This unit introduces the modern state as the fundamental unit of political organization, examining its defining characteristics, historical origins, and the relationship between states, nations, and identity politics.
Key Concepts
- The modern state emerged in 17th century Europe and became the dominant form of political organization worldwide
- States are defined by territory, population, government with law-making authority, and sovereignty
- Max Weber: the state has “a monopoly of the legitimate use of force within a given territory”
- State capacity varies significantly, leading to classifications of fragile and failed states
- Identity (internal and external) shapes political behavior and state policies
- Civic vs. ethnic nationalism represents different bases for national membership
- Populism draws on nationalist themes to distinguish “us” from “them”
Part 1: The State
What is a State?
The modern state is the central political organization in modern politics. It first emerged in Europe in the 17th century and has since spread globally, becoming the dominant form of political organization. The state serves as a common “level of analysis” in comparative politics.
Central Legal Characteristics
- Government with law-making authority - ability to introduce and enforce laws within state boundaries
- Key element: ability to use force to secure ends within territory
- Control may also involve legitimacy, consent, and administrative capacity
- Defined territory - marked by borders (though borders are not always constant)
- Permanent population - citizens who comprise civil society
Exam Alert
Max Weber’s definition of the state as having “a monopoly of the legitimate use of force within a given territory” is a foundational concept in political science.
State Capacity and Coercion
State capacity refers to the government’s ability to pass laws and have those laws implemented throughout its territory.
- Implementation may involve coercion or the threat of coercion
- However, government control does not always rely on force
- Other mechanisms include: legitimacy, bureaucratic efficiency, public services, and citizen consent
Population and Citizenship
The state’s laws apply to all those within its territory. The permanent population serves as one source of authority for the government - this is the concept of popular sovereignty.
Pathways to Citizenship
- Birth - often described as “the happy or unhappy accident of birth”
- Application - fulfilling requirements established by the state
- Immigration - naturalization processes
- Ethnicity - some states base citizenship on ethnic heritage, making it difficult for others to obtain
Categories of People in State Territory
Beyond citizens and permanent residents:
- Temporary foreign workers
- International students
- Refugees seeking asylum
- Illegal immigrants
- Tourists
Malaysian Football Naturalization Case
In June 2025, the Malaysian football team fielded seven naturalized citizens (five naturalized a week before the match, two earlier in 2025) against Vietnam. None were born in Malaysia. FIFA accused Malaysia of forging documents - illustrating tensions around citizenship and national identity.
Sovereignty
Sovereignty means the state is the ultimate authority within its territory.
Internal Dimension
- Citizens recognize the legitimacy of the government
- The state claims to rule in the interests of the people
External Dimension
- The state is recognized by other states and international bodies
- Recognition grants legitimacy in the international system
Origins of States
States emerged in 17th century Europe, contributing to the breakdown of church authority and smaller political units.
Theories of State Formation
| Theory | Focus |
|---|---|
| Bellicist | Importance of waging war in state development |
| Economic | State formation tied to economic interests of powerful actors |
| Cultural | Beliefs, values, and identity as drivers of state formation |
Formation of Germany
- What became Germany was originally a patchwork of different authorities
- Unification and formation of modern Germany occurred in 1871
- Achieved through wars with Denmark, Austria, and France
- Borders changed again in: 1919, 1940, 1945, 1989-90
- Demonstrates how state boundaries are historically contingent
Fragile and Failed States
The core elements of a state are not always powerful and can be contested.
Fragile State
- A weak state where core elements are contested
- State capacity is low
- Government struggles to implement policies throughout territory
Failed State
States where governments cannot perform expected functions:
- Difficult to identify sovereignty
- No monopoly of legitimate use of violence
- Cannot perform traditional state functions
- No effective state bureaucracy
- May lack internationally recognized government
Common Mistake
Observing that armed gangs are present in fragile/failed states does not mean armed gangs cause state failure. Correlation is not causation. Other factors must be examined: historical context, economic conditions, institutional development, external interventions, etc.
Comparing States
When comparing states, key dimensions include:
- Institutional structures - how government is organized
- Economic performance - wealth, development, distribution
- Legitimacy - basis for authority in the eyes of the population
- Identity politics - how national/ethnic identity shapes politics
Part 2: Identity and Nationalism
Identity
Identities are important facets of life and politics, influencing how we think about ourselves and others.
Dimensions of Identity
- Internal - something we select and feel
- External - how others view us and how we view others
- Can be based on appearance, birth, or adopted/reformed over time
Exam Alert
All individuals have multiple identities. Understanding how these identities interact and become politically salient is central to comparative politics.
Ethnicity
Ethnicity is a distinct but related form of identity referring to attributes that make one group feel distinct from another.
Characteristics of Ethnic Groups
- Common ancestry myths and historical memories
- Elements of shared culture
- Some link with a historical territory
- A measure of solidarity among members
Remember
People generally do not choose their ethnicity - it is seen as something you are born with based on family.
Connection to Nationalism
- National identity can be based on shared ethnicity
- Both are about identity and markers of difference
- Both can generate pride but also have darker potential (discrimination, violence)
- Both are, to some extent, social constructions
Nations and Nationalism
The term “nation” is often used alongside or as a synonym for “state,” but they are conceptually distinct.
Nation vs. State
| Concept | Definition |
|---|---|
| State | Political-legal entity with territory, government, sovereignty |
| Nation | A people with a shared sense of identity, often tied to politics |
| Nation-State | Ideal where national group boundaries align with state boundaries |
Common Mistake
Do not conflate “nation” and “state.” Many states contain multiple nations, and some nations span multiple states.
