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      • Faculty Publications  (48)

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      • 2014
      • Chapter

      Promoting Corporate Sustainability through Integrated Reporting: The Role of Investment Fiduciaries and the Responsibilities of the Corporate Board

      By: Robert G. Eccles, J. Herron and George Serafeim
      This book is a comprehensive reference work exploring recent changes and future trends in the principles that govern institutional investors and fiduciaries. A wide range of contributors offer new perspectives on dynamics that drive the current emphasis on short-term... View Details
      Keywords: Governance; Integrated Corporate Reporting; Institutional Investing; Financial Services Industry
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      Eccles, Robert G., J. Herron, and George Serafeim. "Promoting Corporate Sustainability through Integrated Reporting: The Role of Investment Fiduciaries and the Responsibilities of the Corporate Board." Chap. 31 in Cambridge Handbook of Institutional Investment and Fiduciary Duty, edited by James P. Hawley, Andreas G.F. Hoepner, Keith L. Johnson, Joakim Sandberg, and Edward J. Waitzer, 403–415. Cambridge University Press, 2014.
      • 2014
      • Working Paper

      Modularity and Intellectual Property Protection

      By: Carliss Y. Baldwin and Joachim Henkel
      Modularity is a means of partitioning technical knowledge about a product or process. When state-sanctioned intellectual property (IP) rights are ineffective or costly to enforce, modularity can be used to hide information and thus protect IP. We investigate the impact... View Details
      Keywords: Modularity; Value Appropriation; Relational Contracts; Clans; Rights; Complexity; Intellectual Property
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      Baldwin, Carliss Y., and Joachim Henkel. "Modularity and Intellectual Property Protection." Harvard Business School Working Paper, No. 14-046, December 2013. (Revised June 2014.)
      • September 2013 (Revised August 2015)
      • Background Note

      Leadership and Teaming

      By: Ethan Bernstein
      Small differences in the leadership of teams can have large consequences for the success of their efforts. Many initiatives fail not because of a fatal error in judgment or insufficient ideas, knowledge, motivation, or capabilities to deliver a solution. They fail... View Details
      Keywords: Teams; Teaming; Leadership And Managing People; Leadership; Team Effectiveness; Team Performance; Team Design; Team Leadership; Teamwork; Team Process; Team Function; Team Launch; 60/30/10 Rule; Team Boundary; Distribution Of Leadership Authority; Self-Managed Teams; Virtual Teams; Unbounded Teams; Acts Of Leadership; Execution Teams; Decision Making Teams; Creativity Teams; Team Size; Task Design; Team Timeline; Team Roles; Team Representation; Diversity; Team Familiarity; Collective Intelligence; Team Stages Of Development; Team Coaching; Performance Pressure; X-Teams; Team Focus; Interaction; Management Teams; Managerial Roles; Management Systems; Management Style; Management Skills; Management Practices and Processes; Organizational Design; Organizational Structure; Performance Effectiveness; Performance Efficiency; Performance Productivity; Groups and Teams; Networks; Social Psychology; Behavior; Conflict and Resolution; Creativity; Social and Collaborative Networks; Satisfaction; Prejudice and Bias; Power and Influence; Personal Characteristics; Familiarity; Cognition and Thinking; Attitudes; Projects; Organizational Culture; Organizational Change and Adaptation; Leadership Development; Leadership Style; Leading Change; Knowledge Use and Leverage; Knowledge Sharing; Collaborative Innovation and Invention; Innovation and Management; Innovation Leadership; Design; Interpersonal Communication; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Legal Services Industry; Asia; North and Central America; South America; Atlantic Ocean; Central Asia; Europe; Latin America; Middle East; Oceania; West Indies
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      Bernstein, Ethan. "Leadership and Teaming." Harvard Business School Background Note 414-033, September 2013. (Revised August 2015.)
      • 2013
      • Case

      Xinhua Hospital: Implementation of EMR Project

      By: F. Warren McFarlan, Ning Jia, Weiqi Liu and Shanshan Cao
      Established in 1958, Xinhua Hospital Affiliated to Shanghai Jiao Tong University School of Medicine (hereafter referred to as "Xinhua Hospital") is an integrated modern teaching and research hospital with a comprehensive set of disciplines and a specialization in... View Details
      Keywords: China; Hospitals; China
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      McFarlan, F. Warren, Ning Jia, Weiqi Liu, and Shanshan Cao. "Xinhua Hospital: Implementation of EMR Project." Tsinghua University Case, 2013.
      • 2013
      • Teaching Note

      Xinhua Hospital: Implementation of EMR Project (TN)

      By: F. Warren McFarlan, Ning Jia, Weiqi Liu and Shanshan Cao
      Established in 1958, Xinhua Hospital Affiliated to Shanghai Jiao Tong University School of Medicine (hereafter referred to as "Xinhua Hospital") is an integrated modern teaching and research hospital with a comprehensive set of disciplines and a specialization in... View Details
      Keywords: China; Hospitals; China
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      McFarlan, F. Warren, Ning Jia, Weiqi Liu, and Shanshan Cao. "Xinhua Hospital: Implementation of EMR Project (TN)." Tsinghua University Teaching Note, 2013.
      • 2012
      • Working Paper

