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<front>
<journal-meta>
<journal-id journal-id-type="publisher-id">Front. Mar. Sci.</journal-id>
<journal-title-group>
<journal-title>Frontiers in Marine Science</journal-title>
<abbrev-journal-title abbrev-type="pubmed">Front. Mar. Sci.</abbrev-journal-title>
</journal-title-group>
<issn pub-type="epub">2296-7745</issn>
<publisher>
<publisher-name>Frontiers Media S.A.</publisher-name>
</publisher>
</journal-meta>
<article-meta>
<article-id pub-id-type="doi">10.3389/fmars.2026.1781360</article-id>
<article-version article-version-type="Version of Record" vocab="NISO-RP-8-2008"/>
<article-categories>
<subj-group subj-group-type="heading">
<subject>Policy and Practice Reviews</subject>
</subj-group>
</article-categories>
<title-group>
<article-title>Policy for strengthening marine strategic science and technology capabilities: framework, theory, and practice</article-title>
</title-group>
<contrib-group>
<contrib contrib-type="author">
<name><surname>Hu</surname><given-names>Zi Jun</given-names></name>
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</contrib>
<contrib contrib-type="author" corresp="yes">
<name><surname>Cui</surname><given-names>Wang Lai</given-names></name>
<xref ref-type="corresp" rid="c001"><sup>*</sup></xref>
<uri xlink:href="https://loop.frontiersin.org/people/3236838/overview"/>
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<contrib contrib-type="author">
<name><surname>Gu</surname><given-names>Bo Jun</given-names></name>
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<contrib contrib-type="author">
<name><surname>Cui</surname><given-names>Xiao Yu</given-names></name>
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<aff id="aff1"><institution>School of Economics and Management, Zhejiang Ocean University</institution>, <city>Zhoushan</city>, <state>Zhejiang</state>,&#xa0;<country country="cn">China</country></aff>
<author-notes>
<corresp id="c001"><label>*</label>Correspondence: Wang Lai Cui, <email xlink:href="mailto:cwl1018@163.com">cwl1018@163.com</email></corresp>
</author-notes>
<pub-date publication-format="electronic" date-type="pub" iso-8601-date="2026-02-25">
<day>25</day>
<month>02</month>
<year>2026</year>
</pub-date>
<pub-date publication-format="electronic" date-type="collection">
<year>2026</year>
</pub-date>
<volume>13</volume>
<elocation-id>1781360</elocation-id>
<history>
<date date-type="received">
<day>05</day>
<month>01</month>
<year>2026</year>
</date>
<date date-type="accepted">
<day>02</day>
<month>02</month>
<year>2026</year>
</date>
<date date-type="rev-recd">
<day>27</day>
<month>01</month>
<year>2026</year>
</date>
</history>
<permissions>
<copyright-statement>Copyright &#xa9; 2026 Hu, Cui, Gu and Cui.</copyright-statement>
<copyright-year>2026</copyright-year>
<copyright-holder>Hu, Cui, Gu and Cui</copyright-holder>
<license>
<ali:license_ref start_date="2026-02-25">https://creativecommons.org/licenses/by/4.0/</ali:license_ref>
<license-p>This is an open-access article distributed under the terms of the <ext-link ext-link-type="uri" xlink:href="https://creativecommons.org/licenses/by/4.0/">Creative Commons Attribution License (CC BY)</ext-link>. The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.</license-p>
</license>
</permissions>
<abstract>
<p>Policy for strengthening marine strategic science and technology capabilities have emerged as a new approach to overcoming the &#x2018;bottleneck&#x2019; technology challenges in the marine sector, which have been exacerbated by technological blockades imposed by developed countries. This paper provides a comprehensive analysis of such policies from multiple dimensions, including their conceptual connotations, key components, main characteristics, theoretical interpretations, and practical applications. The study identifies five major policy directions that have emerged globally: breakthroughs in &#x2018;bottleneck&#x2019; technologies, enhancement of maritime military capabilities, deep-sea resource development, marine industry innovation, and the strengthening of maritime governance and capacity building. These practices also exhibit a clear pattern of &#x201c;development-stage alignment,&#x201d; whereby high-income countries or regions focus on &#x201c;innovation upgrading + hegemony maintenance,&#x201d; while middle- and low-income countries or regions prioritize &#x201c;basic capacity building + security assurance.&#x201d; The core contribution of this article lies in constructing a systematic analytical framework of &#x201c;concept-elements-characteristics-theory-practice&#x201d; for such policies, clarifying their theoretical underpinnings and practical logic, and providing latecomer countries with a directly applicable theoretical framework and practical pathways for formulating marine strategic science and technology policies that are suited to their specific development stages.</p>
</abstract>
<kwd-group>
<kwd>constituent elements</kwd>
<kwd>marine policy</kwd>
<kwd>policy framework</kwd>
<kwd>policy practice</kwd>
<kwd>theoretical interpretation</kwd>
</kwd-group>
<funding-group>
<funding-statement>The author(s) declared that financial support was received for this work and/or its publication. This work was supported by the Major Project of the National Social Science Foundation of China (Grant Number: 22&amp;ZD152).</funding-statement>
</funding-group>
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<ref-count count="42"/>
<page-count count="13"/>
<word-count count="7664"/>
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<custom-meta-group>
<custom-meta>
<meta-name>section-at-acceptance</meta-name>
<meta-value>Marine Affairs and Policy</meta-value>
</custom-meta>
</custom-meta-group>
</article-meta>
</front>
<body>
<sec id="s1" sec-type="intro">
<label>1</label>
<title>Introduction</title>
<p>Marine strategic science and technology capabilities have become a critical factor in international maritime competition (<xref ref-type="bibr" rid="B33">Pan and Cui, 2025</xref>). Rising risks and challenges&#x2014;such as intensified maritime military rivalry (<xref ref-type="bibr" rid="B32">&#xd8;sthagen, 2021</xref>), growing deep-sea security threats (<xref ref-type="bibr" rid="B40">Vivoda, 2024</xref>), and reliance on foreign countries for key marine core technologies (<xref ref-type="bibr" rid="B13">Dachwald et&#xa0;al., 2020</xref>)&#x2014;have severely hindered the effectiveness of global marine governance and the construction of a governance system. As a bridge to achieving breakthroughs in marine science and technology innovation, marine innovation policies serve as tangible tools to strengthen national marine strategic science and technology capabilities in response to these marine risks and challenges (<xref ref-type="bibr" rid="B9">Brewer, 2017</xref>; <xref ref-type="bibr" rid="B18">Hills et&#xa0;al., 2021</xref>). The complexity and urgency of these challenges expose the weaknesses of traditional marine innovation policy systems. These systems often lack clear strategic objectives, coordinated deployment of resources, and well-defined implementation pathways, making it difficult to respond effectively to systemic shocks and societal needs. Consequently, many countries are actively exploring systematic intervention schemes in the marine sector centered on the &#x201c;big science&#x201d; framework (<xref ref-type="bibr" rid="B1">Anupama et&#xa0;al., 2021</xref>). Against this backdrop, the policy for strengthen marine strategic science and technology capabilities is gradually emerging as a task-driven, innovative paradigm on a global scale (<xref ref-type="bibr" rid="B20">Johnson et&#xa0;al., 2024</xref>; <xref ref-type="bibr" rid="B35">Saharuddin, 2001</xref>; <xref ref-type="bibr" rid="B39">Torres et&#xa0;al., 2015</xref>). According to OECD research reports, numerous countries and regions worldwide have launched relevant key initiatives, such as the <italic>U.S. ARGO Program</italic>, the <italic>EU Marine Observation Coordination Program</italic>, and Germany&#x2019;s <italic>&#x201c;Baltic Sea Seagrass Blue Carbon Sink</italic>&#x201d; research program.</p>
