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      • Faculty Publications  (213)

      ComplianceRemove Compliance →

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      • February 2009 (Revised April 2011)
      • Case

      Yahoo! in China (A)

      By: Sandra J. Sucher and Daniel Baer
      In 2007 Jerry Yang, CEO of Yahoo!, was lambasted by U.S. Representative Tom Lantos, chairman of the U.S. House Committee on Foreign Affairs, for Yahoo's role in the arrest and imprisonment of Chinese journalist and democracy advocate Shi Tao. The case describes the... View Details
      Keywords: Ethics; Cross-Cultural and Cross-Border Issues; Governance Compliance; Laws and Statutes; Rights; Business and Government Relations; Internet; Information Technology Industry; China; United States
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      Sucher, Sandra J., and Daniel Baer. "Yahoo! in China (A)." Harvard Business School Case 609-051, February 2009. (Revised April 2011.)
      • January 2009
      • Case

      Supersonic Business Jets

      By: Dennis A. Yao and Julia Rozovsky
      In the fall of 2002, Brian Barents, ex-CEO of Galaxy Aerospace, faced an important decision: whether or not to enter the supersonic business jet (SSBJ) industry. Supersonic flight-flight faster than the speed of sound-had long tantalized leaders of commercial aerospace... View Details
      Keywords: Corporate Entrepreneurship; Governance Compliance; Market Entry and Exit; Business Strategy; Cooperation; Aerospace Industry
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      Yao, Dennis A., and Julia Rozovsky. "Supersonic Business Jets." Harvard Business School Case 709-425, January 2009.
      • January 2009 (Revised October 2009)
      • Case

      GLOBALGAP: Food Safety and Private Standards

      By: David E. Bell and Mary Louise Shelman
      In response to new laws governing liability and several food safety scares in the 1990s, European retailers drove the creation of a universal production standard based on Good Agricultural Practices (GAP) for fresh fruit and vegetables and a third-party certification... View Details
      Keywords: Agribusiness; Food; Governance Compliance; Governing Rules, Regulations, and Reforms; Business and Government Relations; Safety; Agriculture and Agribusiness Industry; Europe
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      Bell, David E., and Mary Louise Shelman. "GLOBALGAP: Food Safety and Private Standards." Harvard Business School Case 509-004, January 2009. (Revised October 2009.)
      • June 2008 (Revised October 2008)
      • Case

      International Carbon Finance and EcoSecurities

      By: Andre F. Perold, Forest L. Reinhardt and Mikell Hyman
      In late 2007, EcoSecurities had to decide whether to undertake a new Clean Development Mechanism (CDM) project in China. EcoSecurities was an aggregator of carbon credits and also invested directly in projects that produced carbon credits. Governments and firms... View Details
      Keywords: Non-Renewable Energy; Cost Management; Investment Return; Business and Government Relations; Risk and Uncertainty; Investment; Cash Flow; Valuation; Pollutants; Environmental Sustainability; Financial Services Industry; China
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      Perold, Andre F., Forest L. Reinhardt, and Mikell Hyman. "International Carbon Finance and EcoSecurities." Harvard Business School Case 208-151, June 2008. (Revised October 2008.)
      • summer 2008
      • Article

      Corporate Social Responsibility Through an Economic Lens

      By: Forest L. Reinhardt, Robert N. Stavins and Richard H.K. Vietor
      Business leaders, government officials, and academics are focusing considerable attention on the concept of "corporate social responsibility" (CSR), particularly in the realm of environmental protection. Beyond complete compliance with environmental regulations, do... View Details
      Keywords: Profit; Governance Compliance; Governing Rules, Regulations, and Reforms; Corporate Social Responsibility and Impact; Business and Shareholder Relations; Environmental Sustainability
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      Reinhardt, Forest L., Robert N. Stavins, and Richard H.K. Vietor. "Corporate Social Responsibility Through an Economic Lens." Review of Environmental Economics and Policy 2, no. 2 (summer 2008).
      • Article

