HMT EU Negotiations Seminar

EU Negotiation Training

Alejandro Ribo & Jon Worth

Winnie the Pooh was sitting at home one day, counting his pots of honey, when there was a knock at the door. It was Rabbit. ‘Hello, Pooh,’ said Rabbit. ‘I’ve come to take your honey away.’ ‘Oh,’ said Pooh. ‘Whatever for?’ ‘Because I had a Busy Day yesterday. Important Things happened. I decided honey is Bad for you. And I’ve written out this Directive, and everyone agreed, and so there we are.’

‘I didn’t agree,’ said Pooh in a small voice.

‘Too late for that now,’ said Rabbit. ‘Owl wrote it out in the OJ. And Christopher Robin’s ratified it by the necessary majority.’

‘I suppose,’ said Pooh, ‘this just shows what happens to Bears of Very Little Brain!’‘Negotiating in the European Union’, James Humphreys

Session 1

Introductions

experience (in pairs)

• Describe a negotiation experience– 1. What happened?– 2. What did you feel?– 3. What would you do differently?

the best (in groups)

• 5 keywords describing the best five elements for negotiation e.g. resources, skills, ideas...

" ... (it) is a basic means of getting what you want from others. It is back-and-forth communication designed to reach an agreement when you and the other side have some interests that are shared and others that are opposed.”

(R. Fisher, W. Ury: 1981)

Negotiations

Session 2

Introduction to Negotiations(requires Prezi, cannot print)

Session 3

The SPACE model of negotiation(requires Prezi, cannot print)

Session 4

Tactics, strategies and cultures

Take-Off : Prenegotiation

1. Agreement About Need To Negotiate

2. Search For Agenda

3. Agree On Set Of Principles & Objectives

4. Agree On Rules Of Conduct

5. Explore The Field

Cruising : Negotiation

6. Narrow Differences

7. Agree On A Formula - In Principle

8. Preliminaries To Final Phase Of Decision-Making

9. Claiming : Carving Up

Landing : Implementation

10. Agree On Implementation Details

11. Ritualize Outcome

12. Execute Outcome / Agreement

***** Create Context For “Renegotiation”

Strategies & TacticsA. Integrative/cooperative• Step-by-step• Linkages• Package deals• Smoke-screen

B. Distributive/contending/positional• Defection• Tit-for-tat

– Salami– Moves

“Behavioural” tactics– Anchoring

– Bad/Good Guy

– Higher Authority

– Hot Potato

– Nibbling

– The Other Buyer

– Big Favour, Little Favour

– Splitting The Difference

?

"without communication there is no negotiation”(Fisher and Ury, 1981: 33)

"in essence, international negotiation is communication”(Stein, 1988: 222)

communication

communication

information

knowledge

cognitive advantage

“Better information gives a more accurate idea of where the zone of possible agreement lies”

(Carnevale, 1986: 253)

information management

language

formal/informal

written/unwritten

documents

treatiesEP report

council’s rules of procedure

proposal

agenda

during negotiation

interventionsconversations

questions / answers

written proposals

information gathering

value - credibility - authority

authority

expertise

process expertise (leadership and negotiating skills)

content expertise (technical knowledge of the subject matter)

(Wall & Lynn, 1993)

leadership

sherpa

challenges(problems)

maps(summaries)

paths(solutions)

negotiating skills

preparation

listen

noteswrite

review

ask

corridor diplomacy

build networks

alliances

relations with chair

identify leaders

focus oninterests ≠positions

logic

emotions

emotionalintelligence

awareness

story teller

self

us

now

culture

does culture matter?

under which conditions?

degree of dissimilarity

new relationships

essential interests, less culture

intensity of the conflict - one shot, bilateral encounters vs. complex, multilateral, long lasting

conditions

actors (perception)

structure (frameworks)

strategy (interests and values)

process (behaviour)

effects

Learn the other side’s culture

Don’t stereotype, no “cultural robots”

Bridge the gap using the other’s culture

Help the other to become familiar with your culture

Combine both cultures

Resort to a third culture

to do’s

Session 5

Structure of internationaland EU negotiations

international negotiations

193

from sovereign partners meet to find a joint and mutually acceptable solution to a dispute...

