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序曲●律师谈判

WILLIAM WORDSWORTH: AN EPOCH-MAKING POET IN ENGLISH LITERATURE AND HIS MASTERPIECE THE PRELUDE

华兹华斯:英国文学划时代诗人及其代表作《序曲》

(硕士毕业论文摘要)

 

For his perspective use of nature, for his earnest exploration of philosophical ideas, and for his original poetic theories, Wordsworth is regarded as “the greatest and, in final analysis, the most influential writer of the English Romantic movement of the late 18th and early 19th centuries.” Asserting in his Preface to Lyrical Ballads, With a Few Other Poems that poetry should consist of “language really used by men”, Wordsworth challenges the prevailing eighteenth-century notion of formal poetic diction and thereby “profoundly affected the course of modern poetry.” His major work, The Prelude, or Growth of a Poet’s Mind: Autobiographical Poem, a study of poetic sensibility, is now viewed as “one of the seminal long poems of the nineteenth century.” The freshness and emotional power of Wordsworth’s poetry, the keen psychological depth of his characterizations, and the urgency of his social commentary “ensure his present status as one of the most important writers in English.” As a leading figure of English Romanticism, Wordsworth experiences a fame decline as well as a fame rise, and his works are either solemnly appreciated or severely criticized. Critics have made his treatment of nature, his use of diction, and his critical theories the central focus of their studies.

Francis Jeffrey’s reviews of Wordsworth’s poetry were so vitriolic that “they stalled public acceptance of the poet for some twenty years but brought many critics to his defense.” To Jeffrey, Wordsworth’s poetic innovations were in “open violation of the established laws of poetry, his compassionate depictions of social outcasts merely “splenetic and idle discontent with existing institutions in society.” Despite Jeffrey’s and some other critics’ unfavorable comments, Wordsworth’s poetry eventually claims acceptance. Matthew Arnold suggested that indiscriminate praise of Wordsworth’s poetry and schematization of his ideas might diminish his importance, establishing his as the leader of a clique rather than as an author with universal appeal. The modern resurgence of interest in Wordsworth’s poetry manifests itself in specialized studies of his idea. Some critics concentrate on Wordsworth’s view of nature, Walter Raleigh and Alfred North Whitehead examined Wordsworth’s attitude toward scientific thought. In addition to delving into Wordsworth’s view of nature, some critics have explored his philosophical ideas. Newton Stallknecht discussed the relationship between Wordsworth’s political views and his style. Wordsworth’s poetic theory has been as area of dispute among scholars ever since the publication of Lyrical Ballads. Although Jeffrey considered its Preface and anarchical manifesto, later critics have come to regard it as a milestone in nineteenth-century poetics and, according to Perkins, as “one of the finest critical achievements in English.” Besides, debate also continues about the effectiveness and intrinsic merit of his style. In the twentieth century, many commentators have concentrated on analyzing Wordsworth’s symbolism. Frederick Pottle, for instance, examined the process by which Wordsworth transforms real images into symbols.

Whether critics focus on the simple Wordsworth of the nature poems and the early lyrics, on the philosophical Wordsworth of the meditative poetry, or on the innovative Wordsworth of the Lyrical Ballads, they continue to be stimulated by the richness of Wordsworth’s poetry. His wide-ranging intellect and originality are shaping a new poetic tradition that has assured him a central place in English literature, and his joyous celebration of the imagination has engaged the interest and admiration of each new generation of readers.

Critics contest not only about his poetry but also his life. There are two points to which I want to give my opinion. One is that, to make a living, Wordsworth accepted a post as distributor of stamps for Westmoreland country. Partly for this, many critics such as Shelley, who formerly had respected Wordsworth as a reformer of poetic diction, regarded him with scorn and a sense of betrayal. The fact should not be neglected that at that time Wordsworth was as poor as what Matthew Arnold described that Wordsworth’s poems could not exchange enough money to buy a shoelace. In that condition, if he had not accepted the post, what could he live on? So it was a very concrete problem which should be solved, to connect this with politics is perhaps not reasonable.

Another is that Wordsworth was named Laureate Poet. This event had been mostly contested by generations of critics. In English literature history, up to the early 20th century there were seventeen poets awarded this honor, of whom the earliest one was Edmund Spenser (1591), the last one was Alfred Austin (1913). Among these Laureate Poets, some were forgotten by history, and only six were in higher status in English literature history. They were Edmund Spenser, Ben Jonson, John Dryden, Robert Southey, William Wordsworth, and Alfred Tennyson. Why could they be remembered by generations of readers? The reason must be that their poems reflected the spirits of their ages; they expressed the genuine feelings and profound sensations; and their poems had their own characteristic attractions and styles. The Laureate Poet was the highest honor in English literature at that time, perhaps could be compared with today’s Nobel Prize. Some longed for it, but could not get; someone was awarded, only for his preeminent place and great achievement in literature. Take Wordsworth as an example. When he was awarded Laureate Poet in 1843, he was seventy-three. Before this, he had had a high fame in literature, and what could it add to such an old poet? When he received this honor, he once claimed he could never give his own opinion unless after contemplation. So the opinion that once a poet received an honor from the ruling class he must fall among birds of a feather is not objective. And even when a great poet wrote a few praising poems, we should not deny him completely. We can take some Chinese poets as examples. Li Po (李白,701-762), a very famous poet of Tang Dynasty, who had a strong personal character and did not willingly succumb to the ruling class, also wrote lines like :“A red flower dotted with dew fragrant/love makes my Lord heart-broken(一枝红杏露凝香,云雨巫山枉断肠)”. Du Fu(杜甫,712-770, another famous Chinese poet, who sympathized the people strongly, also showed gratitude to the ruling class: “To receive the appointed post moved the vagrant to tear/To my Holy emperor I gave my thanks dear(涕泪授拾遗,流离主恩厚)”. And the realistic Chinese poet Bai JU-Yi(白居易,772-846, who almost chose the poor to depict only, also ever praised the emperor’s love in his Love Forever Song: “Blue is the Shu-river; Green, the Shu-Mountain./His Majesty lives in love from morning to evening(蜀山水碧蜀山青,圣主朝朝暮暮情)”. Taking historical materialism as criteria, instead of considering them the parasites of the ruling class, Chinese critics still view them as our great poets. We should treat the Chinese and the foreign poets with the same rule, so as to give them a just place in literature history.

