This action might not be possible to undo. Are you sure you want to continue?
A DISSERTATION SUBMITTED TO THE DEPARTMENT OF MANAGEMENT SCIENCE AND ENGINEERING AND THE COMMITTEE ON GRADUATE STUDIES OF STANFORD UNIVERSITY IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY
Somik Raha May 2010
c Copyright by Somik Raha 2010 All Rights Reserved
I certify that I have read this dissertation and that, in my opinion, it is fully adequate in scope and quality as a dissertation for the degree of Doctor of Philosophy.
(Ronald A. Howard)
I certify that I have read this dissertation and that, in my opinion, it is fully adequate in scope and quality as a dissertation for the degree of Doctor of Philosophy.
(Stephen R. Barley)
I certify that I have read this dissertation and that, in my opinion, it is fully adequate in scope and quality as a dissertation for the degree of Doctor of Philosophy.
(Carl S. Spetzler)
Approved for the University Committee on Graduate Studies.
You are also hereby granted the right to distribute this dissertation. v .Creative Commons Attribution No-Derivatives Non-Commercial License: You are free to use any ideas in this dissertation commercially or non-commercially. as long as you do so with attribution. without modifying it and free of charge.
the great truth has great silence.” .Tagore vi .“The small truth has words that are clear.
Abstract Decision Analysis is the pursuit of clarity of action. This dissertation focuses on helping decision-makers achieve such clarity by suggesting frameworks to discover. Before moving to clarity of action. several case studies are presented to illustrate the use of such methods to achieve consistent valuation and aid mutual understanding on value. vii . and lies at the intersection of action and thought. appreciate and communicate sources of value. we need to achieve clarity of thought on our values so that we can make decisions that are consistent with our deepest values. Apart from the theoretical contributions.
ix . appreciate and communicate sources of value in order to achieve consistent valuation.Preface This dissertation focuses on methods that help decision-makers discover.
and my aunt Lipika Phani. Through this work. Rem Edwards from the University of Knoxville. Prof. Pamela Ishimoto and Wendy Hums from the Stanford Trauma Center for helping me understand the traumatic injury scenario at Stanford Hospital. Chief of Police. the Bicycle Program Coordinator at the Department of Parking and Transportation Services for being a great collaborator and bike-safety champion. My thanks to Prof. I’d like to thank Laura Wilson. and for giving so generously of her time to support this research. for letting me study the Stanford police department for four years. Ray Levitt for asking me to connect with Laura. Tennessee. the Director for Alcohol Education at the Vaden Health Center. for giving me a rich dataset for bicycle injuries that helped me understand the injury scenario on campus. I would like to start by thanking my wife Geetanjali for her unwavering support and love. good intentions and the greatest integrity. and starting me on a research journey that I could not have imagined. a reminder that coercion is a disvalue. encouragement and above all. The bike-safety work with Ariadne and Brodie helped lay the foundation for the other case studies.Acknowledgements So many people gave the gift of their time and resources to make this dissertation possible. She gave so freely of her time to help me understand the dynamics of bicycle safety and other issues facing the parking and transportation program. xi . Ariadne Scott. Kathryn Gelman. for not just giving me the opportunity to model the value of the program but also using the results to make a decision. Brodie Hamilton. David Spain. I have not just gained valuable insights into private policing. for his time. who have always encouraged me to follow my heart and do research. A special thanks to Ellen for giving me the opportunity to model the value proposition for the “Farewell to Falls” program. It feels great to have helped a real-life decision-maker. but also come face-to-face with a police culture that was built with hard work. My parents. who inspired me over Yahoo Chat to not push further studies away any further. My gratitude for the many knocks he gave me for confusing value with valuation. Without her being my pillar of support. the Director of the Department of Parking and Transportation. Ellen Corman. and make sense of the three dimensions of value. for helping me discover Hartmania. Ralph Castro. none of this work would be possible.
A huge thanks to my Han Chinese subject who shall xii .Dan Pallotta for being a combination of clear head and warm heart. Amy Baldwin at the Vaden Health Center for helping me understand the role of insurance. Christopher Han. Brad’s numerous comments on displaying information really helped improve the quality of this work. for being supportive of this research. Wititchai Sachchamaga. Thank you for letting me hijack the class twice for feedback! A special thanks to Sumanth for helping me frame my talk for those outside my ﬁeld. Piya Sorcar for helping validate the axiological framework in the context of her inspiring work with “TeachAids. Thomas Seyller and Ibrahim Almojel for being my mentors. for giving great encouragement and support. for having the courage to write “Uncharitable. Steve Hurd and Russell Gulman for letting me interview them in my ﬁrst iterations of the value diagram. Raghu Arur.” The Decision Analysis group at Stanford . Hilary Karp. giving the rest of us the inspiration to follow in his footsteps and focus on value. Siddharth Panwar. teachers. Muhammad Aldawood. David Caswell. Director of the Vaden Health Center. Ben Smith and Jane Espositpo. Harris Kuhn. Sumanth Jagannathan. Ira Friedman. and valued friends in so many ways. the CFO of Stanford University. Allen James. Sri Palasamudram. Randy Livingston. Assistant Vice President for Risk Management. Diana Haven and Joanne Thorne from the Department of Risk Management for letting me interview them and model the Car Insurance problem. who took my value thinking to a level I could not have imagined.thank you for making our research group a great environment to live and work in. for letting me draw their value diagrams. Ahren Lacy. Thank you for coming down to Stanford and sharing your wisdom with us. Dr.Swami Vedananda. Ramses Madou at the Department of Parking and Transportation for spending many hours brainstorming carbon oﬀsets and credits. for their generous gift of time. Xi Wang. and for the numerous ways in which you’ve helped me improve the quality of this work. and humoring me in deep value conversations. Linda Saunders.” and by doing so. Jim Matheson and David Matheson for taking the time to review and give me feedback on my work. Charles Tripp. the President of Stanford University. Rajesh Bhatt. The hours spent mentoring and coaching me can never be repaid. A big thanks to Tenzin Tethong for being the subject of my Tibet case study. Grant Cunningham. Jeremy Stommes. Sue Ann McKean. Noah’s suggestion of using “Value Stories” as a title was right on. Members of the Vedanta Study Group at Stanford who gave me feedback on the axiological framework . Marlo Banda and Frank Hom from the Stanford University Department of Public Safety. Sandhya Kunnatur. Kay Iida. Tina Dobleman.Brad Powley. and John Hennessy. Jack Labanauskas. Tenzin’s compassion and integrity make me believe in the future. David Blum and Noah Burbank . And I don’t know how to begin to thank Swami Vedananda.
Nipun. being patient with me. this was an important stepping stone. Although I ended up with signs. Ripa Ajmera. Clint Korver for giving generously of his time and positive attitude to review my work.be unnamed. Dr. This work is dedicated to my parents. for not just teaching me ethnography. my teachers. Ajay Kshatriya for providing more feedback on applicability in early seed-venture valuation. Prof. and I am grateful for it. he also taught me how to think. The sociological lens is a great gift I will carry with me from Stanford into my future endeavors. to those I will know in the future and foremost to those unknown beings who served in anonymity and cared not for their name. xiii . Burke Robinson for feedback on structuring the value diagram conversation. Prof. my friends. for advising me in so many ways. I am so grateful to my department and to Stanford University for giving me the opportunity to do research and get deeper into Decision Analysis. I hope to be able to contribute to the world and spread this wisdom that has transformed my own life. although he credits the Buddha as being the ﬁrst decision analyst. Prof. Sabina Stefania Alistair for requesting colors in value diagrams. David Hutton for giving generously of his time and helping me understand how this work connects with public policy work. Debra Satz feedback early on as I was getting my feet wet with Axiology. Lauren Cipriano for asking for thicker arrows. Margaret Brandeau for making numerous comments that enriched this work in so many ways. and suggesting the “three judges” metaphor. and engaging in dazzling brainstorms. but also teaching me how to think like an ethnographer. Chris Johnnidis. Jennifer Wolf for teaching me ethnography more formally. Pavi. Stephen Barley. Prof. CFDad and CFMom. The sociological inﬂuence spilled over from the ethnographic work to the rest of my work. operating with a cool head and a warm heart. It is impossible for me to thank Prof. Guri. Viral. my wife. to all I know in the past. The CharityFocus posse . question and learn without getting my ego in the way. Ross Shachter for feedback during the numerous seminar presentations. Howard not just taught me decision analysis. Jan Leeman for validating the axiological categoies for Venture Capitalists. Prof. I am grateful to him for having founded the ﬁeld of decision analysis. I am grateful to the Buddha for focusing us on making better personal decisions in the present over engaging in dry intellectual debates on notions of absolute truth. but in whose gratitude we shall eternally remain for the fruits we enjoy. The health policy group at Stanford for their time and feedback. Neil Patel and so many others who have cheered me on and given me great encouragement to ﬁnd my own values. Prof. who changed my life on the ﬁrst day of class when he declared that a decision could not be judged from the outcome. Carl Spetzler. I am grateful to the countless entities that had to do exactly what they did so this work could come about. Ronald Howard. Prof. Prof.
I acted and behold.” Rabindranath Tagore xiv . service was joy.“I slept and dreamt that life was joy. I awoke and saw that life was service.
. 2 Appreciating Sources of Value 2. . . . . . . . . . The Intrinsic Question . . . . . .4 2. . .1 2. . . . . . . .5. . A Brief History of Axiology . . . . . . . . . . . . . . . . . . . . . . . .1 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1. . . . . . . . . . . . . . . . . .4 2. . . . . . . . Literature Review . . . .5. . . . A Retrospective Example . . . . . . . . . . . . . . . . . . . . . . vii ix xi 3 3 4 5 6 8 9 10 11 12 13 13 13 16 19 23 26 27 29 30 30 31 An Outline of Chapters . . . . . . . . . .5 Introduction . . . . . . . . . 2. . . . . . . . . . . .5 Identifying Sources of Value in Prospects . . . . .2 1. . . . . . . .2 1. . . . . . . . . .3 A Perspective on Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . .5 1.1. . . . . .3 1. .4. . . . . . . . .2 2. . . . . . . . . . .1 Research Problem . . . . .3 2.2 2. . The Public Policy Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Extrinsic Question .Contents Abstract Preface Acknowledgements 1 Introduction 1. . . . . . . .3 2. . . . . . .4 1. . .1 1. . . . . . . . . . . . Formal Axiology and The Hierarchy of Value . . . . . . . .5. . . . . . . . The Systemic Question . . . . . .1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1. . . . . . . . . . . . . . . . . . . . . . . . .1 2. . The Methodological Perspective . . . . . . . . . . . . The Empirical Strategy Perspective . . . .6 1. . . . . . . . . . . .1. . . . A Brief Introduction to Decision Analysis . . . . The Consulting Perspective . . . . . . . . . . . . . . . . .5. . . . . . . . . . . . . . . Eﬀect of Questions . . .5. . . . .1. . . . . . . . . Prior Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv Application to the Stanford Police Department . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . .5. . . . . . . . . . . . Constrained Value Diagrams . . . . . An Arrest that Wasn’t . . . . . . . . . . .3 3. .1 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6 2. . .7 Negative Biasing of Identitiy Question . . . . . . . . . . . . . . . . . . . .3 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7. . . . . . . . . . . . . 3. . . . . . . . . . . . . . . . . . . . . . . . . . . Quick Guide . .3 3. . . .2 Introduction . . .5. . . . . . .5. . . . . . . . . . . The Rhetoric of Education . . . .5 Introduction . . . . .2 3. .7 3. . Discovering new alternatives for a bike-safety decision context . . . . . . . . . . Public Safety. . . . . 2. . . . . . . . . . . . . . . . . . . . . . . . . . 4. . . .5. . . . . Vocabularies of Motive . . . .4 Police Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 2. . . . . SUDPS: History and Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 An educational stop . . . . . Conclusion 3 Discovering Embedded Values in Culture 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 Oﬃcer Shot Dead on Campus . . . . . . . . . . . . . . . . . . . . . . .6. . . . .4. .1 4. . . . . . . . . . . . . . . Not Police Department . . . . . . . . . . . . .8 Avoiding Critical Ethnography . . . . . . . . . . . . . . . . . . . . .2. .6. . . . . . . . . . Canonical Value Diagrams . . . .1 3. . . . . . . . . . . . . . . . . . . . . . Understanding the Experience of Education . . . . . . . . . . . . . . More Applications .4 4. . . . . . . . . . . . . . . . . . .2 3. . . . .9 Is the Experience of Value a Decision or a Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2. . . . . 3. . . Triangulating with Ethnography . . . . . . . . . . .6 4. . . . . . . . . . . . . . . . . . . . . .5. .1 4. . . . . . . . 31 32 32 33 34 35 36 39 39 40 40 45 47 53 53 55 56 57 58 60 61 61 65 65 66 67 69 69 69 71 72 73 74 75 77 77 2.2 4. . . . . . The Police Case Study . . . . . . . . . . .2.4.1 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6. . . High-Visibility Patrolling . . . . . . . . . . . . . . . 3. . . . . . . . . . . . . . . . . . . . . . . . . . .1 3.1 2. . . Applicability of Soft Pinches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Introducing Value Diagrams . . . .5 Consequences of the Education Rhetoric . . . . . . Value Rhetoric of Private Campus Police . . . . . . . . . . . . . . . . . . . . . . . .2 3. . . . . . . Research Methods . . . .7 The Police Chief’s Value Diagram . . . . . . .1 3. . . Resolving Values Nodes in Decision Diagrams . . . . . . . . . . . . 3. . . . . . . . . . . . . Conclusion 4 Telling Value Stories 4. . 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 4. . . . . . . . President Obama Considering a Pullout of US Troops from Afghanistan . . . . . . . . .8 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Uneventful Events . . . . . . . . . . . .7. . . . . . . . . . xvi .3 4. . . . . . . . . . . . . . . . . . . . . .7. . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . .4 5. . . 106 Alcohol Safety Car Rental Insurance . . . . 101 The Model . . . . . . . . . . . . . . . . . . . . . . . . . 128 Conclusion . . . . . . . . 135 Vedanta . . . . . . . . . . . . . 78 80 83 84 86 86 90 91 96 98 99 . . . . . . . .1 6. 124 Facilitating a dialog . . . . . . . . . . . . . . . . . . . . . . . . . . 106 Senior-Citizen Safety . . . . . . . . . . . . . .2 6. . . . 136 xvii 6. . . . . . . . . . . . . . . . . . . . . . .3. . . . . .3. . . . . . . . . . . . . . . . . . . . . . .2 5. . . . . . .1 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.4 5. . . . . . . . . . . . . . . . . . . . . . . 5. . . . . . . . . . . . 101 Insights . . . . . . . . .2 5.3 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 The Tibetan Conﬂict . . .6 5. . . . . . . . . . . . . . . . . . . . . . . . . . .3. . . . . . . . . . . . . .5 5. . . . . . Incorporating Risk-Attitude . . . . . 127 The Canonical Diagram . . . . . . . . . . . . . . . . .9 Incorporating Value Judgments with Signed Value Diagrams Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2. . . 112 115 6 Extending the Value Conversation 6.8 4. . . . . . . . . .5 The Dalai Lama’s Value Diagram . 106 Introduction . . . . 110 Quick Guide to Creating Value Nodes . . . .3 5.5 World Religions . . 103 Conclusion . . . . . . . . . . . . . . . . . . . . . .4. .2 Decision Diagrams . . . . . . . . .2. .1 6. . 119 6. .3. . . . . . . . . . . . . . . . . . . . . . . . 133 The Five Pillars of Islam . . . . . . . . . . . . . . . . . . . . . 100 . . . . .4 The United States-Iran Row . . . . 132 The Ten Commandments . . . . . . . . . . .3 5. . More Insights . . . . . . . . . . . . . . .6 5. . . . . Bicycle Safety . . . . . . . . . . . . . . . . .3 5. . . . . . . . . .4. . . . . . . . . . . . . . Valuation Results . . . . . . . . . . . . . . 128 The “Do not talk” View . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 6. . . . . . . . . . .3 . . . . . . . . .1 5. . . . . . .3 Introduction . . . . . .3. . . . . . . . . . . . . . . . .4 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 5. . . . . . . . . . . . . 5 Achieving Consistency in Valuation 5. . . . . . . . . . . . . . . . . . . . . . . . . . . .4. . . . . . . . . . . . .2 6. . . . . . . . . . . 115 Creating Mutual Understanding on Value . . . . . . . . . . . 130 6. . .2. .2 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 Introduction . . . .2. . .5. . . . . . . . . . . . . . . 130 Conclusion . . . . . . . . .2. . . . .2. . . . . . . . . . . . . . . . . . . . . . . . .1 6. . . . . . . . . . .3. . .3. . . . . . . 121 The Han Chinese Value Diagram . . . . . . . . . . . . . . . . .5 5. . . . . . . . . . . . . . . . .3. . . . . . . . . . . . . . . . . . . . . . . . .2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Functionalizing Value Nodes in Helmet-Safety Decision Diagram . . .1 5. . . .2 6. . . . . . . . . . . . The CFO’s Value Diagram . . . . . . . . . . . . . . . . . . .7 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4. .5. . . . . .
. 149 Extending the Value Conversation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Assessing Helmet Usage . . . . .1 Multi-attribute analysis . . . . . . . .1. . . . . . . .1 7. . .2. 151 Police Case Study . . . 142 7. .5. . . . . . . . . . . . . . . . . 151 155 8 Appendix 8. . .1 8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2. . . . . . . . . . . . . . . . . . .3 8. . . . . . . . . . . . . . . . . . . . .5. . . . 145 Future Work . . 144 Criticism of Contingent Valuation Validity . . . . . . .1. .5 Standardization of Analysis . . . . . . . . . 141 Patterns in Identity Values . . . . . . . . . . . . . . . 139 141 7 Conclusion 7. . .4 7. . . . . . . . . . . . . . . . . . . . . . . . .2 Bibliography Achieving Consistency in Valuation . . . . . . . . . . . . . . . .1 8. . . . . . . 151 xviii . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147 149 UC Davis . . . . . .1 8. . . . . . . . . . . . . . . .5. . . . . . . . . . . . . . . . . . . . . . . . . . . . .6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 Conclusion . . . . . . . . . . . . . .2 8. . . 146 7.1 Application in the For-proﬁt World . . . . . .1. . . . .1. . . . . . .4 6. . . . . . . . . . . . . . . . .5 Atheism . .2 7. . . . . . . . . . .2 8. . . . 151 US-Iran Standoﬀ . . . . . 149 Helmet Safety Tree . . . . . .3 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Extant Research on Bike Safety . . . . . . . . . . . . . .2. . . . . . . . . . . . . . . . . . . . . . .4 8. . . . . . . . . . . . . . . . . . . . . . . . . 142 . .
. . . . . Axiological questions and decision-modeling guidelines . . .1 2. . . . . . 149 xix . . . . . . . . . . . . .1 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . First-pass Codes . . .2 2. . . . . . . . . Bicycle Registrations on the Stanford Campus by Academic Year . . . . . . . . .1 8. . . . . . .1 Reconciling value language in the Stanford School of Decision Analysis and Axiology Reconciling value language in the Stanford School of Decision Analysis and MultiAttribute Utility Theory . . . . . . .3 3. . . . . . . . . . . . . . . . . . . . . . . . . . . 19 27 46 86 18 Helmet Usage by students . . . .List of Tables 2. . . . . . . . . . . . . . . .
. . . . . . Focusing on Budget . .2 5. . . . . . . . . . . . . . . . .5 5. . 4. . . . . . . . . . . . . . . . . . . .13 Incorporating Value Judgments into a Signed Value Diagram . . Injury severity and body part histogram .6 5. . . . . . .2 4. . . . . . . . . . . . . .12 Tracing Value . 5. .11 Value inﬂuences . . . . . . . . . . . . . . Retrospective decision diagram of scheduling decision situation . . . . . . . . . . . . . . . . Communicating Value .List of Figures 2. . . . . . . . . . . . . . . . . .4 5. . . . . . . . The Ethnographic Research Method . . . . . . . Hotspots in the Schedule . . . . . . . . . . . . . . . . . . . . A Canonical Value Diagram . . . . . . . . . . . . . . . . . . . . . . Public Safety Education/Awareness as an identity node . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Trauma Injuries from Jan 2005 to Aug 2009 . . . . . . . . . . .5 4. . . . . . . . . .10 Education as an identity node . . . . . . . . . . . . . . . . . . . . . . . . Accident Reporting Comparison . Canonical Value Diagram Rules .3 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 3. . . . . . . . . . . . . . . . . . . . . .1 4. . . . Frequency-Severity-Median Cost . . 28 29 29 45 70 70 71 72 73 74 75 75 76 76 78 79 79 80 84 85 87 88 89 90 90 91 4. . . . . . . . . . . . . . . . . . . .1 5. . . . . . . . . . . . . .2 2. . . . . . .6 4. . . . . . . . . . . . . . . . . . . . . . . . . . . Communicating Value with a Value Diagram . . . . . . . . . .4 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Jan 2005 to Aug 2009 . . . . . . . . . . . . 4. . . . . . . . . . . . . . . .7 5. . A constrained Value Diagram . . . .9 Whiteboard photograph of scheduling decision diagram .3 5. . . .1 4. . . . . .14 An Example of a Signed Value Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 2. . . Number of Bike Accidents by Campus . .8 Types of Nodes . . . . . . . . . . . . 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The CFO’s value diagram . The Police Chief’s Initial Value Diagram . . . . . . . . . .7 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Types of Arrows . xxi . . . . . . . . . . . . . . . . .before applying rules . . . . . 4. . . . . . Focusing on Public Safety Education . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . 105 5. . . . . . . . 118 The Police Chief’s Value Diagram with the deputy’s values included . . . . . . . . . . . . . . . . . . . . . . . . . . .1 6. . . . 111 5. . . . . . . . . . . . . . .10 Unpacking Value Node . 117 Police Chief’s Response . . . . . . . . . . . . . . . . 123 The Dalai Lama’s Response . . . . . . . . . . . . . . . . . . . .11 The CCP’s Value Diagram according to the Han Chinese subject .15 Tracing the axiological values behind functional values . . . . . . . . 109 5. . . . 102 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25 Education Sensitivity . . . . . . 5. . . . . . . . . . . . . . . . . . .10 The Han Chinese Value Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 The Tibetan Activist Value Diagram .11 Incorporating Resources Expended . . . . . 112 6. . . . . . . . . . . . . . .8 6. . . . . . . . .5. . 126 xxii . 122 The CCP’s Value Diagram . .” E = “Education only. . 5. . . . . . . . . . . . . . . . . . . . . . . . . . 111 5.24 Education Disvalue . . . 5. . . . . . . .16 Tradeoﬀs . . . . . . . . . . . .20 Modeling Coercion . . .14 Voluntary and Coercive Frames .19 Value to Insurance . . . . . . . . . . . . . 123 6. . . .2 6. . . . . . . . .” IE = “Insurance+Education. . . . . . . . . . . . . . . . 108 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 Subsuming Prosperity of University and Systematizing Education . . . . . . . . . . . . . .Value of Control for Minor Injuries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9 Lieutenant’s Personal Value Diagram . . .18 Value to Stanford . . . 104 5. . . . . . . . . .21 Alcohol Safety Decision Diagram . . . . . . . . . . 119 The Dalai Lama’s Value Diagram . . . . .17 Value to Insurance . . . . . . . . 5. .23 Number of Traumatic Injuries . . . . . . . . . .22 Alcohol Safety Analysis Results . . . . . . . . .28 Sensitivity to Probability of Success . . . . . . . . . . . . . . . . . . . . . . . . . 100 5. . . . . . . I = “Insurance only. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .” x = “neither” . . . . . . . . . . . .13 Systematizing Trauma to Individual . . . . . . . . . .9 The Helmet-Safety Decision Diagram . . . . . . . . . 104 5. . . . . . . 5. . . . . . . . . . .27 Decision Diagram for Car Rental Insurance . .5 6. . .6 6. . . . . . . . . 5. 5. . . . . . . . . . . . . . . . . . . . . . . . . . . .3 6. . . . . . . . . . . . . . . . . 110 5. . 92 93 93 94 94 95 95 96 97 98 99 5. . . . . . . . . 116 Lieutenant’s version of the Police Chief’s Value Diagram . .31 Inputs to the model . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 Sensitivity to Trauma Disvalue and Coercion Disvalue. . . . . . . . .Risk Averse scenario . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4 6. . . . . . . . . . 5. . . . . . . . . . . . . 107 5. 117 While trying to click a deputy. . . . . . someone pulled over asking for help . . . . 125 6. . . . . . . . .12 The Dalai Lama’s Value Diagram according to the Han Chinese subject . .32 Hip/Head Sensitivity . . . . . . . . . . . . . . . . . . . . 5. . . . . . . . . . . . . . . . . .7 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . .26 Decision Hierarchy for Car Rental Insurance . . . . . . . . . . . . . . . 124 6.30 Farewell to Falls Decision Diagram . . . . 105 5. . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 Helmet Data Collection Experiment . . .4 8. .20 Vedanta . . . . . . . . . . . . . . . . . . . . . . . . . . . .6. . . . . . . . . 153 xxiii . . . . . . . . . . . . . . 152 Subject 2’s value diagram on US-Iran Standoﬀ . 130 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14 Past US Administration Oﬃcial on Diplomacy with Iran . . . . . . . . . . . . . . .13 The Han Chinese Canonical Diagram . . . . . . . . . . . . . .2 8. . . . . .3 8. . . . . . . . . 150 Helmet Safety Tree . . .16 One interpretation oﬀered . . . . . . . . . . . . 132 6. . . . . . . . . . . . . . . . . . . . 151 Second Lieutenant’s Value Diagrams . . . . . . . . . . . . .17 The neo-realist position . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15 Turning democracy into a systemic value . . . . . . . . . . . . . . .19 The Five Pillars of Islam . . . . . 138 8. . . . . . . . . . . . . . . . . . . . 131 6. . . . . . . . . . . . . . . . . 134 6. . . 136 6. . . . . . . . . . . . . . . . . 131 6. . . . . . . . 129 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 6. . . . .1 8. . .21 An Atheist’s Value Diagrams .5 Davis’ Bike Culture . . . .18 The Ten Commandments . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Contents 1 .
2 CONTENTS .
Finally. 1. K. examining the current state of practice in value discovery and laying out a guide to the rest of the thesis.1 Research Problem It is hard for people to identify and communicate what really matters to them and why. Neither does the non-proﬁt paradigm. Gupta In this dissertation. He oﬀered his own mind. R. Should we be talking the language of business. The “double bottomline” and “triple bottomline” approaches have been an 3 . Paraphrased from Yogis in Silence. which is now synonymous with valuecreation and professionalism? Or should we be talking the language of non-proﬁts. which is forced to rely on charity. the teacher rejected it by identifying some value in the object. the student realized that the fault lay in his own mind. which was the source of all value labels. This chapter will focus on motivating the research problem. appreciate and communicate value.the world of business and the world of non-proﬁts. Every time the student picked something. It is particularly hard to do so when we have a motivation other than proﬁt.Chapter 1 Introduction A teacher asked a student to make an oﬀering of the worst of all things. and proﬁt is a meansto-an-end. we will examine tools to discover. which the teacher accepted. which is ﬁxated on overhead instead of value creation? The business paradigm that forces proﬁt as the bottomline in any value analysis does not ﬁt perfectly. We ﬁnd ourselves trapped between two worlds.
Broadly. could we ﬁnd a way to incorporate the values that made us get into a business or a social venture1 in the ﬁrst place? Is there a way to understand how these values relate to each other? Would such a treatment change the best alternatives that result from our analyses. Yet. Mathematics is a normative ﬁeld . Normative approaches stake their validity with logical assertions based on a foundation of fundamental axioms that have been accepted. Descriptive approaches stake their validity on being veriﬁable with experience. INTRODUCTION attempt to expand our thinking. This is necessary in order to bypass Arrow’s Impossibility Theorem on the aggregation of social preferences. sociology and psychology are all descriptive ﬁelds. validity would involve being able to describe and verify phenomena. These two distinctions are extremely powerful for they help us make sense of a broad range of ﬁelds. and the other is the normative approach. 1. they agree to proceed as if they did. there are two types of perspectives we can adopt . In physics. This dissertation adopts the decisionanalytic frame that puts the decision-maker at the center of the analysis and lets us consider the values of the decision-maker. It attempts to describe the world as it is. and therefore. in order to beneﬁt from normative approaches to decision-making and achieve clarity of action. these distinctions become particularly 1 By social venture. The biggest issue with double or triple bottomlines is that a decision-making perspective is missing.” this would be a good time to draw some more distinctions.4 CHAPTER 1. assuming that they will be able to reach consensus on their preferences. that help us understand the diﬀerent types of perspectives we might have. In mathematics. Economics. our decision? As we begin to tackle these questions. but there is little agreement on how to execute such approaches and whether they can be done consistently and systematically. we will treat people who are on the same decision-making team as a single decision-maker. When we get to decision-making. These approaches advocate consistency with our values. physics is a descriptive ﬁeld.1 A Perspective on Perspectives Since we have just used the term “normative. trying to understand and explain how people behave. Descriptive approaches attempt to understand the world as it is. it is incredibly useful in helping us do things we could otherwise not do. for the rest of the dissertation.there is nothing real about counting or numbers. where even if everyone does not agree. Without an explicit consideration of who the decision-maker is. As a decision-maker.one is the descriptive approach.1. we refer to those organizations that derive their identity from a service goal. which proves rigorously that it is impossible to have a “fair” voting system which is not dictatorial. there can be little clarity on the values that need to be incorporated into any analysis. while explicitly treating proﬁt as a means-to-an-end . while normative approaches help us re-engineer the world as we’d like it to be. As an example. validity would involve not violating fundamental axioms that we have now come to accept.
and as we get deeper into our thinking on value. unlike mathematicians and physicists. Empricial strategy researchers are trying to describe the world as it is. once accepted.1. as we’ve brought it up a couple of times now. In this sense. will help us clarify our decision thinking.1.2 A Brief Introduction to Decision Analysis The ﬁeld of Decision Analysis deserves a brief introduction. The normative. A good summary of the idea of decision-making is that “making decisions is what you do when you don’t know what to do. We now a introduce a third distinction in addition to normative and descriptive perspectives the prescriptive perspective. Howard  makes a distinction between the Eastern and Western perspectives of decisionmaking. Decision theory. on the other hand. DA provides the broad framework with which one might incorporate the wisdom gained from empirical strategy. is a normative ﬁeld. which many people (Eastern or Western) experience at a level that is not a decision. making our prescriptions much more useful than they would be if we were limited to only one perspective. and the author of this thesis considers himself a decision analyst. the notion of “love” is universal.a common misunderstanding of decision analysis made by highly inﬂuential academics is that. “people don’t think this way. which provides fundamental axioms that. It is the oldest mistake in the book. Although decision-making is a Western idea. The research presented in this dissertation will honor the good that both the descriptive and the normative have to oﬀer. and ﬁnd a correlation between actions and outcomes. decision theory provides clear guidance on how the individual decision maker should act. Engineers. and the principle that we cannot judge a decision from the outcome. and Howard quotes from Ambrose Bierce’s satirical “Devil’s Dictionary” to make the point: . 1. while they also need to respect and honor physics in order to develop a deep understanding of how the world works. They need to learn the math as math helps them do their trade. The ﬁrst is the distinction between decisions and outcomes. We ﬁnd the mainstream strategy literature to be focused on empirical research. sociology and other descriptive disciplines. descriptive and prescriptive distinctions are very useful for a major reason . So also with decision analysis. there are two fundamental axioms of decision analysis. When strategy is viewed as decision-making.” Philosophically. Decision Analysis (DA) is an engineering discipline that goes far beyond decision theory.math comes with a lot of training. People don’t think mathematically . embrace whatever is useful.” This is true. we will ﬁnd these two distinctions interacting signiﬁcantly with each other. by pointing out that it would be a joke for us to imagine Lao Tzu or the Buddha making decisions. The ﬁeld of decision analysis with its normative foundation and prescriptive outlook has no conﬂict with the descriptive world.1. RESEARCH PROBLEM 5 useful. What diﬀerentiates decision analysis from decision theory is its whole-hearted acceptance and incorporation of the wisdom of descriptive research to help regular people follow the norms of good decision-making.
” and are the Probability Rule. He further provides the following sage advice: To eﬀectively usher a decision through this complex web of operational details. the Equivalence Rule. team members must do much more than simply agree to or comply with the decision.” The million dollars is gone and will never come back. using what we paid for a television when we bought it as the minimum we are willing to sell it for because we want to make a proﬁt is a violation of the sunk-cost principle. For example. 125] . not accounting. This principle applies not just to material goods but also to projects. Another way of restating this principle is that the past matters for learning. and we have known to treat the decision body as one when analyzing our decisions.”[2. For a more detailed treatment of these rules and their implications. we should not go ahead as we will still be down by $750. In brief.6 CHAPTER 1.1. Although I believe that if we invest another $500. decision-making in groups is anything but easy. and the human problems that arise. the wisdom of an act is to be juded by the light that the doer had when he performed it. allows us to use mathematics and come up with clarity of action. Next. If the product manager is sure that investing half a million will get back $750. the rules are abbreviated as “POE’S CHOICE. the reader is referred to Howard’s paper. 1.000 for sure. we will get a return of $750. Amason notes that “high-quality decisions mean little if they cannot be implemented.5 and devote Chapter 2 to a deep dive. Those understandings and commitments are cultivated while the decision is being made. The sunk-cost principle states that the past is gone and should not be factored into our considerations for the future. but rarely followed. They must both understand and commit to the decision if it is to be implemented eﬀectively.1. which is widely known in various disciplines. Once these rules are accepted. which if accepted. This is immortal nonsense.000. the Order Rule. By the kind of intelligence that sees in an exception a proof of the rule the wisdom of an act is judged by the outcome. Empirical theorists have long focused on how people actually make decisions.[2.000. “we have already invested a million dollars into this product. except in matters of learning. INTRODUCTION Outcome: A particular type of disappointment. The second fundamental axiom is the sunk-cost principle.3 The Empirical Strategy Perspective Although normative tools of decision-making have been around since the 60’s. 125]. the result. decision analysis provides a set of axioms known as the ﬁve rules of actional thought. the rest of the normative foundation is an inevitable consequence. she should go for it. A common violation of this principle would be a product manager thinking the following way.000 on our original investment. We will touch again on how decision analysis deals with value in 1. the Substitution Rule and the Choice Rule.
