Skip to Main Content U.S. Department of Energy
CGS banner

Self-Regulation

Self-Regulation
In the national security arena, PNNL seeks to prevent and counter acts of terrorism through applied research in information analysis, cyber security, and the nonproliferation of weapons of mass destruction. Self-regulation is one well-established way to manage operations and avoid risk. PNNL works with manufacturers and other supply-chain partners to identify ways that private firms can self-regulate product movement while enabling legitimate commerce.

Since 2005, researchers at PNNL have been exploring industry's role in preventing the spread of civilian items that also have nuclear weapons applications—known as dual-use commodities. The work applies the concept of industry self-regulation to nonproliferation.

As a result, we identified nuclear nonproliferation self-regulation best practices for industry to consider, including:

  • Maintaining an export management and compliance program
  • Sharing tips about suspicious inquiries with government agencies, and, if appropriate, other firms
  • Preferentially contracting with supply chain partners that also maintain high nonproliferation standards
  • Supporting firm-, sector-, or industry-wide nonproliferation pledges or codes of conduct
  • Participating in governmental export control rulemaking.

These best practices and more are described in detail in "Beyond compliance: Integrating nonproliferation into corporate sustainability" by AJ Kurzrok AJ and G Hund, featured in the Bulletin of the Atomic Scientists.

More recently, PNNL has been applying self-regulation concepts to reduce threats emerging from synthetic biology (synbio). PNNL has also expanded its efforts to promote self-regulation not just amongst industry but also to include financial institutions, such as banks and insurers. All companies need financing or insurance at some point in their business cycle, thus financial institutions can impact the behavior of the whole industry. By incorporating anti-proliferation measures into their due diligence, financial institutions can reduce the risk that they will fund or insure companies that may be involved, intentionally or inadvertently, in illicit nuclear trafficking.

Events

  • International Seminar on Due Diligence, Risk Assessment and Supply Chain Management: Combatting Nuclear Proliferation, March 12-13, 2015, Vienna, Austria
  • International Seminar on Enhancing Industry-Government Cooperation in Implementing Good Practices in Nuclear Export Control, May 28-29, 2014, Seattle, WA, USA

A complete list of recent and upcoming events is available on CGS Events.

Publications

Hund G, RA Weise, and GA Carr. 2016. Meeting Summary of Kitchen Cabinet on Financial Due Diligence to Reduce Proliferation Risks. PNNL-25676. Pacific Northwest National Laboratory, Richland, WA

Weise, RA, and GE Hund. 2016. "Financial Incentives for Reducing Proliferation Risks." Bulletin of the Atomic Scientists 72(5):332-38. 10.1080/00963402.2016.1216676.

Hund G. 2015. Walk the Talk: How PNNL is Developing a Supply Chain Security Culture. PNNL-SA-108542, Pacific Northwest National Laboratory, Richland, WA.

Weise RA and G Hund. 2015. The Power of Integrators, Financiers, and Insurers to Reduce Proliferation Risks: Nuclear Dual-Use Goods. PNNL-24288, Pacific Northwest National Laboratory, Richland, WA.

Hund G, RA Weise, E Kytomaki, and M Quint. 2015. Seminar Summary - International Seminar on Due Diligence, Risk Assessment, and Supply Chain Management: Combatting Nuclear Proliferation. PNNL-SA-110478, Pacific Northwest National Laboratory, Richland, WA.

Quint MC, RA Weise, and G Hund. 2014. A Performance-Based Approach to Export Control Regulations: Rewarding Companies for Exceptional Compliance Behavior While Improving the Efficiency of Export Licensing. PNNL-SA-107041 Pacific Northwest National Laboratory, Richland, WA.

Hund G, AJ Kurzrok, and MC Quint. 2014. International Seminar on Enhancing Industry-Government Cooperation in Nuclear Export Control. PNNL-SA-104640 Pacific Northwest National Laboratory, Richland, WA.

Kurzrok A, and G Hund. 2014. Stopping Illicit Procurement: Lessons From Global Finance. Arms Control Today. June 2014.

Kurzrok A, and G Hund. 2013. Beyond compliance: Integrating nonproliferation into corporate sustainability. Bulletin of the Atomic Scientists. 69:31

Kurzrok AJ. 2013. Industry Self-Regulation for Nonproliferation: Industry Discussion Topics. PNNL-SA-97002, Pacific Northwest National Laboratory, Richland, WA.

Hund G, and A Seward. 2011. Self-Regulation to Promote Nonproliferation. Federation of American Scientists - Public Interest Report. Spring 2011.

A complete list of publications from the Center for Global Security is available in CGS Publications.

Center for Global Security

Topics of Interest