📚 The State: Nation States and National Sovereignty | 国家：民族国家与国家主权
In the study of politics, the state is one of the most fundamental concepts. It refers to a political entity with a defined territory, a permanent population, a government, and the capacity to enter into relations with other states. Among the various forms of state, the nation state has become the dominant model in the modern international system, combining the idea of a cultural nation with sovereign political authority. National sovereignty, the principle that each state has supreme power within its borders and is not subject to external control, underpins the entire structure of international law and relations. This article examines the nature of the state, the evolution and characteristics of nation states, and the meaning, types, and contemporary challenges to national sovereignty – topics essential for Edexcel A‑Level Politics.
在政治学研究中，国家是最基本的概念之一。它指代一个有明确领土、常住人口、政府以及与其他国家交往能力的政治实体。在众多国家形态中，民族国家已成为现代国际体系的主导模式，它将文化民族理念与主权政治权威相结合。国家主权原则——即每个国家在其边界内拥有最高权力、不受外部控制——支撑着整个国际法和国际关系的结构。本文探讨国家的性质、民族国家的演进与特征，以及国家主权的含义、类型和当代挑战，这些都是爱德思A‑Level政治课程的核心主题。
1. Defining the State | 国家的定义
The state is a political association that exercises sovereign jurisdiction within defined territorial borders. According to the Montevideo Convention of 1933, a state must possess four essential attributes: a permanent population, a defined territory, a government, and the capacity to enter into relations with other states. In everyday language, ‘state’ is often used interchangeably with ‘country’ or ‘nation’, but in political analysis these terms have distinct meanings. The state is the entire apparatus of rules, institutions, and officials that govern a society; it is more permanent than the government, which is the set of individuals currently holding power.
国家是一个在确定领土边界内行使主权管辖的政治联合体。根据1933年《蒙特维多公约》，一个国家必须具备四个基本属性：常住人口、确定的领土、政府以及与其他国家建立关系的能力。在日常用语中，“国家”常与“国家”、“民族”交替使用，但在政治分析中，这些术语有明确区别。国家是统治整个社会的规则、机构和官员的整体；它比政府更具持久性，后者只是当前掌握权力的一组人员。
The modern concept of the state emerged in Europe after the Treaty of Westphalia (1648), which established the principle of territorial sovereignty. Prior to that, political authority was fragmented among feudal lords, city‑states, and religious institutions. Max Weber famously defined the state as the human community that successfully claims the monopoly of the legitimate use of physical force within a given territory. This definition highlights both the coercive power and the legitimacy upon which state authority rests.
现代国家概念是在《威斯特伐利亚和约》（1648年）之后于欧洲出现的，该和约确立了领土主权原则。在此之前，政治权力分散在封建领主、城邦和宗教机构之间。马克斯·韦伯将国家精辟地定义为在一个给定领土内成功主张合法使用武力垄断权的人类共同体。这一定义凸显了国家权威所依赖的强制力与合法性。
2. What Is a Nation State? | 何为民族国家？
A nation state is a specific type of state in which the political and the national unit are congruent. In an ideal nation state, the citizens share a common language, culture, history, and identity – the ‘nation’ – and this nation is self‑governing within its own sovereign territory. Classic examples include France, where the French Revolution promoted the idea of a single, indivisible French nation, and Japan, with its strong ethnic and cultural homogeneity.
民族国家是一种特定类型的国家，其中政治单位与民族单位重合。在理想的民族国家中，公民共享共同的语言、文化、历史和认同——即“民族”——并且在自身主权领土内自我治理。典型例子包括法国，那里的法国大革命推动了单一不可分割的法兰西民族观念，以及日本，其具有高度民族和文化同质性。
In reality, very few states are pure nation states. Most are multinational states (such as the United Kingdom, comprising English, Scottish, Welsh, and Northern Irish nations) or states with significant minority nationalities. A nation may also exist without a state of its own – these are stateless nations, like the Kurds or the Palestinians. The aspiration of a nation to achieve statehood is at the root of many nationalist movements and conflicts.