Both Sutton and Collins seem to rely on individual behavior as the main indicator of value misalignment. then as engineers. Rather. Building heterogenous teams improves diversity and adds to the skills and perspectives that are on the team. Eisenhardt. Conﬂict is not necessarily good or bad. 46].1. Sutton gives a descriptive look at the characteristics of people whose behavior belies a hostile value system. RESEARCH PROBLEM 7 A process like Decision Analysis that focuses on bringing clarity to the decision process is the need of the hour.  note that top management teams manage conﬂict well to “harness their energy. 52] and “count on multiplelens heuristics”[13. Developing multiple-lens heuristics is about generating “multiple alternatives. There are many beneﬁts to achieving clarity on value in organizations. for they would assume their members had the best intentions. et al. if not a prescriptive one. Collins and Porras argue that value alignment is more important than the details of a speciﬁc organizational decision through their heuristic.’s encouragement and attempt to approach this clarity from a normative perspective.” Eisenhardt and Zbaracki go one step further than most of the empiricists in pointing out the need to incorporate the existing empirical research into the normative concerns of complex organizations. Hiring the right people. coming from a shared value system. multiple scenarios. recommend. This is because information that would otherwise be ignored is now on the table. as opposed to advocacy-driven methods. The empirical theorists ﬁnd that higher quality decisions get made when people engage in conﬂict. 52] to ensure that conﬂicting perspectives are discussed by design. et al. However. as would understanding these “other organizations. “cultivate distinct roles”[13. In a broad sense. Creating frequent interactions is important in order to beneﬁt from diversity. perhaps we can follow Eisenhardt. do not invalidate decision analysis as we explained in the previous subsection.” If clarity on values in organizations can be so useful.1. in the context of organizational decision making. 56]. 49]. The prescriptions of Eisenhardt. and creating overlapping subgroups. While this is a good practice. Then What. there could still be conﬂict within the decision-making body. Communicating with other organizations from diﬀerent value systems would become easier. the two disciplines complement each other. . Such organizations would be better able to hold constructive conﬂicts as Eisenhardt. doing competitor role plays.” Collins cites top performers as having the ability to get the wrong people oﬀ the bus. et al. and creativity more eﬀectively” and recommend that organizations “build heterogeneous teams”[13. and can be incorporated. Amason notes that studies have been inconclusive on whether the eﬀectiveness of conﬂict in one context can be generalized to other contexts. even if organizations are following a high-quality decision process. “First Who. which also honors the descriptive (empirical) perspective. as well as training them would become easier tasks. ”create frequent interactions”[13. there is a step that precedes the decision discussion and that is the value discussion. et al. experience. that is how this dissertation situates itself in the realm of strategy research for organizations that are motivated by service as an end. Cultivating distinct roles involves taking on “almost caricature positions”[13.
take a more holistic approach and pursue the thread of value from framing to modeling to appraisal. which looks at operators that describe elements of a framing conversation.1. or strategy consultants. empirical researchers like Eisenhardt. For instance. which we will refer to as the value frame.” which is not as well-developed in the literature as the normative theory. The cultural perspective has been chosen . We shall. Other researchers have built upon the ALP using methods from design research.”[5. the other big component is what Bergner calls “facilitated dialogue. our empiricial approach is not statistical. the research attention given to this area in empirical research is rather thin and has only now received some attention with the work of Bergner. 2] While normative decision theory forms a major component of decision analysis. Spetzler and Holstein came up with the “probability wheel” to help decision analysts elicit probabilistic assessments from those who are not accustomed to thinking probabilistically. we are focused on the value conversation. Bergner focuses on facilitated dialogue and develops the Amplex Limit Process (ALP). and will return when we demonstrate the utility of our proposed constructs in later chapters. Although we have a clearly marked phase where we shall launch into an ethnography. once the frame of the problem has already been decided. First. Bergner uses this instrument to check hypotheses on diﬀerent kinds of conversations and their outcomes. Second. therefore. and rightly points out that “decision analysis goes far beyond decision theory. INTRODUCTION 1. Behavioral decision theorists like Tversky and Kahneman have long pointed to this gap. As researchers are not privy to such conversations in an exhaustive manner.4 The Methodological Perspective The people who are closest to the strategic decision conversation where clarity on values is crucial tend to be either experienced employees who play a facilitator’s role. Third. but the content of framing as it applies to our thinking on value. but cultural. with an eye to preventing the commonly known biases. Bergner draws a distinction between decision analysis and decision theory. As mentioned earlier. our object of inquiry is not the method of framing. and becomes the instrument with which the conversation will be studied. Some researchers in decision analysis who’ve had extensive experience helping decision makers on strategy decisions have grappled with this gap. but diﬀers in many important respects.8 CHAPTER 1. More recently. Keelin and Powley have come up with a simple graphical method to make the process of probability assessments more intuitive by ﬁtting a distribution and showing it back to the decision maker for a conversation. the cultural undertone will be evident through this dissertation. Assessing probability is a discussion that happens much later in a decision analysis. and is the object of Matheson’s thesis. and this conversation occurs not just during framing but also during modeling and appraisal. prescriptive and empirical(or descriptive) modes of inquiry to shine a light on the framing conversation. Thereafter. While some attention to framing has been given by Keeney . Bergner is the ﬁrst to methodologically combine the normative. This work follows the holistic spirit present in Bergner’s work. et al. have repeatedly pointed to a gap between decision theory and actual decision making.
state. This is how we will situate ourself in the public policy literature. .1. should these rates be used as the actual opportunity cost for labor in the calculation even when there are unemployed nonunion laborers of equal competence available? In fact. Howard notes that “cost-risk-beneﬁtanalysis. and in fact. subsidies. and even international regulations.[22. 39]. much attention has been focused on government decision-making and fairness of such decisions. . These are decisions we choose to make on our own account. ” while positive ethics take the form of obligations. because we care about other people and want to improve their welfare. We shall then deﬁne social policy decisions as those decisions we make for the welfare of others. Fourth. excise tax be included in the cost? If federal law requires that union wage rates be paid for construction. laws. duties. we shall use Howard’s distinction on positive ethics[26. . national. and they are diﬃcult. In computing the investment for a new energy development. with proﬁt as the means. should the U.” Howard then points out: The problems the analyst will face in assessing beneﬁts are usually perceived as the most diﬃcult. “an attempt to apply decision analysis to social decisions. without involving the government’s mechanisms (regulations. ’. . In social policy decision-making.5 The Public Policy Perspective The focus of this inquiry has been on voluntary social policy decisions. will ﬁnd this work as a complementary step that may be performed prior to and also during the framing of the social policy decision.S. [26. But what about the equally diﬃcult problems of assessing cost in a society that is more than one-third government? Every price in our society is aﬀected by local. “You shall . To explain this. 15-16] We now deﬁne voluntary social policy decisions as those decisions for social welfare which are taken on a voluntary basis. should one use the cost of domestic steel or perhaps the lower cost of imported ”dumped” steel? In buying tires for the trucks. RESEARCH PROBLEM 9 over the statistical one as it is far more holistic in its grasp of people and how they make sense of themselves and their world. This perspective is so important to this dissertation that we shall devote an entire chapter to the method and its application (Chapter 3).1. like “You shall not . also known a public policy decision-making.1. They most certainly can. that of organizations that are motivated by service as an end.” the current method of choice in public policy decision-making. Negative ethics take the form of prohibitions. like. the focus of this inquiry is in a special context. . and taxes. is cost not just as uncertain as beneﬁt? Think about any cost beneﬁt analysis you have ever seen and determine if it still makes sense after such eﬀects are included. We shall refer to Howard’s critique of the problems of analyzing public policy decisions that have to do with the government. 1. 39]. That is not to say that cost-beneﬁt analyses cannot use this work. taxes. subsidies). out of considerations of positive ethics. is at its best.
here are some methods that we ﬁnd popular with consultants.4. After talking with senior consultants with over twenty years of experience. but what do we do about sources that exist but have not been articulated. 1.2 Describing Desirable and Undesirable Prospects Consultants usually start by asking their clients to describe desirable and undesirable prospects. someone idolizing Jack Welch might put a lot of emphasis on operational eﬃciency. but a summary of conversations with founding partners at two decision consulting ﬁrms . For now. this work has broader applicability to social policy decisions. INTRODUCTION A more technical and precise description of voluntary social policy decisions is that these are the decisions that involve more than one direct value[25. environmental sustainability). anti-role models could give us clues on sources of disvalue. Backcasting We can construct attributes for sources of value that have been articulated. If a decision-maker wishes to claim that they care about something in addition to proﬁt as a direct value (e. matters because it improves proﬁt. A grounded data-driven way of uncovering this 2 This is not the result of a rigorous methodological study. Everything else. 51]. the implication is that they are willing to trade-oﬀ some proﬁt in order to achieve that direct value. This method of iteratively questioning to arrive at sources of value has been described by both Howard and Keeney.1. etc. In practical terms. Describing Role and Anti-Role Models Learning who the decision-maker’s role models are might give us a valuable clue about sources of value. Similarly. For instance. or values that are ends in themselves. direct values are things you are willing to trade-oﬀ.6 The Consulting Perspective Decision consulting has long involved being able to identify sources of value for a client.10 CHAPTER 1. which are just as important as sources of value. like market share. and iteratively questioning until the client can go no further and has arrived at fundamental sources of value. Then. We will try complementing it with axiological questions in Chapter 2. proﬁt is a direct value. they drill deep into the scenario by asking the client whey they care about the prospect.g. Finally. For most business decisions. Voluntary social policy decisions have this characteristic that they go beyond one direct value. and we shall go deeper into it in 2. reputation. We shall present some examples in this regard in Chapter 6. we note that asking repeated questions until we can go no further is a fundamental method of inquiry. but this method remains the most potent tool in the consultant’s facilitation toolbox.1.
we shall propose ethnographic analysis with the explicit ﬁlter of value as a tool for uncovering embedded value in a culture. As our context. Let us suppose that you have been asked to assess the chance of an event occurring (e. Why might that be?” This can help the decision-maker uncover more sources of value. We will continue with the case study of the Stanford Police Department to demonstrate the use of the value diagram. leading up to value diagrams. In order to get people to challenge their certainty about the future. after which. we shall focus on the Stanford Police Department. sales surpassing $1 million). Moreover. while noting how the ethnographic analysis serves as a powerful source for triangulation. This construct will be based on the philosophical foundation of the Dimensions of Value from Formal Axiology. How would you explain it to your boss and peers?” That helps bring several factors into the frame that might be relevant in the assessment of the uncertainty under consideration. In this chapter. From philosophy.the Value Diagram.g. From sociology. In Chapter 2. As you are generally optimistic.2. The analyst might be able to provoke your thinking by framing the following question: “Let’s assume the future is here. to represent the value frame. The primary example will be that of bicycle safety. we suggest the use of ethnography to uncover embedded values in culture. we shall enter the realm of philosophy. We might also use backcasting to uncover sources of value. in particular. to ﬁnd a framework that can be used to appreciate value in three important dimensions. which is explored later in this thesis (see Chapter 3).2 An Outline of Chapters We shall begin with an ethnographic analysis in Chapter 3 for the purpose of discovering sources of value in the context of an organization. and you have missed the target. Although ethnography involves more of an investment. its payoﬀ is that organizations within a similar context can be quickly understood in a far richer manner than just relying on individual interviews. Chapter 4 will introduce a new construct to Decision Analysis . 1. AN OUTLINE OF CHAPTERS 11 would be with an ethnography. you assess this at 90%.1. by phrasing the following question: “Assume all the sources of value you’ve identiﬁed have been fulﬁlled at the levels you wanted. Backcasting has typically been used to assess probability distributions. New Tools This dissertation adds two tools to the consulting toolbox. formal axiology. from the ﬁelds of philosophy and sociology. we’ll quickly demonstrate how the model created is portable . we will also go into greater depths to examine the approaches known to decision analysts from perspectives of Howard and Keeney-Raiﬀa. but you’re still unhappy. we suggest the use of axiological questions. A powerful practice-driven way of doing this is with the technique of backcasting. Chapter 5 will demonstrate how to turn value diagrams into decision diagrams for the purposes of achieving valuations that are consistent with our value frames.
1.3 Prior Publications Chapter Chapter 2 has been presented at INFORMS 2009. Washington D. C. we will look at how value diagrams may be used to improve mutual understanding across political divides. Senior Citizen Safety and Student Car Insurance. 3 has been presented at INFORMS 2008. and how the axiological framework may be used by venture capitalists to think about seed-funding decisions. INTRODUCTION across similar public safety contexts. San Diego. Chapter 6 will show applications in domains other than voluntary social decisions.12 CHAPTER 1. such as Alcohol Safety. Chapter 7 will conclude this work and outline areas of further inquiry. In particular. .
” 1 We aim to grasp the nature of value and come up with distinctions that heighten our awareness of the kind of value we are looking at.1 Introduction In this chapter. ﬁre” and not a scratch comes on your lips. quality. We will then import a set of distinctions from Formal Axiology that can help us appreciate sources of value.Chapter 2 Appreciating Sources of Value It is naive to confuse water for the label “water. or signiﬁcance of. We use the word “appreciate” in the sense of “grasping the nature of. we ﬁnd a distinction between an “end in itself” and a “means to an end.” The former is referred to by Howard as “direct values” [25.” Such a one is bound to die of thirst while running after the label. worth. judging the nature of. we will examine distinctions on the experience of value from extant literature in decision analysis and reconcile the two major approaches of looking at value. to judge with heightened perception or understanding: be fully aware of” 13 . we will ﬁnd ourselves better equipped to discover new sources of value. 51] and by Keeney as “strategic 1 Merriam Webster deﬁnes the word “appreciate” as “to grasp the nature. Keep chanting “ﬁre. With a better appreciation of the kinds of value we might look for.2 Literature Review In the Decision Analysis literature. 2. Suﬁ Poet 2. to be fully aware of. Place one ember on your lips and then see how they burn! Baba Zaheen Shah Taji.
” This is perhaps closest to Keeney’s usage of the term. 6] The range of Keeney’s values spans from “ethical principles that must be upheld to guidelines for preferences among choices. but is not a direct value itself. They do not tell us how to identify potential decision opportunities. They tell us how to solve decision problems. They tell us how to analyze alternatives to choose the best one. based on values. we note that it deviates from the popular meaning of the term. how does one come up with direct values when proﬁt is not the only motive? Both Keeney and Howard state that the way to ﬁnd the ﬁnal “end objective” or the “distinction(s) of direct value” is to recursively question the choice of any initial direct values. The popular usage. 7] He deﬁnes strategic objectives as “the fundamental objectives corresponding to the strategic decision context” [36. The closest Keeney comes to looking at this relation is when he suggests that we remove alternatives that are not consistent with our values (or principles of evaluation).[36. Jones). 51] and by Keeney as “means objectives. The latter is referred to by Howard as “indirect values” [25. . When the decision maker is unable to decompose the direct value any further.” [36. as documented by Merriam Webster. services. 40-41]. An indirect value is a distinction that is relevant to a direct value. We understand that alternatives may be generated from strategic fundamental objectives.” [36. 34] Keeney’s position may be summarized as one of guiding alternative creation once fundamental objectives are known.”[36.” As of this writing. is “a fair return or equivalent in goods. which he deﬁnes as “principles used for evaluation.W. but what is the relation between strategic fundamental objectives and values? Keeney makes it clear that value-focused thinking is value-neutral([36. We ﬁnd that Howard uses the term value in its more popular English sense and he goes on to deﬁne direct and indirect value: A direct value is one to be traded oﬀ by the decision maker against other direct values. They do not tell us how to articulate the qualitative objectives on which any appraisal of alternatives must rest. vii] Keeney tries to resolve this by distinguishing between strategic and means-to-end objectives. 52] Examining Keeney’s deﬁnition of value. we will have arrived at the attributes of value that are fundamental to the decision-maker. . 32]) and hence will not examine this question.”[36. Keeney writes: Many books have been written about decision-making. or money for something exchanged” or “the monetary worth of something. H. They do not tell us how to create alternatives. [36. 40] and means objectives as those objectives which are “of interest in the decision context because of its implications for the degree to which another (more fundamental) objective can be achieved. .14 CHAPTER 2. 34]. Merriam Webster does have as the seventh meaning of value the following: “something (as a principle or quality) intrinsically valuable or desirable (sought material values instead of human values . . APPRECIATING SOURCES OF VALUE objectives” [36. In Howard’s paradigm.
. we refer to the early literature in sociology and economics through Weber’s framework of social action [67. Negative ethics take the form of prohibitions. and points out that technical and ﬁnancial analyses are value-neutral[26. Traditional behavior can “shade over into value rationality” and lead us to . and this is the object of study for ethnographers (and sociologists in general). Using n-dimensional iso-preference surfaces. or other form of behavior. these methods can be used with diﬀerent ethical principles.[25. • Aﬀectual: Such actions are “determined by the actor’s speciﬁc aﬀects and feeling states. ” while positive ethics take the form of obligations. where at least one of the attributes can be mapped on to a numeraire. . we would then be able to extract the dollar value of a combination of attributes.” A large part of social actions fall under tradition.” the resulting actions are called instrumentally rational. the “analysis” or the post-framing phase would fall into instrumental rationality. .2.” Aﬀectual action is the object of study in behavioral decision science and is outside the scope of this research. 24-26]. . “You shall . 39]. with reduced complexity and the advantage of being able to compute the value of clairvoyance.2. using both in their popular English sense and not intermingling them as Keeney does. religious. like “You shall not . • Traditional: Such actions are “determined by ingrained habituation. we ﬁnd that organizations that think of themselves as service-motivated (where proﬁt is a means to an end. and thereby move from a multi-attribute to a single-attribute decision analysis. In Howard’s paradigm. Taking this distinction out of its personal context and applying it to a group setting. • Value-Rational (or wertrational ): Such actions are “determined by a conscious belief in the value for its own sake of some ethical. aesthetic. where social action may be oriented in four ways: • Instrumentally Rational (or zweckrational ): When “the end. and the secondary results are all rationally taken into account and weighed. They are uncomfortable in using the proﬁt paradigm to think about their decisions. independently of its prospects of success. 52] Howard treats ethical principles in its own category. and not an end in itself) tend to have positive ethics. LITERATURE REVIEW 15 Such a perspective brings us to the domain of multi-attribute decision analysis. We shall take a closer look at this distinction very shortly. Further. Howard would tackle this by proposing iso-preference curves. Howard is much more careful in his distinction between ethical principles and values. ”[26. In Decision Analysis. we may now ask how an organization’s positive ethics relates to their direct values in a decision context? For further insight. In others words. Keeney would proceed to construct a multi-attribute tradeoﬀ function on the attributes if there were more than one. 1]. he distinguishes between “positive and negative ethics”. the means. like.” This is a powerful distinction that would be an object of interest during a framing exercise.
2. or the importance of some “cause” no matter in what it consists. We ﬁnd the ﬁrst mention of value with Aristotle. This is the focus of the next chapter. regardless of possible cost to themselves. the philosophers do not have a clear deﬁnition of the term. who equates it with utility or function and proceeds to ascertain the function of man [3. To explicate pure value rationality. act to put into practice their convictions of what seems to them to be required by duty. In the process of decision analysis. what are the beneﬁts of studying such a relation? This chapter will focus on addressing these questions by examining the ﬁeld of Axiology in general and Formal Axiology in particular. However. 25] uses an example of people “who. 8]: . as the decision maker would be less interested in the consequences of the action than in the value for its own sake. What is the relation between strategic fundamental objectives and values? (Keeney).” The higher the degree of value-rationality. or the study of value. Weber[67.16 CHAPTER 2. and the ﬁeld under which they do this thinking is called Axiology. Howard and Keeney mean diﬀerent things by the term “value. For our purposes. honor. We shall take a brief look at this ﬁeld for insights. personal loyalty. which evokes several diﬀerent questions for diﬀerent philosophers.” We note that police departments are a good example where pure value rationality may manifest. we are interested in going deeper into the relation between instrumentally rational and value-rational action in the context of social ventures. We note quickly that unlike the engineering disciplines where we are clear about what both Howard and Keeney mean by value. the pursuit of beauty. in order to protect society. the more irrational the action would be from an instrumental perspective.” How can we reconcile their uses? 2. What is the relation between instrumental and value rationality? (Weber) 3. a religious call. value-rational action may have “various diﬀerent relations to the instrumentally rational action. What is the relation between direct values and positive ethics? (Howard). The usage of the term “value” in this section is done more in an evocative and not a deﬁnitive sense. we state our research questions: 1. when police oﬃcers take actions that put them in harm’s way.3 A Brief History of Axiology Philosophers have been thinking about value for thousands of years. APPRECIATING SOURCES OF VALUE unarticulated values. In summary. Weber notes that instrumentally rational actions are incompatible with aﬀectual and traditional actions.
2.3. A BRIEF HISTORY OF AXIOLOGY
. . . if we say “so-and-so” and “a good so-and-so” have a function which is the same in kind, e.g. a lyre, and a good lyre player, and so without qualiﬁcation in all cases, eminence in respect to goodness being idded to the name of the function (for the function of a lyre-player is to play the lyre, and that of a good lyre-player is to do so well): if this is the case, and we state the function of man to be a certain kind of life, and this to be an activity or actions of the soul implying a rational principle, and the function of a good man to be the good and noble performance of these, and if any action is well performed when it is performed with the appropriate excellence: if this is the case, human good turns out to be activity of soul in accordance with virtue, and if there are more than one virtue, in accordance with the best and most complete. Aristotle does not state his assumption that the rational principle of a human is to lead a life of virtue. Be that as it may, through Aristotle, we ﬁnd our ﬁrst notion of good as utility fulﬁllment, as far back as 350 BC. Over the next two millenia, philosophers have debated value from many viewpoints - we shall look at the two main schools of thought: the subjectivist and objectivist. An excellent summary of the subjectivist and objectivist debates may be found in Frondizi’s work, where he summarizes and points out the ﬂaws in the positions of both schools. The subjectivists claim that questions of value are meaningless without a subject, in whose mind, all value exists. The objectivists claim that if there were nothing for the subject to valuate, there would be no value. Frondizi attempts to transcend the debate by incorporating the key arguments from both the subjective and the objective camps. He notes that subjective psychological experiences like pleasure, desire and interest do not exclude objective elements, but assume them. Value is then a result of “a relationship or tension between subject and object, and would have a subjective as well as an objective side.” Values might have diﬀerent degrees of each element. The activity of valuation is what establishes a relationship between the subject and the object. This is what brings us to Frondizi’s point of departure: “a subject valuating an object.” Value is then a “relational notion requiring both the presence of the subject and the object.” [17, 146-147] We can now address the issues of both the subjectivist and objectivist camps. To address the objectivist concerns, Frondizi notes that a subject cannot valuate in a vacuum, or “there is no valuation without value” [17, 153] - indeed, we need an underlying source of value before a valuation activity can be initiated. To address the subjectivist concerns, Frondizi notes that value has no meaning if valuation were not possible. The moment we get into valuation, we are now connected to the subject who is performing the valuation and therefore have to consider the subject’s situation. [17, 151] Finally, Frondizi tackles the nature of value itself, which he considers nonreal while having a connection with reality. He rejects “atomistic” approaches that try to decompose value into subcomponents as being too simplistic, and he considers value to be irreducibly complex. He notes that value cannot be separated from its empirical qualities, but neither can it be reduced to them.
CHAPTER 2. APPRECIATING SOURCES OF VALUE
Table 2.1: Reconciling value language in the Stanford School of Decision Analysis and Axiology Stanford School of Decision Axiology Analysis Verb Value Valuate e.g. How do you value this e.g. How do you valuate this prospect? prospect to establish trade-oﬀs? Noun Value Value e.g. Does this prospect have di- What existential value do you rect value or indirect value for ﬁnd in this prospect? you?
This is what he calls the “gestalt” quality. We now turn our attention to Frondizi’s distinctions. He prefers to use the term valuate instead of the verb value, to refer to the activity of valuation by which a subject comprehends the value of a prospect (we prefer “prospect” over Frondizi’s “object”). Frondizi’s valuation is a broad activity, which would have as subsets, existential characterization and assessment of trade-oﬀs. When Howard asks, “How would you value this prospect?,” Frondizi should hear, “How much would you valuate this prospect to establish trade-oﬀs?” Frondizi reserves the use of value as a noun, in the sense that any prospect of interest has value. We ﬁnd that this is similar in nature to Howard’s usage of direct and indirect values, which have packed in them an aspect of existential comprehension: what is an end-in-itself for the subject, and what is instrumental to achieving the end? We summarize this understanding in Table 2.1.
As we mentioned earlier, Keeney’s value spans the spectrum from ethical principles to trade-oﬀs it covers both value and valuation in the axiological sense. Keeney explicitly discusses trade-oﬀs under his treatment of utility. So, when Keeney uses the term utility in a multi-attribute setting to determine trade-oﬀs, Howard should hear value and Frondizi should hear valuation to establish tradeoﬀs. This link between Keeney’s utilities and Howard’s values has been established in the extant literature . Howard drops the term utility from his vocabulary altogether to prevent confusion with value, and distinguishes between trade-oﬀs that are deterministic, and trade-oﬀs that involve uncertainty. He uses iso-preference curves of value to describe the former (which the economists and Keeney would call utilities) and u-curves to describe the latter (which the economists call Von Neumann-Morgenstern preference probabilities). We summarize this understanding in Table 2.2.
In summary, the distinctions of Axiology have helped us distinguish between the noun and the verb forms of value, and for each form, recognize the connection between Howard and Keeney’s approaches. We have thus answered our ﬁrst research question.
2.4. FORMAL AXIOLOGY AND THE HIERARCHY OF VALUE
Table 2.2: Reconciling value language in the Stanford School of Decision Analysis and MultiAttribute Utility Theory Stanford School of Decision Multi-Attribute Utility TheAnalysis ory Verb Value Utility-trade-oﬀs e.g. How do you value this e.g. What are your utility tradeprospect? oﬀs amongst the attributes of this prospect? Noun Value Objectives e.g. Does this prospect have di- Is this prospect a strategic funrect value or indirect value for damental objective or a meansyou? objective? We note that separation of existential comprehension from preference trade-oﬀs allows the former to inform the latter more formally. Our focus from this point on will be on existential comprehension of value. Having said that, we note that Frondizi’s distinction of value and valuation applies (perhaps primarily) to existential comprehension. Frondizi was not thinking of trade-oﬀs with the word “valuation” (although that is a useful distinction for decision analysts), rather, he was examining the relation between the subject and the object, which he felt were inseparable. The value of something cannot be examined independently of the subject who is doing the examining, unless the subject agrees to accept some axioms that allow the separation of the valuation activity from that which is being valued. It is these axioms that Hartman developed through the ﬁeld of Formal Axiology, which we shall examine next.
Formal Axiology and The Hierarchy of Value
Pioneered by Robert Hartman, the ﬁeld of Formal Axiology attempts to create a science of value. It does so with a fundamental axiom, similar to Aristotle’s, by deﬁning good as concept or standard fulﬁllment[21, 103]: When we hear of a good automobile, we combine the properties of the concept “automobile,” which we have in our minds, with the idea of the particular automobile in question. We give to the particular automobile, of which we may know nothing, the properties of automobiles in general, of which we must know something. And thus we do whenever we hear that a concept is “good”: we combine the properties of the concept of the thing with the idea of the thing itself. This logical operation is the meaning of the word “good.” In the lineage of Hartman, Edwards has reﬁned the deﬁnition of good as “exposition fulﬁllment,”  where something is good if it fulﬁlls the expositional properties of its concept. For instance, we can think of a chair and list certain basic properties which are needed to call something a chair, and then list additional properties that make this chair a good chair. If an actual chair has these
All intrinsically good entities (e. the value of one’s wife. ideas. People are intrinsic values.. conceptual knowle dge and conceptual truths are all in the realm of systemic value. e. Hartman goes on to deﬁne value. .g.. . Systemic values exist in our minds. good behavior. e.g. rules. This includes both the self and other people. By this deﬁnition.g.. which are declarations. is deﬁned as a formal relation. but not all unique entities (e. . human beings are taken as possessing intrinsic worth. ideas. APPRECIATING SOURCES OF VALUE additional properties. self-valuation.” They are constructs that have no physical reality. you’re either a good driver or not. Only unique beings that also exemplify other properties like consciousness. extrinsic values are about practical (or prudential) goodness and intrinsic values are about uniqueness. and can be thought of as assertions. and they may or may not refer to realities beyond themselves. systems. Axiomatically. More formally. More formally. Typically. are intrinsically good.g. we then call it a good chair. Hartman then goes on to note three dimensions of value: • Intrinsic: Valuable in-and-of itself. . one’s own life. Value. others-valuation. doctrines. others’ lives. Systemic values are about perfection. . a good chair.  On uniqueness. but we are usually interested in only the countable set of the ones required to produce their desired eﬀects. Edwards notes: Uniqueness is a property of intrinsically good individual entities. etc. the expositional good-making properties of physical objects. but it cannot be the only intrinsic-good-making property. . actions.g. and processes are indeﬁnitely large in number. a circle . things) are intrinsically good. feeling. deciding. Beliefs. e. good house. as opposed to intrinsic values. A good driver in California in the legal sense is one who has not received tickets from traﬃc police for last three years. • Extrinsic: Instrumental or useful values. With this understanding. thinking. These are typically physical or material objects or human physical actions that arise in public spacetime. persons) are unique.20 CHAPTER 2.something is either a circle or not a circle.” “black or white” judgments are easily made. the expositional goodmaking properties of concrete individual persons are so numerous that they are not practically countable. systemic values consist of a limited and fairly deﬁnite set of good-making properties about which “all or nothing. the correspondence between the properties possessed by a subject and the predicates contained in the intension of the subject’s concept. • Systemic: They are the value found in the class of value objects that we might call “conceptual. namely.
g. While the treatment on value just presented was about what we value existentially. empathy. • Systemic Relating to value objects with minimal emotional or aﬀective involvement. etc. Love. For example. Thus. this experience is intended to trigger feelings of generosity. where we are told that our meal has been paid for by someone before us. This arises when we are engaged in “being. this is about applying more elaborate practical ideals or conceptual ideals to valued objects. California. then this dimension must necessarily be richer than the other two dimensions on the same thing as the latter fulﬁll only a subset of the good-making expositional properties. when we hear of a restaurant called Karma Kitchen in Berkeley. the current treatment is on how we value existentially. and make a meal at this restaurant a very unique experience (an intrinsic valuation of an extrinsic experience). we get an experience of this system.” Conceptually. However. and valuate to place diﬀerent value objects in the dimensions.” “disinterestedness” or “impartiality. or just eat and leave.4. FORMAL AXIOLOGY AND THE HIERARCHY OF VALUE 21 Hartman also distinguishes between value and valuation. which is much richer than the thought of it. compassion. The actual experience of it constitutes extrinsic value in terms of satisfying an expectation of a “good eating experience. we realize that if we admit intrinsic value on something. and if it does. e. over thoughts of other eating experiences.” Conceptually. Hartman then points out that by applying the fundamental axiom on the three dimensions on the same thing.” Edwards calls this “everday interestedness.2. This arises when we are “desiring. We note at this point that the realization of a system (extrinsic value and perhaps leading to intrinsic value) are richer to us than the concept of the system (systemic value).” Edwards calls this “objectivity. By physically visiting Karma Kitchen and allotting our lunch hour there. This arises when we are engaged in “analyzing. Richness is deﬁned as that which fulﬁlls a greater number of expositional properties. it catches our interest. • Intrinsic Relating to valued objects with very intense feelings involving complete personal identiﬁcation and involvement. this is about applying ﬁnitistic all or nothing ideal or conceptual standards to valued objects. which might explain why they run out of food . and we may choose to pay it forward to someone else. • Extrinsic Relating to valued objects with complex and intense everyday practical desires and feelings. we ﬁnd that in addition to having dimensions of value. we value our meal quite uniquely than a meal at any other restaurant that simply satisﬁes our hunger.” But the feelings of gratitude that are generated touch us to our core. by noting that we can choose to deviate from the axiomatic relation between value objects and their dimensions.” Conceptually. intense concentration. The thought of a system like this might give us enough systemic value for us to want to visit the restaurant. this is about applying exceptionally rich personal ideals or conceptual standards to valued objects. Valuation is about the emotional aﬀect in an existential evaluation. we also have a hierarcy of value.
but it is so commonplace in physics that we have long since learned how to live with it. For practical purposes. What desiderata must we use when importing ideas from another discipline into decision analysis? We are guided by Jayne’s astute observation.” he does not have in mind any ideological considerations. For. We note again that we are not establishing trade-oﬀs here. Today. “Theory A is better than theory B. where we link some action to our own identity. many diﬀerent. 154]: Let me make what. when a physicist says. this phenomenon is something new in statistics. Several questions may be raised on the validity of the fundamental axiom or the dimensions of value. 2 and winner of the Nobel Peace Prize in 2006 .22 CHAPTER 2. Prospects that help fulﬁll our positive ethics should then be valuated intrinsically in the axiological sense and be incorporated in our direct values in the Decision Analysis sense. The Court of Last Resort in statistics is simply our commonsense judgment of those results. we now turn our attention to the utility of the dimensions of value. violently opposed ideologies may all lead to the same ﬁnal “working equations” for dealing with real problems. Prospects that involve material assets that can help us achieve our goals would have an extrinsic valuation in the axiological sense and an indirect value in the Decision Analysis sense. regulations. APPRECIATING SOURCES OF VALUE every-time they open and have an eight-week waiting list of people from all walks of life who want to volunteer to help run the place. as he eloquently states in his talks. might have the positive ethic of ending poverty from the world.g. Rather. namely.” I suggest that we apply the same criterion in statistics: the merits of any statistical method are determined by the results it gives when applied to speciﬁc problems. “There is at least one speciﬁc application where theory A leads to a better result than theory B. what is the relation between positive ethics and direct value? We ﬁnd that positive ethics tend to be an intrinsic valuation of an extrinsic value. he means simply. will seem to some a radical. which has applicability outside of statistical methods[29. though their fulﬁlment would have extrinsic aspects.” With this guiding criteria. such prospects would typically be considered as indirect values in Decision Analysis as regulations/symbolisms/constructs exist to serve a purpose and not as an end-in-themselves. “A theory is good if it is useful. our goal is to comprehend the prospect existentially and characterize its source of value as a precursor to identifying direct and indirect values and thinking about trade-oﬀs. Muhammad Yunus. Mother Teresa might have had the positive ethic of ridding the world of suﬀering. For example. the founder of Grameen Bank2 . symbolisms) would have a systemic aspect. Apparently. I fear. shocking suggestion: the merits of any statistical method are not determined by the ideology which led to it. Prospects that involve fulﬁlment of a construct (e. We shall refer to this as Jaynes’ Law of Theory Evaluation and state it more generally as. We shall start by going back to our second research question.