In the romantic Period (1798-1832), two events were most significant: one was the French Revolution; another was the publishing of the Lyrical Ballads and the Preface to the second edition of Lyrical Ballads. The early period of the French revolution, marked by the Declaration of the Rights of Man and the storming of the Bastille, evoked enthusiastic support from English liberals and radicals alike. Two influential books—Tom Paine’s Rights of Man (1791-92) and Williams Godwin’s Inquiry concerning Political Justice (1793). And much of the noble enthusiasm which inspired The Prelude is of “a social and political origin. The ideal of Liberty is taken up and absorbed into the development of Wordsworth’s early philosophy, becoming inseperately united with the bold romantic individualism of The Prelude.” In chronological order, The Prelude has three different copies: The two-part Prelude of 1799, The Prelude of 1805 (in thirteen books), and The Prelude of 1850 (in fourteen books).

In his Defense of Poetry, Shelley invests poetry’s relation to the history of civilization, thus marking an important contribution to nineteenth century aesthetics. He argues that poetry is like a mirror to its age, the history of its manners, and as much he labels all poets “legislators and prophets” who even unconsciously or when in least prominence, as in the English Restoration, contributed to the spiritual and political evolution of humankind. Coincidently, The Prelude accords with Shelley’s advocation; Wordsworth depicts the most significant event of his age---The French Revolution. About the storming of Bastille in 1798, he writes:

Where silent sephyrs sported with the dust

Of the Bastille, I sate in the open sun,

And from the rubbish gathered up a stone,

And pocketed the relic, in the quise

Of an enthusiast.

(The Prelude of 1850, BK.9, L.67-71, PP.315-317)

His adventures on the Loire involved much mental tumult within the poet:

…and thus ere long

Became a patriot; and my heart was all

Given to the people and my love was theirs.

(The Prelude of 1850, BK.9, L.122-124, P.319)

Though Robert Browning once called Wordsworth a “Lost Leader”, and Byron accused Wordsworth “beyond hope”, the poet’s enthusiasm for the prospect promised by the French Revolution here is unmistakable:

France standing on the top of golden hours,

And humen nature seeming born again.

(The Prelude of 1850, BK.6, L.341-342, P.205)

The Prelude of 1850 is the result of numerous revisions. In this edition, we can read the fire-like lines which can not be found in the 1805 edition:

Glory and hope to new-born Liberty!

Hail to the mighty Projects of the time!

(The Prelude of 1850, BK.6, L.442-443, P.209)

Though there are a few descriptions after the “September Massacres”, showing his despair. In a later book, Wordsworth did point out rather emphatically that in the early days of the French Revolution he was “an active partisan”, and even rhapsodically:

Bliss was it in that dawn to be alive,

But to be young was very Heaven!

(The Prelude of 1850, BK.11, L.108-109, P.397)

 

Matthew Arnold claimed that “Wordsworth’s poetry, when he is at his best, is inevitable, as inevitable as Nature herself.” Similarly, when we mention about Wordsworth, it is inevitable to mention about the nature.

Wordsworth was so fascinated to nature that when he turned inward to interpret nature’s signs, he, as Walter Raleigh said, “became a psychologist”. In his writing, he constantly looks for correspondences between humankind and nature, and interpreted outward events by using emotion as his guide. To Wordsworth, nature and human life together make up a book of wonder and power, composed in a strange language, unlike the speech that men use for the business of life, and written in unknown characters. A flower, in its place, as it grows, is more than to him than any symbol; it is a part of the eternal order, and, if it could be understood, a key to the whole. In his eyes, nature is part of man, and man, part of nature. It is deep imaginative sense of unity in things, of real correspondences and connections working through the universe of perception and thought, which gives profoundity to Wordsworth’s treatment of Nature. His imagination is essentially scientific, and quite unlike the fancy that decorates and falsifies fact to gratify an idle mind with a sense of neatness and ingenuity. It is through imagination and emotion that man and nature combine together. And “because in that condition the passions of men are incorporated with beautiful and permanent forms of nature”, Wordsworth chooses to depict the humble and rustic life. His advocation of “low and rustic life was generally chosen” has overthrown the eighteenth century neoclassic literature tradition which only chose the noble to depict. In this sense, Wordsworth is a great leader of English Romanticism.

Carl Woodring highly praised that “Wordsworth grew into the greatest English poet since Milton. His historical influence on language, ideas, and manners has been immense. Outside of literature, no English artists, whether painter, sculptor, musician, choreographer, or architect, has more influential”, and “most of all, Wordsworth turned the course of English poetry. As both the Preface and the Lyrical Ballads indicate, he sensed very early the importance of his leadership.” Wordsworth undertakes to justify the new poetry by a critical manifesto or statement of poetic principles, in the form of extended Preface to the second edition of Lyrical Ballads. In it he sets himself in opposition to the literary ancient regime, those writers of the preceding century there had been increasing opposition to the neoclassic tradition of Dryden, Pope, and Dr. Johnson. And Wordsworth’s Preface deserves its reputation as a turning point in English literature, for Wordsworth gathers up isolated ideas, organizes them into a coherent theory based on explicit critical principles, and make them the rationale for his own massive achievements as a poet. But Wordsworth’s poetic theory as well as his poems have ever been denied by some critics. Besides Jeffrey, a former Soviet literary historian said that the Preface to the second edition of the Lyrical Ballads was the declaration of reactionary Romanticism in English literature. And some other thought that Wordsworth’s advocation of choosing the rural and rustic imagination was “exclusively Idealist”, etc. thus, how to treat Wordsworth’s poetic theory becomes very important.

