Developing Negotiation Case Studies

James K. Sebenius

Working Paper
11-008

Copyright 2010 by James K. Sebenius Working papers are in draft form. This working paper is distributed for purposes of comment and discussion only. It may not be reproduced without permission of the copyright holder. Copies of working papers are available from the author.

 DevelopingNegotiationCaseStudiesi EditedversionforthcomingintheNegotiationJournal October6,2010,v2.51 JamesK.Sebenius,jsebenius@hbs.edu HarvardBusinessSchool Abstract Whileagreatdealofexcellentadviceexistsforproducingcasestudieson manageriallyrelevanttopicsingeneral,negotiationcaseshavedistinctiveaspectsthatmerit explicittreatment.Thisarticleoffersthreetypesoftailoredadviceforproducingcaseson negotiationandrelatedtopics(suchasmediationanddiplomacy)thatareprimarilyintended forclassroomdiscussion:1)howtodecidewhetheranegotiationrelatedcaseleadisworth developing;2)howtochoosetheperspectiveandcasetypemostsuitedtoonesobjectives; and3)inbyfarthelongestpartofthediscussion,tennutsandboltssuggestionsfor structuringandproducinganexcellentnegotiationcasestudy. Supposeyoureadabout,participatein,orotherwisebecomeawareofanegotiation thatintriguesyouasapossiblecandidateforacasestudy.Perhapsastudent,colleague, participantinanexecutiveprogram,orprivateclientsuggestssuchanepisode.Youmay considerresearchingandwritingupthecaseyourselforyoumightsupervisesomeoneelse forthispurpose.Shouldyouproceedwithaninvestmentofyourscarcetimeand resources?Ifso,how?Whatsthebestcasewritingadviceyoucangivetoaresearch assistant,astudent(team)grapplingwithacourseassignmenttoproduceacasestudy,or someoneelsewhoissimplyinterestedinwritingupanegotiationfordiscussion purposes?ii Generationsofexperienced,evenlegendary,casewritershavecodifiedguidelines forproducingexcellentcasestudiesonvirtuallyanysubject.iiiYetnegotiationcasesoften havedistinctiveaspectsthatmeritexplicittreatment.Overtheyears,Ivefoundmyselfin manyconversationstryingtocrystallizeandconveytheelementsthatseemtocontribute tocraftingsuperiornegotiationcases.Ihopethatpullingtheseinsightstogetherand developingthemabitmoresystematicallywillbeusefulforothersundertaking casewritingprojects. Aquickcaveat:thoughcasewritingisoftenproperlypartofalargerresearch program,andsynergisticwithothermethodologies,Ifocushereoncasestudiesthatare mainlyintendedasvehiclesforclassroomdiscussionandanalysis.Assuch,Isidestep importantissuesassociatedwithsystematicallyselectinganddevelopingcasesforwell definedresearchprojects.Forexample,inthefieldofinternationalrelations,whichthrives oncasestudies,themethodofstructured,focusedcomparisonsisaresearchstaple.iv Moregenerally,exactingcriteriaexistforidentifying,developing,comparing,and
Draft:DevelopingNegotiationCaseStudies.Copyright 2010byJamesK.Sebenius.

contrastingcasestudiesinordertoextractvalidinductivesocialscientificknowledge.v However,Ileavethatsetofconsiderationsforspecialistswithcasewritingasacomponent ofwelldefinedresearchagendas.vi Thefollowingsectionsofferthreetypesofadviceforproducingcasesthatare primarilyintendedforclassroomdiscussion:1)howtodecidewhetheracaseleadisworth developing;2)howtochoosetheperspectiveandcasetypemostsuitedtoyourobjectives; and,3)inthebyfarthelongestpartofthediscussion,tennutsandboltssuggestionsfor structuringandproducinganexcellentcasestudy. Oneofthebestwaystolearnthecasewriterscraftistostudyanumberoftruly excellentcasestudies,orbetter,todiscusssuchcasesinaforumledbyanexperiencedcase methodinstructor.Assuch,ineachofthethreeadvicesectionsthatfollow,Imtemptedto listanumberofmyfavoritenegotiationcasesasmodels.Since,however,thesechoices maybeunfamiliartomanyreaders,andmaybesetintimes,places,orcontextsoflittle interesttoothers,Iwillinsteadofferasetofmodelcases,pluscommentary,inanonline foruminthehopethatotherswillconsult,comment,andcontribute.