At the same time. Just as a mathematician understands complex phenomenon by reducing it to a graph in two dimensions. FORMAL AXIOLOGY AND THE HIERARCHY OF VALUE 23 Keeney’s strategic fundamental objectives span a broad spectrum . However. these are the values that we declare. We will use these distinctions in Section 2.rather.what are the beneﬁts of studying the relationship between direct values and positive ethics? More speciﬁcally. The systemic valuation by itself is value neutral. We have thus answered the second research question on the link between direct value and positive ethics. and then adds a third to understand it at a deeper level. They could also be constructs (regulations. Finally. for instance) and hence be the result of a systemic valuation.4. as opposed to assert. we give it an ethical grounding. A heuristic to test if something should be an instrinsic value is whether we are eble to explain why it is good. 2. and they could also manifest in public space-time and hence be the result of an extrinsic valuation. Put another way. it is impossible to fathom how we might quantify or tradeoﬀ these values.5 . our context is that of a voluntary social policy decision. how are the dimensions of value useful to us in our practical decision-making? The question of utility cannot be answered without specifying the context. If we are. We note that this does not preclude an intrinsic or extrinsic valuation . whatever we have chosen to measure and tradeoﬀ as a direct value should connect qualitatively with the instrinsic value at the root.1 Identifying Sources of Value in Prospects We now come to the ﬁnal question before us . the hierarchical nature of the value categories guides the decision analyst in deciding between direct and indirect values. but a means to an end.4. The systemic valuation is a means to an end.they could be positive ethics and hence be the result of an intrinsic valuation. and we can use the axiological framework to throw light on this understanding. intrinsic and extrinsic values are assumed into the systemic valuation. as they are driven by a belief in the value for its own sake. studying such a connection is important if we wish to align our objectives with our values.5 to critique prospects. in a decision analytic sense. then it is not an intrinsic value. and such a valuation is a means to realizing the extrinsic and ﬁnally the intrinsic value. When we connect it with the intrinsic valuation. Instrumentally rational actions stem from constructs that help us think better. In the existential sense.3 A good analyst’s task is to grasp how the decision maker understands the experience of the prospect. Actions that result from an intrinsic valuation would tend to be value-rational. Hence. and hence would have to be linked to systemic valuation.1. a decision analyst can use the three dimensions of value to grasp how the decision-maker understands value. Here. intrinsic valuations can be treated as the root of direct values.2. the distinction between value and valuation helps the decision analyst question the 3 See 1. In decision models. as Howard and Keeney have pointed out to us.
they ﬁnally agreed that there were only two direct values. 52] I once conducted a session with oil company executives who believed they had to deal with about 30 diﬀerent attributes in making their decisions.” The answer to this question may cause the decision-maker to revise the axiological categorization of value objects. equipment) might be an example of prudential prospects. This could be modeled as a direct value (or disvalue). Resources (trained staﬀ. They might also treat personal well-being in an intrinsic manner and the analyst may choose to model this source of value as the direct value of proﬁtability. a goal to register 2% more proﬁts this year is a measurable systemic goal which provides value. As a thought experiment. and the other was harm to people surrounding their facilities as the result of company operations. or as mere tokens within some system or ideology. or good for us for some reason. We shall now use the dimensions of value to inform practical questions that an analyst can ask about prospects in order to understand how the decision-maker is valuating them: • How does this prospect relate to who I am? Is this prospect an end-in-itself? (Intrinsic) • Why is this prospect good for me? How is this prospect a means-to-an-end? (Extrinsic) • What metrics/rules/constraints/systems are included in this prospect? (Systemic) We note that the questions listed above are intended to discover valuations. a follow-up question on intrinsic value may be asked. as follows: “Will this prospect be respectful of the intrinsic worth of all the people who will be aﬀected by it. Systemic . The pain and trauma caused by the recognition of responsibility for harm is perhaps not something they can take out of their beings and give to someone else. had started by bucketing the clients’ experience of value into intrinsic. One was the proﬁtability of the company. by bringing in our axiomatic treatment of values. What if an analyst faced with the same thirty attributes as the example above. extrinsic and systemic compartments? The clients might experience the value in a prospect intrinsically if it involves loss of life. APPRECIATING SOURCES OF VALUE existential valuation. After about an hour of discussion. let us examine an example that Howard uses when describing direct value: [25. Another property that extrinsic prospects have is that they are somewhat separable from the notion of who we are. due to the inseparability of the prospect experience from themselves. They might experience a prospect extrinsically if the prospect is prudential. or will it treat all or any of us as mere means to ends or goals beyond ourselves. Focusing on direct values considerably simpliﬁes analysis of multi-attribute decision situations.24 CHAPTER 2. However. These prospects are at best indirect values and perhaps alternatives that should be considered in the decision situation. clients could experience a prospect systemically from a construct or regulation fulﬁllment perspective. and of direct and indirect values. For instance. Finally.
. which means.when codiﬁed into a system that measures proﬁt and requires 2% more. “proﬁtability is a necessary condition for existence and a means to more important ends. we shall brieﬂy look at regular businesses. we ﬁnd the following: [36. Prudential and intrinsic values are therefore. Collins and Porras argue [8. a numeraire. Pallotta presents a more balanced perspective[45. As an illustration of the notion of an attribute. one might argue that we would not need to go through the exercise of asking the axiological questions. and optionally. presumably a for-proﬁt one. If we assume most businesses to be interested in proﬁt. but it is not the end in itself for many of the visionary companies. the systemic value obtained by fulling the rule does not fully capture the underlying prudential value generated that inspired the construction of the system.4. the strategic objective. It is some prudential or intrinsic value that gives our systems its life force. . Early in the discussion. our thought experiment is just as applicable to Keeney’s method as it is to Howard’s. However. Regarding proﬁts as an end or as a means to-an-end is to look at it in a binary lens. The objective of a ﬁrm to maximize proﬁt can be measured by the attribute “annual proﬁt in millions of dollars. The word attribute comes from the Latin attributus. 100]. FORMAL AXIOLOGY AND THE HIERARCHY OF VALUE 25 values will typically also have some prudential or intrinsic value associated with them. Getting more proﬁt this year is prudential . consider a simple example. 56] The most obvious way to identify objectives is to engage in a discussion of the decision situation. We note that Keeney’s process is very similar to Howard’s whittling down of thirty attributes to just two. . Put another way. we note that the multi-attribute scenario in Howard’s example was in an oil company. The degree to which an objective is achieved is measured by what I refer to as an attribute. either the decision context or some objectives should be roughly outlined. “a bestowed characteristic. With this rough description of the decision situation. 36]: .” This is relevant to our discussion on values and underscores the need to identify intrinsic prospect experiences that are important to the decision-maker.2.” while Keeney deﬁnes attribute as the tool for measuring objective-fulﬁllment. in the language of decision analysis. systemic value is related to distinctions that. pass the clarity test. you begin an iterative process by asking “What would you like to achieve in this situation?” The responses provide a list of potential objectives and a basis for further probing.” Howard’s direct value contains within it a notion of an attribute of value. outside the realm of systems or measurement. 55] that in visionary for-proﬁt companies. and therefore.” Howard uses the term in its English sense and refers to “attributes of prospects. He writes[36. Moving on to Keeney’s process of identifying strategic fundamental objectives. Although our focus is on voluntary social policy decisions.
Helping people is what the for-proﬁt sector does. the police department’s main concern is “people. We note that there is a possibility of miscommunication when we talk about experiencing the value of a prospect. APPRECIATING SOURCES OF VALUE The fallacy is that the for-proﬁt sector does not help people. . which shows questions and the corresponding decision analysis distinctions that can spring from the answers. we could not power any of our charities. Indeed.” They care most about protecting people from harm. For most police decisions.3). cars. . The for-proﬁt sector simply doesn’t regard the presence of self-interest as being at odds with meeting need. Further.weapons. communication equipment. we would treat personal well-being as a source of intrinsic value and model it as the direct value of proﬁtability. . We shall summarize our discussion so far in the table below (Table 2. we shall treat the organization as an individual decision maker and shall treat the police chief as the proxy for this decision maker. In an interview. 2. that help it respond eﬀectively to calls for help. it regards the two as essentially connected. we shall examine the application of these distinctions to police decision-making. We acknowledge the subjectivity of the experience wherein the subject may choose to valuate a prospect in any of the three dimensions.” The police would experience intrinsic value (or disvalue) from prospects that involve harm to people. . .26 CHAPTER 2.5 Application to the Stanford Police Department Stanford’s police department is private in its ﬁnancial sustenance and public in its regulatory powers. The police would experience the value of such prospects extrinsically . . etc. We include both the community being served and the police oﬃcers in “people. Since the police department has a clear decision maker. while also having other direct values that are derived from intrinsic sources (such as safety in the oil company example). we would soon ﬁnd a world in need of a great deal more help than it is in need of today. We shall have something to say on this before we conclude the chapter (see Section 2. If not for the for-proﬁt electric companies. In the next section. . in that there might be something objective in the prospect that causes the experience. If we shut down the global oil conglomerates tomorrow. we also recognize that the experience of value itself can be a decision. They are . we veriﬁed the following with the police chief.as assets that aid the function of protecting people and are transferable. We shall use the police department as an example of a service-motivated organization that cares for more than just proﬁt. the police chief.8). In this view. The police department has several assets . . . They would also experience intrinsic value from prospects that involve the mental and physical well-being of police oﬃcers.
In such a situation. and would at best be indirect values.3: Axiological questions and decision-modeling guidelines Dimension of Experiencing Stanford School of Decision Value Analysis Intrinsic or Identity Direct Value e. Extrinsic or Prudential Indirect Value e.1) that was .prospects as direct values.” where the police department mandates the presence of two oﬃcers of the rank of deputy or above at any given time on campus. When modeling scheduling decisions. Another prospect whose value may be experienced extrinsically is the training and behavioral ability to deal with situations of distress.1 A Retrospective Example With this understanding of the diﬀerent ways in which the police department experiences value in its prospects.We would prefer to model such late to who I am or my funda.These are most typically distincstructs. as most systems are created out of a prudential need. What are important con. It might also be valuated extrinsically. and are an indirect value.g. APPLICATION TO THE STANFORD POLICE DEPARTMENT 27 Table 2. The safety of the property on campus is an interesting prospect. Since it belongs to people and directly aﬀects their well-being.5. by arguing that a safer property is a means-to-an-end for personal safety. As a retrospective evaluation. prospect are prudential for us? that we might model as uncertainties or alternatives. we examine a decision diagram (see Figure 2. which again.5. help the police department protect people and keep their oﬃcers safe.g. e.g. “what constructs (or regulations) do we need to follow?” A simple example is that of the “Oﬃcer Safety Constraint. 2. behaviors. mental reasons for being a part in the direct value of ﬁnancial of this organization? proﬁtability. we might recognize the intrinsic value of personal well-being. Systemic Second Order Indirect Values/ Regulatory Constraints e. we would want to model property safety as an indirect value. means-to-an-end.g.2. if not alternatives. so that there is always a minimal level of backup for an oﬃcer. These are at best indirect values. we can now look at speciﬁc decisions to check if we have missed an important source of value. How does this prospect re. etc. What aspects of this Material assets. regulations. we would want to impose penalties if this constraint is broken. or heuristics tions that spring from extrinassociated with this prospect? sic (prudential) value sources. We can discover prospects that may be valuated systemically by asking the question. it could be valuated intrinsically (direct value).
We note that there should be an arrow going from “Waiting Time for Caller” to “Quality of Service. The police chief was asked to critique the value node (“number of calls diverted”) without any props. We focused only on immediate calls for service and produced tables like the one in Figure 2. Figure 2. What we actually ended up modeling was a subset involving only the waiting time value (the upper half of the diagram was ignored). we conducted the following exercise.3.” as the former is important only as it helps improve the quality of service. Then. showing hot-spots where the chance of having to divert a call was above 5%. The objective is to keep this number as low as possible so we can handle as many calls for immediate service as possible. We note ﬁrst that the attribute we are interested in is the number of calls that are diverted to another police department. Looking back.1: Whiteboard photograph of scheduling decision diagram This diagram was drawn at the end of a discussion on a decision problem that involved scheduling.2. To test the utility of the axiological questions. APPRECIATING SOURCES OF VALUE drawn in 2006 by the author before undertaking the study of value. It was further reduced to a queuing theory problem where our object of interest was the chance that the police department would not be able to respond to a call for service and would need to divert the call to an external police department. . she was asked to critique it using the axiological questions. the eﬀective decision diagram we ended up solving would have looked like the one in Figure 2.28 CHAPTER 2.
3: Retrospective decision diagram of scheduling decision situation We chose this value node as it is easy to criticize.5. Next. The chief liked the structure and was able to critique more eﬀectively.2 The Intrinsic Question What about this prospect can aﬀect our identity? How does this prospect relate to our fundamental reasons for being in this venture? How does this prospect relate to things we care about intrinsically (you had identiﬁed earlier that you intrinsically care about public safety and oﬃcer safety)? .2: Hotspots in the Schedule Figure 2. And yet. APPLICATION TO THE STANFORD POLICE DEPARTMENT 29 Figure 2.5. 2. some important sources of value were missed during the unstructured critique.2. we shall paraphrase a conversation from the researcher’s perspective (which was also echoed by the Police Chief).
4 The Systemic Question What are important constructs/regulations that help us do what we need to do? What is the penalty for breaking some of these constructs/regulations? . Such a decision is precluded by the current frame. Also. but quickly got to it when the structured question was posed. the police chief missed out the oﬃcer safety connection. Of course. We also recognize that the number of calls is at best an indirect value . an external police department may behave diﬀerently with our community and aﬀect call outcomes. Note: Again. this might be an indicator that we are not able to serve our community well and need to improve. Intrinsically. we care about the well-being of the community we serve and the people in our department.3 The Extrinsic Question What about this prospect helps us achieve our goals? Are their behavioral aspects or material assets related to this prospect? Chief: Our goal is to protect our community.it helps us keep the community safe. we might consider quantifying public safety and oﬃcer safety incidents and placing direct values on them. there are behavioral aspects . and it seems reasonable that we would want to come up with other attributes to measure this separately. Also. If we were to model this decision again. weapons. leading to a higher chance of a bad outcome. APPRECIATING SOURCES OF VALUE Chief: If we miss too many calls. then we need more oﬃcers to respond to calls for service eﬀectively. as I mentioned earlier.5. We do need material assets such as cars. It is not clear how behavioral aspects of call resolution are captured in the retrospective diagram. 2.30 CHAPTER 2. and handling more calls helps us do that. which was included in the original diagram (WorkLife Balance).we want our oﬃcers to treat our clients courteously and their professionalism in servicing a call is extremely important. we should have a big penalty for calls that are diverted as compared to the calls that get taken. we received valuable clues on aspects that are not obvious in the decision diagram. oﬃcer safety. it does not really connect with the well-being of our oﬃcers. Outside police departments may also respond in a heavy-handed manner as they wouldn’t be as familiar with the campus culture as we are. and even more fundamentally. Although this prospect touches on well-being of the community. 2.5. When doing the unstructured critique. calls that are diverted would take longer to fulﬁll. In particular. It also precludes consideration of the well-being of the oﬃcers. and if we were to look at our oﬃcers as important resources. etc. Note: This conversation just gave us valuable clues on how to valuate diverted calls. The current implementation using queuing theory precludes such a treatment. This would also aﬀect the resolution of a call and could lead to bad outcomes. The information on material assets might yield decision opportunities to acquire more resources.
at any given time. we would note that many oﬃcers in the Stanford police department live in cities that are too far for a daily commute (e. I would like our department to not break this. However.” where. at the time of making decisions. quite happy. At a higher level. What would be the value of such an alternative? The current frame precludes such a discussion. 2. Note: An important constraint is revealed. A discussion on this source of value would quickly lead us to realize the importance of training and relaxation for police oﬃcers and help us brainstorm alternatives that aﬀect these two distinctions.1) is connected to an intrinsic and extrinsic source of value . If we follow through. one might project a life of great unhappiness. interviews and writings of disabled people reveal that they are at peace with their situation.the lives and property protected by the police department. we get important modeling clues on were the value lies in the mind of the decision-maker.g. The social organization’s response might tend to be to avoid causing harm to people. this contribution can help us make models that are aligned with our positive ethics. We also note that this is not something they might have imagined before their disability. which might warrant that we model a higher penalty for a situation where there are fewer than two oﬃcers on campus. If we had put in work-life balance as a result of this analysis. we would like to fulﬁll the “Oﬃcer Safety Constraint. We might consider creating housing for oﬃcers on campus and allowing them to eat freely at any cafeteria so they are incentivized to spend time on campus over more days and without having to stay away from their families. Typical responses to the identity question might end up with . an individual’s value system can still be complex. and perhaps go even further.5 Eﬀect of Questions A simple conversation of this type can help our decision models gain more ﬁdelity in value. NEGATIVE BIASING OF IDENTITIY QUESTION 31 Chief: Well.5. We also note that the hexagon labeled “Quality of Service.2.1) which considers important prospects we had missed out on earlier.6 Negative Biasing of Identitiy Question We observe that for most human beings. projecting into the future is a diﬃcult task. we require two oﬃcers on campus. or reduce the harm that is already being caused. When faced with prospects of disability for oneself. during which they spend 10-hour days policing the campus.6. Sacramento). An organization’s value system when treated like an individual tends to be a little simpler. An oﬃcer should always have some backup. by asking the questions we’ve framed on the retrospective diagram (Figure 2. we might be able to get closer to the original decision diagram (Figure 2. and how this value manifests in the prospects under discussion.3). and in fact. and hence rent a condo nearer to the campus for three or four days of the week. 2. In summary.” (Figure 2. in the interests of oﬃcer safety. Having said that.
friend and colleague has been lost. and one may trace a deep connection to one’s identity. with respect to one’s mission in the organization. 2. although very sad. Some of the distinctions might be: • Occurence of gun crimes on campus • Was the oﬃcer wearing a bulletproof vest? As we proceed to understand the experience of the prospect. The two situations we shall consider are: • Oﬃcer shot dead on campus • President Obama considering a pullout of US troops from Afghanistan • Discovering new alternatives for a bike-safety decision context 2.32 CHAPTER 2. If the oﬃcer died in the line of duty. . A relevance diagram would be useful to lay out the distinctions that can help us make such an assessment. This could deeply aﬀect the police chief and the department. we may note the following as part of the experience: • Grieving family and colleagues • Lower departmental morale • Internal and perhaps external investigation into the shooting • News Channels descend on campus to cover event • Stanford’s reputation as a safe campus is rocked • Police training program’s eﬃcacy is questioned When we apply the Axiological categories. then the chances are that he or she saved civilian lives and made the department very proud.1 Oﬃcer Shot Dead on Campus The decision-maker continues to be the police chief. the department’s identity)? A human being. Such a bias may be balanced by focusing the organization on their positive ethics .7 More Applications We shall now apply the axiological questions to situations with grave prospects to demonstrate the use of the framework. The police chief might resign.7.why are they in business? It is usually for positive change. we will want to assess the likelihood of such an event. APPRECIATING SOURCES OF VALUE the imagination of undesirable prospects. we ﬁnd the following valuation questions: • Identity: How does the loss of an oﬃcer aﬀect the chief’s identity (and by proxy. As part of understanding the prospect.
equality of women and the right to choose our children’s education are values that are a part of the US identity. 2.2. we need to ﬁrst clarify what the prospect might be. number of civilian deaths on campus (to make it more realistic.7. • Direct Values: Number of oﬃcer deaths on campus in the line of duty. the . we can identify direct and indirect values. was the Oﬃcer Safety Constraint (2 oﬃcers at any time on campus) followed? In the next step. President Obama. Which of these prospects would aﬀect the decision-maker’s identity? As an example. a return to the old Taliban regime • More Buddha statues and cultural heritage sites will be under attack • American soldiers are not dying anymore in Afghanistan • Domestic pressure on Afghanistan eases up The next step would be to perceive the experience of value in each of these prospects. might have prevented this prospect? For example. the decision-maker must trade-oﬀ her focus on protecting oﬃcers with protecting civilians in the context of a speciﬁc decision situation.2 President Obama Considering a Pullout of US Troops from Afghanistan The decision-maker here is the President of the United States. MORE APPLICATIONS 33 • Assets or Behaviors: Losing an oﬃcer is clearly far worse than losing a police car.7. and as a proxy for the US. if followed. In that sense. What police behaviors (or training) might prevent such a prospect? What assets could be acquired by the police department to prevent such a prospect? • Constructs: Is there a rule which. The exact trade-oﬀ will be likely determined as the result of a decision-modeling eﬀort. assets and rules to keep oﬃcers and civilians safe In the ﬁnal step of dealing with prospects. taking into account the various indirect values and constraints. we’d also have to consider serious injuries) • Indirect Values: Behaviors. Before we discuss the likelihood of a prospect in Afghanistan without US troops. the police oﬃcer is indeed the most valuable asset of the police department. the decision-maker might ﬁnd that preservation of fundamental freedoms. some of the following might come up: • Afghan women are treated badly • Educational choices limited to religion • Erosion of fundamental freedoms in Afghanistan. as we consider decisions that can help improve oﬃcer safety. For instance. who is considering whether to pullout US troops from Afghanistan.
as we might claim it for carbon credits. to combat the Taliban. 2. etc.7. We shall use this example again in Chapter 5 to examine how the axiological framework aﬀects people’s decision diagrams. Indirect values would include assets that help in the achieving of direct value both material and constructual (legal systems). the military is an asset of great value to the US. For instance. should it break its promise to help Afghanistan.3 Discovering new alternatives for a bike-safety decision context In 2009. The program is supported by revenue from parking permits. Another cause of concern might be respect for international law and the precedent set by the United States. the President might want to focus the discourse on what assets or behaviors would the Afghans need to survive if the Americans pull out. This led to a quick back-of-the-envelop calculation to add up the distances of each parking permit holder’s residence from campus. They might also include the freedoms of the Afghan people that have been safeguarded.34 CHAPTER 2. funding could be expanded by exploring cap-n-trade mechanisms that are under . if there is a need to do some decisionmodeling. Stanford is paying $114 per metric ton of carbon generated with its clear-air cash program. APPRECIATING SOURCES OF VALUE President should stand up for them. Will the US sleep easier with fewer of its children getting killed in combat? The President is answerable to the families of the soldiers. the answer might include well-trained local police forces and armies under civilian command. The bike-safety coordinator felt it was important to record the number of bike miles travelled. It turns out that on average. and this might be a prospect that aﬀects him at the level of identity. While a holistic perspective might be of great help by itself. After we were done. which could be sold in the carbon-trading market to generate funds for the bike-safety program. We came up with a massive strategy table that captured several the decisions and paths through the alternatives to form a strategy theme. at the level of constructs. the answers to the axiological questions would guide the modeling eﬀort. what legal framework would help the country stabilize quickly without US presence? The axiological categories are helpful in identifying three kinds of value and we need to consider all three kinds to get a holistic view of the value in the prospects under discussion. the direct values in such a model would need to connect with the sources of value that aﬀect US identity at its core. For the prospect of Afghanistan’s survival. At the level of assets and behaviors. it would be worth thinking about the the value of US promises in the future. I brought up the axiological questions to see if we might come up with any more decisions. Finally. and was surprised to ﬁnd a whole class of decisions emerge from the systemic question. They might be the number of lives of US soldiers saved and the number of civilian casualties averted. and diminishing this asset in Afghanistan may not be desirable. However. I spent spent three weeks with the head of the Department of Parking and Transportation at Stanford. coming up with all the decisions we could possibly think of as it connected with bicycle safety. infrastructure for sanitation and education. As an example. From the prospect of a stable Afghanistan.
we would be remiss if we did not touch upon an important philosophical question. the eﬀect of stimuli becomes short-lived. and the (consciousness) notes only the fact that a sound has come. the teachers of meditation urge the student to discover a space between the habitual reaction that arises as an informational element and the response that is a decision. then the value experienced in the future is no longer a concern for analysis for one who lives in this way.4 2. A voluntary solution for cap-n-trade may just be the approach that has eluded us so far. and the former as an apparent truth. If everyone were to live in this way. As the habit-conditioning dissolves. The ﬁrst phenomenon. we would not have to worry about our actions. The fourth phenomenon of the mind is to pull out the reaction from a database of past reactions to such sensations. The third phenomenon of the mind. and similarly for unpleasant perceptions. as most of us have not trained enough to live in the moment. and the action taken is less and less a reaction and more and more a thoughtful action. works “to cognize. IS THE EXPERIENCE OF VALUE A DECISION OR A CONDITION 35 regulatory exploration. the reaction creates its own stimulus and the cycle repeats. and deepen the habit-pattern as the applied reaction gets stored in the mind for future access. Instead of multiplying and feeding on itself. perception. Moreover. the experience of positive and negative stimuli becomes more of a decision. perception. However. multiplying the perception and thereby the sensation. the experience of value is in large part inﬂuenced voluntary carbon oﬀset mechanisms mostly operate out of a non-proﬁt mindset where companies buy oﬀsets for public relations purposes. without diﬀerentiating. It is a determination of the present moment. simply to know. The regulatory environment could destroy even this market if it mandates carbon limits. is about recognizing something from one’s past experience as good or bad. is what arises in response to the recognition. a sound may consist of words of praise or words of abuse. These sensations are felt by the mind. sensation and reaction.8 Is the Experience of Value a Decision or a Condition When discussing the experience of value. For something that was perceived to be pleasing. At this point. and develop equanimity as an antidote to all habits.8. Instead of reacting as a response. the cycle breaks immediately. consciousness. we ﬁnd four key phenomena that explain the working of the mind: consciousness. the tendency of the mind is to apply the reaction.2. is the experience of value a condition or a decision? Eastern psychology points to the latter as a deeper truth. as also a voluntary cap-n-trade system that could be pioneered by Stanford University. 4 Current . In this sense. namely. unpleasant sensations arise throughout the body.” The second phenomenon of the mind. A sound comes into contact with the ear. and the physical experience also starts to change. However. sensation. This explanation helps us understand the experience of value in the moment. the student is urged to stay equanimous. Such a mindset has kept the carbon trading price very low (around $2 per metric ton in many exchanges). For instance. From the Vipassana technique of meditation. pleasant sensations arise throughout the body. and if every moment may be dealt with equanimously.
The hierarchy helped us identify intrinsic. How is this prospect prudential for us? 3.” How can we reconcile the two? 2. extrinsic and systemic sources of value. would I feel great fulﬁllment or great regret? 2. We then answered the third question of the beneﬁts by formulating three levels of questions that help us understand how we experience the value of a prospect under consideration. which we’ve adapted for our use in the context of decision analysis. What is the relation between strategic fundamental objectives and values? (Keeney). The questions to be asked are: 1. the practical questions leading from it could be useful. APPRECIATING SOURCES OF VALUE by conditions around us. At a broader . the need for thoughtful action remains. we applied Jaynes’ criteria of a good theory as one that was useful to point out that even if we are unconvinced about formal axiology. We also showed how prospects that are comprehended intrinsically tend to be good candidates for direct values. What is the relation between direct values and positive ethics? (Howard). We connected positive ethics with intrinsic valuations. and insofar as we desire to aﬀect such conditions with our decisions. What are the beneﬁts of studying such a relation? We answered the ﬁrst question by establishing the distinction between value and valuation and clarifying the diﬀerence of usage of value between Howard and Keeney. Prospects that are comprehended systemically can clue us in on regulations or constraints in the environment that need to be met. 2.36 CHAPTER 2. What are important regulations/symbolisms/systems that help us do what we need to do? What is the penalty for breaking some of these regulations? This chapter helped us gain some new distinctions on value through axiological questions.9 Conclusion We started out by considering three questions: 1. Finally. What is the relation between instrumental and value rationality? (Weber) 3. This understanding gives us clues about what we should consider modeling in the decision situation. while the other two prospects give us clues about indirect values. We answered the second question by borrowing from the hierarchy of value in formal axiology. How would my experience of this prospect aﬀect my personal identity? How does this prospect relate to my fundamental reasons for being in this business? Upon the fruition of this prospect. Howard and Keeney mean diﬀerent things by the term “value.
we shall propose the ethnographic method as a powerful way of understanding the values of a culture. we might end up discovering more sources of value. we shall take a methodological dive into the police department and use an ethnographic analysis to uncover embedded sources of value in culture.9. and note that in the process of appreciating value with the axiolgoical distinctions.2. we have focused on how we might appreciate sources of value. In the next chapter. More than the speciﬁc insights generated on our police case study. CONCLUSION 37 level. .
38 CHAPTER 2. APPRECIATING SOURCES OF VALUE .
the most certain method of preventing crimes is. Cesare Beccaria. we will continue with the context of the Stanford University Department of Public Safety (SUDPS). if I may venture to declare it. concluding remarks in “Of Crimes and Punishments.1 Introduction In the previous chapter. But this is an object too vast. we concern ourselves with discovering sources of unarticulated value. a police department that is funded privately but deputized by a public agency. an object. to perfect the system of education. We will use ethnographic analysis 39 . 24-26] In this chapter.Chapter 3 Discovering Embedded Values in Culture Finally. and exceeds my plan. cultivated only by a few wise men. in what Weber calls “traditional action. that it will always remain a barren spot. we relied on ﬁnding sources of value through explicit interactions with the decision-maker. thereby having the same powers and responsibilities as a public police department. What if the decision-maker is unable to articulate important sources of value? This could happen if there is a source of value that is too deeply ingrained in the organizational culture to be articulated explicitly.”[67.” 1764 3. which is so intimately connected with the nature of government. As in the last chapter.
broadly deﬁned. Every male above the age of twelve would join a group of neighbors to form a tithing. This study helps us understand the cultural context of the Stanford police department and education as a key source of value that will enhance the police department’s value dashboard. 3. UK and the rest of Europe . While public police engages in “good pinches. policing has a varied history with both private and public forms dominating certain eras. is the “preservation of the peace” such that “persons and property are free from unwarranted interference so that people may go about their business safely” . we ask the following research questions: • What does the SUDPS value? • What motives do they exhibit? • Where do these motives come from? • What is the rhetoric they use to describe what they value? Findings indicate that the SUDPS has acquired the goals of the environment they are situated in. who was starting to function like a . state or federal governments.” and private police uses “snowﬂakes. However. SUDPS Oﬃcers like to view themselves as educators instead of enforcers. The tithing had law enforcement responsibilities and ten such tithing would be supervised by a constable appointed by a local nobleman . This swing in favor of private policing has also been seen in Canada.” Stanford police uses what we shall term “soft pinches” to combine education and enforcement.1 Value Rhetoric of Private Campus Police Police Work Policing. In the policing environment of the SUDPS.” Edward introduced this statute to make “the people of each hundred and franchise responsible for robberies and damages arising from their failure to produce the oﬀenders. with over three-fourths of all policing in the United States handled by private entities . More and more duties were thrust on the tithing representative. the swing is toward private policing. funded by local. Due to increasing crime by “vagabonds.” This proved to be a huge ﬁnancial burden.40 CHAPTER 3.2. In our present time. DISCOVERING EMBEDDED VALUES IN CULTURE as our research method. and look not just at the department and its activities but also more broadly at the extant literature on private policing and police culture. Most people perceive policing as having been a public function since its inception. The earliest record of private policing was a feudal policing system around the Anglo-Saxon times in Britain called “frankpledge.2 3. This system began disintegrating around the 13th century AD due in large measure to a centralization attempt which culminated with the passage of the Statute of Winchester in 1285 by Edward I.” a form of community policing that started around the 11th century AD .
notwithstanding its critical tone. Wild called himself “Thief-Taker General” and would ﬁnd thieves and retrieve stolen property. Reith describes these times through the Police Report of 1839: It (the report) shows that administration of the new borough police forces was falling into the hands of licensees and brewers and local vice-providers. Around 1387. Britain’s Home Secretary at the time. parish beadles. very similar to what we see today in the US. Surprisingly. Though not paid for his work. privately paid watchmen. [48. parish ward constables. primarily.” which would oﬀer services of tracing thieves. VALUE RHETORIC OF PRIVATE CAMPUS POLICE 41 special peace oﬃcer while lacking the ability or training to perform the new functions. Reith also describes a unique private policing construct. 203] The report. the emergence of “special royal commissioners” with prosecution power undermined the frankpledge system. privately paid deputy parish constables. the parish constable had the authority to raise the “hue and cry. this seems to be less the result of popular opinion and more the eﬀorts of a few individuals. This led to the rise of notorious characters like Jonathan Wild. Uchida describes this system: One man from each parish served a one-year term as constable on a rotating basis. However. evidences widespread private policing in 19th century England.  Such an environment set the stage for an eﬀort to introduce a centralized public police force. and that in other areas such police as existed were parish constables.3. threatening them with prosecution and bargaining to retrieve part of stolen property. If a serious disturbance took place. 204] Due to the ﬁnancial risk of prosecuting thieves. 153]. he would be involved in the stealing through his gang of thieves after which he would negotiate with the owner of the goods to return all or part of the goods for a fee and amnesty from prosecution. He was appointed to . a “Prosecution Society.” This call to arms meant that all males in the parish were to drop what they were doing and come to the aid of the constable.” [48. Unprecedented development in the cities led to higher crime rates and the parish constable system began to crumble due to lack of co-ordination. street watchmen paid by subscriptions. These watchmen were also unpaid and selected from the parish population. the constable was responsible for organizing a group of watchmen who would guard the gates of the town at night. Canada and Europe. in practice. there is evidence of the system being largely privatized over time. bargaining with them became common practice. which would soon be stripped of arrest powers without “process” from the commissioners [42. [64. The tithing system was replaced by a parish constable system which placed more authority in the hands of the parish constable for law enforcement. 4] Although the parish constable system came into existence through legislation. a thief in the guise of a policeman. parish night-watchmen.2. and various oﬃcers appointed by local oﬃcials. Sir Robert Peel. all “thwarting each other on all occasions to prove their independence.
