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Monographic Section: 7 Diverse Geographies of Rural Ageing Guest Editors: Andrew S. Maclaren, Lorna J. Philip and Mags Currie) Editorial Introduction: 9 Diverse Geographies of Rural Ageing Andrew S. Maclaren, Lorna J. Philip and Mags Currie The Role of Housing and Services in Supporting Healthy 17 Ageing-in-Place: Northern British Columbia, Canada Marleen Morris and Greg Halseth Older people’s experiences of informal care 49 in rural Flanders, Belgium Emma Volckaert, Pascal De Decker and Elise Schillebeeckx Addressing neglected contexts of ageing: 75 The situation in remote northern Australia Heather Gibb Reframing rural governance: 103 gerontocractic expressions of socio-ecological resilience Mary Gearey and Paul Gilchrist The dynamics of rural gentrification 129 and the effects of ageing on gentrified rural places Darren P. Smith, Martin Phillips, Hannah Brooking, Mara Duer and Chloe Kinton Artículos: 159 Rúbrica analítica para el diagnóstico integral 161 del nivel de desarrollo de una comunidad rural Guillermo Salas-Razo y Luis Gibran Juárez-Hernández Employment Diversification in Rural India: 189 Nature, Pattern and Determinants Amandeep Kaur, Akarsh Arora and S.P. Singh El vínculo con los pequeños agricultores como factor clave 227 en la implementación de programas de extensión rural. Estudio cualitativo de un caso chileno Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser octubre 2019

o n .27/octubre 2019 CENTRO DE ESTUDIOS SOBRE LA DESPOBLACIÓN Y DESARROLLO DE ÁREAS RURALES ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies COMITÉ EDITORIAL / EDITORIAL BOARD Editor-Director Javier Esparcia (Geografía y Sociología, Universidad de Valencia, España) Editores asociados / Associate Editors Germán Quaranta (Sociología, CONICET y Universidad Nacional Arturo Jauretche, Argentina) · Luis Manuel Costa Moreno (Geografía, Univ. Lisboa & Sociedade Portuguesa de Estudos Rurais SPER, Portugal) · Damian Maye (Geografía, Univ. of Gloucestershire, UK) · Dolores Camacho (Economía, Univ. Autónoma Nacional de México y Centro de Investigaciones Multidisciplinares sobre Chiapas y la Frontera Sur, México) Comité Editorial / Editorial Board Fabián Almonacid (Historia, Universidad Austral, Chile) · Otavio V. Balsadi (Economía, Empresa Brasileira de Pesquisa Agropecuária, Brasil) · Elisa Botella (Economía e Historia, Universidad de Salamanca, España) · Hurbert Carton de Grammont (Sociología y Economía, Universidad Nacional Autónoma de México, México) · Jaime Escribano (Geografía, Universidad de Valencia, España) · Ewout Frankema (Historia, Wageningen University, Holanda) · Elena Gadea (Sociología, Universidad de Murcia, España) · Keith Halfacree (Geografía, University of Swansea, UK) · Imre Kovach (Sociología – Hungarian Academy of Sciences, Hungría) · Carmen Lozano-Cabedo (Sociología y Antropología, Universidad Nacional de Educación a Distancia, España) · Dionisio Ortiz (Economía, Universidad Politécnica de Valencia, España) · Vicente Pinilla (Economía e Historia, Universidad de Zaragoza, España) · Michaël Pouzenc (Geografía, Université de Toulouse, Francia) · Margarita Rico (Economía, Universidad de Valladolid, España) · Pedro Sánchez (Economía Universidad de Córdoba, España) Secretaría científica Jaime Escribano (Geografía, Universidad de Valencia, España) Secretaría técnica Carlos Serrano (Centro de Estudios sobre la Despoblación y Desarrollo de Áreas Rurales, CEDDAR, España) Consejo Asesor / Editorial Advisory Board Víctor Bretón (Antropología, Universitat de Lleida, España) · Raúl Compés (Economía, Universidad Politécnica de Valencia, España) · Rafael Domínguez (Economía e Historia, Universidad de Cantabria, España) · Arlinda García Coll (Geografía, Universitat de Barcelona, España) · Cristóbal Gómez Benito (Sociología, Universidad Nacional de Educación a Distancia, España) · Manuel González de Molina (Historia, Universidad Pablo de Olavide, Sevilla, España) · Cristóbal Kay (Economía, Institute of Social Studies, Den Haag, Holanda) · Abdearraouf Laajimi (Economía, Instituto Nacional Agronómico, Túnez) · Julio López Laborda (Economía, Universidad de Zaragoza) · Philip McMichael (Sociología, University of Cornell, UK) · Ángel Paniagua (Geografía, Consejo Superior de Investigaciones Científicas, España) · Juan Ignacio Plaza (Geografía, Universidad de Salamanca, España) · Juan José Pujadas (Antropología, Universitat Rovira i Virgili, España) · Jesús G. Regidor (Economía, Universidad Autónoma de Madrid, España) · Antoni Tulla (Geografía, Universitat Autònoma de Barcelona, España) Administración / Administration Centro de Estudios sobre la Despoblación y Desarrollo de Áreas Rurales Calle Moncasi 4, entlo. izda. 50006 Zaragoza. Tel. y fax: (34) 976 372 250. [email protected] ager Revista de Estudios sobre Despoblación y Desarrollo Rural se encuentra incluida en las siguientes bases de datos: Econlit, Geobase, CSA Sociological Abstracts, CAB Abstracts, Dialnet, ISOC, Latindex, Redalyc, Scopus (Elsevier), Abi Inform (Proquest) y CIRC (Clasificación Integrada de Revistas, CSIC) Los índices de impacto IN-RECS (Universidad de Granada) miden el impacto de Ager en las áreas de Economía y Geografía. Ager cuenta con el certificado de Revista Excelente tras haber superado con éxito el proceso de evaluación de la cali - dad de revistas científicas españolas llevado a cabo por la Fundación Española para la Ciencia y la Tecnología (Ministerio de Economía y Competitividad)

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7 Monographic Section: Diverse Geographies of Rural Ageing (Guest Editors: Andrew S. Maclaren, Lorna J. Philip and Mags Currie) 9 Editorial Introduction: Diverse Geographies of Rural Ageing Andrew S. Maclaren, Lorna J. Philip and Mags Currie 17 The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada Marleen Morris and Greg Halseth 49 Older people’s experiences of informal care in rural Flanders, Belgium Emma Volckaert, Pascal De Decker and Elise Schillebeeckx 75 Addressing neglected contexts of ageing: The situation in remote northern Australia Heather Gibb 103 Reframing rural governance: gerontocractic expres - sions of socio-ecological resilience Mary Gearey and Paul Gilchrist 129 The dynamics of rural gentrification and the effects of ageing on gentrified rural places Darren P. Smith, Martin Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

159 Artículos: 161 Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural Guillermo Salas-Razo y Luis Gibran Juárez-Hernández 189 Employment Diversification in Rural India: Nature, Pattern and Determinants Amandeep Kaur, Akarsh Arora and S.P. Singh 227 El vínculo con los pequeños agricultores como factor clave en la implementación de programas de exten - sión rural. Estudio cualitativo de un caso chileno Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser MONOGRAPHIC SECTION: Diverse Geographies of Rural Ageing Guest Editors: Andrew S. Maclaren, Lorna J. Philip and Mags Currie Editorial Introduction: Diverse Geographies of Rural Ageing

Andrew S. Maclaren (* and **), Lorna J. Philip (*) and Mags Currie (**) (*) University of Aberdeen, United Kingdom (**) James Hutton Institute, United Kingdom

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

9-15 Andrew S. Maclaren. ORCID 0000-0001-6185-9167. E-mail: [email protected] Lorna J. Philip. ORCID 0000-0002-4788-2798. E-mail: [email protected] Mags Currie. ORCID 0000-0003-4406-9387. E-mail: [email protected] Diverse Geographies of Rural Ageing

Demographic ageing has come to be one of the defining narratives of the twenty-first century (Skinner, Cloutier and Andrews, 2015; Skinner, Andrews and Cutchin, 2018). It is now well established that, in most Global North contexts, rural communities, spaces and places are ageing faster than urban areas. This is the outcome of a complex interaction between demographic and socio-economic processes that are spatially uneven at local, regional, national and supra-national scales. The consequences of rural demographic ageing are many and varied, with implications for individuals, households, and communities, and for both local and national governments (Davis, Crothers, Grant, Young and Smith, 2012; Doheny and Milbourne, 2017). Rural ageing research has a long history (for overviews see: Hanlon and Skinner, 2016; Skinner and Winterton, 2018). The papers comprising this Special Issue reflect this history but are also illustrative of a growing scholarly interest in rural ageing and geographical perspectives that are increasingly being linked with gerontology and ageing studies (Skinner et al., 2015, 2018). These linkages are becoming known as geographical gerontology, the body of work engaged with the spatial dimensions of ageing, old age and older populations (Skinner et al., 2018). Based on contributions made by researchers at the XXVII Congress of the European Society for Rural Sociology (2017) and the 2018 Nordic Ruralities Conference, this Special Issue brings together a collection of papers that report Andrew Andrew S. Maclaren, Lorna J. Philip and Mags Currie

11 findings from recently concluded and ongoing research conducted in Belgium, England, Canada and Australia. The first two contributions are concerned with how healthy ageing in place can be fostered in rural areas witnessing demographic ageing. Morris and Halseth’s paper is primarily concerned with rural housing. Volckaert, De Decker and Schillebeeckx consider the importance of service provision and informal care as facilitators of ageing in situ. Combined these papers illustrate how local housing and labour markets can create contexts that may not be conducive to sustaining a good quality of life for older adults who chose to age in place. They also identify the importance of local services and facilities, including the accessibility of formal and informal care, to creating an environment within which an ageing rural population can achieve a good quality of life without having to relocate. Morris and Halseth draw upon work undertaken in British Columbia, Canada, the Northern BC Housing Study. This paper focuses on an illustrative case study, 100 Mile House, a town in the resource frontier region of North America. Here the legacy of in-migration of a working age population in the 1950s – 1970s followed by a decline in the industries that attracted workers thereafter has created a community populated by individuals who have aged in situ. Some areas are attracting retirement or amenity migrants, but the overall demographic picture is one of demographically ageing communities. Local housing markets are dominated by properties that were designed for families, commonly with accommodation spread over multiple levels. Residential housing is of an age where renovations and upgrades are required, including a need to make homes more energy efficient. Attending to this work is costly and beyond the financial reach of many retired occupants. Few affordable and appropriately configured alternatives exist within local housing markets to cater for the housing needs of an ageing population. Facilitating the development of a more age-appropriate housing stock is, as recounted in the paper, not without its challenges but without more suitable housing units becoming available rural communities will struggle to support those who wish to age in place. Based on research conducted in two different types of rural area – work rich and work poor - in Flanders, Belgium, the contribution from Volckaert, De Decker and Schillebeeckx also highlights a lack of age appropriate housing in rural contexts. However, the focus of their paper is how informal care contributes to the quality of life of older rural populations in work rich and work poor areas. Provided by adult children and neighbours, informal care such as lift giving or doing the grocery shopping can be enough to allow older adults to remain living independently in their own home. In work-poor rural areas especially, older adults are increasingly unlikely Editorial Introduction: Diverse Geographies of Rural Ageing

12 to have an adult child living close by who can undertake informal care activities on a regular basis. Older adults who live in isolated dwellings, without immediate neighbours, or those who live in communities where the levels of social cohesion envisaged in stereotypical representations of rural life no longer exist are also unlikely to have regular, informal support offered to them and in consequence may struggle to age in place. The findings from this paper thus highlight how important it is to understand the environmental milieu older adults live in, especially in a political context that supports the transfer of welfare state institutional activity to individuals and their communities. The third paper is Gibb’s contribution which considers remote areas within the Northern Territory, Australia. It examines the type of health and social care that is available and the experiences of both aboriginal and white groups in making use of these services. Gibb reports that a variety of factors inhibit successful and appropriate ageing in place, with the implementation of health and social care systems that are not fit for purpose being a particular concern. Her paper highlights the ways in which many solutions to delivering services required by an ageing population are designed with urban communities in mind (a point also made by Volckaert et al.) and she advocates adopting place-based approaches to co-produce models of service provision that are fit for purpose in remote rural areas and that will meet the needs of different groups within those communities. The paper highlights the ways in which local communities have attempted to fill in gaps that traditional models of service provision have failed to meet and thus provides examples that could be adopted by other communities facing similar challenges. The final two Special Issue papers report findings from research that was conducted in England. Gearey and Gilchrist’s paper explores the civic roles played by older people and the ways in which they contribute to supporting rural governance structures and processes. Previous work (c.f. Davies, Lockstone-Binney and Holmes, 2018; Munoz, Farmer, Warburton and Hall, 2014) has highlighted the contribution that older people make by volunteering in rural communities and this paper adds to these debates by highlighting that older people are often critical to the successful governance of rural communities. Gearey and Gilchrist suggest pivotal engagements by older residents can be understood as performances of resilience and as being illustrative of a rural gerontocracy becoming a prominent feature in contemporary rural society. The paper clearly positions older people as important assets to and within rural communities, in stark contrast to frequently voiced standpoints that position (rural) demographic ageing as a problem society needs to address. Andrew Andrew S. Maclaren, Lorna J. Philip and Mags Currie

13 In the final contribution to the Special Issue, Smith, Phillips, Brooking, Duer and Kinton build on their existing influential work on rural gentrification to argue that ageing is and should be of concern within studies of rural gentrification. They suggest that research to date which has gentrification associated with early to mid-phases of the life course should now be complimented with studies that explicitly acknowledge older adults. Smith et al. argue that, by widening the lens on gentrifier populations in rural areas, more can be learnt about processes and issues associated with rural gentrification. For example, what are the experiences of those who have aged in place while gentrification has happened ‘around them’? Has the quality of life of these who remain been compromised by young people brought up in the area being priced out of the local housing market, displaced by gentrification? What is the long term impact on rural demographic profiles and housing markets as successive ‘waves’ of gentrification flow through rural places? The five papers that comprise this Special Issue all speak to themes that illustrate the diverse geographies of rural ageing. They showcase work undertaken by researchers that is developing the emerging field of geographical gerontology. They also serve as a reminder that understanding diverse lived experiences and appreciating how different spatial contexts create and reproduce ways in which ageing in rural areas unfolds for individuals and communities will become increasingly important as demographic ageing becomes even more pronounced in nations across the world.

References

Davis, S., Crothers, N., Grant, J., Young, S., and Smith, K. (2012). Being involved in the country: Productive ageing in different types of rural communities. Journal of Rural Studies, (28:4), 338-346. https://doi.org/10.1016/j.jrurstud.2012.01.008 Davies, A., Lockstone-Binney, L., and Holmes, K. (2018). Who are the future volunteers in rural places? Understanding the demographic background characteristics of non-retired rural volunteers, why they volunteer and their future migration intentions. Journal of Rural Studies, (60), 167-175. https://doi.org/10.1016/j.jrurstud.2018.04.003 Doheny, S., and Milbourne, P. (2017). Community, rurality, and older people: Critically comparing older people’s experiences across different rural communities. Journal of Rural Studies, (50), 129-138. https://doi.org/10.1016/j.jrurstud.2016.12.003 Hanlon, N., and Skinner, M. W. (2016). Towards new rural ageing futures. In M. W. Skinner and N. Hanlon (Eds.), Ageing Resource Communities: New Frontiers of rural population change, community development and voluntarism (pp. 206-212). Abingdon: Routledge. Editorial Introduction: Diverse Geographies of Rural Ageing

14 Munoz, S., Farmer, J., Warburton, J., and Hall, J. (2014). Involving rural older people in service co-production: Is there an untapped pool of potential participants? Journal of Rural Studies, (34), 212-222. https://doi.org/10.1016/j.jrurstud.2014.02.001 Skinner, M. W., Cloutier, D., and Andrews, G. J. (2015). Geographies of ageing: Progress and possibilities after two decades of change. Progress in Human Geography, (39:6), 776-799. https://doi.org/10.1177/0309132514558444 Skinner, M. W., Andrews, G. J., and Cutchin, M. P. (2018). Introducing geographical gerontology. In M. W. Skinner, G. J. Andrews, and M. P. Cutchin (Eds.), Geographical Gerontology: Perspectives, Concepts, Approaches (pp. 3-10). Abingdon & New York: Routledge. Skinner, M. W. and Winterton, R. (2018). Rural ageing: contested spaces, dynamic spaces. In M. W. Skinner, G. J. Andrews, and M. P. Cutchin (Eds.), Geographical Gerontology: Perspectives, Concepts, Approaches (pp. 136-148). Abingdon & New York: Routledge. Andrew Andrew S. Maclaren, Lorna J. Philip and Mags Currie

15 The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

Marleen Morris and Greg Halseth University of Northern British Columbia, Canada

DOI: 10.4422/ager.2019.09

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 17-47 The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

Abstract: Rural ageing is a common process across Northern Europe, the Scandinavian countries, and across OECD states more generally. In rural Canada, this demographic process has been accelerated by the phenomena of resource frontier ageing; the result of a combination of youth out-migration, workforce ageing-in-place, and the long-term lack of new job growth to attract young working households. In this paper, we look at the critical issue of housing in northern British Columbia (BC), Canada, as a vital part of healthy ageing and quality-of-life for older residents. We start with an overview of the important policy shifts that have impacted housing investment, the processes which have accelerated population ageing, and the match/mismatch of the existing housing stock with new demographic realities. The findings highlight that the processes of economic upswings and downturns so common in resource-dependent rural and small town places has had a significant impact not only on patterns of demographic change, but also on the nature of the existing housing stock and on the capacity of that stock to meet the needs of the local population into the future. In our case study community, the housing stock is generally old, larger than required by current households, and in need of repair or updating. These findings mirror resource region housing studies elsewhere. Updating this stock needs focus specifically upon accessibility within the dwelling unit for the growing demographic of older residents and on energy efficiency to reduce house operating costs for retired people living on low or fixed incomes. There are also unmet housing needs in terms of smaller, accessible housing for people wishing to downsize and there is a lack of support services to help keep older people in their own homes longer. The research points to the need for both housing investment and revisions to public policy.

Keywords: British Columbia, rural, resource frontier communities, ageing, housing.

El papel de la vivienda y los servicios como soportes de envejecimiento saludable en el lugar: Norte de la Columbia Británica, Canada

Resumen: El envejecimiento rural es un proceso común en el norte de Europa, los países escandinavos y en todos los estados de la OCDE en general. En las zonas rurales de Canadá, este proceso demográfico se ha acelerado por el fenómeno del envejecimiento de la frontera de recursos; el resultado de una combinación de emigración de los jóvenes, envejecimiento de la fuerza laboral en el lugar y la falta a largo plazo de creación de nuevos empleos que atraigan a trabajadores jóvenes residentes. En este documento, analizamos el tema crítico de la vivienda en el norte de Columbia Británica, Canadá, como una parte vital del envejecimiento saludable y la calidad de vida de los residentes mayores. Comenzamos con una descripción general de los importantes cambios de política que han condicionado la inversión en vivienda, los procesos que han acelerado el envejecimiento de la población y la coincidencia/desajuste del stock de viviendas existente con las nuevas realidades demográficas. Las conclusiones destacan que los procesos de aumentos y recesiones económicas tan comunes en los lugares rurales y pequeños pueblos que dependen de los recursos han tenido un impacto significativo no solo en los patrones de cambio demográfico, sino también en la naturaleza del stock de viviendas existente y en la capacidad de ese stock para satisfacer las necesidades de la población local en el futuro. En nuestra comunidad de estudio de caso, el inventario de viviendas es habitualmente antiguo, mayor que el requerido por los hogares actuales y necesita reparación o actualización. Estas conclusiones reflejan los estudios de vivienda de la región de recursos en otros lugares. La actualización de este stock debe centrarse específicamente en la accesibilidad dentro de la unidad de vivienda para la creciente población de residentes mayores y en la eficiencia energética para reducir los costos operativos de la vivienda para las personas jubiladas que viven con ingresos bajos o fijos. También hay necesidades de vivienda insatisfechas en términos de viviendas más pequeñas y accesibles para las personas que desean reducir el tamaño y hay una falta de servicios de apoyo para ayudar a mantener a las personas mayores en sus propios hogares por más tiempo. La investigación señala la necesidad de inversión en vivienda y de revisión en las políticas públicas.

Palabras clave: Columbia Británica, rural, comunidades en frontera de recursos, envejecimiento, vivienda.

Received: 23rd May 2019 Accepted: 14th July 2019

How to cite this paper: Morris, M., and Halseth, G. (2019). The Role of Housing and Services in Supporting Healthy Ageing- in-Place: Northern British Columbia, Canada. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 17-47. DOI: 10.4422/ager.2019.09

Marleen Morris. ORCID: 0000-0001-8315-5929. E-mail: [email protected] Greg Halseth. ORCID: 0000-0003-0114-2601. E-mail: [email protected] Introduction

Rural ageing is a common process across Northern Europe, the Scandinavian countries, and across OECD (Organization for Economic Cooperation and Development) states more generally. In rural Canada, the phenomena of resource frontier ageing has accelerated such demographic processes through a combination of youth out-migration, workforce ageing-in-place, and a long-term lack of new job growth to attract young working households. In this paper, we look at the critical issue of housing in northern British Columbia (BC), Canada, as a vital part of healthy ageing and quality-of-life for older residents. The provision of housing that is accessible, suitable, and affordable for older residents is a challenge in many northern Canadian communities given that much of the existing stock is older and, therefore, designed and built for a younger demographic. Yet, for older residents, it is housing, whether they age-in-place in their existing home or choose to move to alternative, often smaller accommodation in their retirement years, that is both a facilitating and limiting factor in healthy ageing specifically and in community and economic development more generally. The paper begins with an overview of the important policy shifts that have impacted housing investment – especially the shift from a Keynesian public policy framework to a Neoliberal public policy framework. We then review the processes that have impacted and accelerated population ageing in rural and resource-dependent Marleen Morris and Greg Halseth

19 northern communities. From this foundation, we then examine the match/mismatch of the existing housing stock within such communities with new demographic realities by drawing upon data from a research project carried out in 2016. We finish by discussing how one community is responding to the housing needs of its ageing population.

Background

This section sets a context for the case study. The issues of demographic change and population ageing in resource-dependent rural and small town communities of developed economies are important and well described topics in various literatures. They also remain topics of interest and attention for policy makers and the communities experiencing the impacts of population change. Before describing how population change is acting out in the specific context of northern BC, we first review the shifting policy context within which the responses to population change, and specifically to population ageing, occur.

Policy Shift

The post-war development of resource-frontier regions in many developed countries was very much a state driven process as jurisdictions looked to rebuild war- shattered economies and to take advantage of opportunities in the new industrial economy (Halseth, 2017). This state driven context followed a Keynesian public policy framework. While its central tenets support state intervention in the market to control excesses and thus smooth some of the dramatic fluctuations that can occur in an economy, a Keynesian public policy framework also recognized that government intervention through major investment and infrastructure projects, can stimulate wider economic activity and lead to job growth. The case of BC’s post-war industrial resource policy followed two key Keynesian public policy imperatives: to directly stimulate employment by supporting new economic activities, and to support that economic activity through investments in needed social and physical infrastructure. BC’s Post-War Rehabilitation Council drew upon this inspiration to support its recommendation for government action: The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

20 It rejected a policy of ‘laissez-faire for one of intelligent, positive action’…. Such intelligent and positive action required actions that are planned, coordinated, and conducted in cooperation with the other sectors of society and other government authorities (Markey, Halseth and Manson, 2012, p. 99). Such purposeful government leadership, policy coordination, and direct investment is also found in other national settings. For example, Tykkyläinen, Vatanen, Halonen and Kotilainen (2017) write about the Finnish case where state investments in critical transportation and service infrastructure were needed to support industrial access to northern resources – especially the expansion of industrial forestry. In New South Wales, Australia, Argent (2017) writes about how development of the agricultural sector not only required direct state investment in infrastructure, but also required significant attention to employment and labour policy. In southern New Zealand, Connelly and Nel (2017) similarly highlight the role of state infrastructure investment and supportive public policy in the post-war expansion of the agricultural and coal mining sectors. Collectively, a Keynesian public policy framework in the post-war period supported overt state guidance of rural resource development. In many states, this included aggressive northern expansion of development in resource-frontier regions; often with little regard for the Indigenous and Aboriginal peoples whose homes and lands these were (Harris, 2002; Mikaelson, 2015; Pedersen, 2015; Shadrin, 2015). The framework was extensive in that not only did state policy support or lead new development, but wrap-around state investments in infrastructure, services, housing, planning, and a host of other community and economic development supports were made. This was a purposeful deployment of government policy and resources to support a vision of industrial resource exploitation (Williston and Keller, 1997). Beginning in the late 1970s and 1980s, and spurred by a global economic recession, a reactionary policy movement began to displace the Keynesian public policy framework. Today, a Neoliberal public policy framework focuses on a reduction of state intervention, a wider dismantling of the welfare state, the privatization of state activities, and a general deregulation of market processes and business oversight. As described by Tennberg et al. (2014, p. 42), advocates argue, “the role of the neoliberal state is to secure proper conditions for markets to function”. In terms of the delivery of public services or infrastructure investments, Neoliberalism generally “holds that the social good will be maximized by maximizing the reach and frequency of market transactions, and it seeks to bring all human action into the domain of the market” (Harvey, 2005, p. 3). The result of this deferral to Marleen Morris and Greg Halseth

21 market decision-making for rural and small town places (Swarts, 2013) has been 30 years of declining infrastructure investments and reduced levels of service delivery compared to the earlier Keynesian public policy framework. These reductions have accrued to rural and small town places because market mechanisms dictate that urban centers show the greatest opportunity for private sector profit making and /or the lowest delivery costs per capita in comparison (Sullivan, Ryser, and Halseth, 2014). This geographic bias has impacted upon the capacity of rural and small town places in their efforts to respond to pressures and changes in the global economy and to transition to more sustainable and resilient communities adapted to the social, political, demographic, and economic realities of the early 21st Century (Dewees, Lobao and Swanson, 2003). The recent (2008 +) global economic recession again highlighted a crisis in the dominant policy framework. The inherent contradictions of the Neoliberal public policy framework worked to create just the catastrophic economic collapse that a Keynesian approach had worked to avoid. The decade since the recession began has borne witness to a diverse range of policy responses in Canada and elsewhere. The dominant response remains a Neoliberal one – with advocates calling for even more freedom for markets, more privatization of state activities, less regulation of day-to- day activities of businesses and industries, etc. At the same time, regions that have suffered dramatically from industrial or economic collapse have been supported, through massive state investments aimed at stabilizing short-term employment, to ameliorate immediate concerns. Similarly, many private sector interests whose decision-making had led to the brink of collapse were bailed out and/or supported through massive infusions of public capital. In some states, these infusions of public capital have also included a ‘re-nationalization’ of some economic actors. As yet, there is no clear direction as to what the ‘next’ policy framework will be; instead, there is a level of policy incoherence at any given moment, and in any given place. Halseth and Ryser (2018) refer to this more recent period as one of ‘reactionary incoherence’, whereby there is a chaotic and often uncoordinated deployment of state policy and support. For resource-dependent rural and small town places, these policy actions remain reactive, targeted only to immediate needs, and fail to invest in ways that strategically re-position or re-equip places and regions for transformation and competitiveness. While communities may be working to re-position established economies or develop new economic opportunities, senior governments often are not providing the types of top-down supportive policy environments that are needed. The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

22 Population Ageing

People and households in resource-dependent rural and small town places are impacted by the long-term trends associated with economic, social, and policy restructuring. Together, these have influenced the demographic structure of these places – most especially the processes linked with demographic ageing. Single industry and resource-dependent places in the hinterlands of developed economies have a rather distinct population story. While there are differences between states, the post-war expansion of resource development into rural and remote areas worked to create large numbers of new jobs. Workers took up these resource industry jobs, and buoyed by good paying jobs through the long-boom economic cycle, they settled in these small communities and raised their families. Under this model, resource town design and investments were all geared to a young demographic of families with large numbers of children. With few older residents, attention focused on infrastructure such as playgrounds and schools. As the post-war industrial resource model moved forward in time, investments and expansion slowed as the industries increased their efforts over time to be more efficient and profitable. Job growth gave way to either job stability, or job losses (either absolute or per unit of production). As described by Hanlon and Halseth (2005) the impacts of economic restructuring supported a new process of ‘resource frontier ageing’. This involves several reinforcing trends. First, the existing resource industry workforce begins to age-in-place. Union protections ensured that as job losses arose due to a substitution of capital for labour, it was the more recently hired younger workers who were let go. At the same time, the lack of new job creation meant that young people left the community to pursue outside educational or employment opportunities. Recent studies in Canada (Halseth, Ryser and Markey, 2017) and Finland (Kotilainen, Halonen, Vatanen and Tykkyläinen, 2017), for example, each highlight the hollowing out of the younger age groups in rural or remote resource industry towns that also show little or no in-migration.