现实中，很少有国家是纯粹的民族国家。大多数是多民族国家（例如联合王国包含英格兰、苏格兰、威尔士和北爱尔兰民族）或拥有重要少数民族的国家。一个民族也可能没有属于自己的国家——这些是无国家民族，如库尔德人或巴勒斯坦人。一个民族对获得国家地位的渴望是许多民族主义运动和冲突的根源。
3. The Core Concept of National Sovereignty | 国家主权的核心概念
National sovereignty is the principle of supreme, absolute, and unlimited power within a state. In international relations theory, sovereignty has two key dimensions: internal sovereignty, which refers to the state’s ultimate authority within its own territory and over all persons and associations therein; and external sovereignty, which means the state is not subordinate to any higher authority in international affairs and is recognised as an equal by other states.
国家主权是一国之内至高无上、绝对且不受限制的权力原则。在国际关系理论中，主权有两个关键维度：内部主权，指国家在其领土内及对其所有人与团体拥有终极权威；外部主权，则意味着国家在国际事务中不从属于任何更高权威，并被其他国家承认为平等成员。
The concept of sovereignty is foundational to the modern international system. It ensures that states are legally equal, regardless of size or military power, and prohibits intervention in the domestic affairs of another state. The UN Charter, Article 2(4), reinforces this by forbidding the threat or use of force against the territorial integrity or political independence of any state. However, the practical exercise of sovereignty is far more complex, as states voluntarily accept limits through treaties and international organisations.
主权概念是现代国际体系的基石。它确保国家无论大小或军事实力在法律上一律平等，并禁止干涉他国内政。《联合国宪章》第二条第四款对此加以强化，禁止对任何国家的领土完整或政治独立进行武力威胁或使用武力。然而，主权的实际行使要复杂得多，因为国家通过条约和国际组织自愿接受限制。
4. Historical Development of Sovereignty | 主权的历史发展
The idea of sovereignty was developed in response to the chaos of religious wars in early modern Europe. Jean Bodin, in his 1576 work Six Books of the Commonwealth, argued that the state needed a single, indivisible source of power in the form of a sovereign ruler who could make and enforce law without the consent of any other authority. Thomas Hobbes, in Leviathan (1651), similarly advocated for an all‑powerful sovereign to escape the brutish state of nature.
主权理念是应对近代早期欧洲宗教战争混乱的产物。让·博丹在1576年的《国家六论》中主张，国家需要一个单一的、不可分割的权力来源，即一个无需任何其他权威同意就能制定和执行法律的主权统治者。托马斯·霍布斯在《利维坦》（1651年）中同样主张一个全能的主权者，以使人们脱离野蛮的自然状态。
The Peace of Westphalia (1648) is conventionally seen as the birth of the state‑based international order. It established that the ruler of each territory had the right to determine its religion, a principle later generalised into the right of each state to manage its internal affairs free from external interference. Over time, sovereignty shifted from the person of the monarch to the state itself, and then, under democratic ideas, to the people – popular sovereignty.
《威斯特伐利亚和约》（1648年）通常被视为基于国家的国际秩序的诞生。它确立了每个领土的统治者有权决定其宗教的原则，这一原则后来被普遍化为每个国家管理内部事务、不受外部干预的权利。随着时间推移，主权从君主个人转移到国家本身，之后在民主理念下，又转移至人民——即人民主权。
5. Internal vs External Sovereignty | 内部主权与外部主权
Internal sovereignty concerns the location of supreme authority within a state. In the UK, for example, the doctrine of parliamentary sovereignty holds that Parliament is the supreme legal authority, able to make or unmake any law. No court can strike down primary legislation, and Parliament cannot bind its successors. This internal dimension also covers the state’s ability to maintain order, collect taxes, and exercise a monopoly on violence within its borders.
内部主权关乎国家内部最高权力的归属。例如，在英国，议会主权原则认为议会是最高的法律权威，可以制定或废除任何法律。任何法院都不能推翻议会立法，且议会不能约束其后继者。这一内部维度也涵盖国家维持秩序、征税、在边界内行使暴力垄断权的能力。
External sovereignty refers to the state’s independence and equality in the international arena. A state that is externally sovereign can determine its own foreign policy, join or withdraw from international agreements, and defend its borders. The UK’s decision to leave the European Union was, in part, a reassertion of external sovereignty: ‘taking back control’ of laws, borders, and trade policy. Recognition by other states is crucial for external sovereignty; a territory not recognised widely remains internationally isolated.