      The Causes and Consequences of Industry Self-Policing

      By: Jodi L. Short and Michael W. Toffel
      Innovative regulatory programs are encouraging firms to police their own regulatory compliance and voluntarily disclose, or "confess," the violations they find. Despite the "win-win" rhetoric surrounding these government voluntary programs, it is not clear why... View Details
      Keywords: Corporate Disclosure; Governance Compliance; Law Enforcement; Policy; United States
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      Short, Jodi L., and Michael W. Toffel. "The Causes and Consequences of Industry Self-Policing." Yale Economic Review 4, no. 2 (Summer 2008).
      • May 2008
      • Article

      Coerced Confessions: Self-Policing in the Shadow of the Regulator

      By: Jodi L. Short and Michael W. Toffel
      As part of a recent trend toward more cooperative relations between regulators and industry, novel government programs are encouraging firms to monitor their own regulatory compliance and voluntarily report their own violations. In this study, we examine how regulatory... View Details
      Keywords: Governance Compliance; Law Enforcement; Corporate Disclosure; Governing Rules, Regulations, and Reforms; Environmental Sustainability; Programs; Power and Influence; Organizations; Decisions; Business and Government Relations; United States
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      Short, Jodi L., and Michael W. Toffel. "Coerced Confessions: Self-Policing in the Shadow of the Regulator." Journal of Law, Economics & Organization 24, no. 1 (May 2008): 45–71.
      • January – February 2008
      • Article

      Managing the Impact of Employee Turnover on Performance: The Role of Process Conformance

      By: Zeynep Ton and Robert S. Huckman
      We examine the impact of employee turnover on operating performance in settings that require high levels of knowledge exploitation. Using 48 months of turnover data from U.S. stores of a major retail chain, we find that, on average, employee turnover is associated with... View Details
      Keywords: Customer Focus and Relationships; Governance Compliance; Retention; Standards; Service Operations; Business Processes; Retail Industry; United States
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      Ton, Zeynep, and Robert S. Huckman. "Managing the Impact of Employee Turnover on Performance: The Role of Process Conformance." Organization Science 19, no. 1 (January–February 2008): 56–68.
      • 5 Aug 2007
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Outcome or Result; Governance Compliance
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      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." Paper presented at the Academy of Management Annual Meeting, August 05, 2007.
      • 30 Mar 2007
      • Conference Presentation

      Inspection Holidays and Compliance Outcomes: Examining the Outcomes of Self-Policing

      By: Michael W. Toffel
      Keywords: Outcome or Result; Governance Compliance
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      Toffel, Michael W. "Inspection Holidays and Compliance Outcomes: Examining the Outcomes of Self-Policing." Paper presented at the Strategy and the Business Environment Conference, March 30, 2007.
      • Mar 2007 - 8 Mar 2007
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Outcome or Result; Governance Compliance
      Citation
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      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." Paper presented at the Mossavar-Rahmani Center for Business and Government Business & Government Seminar Series, John F. Kennedy School of Government, March 2007.
      • 16 Feb 2007
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Outcome or Result; Governance Compliance
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      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." Paper presented at the Conference on Institutional Foundations for Industry Self-Regulation, February 16, 2007.
      • Feb 2007 - 1 Feb 2007
      • Conference Presentation

      Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing

      By: Michael W. Toffel
      Keywords: Outcome or Result; Governance Compliance
      Citation
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      Toffel, Michael W. "Coming Clean...and Cleaning Up? Examining the Effects of Self-Policing." Paper presented at the Harvard Kennedy School Seminar on Environmental Economics and Policy, February 2007.
      • January 2007 (Revised January 2007)
      • Background Note

      Note on the U.S. Food and Drug Administration

      By: Robert F. Higgins, Richard G. Hamermesh and Virginia Fuller
      Describes the U.S. FDA with particular emphasis on its role in the development of new drugs, biologic products, and medical devices today. Provides context for the drug approval process by describing the FDA's history and organizational structure. View Details
      Keywords: Health; Governance Compliance; Policy; Product Development; Government and Politics; Pharmaceutical Industry; Medical Devices and Supplies Industry; Biotechnology Industry; Public Administration Industry; United States
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      Higgins, Robert F., Richard G. Hamermesh, and Virginia Fuller. "Note on the U.S. Food and Drug Administration." Harvard Business School Background Note 807-050, January 2007. (Revised January 2007.)
      • December 2006 (Revised April 2008)
      • Case

      China and the WTO: What Price Membership?