Peel may be called the father of the modern public police. and hope. as a colony of England in the 17th and 18th centuries. The sheriﬀ was given a ﬁxed fee for his work. when the Pinkerton contract police organization was involved in the Homestead massacre at which striking laborers were killed by oﬃcers enforcing strikebreaking measures. Historically policing seems to have been a largely private function interspersed with eras of public control that follow public outrage over mishaps.”  1 The . inherited the English constable system of the time. security could be contracted out to private ﬁrms.1  In a sense. Private policing came under tight scrutiny in the late 19th century.” such as hotels. and also had to collect taxes which fetched him a higher fee. In a study of college students. which remains fairly constant to this day.  From this brief history. Over time. followed by happiness. We ﬁnd this trend in the United States as well. he had to face a “severe rebuﬀ” in parliament after which he carefully navigated his way through political waters to create the ﬁrst centralized. DISCOVERING EMBEDDED VALUES IN CULTURE his post by the Prime Minister for the explicit task of creating public police in London in response to a perceived absence of any means of securing observance of laws.  The ensuing public outrage caused a shift in perception and led to the rise of a state-centric view of policing which accepted policing as a state monopoly. which. private policing reemerges to meet the needs of the people.  By the 19th century. shopping malls and companies.” primarily due to the “shift in property relationships” where property ownership has moved away from “small. law enforcement was a low priority. This notion of policing changed in the 1960’s through a “quiet revolution. after which a full-time. private policing reemerged. 121-123] He did this through the London Metropolitan Act. and this became a valuable service as burgeoning population growth led to higher crime rates which put a lot of pressure on the public policing system. [48.  The history of policing in the UK may be viewed as a largely private evolution interspersed with eras of public control during periods of private failure. passed in the early 19th century.” while the “the negative aspects of red included having associations with ﬁght and blood as well as Satan and evil.42 CHAPTER 3. peace. college campuses. comfort. public police force. Although a centralized police force came to stay in the public consciousness. Peel hired “even-tempered and reserved” men. uniformed police force was established with the purpose of patrolling the city. separate free-holdings” to “mass private property. He chose navy blue as the color of the uniform instead of a military red. As a result. although in a diﬀerent incarnation each time. the color “blue revealed the feelings of relaxation and calmness. After the furor has died down. among others. This is success of this tactic may be understood in part by the relationship between color and emotion. Initially. and now comprises half of the UK’s policing work.  Shearing and Stenning argue: Whenever one ﬁnds a shift in property relations toward such large geographically connected holdings of mass private property one also ﬁnds a shift toward private policing initiatives. with a county sheriﬀ appointed by the governor performing the role of the parish constable. it is clear that the nature of police work has changed with the times. public structures are adapted by citizens to allow private fulﬁllment of policing needs.
This has resulted in an inaccurate classiﬁcation. although there are notable exceptions. First. Therefore. However. based on a view of morality and ethics.3. drop ’snowﬂakes’ (or notices of risk to property) in order to responsibilize workers. On the contrary. [49. How would private police oﬃcers with public coercive powers hold themselves accountable? Would the enhanced authority make private police authoritarian? In order to answer the question of accountability. 11] Focauldian scholarship has limited itself to institutional analysis while ignoring social interactions. Marxian analysis has been state-centric and ﬁxated on viewing private policing through the lens of past failures. Accounts are provided when we deviate from “background expectancies”. the assessors of accountability “typically understate the eﬀective accountability of private police by ignoring mechanisms through which private police may be held . the private police.2. while ignoring their evolution. under their ’loss prevention’ mandate. Discourses on the value of private police have been subjected to the lens of accountability. Second. [49. the notion of accounts must be examined. Rigakos points this out in his critique: Today’s private security companies have little involvement in anything resembling the suppression of organized strikes. VALUE RHETORIC OF PRIVATE CAMPUS POLICE 43 evidenced by the burgeoning private security industry in both the United States and the UK: What was considered a duty of a state half a century ago is now increasingly treated as a service that can be provided for a fee. private police are often held accountable with structures that are associated with public police. while the public police concern themselves with making ’good pinches’ under their crime prevention mandate. a change in such notions will also change the way police work is valued and reshape the concomitant accountability structures. and not actual accountability that is found by observing social interactions. the vast majority of social control exercised by the private police is accomplished with the compliance of subject populations and is organized far outside the purview of state intrusion. 16] Both Marxian and Focauldian scholarship have been exploring the value of private police through their respective philosophical positions. the literature on policing has primarily viewed the evolution of policing from an etic and philosophical position as opposed to a grounded emic view. However. This binary understanding of how security is organized elicits conclusions about the nature of private security that cannot account for its multiple manifestations.  Background expectancies arise from traditional notions of police work and its value. as Rigakos points out in a critique of Shearing and Stenning: Thus. Stenning argues that this is rather problematic. This has resulted in frameworks that distort the social context by superimposing a political position with little historical or cultural accuracy. those assessing accountability of public police “frequently overstate” their case by focusing on theoretical accountability.
337] This creates a disjuncture between the evidence on the ground and the emerging theory. 114] The object of our study in the previous chapter. Although Rigakos [49. Indeed. 10] of a private police force situated in the context of certain Canadian neighborhoods. but which are not applicable (at least not in the same way or to the same extent) to the public police. [49. . Rigakos’ work on Canada’s private policing agency. 16] faults Shearing and Stenning for promoting a “binary understanding” of public and private police which is unable to account for its multiple manifestations. Classiﬁcation of such bodies is diﬃcult because of the wide variations between them.44 CHAPTER 3. uniformed forces. The value of police work thus remains an open question that needs to be reconciled through an emic analysis that will help explain how the police acquire their motives. [31. However. is perhaps the ﬁrst ethnography of private policing in North America. The existence of “hybrid policing” has been pointed out by Johnston . DISCOVERING EMBEDDED VALUES IN CULTURE accountable. many of which are ’hybrid’ organizations whose formal status and operating territories cut across the publicprivate divide. We must understand policing not only in the context in which it occurs but also from the perspective of those who do it. Such a reconciliation is necessary to explicate the observation that private police systems eventually reemerge in spite of sporadic eﬀorts to outlaw their existence. Policing organizations do not necessarily ﬁt into the homogeneity of capitalist or governmental modes of operation. Rigakos reduces a much richer social process to an economic process. the Stanford police department. 25] While the ﬁrst part of the postulate is a guiding principle of this ethnographic research. there have been very few attempts to bridge this gap by providing an emic perspective through the ethnographic tradition. . . he too falls into that trap by creating a binary distinction on proﬁt that does not account for the heterogeneity of policing. and such a ﬁlter causes distortions when superimposed on ethnographic data. Others consist merely of agents with the right to exert speciﬁc legal powers in given situations. Shearing and Stenning  provide some ﬁeld data on Disneyland where they point out how every staﬀ member performs a policing function and helps to maintain order on the premises. is a hybrid organization that gets its police powers from the Santa Clara County Sheriﬀ’s oﬃce. Rigakos’ most cogent postulate is problematic: Private security must be understood in the context of its existence. as a proﬁt-making enterprise under the capitalist mode of production. Intelligarde’s oﬃcers don’t talk about themselves in a Marxian fashion. Intelligarde. the second part suggests a Marxian ﬁlter that is used to interpret ethnographic ﬁndings. while the .” [59. While this is an important contribution to our understanding of private police. who describes it in the context of England and Wales as follows: This ﬁeld (formal policing) comprises a complex morass of agencies. Some are organized. He provides us with a “thick description” [18.
Infact. the data collection methods were primarily ﬁeld observation and interviewing over a period of a year (2006).1). Figure 3.1: The Ethnographic Research Method It is important to note that the process of an ethnography is a circle. The ethnographic research method consists of several steps. I’ve also attended the planning and execution of security arrangements for a “Back from the Dead” Halloween party in 2006.2 Research Methods Our main research tool in this chapter is ethnographic analysis. it is often the norm to discover the best questions that can be answered from the data after the data has been collected. VALUE RHETORIC OF PRIVATE CAMPUS POLICE 45 funding comes from Stanford University.3.2. Field Observation involved going on ride-alongs. I went on four ride-alongs. I’ve attended two formal brieﬁngs and also covered . Diving deeper. there was a broad interest in the values of the police department. but the questions were crystallised much later. 3. In the case of this study. two of which were during the day and two of which were at night. attending brieﬁngs and large-scale community events.2. What do members of this organization value? What motives do they exhibit? Where do these motives come from? What is the rhetoric they use to describe what they value? This chapter will address these questions through an ethnography. It is not necessary to start with the question. which are followed in an iterative fashion (see Figure 3.
Table 3. This code was a combination of the ﬁrst-pass codes under roles in the table above.” I hoped to get perspectives from diﬀerent actors in the police department. they ﬂagged types of actions and actors as displayed in Table 3. Paperwork administrator. By transcribing the interviews from the audio records and my ﬁeld notes.” my intention was to validate what I heard in the interview with action on the ground.1. On ride-alongs. The Sergeant was interviewed twice in the same quarter. informer. Newspaper articles that either capture historical events at Stanford or provide an interview with key police functionaries . Using this tool. there’s so many diﬀerent hats you have to wear. report writing.1: First-pass Codes Actions Roles Bike stop. this job is so diverse. For instance. I assigned ﬁrst-pass codes (or initial categories) to the transcribed data. By pursuing “methods triangulation. were then created sometimes by combining several of the ﬁrst-pass codes. ride-along. It emerged in-vivo from an interview with a sergeant: You know. DISCOVERING EMBEDDED VALUES IN CULTURE informal brieﬁngs in the parking lot. There were two broad classes of ﬁrst-pass codes . a qualitative data analysis tool. enforcer triage. “Fit” was about ﬁtting in with the culture of the department. I’ve also interviewed two Lieutenants and one Sergeant separately.they have to wear that hat and have to learn how to operate in that mode. talking to victims. writing tickets. Through “data triangulation. While researching the history of the SUDPS. I have relied on the following: 1. formal training.actions and roles. I took notes on paper. I used “extended ﬁeldwork” to observe stable patterns of relationships. patrol. which were less purely descriptive. “diﬀerent hats” indicated that police oﬃcers had multiple roles that deﬁned their professional work. formal brieﬁng. and setting up an arrangement to conduct the study for at least two more years. The ride-alongs were opportunities to interview deputies.  The data analysis was done through Atlas-TI. informal brieﬁng Second-pass codes. educator. I used Microsoft OneNote on my laptop and a digital audio recorder. I tried to reduce my reliance on recollection. two weeks apart. Initial codes were primarily descriptive labels.46 CHAPTER 3. often sketching the scene of action. I have also used a camera to take photographs of equipment and oﬃcers in action. community interaction. By visiting the police department over the past year. When attending briefings. Then. trainer. I look at it as . I built a network graph (see Appendix A) of the codes which helped me distil some more second-pass codes. “Negotiating roles” was about switching from one role to another.
Interview with John Schwartz. Those riots weren’t taking place anywhere else. People who are aware often evaluate such policing in light of their conception of a public police force employed by a city or county. who was on a break from the candy business on advice from his doctor. Interview with Marving Herrington. . A big part of ethnographic research happens during writing. police chief Laura Wilson told the audience: We are sort of seen as second-tier law enforcement at times. and the process was iterative.3. Video of a talk on the police department given at Stanford by the current chief of police. Technically.3 SUDPS: History and Operations People who have not attended a university are often unaware that colleges and universities can have their own police departments. coded and analyzed. “Oh. It is neither fully private. The earliest records of Stanford’s Police Department are from 1928 when it was a traﬃc department with one patrolman. SUDPS: HISTORY AND OPERATIONS 47 2. . founder of the current police department and chief of police from the early 70s until 1998 4.3. where the phases are visited in a non-linear fashion. The reading stage was undertaken after the data had been collected. you know it’s a hub. intellectual banter and discussion. . February 4. 1930 . The Stanford police department is oﬃcially known as the Department of Public Safety. all sworn oﬃcers of the department are reserve oﬃcers who are deputized by the Santa Clara County Sheriﬀ’s oﬃce. who 2 “John Olsen resigns as Campus Cop. Laura Wilson 3. Rather. . The ethnographic method will receive some more attention again toward the end of this chapter. Colleges attract a certain element of .2 Olsen returned to his business in 1930 to be succeeded by Gordon Davis. unfortunately sometimes it generates violence. it has the attributes of both types of policing. Professor of Physics who advised the President of Stanford University during the student disruptions in the 70s and was instrumental in the formation of a deputized police department I have relied on extant literature to draw comparisons with the public and strictly private police.” The Stanford Daily. an Asst. This conception leads to speculation around a campus police force having enough work. You know. you’re on a college campus. The police department is aware of this perception. nor public. John Olsen. I actually think in some ways doing law enforcement on a college campus is even more diﬃcult than doing it in a municipality. especially on a campus like this. What happens there?” You just saw what happens on a college campus (she had just shown pictures from the riots of the 60s and 70s on campus). . In a talk on campus. 3. The answers were formed prior to formulating the questions.
remarked later. DISCOVERING EMBEDDED VALUES IN CULTURE went on to build up the department until the ﬁfties. of which 8 were patrolmen and two were night watchmen. This period was traumatic for law enforcement in general across the United States due to the Civil Rights movement. . It was just a very. and there wasn’t much we could do about it.  Things got worse with the Vietnam war.” David continued. The Cambodia spring was the most thoroughly disrupted period. Most of the disorders were initiated by a routine incident involving the police.”3 The interview provides a glimpse of how the chief thought of the department: “We are part of Stanford. one event of note was the stealing of a ceremonial axe at the Big Game with Berkeley. The department had “seen everything from parking violations to murder. leading to the severance of ties with the Stanford Research Institute (SRI) which was then sold oﬀ. The late 60’s brought far more serious problems than stolen axes. The President of Stanford University at the time.”  3 “Chief 4 The Davis recalls 17 seasons on Farm. Davis gave an interview to the Stanford Daily upon completing 17 years of service in 1947. troops into Cambodia in April. The police thus. but we can’t do anything to help you. Our eight patrolmen and two night watchmen are not in conﬂict with student government. It was common to see police oﬃcers from other police departments wearing riot gear on the Stanford campus trying to control protesters. Watts. In Watts and Newark the riots were set oﬀ by routine traﬃc stops. very rough April and May. Police actions were also cited as contributing to the disorders. I remember the then police chief (Tom Bell) putting up a notice saying “If you can’t get to your oﬃce. and a lot of people were hurt. One person was even shot in the leg. Direct police intervention had sparked the riots in Harlem. S. after President Nixon ordered U. November 11. The police were called to campus I think 13 times in two months. In Detroit a police raid on an after-hours bar in the ghetto touched oﬀ the disorders there. Riots engulfed almost every major city between 1964 and 1968. the department had 11 staﬀ members including the chief. “If the department were to be called in by the students for aid in an acute problem.48 CHAPTER 3. working with the students. At that time. became the focus of the national attention. Newark and Detroit. and a general strike closed the university pretty well down. 1947 trustees of Stanford University decided to sell SRI with no restrictions in early May 1969 . “we would lend a hand quickly. There were several protests by students around Stanford’s involvement with military research.4 Many campuses across the United States were hotbeds of anti-war activism. . try to identify the people who are preventing you from doing so and turn their names in. but work with it. The Spring of 1970 was infamously referred to as Cambodia Spring. Richard Lyman. .” In the pre-60’s era.” The Stanford Daily.” he (Davis) said.
” The Stanford Daily. so get ready. an Assistant Professor who advised the President during the disruptions. The University started to push for legislation that would allow private campuses to upgrade their police from security guards to full “peace oﬃcer” status. if you’re going to mobilize that many peace oﬃcers and get them all together and then bring them to the staging area and coordinate a bus. as much for the sheriﬀ’s department as for the University. [44. In Schwartz’s words: The idea was to get a small number. 1971 7 “State College Oﬃcial to Head Campus Police. 2 or 3 uniformed (we felt that the uniform makes a diﬀerence) peace oﬃcers at the early stages. you’re looking at hours and hours. John Schwartz.”7 Herrington was heading security operations in 19 state colleges at the time he was recruited.5 An interim chief. July 23. They either mobilize a few bus loads of their tac squad in riot gear or nobody comes.3. The people who began it are no longer the people who are running it. The University realized that they needed peace oﬃcers to communicate to students that they would be arrested for violating the law. and it did not work to say in advance. William Wullschleger.” The Stanford Daily. It was provocative to the students. look. Because. 22] Asking for help meant calling the Santa Clara County Sheriﬀ’s oﬃce. . look. if there is a disruption the sheriﬀ is not going to send three uniformed deputies. July 16. “Well. SUDPS: HISTORY AND OPERATIONS 49 Stanford was without a chief for four months after Chief Tom Bell left the violent campus atmosphere in disgust. at the time. At the same time. When Herrington came in. 1971 Chief Named. It became extremely diﬃcult. as I said earlier. May 12. 1971 . an oﬃcer with a good reputation who had developed Northwestern University’s “eight-man security group . these things become more and more entrenched. It was costly for the sheriﬀ’s department. very early stages. into a highly-trained 40man police department. we believed it could be diﬀused. . The diﬃculty was that it was an all-or-nothing response. they wanted peace oﬃcers who would not treat the situation as a battle zone and do their best to avoid arresting students. the university had been negotiating with the Sheriﬀ of Santa Clara county to obtain peace oﬃcer status for the SUDPS. remarked. In that. 5 “Campus 6 “Police Police Bill Argued In Assembly.” The Stanford Daily.3. we know there’s going to be an event on the campus that could produce diﬃculties. was appointed6 while the university searched for a permanent appointee to help build up the department. It was a very diﬃcult thing to do soon enough. That is to say. The search ended with the recruitment of Marvin Herrington.” Police departments don’t work that way. of some disturbance. It’s frustrating but understandable. hour by hour.
legally. Through the MoU. DISCOVERING EMBEDDED VALUES IN CULTURE Herrington joined Schwartz and other University oﬃcials in negotiations with the attorney general to let the department hire peace oﬃcers under strict professional standards. And at that time. the department exists on the basis of an attorney general’s “opinion”8 that a private institution can pay a government agency for reserve oﬃcers. . its against the law. . But the job itself. But it was established at a time when it was chaos . This MoU is unique to Stanford University and has a careful description of powers and requirements that allows the department to function in the university. they would tell us what services they wanted. I can’t tell the police not to arrest somebody. Don’t let the police do this. pay us. really.” He says. look this student up and tell me if he’s got a criminal records. the Attorney General in 1973. the attorney general at the time agreed that he would essentially approve that a private entity such as Stanford could pay reserves to work for them. That’s a big step for a university. .9 They agreed to hire us. “Is it alright to arrest this person or not?” The ﬁrst time the administration knows about an arrest is when it’s on the sheet when any newspaper can come and look at it. “I can’t do it. the university became more and more comfortable with it. the University promised to abide by all the rules and regulations that were deemed as requirements of police oﬃcers by the Sheriﬀ’s oﬃce. Police records at Stanford are not open to the university unless they would be opened by a subpoena or a judge or the university is by virtue entitled to the information because they are party to some crime or something. I think that’s the reason it succeeded for thirty-some years because we made it very clear at the outset that this would be a standalone police department not answerable to the university in terms of legal actions. which then allowed the Stanford police department to exist 9 Vanderbilt University and University of the Paciﬁc are private universities with similar police arrangements where oﬃcers are deputized by their neighboring public police departments. And. In Herrington’s words: The key to that agreement is that the University did something that I don’t know of any other university that’s ever done this. Can’t do that. No.” .everything was . they’re a victim. . . it was a battleground.50 CHAPTER 3. this is something you can point to when the parent comes in and says “I demand you do something about that. the Sheriﬀ’s oﬃce would 8 Estelle Younger. This comment underscores the independent development of the Stanford police department. Thus. The President can’t call the police chief and say. Given the extraordinary situation on campus. What I told the President was. . and then as it developed. and in terms of the University. In return. The deputization process was also worked out around this time. I know there’s no private university that’s ever done this. . they don’t interfere with. . against the law. We’re not going to go in there and say. there is a bright line between records. recorded her opinion on this subject. Stanford signed a memorandum of understanding (MoU) with the Sheriﬀ of Santa Clara County agreeing to abide by the rules and regulations required by his oﬃce.
there’s demonstrators.” You look to the president as the owner. It is not my call. “Police Balk at Deputization Plan. Jul 18. The training now runs for twenty two weeks. But once we’re called in.3. as a public police oﬃcer.” which exposed the chief to their research about lasting organizations. SUDPS: HISTORY AND OPERATIONS 51 deputize Stanford police oﬃcers and give them the same powers as any public police oﬃcer. for all practical purposes. As a police oﬃcer. or you don’t want it done. we’re going to go in and arrest them. that’s not my property. So.” Herrington set about articulating the police department’s core purpose and 10 The Stanford Department of Public Safety Oﬃcers Association (SDPSOA) opposed the deputization plan and demanded federal mediation. but back then. Now it’s six months long. the acting owner of the university property. but initially. However.3. If you say. that was a whole ﬁve weeks. they come in and they sit down in the building and they are not throwing bricks through the windows. “So what do you want done? It’s your policy. ideas about what constitutes a viable and eﬀective organization began to seep into departmental culture from the world of business and consulting. So that whole group of folks that you saw (in a picture). Herrington explained policy decisions in an interview: (Say) we have a building takeover .” You may want to try other avenues before we’re called in. makes them very unhappy. “Do you want this to be done. So he actually took all their guns away.” The Stanford Daily. by Jerry Porras. he disarmed everyone and made everyone reapply. and you say. We wouldn’t even dream of doing anything else now. 1972. I don’t care. I think only about ﬁve people actually passed the new standards to be part of the new police department. “I want those people arrested and taken out of there. the Stanford Police operate independently and report to the Chief Financial Oﬃcer of Stanford University for business matters and to the President of Stanford University for policy matters. They are not damaging anything.” Because once you commit and say to me.” During the 90’s. Let me tell you. you can’t say “We don’t want to do it. New recruits to the department are sent to a police academy and are taught by trainers who’ve been certiﬁed through the Peace Oﬃcers Standards and Training (POST) organization or through the sheriﬀ. let them sit in there. taking a gun away from a police oﬃcer doesn’t go over very well. One of the conditions was that the new oﬃcers would have to attend a full police oﬃcer’s academy. Herrington had to take bold steps to make it a requirement. They are occupying. co-author of the book “Built to Last. The researchers exhorted that great organizations had a “core purpose. If you say they are trespassing and disrupting business. Herrington attended a talk on campus around 1994. I go to the President and say. . I’m gonna do it. The Sheriﬀ’s oﬃce has oversight on the SUDPS.10 Present chief Laura Wilson mentioned this in a talk: He (Herrington) came in and was alarmed by the fact that people didn’t have a tremendous amount of training.
We will project a positive and courteous image towards our clients and fellow employees. I had a hard time getting through that. six hours on the fourth and had the rest of the week oﬀ.” Well. I gotta deal with it. I’m doing him a favor. Because a standard work week is forty hours. fairness. The hallmarks of our service and conduct will be a dedication to the principles of honesty. There were twenty civilian support staﬀ and seventy ﬁve of what the department called “casual employees. “We’ll project a positive and courteous image toward our clients and fellow employees. you’ve got a lot better perspective. This document describes the department’s core values: We pledge to honor the spirit and letter of the laws we are charged to uphold. One of the words in here that was most objectionable. even though the number of buildings on campus had doubled since then. DISCOVERING EMBEDDED VALUES IN CULTURE came up with a document that is followed unchanged by the department to this day. it’s everybody you come in contact with. If you look at them through those eyes. Laura Wilson. Some of the senior people in the department didn’t want any part of it. This person has a problem. to be succeeded by the present chief. then they retired and were gone. Herrington retired in 2001 and was succeeded by Marvin Moore. he’s a client. who passed away due to a heart attack in early 2002. They argued back and forth with me but they just were against it. According to Herrington. Taking a drunk driver oﬀ the road.52 CHAPTER 3. This extract was pasted on the walls of the department and used during brieﬁngs by the chief to assess whether the department was living up to the core values. all oﬃcers received two hours of overtime pay each week. The fourth day was known as an overlap day and was designed to fall on Wednesday. They also did parking enforcement. was the reference to clients. The department had (as of 2006) 32 sworn oﬃcers. courage and courtesy. that I got a lot of negative feedback on. It wasn’t a police thing. Some of them didn’t accept it. We will strive to maintain and improve our professional skills and knowledge. The number of students had also increased. when one team of deputies signed oﬀ and . This was known as a “3 12” schedule.” The casual employees would be called in for special events and would wear a blue uniform as opposed to the khaki uniform of the sworn oﬃcers.it’s every drunk you pick up. It wasn’t easy to get the department to accept these core values. which is less than half the number of oﬃcers that Stanford employed in1970. But he’s not the enemy. We will dedicate our full attention to our duties to earn and maintain the public trust. when I deﬁned what a client was . The sworn oﬃcers worked twelve hours a day for three days. There were ﬁfteen Community Service Oﬃcers (CSOs) who performed traditional private security functions that included providing site security. Even if he bites me. The department also had a support services staﬀ for administrative activities. integrity.
There was a second rationale for this design. I noticed several oﬃcers on the sidewalk. As an oﬃcer explained it to me: Well. it’s not this one isolated bike stop but it’s this group for.” He explained to me that he wanted to check whether I had covered both ears. they would often have to extend their hours due to incidents that occurred toward the end of their shift. Since I had only one ear covered. But the activity around which they built their identity was what they called “education.1 The Rhetoric of Education An educational stop My story begins with a bike-stop that ironically. policing on campus requires that oﬃcers play a variety of roles. Although deputies were expected to oﬃcially work for twelve hours.” knowing their week is going to end quickly. you know. you know. Like elsewhere. Although I was slowing to a stop voluntarily. THE RHETORIC OF EDUCATION 53 another signed on for the rest of the week. So. the fourth day is only six hours long and oﬃcers ﬁnd it “refreshing. They routinely discussed events they had experienced over the course of the day. I was “good to go. every week. The next day. one of the goals is bike enforcement and education. you can’t simply say. stop!” He recognized me and said. “Yes. I will get to you tomorrow. to keep each other informed. we pick an area and I go out there too. we have someone that’s in custody. Hence.4.3. Oﬃcers might have to escort oﬀenders to jail and therefore extend their work hours. and then we all as a group do enforcement like you saw yesterday night. at the end of the shift.4. And I think it has more of an impact because. They found themselves enforcing laws and occasionally making arrests.” I made a mental note that there were several deputies on the sidewalk. By the third day of the work week. I was returning home from a talk on campus on my bicycle with a Bluetooth device on my ear that allowed me to operate my cell phone in a hands-free manner. He explained that they wanted to make an impact: Sergeant: My job as a supervisor is basically to lead by example. .4 3. instead of having them go out on their own.” 3. an oﬃcer rushed toward me. For instance. shouting. oh by the way. As I slowed my bicycle near a stop sign. oﬃcers spent a considerable amount of their time training new recruits and less-experienced colleagues. “Stop. So. They spent what they believed was a considerable amount of time completing paperwork. The overlap was designed to facilitate knowledge transfer between the deputies who would otherwise not meet each other. “Aren’t you the one who’s studying us?” I said. fatigue sets in. you know. involved me. I asked the sergeant leading the bike stop why there were ﬁve deputies with him doing the bike stop. which is illegal in California.
Not necessarily to always enforce things but provide an educational safety.stanford.” The Stanford Daily. cyclists claim a crackdown. However. But. we have the community outreach. instead of citing one and ten going by. He focused on eﬃciency and the need for an external motivator to compensate for an activity that was not liked: We tend to like doing bike enforcement together because you can cover more of an intersection and sometimes it’s easier to do it as a group because individually sometimes we have a harder time just kinda doing it ourselves. zip by. it’s not our favorite thing to do. While the oﬃcer was giving her a citation. 11 “Police target speciﬁc areas. security. it takes a while to cite them and check their bike and all that and so we do it as a group. that we put on. Like I said before. there is a unique thread between these two accounts. We talk to people and educate them. and it is the rhetoric of education. The same sergeant made this explicit to me: Yeah. I saw a bunch of other people run that same stop sign and the oﬃcer didn’t care. 2004.edu/article/2004/5/6/policeTargetSpeciﬁcAreasCyclistsClaimACrackdown May 6. For a lot of us. I saw my TA (teaching assistant) get pulled over for running a stop sign as I was on my way to her class. it gets us to do it. You know. . . the student’s academy that we do. we have community outreach and then we do enforcement and education. It was ridiculous. It may also seem that the department is after eﬃciency and wishes to catch as many oﬀenders as possible. The police chief was aware of the unpopularity of bike citations. doing enforcement and education in a problem area and I think the message gets across a little bit stronger. This view is embedded in their culture and their actions. especially amongst her oﬃcers.”11 Stanford police views themselves as educators although their job requires them to be enforcers. work it. crime prevention and those types of aspects. I got another account when I spoke to a deputy who was also on the bike stop. A Stanford Daily article on bike citations shows how the community reacts when oﬀenders zip by without being caught: Freshman Matt Shin complained. It helps us a little bit better to do the enforcement and. She pointed out in a talk on campus how bike safety was a priority for the department. DISCOVERING EMBEDDED VALUES IN CULTURE during a slow period for an hour.54 CHAPTER 3. We don’t necessarily stop and cite everyone. . “The other day. And our job is basically to educate people. it’s easier to attack an intersection. because you know that at night there’s a lot of people that will just. The focus on not letting oﬀenders zip by has less to do with eﬃciency and more to do with the desire to send the right messages to the community. . http://daily. apart from the organizational and work rhetoric. . (laughs) Group work makes it easier for the deputies to do something that they don’t like doing.