Wordsworth believes that poetry’s very nature is feeling, which is the soul of poetry. He elaborates it from different point of angles. From the point of criteria of poetry, he claims that “all good poetry is the spontaneous overflow of powerful feeling”; from the relation between the elements that formulate poetry, he explains that the difference between some poems in the Lyrical Ballads and some popular ones at that time lies in “that the feeling therein developed gives importance to the action and situation, and not the action and situation to the feeling”, it is to say he sees the strong feeling as the most important element of poetry. Furthermore, he believes the image, diction, and rhythm all should serve for the expression of feeling; from the reader’s reaction to poetry, he thinks that poetry can tell the reader the truth, and poetry should touch the reader by its enthusiasm; from the request of what is a poet, he emphasizes that the poet should think and feel with enthusiasm.

Since Aristotle summarizes in his Poetics that the characteristic of all arts is “Imitation”, the western artists such as Corneille. Lessing, and Johnson, inherited Aristotle’s view about arts. Aristotle’s theory of Imitation overthrows Plato’s Objective Idealism which treats the Reason as the Truth. Instead, Aristotle believes the object, which art imitates, is the real world. In fact, he creates the earliest doctrine of Typicalness in history of arts. Precisely for this Aristotle is considered the founder of western artistic theory. But Aristotle’s theory also bears defects. One is that he does not give much importance to the function of the poet during the creative activity. Aristotle lays more stress on Object, while Wordsworth, more on subject. If we put Wordsworth’s theory into consideration in the history of the development of artistic theory, we can find Wordsworth emphasizes the aspect which Aristotle neglects in his theory of Imitation. Thus, Wordsworth contributes much to artistic theory. Some modern scholars, such as M. H. Abrams, set the development of artistic theory into four periods: theory of Imitation, theory of effectiveness, theory of Self-Expressionism, and theory of Independent Object. They believe that Wordsworth’s Preface to the second edition of the Lyrical Ballads is the symbol that the theory of Self-Expressionism takes the place of the theory of Imitation and the theory of Effectiveness. This has proved that Wordsworth’s answer to what is the nature of arts has the epoch-making significance, and it has been generally accepted by most western artists.

When concerning about where the feelings come from, Wordsworth shares some similarities with ancient China’s Theory of nature Dynamics. An ancient Chinese critic Liu Xie (刘勰,464-532) advocates that “it’s natural that people who have joy, anger, sorrow, fear, love, hate, and desire, would be moved by objects, and when touched, they express the feelings in their works.”(“人禀七情,应物斯感,感物咏志,莫非自然。”)Another ancient Chinese critic Zhong Rong (钟嵘,?-518) believes that “In man’s intercourse with the outer world, he would be moved, and the strong feelings set him into composition.”(“气之动物,物之感人,故摇荡性情,行诸舞咏。”)And Wordsworth elaborates that “with what are they connected? Undoubtedly with our moral sentiments and animal sensation,…with storm and sunshine…, gratitude and hope, with fear and sorrow.”

Still a former soviet literary historian said that the purpose of which Wordsworth chose to depict the daily life was not for describing the reality, but avoiding the social confliction of that time. It is not deniable that Wordsworth was in passive for a time after the French Revolution. The fact that he chose the common people’s life to depict reflected, on the one hand, his avoiding the contradiction, but on the other hand, it also showed his deep sympathy with the lower people, especially the peasant. For example, the eighty-year old man herding in the wind in Michael; the woman who expected her husband’s return but finally died in desperate in The Ruined Cottage; the old beggar who retired from the troop in The Prelude, etc. All these are like a painted corridor which displays the bitter life of the lowly. It is an artistic outline of agricultural decline which was brought by the Industrial Revolution.

In addition, Wordsworth’s advocation also reflects that he did not abandon the belief of democracy which is characterized by Freedom and Equality. He, a poet, could not realize it in politics, and then he turned to poetry for a revolution. In the eighteenth century, the neoclassic literature, of which the theme was about the upper class, was dominant. It is a significant revolution that Wordsworth challenged to describe the common people’s life in order to strive a place for the lower people in literature. Furthermore, as Wordsworth mentions in the Preface that he endeavors to fight the inferior literature which only seeks for stimulation. In We Are Seven, the little girl insists on including her dead sister and brother to make “seven in all”, expressing her deep friendship with them. Compared with money, Wordsworth cherishes more the sincere friendship. This proves that even the trivial thing can embody great significance.

The Prelude is one of the most perfect of Wordsworth’s compositions. It expands the conception of mind without inconsistency with the Preface. It has much of the fearless felicity of youth; and its imagery has sharp and vivid outline of ideas from the brain. In The Prelude, however, as well as in Wordsworth’s poetry generally, there are peculiar and characteristic defects. There is an occasional laxity of phrase; there is a want of precision in form. His lyric emotion is brief; his speculative contemplation is infinite. Nevertheless, its component parts of The Prelude are widely considered equal to the best of Wordsworth’s earlier published works. And, in my opinion of view, superior to all of them, except some of his best in the Lyrical Ballads, such as I Wandered As A Cloud and The Solitary Reaper, and his Ode to Immortality. And it is seldom that critics have the privilege of noticing so masterly a work as this poem, still less seldom do we meet with one so rich in both historical and psychological interest.

Since Wordsworth’s position is the starting point not only for the “democracy” but also for the emotional predominance in literature, he has been accused largely on the basis of poetical utterances. But Wordsworth’s important place as a leading figure in English romanticism is not to be questioned. The Preface to the second edition of the Lyrical Ballads has been regarded as a declaration of literary rights, a powerful document in the liberating of letters from bondage. Wordsworth dismisses the terms with which the critics from Jonson to Johnson have been concerned. For the proper subjects and speech of poetry he turns from the highest class of society to the lowest, from the aristocrat to the peasant. All these have the epoch-making significances. For the definition of poetry therein given both recognizes the importance of emotion and modifies it, “the great Preface is alone powerful”. “The spontaneous overflow of powerful feelings” summarizes poetry’s faculty. So “Wordsworth is aptly called the father of nineteenth century criticism.” And what David Perkins declares may be permanently truth that “Wordsworth is the central figure of English romanticism and, with the exception of Goethe, he is probably the greatest writer of the romantic age.”

