The regulatory scrutiny surrounding dual-use items, export control and regulatory compliance has increased due to the growing development and use of sensitive and emerging technology in academic research. Academic freedom, research collaboration and institutional autonomy and regulatory frameworks such as the EU Regulations 2021/821, are all important considerations within the complex governance landscape in which universities operate today.   Despite this, many of these institutions lack context-specific compliance structures that can address the risks related to intangible technology and dual-use research. This study aims to address this gap by focusing on the systematic development of functional requirements for a compliance model relevant to academic institutions. This study employs a systems engineering methodology incorporating a requirements-driven approach, positioning the functional requirements as an intermediate step in linking the problem identification to the model design. Based on a comprehensive review of existing literature and empirical insights from universities in the EU, UK and Norway through interviews, this study identifies key governance and compliance issues found within institutions. In response, the study formulates a series of fundamental requirements that act as design constraints that shape and outline the model and state the essential features an innovative compliance strategy model should have to support effective management and reporting of dual-use research activities.

Keywords

Functional Requirements, Dual-Use Items, EU Regulations, Compliance and Governance, Systems Engineering