They would like to be catching the burglar or whatever. or “reactive work. So its not. when we hire new people I think its absolutely imperative that we create a culture. The chief made this clear in her talk: . oﬃcers from public departments tend to be overburdened with calls for service.3. The tone of such articles is captured in the excerpt below: Some students lament being cited for running stop signs on their bikes. or “proactive work.” leaving little time for seeking out violations. The department views law enforcement as a tool and not the end. Not Police Department In what is perhaps the most visible sign of their focus. And so. THE RHETORIC OF EDUCATION 55 I can tell you that most of my guys really don’t like writing bike cite tickets. And law enforcement is just the tool to do it. really. riding unregistered bikes or for biking with their headphones.2 Public Safety.stanford.4.” said Sherie Gertler ’08. it often causes resentment in the student community. And of those is that public safety is our goal.” Sergeant: So our job up here is to get the oﬃcer from another agency comfortable or immersed in how we do our function here.4.12 3. students at the receiving end of bike stops consider this activity to be petty enforcement. but bikes are a problem on this campus.” The Stanford http://daily. see how many bike cites you can write. we’ll bring new people in and we’ll talk about what is the philosophy of the department. “I mean. I haven’t really had to order anyone but I do make it an objective to try and focus on the safety aspect. worse things are happening in the world than a student listening to a little music on their way to class. Community 12 “Parking Tickets Frustrate Drivers. In particular. “The Department of Public Safety.” The chief explained the rationale in a talk at Stanford: I sort of stuck with the Public Safety name in part because I think it conveys more the message of what we’re trying to convey is that we’re public safety. (through our) operational goals. Feb 14. The department recognizes the uniqueness of their philosophy and expects new recruits from public agencies to take some time to adjust to their culture. resulting in critical articles in the local university newspaper. They would like to be doing something diﬀerent. the Stanford police department calls itself. . not law enforcement. We need to work on safety and education.edu/article/2007/2/14/parkingTicketsFrustrateDrivers Daily. 2002 . Although the department sees itself as educators. Bell reports a friend who received a $118 ﬁne for the latter oﬀense. . When such enforcement is carried out.
crime suppression would be very diﬃcult . that’s one of our functions. . crime suppression and professional development.5 Consequences of the Education Rhetoric The education rhetoric absolves the police department from having to worry about not citing everyone.56 CHAPTER 3. it provides them with a counter to critics who argue that they are being unfair or that they should be doing something else. So that’s why community outreach is very important to the students. Community outreach has now become an important mission for the SUDPS. dorms. Oﬃcers reach out to the community in a variety of environments to provide safety education: Sergeant: Another form of police work that we have here is community outreach. The citizen’s academy is an important facet of community outreach. bike enforcement. traﬃc enforcement. one of our objectives. Some initiatives include allowing community members to ride-along with a patrol oﬃcer and attending the citizen’s academy. Because it’s such a problem out here. meeting the community. Bike enforcement may not be a very important thing for someone coming from a very reactive department because they don’t have time for that. But here. ride-alongs are important where we invite students. Organize student groups like the cycling club. Those are examples of community outreach. There are lot of others. it could be meeting with various establishments on campus where they serve alcohol and giving them information and tips on how to prevent underage drinking because they’re a business establishment selling alcohol. meeting with dorms and student groups. Sergeant: And then. one of our priorities. .we did that once. they would be able to assist us in reducing the amount of crime. staﬀ. educating the community. the faculty and people that work here. forming alliances and relationships because without the help of the community. 3. They need to be trained on how to prevent serving alcohol to someone that’s under 21 . The oﬃcer that works in our department has to be comfortable and has to understand that those are very important concepts for us. primarily anyone from the Stanford community could participate in our community police (citizen’s) academy and they basically for 10 weeks are given training from 6:30 to 9:30 on various facets of what we do. staﬀ or faculty to ride with the oﬃcers to get an idea of what they see from the perspective or the view of the patrol car. . DISCOVERING EMBEDDED VALUES IN CULTURE outreach. and if we foster a good relationship with the community. We can’t be everywhere. It could be student groups. . Second.
sports tournaments or large parties. in this year. 2005. how’re we getting em over to the ER.” So they load up with alcohol before they get here and then. its not really an issue where we’re gonna arrest em.5. So. we’ve got ALS (Advanced Life Support). . Jr. Oﬃcer: If they get a person who is so drunk. The department has Special Events Oﬃcers (SEOs) who are responsible for working with the community in planning the security for such events. student organizers. its more.” or minors in possession of alcohol. there could be “MIPs. President Henessy had allocated $10. so it wouldn’t become a problem down here. they start to feel the eﬀects.” These could be political dignitaries visiting the campus. However. they know there’s no alcohol being served or allowed at this event. On October 26. . We got transports? Student2: Yeah. I think the term’s called “front loading. This became the basis for setting a party ground perimeter. . These areas would then have entry barriers where the organizers would check the IDs of party goers to ensure they were Stanford students.5. In order to plan the security. maybe two others walking by will get rid of their alcohol. or areas that were could be dangerous due to a lack of lighting in the night.3. a Fire Marshall. identifying areas from where most people were likely to enter. This was an event that had been cancelled or stopped in previous years due to complaints from the Palo Alto neighborhood about excessive noise and lack of funding. Students could also “frontload” as the oﬃcer explained to me: What students are going to do. at the Stanford Mausoleum which holds the remains of Leland Stanford. The special events oﬃcer went about identifying hotspots. what we try to do is be more aggressive to the pedestrians who’re walking in . The meticulous review of the security included identifying other departments that had to be notiﬁed of the event. He further clariﬁed his concern in a conversation with the student organizers. He went over the property.if I call out one. There’s a potential for hazards. The organizers had already come up with a plan to assist the oﬃcers in maintaining security at the event by assigning sober monitors who would wear bright glow sticks around their neck to identify themselves. So what they do before they get to the event is that they start drinking. Student1: We’re going to have student sober monitors helping out with the event. Inspite of this being a “dry party” where no alcohol would be served. the Director of Student Activities and an SEO in plainclothes met up at the venue a few days before the event. Stanford students organized a “Back from the Dead” Halloween party.1 Uneventful Events An activity where education comes into play is what the department calls “special events. by the time they get here. a sober monitor will help you if you need help. They will direct them down or take ’em down or they can alert an SEP (Special Events Patrol). CONSEQUENCES OF THE EDUCATION RHETORIC 57 3. there’s issues.000 from his discretionary funds for the event.
Third. DISCOVERING EMBEDDED VALUES IN CULTURE The police try to get in the way of these “front loaders” in unexpected locations. his handcuﬀs were removed and he was seated outside in a chair. which tends to be busy. this kid was pulled over the previous week in another incident where his friend was involved in a ﬁght and the arresting oﬃcer recognized him. both were taken to the hospital as their condition did not improve.5. Eventually. the totality of circumstances outweighs the particular. The other student was put on a chair and had identical behavior. the baton and the knife were all in the trunk of the car. When their trunk was searched. There were three oﬃcers involved and they had a conference in the ﬁeld and decided to refer the case to the District Attorney (DA) instead of making an arrest. and this arrest was happening on a Friday night. the totality of the . they were carrying a police baton that only the police were authorized to carry. Like I said. the guns were found to be either toy or air guns. they had a switchblade knife with a blade longer than two inches. This is because there is no jail on campus and oﬃcers need to transport violators to the Santa Clara county jail.” 3. “a successful event (for the police department) is an uneventful one. The oﬃcers requested a few community volunteers to help the students so they could be free to handle other emergencies that might come up during the party. Front loading is a dangerous practice as people who are not regular drinkers can become unconscious due to “alcohol poisoning. However. The key word is the “totality of the circumstances. the oﬃcer would write an MIP citation. Event planning is thus an activity where the student community learns about public safety and leverages the experience of oﬃcers who have been around for a few decades.” At the party. The gun. I observed two front loaders who had to be carried out by the police after having collapsed at the party. Second. the oﬃcers found several guns. he started vomiting. Immediately. But the moment the student got inside the car.2 An Arrest that Wasn’t During a ride-along. In the words of the SEO. we’re short staﬀed right now. and so the owner of the car was liable for arrest since the car held the illegal property. He’d be away for a long time.” So. We had lots of parties going on and the manpower would take one oﬃcer to be dedicated to book him and transport him down to the main jail on a Fri night and San Jose is pretty busy. I witnessed a vehicle stop that evolved into an arrest. which was also a violation. they had an air gun with the ordinance removed. First. there were three violations.58 CHAPTER 3. Escorting the arrestee would take the oﬃcer oﬀ-campus for at least two hours. The oﬃcers initially considered arresting the two for their safety and put one student in the car. On closer examination. The occupants of the vehicle were young kids high on marijuana. In the words of a deputy on the scene. He then continued to vomit and mumble incoherently for over an hour. An oﬃcer pulled over a vehicle for an illegal u-turn. Moreover. Three of them were white and one was black. The paramedics on call veriﬁed that this wasn’t an emergency. If the front loader is a minor. which violates university law.
what was the company? Kid: SelfDefenseProducts. I don’t get that impression. so we would go ahead and process and take him to jail. the totality of the circumstances. all the information over the report and let it go to the DA for their review and then the DA will conﬁrm to proceed with the judicial process on that violation. he’s not an immediate threat to society with the baton. What we do is. CONSEQUENCES OF THE EDUCATION RHETORIC 59 circumstances needs to be weighed. Oﬃcer 2: Did they ﬁgure out how they got the baton? Oﬃcer 1: Yeah. right now. so he thought it was legal. Oﬃcer 1: You’ve known me right? I was the one talking back there. He also recognizes the kid from a vehicle-stop the previous week when the kid’s friend was involved in a ﬁght. or to take him downtown to county jail to book him in for that charge and the deputy will come back and complete the same report. there is a process where we go ahead and take a whole report. ok? There’s no other reason why it’s used. immediate threat to persons and property. It’s the totality of the circumstances. See what I mean. This isn’t appropriate.5. So. by the car. This is only to be used for self-defense. the oﬃcer clariﬁed: Let’s say. under the circumstances of the violation. He’s openly admitted how he purchased it. They were instead interested in assessing whether the kids they were dealing with were an immediate threat to society. There is a unique dynamic in play here.3. Oﬃcer 2: Your mom is saying that you guys were all wonderful (the kid’s mother arrived at the scene and spoke to the oﬃcers). he had burglarized a vehicle and when he was stopped. When I asked how the oﬃcers would draw the line on when to make an arrest. That’s why it’s illegal to have. right? With your friend. After all. The oﬃcers were not interested in making another arrest just because they could do so. You accept . a nuisance or a liability. Oﬃcer 1 has just ﬁnished reading out the crimes as per the laws of the state of California. they say they got it through email. they had been cooperative in the entire process. And you don’t ﬁt the need for that. The severity. the educator hat went on. He was using it to ride (in). Oﬃcer 3: There’s only one thing why that is used.com Kid is silent from this point until the end. he had that in his possession. I mean. and the oﬃcers explained the consequences of future bad decisions. Oﬃcer 2: It is legal if you were using it as part of a martial arts class and taking it to and from the class. It was a hot call. Once this assessment was made.
So lets put a twist on it. Lets go ahead and do. Oﬃcer 2: The (arresting) oﬃcer’s using some discretion with you. you keep this kind of negative context. and your job is to deliver pizza on the campus. 3. what will happen to your job? (Pause) Alright? Oﬃcer 2: Obviously. We have Sigma-Chi. . All those are having parties. Because you want to show a presence. When you can’t deliver here anymore. the last time we stopped you. We have all these parties on Mayﬁeld and Maples. oﬃcers routinely make what they call “triage” decisions. somebody has a lot of stitches. where they let minor oﬀenders oﬀ with a warning and preserve resources for a more serious violation. just so you know. you take your baton out and the next thing you know. now we got a small history. Then what happens is you can’t deliver here anymore. one thing led to another. he can put you into jail. Oﬃcer 3: A stay-away letter will say that you are not allowed to come on campus because you’ve been involved with history to disrupt campus activity. bad decision to make. one of your friends got into a ﬁght with someone. Sigma-Nu. you know. Lets say that’s an active gang area right. oﬃcers like to make their presence felt by explicitly looking for small violations as an excuse to make contact and provide a message of safety.3 High-Visibility Patrolling On party weekends when the quarter is in session.. you get kicked out. They call this tactic “high-visibility patrolling. So . The ability to triage also lets them make soft pinches. he explained it to me as follows: So what I’m going to be performing here is I’m going to do high-visibility patrolling. but.5. the oﬃcer is using his discretion. all drinking. On a general note. The educator hat enables oﬃcers to value the big picture diﬀerently from that of making “good pinches” and make triage decisions that aﬀect their ability to meet the University’s security needs. the bob house and lets see what else. and you weren’t driving. If it continues. the University is going to put together a stay-away letter for you. .” While I was riding with an oﬃcer.60 CHAPTER 3. DISCOVERING EMBEDDED VALUES IN CULTURE responsibility if someone is drunk and driving your car. What high-visibility patrolling is for. drugs and alcohol. like lets say you’re in a gang area. Oﬃcer 3: Also. And the other thing is you go to parties. you’re stopping everyone and everything for anything you can. That may not be your initial plan but emotions run wild. And then you go to your car. you get all pissed oﬀ at the Stanford students because they kicked you out of the party and they go after you and they start chasing you. ok? Tonight. Technically. He has decided to have the DA review the case.
they’re out there so don’t be drinking and driving. what do you wanna prevent from coming out of that house. After running the license through and ﬁnding a clean record. Van Maanen provides this account of an asshole [65. DISCUSSION 61 when you have parties that involve people drinking. . In a classic description. Soft pinches are made because oﬃcers are more interested in preventing crime than citing or arresting people for minor violations. 228]: Policeman to motorist stopped for speeding: ”May I see your driver’s license.. As we lay in wait. . A “soft pinch” aﬀects receivers and their social networks but does not leave a mark. on to the streets? You want to prevent DUI (Driving Under Inﬂuence). ok? Drive safe. .6. you want to prevent ﬁghts and then you want to set a presence.” Mills writes.1 Discussion Vocabularies of Motive The Stanford police shape their view of themselves based on the context and the contingencies that their environment throws at them. the Stanford police tend to use what I have termed. Their motives come from background expectancies that arise from what Mills  calls “situated action. a car coming from the opposite direction made an illegal u-turn. parking in a shaded spot while keeping the engine running.” .” when they act as educators. jammed his foot on the accelerator and pulled the car over at a nearby parking lot. 3. Immediately. please?” Motorist: ”Why the hell are you picking on me and not somewhere else looking for some real criminals?” Policeman: ”Cause you’re an asshole. 907] Van Maanen’s  vocabulary of motive describes police subculture through their dependence on the stereotypical “asshole” to justify their existence. While the “good pinch” is hardly good for the one receiving it. be safe out there tonight.” Because my aim is education and prevention. that’s why. Applying the tactic involved turning oﬀ the lights. you want to “barren up” because the cops are looking on the stopping.6.6 3. “Oh. the oﬃcer turned on the lights. Shearing and Stenning  point out that public police focus on “good pinches” (or arrests) while private police focus on “snowﬂakes” (or notices of risk to property). everybody. ok? Just going to give you a warning. I’ll appreciate a little bit. “soft pinches. “A motive tends to be one which is to the actor and to the other members of a situation an unquestioned answer to questions concerning social and lingual conduct. the oﬃcer put on his educator hat.” [41.3. but I didn’t know that until you opened your mouth.
This molding may be attributed to the private nature of a university-funded department with a “client-deﬁned mandate” . More critically. there is a danger of concealing the situation associated with it and thereby compromising the validity of the generalization. oﬃcers normally do not use the term “asshole” and their vocabulary of motive is quite diﬀerent. DISCOVERING EMBEDDED VALUES IN CULTURE Van Maanen further categorizes police actions in a useful table. This is a far cry from the interaction with the “asshole” that Van Maanen describes. which seems to hint at an education rhetoric. To simplify these vocabularies of motive is to destroy the legitimate use of motive in the explanation of social actions. At Stanford. . it is important to be mindful of Mills’ sage advice: What is needed is to take all these (disparate) terminologies of motive and locate them as vocabularies of motive in historic epochs and speciﬁed situations. 233] Teaching techniques mostly involve threat. They see themselves as educators and are distinctly uncomfortable when viewed as enforcers alone. What makes this account even more cogent is that it involved people who were not from the Stanford community. .  . Van Maanen suggests that teaching is a ”prominent position in the police repertoire of possible responses. The education culture of Stanford situates the police department and molds its values. DOES THE PERSON KNOW WHAT HE IS DOING? YES COULD PERSON THE ACT YES A Castigate NO B Teach DIFFERENTLY UNDER THE CIRCUMSTANCES? NO C Ignore D Isolate Of particular interest is Cell B.” [65.2). In the arrest story presented earlier (see subsection 3. the exchange exempliﬁes the education process in action.62 CHAPTER 3. ”the person in this category will remain an asshole in the eyes of the police until he has apparently learned his lesson to the satisfaction of the oﬃcers on the scene. .5. ridicule and harassment. As a new vocabulary of motive is discovered. It may also be due to their existence in a campus environment where the public is composed mostly of educators and students oriented toward providing and receiving education. Here a display of remorse is no doubt crucial to the police. Van Maanen’s conclusion needs to be situated in the context of a diﬃcult neighborhood (Union City) and a public police department during a period of severe anti-war protests where the police were largely seen in a negative light.” In the process of generalizing motives.
I am going to solve it on the beat. If I can solve this problem without going to jail. I started on a small town. the focus of attention shifts from discovering and blaming wrongdoers to eliminating sources of such threats in the future. The communities policed by both Intelligarde and the SUDPS question the work of these agencies. The breaking point is somewhere around 50. Of great relevance is the turmoil of the early 70’s that led the administration to realizing that they needed a department that would be sensitive to the fact they were located within a university.” If it’s a busy night. there could be other attributes that explain the motives of the SUDPS.6. So.. then that becomes a diﬀerent place. they had to be arrested but if there was some room to work it out. the SUDPS has the power to make arrests and the community does not usually resist the authority of the police department. Oﬃcers in the SUDPS try to look at the ”totality of the circumstances. The expectancies of a police department situated on a campus are far from those of a public police department in a diﬃcult neighborhood during a politically sensitive period. At Stanford. Van Maanen’s ﬁnding is not invalidated by my research. But it was understood that if somebody had to be arrested. For instance.3.” The history of the SUDPS sheds some light on where the motives come from. then I’m going to come down on . 501] about private police: ”. Van Maanen’s Union City police department study needs to be situated within its own epoch and situation. DISCUSSION 63 Indeed. The involvement of Chief Herrington in the process of forming a professional department with the University oﬃcials contributed to ensuring that the department didn’t lose sight of this requirement. the questioning is of an altogether diﬀerent nature. You do the same thing. I know you and you know me and I’m going to see you everyday because this isn’t that big a community. Nobody told me to do that. And both of them diﬀer from the expectancies of a private department that derives their entire power from trespass law such as the Canadian police agency. Rather. instead of a ”good pinch” that does. Intelligarde’s constituents don’t treat the agency as ”real police.. Intelligarde is unable to do very much when this happens because they depend on the public police to accept the arrest. a diﬀerent kind of policing. or the oﬀender has a clean record.” They resist arrest and challenge the authority of the oﬃcers. This helps conﬁrm Shearing and Stenning’s observation [54. it is very common in most smaller communities. the community does resent the focus of the department on bicycle enforcement and expresses its resentment through articles in the campus newspaper. Intelligarde. where I’d have to be gone for two to three hours and then come back and I have to go to court the next day.000. However. size of the jurisdiction could have a relevance to the culture. and yet operate independently and professionally. as Chief Herrington noted about soft pinches in an interview: Even though this is not talked about. which does not always happen. However. I had to go 40 miles to jail. they prefer to give a soft pinch which doesn’t leave a mark. The other advantage is . But.000.you tell that person. if you do this again. A city gets bigger than 50. However.
they usually draw on private and corporate power. There is a sense of belonging amongst the oﬃcers in their study. In those cases in which the principal objective of the clients is not the making of proﬁt (e.that is. The proactive approach has been particularly pronounced in the case of private policing. A high level of personal belonging could be expected in small communities like Stanford and non-urban settings and this could be an important factor explaining the policing style. however. Shearing and Stenning note: Private security is most typically a form of ”policing for proﬁt” (Spitzer and Scull. and have all the public police powers as well. Hence. Christensen and Crank. The fact that private security emphasizes loss prevention rather than retribution does not mean that sanctions are never employed.g. some of (which) they do through us. But I don’t think it’s restricted to universities at all. “holiday” carries connotations of free time which do not ﬁt the evidence presented by Christensen. or entertainment) it will be that objective which will shape and determine the mandate and activities of private security. A high level of personal belonging would correspond to a more relaxed style and a low level of personal belonging would correspond to a more aggressive style. rather than state power. I subsequently felt that that’s part of the Stanford student’s education. in their ethnographic analysis of non-urban police patrol activity. Another similarity with Christensen and Crank’s study is “deterrence” which corresponds to high-visibility patrolling. I never thought of it as teaching at that time. which is seen in this study as well.[7. policing which is tailored to the proﬁt-making objectives and its corporate clients. This sense of belonging makes the oﬃcers feel at home in the communities they police. and thereby promote public safety from a proactive perspective. where the client’s principal objective is to provide health services. Shearing and Stenning note. a more precise characterization of policing style would be the level of personal belonging in the community that is felt by oﬃcers. DISCOVERING EMBEDDED VALUES IN CULTURE you like a load of bricks. The private policing literature also points out the client-focus of private police. When they are invoked. However. However. It’s that teaching kind of thing. The aim is to prevent situations where the police would have to become enforcers. they diﬀer from a purely private police force in that they are deputized by Santa Clara County. education. 501] Stanford’s police department does focus on deterrence and loss prevention. The Stanford police see themselves as an extension of the University with the goal of educating students about public safety. . 83] The word “holiday” refers to a more relaxed style where oﬃcers do not ﬁnd themselves in a war with Van Maanen’s stereotypical asshole.64 CHAPTER 3. observed a “highly discretionary style” which they characterized as a “holiday style” as opposed to an “aggressive style” that can be found in urban police departments. 1977:27).[54.
3. the J-K Police got to know that 39 boys from Sopore and adjoining areas were joining a militant outﬁt and were ready to leave for basic arms training in north Kashmir. Kashmir. However. described in a recent interview. In January.6. there may well be contexts other than a university setting in which police at times view their role as educators instead of enforcers. This is a new tactic to halt militant advances in Srinagar city and police say it is working. the regional police chief has called for a reduction in military presence as the militancy is now claimed to be “outsourced” by foreign militant groups to local Kashmiris and hence can be handled by the police department. had been motivated into participating in a grenade attack by a group of Jaish-e-Mohammed militants who had befriended him. it diﬀers from Shearing and Stenning’s persepctive in an importanty way . Mir Imtiyaz Hussain.” he was told. Hussain says recruitment by the militants has dried up in his area and parents are keeping a strict vigil on their wards.3 Understanding the Experience of Education From the ethnography. Sopore. as opposed to being limited to the one who pays for a service.” After two months. “Call their parents. Police arrested the man but released him after they were convinced this was his maiden brush with militancy and his parents promised he would never get involved in such acts again. immediately contacted his superiors hoping to get a go ahead for their immediate arrest. The Srinagar Police were rattled when its investigation into a deadly grenade attack outside the Akhara building in Budshah Chowk led them to a young man running a PCO (telephone booth) nearby. talk to them and persuade the boys not to take to the path of violence. Education is an integral part of the raison detre of the Stanford police department. The police believe that they . including those they arrest. with no earlier militant links. especially those in the right age group for intake into militant ranks.6. Education is not just a tool that helps improve public safety outcomes. it is more fundamentally an identity for the police oﬃcers who see themselves as educators. are suggestive of soft pinches. But this time the orders were diﬀerent. For example. DISCUSSION 65 Stanford does share the objective of education as noted above. in one of the major ﬂashpoints in the world. This perspective makes them emphasize.a client is deﬁned as anyone the police interacts with in the course of their business.2 Applicability of Soft Pinches While context is always very important.6. we have learned that the SUDPS cares about education in addition to enforcement. which has been hit by a long insurgency since the 1980s. 3. SP. “No raids and no arrests. 3. that even those they arrest should be treated with dignity. The man. The methods of the Srinagar Police. as Herrington pointed out earlier.
This is what the police chief does currently in an informal manner. (See 4. a critical ethnography would make the researcher judgmental and introduce biases on discovering sources of value. Simon and Dipplo  point out that the underlying interest in a critical ethnography is “both pedagogical and political.” According to them.66 CHAPTER 3. but also educate students about respecting the law and staying safe. The Marxian frame of identifying a “hegemonic culture” reduces the rich interactions of society to a binary dimension of hegemony and non-hegemony. this application of ethnography diﬀers starkly from what is referred to as a critical ethnography.5. We shall have more to say on this when we introduce value diagrams and try drawing a value diagram for the police chief. In particular. As decision analysts. Our goal is not so much to further social science theory. 13 see the concluding part of subsection 3. 2] The contradiction noted in Rigakos’s work13 is manifested in these views. Without putting education into the value frame. we must consider how the prospect relates to police oﬃcer’s role as an educator.7 Avoiding Critical Ethnography It must be noted that our usage of ethnographic methods to uncover embedded sources of value in organizations diﬀers from other mainstream uses.”[56.1 . we want to understand the culture of the decision-maker in order to extract sources of value that have not been articulated. the Marxian approach falls short by requiring strong negative assumptions on the intent of society in the status quo. Although the goal in a critical ethnography is to transcend the imposition of the “hegemonic culture. but to inform our normative modeling eﬀorts with the intention of achieving clarity on the decision maker’s value frame. The experience of the value of education occurs at the fundamental level of identity(“Why We Are Here/Who are we?”). A successful ethnography in this regard is one which the inhabitants of the culture will accept as an accurate description of their own values. and a formal approach at modeling value should not ignore it. “Why are we here?” To valuate public safety prospects. critical ethnography “is linked to our assessment of our own society as inequitably structured and dominated by a hegemonic culture that supresses a consideration and understanding of why things are the way they are and what must be done for things to be otherwise. DISCOVERING EMBEDDED VALUES IN CULTURE are here not just protect the Stanford community. there is nothing to stop the university from overspending on public safety. As a research method. which are not methodologically challenged by the analysis itself.” and to challenge the labels handed out to us in the status-quo. With education.2. Education is one of the answers to the question. we have a balancing source of value that has to be traded oﬀ with public safety.1) 3.
our interviews gave us the impression that oﬃcers of the SUDPS have tied their own identity with the well-being of the community they serve. We can use this research method to improve our understanding of the decision-maker’s value frame.8 Conclusion In conclusion. CONCLUSION 67 3. the value diagram. we’ve discovered that oﬃcers also associate education with their identity.8.1).5. More speciﬁcally. before the ethnography. Ethnography is a powerful research methodology that can help us get to hidden sources of value that are not articulated when asked about directly. Going back to our broad research focus. In the next chapter. elements of the ethnographic analysis will inﬂuence how we draw the value diagram (see 4. (see 6.3. we have touched upon discovering and appreciating sources of value. After the ethnography. we shall introduce a new construct to Decision Analysis.2) . This construct will be used to communicate the value frame. The value diagram will also inﬂuence our ethnographic analysis.
DISCOVERING EMBEDDED VALUES IN CULTURE .68 CHAPTER 3.
Alfred Korzybski 4. we have looked at methods to discover and appreciate sources of value. We now come to the third aspect of clarity on value . Pablo Picasso Art is never ﬁnished. We will introduce Value Diagrams. we will look at existing methods of communicating value visually.Chapter 4 Telling Value Stories I am always doing that which I cannot do.that of communicating our value frame in a visual manner. In this chapter.2 Introducing Value Diagrams In the literature. Leonardo da Vinci The map is not the territory. in order that I may learn how to do it. 4. only abandoned. 69 . the current method of visually capturing the value frame is through the use of decision diagrams. study its properties and apply it in the context of the police case study.1 Introduction So far.
such a diagram transcends any one particular decision and is broadly applicable to a whole class of decisions for that decision-maker.1). that will need to go through several iterations of clariﬁcation before it can be used for a decision analysis.4.2: Communicating Value with a Value Diagram (a) Environmentalist (b) Hotel Operator (c) A Third Story . All elements of a solvable decision diagram correspond to systemic nodes and hence the solvable decision diagram is a systematized form of what we shall call a value diagram (with decisions and other distinctions added in). The hotel operator cares about tourism and believes wildlife is the main attraction that will bring tourists.1: Communicating Value (a) Environmentalist (b) Hotel Operator Figure 4. and what is instrumental. corresponding to values that are prudential. corresponding to values that are intrinsic. corresponding to systemic values. TELLING VALUE STORIES Figure 4. or related to our identity. This is an evocative diagram. The third one will have a single bar. We shall now try to tell the same story now with a richer notation. The ﬁrst one will have three bars. which focuses only on the nodes that go into the value node. Looking at such a diagram immediately reveals what the decision-maker fundamentally cares about. Indeed. The second one will have two bars. The environmentalist cares about wildlife and values tourism insofar as it helps or harms wildlife. Figure 4.70 CHAPTER 4. It will also have the thickest tip.1 shows the diﬀering value frames of an environmentalist and a hotel operator in Africa. We’ll introduce three arrows corresponding to each of the three dimensions of value (see 2. We note that there is no decision in the above diagram.
The value diagram helps us tell richer value stories about our value frame. value frames that include systemic values tend to be constrained. we did not have any systemic arrows. they have signiﬁcantly reduced the richness of our thinking on value by using a construct. we have introduced a node called Visa Regime. “Budget” would be a common systemic value that gets included. A system has been deﬁned within which we have to operate.3. and are a good example of systemic value. who considered tourism to only be prudential. 4.” but for now. In this example. Figure 4. Any legal restrictions like this usually need to be subjected to a clarity test. All decisions on tourism will be valued based on how it aﬀects wildlife. However. while tourism is at a prudential level that may help protect wildlife. It is therefore only appropriate that we recognize this disutility with the word “constrained” before value diagram. CONSTRAINED VALUE DIAGRAMS 71 Figure 4. Pharmaceutical decisions might include “FDA approval” as a systemic value.2 (b).“well-being of myself. which puts artiﬁcial constraints on how many tourists can come to visit Africa. in our basic example. where tourism is connected to her identity. This notation allows us to depict a third value story. being in a business that is good for him. If pushed. We note that all of these systemic values have huge prudential implications.2 (a) shows the environmentalist attaching wildlife to their own identity.3. We recognize this limitation by using the label constrained value diagram for any value diagram with systemic values in it.3 Constrained Value Diagrams As the reader may have noticed. We shall now consider an example of systemic value in Figure 4.2 (c). in contrast. we’ll let this story stick.2 (b) shows a hotel operator who.3: A constrained Value Diagram In general. . This is quite a diﬀerent story from 4. Such a hotel operator’s value frame is depicted in Figure 4. that of a hotel operator who ﬁnds great joy in helping people get dream vacations and see distant lands. has only prudential arrows. and any system is a constraint.4. the hotel operator might discover an underlying identity value . Figure 4.
the axiomatic treatment of intrinsic value objects can inspire the follow-up question. Ultimately. a prudential source of value will draw its life force from an underlying identity node.4 Canonical Value Diagrams With the notation thus laid out.4: A Canonical Value Diagram At a deeper level. TELLING VALUE STORIES 4. where we drew a distinction between value and valuation. A systemic source of value will draw its life force from an underlying prudential node. we have in all likelihood arrived at an identity node. When we can’t answer why something is prudential for us. we would do well to recall our discussion in 2. The idea behind canonical value diagrams is not to play a philosophical game by staking out absolute values. we shall deﬁne a canonical value diagram. it is to force the decision maker to think harder about underlying values. which we repeat here: “‘Will this prospect be respectful of the intrinsic worth of all the people who will be aﬀected by it. or will it treat all or any of us as mere means to ends or goals beyond ourselves. or as mere tokens within some system or ideology. which we may or may not choose to accept.4). A simple way of understanding this is that an identity node is a declaration. To do so. Figure 4.” This question is useful as it causes us to think deeper about what we choose to valuate intrinsically and helps us compare it against an axiomatic position. . articulate important sources of value in the value frame that hadn’t come up earlier. even after we have arrived at a canonical value diagram. A prudential node is an assertion. from a practical decision analytic perspective. and bring our world down to a manageable level. This stands to reason as systems are created after giving a lot of thought to prudential matters. and by doing so. We’d like to use it to uncover sources of value that have not yet come into the conversation.72 CHAPTER 4. we can now start to do some interesting things with value diagrams. which does not allow arrows from prudential and systemic sources of value to go into the ﬁnal value node. In particular. (See Figure ) A prudential source of value must either enter into other prudential sources of value or into an identity node. Rather.
as the idea behind the canonical form is to push us to discover underlying sources of value. came up only once in the scope of this dissertation.5. Identity nodes can have a prudential aspect to it. In the rare case that we have an arrow from a prudential to a systemic source of value. It cannot have arrows going into any other node. in which case. We will then proceed to transform it to a canonical form. the rules just described for prudential nodes also apply to it.18 . and infact. Figure 4. The rationale for this is that there might be a situation where a prudential source of value is important because it helps uphold a systemic source of value. 4. 1 See Figure 6. THE POLICE CASE STUDY 73 For a more rigorous treatment. show an application in creating mutual understanding of value. triangulate it with the results of the ethnographic analysis and ﬁnally.4.1 Systemic nodes can have arrows that go in only to prudential nodes. Prudential nodes can have prudential arrows to all three types of nodes. This is very rare.5 The Police Case Study We shall now apply this newly developed visual language to the police case study by laying out the police chief’s value frame through her value diagram. we might question why it should be allowed to go to a systemic node.5 shows the kinds of arrows that can be drawn from each dimension of value. While a prudential node going to an identity node or to another prudential node may be acceptable.5: Canonical Value Diagram Rules The only node that can go into the value node in a canonical diagram is the identity node. but not to the value node. the table in Figure 4. the systemic source must still point to a prudential source that led to its creation. and it can do so only with the identity arrow.
we focus on the question “why is a larger budget better?” and this was answered by adding another node called police resources that would result from a larger budget. the police chief’s value diagram is in canonical form.5. Both have a negative valuation on them. as shown in Figure 4.6: The Police Chief’s Initial Value Diagram We shall start the process of transforming this into a canonical value diagram by focusing ﬁrst on public safety education. is an initial diagram. budget is a systemic node. We would also need to draw prudential arrows from police resources into the two identity values. Since this is a prudential node. Next. but in this diagram. To make it clear (primarily because it helps the decision-maker be comfortable about clearly communicating that this is a disvalue). it turned out that there was another reason that public safety education was important.6. and it must have an underlying connection with identity nodes. we present a value diagram in Figure 4.7. Coercion is another identity value for the police. we shall soon be including a source of a diﬀerent sign. First.8. general. and they’d like to use coercion as little as necessary. public safety education is a prudential node.5. It is a constrained value diagram. and hence the need to communicate clearly. the question “why is public safety education good?” was answered by the police chief with two prudential arrows going to each of the identity values as shown in Figure 4. In addition.74 CHAPTER 4. that must have an underlying connection with prudential nodes.1 The Police Chief ’s Value Diagram From our work in 2. At this point. to be traded oﬀ with harm to people and oﬃcers. TELLING VALUE STORIES 4.2 There are two identity values harm to people and harm to oﬃcers. Figure 4. if all the intrinsic/identity value sources are of the same sign. The police would prefer to use the least coercive means necessary to ensure safety. 3 In 2 This .” This was assuaged by marking it explicitly as a negative node. Moreover. Second. where the decision maker’s thinking is constrained by the budget that is imposed on the decision context. this may not be necessary.3 We ﬁnd that there are two nodes that prevent this diagram from being in canonical form. the value that makes some of the subjects uncomfortable was “coercion. we shall place a negative sign on both of them. It lowered the need for the police to use coercion to maintain public safety. and we will build up on this shortly.
we are in a position to triangulate our results with the ethnographic analysis reported in Chapter 3.2 Triangulating with Ethnography Now that we have visually captured the results of our interviews with the police chief. In particular. This seemed like a contradiction with the ethnographic analysis results. This would imply an arrow from the public safety education node to the value node.8: Focusing on Budget 4.9. On deeper reﬂection.5. Yet.7: Focusing on Public Safety Education Figure 4.4. the police chief clariﬁed in an interview that if she were convinced that there were a better way than education to improve public safety. we noted that education had become a part of the police department’s identity. One was the prudential educational activity that the police department engaged in. The other was the role of educators that had been acquired by virtue of the police being situated on . THE POLICE CASE STUDY 75 Figure 4. it turned out that there needed to be two education nodes in the value diagram.5. she’d stop focusing on education. as shown in Figure 4.