 

律师谈判

(博士毕业论文节选)

第三章 律师谈判的基本方式、策略和阶段

 

在准备谈判前,律师必须了解谈判的基本方式、谈判采取的基本策略和谈判的一般阶段。(本文论述的为民事纠纷谈判。)

 

一、       谈判方式

律师之所以不同于一般的非法律人士,是因为律师对谈判训练有

素,在谈判中的举止和态度具有专业规范。

1、            自测1

下面的自测表是美国的威廉姆斯(G. Williams)教授根据研究所

创造的,它可帮助你自我测试,看你是否是有效的谈判律师。

在谈判中你想表现何种特征?(选择下列项目。)他人认为你:

1、顽固

20、有尊严

2、温和

21、无法忍受

3、亲切

22、合情合理

4、有准备

23、有耐心

5、有洞察力

24、理性

6、宽容

25、值得信赖

7、自我控制

26、不老练

8、令人信服

27、浮躁

9、信任

28、拖延

10、欺骗

29、抱怨

11、吵闹

30、有道德

12、有分析力

31、暗中勾结

13、诚实

32、争吵

14、贪婪

33、务实

15、令人发怒

34、多面手

16、精通法律

35、有创造性

17、固执

36、经验丰富

18、有经验的诉讼律师

37、善解人意

19、有适应力

38、情绪化

 

根据威廉姆斯(G. Williams)教授的调查结论,一般而言,无论采取何种谈判方式和策略,具有以下特征可称为有效的谈判律师:

1)准备充分(#4)。

2)精通法律(#16)。本特征说明,谈判律师对案件涉及的法律和程序有充分了解并运用自如。

3)务实(#33)、理性(#24)、有分析力(#12)和合情合理(#22)。这些特征可使谈判律师更注重事实,避免感情用事。

4)有创造性(#35)、多面手(#34)和有适应力(#19)。这些特征可使律师寻求创造性的解决方案并善于妥协。

5)经验丰富(#36)。这对律师谈判的有效性是不言而喻的,有足够的经验至关重要,有经验就有信心。

6)有道德(#30)、值得信赖(#25)和诚实(#13)。这要求谈判律师能遵守职业道德和执业纪律。

7)自我控制(#7)。谈判律师不会受他人情绪的影响。

8)善解人意(#37)。这不仅使谈判律师能判断对手在谈判中的反应,也可使律师善于向对手学习。

9)有洞察力(#5)。这使得谈判律师有能力洞察对手的策略以及对该策略的主观反应,同时还能对整个案件有全面的理解。

10)令人信服(#8)。

11)有经验的诉讼律师。本特征包含了有效谈判律师的一些共同特征,如准备充分、有洞察力和令人信服。相反,如果是缺乏诉讼经验的律师进行谈判,很可能将本可达成协议的纠纷引向诉讼。

与上述特征相比,如果你选择了以下任何特征,则必须引起高度注意并加以改善:顽固(#1)、温和(#2)、亲切(#3)、宽容(#6)、信任(#9)、骗人(#10)、吵闹(#11)、贪婪(#14)、令人发怒(#15)、固执(#17)、有尊严(#20)、无法忍受(#21)、有耐心(#23)、不老练(#26)、浮躁(#27)、拖延(#28)、抱怨(#29)、暗中勾结(#31)、争吵(#32)或情绪化(#38)。

2、自测2

下表同样是威廉姆斯(G. Williams)教授根据研究设计的,假如你是谈判律师,你倾向于哪种谈判类型,对每个项目选择(a)或(b):

 

a

b

1

合作

竞争

2

妨碍

直率

3

谦恭

攻击

4

合理

野心勃勃

5

有风度

强有力

6

聪明

诚恳

7

不夸大事实

夸大事实

8

侵略性

友好

9

顽固

公正

10

务实的态度

很高的要求

11

促进

僵硬

12

威胁

不威胁

13

力求对各方公平

只求对己方有利

14

坚持立场

灵活改变立场

15

有意制胜对方律师

不刻意制胜对方律师

16

有取有舍

有取无舍

17

友善

盛气凌人

18

圆滑机智

自高自大

如果你选择的答案如下表项目之一,则得1分,然后统计总分:

 

答案

得分

1

a

 

2

b

 

3

a

 

4

a

 

5

a

 

6

b

 

7

a

 

8

b

 

9

b

 

10

a

 

11

a

 

12

b

 

13

a

 

14

b

 

15

b

 

16

a

 

17

a

 

18

a

 

 

合计得分:

 

威廉姆斯(G. Williams)的研究发现,律师谈判的方式基本为两种:(1)合作型,或(2)竞争型。如果你在上表的分数超过9,则你倾向于合作型谈判律师,如果得分低于9,则你倾向于竞争型谈判律师。

3、合作型谈判

威廉姆斯(G. Williams)教授用科学方法选取了一批执业律师进行研究,结果显示,65%的律师倾向于合作型,24%的律师倾向于竞争型,只有11%的律师两者都不是。

在同样律师样本的研究中,50%的律师为“有效的”谈判者,38%的律师为“一般的”谈判者,12%的律师为“无效的”谈判者。在被划分为有效的谈判律师中,6%属于竞争型,38%属于合作型;一般的谈判律师中,10%属于竞争型,24%属于合作型;无效的谈判律师中,8%属于竞争型,2%属于合作型。由此可见,运用合作方式比竞争方式可使谈判更容易有效。

