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    • All HBS Web  (227)
      • Faculty Publications  (20)

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      • October 2022
      • Background Note

      Note on Cyberattacks and Regulatory Regimes

      By: Frank Nagle, George A. Riedel, William R. Kerr and David Lane
      Describes common types of cyberattacks on enterprises and their costs, as well as the fragmentary regulatory regimes through which U.S. states and regulatory agencies at the start of 2021 attempted to encourage disclosure of cyberattacks and to pursue enforcement...  View Details
      Keywords: Regulations; Regulatory Agencies; Cyberattacks; Governance; Corporate Disclosure; Cybersecurity; Information Industry; Information Technology Industry; Health Industry; Financial Services Industry; United States
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      Nagle, Frank, George A. Riedel, William R. Kerr, and David Lane. "Note on Cyberattacks and Regulatory Regimes." Harvard Business School Background Note 723-392, October 2022.
      • Article

      The Covid-19 Pandemic Should Not Delay Actions to Prevent Anticompetitive Consolidation in U.S. Health Care Markets

      By: Leemore S. Dafny
      This article describes potential regulatory and legislative reforms to assist antitrust enforcement agencies in halting anticompetitive acquisitions and practices, and preserving and promoting competition in health care markets.  View Details
      Keywords: Health Care and Treatment; Markets; Competition; Governing Rules, Regulations, and Reforms
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      Dafny, Leemore S. "The Covid-19 Pandemic Should Not Delay Actions to Prevent Anticompetitive Consolidation in U.S. Health Care Markets." Promarket (June 10, 2021).
      • December 2016
      • Article

      Selective Regulator Decoupling and Organizations' Strategic Responses

      By: Jonas Heese, Ranjani Krishnan and Frank Moers
      Organizations often respond to institutional pressures by symbolically adopting policies and procedures but decoupling them from actual practice. Literature has examined why organizations decouple from regulatory pressures. In this study, we argue that decoupling...  View Details
      Keywords: Regulator Leniency; Beneficence; Mispricing; Upcoding; Nonprofit Organizations; Health Care and Treatment; Revenue; Health Industry
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      Heese, Jonas, Ranjani Krishnan, and Frank Moers. "Selective Regulator Decoupling and Organizations' Strategic Responses." Academy of Management Journal 59, no. 6 (December 2016). (Selected for Best Paper Proceedings of the 2015 Academy of Management Annual Meeting. Winner of the Healthcare Management Division of the Academy of Management 2015 Best Paper Award.)
      • November 2016 (Revised February 2017)
      • Case

      BrightStar Care: The Evolution of a Leadership Team

      By: Boris Groysberg, Colleen Ammerman and John D. Vaughan
      BrightStar Care was a rapidly growing franchise of home health care agencies. Founded by husband and wife team JD and Shelly Sun as a single agency near Chicago in 2002, BrightStar had opened nearly 300 franchises across the United States by 2016, generating over $300...  View Details
      Keywords: Health Care Services; Entrepreneurs; Board Of Directors; Boards Of Directors; Health Care Industry; Growth Strategy; Organizational Change; Brand Positioning; Entrepreneurial Organizations; Entrepreneurial Management; Franchising; Family-owned Business; Home Health Care; Managing Growth; Management Styles; Organizational Development; Talent Management; Women Executives; Women And Leadership; Business Startups; Family Business; Small Business; Talent and Talent Management; Governing and Advisory Boards; Health Care and Treatment; Human Capital; Leadership Development; Leadership Style; Business or Company Management; Growth and Development Strategy; Management Analysis, Tools, and Techniques; Management Skills; Management Style; Management Succession; Management Systems; Management Teams; Brands and Branding; Marketing Strategy; Strategy
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      Groysberg, Boris, Colleen Ammerman, and John D. Vaughan. "BrightStar Care: The Evolution of a Leadership Team." Harvard Business School Case 417-020, November 2016. (Revised February 2017.)
      • 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
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      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.
      • 2016
      • Working Paper

      Who Pays for White-Collar Crime?