Housing

The historical pattern of in-migration followed by resource frontier ageing creates a unique set of challenges for individuals and small communities. With our focus on population ageing and housing, several issues are critical. First, as older workers transition into their retirement years attention to housing is one of the critical issues in Marleen Morris and Greg Halseth

23 helping them decide whether to stay in their resource town after retirement or to relocate. While strong social and friendship networks may help to hold retirees in these communities (Ryser and Halseth, 2011), a range of services to support healthy ageing (including health care, home care, home maintenance, and access to retail, recreation, and the like) both within and outside the dwelling will also be required. Housing plays in important role in the support of healthy ageing-in-place. It does so by supporting many of the basic daily needs of households. These include providing shelter and supporting physical activity. Housing also provides a locational and personal framework for social inclusion and interaction. It can support and reinforce friendship and family networks – it is the site for many of these interactions. Housing also provides a very real and tangible connection to place and community; it can support a sense of belonging and a sense of place. Finally, home ownership provides households with one of the key aspects of their financial security by reducing long term housing costs and supporting the accumulation of capital that can be released if the property is sold. As the typical mix of resource town housing was originally built for younger households, there are issues in the housing stock for older residents. Stairs at the entrances and within houses, and the need for considerable routine maintenance and upkeep of both the interior and exterior of the house, can become considerable burdens as people age. Older housing is not built to contemporary expectations around insulation and energy efficiency – making it expensive to operate on reduced retirement incomes. Retrofitting may be possible, but it can also be expensive depending on the original quality and design of the buildings. Finally, resource frontier towns also typically have a very limited supply of housing built and designed specifically for seniors – especially limited is housing that they may seek to move into as their mobility decreases or their need for care increases. In addition to housing, there are questions connected with whether the community is generally ‘age friendly’. Does the town design include attention to sidewalk and wheelchair accessibility? Are public buildings, shopping areas, and recreation facilities designed for older people and those with mobility constraints? Depending on past investments by state and local governments, resource-dependent rural and small town places may or may not be ready for population ageing (Skinner and Hanlon, 2016). If all of the elements associated with housing and population ageing were not already complicated enough, a second issue is that the retirement of large numbers of first generation resource industry workers is now creating new job openings for younger workers. In this case, there are significant recruitment issues around whether The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

24 the jobs, community services and infrastructure, and especially the housing options, are attractive to the current generation of young workers and their families. As Markey et al. summarized, these next generation workforces are no longer:

bound by a primary concern over wages and jobs, young people are searching for quality of life, clean environments, and good places where they can raise children and achieve a balance between their work and life spheres. They want to live in places where they can make a difference, every day, on a human and community level, while at the same time remaining ‘plugged into’ the global communications world. (Markey et al., 2012, p. 291)

Taken together, population ageing and shifting public policy approaches create opportunities and challenges for rural and small town places. As a Neoliberal public policy framework provides the opportunity for small places to be more entrepreneurial and innovative in their investments and actions, there are transitions in the housing stock, services, and other amenities that can be made to both hold retirees and attract the next generation workforce. That same public policy framework, however, has underinvested in basic infrastructure and services, and provides limited on-going top- down policy supports, which are needed to realize many of these local initiatives and innovations (Halseth and Ryser, 2018). How these act out in our case study community follows below.

Case Study

This section introduces and reviews our case study looking at the role of housing in supporting healthy ageing-in-place. The specific case study is from 100 Mile House, and it builds upon a larger Northern BC Housing Study completed in 2016 (Community Development Institute, 2016a).

The Northern BC Housing Study

In order to identify and better understand the trends, opportunities, and challenges influencing housing demand and supply in northern BC, in 2016 the Community Development Institute (CDI) at the University of Northern British Columbia (UNBC) undertook the Northern BC Housing Study. The study provided Marleen Morris and Greg Halseth

25 information to raise awareness of housing needs and opportunities in northern BC communities. The study looked at 10 communities, and each was profiled across its current population, its past and future population trends, the existing housing stock, and local real estate market trends. The communities selected for the study are all expected to experience a significant degree of demographic change, including population ageing, over the coming decade. The communities in the study were 100 Mile House (2016 population 1,980), Dawson Creek (2016 population 12,178), Fort St. John (2016 population 20,155), Kitimat (2016 population 8,131), Prince George (2016 population 74,003), Prince Rupert (2016 population 12,220), Quesnel (2016 population 9,879), Smithers (2016 population 5,401), Terrace (2016 population 11,643), and Williams Lake (2016 population 10,753). For each community, a range of population and housing data was collected (Table 1).

Table 1: Northern BC Housing Study Data (Community Development Institute, 2016a)

Population data: Age (1981, 2001, 2011, 2026, 2036) Gender (1981, 2001, 2011, 2026, 2036) Household size (2001 and 2011) Household structure (2001 and 2011) Income distribution (2011) Prevalence of low income (2011) Housing affordability (renters and homeowners) Housing data: Dwelling type (2001 and 2011) Age of the housing stock (2011) Condition of the housing stock (2011) Housing tenure (2001 and 2011) Tenure by dwelling type (2001 and 2011) Number of subsidized housing units (2011) Number of residential building permits issued by dwelling type (selected years) Development costs for single-family and multi-family housing (selected years) Average house sale price (past 5 years) Number of houses sold (past 5 years) Number of properties for sale (past 5 years) The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

26 This article highlights the community of 100 Mile House as a case study. While each of the profiled communities in the study showed similar trends and attributes with respect to demographic change and the housing stock/housing market profile, 100 Mile House was chosen as our focus because it is ‘ahead of the curve’ in rural and northern BC in terms of population ageing. It also has a number of local groups actively engaged with addressing the emerging mismatch between population and housing in the community.

Case Study: 100 Mile House, BC

100 Mile House is located in south-central BC, halfway between Vancouver and Prince George (Figure 1). Its origins date back to the Cariboo Gold Rush of the early 1860s, when the community, then known as Bridge Creek House, was a stop for travelers on the way to the gold rush community of Barkerville. Its distance of 100 miles along the gold rush trail from the original trailhead at the town of Lillooet spawned the name that the town still holds. Today, 100 Mile House is the service centre for the South Cariboo region. Its economy is based primarily on forestry, agriculture (mainly cattle ranching and hay cropping), and highway commercial/tourism traffic. From the 1950s to the 1970s, these industries were strong and growing; however, forestry and agriculture have experienced an overall decline since the 1980s. For forestry, the decline has been due primarily to increasing competition in global markets, the softwood lumber tariff placed on Canadian forest products by the United States Government, and the increasing use of technology to replace workers in wood manufacturing. This has resulted in overall job losses in the sector. For agriculture, the issue has been primarily one of economies of scale. Smaller producers, finding it difficult to remain sustainable, have given way to large-scale agricultural production. This, too, has resulted in reduced employment in the sector. The region around 100 Mile House is known for its many recreational lakes. The area has long been used as a summer retreat for people from the Greater Vancouver metropolitan area. Cottages, cabins, and second homes have been popular in the region since the 1950s. In recent years, the region has seen an influx of young retirees who are moving up from BC’s metropolitan areas to occupy their vacation property on a full-time basis. Most of these new full-time residents sold their homes in higher- priced urban housing markets and are using the proceeds to finance their retirement. Marleen Morris and Greg Halseth

27 Another group of recreational lakefront and rural property migrants are ‘amenity migrants’ – also tending to be older but tied into the economy and workforce by the internet and airline connectivity. The population of 100 Mile House in 2016 was 1,980 (Table 2). This is its highest level since 1981. The population of the daily work commuting area surrounding 100 Mile House was 11,313 in 2016.

Figure 1: Map of British Columbia Showing 100 Mile House (credit: Kyle Kusch)

Table 2: 100 Mile House - Population Change (Statistics Canada, 1981, 1986, 1991, 1996, 2001, 2006, 2011, 2016)

Year 1981 1986 1991 1996 2001 2006 2011 2016 Population 1920 1692 1865 1850 1740 1885 1885 1980 % change over -11.9 10.2 -0.8 -5.9 8.3 0.0 5.0 previous 5 yrs. The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

28 It is important to situate 100 Mile House in the context of rural and resource town restructuring. In BC, rural and resource-dependent towns developed their current form and economic orientation as a result of deliberate post-World War Two provincial government policy (Williston and Keller, 1997). This policy was aimed at exploiting the province’s rich natural resource base and exporting minimally processed raw commodities to the industrial heart of the United States (and later other developed economies, especially Japan) (Markey et al., 2012). Towns were either purposefully developed (the so-called ‘instant towns’) or they grew around existing small population nodes – 100 Mile House is the latter. In the case of 100 Mile House, the natural resource was the forest landscape and the town grew as new and large sawmills were built. This created a high wage and high employment economy that attracted workers and grew to dominate the region’s economy. As with other natural resource dependent rural and small town regions across OECD states that grew out of similar post-war policy initiatives, the 100 Mile House region enjoyed close to 30 years of growth and prosperity. But like those other regions, the global economic recession of the early 1980s forever changed the international trading landscape for natural resource commodities (Argent, 2017; Connelly and Nel, 2017; Nel, 2015; Reed, 2003; Tykkyläinen et al., 2017). Since that time, all such regions have experienced increasing fluctuation in the prices achieved and demands for their product and local resource industries have either closed, consolidated, or engaged in aggressive cost minimization through automation (Halseth and Ryser, 2018). The net result has been job losses and population declines. These processes have acted out in 100 Mile House such that the community has been working on economic diversification efforts for most of the past three decades. The impact of these economic restructuring pressures on the 100 Mile House housing market has been significant. The development ‘boom’ of the 1960s and 1970s meant that large numbers of housing units were added to meet the needs of incoming workers. The timing of that growth meant the housing was tailored for the ‘baby boom’ household and modeled after the large-lot, single detached-family home suburban landscapes that were the norm for the period (Jackson, 1985). The end of that development boom, and the stagnation that followed, meant that little new housing was built. It also meant that the local population aged-in-place through the ‘resource frontier ageing’ process described above (Hanlon, Skinner, Joseph, Ryser, and Halseth, 2014; Skinner and Hanlon, 2016). Today’s housing market in 100 Mile House resembles that found across many small communities in northern BC. There is a high level of homeownership (over 75 %), and house prices have remained static. The average selling price for a single-detached Marleen Morris and Greg Halseth

29 home has averaged between $200,000 and $250,000 (Canadian dollars) since 2011. These prices are on par with other communities through the central interior of the province. In terms of the stock itself, more than 55 % is at least 35 years old, and 1 in 10 homes was reported in the last national census as being in need of major repair. From 2016-2018, a total of 25 residential building permits were issued; 24 for single- detached dwellings and 1 for a multi-unit building comprised of 4 units. One difference from other communities in northern BC is that while single-detached dwellings are the most common form of housing, they account for just under half of the housing stock. Recent additions (described below) to address housing needs for seniors have played a role in diversifying the local housing stock. Looking forward, there has been an increase since 2016 in the number of residential property transactions in the community.

Population The structure of the population in 100 Mile House reflects the historical development and current state of the region’s economy. From the 1950s to the 1980s, jobs in forestry and agriculture attracted young workers and their families. The population during this period was dominated by people in the family formation years. As reflected in the 1981 population pyramid (Figure 2a), many of these families were raising young children at the time. This population profile mirrors that found in the expanding resource frontier regions of the time in many OECD states. By 2011, there had been a dramatic change in the structure of the population (Figure 2b). The majority of the population is now over 50 years of age, and the fastest growing segments of the population are in the 65+ age groups. This can be attributed to general population ageing and the dynamics of resource frontier ageing that here involved significant job losses in the forest industry and youth out-migration. As reflected in the 2011 population pyramid, the older age cohorts are strongly dominated by women. This gendered outcome is a reflection of the generally longer life expectancy of women in Canada. Whether they are recent amenity or retirement migrants to the community or have lived in 100 Mile House for decades, women in this community are outliving their spouses. Again, this demographic transition reflects the types of changes that are also experienced in the rural and small town resource- frontier regions of states such as Finland, Sweden, Norway, New Zealand, and Australia. The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

30 Figure 2: a) 100 Mile House Population Pyramid, 1981 (Statistics Canada, 1981)

b) 100 Mile House Population Pyramid, 2011 (Statistics Canada, 2011)

Population projections for the 100 Mile House Local Health Area predict that the population aged 65+ will grow by 72 % by 2026 and 59 % by 2036 (Community Development Institute, 2016b). In 100 Mile House itself, the population 75+ is forecast to increase 158 % by 2026, while the population 85+ is forecast to increase 525 % by 2026 (from 195 to 1,023). The large scale of these projected increases also reflect that Marleen Morris and Greg Halseth

31 historically these older age cohort populations were very small – something that reinforces the point that these communities lack the experience and infrastructure for this older population. The increase in the older age cohorts raises critical issues with respect to the housing stock and its fit with the needs and capacities of the local population. Not surprisingly, given local population ageing, there has been a major shift in household size (Table 3). In 1981, one and two-person households comprised 49 % of the population. By 2016, that had increased to 77 %. This can be attributed to the increase in older ‘empty nest’ households. At the same time, 100 Mile House experienced a decline in the number of four and more person households, from 32 % in 1981 to 11 % in 2016. That much of the housing stock in 100 Mile House was built for the large 4+ person baby boom household foreshadows a challenge around overbuilt housing.

Table 3: 100 Mile House - Household Size (Statistics Canada, 1991, 1996, 2001, 2006, 2011, 2016)

1991 1996 2001 2006 2011 2016 # Total Households 740 795 770 810 830 890 1 person 220 250 295 300 300 350 2 persons 225 290 265 285 310 340 3 persons 120 105 80 115 105 105 4 or more persons 170 150 130 115 115 95

% Total Households 100.0 100.0 100.0 100.0 100.0 100.0 1 person 29.7 29.4 38.3 37.0 36.1 39.3 2 persons 30.4 34.1 34.4 35.2 37.3 38.2 3 persons 16.2 12.4 10.4 14.2 12.7 11.8 4 or more persons 23.0 17.6 16.9 14.2 13.9 10.7

Housing Stock The Northern BC Housing Study profiled the housing stock in its 10 sample communities in order to provide insight into its suitability for the existing and projected population. As might be expected, the housing stock in 100 Mile House in 1991 consisted The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

32 mainly of single-family detached houses (48 %) – perfect for the town’s young and growing families of the time (Table 4). Apartments comprised less than 30 % of the housing stock. When the discussion turns from type of dwelling to size of dwelling, we looked specifically at the average number of rooms per dwelling to better link to household sizes. In 1981, the average number of rooms per dwelling was 5.7 rooms. While the increasing seniors’ population might suggest that apartments or semi-detached dwellings might become more prevalent over time, the opposite has happened. By 2016, the proportion of single-family detached homes in 100 Mile House increased to close to 60 %, while the proportion of apartments decreased to below 20 % (Table 4). This was somewhat offset by an increase of approximately 5 % in semi-detached homes. Turning again from type of dwelling to size of dwelling, we find that in 2016 the average number of rooms per dwelling had actually increased to 5.9 rooms. In terms of number of bedrooms, in 2016 22 % of the housing stock consisted of four or more bedroom dwellings, while 48 % consisted of one or two- bedroom dwellings. A small number of newly constructed dwellings has supplemented the legacy of the past built environment in recent years; however, the new dwellings appear to have followed the old style of large single-detached houses rather than taking up the emergent opportunities to build smaller units better suited to smaller, older households.

Table 4: Occupied private dwellings, by type (Statistics Canada, 1991, 1996, 2001, 2006, 2011, 2016)

% Change % Change 1991 1996 2001 2006 2011 2016 2011-2016 1991-2016 Total 735 800 770 810 830 890 7.2 21.1 Single-detached 350 395 375 365 380 420 10.5 20.0 Semi-detached 45 40 60 60 70 65 -7.1 44.4 Row 45 50 90 105 100 110 10.0 144.4 Apt, detached duplex 15 10 5 20 5 15 200.0 0.0 Apt, less than 5 storeys 185 180 140 165 165 170 3.0 -8.1 Other single attached 20 15 5 - 5 5 0.0 -75.0 Movable dwelling 70 105 105 95 110 105 -4.5 50.0 Marleen Morris and Greg Halseth

33 The Northern BC Housing Study also looked at the age of the housing stock. Age is an important consideration given the construction standards and housing designs that were prevalent in northern BC before 1980. In Canada, concerns about energy efficiency in housing only emerged after 1975. As a result, homes built before this time are generally costly to heat in winter, which has an impact on housing affordability for people with low incomes. Housing design is another important consideration. One of the most popular single-family home designs of the 1960s and 1970s was the ‘split-level’, where the main entry is a small landing with seven steps up and seven steps down to the main living areas. While this design may have been functional for a young family, it is problematic for people with mobility challenges. Finally, the age of the housing stock is also a consideration because the older that a home is, the more likely it is to be in need of major and expensive repairs. In 100 Mile House, 62 % of the housing stock was built in 1980 or before, while only 38 % was built after 1980 (and only 9 % was built after 2001). In communities across northern BC, it is not uncommon for the majority of their local housing stock to have been built in the late 1960s and early 1970s coincident with a period of rapid growth and expansion of the BC forestry sector. Because of this age profile in the 100 Mile House and surrounding region, about one in ten homes was reported as being in need of major repairs. As found in other rural and small town regions whose resource industries have struggled since the 1980s, the lack of demand in the housing market has meant little overall new investment and little experimentation by builders and developers with new housing that would target emerging market segments – such as smaller sized units for young households with no children, or small and accessible- design units for older households relocating to the community or downsizing their housing within the community.

Housing and Population

When we bring population, specifically household size, information together with information on the housing stock, a mismatch is identified. In 2016, while 22 % of the local housing stock was comprised of four or more bedroom dwellings, under 11 % of the local population was comprised of four or more person households. In contrast, while 48 % of the housing stock was comprised of dwellings with one or two bedrooms, nearly 78 % of the local population was now comprised of one or two person households. While much of the housing stock has remained static, and targeted towards larger households, the demographic dynamic of population ageing has greatly reduced the numbers of large households. The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

34 Figure 3: 100 Mile House Housing/Household size mismatch (Statistics Canada, 2016)

In working with community groups in 100 Mile House and the surrounding area, we have heard from many that there is a need for additional independent seniors housing complexes in the community. At the same time, older residents who would like to downsize into a smaller home have also indicated that they face limited choices, and the age of the housing stock often means that any available smaller housing units are unsuited to older households or are in need of costly repairs. Further complicating the situation is the fact that there is limited in-migration of younger people in their family formation years, which has made it difficult for older residents to sell their current homes. Unable to find suitable housing in a seniors housing complex, or to downsize, many local residents report that they are forced to stay in their current homes, which they find to be too large, too difficult, and too expensive to maintain for older persons on the limited incomes available to retirees. Taken together, the findings highlight how economic and policy restructuring in resource-dependent rural and small town places has had a significant impact not only on patterns of demographic change, but also on the nature of the existing housing stock and on the capacity of that stock to meet the needs of the local population into the Marleen Morris and Greg Halseth

35 future. Demographic change is leading to overall population ageing, especially growth in the oldest age cohorts. In turn, there are shifts towards much smaller household sizes amongst both old and young households. A lack of housing market activity, development, and reinvestment (public or private) means that today’s housing stock is generally old, larger than required, focussed almost exclusively on single-detached units on large properties, and in need of repair or updating. These findings mirror resource regions elsewhere. Updating this stock needs to focus specifically upon accessibility within the dwelling unit for the growing demographic of older residents and on energy efficiency to reduce house operating costs for retired people living on low or fixed incomes. There is also an unmet housing demand for smaller, accessible housing for people wishing to downsize. In addition, there is a need for support services to help keep older people in their own homes longer. The research points to the need for both housing investment and policy renewal.

Community Response

Given the twin processes of dynamic transformation in local demography with relatively little change in the local housing stock, how are rural and small town communities responding? Drawing upon our case study of 100 Mile House, we identified two broad areas of local action. The first involves the action of investing in, and transforming, the local housing stock itself. The second involves various forms of ‘preparation’, including research, organization, planning, and advocacy. Like many places familiar with community development activities, when 100 Mile House began to encounter issues associated with population aging, its first response was to apply to various funding organizations for the money to build needed units – people wanted action. Over time, this resulted in a small number, but otherwise solid foundation, of basic housing options and supports for older residents. A first initiative included “Carefree Manor”, a one-storey facility with 36 assisted living units (19 of which are in private ownership and 17 of which are publicly subsidized). It includes one-bedroom and studio suite units (Age Friendly Society of the South Cariboo, 2017). The goal was to provide a small number of older households with local accommodation once they no longer wished to be in their large former houses. The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

36 Over the years as people aged in Carefree Manor, the health and care needs for some were increasing rapidly. The next applications were, therefore, to build housing that came with more medical and care supports. This resulted in the construction of Fischer Place and Mill Site Lodge. Built next to the hospital, this is a long-term / complex care facility with 79 residential care beds (all equipped with ceiling lifts), and five short-stay beds (inclusive of one palliative care suite). An additional 14 beds were announced in 2016 (Age Friendly Society of the South Cariboo, 2017). Again, after several years of operation, the need for an intermediate level of accessible housing was identified and the community worked together with the provincial BC Housing agency and Canada Mortgage and Housing Corporation to create Pioneer Haven. This independent living facility, includes a total of 24 units of affordable (subsidized) seniors rental housing (Age Friendly Society of the South Cariboo, 2017). Taken together, these actions have provided a continuum of seniors’ housing, from independent living apartments to facilities that provide high levels of medical care services. In 2017, the community was successful in working with BC Housing and received approval for an 18-unit affordable rental housing complex for low-income adults. More recently, there is now nascent private sector interest with one developer in particular interested in constructing market housing for seniors. The proposed units are one-level ground-oriented in design and there appears to be a great deal of interest in them. With regard to various forms of ‘preparation’, the experience of responding to housing needs only after they had already manifested themselves has highlighted for 100 Mile House the need for more attention to long term planning around demographic and housing change. To start, they have used the findings from the CDI’s Northern BC Housing Study for 100 Mile House. This provided them with a detailed summary of demographic information together with data about the housing stock and the housing market. Responding to this new information, and hoping to get ahead of upcoming needs, people in the community have come together and established the Age-Friendly Society of the South Cariboo (AFSSC). Members come from 100 Mile House as well as the surrounding area. To enhance local participation, share research information, and bring people together for dialogue around opportunities and possibilities, the AFSSC sponsored a Housing Forum on January 24, 2017. They followed this in the Spring of 2017 by conducting a detailed seniors housing survey (Age Friendly Society of the South Cariboo, 2017). Again, the CDI at UNBC supported this project in its research and analysis components. The AFSSC also published a South Cariboo Seniors Resource Directory in June 2018 (Age Friendly Marleen Morris and Greg Halseth

37 Society of the South Cariboo, 2018). Then, in the Fall of 2018, the AFSSC hosted a workshop on emergency preparedness for seniors. As the community moves forward, not only have improvements been made to the physical infrastructure for housing older residents, but a great deal more information and awareness has been generated. It is this information and awareness that will inform better decision-making and support applications to partner organizations for future housing actions and investments.

Policy Discussion

In summary, 100 Mile House is illustrative of a small rural community experiencing resource frontier ageing. Its experience with significant post-war resource-industry development follows that found in many Western industrialized countries. The housing stock that accompanied this dramatic upswing in economic activity and population was built during the baby boom era and was designed, therefore, with the needs of young families in mind. The social and public services infrastructure that followed, were developed during the Keynesian public policy era and drew upon significant state spending and coordination. While all of the signs suggesting an urgent need for renewed investments in both housing and service infrastructure to accommodate ageing-in-place have been emerging over the past decade, Neoliberal public policy has left most of those needs unattended in rural and small town communities. Now, in the face of advocacy from community groups, information and research from many groups and agencies, and even market signals on changing demands and needs, both senior and local governments are showing signs of recognizing the opportunities embodied by demographic ageing in older resource-dependent communities. In 100 Mile House, the local government and community advocacy groups have become very active in planning and implementing actions and activities to address some of the consequences of population aging and the needs of older residents. To accomplish these changes, however, they need assistance from senior levels of government in order to be effective. Over the past decade, there has been growing BC provincial government policy attention to the twin issues of population aging and housing needs for older The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

38 households. One notable change has been to increase the connections between housing and support service provision. The introduction of new legislation in 2004 to permit ‘Assisted Living Residences’ filled the gap between independent living and residential / complex care. Assisted Living housing operators must offer five hospitality services, including meals (one to three meals per day depending upon the circumstances), light housekeeping to meet residents’ health and safety needs, laundry, social and recreational opportunities to support social interaction and involvement, and a 24-hour emergency response system. In addition, they must provide basic care services including: regular assistance with activities of daily living (eating, mobility, dressing, grooming, bathing or personal hygiene); assistance with medication (central storage, distribution, monitoring the taking of, or administering, medication); maintenance or management of cash resources or other property of a resident; monitoring of food intake or of adherence to therapeutic diets; structured behavioural management and intervention; and psychosocial supports or intensive physical rehabilitative therapy. In 2016, the legislation was amended to allow for more flexibility, including being able to offer more services to individuals on a temporary basis (e.g. after surgery) or at a lower level. The question of whether small rural communities are attractive to private sector developers wishing to build assisted living facilities comes down to a matter of scale (or lack thereof in small places) and its impact on profitability. To reduce the risk to private investment, the BC provincial government has developed two effective policy tools. The first involves the participation of BC Housing or the provincial health authorities as partners in the construction of these developments. This partnership involves the purchase by BC Housing or the health authority of a specific number of units in the facility. Through these transactions, the developer’s overall risk is reduced and access to construction capital is realized. Upon completion, BC Housing or the health authority makes these units available to lower income households. Another form of partnership that has become common is for the health authority to take on the delivery of in-facility health services while leaving the hospitality services in the hands of the developer. This reduces the need for the developer to recruit and retain professional health staff. Fitting with policy moves that link housing and support service provision, in 2012 the BC provincial government introduced the ‘Better at Home’ program. This program provides non-medical support services to seniors who wish to remain living in their own homes. ‘Better at Home’ includes services that help to support independence such as transportation, housekeeping, yard work, home repairs, and visiting. The program is still considered a ‘pilot’ and is being delivered in 56 Marleen Morris and Greg Halseth

39 communities. It is coordinated in partnership with a central non-profit agency – the United Way – and delivered locally by community-based non-profit agencies. As in other small rural communities, capacity issues challenge the local ability to respond to population aging and its concomitant housing and service needs. One of the most challenging capacity issues is whether the local labour market can fill care sector jobs. Overall, health care is certainly an employment growth sector, and universities and colleges across Canada (including the regional universities and colleges that specifically service the 100 Mile House region) have seen growing enrolments in these programs. The need to recruit care sector workers further reinforces the value of senior’s retention as an economic development and diversification strategy for smaller places, as public services delivered locally adds stable, well-paid jobs to the local economy. To attract and retain suitably qualified health and social care staff is an issue in rural BC as it is in many OECD rural regions. This means that communities must be attentive to the range of housing and community amenity investments described throughout this paper. Perhaps the most important general BC provincial government policy initiative has been the introduction in 2005 of the ‘Age-Friendly Communities’ program. This program assists communities in developing and implementing local plans that support healthy ageing in place. Widely subscribed to by small rural and small town communities, as of 2018 more than 148 local governments have undertaken age- friendly planning projects. Many of these projects have fostered creative design that has made communities more accessible. Beyond simply addressing the needs of older residents, the initiative is aimed at making rural and small town communities more attractive and livable for people of all ages and stages of life. But even with new policy attention, much needs to be done. So what are some of the policy and program opportunities and possibilities that arise not just from population ageing but from the specific needs and opportunities created by resource frontier ageing in smaller resource-dependent rural communities? Based on the findings of the Northern BC Housing Study, we would like to highlight four specific areas for policy attention. The first focusses upon new housing developments and is directed to encouraging housing design and construction that makes the housing unit more flexible and adaptable across a household lifespan. As noted in this study, the current housing stock is not adaptable and, even worse, much of the new housing is also not suited to older households. New housing should be more adaptable in accommodating singles, young couples, growing families, empty nest couples, and retirees. This needs attention from the outset - to accessibility standards around the design of bathrooms, the location of key services on the same level, the width of The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

40 doorways to accommodate mobility devices, and level entrances into the dwelling. In Canada, regulations around such features are found in the National Building Code, which sets minimum standards. The national code is then adapted with additional requirements or standards by each province. In 100 Mile House, the regulation of accessibility requirements is done through the BC Building Code and new units cannot be sold by the builder/developer until the unit receives an ‘occupancy permit’ certifying that it meets the requirements of the code. Thus, in Canada, there exists a very strong policy framework for directing and enforcing changes in the housing stock. However, universal accessibility requirements for all new construction are not yet in the national or provincial building codes because, while desirable, government has not followed through as many in the development community are lobbying against these additional requirements. Second, we cannot ignore the existing housing stock. As noted in this study, a small community such has 100 Mile House has a significant built housing stock and this stock will continue as a legacy in the built environment. In 100 Mile House and many similar resource-dependent communities, the existing housing stock has many form and design challenges due to its period of construction. Furthermore, its age suggests ongoing concerns with the need for major, or even just routine, repair and rejuvenation. Public policy approaches must not only encourage owner renovations and upgrading, but policy and industry must come together to develop standard renovation responses to such critical issues as energy efficiency, ease of maintenance, and accessibility for those who may become increasingly mobility-challenged. One area of provincial policy action was the introduction in 2012 of the ‘Home Renovation Tax Credit for Seniors and Persons with Disabilities. This tax credit assists eligible individuals 65 years of age and over, and persons with disabilities, with the cost of certain permanent home renovations to improve accessibility or be more functional or mobile at home. More recently, the provincial government introduced programs that will stimulate housing renovation by addressing energy efficiency issues. These programs include several grant and income tax-related supports for the installation of new energy efficient windows, doors, heating furnaces, and hot water heating appliances (British Columbia, 2019). The programs are part of the government’s larger ‘CleanBC’ environmental plan to reduce overall provincial carbon emissions. One of the challenges with programs such as these is that it is very difficult to access data on program uptake and is therefore impossible to know how well the intended outcomes were achieved. A third important public policy area focusses upon the concept of housing affordability. This goes beyond older debates about “affordable housing” – which has Marleen Morris and Greg Halseth

41 become a euphemism for public housing. Instead, housing affordability must focus upon consideration of all of the costs and factors that have an impact on the affordability of the housing for the household. This means including calculations of utility costs, taxes, maintenance, transportation, energy costs, etc. A focus on affordability is about whether maintaining the house and paying its operating costs falls within the financial means of the household. This is not only important for seniors on fixed incomes, but has implications for singles and young couples who have not yet reached their prime income earning years. One provincial policy action around affordability is the ‘Shelter Aid for Elderly Renters’ (SAFER) program. SAFER provides monthly cash payments to subsidize rents for BC seniors (in this case referring to those age 60 or over) with low to moderate incomes. In 2018, BC Housing provided SAFER subsidies to more than 17,000 senior households. However, this program only speaks to absolute rental costs and not to the wider issues that impact housing affordability. Looking at the broader policy perspective, government needs to be attentive to housing affordability for seniors generally, not just those on low incomes. One critical area for rural seniors concerns utilities costs for heating. Given the earlier descriptions of an older housing stock that does not meet energy efficiency standards, policies and programs that would help seniors finance energy upgrades could reduce overall housing costs. Current housing support policies such as those that allow low-income seniors to defer property tax payments (with payments to be settled with the estate) might be extended to funds loaned to renovate for energy efficiency. This approach could also be adopted for renovations that would support livability and accessibility, so that seniors could remain in their own homes. Similarly, budget management policy approaches that balance costs and savings across government departments, for example savings in health care spending when seniors able to remain longer in their own homes could be shifted to departments that would spend the money to actually help keep those seniors in their homes, need to be explored as they are zero-sum policies. A fourth important public policy area builds from recognition of the scale of the challenge in addressing housing needs in small communities. This scale is exacerbated not just by the pace of resource frontier ageing, but also by the lack of policy attention and follow-up investments in services, supports, infrastructure, and housing for older residents through the last 30 plus years of Neoliberal public policy. Because of the scale and urgency of needs, public policy must be attentive to encouraging partnerships in the delivery of new housing, housing renovation, and the support services and infrastructure for that housing and the people who will live in it. Partnerships within public policy efforts to address housing needs are especially critical in non-metropolitan and rural resource-dependent communities. As noted The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

42 above, some policy efforts in BC have allowed direct public participation in private sector housing investments in communities and regions where the need to reduce risk for capital had been identified as a barrier. There are also the more general polices that support, for example, homeowner participation in both general and targeted (ie: energy efficiency) renovations. This policy attention must also include the funding and programming supports needed for partnership development and continuance. Funding can come from various sectors such as direct state funding or encouragement through tax revision for private sector investments or donations. Only once policies are in place that support the widespread development of housing partnerships across public-private-and nonprofit sectors will creative local solutions be able to scale-up for wider impact. A flexible policy approach must also include attention to the value and role of small-scale partnerships that enhance housing, or housing supports, one project at a time. Flexibility in policy will be critical (OECD, 2019), as not all places will be similarly equipped to participate in housing programming of older residents. There may need to be options, for example, for exchanging housing for services at the community level. A critical part throughout the development of partnership policy will need to be attention to supporting mutual benefits through partnerships.

