Über die Autorin bzw. den Autor

Michele J. Gelfand is Associate Professor of Psychology at the University of Maryland, College Park. Jeanne M. Brett is the DeWitt W. Buchanan, Jr., Distinguished Professor of Dispute Resolution and Organizations at the Kellogg School of Management, Northwestern University.

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The Handbook of Negotiation and Culture

Stanford University Press

Contents

List of Tables and Figures.........................................................................................................................................................................................ixForeword...........................................................................................................................................................................................................xiPreface............................................................................................................................................................................................................xvPART ONE. BASIC PSYCHOLOGICAL PROCESSESIntroduction.......................................................................................................................................................................................................31. The Evolution of Cognition and Biases in Negotiation Research: An Examination of Cognition, Social Perception, Motivation, and Emotion Leigh Thompson, Margaret Neale, and Marwan Sinaceur.....................72. Cultural Differences and Cognitive Dynamics: Expanding the Cognitive Perspective on Negotiation Michael W. Morris and Michele J. Gelfand.......................................................................453. I Laughed, I Cried, I Settled: The Role of Emotion in Negotiation Bruce Barry, Ingrid Smithey Fulmer, and Gerben A. Van Kleef..................................................................................714. Culture and Emotions in Intercultural Negotiations: An Overview Rajesh Kumar...................................................................................................................................955. Motivation in Negotiation: A Social Psychological Analysis Carsten K. W. De Dreu...............................................................................................................................114PART TWO. SOCIAL PROCESSESIntroduction.......................................................................................................................................................................................................1396. Communication Processes in Negotiation: Frequencies, Sequences, and Phases Laurie R. Weingart and Mara Olekalns................................................................................................1437. Culture and Negotiation Processes Wendi Lyn Adair and Jeanne M. Brett..........................................................................................................................................1588. Resolving Disputes Between Faceless Disputants: New Challenges for Conflict Management Theory Debra L. Shapiro and Carol T. Kulik..............................................................................1779. Culture and Conflict: Enlarging Our Dispute Resolution Framework Catherine H. Tinsley..........................................................................................................................193PART THREE. NEGOTIATION IN CONTEXTIntroduction.......................................................................................................................................................................................................21310. The "Dark Side" of Social Context: The Role of Intergroup Paranoia in Intergroup Negotiations Roderick M. Kramer..............................................................................................21911. Cultural Structuring of the Social Context of Negotiation Michele J. Gelfand and Deborah A. Cai...............................................................................................................23812. Contractual and Emergent Third-Party Intervention Donald E. Conlon and Christopher J. Meyer...................................................................................................................25813. Adaptive Third Parties in the Cultural Milieu Peter J. Carnevale, Yeow Siah Cha, Ching Wan, and Sam Fraidin...................................................................................................28014. Justice and Negotiation Tom Tyler and Steven L. Blader........................................................................................................................................................29515. Justice Across Cultures: A Three-Stage Model for Intercultural Negotiation Kwok Leung and Kwok-Kit Tong.......................................................................................................31316. What Do Communication Media Mean for Negotiators? A Question of Social Awareness Kathleen L. McGinn and Rachel Croson.........................................................................................33417. At the Crossroads of Culture and Technology: Social Influence and Information-Sharing Processes During Negotiation Zoe I. Barsness and Anita D. Bhappu........................................................35018. Conflicting Interests in Social Life: Understanding Social Dilemma Dynamics J. Mark Weber and David M. Messick................................................................................................37419. Cross-Cultural Perspectives on Cooperation in Social Dilemmas Jeanne Brett and Shirli Kopelman................................................................................................................395PART FOUR. EPILOGUE20. Integrating Negotiation and Culture Research Michele J. Gelfand and Jeanne M. Brett...........................................................................................................................415Contributors.......................................................................................................................................................................................................429Author Index.......................................................................................................................................................................................................435Subject Index......................................................................................................................................................................................................449

