1.3

States, Nation-States and Sovereignty

Objectives:

  • Define and distinguish between power, nation, and nation-state.
  • Understand the concept of Westphalian sovereignty.
  • Explore the principle of sovereignty and its contemporary challenges.
  • Analyse key case studies.


Name: ___________________________

Key Concepts - Match the Terms

Have a go at matching the terms with their correct defintion!

IDENTITY → POLITICAL STRUCTURE → AUTHORITY Nation State Sovereignty

What is a Nation?

A nation is:

A group of people who share a common identity - such as language, culture, history, ethnicity, traditions, or a sense of belonging.

A nation is about identity, not borders.

Based on:

Language

Culture

History

Religion

Traditions

Shared experiences

Borders

A government

UN recognition

Examples?

Exploring Stateless Nations

The Kurds

Shared language and culture

Live across Turkey, Iraq, Syria, Iran

No independent Kurdish state

The Basques

Distinct identity in Spain/France

No independent state

Tibetans

Distinct cultural identity

Governed by China

These groups, despite their strong national identities, are often referred to as stateless nations because they do not have their own recognized sovereign state.

Nations Across Multiple States

Some nations are divided across more than one state.

Example:

The Korean Nation

  • Shared language and identity
  • Divided into two states: North Korea and South Korea

So one nation ≠ always one state.

Common Misconceptions to Correct

❌ A nation is the same as a country.
❌ A nation must have a government.
❌ All states are nation-states.


“If Western Australia became independent tomorrow, would we become a new nation or just a new state?”

Why Nations Matter in Global Politics

Nations can:

  • Demand independence
  • Challenge state borders
  • Seek recognition
  • Resist foreign rule
  • Influence elections and policy

Many conflicts today are about national identity, not just territory.

What makes a State a "State"?

In simple terms, a "state" is like a country or a self-governing region. It has four main things that make it a state. It's a political group that has power over a specific area and its people. Understanding what a state is helps us understand how countries work together in the world.

1. Permanent Population:

A state needs a group of people who live there all the time. There's no specific number of people required.

2. Defined Territory:

A state must have a clear physical area or land that it controls. Even if the exact borders are sometimes argued about, it needs a defined territory.

3. Government:

A state needs a working government that can keep things orderly, offer services (like schools or hospitals), and make sure laws are followed inside its borders. This government needs to be in charge and able to do its job.

4. Sovereignty (Capacity to enter relations with other States):

This is the most important part!

Sovereignty means the state is its own boss within its borders; no other country can tell it what to do.

It also means it can talk and make deals with other countries as an equal.

A state is a Political/Legal Concept. (State = Montevideo criteria)

Key Point:
A state governs territory. A state may:

  • Contain multiple nations (e.g. Canada)
  • Not match cultural identity

The Montevideo Convention

  • The Montevideo Convention (1933) formalised the criteria for statehood, legally operationalising Westphalian sovereignty.

Remember:

Defined Territory

A state must have a clear, defined land that it controls, even if borders are sometimes contested.

Permanent Population

A state requires a stable community of people residing within its territory, with no specific number needed.

Government

A functioning government capable of maintaining order, providing services, and enforcing laws within its borders.

Capacity to Enter Relations with Other States

The ability to conduct its own foreign policy, negotiate treaties, and engage with other states as an independent entity.

Group Task Instructions

In your group:

  1. You will be assigned one case study.
  1. Apply each of the four Montevideo criteria.
  1. Decide:
    👉 Does this entity meet the criteria of statehood?
    👉 If yes, why is recognition contested?
    👉 If no, which criteria are missing?

Complete the table provided and prepare a 2-minute justification.

Somaliland Why the World Is Suddenly Talking About Somaliland

Context

Somaliland is a region in northern Somalia.
In 1991, after the collapse of Somalia’s central government, Somaliland declared independence.

Since then:

  • It has its own government.
  • It holds elections.
  • It has its own military and police.
  • It controls its territory.
  • It has a permanent population of about 4 million people.
  • It issues passports and currency.

However:

  • No UN member state officially recognises Somaliland as an independent country.
  • The UN considers it part of Somalia.