Conclusion

In this paper we have looked at the connected issues of population aging and housing needs within resource-dependent rural and small town communities. Using specific examples from one small community in BC, we linked past community and housing development with contemporary economic change to set the stage for resource frontier ageing – a demographic process that the current housing stock in such communities is not well suited to support. These trajectories link well with the theoretical literature on resource-dependent community change in Western developed economies. The expansion of such communities in the immediate post- World War Two era proceeded under a Keynesian public policy framework within national designs to exploit new natural resource development opportunities to rebuild war shattered economies. Demographic and housing pathways established during this era were disrupted by the global process of resource sector restructuring following the economic recession of the early 1980s. The emergence of a Neoliberal public policy Marleen Morris and Greg Halseth

43 framework in the aftermath has meant economic restructuring and population decline has continued for many of these communities. Across Northern Europe, the Scandinavian countries, and across OECD states more generally, the consequence of this has been rural decline. The findings are important for a number of reasons. To start, rural ageing is a common process across Western developed economies. We focused on the topic of housing because it is a critical part of supporting healthy ageing and quality-of-life for older residents. By helping to retain older residents in the community, housing is also an important part of the economic development strategy of small places – in this it can be a supporting or limiting factor, depending upon the state and quality of the stock. From this orientation, we explored the emerging mismatch between the current housing stock and the new demographic realities of the community. We used our case study to sketch out the ways that one small community is responding to the housing needs of its ageing population. In turn, this highlighted that there are important public policy questions that need attention if rural and small town places are to work through this period of community change. It seems clear from the pressure outlined in the case study that the need for new policy and programming directions is urgent.

Endnotes

1. A common or typical categorization of ‘seniors’ housing options in Canada would include: • Independent living units (private apartments) • Supportive living units (private apartments which may include some meals, housekeeping, and laundry services) • Assisted living units (similar to supporting living units, but with greater care in meals, grooming, medication, and home care) • Long-term care (i.e. facilities such as a nursing home) • Palliative care (i.e. facility designed to provide care for terminally ill residents) The Role of Housing and Services in Supporting Healthy Ageing-in-Place: Northern British Columbia, Canada

44 References

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47 Older people’s experiences of informal care in rural Flanders, Belgium

Emma Volckaert, Pascal De Decker, Elise Schillebeeckx KU Leuven, Belgium

DOI: 10.4422/ager.2019.10

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 49-74 Older people’s experiences of informal care in rural Flanders, Belgium

Abstract: Flanders (Belgium) is ageing at high speed. The number of people aged over 80 will increase from more than 400.000 today to nearly 800.000 in 2060, which is 10 % of the population. Although the entire region is ageing, older people are overrepresented in non-urban areas. A large majority of the elderly have to ‘age in place’, being the consequence of a very clear-cut policy to foster staying put. However, one can question if their quality of life can be guaranteed, knowing that basic facilities are often unavailable in sparsely populated areas. This is especially relevant when personal mobility decreases and (health) care is needed. Based on qualitative research methods (in-depth interviews, focus groups and observations made while following care providers), this paper discusses the everyday experiences and perceptions of older people with regard to informal care. We focus on elderly people living in two different rural regions, rudimentary defined as a work-poor area (Westhoek) and a work-rich area (Kempen). The results indicate that the availability of informal care is –among others- dependent on the spatial context and can therefore not be guaranteed everywhere.

Keywords: rural ageing; ageing in place; environmental fit; Belgium.

Experiencias de personas mayores de atención informal en el Flandes rural, Bélgica

Resumen: Flandes (Bélgica) está envejeciendo rápidamente. El número de personas mayores de 80 años aumentará de más de 400.000 en la actualidad a casi 800.000 en 2060 (10 % de la población). Aunque toda la región está envejeciendo, las personas mayores están sobrerrepresentadas en áreas no urbanas. La gran mayoría tienen que “envejecer en el lugar”, como consecuencia de una decidida política para fomentar la permanencia. Sin embargo, uno puede preguntarse si se puede garantizar su calidad de vida, sabiendo que las instalaciones básicas a menudo no están disponibles en áreas escasamente pobladas. Esto es especialmente relevante cuando la movilidad personal disminuye y se necesita atención sanitaria. Basado en métodos de investigación cualitativa (entrevistas en profundidad, grupos focales y observaciones realizadas en seguimiento a los proveedores de atención), este documento analiza las experiencias y percepciones cotidianas de las personas mayores con respecto a la atención informal. Nos centramos en las personas mayores que viven en dos regiones rurales diferentes, definidas superficialmente como un área de trabajo pobre (Westhoek) y un área rica en trabajo (Kempen). Los resultados indican que la disponibilidad de atención informal depende, entre otros, del contexto espacial y, por tanto, no se puede garantizar en todos los lugares.

Palabras clave: envejecimiento rural; envejecimiento en el lugar; ajuste ambiental; Bélgica.

Received: 23rd May 2019 Accepted: 14th July 2019

How to cite this paper: Volckaert, E., De Decker, P., and Schillebeeckx, E. (2019). Older people’s experiences of informal care in rural Flanders, Belgium. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 49-74. DOI: 10.4422/ager.2019.10

Emma Volckaert. E-mail: [email protected] Pascal De Decker. E-mail: [email protected] Elise Schillebeeckx. E-mail: [email protected] Introduction

The Flemish region (Belgium) is ageing at high speed. As reported by the Federal Planning Office, the number of people older than 60 will rise from nearly 1,6 million in 2014 to just over 2,3 million in 2060, an increase of more than 40 %. It is estimated that the number of people older than 80 will increase from 360.000 in 2014 to nearly 800.000 in 2060. According to those prognoses, one third of the population will be over 60 years old by 2060. These developments generate substantial challenges and will have consequences for a wide range of policies. So far, public and political debates in Flanders, and Belgium more widely, are largely limited to the affordability of the pension system and to a lesser extent to the affordability of health care. Other issues, such as problems linked to housing, are often overlooked or completely neglected. This is quite astonishing since the policy focus in Flanders is on ‘ageing in place’ (Vandeurzen, 2014), as well as the wish of the majority of the elderly to ‘age in place’1

1• Ageing in place’ (AiP) is used when people grow old in the home where they spent a significant part of their lives. It is often the place where the children grew up and therefor potentially unsuitable for people who face a mobility loss (due to staircases, the size of the dwelling, etc). ‘Moving in time’ (MiT) can be seen as the counterpart of AiP. MiT means that a suitable place is found before health problems and a mobility decline is experienced. Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

51 (for Flanders see: Maes, Vanden Bergh and Jacobs, 1999; Myncke and Vandekerckhove, 2007; De Witte et al., 2012; De Witte, De Donder and Verté, 2014; De Decker, 2013; Pannecoucke and De Decker, 2015; 2017; internationally see: Golant, 2015; Peace, Holland and Kellaher, 2006; Keating, 2008; Commission for Rural Communities, 2012; Connors, Kendrick and Bloch, 2013). At the same time, scholars highlight crucial problems concerning housing that might occur when an individual’s mobility changes (e.g. De Witte et al., 2014; Golant, 2015; De Decker et al., 2015). Based on a large quantitative survey in Flanders and using criteria linked to the housing environment, e.g. stairs in the dwelling or the availability of services, De Witte (2017) concludes that 15 % of the population aged above 60 are heavily vulnerable and another 30 % is moderately vulnerable. From the literature on ageing we can identify three main themes or situations where the housing conditions are ill-suited and maladjusted for an ageing population (Costa-Font, Elvira and Mascarilla- Miró, 2013; Golant, 2015; Keating, 2008; Krout and Hash, 2015; De Witte et al., 2014; Cramm, Van Dijk and Nieboer, 2018). To start with, the house itself can become a burden due to, among others, obstacles, the presence of stairs or an unsuitable internal arrangement of the dwelling. This might affect the independence of the inhabitants as well as the health and wellbeing of the elderly. Secondly, the physical environment near the dwelling can become unsuitable. As the radius of action (linked to accessing friends, relatives or leisure activities) decreases with age, the quality of the immediate environment becomes increasingly important. Lastly, and crucial for this article, there is the possibility that the social environment conflicts with the idea of ageing ‘well’ in place. The presence of other people and a wide range of accessible daily and social services are crucial to the well-being of elderly people. Especially in the context of Flanders, a region that is characterized by ‘sprawled housing’ and monofunctional areas (De Decker, 2011), the provision of at-home-care might be at risk when the share of elderly is growing, since nursing and home care are already bottleneck professions2. Informal care, on the other hand, cannot be seen outside a context where the elderly are confronted with loneliness and a shrinking social network (Koning Boudewijnstichting, 2012; Heylen, 2011). In the empirical part of this paper we will, using different qualitative methods, analyse how elderly people experience being old in rural areas given the Ageing in Place (AiP) paradigm. We also look at their expectations. Rural areas can be seen as a

2• Every year the Flemish labour service (‘VDAB’) makes an inventory of the bottleneck professions. In 2018 158 professions were listed. Three professions were indicated as “serious bottleneck professions”. Nursing is one of them (https://www.vdab.be/nieuws/pers/vdab-knelpuntberoepenlijst-2018). Older people’s experiences of informal care in Belgium rural Flanders,

52 kind of laboratory where the possibilities and limitations of informal care as the main source of care can be tested. Seen from the angle of the care provider, rural areas are quite extreme, which has to do with population density (are there people to provide care?) and distance (can care be provided without motorised mobility, and at what cost?). Thus, looking specifically at the rural elderly, we recognise the spatial dimension of care, which is often neglected. As Krout and Hash (2015, p.4-5) put it, “people do not live in a spatial vacuum”. In what follows, we deal with the evolving view on ageing. After that, we analyse the AiP paradigm in general and, more particularly, in Flanders. This is followed by our research design and findings. We end with conclusions and issues for debate and further research.

On ageing

For many years, the dominant perspective or theory on ageing was what Golant (2015) labels the ‘disengagement theory’. This vision separates elderly people from the rest of the population. Older people are seen as physically less strong or active, with declining mental capacities and social relations. They go to social events less frequently and take on fewer responsibilities. According to this view, becoming older is biologically natural and inevitable, hence the ‘social withdrawal’ is a normal reaction. The ‘new gerontology paradigm’ (NGP) changes this dominant view. According to the new gerontologists, there are, as articulated by Golant (2015), no biological or predetermined developments that direct the way of ageing. The positive message is that one, when old, is not inevitably ill or disabled. According to this paradigm ‘successful’ ageing is the responsibility of the individual. In sum, eat correctly, exercise, avoid stress, get medical check-ups, train the brain and one stays healthy. The idea is that quality of life can be controlled (see also – among others – Westerdorp, 2014; Verburg, 2015; Maier, 2017; Harari, 2017). Elderly people should, after retirement, also find work-replacing activities and keep up work-related friendships or replace them. Golant (2015) stresses that the message of the NGP is not wrong but it is incomplete. He formulates three points of criticism. The first concerns health. Even if a healthy lifestyle is pursued, for some, health problems are unavoidable (see also Lowe and Speakman, 2006). Others are confronted with uncontrollable situations, e.g. Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

53 the death of a partner (Van de Ven, 2014). Secondly, NGP ignores the socio-economic dimension. In particular, the conditions of less affluent and poor elderly people cannot be overlooked. New gerontologists often ignore the fact that some older people are in financial difficulties and, as a consequence, have no access to quality care. Data from the Strategic Council on Welfare and Health shows that low educated people develop severe health problems from the age of 53 (Wandels, 2018). Von Gaudecker and Scholz (2007) found a six-year difference in remaining life expectancy between the lowest and the highest socio-economic groups when studying 65-year-old male pensioners. And in our case study area, Flanders, journalist Tegenbos (2017) researched 50-year- old men. He noticed a nine-year difference in life expectancy between the higher educated and the ones who did not go beyond primary level schooling. The first group reaches, on average, the age of 84 and live in good health until the age of 72. The latter is expected to live 78 years of which 66 years in good health. The third concern is a lack of attention paid to the living environment. This criticism forms the basis of a new branch in gerontology, ‘environmental gerontology’ (hereafter EG) in which the aim is “to understand and predict how the residential and care environments occupied and used by older adults influence their physical and psychological well-being, and their mission is to find solutions that will optimize the fit or congruence between ageing people and the places they live” (Golant, 2015, p. 8). “Most discussions of ageing fail”, according to Krout and Hash (2015, p.4-5), “to consider that people do not age in a spatial vacuum. They all age somewhere, and the place of ageing has impacts.” It is as if the dwellings, buildings, neighbourhoods, communities, and regions in which they live and their built, natural, social, organisational, and political environment make little difference in whether they enjoy their lives, feel good about themselves, live independently, and achieve healthy lifestyles (Golant, 2015, p.8 – see also earlier Diez Roux, 2002; Kawachi and Berkman, 2003 and, for Flanders, Vandekerckhove et al., 2015; Smetcoren, 2016). A consequence of ageing is that more time than before is spent in and around the house. The proximate zones become more significant components of everyday life (Rowles, 1978; Lowe and Speakman, 2006). The house becomes even more important when chronic physical or psychiatric health problems emerge. Not only is it then more important to live comfortably, but the home becomes a setting that can compensate for the deterioration or loss of health status. Also, because care is often needed, quality of life will increasingly depend on the availability of in-home care and the ability to move easily and safely through the house. Older people’s experiences of informal care in Belgium rural Flanders,

54 On ageing in place

As said, worldwide an overwhelming majority of the (older) population wants to age in place. This is also the case in Flanders (De Witte et al., 2012). ‘Place’ means the (last) family house. Where one lived for a long time becomes more than a pile of bricks (Lanspery, 2002). It is a site of memories, a place where family and friends meet; it represents familiarity, privacy, control and stability (De Decker, 2013). And such feelings may be reinforced when changes occur like the death of a partner or deterioration in health. In order to be be successful, AiP has to meet several conditions (Golant, 2015). First of all, the elderly have to live in a dwelling that is adapted or adaptable. This concerns e.g. the installation of handles, adequate lighting and taking care of the accessibility of the house and its rooms. Second, the elderly have access to buildings, neighbourhoods and communities which offer a variety of infrastructures and services. Third, - and crucial for this article - the elderly live in places where affordable in-home care or community care is available. Additionally, the elderly need to be able to rely on at least one dedicated family member, and this 24/7. This person lives in the house or in the neighbourhood.

On Ageing in place in Flanders

In Flanders the state subsidises elder care and resting homes3, and facilitates the construction of supported housing4. Policies associated with ageing follow largely an AiP

3• These evolved from ‘classic’ resting homes to facilities for elderly with high and complex care needs. Admission is de facto only possible via a referral from a hospital or a doctor. 4• With respect to these facilities a paradox is occurring. On the one hand there are waiting lists and on the other hand some remain empty. This is due to a combination of affordability and location. Affordability refers to the fact that the housing and care costs are on average higher than the average pension for a single older person. Location refers to the fact that a lot of these facilities are located in places where people do not want to live. Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

55 perspective. The government wants to counter or even reverse institutionalisation, to ‘replace care into society’ (cf. the Big Society). This de-institutionalisation – or extitution (Milligan, 2009; Spicer, 2010) - paradigm draws on the idea that care outside of the institutions is to be preferred over institutional care. The Flemish minister responsible for the elderly, Jo Vandeurzen, refers to the ‘care circles’ from the World Health Organisation (see Figure 1). The idea is that care should be provided by the partner and other relatives in the first place and the broader community in the second place. Only when additional care is needed do government-subsidized care services come into play.

Figure 1. Conceptual framework for people-centred and integrated health services

Source: World Health Organisation (WHO), implemented by the ministry of elderly care in Flanders (Vandeurzen, 2016, p. 26)

One can read this in two (potentially complementary) ways. First, as part of the general debate on the rising cost of the welfare state, it is often stated that we cannot afford the costs of care for our ageing population. Hence, budget cuts are needed (Huyse, 2014). One way to do that is by state withdrawal and a redirection of responsibilities (and money) away from the costly welfare institutions. The second interpretation is that policy makers adhere to a romantic dream of a possible return Older people’s experiences of informal care in Belgium rural Flanders,

56 to a (pre-industrial) society that is built up by strong, socially cohesive local communities who take care of those in need (in the broad sense). Given the fact that the industrial revolution led to a transformation of social structures in society (including a take-over of local functions by market and state), this second perspective, seems to run against the tide (Harari, 2017). One can also counter-argue that a return to highly cohesive local communities is not possible5, and that this idea is naïve or, more importantly, misleading, because it is ‘not executable’. Nevertheless, putting ideological debates aside, the AiP option has important consequences either by withdrawing from existing services or by not providing new ones. In combination with the challenges concerning housing and living environment referred to earlier, we can conclude that ageing ‘well’ in place in rural areas is highly conditional. It is this observation that fosters our research. Can these conditions be met in order to realise ageing well in rural places?

Our research

Ageing in rural areas

Our empirical research focussed on features of rural ageing. Ageing happens everywhere, be it in urban, suburban or rural areas. Nevertheless, in Flanders, we see an important overrepresentation of older people in non-urban areas (Schillebeeckx, Oosterlynck and De Decker, 2014). Aside from ‘the numbers’, other developments are relevant, since they are linked to the possibility of delivering formal and informal care. First, considering informal care, AiP is related to the assumption that rural villages possess a strong sense of community. Like societies as a whole, rural communities have changed. They are increasingly unlikely to contain autonomous villages with a wide variety of functions and services, such as work, schooling, culture and dense social networks (Lowe and Speakman, 2006; Keating, 2008; Krout and Hash, 2015; Commission for Rural

5• This was already argued by F. Tönnies at the end of the 19th century in his considerations on the evolution of “Gemeinschaft” – nowadays referred to as ‘community’, characterized by with strong affectionate ties and a social order based on consensus to “Gesellshaft” – a society based on conventions, where state intervention is crucial (in Saunders, 1986). Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

57 Communities, 2012; Thissen, 2017). Either they have experienced deterioration, which is often the case for more remote areas, or they became mono-functional housing areas. The latter often occurred in villages of a high (perceived) environmental quality in the proximity of work-rich areas (often cities). But in both cases, the consequences for the elderly to age well in place seem to be the same. An important concern relates to the availability and possibility of informal care. AiP starts from the assumption that adult children and eventually other family members will take care of their parent(s), especially when a spouse/ partner has passed away. The problem is that many rural areas, as argued by Thissen (2015), experience a ‘dejuvenation’ since a decreasing proportion of adult children live near their elderly parents. They moved away because there is no work (push- factor) or they live in more vibrant work-rich (urban) environments (pull-factor). Therefore, adult children cannot automatically be considered as caregivers for their parents, at least not on an everyday basis (Vermeij, 2016 for The Netherlands). In addition to the role of the children, successful AiP ‘needs’ a socially cohesive environment. But here too, the story is similar. Vermeij (2016) points out how voluntary work is much less available in rural areas then in more populated areas. This follows from the fact that there are fewer people to do the voluntary work. But also in relative numbers, voluntary workers are – e.g. in the Netherlands - more scarce (Vermeij, 2016). This brings us to formal care. At least in the case of Flanders, rural areas are not well equipped with home-care services or nursing homes that can cater for older adults with varying levels of care needs. Concerning institutionalised care, exceptions aside, two types are available: the nursing homes6 (for elderly people with high care needs) and service flats (rather expensive7 apartments where medical care is not included, but is organized by the same organisations that provide care for people in regular housing, people that 'age in place') (De Decker et al., 2018). Concerning home- care, there is a financial difference between rural and urban areas: it is more expensive to deliver care at home in sparsely populated areas compared to more densely populated areas (Commission for Rural Communities, 2012 for the UK; Sommer, 2017 for The Netherlands). People in rural areas (often) live in remote places, resulting in higher transport costs for care providers and their staff spending a larger proportion

6• The average period inhabitants stay in a nursing home is estimated at 1,5 years. This is a result of policy decisions to link subsidies to the level of care a person needs, resulting in a concentration of those with severe needs (De Decker et al., 2018). 7• The average day price is 35 euros. This price does not include medical or other care, apart from an alarm system (https://www.zorg-en-gezondheid.be/campagne-informeert-burgers-over-troeven- erkende-assistentiewoningen) Older people’s experiences of informal care in Belgium rural Flanders,

58 of their working time in their car.8 This, in combination with austerity policies and a pressing shortage of care providers, imposes the question whether the numerous rural elderly will receive adequate care. Obviously, this applies to all regions, but the situation is most precarious in remote areas. There is also the feature of elementary services. This has (at least) two dimensions. One is the availability of services. Following the upscaling of commercial activities (Thissen, 2017), many services such as grocery stores, bakeries, (para)medical professions, are simply not available in many villages. The second dimension concerns social activity. Earlier we referred to research that indicates that people should be active to age well. They should be active volunteers in their community, go to social events, experience new things etc. But again, these opportunities are hardly available in remote areas. As a consequence, the elderly can either withdraw or hope to drive a car for as long as possible to be able to go to activities and services, and to meet family and friends. Given the described limitations concerning care and housing: how do rural elderly experience informal care and to which extent are (1) family and (2) neighbours involved?

Research design

Figure 2 identifies rural areas in Flanders. We focused on two regions. They were selected on a pragmatic basis following contacts we already had from previous research or developed during the explorative phase of this research. Of course, both areas had to have an overrepresentation of elderly. Nevertheless, the two areas have their differences. The first is called ‘Westhoek’. It is located in the western part of the Flemish region. It is a very remote rural area, classified as ‘very rural’ in the Belfius typology (Gielens, 2018). Jobs and services (in its broadest sense) are limited. It is an area that has experienced a long-term and ongoing outflow of the highly educated due to the lack of jobs (brain drain). A general population shrink is expected in the near future. Our second research area (Kempen), although being a rural area, is more

8• According to our own calculations, in Flanders, at-home care provided by nurses, drive yearly approximately 204.000.000 kilometers. This is the daily equivalent of driving around the world 15 times (De Decker et al., 2018). Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

59 centrally located and ranks 3 to 4 on the rural-urban scale, 6 being the most urban (Gielens, 2018). The region is home to a diverse range of economic activities such as industrial activities along the Albertkanaal (a waterway connecting the cities of Antwerp, Genk, Hasselt and Liège), higher education institutions (polytechnics) and very specialized industries (nuclear sector; pharmaceuticals). A brain drain or a declining population is not an issue here. Hence, we expect to find some differences between the two regions when it comes to ageing well in place, not the least when it comes to the role of informal care by the (adult) children.

Figure 2. Selection of rural areas in Flanders, based on two different indicators (De Decker et al., 2018)

The two case study areas (Westhoek and Kempen) are indicated on the map. Since both areas have no clear boundaries, municipalities with a high share of people older than 60 are chosen within those areas. The appointment of rural municipalities is based on two sources (VRIND, 2014; PDPO III, 2015). This explains the colour differences. We used a combination of primary data sources in our research. To start with, we talked to experts in the field of ageing and elderly care, including managers and employees of resting homes and local social services and representatives of umbrella Older people’s experiences of informal care in Belgium rural Flanders,

60 organisations responsible for providing care and nursery services at home. In addition, we accompanied formal care takers and nurses during their daily tours. This allowed us to collect information about both the demand and the supply side of home-based care. However, the largest part of our research consisted of in-depth interviews with elderly people in each of the two study areas. The interviews were complemented with focus groups undertaken in nursing homes in each selected area and in a few new small-scale supported housing initiatives outside of the case study area (the municipality of Maldegem). In the focus groups, only inhabitants took part. The interviews and focus groups in Westhoek took place between October and December 2015. To select respondents we contacted the municipalities, who provided us with a list of names and addresses of local residents aged 60+. Additionally, we also used a local elderly network, Nestor, to recruit participants. Older adults were initially contacted by telephone and if they agreed to participate in the research an interview followed in their home. 24 elderly people were interviewed in 21 interviews. The youngest participant was a man in his early sixties, the oldest was aged 93. Half of the respondents were in their 80s. 16 out of 24 respondents are women, which means women are overrepresented in the Westhoek group. Many had not worked outside the home (housewives) or had worked in low skilled or technical jobs9. The interviews in Kempen were conducted in late 2016, between October and December. All potential participants were contacted through a list of 60-plussers provided by the municipalities. We interviewed 31 people of whom 17 were women and 14 were men. The youngest was aged 63, the oldest was 93. A majority (22) were in their 70s. Most of them had been employed in physically demanding or technical jobs10; some had worked in the education11 or nuclear sectors. The general education level of Kempen participants was slightly higher than that of Westhoek participants. Across both study areas only one participant did not own the house they lived in. The location of participants’ homes varied, including some in town centres, isolated dwellings and others were part of small groupings of houses. The interviews were all structured around a topic list. Topics were based on a study of relevant literature (WHO, 2006; De Witte et al., 2012; Golant, 2015) and previous research undertaken by the authors (De Decker, 2013; Vandekerckhove et al.,

9• Carpenter, missionary, courier, farmer, caregiver, secretary, educator, kindergarten leader, soldier. 10• E.g. plasterer, factory worker, builder, installer, nurse etc. 11• From kindergarten leader to teaching in a polytechnic. Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

61 2015). Working with pre-selected themes has the advantage that it structures the analysis. But because there are no predetermined questions, respondents get the freedom to narrate and to reflect on these themes but were also able to shine a light on new items. During the interviews, respondents were asked to reflect on their housing and care situation. Findings from the Westhoek phase of the research highlighted the importance of care in the life of the Westhoek participants. This led to Kempen participants being asked to complete a diary listing their activities in a typical week. These schedules allowed us not only to estimate how active the elderly are, but also the level of social contact and interaction they had (who visits them? Who do they visit?) and levels of care they received (Who provides care? And when?).

Results

As stated earlier, our research in rural Flanders took several aspects of ageing into account. In this article, we focus on informal care, especially how this is experienced by our respondents. We have a look at care provided by family members, mostly adult children, and by neighbours.

Does family matter?

Between 2011 and 2014, levels of informal care in Flanders decreased (Vanderleyden and Moons, 2015). The expectation is that for the ‘sandwich’ generation it will be even more problematic to offer informal care due to more complex family structures and an increasing pension age (Steyaert and Knaeps, 2016). The Belgian Ageing Survey (BAS), a very large national survey, revealed that around half of Belgian 60-plussers can count on their (grand)children for help with, among other things, housekeeping. 52 % can count on a (grand)daughter; 45 % on a (grand)son. However, this national data suggests that approximately half of the elderly cannot count on informal assistance from a close relative. In one of our research areas, Older people’s experiences of informal care in Belgium rural Flanders,

62 Westhoek12, only 49 % of older adults receive assistance from the children, a lower proportion than the Flanders average of 61 % (Steunpunt Sociale Planning et al., 2015). Our interviews revealed a lot of similarities and one major difference between the respondents in the two research areas regarding informal care from family members. In Kempen, a work-rich area with a high diversity of jobs, all of our elderly respondents had at least one child living within a radius of 20 km. Many of our respondents in Kempen had children living in the same village and some even in the same street. This was not the case in Westhoek where most children lived farther away. This follows from the fact that Westhoek is job-poor and has a long history of out-migration. Beyond this difference, we see similar findings with respect to care provided by children. In both case study areas, the elderly can be divided into four different groups, based on the extent to which they rely on their children for help. The first group is the elderly who already need and receive care from their adult children (this dominates in Kempen but occurs also in Westhoek). In this group children pass by more than once a week and assist with a broad range of tasks including driving them to the supermarket or delivering groceries. Not surprisingly, the children that live close by provide most of the support. They also help with administrative and financial matters. If the respondents have several children, a division of labour seems to be in place. Experiences of this group are illustrated below in the extracts from two interviews conducted in Kempen:

R13: My daughter lives next door and we often go shopping. (75, Millegem - Kempen)

I: Your children, do they help you? R: Yes. They have their own tasks, so they do what they have to do. Everything that concerns payments and money, is done by Margriet. For shopping I have Vera. And the other one for other things (93, Bel - Kempen). A second group is still pretty mobile and self-sufficient and does not receive care from anybody. Members of this group often are care givers, helping their own children by taking care of the grandchildren. When asked what would happen if they

12• No overall figures are available for Kempen. 13• R: respondent, I: interviewer. Age and place of residence are mentioned between brackets. All names are pseudonyms. Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

63 needed care, they are not sure if they would ask for help. Several points are at stake. A first point concerns their own experience. Following the spirit of that time, numerous (female) respondents took care for their parents (or in-laws). Similar to findings from earlier research (De Decker, 2013), almost none of the respondents wanted to be looked after by their own children, as illustrated below:

R: I helped my father in law for 20 years. I said: I do not want to go and move in with my children (…). I said: none of my children is going to do that. And so it happened [she moved to a resting home] (83, Beveren - Westhoek).