(Seeonlineurltobe providedlater.). I.Adviceondevelopingaprospectivecase:acaseforwhat?Acaseofwhat? Startbyseekingclarityonyouroverallpurpose:acaseforwhat?Whendone well,negotiationcasesprovidevaluablerawmaterialforgroupdiscussionandanalysis. Theyfosterlearningfromtheexperiencesofotherswhohaveconfrontednegotiation challengesarisinginpractice.Theyshowcaseboththepowerandlimitsofreceivedtheory. Thelargergoalofnegotiationcasewritingshouldbetodevelopbettertheoryand prescriptiveimplicationsthatpowerfullygeneralizeacrossdiversecontexts.Bydescribing strategiesandtacticsthatdifferentprotagonistsuse,successfullyornot,toovercome specificbarriers,casewritingcancontributetothisobjective.Caseanalysiscangenerate unexpectedhypotheses,novelinsights,midlevelgeneralizations,anduseableknowledge abouthowtoovercomethemostdauntingsituationsthatnegotiatorsandmediators actuallyface.Asyouconsiderlaunchingacasestudyproject,agoodstartistoask,atleast provisionally,whetherandhowthecaseprospectcouldadvancethesebroaderobjectives. Youshouldalsoclarifyanymorespecificgoalsyouhaveforpursuingacaselead. Forexample,ifitforacourse,whereandforwhatpurposeswillitbesituated?Isthecase largelyexploratory,tohelpagroupunderstandthelayofthelandforasetofproblemsor howaphenomenonofinterestplaysoutinagivencontext?Tohighlightaparticular negotiationchallengeorclassofchallenges?Tomotivateacoursesection,concept,or frameworktobedevelopedthatwill,perhaps,arisenaturallyinthecasesetting?To cementkeyconceptsorskills?Tochallengestudentstoseehowatheoryappliesina messy,realsituationorhowitmustbemodifiedtobeofvaluetopractitioners?Andso on. Goodanswerstothecaseforwhatquestionscanhelpyoudecidewhetherto proceedand,ifso,how.Forexample,yourpurposemaydictatehowmuchambiguityand complexityyoubuildintoacase(thatforcesthestudentstostrugglewiththeanalysis)
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versushowmuchhelpyougivethembyexplicitstructureandsignposting.Alternatively,if partofyourpurposeistohavestudentslearnabouttheeffectsanindustrysmostcurrent featuresoncontemporarydealmaking,oldersituationsobviouslywontdo.Ofcourse, universaltruthsaboutnegotiationcanbegleanedfromstudyingclassicepisodesreaching backtothePeloponnesianWars,theCongressofVienna,theU.S.CivilWar,theJ.P.Morgan orchestratedrescueofthefinancialsystembeforetheFederalReservewascreated,or GreatBritainsnegotiationswiththePrimeMinisterofMaltainthe1970s.Itdependson yourobjectives. Developagoodanswertothecaseofwhatquestion.Caseleadsaregenerally goodcandidatesfordeeperstudyiftheirprotagonistsactpurposefullyandareable,for nonidiosyncraticreasons,toovercomehighbarrierstoproductiveagreement.Or protagonistsmayactpurposefully,butfailforreasonswellworthfurtheranalysis.For caseleadsthatsatisfyatleastoneofthesepreliminarytests,mycolleague,MikeWheeler, oftenwiselybutpersistentlydisciplinesmyenthusiasmbyasking:sothiscertainlysounds interesting,but,hisvoiceinflectingup,itiscaseofwhat? Sometimesyoufindanegotiationcaseleadthatmeetscriteriathatinterestyou;by definitionsuchprospectspreanswerthecaseofwhatquestion.Forothercasesthatmay havearisenastargetsofopportunity,developingacleareranswerisworthwhile.For example,isitachallenginginstanceofasmaller,apparentlyweakerpartynegotiating againstalarger,strongerone?Or,arethetacticshardballorcooperativeunusualand worthanalysis?Isitsinterestmainlydrivenbygender,culture,orpersonalityclash?Does itfeatureremarkablecoalitionbuilding,breaking,orverycreativedealdesign?Doestime oradeadlineplayanunexpectedrole?Doprincipalagentdynamics,internalnegotiations, negotiationsoneachsideofthetable,ornonstandardmovesawayfromthetableloom large?Aretherenewsortsofmomentumgeneratingoractionforcingevents?Arethere distinctcriticalmomentsorturningpoints?Howaboutmovesthatentailirreversibilities? Doesaninsightfulstrategyorsetoftacticschangeperceptionsofthegameitself?Isthe processorchestratedinanunusualfashionorarethedynamicsintriguing?Istherean unexpectedfailureorbreakthroughfromwhichotherscouldlearn?Isthiscasepartofa contextortopiconwhichyouorothersconsciouslyseektodevelopabodyofknowledge (e.g.,negotiatingjointventuresinChinaorTurkey,onbiotechlicensingdeals,forbudgetor headcount,etc.) However,theepisodeyouhaveinmindmaysimplynotbeaverygoodcandidatein thatlotsofother,verysimilarcaseshavebeenwrittenandthecandidatesituationwould addlittle.Forexample,supposeitisaprettysimple,oneoffpricedealwiththeparties eithersplittingthedifferenceafterafewroundsorplayingchickenwiththeirfinaloffers. Nottoointerestingorworthmucheffortdeveloping.Whilecaseswithbigdollarnumbers orfamousprotagonistsorwellknownorganizationshavesomeintrinsicinterest,such glitzyhookswillrarelycarryacasethatdoesnthaveamuchbettersubstantiveanswerto thecaseofwhatquestion.Youmayhaveaprotagonistorsponsoringorganizationthat wantsanegotiationcasewritten(andpublished)butslantedforhighlyselfserving reasons,withlittleprospectofincludingotherperspectives.Andsometimesacasemeets allyourcriteriaofinterest,buttheessentialstoryand/orvitalinformationwillbeclearly
Draft:DevelopingNegotiationCaseStudies.Copyright 2010byJamesK.Sebenius.