...to more complex, multilateral, multidimensional, lengthier processes

negotiation as the continuation of national foreign policy or...

...common problem solving

a permanent form of diplomatic activity with established and recognized locations

models of negotiationtraditional: highly formal, official sessions with diplomats. specific instructions. bargaining. binding agreement,

alternative: informal, working sessions. governmental and non-governmental experts / standing committees. recommendations. joint problem solving or brainstorming. advice and guidelines.

EU negotiations

ScopeParticipants

Single Issue Multi-issue Wide scope

Bilateral Channel Tunnel Poland/Ukraine France/Germany

Restricted MultilateralEuropean Space

AgencyNordic Council

G7/8European Union

Extended MultilateralWorld Trade Organization

Council of Europe United Nations

Source: Wallace & Hayes-Renshaw, 2006

SettingIntensity

Weak rules Limited rules Strong rules

Occasional or time limited

Channel Tunnel

Medium frequencyPoland/Ukraine

Council of EuropeG7/8

Nordic CouncilWorld Trade Organization

Very frequent United NationsEuropean Space

AgencyEuropean Union

Source: Wallace & Hayes-Renshaw, 2006

restricted multilateralwide scope

very frequentstrong rules

‘continuous negotiation’institutions

rules and norms

club

cleavagesissues

north-southeast-west

policy-driven (e.g. CAP)

community method

legislative acts

directivesregulationsdecisionsopinions & recommendations

Stages of the Legislative Process

Commission drafts

Directive

Directive published

Codecision

Directive agreed

Implementation

Commission Expert Groups

Council Working Groups

Comitology Committees

Green Papers, White Papers, Annual Work

Plans, Communications

Committee(s) and Plenary

Simple majority

Co-decision (OLP) 1st Reading dealCommission publishes

draft Directive

European Parliament amends

Working Groups, COREPER,

Council

QMVCouncil accepts Parliament amendments

Directive agreed

FTT Proposal• Art 113 – unanimity• Consultation with the EP

Committee(s) and Plenary

Simple majority

Working Groups, COREPER,

Council

QMV

Working Groups, COREPER,

Council

QMV

Committee(s) and Plenary

Absolute majority

Co-decision (OLP) 2nd Reading dealCommission publishes

draft Directive

European Parliament amends

Council rejects Parliament amendments

Common Position

European Parliament amends

Council accepts Parliament amendments

Directive agreed

Committee(s) and Plenary

Simple majority

27 MEPs, 27 MS, Commission

Prepared by trialogue

Working Groups, COREPER,

Council

QMV

Working Groups, COREPER,

Council

QMV

Committee(s) and Plenary

Absolute majority

Co-decision (OLP) 3rd Reading dealCommission publishes

draft Directive

European Parliament amends

Council rejects Parliament amendments

Common Position

European Parliament amends

Council rejects Parliament amendments

Conciliation

3rd ReadingDirective agreed

Council HierarchyWhitehall

UK PermanentRepresentation (UKrep)

Working groups

COREPER I / II

Council

i points: agreement alreadyIi points: discussion

A points: agreement alreadyB points: discussion

0

10

20

30

40

50

60

70

80

Population (millions)

GermanyFrance

United Kingdom

ItalySpain

PolandRomania

Netherlands

GreeceBelgiumPortugal

Czech Republic

HungarySwedenAustriaBulgariaDenmarkSlovakia

FinlandIrelandLithuania

LatviaSlovenia

EstoniaCyprus

Luxembourg

Malta

Population of EU Member States

Voting Weights of EU Member States

0

5

10

15

20

25

30

Numbers of Votes

GermanyFrance

United Kingdom

ItalySpain

PolandRomania

Netherlands

GreeceBelgiumPortugal

Czech Republic

HungarySwedenAustriaBulgariaDenmarkSlovakia

FinlandIrelandLithuania

LatviaSlovenia

EstoniaCyprus

Luxembourg

Malta

Qualified Majority Voting (QMV)

• 345 votes, 255 required for majority

• Simple majority of member states (i.e. 14)

• States representing 62% of the EU’s population

From 2014 / 2017?

