解決紛爭和達成交易「談判」的科學與藝術

The Science and Art of Negotiation for Resolving Disputes and Making Deals

張宇維(Yu-Wei Chang)

指導教授 ： 王文宇

國立臺灣大學/法律學院/法律學研究所/碩士(2011年)

https://doi.org/10.6342/NTU.2011.10060

摘要

「談判」係藉由對話用以「解決紛爭」或「達成交易」之方式，對法官、律師、調解人等法律工作者而言，實為不可或缺之技能。有鑑於此，美國哈佛大學法律學院成立了「談判計劃」（The Program on Negotiation），英國創設了「法律實務證書」（Diploma in Legal Practice）制度，均致力於研究和發展談判的理論和運用，期望藉由基本談判技能之教學，消弭學術與實務無法接軌的重大問題。然而，台灣則甚少有此議題之研究，對於如何進行談判才有可能促成和解或是勸說息訟，亦無任何說明或指引。為此，本文以法律實務（包括「解決糾紛」的訴訟行為、交易等非訟行為及「第三者介入」的調解程序等）為出發點，介紹談判之基礎理論、策略、思考模式及相關案例，以作為法律學者及實務工作者於從事法律談判活動時之參考。
　　而談判是一門「藝術」（art）和「科學」（science）結合的領域，因此本文參考與談判相關之國內外法律、商管、經濟、心理及藝術科學等研究文獻，從談判的「參與主體」（包括當事方、律師、調解人）之關係與角色、談判共通的準備階段及發生階段等程序可用之策略，以及「解決紛爭型」及「達成交易型」等不同談判種類之特殊思考模式與策略，勾勒出談判兼具「藝術」和「科學」特色的概貌。從此研究中，本文得到以下結論：
1.談判應並重「創造共享價值」及「公平分配價值」之兩大概念
2.應重視並正確處理談判各方之關係以朝良性方向發展
3.談判代理人應以當事人的利益為優先
4.應慎用虛構的競爭者以提高價錢之談判戰術
5.必要時，應引入公正且獨立的談判調解人，以幫助談判的續行
6.在複雜案件中，應綜合運用「達成交易」和「解決紛爭」的概念

關鍵字

談判 ； 最佳替代方案（BATNA） ； 保留價值（Reservation Values） ； 可能達成協議範圍（「ZOPA」） ； 定錨 ； 分配型談判 ； 整合型談判 ； 賽局理論

並列摘要

Negotiation is a means for dispute resolution and deal making through conversations. To legal practitioners such as judges, lawyers, and mediators, it is an inseparable skill. Given its critical importance to the profession, the Harvard Law School designed a “Program on Negotiation," and the United Kingdom created a “Diploma in Legal Practice” to bridge the gap between academia and actual practice through the research, development, and teaching of the theory and practice of negotiation. In contrast, in Taiwan, only limited analysis has been done on this topic, and few words on how negotiation can be used to settle disputes or put off litigation are available. Therefore, this paper aims to introduce the fundamental theory, strategy, and mode of thought of negotiation from the perspective of a legal practitioner. It will discuss both contentious and non-contentious matters such as dispute resolution, deal making, and mediation by a third party, in addition to case examples, in order to serve as a guide for scholars and practitioners conducting legal negotiations.
Negotiation is both an art and a science. Referencing research literature on law, business, economics, psychology, and art science, this paper demonstrates that the best practice of negotiation combines the various characteristics of art and science. It explains the interrelations and respective functions of the participants (including the negotiating parties, their lawyers, and mediators), and the common strategies used throughout preparation and the actual negotiation, with highlights on specific modes of thought and tactics for the different purposes of negotiation such as dispute resolution and deal making. This paper yields the following conclusions:
1. Shared value creation and value distribution are two concepts deserving of equal attention.
2. To guide the negotiation process toward a positive outcome, it is important to treat each negotiation participant with respect and manage their relationships with care.
3. The negotiation agents should put the negotiating parties’ interest first.
4. The use of the illusion of competition has distinct advantages and disadvantages, and should only be adopted after careful assessment.
5. When necessary, introduce a fair and independent mediator to facilitate the continuation of negotiation.
6. In complex cases, combine techniques of deal-making and dispute resolution.

並列關鍵字

negotiation ； best alternative to a negotiated agreement (BATNA) ； reservation value ； zone of possible agreement (ZOPA) ； anchoring, distributive negotiation ； integrative negotiation ； game theory

參考文獻

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