Origins of Nationalism
Two major theoretical perspectives:
Structuralism
- Nationalism arises from large, difficult-to-change characteristics of a territory
- Geographic, linguistic, or historical factors
Constructivism
- Nationalism is “constructed” from various elements
- National identities are created and can be reshaped
- Often defined by reference to or distinction from the “other”
Civic and Ethnic Nationalism
Memorize These Terms
Civic nationalism and ethnic nationalism are important terms to memorize for the exam, along with their associated citizenship principles (jus soli and jus sanguinis).
Different ways to classify nationalism based on criteria for membership.
Civic Nationalism
- Inclusive - open to anyone who becomes a citizen and adopts state ideals
- Linked to jus soli (right of the soil) - citizenship granted to anyone born in the country
- Openness to allowing outsiders to join
- Examples: United States, France (historically and currently claim civic basis)
Ethnic Nationalism
- Exclusive - born into a national group; acquired by birth
- Linked to jus sanguinis (right of blood) - citizenship based on ancestry/parents
- Example: Germany (historically based on bloodlines)
Exam Alert
Jus soli (right of soil) = birthplace determines citizenship Jus sanguinis (right of blood) = ancestry/parentage determines citizenship
Normative Considerations
- Civic nationalism often viewed as “better” - encourages tolerance and openness
- Ethnic nationalism seen as prone to xenophobia, discrimination, and violence
- However: countries practicing civic nationalism have also contained discrimination
- Reality is complicated - many countries allow both routes to citizenship
Nationalism and the State
National identity is political because of its connection to the desire for a state.
The Nation-State Ideal
- A national group should have their own state
- This can lead to secession - breaking away to form a new state
- And self-determination - the right of peoples to determine their own political status
Multi-National States
Many states contain multiple national groups:
United Kingdom
- A multi-national state containing English, Scottish, Welsh, and Northern Irish identities
- Scottish independence movement seeks secession
- 2014 referendum: majority voted to remain in the UK
- Demonstrates ongoing tensions between national identity and state unity
Populism
Populism is connected to nationalism through its emphasis on group identity and boundaries.
Characteristics
- Distinction between US and THEM
- Opposition to foreigners, immigrants, and “global elites”
- Appeals to “the people” against established institutions
Populism in Europe
Populist parties and leaders are prominent across Europe:
- Italy - Brothers of Italy
- France - National Rally
- Germany - Alternative for Germany (AfD)
- Austria - Freedom Party
- United Kingdom - populism contributed to Brexit
Brexit Case Study
- 2016: Conservative Government (David Cameron) held referendum on EU membership
- Leave campaign focused on: taking back sovereignty, saving money, immigration
- Remain campaign focused on: dangers of leaving
- Result: 51.9% Leave, 48.1% Remain
- 2020: UK officially left the European Union
Remember
Brexit illustrates how populist themes (sovereignty, immigration control) can mobilize voters and reshape state relationships.
Conflict and Identity
Conflicts can emerge from differences over identity at multiple levels.
Types of Identity-Based Conflict
- State-to-State conflict - between countries
- Intra-state conflict - within a country
- Ethnic conflict - between ethnic groups
Why Does Violence Occur?
Core question: Why does violence occur in some cases and not others?
Drivers of conflict:
- Intergroup grievances
- Economic benefits and competition
- Status and recognition
- Political control
Analytical perspectives:
- Top-down - elites mobilize identity for their interests
- Bottom-up - grassroots grievances escalate to violence
- Ties to interests of powerful groups
Historical Examples of Violent Conflict
- Break-up of former Yugoslavia
- Rwanda genocide
- Sudan
- Congo
Definitions
State A political organization with a government that can introduce and enforce laws within defined territorial boundaries, over a permanent population, and holds sovereignty.
State Capacity The government’s ability to pass laws and have those laws implemented throughout its territory.
Coercion The use of force or threat of force to secure compliance with state authority.
Civil Society The collective body of citizens and organizations operating independently of government.
Popular Sovereignty The principle that government authority derives from the consent of the people.
Sovereignty The supreme authority of the state within its territory, recognized both internally by citizens and externally by other states.
Bellicist Theory Theory that state formation was driven primarily by the need to wage war and the organizational demands of military competition.
Fragile State A state with low capacity where the government struggles to effectively govern throughout its territory.
Failed State A state that cannot perform the basic functions expected of a government, including maintaining a monopoly on violence or providing essential services.
Identity A person’s sense of self, including both internal feelings and external perceptions, which can be based on various factors including ethnicity, nationality, religion, and more.
Ethnicity Attributes that make one group feel distinct from another, including common ancestry myths, historical memories, shared culture, territorial links, and solidarity.
Nation A people with a shared sense of identity, often tied to political aspirations for self-governance.
Nation-State A state whose boundaries coincide with those of a single national group.
Multi-National State A state containing multiple distinct national groups within its borders.
Civic Nationalism A form of nationalism that is inclusive and open to anyone who becomes a citizen and adopts the ideals of the state.
Ethnic Nationalism A form of nationalism based on birth into a national group; membership is acquired by ancestry rather than choice.
Jus Soli “Right of the soil” - legal principle granting citizenship to anyone born within a country’s territory.
Jus Sanguinis “Right of blood” - legal principle granting citizenship based on ancestry or parentage.
Structuralism (in nationalism) Theory that nationalism arises from large, difficult-to-change characteristics of a territory.
Constructivism (in nationalism) Theory that national identities are socially constructed and can be created from various elements.
Secession The act of withdrawing from a political entity (usually a state) to form a new independent state.
Self-Determination The right of peoples to determine their own political status and form of government.
Populism A political approach that appeals to “the people” against elites, often emphasizing national identity and opposition to outsiders.