3 Chapter 3: Explaining Policy Problems

Public policy is essential to solving problems that affect people in society (Smith, 2013). The policy process typically begins with identifying and defining the problem or issue at hand. A policy problem is “a condition or situation that produces needs or dissatisfaction among people and for which relief or redress by governmental action is sought” (Anderson, 2015, pg. 89). Problems include “issues identified by the public and elected leaders as worthy of a coordinated response by the government.” (Rinfret, Scheberle, & Pautz, 2019, p.20). The identification of problems begins with acknowledging that something or someone is wronged and the wrong must be addressed. The use of ‘wrong’ here is relative. It simply suggests that something must be changed or improved. Policy problems arise when there are focusing events such as natural disasters or acts of terrorism. Problems also exist when there are controversies surrounding issues and when there are real or perceived threats to society.

Policy problems come in a variety of forms and substance. They also range in complexity. There are some that fall within the purview of specific levels of government while others may overlap between the federal, state and local governments. Contemporary policy debates concern abortion rights, police brutality and prohibited concepts in K-12 education. Additional overlapping issues include gun violence, access to health care and illegal immigration. Local governments may focus on issues related to land use, environmental sustainability, economic development and homelessness. Not all issues are easily remedied as political and moral values often influence perceptions of the problems and how they should be resolved. Conflict may arise when perceptions about a problem differ (Smith, 2013).

Analysis and subsequent development of policy solutions cannot begin without understanding the problem (Meltzer & Schwartz, 2019). Smith (2013) notes that these problems are often defined differently by different actors. King (1964) expressed the importance and drawbacks of problem definition and acknowledged that doing so can be rooted in politics. How problems are defined depends on values, motivations, politics and actor objectives. The goal is not to necessarily have a definitive problem definition, but to understand the nature of the problem from varying perspectives (Meltzer & Schwartz, 2019).

Without a clear understanding of the problem, it becomes nearly impossible to develop relevant and impactful policy options. Even worse, fruitless efforts may be exhausted in an attempt to address the wrong problem (Meltzer & Schwartz, 2019). Our understanding of the causes and consequences of problems may be limited due to our “bounded rationality,” which suggests we lack full knowledge of problems and potential solutions (Howlett, 2019). Kettl (2018) notes three challenges in defining problems. These include the following:

1. We don’t know everything – we never can.
2. Some of what we know is wrong.
3. We don’t need evidence to make decisions (pp. 4-5).

We must also recognize that problems can be defined from multiple perspectives. Problem definition is about intentional story telling. Our task is to assist policymakers in policy decision making. How problems are framed and defined determines the type of solutions that are warranted. For example, framing illicit drug use as a public health issue as opposed to a criminal issue will likely yield different sets of policy solutions.

Explaining Problems

It is possible to frame problems objectively using data and evidence. A framework known as “elements of a finding” allows users to fully explain problems, their causes and the impacts they have. The framework provides a foundation for developing policy solutions and writing policy memos as will be discussed in Chapter 4 and Chapter 5 respectively. This framework includes a) Criteria; b) Condition; c) Cause; d) Significance; and e) Recommendation.

Criteria

The criteria establishes a basis of comparison. This could be a legislative mandate, societal norms, a professional standard, best practices or baseline data. Criteria establishes that something is supposed to be happening or that it should be a certain way. If your audience doesn’t know what should be, it will be difficult for them to interpret the condition as being problematic.

Condition

The condition establishes the heart of the policy problem. It provides the context for the problem and is established in problem identification. Explanation of how things are in direct comparison to what should be gives your audience an opportunity to understand the magnitude of the policy problem which is often defined in terms of deficits or excess. Demonstration of deficits or excess requires comparison to the criteria.

Cause

Explanation of policy problems requires an understanding of the causes of the problem. You must explain why the problem exists. Doing so demands thorough research into the problem and examining it from multiple perspectives. If a cause is not established, meaningful solutions are difficult to develop. Ideally, policy solutions, if they are to be effective, should address the causes of the problems.

Significance

Significance establishes why your audience should care. You must describe the consequences of the problem. You should address what adverse conditions have occurred or will occur as a result of the problem you identify.