unattainableforreasonssuchasstrongconfidentiality,competitiveorlegalsensitivities, threatenedpride,restrictionsontalkingtokeyplayers(includingtheotherside),etc. Thesefactorsmaypreventagoodanswertothecaseofwhatquestion.(Ofcourse, sometimesacasewontlikelybeofmuchvalueorinteresttoabroaderaudience,buta potentialcasewriterwhoactuallylivedthroughanintensenegotiationmayderivepersonal insightfromtheexerciseofwritingitup,maygainasenseofclosure,orevenfindthe processcathartic.) Ordoesyourpotentialcaseseemcompellingforreasonsthatarehardtoputyour fingeron?IveoftenwrittencasesthathadsomethingaboutthemthatIjustfound intriguingandwasonlylaterabletopindownandclarifyitsvalue.Forexample,lookingat animpressivebutunexpectedoutcome,oradealthatshouldhavehappenedbut somehowblewup,Iwilloftensimplywonderhowdtheypullthatoff?orWHAT happened?Whenthatfeelingisstrongbutlacksdefinition,itcanstillbeworth proceeding.Oneinvaluablefunctionoffieldbasedcasewritingistounearthphenomena anddynamicsthathavemostlybeenoverlookedintheliterature. Onceacaseiswritten,itoftentakesanumberofinstructorsdiscussingandteaching itseveraltimestodiscoveritsgreatestvalueandtoidentifyitsmostimportantinsights.(It isstillanothermattertodevelopthepedagogyforagivencasesothatagroupleavesthe discussionwiththekeyinsights,inJohnHammondswords,ringingintheirears.)And,if yourcaseiswellconceivedandexecuted,otherswillfrequentlyuseitindifferentsettings, fordifferentpurposes,andderivingdifferentinsightsfromthoseyouoriginallyenvisioned. So,expectingthatyou(orothers!)willuncoverunexpectedaspectsofthesituation onceyoureintothecasewritingprocess,orwhenlaterteachingand/ordiscussingthe case,youshouldstillseekgoodprovisionalanswerstothecaseforwhatandcaseof whatquestions.Withhumilityastotheultimateanswers,agoodcaseprospectshould permityoutoplausiblyfillinthefollowingblanks:thisappearstobeanintriguingcaseof _________,andthus,worthdelvingintomoredeeply,inordertouseforthefollowing reason(s):__________. II.Adviceonchoosingcaseperspectiveandtype. Casescanoftenbedividedaccordingtotheirperspective:theycanmainlybetold fromtheviewpointofaspecificprotagonist(protagonistcentered)ortheycandescribe anoverallsituationfromanonspecificormultipleperspectives(situationcentered). Hybridsarecommon,butnormallyemphasizeoneortheotherperspective.Andafew otherdesignchoicesstandaloneorwhethertoincorporateanassociatedexperiential exercise,"library"v."field"cases,actualv.disguisedsituationsmeritbriefmention. Protagonistcenteredcases.Fromthestandpointofimprovingpractice,Im convincedthatnegotiationcasesusuallybenefitfromhavingoneormoreidentifiable protagonistswhooccupydistinctpositionsandwhofacedifficultdecisionsinthecourseof theprocess.Anidealprotagonisthasadistinctivehistory,personality,psyche,and perspective.Heorsheshouldbeembeddedinaspecificcontextandorganization,withits ownformalandinformalstructure,culture,andincentives.Caseswithoutdistinct
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individualslosethepotentialvalueofreadersputtingthemselvesintheprotagonists actualsituation,wrestlingwithhisorherhardchoices,andlearningfromtheprocess. Mostrealfinancialnegotiations,forexample,cantbemeaningfullyreducedto disembodied,duelingspreadsheetsthoughthissometimeshappensinfinancecase studiesthatseem,almostincidentally,toentailnegotiations.Inprotagonistcenteredcases justasintheactualnegotiationstheymirror,individualsmustinterpretthesituation throughtheirownpartialandoftenbiasedlenses.Andindividualsultimatelymustchoose coursesofaction,whethersolooraspartofagroup,activelyorpassively,takinginto accounttheanticipatedreactionsofothers,ornot.Themoreacasefaithfullyreflectsthis protagonistcentricreality,thebetterthechancesofitsteachinggenuine,relevantlessons formorebetterdecisionmakinginnegotiation. Multipleprotagonistsformostcases,twoorthreeonthesame"side"canenliven thestoryandbuildinusefulconflict.Forexample,twopartiesonthesamesidecanhold radicallydifferentviewsofhowbesttoproceedvisavistheotherside.Forexample,one personmayadvocateadeliberate,cooperativeapproachonalltheissues;anothermay urgeactingquickly,committingtoaninflexibleposition,anddealingonlywithasubsetof theissuespotentiallyatstake.Workingthroughthis"internal"conflictmaybeenormously instructive. Afewdistinctiverisksdoattendprotagonistcentriccases.Casewriterscan unconsciouslydownplayoromitothersperspectivesinthecasenarrativeand/orin preparatoryresearchandinterviewing.Theymayneglectvitalinteractivecomponentsof negotiatingsituations.Theymayinadvertentlycraftthecaseasiftheoutcomepurely resultedfromindividualdecisionsmadeagainstakindofinertbackground. Situationcenteredcases.Alternatively,acasemaybewrittenfromamore omniscient,nonspecificperspective,sometimescalledsituationcentered.Thegoalmay beanalytic:tochallengereaderstosizeupanoverallsituationwithoutregardtopointof view,toassessbarriersandopportunities,and/ortounderstandthechallengefrom multipleperspectives.Forexample,withoutreferencetospecificindividuals,isa communitydisputeorcivilwarripeforproductivenegotiationormediation?Or,ifthe caseposesapolicychallenge,thenasituationcentered,overallperspectivemaybethe mostappropriate(thoughtrackingaprotagonistsnegotiationdecisionsthroughacurrent orproposedsystemmaybeanilluminatinganalyticaldevice).Exampleswouldinclude howbesttodesignadisputeresolutionsystem,aprocessfordistributingcompensation funds,oramechanismforinducingmoreproductivenegotiationssitinghazardouswaste facilities. Ofcourse,effectiveprotagonistsshouldstrivetodevelopsuchabroadersituational understandingandconditiontheirindividualactionsonit.Afterall,howcanoneparty negotiateormediateeffectivelywithoutanuancedunderstandingoftheoverallsituation aswellasoftheotherparties,theirinterestsandperspectives,nodealoptions, organizationalpositions,andnetworks,aswellastherulesofengagement?(Bytheway, thiscommonmistakefailingtoassessotherplayersortheoverallsituationmayitself bethecoreofapotentcasestudy.)Assuch,manycaseshaveahybridperspective,written largelyfromtheprotagonistsviewpointbutwithanoverallorientationtothesituation.
Draft:DevelopingNegotiationCaseStudies.Copyright 2010byJamesK.Sebenius.

