Phases and Stakeholders

Introduction

This section provides an introduction to some of the basic scientific information about phases of scientific research that involves collection at sea, from beginning to end. Below is a typical “tour” of an ocean research project. The academic steps up to scientific publication will typically require about 5 years, while the whole process may take decades.

1. Research ideation
2. Grant writing
3. Grant awarded
4. Pre-collection logistics/planning with the ship operator
5. Collection
6. Post-collection sample & data management
7. Publication (basic scientific research ends here)
8. Patents (rare)
9. Commercialization (very rare)

The very beginning

Research ideation -> grant submission -> grant awarded

The steps below provide information about the very beginning of a scientific project in areas beyond national jurisdiction. Note that this phase is not goverened under the BBNJ Treaty. The information is intended to provide insights on how research starts. The Treaty's MGR mechanism requirements are triggered not at this stage but from the pre-collection notification discussed in the next section.

How research in areas beyond national jurisdiction (ABNJ) starts

Step 1. A scientist (Expedition Leader) begins by defining the scope of work as well as the assets and technologies needed to complete that work.

This process can start years in advance, with the scientists identifying and planning key elements of the expedition.There is no “one size fits all” to sea-going science.

For example, expeditions that are focused on studying seafloor communities require a vessel that can accommodate the rock dredges or robotic submersibles needed for collections. Tools used for midwater research such as water bottles and nets are of little use no matter how sophisticated. Thus, all expeditions are, in a sense, unique and require the specific assemblage of tools to do the job.

Step 2. The Expedition Leader identifies the source(s) (e.g., national science agencies, philanthropic organization, etc.) that will provide the financial and logistical support needed for a given expedition. The home institution will submit the proposal on behalf of the Expedition Leader.

Outside of commercially supported research (discussed below), most ABNJ expeditions are supported by national science agencies or philanthropic organizations. Expedition Leaders will typically write a research proposal that outlines the objectives, scope of work, associated personnel and their home institutions, as well as a budget for the funds being requested to support the proposed effort. The Expedition Leader will ask their home institutions to submit the proposal on their behalf. Notably, most national science agencies that support ABNJ expeditions only grant awards to institutions or other organizations such as not-for-profit organizations. Awards are not given to an individual, but rather to their home institution. Proposals are also considered confidential and are shared only among agency staff and select peer reviewers who are asked to provide critical evalulation. Further, the process of identifying the award opportunities through being selected is a time consuming process. Proposal and Award Policies and Procedure Guideline.

Step 3. When a proposal is selected for funding, the agency notifies the home institution and the Expedition Leader.

Generally, information on the grant awards is openly available with a short description of the project. For example, the National Sciences Foundation (NSF) has a website that provides the name of the home institution, the principal investigator, the grant award, an abstract, and the duration of the project. Recent and historic award (i.e., grants, contracts, and cooperative agreements) dating back to 1989 are available, along with various other information associated with NSF’s awards. See NSF awards website.