<p>As global marine competition intensifies and technological transformation accelerates, there is now a growing global consensus on the importance of strengthening national marine strategic science and technology capabilities. Existing research primarily unfolds across three dimensions: strategic security, technological innovation, and policy governance (<xref ref-type="bibr" rid="B4">Barirani, 2022</xref>; <xref ref-type="bibr" rid="B22">Kusters et&#xa0;al., 2024</xref>). From the perspective of strategic security, marine security is deeply embedded in national security frameworks. The United States focuses on enhancing maritime military power and promoting technological innovation in military ships and other areas (<xref ref-type="bibr" rid="B17">Gargano and Mouritz, 2023</xref>), while Japan, guided by the &#x201c;Oceanic Nation&#x201d; strategy, advances the construction of a maritime situation awareness system (<xref ref-type="bibr" rid="B42">Zhu et&#xa0;al., 2023</xref>). In terms of technological innovation, deep-sea exploration and marine new energy have emerged as key focus areas. The United Nations&#x2019; &#x201c;<italic>Decade of Ocean Science for Sustainable Development (2021-2030)</italic>&#x201d; (hereafter referred to as the &#x201c;Ocean Decade&#x201d;) has promoted international collaborative efforts to tackle critical marine technologies (<xref ref-type="bibr" rid="B6">Blasiak et&#xa0;al., 2023</xref>), with China actively participating in and leading the initiative, achieving a series of independent R&amp;D outcomes. From the policy governance perspective, the policy for strengthening marine strategic science and technology capabilities demonstrates significant advantages. China has leveraged its new nationwide system to break through marine &#x201c;bottleneck&#x201d; technology blockades; the United States has relied on defense budgets and public-private partnerships to promote the civilian application of marine military technologies; and Japan has established inter-ministerial institutions to coordinate deep-sea resource development. These cases provide theoretical and practical references for developing countries to construct adaptive policy frameworks (<xref ref-type="bibr" rid="B16">Furlan et&#xa0;al., 2018</xref>).</p>
<p>However, existing research has not yet developed a systematic exploration of this policy itself, leaving three major gaps: first, it has failed to clarify the core concepts and characteristic system of the policy; second, it lacks theoretical explanations for its intervention legitimacy; and third, it has not systematically analyzed cases to provide universally applicable experiences. To address these gaps, this article constructs a progressive analytical framework structured as &#x201c;conceptualization&#x2013;element analysis&#x2013;characteristic extraction&#x2013;theoretical support&#x2013;empirical validation.&#x201d; Drawing on five typical international cases, the framework is tested for feasibility, with the aim of filling the identified research gaps and providing both theoretical and practical references for latecomer countries in formulating relevant policies.</p>
</sec>
<sec id="s2">
<label>2</label>
<title>Research methods and data sources</title>
<sec id="s2_1">
<label>2.1</label>
<title>Research methods</title>
<p>This study combines a systematic review with a comparative case study approach, following the PRISMA guidelines for policy reviews. The literature search covers major international and Chinese databases including Web of Science and CNKI, as well as official policy platforms such as the OECD and UNESCO. The search period spans from 2000 to 2024, using key terms such as &#x201c;marine strategic science and technology policy,&#x201d; &#x201c;transition failure,&#x201d; and &#x201c;marine key technologies,&#x201d; among other relevant combinations. After undergoing three stages of screening&#x2014;de-duplication, initial screening based on titles and abstracts, and full-text review&#x2014;90 core documents were finally included in the analysis.</p>
<p>For the case selection, we followed principles of goal orientation, regional coverage, and practical representativeness. Five cases were chosen: China&#x2019;s &#x201c;Ocean Decade&#x201d; (Asia, focusing on breakthroughs in &#x201c;bottleneck&#x201d; technologies), the United States&#x2019; &#x201c;Return to Sea Control&#x201d; initiative (North America, emphasizing the strengthening of maritime military power), Japan&#x2019;s &#x201c;Marine Energy and Mineral Resources Development Plan&#x201d; (Asia, centered on deep-sea resource exploitation), the European Union&#x2019;s &#x201c;Blue Growth Strategy&#x201d; (Europe, focusing on marine industrial innovation and upgrading), and the African Union&#x2019;s &#x201c;2050 Integrated Maritime Strategy&#x201d; (Africa, prioritizing maritime governance and basic capacity building). These cases cover high-, middle-, and low-income countries across different regions, and encompass five major policy orientations&#x2014;technological breakthrough, military security, resource development, industrial upgrading, and foundational governance&#x2014;thereby reducing regional bias and providing differentiated references for latecomer countries.</p>
</sec>
<sec id="s2_2">
<label>2.2</label>
<title>Data sources</title>
<p>All data in this study are sourced from publicly available web-based platforms and authoritative institutional reports. The specific data sources are as follows: Data Sources for China&#x2019;s &#x201c;Ocean Decade&#x201d; Program: National Marine Data and Information Service. (2024). China Ocean Development Foundation. (2024). Center for Ocean Development Studies, Ocean University of China. Geo-science Documentation Center, China Geological Survey. Data Sources for the U.S.: &#x201c;Return to Sea Control&#x201d; Strategy: U.S. Department of Defense. (2023). 2023 Fiscal Year Report. U.S. Government Accountability Office. (2024). Data Sources for Japan&#x2019;s &#x201c;Marine Energy and Mineral Resources Development Plan&#x201d;: Ministry of Economy, Trade and Industry (METI), Japan.&#xa0;(2024). Japan Agency for Marine-Earth Science and Technology&#xa0;(JAMSTEC). (2024). Data Sources for the EU &#x201c;Blue Growth&#xa0;Strategy&#x201d;: European Commission. (2021). European Multidisciplinary Seafloor and Water Column Observatory (EMSO). (2023). European Wind Energy Association (EWEA). (2022). Data Sources for the AU &#x201c;Integrated Maritime Strategy 2050&#x201d;: AU Commission. (2022). AU Development Agency (AUDA-NEPAD). (2023). World Intellectual Property Organization (WIPO). (2024). Food and Agriculture Organization (FAO) of the United Nations. (2023).</p>
</sec>
</sec>
<sec id="s3">
<label>3</label>
<title>Analytical framework of the policy for strengthening marine strategic science and technology capabilities</title>
<p>Based on the aforementioned research methods and data support, this chapter focuses on the policy for strengthening marine strategic science and technology capabilities itself. It constructs a systematic analytical framework from three dimensions&#x2014;conceptual connotations, key components, and basic characteristics&#x2014;thereby laying the groundwork for subsequent theoretical interpretation and practical analysis.</p>
<sec id="s3_1">
<label>3.1</label>
<title>Conceptual connotation</title>
<p>The embryonic form of the policy for strengthening marine strategic science and technology capabilities can be traced back to the mid-20th century, when countries launched a series of marine resource exploration and development programs to tap into the value of marine resources&#x2014;such as the U.S. &#x201c;Deep Sea Drilling Project (DSDP)&#x201d; in the 1960s, followed by the &#x201c;Ocean Drilling Program (ODP)&#x201d; and the &#x201c;Integrated Ocean Drilling Program (IODP)&#x201d;. The core objective was to improve the efficiency of marine resource utilization through technological innovation and support the sustainable development of the marine economy (<xref ref-type="bibr" rid="B3">Baker-M&#xe9;dard et&#xa0;al., 2021</xref>; <xref ref-type="bibr" rid="B5">Bax et&#xa0;al., 2021</xref>). Entering the 21st century, with the intensification of global climate change, energy shortages, marine pollution, and other issues, countries and international organizations have begun to use such policies to guide marine technological innovation, addressing the dual challenges of resource development and environmental protection (<xref ref-type="bibr" rid="B15">Dutra et&#xa0;al., 2019</xref>). Its conceptual connotation can be analyzed based on scope: the narrow-sense policy focuses on single, clear, and short-term achievable goals (<xref ref-type="bibr" rid="B34">Petek et&#xa0;al., 2022</xref>). A typical example is China&#x2019;s special support policy for the development of the <italic>Fendouzhe</italic> (Striver) deep-sea manned submersible, which concentrated funding and research efforts on core technologies for a single piece of equipment, enabling rapid breakthroughs in the key technologies for 10,000-meter deep-sea exploration. While the broad-sense policy targets more complex, comprehensive, and systematic societal challenges (<xref ref-type="bibr" rid="B36">Sewerin et&#xa0;al., 2020</xref>). For instance, China&#x2019;s &#x201c;Ocean Decade&#x201d; initiative covers multiple areas such as marine scientific and technological research, ecological protection, and the sustainable development of resources. It includes not only technological innovation tasks such as deep-sea exploration and marine new energy, but also application scenarios such as coastal&#xa0;pollution control and fisheries resource conservation. By&#xa0;linking&#xa0;governments, research institutions, enterprises, the public,&#xa0;and&#xa0;other diverse stakeholders, it forms a cross-cutting, cross-regional&#xa0;collaborative promotion system that spans the entire chain&#xa0;of&#xa0;marine development, protection, and governance, distinguishing&#xa0;itself from the single-objective orientation of narrowly defined policies.</p>