Recommendation

Every problem needs a solution. Providing problems without solutions can damage your credibility. Policy recommendations must be valid in that they are perceived to be able to rectify the problem. Recommendations should also provide insights on how the policy would be implemented. You cannot offer recommendations without providing the criteria, condition, cause and significance. Developing recommendations is explored further in Chapter 4.

Finding Data and Evidence to Explain Problems

Data serves two purposes. It helps describe and solve problems. Policy problems should be supported using sound, credible data and evidence. Without it, it will be difficult to clearly define problems. Data must be collected and analyzed in order to give it meaning related to policy problem. Kraft and Furlong (2017) advise to exercise caution when collecting data and evidence. They contend, “It is always essential to find out the source of the information, the reliability of the author or organizations, any critical assumptions that are made in a study or report, and any interpretations that might not be justified.” (pg. 133). One way to adhere to their caution is to choose information from credible sources. Such sources include data, information and reports produced by government agencies. Non-governmental agencies such as the Brookings Institutions or Pew Research Center also contribute to policy research. Data, information and reports can also be gathered from academic institutions where researchers conduct studies that can be used to inform policy decisions. Academic policy research is published in journals such as Public Administration Review, Journal of Public Policy, Journal of Social Equity and Public Administration, Journal of Policy Analysis, and Journal of Public Management and Social Policy. Unfortunately, access barriers may exist in some cases because some data and reports must be purchased or require licensing to use. A remedy to this is open data.

Open Data Initiatives

The federal government as well as state and local governments have begun open data initiatives. Open data is defined as data available to anyone to use without restriction. The open data concept is the idea that public data should be available to anyone who wants to use it so they can use and publish as they wish. The openness of such data can be assessed in terms of its availability and access, reuse and distribution, and universal participation. The reported potential benefits of open data include government transparency, improved service provision, and the promotion of innovation and start-up activities. (Hendler et al., 2012). By definition, open data is limited in its utility in public governance. Open data is often treated narrowly as a product provided to non-governmental customers. This “customer-centric view of open data is unidirectional and transactional, missing much of the potential for data to act as a conduit for citizen engagement with government and direct input to decision-making” (Sieber & Johnson, 2015, p. 308). Sieber and Johnson (2015) suggest that open data facilitates access to government data and could improve service delivery, but can also increase citizen participation in government functions, which could lead to improved decision making. Attard et al. (2015) identify three reasons for opening government data. These include transparency, releasing social and commercial value and participatory governance.

The Open Knowledge Foundation, in its Open Data Handbook claims that open government data is a resource that is largely untapped. However, it claims that open government data creates social and economic value in terms of transparency and democratic control, participation, innovation and improved program and service efficiencies. Open data allows citizens to participate in governance processes and use data to be more informed. Users can also communicate preferences from using open data. Thus, it is expected that governments will be responsive to demands made by citizens who utilize open data to assess and critique government performance.

Concepts in Action: Food Deserts

A food desert is a geographic area that has insufficient quality or quantity of food or an area where healthy food is only available at relatively high prices (Bitler and Haider, 2009). Bonanno (2012) further describes food deserts as lower-income communities with limited access to affordable and nutritious food. Specifically, these deserts typically exist in urban areas where there is limited access to food products through food stores (Cerovečki & Grünhagen, 2016). The United States Department of Agriculture (USDA) defines food deserts as “neighborhoods and rural towns without ready access to fresh, healthy, and affordable food.” The USDA further notes that these areas generally have no supermarkets or grocery stores in close proximity. Bitler and Haider (2009) expand the definition of food deserts to include areas where healthy food is available, but at high prices. According to Breyer and Voss-Andreae (2013), food deserts carry the following assumptions. First, grocery stores provide affordable, nutritious foods. Second, people make food purchases from the nearest food retailer. Finally, food deserts only exist in areas that have concentrated poverty. An additional assumption is lack of transportation being a barrier to food access.

Criteria and Condition

People should have access to affordable and nutritious foods to promote improved community health outcomes. The idea of food deserts represents the degree to which food insecurity exists. Freely available data from the USDA and Centers for Disease Control (CDC) can be used to aid our understanding of food insecurity and food deserts. According to the USDA, ~10.2% of U.S. households experienced food insecurity in 2021.^[1] In addition, ~13.5 million U.S. households are in food deserts. Figure 3.1 shows the prevalence of food deserts across the United States.