Somaliland is stable compared to the rest of Somalia.

Apply Montevideo:

👉Discussion: If Somaliland meets all criteria but lacks recognition, is it a state?

🇭🇰 Hong Kong

Context:

Hong Kong was returned to China in 1997 under “One Country, Two Systems.”

  • Has a separate legal system.
  • Has economic autonomy.
  • Does not control defence or foreign relations.
  • China ultimately holds sovereignty.

Apply Montevideo:

👉Discussion: Can an entity have autonomy without sovereignty?

🇽🇰 Kosovo

Context:

  • Declared independence from Serbia in 2008.
  • Recognised by over 100 countries (including the US, UK, Australia).
  • Not recognised by Serbia, Russia, China.
  • Member of some international organisations but not the UN.

Apply Montevideo:

👉 Discussion: If many powerful states don’t recognise it, does that undermine Montevideo?

🇹🇼 Taiwan (Republic of China)

Context:

  • Has its own government, military, constitution.
  • Controls defined territory (Taiwan island + others).
  • Recognised diplomatically by only ~13 states.
  • China claims it as part of its territory.

👉 Discussion Prompt:
Does limited diplomatic recognition affect its capacity to enter relations

🇻🇦 Vatican City

Context:

  • Smallest recognised state in the world.
  • Permanent population (~800).
  • Independent government (Holy See).
  • Full diplomatic relations with many states.

👉 Discussion Prompt:
Does size matter for statehood?

🏴 ISIS (Islamic State) in 2014

Context:

  • Controlled large territory in Iraq and Syria.
  • Exercised governmental control (courts, taxation, military).
  • No international recognition.
  • Territory unstable and contested.

👉 Discussion Prompt:
If an entity meets some criteria but is not recognised and uses force, is it a state?

Northern Cyprus

Context

In 1974, Turkey invaded Cyprus after a Greek-backed coup.

Northern Cyprus declared independence in 1983 as the “Turkish Republic of Northern Cyprus.”

  • It has its own government.
  • It controls territory.
  • It has a permanent population.

However:

  • It conducts limited foreign relations.
  • Only Turkey recognises it as a state.
  • The UN considers it part of Cyprus.

👉 Discussion Prompt: Does heavy reliance on Turkey undermine its sovereignty?

What gives a State its power and independence? Sovereignty!

Now that we understand what a State is, we can explore what gives one its power and independence.

👉 Without sovereignty, a state isn’t really a “State” in the full legal sense. For a state to function independently it requires sovereignty.

Discussion Questions:

  • When should other countries get involved if a government is mistreating its own people?
  • Is protecting people's rights more important than respecting a country's borders?

Understanding Sovereignty

What do you understand by the term 'sovereignty'?

Definition of Sovereignty

Sovereignty is the supreme authority of a state to govern itself, make its own laws, control its borders, and conduct foreign relations without interference from other states.

Origins of Sovereignty - Westphalian Sovereignty

  • The Westphalian system (1648) established state sovereignty: states' exclusive authority over their territory and domestic affairs.

Knowledge & Comprehension

  1. Before the modern state system, political authority in Europe was based on:
    A. Democracy
    B. Feudalism
    C. Communism
    D. Colonialism
  1. In a feudal system, a vassal:
    A. Ruled over an empire
    B. Controlled a church
    C. Pledged loyalty to a more powerful lord
    D. Was elected by the people
  1. One major problem with feudalism was:
    A. Clear borders
    B. Equal political rights
    C. Overlapping allegiances and messy hierarchies
    D. Strong national unity
  1. The Thirty Years’ War began largely because of:
    A. Trade disputes
    B. Religious divisions between Protestants and Catholics
    C. Climate change
    D. Industrial competition
  1. The Peace of Westphalia (1648) is important because it:
    A. Created democracy in Europe
    B. Ended colonialism
    C. Established the principle of sovereignty
    D. United Europe under one ruler

Short Answer Questions

  1. Explain why feudal political authority often led to conflict.
    (2–3 sentences)
  1. What were the two major “universal” authorities that claimed power over all Christians in Europe before Westphalia?
  1. Why did European empires contradict (violate) the principle of sovereignty?