• 55% of Member States

• 65% of theEUpopulation

Key Players: Commission

• Commissioners

• Cabinets(Chef de Cabinet, Deputy Chef)

• Directors General

• Heads of Unit

• Desk Officers

Key Players: Parliament

• Rapporteur

• UK MEPs

• Group coordinators

• MEPs’ assistants

• Parliament Secretariat

multilevel networks

member states

council

council

parliament

parliament

commission

commissionEU institutions

pan-europeanorganizations

lobbiesNGOs

interestgroups

Session 6

Briefing for Negotiations

‘Briefing is the process of selecting and presenting info to enable someone else to understand a particular subject quickly without having to research it themselves’

AccurateBriefClear

Relevance

• Who am I briefing?• If I were them…- What would I know already?- What would I want to know?• Big picture – why are we doing this?

What’s this for? Need a clear objective• Must, shoulds and coulds

Length

• Alarm bells every time you start a new page, 2 pages max

• Say it once• If this paragraph were drowning…• 15-20 words per sentence

Structure

• First things first• Post-it notes• Past, Present, Future• All the Ps – position, problem, purpose,

possibilities, proposal• Who, what, when, where, why, how

By failing to plan, you’re planning to fail Amount of reluctance to plan=Amount of need to planBy failing to plan, you’re planning to fail Amount of reluctance to plan=Amount of need to plan

Format• Presentation will determine whether reader

wants to read it or not• Use lots of white space –

paragraphs help retention• Headings and sub-headings to

guide the reader through the structure• Number the paragraphs and the pages• Use bullet points and bold where appropriate• Top lines of paragraphs are key• Avoid footnotes

Language• Use plain English, the language of

conversation – if you wouldn’t say it, don’t write it: www.plainenglish.co.uk

• Avoid jargon/technical language, long words, unexplained acronyms, abbreviations, and abstract language

Statistics show that this policy has achieved a paradigm shift of intervention.

We’re getting food and water to the world’s poorest people.

Come to an agreement =

Make a decision =

Encourage the participation of =

Have capability =

Make arrangements =

Facilitate the provision of =

Afford an opportunity =

Give consideration to =

Is in accordance with =

Is of the opinion =

Have a discussion =

Engage in dialogue =

Come to an agreement =

Make a decision =

Encourage the participation of =

Have capability =

Make arrangements =

Facilitate the provision of =

Afford an opportunity =

Give consideration to =

Is in accordance with =

Is of the opinion =

Have a discussion =

Engage in dialogue =

The horror of nominalisations

As a consequence of =

Due to the fact that =

In the majority of cases =

In the event that =

With the exception of =

An absence of =

At the present time =

By means of =

Costs the sum of =

Despite the fact that =

During which time =

As a consequence of =

Due to the fact that =

In the majority of cases =

In the event that =

With the exception of =

An absence of =

At the present time =

By means of =

Costs the sum of =

Despite the fact that =

During which time =

Be concise

For the purpose of =

In conjunction with =

May in the future =

On numerous occasions =

Subsequent to =

That being the case =

The question as to whether =

Until such time as =

With the minimum of delay =

For the purpose of =

In conjunction with =

May in the future =

On numerous occasions =

Subsequent to =

That being the case =

The question as to whether =

Until such time as =

With the minimum of delay =

Use active language

• I shot the sheriff

• The sheriff was shot by me

• Knowledge and informationshould be shared

• Climate change should be integrated into development policy

Contact Information

Alejandro Ribo

aribolabastida@gmail.com

http://alejandroribo.com/

Twitter: @aribo

Jon Worth

jon@jonworth.eu

http://jonworth.eu/

Twitter: @jonworth

Additional Slides(for reference)

• Having an established network of contacts in the Brussels machine will prepare the ground for future negotiations - you never know when you might need it

• Attend Brussels working groups/meetings of national experts, invite others to London, and visit them in their capitals.*

• Establish personal rapport – walk round the table and introduce yourself, have a supply of business cards to hand, and make an effort to speak other languages

• Use “the margins” of meetings to maintain contact, shore up your support, etc. Make the most of your time in Brussels.

• Where you can, attend EU-focused conferences and events, to establish your presence as part of the expert community.

• Once established, keep in touch regularly – phone, e-mail and in person - don’t wait until you have a problem before getting in touch – it’s obvious if you only call when you want something!

• And if others know your position and trust your expertise, it’s more likely that they will come to you too.