DecisionorAutopsyCase?Twootherdimensionsmeritdiscussion.Decision cases,whichIgenerallyprefer,ultimatelyplacereadersinchallengingsituationsfacedby theprotagonists.Readers,typicallyinlargerclassesordiscussiongroups,mustthen evaluatethesituationatkeypoints,figureoutarangeofoptions,anddecidewhatthey wouldactuallydotoovercomethechallengeorbarrier.Theymustmakethesedecisions knowingonlywhatisactuallyknownatthatpartofthestory,withalltheusualgapsand ambiguities.Itishard,butimmenselyeducational,toconfrontthechallengewithout knowingwhatthecaseprotagonistactuallydidorwhathappened.Then,onpowerpoints (orvideos),shownatappropriatepointsinthediscussion,orinasequeltobereadbeforea subsequentdiscussion,participantscanlearnwhattheprotagonistactuallydid,evaluate theaction(s),suggestotheroptions,seehowthingsplayedout,andseektogeneralizethe conditionsunderwhichthiswouldbeawisechoiceornot.Evenbetterarecaseswrittenas theyunfoldinrealtime,withoutknowledgeoftheoutcome,whichcancolorperceptions. Autopsycases,bycontrast,tellthestoryofthenegotiation,frombeginningtoend. Sothereisnosuspenseandnodecisionpointswithunknownoutcomes.Inthissense,such casesaredeadanditisuptotheclass,almostasamatterofnegotiationforensics,to dissecttheresultanddrawconclusions.Bynature,autopsycaseslendthemselvestomore dispassionateanalysisanddiscussion,whichcanbemostinsightful,includingexploring counterfactuals.Ifcategorized,lengthymonographs,articles,orbooksdevotedto particularnegotiationsgenerallyfallintheautopsycategory.But,fordiscussionpurposes, Ialmostalwayspressfordecisioncases,whichcallforrealengagementwithoutthesense ofexpostinevitabilitythatofteninfusesautopsycasediscussions. Standaloneorwithanassociatednegotiationexercise?Thereisanartand scienceforwritingsuccessfulnegotiationexercises.Thatisnottheconcernhere,butitcan bewellworthkeepingthepossibilityalivethatthestructureofthecaseyoureundertaking mayusefullybeabstractedintoanegotiationexercise,possiblytobecarriedoutbeforeor afterthefullcasediscussion.Noteworthyexamplesexistinwhichanexperientialpiece stronglycomplements,orevensupplants,thewrittencasediscussion. "Library"or"field"case?Ingeneral,"field"casesbasedoninterviewswith protagonistsandaccesstononpublicinformationhaveaclearedgeoversecondarysource, "library"cases,despitethehighercostinmoneyandtimeoffieldresearch.Theexception maybeforindepth,NewYorkerstyleaccountsbyserious,objectiveauthorsorjournalists whohaveprobedsituationswithouttheneedforwrittenpermissionfromsources(thatis generallyrequiredforacademiccasestudies.)Yet,sensitivitiescompetitive,legal, personalmaypreventprotagonistsfrombeingwillingtoapprovevitalinformationforuse inpublishedcases,eventhoughthey'vesharedthisinformationwithyouprivately.Ifyou developconfidenceintheviewsofsuchsources,especiallyafterinterviewingothers,their guidanceabouthiddenperspectives,dynamics,andthelikecanstillbeinvaluableinhow youstructurethenarrativeeveniftheresultendsupasapurelysecondarysource, "library"case.Andforsituationsthatbecome(highly)publicorcontentious,you'lloften haverecoursetodetailedoutsideaccountsinmagazinestoriesortrialtranscripts. Calibratingforsourcebiasandensuringtheintegrityoftheprocess,agood"inside"source

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canhelpyouaccuratelyparsethiswelterofpublicinformationtochoosethemostvaluable foryourpurposes. Actualordisguisedcase?Ingeneral,wherepossible,Istronglyprefercasesthat accuratelynameanddepicttheunderlyingpeople,organizations,andsituations.Ifthe situationistoosensitivetoobtainsourceapproval,however,ratherthanabandoninga casewritingprojectormovingtoapurepublicsourcesversion,youmayultimatelyofferto disguiseidentifyingcharacteristics(names,locations,figures,evenindustries),while retainingtheanalyticessenceofthesituation.JohnHammondsagelyobservesthat disguisedcasesmayleadprotagoniststobemuchmoreforthcoming,withfarbetterresults thanactual,but"neutered"versions.(And,heobserves,thereisacertainpleasurein havingmultipleparticipantsfromdifferentfirmscomeuptoyouafterdiscussinga disguisedcase,insistingthatthisis,withoutadoubt,theircompany.) III.Nutsandboltsadviceonstructuringandproducingyourcase. Letsassumethatyouvedecidedtopursueacaselead.Herearetensuggestions anddesigncriteriaaddressedtocasewritersandresearchersforpreliminary casewritingefforts.Yes,youcandoansituationcenteredorautopsycase,butImgoingto framemyadviceforaprospectthatwillultimatelybecomeadecisioncase,withaflesh andbloodprotagonist,fromwhoseviewpointthecasewillbecraftedandwithwhose decisionsatkeyjuncturesreaderswillhavetowrestle. 1.Planultimatelytoproducemultipartcaseseries,withatleast"A"and"B" parts.Startwithmypreferredgoal:the"A"caseshouldsetthestageandposenegotiating challengesfordiscussion,withasequel"B"casethatexplainshowtheprotagonist addressedthechallengesandtheresults.(Iftherearemultiplesequels,theremaybeC, D,andfurtherparts.)The"A"caseshouldconveyessentialinformationaboutthe situationinbriefhistoricalcontext,criticaleventsasthenegotiationsunfold,an understandingofthekeypartiesandtheirinterests,aswellasthemajorbarriersto successfulnegotiationthatfacedtheprotagonistearlyon:structural,process,dealdesign, psychological,tactical,cultural,etc.Inotherwords,theAcaseshouldpermitreadersto assessthemajorbarriersthatstandbetweentheprotagonistandasuccessfulresult;that is,whatmakeshisorhertaskdifficult?Ideally,the"A"caseshouldalsosetupafew especiallychallengingspecificsituationsthatfacedtheprotagonistduringtheprocess withoutrevealinghowheorshehandledthem.Infact,anexcellentwaytostartacaseis withtheprotagonistconfrontingachallengingdecision,thenflashingbacktodevelop supportingmaterial.vii Imaginethatagroupofstudentsorseminarparticipantsweretoreadthe"A"case beforeaclasssession.Thiscaseshouldcontainenoughinformationtosupportagood conversationaroundthefollowingkindsofquestions(aswellasothers):a)Whatmajor barriersfacedtheprotagonistasheorshebecameinvolved?b)Whatbroadoptionsdidhe orshehavetoovercometheseoptions,andwhichseemmostpromising?c)Whatshould heorshedoandwhy?d)Withrespecttoeachspecificchallenge(enumeratedintheA case),whatspecificallyshouldheorshedo?Why?e)Underwhatconditionswouldyour advice(failto)hold,andwhy?