以下将阐述合作型的基本要素和动能——如何进行本类型的法律谈判,决定谈判有效或无效的因素以及运用本类型的风险。

(1)    基本要素

有效的合作型律师在谈判中普遍采取了客观、公正和令人信赖的

方式,并通过坦诚沟通达成协议。合作策略的基本动能是通过心理向对方靠近。合作者传递分享的利益、价值和态度,他们寻求共同的基点并促进信任的氛围。他们运用理性和逻辑的说服作为寻求合作的手段,他们试图表现出并非为了自身或当事人的特别利益——他们希望基于事实和法律的客观分析,从而达成公平的结果。

让步在合作方式中的作用至关重要。让步是表明谈判者善意的方法之一。合作型谈判者相信,让步可使对方产生报偿的道德责任并引导对方的行为。这样,他们作出非单方的让步,引导对方在坦诚和客观地解决问题时进行报偿和合作,从而放弃让步,达成解决方案。

合作型谈判者对公平感到高度的责任,而不是把谈判看作游戏。对他们而言,游戏是不道德的,且有辱人格尊严。

(2)    有效合作谈判

威廉姆斯(G. Williams)教授发现,有效合作谈判者具有六个主

要关注点:a.注重道德行为。b.使客户利益最大化,但应基于c.公平的解决方案,他们的行为受公平和道德的约束。d.关注当事人的需求。如果可能,e.在无须诉讼的情况下满足这些需求。f.与对方建立或维持良好的个人关系。

有效的合作型谈判者是友善的、合理的、客观的和有逻辑,而非情绪化,他们愿意改变固有立场。他们采取务实和坦诚的立场(但留有谈判空间),他们直率,用事实支持其立场。他们明智、仔细、有条理并具合作性。他们促进协议的达成,避免使用威胁,准确估计案件的价值;他们明白当事人的需求,愿意和对方分享信息。

有效的合作型谈判者也是有风度的。他们友好、谦恭、机智和诚恳。他们不是弱者,因为他们是有效的谈判者。

(3)    无效合作谈判

和有效合作谈判者一样,无效合作谈判者也具有讲道德、令人信

赖、公平、有风度和有经验等特征,但无效合作谈判者却缺乏有效合作谈判者所具有的其它特征,如洞察力、令人信服或合情合理(务实、理性和分析力),同时他们还缺乏创造性、自我控制、多面手、客观、有条理或精通法律等特征。

无效合作谈判者的一个显著特点是,他们没有能力判断案件的价值,也不能令人信服地阐明他们对案件价值的观点。研究表明,无效合作谈判者对案件的价值不确定(保守、阻碍、小心)。

威廉姆斯(G. Williams)教授发现,无效合作谈判者一方面表现温和、亲切、耐心和宽容,另一方面又提出很多要求并且喜好争辩。由于他们缺乏适应性、创造性和机智,他们倾向于理想主义者。此外,他们倾向于相信对手所说的话。

(4)    合作型谈判的风险

合作型谈判策略的主要风险是易受攻击。它要求双方合作并达成

对双方利益最大化的协议。

当合作型谈判律师遇到一个顽固的非合作对手时,合作型谈判律师很可能忽略对方不合作的风险。而合作型的基本特征又要求他们继续公正和客观地谈判并作出让步。

这种情况下,顽固的一方接受全部公正和合作但却没有回报。这样,合作型谈判律师就可能处于下风,他们可能放弃攻击对方律师的立场,接受没有回报的结果。当面对一个有经验的竞争型谈判者时,这种风险尤其明显,待合作型谈判者意识到真实的状况和单边的谈判时却为时已晚。

有些律师认为,在谈判初期,合作型律师不应害怕被看作弱势,因为这可诱导出顽固对手的策略。但威廉姆斯(G. Williams)教授认为,这种观点并不高明,因为它要付出三个代价:A 失去形象,B 失去立场,C 失去货币。

首先,失去形象。竞争型谈判者认为合作型谈判者是弱者的象征,他们认为,强势的人不会作出单方让步或承认弱势,当谈判者以合作方式出现时,竞争型谈判者实际上会提高要求和期望。

其次,失去立场。一旦合作型律师作出了让步,要再收回来就难了。恢复原来的立场将花费时间,有时甚至是不可能的。

再次,失去货币。让步是货币的形式。如果太早作太大让步,当顽固的对方最后准备妥协时,合作型律师已无路可退了。

4、竞争型谈判

以下将阐述竞争型的基本要素和动能——如何进行本类型的法律谈判,决定谈判有效或无效的因素以及运用本类型的风险。

1)基本要素

竞争策略的动能是通过语言或行动对抗对方。其战术包括提出很高的要价、基本不让步、嘲弄、威胁、侵犯和指责。他们以游戏的态度对待谈判。这种方式可使对方感到高度紧张和压力。

这些战术在对方身上体现的效果是竞争型成功的关键。从心理学角度分析,竞争型律师的顽固和敌意影响了对方的情绪,从而导致对方被情绪左右并失去对案件的客观主见。如果能有效运用这些竞争战术,对方将对自己和案件本身失去信心、降低期望并接受比原来期望更低的结果。

2)有效竞争谈判

根据威廉姆斯(G. Williams)教授的研究,有效的竞争谈判者表

现出盛气凌人、竞争、强势、顽固、侵略性和不合作,他们要价很高。他们使用威胁,以当事人的立场夸大事实,尽量隐瞒案件信息。他们有时在一个本来无关紧要的问题上作出让步,从而使对方作为回报而对主要问题作出让步。

有效的竞争谈判者有三个主要目的:A 争取其委托人利益最大化的结果;B 为自己获取利益;C 制胜对手。与有效的合作谈判者不同的是,有效的竞争谈判者在为委托人争取最大利益时,也为自己争取回报,包括金钱方面以及战胜对手的满足感。

有效的竞争谈判者更想战胜对手并取得完全的胜利,而不是寻求对双方都公平的结果。合作谈判者则认为应客观地评估案件,他们往往使对方觉得他们的弱势比实际的要大。竞争谈判者减小了过早过多让步的风险。然而,有效的竞争谈判者是理性的,他们也会妥协。