<p>Based on this, this paper defines the policy for strengthening marine strategic science and technology capabilities as a broad-sense innovative policy paradigm addressing the &#x201c;bottleneck&#x201d; technology predicament in the marine sector faced by developing countries. Through systematic intervention, it aims to resolve urgent, difficult, dangerous, and arduous issues in marine science and technology, accelerating the pace of marine technological innovation.</p>
</sec>
<sec id="s3_2">
<label>3.2</label>
<title>Constituent elements</title>
<p>As a subfield of public policy, the concept of policy elements frequently appears in research on the policy for strengthening marine strategic science and technology capabilities (<xref ref-type="bibr" rid="B8">Bonvin and Laruffa, 2021</xref>). Drawing on existing research on policy elements and integrating its unique connotations, this paper constructs a policy element analysis framework encompassing four dimensions: marine policy objectives, marine policy subjects, marine policy instruments, and marine policy processes (<xref ref-type="fig" rid="f1"><bold>Figure&#xa0;1</bold></xref>).</p>
<fig id="f1" position="float">
<label>Figure&#xa0;1</label>
<caption>
<p>Analytical framework of constituent elements of the policy for strengthening marine strategic science and technology capabilities.</p>
</caption>
<graphic mimetype="image" mime-subtype="tiff" xlink:href="fmars-13-1781360-g001.tif">
<alt-text content-type="machine-generated">Flowchart diagram outlining marine policy processes, divided into three sections: objectives, actors, and instruments. Objectives focus on addressing major social challenges like resource exploitation, ecological protection, and economic development. Actors include government and marine-related entities with top-down and bottom-up interactions. Instruments cover objectives, policy initiatives such as innovation awards and leader recruitment, and conclude with policy effectiveness evaluation.</alt-text>
</graphic></fig>
<p>Marine policy objectives are the goals and outcomes that governments aim to achieve when addressing marine-related issues, reflecting their vision and expectations (<xref ref-type="bibr" rid="B2">Arundel et&#xa0;al., 2019</xref>; <xref ref-type="bibr" rid="B29">Mavrot et&#xa0;al., 2019</xref>; <xref ref-type="bibr" rid="B41">Wang et&#xa0;al., 2025</xref>). Their setting is characterized by three key features: targeting, measurability, and time-boundness. Marine policy actors refer to individuals, groups, or organizations that directly or indirectly participate in the entire process of marine policy and play important roles (<xref ref-type="bibr" rid="B30">Morales et&#xa0;al., 2023</xref>). This policy emphasizes giving full play to the advantages of the new nationwide system to collaboratively address major marine challenges. Marine policy instruments refer to strategies and methods adopted by governments or relevant regulatory authorities to achieve established marine policy objectives (<xref ref-type="bibr" rid="B11">Cejudo and Michel, 2021</xref>). This policy employs a broader combination of policy instruments, such as &#x201c;leader recruitment for key projects&#x201d; and &#x201c;horse-racing mechanism&#x201d;. The &#x201c;leader recruitment for key projects&#x201d; solicits high-caliber research teams from across society, clearly defines core technology breakthrough tasks and outcome evaluation criteria, and focuses resources on overcoming individual technical bottlenecks. For instance, in the development of deep-sea manned submersibles, this mechanism has driven the localization of key components such as pressure hulls and propulsion systems, breaking foreign technological monopolies. In contrast, the &#x201c;horse-racing mechanism&#x201d; simultaneously deploys multiple research teams to tackle the same critical technology direction through competitive R&amp;D. By conducting real-time evaluations and dynamically adjusting resource allocation, it compels teams to accelerate technological iteration, significantly shortening the time required to achieve breakthroughs in areas such as marine new energy and marine observation equipment. The marine policy process is generally understood as a dynamic mechanism of interaction among various marine-related subjects in the process of goal setting and achievement (<xref ref-type="bibr" rid="B21">Kuenzler and Stauffer, 2022</xref>). Its core links include the formulation, implementation, evaluation, and adjustment of marine policies.</p>
</sec>
<sec id="s3_3">
<label>3.3</label>
<title>Basic characteristics</title>
<p>After clarifying the constituent elements, comparing with traditional marine technological innovation policies further highlights the unique characteristics of the policy for strengthening marine strategic science and technology capabilities. By analyzing dimensions such as policy directional guidance, technological innovation leadership, subject collaboration models, and effectiveness evaluation mechanisms, this paper summarizes four prominent features of this policy compared to traditional marine technological innovation policies. These features collectively constitute its core advantages in addressing major marine challenges (<xref ref-type="table" rid="T1"><bold>Table&#xa0;1</bold></xref>).</p>
<table-wrap id="T1" position="float">
<label>Table&#xa0;1</label>
<caption>
<p>Comparative analysis between the policy for strengthening marine strategic science and technology capabilities and traditional marine technological innovation policies.</p>
</caption>
<table frame="hsides">
<thead>
<tr>
<th valign="middle" align="center">Characteristics</th>
<th valign="middle" align="center">Policy for strengthening marine strategic science and technology capabilities</th>
<th valign="middle" align="center">Traditional marine technological innovation policies</th>
</tr>
</thead>
<tbody>
<tr>
<td valign="top" align="center">Directional Guidance</td>
<td valign="top" align="center">Aligns with national major marine strategic needs, emphasizing the grasp of innovation direction and quality</td>
<td valign="top" align="center">Places greater emphasis on the quantity and speed of innovation</td>
</tr>
<tr>
<td valign="top" align="center">Technological Innovation</td>
<td valign="top" align="center">Conducts research on key technologies to address &#x201c;bottleneck&#x201d; issues</td>
<td valign="top" align="center">Focuses primarily on technological innovation, with limited attention to &#x201c;bottleneck&#x201d; technologies</td>
</tr>
<tr>
<td valign="top" align="center">Collaborative Participation</td>
<td valign="top" align="center">Emphasizes cross-departmental, cross-team, cross-field, and interdisciplinary collaborative innovation</td>
<td valign="top" align="center">Involves multiple departments but lacks sufficient cross-departmental and functional coordination, leading to overlapping goals</td>
</tr>
<tr>
<td valign="top" align="center">Dynamic Evaluation</td>
<td valign="top" align="center">Features a comprehensive long-term strategic policy evaluation framework</td>
<td valign="top" align="center">Usually evaluates short-term goals without establishing a long-term dynamic evaluation mechanism</td>
</tr>
</tbody>
</table>
</table-wrap>
</sec>
</sec>
<sec id="s4">
<label>4</label>
<title>Theoretical interpretation of the intervention of the policy for strengthening marine strategic science and technology capabilities</title>
<p>With the core framework of the policy clarified, it is necessary to further elaborate on the theoretical basis for its intervention in marine science, technology, and innovation activities. This chapter takes the transition failure theory as its core analytical lens to explain the legitimacy of policy intervention and to identify corresponding response pathways, thereby providing theoretical support for policy practice.</p>
<sec id="s4_1">
<label>4.1</label>
<title>Basis for government intervention</title>
<p>Previous studies have argued that the rationale for government intervention in innovative activities primarily stems from market failure or system failure (<xref ref-type="bibr" rid="B19">Huang, 2023</xref>; <xref ref-type="bibr" rid="B14">Deng et&#xa0;al., 2020</xref>). As sustainable transition emerges as an emerging theme in innovation research, the concept of &#x201c;transition failure&#x201d; has been proposed. The theory of transition failure posits that technological innovation is the driving force behind successful transitions, requiring targeted strategic management (<xref ref-type="bibr" rid="B10">Capasso et&#xa0;al., 2019</xref>). Leveraging this theory helps illuminate the dilemmas in technological development: by identifying the root causes of failure and pinpointing the exact factors hindering technology diffusion, it provides specific goals and action directions for the implementation of this policy, while also offering a theoretical justification for the legitimacy of its intervention in marine technological innovation activities. It should be noted that the theory of transition failure, while providing a theoretical basis for this policy, also has certain limitations in practical application. It ignores the interference of external factors such as geopolitics and international governance system changes on the occurrence and solution of transition failure, which needs to be supplemented and improved in subsequent research.</p>
