a positive relationship with your counterpart; refer learners the

Soldiers’ Guide to Negotiation page 33 and discuss the bullets under Positive Relationships and

Intimidation.

Transition into the evaluation phase slide

Slide 9, A Cyclic, Continuous Process for Risk Management

Facilitator Note:

Evaluation Phase

The evaluation process is not limited to one phase of the negotiation process. Rather, the astute negotiator

will continuously evaluate throughout the phases of their negotiation. The astute negotiator will

continuously evaluate throughout the phases of their negotiation.

LP-9

It is important to ask, “How did this go?” “What did I/we miss?” “What were the challenges?” “What

went well?” “Was the information I/we had relevant?”

Discuss the areas to consider after the negotiation concludes; refer learners the Soldiers’ Guide to

Negotiation page 34 and 35.

Have students browse appendices A-E before the PE.

Slide 10, Questions

Facilitator Note: Clarify any questions the

learners may have.

e. Develop (5 minutes): LSA 4

Ask: Ask learners how they will use the basics of negotiations in the future

f. Apply (45 minutes): LSA 5

Role Play (See Appendix C) Facilitator Note: Issue each group their instructions for the PE.

Group A PE pages C5- to C-6 and Group B PE pages C-7 to C-8. Do not issue before class!

8. ASSESSMENT:

Refer to S300 advance sheet for all information on all assessments.

A-1






Appendix A

Slides

Slide Number Description/Title

1 Concrete Experience

2 Basic Principles of Negotiations

3 Lesson Scope

4 Three phases of Negotiation

5 ELO

6 The Prepare Phase

7 The Prepare Phase (Cont.).

8 The Implement Phase

9 The Evaluate Phase

10 Questions

B-1






Appendix B

Test(s) and Test Solution(s)

Not applicable for this lesson.

C-1






Appendix C

Practical Exercise(s) and Solution(s)

Practical Exercise Sheet

Time: 45 minutes

Title Conduct a Negotiation

Lesson

Number/Title

S315 The Basic Principles of Negotiations

Security

Classification

U - Unclassified

Introduction Each learner will receive one PE handout

Group A will receive one PE Handout Group A Scenario (C-5 to C-6)

Group B will receive one PE Handout Group B Scenario (C-7 to C-8)

Motivator

Enable

Learning

Objective

NOTE: Inform the learners of the following Enable Learning Objective

requirements.

At the completion of this lesson, you [the learner] will:

Action: Conduct a negotiation

Conditions: As a learner and leader attending the SLC, using an

organizational-level leadership perspective in notional

tactical and operational environments, given references,

practical exercises and classroom discussions.

Standards: The standards include:


Implementing the negotiation plan

Safety

Requirements

Brief emergency exit/evacuation procedures including wires/cords, floor

outlets, ramp/step, confined workspace, electronics, and beverages in the

classroom.

Risk Assessment

Level

Low

C-2

Environmental

Considerations

NOTE: It is the responsibility of all Soldiers and DA civilians to protect the

environment from damage.

None

Evaluation This is not a graded practical exercise.

The information you learn from this practical exercise will enhance your

knowledge and capability to conduct inspections when required.

Instructional Lead-

in

This practical exercise is a culmination of what you have learned from this

lesson. The results will indicate to you the area where you are strong and

area where you may need further study.

Resource

Requirements

Facilitator Materials:

Easel with paper and/or white board

Computer and projector

Practical Exercise

Solution to Practical Exercise

Reading Assignments

Learner Materials:

Pencils and/or pens

Personal notes

Advance sheet

Reading Assignments

Special

Instructions

Issue groups PE instructions after the develop step.

PE Handout Group A (C-5 to C-6) and PE 2 Handout Group B (C-7 to C-8).

After 35 minutes, provide each group feedback on their plan to reach a

BATNA

Procedures You have 35 minutes to complete this exercise.

Complete as a group. Use any desired references from the lesson.

I will provide group feedback when everyone has completed the PE (10

minutes)

Feedback

Requirements

NOTE: Provide appropriate feedback on learner performance to enhance the

transfer of learning. Provide remedial training as needed.

