Understanding flag state and flag state performance : a qualitative exploration using pragmatic grounded theory
Date of Award
6-30-2026
Document Type
Thesis
Degree Name
Doctor of Philosophy in Maritime Affairs
Specialization
Ph.D (Maritime Affairs)
Campus
Malmö, Sweden
Abstract
This study examines the constructs of “flag State” and “flag State performance,” employing an interpretivist research design. Instead of considering these constructs as fixed empirical entities, the researcher conceptualises them as epistemic instruments that are socially constructed and contextually enacted. The researcher’s background, firmly anchored in his extensive seafaring experience and subsequently enriched through academic pursuits, enabled him to identify persistent discrepancies in how States interpret their flag State responsibilities. These observations emphasised an enduring disparity between normative expectations and the actual discharge of responsibilities, which, in turn, provided the impetus for a more comprehensive and systematic examination of flag State performance. Adopting a relativist ontology, subjective epistemology, and balanced axiology, the research employs an inductive qualitative strategy, utilising pragmatic grounded theory. Data were collected through documentary analysis and in-depth expert interviews. The data were then analysed using iterative coding and constant comparison techniques. The study achieves theoretical sufficiency and adheres to Charmaz’s quality criteria, encompassing credibility, originality, resonance, and usefulness. The findings address two core research questions. First, the study reconceptualises flag State as a role-based, layered, dynamic, and relational construct grounded in the principle of sovereignty. The study shows that the flag State is not a static legal entity, but is actualised through a sovereign act of granting nationality to ships. This ontological distinction separates flag State from non-sovereign entities such as autonomous territories, ship registration frameworks, or agencies, thus restoring conceptual clarity. The study also introduces a novel definition of flag State, one that integrates the interdependent nature of sovereign rights and duties. Second, the study advances a new understanding of flag State performance as a strategic, ontological, and functional construct. Moving beyond compliance-based interpretations, flag State performance is framed as the continuous and effective exercise of flag State jurisdiction and control, shaped by a set of strategic drivers. The study identifies flag State’s strategy as a central mechanism that mediates between legal obligations and practical execution. Performance is thus interpreted as an outcome of strategic effectiveness rather than mere regulatory adherence. The study contributes to both theory and practice by integrating legal, strategic, and operational dimensions into a holistic framework for evaluating flag State performance. The proposed framework enables deeper diagnosis of institutional strengths and weaknesses, supports policy development, and aligns national interests with international obligations. Furthermore, the study links flag State performance to the genuine link doctrine. It situates performance as a basis for demonstrating a genuine link. Despite limitations related to data access and scope, the research provides a robust foundation for future studies. In particular, it offers a basis for developing measurable performance indicators. Overall, the study presents a theoretically rigorous and practically relevant reconceptualisation of the flag State and flag State performance.