Chapter One

AN EXAMINATION OF COGNITION, SOCIAL PERCEPTION, MOTIVATION, AND EMOTION

Leigh Thompson, Margaret Neale, and Marwan Sinaceur

BAZERMAN AND NEALE'S (1983) chapter on heuristics in negotiating initiated a new era of negotiation research. Prior to that time, the study of negotiation as led by Pruitt (1981), Kelley (1966), Deutsch (1973), Druckman (1968), Morley and Stephenson (1977), Siegel and Fouraker (1960), and others focused on the bargaining process, the study of moves and countermoves, aspirations and goals, and, to some extent, expectations. The birth of the cognitive negotiation theory was fueled by three events in the social sciences. First, Amos Tversky and Daniel Kahneman's empirical studies and their seminal 1982 book with Paul Slovic, Judgment Under Uncertainty: Heuristics and Biases, created a new field of behavioral science: behavioral decision theory. Richard Nisbett and Lee Ross's empirical studies and their book Human Inference: Strategies and Shortcoming of Social Judgment (1980) further catalyzed the field of behavioral decision theory. Second, the social cognition movement in social psychology (cf. Taylor and Fiske, 1975) focused researchers on the mental shortcomings of the social actor. Finally, Howard Raiffa, in his book The Art and Science of Negotiation (1982), provided a conceptual perspective on negotiation-the asymmetrical prescriptive-descriptive approach-arguing that the best advice (or prescriptions) to negotiators included an understanding not only of what negotiators should do (the rational perspective) but also of what they are likely to do (the behavioral perspective). Raiffa's perspective provided a structure for thinking rationally in a less than rational world. In the ensuing twenty years, there has been considerable research on negotiation from this cognitive perspective.

In this chapter, we have organized the cognitive negotiation research into four categories of biases: cognitive biases, social perception biases, motivational biases and, most recently, emotional biases. Our choice of categories was based on induction: We began by searching the literature on negotiation and bias from 1990 to 2000, using the key words negotiation and conflict resolution on the one hand, and judgment, cognitive, bias, heuristic, and attributions on the other hand. This search yielded 554 citations. We eliminated studies that did not use a negotiation task per se. This eliminated group judgment tasks and scenario-based studies, prisoner's dilemma studies, and computer simulations. We also eliminated studies that did not use some kind of quantitative measure of outcome, without which it is impossible to draw conclusions about the quality of the negotiated agreement; studies that did not have the individual, dyad, or group as the unit of analysis (mainly, this excluded studies from the clinical literature); reports that were not original empirical research articles (e.g., chapters and review reports); studies that focused on culture per se, as this is the focus of several other articles in this volume; and studies that did not focus on one of the four major areas of bias that we identified at the outset. Applying these criteria reduced the citations to 127. After classifying the empirical articles into one of the four major areas of bias, we looked for major themes and organizing principles within each. Our goal was to examine how the landmark studies in each of these areas have shaped the science and practice of negotiation. In the final section of the chapter, we explore the mechanisms by which negotiators can reduce the impact of biases in negotiation.

COGNITIVE BIASES

Cognitive biases are systematic deviations from normative models that prescribe rational behavior, as articulated by game theory and other normative principles. Cognitive biases presumably result from information-processing heuristics, such as framing, anchoring, and overconfidence (Neale and Bazerman, 1991). Cognitive heuristics emanate from faulty information processing. Two approaches have characterized the research on cognitive biases in negotiation (and in decision making as well). The fundamental argument is that decision makers (and negotiators) suffer from fundamental misperceptions when judging the risk, the value (or utility) of gambles and other objects. This approach identifies the well-known economic model of utility maximization and related principles of rationality (cf. von Neumann and Morgenstern, 1947) as the appropriate normative model. The observation that individuals systematically depart from the predictions of economic models largely led to the development of behavioral decision theory as a field of study and the modern conceptualization of negotiation theory as a topic of empirical inquiry. The research literature on cognitive bias in negotiation has been built on straightforward extensions of individual information processing to the (at least) dyadic, interdependent interaction of negotiation. For example, Neale and Bazerman (1991) referred to these biases as "individual biases in negotiations." Only later did scholars (including Bazerman and Neale) begin to study how these biases might socially interact (Arrow, Mnookin, Ross, Tversky, and Wilson, 1995).

The second approach derives from the concept of cognitive schemas or cognitive maps (e.g., Abelson, 1981; Gilovich, 1981; Higgins, Rholes, and Jones, 1977) and, more recently, cognitive mental models as developed by cognitive psychologists (Evans, 1993; Johnson-Laird, 1983; Tabossi, Bell, and Johnson-Laird, 1999). The key assumption is that people attempt to make sense out of novel situations by using previously developed knowledge structures. These knowledge structures (schema, maps, and models) operate in a top-down fashion to direct information processing, including attention, categorization, and retrieval. It is important that the biases that result from the use of such heuristics are not biases that reflect departure from economic models of behavior, but rather biases that indicate departures from social norms or standards.