Conceptual Understanding

  1. Why might borders that do not match ethnic or cultural groups lead to conflict?

Application to Modern Global Politics

  1. Which of the following would violate Westphalian sovereignty?

A. A country signing a voluntary trade agreement
B. A country sending troops into another country without permission
C. A country controlling its own immigration laws
D. A country holding national elections

2. Explain how sovereignty can create stability in the international system.

  1. Do you think sovereignty should be absolute?


Consider:

  • Human rights abuses
  • Humanitarian intervention
  • Global organisations (e.g. UN)
  • Climate change

Write a short paragraph (6–8 sentences).

How States Attain Sovereignty → State?

Historical Basis (Pre-UN)

Sovereignty was primarily based on defendability – a state's ability to protect its territory from invasion.

Modern Basis (Past 60 Years)

With the rise of international institutions like the UN, sovereignty is now based on recognition by other states and international organizations.

Reciprocity

States respect each other's sovereignty, expecting mutual respect and non-interference in return.

International Law

Sovereignty forms the fundamental basis and cornerstone of all modern international legal frameworks.

UN System

UN members are expected to respect the sovereignty of other member states and refrain from intervening in their internal affairs.

How Does a Nation Become a State via UN Recognition?

First, the key clarification:

A nation does not become a state because of UN recognition.
It becomes a state by meeting the criteria of statehood (Montevideo). UN recognition strengthens and formalises that status.

Two Layers of Recognition

Legal Statehood

(Meets Montevideo Convention criteria)

International Recognition

(UN approval)

UN Recognition Process

UN General Assembly

All member states vote

Requires 2/3 majority

UN Security Council

15 members total

Need at least 9 in favor

NO veto from permanent members (P5)

Limitations of UN Recognition

China & Taiwan

China maintains its stance on Taiwan, preventing its recognition as a sovereign state.

Russia & Kosovo

Russia's veto power obstructs Kosovo from gaining official sovereign status.

USA & Palestine

US veto power prevents Palestine from becoming a full sovereign state.

Process of attaining Sovereignty - UN

Step 1: A Nation Seeks Self-Determination

A nation (shared identity group) may:

Declare independence

Break away from an empire

Separate from another state

Gain independence after colonisation

1

South Sudan (2011)

2

Timor-Leste (2002)

This is usually based on self-determination.

Step 2: Meet the Montevideo Criteria

Under international law (1933 Montevideo Convention), a state must have:

Defined territory

Permanent population

Government

Capacity to enter relations with other states



If it meets these → it is considered a state under the declarative theory of statehood.

Step 3: Diplomatic Recognition by Other States

Other countries decide whether to recognise the new state.

Recognition is political. Some states may:

Support independence

Oppose it (often for strategic reasons)

Real-World Example: Kosovo

Recognised by

Many Western states support Kosovo's independence.

Not Recognised by

Serbia, Russia, China oppose recognition.

Recognition and History: Understanding Kosovo-Serbia Relations

Step 4: UN Membership Application

This is the formal path to full international recognition.

Application

The entity applies to the UN Secretary-General

Security Council Vote

  • Must receive at least 9 votes
  • No veto from permanent members (US, UK, France, China, Russia)

General Assembly Vote

  • 2/3 majority required

Important Note:

1

UN Recognition

Does NOT create the state.

2

Instead

It confirms and legitimises it internationally.

States Can Exist Without UN Membership

Switzerland

Was not a UN member until 2002, yet still functioned as a fully sovereign state.

Taiwan

Functions as a state with all characteristics of statehood despite lack of UN recognition.

Why UN Recognition Matters

International Legitimacy

It gives the state credibility and standing in the international community.

Access to Treaties

It enables participation in international agreements and conventions.

Global Institutions

It allows participation in UN agencies, World Bank, IMF, etc.

Legal Equality

It provides equal voting rights in the General Assembly.