</sec>
<sec id="s4_2">
<label>4.2</label>
<title>Types of transition failure</title>
<p>The causes of transition failure in the marine sector can be further refined into four typical categories: directional failure, demand expression failure, policy cooperation failure, and reflexive failure (<xref ref-type="bibr" rid="B7">Blind and Niebel, 2022</xref>). First, directional failure occurs when marine policy makers lack continuity in policy formulation, with shifting attitudes toward marine technology leading to fluctuations in technological development. Second, demand expression failure manifests as a disconnect between the direction of marine technological innovation and market needs, resulting in low consumer acceptance of emerging marine technological achievements. Third, policy cooperation failure arises when different departments formulate policies based solely on their own responsibilities, leading to overlapping goals and scattered policy resources. Fourth, reflexive failure refers to the absence of regular feedback and correction mechanisms during policy implementation, making it difficult to promote rapid policy adjustments and leaving the full-cycle policy management without dynamic review and timely revision mechanisms.</p>
</sec>
<sec id="s4_3">
<label>4.3</label>
<title>Addressing transition failure</title>
<p>The characteristics of the policy for strengthening marine strategic science and technology capabilities do not exist in isolation; instead, they form a systematic response logic precisely aligned with failure issues, providing actionable intervention pathways to overcome systemic barriers in marine technological innovation (<xref ref-type="bibr" rid="B27">Mao et&#xa0;al., 2025</xref>). Addressing transition failure requires adjusting specific pathways based on the actual conditions of different countries, especially latecomer nations (<xref ref-type="bibr" rid="B23">LePoire, 2024</xref>). Four targeted response strategies are proposed, corresponding to the four types of transition failure: First, to mitigate directional failure, governments should guide the direction of marine innovation based on the urgent needs of national marine development. Priority should be given to supporting marine technological innovation that addresses core domestic challenges (e.g., regional deep-sea resource exploration bottlenecks or coastal ecological protection gaps), ensuring continuity in innovation priorities and stabilizing the trajectory of marine technological advancement. Second, to resolve demand expression failure, the government&#x2019;s leading role in aligning innovation with market needs should be emphasized. Under government coordination, relevant entities (including research institutions, enterprises, and end-users) should collaborate on key technology R&amp;D, with a focus on solving &#x201c;bottleneck&#x201d; technologies that have clear market application value. This collaboration ensures that innovative outcomes are responsive to practical demands, thereby enhancing market acceptance of emerging marine technologies. Third, to overcome policy cooperation failure, interdisciplinary, cross-sectoral, and interdepartmental collaboration mechanisms should be established. These mechanisms aim to integrate the strengths of diverse innovation actors in the marine field&#x2014;such as universities, research institutes, enterprises, and government agencies&#x2014;fostering coordinated R&amp;D on key core technologies. This integration addresses issues of overlapping policy goals and scattered resources, consolidating a unified &#x201c;transformation coalition&#x201d; for marine technological advancement. Fourth, to address reflective failure, a comprehensive, long-term marine policy evaluation framework should be developed, accompanied by the implementation of flexible and adaptive policy measures. Regular evaluation cycles, feedback channels for frontline implementers, and dynamic adjustment mechanisms should be embedded into the full policy lifecycle, enabling timely corrections to policies and improving their adaptability to evolving marine development needs.</p>
</sec>
<sec id="s4_4">
<label>4.4</label>
<title>Theoretical limitations</title>
<p>While the transition failure framework provides a core explanation for strengthening the intervention legitimacy of policy for strengthening marine strategic science and technology capabilities, its application in the maritime domain exhibits significant limitations and struggles to fully capture the complexity of real-world situations. The theory primarily focuses on domestic technological transitions and institutional adaptation, yet it overlooks the inherently geopolitical nature of the marine sector. It fails to incorporate external factors such as the global competition for maritime hegemony, regional power dynamics, and the geoeconomic structures shaped by colonial histories (<xref ref-type="bibr" rid="B25">Lin and Sun, 2025</xref>). As a result, it cannot adequately explain why some countries prioritize geopolitical competition over short-term technological efficiency or ecological goals. Moreover, the framework implicitly assumes that countries participate in technological transitions on an equal footing, which contradicts the reality of power asymmetry in global marine science and technology. It does not critically address how early-mover countries establish technological dominance through rule-making, patent monopolies, and other mechanisms, nor does it account for cross-scale interest conflicts, technological ethical disputes, and other multidimensional issues. Consequently, the policy pathways it proposes often struggle to overcome external power barriers and complex value conflicts, limiting its ability to provide a comprehensive explanation of global strategic marine science and technology policies.</p>
</sec>
</sec>
<sec id="s5">
<label>5</label>
<title>Policy practice of strengthening marine strategic science and technology capabilities</title>
<p>While the transition failure theory provides the theoretical logic for policy operation, practical cases from countries around the world can further verify the framework&#x2019;s applicability. This chapter draws on five typical cases to analyze, from a practical perspective, the policy characteristics and implementation patterns of countries at different stages of development.</p>
<p>Due to differences in historical backgrounds, political systems, and economic conditions, policy for strengthening marine strategic science and technology capabilities have exhibited distinct characteristics across countries and over time (<xref ref-type="bibr" rid="B31">Nguyen, 2024</xref>; <xref ref-type="bibr" rid="B24">Li et&#xa0;al., 2024</xref>; <xref ref-type="bibr" rid="B26">Lynam et&#xa0;al., 2016</xref>). Global mission-oriented innovation initiatives in the marine domain reveal that this policy currently concentrate on five key areas: overcoming marine &#x201c;bottleneck&#x201d; technologies, enhancing maritime military capabilities, addressing the challenges of deep-sea resource development, promoting the innovation and upgrading of the marine industry, and improving maritime governance and protection. Enhancing maritime military capabilities serves as a fundamental prerequisite for safeguarding national maritime rights and interests. Faced with a complex and volatile maritime geopolitical landscape, countries generally place maritime security at the core of their national strategies, concentrating high-quality resources to tackle critical bottlenecks in naval development and maritime defense systems. Within the context of intensifying global competition in deep-sea resource development, many nations are driven by a strong sense of mission to narrow the technological gap with leading maritime resource powers. With the strategic goal of accelerating their catch-up with advanced maritime economies, these countries are striving to upgrade their deep-sea resource development technologies from a &#x201c;following&#x201d; to a &#x201c;leapfrogging&#x201d; trajectory. At the same time, promoting the innovation and upgrading of the marine industry and improving maritime governance and protection have become important avenues for countries to enhance their overall competitiveness in the marine sector and achieve sustainable ocean development.</p>
<p>These five types of policy practices reflect the differences in resource endowments and pressing challenges faced by countries at different stages of development and in varying contexts, which in turn lead to heterogeneity in their dominant strategic tasks. Against this backdrop, this article selects five major cases&#x2014;China&#x2019;s &#x201c;Ocean Decade&#x201d; initiative, the United States&#x2019; &#x201c;Return to Sea Control&#x201d; strategy, Japan&#x2019;s &#x201c;Marine Energy and Mineral Resources Development Plan,&#x201d; the European Union&#x2019;s &#x201c;Blue Growth Strategy,&#x201d; and the African Union&#x2019;s &#x201c;2050 Integrated Maritime Strategy&#x201d;&#x2014;to explore in depth the five typical innovative policy (<xref ref-type="table" rid="T2"><bold>Table&#xa0;2</bold></xref>).</p>