Table 1.1 reviews these two key principles and identifies the biases that have been identified by each and the empirical studies related to that bias. Next, we review the two organizing principles in greater detail.

Misperceptions of Risk and Value

Much of the research on the misperceptions of risk and value is derived from the work of Kahneman and Tversky (1979) on prospect theory. The fundamental prediction of prospect theory is that people's evaluations of a given prospect are largely a function of people's reference points, defining gain and loss, as opposed to the expected utility of the gamble (Kahneman and Tversky, 1979). Accordingly, a "framing effect" refers to the observation that people typically prefer gains for certain rather than a lottery of equal or greater expected value, but when contemplating losses, people prefer a gamble rather than a certain outcome of something of equal or greater expected value. Neale and Bazerman and their colleagues (Bazerman, Magliozzi, and Neale, 1985; Neale and Bazerman, 1985; Neale, Huber, and Northcraft 1987; Northcraft and Neale, 1986) extended the theory of framing to a negotiation context. In their original study, negotiators were either given a payoff schedule that was positively framed (e.g., indicated profits) or negatively framed (e.g., indicated losses). Whereas the payoff schedules were objectively identical, they led to very different behaviors. Positively framed negotiators adopted less risky bargaining strategies, preferring an agreement to holding out for a better, but more uncertain, settlement. As a result, they were more concessionary and reached more agreements than negatively framed negotiators. Also, they perceived the negotiated outcomes as more fair than negotiators who had negative frames. The larger number of transactions achieved by positively framed negotiators resulted in higher overall profitability for them, although negatively framed negotiators completed transactions of greater average profit (Neale, Huber, and Northcraft, 1987). Thus a positive frame led to more successful performances over a small number of transactions. However, negotiators who had a positive frame were more likely to agree to less favorable terms than were negotiators who had a negative frame. If negotiators had different frames, the negotiator with the negative frame would be expected to gain a greater share of the available surplus as compared to his or her positively framed counterpart. Indeed, Bottom and Studt (1993) showed that negatively framed negotiators received significantly better outcomes than their positively framed counterparts not only in distributive but also in integrative negotiations. Hence, positive frames can be a liability in distributive and integrative bargaining when they are not shared by all negotiating parties (Bottom and Studt, 1993).

The influence of frames does not mean that one is only influenced by one's own frames. In a negotiation, parties may be influenced not only by their own frames, but also by others' communicated frames (De Dreu, Emans, and van de Vliert, 1992). In particular, negotiators may learn about their counterpart's frame through information exchange during the negotiation process. As a result, negotiators' own frames may change as a function of their counterpart's communicated frame. Relying on such arguments, De Dreu and his colleagues showed that people may be especially affected by the other's loss frame as opposed to his or her gain frame. Specifically, when two negotiators have different frames, the gain-framed negotiator adopts the other's loss frame more readily than vice versa.

Another bias that garnered scholarly attention in negotiation research is anchoring and insufficient adjustment. According to Kahneman and Tversky, an anchoring-and-insufficient adjustment effect (referred to in this chapter as anchoring) occurs when an individual's judgment is weighted by an initial datum and the individual fails to adjust his or her assessment of value sufficiently, given that initial anchor. Tversky and Kahneman's (1974) famous wheel-of-fortune study, where participants were asked to estimate the number of African countries in the United Nations after being given a random starting value, led to similar studies in negotiation. Northcraft and Neale (1987) demonstrated that real estate agents were susceptible to the influence of an anchor, in the form of a listing price previously provided, when they estimated the appraised value of residential properties and made pricing decisions about them. When the real estate agents were asked to identify the factors that influenced their decisions, they denied using the listing price provided as a consideration in their decision. More recent research has used the anchoring principle to examine the weight accorded to first offers in negotiation (Galinsky, Seiden, Kim, and Medvec, 2002; Kristensen and Gaerling, 1997a; also Weingart, Thompson, Bazerman, and Carroll, 1990). Initial offers influence the adoption of a reference point, even in the presence of an estimated market price or of a reservation price (Kristensen and Gaerling, 1997a). They also influence people's satisfaction with and subsequent attitude toward negotiation, such as the amount of preparation for a subsequent negotiation, more than does objective success (Galinsky et al., 2002). Indeed, negotiators whose first offers are immediately accepted are less satisfied with their outcome than negotiators whose first offers are not immediately accepted, even when their objective outcome is actually better. Galinsky et al. (in press) showed that this is because such negotiators engage more in counterfactual thinking: Having one's first offer immediately accepted is more likely to produce thoughts of how one "could have done better."