外部主权指国家在国际舞台上的独立与平等。一个拥有外部主权的国家可以自行决定其外交政策、加入或退出国际协议、保卫其边界。英国脱欧的决定，部分意义上就是对外部主权的重申：“夺回对法律、边境和贸易政策的控制”。其他国家的承认对外部主权至关重要；一个没有广泛获得承认的领土在国际上将处于孤立状态。
6. Legal and Political Sovereignty | 法律主权与政治主权
A distinction is often drawn between legal sovereignty – the body that has the formal, legal right to make laws – and political sovereignty – the body that in reality exercises power, reflecting wider popular or economic influence. In the UK, legal sovereignty lies with the Crown‑in‑Parliament, but political sovereignty arguably lies with the electorate, since general elections determine who forms the government and ultimately what laws are passed. This dual concept clarifies that supreme legal authority does not always equate to supreme practical power.
通常区分法律主权——即拥有制定法律的正式法律权力的机构——和政治主权——即实际行使权力、反映更广泛的民意或经济影响力的机构。在英国，法律主权属于议会中的国王，但政治主权可以说属于选民，因为大选决定由谁组成政府，并最终决定通过哪些法律。这一双重概念表明，最高法律权威并不总是等同于最高实际权力。
A.V. Dicey, the famous British constitutional theorist, argued that legal sovereignty was undivided and absolute, while political sovereignty was a matter of fact, rooted in the will of the people. In modern times, referendums, such as the 2016 Brexit referendum, demonstrate a direct expression of political sovereignty, which then compelled Parliament to translate that will into legal form.
著名英国宪制理论家A.V. 戴西认为，法律主权是不可分割且绝对的，而政治主权则是事实问题，根植于人民的意志。在现代，全民公投，如2016年脱欧公投，展示了政治主权的直接表达，随后迫使议会将这一意愿转化为法律形式。
7. Challenges to National Sovereignty in the 21st Century | 21世纪对国家主权的挑战
National sovereignty today faces multiple pressures that were unimaginable in the Westphalian model. Globalisation has eroded the distinction between domestic and international affairs, as economic decisions, migration flows, and environmental problems cross borders with ease. Transnational corporations, financial markets, and global supply chains limit a state’s ability to set independent economic policy without considering international repercussions.
今日的国家主权面临多重压力，这是威斯特伐利亚模式下无法想象的。全球化侵蚀了国内与国际事务的界限，因为经济决策、移民流动和环境问题轻易跨越国界。跨国企业、金融市场和全球供应链限制了一个国家在制定独立经济政策时无需考虑国际影响的能力。
The growth of supranational organisations, notably the European Union, has involved member states pooling sovereignty in specific areas to achieve shared objectives. EU law has supremacy over national law, and the European Court of Justice can overrule domestic courts, which leads some to argue that membership fundamentally undermines national sovereignty. Humanitarian intervention and the ‘Responsibility to Protect’ (R2P) doctrine further challenge external sovereignty by justifying international action to protect civilians, even against a state’s wishes.
超国家组织的壮大，尤其是欧洲联盟，要求成员国在特定领域汇集主权以实现共同目标。欧盟法律优先于国内法，欧洲法院可以否决国内法院的裁决，这使得一些人认为成员资格从根本上削弱了国家主权。人道主义干预和“保护的责任”（R2P）原则进一步挑战了外部主权，因为它们为保护平民的国际行动提供了正当理由，甚至在违背该国意愿的情况下。
8. Globalisation and the Erosion of Sovereignty | 全球化与主权的侵蚀
Globalisation describes the process of increasing interconnectedness through trade, investment, technology, and cultural exchange. For sovereign states, this brings benefits such as economic growth and technological diffusion, but it also reduces the effectiveness of national boundaries. A state may wish to control its currency, but global currency markets can rapidly punish economic policies that investors deem unsustainable. Digital technology and social media allow ideas and political movements to spread instantly, challenging regimes’ ability to control information.