Summary of the Path to Statehood

1

Nation declares independence

2

Meets Montevideo criteria

Defined territory, permanent population, government, capacity for foreign relations

3

Other states recognize it

4

Applies to UN membership

5

If approved → full international recognition

Case Study: Palestine's bid for Statehood

Case Study: Palestine's bid for Statehood

As at 21 September 2025

Which countries recognize a Palestinian state? Here’s the full list. - The Washington Post


EARLY 1900s – Ottoman Period

1.Multiple Choice

The transcript argues that the Israel-Palestine conflict:

A) Has existed for thousands of years
B) Is mainly about ancient religious hatred
C) Began around the early 1900s
D) Started during World War II

2. True or False

Under Ottoman rule, Jews, Muslims, and Christians lived mostly in peace.

3. Fill in the Blank

In the early 1900s, many Arabs in the region began developing a distinct national identity as __________.

4. Short Answer

What was Zionism, and why did many European Jews support it?

World War I & British Mandate

5. Multiple Choice

After World War I, who controlled Palestine?

A) France
B) The Ottoman Empire
C) Britain
D) The United States

6. True or False

Tensions increased as Jewish immigration to Palestine increased.

7. Fill in the Blank

The Holocaust increased global support for the creation of a __________ state.

1947–1948 UN Partition & War

8. Multiple Choice

The 1947 UN plan proposed:

A) One shared Jewish-Arab state
B) Two separate states
C) Continued British rule
D) International control of all land

9. True or False

Both Jewish and Arab leaders accepted the UN Partition Plan.

10. Short Answer

What happened to many Palestinians during the 1948 war?

Post-1948 & 1967 War

11. Fill in the Blank

After 1948, Gaza was controlled by __________ and the West Bank by __________.

12. Multiple Choice

After the 1967 war, Israel gained control of:

A) Only Gaza
B) The West Bank, Gaza, Golan Heights, and Sinai
C) Only Jerusalem
D) Lebanon

13. Short Answer

Why did the 1967 war fundamentally change the conflict?

1978 Camp David Accords

14. True or False

Israel returned the Sinai Peninsula to Egypt as part of a peace agreement.

15. Short Answer

Why was Egypt’s peace treaty with Israel controversial in the Arab world?

Rise of Palestinian Movements

16. Multiple Choice

The PLO originally aimed to:

A) Share the land equally
B) Create a two-state solution
C) End the state of Israel
D) Support Israeli control

17. Fill in the Blank

In the late 1980s, Palestinians launched an uprising called the __________.

18. True or False

Hamas formed because some Palestinians believed the PLO was too moderate.

Oslo Accords (1990s)

19. Multiple Choice

The Oslo Accords aimed to:

A) Immediately create a Palestinian state
B) End all violence instantly
C) Begin a peace process and limited Palestinian self-rule
D) Expand settlements

20. Short Answer

What happened to Israeli Prime Minister Yitzhak Rabin after signing the Oslo Accords?

Second Intifada & Gaza

21. True or False

The Second Intifada was less violent than the first.

22. Fill in the Blank

After Israel withdrew from Gaza, __________ gained power.

23. Short Answer

What happened politically between Gaza and the West Bank after Hamas gained power?

Present Situation

24. Multiple Choice

Today, Israeli settlements in the West Bank are:

A) Fully supported by the international community
B) Considered illegal by much of the international community
C) Completely removed
D) Controlled by Palestinians

25. Short Answer

According to the transcript, how has Israeli politics shifted since the Second Intifada?


26. Evaluation Question (Extended Response)

The transcript argues that the conflict is relatively modern and political rather than ancient and religious.

To what extent do you agree?

Use:

  • Early 1900s nationalism
  • UN Partition
  • 1967 occupation
  • Settlements
  • Oslo Accords

Extension

  1. How does nationalism shape this conflict?
  1. Where does sovereignty appear in this story?
  1. Which side claims territorial integrity?
  1. How does UN recognition factor into Palestinian statehood?


🇵🇸 Palestine

Context (Student Brief):

  • Recognised by over 130 UN member states.
  • Holds “non-member observer state” status at the UN.
  • Territory includes West Bank and Gaza, though borders are disputed.
  • Governance divided between the Palestinian Authority (West Bank) and Hamas (Gaza).