•*If visiting Brussels / other capitals, always remember to work closely with UKRep / FCO & relevant British Embassy

Building networks

Approaching the EU Institutions•“Open door” policy•Currency of Brussels is information•Key is right person, right issue, right timing•Get to know key individuals at all levels of organisation•Visibility (face to face) builds credibility – not just there when there’s a problem•Send in the big guns sparingly, showing seriousness of issue•Understand the EU approach – praise positives, proposesolutions for problems, europeanise the issue•A voice in harmony with others is more effective: what are your opposites doing? How are you helping them?•Don’t be shy – everybody’s at it

Top Players’ techniques•Europeanise the issue•Access at the right level, not just the top level•Seeing people face to face not just writing•Working out other people’s motivations•Ongoing relationships•Use expertise•Use networks•Socialising…

Timing

Available/ present at key moments

Making imaginative proposals

Paper has power

Persistence

Aware of own role in shaping events

• Project plan?• Likely timing for each stage of the negotiation – prepare for slippage• Dates of WGs, Councils, EP plenaries• Consulting on your negotiating position internally and externally• Meetings with the Commission, MEPs and their assistants, other Member States, Council Secretariat, potential allies etc. – but timing is everything…• Alternative routes• Revisit your objectives regularly – ‘It is a monster I have created, an abomination! But I cannot destroy it!’

Drawing up a timetable

• You should carry out an IA when negotiating a piece of legislation or an agreement that will have to be implemented in the UK

• European Commission itself also carries out assessment of the social, environmental and economic impacts of proposals, but across the whole EU, so is reliant on data from its stakeholders - Member States, NGOs and business

• The Commission carries out Enhanced Impact Assessments if an area is particularly complex/technical/controversial

• UK officials should encourage other Member States and external stakeholders to influence the Commission to produce well-assessed proposals, based on effective consultation

Regulatory impact assessments

• Identify who needs to be consulted• Consider what the consultees will want from the process• Establish the necessary procedures, being realistic about available resources• Explain the implications of proposals and options, and to canvass views on them to help formulate your position what is being proposed the likely timetable for negotiations the scope for amendments (i.e. don’t panic) how to make views known what else consultees can do, including lobbying the EU institutions

Consultation

Main factors determining progress of a proposal through the Council

• Urgency of proposal• Controversiality of proposal and support/opposition amongst the member states• Extent to which Commission has tailored its texts to accommodate national objections/reservations at the pre-proposal stage• Complexity of the proposal’s provisions• Ability of the Commission to allay doubts• Judgements made by Commission on whether or when it should accept modifications to its proposals – unanimity required to override Commission objections to amendments• Competence of the Presidency• Agility and flexibility of the participants to devise and accept compromises• Availability of, and willingness of the states to use, majority voting

Practicalities• Avoid discussing work on the Eurostar….• WG meetings held in Justus Lipsius• Usually called for 10am, but rarely start on time – worth arriving early to look at new documents, talk to UKRep, Council Secretariat, other Member States, and the Presidency• Ensure you take the meeting notice, existing legislation, the latest texts of proposals under discussion, reports of previous meetings, anything that could be used as a precedent in support of your case, and relevant telephone numbers• ‘Chairman’ or ‘Mr/Madam Chairman’• Remove earphones before addressing the meeting, but don’t put it too near the microphone…• Press the switch on the base of the microphone to speak – don’t make any asides until the microphone is switched off!• To make an intervention, stand your flag on end and wait for the Chairman to call you

Drawing up your negotiating boxIdeal position: the best deal which you can expect and

justify

Realistic position: points at which you would expect a reasonable settlement

Fall-back position: point beyond which you cannot go

without consulting your constituency

Negotiating in WGs – the dos• Preparation, preparation, preparation• Work the margins - corridor diplomacy • Listen actively and look for hidden signals about possible compromises and real sticking-points• Keep a full note of each meeting, and play on inconsistencies/ contradictions in others’ positions•Circulate suggested amendments on paper as well as orally, before the point is discussed, and offer your impartial linguistic skills to help the Presidency draft a compromise in English• Build and nurture alliances, think long-term • Review your alliances and tactics frequently (refocus at start of the endgame), and keep in close contact with UKRep• Build good relations with the Presidency, the next Presidency, Commission and Council Secretariat• Keep a poker-face and use open questions to let others reveal themselves• Use the Commission’s Explanatory Memorandum as a source of quotes

