This document provides an overview of different perspectives on idealism and liberalism in international relations theory. It begins by defining idealism as the view that ideas have power and can motivate social and political action. It then discusses liberalism as the modern incarnation of idealism, noting key liberal assumptions around absolute gains and the iterated prisoner's dilemma. The document outlines different variants of liberalism, including liberal institutionalism, commercialism, and internationalism. It emphasizes liberalism's view of pluralism and how different actors shape foreign policy. Overall, the document aims to comprehensively introduce the basic principles and assumptions of idealism and liberalism.

1. professor timothy c. lim
california state university, los angeles
tclim@calstatela.edu

2. an introduction
―In the period between World War I and World War II, the major
challenger
to the realist perspective was idealism. Idealists questioned many
of the basic tenets of realism and suggested that it would
be possible to transform the world of power-seeking
and war into one in which peace and cooperation
among state might prevail.‖
before going any further, it would be useful, even
essential, to discuss the connotations of the word
―idealism‖ …

3. the meaning of idealism
some questions
so, what does the term ―idealism‖ suggest to you?
is idealism the same as utopianism? does the word
itself give an advantage to realists in the competition for
theoretical dominance?

4. the meaning of idealism
key point
the core meaning of idealism can be found in the first four
letters of the word:

5. the meaning of idealism
applied to world politics, an idea is a mental construct, a belief about
how things should or can be in the world
more importantly, ideas imbue people with a sense
of purpose, with a rationale and motive for action,
with a framework for understanding the world
in short, idealism tells us that ideas matter; even
more, it tells us that ideas have power, even
great power

6. the meaning of idealism
to see the importance of ideas (in the social
world) and to see their power, let‘s consider
an underlying message in the film,
V for Vendetta

7. excerpts from V for Ve
insert video here

8. V for Vendetta and
idealism
key points
in this depiction of idealism, it is clear that ideas are
powerful and deadly forces in the world: ideas
matter and not in a utopian, ―tree-hugging,‖
pacifistic sense
ideas matter by motivating and organizing human and
social action—what we do is a product of what we think!

9. idealism and liberalism
as the author tells us, idealism (partly due to the connotations of the
term) has been replaced with different labels, the two most common
of which are _________________ and __________________liberalism constructivism
―Liberalism is currently the most well-developed
paradigmatic challenger to realism. Unlike realists …
liberals believe that significant global cooperation is
possible and that we can move beyond the power politics
at the heart of the realist paradigm‖

10. the liberal paradigm
of course, it is critical that we not simply know what liberalism asserts;
rather, we must know the basis for liberal assertions
this means we must understand the assumptions and basic tenets
underlying the liberal perspective; in addition, we must understand
the implications of these assumptions and tenets
let us turn to these issues next …

11. basic assumptions and tenets of liberalism
―For liberals, the key assumption is that peace and cooperation among
states can produce absolute gains for all. As long as a state is
better off as a result of cooperating with others, the gains of others
should not matter‖
how does the liberal assumption of absolute gains differ
from realism—that is, what do realists have to say on this
same basic issue? why is the difference important?
and who is right?

12. basic assumptions and tenets of liberalism
review: absolute versus relative gains
one way to understand the difference between relative vs. absolute
gains is to consider the notion of ―keeping up with
the Joneses,‖ which suggests that
we cannot be satisfied with more and
better stuff if our neighbors have even
more and even better things …
is this true? does it have to be
true?
and what‘s the basic issue anyway?

13. basic assumptions and tenets of liberalism
the debate over absolute vs. relative gains is only one of many issues;
liberals also argue that realist assertions about the lack of trust in
the international system is also problematic ...

14. basic assumptions and tenets of liberalism
to support their position, liberals draw from the same game-theoretic
models used by realists, one of the most salient of which is the
prisoners’ dilemma. if you recall, realist use the prisoner‘s dilemma
to suggest that cooperation is unlikely because of the
inherent lack of trust between two actors …
yet, liberals have shown that the prisoner‘s dilemma
scenario is unrealistic: it is based on on a single
interaction between parties. in the real world, however,
parties interact on a repeated (or iterated) basis

