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- All HBS Web
(402)
- News (22)
- Research (340)
- Events (1)
- Multimedia (2)
- Faculty Publications (240)
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- 2022
- Chapter
Measuring Compliance Risk and the Emergence of Analytics
By: Eugene F. Soltes
Corporate compliance manages a diverse set of regulatory and reputational concerns ranging from fraud to privacy to discrimination. However, effectively managing such risks has often been hampered by a lack of adequate information about when, where, and why misconduct... View Details
Keywords: Compliance; Risk; Analytics; Governance Compliance; Governing Rules, Regulations, and Reforms; Risk Management; Analytics and Data Science
Soltes, Eugene F. "Measuring Compliance Risk and the Emergence of Analytics." Chap. 8 in Measuring Compliance: Assessing Corporate Crime and Misconduct Prevention, edited by Melissa Rorie and Benjamin van Rooij, 137–152. Cambridge University Press, 2022.
- Forthcoming
- Article
Sending a Message: An Empirical Assessment of Responses to Punitive and Non-punitive Compliance Messaging Strategies
By: Jodi L. Short, Michael W. Toffel, Elizabeth A. Keenan and Melissa Ouellet
Regulators operate in an increasingly hostile political environment. The U.S. Supreme Court is ramping up efforts to curtail the authority of administrative agencies. The second election of Donald Trump to the presidency has unleashed a torrent of anti-regulatory... View Details
Keywords: Field Experiment; Compliance; Compliance Programs; Compliance Policies; Regulatory Enforcement; Environmental Regulation; Environmental Policy; Government Experimentation; Governance Compliance; Government Administration; Governing Rules, Regulations, and Reforms; Business and Government Relations; Construction Industry; Public Administration Industry; California; United States
Short, Jodi L., Michael W. Toffel, Elizabeth A. Keenan, and Melissa Ouellet. "Sending a Message: An Empirical Assessment of Responses to Punitive and Non-punitive Compliance Messaging Strategies." Ecology Law Quarterly (forthcoming).
- 2015
- Working Paper
The Integrity of Private Third-party Compliance Monitoring
By: Jodi L. Short and Michael W. Toffel
Government agencies are increasingly turning to private, third-party monitors to inspect and assess regulated entities’ compliance with law. The integrity of these regulatory regimes rests on the validity of the information third-party monitors provide to regulators.... View Details
Keywords: Regulation; Compliance; Compliance Policies; Conflict Of Interest; Independent Third Party; Inspection; Audit Quality; Auditor; Audit; Environment; Production; Supply Chain; Quality; Government Administration; Working Conditions; Safety; Labor; Governing Rules, Regulations, and Reforms; Governance Compliance; Manufacturing Industry; Public Administration Industry; Accounting Industry; Service Industry; United States
Short, Jodi L., and Michael W. Toffel. "The Integrity of Private Third-party Compliance Monitoring." Harvard Kennedy School Regulatory Policy Program Working Paper, No. RPP-2015-20, November 2015. (Revised December 2015.)
- Fall 2016
- Article
The Integrity of Private Third-party Compliance Monitoring
By: Jodi L. Short and Michael W. Toffel
Government agencies are increasingly turning to private, third-party monitors to inspect and assess regulated entities’ compliance with law. The integrity of these regulatory regimes rests on the validity of the information third-party monitors provide to regulators.... View Details
Keywords: Regulation; Compliance; Compliance Policies; Conflict Of Interest; Independent Third Party; Inspection; Audit Quality; Auditor; Audit; Environment; Safety; Conflict of Interests; Working Conditions; Labor; Corporate Social Responsibility and Impact; Governance Compliance; Accounting Audits
Short, Jodi L., and Michael W. Toffel. "The Integrity of Private Third-party Compliance Monitoring." Administrative & Regulatory Law News 42, no. 1 (Fall 2016): 22–25.
- March 2006
- Background Note
Strategic Compliance Management
Explains the construct of strategic compliance management (SCM) and asserts that managers and their firms can perform more effectively, that is, create or capture more value or better manage risk, when they comply with applicable laws, search for innovation... View Details
Bagley, Constance E. "Strategic Compliance Management." Harvard Business School Background Note 806-173, March 2006.