Making interventions with impact• Europeanise the issue• Use your negotiating capital wisely – prioritise and let minor points go, slipstream other delegations• Announce the type of statement you’re about to make, e.g. ‘Let me make a suggestion…’, ‘I’d just like to ask a couple of questions about that…’• Build up to a statement of disagreement with reason and explanation• Develop others’ positions to include your wishes and present the advantages others would gain from your [creative] solution• Be measured, clear and concise, putting over a small number of points• Draw on real life, common sense, and concrete examples• Speak clearly and slowly (particularly figures), repeating key phrases• Say how many points you’re going to make and number them off as you make them • Avoid acronyms, irony, sarcasm, metaphors, understatement, colloquialisms, cricketing jokes…• Build a relationship with the interpreters• Pause if others are chatting whilst you’re making your intervention

When to make an intervention• If your intervention will help the Presidency to reach agreement, tell them before the point comes up•Get in early if you want to…• steer the debate along particular lines• convince waverers• head off counter-proposals or spoil someone else’s intervention• support the Presidency’s compromise proposal• set out some important material considerations•Come in late if you…• Think others will make your points for you• Want to hear the arguments of others first so you can counter them• Think you may pick up something intelligent from another delegation

Negotiating – the don’ts • Make immediate counter-proposals• Dilute a good case with weak subsidiary arguments• Become emotional/use emotive language• Use irritators, e.g. ‘With respect’, ‘I’m trying to be reasonable about this’, ‘Obviously..’ etc. • Incur intervention fatigue• Make concessions too early or too easily• Overbid• Deal from the bottom of the pack• Reveal your fallback position• Go below your fallback position

Briefing for Council – the basics• The Presidency and Council Secretariat produce a document a few days prior to Council, summarising outstanding issues which Ministers will need to resolve

• Debate will follow the arrangement in this Secretariat note, so your brief should also follow this order

• Must include:

If long/complex, an index

A summary of overall position on the negotiation

The likely position of other significant member states

Speaking notes

Background to the proposal

Latest estimate of costs and benefits, and any areas of uncertainty

Detail on each remaining questions

Any potential pitfalls, with defensive material

Key statements or texts from earlier drafts, decisions of previous Councils, or declarations from European Councils

Contact names and phone numbers, in case of unforeseen developments

Briefing for Council – top tips Your Minister may be very unfamiliar with the EU’s procedures and terminology, and the complex technicalities of the dossier – work hard for clarity

Ensure your Minister’s negotiating position is agreed across Whitehall and with UKRep, and that it finds the right balance between being ambitious and realistic

Spell out precisely any fall-back positions and contingencies, and provide alternative or successive speaking notes

If not present, ensure you are on the end of a phone, even late at night

However well prepared the brief, be ready to update and revise in the last few hours before Council and even on the day

Don’t forget the media – Brussels press corps and lines to take

UK and EU lobbyingGood…

• Often already have legislation in place, so deep expertise

•100+ staff in UKRep

• English-speakers…

• Very coordinated, both internally and externally

• British well-represented in Cabinets

• Large member state

• Creative compromise

Not so good…

• Often already have legislation in place, so a position to defend and opinion on everything

• Don’t tend to speak other languages

• British under-represented in the Commission Services

• Public opinion, media

• Geography

• Ministerial engagement

• Lack of EU knowledge

Lobbying dos• Get in early!!• Praise the positives, propose solutions, europeanise the issue• Think creatively - develop others’ positions to include your wishes and

present the advantages others would gain from your solution• Key message – know what you can and want to say• Clarity – make sure you understand and are understood• Supporting arguments – have facts and explanations ready to support your

position; anticipate counter arguments• Put it in writing – if possible, give your contact something in writing,

especially if you are agreeing wording, etc• Right person, right issue, right timing – get to know key individuals at all

levels of organisation, use big guns sparingly• Keep in touch regularly – phone, e-mail and in person – visibility builds

credibility• Make the most of time in Brussels - use “the margins” of meetings to

maintain contact, shore up support, etc.