Cause

Food deserts exist because of a number of reasons. Wright et al. (2016) describe capitalist theoretical factors that contribute to the food desert formation. These factors include the following:

1. Chain supermarkets have put “mom and pop” stores out of business.
2. Decline in median income, so stores moved to suburbs.
3. High land prices in urban areas may discourage economic development of supermarkets.
4. Rural: Low population density.

Bonanno (2012) identifies demand- and supply-side factors related to food retail location. He argues that these factors, or the lack thereof, are important in determining food desert development. Demand-side factors include market size, population and income growth, poverty rate, and rate of adoption of income support programs. Supply-side factors include fixed (investment) costs, sorting, sourcing, and distribution costs. Additional factors include energy and labor costs, local- and state-level tax regimes, zoning laws, retail image, crime rates, and the availability of public transportation.

If a community’s socioeconomic and market conditions do not support an affirmative food retail location decision, grocery stores are unlikely to locate in those areas because of the low potential of profit. However, Bonanno concedes that store owners may choose to locate in low-income communities if they can take advantage of federal government food support programs such as the Supplemental Nutrition Assistance Program (SNAP) and the Special Supplemental Nutrition Program for Women, Infants, and Children (WIC).

Significance

Food deserts create nutritional challenges to residents who often have no choice but to get most of their food at convenience stores or fast food restaurants (Cerovečki & Grünhagen, 2016). Food deserts are seen as drivers of obesity and poor health conditions in low-income urban neighborhoods (USDA, 2009; Shannon, 2015). Wright et al. (2016) suggest that poor diets in poor people result from lack of fresh and healthy food in areas where they live. This is partly attributable to economic and spatial disparities in food systems (Brinkley et al., 2018). Thus, it is assumed that people residing in food deserts tend to have poorer health outcomes than those who do not live in food deserts because they do not have access to healthy food alternatives.

Concluding Thoughts

Adequately defining policy problems is a first step in developing effective solutions. Problem definition is not always easy because different political actors may perceive problems and their causes differently. Furthermore, problems may be so complex that they may not be easily defined. This complexity may be due to the nature of the problem stemming from a multitude of causes. Nonetheless, problem definition is an important exercise that must be undertaken as part of the policy process.

Problem definition requires the identification of credible and reliable data, information, and reports. This can be acquired from government, nongovernmental, and academic institutions. Government data are freely available via open data initiatives. Such data can be used for any purpose without restriction, including use by citizens to better inform governmental policy decisions.

Discussion Questions

1. What are the pressing policy issues in your city and state? How are these issues described by elected officials? What are the potential solutions being proposed to address these issues?
2. What data do your state and local government make available for public use?
3. Identify data that you would need to demonstrate the problematic nature of a policy issue you are interested in.

Skill Development: Problem Definition

Problem definition is a process. Clearly defining problems often requires considerable time and research efforts (Meltzer & Schwartz, 2019). Your task is to begin defining policy problem you want to explore.

Steps in Problem Definition

1. Problem Identification: Identify a policy issue (not legislation) you want to explore. The issue may be related, but not limited to, any of the following policy areas: healthcare, education, civil rights, gun control, environment, economy, social welfare, or national security. The issue could be at the federal, state, or local level. One way to approach this is to think in terms of deficits or excess and quantify, if possible, to provide some sense of magnitude (Bardach, 2012). For example, “There are too many homeless people in Chattanooga” or “There are not enough affordable housing units in Tennessee”. Don’t just make up the issue utilize the news media, policy and political sources to determine how issues are framed and what is deemed important in your selected policy area.
2. Gather Data and Evidence: Data are important in telling the policy story (Bardach, 2012). Data and evidence are needed to demonstrate that the problem you identify is problematic. By this, you should be able to explain the problem in terms of its causes and consequences. That is, why does the problem exist and what effect does it have? You may ask, “Where do we find data and evidence?” There are a variety of sources, but some good places to start include academic research, policy research, think tanks, open data, governmental organizations, the library, interviews, news stories, and more. For example, data.gov/ and https://datasetsearch.research.google.com/ provide a variety of data sets and are good places to being your data/evidence journey. Literature reviews can provide invaluable insights on the causes and consequences of problems and can often provide ideas for solutions (Bardach, 2012).
3. Analyze and Interpret the Data and Evidence: Data analysis is critical because it allows framing of the story. You do not want your audience to have to interpret your data and evidence on their own. It is your job to tell them, “What do the data indicate about the problem?” How can you demonstrate this beyond only using words? Kettl (2018) notes the importance of making evidence speak. As such, you must be intentional in your interpretation and how you communicate that interpretation. One way to communicate that interpretation is through data visualizations.