竞争谈判者的有效性依赖于给对手制造足够的压力和紧张,从而引发对手的情绪反应和减小对方的期望。将竞争型谈判运用于案件(尤其是复杂的案件)中,往往可产生比合作型谈判更好的结果。但如果压力超过限度或持续时间过长,效果将适得其反并导致诉讼。

3)无效竞争谈判

无效竞争谈判者具有消极的特征。威廉姆斯教授的研究发现,他们与有效竞争谈判者唯一的共同个性就是以自我为中心。无效竞争谈判者的特征是顽固、无耐心、不宽容、易怒和吵闹,他们贪婪、苛求、不合理、不合作、傲慢、不老练。

此外,无效竞争谈判者还表现出欺骗、狡猾、冲动、不可预知和推脱的特点,他们多疑、不可信任、不善于理解对方的暗示,他们粗鲁、敌意、争吵、妨碍,他们不考虑对方律师和当事人的需求。总之,他们令人愤怒和使人讨厌。

如有效竞争谈判者一样,无效竞争谈判者也提出很高要求,但他们却明显缺乏支持该要求且令人信服的辩论技巧。他们使用要么答应要么拉倒的威胁态度。他们拒绝改变立场,采取很小商量余地的战术,他们是无效的诉讼律师。他们缺乏有效竞争谈判者所具有的理解力、令人信服、分析力、务实、自我控制等特征。

无效竞争谈判者缺乏社交技巧。虽然无效合作谈判者也注重社交优雅,但他们仍是无效谈判者。因此,社交是否优雅不是决定律师谈判有效的因素。研究表明,尽管较少考虑社交优雅,但如果他是个有说服力的谈判者,如果在谈判时他能表现出理解力、分析力、务实和自我控制,谈判仍然能取得成效。无效竞争谈判者正是缺乏这些特征,才表现出好辩、争吵和令人发怒。

无效竞争谈判者经常采取欺骗、威逼和推脱的战术,试图以此掩盖缺乏熟练准备的事实。有效和无效竞争谈判者的区别在于法律工作的质量,包括是否了解事实,是否研究并理解适用的法律规则,是否对案件的价值采取了务实的立场,是否以对方律师认为理性、公平和信服的方式表明他们的立场。

有充分准备的律师将更少表现好辩、争吵和敌意。他们将找出对其有利的立场,而不是通过拖延、欺骗或争吵来人为冒犯对方而获得优势。

最后,无效竞争谈判者不讲道德且不能给人信任感,他们给人以欺骗和狡猾的印象。

4)竞争型谈判的风险

谈判的刚性和单方性增加了谈判的紧张和不信任,容易损害谈判律师之间以及当事人之间的人际关系。此外,如果双方律师在今后的谈判中相遇,以前所产生的紧张和不信任感将影响以后谈判的结果,这也将使律师的声誉在圈内产生不良影响。

使用威胁和人身攻击将产生压力。研究表明,压力会降低律师对对方观点、计划和期望的理解能力。立竿见影的效果就是妨碍双方的沟通。研究表明,在不信任和紧张的状况下沟通,谈判者往往夸大协议的范围和争议的范围。这样,竞争谈判者就可能相信对方接近协议,但事实却并非如此。因此,竞争谈判者可能进入下一个议程,或者,一个议程完成后,可能寻求结果,但这时却发现对方完全不同意,最终导致达不成预期的协议。

此外,当竞争谈判者错误地表示同意但对方认为不正当时,他们却总是提高要求和期望,结果则可能使谈判完全破裂。

威胁和人身攻击还可能导致诉讼。当情绪激化,谈判陷入僵局,被冒犯的一方会认为被不公正地对待,因而充满义愤,愤怒的对方将设置种种障碍进行报复,甚至使纠纷最终通过诉讼解决。

威廉姆斯(G. Williams)教授对数百名律师的研究表明,无效竞争谈判者进入谈判僵局的比率远高于有效竞争谈判者。有效合作谈判律师达成谈判协议的比例为84%,只有16%的纠纷进入诉讼。而有效竞争谈判律师达成谈判协议的比例为67%,谈判破裂和进入诉讼的纠纷为33%,是合作谈判律师的两倍。

威廉姆斯(G. Williams)教授的研究还表明,竞争谈判律师的案件进入诉讼的平均比例高于合作谈判律师的平均比例。合作谈判律师达成协议的平均比例为62%,进入诉讼的平均比例为38%;而竞争谈判律师达成协议的平均比例为50%,进入诉讼的平均比例为50%

然而,无效合作谈判律师和无效竞争谈判律师结案比例却有所不同。无效合作律师达成协议的比例为36%,进入诉讼的比例为64%;而无效竞争律师达成协议的比例为67%,进入诉讼的比例为33%。这可能是因为无效合作律师知道自己太软弱,从而以保护当事人的利益为理由而被迫通过诉讼解决纠纷。而无效竞争谈判律师却依靠欺骗。他们不顾事实或法律,他们也不精通法律。他们靠过分要求、争吵、敌意、粗鲁和其它伎俩迫使对方达成协议。如果他们的欺骗不奏效(事实上通常不奏效),他们将面临严重的问题。他们最安全的赌注就是在最后一秒也不放弃欺骗,在欺骗不能奏效时再妥协。

 

二、谈判策略

除谈判方式外,还应考虑律师谈判的基本策略。

1、自测3

对下列项目选择(a)或(b):

1

在谈判中,你将

 

a.建立谈判立场,然后通过讨论和妥协缩小差距

b.注重满足双方的需求

2

对谈判事务,你将

 

a.把它们明确划分为谈判资源

b.把它们明确划分为必须解决的问题

3

对谈判资源,你将

 

a.注重于划分有限的资源

b.创造额外的资源

4

你将如何处理谈判中的无形项目

 

a.将这些项目转化为有形的货币

b.拒绝将无形项目转化成可互换的商品

5

作为整体策略,你将

 

采取对抗的方法

采取解决问题的方法

 