I: You lived here with your parents? R: Yes. It is now 20 years that my father died and 22 since my mother died. Between their pension date and their death, they were with me. I: You took care of them? R: More than that [starts crying]. I: It was heavy? R: My mother stayed in a resting home for more than six years. I passed by two times a day. And my father was at home. And I have a disabled brother. (…) Back then it was like that (77, Krombeke - Westhoek).

Secondly, the zeitgeist has changed. This has two dimensions. One is that more children enter higher education or go to college. They no longer… work in the family business (often a farm or farming-related) as would have been common a generation ago. The second is that all children work (cf. the rise of dual-earner families) and have less free time to look after their parents. This societal change is illustrated below:

I: You don’t need it yet, but if necessary, can you count on your children? R: Hmm... the question is: do we want that? I’ve seen it with my parents. That was ok, but often… it created tensions. Also, we made the consideration that the children are pretty busy. (…) But, it is also the ‘zeitgeist’. You do not want to burden your children too much. Back then, it was different. When we got older, as a child, we helped our parents with their small farm with seven children. I started helping when I was 15. That was normal then. Now? We gave our children more chances, in order to do what they want. Go to college. Work. Being independent. I think the dependency has changed (70, Krombeke - Westhoek). R: We talked about that: what are we going to do? We have one son. He will not do that. He studied. These guys have another life now. We [women] were at home, we did not work. We stayed at home when the children came. This is not the case anymore. (71, Beveren - Westhoek). Older people’s experiences of informal care in Belgium rural Flanders,

64 A final point is that some do not want to be a burden to their children and make demands on the lives of their family members:

R1: Since a few years R2 [male partner] suffers from complications after an unsuccessful operation. R2: (…) Now I have a lame leg. And it becomes more and more difficult. I: Do you get help? R1: Yes. R2: From the children and the grandchildren. R1: But you try to limit that as much as possible. (…) We have 3 children. One [who lives next door] visits us now and then. He does some groceries if it’s necessary. The other… R2: … for paperwork. Money, bills… R1: And if I cannot do it, our son comes to mow the lawn. (…) If possible, since each has his own family and his house and his garden … (78 and 79, Bel - Kempen).

A third group is only found in Westhoek. It concerns respondents who do not have children or have no children living nearby. The first quote below is from a respondent with two children who do not live in the neighbourhood. Our respondent points to the fact that parents of big families have a structural advantage, while the respondent states to depend on volunteers to drive her around when she is not capable anymore. In the second quote the woman refers to a familiar process for the region: children go to the university and do not come back.

R: I [as a volunteer] have once driven someone to the dentist in Poperinge. It takes time then, to wait. Before we were paid to do that. Not anymore. But I still do it. (…) I hope they will do it for me too, later. You depend on it. A lot of families here have a lot of children. They have family around. Farmer families. If they have to go somewhere, there is always a son who can drive (between 60- 70, Gijverinkhove - Westhoek).

I: Do you have other children? R: No, I have only one son. He works in The Netherlands. Went to school [university] in Leuven and then got a job in The Netherlands. (…) Have you been to the house across the street? She has a large family. A lot of visits. If you do not have family… (93, Beveren - Westhoek).

A fourth group consists of rather extreme cases and only corresponds to a handful of our participants. We nevertheless find it useful to highlight an example, Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

65 because it indicates how far-reaching the combination of the unwillingness to move and the absence of (convincing) alternatives to care can be. In the quotation below the women says that her daughter had to come and live with her while her son-in- law had to go and live with his mother.

R: I have a daughter who lives with me. I cannot be alone anymore. She bought a house here in the village. She renovated it. If something happens to me, she would not stay, she would go home. But, the house here is way too large. Being alone here… No, it would not work. I: Her husband, does he also live here? R: No. He lives with his mother. She is 89. He has a brother and a sister and they arranged who should go (82, Watou - Westhoek).

In line with the above quotation the tour with nurses14 as well as regular media reports15 revealed dreary conditions. In this context, managers of care organisations we spoke to also stated they are thinking of setting up a 24h in-home care ('assistant') service to ensure care at all times.

Does the neighbourhood matter?

The AiP and de-institutionalisation paradigm attributes a lot of caring potential to the neighbourhood, and depicts it as being a kind of socially warm and cohesive environment where it is assumed that people help each other. But is this (still) the case? For Flanders, quantitative data on informal neighbourhood care are scarce. Thissen and Vanderstraeten (2015) reveal that in non-urban areas only 34 % of neighbours visit each other on a regular basis. BAS indicates that in Flanders approximately 40 % of people older than 60 can count on support from their neighbours. In rural Westhoek this is approximately 45 % (Steunpunt Sociale Planning

14• In one case, a caregiver visits 2 times per night to turn a man who cannot move in his bed. 15• On a regular basis it is reported that people with dementia, who still live alone, get lost or have accidents at their home. In Flanders, approximately 70 % of the people with dementia live at home (Expertise Centrum Dementia/Expert Centre Dementia, Dementvriendelijk Vlaanderen - https://www.dementie.be/themas/dementievriendelijke-gemeente/dementievriendelijk-vlaanderen/, consulted on the 8/11/2018). Older people’s experiences of informal care in Belgium rural Flanders,

66 et al., 2015), which still means that more than half of the elderly cannot count on informal support by the neighbours. Our interviews bring two nuances to the forefront. One indicates that rural areas are not the socially cohesive communities they are presumed to be; the other indicates that rural areas have changed and processes of social, economic and demographic change have led to a crumbling social cohesion. Different items are important here. What is very striking in both case study areas is that most elderly people tend to be rather reserved towards their neighbours. A majority indicated that they know each other, but hardly meet. They also say that they do not want to disturb their relationship with the neighbours. They do that by staying on their own turf and only assist each other with small chores. For example:

I: You know the neighbours? R: [surprised] Of course. We are good friends. If we wave, they wave back – even from far. We all talk to each other. I: Do you do things together? R: No, no. I never have someone in my home. I do not like that. I am not the kind of person who goes to a neighbour’s house and I do not let them in. I: Where do you talk then? R: [laughs] I do not have to talk to anyone. I: How do you know each other then? From the street? R: Of course. I would talk. Those are people from the past (80, Beveren - Westhoek).

I: Do the neighbours help each other? R1: I do not know. The neighbour over there, if I need something he helps and I do the same for him. (…) But, drinking something together or frequently meeting? We don’t do that. R2: Everyone is on his own, that way it [good relationships with the neighbours] will last (70 and 71, Millegem - Kempen).

R: We talk to the neighbours if we are outside, but we never frequented each other’s house. I have never been in the house of [neighbour across the street] (75 and 71, Bel - Kempen).

The interviews revealed several factors that hinder informal help from neighbours. The interviews included discussions with people who lived in isolated houses: such people simply do not have any neighbours. They are surrounded by fields Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

67 and meadows, not by people. In the next quote, the participant’s nearest neighbour lives approximately 300 meters away. The respondent is aware of potential future problems.

I: Do you have neighbours? R: No. Well yes, the farm at the beginning of the street. And there. But that is further away. That might be, for later, a problem. (…) You can call them of course, but you cannot go outside and yell or wave. It can be a disadvantage to have no direct neighbours (between 60-65, Oostvleteren - Westhoek)

A second problem is related to the (former) professions of the respondents. A significant share worked in agriculture. Those who worked in other sectors feel excluded. A male interviewee told us that he goes to the village centre, talks to his neighbours, but he cannot understand them, since he knows nothing about animals or animal feed:

R: I go to the village center16. That’s where the villagers go. They are all farmers. And they talk about wheat or pigs. And I know nothing about that. So, I’m a stranger in my own region. I should take books with me to understand them (between 60-70, Gijverinkhove - Westhoek).

In line with the second problem, there also seems to be a division between the in- and outsiders, between those who grew up in the village – the ‘real’ villagers - and those who arrived later in life (see also Vandekerckhove et al., 2015). The last group feels that it is very difficult to get acquainted with neighbours and other local residents if you are not a ‘local’.

R1: Knowing people? Here? … as a stranger, that is very difficult. Once they trust you, they accept you… but it can take a long time. (…) It is an old-fashioned village mentality. You are a stranger. R2: Integrating here is not possible, even if you live here for 15 years. No way (both between 60-70, Gijverinkhove - Westhoek).

R: Before, in [village X] everybody knew everybody. But today, you do not know your neighbours. I know the name of my immediate neighbours. But that’s it. They are immigrants. And a lot of them came later (73, Bel - Kempen).

16• It only opens once every two weeks. Older people’s experiences of informal care in Belgium rural Flanders,

68 R: But the people who migrated here, you cannot expect that they help you (78, Bel - Kempen).

A fourth problem concerns interactions with younger generations in rural areas. On the one hand, respondents complain about the greying of their community and the lack of young people in the immediate environment, since this is associated with a loss of liveliness. On the other hand, they indicate that they have few interactions with younger neighbours. For example:

R: They are all young people. They are not interested in the village life. During the week they work, I don’t know where, and in the weekend they go, I don’t know where, shopping with the car or just go away. But they do not participate in the activities (68, Oostvleteren - Westhoek).

Lastly, some respondents consider the spatial order to be a hindrance. Living along a large and busy road, or in a residential area comprising large plots of land with detached dwellings, does not foster contact between neighbours:

R: I have strong ties with some neighbours. But those at the other end of the street, that is a few hundred meters. We never see them, with the exception of the yearly new year’s drink. It is the lay out and… you live 50 meters from one another. My next neighbour, that is already far away (70, Millegem - Kempen).

Our findings clearly nuance the romantic illusion of social cohesion often associated with living in rural areas, on the countryside and in village settings. However, our results do not in any way suggest that rural areas are dystopic places. Obvious informal help might not be dominant, but it still exists and is in some case absolutely necessary for AiP.

To conclude

Like in many other countries and regions, Flanders is witnessing a paradigm shift in social policy. Responsibilities are transferred from ‘welfare state institutions’ to the people and their immediate social environments. The idea is that people call Emma Volckaert, Pascal De Decker, Elise De Emma Pascal Schillebeeckx Decker, Volckaert,

69 upon professional help when informal care is not available or insufficient. This is also the case in elderly care, where the mantra of ageing in place became dominant. To age ‘well’ in place, a range of conditions have to be met. We have focused on one in particular: the availability of informal care. We opted to undertake our empirical research in rural areas, since these are service-poor and sparsely populated (Lowe and Speakman, 2006; Keating, 2008; Vermeij, 2016). We come to the conclusion that rural Flanders is not ‘fit’ for AiP, at least not for all its elderly. This research endorses the criticism made that research on ageing often neglects the environmental aspect of older people’s lives. Regardless of the relationship with the care provider – family member or member of the community – the care recipient’s place of residence is crucial. Since policies generally opt to stimulate ageing in place and since a lot of people still live in non-rural areas, we argue that researching rural ageing should come (back) on the agenda. This is especially the case in areas facing depopulation and ‘brain drain’ (Pow, 2012). This article is therefore relevant for an international audience as well, since it goes beyond the spatial indifference that dominates policies and beyond the urban bias that dominates research.

Acknowledgements

The research underpinning this paper, is financed by the VLM (Flemish Land Society - https://www.vlm.be/nl). We want to thank the VLM, the members of the steering group for their input and the colleagues of Atelier Romain (https://www.atelierromain.com/) who did parts of the research. We especially want to thank all our respondents for their co-operation, time and openness.

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74 Addressing neglected contexts of ageing: The situation in remote northern Australia

Heather Gibb Charles Darwin University, Australia

10.4422/ager.2019.11

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 75-101 Addressing neglected contexts of ageing: The situation in remote northern Australia

Abstract: This paper examines why many older people living in remote parts of northern Australia are unable to access appropriate, or in some cases, any care services to support ageing in place. Several major factors are identified from the research literature as impacting on what appears to be a neglect of support for ageing in northern regions of Australia. The first is geographical and population related challenges. The second is the Australian Government’s adoption of neoliberal market models in structuring its aged care service organisation and provision. The third factor is the dearth of model design fit-for-purpose to the needs of remote communities. An alternative grounded or ‘bottom up’ approach is proposed, based on evidence from a broad range of relevant research into remote communities, as well as local case studies in northern Australia. Findings from a case study are presented that further illuminate areas of neglect in supporting ageing in remote communities. A key argument based on these findings is for a more flexible funding base that approaches the design and management of services at a community rather than an individual level. Important themes emerging from this discussion include the uniqueness of need in each remote community; the critical importance of drawing on local understanding of the kind of resource needs that exist in a community before ‘rolling’ out support services, and finally; the capacity of local community members through volunteering, to stretch and adapt resources to solve practical problems associated with ageing in remote places.

Keywords: Remote ageing, indigenous, mixed race, service deficit, neoliberal policy.

Abordando los contextos desatendidos del envejecimiento: análisis de caso en el remoto norte de Australia

Resumen: Este documento examina por qué muchas personas mayores que viven en zonas rurales remotas del norte de Australia no tienen acceso a servicios de atención apropiados, o en algunos casos, a servicios de apoyo al envejecimiento en su lugar de residencia. En análisis bibliográfico nos permite identificar factores clave que influyen en lo que parece ser un descuido del apoyo al envejecimiento en las regiones septentrionales de Australia. El primero de estos factores son los problemas geográficos y demográficos. El segundo, es la adopción por parte del Gobierno australiano de modelos de mercado neoliberales para estructurar la organización y prestación de servicios de atención a la tercera edad. El tercer factor es la escasez de un diseño de modelo adecuado a las necesidades de las comunidades remotas. En el trabajo realizado se adopta un enfoque alternativo fundamentado o "de abajo hacia arriba", basado en la evidencia de una amplia gama de investigaciones pertinentes sobre comunidades rurales remotas, así como en estudios de casos del norte de Australia. En este caso, se presentan las conclusiones de un caso de estudio que incide nuevamente en la desatención del apoyo al envejecimiento en comunidades rurales remotas. Una de nuestras propuestas principales descansa en una financiación más flexible que aborde el diseño y la gestión de los servicios a nivel de la comunidad y no a nivel individual. Entre los temas importantes que se desprenden de este debate figuran la singularidad de las necesidades de cada comunidad rural remota; la importancia crítica de aprovechar la comprensión local del tipo de necesidades y de recursos que existen en el medio rural antes de "desplegar" los servicios de apoyo y, por último, la capacidad de los miembros de la comunidad local, a través del voluntariado, para rentabilidad y adaptar los recursos existente a fin de resolver los problemas prácticos asociados con el envejecimiento en espacios rurales remotos.

Palabras clave: envejecimiento a distancia, indígenas, mezcla de razas, déficit de servicios, política neoliberal.

Received: 23rd May 2019 Accepted: 14th July 2019

How to cite this paper: Gibb, H. (2019). Addressing neglected contexts of ageing: The situation in remote northern Australia. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 75-101. DOI: 10.4422/ager.2019.11

Heather Gibb. ORCID: 0000-0003-1417-7512. E-mail: [email protected] Introduction

Many older people living in remote parts of northern Australia are unable to access appropriate, or in some cases, any ageing related support services despite Australia’s status as a wealthy OECD country. While residential-aged care facilities are generally confined to regional centres at great distances from these communities, the options for adequate support for people to remain and age in their own community are underexplored for the remote Australian context. This paper is focused on the question: What options are there for home and community-based aged care, for older people in remote communities in northern Australia? We explore the question of why, despite a well organised public service system in Australia, there appears to be a neglect of support for ageing in place in northern Australia. There are two cohorts of older people within the focus of this discussion of remote northern communities: The first cohort is made up of elders and grandparents within Indigenous remote communities, where one or a few extended families are living traditional lifestyles, on land or ‘country’ that has been inhabited for generations by their ancestors. The second cohort is typically a township and surrounding rural blocks, which are inhabited by a racially mixed community. It includes older people who had, in the past, been attracted to mining related work, then retired here (usually of European or Asian descent). It also includes people who retired to the township from their former homes on isolated farms and cattle stations. Heather Gibb

77 Finally, it includes Indigenous people who have been re-settled by government agencies in cheap post-mining welfare housing. In the literature review that follows, we examine three factors that impact predominantly on service delivery to older people living in the remote north. The first is geographical and population related challenges. The second factor is the Australian Government’s reforms to aged care funding that opens aged care to market forces governing its service organisation and provision. The third factor is the dearth of model design fit-for-purpose to the needs of remote communities. This includes the disconnect between mainstream models of service provision by government and cultural requirements in the way services are designed and delivered in remote communities. How the ‘disconnect’ may be overcome, is illustrated through the presentation of a successful model of community based care developed for Indigenous seniors in one remote community. Following this review of the literature, we present our own case study findings in support of an argument for an alternative approach to supporting people (Non Indigenous and Indigenous), ageing in remote communities. This approach involves a ‘bottom up’ design of services; co-designed with the community and reflecting the identified needs and wishes of the senior community. It also involves consideration of principles of funding that best support care sustainability in remote communities.

Geography and population related challenges

The remote regions of northern Australian are home to a relatively large Indigenous Australian population, as well as a smaller number of Non Indigenous Australians. Mainstream Non Indigenous populations are concentrated along the cooler, more temperate, southern and eastern coastal areas, in both urban and rural settings (Alston, 2007; Bourke, Humphries, Wakerman and Taylor, 2012). Rurality and remoteness are related along a continuum in Australia, and are measured according to a community’s distance from, and access to resources such as public transport, health and education (ABS, 2011). A community can be described as being in a rural or remote location as determined by the Accessibility/Remoteness Index of Australia (ARIA) classification, where ‘remote’ designates further distance from resource centres than ‘rural’. Remoteness is the most common designation of Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

78 communities across the north of Australia, while most small non-urban communities in the southern and eastern coastal regions are considered to be rural. It is important to understand the differences between these remote northern communities and the rural communities of the south. Differences include impacts of climate, distance, changing economic factors and low population, and the challenges these factors pose to resourcing and ensuring the survival of these numerous small communities.

Major geographic factors differentiating the northern regions

Several climatic and socio-economic factors are at the centre of the disparity between the north and the south, as places to live in Australia (Alston, 2007; Garnett et al., 2009). While the southern parts of the country (the Tropic of Capricorn runs through the lower north of Australia) enjoy a climate ranging from temperate to subtropical - supporting a wide range of agriculture - the north ranges from very hot and dry – that sustains almost no agriculture – to tropical in the far north. The far north is considered a primary resource frontier with major industry confined to mining and raising beef cattle (as well as tourism) (Garnett et al., 2009). Many remote northern communities are surrounded by unsealed roads and are situated between 500 and 1000 kilometres from a major resource centre such as a regional city. In the wet season (between November and April), roads can be inundated, cutting off communities in the tropical north except via air transport. This makes it practically impossible for some communities to access health care and support (Australian Health Ministers’ Advisory Council, 2015; Bourke, Taylor, Humphries and Wakerman, 2013). People ageing in these harsh conditions in Australia therefore have similar experiences to ageing communities in extreme northern hemisphere climatic conditions such as in Canada (Sims-Gould and Martin-Andrews, 2008) and Alaska (Foutz, Cohen and Cook, 2016). Historically, gold and uranium mines were responsible for the growth of small townships and surrounding communities in the 1950s to 1970s. These mines have in most cases ceased operating and local industry has contracted, leaving these townships poorly resourced for employment opportunities. They are ageing townships, as youth leave to seek work elsewhere (Alston, 2007). This scenario is similar to that of other developed northern countries where the ageing population that is left, has been described for the Canadian context, by Skinner and Hanlon, as the “neglected contexts of rural ageing” (2016, p. 2). Heather Gibb

79 Population factors

The ageing demographic of the remote northern region is reflected through census statistics (Australian Bureau of Statistics: ABS). In accordance with Commonwealth Census statistics reporting convention, the statistics reported here are for the central northern region of Australia – the Northern Territory- which has a large proportion of its population living in remote communities. Indications from a recent 2016 population Census are that the statistics reported below reflect ABS population patterns across the whole of northern Australia. Australia’s population is nearing 23.5 million. Of the 228,833 people living in the Northern Territory, the Indigenous population accounts for 35%, making this the most concentrated Indigenous population of any state or territory in Australia. This Indigenous population is made up of Aboriginal people from the mainland, as well as people who come from the Torres Strait Islands off the coast of north eastern Australia. Half the Indigenous population in the Northern Territory live in a non-urban location (ABS, 2016) and most of these locations are classified as remote. The overall proportion of Australia’s population aged over 65 is expected to rise from 13% in 2011 to 18.7% in 2031 (Hugo, 2014). Population projections in the Northern Territory suggest that this older population will increase from 15% of the population in 2011 to 22% in 2041 (Zeng, Brokensha and Taylor, 2015). Due to increased longevity associated with gradual improvements in health outcomes, the Indigenous population aged 65 and over is expected to reach 5% of the Northern Territory population by 2041 (Zeng et al., 2015). Given the relatively poorer health status and greater chronic health challenges amongst Indigenous seniors, old age for this cohort is usually considered to begin from early 50s. According to this measure, the proportion of the population considered to be elderly, will therefore be significantly higher than currently anticipated (Zeng et al., 2015). These statistics suggest that communities in the north are ageing at a faster rate than experienced previously. Aboriginal and Torres Strait Islander culture and ceremony are Australian icons presented to the rest of the world. Yet, according to government agencies and independent medical authorities, these communities have the poorest health indicators, have a higher mortality than the rest of Australia and experience the poorest living conditions of any Australian community (Aboriginal and Torres Strait Islander Social Justice Commissioner, 2005; Marmot, 2011). Highest amongst the causes of premature mortality among Indigenous Australians are cardiovascular Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

80 disease, diabetes, kidney disease and cancer — all diseases which, according to Marmot (2011), are closely linked to social causes. It follows then that older Indigenous people living in remote communities would be expected to have the worst health outcomes of any other sector of the population (Lindeman, Smith, LoGiudice and Elliott, 2017; LoGiudice, 2016). Many of these communities do not have access to appropriate health services or community health support (Bourke et al., 2013; Clapham, O’Dea and Chenhall, 2007). Where there are services, they may not be accessed by Indigenous people on account of their being culturally inappropriate (Lindeman et al., 2017; LoGiudice, 2016) or else inaccessible due to lack of transport (Australian Health Ministers’ Advisory Council, 2015). Moreover, it is reported how people living in remote communities experience more untreated injury associated with living in an unsafe environment, and experience poorer nutrition, often due to lack of access to affordable fresh food (Alston, 2007; LoGiudice, 2016). Despite these conditions and as a result of various interventions under the Closing the Gap program by the Australian Government (Australian Health Ministers’ Advisory Council, 2015), Indigenous Australians are slowly experiencing increased longevity (Australian Indigenous HealthInfoNet, 2017). This means that more people are living into older age and requiring support services to age well, living in their community. Reports on the health and welfare of remote communities presented above relate to communities as a whole. The specific determinants of the health status of older people in these communities are poorly represented in these investigations into remote community welfare. Sadana, Blas, Budhwani, Koller and Paraje (2016) however, emphasize how factors that determine health in later life are intricately tied to social determinants of health across the lifespan. For anyone at any age, social determinants of health include economic security, physical safety and feeling connected to friends and family. For Indigenous people, additional pertinent factors include connection to one’s land and factors of historical removal from one’s traditional land (Australian Indigenous HealthInfoNet, 2017). Loss of multiple psychological and social connections impact the health of Indigenous people globally, who, similarly with Australian Indigneous people, have lived through colonisation. Browne, Mokuau and Braun (2009) describe the negative impacts of colonisation on the health of older Indigenous Hawaiians, while Bethune et al. (2018) describe a range of social determinants of ill health for older Canadian First Nation peoples, including the relationship between social stressors and chronic disease. Dennis (2014) describes the impact of multiple losses of loved ones and loss Heather Gibb

81 of traditional land, on the health of older Indigenous Americans, while Wiles et al. (2017) analyse the value and importance of connection to place, in terms of health of older New Zealand Maori people. Lack of resources to care for community members as they age, is a key threat to the health of the community and individuals within it. A community resource base to maintain living one’s entire life on one’s land, is fundamental to sustaining these communities: “[Resources so fundamental as these] create conditions that enable people to take control of their lives...[and] lead flourishing lives that they have reason to value” (Marmot, 2011, p. 513). However, most Indigenous older people and their families are resigned to the prospect that, when the family can no longer care for the older person, that older relative will be transferred to residential care in a city that is too far from home for relatives to visit, and where care delivery does not accord with their own cultural constructs and understandings (Gibb, 2017a; Lindeman et al., 2017; Smith, Grundy and Nelson, 2010). While the main focus of this discussion has been on the current conditions for Indigenous older people living in very remote, traditional homelands, support conditions for Non Indigenous and Indigenous people living in small towns also classified as remote, is only marginally better.

Marketisation of aged care services

Funding to support ageing-in-place in Australia is complex; in the case of regional and remote service delivery, funding is even more complex. While primary health service (including community health services) funding is shared by the Australian (Commonwealth) and state/territory governments, funding for the delivery of residential aged care or community aged care is controlled centrally by the Australian government. It provides community aged care funding in financial ‘packages’ with prescribed limits on funding of different services. Until recently, these packages were allocated to accredited aged care providers, all city based, who were responsible for dispersing these packages to clients who were assessed as eligible for care assistance. In recent decades, aged care provision has been shifted to a market based economy, away from the traditional tax-based social welfare system (Alston, 2007). This Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

82 new system operates on free market forces shaping how services are delivered and reflects a trend throughout the developed world (Jones and Heley, 2016; Thompson and Postle-Lecturer, 2007). Here, the emphasis is on older people taking more responsibility for their care in the form of user contributions. This has taken the form of a user controlled system referred to as Consumer Directed Care (CDC), following a similar approach developed in the USA, UK and New Zealand (Ottman, Allen and Feldman, 2013). This new system allocates a financial package directly to eligible older people, who must then engage appropriately accredited practitioners or carers to deliver this care. While this change is framed as increased choice for aged care consumers, several commentators have questioned the extent to which an older person really has the freedom to exercise choice between meaningful options (Andersson and Kvist, 2015; Brennan, Cass, Himmelweit, and Szebehely, 2012). Many older people find the administration of CDC too onerous, especially as they become more frail (Ottman, Allen and Feldman, 2013). Moreover, when basic services are not even available locally, such as in remote communities, then under marketisation of care, the introduction of services to small communities is likely to be considered as financially not viable (Leonard and Johansson, 2008). Hence, the lack of services to these regions. Concern about enactment of aged care policy led the Australian government in 2011 to engage its productivity commission to conduct an inquiry into its aged care services (Productivity Commission, 2011). The report from the commission presented the following stated goal as the government’s benchmark by which it reviewed service delivery: “[to] ensure that all frail older Australians have timely access to appropriate care and support services as they age” (Productivity Commission - Overview, p. xxvii). Prior to the 2011 inquiry, a discussion paper released jointly by the National Rural Health Alliance (NRHA) and Aged and Community Services Australia ACSA (NRHA/ACSA 2004), entitled Older people and aged care in rural, regional and remote Australia, argued that while people preferred to remain and age in their own familiar environment, services to support that happening in the bush were not available. Or, if there were services, standards of care were way below those enjoyed by metropolitan counterparts. Furthermore, while some rural communities theoretically had access to care supports, there were usually long waiting lists as care packages were already allocated to other service recipients. Packaging care, it is argued in the inquiry, gives access to people with higher level, complex needs; meanwhile other older people, whose needs for support to age in place are less complex but just as critical, miss out. Finally, it has been noted in several of these reports that what has been packaged to date as aged care services, is designed and funded on a metropolitan model of aged care; it does not work for small rural and remote places. Heather Gibb

83 The inquiry recommended abandoning care packaging in favour of a flexible range of supports based on entitlements, with direct access to support for low intensity care need. The NRHA’s (2011) response to the inquiry expressed concern that older people outside metropolitan areas would continue to ‘fall through the cracks’ between service sectors, unless there is a special focus on how coordination between agencies will be achieved in rural and remote areas. While government policy discourse valorises ‘ageing in place’, the reality is that, by adopting the neoliberal platform of turning aged care over to market forces, it fails to safeguard the delivery of support services that would successfully promote ageing- in-place (see Keating 2008; Skinner and Hanlon 2016). At a minimum, ageing in place means access to the kinds of services that help maintain older people’s capacity to age in places of their choice and to actively retain their roles and social place in community.

Dearth of model design fit-for-purpose of ageing in remote places

The following discussion explores further why the current system of marketized health care fails to safeguard the needs of Indigenous people living a traditional lifestyle in remote homelands. Mainstream health and aged care practices are delivered in a cultural construct that is at odds with that of Indigenous people from remote communities and causes them a great deal of distress, if they are forced to accept them (Lindeman et al., 2017; LoGiudice et al., 2012). For example, to achieve cultural safety in care giving, decisions relating to care of older people must always be made at the community level, usually in community councils and not by health professionals. The means of giving care, at what time and by whom, is governed by strict cultural observances to do with ceremony and kinship within Indigenous communities; these need to be understood and complied with. What can work for Indigenous communities is captured in a case study reported by Smith et al. (2010). This action research study involved members of a remote Indigenous community in central Australia, developing a fit-for-purpose community support program for older people – ‘The Old People’s Program’. As custodians of culture and custom, older people were active participants in the design Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

84 of services and mechanisms of delivery. They also comprised the management committee that continued to oversee the delivery of services beyond the period of the research. Three key themes emerged from this case study representing essential features of a community aged care model that is fit for purpose within a remote Indigenous context.

