The stages heuristic model of public policymaking is by far the most studied and utilized theory explaining the policy process. Public policymaking in the U.S. occurs in numerous stages and includes an assortment of policy actors, such as elected politicians, bureaucrats, interest groups, and even citizens. Harold Laswell (1951, 1956) was one of the first scholars to elaborate on a multi-stage decision process of public policy making. The stages that he described have evolved but generally include the following steps: (1) problem identification, (2) agenda setting, (3) policy formulation, (4) policy legitimation, (5) policy implementation, and (6) evaluation (Figure 3.1). The following summaries are meant to give students context and an overview of the policy stages. Each concept is discussed in greater detail in later chapters: problem identification and agenda setting (chapter 4), policy formulation (chapter 5), implementation (chapter 6), and evaluation (chapter 7).
Figure 3.3: The Policymaking Process
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Step One: Problem Identification
The first step in the policy making process is to identify a public problem. Problem identification is more difficult than it may seem; while one person or group may believe there is a problem, another group may not. Similarly, one group may define the problem differently than another. These complexities cause problem identification to be inherently political. Consider the recent debate about removing confederate statues. Many states have policies that prohibit their removal without permission from the state legislature. Interested groups, such as supporters of the Black Lives Matter movement, have argued that the monuments are a symbol of inequality. Others feel that they are a symbol of heritage and Southern pride. Both groups fundamentally disagree that there is even a public problem. The likelihood that they will ever agree on the same solution is low. As this example illustrates, the process of identifying and defining public problems is complex.
Step Two: Agenda Setting
Once a problem has been identified, the next step in the policy making process is to attract the attention of policymakers, thus encouraging them to include the problem on their personal agenda. Agendas are lists of public problems that are of importance to individual policymakers. Similarly, the public agenda includes all the issues that may or may not be seriously considered for government intervention. Issues may become less important over time and leave the agenda only to reappear when indicators or focusing events increase their importance. For instance, the national budget deficit was an important topic on the public agenda during the 2012 presidential campaign, while in 2016 resolving the deficit was not as important.
Step Three: Policy Formulation
After a public problem has received attention from policymakers, it must be formulated and articulated into a policy in written form. Policy formulation is a complex process. During this stage, the benefits and drawbacks of each proposal are debated and considered. Policymakers must then decide who will be tasked with carrying out the policy and what that process of implementation will look like. They must also consider how they will encourage citizens to follow the new law. Will they receive a punishment if they neglect to abide by the new rule or a reward if they do?
Step Four: Policy Legitimation
Policy legitimation is the step in the policy making process that students have likely studied. American government classes teach students how a bill becomes a law and this step is no different. You will recall that public policy is made at the local, state, and federal levels of government. Generally, elected members of a congress or general assembly propose policy. They then send their proposals, better known as bills, to a smaller committee that specializes on the topic of the bill so that it can be debated and considered. If the committee sees the bill favorably, they will pass it on to the entire elected body who will then vote on the proposed policy. Bills that pass successfully through each chamber—Senate and House of Representatives—are then sent to the president or governor who signs or vetoes the policy. This process is far more complex than this short explanation might lead you to believe, but the steps are critical for public policy to gain legitimacy and be successfully implemented in the next phase.
Step Five: Policy Implementation
Have you ever wondered what happens to a law after it goes into effect? There is certainly more to the process than simply signing a bill into law and hoping that it is carried out correctly. Policy implementation consists of translating the goals and objectives of a policy into action. During the policy design phase, policymakers either build a roadmap for how policy should be implemented, or they give implementors, who are typically bureaucrats, discretion over how a policy is implemented. For instance, a state passes a resolution that requires law enforcement to increase community policing efforts, essentially promoting stronger community and police relationships. State lawmakers give local police departments the power to determine the best method for increasing community policing, but how should they proceed? Should they require body cameras be worn on duty and punish anyone who chooses not to follow the rule? Should police spend more time in certain neighborhoods or host events in the community? Perhaps they can spend more time in schools with children, or at the very least step up crime prevention measures in violent neighborhoods.
Step Six: Policy Evaluation
The evaluation stage of the policy process provides researchers an op- portunity to measure and assess the effectiveness of a particular policy. In chapter 5, we will discuss the intended outcomes of programs and policies in detail. During an evaluation, research- ers determine whether the goals of a policy were realized. Did the policy achieve its desired outcome? The re- sult of an evaluation is a recommendation to policymakers regarding whether a program should continue, receive additional funding, or be terminated.
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