How to build integrity-driven organizations that prevent misconduct through effective compliance design
In Paper to Practice, Harvard Business School professor and Integrity Lab founder Eugene Soltes reveals why companies continue to face major fines, reputational damage, and regulatory scrutiny from employee misconduct despite extensive compliance program efforts. Drawing on his work with multinational organizations, including more than two dozen Fortune 100 companies, global regulatory agencies, and more than a decade of research, Soltes exposes a fundamental problem with corporate compliance: companies often measure inputs instead of outcomes.
This book delivers a data-driven framework for transforming compliance from a “check-the-box” exercise into a measurable business activity that drives real behavioral change. Readers will discover how leading organizations are moving beyond traditional compliance programs to build integrity-driven cultures that create measurable value for the business.
Inside the book:
• How to measure compliance effectiveness using behavioral outcomes
• Rigorous methods for building and assessing organizational culture using both quantitative and qualitative data
• Strategies for proactive risk management
• Evidence-based approaches to investigations, speak-up systems, and accountability that change behavior
• Frameworks for demonstrating ROI on compliance investments to boards and regulators
Essential reading for board members, chief compliance officers, and senior executives who recognize that managing integrity risk is as critical as managing any other business function, Paper to Practice provides the tools to finally answer the question: Is our compliance and integrity program actually effective?
Table of Contents:
Preface: Designing Process Versus Measuring Outcomes ix
Chapter 1 Starting with the Goal: Defining Effectiveness 1
Chapter 2 It All Starts with Culture 27
Chapter 3 Asking What, Where, and Why: Proactive Risk Management 63
Chapter 4 Communicating Integrity 93
Chapter 5 Fostering Speak-Up 115
Chapter 6 Investigating Allegations 139
Chapter 7 Consequences 163
Chapter 8 Enhancing Integrity Programs 187
Appendix 1 Enterprise Risk Management 101 203
Appendix 2 Building a New Integrity Program 217
Notes 223
Acknowledgments 231
About the Author 233
Index 235
About the Author :
EUGENE SOLTES is the McLean Family Professor of Business Administration at Harvard Business School and the Founder and Director of Integrity Lab. His work applies data and quantitative methods to the study of organizational culture and conduct, and has been widely cited and published in leading academic and practitioner journals. Working with a team of data scientists, statisticians, and engineers at Integrity Lab, he has supported organizations around the world in developing data-driven compliance programs, both proactively and in response to regulatory and reputational threats. He is the author of Why They Do It: Inside the Mind of the White-Collar Criminal and a co-author of Corporate Criminal Investigations and Prosecutions.