Theme 1. Community control

Planning was undertaken at the community level according to priorities set by community members and their perceptions of timing and pace of development. In practice this meant giving an appropriate length of time to consolidate and improve existing services; then identifying and trialling ways to meet new issues, if and when they arose. Development of services occurred through a continuous consolidation- and-review process that honoured values of immediacy, mobility and intimacy that encircle everyday life in the community.

Theme 2. Cultural comfort

Service provision was informed by, and provided within, the cultural practices of the local people, rather than within another cultural construct: “Hands on services are delivered primarily by local people who speak Warlpiri and are known to the client group” (Smith et al., 2010, p. 7). Care giving had to follow cultural protocols. Services of care were required to be carefully organised along kinship obligations and relationships, avoidance relationships, in accordance with spiritual beliefs, and other cultural observances such as the significance of fire and sleeping arrangements. There also had to be some adaptation of ceremonial events, to allow care workers to sustain their ceremonial obligations while preserving continuity of care services.

Theme 3. Two services working together

Mainstream services –from an alternate cultural construct – were seen as supplementing the services plan designed within the community. Mainstream services generally included a primary health clinic that employed Non Indigenous medical and Heather Gibb

85 allied health staff. This alternate framework in which the clinic staff worked, had to be integrated carefully within the Indigenous design of service delivery. In the event of a complex case needing acute or sub-acute care, meetings would be held with family, care workers and the health clinic staff present to form a health plan. If the issue pertained to more than a service issue, then the case would be referred to the elders’ Management Committee. In this model, mainstream services function in a supportive and complementary manner. Professional services to the community are accountable and responsive to a local management system that is governed by structures and norms of community tradition. Senior members of the community thereby lead in decision making about service planning and delivery that is culturally appropriate. International literature on resilience amongst older people, identifies how the sense of purpose and connection with an important social role, continues to be as important to sustaining physical and mental resilience of people past retirement, as it is during their working life (Clark, Burbank, Greene, Owens and Riebe, 2011; Morrow- Howell, O’Neill and Greenfield, 2011). Just as community structure and culture varies dramatically across the world, so older people sustain their roles in community in different ways (Hodgkin, 2012). Coall and Hertwig (2010) analyse the value of grandparental altruistic investment in their grandchildren in European societies, while Browne et al. (2009) present the value to Hawaiian Indigenous older people of participating actively in shaping the community’s direction. Pathike, O’Brien and Hunter (2019) portray how northern Thai older people continue to push themselves beyond limitations to their own capacity, in order to remain connected to their purpose (usually work) and their values (customary practices and beliefs). In Australia, each Indigenous community is unique in its cultural practices and customs. However, common themes can be found. The role of older people is in keeping traditions alive: keeping culture strong by observation of ceremony and through story telling, maintaining connection to the land (Smith et al., 2010; Spencer and Christie, 2017; Warburton and Chambers, 2007). These older people invest immense time and effort in maintaining and transmitting culture. They also have roles as advisor, support for troubled youth (Warburton and McLaughlan, 2007); even serving on committees that manage delivery of services to the community (Smith et al., 2010). Similarly to Australian Indigenous older people, Alaskan seniors are community educators and transmitters of cultural knowledge (Lewis, 2014). Lewis draws the connection between having purpose and worth in older age and achieving the eighth stage – that of ‘generativity’ - in Erikson’s stages of psychosocial development Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

86 (Burton, Westen and Kowalski, 2012). For older people generally, ageing successfully relates to feeling integrated into one’s community (Clark et al., 2011). Given the evidence for the relationship between maintaining active community roles and personal resilience and wellbeing, providers of formal care and support need to avoid rendering older people passive and compliant care recipients.

Evolution of a more appropriate funding model

In recent times, the Australian government has developed an alternative funding model for traditional Indigenous communities, based on ‘allocation of places’ not occupancy of a place (or package) (Department of Health and Ageing, 2011). This means funding is set by the size and scope of service requirement in a community, not the allocation of a service package to individuals. This funding arrangement is called the National Aboriginal and Torres Strait Islander Flexible Aged Care Program (NATSIFACP) and is designed to allow a local governing body to oversee the arrangement and delivery of services in response to community need. This has the advantage of achieving a closer cultural fit to the specific needs of older people in that community, in the way services are delivered. The NATSIACP has been received well by traditional Indigenous communities. Its limitation lies with the inflexibility of the program’s deployment. No other Indigenous (or Non Indigenous) communities can access this funding model; currently it appears that the only eligible beneficiaries of this program are those living in a traditional Indigneous community. A recent legislated review into aged care (Department of Health, 2017) was conducted in Australia, which returned a recommendation that the NATSIFACP be extended to all communities providing care to Indigenous people. A few local government councils in central Australia have undertaken to fill the gap in ageing support services to communities – both traditional Indigenous and mixed race - by extending the scope of their own operations to deliver care services to frail older people in their homes. These services include provision of personal care, home support and cooked meals (Gibb and Dempsey, 2018). Council staff report having to deal with and resolve unique exigencies -and associated costs - that would never be borne by city-based providers of aged services. For example, high costs are associated with supplying expert tradespeople to maintain and repair the ovens in remote communities that are used for preparing food for seniors. There are also costs to these councils Heather Gibb

87 associated with transportation of fresh food in refrigerated trucks and aircraft over thousands of kilometres. There is currently no financial support from higher tiers of government (state/ territory and Commonwealth) to meet these extra costs. Council staff report feeling that neither state/territory nor Commonwealth Governments really understand remote communities and their needs (Gibb and Dempsey, 2018). A further dilemma at present for local government councils in remote regions is that they are forced to operate in two parallel systems – the flexible NATSIFACP system for Indigenous communities living traditionally, and the administratively cumbersome and inappropriate market based system of individualised care packages, for everyone else living in a remote community (Gibb and Dempsey, 2018).

Case study of ageing in remote townships in the remote north

The Non Indigenous ageing population in the remote north appears to be unrecognised by government agencies and therefore completely neglected in ageing policy, as well as ageing studies. To address this gap in knowledge, we conducted a case study of ageing in a small, mixed race township in the NT that is classified as remote.

Method

The value of the case study research method lies in its facilitation of in-depth examination of social issues, focusing in on complex contextual factors (Yin, 2014), such as cultural and geographic features of small remote communities (Keating, Eales and Phillips, 2013). This allows for an appreciation of the uniqueness of communities and can avoid unhelpful generalisations when applying research knowledge to service design and planning (Atchan, Davis and Foureur, 2016). The study was conducted in two stages with the aim of developing more understanding of people’s experience of ageing in a remote northern setting. The first (stage 1) was carried out with Non Indigenous seniors. The second (stage 2) involved informal interviews with Indigenous seniors living in the town along with their cultural guide and interpreter. Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

88 Stage 1: Non Indigenous participants

Setting The study was conducted in a region classified as remote, south west of Darwin. Members of this community were approached through the local branch of Council of the Ageing, Northern Territory (COTA, NT) and invited to participate in the research. A ‘snowballing’ method was used to invite other older people to participate in further interviews. Initial meetings and follow up discussions were held in the local bowls club-room, in the town centre.

Participants Fourteen senior members of the community participated voluntarily in an interview of no more than an hour and a half, in length. All participants, except for one 61-year old, were between 65 and 80 years old. This younger participant took part together with her older husband, for whom she acts as a carer. No participant identified as an Indigenous Australian and no participant was living in the same region as their children or other close family members.

Process All interviews were conducted, by choice, in their own or a friend’s home. Six participants were interviewed individually. Eight volunteered as a couple, so were interviewed as a couple. Ethical approval to carry out the research was obtained from the Charles Darwin University Human Research Ethics Committee. Interviews were largely unstructured and commenced with an invitation to the interviewee to share what it is like living and growing older in this place. Prompts were given to elaborate on issues raised that related to enhancement or obstruction of one’s resilience and capacity to remain and grow old in this place. Interviews were recorded digitally then transcribed verbatim by the lead researcher. Transcripts were sent back to participants for review. Some made significant changes to content, usually eliminating references to the lives of other people. Once transcripts were reviewed and validated by participants, open coding was carried out using NVivo software for interpretive data analysis. Interview quotations were organised into a hierarchy of thematic categories, which were then subject to a further level of interpretation via the use of theoretical coding (Charmaz 2014). This step in interpretive coding draws out relationships between categories and Heather Gibb

89 subcategories and specifies properties and dimensions of the relationship. From this level of interpretive coding several broad categories were chosen, which provided a rich grounded theory comprising the more fundamental categories of meaning. Two follow up focus groups were held over the following six months involving these participants, who also invited friends or spouses (three additional seniors) to join in. These meetings revisited and worked over the themes, adding further focus and clarity to the major common issues concerning the ongoing wellbeing of this community. Topics emerging as key concerns for further discussion were transport, personal care support and respite care support. Researchers and community members also met socially during these field visits and people informally shared perspectives on thoughts generated in the interview. Community members also emailed additional thoughts that elaborated on their responses, or on some thought that developed following our field visits.

Stage 2: Indigenous participants

In the following year the researcher returned to the mixed race community and with the assistance of an Indigenous cultural guide, conducted a brief interview (approximately half an hour) individually, with four Indigenous seniors aged between 55 and 65 years, living within the township (2018b). Three of these meetings took place in the garden of the interviewee while the fourth took place in a public park. The cultural guide (an Indigenous woman, middle aged) who also works as an aged carer, consented to being interviewed and contributed information on the perspective of the Indigenous community, concerning aged care support in the region. Questions asked of interviewees, as well as transcription and analysis of interviews was similar to the process described above for Non Indigenous participants.

Findings and discussion – Non Indigenous seniors

In this section, thematic findings are presented from interviews with Non Indigenous seniors, along with a selection of supporting verbatim quotations. Quotations are identified by a number (e.g. P1) and gender (M = male, F = female). Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

90 Non Indigenous seniors live either in the township or on rural blocks surrounding the township. Some are not known to any government authority until they appear at the primary health clinic, seeking assistance for a health problem. Many of these people moved to the north of Australia as part of the mining workforce between the 1950s and 1970s and retired in the area. Others were born and raised on cattle stations and have lived all their lives in the region. Non Indigenous members of remote communities also find mainstream service design to be inappropriate to their needs as a community. Those older people interviewed in our study described how the prescribed services offered to individuals from a menu and costed as a ‘package’ are often a poor fit with the recipient’s needs and offensive to people’s self reliance. What is needed, in their view, is greater flexibility to adapt this offer of assistance to their circumstances:

Well, when you’re faced with basically no help from outside organisations, you have to stand on your own two feet and work out ways of doing things. And therefore, you do become independent and resilient. Because you start looking at, how can I do things to help myself before reaching out to the organisations to come and do it for you? As a result, these people become very clear about the best way to go about self care and caring for their loved one (F1 caring for spouse).

[Once], the aged care people did come down and assess the house. But one of the things that we found with them was that they had a set plan, steps 1 to 10. And [they] weren’t prepared to deviate: ‘you’re at this stage and this is what you will have’ irrespective of whether what they were offering was safe or adequate or necessary. They were adamant that you would have that. And I think in a lot of cases, people [who] come out to assess patients, should also listen to carers. But the people from the aged care said, ‘that’s step number eight and that’s what you will [have]’ (F1).

Moreover, services from a provider external to the community usually lack any organic connection with the community’s capacity to look after itself. Rather than adding to resources in situ, they often incapacitate this local resource:

I mean, it’s about there’s a lot of willing[ness] in a rural community to support one another. And people put energy into that in one way or another. And you don’t always know about it if you’re not personally involved in it. But if somebody comes along and says, ‘well, we’ve got to have all these support Heather Gibb

91 services’, those support services need to fit with [what’s in place], not ride roughshod over it (M1, caring for partner).

Remote aged care delivery requires new approaches to establishing collegial respect and mutuality between external professional service providers and volunteers already working in the community (Shen, 2012). Policy for the planning of services to remote communities requires a more innovative way of thinking that doesn’t reduce community to its individuals. As one participant described his experience:

Services tend to divide communities into individuals … communities are individuals, but Community is more than [just a group of individuals] (M2).

‘Off the shelf’ aged care packages are not the answer to the service needs of remote community members, as these threaten the subtle relationship older people have with other community members (providing mutual help) and with place (integration with place forged through collective volunteering). It is the support by governments for this diversity in resource need and flexibility in its delivery, that Keating et al. (2013) argue, really determines what makes an age-friendly community. This case study with the Non Indigenous people living in a remote township in the NT found that volunteering was an important occupation of older people that maintained their independence (Gibb, 2018a). This finding is supported by research literature on volunteerism that sustains ageing communities in developed countries also in the northern hemisphere (Gjertsen, Ryser and Halseth, 2016; Rozanova, Dosman and Gierveld, 2008). People who choose to remain and grow old in remote regions of northern Australia, are generally characterised as highly resourceful and self reliant (Gibb, 2017b). These people contribute by giving immense time and energy to mainstream community life, as an investment in mutual survival to fill the gaps of services are not there . Retired people described their volunteering work in formally organised public programmes, such as staffing the tourist information centre and working to restore the historic museum (Gibb, 2018a). They also described scenarios of informal assistance to each other; for example, a retired plumber fixing plumbing for other people, or an ex-nurse who assisted people with showering/bathing and dressing following hospitalisation or a fall. The rendering of assistance to each other took place freely on an implicit, indirect ‘pay back’ system, or a ‘pay forward’ system, where acts of support were given to someone else. Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

92 Most older people interviewed described an intense sense of belonging to the place in which they had chosen to grow old. For some it was simply the familiar – it had always been home. For retiree immigrants, it had offered new opportunities. Many described an energy or vitality that seemed to be forged through mutual commitment to living there and volunteering time and skills to the community. The degree of commitment to place is comparable with the notion of ‘integration with place’, which Cutchin (1997, cited in Hanlon, Skinner, Joseph, Ryser and Halseth, 2014) describes as occurring through shared opportunity to participate in solving practical problems affecting life, in that place. Ironically, as people who live within remote communities become older and face increasing frailty, integration or deep connection with the place makes them highly vulnerable, given the lack of formal services of social and personal support to sustain them. During the time of interviewing these older people, the husband of one couple was struggling with advancing dementia, and soon required dementia support services. This forced the couple to leave their small farm near the township and relocate to a capital city. The woman had been born on a cattle station and lived her whole life in the region; her husband had moved to the area to work in the mines as a young man. She described the forced move as breaking her heart.

Findings and discussion – Indigenous seniors

The Indigenous people involved in this study are living in welfare housing. They are not part of the volunteer system of care and sociability enjoyed amongst the Non Indigenous community of seniors. Rather they tend to keep to themselves and rely almost completely on extended family for their company and support to age-in-place. They were not aware at the time of the interview, about government funded services they might be able to access as they become more frail and in greater need of extra support. The township in which they live in is not recognised as a traditional Indigenous community; hence, these people are not eligible for the kind of community controlled service funding arrangement that is codified in the National Aboriginal and Torres Strait Islander Flexible Care Program (NATSIFACP). As a result these people suffer the Heather Gibb

93 same lack of access to appropriate care assistance in their home, as do older Non Indigenous people living in the same town. Amongst this Indigenous cohort are older people who up until the 1960s were forcibly removed from their parents through interventions arising from government protectionist policy (Human Rights and Equal Opportunity Commission, 1997). These members of the ‘Stolen Generations’ were often unable to reconnect with their families or return to their traditional homeland. Over a lifetime they have sought affordable housing in hinterlands outside major cities or in remote townships. It appears that Indigenous people in these townships who are known as the Stolen Generations, are doubly disadvantaged. Firstly, they do not receive the benefit of being in a traditional Indigenous community, receving flexible NATSIFACP funding for their care and support. Secondly, as Warburton and McLaughlan (2007) describe, and as we observed, Indigenous older people do not participate in mainstream community networks of informal care that Non Indigenous people create and benefit from (Spencer and Christie, 2017). Indigenous people are more likely to invest effort and time into family. Cut off from their extended family as these members of the Stolen Generations are now, and unable to return to their homeland, these people tend to be the most isolated (Gibb, 2018b). This discussion has highlighted how services to remote communities cannot be designed and imported from elsewhere: “To be successful, a service needs to be relevant, and to be relevant, services need to take a community development approach in their development and ongoing management” (Lindeman et al., 2017, p. 124). To summarise, research findings highlight both the need to change mainstream funding models of aged care support for remote communities, as well as the need for greater understanding and involvement of the communities themselves in the design and delivery of services (Greenhalgh, Jackson, Shaw and Janamian, 2016). From our understanding of the experience of growing older in remote townships, it is becoming clear that these older inhabitants (both Indigenous and Non Indigenous) require greater equity in service accessibility. This could be achieved through the NATSIFACP being adopted for supporting ageing in place, in Australia’s remote north. This approach is reminiscent of the former community focused and equity based welfare model (Brennan et al., 2012), which has all but been abandoned in Australia and other developed countries (Kendall and Reid, 2017). In other words, funding support would be delivered according to the NATSIFACP for all people ageing in any remote community, regardless of the racial Addressing Addressing neglected contexts of ageing: The situation in remote northern Australia

94 composition, or its status as a traditional Indigenous community. Extended to all remote communities, the model could foster volunteerism and collaborative development within the services design platform; cultural appropriateness of ageing support services would thereby be underscored as a policy priority for all older people.

Conclusion

Many older people living in remote regions in northern Australia are unable to access appropriate, or in many cases any services at all, that would support them growing old in their community. Increasingly, governments choose market-based approaches to curb escalating costs of providing ageing support. This approach leads to further disadvantage for these small ageing communities, given that resourcing support services on a small scale is considered not financially viable. With data emerging that highlights the advancing age of rural and remote populations, government agents and medical researchers feed into the national spotlight accounts of substandard service development in these regions. There is an opportunity at this point for researchers and health practitioners to demonstrate alternative approaches to delivering support for ageing in place and for different policy frameworks, following a few outstanding case studies that demonstrate ‘what works’. Throughout the paper an argument is mounted for a revision of the funding models used by the Australian government in acknowledgement that market forces make aged care provision untenable in small remote communities. On the other hand, there is evidence that communities themselves have the capability to develop and manage aged service provison with a simpler funding system and a different approach to partnership in the ‘at-home’ aged care space. However, in the current political climate where welfare policy is being replaced with neoliberal market based policy in determining how mainstream services will be provided, these demonstrations are likely to continue to be merely regarded as ‘special cases’. Funding algorithms used in defining needs for aged care that the Commonwealth Government is prepared to fund, will project a normalised view of older people as urban dwellers, living in proximity to service providers and whose needs may be regarded as individualistic in nature. Under tight budget regulation, the most efficient way to service these needs is the dispatching of itemised service Heather Gibb

95 activities (tasks) to individuals according to a predictive algorithm of decline and deficit. In remote Australia, older people will continue to be stoic, oriented to mutual survival and regarding the welfare of others in the community to be vitally linked to their own. They will survive, but only just. This outcome is not justifiable within a national ethos that upholds and values equity and cultural respect.

References

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101 Reframing rural governance: gerontocratic expressions of socio-ecological resilience

Mary Gearey and Paul Gilchrist University of Brighton, United Kingdom

10.4422/ager.2019.12

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 103-127 Reframing rural governance: gerontocratic expressions of socio-ecological resilience

Abstract: This paper contributes to a developing literature which explores the role of elder community networks in supporting rural governance. In response to current austerity politics within the UK it is argued that the formal and informal networks utilised and enacted by older people are fundamental in enabling local governance to adequately function. Further, the paper explores the ways in which these civic engagements by older residents can be understood as performances of resilience. The foci of the resilience spaces in this paper are the rural Parish Councils, local community action groups and environmental campaign organisations who undertake a range of local activities. These both replace services lost through austerity cuts and raise awareness of these changes. As these civic groups are often led by local elders, we argue that what has now developed in response to austerity politics are rural gerontocracies. Using empirical fieldwork, which explored local water resources management issues in three interconnected rural UK villages, the paper examines how the development and transmission of rural socio-ecological resilience by older people provides a critical reinterpretation of what is understood by the resilient subject, to recognise the pivotal role of burgeoning gerontocracies in rural environments.

Keywords: Gerontocracies, socio-ecological resilience, local governance, rural networks, United Kingdom.

Reestructurar la gobernanza rural: expresiones gerontocráticas de resiliencia socioecológica

Resumen: Este documento contribuye al desarrollo de la literatura sobre el papel de las redes comunitarias de personas mayores en la gobernanza rural. En respuesta a la actual política de austeridad en el Reino Unido, se argumenta que las redes formales e informales utilizadas y promulgadas por las personas mayores son fundamentales para permitir que la gobernanza local funcione adecuadamente. Además, en el documento exploramos las formas en que estos compromisos cívicos de los residentes mayores pueden ser entendidos como actuaciones de resiliencia. Los focos de atención de los espacios de resiliencia en este documento son los consejos parroquiales rurales, los grupos de acción comunitaria local y las organizaciones de campañas medioambientales que llevan a cabo diversas actividades locales. Todos ellos sustituyen a los servicios perdidos por los recortes económicos y financieros, y aumentan la concienciación sobre estos cambios. Como estos grupos cívicos, a menudo, son liderados por jubilados residentes en el espacio rural locales, argumentamos que lo que ahora se ha desarrollado en respuesta a las políticas de austeridad son las “gerontocracias rurales”. Utilizando un amplio trabajo de campo empírico, organizado alrededor de los problemas de gestión de los recursos hídricos locales en tres aldeas rurales interconectadas del Reino Unido, a continuación exponemos cómo el desarrollo y la transmisión de la resiliencia socio-ecológica rural por parte de las personas mayores, proporciona una reinterpretación crítica de lo que es entendido por el sujeto resiliente, para reconocer el papel fundamental de las gerontocracias emergentes en los ambientes rurales.

Palabras clave: Gerontocracias, resiliencia socio-ecológica, gobernanza local, redes rurales, Reino Unido.

Received: 23rd May 2019 Accepted: 14th July 2019

How to cite this paper: Gearey, M., Gilchrist, P. (2019). Reframing rural governance: gerontocratic expressions of socio- ecological resilience. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 103-127. DOI: 10.4422/ager.2019.12

Mary Gearey. ORCID: 0000-0002-2172-2323. E-mail: [email protected] Paul Gilchrist. E-mail: [email protected] Introduction

‘Resilience’ lies at the heart of contemporary United Kingdom (UK) government policy, framed around community preparedness to “threats and hazards” (Cabinet Office, 2011, p.5). Some, such as Kitson, Martin and Tyler (2011), have suggested that this is a direct response to a new ‘austerity’ politics. They suggest that the emphasis on building community resilience has deepened as the state has devolved its activities. This has led to central government delegating its responsibility for a range of resilience activities within local communities. Orientated around developing local resilience, these activities include flood response, neighbourhood planning, the funding and provisioning of emergency services amongst others (Sage, Fussey and Dainty, 2015). It is argued that a new form of governmentality, particularly a neoliberal governmentality, has been created that operates at a specific scale (Sage et al., 2015; Joseph, 2013), a phenomenon that Mackinnon and Derickson have described as “the spatial politics and associated implications of resilience discourse” (2013, p. 254). Governance theorists have termed this technique ‘responsibilisation’ (Peeters, 2013) through which the state nudges, encourages or incentivises citizens to become involved individually or collaboratively with finding solutions for a range of local social issues. Resilient behaviours and actions, as a trope of responsibilisation, shifts the location of agency from a top-down provision of government to a bottom-up resource that then resides in a local community. This radical change in spatial scale also, necessarily, entails a shift in power dynamics. Resilience becomes a politically Mary Gearey and Gilchrist Paul

105 weighted term, as the impacts of externally generated and driven macro events are expected to be managed and mitigated at the micro scale. Social and environmental resilience are fused together within the ambit of an anonymised, generic and yet contested (Wilson, 2010) understanding of community. As greater responsibilities for policy delivery are handed to communities through local governance structures and new planning frameworks, e.g. the Localism Act 2011 and the 2018 National Policy Planning Framework, (see Cabinet Office, 2010, 2011; MHCLG, 2018), the role of Parish Councils is increasing in influence and impact. Parish Councils are, in effect, the lowest tier of local civic governance in England. Councillor posts are voluntary, yet selection is through an election process, with only local residents eligible. Parish Councils’ remit are to serve the needs of their local community of residents. Parish Council membership has an average age of 60 years (House of Commons Communities and Local Government Committee, 2012, p. 36), 15 years older than the median age of the 2014 UK population (Office for National Statistics, 2015). Data is scarce on rural parish councillor demographics, but they are highly likely to reflect the age profile of rural settings which are “disproportionately elderly” (Kinsella, 2001, p. 315). This discrepancy between the younger working adults and the more civically active older retired adults reflect wider patterns of local political engagement (Biggs, 2001) in response to social policy shifts. There is, in effect, a gerontocracy operating at this micro scale; decision-making and action are undertaken in the main by older members of the community. We are presented then with a gerontocracy tasked with operationalising community resilience and this has important civic implications in terms of inequalities of democratic participation in an ageing society (Berry, 2012). A gerontocracy can be understood as a political elite populated mainly by elders, generally deemed as people of 55 years of age and above. Care must be given to interrogate the ways in which the term ‘gerontocracy’ is often presented negatively in the literature, framed as the political dominance of an introspective and conservative cohort. Rather it is suggested here that civic engagement strategies led by energised, skilled local elders have the potential to be hugely beneficial to communities, particularly within rural spaces impacted by austerity measures. This paper utilises data captured through empirical fieldwork to explore these issues in more detail. The first aim is to understand how gerontocratic performances and actions may shape a particular kind of community network resilience; and how this supports or negates responses to government policy at a local scale. The second, and related aim, is to explore how these various forms of gerontocratic activity enrich our understanding when considering presentations of socio-ecological resilience Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

106 within the literature. The paper opens with a literature review on debates surrounding pluralities of meaning with regards to socio-ecological resilient actors and embedded agency in rural settings to then consider rural resilience and local governance. The paper then utilises empirical fieldwork, focusing on community responses to water resources management issues within three waterside rural villages, and a review and discussion of the case study results. Water resources management is explicitly used as the focus to contextualise resilience issues at the micro level due to its universal impact on all sectors, and ages, of rural communities.

Socio-ecological resilience – emergences of understanding and actions

Much theoretical work has been undertaken exploring the contribution that resilience as a concept for understanding systemic change can make to social science (Adger, 2000; Davidson, 2010; Davoudi et al., 2012; Folke, Colding and Berkes, 2003; Holling and Gunderson, 2002). Resilience has swiftly become a useful concept through which to explore human-nature interdependencies. Moving on from a strictly ecological theorisation which considered thresholds and recovery phases in complex, dynamic ecosystems, scholars have sought to understand resilience within human contexts. This has led to a ‘second phase’ of resilience theory, termed socio-ecological resilience. In this new context the adaptive capacity of socio (or social)-ecological resilience systems and their responses over time and at different scales, has demonstrated the need to think about social and environmental relationships in tandem. Resilience as a lens of analysis expands to include any human and more- than-human interdependencies. This opens up the sites of resilient responses to include personal resilience, whether mental, physical or social (Ungar, 2012), institutional resilience at multiple scales (Shaw, 2012), disaster management (Davoudi et al., 2012) and financial systems (Peria, 2001) amongst others. In many ways resilience has replaced ‘sustainability’ as the lens with which to unpick complex, dynamic social and ecological interactions. This emergent paradigm repositions resilience not as a fixed target to attain, but as an ongoing process, due to the open, dynamic nature of the systems under analysis (Kim and Lim, 2016). Mary Gearey and Gilchrist Paul

107 Adger’s work has proved particularly insightful to the development of the social-ecological resilience literature. In particular, and over time, Adger’s work has increasingly focused on natural resource dependent communities to understand the interplay between individuals, social groupings and communities (2000), to explore the dynamic between resilience and vulnerability. For Adger it is social capital that is the essential, integral ingredient which shapes an individual, group or community’s ability to influence resilient outcomes. Adger extended the analysis to connect people with their lived environment but with humans as the agents of change; providing a persuasive anthropocentric component to the debate (Adger, 2006). This perspective also resonates with Elinor Ostrom’s research (1999) on communal behaviours and actions with regards to natural resource management practices. For Ostrom embedded knowledges regarding sustainable practices are rooted within the lived experience within one’s environment. This connection of social and ecological resilience – how individuals, families, groups, communities respond and manage change both between themselves and with regards to the ecosystems and environments they are connected with, and depend upon - widens and deepens the analysis. Wilson (2015) has termed this the social resilience paradigm. Within this perspective the focus lies on issues of agency; that human agency is the element which, as Davidson states (2010, p.1142-1143), “distinguishes social systems from ecosystems”. Throughout, people and place are at the heart of the analysis.