- January 2012
- Background Note
Legal Compliance Programs
By: Lynn S. Paine and Lara Adamsons
Paine, Lynn S., and Lara Adamsons. "Legal Compliance Programs." Harvard Business School Background Note 312-111, January 2012.
- March 2018 (Revised April 2018)
- Case
Designing a Compliance Program at AB InBev
By: Eugene Soltes
Compliance programs help companies align the interests and behavior of employees with external expectations and regulation. The case discusses how AB InBev, a major brewer, developed its compliance program. View Details
Keywords: Governance; Crime and Corruption; Governance Compliance; Consumer Products Industry; Africa; Europe; India; North America
Soltes, Eugene. "Designing a Compliance Program at AB InBev." Harvard Business School Case 118-071, March 2018. (Revised April 2018.)
- January 1989 (Revised June 1993)
- Case
General Electric: Compliance Systems
By: Robert L. Simons
After General Electric (GE) is indicted in 1985 for defrauding the Department of Defense, Chairman John F. Welch takes dramatic steps to prevent a recurrence. This case documents the new systems and procedures that are put in place to ensure that all GE employees are... View Details
Keywords: Policy; Contracts; Business or Company Management; Communication; Business History; Behavior; Boundaries; Management Style; Cost Management; Electronics Industry
Simons, Robert L. "General Electric: Compliance Systems." Harvard Business School Case 189-081, January 1989. (Revised June 1993.)
- 03 Jun 2014
- Working Paper Summaries
Eliciting Taxpayer Preferences Increases Tax Compliance
- Article
Why Compliance Programs Fail: And How to Fix Them
By: Hui Chen and Eugene Soltes
Firms spend millions of dollars annually on whistle-blower hotlines, training, and other efforts to ensure adherence to laws, regulations, and company policies. Yet malfeasance remains entrenched in the corporate world. Why? Too many firms treat compliance as a... View Details
Keywords: Governance Compliance; Programs; Employees; Training; Performance Effectiveness; Measurement and Metrics
Chen, Hui, and Eugene Soltes. "Why Compliance Programs Fail: And How to Fix Them." Harvard Business Review 96, no. 2 (March–April 2018): 116–125.
- 16 Nov 2020
- News
Better Compliance Through Less Surveillance
- October 1989 (Revised February 1992)
- Teaching Note
General Electric: Compliance Systems, Teaching Note
By: Robert L. Simons
Teaching Note for (1-189-081). View Details
- Article
Mission-Driven Governance
By: Raymond Fisman, Rakesh Khurana and Edward Martenson
The purpose of this paper is to provide a useful, easily applied theory of governance performance. The existing model is fundamentally adversarial, rooted in the paradigm of principal-agent conflict. At its base is an image of governance as a never-ending struggle... View Details
Keywords: Corporate Governance; Governing and Advisory Boards; Knowledge Management; Standards; Mission and Purpose; Organizational Change and Adaptation; Performance Effectiveness; Performance Evaluation
Fisman, Raymond, Rakesh Khurana, and Edward Martenson. "Mission-Driven Governance." Stanford Social Innovation Review 7, no. 3 (Summer 2009).
- 07 Nov 2020
- News
Gender differences in COVID-19 perception and compliance
- April 2018
- Article
The Power of Voice in Stimulating Morality: Eliciting Taxpayer Preferences Increases Tax Compliance
By: Cait Lamberton, Jan-Emmanuel De Neve and Michael I. Norton
Decisions about paying taxes represent one of the most common moral quandaries faced by citizens. In the
present research, we argue that taxpayer compliance can be raised by increasing “voice”: allowing taxpayers
to express non-binding preferences about the way their... View Details
Keywords: Morality; Public Policy; Ethics; Moral Sensibility; Taxation; Policy; Attitudes; Governance Compliance
Lamberton, Cait, Jan-Emmanuel De Neve, and Michael I. Norton. "The Power of Voice in Stimulating Morality: Eliciting Taxpayer Preferences Increases Tax Compliance." Special Issue on Marketplace Morality. Journal of Consumer Psychology 28, no. 2 (April 2018): 310–328.
- Research Summary
Comparative Corporate Governance
Dyck's research identifies the important role that institutions external to the firm play in determining corporate governance abuses, financial sector development, and the success of government policies such as privatization. In recent work Dyck develops an empirical... View Details
- 05 Jan 2016
- Working Paper Summaries