C-3






Appendix C

Practical Exercise Facilitator Instructions

____________________________________________________________________________

**For Facilitator Use only**

Negotiation Scenario

Overview

A platoon has occupied a Combat Outpost (COP) in their Battalion Area of Operations (AO) for

two months. The company commander informed the PSG that their COP will be receiving extra

personnel and equipment and there is a need to expand the size of their COP. A vacant parcel of

land, now owned by one of the villagers, sits between the COP and a villager’s house lot.

The villager bought the land 5 years ago for the equivalent of $2,000.00 thinking that they might

grow some potatoes, but never went ahead with this project. The company commander wants the

platoon sergeant to develop a negotiation plan to acquire the parcel.

As it happens, there is a large bargaining range in this case. The villager is in need of some

money to send his son to school out of state and will reluctantly sell the land for $3,000 to

anyone, if no better of deal is reached. Unbeknownst to the sellers, the company commander is

very interested in purchasing the land to expand his COP. The Army’s lawyers told the

commander that he could spend up to $10,000 for the land.

Pre-Negotiation Instructions

Before participants begin negotiating, make it clear that the vacant lot between the villager and

The COP is under discussion, not the villager’s' house lot.

Emphasize that the parties should not exchange their physical Confidential Instructions during

the negotiation. People can reveal as much or as little of their confidential information as they

see fit, but must establish their credibility with their words or other actions. Also, you may ask

people not to swap sheets even after they have come to agreement, so you can reveal the key

information during the debriefing.

Emphasize that the negotiation is taking place under a tight deadline: 30 to forty minutes really

will suffice. By the same token, people should be encouraged to make good use of the time they

have; tell them that they will get more out of the exercise if they do not rush to agreement in the

first few minutes.

C-4

Some facilitators might be interested in adding another step in the game: ask participants to

record their goals privately before they negotiate. This will make it possible to explore the

possible connection between aspirations and success. It will also demonstrate how, for some

people, standards of success are relative, not absolute. A seller may be very happy with a

$5,000 deal, for example, until he or she learns that the buyer had much more to spend. To

pursue this topic, hand out the Pre-negotiation Questionnaire along with the Confidential

Instructions and give people an extra minute to complete Part I of the form before the

negotiation.

C-5







The Villager (Group A)

A villager paid $2,000 for a 10 acre parcel that sits between his home and a platoon Combat Observation

Post (COP). The villager purchased the lot thinking that they might someday use it to grow potatoes, but

they never got around to do so.

Now the villager needs money to send his son out of state for schooling, has elected to take $3,000.00 as a

minimum and last resort offer for his lot. The negotiation is taking place under a tight deadline: 30 to

forty minutes really will suffice.

1. In this negotiation, you are to assume the role of one of the villager – or, if you are more

comfortable, that of a representative fully authorized to act on their behalf.

2. Your goal is to sell the vacant parcel for as much as possible. Any deal you make with the Army

(PSG) must be more than the $3,000 offer that you already have.

3. You should regard the $3,000 as an absolute minimum. Try hard to do much better.

Instructions

1. Read information carefully

2. Plan your strategy

3. Negotiate with other party

4. Do not exchange sheets

Preparation

1. Assess your goals

2. Analyze your BATNA

3. Estimate the other side’s BATNA with utmost objectivity

4. See what you have to learn

5. Anticipate perceptions

6. Plan your process

7. Be ready to adapt

Take Aways

1. Know your BATNA

(Best Alternative to a Negotiated Agreement)


3. Be modest about how much you know

4. Weigh offers carefully

5. Avoid the winner’s curse

C-6

Part 1 (pre-negotiation) what is in the seller’s best interest?

A. Your name: Group A

B. Your role: Seller

C. Please fill in the settlement amount which would result in the following levels of satisfaction for you

(note: marginally satisfactory must equal the bottom line).

Marginally satisfactory $_____________

Satisfactory $_____________

Very satisfactory $_____________

Optimal $_____________

D. Is there any amount which, though seemingly even better for you than the OPTIMAL figure you just

listed, you would reject as being unfair to the other side?

Circle One: YES NO

E. Now that you have completed the Pre-negotiation worksheet, you may begin to negotiate. Don't show

this sheet to your counterpart.