Embedded agency and pragmatic resiliencies in rural communities

Central to the socio-ecological resilience literature, and to the UK government’s focus on localism, is the performance of the ‘resilient’ subject. For resilience to flourish the subject must exhibit some form of agency which enables these actors to champion their own individual capacities and to connect with others. Cinderby, Haq, Cambridge and Lock (2015) utilise Callaghan and Colton’s (2008) pyramid of community capital and resilience to explore how six key community assets (economic, built, cultural, social, natural and human) interconnect in dynamic interplay to enrich individual and collective lives. Although Cinderby et al.’s work provides a fascinating overview of a Participatory Action Research community project’s life cycle, its analysis fails to Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

108 engage with detailing the characteristics of a resilient subject. Instead we are signposted towards the importance of “community salesmen” or “mavens” (2015, p. 1267) rather than provided with an explanation of who was involved with their project and their reasons for participation. The literature then reveals that more fieldwork is necessary to identify resilient subjects and their reasons for action, particularly in a rural context. Within the UK over the last twenty years responses to rural flooding have initiated a growing body of research regarding community resilience. Sarah Whatmore’s work has explored the nuances of community-level knowledge and expertise around local resources (Whatmore, 2009; Lane et al., 2011) to interrogate the ways in which local co- produced solutions to flooding informs our understandings of the wealth of vernacular knowledge that exists around water resources. McEwan, Hughes, Bek and Rosenberg’s 2014 work thinks widely around the importance that landscape, and expressions of place, play with regards to formations of the self and articulations of individual agency that arise from this. These can be thought of in terms of what Wilson (2015, p.237) has described as “encoded” learning, whereby specific knowledge related to a particular environment is shared within a community, leading to embedded agency within those community members. How this agency adapts to change seems to be a key facet of resilience. However, the idea of capacities for civic action residing in rural places, is challenged by the stark realities of population change. An issue faced in many rural places is that of ageing, specifically the increase of older people living in rural communities (Scharf, Walsh and O’Shea, 2016) and demographic changes predicted to be experienced in Europe as a result of the rate of youth out-migration overtaking that of in-migration by older groups (Burholt and Dobbs, 2012). Given the expanding responsibilities of Parish Councils, it would seem that there are important political socio-spatial implications of population ageing. The International Rural Ageing Project (1999), an expert review of rural ageing, found that older citizens were an untapped resource, their contributions to effective rural policy and planning often overlooked in favour of a view of the rural elderly as service consumers instead of active citizens (see also, Munoz et al., 2014). However, there is a continued absence of research on the participation of older people in civic engagement activities and policy-making (Burholt and Dobbs, 2012), making any systematic assessment of the involvement of the elderly in community resilience difficult to assess. Scharf et al. (2016) provide a detailed synopsis of current rural gerontology research which they attribute to three factors: a renaissance of “environmental gerontology” (2016, p. 51) within social gerontocracy; the recognised impacts of Mary Gearey and Gilchrist Paul

109 globalisation and lastly the continued disparity in rural livelihoods compared with urban communities. Evidence suggests that there is a growing recognition that the rural is not a static place in terms of elder populations. Rather, in-migration after retirement attracts an older cohort of new community members bringing with them new skill sets and a willingness to participate and engage in civic and social activities (Glasgow and Brown, 2012). This alerts us to the need for gerontocratic scholarship which is pivoted on robust empirical research, not predicated on assumptions regarding inherent rural elder vulnerability. Roberts and Townsend (2016) highlight the adaptive capacities of rural communities. Yet little attention has been paid to the concept of the types of political power older people influence in rural spaces. An ageing and expanding rural demographic, along with a recognition of elder civic engagement in political and civic processes, leads us to argue that a rise in rural gerontocracies are a feature of localism endeavours. Given the range of organisations and institutions which are engaged with governance practises we can also reimagine gerontocracies as operating at a variety of scales. Berry (2012) presents an older cohort in many European parliaments and local government as a catastrophic political time bomb. These views are supported by a range of political commentators and scholars who present elder politicians and governance practitioners as risk averse (Torres-Gil and Spencer-Suarez, 2014), economically stagnant (Sinn and Uebelmesser, 2003), prone to cognitive impairment (Bessner and Walsh, 2018) and unable or unwilling to think beyond their own age specific social needs. Bessner and Walsh suggest various remedies such as lowering the age of suffrage or improving youth political organisation participation rates. What these perspectives reveal is a deep- seated bias against elders, using often inflammatory rhetoric and scant data to evidence these assertions. Given the push within a Localism Act (HM Government, 2011) framing for communities to define and enact their own local resilience strategies, coupled with an ageing rural population within the UK, it is not unreasonable to surmise that over time parish councillors and civic volunteers will face more and more pressure to take on greater governance responsibilities. Gerontocratic practice is therefore a cornerstone of enacting resilience strategies. What we don’t know yet is what that really looks like in action. We aim to close this knowledge gap with the research presented within this paper. The next section of the paper outlines the fieldwork undertaken to explore this in more detail. Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

110 The fieldwork

The data used within this paper is drawn from a larger study that was undertaken between September 2015 and September 2016. Located within three rural waterside villages, midway along the River Adur catchment in West Sussex, UK, the empirical fieldwork research aim was to understand community responses to changing water environments. Explicit within this research was an aim to understand how ‘resilience’ was both interpreted by a range of governance and civic actors and actually enacted on site by community members. The backdrop to the research was informed by the UK’s Localism Act 2014 which shifts the onus of responsibility for a range of management issues, including diverse water management concerns involving land drainage and highways maintenance, from local authorities to local communities. Further, the rolling back of local Internal Drainage Boards throughout the mid 2010’s had also caused the UK environmental regulatory authority, the Environment Agency, to withdraw their involvement in smaller watercourse management – leaving drainage and localized flood risk management to landowners; often unaware of their responsibilities. At a macro scale the issue of climate change impacts, and the ways in which water is moving about the landscape in less predictable ways, was also interrogated. The research was funded by the University of Brighton, and supported by the Daphne Jackson Trust, and complied fully with both organizations’ ethical research stipulations. Qualitative, semi-structured, one-to-one interviews were selected as the most suitable method to collect data, enabling participants to provide more emphasis on areas of their life and civic participation that they were most concerned with. Respondents were asked to talk about their local water environments, leading to an open, generative interviewing format, lasting an hour on average. In all thirty interviews were conducted over the course of the whole research. Using water resource management issues as the framing for the research meant that a wide range of participants with different interests and skills sets could engage with the discussions, an approach which focused on environmental rather than overtly political issues to widen the range of people who would engage in the research. Water resource management issues can mean flood risk prevention, drinking water quality, environmental management, protection and conservation as well as accessing and enjoying local waterscapes. Mary Gearey and Gilchrist Paul

111 The River Adur catchment was selected for the study. Located in the county of West Sussex, adjacent to the South Downs National Park in South East England, it is mainly rural, though only approximately 50 kilometres from London. The area is populated with small villages and larger market towns with most of the local economy supported by farming, small businesses and tourism generated by visitors to the National Park. The catchment’s villages differ from the local towns as they have a higher number of retired residents, aged sixty plus, encompassing a diversity of socio- demographics with a mixed housing stock of both large detached homes and smaller former social housing properties. Many of the respondents interviewed had retired to the villages because of the beautiful countryside. The study site, just within the tidal stretch of the river midway along the catchment, is comprised of three closely located waterside villages: Steyning; Upper Beeding; and Bramber. Survey participants were asked to share with the researchers their experiences of changing water environments within their villages, and their responses or actions to these changes. These participants were recruited on the basis that they lived or worked in the villages and had some interest, understanding or role, in local water resources management. Consequently, emergency services providers, business owners, parish councillors, farmers, community volunteers, planning officers, householders, property developers, writers and historians were amongst the cohort of participants who were approached and took part in the one to one semi structured interviews. No level of expertise in water resources management was required; simply an interest in local water matters past, present and future. Contacts were made within the study area through generating contacts with community archive and heritage sites. These initial inroads into finding out about the life of the local communities’ water resources then began to uncover contact points for those people and organisations who were involved in dialogues about water. Respondents were asked to talk about their interest in their local water environments, leading to an open, generative interviewing format, lasting an hour on average. In all thirty interviews were conducted over the course of the research. Of these, twenty two were conducted with participants aged 55 and over; capturing those who were either at retirement age, and those who had chosen to retire from paid employment. Interviews were transcribed and subjected to thematic analysis. First order analysis categorised the data into groupings such as flooding, drainage, pollution, access, management and governance. Understanding where water ‘sits’ within people’s everyday lives will have direct relevance for how water is managed at a river catchment or ‘micro’ level, and for a wider macro perspective for planning around Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

112 critical infrastructures. The research explored how living and working in a landscape can shape our understandings of change in our natural environment. The research used the term ‘resilience’ as a conceptual lens for contextualising the responses to changes in water environments. As a means to uncover how resilience is understood and employed by communities, the research focused on a small section of a river corridor to begin to map the various spatial and temporal relationships between citizens and their immediate water resources. Through examining linked communities, in this case connected by the river itself and also through shared economic and highway resources, shared water resource management administrative and regulatory institutions, the aim was to pinpoint the actions, people, processes and behaviours which would be indicative of resilient responses or assemblages of performance. The research was predicated of no fixed interpretation of resilience, but instead sought to ask respondents themselves what they understood by the term within the context of changing water conditions.

Results

Over the twelve-month span of the interview process what became clear is the way in which government policy has used the term resilience as a factotum to deliver a wide range of resource reallocation and redistribution of governance responsibilities, often to the detriment of local governance structures’ abilities to undertake and deliver services. Mary Gearey and Gilchrist Paul

113 Table 1: Detail of fieldwork participants (with those aged 54 and under in italics)

Interview Organisation/ Key concerns Where do participants number perspective locate resilience? 1. Conservation Wildlife, rewilding Ecological 2. Councillor Drainage Financial and policy 3. Conservation Wildlife Ecological/ Community 4, 5. Farmers (x 2 i.e Flooding from building development, Governance group interview) Rainfall perturbations associated with climate change, food security 6. Environmental Rainfall, water conservation, society Attitudinal attitudes to the environment 7, 8. Local flood Flooding Domestic level, community committee (x 2) nvolvement to support individuals 9. Householder Rainfall Business as usual 10,11. Building development Success of project, climate change, New technologies (x 2) affordable housing 12. Environmental Water quality, water quantity Governance 13. Householder Historical changes to river valley Community 14. Environmental Rainfall, water company responsiveness Private sector 15,16,17. Householders (x 3) Historical experience, local council Community involvement, drainage 18,19. Residents’ Action Drainage, road flooding, parish and Community, local governance group (x 2) local council activity, land ownership and management 20. Local Business Water quality, water pricing Governance, private sector 21. Councillor Land fill leading to water pollution Governance, private sector, community 22. Estate Manager Localised water management, Attitudinal, community community relations, climate change involvement to support effects on people and the environment individuals, governance 23,24. Parish Councillor & Drainage, governance, parish and local Financial, policy, wildlife Conservation volunteer council activity, road flooding. Water quality 25. Retired Southern Historical experience, local council Governance, financing, expertise, Water involvement, drainage, flooding, dominance of policy agenda comprehensive water management towards the environment. 26. Drainage Engineer Drainage, planning, governance, parish Governance, parish councils, local and local council activity, flooding. expertise Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

114 27. Planning Authority Planning, sustainability, environment Governance, national policy Representative 28. Householder Environment, sustainability Human capacity 29. County Council Civil Planning, flooding, community, Governance, localism, community. contingencies emergency services, localism 30. Local Authority Planning, flooding, community, Governance, local policy, Councillor localism, environment, economy, community housing, transport

The elder respondents were involved, as Table 1 shows, in a range of governance activities which focus on local resilience. Some are official governance roles, such as the local authority councillor and parish councillors involved with financial decision making and resourcing. Some have retired from water resources management roles but keep a watching brief. Others are involved in community organisations, such as the flood action group, the local residents’ campaign group or are environmental activists. There are also outlier respondents such as a waterside business owner and an architectural practise seeking to regenerate a former riverine asset. All provided new insights into gerontocratic expressions of rural socio-ecological resilience.

Connected lives

“They don’t live here, they sleep here” [retired drainage engineer] The quotation above is taken from a respondent who had spent all of his working life in one of the villages. His family and his working life were embedded with the landscape. He did not present an idealised version of village life, but his comments inferred that, in reversal of concepts of ageing, it is the young in the village who had become invisible: they were either in their cars commuting, or at home recovering from the working week. They were not connected or engaged with the life of the village. This connectivity is particularly poignant for this interviewee who, after a lifetime of physical engagement with the landscape, and as a team leader of drainage workers, now was wheelchair bound and had limitations regarding communicating due to Parkinson’s disease. Yet his critical faculties were just as keen as ever. The younger village cohort’s lack of connectivity he viewed as partly choice, and also as a symptom of the pressures of modern life to consume. For our interviewee his Mary Gearey and Gilchrist Paul

115 contribution is dispersed – his knowledge, experience, stories, increasingly locked in within his body takes a new direction as we can ‘read’ him through his effect on the landscape – his raised flood banks, his grips diverting water off the road and into ditches, his culverts. Part of this resilience work is to take the time to read the landscape, much like a text, to retrieve the lost or fading knowledges embedded within the gerontocratic legacy. One respondent, a drainage officer, confirmed how computer modelling was no substitute for local knowledge regarding the combined effects of groundwater, rainfall, topography, hard-standing and soil profile:

This is why I like to think I’m still employed here…because I’ve been here a few years I’ve got the local knowledge…we’ve got examples of areas in flood zone 1 (less than a 1:1000 chance of flooding) but which have a history of flooding from overland surface water flows, problems with the local ditch network, things like that and it’s with that local knowledge that I can inform any perspective applicants.

He went further to say that these anomalies were mapped by the drainage team. The problem lay not in recording these highly specific issues – but in retrieving them, as a high turnover of staff, or continual restructuring within local government meant that a detailed handover process was unlikely to occur. We have then a combination of lost knowledges – fading with the life history of the ‘taskscaper’ and filed away as a result of rapid institutional and personnel change. They are replaced, or overlaid, with the developing knowledges of new incumbents. This ‘grey power’ citizenry offers a new direction for our understanding of social-ecological resilience, as they offer a lifetime’s experience and memories of how local government used to work when well resourced. As one respondent stated:

… community is all that matters because I feel disempowered with the Government, totally disempowered, I, I mean I will vote always but I don’t think my vote counts for anything, erm, and a lot of us I’m sure feel like that but I do have a modicum of influence in this area, not a huge amount because the law is actually, seems to be against individuals for, that’s another thing, there’s been a big issue here, erm, but there, we do have some influence here.

Connectivity to both a similar age demographic and to a wider span of community networks is obviously one aspect of volunteerism, particularly within rural settings. Given the ‘in-migration’ patterns of villagers who are, ‘relatively affluent and Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

116 well connected’ there are aspirations concerning making like-minded friends and serving a useful purpose against a backdrop of lifelong working and separated families. Gallent also argues that there is a tendency in Parish Councils for cliques to develop from social networks to the dominance of interest group affiliation which can skew the direction of collective decision making: “Parish council members tended to be the archetypal ‘active citizens’ who were involved not only in the council itself but in a range of other groups: local history or conservation societies, sports and youth clubs, or groups for parents or older residents” (Gallent, 2013, p.286). Yet the field work, again, highlighted something ‘other’ at play. This other is the mindful volunteering which is a directed act or performance of agency, directly responding to the recognition that the state is no longer able, some would argue willing, to provide support in times of crisis. It is this difference on which the gerontocracy argument in this paper rests. Volunteerism by an elder cohort is not a gerontocratic act, nor forms a gerontocracy. What makes the gerontocracy is the manner in which a political process, and forms of governance, are deliberately utilised by an elder cohort to provide resources and support policy decisions which significantly benefit their own needs and desires. This is not to say there is unanimity of vision. Rather, there is a collection of individual needs served through a collective endeavour whose endpoint is to replace the lack of governance, even lack of cohesive community, that is perceived to be the new normal. For one set of respondents, a couple who had run a business in one of the villages for thirty five years and who had built a home after retirement next to a small stream in their large garden, this intricate relationship between their life and their environment changed. Having lived in the village for twenty years their perspective towards civic life and resilience was deeply impacted by flooding around and in their home in 2011, when both were in their late 60s. Not only the shock of flooding initiated a change but also the financial impacts – their insurance bills quadrupled and they noted that their old home (they had moved into a new build in their garden and sold their former home adjacent to theirs), had been put on the market several times but potential buyers had pulled out during each sale. They identified this as a result of the flooding: “They’re trying to sell it and they’ve had three sale agreed signs up and all removed and we believe, certainly the first two were to do with insurance and inability to get insurance”. Their presentation of life post-flooding was wrought with uncertainty and a recognition that there was to be no practical support from any governance agency: “And it is, gradually becoming possibly more of a concern as time goes on, I suppose partly because we’re getting older, probably”. Against this backdrop they can be seen though to have deliberately regained control over their lives in Mary Gearey and Gilchrist Paul

117 response to these events. They installed flood protection barriers, raised the height of the banks between their house and the stream and joined the Parish Council, forming part of their flood defence group. This gives them first access to inflatable boats, sandbags and up to date information on rising water levels:

INT: So would you say then that your involvement in the local flood committee was prompted by your experience and not wishing anyone else to have to go through what you’ve been through or just different?

M: I think it’s just self-preservation as much as anything, yeah, because, erm, I don’t, I don’t really want to be deeply involved in it, I like, I’m quite happy to help but I do also appreciate that because our house is at about the lowest point if there’s going to be a problem it’s going to start with me so I don’t want to be going out looking after other people.

From a position of vulnerability they have asserted their resilience, both through researching ways to practically protect their home and developing new knowledges around circumventing higher insurance rates as a result. Through joining the Parish Council they connect with other neighbours prone to flooding and have an input regarding planning applications which may well acerbate flooding events through increased hard standing runoff. A long-standing village resident, of over forty years, has been actively campaigning against and raising awareness around the poorly constructed multiple land fill sites around his home, leading to a wider awareness of incremental cuts to local services. Over the years he has noted the ebb and flow of local interest in environmental issues. Further, he details how the sense of community has also changed over that time:

Well who’s going to do it? You know, it’s not, you try and find people, even to sit on the parish council, yeah? You know, we could, technically we’ve got vacancies for two or three or four people, you know, we’re under, we just can’t, there isn’t the, there isn’t the community spirit, you know, people now. I think they, you know, it’s not the same as it was when we were kids, you know.

Another Parish Councillor found that her awareness of local issues only came to the fore once she was involved in Parish Council work: and now feels morally obligated to remain as a councillor as so few other residents are willing to engage with what she describes as: “a complicated, time consuming role”. Having joined to Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

118 keep active and learn about the local area as a retiree in-migrant, she has become politicised as the true enormity of austerity cuts has become clear:

I see it as a delegation of their (the County Council’s) responsibilities, whereby there’s a pot of money that only the most proactive and able (Parish) councils with a bit of oomph about them will spot. But then you’re completely responsible for it, even if you know nothing about, say, drainage. It’s a bit scary but money seemed to be so tight there seemed to be no other way to get the money.

As she details, had she not joined the Parish Council she would have remained unaware of the scale of delegated responsibility now resting with this tier of local governance. As she recognises, the issues that she is engaged with in her portfolio of ‘Planning and Highways and Lighting’ – reduced Highways Agency work, the roll back of Local Authority responsibility for drainage management and flood prevention – together with the Council’s wider brief, such as the cutting of local services for the young and the disabled, would have not affected her retired life. Contrary to Berry’s (2012) depiction of a ‘grey power’ which is dominated by a self-satisfying grey agenda, instead we also see a form of political awakening brought on through retirement and the opportunity to get involved with community networks. The elders cannot be presumed to just give knowledge – they are also developing new knowledges in response to the availability of new time and a willingness to socially network as a result of in-migration patterns to particular types of rural settings; the relatively affluent and well connected. Explored from a purely pragmatic perspective, the idea of a gerontocracy as dominated by the needs of the elderly is a reversal of what the fieldwork reveals. Rather than the elders dominating local governance structures from some form of passive intent to pass the time, or to take an interest in only policies that address their needs as elders, they have instead used these structures in an attempt to reclaim control and direction over a political environment which would otherwise potentially leave them side-lined and marginalised. They also see this marginalisation affecting their children and their grandchildren, with more financial and housing stresses preventing them from forming an environmental awareness. The same respondent goes on:

…people are under so much pressure, I see it with my daughters, it’s awful, so much pressure to, to conform, to do this, to do that and so they tend to be more tunnel-visioned, they don’t have the awareness, you’d think wouldn’t you, with all, with technology and all the information that we have, that in fact we’d be so knowledgeable that we’d be doing the right thing all the time for our Mary Gearey and Gilchrist Paul

119 environment? But no, it’s the reverse actually, people just, my daughters can’t cope with it, not with little kids.

Discussion

The thinktank Intergenerational Fairness (IF) 2012 report, The Rise of the Gerontocracy, (Berry, 2012) explored if age has an influence on policy bias. Addressing the `intergenerational democratic deficit’ report roots the debate around the predisposition of an elder cohort both to vote, and to themselves be forwarded as candidates in democratic elected processes. Democracy therefore, according to the IF’s report’s author Craig Berry, is ruled by the old, for the old, excluding the needs, opinions and participation of the young. Berry’s analysis, also talks of the apathetic nature of younger citizens leading to the potential scenario of the rise of ‘grey power’ leading to political parties creating policy that is tailored towards elders. There is then, an inherent pessimism when the term ‘gerontocracy’ is used. There is a presumption that this will lead to policies only tailored towards the elderly, leaving younger adults, as a minority of the voting population, both in real terms and in terms of actual participation, at a disadvantage. From our rural settings perspective, this argument would create a scenario more acute in its discrepancy between younger and older cohorts. Yet the fieldwork reveals that this ‘grey power’ model is not reflected in the experiences of the rural elderly interviewed. We must also be careful not to use demographics to strip away the complexities of individual lives. As Davidson argues in a response to Berry, “there is an inability to see through age as constituting the only variable that matters in explaining an older voter’s identity, values and behaviour and the resultant constant need to push back against this stripping away of the identity and complexity of older cohorts” (Davidson, 2012, p.728). Individuals are not reducible to a date of birth. Utilising Ingold’s imaginary of the ‘taskscape’ (2002), we can argue that we are the sum of our lived experience shaped in part by the environment and the landscape that we, in turn, have shaped with our life. In this view elder actors are not a single- minded homogeneous mass, but in many respects the ideal civic actors to support in politically challenging times, given their breadth of knowledge and experience. We can see that throughout the resilience literature there is an emphasis on localism, on agency, of the engaged resilient actor-citizen. These attributes are Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

120 associated with vitality and vigour, associational strength and a motivation that is associated with community mindedness. Yet the fieldwork revealed something more complex, more nuanced, with the starting point leading from what Harvey has termed ‘fractionality’. Cloke and Goodwin (1992) noted the way in which economic reconfiguration and a creation of a rural ‘idyll’ reshaped the nature of rural spatiality. Commuting, home working and leisure economies rather than agricultural economies have altered expectations of where and how income is generated. Further, there are demographic shifts highlighting a trend for newly retired people, often couples, to migrate to rural villages, bringing with them experiences, skill sets and lifestyle expectations which may differ from longstanding rural elder populations (Glasgow and Brown, 2012). Many of the respondents taking part in the interviews had retired to the villages after a long working life, with no family or other ties to the area. These respondents were drawn to the area for leisure, for wildlife or for more property space. They all were drawn to be engaged with some form of civic engagement: conservation work, Parish Council work, awareness raising on green issues, neighbourhood schemes and youth work. Munoz et al.’s 2014 study on volunteering in rural communities highlighted that “strong community activism was indicated, as up to 75 % of older people were involved in some formal participation” (Munoz et al., 2014, p. 209). Curry, Burholt and Hagan Hennessy (2014) suggest that such volunteering practices are opportunities for “increased social interaction and enhanced self-esteem” (Curry et al., 2014, p. 35) when engaging with mutually beneficial practices. This activism also operates outside of formal governance structures such as the Parish Council. Several of the respondents, again all elders, were involved in conservation, environmental awareness raising or green campaigning. They were engaged in a range of activities which include community swaps to rehome unwanted items rather than sending them to landfill, renaturalising rivers through the introduction of river gravel beds to support spawning trout, educational meetings to discuss environmental concerns and youth activity work to support their learning about the natural world. For all of the respondents in this network this latent activism was enabled through retirement. The opportunities this new time resource gave them opened up opportunities to explore, learn, connect and be active with others in their local rural area. Their varied responses demonstrated a need to make a contribution to both their local environment and for the wide range of community members who would benefit from their activity – young families, anglers, school age children, walkers, bird watchers and they themselves “the retired”. Mary Gearey and Gilchrist Paul

121 Involving themselves in Parish Council work is a form of political activism against policies which strip back finances, support and reparation for elders and the wider community. The irony lies in that they perform resilience through the auspices of policies which threaten to make them more vulnerable. The ‘community resilience’ policy approach argues for community self-reliance, but asks those who both need support and are least able to give support to provide the backbone for decision- making and enacting. Davidson (2012, p. 737) contends “it is rational to expect that voters perceive their individual interest intertwined with the happiness and welfare of their own extended families, local community and social networks”. When we think back to our initial respondents’ perspective of “they don’t live here, they just sleep here”, we see wider structural issues at play. Increasingly in rural settings it is only an older cohort that can afford to own their homes. Their retirement locks them in to their locality. As younger families experience the fractionality that Cloke and Goodwin (1992) speak of, leading to them necessarily demonstrating flexibility around moving for job demands and less intra-generational living arrangements, we see that resilience becomes for elder residents a facet of life tied to their age, their homes and their immediate environment. Halfacree (2006) suggests that the spatiality that is created is resonant of, and responsive to, a different set of productive tasks which shape space. As these tasks are economically unproductive inasmuch as they are unpaid, unremunerated and in some senses incalculable, they move beyond cost-benefit analysis, they sit away from any supply-demand curve. Yet they are invisible but essential for the continuation of rural communities. Sinn and Uebelmesser’s (2003) vision of a gerontocracy that skews politics against the young and threatens democratic representation belies the reality of a networked group of residents who, though utilising some governance structures for their own purposes and to enhance their own social-ecological resilience, are committed and involved in such a way so as to ensure that the whole community benefits.

Conclusion

Citizenship and community are contested concepts which in many ways provide a shorthand to describe connections between people and institutions, particularly within the resilience literature. As this paper demonstrates, in many ways Reframing Reframing rural governance: expressions of gerontocratic socio-ecological resilience

122 these terms fail to capture the nuances of individual agency that are performed within these networks in order to secure both individual resilience and that within the individual’s immediate environment. Further, rural elders have responded to changing governance and ecological environments through purposive actions, such as joining Parish Councils and taking part in a wide variety of local voluntary activities and organised groups as part of an engaged response. Reflecting back to the aims of our research it is possible to say that the agency of these rural elders is not simply ‘filling in’ the gaps left by a retreating state under the auspices of austerity. Rather these elders are raising awareness of government and governance retraction through awareness raising, campaigning and by undertaking high visibility community actions such as street cleaning, drainage maintenance and riverside rewilding to demonstrate a lack of state participation and funding. Using social media as a means to publicise their activities ensure a wider visibility than just within their rural locality. Understanding these practices as forms of socio-ecological resilience enables us to see these rural elders as resourceful, imaginative and pragmatic. Their collective and individual endeavours assert their agency, at a time in their lives when others, including many members of the academic community, still view them as vulnerable and depicted as service users rather than service providers. Appreciating these grassroots gerontocratic practices as socio-resilience strategies enables us to both refine our understanding of rural elders’ response to austerity and to develop an awareness of how much affective labour these citizens provide in this latter post-work stage of their lives. These disparate networking activities provide rural elders with physical, mental and social outlets through which to build capacity and respond to events beyond their purview. Rural governance could be claimed to be underpinned through the gerontocratic activities of its local community members, and shared in a wider geographic framing through social media and other digital based communities. The close relationship between social resilience and ecological resilience is exacerbated within rural locations; with gerontocratic knowledges and actions the bedrock of future rural governance strategies.

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127 The dynamics of rural gentrification and the effects of ageing on gentrified rural places

Darren P. Smith (*), Martin Phillips (**), Hannah Brooking (**), Mara Duer (**) and Chloe Kinton (*) (*) Loughborough University, United Kingdom (**) University of Leicester, United Kingdom

10.4422/ager.2019.13

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 129-157 The Dynamics of Rural Gentrification and the Effects of Ageing on Gentrified Rural Places

Abstract: Theories of gentrification represent gentrifiers as social groups at early- to mid- phases of their lifecourse. In urban contexts, this encompasses young, childless and upwardly mobile professionals and family gentrifiers with children. The latter are also prominent figures within representations of idyllic, gentrified rural places for raising children, family life and neighbourly relations; although in early rural gentrification studies there was reference to retirement migration. Such issues, however, are under-explored and mature populations have been absent from gentrification scholarship, despite the recognition of affluent households within ageing societies. At the same time, the ageing of gentrified populations is overlooked within cross-sectional analyses of gentrification. Our aim is to widen the lens on gentrifier populations, and to consider the effects of ageing in gentrified villages. Drawing on 2011 census data for England and Wales and findings from a household questionnaire, we identify populations of ageing gentrifiers who in-migrated before and at retirement, and have ‘stayed-put’ for considerable lengths of time. Through three vignettes, we highlight how these staying rural gentrifiers may create displacement pressures impacting on younger residents and potentially influence the supply of housing for subsequent waves of gentrification, although they may also come to be displaced by such waves.

Keywords: Rurality, lifecouse, migration and mobility, retirement, population studies.

La dinámica de gentifricación rural y los efectos del envejecimiento en los espacios rurales gentrificados

Resumen: Las teorías de gentrificación representan a los gentrificadores como grupos sociales en las fases tempranas y medias de su ciclo de vida. En los espacios urbanos, esto incluye a los profesionales jóvenes, sin hijos y con elevada movilidad o directamente a familias con hijos. Estos últimos también son figuras clave dentro de las representaciones idílicas de los espacios rurales para la educación de los hijos, la vida familiar y las relaciones sociales; aunque en los primeros estudios sobre la gentrificación rural se hacía referencia a la migración de personas mayores ya jubiladas. Sin embargo, estos temas están poco explorados y las poblaciones envejecidas han estado ausentes de los análisis sobre gentrificación, a pesar del reconocimiento de los hogares acomodados dentro de las sociedades envejecidas. Al mismo tiempo, el envejecimiento de las poblaciones gentrificadas se pasa por alto en los análisis transversales de gentrificación. Nuestro objetivo es ampliar el análisis en las poblaciones gentrificadoras y considerar los efectos del envejecimiento en el espacio rural gentrificado. Basándonos en los datos del Censo Nacional de 2011 para Inglaterra y Gales, y en los resultados de un cuestionario dirigido a familias, identificamos a las poblaciones de personas mayores que emigraron antes y después de la jubilación, y que han permanecido fuera del medio rural durante un período de tiempo considerable. A través de tres momentos, destacamos cómo estos gentrificadores rurales que se quedan pueden forzar el desplazamiento de los residentes más jóvenes y potencialmente influyen en la oferta de viviendas para los sucesivos procesos de gentrificación, aunque también pueden llegar a ser desplazados por estas mismas dinámicas.

Palabras clave: Ruralidad, origen rural, migración y movilidad, jubilación, estudios de población.