美国的门可麦道(Menkel-Meadow)教授将上表中的a选项归类为“对抗”策略,b选项归类为“解决问题”策略。

2、“对抗”策略与“解决问题”策略

传统的法律谈判方法要求双方设定各自的“目标”点和“抵抗”点,从而建立“谈判范围”。门可麦道(Menkel-Meadow)教授指出,目标点和抵抗点通常表现为可互换的商品,一般为货币。不能量化的项目如疼痛和痛苦等可转化为货币数量。谈判双方通过一系列报价、还价和让步而达成协议。这种谈判策略是基本的“线性”策略。沿着线条的活动反映了输/赢游戏,一方的赢就是另一方的输。

谈判理论家将“对抗”策略称为“零金额游戏”,即一方的损失等于另一方的赢利,其基本目标就是将一方的利益最大化。

与之相对,谈判理论家将“解决问题策略”称为“非零金额游戏”。它是在考虑双方利益的情况下,找出多种可供选择的解决方案,最后以使双方都得益的方案解决问题。

 

三、谈判方式和策略的结合

下表中的“方式”和“策略”概念是巴斯特斯(R. Bastress)和哈波(J. Harbaugh)根据门可麦道(Menkel-Meadow)教授的基本理论发展的,他们将方式和策略结合起来。

方式/ 策略

对抗策略

解决问题策略

竞争型谈判

刚性立场,坚硬谈判

有限考虑需求和解决方案

合作型谈判

让步和妥协

全面考虑需求和解决方案

竞争型和合作型对抗谈判的进程是“线性”的,竞争型和合作型解决问题谈判则注重于各方利益并创造谈判资源。巴斯特斯(R. Bastress)和哈波(J. Harbaugh)指出,相对于合作型解决问题谈判,竞争型解决问题谈判者较少考虑需求,并可能试图通过提高已方虚假的需求和降低对方合法的需求来操纵各方需求。此外,合作型解决问题谈判者考虑各方的最大化利益,而竞争型谈判者却不愿意讨论所有潜在的解决方案,因为这样他们就不能给其当事人以积极的优势。

其他学者则使用不同术语、用不同方式划分基本策略,有时也混合着谈判方式。例如,费席(R. Fisher)和尤勒(W. Ury)将策略划分为:(1)坚硬型;(2)柔软型;(3)原则型。普鲁特(D. Pruitt)和卢宾(J. Rubin)则把策略划分为:(1)竞争型,(2)解决问题型;(3)让步型;(4)静止型,(5)撤退型。

 

四、谈判阶段

许多学者都注意到,法律谈判是具有明显的可预见模式的重复过程。在描述这些过程时,有些学者注重功能方面,另一些学者则侧重活动模式。无论怎样描述,在实际谈判中,律师有时没有意识到谈判的模式,他们的注意力和精力都放在了诉前和诉讼准备上。缺乏经验的律师往往不知道谈判处在哪个阶段,并运用了不必要或对谈判有害的策略。例如,有些律师从心理上比强硬的对手更快地进入了各个谈判阶段,当达不成协议时,他们认为最后阶段已经到达,从而使谈判破裂。

威廉姆斯(G. Williams)教授将谈判模式划分为四个阶段:(1)定位和立场;(2)讨论、妥协和寻求可供选择的解决方案;(3)紧急情况和危机;(4)协议或破裂。用图表表示如下:

第一阶段

第二阶段

第三阶段

第四阶段

1、建立工作关系

1、辩论和说服

1、为达成协议施加压力或进入僵局

1、陷入僵局或达成基本协议

2、初步谈判定位

2、寻求可供选择的解决方案

2、出现危机

2、制定细节

 

3、让步

 

 

上表的结构反映了谈判过程的传统对抗概念,类似于诉讼过程。在商业谈判中,律师需要为谈判作准备、交换并评估信息、找出解决方案、说服、达成协议或陷入僵局。

1、第一阶段:定位和立场

第一阶段包括定位和立场。在初始阶段,双方律师开始接触并建立公开的立场。在这一阶段,他们提出存在纠纷的案件,研究案件事实和适用的法律,根据案件的有利和不利方面来评估案件价值。竞争型律师可能试图建立贯穿以后阶段的优势立场。如果在此阶段讨论了案件,双方律师仅发表对已方有利的初步意见。

1)定位

律师接触后需要进行互动。律师可能交换信件和法律文件、相互通话等。在互动过程中,双方律师对对方的谈判方式自然有个定位。律师以前的声誉、谈判经验以及曾经的接触等也将影响定位过程。

这些关系是确定律师将采取何种谈判方式以及运用何种谈判策略和战术的重要因素。律师的准备情况和一般法律技能也必须衡量。有些律师会通过使用胁迫和强硬的战术试图建立优势立场。有些律师则可能通过了解对方律师的执业经验和教育背景来建立自己的立场。

吉科(N. Jacker)教授建议,律师在作谈判准备时,应尽可能多地了解对方律师的情况。背景信息应包括对方律师就读的学校、执业领域、忙碌程度和执业经验,以及其它可推断出其可能采取何种谈判方式和策略的信息。这些信息也可在随意交谈中获得。

2)立场

许多律师会表明公开的立场是第一阶段的另一基本特征。在第一阶段,运用对抗策略的律师会试图建立不变的公开立场。威廉姆斯(G. Williams)教授指出,运用这种战术的目的有三:首先,为其要求增加可信度,特别是,当其要求相对高时,有充分的时间影响对方的期望;其次,使对方有时间对案件的价值进行进一步评估,并获得对方愿意接受多少要价的信息;再次,如果提出的要求过高,当谈判进入更严肃的议题时,更好讨价还价。

在建立各自的立场时,谈判者面临诸多不确定性,如:还未全面了解事实,还未全面研究法律问题等。面对这些不确定性,谈判者往往为自己留有一定空间的余地。基本立场分为以下几类:最高要求、公平要求和综合(解决问题)要求。