Apply Montevideo:

👉 Discussion:
Does partial international recognition affect whether it qualifies as a state?

To what extent does the situation in Gaza strengthen the argument for Palestinian sovereignty?

Palestine's UN Bid - Presentation

Is Sovereignty Absolute?

Should a state’s sovereignty be protected at all costs - or can it be overridden?

Westphalian Sovereignty (1648) says:

  1. States control their territory.
  1. States must not interfere in each other’s domestic affairs.
  1. Borders should not be changed by force.

In theory → sovereignty is absolute.

Responsibility to Protect (R2P)

Responsibility to Protect (2005 UN doctrine) states - if a government:

Commits genocide

Commits war crimes

Commits crimes against humanity

Fails to protect its population

Humanitarian intervention is a means to prevent or stop a gross violation of human rights in a state, where such state is either incapable or unwilling to protect its own people, or is actively persecuting them.” - E-International Relations

Responsibility to Protect (R2P) in Global Politics Explained

Multiple Choice Questions

  1. The Responsibility to Protect (R2P) challenges which traditional concept? A. Democracy
    B. Sovereignty
    C. Federalism
    D. Capitalism
  1. Under R2P, the primary responsibility to protect citizens lies with: A. The United Nations
    B. NATO
    C. The state itself
    D. The International Criminal Court
  1. R2P was developed largely in response to which major failure? A. The Iraq War
    B. The Syrian Civil War
    C. The Rwandan Genocide
    D. The Kosovo War
  1. Approximately how many people were killed in Rwanda in 1994? A. 80,000
    B. 250,000
    C. 800,000
    D. 1.5 million
  1. Why did UN peacekeepers in Rwanda not stop the killings? A. They lacked weapons
    B. They were not present
    C. Their mandate did not allow engagement
    D. Rwanda refused entry
  1. Who led the UN mission in Rwanda? A. Kofi Annan
    B. Anne-Marie Slaughter
    C. Romeo Dallaire
    D. Muammar Gaddafi
  1. According to R2P, military intervention should be: A. The first response
    B. Used immediately
    C. A last resort
    D. Automatic in all human rights cases


  1. Which body must authorise military intervention under R2P? A. NATO
    B. The UN General Assembly
    C. The International Court of Justice
    D. The UN Security Council
  1. Which country was cited as a major example of R2P being invoked in 2011? A. Syria
    B. Libya
    C. Myanmar
    D. Yemen
  1. One criticism of the Libya intervention was that:
    A. No military force was used
    B. The intervention was too short
    C. Peacebuilding and reconstruction were insufficient
    D. The UN never authorised it

True or False Questions

  1. R2P argues that sovereignty is absolute and cannot be limited. T/F
  1. The International Commission on Intervention and State Sovereignty (ICISS) published the R2P report in 2001. T/F
  1. Military action under R2P must be proportional and have a reasonable chance of success. T/F
  1. The UN Security Council easily agrees on R2P interventions. T/F
  1. Under R2P, sovereignty becomes conditional. T/F
  1. The Syrian Civil War is an example where R2P has been fully implemented. T/F
  1. One of the four R2P criteria is a “just cause threshold.” T/F
  1. R2P allows states to do whatever they want within their borders. FalsT/Fe


Fill in the Blank Questions

  1. R2P stands for the Responsibility to __________________.
  1. The genocide in Rwanda occurred in the year __________.
  1. Over __________ Tutsis were killed in Rwanda over approximately 100 days.
  1. The principle of R2P was outlined in a report published in __________.
  1. Military intervention under R2P must be authorised by the UN __________________.
  1. Military action should be a last __________.
  1. One of the four criteria for intervention is that there must be an imminent major loss of life or ethnic __________________.
  1. After intervention, the international community must assist with peacebuilding and __________________.
  1. The NATO-led intervention in __________ helped depose Muammar Gaddafi.
  1. According to Anne-Marie Slaughter, R2P creates a form of __________ sovereignty.