<table-wrap id="T2" position="float">
<label>Table&#xa0;2</label>
<caption>
<p>Policy practices of strengthening marine strategic science and technology capabilities.</p>
</caption>
<table frame="hsides">
<thead>
<tr>
<th valign="middle" align="left">Information and elements</th>
<th valign="middle" align="left">Case information and elements</th>
<th valign="middle" align="left">Addressing &#x201c;bottleneck&#x201d; technology blockades</th>
<th valign="middle" align="left">Strengthening maritime military power</th>
<th valign="middle" align="left">Tackling deep-sea resource development challenges</th>
<th valign="middle" align="left">Promoting the innovation and upgrading of the marine industry</th>
<th valign="middle" align="left">Maritime foundational governance and capacity building</th>
</tr>
</thead>
<tbody>
<tr>
<td valign="middle" rowspan="4" align="left">Basic Case Information</td>
<td valign="middle" align="left">Name</td>
<td valign="middle" align="left">&#x201c;Ocean Decade&#x201d; Program</td>
<td valign="middle" align="left">&#x201c;Return to Sea Control&#x201d; Strategy</td>
<td valign="middle" align="left">Marine Energy and Mineral Resources Development Plan</td>
<td valign="middle" align="left">Blue Growth Strategy</td>
<td valign="middle" align="left">AU 2050 Integrated Maritime Strategy</td>
</tr>
<tr>
<td valign="middle" align="left">Country</td>
<td valign="middle" align="left">China</td>
<td valign="middle" align="left">United States</td>
<td valign="middle" align="left">Japan</td>
<td valign="middle" align="left">European Union</td>
<td valign="middle" align="left">African Union</td>
</tr>
<tr>
<td valign="middle" align="left">Field</td>
<td valign="middle" align="left">Marine science and technology, ecology, resources, education, etc.</td>
<td valign="middle" align="left">Military, marine</td>
<td valign="middle" align="left">Marine energy</td>
<td valign="middle" align="left">Marine industry, energy, biotechnology, and other sectors</td>
<td valign="middle" align="left">Marine security, resources, ecology, governance, and other areas</td>
</tr>
<tr>
<td valign="middle" align="left">Timeframe</td>
<td valign="middle" align="left">2021-2030</td>
<td valign="middle" align="left">2017&#x2014;</td>
<td valign="middle" align="left">2020-2035</td>
<td valign="middle" align="left">2012&#x2014; (updated in 2021)</td>
<td valign="middle" align="left">2020-2050</td>
</tr>
<tr>
<td valign="middle" rowspan="4" align="left">Characteristics of Constituent Elements</td>
<td valign="middle" align="left">Policy Objectives</td>
<td valign="middle" align="left">Break through marine &#x201c;bottleneck&#x201d; technologies and integrate into the global marine sustainable development framework.</td>
<td valign="middle" align="left">Strengthen maritime power and safeguard global marine hegemony.</td>
<td valign="middle" align="left">Achieve international leadership in deep-sea resource development technologies and make breakthroughs in commercial exploitation.</td>
<td valign="middle" align="left">Drive the low-carbon innovation and upgrading of the marine industry, thereby achieving high-quality and sustainable development of the blue economy.</td>
<td valign="middle" align="left">Enhance regional maritime governance capacity, safeguard maritime security and ecological sustainability, and promote the development of the blue economy.</td>
</tr>
<tr>
<td valign="middle" align="left">Policy Subjects</td>
<td valign="middle" align="left">&#x2003;Coordinated by central departments, with collaborative participation of research institutions, major marine-related state-owned enterprises, and universities.</td>
<td valign="middle" align="left">Led by the U.S. Department of the Navy, integrating national superior forces for joint participation.</td>
<td valign="middle" align="left">Led by Japan&#x2019;s Ministry of Economy, Trade and Industry (METI) and JAMSTEC, with participation of other relevant departments.</td>
<td valign="middle" align="left">Led by the European Commission, with collaborative participation from member state governments, research institutions, and multinational enterprises.</td>
<td valign="middle" align="left">Led by the African Union Commission, coordinated by AUDA-NEPAD, and involves regional economic communities, relevant national departments of member states, and international organizations.</td>
</tr>
<tr>
<td valign="middle" align="left">Policy Instruments</td>
<td valign="middle" align="left">&#x201c;Leader recruitment system&#x201d;, &#x201c;horse-racing system&#x201d;, special funds for marine science and technology, &#x201c;industry-university-research-application&#x201d; collaborative platforms, marine information centers.</td>
<td valign="middle" align="left">Defense budgets, government procurement, public-private partnerships.</td>
<td valign="middle" align="left">Institutional equity investment, government financial support, or government-guaranteed loans from banks and other financial institutions.</td>
<td valign="middle" align="left">Horizon Europe fund, carbon pricing mechanisms, green patent incentives, and cross-border research cooperation platforms.</td>
<td valign="middle" align="left">regional marine research funds, technology transfer platforms, cross-border law enforcement cooperation mechanisms, and subsidies for the sustainable development of fisheries resources.</td>
</tr>
<tr>
<td valign="middle" align="left">Policy Process</td>
<td valign="middle" align="left">Combination of top-down and bottom-up approaches</td>
<td valign="middle" align="left">Top-down approach</td>
<td valign="middle" align="left">Top-down approach</td>
<td valign="middle" align="left">Combination of top-down and bottom-up approaches</td>
<td valign="middle" align="left">Top-down approach</td>
</tr>
</tbody>
</table>
</table-wrap>
<sec id="s5_1">
<label>5.1</label>
<title>Policy practice focused on addressing marine &#x201c;bottleneck&#x201d; technology blockades</title>
<p>In recent years, while the global level of technological innovation has advanced rapidly, the demand for core technologies to support marine development and resource security has grown increasingly urgent (<xref ref-type="bibr" rid="B12">Cormier et&#xa0;al., 2022</xref>). Against this backdrop, policy practices focused on addressing marine &#x201c;bottleneck&#x201d; technologies have gradually emerged.</p>
<p>In 2021, the United Nations launched the &#x201c;Ocean Decade&#x201d; initiative. China responded actively to this international call, participating in global marine technological innovation while aligning its efforts with the goal of building a strong maritime nation. Focusing on key bottlenecks in marine core technologies, China has developed a distinctive set of policies for strengthening marine strategic science and technology capabilities. In terms of policy objectives, China&#x2019;s core goal is not only to participate in global marine innovation but, more importantly, to carry out research on key marine core technologies and to deeply integrate independently developed breakthroughs in marine &#x201c;bottleneck&#x201d; technologies into the global framework for sustainable ocean development.</p>
<p>In terms of policy actors, central government departments are responsible for top-level design and resource coordination, while marine research institutions lead technological research. Leading marine enterprises undertake industrialization tasks, and marine universities provide talent and basic research support.</p>
<p>Regarding policy instruments, China has innovatively adopted research organization models such as &#x201c;challenge-based bidding&#x201d; and &#x201c;horse-race mechanisms.&#x201d; It has released public lists of key research tasks&#x2014;for example, in the development of deep-sea manned submersibles&#x2014;and provided long-term funding for critical technology R&amp;D. Collaborative platforms integrating &#x201c;industry, academia, research, and application&#x201d; have also been established.</p>
<p>In terms of policy processes, China employs a combination of top-down and bottom-up approaches. Central authorities decompose overall goals and clarify responsibilities, while institutions such as the National Marine Data and Information Service track progress and monitor indicators. At the same time, grassroots research teams and marine enterprises provide bottom-up feedback on practical challenges and market needs. Every year, expert evaluations are conducted to adjust resource allocation and research priorities, forming a closed-loop management system.</p>
<p>Data show that between 2021 and 2023, China&#x2019;s total R&amp;D investment in the marine field reached 156 billion yuan, with more than 60% directed toward &#x201c;bottleneck&#x201d; technologies such as deep-sea equipment. China&#x2019;s share of global patents related to deep-sea exploration technology exceeds 25%, placing it among the world leaders.</p>