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ForafollowonclassbeforewhichstudentsreadtheBcase(orifthemainpoints fromBarepresentedlaterinthefirstclassasvideointerviews,inperson,oronslides), the"B"caseshouldrevealwhattheprotagonistactuallydidtoovercomethosebarriers, howheorshehandledthespecificchallenges,andhowthingsplayedout.Soequipped,the classcanevaluatehisorheractions,suggestpossiblealternatives,andseektodraw generalizations.Topermitthiskindofevaluation,itisimportantfortheBcasetobe specific.Itshouldavoidlargelymeaningless,butdistressinglycommon,generalitieslike Theprotagonistreadthetrickysituationperfectly,negotiatedhard,andattainedthe followingoutcome... I'vewrittenthisasiftwopartcasesshouldbethenorm.Inmanycircumstances, however,thesituationshouldunfoldthroughaclasssessionorovermultipleclassperiods via"B","C","D",andevenmorecaseparts.Typicallyshortenoughtobedistributedand readinafewminutesorpresentedonslideseachsubsequentpartcan"rollthetape" forward,addinformation,andposenewdecisions.Alternatively,latercasepartscanbe vehiclestosuggesthypotheticalchangesinkeycasefacts,tostimulatediscussionof(any) appropriatechangesindecisions. Atsomepointinthecasewritingprocess,ifatallpossible,youshouldplantoaskthe protagonistsuchquestionsdirectlyandgethisorheranswersandinsights(ideally,on video)tobeintegralpartsoftheultimatecasematerialsanddiscussions.Dittofor counterpartsifatallavailable(which,surprisinglyoften,inmyexperience,theyare). Letmepauseforamomenttostressthevalueofbrief,highlyrelevantvideo supplementstowrittenmaterials.Shortofaninpersonvisit,videocanprovidethebest directsenseoftheprotagonist(s),hisorherstyle,quirks,affect,bodylanguage,etc.With videoincreasinglyeasytoshoot,edit,andshow,andwithexpectationsofaudiences increasinglyrunningtowardthismedium,Istronglyrecommendmakingtheefforttovideo keyplayers.(And,asbeenmyhappyexperience,yourinitialplansforawrittencasemay beentirelysupersededbyaselfcontainedmultipart,videocaserequiringNOspecific preparationfordiscussionandanalysis.) WithawrittenandvideoA,B,etc.,caseseriesasthegoalofthecasewriting process,Ihaveseveralsuggestionsabouthowtogetthere. 2.Startthecasewritingprocessbydevelopingatimelineandnarrativethat telltheessentialstoryandincludeinformationoncriticalelements.Asyouread enoughaccounts,articles,books,courttranscripts,andotherpublicsourcematerialto begintounderstandthecase,andafteryouvedoneanypreliminaryinterviews,start puttingtogetherarough,annotatedtimeline,whichyoullcontinuallyupdateandrefine. Noteblanksandgapsinyourunderstanding,andkeepaneyeoutlaterforinformationto fleshouttheevents.Fromthistimeline,writeadraftthattellsthestoryfrombeginningto endinonepiece,includingbothchallengesandactionstohandlethem,aswellashow thingsplayout.Fornow,dontworryabouthowtostructurethematerialintheultimate AandBformatasdescribedabove;thatstepwillcomelater.

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Whilethisdraftshouldbeinnarrativeform,itshouldcontaininformationvitalto understandandanalyzethesituation.Somesuchelementsaredescribedabove,butheres afullersummaryofwhatshouldbeincludedsomewhereinthenarrative.Important:these elementsshouldnotbepresentedinmechanicallistsorcasesections,butrather,shouldbe workedintothenaturalflowofthestory: a)essentialhistoryandcontext; b)criticalissuestoberesolved; c)keydirectlyandindirectlyinvolvedpartiesandconstituencies,theirpersonalities andimportantaspectsoftheirindividualhistoriesandexperiences,theirformaland informalroles,afullunderstandingoftheirinterestsandincentives,important formalandinformalrelationships,theirpositionsontheissues,aswellastheir perspectivesonthesituation; d)asenseofhoweachpartysaw,assessed,andpossiblyshapeditsnodealoptions (whatwouldlikelyhappenintheeventofnoagreement); e)themainprocesssofar,especiallyhowtheinteractionhasbeenorchestratedand whatseemtobestrategies,importantmoves,tactics,criticalmoments,turning points,andanystickingpoints; h)theshapeofpossibleemergingagreements; f)actionsbythepartiesorothersawayfromthetablethataffecttheatthetable negotiations;and g)consequentialeventsanddevelopmentsalongtheway. Whilenotexplicitlyincludedinthisenumeration(above),theseelementsshould provideenoughinformationforreaderstoidentifyandcharacterizethemostimportant barrierstorealizingthepotentialofagreementdescribedabove.Forexamplebarriersmay beinterpersonal,psychological,andtactical;theymayinvolveshortcomingsinthe proposeddealdesign;theymayinvolvethesetupofthenegotiation(wrongparties, wronginterests,disadvantageousnodealoptions,poorsequenceorprocess orchestration);aswellasmanyotherpossibilities.viii Finally,thenarrativeshouldincludeinformationrequiredtomakesenseofthe negotiation.Littleismoreannoyingtothediscerningreaderthantoreviewamerger negotiationcase,forexample,withoutsufficientindustry,strategic,orfinancialdatato assessitsfeasibility.Ortobeconfrontedwithfinancialdata,buttohavenosenseofhow whotheprotagonistsare,letalonehowtheyaremotivatedorcompensated. 3.Interviewwithtactandcare.Asyouidentifypotentiallyvaluableinterviewees, approachthemcarefullyandrespectfully.(Makespecialeffortstointerviewthoseonthe othersidethatalmostalwaysprovidevaluable,sharplydivergentperspectives.)