      By: Paul Healy and George Serafeim
      Using a proprietary dataset of 667 companies around the world that experienced white-collar crime, we investigate what drives punishment of perpetrators of crime. We find a significantly lower propensity to punish crime in our sample, where most crimes are not reported...  View Details
      Keywords: Crime; Gender Bias; Women; Women Executives; Corruption; Legal Aspects Of Business; Firing; Human Capital; Human Resource Management; Prejudice and Bias; Crime and Corruption; Judgments; Law Enforcement; Human Resources; Corporate Governance; Gender
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      Healy, Paul, and George Serafeim. "Who Pays for White-Collar Crime?" Harvard Business School Working Paper, No. 16-148, June 2016.
      • 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
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      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.)
      • 2019
      • Working Paper

      Self-Interest: The Economist's Straitjacket

      By: Robert Simons
      This paper examines contemporary economic theories that focus on the design and management of business organizations. In the first part of the paper, a taxonomy is presented that describes the different types of economists interested in this subject—market economists,...  View Details
      Keywords: Self-interest; Economist; Moral Philosophers; Regulation; Capture; Organization Design; Economy Theory; Organization Theory; Management Theory; Commitment; Controls; Governance; Customers; Conflict of Interests; Business or Company Management; Competition; Organizational Design; Business Education; Agency Theory; Economics; Theory; Boundaries
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      Simons, Robert. "Self-Interest: The Economist's Straitjacket." Harvard Business School Working Paper, No. 16-045, October 2015. (Revised January 2019.)
      • August 2015 (Revised October 2017)
      • Case

      Turnaround at Norsk Gjenvinning (A)

      By: George Serafeim
      Erik Osmundsen, CEO of Norsk Gjenvinning (NG), had initiated a program to strenghten corporate governance, eliminate corruption and improve compliance, and as a result the company had experienced a turnover of almost half of its top 70 line managers and strained...  View Details
      Keywords: Change Leadership; Governance; Compliance; Waste Management; Environmental Impact; Social Responsibility; Industry Regulation; Regulatory Enforcement; Turnaround; Turn Around Management; Corruption; Leading Change; Change Management; Crime and Corruption; Governance Compliance; Wastes and Waste Processing; Industrial Products Industry; Norway; Scandinavia; Europe
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      Serafeim, George, and Shannon Gombos. "Turnaround at Norsk Gjenvinning (A)." Harvard Business School Case 116-012, August 2015. (Revised October 2017.)
      • March 2014 (Revised June 2015)
      • Case

      Can Mexico Make Democracy Work?

      By: Gunnar Trumbull and Jonathan Schlefer
      Enrique Peña Nieto, the presidential candidate of the old Mexican ruling party elected in 2012, passed the most fundamental reforms in at least two decades. They included allowing private competition in the energy sector, including with the state-owned oil company,...  View Details
      Keywords: Democratization; Economic Development; Competition Policy; Exchange Rates; Comparative Advantage; Growth and Development; Government Legislation; Political Elections; Economic Growth; Governing Rules, Regulations, and Reforms; Energy Industry; Communications Industry; Banking Industry; Latin America; Mexico
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      Trumbull, Gunnar, and Jonathan Schlefer. "Can Mexico Make Democracy Work?" Harvard Business School Case 714-049, March 2014. (Revised June 2015.)
      • September–October 2013
      • Article

      The Role of Organizational Scope and Governance in Strengthening Private Monitoring

      By: Lamar Pierce and Michael W. Toffel
      Governments and other organizations often outsource activities to achieve cost savings from market competition. Yet such benefits are often accompanied by poor quality resulting from moral hazard, which can be particularly onerous when outsourcing the monitoring and...  View Details
      Keywords: Crime and Corruption; Decision Choices and Conditions; Corporate Accountability; Governance Compliance; Policy; Management Practices and Processes; Demand and Consumers; Market Design; Market Entry and Exit; Market Transactions; Service Delivery; Service Operations; Business Processes; Organizational Structure; Performance Effectiveness; Performance Expectations; Practice; Transportation; Transportation Industry; Service Industry; United States; New York (state, US)
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      Pierce, Lamar, and Michael W. Toffel. "The Role of Organizational Scope and Governance in Strengthening Private Monitoring." Organization Science 24, no. 5 (September–October 2013): 1558–1584. (Winner of the NBS Research Impact on Practice Award from the Academy of Management (AOM) and Network for Business Sustainability (NBS))
      • August 2013 (Revised October 2013)
      • Case

      Modern Family Planning: The Business of Circle Surrogacy

      By: Ramon Casadesus-Masanell and Blake Landro
      The business of surrogacy, a boutique practice with client costs upwards of $100,000, allowed couples and individuals from a variety of backgrounds, ages, and sexual orientations to build families. This case examines Circle Surrogacy (CS), one of the premier surrogacy...  View Details
      Keywords: Family Planning; Platform; Competitive Advantage; Law; Globalization; Competitive Strategy; Digital Platforms; United States; Ukraine
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      Casadesus-Masanell, Ramon, and Blake Landro. "Modern Family Planning: The Business of Circle Surrogacy." Harvard Business School Case 714-418, August 2013. (Revised October 2013.)
      • 2012
      • White Paper