<p>Overall, these practices have driven achievements such as the &#x201c;Fendouzhe&#x201d; (Striver) deep-sea submersible to reach internationally advanced levels, contributing a Chinese approach to global marine science and technology development. They also offer valuable references for latecomer countries seeking to overcome technological bottlenecks and formulate technology-focused policies tailored to their own national contexts.</p>
</sec>
<sec id="s5_2">
<label>5.2</label>
<title>Policy practice targeting the strengthening of maritime military power</title>
<p>&#x200b; The deployment of maritime military capabilities serves as a fundamental means for maritime powers to secure marine interests, while also acting as a core guarantee for safeguarding national maritime security and upholding maritime rights (<xref ref-type="bibr" rid="B38">Tai and Qiu, 2024</xref>).</p>
<p>In January 2017, the U.S. Navy put forward the &#x201c;Return to Sea Control&#x201d; strategy and released the document <italic>Surface Force Strategy: Return to Sea Control</italic>, which stands as a representative case of policies targeting the strengthening maritime power and ensuring global maritime dominance. Led by the U.S. Department of the Navy, the initiative aims to address challenges posed by emerging maritime powers and to secure America&#x2019;s absolute advantage in global waters.</p>
<p>In terms of policy objectives, the core goals of the U.S. Navy&#x2019;s Return to Sea Control initiative extend beyond enhancing traditional maritime combat capabilities. They also include advancing the modernization of naval technology and strengthening control over key maritime areas, thereby supporting U.S. leadership in the global economy, technology, and diplomacy.</p>
<p>In terms of policy actors, the U.S. Department of the Navy is responsible for overall planning and implementation, and a dedicated office was established to coordinate and oversee the strategy. Additional participants include various naval warfare commands, the Naval Research Laboratory, defense contractors, and inter-service cooperation units.</p>
<p>Regarding policy instruments, the initiative relies on substantial defense budgets and government procurement. The U.S. Congress has passed a series of appropriation acts, providing ample financial support for naval vessel construction, technological R&amp;D, and personnel training.</p>
<p>In terms of policy processes, the U.S. Department of the Navy adopts a top-down management model, using centralized planning to ensure the consistency of strategic objectives while allowing each operational unit sufficient autonomy through hierarchical organization. During project implementation, the Department of the Navy has established a rigorous accountability mechanism. The Government Accountability Office (GAO) regularly evaluates phased outcomes, and resource allocation and strategic priorities are dynamically adjusted based on these assessments.</p>
<p>According to available data, between 2017 and 2023, U.S. Navy investment in maritime military technology R&amp;D reached a cumulative total of 128 billion U.S. dollars, with annual growth of 15% in core technology areas such as unmanned combat systems and advanced ship propulsion. Patent applications related to unmanned vessels and maritime communication technologies reached 1,890, accounting for 31% of the global total, and the intensity of U.S. military presence in key maritime areas has increased significantly.</p>
<p>These practices demonstrate that by concentrating resources to advance naval technological modernization and enhance operational capabilities, the United States has developed a model that offers insights for global maritime security policy-making. In particular, it provides valuable lessons for latecomer countries with maritime security needs, helping them to integrate military and technological resources and to establish efficient policy implementation and evaluation mechanisms.</p>
</sec>
<sec id="s5_3">
<label>5.3</label>
<title>Policy practice oriented toward tackling deep-sea resource development challenges</title>
<p>Deep-sea resource development is not only a critical pathway to overcoming resource constraints but also a strategic opportunity for developing countries to catch up in marine science, technology, and industry (<xref ref-type="bibr" rid="B28">Marlow et&#xa0;al., 2022</xref>).</p>
<p>Against the backdrop of intensifying global competition in marine resource exploitation, Japan&#x2014;a pioneer in this field&#x2014;has launched its <italic>Marine Energy and Mineral Resources Development Plan</italic>, which is explicitly designed to address the challenges of deep-sea resource development. This plan, driven by the new round of technological revolution, is a major national strategy and a representative case of policies aimed at industrial catch-up and technological innovation.</p>
<p>In terms of policy objectives, Japan&#x2019;s overall goal is to achieve parity or even surpass international leaders in deep-sea resource development, while also setting quantifiable, time-bound milestones. The Ministry of Economy, Trade, and Industry (METI)&#x2019;s <italic>Marine Energy and Mineral Resources Development Plan (2020&#x2013;2035)</italic> stipulates that by 2030, Japan&#x2019;s deep-sea resource development technologies should reach an internationally advanced level, and commercial exploitation of deep-sea mineral resources should be realized.</p>
<p>In terms of policy actors, METI and the Japan Agency for Marine-Earth Science and Technology (JAMSTEC) are responsible for formulating and organizing the plan, while the Japan Oil, Gas and Metals National Corporation (JOGMEC) serves as the primary implementing body.</p>
<p>Regarding policy instruments, Japan has established several interministerial coordination mechanisms, such as the <italic>Liaison Conference for the Promotion of Ocean Science and Technology Development</italic>, which is chaired by the Chief Cabinet Secretary and includes officials from 14 ministries. This structure ensures comprehensive coordination and facilitates the advancement of marine development technologies.</p>
<p>In terms of policy processes, Japan&#x2019;s deep-sea resource development plan exhibits a strong top-down character. The central government acts as the core decision-maker, guiding the formulation and implementation of the strategy. At the same time, local governments, enterprises, research institutions, and universities have actively responded to central government initiatives, gradually becoming important participants in deep-sea resource development and contributing to practical applications and research in this field.</p>
<p>Relevant data show that between 2020 and 2023, Japan&#x2019;s cumulative R&amp;D investment in deep-sea resource development reached 2.3 trillion yen, accounting for 41% of total investment in the marine industry. More than 80% of this funding was allocated to key technologies such as deep-sea rare earth exploration and methane hydrate extraction. Japan filed 860 patents related to deep-sea mineral exploration technologies and expects to achieve commercial exploitation by 2030, with an annual production capacity of 12,000 tons&#x2014;sufficient to meet 30% of Japan&#x2019;s domestic rare earth demand.</p>
<p>For developing countries, deep-sea resource development needs to be promoted in a phased manner that aligns with their own resource endowments and technological capabilities. This approach can turn deep-sea development into a strategic window for overcoming resource constraints and achieving catch-up in marine science, technology, and industry, while avoiding inefficient or wasteful investment.</p>
</sec>
<sec id="s5_4">
<label>5.4</label>
<title>Policy practices centered on promoting the innovation and upgrading of the marine industry</title>
<p>Against the backdrop of global low-carbon transitions and industrial upgrading, the marine industry&#x2014;with its dual economic potential and ecological value&#x2014;has become a key focus for countries seeking to foster new growth engines. As a result, policy practices centered on promoting the innovation and upgrading of the marine industry have gradually taken shape (<xref ref-type="bibr" rid="B37">Sun et&#xa0;al., 2024</xref>).</p>
<p>The European Union launched its &#x201c;Blue Growth Strategy&#x201d; in 2012, which was further upgraded in 2021 in alignment with the European Green Deal. This has formed a policy framework for marine industry development driven by innovation and low-carbon transition, making it a representative case of how developed economies promote the coordinated upgrading of their marine sectors. In terms of policy objectives, the core aim is to unlock the potential of the blue economy, advance emerging industries such as marine renewable energy and marine biotechnology, and achieve synergies between economic growth and ecological protection.</p>