      By: Richard H.K. Vietor and Julia Galef
      China has been a member of the WTO for more than five years. Its implementation of requirements has been a mixed bag. While China's growth is still spectacular, many institutional problems remain. And there is a new problem--a spectacular trade asymmetry with the... View Details
      Keywords: Trade; Governance Compliance; International Relations; Problems and Challenges; China; United States
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      Vietor, Richard H.K., and Julia Galef. "China and the WTO: What Price Membership?" Harvard Business School Case 707-032, December 2006. (Revised April 2008.)
      • May 2006 (Revised October 2007)
      • Case

      EU Verdict Against Microsoft

      By: David B. Yoffie and Michael Slind
      In 2004, following an investigation that began in 1998, the European Commission (EC) issued an antitrust judgment against Microsoft Corp., levying a record fine of 497 million euros ($613 million) and mandating changes of commercial behavior and bundling of Windows... View Details
      Keywords: Judgments; Governance Compliance; Lawsuits and Litigation; Monopoly; Business and Government Relations; Competitive Strategy; Software; European Union; United States
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      Yoffie, David B., and Michael Slind. "EU Verdict Against Microsoft." Harvard Business School Case 706-503, May 2006. (Revised October 2007.)
      • 24 Mar 2006
      • Conference Presentation

      Turning Themselves in: Why Some Firms Self-disclose Regulatory Violations

      By: Michael W. Toffel
      Keywords: Governance Compliance; Corporate Governance
      Citation
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      Toffel, Michael W. "Turning Themselves in: Why Some Firms Self-disclose Regulatory Violations." Paper presented at the Strategy and the Business Environment Conference, March 24, 2006.
      • 24 Feb 2006
      • Conference Presentation

      Turning Themselves In: Why Some Firms Self-disclose Regulatory Violations

      By: Michael W. Toffel
      Keywords: Governance Compliance; Corporate Governance
      Citation
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      Toffel, Michael W. "Turning Themselves In: Why Some Firms Self-disclose Regulatory Violations." Paper presented at the Conference on Institutional Mechanisms for Industry Self-Regulation, February 24, 2006.
      • 2006
      • Chapter

      Coerced Confessions: How Regulatory Deterrence Drives Self-Policing

      By: Jodi L. Short and Michael W. Toffel
      Keywords: Governance Compliance; Corporate Governance; Governing Rules, Regulations, and Reforms
      Citation
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      Short, Jodi L., and Michael W. Toffel. "Coerced Confessions: How Regulatory Deterrence Drives Self-Policing." In Best Paper Proceedings of the Sixty-fifth Annual Meeting of the Academy of Management, edited by K. Mark Weaver. Academy of Management, 2006. (Winner of Charles H. Levine Award for Best Conference Paper presented by Academy of Management. Previously titled "Turning Themselves In: Why Some Firms Self-disclose Regulatory Violations".)
      • November 2005
      • Background Note

      Deal Structure and Deal Terms

      By: Michael J. Roberts and Howard H. Stevenson
      Describes the general principles of crafting financial deals around the provision of capital to entrepreneurial ventures. Discusses in more detail some of the specific aspects of venture capital term sheets. View Details
      Keywords: Entrepreneurship; Venture Capital; Governance Compliance; Negotiation Deal
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      Roberts, Michael J., and Howard H. Stevenson. "Deal Structure and Deal Terms." Harvard Business School Background Note 806-085, November 2005.
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