TELLING VALUE STORIES Figure 4. then the university would be justiﬁed spending all its resources on public safety and none on education. as shown in Figure 4. . Figure 4. This was important to represent. because Stanford.10. The education identity node is therefore essential in the police chief’s diagram. at the end of the day. If there were no value placed on education.10: Education as an identity node The police chief agreed with this ﬁgure as representative of her value frame.9: Public Safety Education/Awareness as an identity node campus.76 CHAPTER 4. is an educational institution.
and therefore must take some steps to move from clarity of thought to clarity of action. Each arrow is a discussion (a) Establish enough clarity on each distinction to be able to draw the arrows (b) Some nodes may have multiple arrows (identity and prudential) 5.6 for a quick guide on arriving at systemic value nodes for practical applications. RESOLVING VALUES NODES IN DECISION DIAGRAMS 77 4. Use Axiological categories to lay out diagram in real time 4. In Decision Analysis. . The reader is referred to (see 5.6 Resolving Values Nodes in Decision Diagrams In Section 4. By implication.7 Quick Guide Here is a quick guide for drawing value diagrams: 1. The two realms of thought and action can be combined by using the value diagram to unpack the value node in the decision diagram. for richer value diagrams) 3.2. We can use each node in the value diagram to guide our thought into what needs to be included in the decision diagram. we are after clarity of action. Establish Decision Context 2.2. a value diagram is typically not solvable.4.6. 4.3) for a detailed example of this resolution process. while intrinsic nodes would imply an intrinsic deterministic node that represents willingness-to-pay on the part of the decision-maker. going back to same decision maker On a related note. Elicit sources of value using diﬀerent methods (a) Iterative Questioning (b) Axiological Questions (c) Ethnography (long-term. the reader may also refer to 5. Triangulate (a) With published sources of value (b) With ethnographic analysis (c) With other members in the same group (d) Over time. as long as it has identity and prudential values in it. Prudential nodes typically imply uncertainties or deterministic nodes that can be added. we noted that decision diagrams included a systematized version of our thoughts on value.
and this combines with C’s negative valuation to give A a positive valuation. Tracing Figure 4. we shall next incorporate a notation that allows us to derive value judgments on each node using simple arithmetic logic. .12 (a). Therefore. That might involve being able to represent the value judgment behind each node. A has a negative inﬂuence on C. As an extension to this work on value diagrams. The sign implies that “more of the source is good for the target. As the value node is required to be positive.8 Incorporating Value Judgments with Signed Value Diagrams An important aspect of a powerful value diagram is the ability to communicate where value lies. 4. according to the following rules: 1. We shall do this by placing a positive or a negative sign at the tip of the prudential and identity arrows.” Figure 4. Figure 4. 2. more of A is good. C ends up with a negative valuation (combinging negative inﬂuence on value node and the sign of the value node). All nodes except systemic nodes are required to have either a positive or a negative inﬂuence on their successor node. Contribution Rule: The sign of a value source is determined by the arithmetic combination of the inﬂuence on its successor and the sign of its successor.11: Value inﬂuences (a) More of A leads to more (b) More of A leads to less of of B B Figure 4. TELLING VALUE STORIES 4.11 shows two ways in which this can manifest. More of value A leads to less of C. 3. We shall present this as an extension of value diagrams while noting that we are already getting into a systemic domain as we try to incorporate black-and-white value judgments based on rules through signed value diagrams.78 CHAPTER 4. No Contradiction Rule: Value sources must be structured to avoid sign contradiction. the identity node C is deemed to have a negative inﬂuence on the value node. Leave Alone Rule: Systemic nodes are left unsigned.13 shows how we might trace value through each node. and less of C is good. Starting Rule: The value node is required to be positive. This makes intuitive sense. Similarly. B has a negative valuation as its positive inﬂuence on C combines with the negative sign .
The result (and the converse of this logic) can be seen in Figure 4. more of B must be bad.8. Figure 4. we present two examples that make the logic clearer. this makes intuitive sense. Therefore. and the signed representation was chosen over the . and more of C is bad. INCORPORATING VALUE JUDGMENTS WITH SIGNED VALUE DIAGRAMS 79 Figure 4. where red represented a negative character and green represented a positive character.4.13: Incorporating Value Judgments into a Signed Value Diagram (a) Negative Intrinsic Value (b) Positive Intrinsic Value In Figure 4. Again. as more of B leads to more of C. We tried playing with colors.12: Tracing Value . the value arithmetic is not as intuitive.before applying rules (a) Negative Intrinsic Value (b) Positive Identity Value of C to result in a negative valuation. While a color-coded methodology has the advantage of immediately communicating what is positive and negative. We note that this notation was arrived at after several iterations.13 (b).14.
but it can be represented if the notation is on the arrow. This cannot be represented visually if the notation was on the node. they add more complexity to the diagram.4 However. readers of this dissertation should feel free to use colors in their value diagrams if that works better for them. the two natural choices for negative and positive values respectively. as opposed to the arrows. while others are negative. and avoid signed value-diagrams unless they help us communicate important value relationships that would otherwise be missed. and that we have deliberately avoided putting value judgments on systemic nodes. 7 to 10% of all males on the planet (according to Wikipedia: http://en. a value diagram is a visual language to develop clarity in the decision-making body about value. Finally. First. Second. This is because some nodes may have an identity value while also having a prudential value. we note that while signed value diagrams are a step toward more clarity. most academic journals print in black-and-white. We might raise the question as to why we didn’t select a notation on the node itself. Just as decision diagrams are a visual language to develop clarity in the decision-making body about a decision.org/wiki/Colorblind) cannot distinguish between red and green. some of which are positive. we will try to keep the representation minimalist. 4. TELLING VALUE STORIES Figure 4.80 CHAPTER 4.wikipedia.14: An Example of a Signed Value Diagram (a) Negative Intrinsic Value (b) Positive Intrinsic Value Example Example colored representation.9 Conclusion We have introduced a new tool to the Decision Analysis cycle called value diagrams. In 4 There were two more reasons to avoid the use of color. . The “more of” qualiﬁer is not necessarily applicable on such nodes. as such nodes can have various degrees. In general. We note that the value arithmetic works only on canonical forms of the diagram.
and our answer would be no diﬀerent. . In the next chapter. we will undertake a more detailed case study. We’d need to go as far as is necessary to achieve clarity on the value conversation with the stakeholders in the room. narrowing our focus on bicycle safety. this is a new formulation/structuring/framing tool that draws from formal axiology. CONCLUSION 81 the cycle of decision analysis.9.4. as seen by the clarity achieved by going back and forth between the police chief and her lieutenant. A question that can be posed about value diagrams is “when do we stop adding nodes to the value diagram?” This is a question that applies equally to decision diagrams. We showed a case study of how value diagrams can be used to capture the value frame of decision makers. and this is useful even when there is no decision to be made. to show how clarity on the value frame with the axiological distinctions can make a diﬀerence in decision-making.
82 CHAPTER 4. TELLING VALUE STORIES .
we ﬁnd ourselves facing the norm of consistency. that which gives life to all our prudential values and ultimately our systems. Forget the one and the value drops to zero immediately. It could be used to make ethical or unethical decisions. zero. We have so far tried to capture the identity values and its relation to prudential and systemic values through value diagrams. we will attempt to demonstrate decision analyses that bring in to focus the identity values that give life to all our endeavors in the voluntary social decision-making space. once we have accepted the rules. we need to cross over from the land of thought to the land of decision-making. When thought meets action in the real world. Being willing is not enough. Sri Ramakrishna As we pick up the thread of public safety again.2 83 . we must apply.Chapter 5 Achieving Consistency in Valuation I have been impressed with the urgency of doing. 1 See 1. Decision analysis helps us be consistent with the ﬁve rules of actional thought1 . Knowing is not enough. However. in a prudential manner.1. with much more depth. we must do. Leonardo Da Vinci Everything ordinarily is worth very little. but put the numeral one in front and all the zeros suddenly become valuable. Our intent is to raise the bar on consistency by incorporating that which lies at the root of who we are. In this chapter. decision analysis is also an amoral instrument. and this time.
For example (see Figure 5. We shall now take a deeper look into decision diagrams. 5. if the decision-maker is considering buying the option in 2010.2) that form the building blocks of decision diagrams. we mentioned decision diagrams in passing when introducing the extant nomenclature on value. If the decision-maker does not own the stock option. but may have diﬀering ranges of beliefs depending on the management style chosen.2 a)).1) and four kinds of arrows (see Figure 5. there might be a relevance arrow between stock price movement by . we cannot be 100% sure that they will get lung cancer. Deterministic nodes are fully determined by the inputs through functional arrows (Figure 5. if someone is known to be a cigarette smoker. we may not know the time to completion of a project.1 Decision Diagrams In Chapter 4.1: Types of Nodes (a) Decision (b) tainty Uncer. What this implies is that although the inputs to the deterministic nodes are uncertain.” then there would be no informational arrows from this node to any of the decisions. the child node is not known for sure. and so. we will provide guidelines for creation of value nodes. at the time of exercising stock options.(c) Deterministic (d) Value Decisions can also inﬂuence uncertainties in some situations. insurance and senior-citizen safety. The decision maker would also fully know the stock-price movement last year before making the decision to exercise. Informational arrows (see Figure 5. For example.2 c)) indicate what information is completely known at the time of making a decision. even if we know how the parent node resolves itself. Figure 5. For instance. we know that the decision to purchase a stock option must have been completed. there is nothing to be exercised. Before we begin.2 b)). If we were to have another node titled “Stock price movement by end of 2011. then she will not know how the stock will move over the year. there is no informational arrow from the stock price movement node to the decision to buy the option.84 CHAPTER 5. Decisions are about what we can do and uncertainties are about what we know. Along the way. although we might put a higher likelihood to such an event. alcohol safety. There are four kinds of nodes (see Figure 5. the quantity represented by the deteministic node is completely known. We can contrast this with the relevance relation (see Figure 5. However. a brief introduction to decision diagrams is in order. ACHIEVING CONSISTENCY IN VALUATION We will do this through four case studies in public safety that focus on bicycle safety. However. where.2 d)). once they are resolved.
Finally. The value node (see Figure 5. Applying our axiological distinctions.21). which can be useful even if no functional transformation is performed on the inputs by providing labels that clarify the source of value.2) has to be signiﬁcantly transformed before it can be used in a decision analytic sense to provide clarity of action. DECISION DIAGRAMS 85 end of 2010 and stock price movement by end of 2011.1. Decision diagrams can get complex very quickly. proﬁt is a prudential value with an underlying identity value of personal well-being. it will imply them. Within the decision diagram framework. Figure 5. A common example is that a value node may have multiple cost and revenue nodes going in. 2 Not to be confused with the rule that systemic nodes cannot go into the direct value node and must go into . as it is completely determined when all of its inputs are known). we will use functional nodes when we want to systematize identity values2 . and it is more of an art to draw a good decision diagram that holds all the important elements in a decision situation to facilitate a decision conversation. Examples of this will shortly follow in our case studies (see Figure 5.1 d) is represented as a hexagon (sometimes as a double-walled hexagon.5. It is often the case that a solvable decision diagram will not explicitly represent direct values . sources of value are typically denoted with functional nodes.2: Types of Arrows (a) Relevance (b) Uncertainty (c) Informational (d) Functional It is a common practice to draw decision diagrams from the value node onwards. but the direct value is only one . in addition to an implied direct value of proﬁt.proﬁt. we recall that the evocative representation of direct and indirect values (see 4. In the decision diagrams that follow.rather. and only such nodes will be direct values.
that was for value diagrams.1). prudential nodes .1 Bicycle Safety Introduction Stanford sees anywhere between three and four thousand bicycles registered each year (see Table 5. along with bike-friendly traﬃc signs leading to the entry of the campus). considered by many to be the bicycle capital of the United States (see Figure 8.000 bicyclists in the year 2008-09. The number of bike racks on campus is around 3000 and each rack can hold 4 bikes. It also lets us report the results of the analysis in a metric that is clearly understood and easily comparable.2.2 5.000 bikes existing on campus. proﬁt is attached to the value of education. preserving the ability to compute value of information.Davis has a bike festival once a year. we must consider the number of graduates and undergraduates who are on campus at any given time. For instance. Stanford compares well with other bike-centric university campuses in the country like UC Davis.000 bike trips are made daily. with a designated bike month. Stanford is at the top of the pack (see Figure 5.1: Bicycle Registrations on the Stanford Campus by Academic Year 2004-2005 2005-2006 2006-2007 2007-2008 2008-2009 Fall 2343 2744 1976 3134 2900 Winter 363 171 489 254 261 Spring 298 158 241 233 353 Summer 275 306 249 273 190 Total 3279 3379 2955 3894 3704 With this population of bicycles. as also staﬀ and faculty who bike to campus. On injuries recorded by the police. It must be noted that the number of bikes registered per year is not the number of bikes that make their way to campus. but the diﬀerence in voluntary social policy decisions is that proﬁt will be attached to an identity value other than personal well-being.2. To arrive at this number. UC Santa Barbara. In UC Davis.000 to 20. Table 5. etc. in the ﬁrst three case studies that follow. an estimated 10. thus giving a total capacity of 12.3 5. in the context of Stanford University. 4 The average number of bicyclists on campus in a year was the best estimate of adminstrators from the transportation departments in each of these schools .3 a)). Even when these numbers are normalized by the number of bicyclists on campus4 (see Figure 5. ACHIEVING CONSISTENCY IN VALUATION We note that proﬁt will continue to be an implied direct value.1 . while here. with about 50.86 CHAPTER 5. we are talking about decision diagrams 3 The big advantage of using dollars as the attribute of valuation is that value trade-oﬀs can be brought back to the dollar space.000 bikes on campus.3 b)).  Stanford’s bike safety coordinator estimates that there might be close to 14. More proﬁt is good because it supports the goal of education.
their poice numbers are much lower . BICYCLE SAFETY 87 Stanford is second from the top.3: Number of Bike Accidents by Campus (a) Accidents across campuses (b) Accidents across campuses normalized by number of bikers 5 UCSC’s numbers are from the ﬁre department . The injuries reported here are from police records5 . and are probably serious enough for the police to be called in to help.2.5. Figure 5. There are many more bicycle accidents on Stanford’s campus where the aﬀected parties show up for medical attention at Stanford’s Vaden Medical Center (the local clinic for student check-ups).
most of the injuries seen at Vaden are those of minor abrasions. A severity of 3 was for more serious injuries. Until Fall 2009. median cost to Vaden and severity of the injuries. These are also the cheaper injuries to treat. Vaden started charging a $167 quarterly fee.6). the picture at Vaden is much starker. The most expensive from Vaden’s perspective are the most severe injuries. Figure 5.4). which could be reviewed and adjusted at the end of the year. we looked at a total of 263 injuries and sorted them based on a severity scale of 1 to 3. This chart shows the distribution of severe injuries due to bicycle accidents. Using these numbers. ACHIEVING CONSISTENCY IN VALUATION Indeed. we note that most of the people in this dataset are not necessarily . The stutured lacerations are fewer and more expensive. For the academic year 2009-10. The bubble chart conﬁrms our intuition . We note that the story behind the severe injuries goes deeper. like concussions or loss of consciousness. We ﬁnd that the number of accidents can be four to six times more than those reported to the police (see Figure 5. we were able to plot the bubble chart below (see Figure 5. we will need to examine the data from the Trauma Center below (see Figure 5.4: Accident Reporting Comparison To dig deeper. The Vaden dataset only shows those who did not have to go to the Trauma Center. In order to get a better picture of severe injuries. However.5) which shows the frequency. We assumed the “Vaden per visit cost” as $150 and the “Emergency Room per visit cost” as $535. A severity of 2 implied sutured lacerations which involved some more work on the part of Vaden. A severity of 1 implied minor injury (mostly abrasions).88 CHAPTER 5. Most people with severe injuries would be transferred from ER to the Trauma Center at Stanford. Vaden’s operating costs came from Stanford University.
we shall attempt to capture the value frame of the Chief Financial Oﬃcer at Stanford University. which are considered to be the most severe in their consequences. BICYCLE SAFETY 89 Figure 5.7.2. head of Trauma and Critical Care at Stanford Hospital. although the consequences for such injuries can be tragic. We have enough context now to broach the question of how to valuate a helmet promotion program that might help reduce the number of head injuries Stanford sees each year.234 per head injury over a four year period. the average head injury charge to insurance was around $49. In order to obtain a ﬁner-grained resolution into the severity of injuries seen by the trauma center. We note that head injuries. as shown in Figure 5. This histogram shows us the frequency and average charge to insurance companies for each type of injury. Next.” encouraging students to wear helmets. This is intuitive.5: Frequency-Severity-Median Cost students. . as there is not always a possibility of treating such injuries (neurosurgeries are rare). We also note that the average charge for treating head injuries is not necessarily the highest. Spain.5. are also the highest in frequency of severe injuries (external injuries are minor wounds that were referred to the trauma center). They could have been injured in the neighboring area and were brought to Stanford Hospital. points out in bike-safety classes held at Stanford that “the head is the only organ in our body that does not heal. we shall break up each injury by their Abbreviated Injury Severity (AIS) scores. From this data. This is the amount of money that would typically be paid by insurance companies. Dr.
5) gave us clues about Stanford’s Chief Financial Oﬃcer’s value frame.7: Injury severity and body part histogram .Jan 2005 to Aug 2009 5.6: Trauma Injuries from Jan 2005 to Aug 2009 Figure 5.2.86 in the 6 This was very similar to President Hennessy’s value diagram . We took a stab at capturing the CFO’s value frame in Figure 5.90 CHAPTER 5. ACHIEVING CONSISTENCY IN VALUATION Figure 5.2 The CFO’s Value Diagram The police chief’s value diagram (see Figure 6.
where we know the costs incurred and also know how to resolve the inﬂuence arrow in the decision diagram. even if they didn’t have to spend a dime upon the occurence of this prospect. To balance this disvalue. which the university would consider simply as terrible. given that many other decision makers on campus place coercion at the level of identity. and in the next subsection. With the value diagram laid out.3 Functionalizing Value Nodes in Helmet-Safety Decision Diagram We shall start with a simple decision diagram.2. Randy agreed with the diagram except for the coercion node. it takes away from the prosperity of the university. which he considered to be of prudential value. the CFO has three values education. Randy Livingston. we are faced with another disvalue . At the level of identity.8: The CFO’s value diagram When resources are expended on bicycle-safety programs. as shown in Figure 5. That itself is an interesting diﬀerence to communicate.9. 5.the prospect of an individual undergoing serious trauma from a bicycle accident.5. 7 This . Our focus will was shown to the CFO.2. BICYCLE SAFETY 91 context of bicycle safety decision-making. which is bad because it doesn’t allow the university to spend as much on education (research and teaching). we will assume the diagram in Figure 5. trauma to the individual and coercion of others. we now ask “How might we draw a decision diagram to be consistent with the value diagram?” There could be many ways of coming up with a decision diagram. For now.8 to be representative of the CFO’s position and have more to say on this in a bit.7 Figure 5. we shall illustrate one way of creating a decision diagram that is consistent with the value diagram. Coercion disvalue would ensue if actions of the university led to the coercion of those who inhabit Stanford.
cost of program. ACHIEVING CONSISTENCY IN VALUATION be on the value arrow. as shown in Figure 5. and expand on it later to model coercive alternatives. we will subsume prosperity of university and education into cost of program and cost of treatment. Since we are interested primarily in the valuation question. We will consider only voluntary initiatives for now. For the uncertainty “Undergraduate Head Injuries.11. highlighted in the diagram. However. As a further simpliﬁcation. we would also want to add an uncertainty called “Education Time Lost.” To keep our illustrative example simple. resulting from the implementation of the helmet safety program.9: The Helmet-Safety Decision Diagram We shall start by unpacking the value node. to determine how much to pay to prevent head injuries.” emanating from “Undergraduate Head Injuries. as shown in Figure 5.92 CHAPTER 5. as shown in Figure 5.9 Our decision situation can now be represented in Figure 5. we will assume that the education time lost disvalue is zero. . We shall then proceed to systematize the resources expended node into two deterministic nodes . we assume that Stanford will not pay anything to prevent education time loss due to alcohol-related injuries.10. We could make this model more sophisticated by adding more distinctions that might be relevant to undergraduate head injuries.13. we shall assume “Education Time Lost” as a constant and not an uncertainty. as far as the decision node is concerned.12.” we note that we can subsume prospertity into cost of treatment. resulting in Figure 5. and hence.14 b). we 8 To make this more realistic. Since cost is already a negative value. ignore the coercion disvalue. 9 In other words.14 a). and cost of treatment resulting from the university resources needed to treat head trauma.8 We will then systematize trauma to individual with trauma disvalue as shown in Figure 5. For now. we might want to represent the impact on education with an “Education Time Lost Disvalue” node. especially as it takes away from the university’s primary mission of education. If alternatives like introducing citations for not wearing helmets (from private property laws) or banning bicycles for undergraduates were on the table. we shall consider a voluntary situation only. We note that prosperity of the university is negatively impacted by spending on programs like this. Figure 5. then we would need to incorporate a coercion disvalue.
1. BICYCLE SAFETY 93 Figure 5.3 .11: Incorporating Resources Expended shall stick to the diagram in Figure 18.104.22.168 a) with the knowledge that extending it should not be a problem.10: Unpacking Value Node Figure 5.10 10 See 8.
while trauma disvalue emerged by the direct conversion of an intrinsic value node. and our value attribute is proﬁt or dollars.these are the nodes represented by the deterministic nodes that enter the node disvalue. where we are trading oﬀ cost of treatment with cost of the program. ACHIEVING CONSISTENCY IN VALUATION Figure 5. cost of program and cost of treatment. We have thus shown a process to include intrinsic values by functionalizing them.12: Subsuming Prosperity of University and Systematizing Education Figure 5. as no insurance company would like to lose . not in-and-of-itself. There are two direct values being traded . We note that two of them.13: Systematizing Trauma to Individual Let us now zoom in on the value nodes in this diagram . The separation of prudential and intrinsic values has an important implication. This might be the best argument if insurance companies are being approached to fund the program.education and trauma. but pegged on top of education.15. We could valuate the decision situation in two ways.94 CHAPTER 5. emerged from the conversion of prudential value nodes. as shown in Figure 5. The ﬁrst approach is to keep it purely prudential.
and is represented in Figure 5. This is the amount of money that Stanford is willing to forego from its budget for education to prevent one traumatic head injury. then we can calculate the most they should be willing to pay for such a program.2. . as shown in Figure 5.16 a).16 b).14: Voluntary and Coercive Frames (a) A voluntary Helmet Promotion (b) A coercive Helmet Promotion Campaign Campaign money. BICYCLE SAFETY 95 Figure 5. We note that trauma disvalue is not a matter of information. but a matter of willingness-to-pay.5.15: Tracing the axiological values behind functional values The second kind of tradeoﬀ is from the perspective of Stanford and is consistent with the CFO’s value frame by incorporating the trauma disvalue. Figure 5. This tradeoﬀ is purely prudential. If the insurance company believed that a helmet promotion program on the Stanford campus might actually make a diﬀerence in the numbers of traumatic head injuries from bicycle accidents.
CHAPTER 5. ACHIEVING CONSISTENCY IN VALUATION
Figure 5.16: Tradeoﬀs
(c) The Decision Tree
For both tradeoﬀs, we note that we still need to use the same tree structure as shown in Figure 5.16 c). The tree shows that if we went with the status-quo alternative (don’t implement the program), there is a 25% chance that we’d see 8 injuries, a 50% chance that we’d see 12 injuries and a 25% chance that we’d see 17 injuries next year, all of a traumatic nature and arising from bicycle accidents. This was an assessment made by a Vaden administrator who was closest to the head injury data. If we implemented the program, then we’d see a 25% chance of 4 injuries, a 50% chance of 7 injuries and a 25% chance of 12 injuries next year. These assessments came from the bike safety coordinator at Stanford who was closest to helmet safety programs, after being exposed to the status-quo scenario.11
We shall ﬁrst look at the results of the valuation from the perspective of insurance, assuming the insurance company to be a risk-neutral decision maker.13 By solving the tree shown in Figure 5.16 c) at just the prudential level (see 8.1.2 for full tree), we get the graph shown in Figure 5.17. There are two ways of reading this graph. First, we could start with the y-axis, which shows us the disvalue per head injury. For a purely prudential analysis, the disvalue is limited to how much an insurance
is a criticism we can make of this assessment method. If we ask people the impact of their favorite programs, they are bound to project some change. A better question to ask is the chance of success, and the change in the numbers given success. To keep this model simple, we have left it with this structure, but the case studies that follow will involve an assessment of the chance of success. 12 Both these assessments were made using K-distributions, an innovation of Tom Keelin and Brad Powley, that made it very simple to do a probabilistic assessment using a probability wheel(see ) and then plot the results in real time for adjustment purposes. To my surprise, subjects with little prior exposure to probability not only answered the wheel questions but also understood the distributions resulting from it in an intuitive manner. 13 By risk-neutral, we mean that if the insurance company were to face a deal with a 50-50 shot of making $1 million dollars versus losing $1 million dollars, they would be indiﬀerent between taking such a deal or walking away. In other words, the magnitude of loss does not weigh any more than the magnitude of gain. By contrast, risk-averse people should walk away from such a deal as for them, losing $1 million is worse than gaining $1 million. They’d need to gain a lot more to be willing to take on such bets. The $1 million dollar level chosen was arbitrary - for diﬀerent decision makers, the scale will vary, and we should be able to ﬁnd some level at which any decision maker would be risk-averse.
5.2. BICYCLE SAFETY
company thinks they’re going to spend for an average head injury. If we stick to past data and go with $49,234, the graph can then be used to read oﬀ the most the insurance company should be willing to spend on a helmet promotion campaign that claims to be able to bring about a reduction in the number of head injuries as shown by the tree-balance graphic. In this situation, that amount turns out to be $233,800. Figure 5.17: Value to Insurance
We can also read oﬀ the graph from the x-axis, by starting with the cost of a proposed campaign. If the insurance company believes in the eﬃciency ﬁgures, then it can read oﬀ the graph what the implied disvalue is for each traumatic head injury, should they say “yes” to funding the campaign. Then, the question becomes one of “do we believe that traumatic head injury disvalue is at least this much?” If so, funding the program is a no-brainer. This method of resolution was documented by Judd in his thesis, where he remarks: There is almost sure to be disagreement on what society is willing to pay to avoid statistical deaths. The way to proceed when facing a particular social decision is to establish reasonable upper and lower bounds on that value. Then the sensitivity of the decision at hand to values in this range can be determined. If the best decision for society is the same when either the upper or the lower value is used, then further resolution on the willingness to pay will not improve the decision. In our case, the decision maker is far more concrete than the mysterious “society;” it is the insurance company that wishes to act in its own best interests. As long as the insurance company is able to say, “oh yes, the implied minimum disvalue per injury is much lower than what we’d have to pay,” we don’t have to worry about what the exact disvalue level needs to be. The advantage of having a clear disvalue level is that it allows us to compare prospects and check if we are being
CHAPTER 5. ACHIEVING CONSISTENCY IN VALUATION
consistent with our preferences. Moving on to Stanford’s perspective as a decision maker, we are faced with the tradeoﬀ shown in Figure 5.16 b). From a prudential perspective, the money required to deal with traumatic injuries can typically be claimed from insurance. However, if Stanford Hospital were to be made whole for its expenses, would Stanford be ﬁne with seeing the same number of head injuries each year? According to the ﬁgure, Stanford should be willing to pay some amount of money over and above any prudential considerations, to prevent a traumatic head injury. As long as Stanford believes in the same eﬃciency ﬁgures, we can use the same graph to determine Stanford’s personal indiﬀerent buying price for an intervention, as shown in Figure 5.18. The ﬁgure shows that if Stanford is willing to pay $15,000 for each traumatic head injury from bicycle accidents on campus, over and above all prudential considerations, then Stanford should be willing to pay no more than $66,200 to fund a promotion program. Figure 5.18: Value to Stanford
We now see how Stanford administrators might construct two value propositions, one for insurance companies, and one for Stanford’s board of trustees, and ﬁnance a helmet promotion campaign, creating value for all parties concerned.
The ﬁrst question that may arise from this model is that of risk-attitude. Stanford may be assumed to be risk-averse for large losses. How will that aﬀect our analysis? We note that for this model, the risk-neutral case gives us a lower bound on what the decision maker should pay. Figure 5.19 should make this clear - as we can see, the slope of the line has dropped, and the contact with the
BICYCLE SAFETY 99 red line ($49.Risk Averse scenario The next question that may arise is why our graph is linear and not a curve. Insurance companies can and should challenge all the numbers in this analysis until the numbers represent their best beliefs.000 as opposed to $233. in general. While this result is a consequence of the way the helmet safety model is structured.800) in 2009 for their helmet promotion budget.2. If they were to spend the same amount in 2010 for a program like the one we’ve modeled. . Parking and Transportation had spent ($17. As Vaden’s average cost of treating serious head trauma isn’t much ($719). but also those who are close to the data. the most they should be willing to pay for the above modeled promotion campaign turns out to be $3. the same method would apply if we wanted to calculate how much Vaden should be willing to fund a helmet promotion program. there could be situations where risk-aversion can lower the valuation of an intervention. Each of the elements in this simple model is the result of a long conversation with not just decision makers. especially for the risk-averse decision maker. so if the insurance company were risk-averse in the range of $1 million. For a second iteration of this model.5.800 in the risk-neutral case.6 More Insights We have demonstrated in this case study how we might incorporate identity values in addition to prudential values to perform a valuation of a voluntary social policy decision. which follows the delta property. While we have only shown a prudential analysis for insurance companies.234) is now further out. The reason is that we have assumed an exponential risk-attitude curve. and gives this graph its linear shape. Figure 5. 5.19: Value to Insurance . they should be willing to pay closer to $250.400. Stanford Hospital would do well to keep track of head trauma patients who’ve had a bicycle accident on the Stanford campus.2.
we ﬁnd that this line drops down by the amount of the coercion level. Those who are familiar with medical decision analysis may wonder why we have not brought in the micromort approach introduced by Howard. a postdoc scholar from Singapore was killed in a terrible bicycle accident.000.234 would not justify the funding of this program. This approach is designed to capture the preferences 14 This is an assumption that is not too far oﬀ in a bad year.800 from the y-axis. We note that our previous result can be found on this line by reading oﬀ the trauma disvalue at $49.234 was borne by Stanford and not insurance14 If Stanford were to then apply a coercive rule requiring all bicyclists to wear helmets.100 CHAPTER 5. ACHIEVING CONSISTENCY IN VALUATION then their implied minimum trauma disvalue is $3.000 more than Vaden.000. “What is the minimum endowment would Stanford need to receive in return for the introduction of this coercive program?” We could model several answers of the CFO and show how the value of the program decreases with increase in coercion. a trauma disvalue of $49. in 2010. as shown in Figure 5. or roughly $3.747. whereas it would for coercion disvalues below $200. For instance.they facilitate a high-quality decision conversation that is consistent with prudential and identity values of the stakeholders in this decision situation.20: Modeling Coercion 5. At a coercion disvalue of $250. we could model it by asking the CFO the question. and his family did not have the means to pay for medical expenses which were borne by Stanford Hospital and ran into hundreds of thousands of dollars.7 Conclusion The numbers here are not the ﬁnal word . As the coercion disvalue increases for more coercive programs. The ﬁrst (blue) line represents the value of the program if there were no coercion.20. by incorporating a coercion disvalue into the cost of the program. We can also try to model coercion now.234 and retrieving $233. Let us assume for a moment that the average charge of $49. .2. Figure 5.
21. Regardless.3.15 The two distincitons that an education program might aﬀect were the number of minor alcohol 15 In reality. the point of the method is that anyone in the decision-making body can challenge the assumptions and run what-if scenarios to get clarity on how the decision might change. just as public policy analysts would use quality-adjusted life years (QALYs) as a unit to measure outcomes. the distiction success—program implemented was not incorporated. who are learning to drink responsibly. In the next few case studies. 5. rather. We recall from the ethnographic work that the police ﬁnd students frontloading (see 3.” Stanford has been very proactive in dealing with alcohol safety. and then arrived at the decision diagram shown in Figure 5. we shall build upon this basic model and extend it to decision situations faced by other campus adminstrators. We could certainly use micromorts as a measure of outcome and standardize a value per micromort for someone else’s life. especially for undergraduate freshmen. the vendor had oﬀered access to research on alcohol safety for a fee. they are about preferences on other people’s life.1 The Model We started oﬀ with the same CFO value diagram as shown earlier. ALCOHOL SAFETY 101 of the decision maker who is facing the risk of death.3 Alcohol Safety After showing the results from our bike-safety model. The key decision was whether to invest in an alcohol safety class or not. voluntary social policy decisions are not about the decision-maker’s preferences to their own life.it illustrates the steps that need to be taken prior to the selection of such instruments. the director would report to the director of Vaden and the director of Risk Management at Stanford University. The Vaden Health Center has a Director for Alcohol Education who oversees Stanford’s eﬀorts in this regard. which would be delivered online as a module to be taken by freshmen on campus. 5. Alcohol safety is a big issue on campus. resulting in serious consequences once they get “hit. alcohol safety. The decision he faced was to determine the value of an alcohol-safety online education program that was oﬀered by a vendor.1). the micromort model would be the model of choice. they can count on the police without worrying about getting arrested. . and then ascribe a dollar-value per QUALY. However. The director wanted to know if Vaden should buy this research module. which all freshmen were required to take.5. This dissertation does not preclude such approaches . The alcohol safety director at Stanford was considered as the decision maker for the purposes of making assessments.5. If we were to create a valuation model helping students on campus ﬁnd out what is the most they should be willing to pay for a helmet.3. and the police have also let it be known that if someone ﬁnds their friend in need of medical attention. In the ﬁrst iteration of the model. administrators at Vaden wanted to apply it to a problem they were grappling with. Moreover.