<p>In terms of policy actors, the European Commission takes the lead in top-level design and goal coordination, while member states are responsible for implementing policies tailored to their specific maritime advantages. Specialized bodies such as the European Multidisciplinary Seafloor and Water-column Observatory (EMSO) and the European Wind Energy Association (EWEA) provide technical support. Meanwhile, multinational enterprises including Siemens Gamesa and research institutions such as the Netherlands Institute for Sea Research (NIOZ) participate in technology development and technology transfer, forming a multi-actor collaborative network.</p>
<p>Regarding policy instruments, the EU leverages funding from the Horizon Europe program to provide dedicated financial support, uses carbon pricing mechanisms to guide low-carbon industrial transitions, and offers green patent incentives to encourage technological innovation. It has also established cross-border research platforms such as Euro Sea to facilitate resource sharing and collaborative research.</p>
<p>In terms of policy processes, the EU adopts a dual synergy model of &#x201c;EU-level coordination + national-level implementation.&#x201d; The EU formulates unified technical standards, ecological conservation red lines, and industrial development guidelines, while member states develop differentiated implementation rules based on the resource endowments of regions such as the North Sea and the Mediterranean. Every three years, the European Commission publishes a &#x201c;Blue Economy Progress Report&#x201d; to conduct dynamic evaluations and adjust resource allocation and policy priorities accordingly.</p>
<p>Relevant data show that between 2012 and 2023, the EU invested more than 35 billion euros in marine research and development, with 75% allocated to emerging fields such as marine renewable energy and marine biotechnology. From 2018 to 2023, the EU filed 1,243 patents in marine biotechnology, accounting for 31% of the global total, and its share of global offshore wind power technology patents exceeded 40%. In 2022, the EU&#x2019;s blue economy added value reached 860 billion euros, with contributions from emerging marine industries increasing by 180% compared to 2012, and cumulative carbon emissions reductions reaching 120 million tons.</p>
<p>These practices demonstrate that through the dual drivers of technological and institutional innovation, the EU has developed a model that supports the high-quality development of the global marine industry. In particular, it offers valuable lessons for latecomer countries with a certain industrial foundation, helping them to cultivate emerging marine industries while balancing economic development and ecological protection.</p>
</sec>
<sec id="s5_5">
<label>5.5</label>
<title>Policy practices oriented toward improving maritime governance and protection</title>
<p>For regions rich in marine resources but constrained by weak governance capacity, strengthening maritime governance and protection, as well as enhancing regional coordination, has become a key approach to addressing maritime security threats and ecological crises.</p>
<p>The African Union (AU) adopted its &#x201c;2050 Integrated Maritime Strategy&#x201d; in 2014 and revised it in 2022, focusing on regional maritime security, ecological protection, and governance capacity building. This makes it a representative case of how low-income countries can improve maritime governance through regional collaboration. In terms of policy objectives, the core aim is to tackle the multiple challenges of maritime security, resource exploitation, and ecological protection through coordinated regional action.</p>
<p>In terms of policy actors, the AU Commission takes the lead in designing the overall framework, while the AU Development Agency (AUDA-NEPAD) is responsible for cross-regional coordination. National maritime and fisheries authorities of member states implement policies at the country level, and international organizations such as the Food and Agriculture Organization (FAO) and the World Intellectual Property Organization (WIPO) provide financial, technical, and training support. Together, they form a top-down &#x201c;regional&#x2013;national&#x2013;international&#x201d; governance system.</p>
<p>Regarding policy instruments, the AU has established regional marine research funds to support the development of practical technologies. It has also built technology transfer platforms in cooperation with the EU and China to provide training in marine observation, ecological restoration, and other key areas.</p>
<p>In terms of policy processes, the AU formulates unified regional rules for maritime governance, frameworks for security cooperation, and standards for ecological protection. Member states then develop specific implementation plans based on their own marine resources and governance capacities, and leverage international funding and technical support to address capacity gaps. Every five years, a regional assessment of maritime governance capacity is conducted to optimize policy implementation pathways.</p>
<p>These policies have achieved notable results. Between 2014 and 2023, Africa&#x2019;s cumulative investment in marine research and development reached approximately 4.5 billion euros, 60% of which came from international assistance. Eighty percent of this funding was allocated to practical technology areas such as coastal observation, sustainable fisheries development, and ecological restoration. From 2018 to 2023, Africa filed 187 patents in the marine field, mainly in practical domains such as fisheries technology and coastal observation equipment, with a patent conversion rate of 42%.</p>
<p>Such practices demonstrate how regional coordination and international cooperation can help address governance deficits. They provide valuable lessons for latecomer regions seeking to improve maritime governance and protection, particularly resource-rich but governance-weak regions such as Africa and Southeast Asia, offering insights into balancing resource development, security, and ecological conservation.</p>
</sec>
</sec>
<sec id="s6" sec-type="conclusions">
<label>6</label>
<title>Conclusions and implications</title>
<sec id="s6_1">
<label>6.1</label>
<title>Research conclusions</title>
<list list-type="simple">
<list-item>
<p>1. The policy for strengthening marine strategic science and technology capabilities is an innovative policy paradigm addressing the &#x201c;bottleneck&#x201d; technology predicament in the marine sector faced by latecomer countries. Through systematic policy intervention, it aims to resolve urgent, difficult, dangerous, and arduous issues in marine science and technology. From the perspective of objectives, it can be divided into a narrow category focusing on single goals and a broad category addressing complex social challenges. The four constituent elements and four key characteristics collectively form its core framework, distinguishing it from traditional policies.</p></list-item>
<list-item>
<p>2. In response to the four types of transition failure in the marine sector&#x2014;directional failure, demand expression failure, policy cooperation failure, and reflexive failure&#x2014;the policy for strengthening marine strategic science and technology capabilities can correct deviations in innovation direction through directional guidance, guide market demand through technological innovation, break down barriers to inter-entity collaboration through collaborative participation, and improve policy optimization mechanisms through dynamic evaluation, forming a closed-loop logic of &#x201c;failure identification - policy intervention - problem resolution.&#x201d;</p></list-item>
<list-item>
<p>3. Current global policy practices for strengthening marine strategic science and technology capabilities are primarily concentrated in five areas: breakthroughs in &#x201c;bottleneck&#x201d; technologies, enhancement of maritime military capabilities, deep-sea resource development, innovation and upgrading of the marine industry, and foundational maritime governance and capacity building. These five types of practices exhibit a clear pattern of &#x201c;development-stage alignment&#x201d;: high-income regions tend to focus on &#x201c;innovation upgrading + hegemony maintenance,&#x201d; characterized by high R&amp;D investment intensity and dense patent outputs. In contrast, middle- and low-income regions prioritize &#x201c;basic capacity building + security assurance,&#x201d; with R&amp;D funding relying more on domestic coordination or international support, and patenting activity concentrated in such practical fields as marine fisheries, coastal observation, and ecological governance.</p></list-item>
</list>
</sec>
<sec id="s6_2">
<label>6.2</label>
<title>Policy implications</title>
<list list-type="simple">
<list-item>