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Intervieweesareoftenextremelybusyandunderstandablyreluctanttosharewhatmight besensitiveinformation.So,Isuggestseveralactions. a)afterestablishingsomerapportandexpressinggenuineappreciation,becrystal clearonyourpurpose,whichiseducational.Fullstop.Yourewritingacasefromwhichto learnandadvancetheory,nottogetascooporengageingotchajournalism,acommon fearamonginterviewees.Youshouldstronglyemphasizethispoint; b)ifappropriate,makethisassertioncrediblebyclarifyingthetermsofthe interviewupfront,specificallybyindicatingthatanynonpublicinformationresultingfrom yourconversationwillbeheldinstrictconfidenceandwillonlybedisclosedtoothersor usedinacase(orarticle)withthewrittenpermissionofthesource.(Becareful,however, aboutsigningformalconfidentialityornondisclosureagreements;asamatterofprinciple, Irefusetodoso,sincetheycanexposeyoutosignificantunexpectedliabilities.)If necessary,asdiscussedaboveandgenerallyasalastresort,youcanoffertodisguise identifyingaspectsofthecasewhilepreservingtheessentialnegotiationdynamics; c)closelyrelatedtoyourpurpose,rememberthatthepossibilityforotherstolearn fromtheirexperienceoftenstronglyappealstointerviewees.Dontbeshyaboutmaking thispoint,whichistrue; d)demonstraterespectforintervieweestimebykeepingcarefullytoanagreed scheduleandmakingclearthatyouvealreadyinvestedheavilyinunderstandingall publiclyavailableinformationbeforetheinterview.Inthisway,youareevidentlyusing theirscarcetimeforhighvaluepurposes,notgoingovergroundyoucouldhave independentlycovered; e)stressthattheirperspectiveisvitaltofleshout(correct?)thepublicbasisforthe case(onwhichyoumightreluctantlyhavetorelyoniftheywontcooperateifthisis true); f)employamixofspecificquestions(tofillingapsyouvealreadyidentified)aswell asopenendedquestions(toopenupunforeseentopics).Someexamplesoftheopen endedvariety:Whatwereyouworriedaboutandwhatdidyouhopetoachieveasyou approachedthenegotiation?Whatwasthemostdifficultaspectoftheprocessandhowdid youplantoovercomeit?Werethereanycriticalmomentsorturningpointsintheprocess? Ifso,pleasedescribethemandhowtheyaffectedtheprocessandoutcome.What especiallyeffective(andineffective!)movesdidyouortheotherside(s)make?Ifyouwere doingthenegotiationagain,whatmightyoudodifferently?Ifyouwerecoachingtheother side,whatwouldyouadvisethemtododifferently?Etc.; g)keepgoodnotes(and,withtheirpermission,ataperecording). h)expressgenuineappreciationforthetimeandclarifyanynextstepsforboth sides,includingofferingthemcasecopieswhentheprocessisdone;and

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i)rememberthatonemarkofatruescholarisgenuineeagernesstoandexpectation oflearningsomethingvaluablefrompractice,oftenfrompeoplewithlittleformal educationortraining,butwithremarkableexperienceandaccomplishment. 4.Ifrelevant,drawheavilyonthejudgmentof(faculty)supervisors,outside readers,orotheradvisorstohelpidentifykeyelementsofthestories,vital information,majorbarriers,criticalmomentsandactions,missingpieces,and ultimatelythemostpromisingstructureandfocusforthecases.Whileitisthe responsibilityofresearchassociates,casewriters,and/orstudenttogatherandpresentthe rawmaterialforthestory,(faculty)supervisors,outsidereaders,orotheradvisorsshould offertheirexperienceandjudgmentabouttheseaspectsofthecase.Asthestoriesbecome clearer,thefaculty/supervisorshouldbegintocrystallizethekeybarriersandchallenges overallandveryspecificinordertofocustheemergingcases.Supervisorswillalso highlightkeygapsandmissinginformationalongtheway.Asthepreliminarycasestake shape,outsidejudgmentwillbeessentialtomakingwisechoicesabouthowandwhereto breakupandorganizethematerialintotheultimateAandBcasesdescribedabovein point#1. 5.KeepthemaintextoftheultimateAandBcasesshort:aimfor46 singlespacedpagesforeachcasepart,withastronglysuggestedMAXIMUMof10 pagesperpart,possiblywithasetofsupplementaryexhibitstofollowandelaborate informationinthemaintext.Books,monographs,andlengthyarticleshaveoftenbeen writtenonspecificnegotiationsand,innegotiationsthathaveattractedpublicnotice.Such extensivebackgroundworkisgreatforindustry,areaspecialists,issueanalysts,and broaderpolicytypes.However,normally,themainpurposeforyouraudiencesisnotto learnagreatdealabouttheparticularpeople,place,industry,oranynumberofintriguing historical,cultural,orpolicyquestionsthatpervadenegotiatingsituations.Instead,we needtoknowjustenoughabouteachsituationtoposeandanswersophisticatedquestions relevanttonegotiation,mediation,anddiplomacy.Certainmaterialsuchasmaps,tables, timelines,andothersupplementaryinformationnotvitaltothenarrativeoftenmakegood "exhibits"orappendicesfollowingthetext. Inmysadexperiencemoretruein2010thanin2000andevenmorethecasethan in1990orbeforethelongerthetext,thelesslikelypeoplewillreaditwithanycare.Dont fightthisreality;whiledifficult,adaptthecasetoit.Ihavewritten(andread!)fartoomany casesthatweredysfunctionallylong.Nomore!RememberAbeLincoln'sapology:"I'm sorryIwrotesuchalongletter.Ididnothavethetimetowriteashortone."Wemustbe concise.Whilethepreliminary,unstructurednarratives(seeitem#2above)willalmost alwaysbemuchlongerthan10pages,eachofthefinalAandBproductsshouldbe ruthlesslydistilledtofallwithinthislimit,andpreferably46pagesperpart. 