16 A minor incident is deﬁned as one where the police have to respond to a case of alcohol poisoning along with American Medical Rescue (AMR).000.education and trauma to the individual. requiring several months of recovery. without the program. whereas with the program. Each of these distinctions had implications on cost and disvalue. students injure themselves with serious consequences to their health and life. .” but as one incident with a probability of occurrence which would drop with the program. there might be 1 traumatic incident in 5 years. In the ﬁrst version of the model that was used by the decision-maker. and the student might need to be transported to the Emergency Room (ER) for treatment. but a matter of preference. or perhaps even leading to death. the traumatic injuries were modeled. In addition. ACHIEVING CONSISTENCY IN VALUATION Figure 5. There were two sources of disvalue at the level of identity . and an 16 In a later version of the model.102 CHAPTER 5. Both are represented on the decision diagram by the letters “E” and “T” respectively. For instance. A traumatic injury is when. and distinguished to clarify that these nodes are not a matter of information. as a result of alcohol poisoning. not as “number of incidents. the deterministic nodes are also annotated with the information at hand. there might be 1 traumatic incident in 10 years. we modeled it as the number of traumatic incidents.21: Alcohol Safety Decision Diagram safety incidents and the number of traumatic alcohol safety incidents. The cost of the class was $18.
000 disvalue. with a value-to-cost ratio of around 57. For any minor incident. 45 (25%) to a level of 100(25%). as it is prudential to do so.5. the alcohol safety director and the dean would end up spending around 6 hours. we remove the trauma disvalue and education disvalue from the model.22. from a level of 115 (25%). though the diﬀerence here is that this amount is considered borne by Stanford University. 56(50%). the decision maker combined the PR and Litigation costs at $2 million per incident.  For trauma disvalue. When 911 responds for such calls. and should include our thoughts on prudential value (is that the amount Stanford would have to pay on average for traumatic injuries that are not covered by insurance) and identity value (how much should we pay over the prudential level to not have this happen to anyone?). without worrying about identity values. The decision maker noted that MIT had to pay $6 million in damages in a 2008 death of a student from alcohol poisoning. and the cost for an hour of their work is pegged at $440. The ER cost is taken as $535 per incident (from our bike-safety model). then the program should be invested in. we should invest in it. Stanford is insured for damages above $2 million. and ﬁnd that the program is still a good idea.23. The trauma disvalue ﬁgure is close to the charge we had calculated for head injuries due to bike accidents. 63 (50%). 5.000. Next. For starters. If we don’t think traumatic injuries can be reduced by the program. it still is a good idea to invest in the program. implying there’s an 80% chance of 2 injuries with the program as opposed to a 50% chance of 2 and a 30% chance of 3 injuries. We can now test what happens to our decision if we change one of the degrees of traumatic injuries. To summarize the insight. as shown in the subtree of Figure 5.000 as the amount spent per traumatic injury by Stanford. we assumed a $200 disvalue toward education (roughly the tuition for two classes). and for classes missed due to traumatic injuries. if the decision-maker believed that the number of injuries would be deﬁnitely below 59 on account of the program. if we go back to the original scenario (where .3. For classes missed due to minor injuries. For traumatic injuries. with a value-to-cost ratio of around 35. we assumed a $50. we assume that the education program has no impact on traumatic injuries. we assumed $45. the research module becomes valuable only if the decision-maker believes that access to it will help bring down the number of minor incidents below 51. ALCOHOL SAFETY 103 additional module giving access to research on alcohol safety came with a price tag of $12. and helps us only reduce the minor injuries.2 Insights With these inputs. In fact.the results are as shown in Figure 5. then the education cost becomes an important factor in the analysis. 37(25%). purely at the prudential level. Under these circumstances. if we believe that the education program can do anything about traumatic injuries. If we leave the medium degree as it is and modify the high value to 3.3. typically 2 deputies and 3 ﬁreﬁghters might be dispatched. However. The graphs shows that the intervention program should not be bought into as it stands. We ﬁnd that the program immediately becomes a no-brainer.
it turns out that we need to be willing to pay $646 per minor alcohol safety incident to approve the program. and one might reasonably reject the program.25.Value of Control for Minor Injuries Figure 5. This number is much higher than what tuition costs per class. we can calculate the implied minimum education disvalue at 59 incidents . We could also examine the sensitivity of our decision to education disvalue by examining Figure 5. ACHIEVING CONSISTENCY IN VALUATION Figure 5. which shows . Since we know that the mininmum number of minor incidents needs to be 59 or below.24. we can calculate the minimum education disvalue we need to ascribe for us to say yes to the program.104 CHAPTER 5.22: Alcohol Safety Analysis Results .23: Number of Traumatic Injuries traumatic injuries were not inﬂuenced by our decision). From Figure 5. However. we can also probe a little deeper. which seemed reasonable to the decision-maker.that turns out to be $140.
3.closer to the middle.5. from 58 to 71. Beyond 71 injuries. ALCOHOL SAFETY 105 Figure 5. Below 58. it does not matter how much we are willing to pay for education . Between 58 and 61.this is simply a better prudential deal. Figure 5. we are always better oﬀ not investing. because if we can guarantee that the number of minor injuries is below 58. before shooting up. the minimum implied education disvalue is 0. the number hovers around in a reasonable range ($33 to $414). it does not matter how much we are willing to pay for education disvalue. as the current situation with its uncertainty is much better.24: Education Disvalue that education disvalue only matters in a narrow range of minor injuries .25: Education Sensitivity .
so these are outside our frame.3.4. However.4 Car Rental Insurance Stanford’s department of risk management has to make insurance decisions of various kinds. Instead of presenting what these changes will look like in the alcohol safety case study. we will incorporate an uncertainty on the success of the program. 5. we realize that the valuation of the research program is a better ﬁt for value-of-control because the research program might contain information that helps Stanford run a more eﬀective alcohol safety program. The beneﬁt of this model was not about which way the decision went. but in the clarity and consistency achieved by the decision-maker on the key value-drivers. Why did we choose to model the research program module as a value-of-control question and not a value-of-information question? Upon further reﬂection. whose probability will vary depending on our decision to invest in the program. and shared the CFO’s value diagram with the decision maker. the research module was not.insurance and senior-citizen safety. The alcohol safety director used this model to present the case for continuing the education program. and transform the traumatic injury distinction from “number of traumatic injuries. One of them is about whether to self-insure car rentals. What makes this decision interesting is that during the framing exercise. There are some questions that may be raised. so this decision is focused more on smaller sums of money. We believe we have some control over the ﬁnal outcome by taking the module.106 CHAPTER 5. as shown in Figure 5. 5.1 Introduction Stanford already has a policy to not insure 15-passenger vans and big axle vehicles. leaving Stanford with a bill to cover. Initially. we realized that there were two decisions and not one. ACHIEVING CONSISTENCY IN VALUATION 5.27. The decision maker was the manager of liability and employment practices17 . after which the program was funded. In the next iteration of this model to be used next year by the decision maker. we will demonstrate some of these enhancements in the next two case studies . and the ability to reﬂect on his beliefs and see when it mattered. or buy accident coverage. Stanford could require new or young drivers to take a mandatory driving education module.26 and Figure 5. and felt trauma disvalue.” to a single traumatic injury. Stanford is insured for damages above $1 million. the author wondered whether this was any more than a prudential analysis. She was noticing that students who rented cars would often get into damages. the decision maker immediately agreed. or reject anyone who didn’t have a California driving license. To which. education and coercion 17 and ultimately the director of risk management .3 Conclusion We point out again that the numbers and the model are illustrative of the knobs we can turn with such an approach and the resulting clarity in our value conversation.
the decision maker believes that a traumatic incident from a car accident in the rental context happens once in 15 years. so we will assume the liability here at its upper limit.26: Decision Hierarchy for Car Rental Insurance Diving into the decision diagram in Figure 5.trauma disvalue and coercion. then the payout. At the level of information. CAR RENTAL INSURANCE 107 were all identity values for her. The third identity node of education is implicit. 40 (50%) and 18 (25%). and we note this pattern in the two models discussed prior to this one. Figure 5. there are two deterministic nodes that represent identity values . The minor accidents are currently distributed as 58 (25%).27. For major accidents. leading to a cost of $80).5. just as in the bike-safety and alcohol-safety models. would be around $1500 per incident. There are three direct-value tradeoﬀs here. While risk-management is not directly paying this amount as it would come out of departmental budgets. Stanford is liable for amounts upto $1 million (and the rest is covered by Stanford’s insurance). If Stanford buys insurance for $16 per day (and rentals are assumed to be for an average period of 5 days. But if Stanford does not buy insurance. and is negatively (and prudentially) aﬀected when we spend on other things. Now. our earlier statement of “Stanford buys insurance” is not entirely accurate for this decision context.4. informed by past data. this cost needs to be factored in as a . Stanford’s department of risk-management would require each individual department to purchase insurance if this policy were implemented. the insurance payout for minor accidents would be 0.
the issue of coercing the departments also arises.5). 40 (. Let us now drop the probability of success to 50%.108 CHAPTER 5. allowing for the decision-maker to bring it down to zero if she felt it was not a prudential issue.25). In addition to the departmental cost.25). we decided to simplify the model by treating as a single number (594. We will start by assuming that the education program makes no diﬀerence. and instead spending on the education program. .27: Decision Diagram for Car Rental Insurance Although the number of people renting next year is an uncertainty. While for a high-up decision-maker who does not deal with the negotiations and communication of such rules. Figure 5. which has a value of $10. we will assume coercion costs to be 0.25). it could be an issue for decision-makers who have to make such policies work. We then test a scenario where an education program might help bring down the number of minor incidents from 58 (. as the ultimate decision maker is Stanford University.520). 20 (.25) to 40 (. ACHIEVING CONSISTENCY IN VALUATION departmental cost for a more holistic analysis. This results in the recommendation of buying the insurance.23 (assuming a departmental cost of 594 rentals x $80.980 over the cost. from past data) and doing a sensitivity on it later. the recommendation switches to not getting insured. 12 (. and a beneﬁt-to-cost ratio of 0. this may not be an issue. or $47. The big insight here is that an intervention program like education reduces the harm and therefore drops the value of insurance. 18 (. We put it in. For now.5). For a 100% chance of this reduction.
5.4. CAR RENTAL INSURANCE
It turns out that we should not invest in the education program anymore and should just buy the insurance. However, if we believe that the probability of traumatic injuries drops from 1 in 15 years to 1 in 25 years with the help of our education program (provided it is successful), then it turns out that the education program, even at a 50% chance of success, is a good investment. To probe this further, we can do a sensitivity to the chance of success as shown in Figure 5.28 a), and we discover that the education program should be taken above a 44% chance of success, and below it, we should stick to insurance. Figure 5.28: Sensitivity to Probability of Success
(a) Sensitivity to Probability of Success
(b) Sensitivity to Probability of Traumatic Injury
We can also see how our decision changes based on the chance of traumatic injuries, as shown in Figure 5.28 b). For a 50% chance of success, as long as the chance of traumatic injury drops below 1 in 22 years, the education program is a good idea. This graph incorporates the trauma disvalue that we have assumed, at the same level as the alcohol safety model. If we increase the trauma disvalue to $1 million from the prudential level of $45,000, the trauma threshold probability drops from 1-in-22 years to 1-in-18 years. If the trama disvalue is set at 0, the threshold increases to 1-in-23 years. Therefore, the model does not seem to be very sensitive to the trauma disvalue, and that is a big insight. The main reason is that a reasonable change in the probability of traumatic injury is actually quite small, while the prudential liability issues are large enough to make the relative impact of trauma disvalue not that signiﬁcant. We can do a similar analysis about coercion costs around requiring a compulsory education program, or requiring departments to pay for insurance. Figure 5.29 shows how the two identity values make a diﬀerence (shown for a 0.4 chance of success of the education program) to the decisions. This is illustrative of the kind of conversation that can be facilitated on identity values.
CHAPTER 5. ACHIEVING CONSISTENCY IN VALUATION
Figure 5.29: Sensitivity to Trauma Disvalue and Coercion Disvalue. I = “Insurance only,” E = “Education only,” IE = “Insurance+Education,” x = “neither”
Farewell to Falls is a program that helps mitigate serious fall injuries to senior citizens by visiting their homes, doing a safety assessment, making recommendations for improvement and following up to ensure they are implemented. The program needed to raise funding for the next year. We decided to model the decision diagram for the program, as shown in Figure 5.30, with the program director as the decision maker. The decision diagram is similar in structure to the insurance case study. Figure 5.31 shows the inputs used in the model. Apart from the cost of implementing the program and the cost of treating hip and head injuries, the injury disvalue is an additive function comprising of a head and hip injury disvalue. We will skip the sensitvity analyses and general results and go straight to the sensitivity to the identity values modeled, to see how they aﬀect the decision. Figure 5.32 shows the value-cost ratio of the program with diﬀerent inputs for hip and head trauma disvalue, which are willingness-to-pay amounts. For the inputs assessed in Figure 5.31, we realize that the hip and head disvalue does matter in the decision to fund the program. The costs are much smaller than we’d expect for such surgeries as these assessments are from the perspective of Stanford Hospital, which can claim some of the expenses from Medicare. This is one of the reasons that hip and head injury disvalue play a big role in this decision. One way of sweetening the deal for Stanford Hospital would be to lower the ask amount, and repeating a similar analysis for insurance companies, which can be focused on just the prudential aspect. Using a two-pronged approach, the program can approach both sources for
5.5. SENIOR-CITIZEN SAFETY
Figure 5.30: Farewell to Falls Decision Diagram
Figure 5.31: Inputs to the model
Figure 5. For instance. Convert value diagram to canonical form 2. which might be much more palatable to Stanford Hospital. Identify direct values (a) Usually a proxy for identity values (b) Collapse any nodes that do not need explicit representation 3.32.112 CHAPTER 5.000 produces the sensitivity results in Figure 5.000 5. here is a quick guide for the construction of value nodes in decision diagrams. Distinguish between prudential and identity direct values (a) Prudential direct values should have some data available. 1.6 Quick Guide to Creating Value Nodes From the experience of doing these four case studies. either in the form of cost or revenue (b) Identity direct values are about willingness-to-pay. lowering the ask from Stanford to $80. and are more useful as the object of sensitivity analyses .000 (b) Lowering the Ask From Stanford to $80. ACHIEVING CONSISTENCY IN VALUATION funding parts of the program.32: Hip/Head Sensitivity (a) Value-Cost Ratios for a program cost of $180.
5.6. QUICK GUIDE TO CREATING VALUE NODES
4. Model should provide knobs to turn up the willingness-to-pay of the identity direct values 5. Identity direct value does not have to be established, in the context of a decision, as long as the implied direct value is considered acceptable
CHAPTER 5. ACHIEVING CONSISTENCY IN VALUATION
Extending the Value Conversation
Who stills the water that the mud may settle? Who seeks to stop that he may travel on? Lao Tzu in Tao Te Ching, Chapter 15, Enlightenment
We have so far focused on achieving clarity on value in order to make better decisions. We shall now apply the contributions in this research to extending the value conversation, even when there is no decision in particular. In a general sense, can our tools help develop mutual understanding on value? This might have implications for organizational recruitment and training, improving eﬀectiveness of teams and creating alignment on value. Going beyond organizations, political problems aﬀect our personal lives and times in consequential ways, and yet, we ﬁnd ourselves constantly in motion, with hardly a moment to reﬂect on rhetoric. What if we slow down and examine situations of conﬂict with great clarity, focusing on our value frames and the value frames of those we oppose? We might be able to stop talking past each other and go beyond our polarized positions in political conﬂicts by getting an insight into the other side’s position. While attempting to do this in the political arena is beyond the scope of this dissertation, we shall ambitiously present two short case-studies illustrating the use of value diagrams to clarify value frames in political conﬂicts. The ﬁrst example will be that of the Tibetan conﬂict, where we’ll compare the value frames of the Dalai Lama and a Chinese citizen. The second example will be that of an oﬃcial who held a high position in the Bush administration on the US-Iran standoﬀ. 115
He also felt that the police chief did not consider coercion to be an identity value. I facilitated a session with two lieutenants. Figure 6.1 shows one lieutenant’s personal value diagram in the current department. EXTENDING THE VALUE CONVERSATION The third example will be in religion. Althought the lieutenant considered enforcement to be of prudential value in his diagram. and people from Stanford should not get preferential treatment.1: Lieutenant’s Personal Value Diagram Figure 6. Figure 6. she had meant to clarify to her oﬃcers that they should treat the Stanford community the same way as they would treat someone from East Palo Alto (a neighborhood that has a reputation for having higher crime rates). However. This pointed to a diﬀerent value .” She then explained that by enforcement. we shall begin by examining an application in the Stanford police department.2 shows the same lieutenant’s version of the police chief’s value diagram. What if we could clearly communicate a religion’s value frame? We shall look at the world’s major religions and try to capture value frames of exponent practitioners. drawing their value diagrams from their previous police department. which had not been articulated in either of the two diagrams. The police chief looked at the lieutenant’s version of her diagram. She also clariﬁed . It was interesting to note that he felt he had been hired for his focus on service. although the lieutenant had probably received this impression from her. he felt that the police chief considered enforcement to be an identity value. this value had not been articulated by the police chief. “I think I know where he’s coming from. But ﬁrst. which was highly valued in the Stanford police department.one of equity.116 CHAPTER 6. 6. which is often the target of politics. we decided to try using value diagrams to capture the value frames of new recruits to the police department.2 Creating Mutual Understanding on Value As an extension of our police case study. and responded by saying. and their personal value diagram in the current department from their own perspective. what they thought was the value diagram in their current department from the chief’s perspective.
we ﬁnd the following: We stopped in a secluded spot to get some pictures (of the lieutenant).to obtain clarity on value across organizational hierarchies. A car was approaching from the other end and the lieutenant asked me to let the car pass. and she added it to hers. Looking back at the ethnographic analysis in Chapter 3.2: Lieutenant’s version of the Police Chief’s Value Diagram that she would have an identity link with coercion as it was a big disvalue for her. Figure 6. CREATING MUTUAL UNDERSTANDING ON VALUE 117 Figure 6.3: Police Chief’s Response This back-and-forth process illustrates one use of value diagrams . we ﬁnd that it does not mention the service aspect. The result of this conversation was the modiﬁed value diagram in Figure 6. This is because of the researcher’s own bias . In the notes taken during the ethnography. Moreover. which I showed back to the lieutenant.3. I managed to get shots of this. the car slowed down.4 a) and b)) The deputy noted that this was quite typical. and the driver stopped next to the oﬃcer to ask for directions. the chief liked the fact that service had been articulated in this diagram. along with equity. (See Figure6.6.2.the data gathered did have evidence to support this value. As I moved away. People would stop an oﬁcer pretty much anywhere .
As we just mentioned above. the methods interplay with each other and are not necessarily sequential.4: While trying to click a deputy. someone pulled over asking for help (a) Passerby asks for help (b) Deputy giving directions (c) Finally managed to take the deputy’s picture on campus to ask for directions. She and other decision makers can use value diagrams for internal training purposes. As noted in the introduction.2. We note that the ethnography has not really ended.1) . Just like the ethnographic analysis. The value diagram helped us go back and ﬁsh for more data to support a valuation. Sometimes.5) The police chief’s value diagram has evolved over several months. as it gets closer and closer to the her value frame. although it has stayed stable for longer periods with each change. deputies would even give people a ride. and it will probably continue to evolve. the police chief decided to add service and equity into her diagram. after reviewing the value diagram of her deputies. we note that the value diagrams are not static artifacts either.118 CHAPTER 6. (see 8. EXTENDING THE VALUE CONVERSATION Figure 6. (see Figure 6. The reader may refer to the appendix for another deputy’s value diagram.
the seeds of the dispute run deep. Things came to a head during the Beijing Olympics.5: The Police Chief’s Value Diagram with the deputy’s values included 6. Hong Kong. as well as residents of Taiwan. overseas Chinese overwhelmingly support the Chinese Communist Party’s position. Regardless. and Macau. while the Dalai Lama has progressively given up his demands for freedom. is censored. as a result of speaking with many Chinese. as of this writing. In recent years. which caused great embarassment and anger to the Chinese. The Chinese suspect the Dalai Lama’s motives. While that may have been a climactic moment. distorting and fabricating” to suppress the Tibetans. and that they did believe “the party line.” He writes[47. both in China and overseas. my inescapable conclusion is that they do sincerely believe the party line. THE TIBETAN CONFLICT 119 Figure 6.3. This is true of most overseas Chinese. where the pro-Tibetan movement tried its utmost to bring the cause of Tibet to the forefront. but ended up concluding that the Chinese were not lying. who consider the Tibetan issue as a family aﬀair into which the rest of the world should not meddle.6. Their commitment to its veracity is as strong as that of the Tibetans to their .3 The Tibetan Conﬂict The Tibetan conﬂict has been in the public forum for several years now. Powers recounts his own experience where he started out believing that anyone exposed to the facts would think that the Chinese were engaged in “lying. and asked for “meaningful autonomy.” The nature of the conﬂict is further accentuated by the fact that most Chinese citizens can only access the government’s side of the story as the internet in China. and reading a wide variety of publications by Chinese authors (both inside and outside the PRC). 161-162].
” He makes the following sage observation:[47. knowledgable as they might be about their own positions.. a former representative of the Dalai Lama in New York and Washington. and that of the Chinese Communist Party from the eyes of the Tenzin (who considers himself a Tibetan activist). the two sides understand where the other is coming from. The certainty with which most Chinese accept their “regime of truth” with regard to Tibet should give pause to the most passionate Tibet activist. Tenzin is currently a visiting scholar at Stanford University. that of the Tibetan activists. the crumbling edge of a slippery slope that leads to the destruction of the certainties that sustain the Chinese worldview and the Chinese state. Chinese people commonly assert that they have a valid perspective that has largely been ignored by a world that is either ignorant of the facts or deliberately misrepresents Chinese actions in Tibet. and former Chairman of the Kashag. The Tibetan subject interviewed for this exercise was Tenzin Tethong. . How well do they understand their own position? 3. How would the two sides dialog with each other over their value frames? In an exploratory case study. We put together three value diagrams . Thus. and so each faction is essentially talking to itself or shouting slogans that are ignored or rejected by the other. 161]: . while overlooking their own obfuscations. Powers notes that both sides start out with “incompatible premises” and support their claims with “selective readings” and “overreadings. D. The following questions come to mind: 1.120 CHAPTER 6.C. They claim that trying to present their case to pro-Tibet foreigners is like arguing with a brick wall . . EXTENDING THE VALUE CONVERSATION own paradigm. their messages are primarily aimed at those who already share their imaginings. the Tibetan Cabinet. when two polarized sides of protestors shout at each other. and any problematization of it is generally viewed as dangerous.exactly the experience their opponents have with them. .” They both accuse the other side of “deliberately obfuscating.that of the Dalai Lama. How well do both sides understand each other’s position? 2. we shall try to capture the value frames of each side through two subjects and explore these questions. where the interview took place. each each group ends up talking to itself and those who already agree with it. We are led to wonder if in all the shouting.
the value experienced is at the level of who he is.6. he has often called himself a “Marxist” or “socialist” monk.3.1 The Dalai Lama’s Value Diagram The Dalai Lama’s Value Diagram according to Tenzin is shown in Figure 6. The Dalai Lama believes that non-violent actions are very important to promote both economic and cultural freedoms. and more directly for the expression of the Buddhist identity.6. More cultural freedom is necessary for the Buddhist identity. THE TIBETAN CONFLICT 121 6. it has no room for coercion. in that. for it might spark Chinese compassion which would be good for both economic and cultural freedom. Finally. He believes that accepting Chinese rule is of prudential value. as a Buddhist and as a World Citizen. Economic and cultural freedom are necessary for the Tibetan identity. The Dalai Lama has three core identity values that he has publicly talked about . He comes at it from a spiritual space (so perhaps we should label his brand of socialism as spiritual .6: The Dalai Lama’s Value Diagram In order to promote non-violent action.3. and sees no problem with that. This will also help the Tibetans in accepting Chinese rule. a non-violent mindset needs to be developed. Figure 6. In sofar as he is able to express any of these identities. He believes that accepting Chinese rule will help Tibetans to beneﬁt from the strength of the Chinese.his identity as a Tibetan. He also believes that accepting Chinese rule connects with his identity value as a world citizen. but his form of Marxism or Socialism is quite diﬀerent from political socialism.
as shown in Figure 6. without questioning the identity values. which would strengthen the Han Chinese identity. The Dalai Lama would believe that acceptance of China’s . coercion is a disvalue at the level of his identity. At the level of identity. The Dalai Lama’s response would involve arguing that non-violent action was a prudential value for the CCP. and could be brought about by developing a non-violent mindset. this is a constrained value diagram which has ruled out accepting Chinese rule.8. Finally. I asked Tenzin how the Dalai Lama might engage with the CCP’s value diagram. to which we came up with the value diagram in Figure 6. this is also a constrained value diagram. the CCP cared about personal prosperity of its members and the Han Chinese identity. which he considered representative of the activists. EXTENDING THE VALUE CONVERSATION socialism or ashram socialism). and both non-violent action and Chinese compassion will lower the level of coercion in Tibet.9. as the Dalai Lama includes ethical and philosophical richness in prosperity. Figure 6. We then drew the Tibetan activist’s value diagram. Therefore. Individual integrity and acceptance of China’s philosophical heritage were both prudential for developing personal prosperity. valuing freedom of the individual. The core identity values were the same as that of the Dalai Lama. which was a systemic constraint.7. Therefore. Preservation of their ideology was a systemic value that was prudential for both their personal prosperity and the Han Chinese identity. but there was a strong emphasis on political independence.122 CHAPTER 6. In other words.7: The Tibetan Activist Value Diagram We then drew the CCP’s value diagram according to Tenzin in Figure 6. The Han Chinese identity allowed the CCP to ensure continuing prosperity.
6. THE TIBETAN CONFLICT 123 Figure 6. and it actually seems to reveal (in a complicated and subtle way) the real “wisdom” of the Dalai Lama. or the . It not only makes intellectual or intelligent sense but conforms to his basic Buddhist ideas and spiritual beliefs. And how it all ties in with the Chinese perspective of things. Tenzin shared some reﬂections on the Dalai Lama’s value diagram: (I) ﬁnd it quite compelling and accurate as far as I can see. Through this exercise.3. we have captured a dialog on value with clarity that goes far beyond words.8: The CCP’s Value Diagram Figure 6.9: The Dalai Lama’s Response philosophical heritage would increase the individual integrity of her citizens.
10: The Han Chinese Value Diagram In this diagram. First. Figure 6. by which he meant economic develpment. “were not producing. who according to him. We note that for this section. we’ve used signed value diagrams to ensure clarity of value judgment. He pointed out that in no other ethnic group are we to ﬁnd 20% of the population as monks. He pointed out that trading was an integral part of the Han Chinese community.10.” He also felt that the monks were suppressing the local people and were preventing equality.2 The Han Chinese Value Diagram We share some results from an interview with a subject who identiﬁed himself as a “Han Chinese. as it hampered productivity and therefore. which was an important identity value for him. but had grown up in Southeast Asia.3. We shall next examine value diagrams from the Chinese perspective. economic development. 6. as the Chinese side is usually at the receiving end of criticism.124 CHAPTER 6. EXTENDING THE VALUE CONVERSATION position of strength and magnanimity which they profess at times of “ﬂourishing” also makes this a “realistic” way to see the model as a real possibility.” Economic development was a fundamental value at the level of their identity. the subject laid a great deal of emphasis on the development of Tibet. The subject was against the monastic culture of Tibet. to minimize any loss in translation. and was living in the United States. The development of Tibet had both a . we drew his value diagram on the Tibetan situation in China in Figure 6.” The subject was an ethnic Han Chinese. and they might even be considered the “Jews of Asia.
11. The last identity value (or disvalue) was violence. or as mere tokens within some system or ideology. “National Sovereignty” and “Development of Tibet” might both violate the intrinsic value question. and by this he meant how education improves the status of a person. and this. which is shown in Figure 6.” With this warm-up. the subject felt. and violence was looked down upon as it would hamper this and economic development. and that the Dalai Lama saw this as an intrinsic value.” in that the rest of China which has several other states that are not Han-Chinese would start asking for independence if Tibet was let go. and felt that the Dalai Lama .11: The CCP’s Value Diagram according to the Han Chinese subject Finally. National Stability and Integrity was also very important.” The economic development mentality was an intrinsic value taken as the majority of China is Han Chinse. which he felt was bad in and of itself. and he felt this had intrinsic value for him. While the canonical diagram helped clarify the valuations themselves. The subject felt that Tibetan Independence was of paramount importance. The subject noted that he was not very sympathetic to the CCP. More development would ensure more equality for Tibetans. and would allow the Chinese to maintain suzerainty over Tibet. which would help “National Sovereignty.12. as was the welfare of all Chinese. was a Han Chinese cultural value. we move on to the Dalai Lama’s Value Diagram as shown in Figure 6.3. we moved on to the Chinese subject’s view of the Chinese Communist Party’s (CCP) value diagram. or will it treat all or any of us as mere means to ends or goals beyond ourselves. National Sovereignty was a fundamental intrinsic value. Finally. THE TIBETAN CONFLICT 125 prudential and an identity value for him. He was cynical about the Dalai Lama’s intentions. Equality for all classes is very important to the CCP.6. and he represented this with the intrinsic value of “one party rules all. we can see how the distinction between value and valuation can help us go a little deeper. although it isn’t clear how this value compares with equality. He introduced status of all in Tibet. Figure 6. which we framed as “Will this prospect be respectful of the intrinsic worth of all the people who will be aﬀected by it.