<p>1. To strengthen policy implementation and the advancement of pilot projects in latecomer countries, it is essential for these nations to build on their own resource endowments and adopt a principle of &#x201c;pilot first, small-scale investment, and rapid iteration,&#x201d; so as to translate policies into concrete, testable initiatives. Drawing on China&#x2019;s experience with the &#x201c;new nationwide system,&#x201d; latecomer countries could establish interministerial coordinating bodies for strategic marine science and technology, and prioritize pilot programs in livelihood-related areas such as coastal ecological protection and low-cost marine observation. For example, Southeast Asian countries could launch a &#x201c;coastal eco-fisheries technology pilot,&#x201d; collaborating with local research institutions and fishing cooperatives to develop low-impact fishing equipment suitable for small-scale vessels. Governments could provide a 30% R&amp;D subsidy plus preferential procurement support, with an 18-month pilot period, and use &#x201c;stable fishery yields + a 10% increase in coastal coral reef survival rates&#x201d; as core evaluation metrics. In Africa, countries could leverage the AU&#x2019;s regional marine research fund to jointly implement an &#x201c;East African coastal disaster early-warning technology pilot,&#x201d; integrating international technology transfer platforms. The goal would be to achieve a storm warning accuracy rate of over 80% within two years, covering five coastal nations. At the same time, it is important to systematically document the experiences gained from these pilots&#x2014;including stakeholder coordination and funding ratios&#x2014;and develop simple, practical handbooks that can serve as replicable references for other countries, thereby avoiding inefficient or blind investment.</p></list-item>
<list-item>
<p>2. To build a sustainable development policy framework tailored to developing countries, it is necessary to embed ecological ethical constraints into the entire policy process and establish an action framework that is &#x201c;quantifiable in objectives, monitorable in processes, and assessable in outcomes.&#x201d; In terms of directional guidance, policies should focus on core needs such as the sustainable use of coastal resources and marine disaster prevention, while setting phased targets&#x2014;for instance, achieving 50% localization of coastal pollution monitoring technologies and an 8% annual increase in the area of marine ecological restoration by 2030. In terms of technological innovation, tax incentives and special subsidies can be used to foster green marine industries, with enterprises engaged in marine carbon sinks and low&#x2212;pollution development technologies eligible for preferential policies such as a &#x201c;two&#x2212;year exemption and three&#x2212;year halving&#x201d; of corporate income&#xa0;tax. In terms of collaborative participation, a multi&#x2212;stakeholder mechanism involving governments, research&#xa0;institutions, local enterprises, and international organizations should be established. Cooperation with bodies such as the Food and Agriculture Organization (FAO) and the International Council for the Exploration of the Sea (ICES) can support ecological protection training&#xa0;programs that reach 100 policymakers and technical&#xa0;personnel annually. In terms of dynamic assessment,&#xa0;a&#xa0;three&#x2212;dimensional evaluation system&#x2014;covering technology adoption rates, marine economic contribution rates, and biodiversity conservation outcomes&#x2014;should be constructed, with policy adjustments conducted every two years to ensure that development and protection proceed in a mutually reinforcing manner.</p></list-item>
<list-item>
<p>3. To establish a classified policy toolbox and an ethical risk prevention mechanism, it is necessary to match composite tool combinations of &#x201c;technological breakthrough + ecological protection + ethical constraints&#x201d; to different policy objectives. When addressing &#x201c;bottleneck&#x201d; technologies, countries can draw on China&#x2019;s &#x201c;challenge-based bidding&#x201d; model by setting up special funds with attached ecological clauses. For example, South American countries could jointly launch a &#x201c;deep-sea mineral exploration technology initiative&#x201d; that mandates the use of non-explosive sampling techniques and avoids ecologically sensitive deep-sea areas, adopting a dual standard of &#x201c;technological breakthrough + zero ecological damage.&#x201d; When enhancing maritime security capabilities, countries can learn from the U.S. approach of civil-military coordination to promote the transfer of civilian technologies to security applications, but they should also establish ethical review mechanisms to prohibit their use for predatory resource monitoring. When developing deep-sea resources, an &#x201c;ecological restoration bond&#x201d; system can be introduced, requiring enterprises to pre-pay a bond equivalent to 10% of the total project investment. If mining activities cause benthic organism survival rates to drop below 70%, the bond would be deducted to fund ecological restoration. In addition, environmental monitoring data should be publicly disclosed quarterly and subject to international third-party audits to&#xa0;balance the need for resource development with biodiversity conservation.</p></list-item>
</list>
</sec>
<sec id="s6_3">
<label>6.3</label>
<title>Research limitations</title>
<p>Although this study has constructed an analytical framework for policy for strengthening marine strategic science and technology capabilities and has conducted case and theoretical analyses, it still has several limitations that leave room for future expansion. First, while the case selection covers multiple regions and development stages, it remains insufficiently representative of policy practices in South America, Oceania, and other regions. Future research could expand the scope of cases to enhance the global applicability of the findings. Second, the quantitative analysis focuses primarily on explicit indicators such as R&amp;D investment and patent counts, and does not adequately measure the long-term social and ecological benefits of policies. Subsequent studies could develop a more comprehensive, multidimensional indicator system to deepen quantitative research in this area. Third, the theoretical framework relies mainly on the transition failure perspective and does not sufficiently integrate interdisciplinary insights from geopolitics, power structures, and other fields. Future work could incorporate multiple theoretical lenses to enrich the interpretation of strategic marine science and technology policies. Finally, this study focuses on existing policies and practices, and offers limited discussion of policy evolution driven by technological change and adjustments in international rules. Future research could adopt a more forward-looking approach by analyzing the implications of emerging technologies for marine strategic science and technology governance.</p>
</sec>
</sec>
</body>
<back>
<sec id="s7" sec-type="author-contributions">
<title>Author contributions</title>
<p>ZH: Writing &#x2013; review &amp; editing, Data curation, Methodology, Writing &#x2013; original draft. WC: Writing &#x2013; review &amp; editing, Conceptualization, Project administration, Funding acquisition. BG: Funding acquisition, Conceptualization, Writing &#x2013; review &amp; editing, Project administration. XC: Software, Writing &#x2013; original draft, Visualization.</p></sec>
<ack>
<title>Acknowledgments</title>
<p>The authors would like to express gratitude to all participants involved in the data collection and field research phases of this study. We also thank the reviewers for their constructive comments that improved the quality of this manuscript.</p>
</ack>
<sec id="s9" sec-type="COI-statement">
<title>Conflict of interest</title>
<p>The author(s) declared that this work was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.</p></sec>
<sec id="s10" sec-type="ai-statement">
<title>Generative AI statement</title>
<p>The author(s) declared that generative AI was used in the creation of this manuscript. Authors confirm that they have verified the content of this manuscript and assume full responsibility for the use of generative artificial intelligence in the writing process, including ensuring the accuracy, originality, and academic integrity of the research, as well as complying with relevant journal ethical guidelines and copyright regulations. Any issues arising from the use of generative artificial intelligence (such as plagiarism, misinformation, or copyright infringement) shall be solely borne by the authors.</p>
<p>Any alternative text (alt text) provided alongside figures in this article has been generated by Frontiers with the support of artificial intelligence and reasonable efforts have been made to ensure accuracy, including review by the authors wherever possible. If you identify any issues, please contact us.</p></sec>
<sec id="s11" sec-type="disclaimer">
<title>Publisher&#x2019;s note</title>
<p>All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.</p></sec>
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<p>Edited by: <ext-link ext-link-type="uri" xlink:href="https://loop.frontiersin.org/people/2040188">Guangnian Xiao</ext-link>, Shanghai Maritime University, China</p></fn>
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<p><ext-link ext-link-type="uri" xlink:href="https://loop.frontiersin.org/people/3232400">Ling Sun</ext-link>, Shanghai Maritime University, China</p></fn>
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