Resources

Federal, State and Local Government Open Data: data.gov

Comprehensive List of Open Data Portals Around the World: DataPortals.org

Google Datasets: https://datasetsearch.research.google.com/

Pew Research Center: https://www.pewresearch.org/

State Freedom of Information Laws: https://www.nfoic.org/state-freedomof-information-laws/

General Social Survey: https://gss.norc.org/

Works Cited

Anderson, J. E. (2015). Public policymaking: An introduction (8th ed.). Cengage Learning.

Attard, J., Orlandi, F., Scerri, S., & Auer, S. (2015). A systematic review of open government data initiatives. Government Information Quarterly, 32(4): 399–418.

Bardach, E. (2012). A practical guide for policy analysis: The eightfold path to
more effective problem solving (4th ed.). Sage; CQ Press.

Bitler, M., & Haider, S. J. (2010). An economic view of food deserts in the United States. The Journal of Policy Analysis and Management, 30(1): 153–176.

Bonanno, A. (2012). Food deserts: Demand, supply and economic theory. Choices, 27(3): 1–4.

Breyer, B., & Voss-Andreae, A. (2013). Food mirages: Geographic and economic barriers to healthful food access in Portland, Oregon. Health & Place, 24: 131–139.

Brinkley, C., Glennie, C., Chrisinger, B., & Flores, J. (2019). “If you build it with them, they will come”: What makes a supermarket intervention successful in a food desert? Journal of Public Affairs, 19(3): 1–13.

Centers for Disease Control and Prevention. (2012) State initiatives supporting healthier food retail: An overview of the national landscape. U.S. Department of Health and Human Services, Centers for Disease Control and Prevention. https://www.cdc.gov/obesity/downloads/Healthier_Food_Retail.pdf

Cerovečki, I. G., & Grünhagen, M. (2016). “Food deserts” in urban districts: Evidence from a transitional market and implications for macromarketing. Journal of Macromarketing, 36(3): 337–353.

Economic Research Service. (2009). Access to affordable and nutritious food: Measuring and understanding food deserts and their consequences (Administrative Publication No. AP-036). U.S. Department of Agriculture, Economic Research Service. https://www.ers.usda.gov/publications/pubdetails/?pubid=42729

Hendler, J., Holm, J., Musialek, C., & Thomas, G. (2012, May/June). US government linked open data: Semantic.data.gov. IEEE Intelligent Systems, 27(3): 25–31. https://doi.org/10.1109/MIS.2012.27

Howlett, M. (2019). The policy design primer: Choosing the right tools for the right job. Routledge.

Kettl, D. F. (2018). Little bites of big data for public policy. CQ Press.

King, Jr., M. L. (1964). Why we can’t wait. New American Library.

Kraft, M. E., & Furlong, S. R. (2017). Public policy: Politics, analysis, and alternatives (2nd ed.). CQ Press.

Meltzer, R., & Schwartz, A. (2019). Policy analysis as problem solving: A flexible and evidence-based framework. Routledge.

Rinfret, S. R., Scheberle, D., & Pautz, M. C. (2019). Public policy: A concise introduction. CQ Press.

Shannon, J. (2015). Rethinking food deserts using mixed-methods GIS. Cityscape, 17(1): 85–96.

Sieber, R.E., and Johnson, P.A. (2015). Civic open data at a crossroads: Dominant models and current challenges. Government Information Quarterly, 32(3): 308–315.

Smith, C. F. (2013). Writing public policy: A practical guide to communicating in the policy making process (3rd ed.). Oxford University Press.

Wright, J. D., Donley, A. M., Gualtieri, M. C., & Strickhouser, S. M. (2016). Food deserts: What is the problem? What is the solution? Social Science and Public Policy, 53: 171–181.