. • Never thought about Chinese Compassion.12: The Dalai Lama’s Value Diagram according to the Han Chinese subject After showing the Chinese subject the value diagram drawn by the Tibetan subject (Figure 6. 20% are monks). Bullshit. but not the Tibetans (laid-back because of religion. Supporting a western form of democracy helps with his diplomacy. Diplomacy also helps gain the moral support of the world.6). no problem with it. economic development will reduce the Tibetan identity. Moreover. in the way he has been winning people’s hearts. he shared the following reﬂections: • “Economic freedom” does not lead to “expression of Tibetan identity” • Uighurs are very entrepreneurial. The subject felt that the moral support of the world was important to the Dalai Lama for another reason .126 CHAPTER 6. Very ﬂowery.it supported the continuation of the Dalai Lama institution. Figure 6. • Disbeliever of Expression of World Citizenship. Tibetan identity hinders economic freedom. Tibetan Buddhism was also an intrinsic value. which he believed was valued intrinsically by the Dalai Lama. This is a prudential value for him as it aids the cause of Tibetan independence. Finally. If anything. very diplomatic. • (After explaining that the Dalai Lama is using “World Citizienship” as an intrinsic value to accept Chinese national sovereignty) I agree. EXTENDING THE VALUE CONVERSATION was perhaps one of the best diplomats around. he felt that the Dalai Lama also valued intrinsically the opportunity to return to Tibet within his lifetime.
but are they enough for the stability and long-term health of a society?) On the Chinese subject’s comments on the population of monks and Tibetan’s entrepreneurial ability: The statement “Uighurs are entrepreneurial and Tibetans are not” is not accurate. like saying that every family sends one child to the monastery. actually the monastic education and culture promotes more peaceful and compassionate actions within society and is the basis of ethics and positive general education. (I am aware China is all about the booming development. he shared the following reﬂections over email.3.6. Look at the Tibetans south of the Himalayas. “what if the Dalai Lama believed sincerely in this diagram. About 20% monks is always one of those ﬁgures thrown out too casually. There may have been some truth or closer to the truth before 1950’s but I don’t think it holds true today because of general educational opportunities in Tibetan society both inside and outside Tibet. The Tibetans and the Dalai Lama deﬁnitely have a sense of their own history and identity very distinct from the Chinese. I will go along with it. They are most entrepreneurial and successful. THE TIBETAN CONFLICT 127 • When asked. and even when they do go in the drop out rate is much higher than before. In fact. No radical stuﬀ in here. Even though the CCP considers it a hindrance to development.3 Facilitating a dialog After showing the Chinese subject’s diagrams to Tenzin. both refugees and early migrants over the last 3 to 4 hundred years. There is lots to say in this regard.” he responded. Will highly respect him if this diagram is true and sincere. and the History of the Institution of the Dalai Lama. On economic development reducing the Tibetan identity: .” 6. On the subject’s negative valuation of the monastic order: I would not agree that the monastic culture is a minus in brackets (negative valuation).3. there might be a decline in younger Tibetans going into monasteries. Like it because it does not have any oppressor bubble sitting there. On the Chinese subject’s version of the Dalai Lama’s diagram: What is missing is that there is a “History” line which is part of the Dalai Lama’s makeup of his mind. Tibetan Buddhist History. Tibetan History (pre Buddhist). “If this were really true. This line of pods is missing in the diagram.
and national sovereignty was a prudential value to help us get there. no.” The Chinese culturally view the nation as a family. “Chinese well-being” was subsumed into the new intrinsic value. the subject explained that the Chinese word for “nation” is “Guo Jia. is “nation-family. EXTENDING THE VALUE CONVERSATION I also don’t agree that economic development will reduce Tibetan identity. is that the Chinese are scared to antagonize American society with a point of view that is diﬀerent from the dominant narrative.1 In this background. for various reasons. This came as a surprise to me as I’d initially thought that the Chinese were worried about their own government retaliating against their loved ones for perceived hostility to the motherland. but a means-to-an-end. After digging deeper. the researcher notes that when the subject discovered the intrinsic value.13. and there is no basis for Tibetans to be exceptional.” which.3. This assenting silence has been experienced by the researcher with other subjects as well. the researcher got the impression that he felt he was ﬁnally being understood. and to the last one.4 The Canonical Diagram The axiomatic position and question turned out to be useful in drawing a canonical diagram of the Han Chinese subject. when translated back into English. In a discussion on the underlying value. We then agreed that “Well-being of all in the nation-family” should be the intrinsic value. Economic development or growth has not diluted Indian. he immediately went silent for some seconds. the subject remarked in an email. 6. and might be a clue that we are touching on ground that is indeed of an intrinsic nature to the subject. Does this value respect the intrinsic worth of people? Does this value use people as a means to an end? Does this value require people to fulﬁll an ideology? The answer to the ﬁrst two was yes. . When the researcher asked whether the Han Chinese were being considered as synonymous with the communist government.5 Conclusion When talking to Chinese subjects. The result is shown in Figure 6. the subject agreed that national sovereignty was not an intrinsic value. The primary one. After some more discussion.128 CHAPTER 6. I found that they are unwilling to engage with the Tibetan subjects. 6.3. As an observer. and get very apprehensive when the family is threatened or interfered with. as revealed by the Han Chinese informant. The question was as follows: National sovereignty is an intrinsic value in your value diagram. the value diagrams became the 1 The subject kept trying to impress upon the researcher that the Han Chinese were doing a lot for the Tibetans. Chinese or any one’s identity. When he spoke next. for they fear intolerance. all the other values that had been considered intrinsic earlier were now prudential values.
one value diagram from a Chinese subject who grew up in Southeast Asia should not be taken to represent the general Chinese view (although it may be quite similar). However. that is not the intent of this research. The object of this research is to get to a point where the subject says.3.6. THE TIBETAN CONFLICT 129 Figure 6. an important question may be raised . In fact. shame on China” etc The Israeli PM once told Dalai Lama he likens Han treatment of Tibetans with German’s teartment of Jews during the Holocaust. Such a conversation is very diﬃcult to hold when both sides get deeply emotional and judgmental.how much time do we need to draw these value When I joined the huge crowd (only as observer)during the Olympic torch protest I saw this hatred for the CCP become hatred for Hans.13: The Han Chinese Canonical Diagram medium of communication. . Finally. As facilitators of diﬃcult conversations. Anyway. “You are doing a good job. Think. one cannot be Han Chinese of any origin and not get aﬀected by the Free Tibet tidal wave that started 30 years ago. On matters of validity. the goal of wanting accuracy in the value diagrams became an invaluable tool to help withhold judgment and listen with empathy. it would be very hard to withhold judgment. the fact that so many of us DARE NOT even publicly talk and acknowledge our oppoistion to some of the Free Tibet tenants show how much terror and fear we have in our hearts and mind while living in this FREE country!! This is also an injustice. where the conversation was on value and not on the personality. I saw big burly white man carrying Tibetan ﬂags shouting down on tiny little Chinese old lady carrying the PRC ﬂag: “Shame on you. This is indeed my value frame.” The researcher notes that if this were to be an unstructured conversation. we might ﬁnd value diagrams to be a structural tool that makes it much easier for us to move beyond our own positions and understand others. wow.
the value diagram in Figure 6.” much attention has been given to Iran’s nuclear capability. However. By applying the axiomatic position on value.16. 6. an hour-long session was needed for both subjects. but the diagram was continuously reﬁned over a period of time with a lot of back-and-forth online communication.it is a construct that has many prudential beneﬁts.1 The “Do not talk” View In an interview with a senior oﬃcial who had served with the Bush administration.130 CHAPTER 6. What are those values? In order to provoke the oﬃcial’s thinking. it is a system. Figure 6. which had to go into prudential nodes.14: Past US Administration Oﬃcial on Diplomacy with Iran We note that “democracy” has been valuated intrinsically. turning democracy into a systemic value. 6. One interpretation was also oﬀered by the author based on the interview conversation. EXTENDING THE VALUE CONVERSATION diagrams? In this case.4. With President Bush including Iran in the “axis of evil. and this interpretation is shown in Figure 6. The canonical diagram with the Han-Chinese subject took another hour of face-to-face discussion. which ultimately would go into intrinsic or identity values. The gist of this value frame is that it is very important to not legitimize incorrect actions on the parts of other governments by talking to them.14 was drawn. we observe that democracy is a systemic value .15. we drew Figure 6.4 The United States-Iran Row The United States has been trying to deal with Iran’s interest in nuclear capabilities for some time now. . designed because some other values are important.
15: Turning democracy into a systemic value Figure 6. While we didn’t hear . those the subject called “neorealists. . and initially the subject had listed “there’s no problem that cannot be resolved by talking” as the underlying intrinsic value of the prudential node “Talking.” Figure 6. . ultimately leading to world peace.4. . Figure 6.16: One interpretation oﬀered Finally.” which sounded less like value and more like information.6. As we may note.17 b) was sent to the subject as an interpretation of our conversation. we tried drawing the value diagram of the opposing view.17 a) shows this position. where the underlying value was resolution. THE UNITED STATES-IRAN ROW 131 Figure 6. the diagram is rather sparse.
4.2 Conclusion While the researcher did not hear back from the senior oﬃcial (the ﬁrst subject).132 CHAPTER 6. we did interview someone the subject recommended who knew the neo-realist position well. it implied a deep misunderstanding).17 c). and only leads to wasted resources.17 a). who came up with a rather diﬀerent diagram as shown in Figure 6. Spreading democracy had a negative valuation as neo-realists believe that it cannot be transplanted. as it did not make sense (rather.17: The neo-realist position (a) Neo-Realist position according to Bush-era oﬃcial (b) Neo-Realist position modiﬁed by researcher (c) Neo-Realist subject 6. Figure 6. one is led to wonder the implications of having a senior administration oﬃcial have a deep misunderstanding about value positions that ought to be well-understood before . and we must discount the fact that the oﬃcial was very busy and could not allocate more than thirty minutes for the value diagram interview. EXTENDING THE VALUE CONVERSATION back from this subject. This subject refused to believe that the earlier subject had drawn Figure 6. which might have been used elsewhere.
2 Perhaps. and that is when I know that I’m going too fast. She pointed out that the ten commandments were as important to Christianity as they were to Judaism. Like the Rabbi.5 for more value diagrams on this standoﬀ from Subject 2 and an Iranian subject . Perhaps. We note that this is not the same as presenting the value diagram of the religion.18 a). our tools can give decision-makers a quick way to check their understanding without having to read tomes of political analysis. The Reverend is a priest in the Episcopal Church and an Associate Dean for Religious Life at Stanford. She noted. which might include other values.18 b). This marks a path toward holiness. In ﬁgure 6. the Reverend agreed with most of it and found it remarkably similar.6. 6. Among other things. Blessing over bread reminds us when it was given to us by God. we have attempted to map out the values of the major world-religions. The organge nodes show the ten commandments. she liked the visual representation of the fact that “don’t covet” was a central prudential value. There are times when I cannot remember what I did every day of the week. After the exercise. The Reverend’s meeting resulted in the value diagram shown in ﬁgure 6.5 World Religions Developing mutual understanding on value in our society is a task that is worthy of attention. I make dinner. start with the table blessings over candles and go through each of the days.1 The Ten Commandments Both Judaism and Christianity revere the ten commandments. WORLD RELIGIONS 133 they are rejected. she found the process of thinking through her values quite challenging. After seeing the Rabbi’s diagram. 6. “I’ve never been asked why some of these commmandments are important!” and the ensuing reﬂection led her to announce that she had material for her next sermon. and that we have bread to eat and hence must develop gratitude. This is an illustrative example of how the two religions look at the ten commandments. talk about the exodus from Egypt. from the perspective of two practitioners of these religions. as Christ spoke about them. which was about training the mind so that undesirable actions would not manifest. value diagrams can serve as an executive summary of a political position. She remarked. The rabbi noted that the Sabbath had become a very important practice in her life. We do our blessing over children. we present the value diagrams of a Rabbi and a Reverend.5. 2 See Figure 8. which looked remarkably similar to the Rabbi’s diagram.5. make or pick up a hala (sabbath bread). In particular. the Rabbi (who is a Senior Associate Dean for Religious Life at Stanford) commented. The results are presented below. blessing over wine.
134 CHAPTER 6. EXTENDING THE VALUE CONVERSATION Figure 6.18: The Ten Commandments (a) A Rabbi’s perspective (b) A Reverend’s perspective .
While we were drawing the diagrams. says something about the importance of the fact that we dont want to be alienated from others. but underneath all of them are the same common values reverence for God. we overlook or move beyond the Hebew scriptures. During the drawing of this diagram. Seeing the ten commandments in the whole. sense of sacred and holy are found in all of them. We cannot help notice the similarity with the rabbi’s value diagram. When asked whether she was surprised about all the similarities. I dont necessarily see that as a good thing. . Emphasis is on the Christian testament and Christian scriptures.19 b) shows the subject’s own value diagram.5. We might wonder why there are no systemic arrows in this diagram. the subject remarked that he was forced to think of his own faith in such detail for the ﬁrst time. she noted: Doesnt surprise me that the diagrams are so similar. She liked and agreed with the Rabbi’s characterization of “power” and “money” as the “false Gods” in our society. Its not something that I see as so vastly diﬀerent either that I cant learn from or embrace. Figure 6.5. Very very common ground upon which we stand.2 The Five Pillars of Islam Figure 6. 6. Ive often joked with the Rabbi about how much I love and respect Judaism. She emphasized the value of the ten commandments as follows: Sometimes christianity can be too individually focused. Holiness in the Rabbi’s diagram corresponded to reverence in the Reverend’s diagram. It is because the subject framed the ﬁve pillars not as speciﬁc rules but as life-principles. and hence requested that the Arabic word be retained for referential purposes. therefore building and sustaining communities means that all of those commandments need to be kept in their whole. It doesnt necessarily negate the fact that there are distinctive parts of our religious traditions that are unique. especially the last 6.19 a) shows the perspective of a Muslim subject on the ﬁve pillars of Islam and how important they were in the religion. WORLD RELIGIONS 135 Challenge in Christianity is too often. the subject pointed out that many of the nodes in the diagram had no English equivalent. probably because in the end it speaks to many of the values either I hold or want to ground my life in. She did agree that the ten commandments would be much more central for Jews than for Christians and that her view might not be shared by everyone.6. and we note the that the subject treats the ﬁrst pillar as most important. the realization of the ﬁrst commandment was an intrinsic value. although in that case. reverence for others.
including the entire universe into my horizon. For instance.” Purity was about “developing one-pointedness of purpose. love (d) and psychic control (d).20 a) shows the basic value diagram of a monk from the Vedanta tradition (the philosophical side of Hinduism). after much discussion.19: The Five Pillars of Islam (a) Muslim Subject’s perspective on the Five Pillars (b) Muslim Subject’s perspective on his own values 6.” The intrinsic value was the hardest to articulate.” to denote the bringing of holistic clarity to daily life.5. Christianity with its emphasis on love might look like . each highlighting a diﬀerent aspect: action (b). into my sense of I. and this is perhaps true of all the religious value diagrams drawn so far. Vedanta shows maps for four diﬀerent kinds of religions. the monk noted that this was about “seeing things as they are from the highest plane possible. purifying our resolve to bring the clarity into our daily life. For lack of a better term. By holistic clarity.3 Vedanta Figure 6. If Vedantists were to look at the other world traditions. EXTENDING THE VALUE CONVERSATION Figure 6. intellect (c). they might be able to start classifying them as one of the four yogas. From this point on. we decided to go with “living in unity.136 CHAPTER 6.
we came up with the value diagram shown in Figure 6.5.20: Vedanta (a) Foundational Value (b) Karma Yoga: Unity through Self. and so.” The researcher checked several times if there might be a deeper source of value for a Jewish practitioner. the subject remarked that he had some objections.” which he felt was in tension with capitalism. and it took a while for us to uncover some of the underlying intrinsic values. WORLD RELIGIONS 137 Figure 6. Reﬂecting on the diagram. he pointed out “Don’t Covet. Islam and Judaism with their strong emphasis on selﬂess service might look like Karma Yoga to a Vedantist. 6. in a single intrinsic value “piety. The researcher then showed the Rabbi’s value diagram (see 6. and we tried to draw his perspective of the values of a Jewish practitioner.6.18) to the subject. but the subject was sure that this would be it. he was asked which religion he knew most.4 Atheism A discussion on the values of major world religions would be incomplete without some attention on the atheists. When asked which nodes he objected to. The subject was fairly critical of religions. Logic was a big prudential value for the atheist. and resulted .21 b). He pointed out Judaism. In the course of the discussion.21 a). which resulted in Figure 6.5. The researcher interviewed an atheist subject who also considered himself to be an environmentalist.(c) Gyana Yoga: Unity through IntelDiagram less Service lect (d) Gyana Yoga: Unity through Love (e) Gyana Yoga: Unity through Psychic Control Bhakti Yoga to a Vedantist. This led to a discovery of some of his own values.
while other good values like “don’t steal” and “don’t murder” were also present in other societies. on the other hand. He felt that this systemic value was remarkable and stood out. The Rabbi. saw coveting as more subtle than coveting other’s property. of which he was a part. EXTENDING THE VALUE CONVERSATION in a modiﬁed value diagram. He did not like the injunction on “don’t commit adultery.20). might lead us astray.21 c). upon seeing the value diagrams of other traditions. which if not checked.” Figure 6. Coveting was necessary in order to sustain the capitalist system. and commented. “I support these values although it is not exactly the way I think of things. The subject liked “don’t bear false witness” and this might be due to his intrinsic valuation on truth.138 CHAPTER 6. and innovation was important for the well-being of society. he liked the values in “Gyana Yoga” (Figure 6. as shown in Figure 6.” Finally.21: An Atheist’s Value Diagrams (a) Initial Value Diagram of Atheist Subject (b) A Jewish Value Diagram Atheist Subject Practitioner’s according to (c) Atheist Subject’s Revised Value Diagram . The subject felt that capitalism was good for innovation.
6. although the words used to describe them may be diﬀerent. In light of this common thread of unity. by helping practitioners to discover. The idea of unity between religions is by no means an exclusive discovery of this researcher. as it has been proclaimed by leaders like Vivekananda and many others. Swami Vivekananda’s 1893 speech at the ﬁrst recorded interfaith gathering. The level of noise between practitioners of diﬀerent religions or sects who take antagonistic positions is not all that diﬀerent from the Tibet-China conﬂict or the US-Iran standoﬀ. Having said that. we might be able to take inter-faith dialog to the next level.5 Conclusion With these maps. underscoring perhaps that the world religions can ﬁnd a unity in their core values. comes to mind: If the Parliament of Religions has shown anything to the world it is this: It has proved to the world that holiness.5. purity and charity are not the exclusive possessions of any church in the world. appreciate and communicate the sources of value in their traditions and also appreciate the values of other traditions. the similarities in the religious value diagrams stand in sharp contrast to the diﬀerences noted in the political value diagrams. and that every system has produced men and women of the most exalted character.5. WORLD RELIGIONS 139 6. the World Parliament of Religions in Chicago. . This work is a small contribution toward bringing the world together by discovering. appreciating and communicating the ground on which we stand. Powers’ sage observation that people in conﬂicts are usually talking to themselves and those that agree with them is a worrying one. This observation should motivate us to go beyond our stated positions and truly attempt to comprehend those with whom we disagree.
140 CHAPTER 6. EXTENDING THE VALUE CONVERSATION .
While the investment required in an ethnography is not trivial. While a template for the university’s departments might be applicabile to other universities that share the same value frame. value diagrams can be used to tell value stories as a precursor to decision-making. new product introduction. Each of these has been a separate contribution. The method of ethnographic analysis can be used to aid discovery of value sources embedded in a culture. some patterns have emerged. that might aid standardization.1 Standardization of Analysis In the Decision Analysis literature. 141 . the method of ethnography might itself be a pattern of initial value discovery that helps us uncover important sources of value embedded in culture in a class of organizations. we can leverage the rich sociological literature on non-proﬁt organizations in diﬀerent ﬁelds to understand the value frame. This call for standardization is pertinent in the ﬁeld of voluntary social policy decisions which have not received as much attention in the literature as business and public policy decisions. This standardization will require special computer programs. and research expenditures. In particular. the emergent insights from the ethnography helped us quickly create value diagrams that were acceptable to most departments on campus. Matheson and Howard make the following observation: Decision analysis procedures will become standardized so as to yield special forms of analyses for the various types of decisions. and specialization of concepts for each kind of application. The axiological distinctions from formal axiology can be used to aid the appreciation of value. Finally. terminology. 7. appreciation and communication.Chapter 7 Conclusion This dissertation has used multi-disciplinary methods to help achieve clarity on value. Clarity has been unpacked into three aspects . From our limited work on the case studies.discovery. such as marketing strategy.
. Having said this.2.it would seem that this is an identity goal for Google. we have primarily focused on voluntary social policy problems. Second. Google is determined to get the world’s books digitized and available to the common public. we need to study shared contexts in order to discover identity values within such contexts. we would soon ﬁnd a world in need of a great deal more help than it is in need of today. CONCLUSION 7.1 Application in the For-proﬁt World In this dissertation.[45. are these tools applicable to businesses? The quote of Pallotta bears repeating: The fallacy is that the for-proﬁt sector does not help people. That should not be surprising. we could not power any of our charities. . The Google Books project is one example. Helping people is what the for-proﬁt sector does. by setting people and life as a source of identity value. The discerning reader may ask. Organizational and professional culture are two powerful distinctions that can help guide our exploration in this regard. 7. . Therefore. where even after protracted legislation. If not for the for-proﬁt electric companies. First. there would typically be a core identity value around a positive ethic (education in the case of Stanford) that replaces the well-being of the self that underlies the prudential value of proﬁts. ostensibly by Chinese hackers who might have had . . service is considered beneﬁcial to the self in such organizations. It is impossible for us to predict the value diagrams of individuals without knowing the social contexts that they inhabit. and in the previous chapter. one might ask if there are patterns that emerge in identity values across organizations. One of Google’s famously stated values is “do no evil. at a fundamental level. there isn’t really a contradiction with the notion of well-being of the self. we do ﬁnd some patterns from the work in this dissertation in the context of voluntary social service organizations. In a philosophical sense. The for-proﬁt sector simply doesn’t regard the presence of self-interest as being at odds with meeting need. given that the motivation of Hartman when he came up with the hierarchy was his experiences in Nazi Germany. .” Google found it diﬃcult to reconcile their decision to stay on in China after Gmail accounts of human rights activists were hacked. and many of their actions defy short-term proﬁt thinking. . the other set of identity values found in this dissertation have to do with people/life.2 Patterns in Identity Values As a big focus of this dissertation is on identity values. Indeed.142 CHAPTER 7. 36] In our times. If we shut down the global oil conglomerates tomorrow. .” There is no mention of proﬁt here . . and hence. . Van Maanen summarizes the work of Herbert Mead and others expertly when he points out that self-conception emerges through interactions with others in a context. Google is an example of a company that has declared its goal as “organizing the world’s information. extended it to problems that touch on public policy. and a deep rooted desire to prevent an ethical miscalculation like that again. it regards the two as essentially connected.
for instance. There is a rich literature in descriptive strategy that has developed over decades which has not just documented the culture of value creation. weapons or tobacco for some VCs.” etc. PATTERNS IN IDENTITY VALUES 143 the backing of the Chinese government. but has also advocated such a culture. At the systemic level. While some may argue that Google is the exception. One of the VC subjects compared this line of thinking to having three judges in his head. and prudential disvalue that arise from working with people who do not tell us the truth. We shall conclude our discussion of the for-proﬁt sector with a concrete example from the venturecapital (VC) world. and others may second-guess Google’s business motives. for instance. for which an organization may be willing to trade-oﬀ its proﬁt. to quickly narrow down ventures that they’d like to evaluate.will the VC be better oﬀ ﬁnancially by backing this venture? The prudential considerations drive systemic models that help the VC analyze the situation.” “Is the technology in a hot area?. This could be a systemic rule that is inspired by an identity value around truthfulness. It would not be an exaggeration to say that Google’s decision to pull out their search operations and move them to Hong Kong without censoring their results has created a shock in the business community. no matter how lucrative. The tools of business in the mainstream may be currently limited to a single direct-value . “does the CEO have experience in the industry?. On another level.proﬁt. and shared the axiological questions and found that they were a great ﬁt for funding decisions unders consideration. most analysts and the US State Department have taken notice and believe it is more than a prudential consideration to take such a big step. While some analysts have been second-guessing Google by projecting prudential considerations where Google believed it would never be able to beat their number one competitor Baidu. the author spoke to two venture capitalists. investing in solar energy at lower returns because the planet needs renewable energy sources. the VCs may not fund a deal. if the venture deals with something that violates an identity value. whom he could consult at diﬀerent levels of value.2.7. even if it may not be all that prudential . it is highly presumptuous for anyone to make a claim that businesses care only about making money. . the VC comes to the point where they have to make a decision. VCs may still kill the deal if they ﬁnd that they are unable to trust with the people who are in the venture.. It is clear that this pullout will come at a big prudential price. not the norm. Once the list has been narrowed. but it is only a matter of time before such tools evolve to incorporate more sources of value. like. In the context of early-stage startup funding. a great deal of consideration is given to prudential matters .” “Will I look stupid if I invest in this?. and ﬁnally. Other VCs might be willing to fund ventures that ﬁt their identity values. venture capitalists have rules that are fairly black-and-white. At this point.
Speciﬁc questions are sometimes added to partition non-use value further into the value of retaining an option for future use.144 CHAPTER 7. no one was making a decision with their own money. In all our case studies. Second. if any). who the decision makers are. The ﬁrst is that “the same good elicits a higher WTP if it is ﬁrst in the list rather than valued after others. This value is sometimes divided into use-value and non-use value by comparing the WTP of respondents who expect to enjoy the public good personally (e.the price that would be maximally paid by a person for the value of the object in question (comprising existence-value plus use-value. and Carson  presents a nice review of the diﬀerent positions. where it is unclear what the costs and beneﬁts are and more fundamentally. The second is the problem of an “embedding bias.” where goods that were posed as subparts of a larger good were valued lower. which they dub as “contingent valuation. the decision maker was involved in thinking about how they’d spend their own resources. The subjects were answering hypothetical questions. Kahneman and Knetsch go on to present a study  which demonstrates two problems. application of decision analysis in public policy that is so common nowadays under the name “cost-beneﬁt analysis” has serious philosophical problems.” Since the order in which the questions were asked was arbitrary.” a frame that we rely on heavily to systematize identity values. the questions were meant to inform regulatory policies.. Sen further adds: Contingent valuation is indeed best seen as an extension of market valuation through “willingness to pay” for things that are not bought and sold in the market . While Kahneman and Knetsch’s work is much cited by others like Sen to criticize contingent valuation. a bequest value. in the study presented by Kahneman and Knetsch. First. For reasons pointed out in the introduction. Harrison has presented a rebuttal on this  questioning the methodology. CONCLUSION 7. and a pure existence value.g. we must note how this dissertation and the general application of willingness-to-pay can be useful in the ﬁeld of decision-making. beneﬁt from improved visibility or from the increased number of ﬁsh in a cleaned up stream) to the WTP of respondents who have no such expectations. usually by specifying the maximum amount they would be willing to pay to obtain or to retain it. .3 Criticism of Contingent Valuation Behavioral economists have much to say on the question of “willingness-to-pay. the authors question the validity of the responses. The total value of the good is estimated by multiplying the average willingness-to-pay (WTP) observed in the sample by the number of households in the relevant population.” Kahneman and Knetsch write: The idea of (contingent valuation) is quite simple: respondents are asked to indicate their value for a public good.
by attempting to capture the value frame of the decision-making body with multiple methods and triangulating. giving them several opportunities to clarify their own value-thinking. First. so that they may be consistent with it. no two interviews were the same. . when they might draw the decision diagrams for our case studies in the same way without going through value diagrams. which are shared by the research community. On the ethnographic method as a contribution. as pointed out in Section 1. As an example. A more subtle question may arise if we were to model the Stanford decisions from scratch without drawing the value diagram of Stanford University’s President.4. we are on a very diﬀerent ground than asking questions embedded within questions to random subjects who may or may not have a stake in the problem. how good was our ethnography? Third.5.1. Finally. In the domain of voluntary social policy decisions. and another who group well-versed in it.7. 7. Such a question would miss the goal of this research. to the same decision-maker. and taking a strong frame of equity and eﬃciency may miss out on other values that are important to the decision-maker. and they may be challenged when a researcher with a diﬀerent set of values feels the community should be looking at other aspects. from the case studies presented. from a methodological perspective. VALIDITY 145 which have been rightly criticized by the behavioral economists. it would be hard for whoever goes ﬁrst not to inﬂuence the other’s model by clarifying the decision-maker’s values in their conversation. the clarity on who the decision maker is. two questions may be raised. Public policy researchers may ask why we should use these methods. why is the ethnographic method better than other methods? Second. Equity and eﬃciency are usually the guiding values in such analyses. and on the frame of the problem with an emphasis on decision-making bypass the philosophical issues that the critique captures. This researcher has not found any papers in the public policy domain where coercion has been modeled as a cost. where subjects needed to be asked the same kind of questions. Some of the values uncovered are quite unique to the culture or to the individual. Every client had a diﬀerent value-frame and the attempt was to ﬁnd a custom-ﬁt on value for clients over a period of time. In this dissertation. the goal was to help individual decision-makers discover their value frame. we note that we have shown some examples where coercion has been modeled as a cost.4 Validity The question of validity is interesting in more ways than one. Kahneman and Knetsch’s study suﬀers from the rigidity of experimental research methods. Since our bent is decidedly sociological. would we come up with the same decision diagrams? Is this a sign of hindsight bias. or would we really model the problem in the same way? We wonder if it is possible to determine this. for even if we were to send a group of public policy researchers not exposed to value diagrams. Public policy approaches are strongly tied to a notion of social good.
this question may be the object of inquiry for those interested in the psychological or sociological dimension. sociologists might be interested in investigating how value frames change as an individual jumps organizations. This would connect with Eisenhardt’s work referenced in Chapter 1. From a decision analytic perspective. and there is no science for knowing when to stop adding to them. a leading question would be on how people might collaborate and negotiate to arrive at value alignment. We can interview our clients all we want. we note that we have a methdological advantage over the sociologists that allows us to get away with a much shorter amount of ﬁeldwork. For those who are interested in strengthening the framing tools of decision analysis. The biggest criticism that may be levelled is that the police may have given me a story that they wanted me to believe in. shedding some light into the guidelines for drawing value diagrams beyond this introductory work might be an object of inquiry. in the examples discussed in Chapter 5. we might still be able to use the value rhetoric and have a decision conversation with the decision-makers to verify that they do intend to be consistent with their rhetoric. and investigate how visualization tools like the value diagram might greatly help achieve mutual understanding on value. The advantage is that our interest lies in making normatively good decisions. To the second question. This also answers the third question. Building on this. the intrinsic sources of value were . More speciﬁcally. Using value diagrams as an instrument.146 CHAPTER 7. and those of others.5 Future Work Upon observing the value diagrams that people draw of their own value frames. but when we are immersed in the context of the client and observe their world with their eyes. a couple dozen hours of ﬁeldwork won’t cut it. While spending more time with in the client’s environment would certainly help us observe and learn more. the ethnographic method is very important to establish that the congruency (or lack. While this criticism is valid. CONCLUSION how much of an investment should we make into an ethnography when helping clients make better decisions? To the ﬁrst question. 7. we start to get a deeper sense of what they value. we are led to wonder if people simplify other people’s value frames while treating their own frames with much more sophistication. but also values that they did not know to articulate. we note that from a sociologist’s yardstick. we have noted that drawing value diagrams can be an art. The point at which we can stop the ﬁeldwork is more of an art than a science. and from our outsider’s perspective. From a strategy perspective. How do the value diagrams for the same person change (or stay the same) across these jumps? The value diagram may become a useful instrument for the sociologist to capture and summarize frames and build theory. we start to notice not just incongruencies. thereof) between what the decision-maker says and what the decision-maker does.
at least one of the attributes must be a dollar measure. Perhaps.5. and help decision analysts model and communicate value fundctions. and perhaps get into a multiplicative realm or use step-functions. as we pointed out with signed value diagrams. while the multi-attribute school would call it indiﬀerence utility curves. The most that this dissertation can claim toward formalizing a function is that the value diagram helps us check that the intrinsic sources of value are incorporated in our ﬁnal value function in some way. Value diagrams are a lead-in to the trade-oﬀ conversation on the attributes of value. Building oﬀ this question. In that sense. How should we continue the value conversation that we’ve started to help us systematize the relationships between functional values? What questions can we ask to determine the functional form? This topic as an object of inquiry is too vast to have been handled in this dissertation. and to maintain our holistic intent. it would be good to point out that these are systemic questions. 7. When it gets to the details. what about the value diagram can clue us in on the value function? Can we try to represent the nature of the value function in the value diagram? Before going too far down this track. but such diagrams should be labeled separately from value diagrams to avoid confusion.7. and this allows us to easily model risk-aversion by converting any set of attributes to the dollar space. and introducing systemic conventions to value diagrams has to be done with great caution. The Stanford school would characterize the tradeoﬀs through indiﬀerence value curves. there can be intermediate diagrams which represent systematized value relationships. . If the number of traumatic injuries in a public-safety decision grow exponentially. Both schools (the multi-attribute and the Stanford school which prefers the single attribute approach) will need to go through this conversation. FUTURE WORK 147 modeled through an additive value function. The trade-oﬀ conversation is a far more general conversation than a choice between single and multi-attribute approaches. we note that our case studies involved an additive implementation of the function.1 Multi-attribute analysis Those who are familiar with multi-attribute utility theory might wonder how this work ties in with that body of research.5. we have formalized the functionalization of intrinsic sources of value. there might be a point where Stanford will not consider an additive disvalue. for they limit the richness of the value discussion. and might serve as a research problem for another dissertation. The diﬀerence is that in the Stanford school.
CONCLUSION .148 CHAPTER 7.
Chapter 8 Appendix 8. 8.97 149 .1.2 Helmet Safety Tree The tree used to do the helmet safety calculations is shown in Figure 8. 8. and undergraduates and graduates both pass by point 2.3).95 to 14.1 shows some photographs on the bike culture at Davis.3 Assessing Helmet Usage Bicycle safety coordinators on the Stanford campus believe that undergraduates do not like wearing helmets.1: Summary % of Graduates wearing helmets % of Undergraduates wearing helmets Helmet Usage by students Ranges from Reliable Estimate 20. In particular.2. Table 8. By subtracting the two. Moonhee Hur and Divya Sarasan) in 2009 supports this view (see Table 8. Some data collection done by the author (with the help of Andrew Bellay.1).1 Achieving Consistency in Valuation UC Davis Figure 8. one reading was taken at two ends of Escondido road (see Figure 8.1.1. Graduates were assumed to pass by point 1 (as most graduate residences are to the right of point 1). The researchers stood at various graduate and undergraduate locations and took readings. we were able to get a more reliable estimate of the number of undergraduates biking to campus.04 8.9 3.1 8. using a specially designed counting tool on cell phones and laptops.3 22.34 to 29.
150 CHAPTER 8. 2009 (c) UC Davis Special Bike Signal (d) UC Davis Special Bike Signal Turning Green Figure 8. 2009 (b) UC Davis Bike Festival.2: Helmet Safety Tree .1: Davis’ Bike Culture (a) UC Davis Bike Festival. APPENDIX Figure 8.
2. 47 Danish towns and European countries in general.2. 8.1 Extending the Value Conversation Police Case Study Continuing from Section 6.3: Helmet Data Collection Experiment 8.8. Helmet Usage A study on helmet protection eﬀects that looked at patients with trauma injuries in several hospitals  shows that bicycle helments “provide substantial protection against head injuries for cyclists of all ages. There is a “safety in numbers.” which is contrary to the intuition that more bicyclists and pedestrians might lead to more accidents with motor vehicles.4 Extant Research on Bike Safety Safety in Numbers In a landmark study that looks at bicycling in 68 California cities.4 shows another lieutenant’s value diagram. thus reducing the likelihood of accidents. Figure 8.2 US-Iran Standoﬀ . 8.2 8.” The researchers report: Helmet use is associated with a reduction in the risk of any head injury by 69%. and severe brain injuries by 74%. He argues that bicyclists are not likely to change their behavior much. but motorists tend to be more cautious when there are many pedestrians and bicyclists. EXTENDING THE VALUE CONVERSATION 151 Figure 8.2. brain injury by 65%.2.1. Jacobsen  reports an inverse relationship between amount of biking and walking and injuries to pedestrians and bicyclists from motor vehicles.
APPENDIX Figure 8.4: Second Lieutenant’s Value Diagrams (a) Previous Police Department’s Value Diagram (Chief) according to Lieutenant (b) Stanford Police Chief’s Value Diagram according to Lieutenant .152 CHAPTER 8.
8. EXTENDING THE VALUE CONVERSATION 153 Figure 8.(d) Iranian Citizen’s version of US Govt value diagram gram .5: Subject 2’s value diagram on US-Iran Standoﬀ (a) Subject 2’s value diagram on US-Iran Standoﬀ (b) Iranian Citizen’s personal value diagram on Iranian politics (c) Iranian Citizen’s version of Iranian Govt value dia.2.
APPENDIX .154 CHAPTER 8.
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