Key Shift

Traditional View:

Sovereignty = control

Modern View:

Sovereignty = responsibility

If a state fails its citizens, its sovereignty can be limited.

Key Features

  • Can override state sovereignty
  • Often justified under R2P
  • Requires UN Security Council authorisation (for legality)
  • May include airstrikes or military deployment

Military Intervention and R2P

Military intervention under the Responsibility to Protect (R2P) doctrine refers to the use of armed force by external actors to prevent or halt mass atrocity crimes (genocide, war crimes, crimes against humanity, and ethnic cleansing) within a sovereign state when that state is unwilling or unable to protect its own population. It is considered the most extreme and controversial pillar of R2P.

When Military Intervention is Justified

UN Security Council Authorization

Any military intervention must be authorized by the UN Security Council, reflecting the international community's consensus and ensuring legality under international law.

Last Resort

Military force should only be considered after all peaceful and non-coercive diplomatic and non-military measures (e.g., sanctions, negotiations) have been exhausted or are deemed unlikely to succeed.

Mass Atrocity Crimes

Intervention is justified only in response to or prevention of the four specified mass atrocity crimes: genocide, war crimes, crimes against humanity, or ethnic cleansing.

Proportionality and Focus

The scale, duration, and intensity of the military intervention must be proportional to the threat and strictly focused on protecting civilians, not on regime change or other political objectives.

Key Principles for Intervention

Right Intention

The primary purpose of the intervention must be to halt or prevent mass atrocity crimes, not to advance the intervening state's national interests or effect regime change.

Proportional Means

The force used must be the minimum necessary to achieve the objective of protecting civilians, avoiding excessive damage or unintended consequences.

Reasonable Prospects

There must be a reasonable chance of success, and the intervention should not risk escalating the conflict or making the situation for civilians worse.

Last Resort

All non-military options must have been explored and failed, or clearly demonstrated to be ineffective, before military intervention is considered.

Humanitarian Aid

Humanitarian aid is the delivery of emergency assistance (food, water, medicine, shelter) to people affected by conflict or disaster.

Key Features

Provided by NGOs (Red Cross, Médecins Sans Frontières, UNHCR)

Neutral and impartial

Does not require UN authorisation

Aims to save lives and reduce suffering


Humanitarian Aid vs Military Intervention

Humanitarian Aid

  • Non-violent
  • Provided by NGOs
  • No UN authorisation needed
  • Focuses on relief and assistance

Military Intervention

  • Uses force
  • Conducted by states/coalitions
  • Requires UN Security Council approval (under R2P)
  • Aims to stop atrocities

When Sovereignty Breaks Down (Case Snapshots)

🇺🇦 Ukraine (Territorial Integrity)

Russia invades Ukraine in 2022.

👉 Sovereignty violated?

🇸🇾 Syria (Civil War & Intervention)

Multiple countries intervene militarily inside Syria.

👉 Non-interference principle challenged?

🇷🇼 Rwanda (1994 Genocide)

International community fails to intervene.

👉 Should sovereignty have been overridden?

🇱🇾 Libya (2011)

UN authorises intervention to protect civilians.

👉 Sovereignty limited legally?

Each group gets one case (Ukraine, Libya, Rwanda).

Answer:

  • What aspect of sovereignty is involved?
  • Was sovereignty upheld, violated, or limited?
  • Was it legal under international law?
  • What is the R2P issue?
  • Evaluation point (for debate)

🇸🇾 Syria (Civil War & Intervention)

Multiple countries intervene militarily inside Syria.

👉 Non-interference principle challenged?


🇷🇼 Rwanda (1994 Genocide)

International community fails to intervene.

👉 Should sovereignty have been overridden?


🇺🇦 Ukraine (Territorial Integrity)

Russia invades Ukraine in 2022.

👉 Sovereignty violated?


🇱🇾 Libya (2011)

UN authorises intervention to protect civilians.

👉 Sovereignty limited legally?


✅ TEACHER ANSWER VERSION

🇺🇦 Ukraine

🇸🇾 Syria

🇱🇾 Libya

🇷🇼 Rwanda

Quick Comparative Summary