有些律师采取最高立场,即提出远超过其希望得到的要求。根据威廉姆斯(G. Williams)教授的研究,最高立场有四个主要优点。首先,可避免对案件的过低评估;其次,可有效隐藏谈判者的真实或最小期望,从而也可探知对方的真实立场;再次,创造了让步的筹码,特别是当对方也提出了相应高的要求时,这种筹码非常重要;第4,当运用了有效的策略时,可能获得较好的结果。研究表明,对案件价值不确定的谈判者往往根据对方的公开要价来设定目标。这样,对有些谈判对手而言,最高立场可能影响对方的期望。这还可提高协议价值,因为这提高了中间点,而自然的心理倾向是在初始立场的中间点附近达成协议。

另一方面,威廉姆斯(G. Williams)教授指出,最高立场也有两个主要缺点。首先,可能加大谈判破裂或诉讼的风险。对方宁愿诉讼也不会答应不合理的要求。其次,如果要求过高,则失去有效性,且损害了谈判律师的可信度。

在特定情况下,影响所提要求多高才不失去有效性的因素有:案件的性质,例如,合同纠纷比人身损害纠纷的伸缩性更小;地方习惯或特别规定。地方律师群体处理类似案件的惯例可提供衡量要求是否合理或过高的方法。

根据威廉姆斯(G. Williams)教授的研究,公平立场是对双方或各方都公平的要求。公平立场的优点是,谈判破裂的风险比最高立场小。它还被认为是既经济又有效率的解决纠纷的方法。

一般而言,公平立场谈判者不会在开始谈判时就亮出最后的绝对公平的解决方案。他们表现出的立场更倾向于希望达成协议。他们致力于取得已方合理公开立场和对方合理公开立场之间的中间值。当然,如果他们被对方有效说服并认为对方的最高要求并非过分不合理,则他们将面临中间值提高的风险。

综合立场则在考虑各方利益的基础上提出多个解决方案,从而找出对各方都有利的“非零金额”解决方案。综合立场将评估解决方案对各方的价值,增加并交换所有可利用的资源。这种方法常用于双方都不愿意谈判破裂的情况以及多方纠纷的谈判中。

3)第一阶段的持续时间

根据律师实际谈判的经验,第一阶段往往比以后几个阶段持续时间之和还长,一般需要数天、数月或数年。原因之一就是,在许多可诉讼的民事纠纷中,未到最后的诉讼期限,律师就不急于考虑了结谈判。

2、第二阶段:讨论、妥协和寻求可供选择的解决方案

开始讨论严肃的问题,就意味着第二阶段的开始。在本阶段,大量的信息被相互交换。采取对抗策略的谈判者试图最有利地利用这些信息。在讨论过程中,法律和事实变得更加清晰,各方的优势和弱势也越来越清楚,谈判者将相应调整他们对最佳解决方案的评估。同时,采取对抗策略的谈判者将试图收集可反映对方真实或隐藏的期望,但却不透露自己的最小期望。随着讨论的深入,双方的最初期望都可能发生实质性的改变。当然,改变的幅度和方向则依赖于律师的辩论和谈判技巧。

第一次让步通常在第二阶段作出。因为让步是达成协议的基本手段,因而让步是重要的。让步也是一种策略。在与对抗策略谈判者进行谈判时,谈判者面临的问题是,如何预见和评估让步的效果。例如,让步可能是相互的,一方作出让步,另一方也可能作出同样的让步。事实上,对某些对手而言,如果让步没有取得对方的让步回报,一再让步将使对方得寸进尺,从而提高对方的期望值。

采取解决问题策略的谈判者将试图提供考虑当事人潜在利益的信息。费席(R. Fisher)和尤勒(W. Ury)建议,采取解决问题策略的谈判者应花时间明确当事人的合理利益。如果对方律师试图进入传统的谈判模式——报价、还价、让步、威胁和警告,采取解决问题策略的谈判者应深入对方的立场,通过问“为什么”来获得对方潜在利益的信息。费席(R. Fisher)和尤勒(W. Ury)建议采取解决问题策略的谈判者应主动倾听并了解对方的需求、利益和关心的问题,重点应放在识别利益和需求以及解决问题方面,谈判者和当事人提出可能的解决方案,当双方头采取合作型解决问题策略时,谈判将制造协作的氛围。

3、第三阶段:紧急情况和危机

第二阶段持续时,谈判者在压力下进入摊牌阶段。如果双方都采取对抗策略,双方都意识到一方或双方都必须作出主要让步,提出新的解决方案,或者承认谈判破裂并诉诸法院。这种意识始于第三阶段。在本阶段,各方均寻求并给出在哪些方面作出让步的可能性。双方提出新的解决方案并作出让步。最后,在各方都不愿意再让步时,危机也就到来了。双方都怕吃亏太多,也许双方都放弃了比原先预期的更多,双方都知道,他们必须在某个位置停下来。摊牌时间已经到来,这时,在传统的对抗谈判中,一方可能建议给出最后报价。

提出最后要求后,对方一般有三种选择:接受,拒绝,或提出其它建议。如果最后要求被直接拒绝,则谈判宣告破裂。威廉姆斯(G. Williams)教授指出,选择提出其它建议并不是非得作出让步,它可以是另一个综合的解决方案。

当一个最后要求被提出后,当事人往往对是接受还是诉讼感到为难。律师应该帮助当事人了解诉讼程序,诉讼的公正性,案件的确定性和不确定性,以便当事人作出决定。

在紧急情况和危机阶段,采用综合(解决问题)策略的谈判者往往可达成协议。他们作出让步,并寻求满足当事人需求和利益的解决方案。

4、第四阶段:达成协议或谈判破裂

第四阶段出现两种不同的结果:(1)达成协议、制定细节并签订协议;或者(2)陷入僵局、谈判破裂、进入诉讼。

 

 

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    2010-12-07 19:12

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    Lao Chen (阿牛) : 赞《律师之路》:威严国徽闪金光,律师之路不寻常。历经十年磨一剑,锋芒所向正义张!----恭贺罗香荣律师事业再接再励,更上一层楼!

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