15. basic assumptions and tenets of liberalism
―The key is to think in terms of what [Axelrod] calls an ‗iterated
prisoners‘ dilemma‘ in which the game is not a one-time event but
one in which the same players repeatedly play the game. What he
found is that one can elicit a good deal of cooperation in the game
following
a ‗tit-for-tat‘ strategy. One starts out with a cooperative
strategy, and from there one mimics whatever the other
player does. If the other player selects the cooperative
option, you do the same. If the other player defects
and fails to cooperate, you do likewise …‖

16. basic assumptions and tenets of liberalism
the last sentence in the foregoing passage (‖If the other player defects
and fails to cooperate, you do likewise‖) is key …
why?
short answer. failing to cooperate, in an iterated game, has
clear negative consequences. for this reason, an overarching
authority is not necessary—thus, the problem of anarchy can be
mitigated in an international system in which the key actors are required
to interact with each other on a constant, repeated basis!

17. insert video here

18. basic assumptions and tenets of liberalism
let’s consider an example mentioned in the video ...
say, the US and the Soviets agree not to build new types or more
destructive nuclear weapons …
 what happens if one side cheats and
the other side finds out?
 does cooperation over time tend to lead
to more cooperation and trust?

19. logic of iteration in cooperation
Agreement
T1
Cheating
T2
No Cheating
T2
Resumption of arms buildup
T3
Cont. Cooperation
T3
No Cheating
T4
Cont. Cooperation
T5
Trust-based Rel.
T5,T6, T7 …

20. basic assumptions and tenets of liberalism
the foregoing conclusion leads to another, less obvious assumption in
liberalism, which revolves over fundamental disagreements about
the nature of anarchy …
realists assume anarchy to be an unchanging and unchangeable
element of international relations, while liberals consider anarchy to be
a scope condition, that is, a condition that can exist in various forms,
with varying strength—e.g., anarchy can be weak or strong,
hostile or friendly, etc.

21. basic assumptions and tenets of liberalism
key implication. if anarchy is relatively ―weak‖ and ―friendly,‖ the
struggle for power among states may become a secondary or even
tertiary, rather than overriding concern—it may simply not matter
much
… and when the struggle for power becomes less important, the nature
of international relations is subject to significant change (consider
relations between the US and Britain or between Germany and
France)
consider, for example, the

22. x x x
basic assumptions and tenets of liberalism
…in the dynamics of the world today, there is no arms race among
major powers; there is no balancing or significant rebalancing of
power taking place; and there is no clear-cut struggle for power
among the major countries; instead major powers cooperate
across
a range of
important
issues
let‘s consider
a few other
points …

23. basic assumptions and tenets of liberalism
liberals have always been skeptical of the overriding power attached
to anarchy; but, they have also been skeptical of the assumption of
state rationality and coherence.* they tell us that …
states are not monolithic and states
cannot be isolated from their societies; this
means other actors (within and outside the
state) have always played a role in
shaping international relations or world
politics—these assertions have important
implications. in particular …
* introducing material not in the text

24. basic assumptions and tenets of liberalism
liberalism tells us that a range of actors
with varying interests and degrees
of power plays different roles in
shaping state policies and
interstate relations
moreover, in this view, we should
expect that the range, power, and
roles of various groups varies
depending on regime type (we
will return to this point shortly)
International
Relations
Executive
Branch
Congress
TNCs
NGOs
Media
Social
Movements
Various
state
agencies
Social
classes
Political
parties

25. basic assumptions and tenets of liberalism
the last slide introduces an important analytical element of liberalism
(one that is largely missing from realism)…
this element revolves around the concept of ____________
which at a generic level, simply tells us that multiple
actors play a role in shaping international relations
this is an important notion, but it is incomplete:
we also need to know something about
the actors themselves …
International
Relations
Executive
Branch
Congress
TNCs
NGOs
Media
Social
Movements
Various
state
agencies
Social
classes
Political
parties
pluralism

26. basic assumptions and tenets of liberalism
some questions
 are all actors motivated by the same basic set of interests?
 do all actors exercise power in the same way? are they all
equally powerful?
 in short, are all actors basically
the same?
the short answer to all three
questions is simply ―no‖

27. basic assumptions and tenets of liberalism
note. in pluralism, there is an assumption of rationality—or self-
interest–among actors, but there is also an understanding that their
self-interests are not premised on the same overriding ―national
interest‖
simply put, different actors have different interests,
meaning that actors‘ interests are not
necessarily the same as the ―national
interest‖
this has important implications in
explaining world politics …