      Robust Enforcement Should Complement Voluntary Regulation

      By: Jodi L. Short and Michael W. Toffel
      Spurred by the anti-regulation movement that started in the 1970s, voluntary self-regulation programs have emerged in many regulatory agencies, seeking to increase cooperation between government and industry to achieve greater and more cost-effective compliance....  View Details
      Keywords: Governance Compliance; Business and Government Relations
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      Short, Jodi L., and Michael W. Toffel. "Robust Enforcement Should Complement Voluntary Regulation." Georgetown University Economic Policy Vignette, September 2012.
      • Article

      The Consumer Financial Protection Bureau: Financial Regulation for the Twenty-First Century

      By: Leonard J. Kennedy, Patricia A. McCoy and Ethan S. Bernstein
      After existing regulatory systems failed to prevent the recent financial crisis, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act, a sweeping reform designed to alleviate the crisis and prevent its recurrence. Out of this Act, the Consumer...  View Details
      Keywords: Consumer Financial Protection Bureau; Dodd-Frank; CFPB; Financial Crisis; Reform; New Agency; Market-based Approach; Evidence-based Analysis; Innovative Technologies And Transparency Policies; BEST Practices; Government and Politics; Government Administration; Finance; Financial History; Law; Markets; Organizations; Organizational Design; Business and Government Relations; Balance and Stability; Strategy; Financial Services Industry; Banking Industry; United States
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      Kennedy, Leonard J., Patricia A. McCoy, and Ethan S. Bernstein. "The Consumer Financial Protection Bureau: Financial Regulation for the Twenty-First Century." Cornell Law Review 97, no. 5 (July 2012): 1141–1176.
      • August 2011
      • Article

      Coming Clean and Cleaning Up: Does Voluntary Self-Reporting Indicate Effective Self-Policing

      By: Michael W. Toffel and Jodi L. Short
      Regulatory agencies are increasingly establishing voluntary self-reporting programs both as an investigative tool and to encourage regulated firms to commit to policing themselves. We investigate whether voluntary self-reporting can reliably indicate effective...  View Details
      Keywords: Environmental Sustainability; Governing Rules, Regulations, and Reforms; Programs; Governance Compliance; Corporate Disclosure; Law Enforcement
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      Toffel, Michael W., and Jodi L. Short. "Coming Clean and Cleaning Up: Does Voluntary Self-Reporting Indicate Effective Self-Policing." Journal of Law & Economics 54, no. 3 (August 2011): 609–649.
      • December 2010
      • Article

      Management and the Financial Crisis (We Have Met the Enemy and He Is Us...)

      By: William A. Sahlman
      The financial crisis of 2008-2009 has revealed that our broad model of corporate governance is broken, independent of the shortcomings in the regulatory system. Managers and boards of directors in scores of systemically important firms failed to protect employees,...  View Details
      Keywords: Risk Management; Human Capital; Ethics; Policy; Corporate Governance; Financial Crisis; Finance; Business and Shareholder Relations
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      Sahlman, William A. "Management and the Financial Crisis (We Have Met the Enemy and He Is Us...)." Economics, Management, and Financial Markets 5, no. 4 (December 2010): 11–53.
      • 2009
      • Working Paper

      Management and the Financial Crisis (We have met the enemy and he is us...)

      By: William A. Sahlman
      The financial crisis of 2008-9 has revealed that our broad model of corporate governance is broken, independent of the shortcomings in the regulatory system. Managers and boards of directors in scores of systemically important firms failed to protect employees,...  View Details
      Keywords: Risk Management; Governing and Advisory Boards; Ethics; Corporate Governance; Financial Crisis
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      Sahlman, William A. "Management and the Financial Crisis (We have met the enemy and he is us...)." Harvard Business School Working Paper, No. 10-033, October 2009.
      • 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.
      • 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.)
      • March 1979 (Revised December 1982)
      • Case

      Allied Chemical Corp. (B)

      By: George C. Lodge and Joseph L. Badaracco Jr.
      Describes Allied's cooperative approach to government relations and the approach of some of the regulatory agencies Allied deals with. Based mainly on quotes from Allied and government officials. Asks the student to evaluate Allied's government relations--in general...  View Details
      Keywords: Business and Government Relations; Cooperation; Chemical Industry
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      Lodge, George C., and Joseph L. Badaracco Jr. "Allied Chemical Corp. (B)." Harvard Business School Case 379-150, March 1979. (Revised December 1982.)
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