Received: 23rd May 2019 Accepted: 14th July 2019

How to cite this paper: Smith, D. P., Phillips, M., Brooking, H., Duer, M., and Kinton, C. (2019). The Dynamics of Rural Gentrification and the Effects of Ageing on Gentrified Rural Places. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 129-157. DOI: 10.4422/ager.2019.13

Darren P. Smith. ORCID: 0000-0003-0775-1221. E-mail: [email protected] Martin Phillips. ORCID: 0000-0003-4104-0917. E- mail: [email protected] Hannah Brooking. ORCID: 0000-0001-9465-7502. E-mail: [email protected] Mara Duer. ORCID: 0000-0002-6217-3463. E-mail: [email protected] Chloe Kinton. ORCID: 0000-0003-2323-7441. E-mail: [email protected] Introduction

Scholarship on rural population change often emphasises the transformative effects of counterurbanisation (Mitchell and Madden, 2014; Gkartzios, Remoundou and Garrod, 2017) and intra-rural mobilities on the demographic make-up of rural places (Milbourne, 2007; Phillips, 2010; Smith, 2007a). These processes are seen to propel the flows of affluent in-migrant households, often at family forming and child-rearing stages of their lifecourse, and the out-migration of lower income social groups (Milbourne and Kitchen, 2014; Smith, Finney, Halfacree and Walford, 2016; Woods, 2016). This framing underpins accounts of gentrified rural places becoming the preferred, and quite exclusionary, location of middle-class families with children (Phillips, 1993, 1998; Hillyard and Bagley, 2015), which has been widely tied to growing concerns about a lack of affordable housing, inaccessibility to services and the marginalisation of shrinking rural working-class populations (e.g. Halfacree, 2018; Phillips, Smith and Brooking, 2018; Shucksmith, 2016). These issues are integral to growing scholarship on rural gentrification (Mamonova and Sutherland, 2015; Phillips and Smith, 2018a; Nelson, 2018; Smith, Phillips, Kinton and Culora, 2019), although are by no means exclusively understood through this particular theoretical lens. Of course, gentrified rural places are not ‘frozen in time’, as both in-migrant and settled populations can either age in place, or subsequently move out of or between rural places (Stockdale and Ni Laoire, 2016; Doheny and Milbourne, 2017). As these Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

131 dynamics unfold, the housing requirements and predilections of gentrifier populations, including material and cultural lifestyle services they desire, will change over time, related, for example, to events such as forming friendships during youth and young adulthood, forging unions with partners, the birth of children requiring more residential space, the entry of children into education adding a locational imperative of access to schooling, which, in turn, may be lost with the flight of children and the transition to ‘empty-nesting’ (Smith, 2011; Smith and Higley, 2012). Later phases of the lifecourse may also be associated with events such as divorce or break-up, and widowhood, which may create new lifestyle requirements. As Hochstenbach and Boterman (2018) argue, “life-course transitions alter preferences and trigger residential moves, and are crucial moments that generate the conditions for (middle-class) households to move into or out of a gentrifying neighbourhood” (p. 170), although they also remark that some gentrifiers stay in place through these transitions. It can also be argued that some people may engage in practices that gentrify locations as they navigate through transitions, by, for instance, investing capital and labour in expanding their place of residence or changing the function of particular rooms (Smith, 2007b). In this paper we argue that the influence of such age-related lifecourse transitions has been overlooked within studies of rural gentrification, and indeed, within gentrification studies more widely, where, as Hochenstenbach and Boterman (2018) have remarked, “age is often implicitly discussed” (p. 179), although they argue that it should be seen to play a central role within gentrification processes. It might be expected that recognition of such influences would be rather stronger within research on rural gentrification given that a demographic social imagination has been identified as a long-standing constituent of rural studies (Phillips 1998; Smith 2002) and asserted that “rural gentrification studies have been more closely aligned with population studies than their urban counterparts” (Phillips, 2010 p. 540). Issues of ageing within developed nations have figured reasonably prominently within rural studies, with research detailing, amongst other features, the growing proportion of the elderly in rural areas (Argent, Griffin and Smailes, 2016; Champion and Shepherd, 2006; Glasgow and Brown, 2012; Hardill and Rees, 2016; Bevan, 2019), the migration of older people into the countryside and the migration of younger people out of the countryside (e.g. Farrugia, Smyth and Harrison, 2016), the needs and provision of services for children, teenagers and the elderly (Hamilton, 2016; Joseph and Skinner, 2012; O’Brien, 2014; Thiede, Brown, Sanders, Glasgow, and Kulcsar, 2017), representations of aged populations in the countryside (Davies, 2011; Ní Laoire, 2011; Powell, Taylor and Smith, 2013), the material circumstances and experiences of young and older people in the countryside (Corbett and Forsey, 2017; Garnham and Bryant, 2014; Milbourne and Doheny, 2012; Riley, 2016; Stockdale, Theunissen, and Haartsen, The dynamics of rural gentrification and the effects of ageing on gentrified rural places

132 2018), and the relations that younger and older people have within the formation of rural community life and place identities (Downey, Threlkeld and Warburton, 2017; Harper, 2014; Leyshon, 2008; Winterton and Warburton, 2012). Issues of age were also evident in early discussions of rural gentrification, with this term frequently appearing alongside that of geriatrification (Cloke, 1979; Hanrahan and Cloke, 1983; Weekley, 1988). However, despite this early association, and later studies that have drawn connections between rural gentrification and the onset of child-rearing (Bryson and Wyckoff, 2010), we would contend that there is a need for more investigation of the relations between ageing and rural gentrification. Our main argument is that rural gentrification can involve social groups at mature stages of their lifecourse, and there is value in transcending conventional representations of rural gentrification as a process of change associated with the in- migration of affluent families with children. Stressing the need for a broader temporal perspective of gentrification to analyse the dynamics of rural gentrification processes in specific places, including how rural gentrifiers have not only moved into and transformed rural locations but have also often stayed-put in their gentrified locations, we would argue that ageing gentrifiers can influence the supply and value of gentrifiable housing stock. This is likely to impact on the distinctive forms of rural gentrification, and the magnitude of subsequent flows of in-migrants to gentrify. The staying-put of gentrifiers at later phases of their lifecourse can stimulate pressures of displacement on younger residents and have policy-related implications on rural housing markets and communities. We explore these dimensions of ageing and rural gentrification in this paper, drawing upon a comparative cross-national investigation of rural gentrification using findings from three case study English villages. The paper is divided into five sections. In the next section we provide a review of scholarship on urban and rural gentrification to illustrate existing foci of understandings of the relationship between gentrification and age, as well as discuss some research on rural migration and ageing in the countryside. Second, we present some empirical analyses of census data for England and Wales to show the concentration of mature age groups in some rural areas. Third, we then briefly outline the geographical focus and methods employed in the English component of the comparative study of rural gentrification. The fourth section presents three vignettes to show some of the complex ways in which ageing can intersect with processes of rural gentrification. The final section of the paper considers the wider significance of our discussion for broader debates of gentrification, and calls for a more pronounced research agenda on the inter- connections between the changing socio-cultural characteristics of gentrifiers and lifecourse phases, and their effects on the dynamics of gentrified places. Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

133 Ageing gentrification studies

Although scholarship on gentrification has increasingly exposed divergent geographical expressions of what has been identified as a globalised phenomenon (Lees, Shin and Löpez-Morales, 2016). As Hochenstenbach and Boterman (2018) argue, consideration of gentrification’s relationships with demographic processes, including those associated with ageing, opens up a series of questions about the “the global scope of gentrification and its specific geographical manifestations” (p. 170), not least raising issues that might have logics other than those of capital accumulation and the expression of class power. It can be argued that a narrative of gentrification as “real estate capitalism” (Forest, 2016 p. 610) promoted by many of these recent accounts of gentrification, whilst highlighting much of value, also risks occluding significance differences, including social differences between different groups of gentrifiers in diverse socio-spatial contexts. These differences include those established in association with age and family structure. There is evidence to suggest that both the appeal and capacity of living in central urban, suburban and rural places varies for people at different phases of their lifecourse, linked both to their accrual of material resources capable of enabling residential access to such locations and to the desires and requirements association with lifecourse changes such as marriage/cohabitation or the absence/presence of children. Hochstenbach and Boterman (2018), for example, note how many young adults attracted to living in expensive cities have fuelled a rise of “rental gentrification” (p. 172), as well employed a range of, often highly precarious, pathways into housing such as extended stays in parental homes or institutional housing, flat sharing, staying with friends or in sub-lets, and illegal squatting (Hochstenbach and Boterman, 2015). Hochstenbach and Boterman (2018) further argue that gentrification is “most prominently associated with the life-course and residential trajectories of young people” (p. 171). Academic, media and policy discourses have all widely presented gentrifiers as being young and childless (e.g. Blasius, Friedrichs and Rühl, 2016), a conception that clearly chimes with the notion of the yuppie (e.g. Smith, 1987; Lees, 2000), which Smith asserted (1996) was:

Coined apparently in 1983 to refer to those young, upwardly mobile professionals of the baby-boom generation, the term ‘yuppie’ has already achieved a wide currency; few words have had such an impressive debut in the language (p. 2). The dynamics of rural gentrification and the effects of ageing on gentrified rural places

134 In a more academic register, Beauregard (1990) wrote of prototypical gentrifiers being “single-person or two-person household comprised of affluent professionals without children… The gentrifiers are relatively young, just beginning their peak income-earning years” (p. 856). This representation is vividly exemplified on the cover page of the ‘Yuppie Handbook’ (Piesman and Hartley 1984), which caricatures the young adult male yuppie adorning a pin stripe suit, Rolex watch, squash racket, Burberry trench coat, L. L. Been duck hunting boots, and Gucci briefcase. Alongside, the young adult female yuppie is depicted as wearing a Ralph Lauren suit, Cartier Tank watch, coach bag, running shoes, Sony Walkman, and carrying a gourmet shopping bag. Yet, it is telling that Beaurgeard also stressed that: “to attribute gentrification solely to yuppies is to eliminate quite complex processes” (ibid). This complexity of gentrification processes has been gradually teased out as studies within an increasing range of socio-spatial contexts have revealed demographic differentials amongst gentrifiers and intersections between gentrification and demographic characters of people at the later phases of their lifecourse (e.g. see Boterman, 2012; Boterman and Bridge, 2015; Boterman, Karsten and Musterd, 2010; Doucet, 2014; Karsten, 2014; Rerat and Lees, 2011). Karsten (2014), for instance, identifies “the transformation from childless yuppie to young urban professional parent (yupp) not only goes along with new consumption cultures but also with the production of a new city” (p. 175), sugesting that a growing presence of middle class families in inner-city areas has not only led to the growth of family- related consumption spaces, particularly related to food and drink, but extended into the emergence of ‘family-directed’ retailing and leisure services in these areas and new practices conducted in public spaces in the city (see also Karsten (2003) and Karsten, Lupi and de Stigter-Speksnijder (2013), for discussion of family gentrifiers). Other studies have further highlighted the complex processes of gentrification by examining ties between sexuality and the dominant conceptual frames of social class, education, and occupational status within gentrification studies. Smith and Holt (2005), for instance, show how lesbian households can as act as key agents of rural gentrification (see also Smith and Phillips, 2001). Despite such movements to more fully acknowledge a diversity of gentrifiers, there continues to be a paucity of studies of the connections between gentrification and elderly populations. This is surprising given Mills’ (1988) influential study of ‘life on the upslopes’ reveals that although “the majority of households are ‘young professionals’, there is also a fair proportion of ‘empty nesters’ close to retirement”. Equally, Paris (2009) reiterates that: “Smith (2002), however, suggested that ‘retirement hotspots’, such as coastal resorts were worthy of consideration as cases Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

135 of gentrification” (p. 295). Perhaps more closely connected to the focus of this paper, Williams (1984) identified the presence of gentrifiers “in more remote villages favourable for retirement” (p. 222) – citing the study of Parsons (1980). As discussed in the introduction, it might be expected that rural gentrification studies would exhibit stronger recognition of demographic influences than its urban counterpart, but beyond the early connections made with retirement and so-called geriatrification, there has been little direct exploration. That having been said, one researcher who has examined rural gentrification, Aileen Stockdale, has also undertaken a series of studies of ageing and rural retirement migration during the last two decades (e.g. Stockdale, 2011, 2014, 2017; Stockdale and MacLeod, 2013). Whilst Stockdale has yet to explicitly inter-connect these two areas of interest, her work does highlight a series of important aspects of ageing and their influences both on processes of rural in- migration and people remaining in place. She has, for instance, highlighted the need to carefully disaggregate the processes of ageing and recognise a diversity of aged groups. In relation to the retirees, for example, she has promoted the study of ‘pre-retirement’ migrants and the people who stay in place, as well as the study of movement at the point of retirement. She has also discussed the significance of socio-economic resources in enabling forms of migration and the differentiation of migration by forms of rural space. Connecting this work to the study of rural gentrification might suggest that the geographies of rural gentrification might be differentiated by aged cohorts, as well as by phases of gentrification. The locations selected for in-movement by pre-retired and retired household may be quite distinct to the locations identified as the focus of colonisation by gentrifier families with children, who might potentially be lured by the availability of small village primary schools and the presence of seemingly outstanding secondary and higher educational establishments, as well as the apparent possibilities for children to play and interact with nature, in addition to the more demographically widespread geographical imaginations of rural areas as place of safety and low crime, fresh air and less pollution, and community. To explore this possibility, Figure 1 illustrates the distribution of households with one or more persons aged 65 or over as a percentage of total individuals in rural output areas of England and Wales. The figure shows the 10/20th and 80/90th deciles to emphasise areas of high and low concentrations of people of retirement age. It can be seen that there are relatively high concentrations of these households in the rural areas of North West Wales (in the Snowdonia National Park) and the Ceredigion coast, North and South Devon, Dorset, the north of Bognor Regis and New Romney on the South East coast, the south Suffolk coast, North Norfolk coast, Lincolnshire coast, North York Moors and Yorkshire Dales, and the Lake District. This geographic pattern The dynamics of rural gentrification and the effects of ageing on gentrified rural places

136 is in alignment with longstanding scholarship on retirement migration in the England and Wales (e.g. Warnes, 1993; Raymer, Abel and Smith, 2007)

Figure 1. Households with one or more retired persons as a percentage of total households in England and Wales (2011 UK Census) Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

137 Of course, these geographic concentrations of retired individuals may include both non-migrant and migrants. There may be individuals who have recently moved into a rural place as part of wider retirement decision-making processes. At the same time, there may be individuals and households that moved into a rural place at an earlier phase of their (working) lifecourse, and who have stayed-put and aged in the rural place. It is, however, not possible to distinguish between these different groups using census data. On the other hand, locations with relatively low concentrations of retired individuals are evident within rural areas on the fringes of large metropolitan centres. This includes most of the Home Counties that encircle the M25 and London (i.e. Essex, Hertfordshire, Buckinghamshire, Berkshire, Surrey, Sussex, Kent). This extends westwards along both the ‘M4 corridor’ to Bristol (including North Wessex Downs), and northwards along the ‘M11 corridor’ into Cambridgeshire. Low concentrations of retired individuals can also be identified in the Vale of York (to the East of Leeds), Lancashire (including the Forest of Bowland) (to the north of Manchester), the M6 corridor between Birmingham and Liverpool, and the north-east of Newcastle-upon- Tyne. This may point to the growing age segregation between rural places with relatively high concentrations with families with children and rural places with more mature populations (Smith and Culora, 2017).

Moving beyond quantitative data: methods and case study locations

To investigate the connections between ageing and rural gentrification in more detail, this paper will draw on qualitative data produced from an on-going ESRC- funded project investigating international rural gentrification (Phillips and Smith, 2018a). In England and Wales, analyses of 2011 census data was undertaken to identify different geographies of rural gentrification, illustrating the effects of different forms of capital (Phillips and Smith, 2018b). From this mapping of diverse geographies of rural gentrification, five case study locations were identified in England to investigate the similarities and differences between different expressions of rural gentrification (Smith et al., 2018, 2019). These locations were initially considered as Districts (see Figure 2) and then individual parishes The dynamics of rural gentrification and the effects of ageing on gentrified rural places

138 identified for detailed examination, before attention moved to considering individual settlements and settlement areas. In three of the Districts, a single village was identified for in-depth research, but in two Districts three settlements were selected for study in order to examine localised patterns of differentiation. In one case, the village itself contained a clear differentiation between two distinct areas of settlement, so it can be argued that within the study nine distinct areas of settlement were examined. In each of these settlement areas, a door-to-door, personally-administered, household questionnaire was issued with an extensive number of open questions. These took 1 hour on average to complete, and included sections on: household composition, views on the village and life in the village; reasons for and experiences of moving, transformations of properties, employment, use of services, leisure activities and attitudes to change in the countryside. All of the households in the each of the villages were approached to take part in the study.

Figure 2. Case study Districts Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

139 In the next section of the paper, we present three vignettes based on three of the settlement areas we examined. Two locations lie within a single parish within the District of East Herfordshire (Tewin), whilst the third lies within a parish in the District of South Kesteven in Lincolnshire. The two locations in East Hertfordshire parish were included on Pahl’s (1964) seminal Urbs in Rure, and as such provide valuable opportunities for historical comparisons. Pahl’s study was very clearly focused around the influence of London-based commuting, he later wrote that his research was based on the assumption that “ease of commuting would be a fundamental factor” in determining middle class in-migration, with “parishes closer to London” being more likely to have been impacted by this migration (Pahl, 2005, p. 624). There has, however, been an extension of average commuting distances since the time of Pahl’s research (see Brown, Champion, Coombes and Wymer, C, 2015; Pooley, Turnbull and Adams, 2005), and therefore it was decided to develop a case study of rural gentrification in a location more distant from London but where there was evidence of London focused commuting. Figure 3, for instance, shows the commuting pattern recorded in the 2011 Census for the case study parish in South Kesteven District, which lies in the county of Lincolnshire.

Figure 3. Vehicle and train based commuting from superoutput area covering case study parish in South Kesteven District The dynamics of rural gentrification and the effects of ageing on gentrified rural places

140 Three Vignettes of Aged Rural Gentrification

Vignette 1: Staying put in the changing middle class world of Tewin Wood

Tewin Wood was an area that played a prominent role in Pahl’s Urbs in Rure, being identified as a “middle-class world” (Pahl, 2005, p. 624) that had emerged through the in-migration of affluent commuters into detached housing being built by a firm of builders from North London on the woodland plots from the 1930s, through into the time when Pahl was conducting a questionnaire survey in the early 1960s. He remarks that the housing took the form of 3-, 4- and 5-bedroom houses constructed from “a choice of standard, split level and continental designs” set within one acre plots, with many of the incoming residents buying “cheap adjoining plots for additional privacy” (ibid). The significance of Tewin Wood is vividly stressed by Thompson (1990), who claims that:

The woodland inhabitants of Tewin Wood in Hertfordshire, with their large detached houses in individual clearings in the wood, commuting to work in nearby Welwyn Garden City or going up to London, enjoying their rural environment and their detachment from any rural labours, became the sociologist’s paradigm of the urban-rural middle class of the 1960s (p. 74).

Pahl himself did not use the term gentrification in his studies of Tewin Wood and other locations in rural Hertfordshire, although as Paris (2009) has remarked, his arguments can be seen to be highly commensurable with the concept (although see Halfacree, 2018). Much of Pahl’s focus was on detailing the growing presence of middle class people who whilst choosing to live in a rural location had a lifestyle that clearly connected to urban locations. He, however, also recognised the existence of other lines of differentiation amongst rural residents, including the presence of retired people who had previously worked in urban locations and had decided “to buy or build a house for retirement” (Pahl, 1966, p. 305) in an area that they viewed as rural. In the case of Tewin Wood, only 4.5 % of the people interviewed by Pahl were aged over 65, compared to 21.6 % and 14.2 % in the 35-44 and 45-52 age groups, respectively (based on Pahl, 1965). Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

141 Today, Tewin Wood is an exclusive rural location that is widely promoted by a variety of institutional agencies and marketed in London for its unique setting of detached housing in large plots in woodland (see Figure 4). Tewin Wood has received some public recognition for being the place of residence of the father of Formula 1 motor-racing star, Lewis Hamilton, and as an exclusive residential area occupied by millionaires. This is exemplified by HertsAd (15/02/17) which describes the location as: “an affluent area – the average home costs just under a million pounds – its population is older, healthier, better educated and more likely to be employed than the county or national average”. Crucially, it is also noted that: “In current uncertain times Tewin still remains extremely desirable, with high demand and low stock levels helping to support current price levels throughout the market”.

Figure 4: Aerial view of Tewin Wood

Source: Google earth.

Findings from the household survey revealed that the high demand for housing in Tewin Wood was increasingly fuelled by affluent in-migrant households seeking to acquire the large plots within the woodland for new-build housing projects. As stated by DreamPad (2018): “We have just completed a sale (£1.75 million) on this stunning The dynamics of rural gentrification and the effects of ageing on gentrified rural places

142 home in Tewin Wood. We urgently require similar homes of high quality in the Tewin Wood/Welwyn area for genuine purchasers. If you are looking to sell, please call or email us for a free and confidential valuation”. This new expression of rural gentrification within Tewin Wood might be viewed as an instance of supergentrification, which as outlined by Lees (2003) involves “the transformation of already gentrified, prosperous and solidly upper-middle-class neighbourhoods into much more exclusive and expensive enclaves” (p. 2487) (see also Butler and Lees, 2006; Smith and Phillips, 2018a). One resident described how there had been a series of new builds occurring in Tewin Wood, either on plots of land between pre- existing dwellings or on the site of existing buildings which were demolished and a new, much larger, replacement house built. The area they claimed had become “a developer’s paradise”, and such that “in the next 20 years I would predict that every bungalow will be developed”. They cited as one instance, the construction of a modern detached residential dwelling (Figure 5) following the demolition of a 3-bedroom bungalow that was purchased for £545,000 in April 2013. Architects IDL describe the development on their home webpage as a “new 5500 sq ft house on three floors recently completed for a private client. Clad completely in black to nestle into the wooded site. The double-volume fully glazed façade takes maximum advantage of its south-facing position”.

Figure 5: New housing development in Tewin Wood

Source: authors photograph. Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

143 The household survey identified the presence of long-term residents in Tewin Wood that had moved into the location from the 1960s onwards. These individual residents had stayed-put and continued to age, often undergoing a series of lifecourse transitions such as family formation, the departure of children from the home, and, in some cases, marriage/partnership break-up or widowhood. Through these lifecourse changes they had remained in Tewin Wood for a variety of reasons including: the presence of longstanding friends and neighbours who provided support and countered loneliness, involvement in a ‘community’ and access to community-based activities and trips, concerns about the costs and practicalities of selling property and moving to another property, a lack of suitable ‘down-sizing’ properties to move into, and a general sense of satisfaction with and attachment to the current residential location. The strength of commitment to place was demonstrated by comments such as: “When I leave this village it will be in a long black taxi and I will be horizontal in a pine box”. However, some elderly respondents described how recent widowhood had caused feelings of loneliness and difficulties with maintaining gardens and the upkeep of large properties. There were also expressions of resistance to change, both in relationship to the conduct of people’s own lives and also to change in the locality, with some elderly respondents expressing a desire to stay-put as a way of blocking some of the ways in which Tewin Wood was being reconfigured through new-build developments of the form outlined earlier. So, for example, one widow in her late 80s who had moved into a large 3-bedroom split-level detached house in Tewin Wood in the late 1950s with her husband and two children, described how the area had changed and why she had elected to remain there despite clearly viewing these changes in a negative light:

The houses have now expanded to million-pound monsters. This [house] was never the largest but it wasn’t the tiny one it is now. It has almost finished - the extensions now. I have lived through that side [pointing to house next door], and I have lived through that side [pointing to house next door]. When my husband died they said “are you moving on”. I said “no”, this will be pulled down and extended. Most of them have really extended, they are enormous some of them.

When asked to describe the current value of her property, the respondent noted:

I had it valued about 4 years ago, and it was about £675,000. I think it should get a good sum because they are all looking for this size of house and plot. I will tell a story about a young man, now lives in that bunglow [points to house], he The dynamics of rural gentrification and the effects of ageing on gentrified rural places

144 has just moved in there. He said “I knocked on your door last year”. I said “I know, you wanted to see if I would sell you my house”.

Although this respondent had resisted the offer to sell her house, this act had clearly not prevented the in-movement of this younger man, and there was a clear sense amongst many of the older residents in the area that there was both a restructuring of properties and a demographic shift occurring within Tewin Wood. So, for example, a female resident in her 50s commented:

there were a lot of maybe smaller houses or quite old houses and run-down houses. Probably where there were elderly people living. And … those have been sold and new families have moved in. We see a lot more families moving in from London and they have made a lot of improvements. So, on the one hand, the houses are generally, they look a lot better, but… the space has been eaten up because there just seem to [be] so many houses being extended…. you would have some plots where there was a just a relatively medium-sized house with a huge land around it and then that gets just demolished and a big house goes up on it.

This quote raises intriguing questions about the temporalities of (rural) gentrification and the complex intersection of the individual biographical ageing of gentrifiers within the context of different, and dynamic, waves of gentrification processes. This emphasises that processes of gentrification change over time, and involve different forms and age-related demographics.

Vignette 2: Settling down in the village of Tewin

The second area we wish to discuss is the village of Tewin (see Figure 6), which was also a focus of Pahl’s (1965) Urbs in Rure. Whilst located just “a mile or so” from Tewin Wood, Pahl presented Tewin village as quite a different social world, suggesting it was a “more ‘traditional’ world of the mainly working-class villagers” (Pahl, 2005, p. 624), although also differentiating at times between an area of council housing and other areas of the Village. Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

145 Figure 6: Aerial view of Tewin Village

Source: Google earth.

The differentiation between ‘the Wood’ and ‘the Village’ observed by Pahl was clearly echoed in some of the descriptions of the areas given by respondents we interviewed: hence one Tewin Wood resident remarked that there was “a bit of snobbery assigned to ‘The Wood’” and although they sought to resist this division they “don’t feel part of the village”. However, as in Tewin Wood, it was clear that many residents in Tewin village had remained there over an extended period and exhibited strong place attachment. So, for example, one couple resident of the village remarked:

We are very old. I am 74, and [my wife] is 79 … [The village] has not changed much in the 30 years we have been here. Most people who come here don’t leave. People are satisfied at what they have got.

Later, they remarked:

We intended to live here for five years… We have never thought of moving. This is a pine casket territory. I will only leave here in a pine casket. Unless you can find me a nice bungalow within walking distance of this house, an easy walking distance. I would think about it. The dynamics of rural gentrification and the effects of ageing on gentrified rural places

146 This quote simultaneously illustrates the presence of a determination to remain in place, a willingness to downsize dwelling size, a perceived lack of suitable accommodation to move into, and an indication that the attachment to place was in a sense unanticipated at the time of movement. Such comments resonate with the arguments of Halfacree and Rivera (2012) and Phillips (2016) about how representational impressions of place, that may be important to residential movement, may be over-written and eclipsed by affective and embodied engagements with places, and with the human and more-than human inhabitants in these places. As Maclaren (2018) has observed, older people may have both “long trajectories… of encounters”, and also spend “more time in the spaces of the village” (p. 227) during a normal day, and hence maybe come to develop affective attachments that differ quite significantly from their initial assessments of place, as clearly illustrated in the following comments from an interview with a retired couple, both in their 70s, who coordinate the local jumble sale events in Tewin village:

We came here to make a quick financial killing. Properties were going up in prices so fast. In three or four years we will be gone – but we fell in love with it. There is nothing to touch this place. We did so recently say when the lottery was 76 million, if we won it, would we move. And we said we wouldn’t move… We got involved in the community. It just happens. You are encouraged to be part of it… I have 106 people on my email list that are helpers in the village.

Whilst quite clearly there were people who were ageing in place and developing very strong relations with the place and its inhabitants, it was also evident that Tewin village was experiencing considerable amounts of in-migration by younger people. These were often people with children or intending to start a family, but also included some single people who, in at least the instance of one man in his 40s, clearly felt out of place in a space occupied by households composed predominantly of older and families:

I think living on your own here is not a, no, it’s not a great place to live if you’re looking for social interaction to any degree, I would say. “Great, great little place if you’ve got a family”. But yeah, in my current situation ... the likelihood is that I’ll probably move out the village.

Such comments indicate how demographic structure may itself be a constituent of displacement pressures (e.g. Hochstenbach and Boterman, 2018; Smith, 2002), and whilst some people clearly came, settled and as they aged came to establish strong attachment to the place and people of Tewin village, for at least some Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

147 younger people without children or partners, the village, despite some very positive features, has yet to feel like a place to stay.

Vignette 3: Long-distance commuting as a means of ageing in place.

The first two vignettes have focused largely on people ageing in place over an extended period and becoming attached to a location that initially some people had viewed as only a temporary place of residence. Contrasting with these experiences, the final vignette considers a case where people appear to have moved with the expectation of ageing in a place. As discussed earlier, a parish in South Kesteven district was selected for study on the basis of evidence of rural gentrification linked to long-distance commuting within the 2011 Census. However, when interviewing in three villages in this parish some 7 years later, it became evident that many of residents who had commuted to London in the past had ceased to do so, and that indeed the move to area had very much been undertaken with both the onset and cessation of commuting in mind. So, for example, a couple in their late forties/early fifties explained their decision to move to the village as follows:

We didn’t want to be in London anymore. Every weekend we were trying to get out of London … So, we came here or basically around Grantham because of the timing for the commute … he’d commute two hours door to door in London. Even when we were in Wimbledon Park it would still take over an hour and he’d end up standing on the train. And the quality of life at the end of the day and the weekend is completely different. So, it was a quality of life thing as well really. And with a viewpoint that this wasn’t going to go on forever, because he’d set the timeframe to commute for five years and then stop. So, you want to be somewhere nice at the end of that five years.