      The Impact of Modularity on Intellectual Property and Value Appropriation

      By: Carliss Y. Baldwin and Joachim Henkel
      Modularity is a means of partitioning technical knowledge about a product or process. When state-sanctioned intellectual property rights are ineffective or costly to enforce, modularity can be used to hide information and thus protect intellectual property (IP). We... View Details
      Keywords: Strategy; Open Source Distribution; Value; Complexity; Intellectual Property
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      Baldwin, Carliss Y., and Joachim Henkel. "The Impact of Modularity on Intellectual Property and Value Appropriation." Harvard Business School Working Paper, No. 12-040, December 2011. (Revised November 2012.)
      • 2011
      • Case

      Xinxing Ductile Iron Pipes: Transforming the Management Control System in Time of Crisis

      By: Ning Jia, F. Warren McFarlan and Xiaohui Li
      Xinxing Ductile Iron Pipes Co. is a Chinese state-owned enterprise (SOE) that manufactures cast pipe products and steel products. The company had grown to become a dominant player in the ductile iron pipe industry, holding more than 40% domestic market share and nearly... View Details
      Keywords: Control Systems; Cost Centers; Manufacturing; Profit Centers; China
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      Jia, Ning, F. Warren McFarlan, and Xiaohui Li. "Xinxing Ductile Iron Pipes: Transforming the Management Control System in Time of Crisis." Tsinghua University Case, 2011.
      • 2011
      • Teaching Note

      Xinxing Ductile Iron Pipes: Transforming the Management Control System in Time of Crisis (TN)

      By: Ning Jia, F. Warren McFarlan and Xiaohui Li
      Xinxing Ductile Iron Pipes Co. is a Chinese state-owned enterprise (SOE) that manufactures cast pipe products and steel products. The company had grown to become a dominant player in the ductile iron pipe industry, holding more than 40% domestic market share and nearly... View Details
      Keywords: Control Systems; Cost Centers; Manufacturing; Profit Centers; China; Iron & Steel; China
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      Jia, Ning, F. Warren McFarlan, and Xiaohui Li. "Xinxing Ductile Iron Pipes: Transforming the Management Control System in Time of Crisis (TN)." Tsinghua University Teaching Note, 2011.
      • October 2010 (Revised May 2012)
      • Background Note

      Reverse Engineering, Learning, and Innovation

      By: Willy C. Shih
      This background reading looks at reverse engineering in the context of piracy and knock-offs in emerging markets like China. It first considers legal aspects of reverse engineering in strong property rights regimes like the United States as a way of unpacking the legal... View Details
      Keywords: Crime and Corruption; Learning; Engineering; Innovation and Invention; Intellectual Property; Knowledge Use and Leverage; Emerging Markets; China; United States
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      Shih, Willy C. "Reverse Engineering, Learning, and Innovation." Harvard Business School Background Note 611-039, October 2010. (Revised May 2012.)
      • August 2010 (Revised March 2012)
      • Supplement

      The Dow Acquisition of Rohm and Haas (E)

      By: Jay W. Lorsch and Melissa Barton
      Dow completed the acquisition of Rohm and Haas and escaped a battle in a Delaware courtroom View Details
      Keywords: Mergers and Acquisitions; Legal Liability; Managerial Roles; Complexity
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      Lorsch, Jay W., and Melissa Barton. "The Dow Acquisition of Rohm and Haas (E)." Harvard Business School Supplement 411-005, August 2010. (Revised March 2012.)
      • 2009
      • Working Paper

      Operational Failures and Problem Solving: An Empirical Study of Incident Reporting

      By: Julia Rose Adler-Milstein, Sara J. Singer and Michael W. Toffel
      Operational failures occur in all industries with consequences that range from minor inconveniences to major catastrophes. Many organizations have implemented incident reporting systems to highlight actual and potential operational failures in order to encourage... View Details
      Keywords: Communication Strategy; Legal Liability; Management Practices and Processes; Service Operations; Failure; Health Industry
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      Adler-Milstein, Julia Rose, Sara J. Singer, and Michael W. Toffel. "Operational Failures and Problem Solving: An Empirical Study of Incident Reporting." Harvard Business School Working Paper, No. 10-017, September 2009. (August 2009.)
      • 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
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      Fisman, Raymond, Rakesh Khurana, and Edward Martenson. "Mission-Driven Governance." Stanford Social Innovation Review 7, no. 3 (Summer 2009).
      • 2009
      • Other Unpublished Work

      The Pecora Hearings

      By: David Moss, Cole Bolton and Eugene Kintgen

      In 1932, in the depths of the Great Depression, the Senate Banking Committee began a much-publicized investigation of the nation's financial sector. The hearings, which came to be known as the Pecora hearings after the Banking Committee's lead counsel Ferdinand... View Details