全球化描述了通过贸易、投资、技术和文化交流日益增强的相互联系过程。对主权国家而言，这带来了经济增长和技术扩散等好处，但也降低了国家边界的有效性。一个国家可能希望控制其货币，但全球货币市场可以迅速惩罚投资者认为不可持续的经济政策。数字技术和社交媒体使思想和政治运动能够瞬间传播，从而挑战政权对信息的控制能力。
Consider the 2008 global financial crisis: it started in the US housing market but quickly spread worldwide, demonstrating that even the most powerful sovereign states are vulnerable to events far beyond their control. Climate change is another transnational problem that no state can solve alone. Nevertheless, states retain significant power; they enact domestic regulations, levy taxes, and respond to global forces in diverse ways. Globalisation thus does not extinguish sovereignty but reshapes its exercise.
以2008年全球金融危机为例：它起源于美国房地产市场，但迅速蔓延至全球，表明即使最强大的主权国家也容易受到远超出其控制的事件影响。气候变化是另一个任何国家无法单独解决的跨国问题。然而，国家仍保留着重要权力；它们制定国内法规、征税，并以多种方式应对全球力量。因此，全球化并未消灭主权，而是重塑了主权的行使方式。
9. Supranational Organisations and Pooled Sovereignty | 超国家组织与汇集主权
Supranational organisations involve member states transferring some decision‑making authority to a higher body, whose decisions are binding on those states. The European Union is the most advanced example: in areas such as trade, agriculture, and competition policy, EU institutions can pass legislation that becomes directly applicable in all member states without the need for further national ratification. This ‘pooling’ of sovereignty is a pragmatic response to cross‑border challenges but is controversial among those who prioritise national self‑determination.
超国家组织涉及成员国将部分决策权转移给一个更高机构，该机构的决定对成员国具有约束力。欧洲联盟是最先进的例子：在贸易、农业和竞争政策等领域，欧盟机构可以通过立法，这些立法直接适用于所有成员国，无需进一步得到各国的批准。这种主权的“汇集”是对跨国挑战的务实回应，但在那些优先考虑民族自决的人群中引发了争议。
The concept of pooled sovereignty does not necessarily mean the loss of sovereignty; rather, states exercise sovereignty jointly to magnify their influence. A single state acting alone on climate targets or trade negotiations with China may have less bargaining power than the EU acting as a bloc. However, critics argue that democratic accountability suffers because decision‑making is moved further away from national parliaments. The Brexit referendum result was partly a consequence of the perceived democratic deficit within the EU.
汇集主权的概念并不必然意味着主权的丧失；相反，各国联合行使主权以扩大其影响力。单打独斗的国家在与中国的气候目标或贸易谈判中，其议价能力可能不如作为一个整体行动的欧盟。然而，批评者认为，民主问责因此受到损害，因为决策进一步远离了各国议会。英国脱欧公投的结果部分原因正是人们对欧盟内部民主赤字的感知。
10. Case Study: UK Sovereignty and the European Union | 案例研究：英国主权与欧盟
The UK’s relationship with the European Union provides a vivid case study in the tensions between national sovereignty and supranational integration. When the UK joined the European Economic Community in 1973, it accepted the principle that European law could have direct effect and supremacy over domestic statute. The Factortame case (1990) confirmed that EU law would prevail even over an Act of Parliament, profoundly challenging the traditional doctrine of parliamentary sovereignty.
英国与欧盟的关系为理解国家主权与超国家一体化之间的张力提供了一个生动案例。当英国于1973年加入欧洲经济共同体时，它接受了欧洲法律具有直接效力并优先于国内制定法的原则。Factortame案件（1990年）确认，即使面对议会立法，欧盟法律也优先，这对传统的议会主权原则构成了深刻挑战。
Pro‑Brexit campaigners argued that leaving the EU was essential to restore legal and political sovereignty to Westminster. The European Union (Withdrawal) Act 2018 repealed the European Communities Act 1972, thus ending the supremacy of EU law in the UK. However, even after Brexit, sovereignty is not absolute: the UK must still comply with World Trade Organization rules in its trade arrangements, and the Northern Ireland Protocol retains some EU rules on the island of Ireland. This illustrates that in an interconnected world, complete sovereignty is more an ideal than a practical reality.