Not only do anchors affect negotiators' reference points and satisfaction, but they also affect their estimates of their counterparts' reservation prices. For instance, Kristensen and Gaerling (1997b) documented that an estimated market price affected buyers' estimates of sellers' reservation prices. White (Blount) and Neale (1994) showed that initial offers influenced negotiators' perceptions of their counterparts' reservation prices. Anchors also affect negotiated outcomes (e.g., Korhonen, Oretskin, Teich, and Wallenius, 1995; White (Blount) Valley, Bazerman, Neale, and Peck, 1994). In particular, initial offers affect final profit, both for the initiator and the noninitiator (Galinsky and Mussweiler, 2001; Galinsky et al., 2002; Ritov, 1996). According to Ritov, the impact of initial offers endures even when negotiators gain experience. Galinsky and Mussweiler (2001) found that whichever party made the first offer obtained a better outcome. In addition, they demonstrated that the effect of first offers on final settlement was moderated by perspective taking. Specifically, when the negotiator who received the first offer focused on information that was inconsistent with it-that is, she or he thought about the alternatives or the reservation price of the person making the first offer, or about his or her own targets-the advantageous effect of making the first offer was eliminated. This research suggests that some anchors are more powerful than others. Own aspirations or estimates of another's aspirations may be stronger than another's first offer.

This latter result, in turn, poses the more general problem of the relative weight of simultaneous, competing anchors. White (Blount) and associates (Blount, Thomas-Hunt, and Neale, 1996; White and Neale, 1994) assessed the relative importance of different kinds of anchors for actual outcomes. They found that individual reservation prices influenced bargaining outcomes more strongly than prevailing market prices or negotiator aspirations. In particular, when perceptions of high price variance were present among negotiators, reservation prices were more dominant in determining outcomes than was market information (Blount, Thomas-Hunt, and Neale, 1996). In other research, Galinsky, Mussweiler, and Medvec (2001) examined whether the level of reference points resulted in differentiated outcomes and satisfaction for negotiators. In their experiments, negotiators focused on either a low reference point (reservation prices) or a high reference point (targets). Negotiators who focused on their target prices achieved objectively superior outcomes than negotiators who focused on either their reservation prices or their alternatives to the negotiation. The effect on subjective satisfaction was the opposite. Paradoxically, those negotiators who focused on their higher bound were less satisfied with their objectively superior outcomes than those who focused on their lower bound. Finally, it seems plausible, in general, to argue that the various anchoring effects previously discussed may be extended to intergroup negotiations.

Availability and overconfidence have also held a prominent position in the cognitive bias research in negotiation. The availability of past and present information affects how negotiators evaluate their alternatives (Tversky and Kahneman, 1973): not all of the pieces of information that are relevant to decisions are recalled in an equivalent manner. When information is less concrete, such as opportunity costs, as opposed to out-of-pocket-sunk costs, it is less likely to be included in financial decision making during negotiations (Northcraft and Neale, 1986). Accordingly, manipulating the relative salience of negotiation-related costs produces systematic changes in negotiator behavior (Neale, 1984). Neale showed that when the personal costs of reaching a settlement are made salient, negotiators are less likely to settle. On the other hand, the way one's counterpart presents information may have an a impact on a negotiator's capacity to be persuaded. Research in social psychology demonstrates that people are more easily affected by vivid, concrete, and emotionally rich information, rather than abstract, pallid, and emotionally poor information (e.g., Borgida and Nisbett, 1977; Nisbett, Borgida, Crandall, and Reed, 1982). Vivid information does not necessarily need to be emotion arousing or concrete to be more easily recalled and be more persuasive than nonvivid information (Wilson, Northcraft, and Neale, 1989).

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