6.Letthecasestellthestory;donteditorializeorevaluateaspartofthe narrative;saveyouranalysisforothervehicles.Ifrequiredordesirable,supplement thecaseswithyouranalysisandassessment.Inparticular,keepyouranalyses, explanations,andevaluationsoutofthecases,especiallytheAcase.Casesshouldprovide therawmaterialforanalysis,explanation,andevaluationbuttheyshouldnotinclude theseelements.Thecasesshouldequipstudentswhodiscussthecasesandauthorsof
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academicarticlesbasedoncaseeventswiththenecessaryingredientstosupporttheirown assessments.Whileitisoftenusefultoincludetheviewsofprotagonistsandclose observersatthetimeaboutthedifficultyofachallengeortheplusesandminusesofan action,thecases(includingsuchobservations)shouldmainlyhelpreadersunderstand whathappenedandprotagonists'perspectives.Inparticular,dontattachyourown assessments(brilliantmove,remarkableprescience,anactofincrediblestupidity,an inexplicablelapse,etc.).Ifsuchassessmentsseemwarranted,letthereadercometothat view,ornot,asaresultofreadingthestory.Bcasescancontainevaluationsand assessmentsbyvariousparticipants,observers,andcommentators,butIurgeyoutokeep yourownexplicitevaluativeandanalyticviewsoutoftheAandBcases. Wherethen,shouldyouranalyses,explanations,insights,assessments,evaluations, comparisons,andgeneralizationsgo?Afterall,theseshouldbetherealpayoffsfrom casewriting.Iurgeyoutoconsiderwritingaseparatecaseanalysisorcase commentaryinwhichyoucandeveloptheseimplicationsofthecase.Ofcourse,writing anarticleforwhichthecaseprovideskeyrawmaterialisoftenvaluable.And,ifyoure pedagogicallyadept,itmakesgoodsensetocraftaseparateteachingnote,inwhichyounot onlydevelopthecasepedagogybuttheunderlyinganalysisandgeneralizationsaswell. 7.Keepdetailedreferences/sourcesalongtheway;obtainanyrequired sourcepermissionsrapidly.Asyouproceed,carefullyfootnoteallstatements,quotes, andclaimsthatarentgeneralknowledge.Includepagenumbers.Keeparunninglistof fullbibliographicsourcesbywhichImeanfullnameofauthor(s),exactarticleorbook titles,editor(s),publisher,city,date,volumenumber,issuenumber,pagerange,anyurls includingtitleofassociatedwebpagesanddatereferencedsufficienttocitelaterwithout hunting.Makethisahabit.Dontwaituntillaterto(desperately)huntforsourcesfornon generalknowledgeitemsanddevelopsuchareferencelist.Tounderscore:Dontwaituntil latertocitesourcesforkeystatementsortodevelopadetailedreferencelist. Ifyouinterviewsomeoneforapotentialcase,besurethatpersonknowsthatmost caseclearinghouses(likeHarvardBusinessSchools)wontpublishanydirectquotesor anynonpublicinformationsharedwithyoubyacasesourceswithoutthatpersons writtenpermission.Itisawiseideatogetthenecessaryquotereleaseforms,whichyou shouldhavesignedassoonaspossible,oftenwellbeforewevegotthewholecaseinhand (forexample,ifyourequestpermissiontousespecificquotesinanyultimatecase.)Of course,ifyouarewritingacasethatwontbepublishedordistributed,these considerationsaremuchweaker. 8.Keeparunning,alphabeticalglossaryofnames,organizations,and acronymswithafewidentifyingfactsabouteachentry.Thislistwillbeinvaluablefor youandothersasthecasedevelops.Infact,Ivefoundthatsuchaglossaryultimately makesawonderfullastExhibitfortheAcase.(Whylast?Thisoffersreadersa detachablecheatsheettostayorientedtotheoftencomplexplayersandentitiesinvolved.) 9.Minimizedirectquotationsfromcopyrightedsources.Whilequotesfrom involvedplayersandobserversarevital,itisgenerallybetterintheultimate,publishable casestoavoidmorethanverybriefquotationsfromothercopyrightedsources.In