支持脱欧的运动者认为，离开欧盟对于恢复威斯敏斯特的法律和政治主权至关重要。《2018年欧盟（退出）法》废除了《1972年欧洲共同体法》，从而结束了欧盟法律在英国的优先地位。然而，即使脱欧之后，主权也并非绝对：英国在贸易安排中仍须遵守世界贸易组织规则，而《北爱尔兰议定书》在爱尔兰岛上保留了部分欧盟规则。这阐明，在一个相互关联的世界中，完全的主权更多是一种理想而非实际现实。
11. Statehood, Recognition, and Contested Sovereignty | 国家地位、承认与有争议的主权
A territory may declare itself a sovereign state, but without widespread diplomatic recognition its sovereignty remains contested. The declaratory theory of statehood holds that recognition merely acknowledges a pre‑existing fact, whereas the constitutive theory maintains that a territory becomes a state only when it is recognised as such by other states. In practice, recognition is highly political. Examples include Taiwan, which functions as a de facto state but is recognised by only a small number of countries due to Chinese opposition, and Kosovo, whose independence remains disputed by Serbia and several other states.
一个领土可以宣布自己为主权国家，但若没有广泛的外交承认，其主权就仍然存在争议。宣告性国家地位理论认为，承认仅是对既有事实的确认；而构成性理论则认为，一个领土只有在被其他国家承认为国家时才成为国家。在实践中，承认是高度政治性的。例子包括台湾，它作为一个事实上的国家运作，但因中国的反对而只获少数国家承认；以及科索沃，其独立地位仍被塞尔维亚及部分其他国家所争议。
Failed or fragile states present another challenge to the traditional sovereignty framework. When a state cannot effectively exercise internal sovereignty – because of civil war, collapse of institutions, or loss of territorial control – the international community faces dilemmas about intervention for humanitarian purposes. The state of Somalia in the early 2000s, where a central government was absent for years, exemplified how the lack of effective sovereignty can lead to piracy, terrorism, and regional instability.
失败或脆弱的国家对传统主权框架提出了另一种挑战。当一个国家由于内战、机构崩溃或领土失控而无法有效行使内部主权时，国际社会便面临出于人道主义目的进行干预的困境。2000年代初期的索马里，其中央政府缺失多年，就典型地体现了有效主权的缺失如何导致海盗、恐怖主义和地区不稳定。
12. The Future of National Sovereignty | 国家主权的未来
National sovereignty is not vanishing; it is transforming. States remain the primary actors in international politics, but they increasingly operate within a dense web of international law, institutions, and economic interdependence. The COVID‑19 pandemic showed states closing borders and prioritising national interest, a reminder that sovereignty can be robustly reasserted in times of crisis. Climate change, cybersecurity, and artificial intelligence, however, will demand even greater co‑operation, potentially deepening shared sovereignty mechanisms.
国家主权并没有消失，而是在转变。国家仍是国际政治中的首要行为体，但它们越来越在一个密集的国际法、机构和相互依赖的网络中运作。新冠肺炎疫情表明各国关闭边界、优先考虑国家利益，提醒人们在危机时期主权可以被有力地重新主张。然而，气候变化、网络安全和人工智能将需要更深入的合作，可能加深共享主权机制。
For A‑Level students, understanding sovereignty is vital because it connects to debates on democracy, globalisation, federalism, and nationalism. Whether in the UK’s post‑Brexit constitutional settlement or in the struggles of stateless nations for self‑determination, the tension between state authority and national identity will continue to shape politics worldwide. The state, as both a legal‑territorial entity and an idea rooted in a nation, remains the central organising principle of modern political life, even as that principle is constantly debated and redefined.
对A‑Level学生而言，理解主权至关重要，因为它连接着关于民主、全球化、联邦主义和民族主义的辩论。不论是在英国脱欧后的宪制安排中，还是在无国家民族争取自决的斗争中，国家权威与民族认同之间的张力将继续塑造全球政治。国家，既是一个法律‑领土实体，也是一种根植于民族的理念，仍是现代政治生活的核心组织原则，即使这一原则不断受到争论和重新定义。
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