C-7







The PSG (Group B)

Your platoon has occupied a Combat Outpost (COP) in the Battalion Area of Operations (AO) for two

months. Your company commander informed you (PSG) that your COP will be receiving extra personnel

and equipment and there is a need to expand the size of your COP. A vacant parcel of land, now owned

by one of the villagers, sits between the COP and a villager’s house lot. Your company commander wants

you to develop a negotiation plan to acquire the parcel. The Army’s lawyers told your commander that he

could spend up to $10,000 for the land. The negotiation is taking place under a tight deadline: 30 to forty

minutes really will suffice.

1. In this negotiation, you are to assume the role of the PSG.

2. Your goal is to buy the vacant parcel for as little as possible. The $10,000 maximum your

commander has stipulated is an absolute upper limit. Every dollar you can shave from this cap

represents an improved result.

3. You are only interested in a straight cash deal. Do not complicate matters by arranging seller

financing, reserving special easements, or introducing other issues or options.

Instructions

1. Read information carefully


3. Negotiate with other party

4. Do not exchange sheets

Preparation

1. Assess your goals

2. Analyze your BATNA

3. Estimate the other side’s BATNA with utmost objectivity

4. See what you have to learn

5. Anticipate perceptions

6. Plan your process

7. Be ready to adapt

1. Know your BATNA

(Best Alternative to a Negotiated Agreement)


3. Be modest about how much you know

4. Weigh offers carefully

5. Avoid the winner’s curse

C-8

Part 1 (pre-negotiation) what is in the PSG’s best interest?

A. Your name: Group B

B. Your role: Buyer

C. Please fill in the settlement amount which would result in the following levels of satisfaction for you

(note: marginally satisfactory must equal the bottom line).

Marginally satisfactory $_____________

Satisfactory $_____________

Very satisfactory $_____________

Optimal $_____________

D. Is there any amount which, though seemingly even better for you than the OPTIMAL figure you just

listed, you would reject as being unfair to the other side?

Circle One: YES NO

E. Now that you have completed the Pre-negotiation worksheet, you may begin to negotiate. Don't show

this sheet to your counterpart.

D-1

Appendix D- Learner Handouts for Lesson S315- The Basic Principles of Negotiations

This appendix contains the items listed in this table--

Title/Synopsis Page(s)

S315-Advance Sheet AS-1

AS-1






Advance Sheet

1. SCOPE:

At the end of this lesson the learner will have the ability to engage in negotiations by utilizing the

three phases of negotiation.

2. LEARNING OBJECTIVES:

This lesson supports SLC TLO 400-SLC-300.3, Human Dimension, as listed in the S300

advance sheet.

ELO: 400-SLC-315

Action: Apply the three phases of negotiation.

Condition: As a learner and leader attending the SLC, using an organizational-level leadership

perspective in notional tactical and operational environments, given references, practical exercises and

classroom discussions.

Standard: Examination includes:


Implementing the negotiation plan

Evaluating the negotiation plan

Learning Domain: Cognitive

Level of Learning: Evaluating

21st Century Soldier Competencies:

Adaptability and initiative.

Lifelong learner.

Teamwork and collaboration

Communication and engagement.

Critical thinking and problem solving.

Linking Warfighting Challenges to Required Capabilities:

Develop Situational Understanding

Adapt the Institutional Army

Enhance Training

Improve Soldier, Leader and Team Performance

Develop Agile and Adaptive Leaders

Set the Theater, Sustain Operations, and Maintain Freedom of Movement Develop Capable

Formations

AS-2

3. ASSIGNED LEARNER REQUIREMENTS:

a. Read:

RA: Negotiations Smart card

Negotiation_Smart_

Card_August2015.pdf

b. Scan:

SA: Soldiers Guide to Negotiations

Soldiers_Guide_to_

Negotiations.pdf

c. Classroom Discussion: Learners should be prepared to discuss the following in class:

(1) Prepare a negotiation plan

(2) Implement a negotiation plan

(3) Evaluate a negotiation plan

4. ASSESSMENT:


E-1





The Basic Principles of Negotiations Negotiation

Appendix E

Lesson Training Outline

Not applicable for this lesson.

F-1





The Basic Principles of Negotiations Negotiation

Appendix F

Facilitator Materials

This appendix contains the items listed in this table--

Title/Synopsis Page (s)

S315-IM-Assessment Plan IM-1

IM-1






Appendix F

Assessment Plan


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