28. basic assumptions and tenets of liberalism
a few implications
 actors compete to shape policy and influence the state
 state policies may lack coherence in terms of a single
overarching national goal
 the competition to shape state policy, in other
words, may lead to contradictions
and inconsistencies, which
makes predicting world politics
more complex and contingent.
let‘s consider an example …

29. basic assumptions and tenets of liberalism
think about US-China relations today …
before discussing, let‘s watch a short video that gives a sense of some
of the issues liberals are focused on (note: the points are not
necessarily obvious, so think carefully about how the video—actually
three different news reports—reflect liberal ideas and principles.
there are additional questions at the beginning of the video itself)

30. US-China Relations: Compilation of R
insert video here

31. basic assumptions and tenets of liberalism
key points …
on the one hand, we have those who believe China represents a
fundamental threat to the long-term interests and security of the US:
they propose a hostile non-cooperative relationship
on the other hand are those who benefit from trade and economic
exchange with China: they propose deeper, closer economic
integration and cooperation. others are primarily concerned about
human rights…
advocates of these and other competing
positions seek to and often do influence and
shape policy ...

32. basic assumptions and tenets of liberalism
the upshot? US-China relations is not a product of a set
of unified policies where everyone shares the same goals and
motivations, but instead reflects negotiation, compromise, power-
brokering, and so on
importantly, this is likely much more the case in the US than in China …
but why would this be the case? (hint. think about the different types
of political regimes in each country.)
with this broad introduction in mind, let‘s move
on to a brief discussion of ―subgroups‖ or
variants within the liberal perspective

33. variants of liberalism
opening note
the variants of liberalism are not fully consistent with one another on
basic principles vis-à-vis realism. for example, some variants mostly
accept realist assumptions, but assert that there is room at the
edges for liberal principles to work; other variants argue that liberal
principles can supplant the anarchy of realism completely (albeit,
not in the short-run)
let‘s begin with the most ―limited‖ variant of liberalism,
liberal institutionalism ...

34. variants of liberalism
liberal institutionalism
―Proponents of liberal institutionalism look to international institutions to
reduce the anarchy of the international system. By institutions, they
mean ‗the rules of that govern elements of world politics
and the organizations that help implement those rules.‘
Central to this institutionalist perspective is a formal system
of international law that regulates and constrains the
behavior of states and thereby limits their sovereign ability
to act as they wish in some areas …‖

35. variants of liberalism
liberal institutionalism
liberal institutionalism, as the name implies, asserts that institutions
are important; however, they see the role of institutions as generally
limited under conditions of anarchy
institutions, in this regard, are a functional substitute for an
overarching sovereign power in the international system; they can
ameliorate anarchy by allowing cooperation to take
place in areas that states are willing to cede
sovereignty, but they cannot function in those areas
that states are unwilling to relinquish sovereignty

36. variants of liberalism
liberal commercialism
liberal commercialism suggests that commercial—or economic—
interests create common bonds across borders that make
international cooperation possible. in the present era, scholars
have focused on the continued expansion and
deepening of economic ties through the
processes of globalization
question
in what way does economic globalization
contribute to greater peace and cooperation
among nations?

37. variants of liberalism
liberal internationalism
liberal internationalism refers back to the notion that regime type has
an important affect on the nature of relations between and
among states; it based on the Kantian notion of ―perpetual
peace,‖ which tells us that, ―in places where government is
based on consent of the citizenry, there will be a reluctance
to go to war because of the hardships that war invariably
imposes on those citizens. In fact, Kant‘s federation of free
states was premised on the assumption that its members
would be republics with this domestic disincentive
to go to war‖ || consider the following figure

38. variants of liberalism
using proxy categories for
democracy developed by
Freedom House, this table
shows that full democracies
(i.e., liberal democracies) do
not engage in violence with
each other
what else does the table show?