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intermediatedraftssuchasthenarrativetimeline,lengthydirectquotesmaybe economical,efficient,andelegantdevicestoconveykeyaspectsofthestory;goaheadand includethem.Ingeneral,asyoumovetofinalversions,however,itisbettertoparaphrase andfullycitesourcesratherthandirectlyquotethemexceptwhereabsolutely necessary.Why?Directquotesfromarticlesandbooksthataremorethanverybrief typicallyrequirewrittenpermissionofthesourcestoinclude.Obtainingthatpermission canrequiretrackingdowncopyrightholders,whichcanbedifficult,timeconsuming, expensive,andoftenimpossible.Soextractcriticalinformation,citefully,andlookfor supportingitems(e.g.,maps)thatareinthepublicdomain.Governmentsources,which aretypicallynotcopyrighted,aregreatforthis. 10.Avoidothercommonmistakes:Hereareafewofmany:a)includingmaterial inaprotagonistcenteredcasethatheorshecould/didnotknowatthetimeadecisionwas required;b)confusingastapledtogetherpileofnewsandbusinessstoriesoratwo paragraphillustrativeanecdotefromanairplanemagazinewithawellresearched,well craftedcasestudy;andc)shoehorningthenegotiationasitactuallyhappenedintoaform thatmoreneatlyfitsapreconceivedoraprioritheoreticalconstruct,inorderto illustratetheorywithpractice.Yes,yes,weallknowaboutinevitablesubjectivityin casewritingandtheeffectthatpriorconceptionshaveonwhatweseeandjudgetobe importantbutweshouldstrivetobeopentotheworldteachingussomethingnew duringthecasewritingprocess. *** Broadlyspeaking,progressinunderstandingnegotiationhasandwillcomefrom twovenerablemethodologicaltraditions,ultimatelyinspiredbyFrancisBaconandRen Descartes.Tooversimplify,thebulkofmodernnegotiationanalysishasbeenCartesianin spirit;thatis,eitherimplicationsarededucedfromfirstprinciples,orasetofideas, embodiedinatheory,issubjectedtocontrolledexperimentsorstatisticalinvestigations. Bycontrast,fieldcasewritingaboutnegotiationisBaconianinitsextensiverelianceon directobservationandaninductiveapproach.FreemanDyson,professoremeritusatthe InstituteforAdvancedStudy(Princeton)andoneofthetwentiethcenturysmost distinguishedphysicists,contrastedtheseapproachesinotherscientificrealms: "Therearetwokindsofscience,knowntohistoriansasBaconianandCartesian.... Modernscienceleaptahead...asaresultoffruitfulcompetitionbetweenBaconian andCartesianviewpoints.TherelationbetweenBaconianscienceandCartesian scienceiscomplementary.WeneedBaconianscientiststoexploretheuniverseand findoutwhatistheretobeexplained.WeneedCartesianscientiststoexplainand unifywhatwehavefound...Itisrightandhealthythatthereshouldbeaclash betweentheirviewpoints,butitiswrongforeithersidetotreattheotherwith contempt."ix Forfieldcasewriters,operatingintheBaconiantradition,Ihopethesetof observationsandsuggestionsthatIveputtogetherabovewillenhancethequalityand impactoftheirwork.
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years,forusefulinsightsintocasewriting.Whileahopelesslyincompletelist,Idliketoespecially acknowledgeJohnHammond,DavidLax,MarkMoore,HowardRaiffa,MalcolmSalter,andMichael Wheeler.JohnHammondandMikeWheelerprovidedespeciallyusefulfeedbackonearlierdraftsof thisarticle. iiForbrevity,Iwillusethetermnegotiationasaninexactbutshorthandproxyforrelatedtopics suchasbargaining,dealmaking,diplomacy,mediation,arbitration,aswellasconflictmanagement andresolution. iiiForseasonedgeneraladviceonwritingmanagementcasestudiesintheHarvardBusinessSchool tradition,see,forexampleRaymondE.CoreysWritingCasesandTeachingNotes,item399077, Boston:HarvardBusinessPublishing,November5,1998;orMichaelJ.RobertsDevelopinga TeachingCase(Abridged.),item901055,Boston:HarvardBusinessPublishing,June28,2001. FocusedComparison,inPaulG.Lauren(ed.),Diplomacy:NewApproachesinHistory,Theoryand Policy.NewYork:FreePress,pp.4368. vAmongmanydiscussionsofthisvasttopic,see,forexample,George,AlexanderL.andAndrew Bennett,(2005),Casestudiesandtheorydevelopmentinthesocialsciences.London,MITPress2005. viTheoryandempiricalevidenceeconomic,gametheoretic,behavioral,etc.shouldcertainly informtheanalysisofnegotiationcasestudies.Andfieldbasedcasestudiesshouldcertainlyinform theorydevelopmentandvalidation.Yetteasingoutthelegitimateintellectualbasesforexploiting potentialcomplementaritiesbetweencasewritingandotherresearchmethodologiesmustremaina subjectforelsewhere. viiPlease,however,sparereadersfromthecasewritingequivalentofonceuponatime,which generallytakestheform:ItwasacrispfallafternoonasHuberttwirledhisjeweledcigaretteholder, gazingoutthe15thfloorwindowofhisoffice,wonderingwhatheshoulddo. viiiForafullerunderstandingoftheelementsIfindessentialforagoodnegotiationanalysisandforgreater clarityonwhatImeanbytheaboveterms,Isuggestthatyoureadthefirst50pages,thenutshell framework,ofmybook(withDavidLax),3DNegotiation(HBSPress,2006).Whilethisbookisaimedata businessaudience,itselementsapplyequallyinpublicanddiplomaticnegotiations.Otherswillhave differentframeworksanddifferentemphasesthatimplykeyelementsforinclusioninthecase.
ix ivGeorge,AlexanderL.(1979).CaseStudiesandTheoryDevelopment:TheMethodofStructured,

iIowemuchtomanypeople,especiallyauthorsofterrificcasesthatIhaveencounteredoverthe

Dyson,F.J.(2002)."InPraiseofAmateurs."NewYorkReviewofBooks49(19):67.

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