      Keywords: Financial History; Financial Crisis; Financial Markets; Governing Rules, Regulations, and Reforms; Government Legislation; Laws and Statutes; Business and Government Relations; Financial Services Industry
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      Moss, David, Cole Bolton, and Eugene Kintgen. "The Pecora Hearings." 2009. (Draft case.)
      • 2008
      • Chapter

      Life-Cycle Funds

      By: Luis M. Viceira
      The U.S. retirement system has experienced a substantial transformation in recent years. It has evolved from a system in which employees relied mainly on Social Security and professionally managed defined benefit (DB) pension plans sponsored by their employers to... View Details
      Keywords: Retirement; Personal Finance; Investment Funds; Compensation and Benefits; United States
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      Viceira, Luis M. "Life-Cycle Funds." Chap. 5 in Overcoming the Saving Slump: How to Increase the Effectiveness of Financial Education and Saving Programs, edited by Annamaria Lusardi. University of Chicago Press, 2008.
      • December 2007 (Revised September 2009)
      • Case

      Wall Street's First Panic (A)

      By: David A. Moss and Cole Bolton
      In the early 1790s, a flood of newly issued public and private securities sparked an investment boom in the nascent United States. In New York, the bustling commercial district along Wall Street emerged as the center of the city's securities trade. One of the many... View Details
      Keywords: History; Financial Instruments; Auctions; Financial Crisis; Business and Government Relations; Financial Services Industry
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      Moss, David A., and Cole Bolton. "Wall Street's First Panic (A)." Harvard Business School Case 708-002, December 2007. (Revised September 2009.)
      • 2007
      • Working Paper

      Interpersonal Authority in a Theory of the Firm

      By: Eric J. Van den Steen
      This paper develops a theory of the firm in which a firm's centralized asset ownership and low-powered incentives give a manager 'interpersonal authority' over employees (in a world with differing priors). The paper derives such interpersonal authority as... View Details
      Keywords: Governance Controls; Employee Relationship Management; Managerial Roles; Motivation and Incentives; Boundaries; Theory
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      Van den Steen, Eric J. "Interpersonal Authority in a Theory of the Firm." Sloan School of Management Working Paper, No. 4667-07, July 2007. (Available at SSRN.)
      • May 2007 (Revised April 2010)
      • Teaching Note

      Duane Morris: Balancing Growth and Culture at a Law Firm (TN)

      By: Boris Groysberg
      Keywords: Balance and Stability; Business Growth and Maturation; Organizational Culture; Legal Services Industry
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      Groysberg, Boris. "Duane Morris: Balancing Growth and Culture at a Law Firm (TN)." Harvard Business School Teaching Note 407-113, May 2007. (Revised April 2010.)
      • January 2007 (Revised April 2007)
      • Background Note

      Note on Lobbying

      By: Felix Oberholzer-Gee, Libby Cantrill and Patricia Wu
      Describes how companies engage the political and legal system and the rules and ethics associated with doing so. Focuses on the U.S. political and legal system, but also seeks to familiarize readers with lobbying norms and structures in the European Union and Japan. View Details
      Keywords: Business and Government Relations; Ethics; Labor Unions; Legal Services Industry; Legal Services Industry; United States; Japan; European Union
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      Oberholzer-Gee, Felix, Libby Cantrill, and Patricia Wu. "Note on Lobbying." Harvard Business School Background Note 707-471, January 2007. (Revised April 2007.)
      • December 2006 (Revised January 2007)
      • Case

      Restructuring Navigator Gas Transport Plc

      By: C. Fritz Foley
      How should creditors pursue their claims in a multi-jurisdiction bankruptcy? David Butters, Managing Director at Lehman Brothers, negotiates a restructuring of Navigator Gas Transport, a shipping company that is headquartered in Switzerland, incorporated in the Isle of... View Details
      Keywords: Management Teams; Insolvency and Bankruptcy; Complexity; Capital Structure; Restructuring; International Finance; Law; Ship Transportation; Shipping Industry; Switzerland; Isle of Man
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      Foley, C. Fritz. "Restructuring Navigator Gas Transport Plc." Harvard Business School Case 207-092, December 2006. (Revised January 2007.)
      • November 2006 (Revised March 2007)
      • Case

      Goodyear and the Threat of Government Tire Grading

      By: Felix Oberholzer-Gee, Dennis A. Yao and Elizabeth Raabe
      In the spring of 1977, Goodyear CEO Charles J. Pilliod Jr. was looking at an internal report on government and legal events relevant to the tire industry. Two items caught his attention. First, he noticed that an industry suit to block the government's proposed system... View Details
      Keywords: Competitive Advantage; Lawsuits and Litigation; Auto Industry; Rubber Industry; United States
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      Oberholzer-Gee, Felix, Dennis A. Yao, and Elizabeth Raabe. "Goodyear and the Threat of Government Tire Grading." Harvard Business School Case 707-494, November 2006. (Revised March 2007.)
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