39. variants of liberalism
liberal internationalism
there are other important elements of liberal internationalism of which
we must be aware, and these are nicely summarized in the
article by Michael Doyle, ―Liberalism and World Politics‖
quick point
Michael Doyle is generally considered one of the leading
liberals in IR scholarship; he developed the notion of the
democratic peace thesis, an extension of Kantian thought

40. variants of liberalism
Doyle on liberal internationalism
―Despite the contradictions of liberal pacifism and liberal imperialism, I
find, with Kant and other liberal republican, that liberalism
does leave a coherent legacy on foreign affairs. Liberal
states are different. They are indeed peaceful, yet they
are also prone to make war, as the U.S. and our ‗freedom
fighters‘ are now doing …‖
in this passage, Doyle mentions three liberal approaches;
the first two of which are contradictory (part of his
aim is to reconcile these competing views) …

41. variants of liberalism
what is liberal pacifism?
based on ideas espoused by Joseph Schumpeter, who
argued that capitalism and democracy are forces for
peace: in capitalism, peoples‘ energies are absorbed
in production, which in turn trains people in ―economic
rationalism,‖ and rational people demand democratic
governance. Democracy, in turn, prevents those who
would gain from war (war profiteers and military
aristocrats) from going to war since ―no democracy
would pursue a minority interest and tolerate the high
costs of imperialism‖

42. variants of liberalism
what is liberal imperialism?
based on the thinking of Machiavelli, who believed that liberty
encouraged ―increased population and property, which
grow when the citizens know their lives and goods
are secure from arbitrary seizure.‖ Secure in their
lives at home, free citizens are more willing to fight
abroad to gain more for themselves and for their
states—it is important to emphasize that Machiavelli‘s
argument was premised on the realist notion that this
willingness is based on the knowledge that there are
other states with similar aims

43. variants of liberalism
Doyle on liberal internationalism
Liberalism internationalism helps to bridge the divide between
liberal pacifism and liberal imperialism (both of which can
find support in the real world) by … doing what?
answer. it recognizes that liberal states are both pacifistic
and imperialistic, but that their behavior toward other
states hinges on the internal political make-up of those
other states—i.e., if the other state is illiberal or non-
democratic, then violence is more likely; if the other state
is also democratic, then violence is less likely

44. variants of liberalism
Doyle on liberal internationalism
to repeat…
liberal internationalism tells us that while liberal states
are, in fact, less likely to engage in war, this propensity
toward peaceful relations is true only between and
among liberal states themselves
liberal states, in short, create a separate peace
or a zone of peace with other liberal societies

45. variants of liberalism
Doyle on liberal internationalism
the zone of peace, again, is limited to liberal states; outside this zone,
liberal states often engage in international ―imprudence‖…
in other words, in relations with non-democratic states,
liberal states show very little restraint in the use of
violence, a product, perhaps, of a ―striking distrust‖
of non-liberal states :: note the implication here:
under conditions of anarchy, trust is difficult to
establish between non-democracies, but much
easier between/among democracies

46. variants of liberalism
Doyle on liberal internationalism
Doyle also identifies three ―definitive articles‖ of peace espoused by
Kant in his articulation of liberal internationalism. these are:
 the need for a republican state
 the creation of a pacific (i.e., peaceful) federation
or union among liberal states
 the establishment of a cosmopolitan law to
operate in conjunction with the pacific union
for our purposes, we need not discuss these ―articles‖ in any
detail

47. variants of liberalism
back to Bova
the diversity of liberal approaches can be confusing, but as Doyle did
with the two competing versions of liberalism (pacifism and
imperialism), it may also be possible to bring the three main
contemporary variants (institutionalism, commercialism,
internationalism) together as well
in fact, scholars have already done this; one good
example is the Kantian Triangle …

48. variants of liberalism
the Kantian triangle
Individually, each variant of liberalism has its limits; but, as Bova
asserts, the ―strongest statement of the liberal perspective emerges
when we combine the essential assumptions of all three liberal
subgroups …‖
this is what Russett and Oneal refer to as the
Kantian Triangle: international institutions,
economic interdependence, and democracy

49. variants of liberalism
the Kantian triangle
the basic idea is simple: even if one aspect of the triangle is not enough
to guarantee peace and cooperation, when the elements are
combine they mutually reinforce the global propensity toward
international cooperation and peace
taken together, they can replace the ―vicious
circle of fear, mistrust, and conflict‖ with a
―virtuous‖ circle of mutual interests and cooperation
produced by the mutually reinforcing impact of all
three points of the triangle

50. variants of liberalism
summing up thus far …
so, what do you think? how would you assess
the two theoretical paradigms we have examined
thus far? is one obviously more useful and better
than the other? or, do both offer important insights?
are they mutually incompatible, or do they simply
view different parts of a larger, more complicated
whole?