Here was a clear instance of pre-retirement migration occurring with an eye to settling into a place for retirement. This example furthermore demonstrates clear parallels with findings from previous studies of pre-retirement migration (see Philip and MacLeod, 2018), which have, for instance, claimed that these moves often commence when individuals are “in their early 50s”, tend to involve two-adult empty- nest households who move after children have left the family home, and are heavily influenced by “quality of life consideration” (Stockdale, 2006, p. 4). Whilst pre-retirement was not the only migration stream impacting this village, with many residents commenting on the ‘mix of people’ who had moved into and out The dynamics of rural gentrification and the effects of ageing on gentrified rural places

148 of the village, it was clear that the settlement had been impacted in the preceding couple of decades by a movement of people into the village who had commuted to work, in some cases to London, but who had subsequently retired. Many of these residents appeared to be active gentrifiers, with one resident commenting on the extent of change in the village “in terms of building new properties, quite big properties, [and] refurbishing properties”, and also to be engaged in active retirement, both in relation to events within the village and surrounding communities, but also, in several cases, quite extensively in quite distant arenas. One couple in their 60s, for example, explained how they both found the village very attractive but also valued its accessibility to other parts of the country, both initially for work but also within their retirement.

peaceful, picturesque, friendly, lovely… but also accessible, it gives you a feel of being, in the countryside, a bit of rural life, but when we’re only 15 minutes from a mainline station and we have accessibility in terms of driving or train into Nottingham, to Peterborough, to London, it’s dead easy. And that is important to us... because we’ve got family all over the country, we want to be near a good road network, and because a lot of our leisure time, we’re at the theatre, we do a lot of live performances, and not to be able to access that, we wouldn’t like that…. And also we’ve got two or three circles of friends, and we’re broadly in the centre of where are friends live.

Discussion and conclusion

Our main aim in this paper was to move beyond conventional representations of rural gentrification that are often cast as a process of rural change tied to the in- migration of affluent family gentrifiers with children. Instead, we have presented empirical findings from an on-going study of rural gentrification to show how the processes of change can involve social groups at more mature stages of their lifecourse. These under-explored dimensions of rural gentrification serve to demonstrate the need to more fully consider the ageing of gentrifiers in place, and emphasises how a wider temporal perspective can shed more light on the complex dynamics of rural gentrification processes in specific places. In our case study locations, this focus reveals how ageing gentrifiers can influence the supply of available properties for subsequent waves of in-migrants to gentrify, and mediate the distinctive forms and expressions of rural gentrification. By staying-put during the latter stages of their lifecourse, albeit in Darren P. Smith, Martin Darren P. Phillips, Hannah Brooking, Mara Duer and Chloe Kinton

149 housing that may not suit their lifestyle, and living arrangements and family structure, rural gentrifiers can obliquely create displacement pressures impacting on younger residents and have serious impacts on local housing markets. There are clearly important policy implications here for such rural places, which may have a knock-on effect on wider local rural and urban housing markets. For example, the increased development and supply of one- or two-bedroom bungalows in gentrified rural places may possibly free-up larger housing for families at child forming or rearing stages of their lifecourse, if ageing gentrifiers were to sell-up and move into bungalows; a theme that has been articulated by ageing gentrifiers in our case study locations. However, we also noted how in-coming family gentrifiers may be involved in the demolition of bungalows in their search to colonise certain rural locations, a practice that might reduce the possibility of residents down-sizing to smaller properties and thereby restrict the release of properties that might facilitate the in-migration of younger people with families. Such situations highlight the complex relations that surround gentrification and ageing, and clearly illustrate the broader significance of this paper which has been to argue for the need for research that examines the intersections of ageing with processes of gentrification and adopt a fuller focus on gentrifiers at different stages of their lifecourse. Processes of rural gentrification are, as we have shown here, not restricted to in-migrant affluent families with children. At the same time, a wider temporal perspective of gentrifiers and a fuller consideration of what happens to gentrifiers when they stay-put and age in place would be valuable. In this way, we would argue that processes of rural gentrification are an under- stated influence on the ageing of rural societies in many gentrified rural places. The ageing of rural gentrifiers may also be an overlooked factor in the growing exclusivity of some rural places, and the increasing exclusion of lower income social groups from gentrified rural places.

Acknowledgements

Acknowledgements and sources of funding: Economic and Social Research Council (grant number ES/L016702/1). We are grateful to Andreas Culora for assistance with the production of the Figures. The dynamics of rural gentrification and the effects of ageing on gentrified rural places

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157 Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

Guillermo Salas-Razo (*) y Luis Gibran Juárez-Hernández (**) (*) Universidad Michoacana de San Nicolás de Hidalgo, México (**) Centro Universitario CIFE, México

DOI: 10.4422/ager.2019.01

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 161-188 Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

Resumen: Se diseñó una rúbrica analítica para evaluar el nivel de desarrollo de una comunidad rural desde una perspectiva integral, ya que incorporó la dimensión económica, sociocultural, ambiental, de servicios básicos, infraestructura, organización y gobernanza. Para su validación se implementó la revisión de expertos, juicio de expertos con enfoque cuali-cuantitativo, aplicación a un grupo piloto y a una muestra de una comunidad de Michoacán (México). Los expertos aprobaron el instrumento, y se validó el contenido para ítems y niveles de desempeño (V de Aiken > 0,75; ICI > 0,50). El grupo piloto ponderó adecuadamente la comprensión de instrucciones e ítems, y se obtuvieron valores adecuados de confiabilidad en el mismo, así como en la muestra de la comunidad (alfa de Cronbach: 0,875 y 0,898). La multidimensionalidad del instrumento y el autorreporte robustecen el alcance de su aplicación, y su validez de contenido y confiabilidad le brindan los atributos para evaluar del nivel de desarrollo de una comunidad rural.

Palabras clave: Desarrollo rural, instrumento de evaluación, validez de contenido, confiabilidad del instrumento.

An analytical rubric for a comprehensive diagnosis of the level of development of a rural community

Abstract: An analytical rubric was designed to assess the level of development of a rural community from an integral perspective incorporating the economic, sociocultural, environmental, basic services, infrastructural, organizational and governance dimensions. For its validation, we implemented expert review, expert judgment with a qualitative-quantitative approach, an application to a pilot group and a sample from a community in Michoacan (Mexico). The experts approved the instrument, and the content was validated for items and performance levels (V for Aiken > 0.75, ICI > 0.50). The pilot group adequately weighed the understanding of instructions and items, and adequate values of reliability were obtained in it, as well as in the community sample (Cronbach's alpha: 0.875 and 0.898). The multidimensionality of the instrument and self-reporting make the scope of its application more robust, while content validity and reliability make it suitable to assess the level of development of a rural community.

Keywords: Rural development, evaluation instrument, content validity, reliability of the instrument.

Recibido: 17 de mayo de 2018 Devuelto para revisión: 31 de agosto de 2018 Aceptado: 18 de diciembre de 2018

Cómo citar este artículo: Salas-Razo, G., y Juárez-Hernández, L. G. (2019). Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 161-188. DOI: 10.4422/ager.2019.01

Guillermo Salas Razo. ORCID 0000-0002-8182-4321. E-mail: [email protected] Luis Gibran Juárez-Hernández. ORCID 0000-0001-7223-2490 Introducción

En las últimas décadas, América Latina ha experimentado cambios profundos en su territorio rural, producto de las grandes transformaciones demográficas, sociales y productivas que agravan la pobreza y la degradación de sus recursos naturales; situación compleja que demanda de un instrumento capaz de describir la realidad del medio rural e incluya su funcionamiento y organización (Sili 2016). Esto requiere del conocimiento del estado actual de desarrollo a nivel comunidad rural, ya que son los propios habitantes quienes pueden dar cuenta de ello, pues día a día viven las carencias y necesidades de su realidad. Diversos instrumentos evalúan la pérdida de biodiversidad, deforestación, desigualdad socioeconómica, desnutrición, acceso a la educación, salud, seguridad, infraestructura, vivienda, servicios, democracia y paz social (Araya y Gallardo, 2015; Mora-Tivera y Cerón-Monroy, 2015; Bermúdez et al., 2017; Marcelino-Aranda et al., 2017); así como la adopción de nuevas tecnologías, uso de energías renovables, generación de bienes de consumo y bienestar (Sepúlveda et al., 2005), y la evaluación de la aptitud territorial como factor clave para el desarrollo sostenible (Fuenzalida et al., 2013; Varisco, 2016); sin embargo, siguen dispersas las diversas dimensiones del nivel de desarrollo de una comunidad rural. A este respecto, diversas contribuciones han indicado que las dimensiones que integran este constructo son el desarrollo de la niñez, la calidad de vida de las personas, la seguridad territorial, la educación, la Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

163 tecnología y el empleo, estas en función de los factores de disponibilidad de recursos, fiabilidad social, justicia social, oportunidades de elección, habilidades de selección y las percepciones de satisfacción y de desarrollo económico sostenible; sin embargo estas propuestas no integran los aspectos o dimensiones fundamentales (condición económica, sociocultural, ambiental, de servicios básicos e infraestructura, y de organización y gobernanza), las cuales son consideradas como esenciales para evaluar el nivel de desarrollo en el medio rural (Salas-Razo y Juárez-Hernández, 2018). Los aportes instrumentales para evaluar el nivel de desarrollo de una comunidad rural son escasos o nulos (tabla 1). Entre los instrumentos que abordan alguna dimensión destaca el cuestionario de bienestar autorreportado (BIAIRE), el cual es un instrumento diseñado para obtener indicadores de la propia población y a la vez evaluar la dimensión sociodemográfica desde la percepción del individuo sobre su condición en el entorno (Vera et al. 2016). Aunque el BIARE representa una evaluación subjetiva, refleja en general el grado de la calidad de vida de la gente, ya que el bienestar como variable dependiente permite ubicar los factores que inciden en ella, como lo son: educación, clase social, política pública, nivel de democracia y gobernanza (Temkin y Flores-Ivich, 2017). Esto sustenta la importancia del autorreporte en el diagnóstico, planeación y diseño de políticas de desarrollo en el medio rural. Si bien los aportes reportados son escasos un aspecto fundamental son el análisis de sus propiedades psicométricas, mediante el cual se puede considerar un instrumento como científico (Kerlinger y Lee, 2002; FIDA, 2015), pues brinda evidencias válidas y confiables de sus resultados (tabla 1). Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

164 Tabla 1. Propiedades psicométricas esenciales que evalúan la confiabilidad y validez de instrumentos utilizados por diversos autores para medir el nivel de percepción de una población desde diversas dimensiones

Autor(es) Tipo de instrumento Dimensión Propiedad psicométrica analizada Carrasco et al. Instrumento gráfico. Desarrollo en niños Confiabilidad (2010) en zonas rurales. Carreón et al. Tabla de percepción Percepción de seguridad territorial, Confiabilidad (2016) de inseguridad. nacional, pública, humana, ciudadana, privada e internauta. Cruz et al. (2015) Cuestionario de calidad Educación, tecnológica y empleo en Confiabilidad de vida. función de los factores de disponibilidad de recursos, fiabilidad social, justicia social, oportunidades de elección, habilidades de selección y percepciones de satisfacción. Galván et al. (2014) Cuestionario para el Percepción de desarrollo económico Confiabilidad análisis estratégico sostenible, desarrollo social equitativo, participativo desarrollo ambiental sustentable, de desarrollo local. desarrollo institucional eficiente y participativo, y desarrollo tecnológico equitativo. Boluarte y Tamari Investigación tipo Autodeterminación, bienestar Validez de contenido (2017) instrumental, referido al emocional y físico, bienestar desarrollo, adaptación y material, inclusión social estudio de las propiedades y bienestar laboral. psicométricas de un test. Sotelo et al. (2012) Estudio instrumental Ansiedad considerando aspectos de Validez de contenido destinado a la adaptación inquietud/hipersensibilidad, ansiedad y estudio de las propiedades fisiológica, y preocupaciones psicométricas de un test. sociales/estrés. Ferreira (2016) Encuestas de muestreo. Frecuencia y relaciones entre las Validez de contenido variables psicológicas y sociológicas de la población: actitudes, creencias, perjuicios, preferencias y opiniones. Fuente: Elaboración propia. Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

165 Por lo anterior, el primer objetivo del presente estudio fue construir un instrumento que supere los vacíos en materia de diagnóstico del nivel de desarrollo de una comunidad rural que integré las dimensiones pertinentes, y el segundo objetivo fue demostrar su validez de contenido y confiabilidad; esto permitirá obtener evidencias válidas y confiables (Barrera et al. 2015) que de manera objetiva describan el contexto, carencias y oportunidades de una comunidad rural desde la percepción de su sociedad (Lares y López 2004; Ibáñez y Castillo 2015; Rizo-Mustelier et al. 2017).

Metodología

Diseño y revisión de expertos

Bajo el sustento de la propuesta de desarrollo rural de Salas-Razo y Juárez- Hernández (2018), se diseñó el instrumento para evaluar el nivel de desarrollo de una comunidad rural de manera integral desde la perspectiva de sus propios habitantes. Su construcción integró las dimensiones de condición económica, sociocultural, ambiental, de servicios básicos e infraestructura, y de organización y gobernanza. Para su diseño se analizaron diferentes tipos de instrumentos y se eligió la rúbrica analítica por el nivel de especificidad que en ella está implícita y que desglosa una actividad o dimisión en diversos indicadores que describen los criterios observables para cada nivel (Mertler, 2001). Su especificidad permite efectuar un análisis detallado de cada una de las categorías o dimensiones (Mertler, 2001; Gatica-Lara y Uribarren-Berrueta, 2013) Empleando la taxonomía socioformativa (Tobón, 2017) se crearon ítems para cada dimensión y para cada ítem se crearon cinco niveles de desarrollo con sus respectivos descriptores. Posterior a su construcción, se implementó un esquema metodológico de fases secuenciadas y vinculadas entre sí con objetivos específicos para el análisis de sus propiedades psicométricas. Con la finalidad de verificar la pertenencia y relevancia de las preguntas o ítems al fenómeno o constructo, el instrumento fue sometido a una revisión de expertos con experiencia significativa en el área de investigación, con grado académico mínimo de maestría y con experiencia en el diseño y/o validación de un instrumento de investigación (Juárez-Hernández et al., 2017) (tabla 2). Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

166 Tabla 2. Perfil de los expertos

Juez Grado Áreas de experiencia Años de experiencia Artículos académico profesional en docencia, investigación publicados y/o revisión, diseño y validación en el área de instrumentos de investigación 1 Maestría en Abogada, estudios sociales, 6 4 producción docencia nivel superior. agropecuaria 2 Maestría Docencia, terapia 12 - en psicología psicoanalítica, edición de textos, desarrollo municipal. 3 Doctorado en Producción agropecuaria, 7 6 ciencias desarrollo rural, investigación. biológicas 4 Doctorado en Producción agropecuaria, 36 12 ciencias desarrollo rural, biológicas investigación, docencia. Fuente: Elaboración propia.

Juicio de expertos y análisis de validez de contenido

Se realizó un juicio de expertos al instrumento “Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural”. Este proceso es referido como la vía de mayor uso para determinar la validez de contenido (Ruiz, 2002; Escobar y Cuervo, 2008). Para la selección de expertos, se consideró el grado académico (mínimo de maestría), liderazgo reconocido en áreas del conocimiento afines a la investigación, años de experiencia en el área, experticia y publicación de artículos documentales y empíricos, diseño y validación de instrumentos de investigación (Juárez-Hernández et al., 2017; Juárez-Hernández y Tobón, 2018). Con base a estos criterios se seleccionaron 13 jueces de 6 países, incluyendo México (tabla 3). La evaluación del instrumento tuvo un enfoque cuali-cuantitativo para los criterios de claridad, relevancia y coherencia de ítems y descriptores de los niveles de desempeño. En la evaluación cualitativa los jueces podían efectuar sugerencia en extenso, así como proponer la eliminación de ítems, y para la evaluación cuantitativa los expertos evaluaron mediante una escala Likert (valor de uno a cuatro, más bajo y Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

167 más alto respectivamente) los criterios descritos. Finalmente, el análisis de la evaluación cuantitativa se realizó mediante el cálculo del coeficiente de validez de contenido V de Aiken (Penfield y Giacobbi, 2004) con significancia estadística e intervalos de confianza al 90 por ciento (Bulger y Housner, 2007), considerando a un ítem/descriptor como valido cuando el valor de la V de Aiken fue superior a 0,75 (Bulger y Housner, 2007; Merino y Livia, 2009) y con un límite inferior del intervalo de confianza no menor de 0,50 (Cicchetti, 1994). Descriptores o ítems con una V menor a 0,75, o bien en el intervalo de confianza inferior a 0,50, fueron sujetos a una revisión a detalle, considerándose su eliminación o bien su mejora de acuerdo con las recomendaciones de los expertos. Se destaca que la evaluación de los expertos se sustentó en el anonimato, la iteración de estos, la retroalimentación controlada, y la heterogeneidad, aportando riqueza al análisis de una realidad tan compleja. Esto se logró con el uso de la técnica Delphi recomendada por Martínez-Carrasco et al. (2014) garantizando la opinión fidedigna de expertos. Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

168 Tabla 3. Perfil de los jueces expertos

Institución Grado Liderazgos reconocidos Experiencia Experticia académico por área del promedio conocimiento en el área Jueces Nacionales

• Universidad Michoacana (1) Maestría Desarrollo rural. 21.4 años Análisis de propiedades de San Nicolás de (6) Doctorado Desarrollo sustentable. psicométricas. Hidalgo (2) Estudios de gobernanza Diseño, confiabilidad y

• Centro de Estudios local. validación de instrumentos. Educativos y Sindicales Indicadores de Docencia e investigación. el SNTE (1) sustentabilidad. Estudios de pertinencia

• Instituto Tecnológico Instrumentos programas educativos de Sonora (1) psicométricos. en IES y Posgrados.

• Instituto Politécnico Normatividad ambiental. Publicaciones en revistas y Nacional (2) Congresos sobre el tema.

• Universidad Autónoma Gestión empresarial rural del Estado de México (1) sustentable. Validación de escalas de evaluación.

Jueces Internacionales

• Organización de las (3) Maestría Agricultura Familiar. 14.25 años Análisis de eficiencia Naciones Unidas para la (3) Doctorado Desarrollo Local. con variables de entorno. Alimentación y la Desarrollo rural. Diagnósticos de sostenibilidad. Agricultura- FAO. Desarrollo sostenible. Diseño de estrategias Colombia (1) Percepción de riesgos. integrales de desarrollo.

• Universidad de Murcia. Pobreza. Gestión de seguridad y España (1) Políticas de desarrollo rural. soberanía alimentaria.

• Universidad Nacional Seguridad y Soberanía Líder de proyecto. de Mar del Plata. Argentina (1) Alimentaria. Validación de cuestionarios.

• Universidad de Oriente. Territorio y gestión Cuba (2) del desarrollo.

• Universidad Peruana Cayetano Heredia. Perú (1) Fuente: Elaboración propia. Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

169 Aplicación al grupo piloto

Una vez revisada y efectuados los cambios propuestos por los expertos, la rúbrica analítica se aplicó a un grupo piloto en la localidad de San Jerónimo Purenchécuaro, Municipio de Quiroga Michoacán, México; donde el 79,25 por ciento de la población es indígena y el 45,27 por ciento de la población hablan su propia lengua y donde el 13,85 por ciento de la población es analfabeta con un grado de escolaridad de 7,70 años de estudios. El grupo piloto estuvo conformado por 12 personas (66,7 por cien hombres y 33.3 por cien mujeres) con un promedio de edad mayor 18 años. La aplicación al grupo piloto tuvo dos objetivos, el primero fue determinar el grado de comprensión y satisfacción respecto a las instrucciones, ítems, descriptores y tiempo de resolución mediante la encuesta de satisfacción con el instrumento (CIFE, 2017); y el segundo fue determinar la confiabilidad del instrumento de manera inicial mediante el coeficiente Alfa de Cronbach (Cronbach, 1951) teniendo en cuenta los criterios de Nunnaly y Berstein (1994).

Aplicación a la muestra

Posteriormente el instrumento fue aplicado a 59 pobladores (mayores de 18 años) del Municipio de Tepalcatepec perteneciente al Estado de Michoacán (tabla 4). Para Tepalcatepec se reporta un uso de suelo Agrícola del 50,72 % y 0,80 % de zona urbana en sus alrededores y donde el 97,3 % de la población esta alfabetizada, la población presenta una proporción similar de mujeres y hombres, con un rango de edad de 15 a 59 años (60 por ciento) (INEGI, 2011). En esta aplicación se incluyó un ítem para evaluar la percepción de la muestra respecto a que si el instrumento consideraba todos los aspectos de su comunidad. Finalmente se determinó la confiabilidad del instrumento con el coeficiente alfa de Cronbach (Cronbach, 1951). Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

170 Tabla 4. Datos sociodemográficos de los participantes

Característica Porcentajes Sexo Hombres 55,94 Mujeres 44,07 Edad Mayor de 18 100,00 Ocupación Empleado 33,89 Agricultor 22,03 Hogar 18,64 Ejercicio Profesional 13,55 Comerciante 6,77 Estudiante 3,39 Jornalero 1,69 Escolaridad Primaria 45,76 Secundaria 22,04 Universidad 18,64 Preparatoria 13,55 Fuente: Elaboración propia.

Resultados

Se construyó la rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural en sus dimensiones: condición económica, sociocultural, ambiental, de servicios básicos e infraestructura, y de organización y gobernanza (anexo 1).

Revisión por expertos

Los expertos señalaron aspectos a mejorar en el instrumento para algunos ítems, se recomendó reducir su tamaño o extensión, en otros casos mejorar la redacción y conjunción de frases de los descriptores evitando palabras muy técnicas. Respecto al contenido las recomendaciones fueron orientadas a unificar criterios en las variables comparables entre sí, revisar la precisión en algunos descriptores y en Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

171 algunos otros ampliarlos. Respecto a las dimensiones, ítems y niveles de desempeño propuestos, la revisión demostró su pertenencia al constructo evaluado, así como la correspondencia de los ítems respecto a la dimensión; a este respecto, en ningún caso se efectuó una sugerencia de retirar o eliminar algún ítem.

Análisis de validez de contenido

En el análisis cualitativo, los jueces expertos señalaron mejoras en el instrumento relacionadas con la extensión de algunos ítems, así como la mejora en redacción. Respecto a la evaluación cuantitativa se destaca que el 99 por ciento de ítems y descriptores de los niveles de desempeño fueron validados en términos de claridad, relevancia y coherencia (V>0,75; ICI>0,50) (tabla 5). Únicamente en términos de claridad el descriptor del nivel de desempeño muy alto del ítem nivel de identidad cultural en la comunidad no fue validado (V<0,75). Este descriptor fue analizado y mejorado en su redacción, tomando en consideración las observaciones realizadas por los expertos. Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

172 Tabla 5. Análisis de validez de contenido para los descriptores de los ítems correspondientes a las dimensiones del instrumento “Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural”

Claridad Relevancia Coherencia Dimensión Nivel de V de CI ICS V de ICI ICS V de desempeño Aiken I Aiken Aiken ICI ICS CONDICIÓN ¿Cuál es el nivel de ingresos económicos en la comunidad? ECONÓMICA Muy bajo 0,905 0,804 0,957 0,929 0,834 0,971 0,976 0,900 0,995 Bajo 0,905 0,804 0,957 0,929 0,834 0,971 0,976 0,900 0,995 Medio 0,905 0,804 0,957 0,952 0,866 0,984 0,976 0,900 0,995 Alto 0,881 0,775 0,941 0,929 0,834 0,971 0,976 0,900 0,995 Muy alto 0,881 0,775 0,941 0,952 0,866 0,984 0,976 0,900 0,995 ¿Cuál es el nivel de desarrollo industrial en la comunidad? Muy bajo 0,905 0,804 0,957 0,881 0,775 0,941 0,929 0,834 0,971 Bajo 0,857 0,747 0,924 0,952 0,866 0,984 0,929 0,834 0,971 Medio 0,881 0,775 0,941 0,952 0,866 0,984 0,929 0,834 0,971 Alto 0,857 0,747 0,924 0,952 0,866 0,984 0,929 0,834 0,971 Muy alto 0,881 0,775 0,941 0,952 0,866 0,984 0,929 0,834 0,971 ¿Cuál es el nivel de producción en la comunidad? Muy bajo 0,762 0,640 0,852 0,952 0,866 0,984 0,952 0,866 0,984 Bajo 0,810 0,692 0,889 0,905 0,804 0,957 0,952 0,866 0,984 Medio 0,857 0,747 0,924 0,952 0,866 0,984 0,952 0,866 0,984 Alto 0,857 0,747 0,924 0,952 0,866 0,984 0,952 0,866 0,984 Muy alto 0,786 0,666 0,871 0,974 0,897 0,994 0,952 0,866 0,984 CONDICIÓN ¿Cuál es nivel de seguridad en la comunidad? SOCIAL Muy bajo 0,857 0,747 0,924 0,952 0,866 0,984 0,881 0,775 0,941 Y CULTURAL Bajo 0,786 0,666 0,871 0,905 0,804 0,957 0,833 0,719 0,907 Medio 0,881 0,775 0,941 0,929 0,834 0,971 0,857 0,747 0,924 Alto 0,833 0,719 0,907 0,905 0,804 0,957 0,857 0,747 0,924 Muy alto 0,786 0,666 0,871 0,929 0,834 0,971 0,881 0,775 0,941 ¿Cuál es el nivel de inclusión social en la comunidad? Muy bajo 0,857 0,747 0,924 0,952 0,866 0,984 0,929 0,834 0,971 Bajo 0,881 0,775 0,941 0,929 0,834 0,971 0,857 0,747 0,924 Medio 0,881 0,775 0,941 0,929 0,834 0,971 0,881 0,775 0,941 Alto 0,905 0,804 0,957 0,929 0,834 0,971 0,881 0,775 0,941 Muy alto 0,833 0,719 0,907 0,952 0,866 0,984 0,929 0,834 0,971 ¿Cuál es el nivel de identidad cultural en la comunidad? Muy bajo 0,786 0,666 0,871 0,833 0,719 0,907 0,881 0,775 0,941 Bajo 0,833 0,719 0,907 0,833 0,719 0,907 0,833 0,719 0,907 Medio 0,857 0,747 0,924 0,857 0,747 0,924 0,881 0,775 0,941 Alto 0,857 0,747 0,924 0,833 0,719 0,907 0,857 0,747 0,924 Muy alto 0,738 0,615 0,833 0,833 0,719 0,907 0,881 0,775 0,941 Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

173 CONDICIÓN ¿Cuál es el nivel de uso y conservación de los recursos naturales? AMBIENTAL Muy bajo 0,857 0,747 0,924 0,929 0,834 0,971 0,952 0,866 0,984 Bajo 0,857 0,747 0,924 0,952 0,866 0,984 0,929 0,834 0,971 Medio 0,881 0,775 0,941 0,952 0,866 0,984 0,929 0,834 0,971 Alto 0,857 0,747 0,924 0,952 0,866 0,984 0,929 0,834 0,971 Muy alto 0,881 0,775 0,941 0,952 0,866 0,984 0,952 0,866 0,984 ¿Cuál es el nivel de uso y adopción de energías renovables y alternativas limpias en la comunidad? Muy bajo 0,905 0,804 0,957 0,905 0,804 0,957 0,929 0,834 0,971 Bajo 0,929 0,834 0,971 0,905 0,804 0,957 0,905 0,804 0,957 Medio 0,929 0,834 0,971 0,905 0,804 0,957 0,905 0,804 0,957 Alto 0,929 0,834 0,971 0,929 0,834 0,971 0,905 0,804 0,957 Muy alto 0,929 0,834 0,971 0,929 0,834 0,971 0,929 0,834 0,971 ¿Cuál es el nivel de Gestión ambiental? Muy bajo 0,857 0,747 0,924 0,905 0,804 0,957 0,929 0,834 0,971 Bajo 0,857 0,747 0,924 0,929 0,834 0,971 0,929 0,834 0,971 Medio 0,881 0,775 0,941 0,929 0,834 0,971 0,929 0,834 0,971 Alto 0,881 0,775 0,941 0,929 0,834 0,971 0,929 0,834 0,971 Muy alto 0,857 0,747 0,924 0,929 0,834 0,971 0,929 0,834 0,971 CONDICIÓN DE SERVICIOS ¿Cuál es el nivel de salud y alimentación en la comunidad? BÁSICOS Y DE Muy bajo 0,857 0,747 0,924 0,905 0,804 0,957 0,881 0,775 0,941 INFRA- Bajo 0,857 0,747 0,924 0,905 0,804 0,957 0,881 0,775 0,941 ESTRUCTURA Medio 0,857 0,747 0,924 0,905 0,804 0,957 0,881 0,775 0,941 Alto 0,857 0,747 0,924 0,905 0,804 0,957 0,881 0,775 0,941 Muy alto 0,905 0,804 0,957 0,952 0,866 0,984 0,881 0,775 0,941 ¿Cuál es el nivel de educación en la comunidad? Muy bajo 0,976 0,900 0,995 0,976 0,900 0,995 0,976 0,900 0,995 Bajo 0,976 0,900 0,995 0,952 0,866 0,984 0,976 0,900 0,995 Medio 0,976 0,900 0,995 0,976 0,900 0,995 0,976 0,900 0,995 Alto 0,976 0,900 0,995 0,976 0,900 0,995 0,976 0,900 0,995 Muy alto 0,976 0,900 0,995 0,976 0,900 0,995 0,976 0,900 0,995 ¿Cuál es el nivel de infraestructura en la comunidad? Muy bajo 0,976 0,900 0,995 0,905 0,804 0,957 0,952 0,866 0,984 Bajo 0,976 0,900 0,995 0,952 0,866 0,984 0,952 0,866 0,984 Medio 0,976 0,900 0,995 0,952 0,866 0,984 0,952 0,866 0,984 Alto 0,976 0,900 0,995 0,952 0,866 0,984 0,952 0,866 0,984 Muy alto 0,952 0,866 0,984 0,952 0,866 0,984 0,952 0,866 0,984 CONDICIÓN ¿Cuál es el nivel de legalidad y justicia en la comunidad? DE Muy bajo 0,810 0,692 0,889 0,929 0,834 0,971 0,833 0,719 0,907 ORGANIZACIÓN Bajo 0,881 0,775 0,941 0,905 0,804 0,957 0,810 0,692 0,889 Y Medio 0,881 0,775 0,941 0,929 0,834 0,971 0,810 0,692 0,889 GOBERNANZA Alto 0,881 0,775 0,941 0,905 0,804 0,957 0,810 0,692 0,889 Muy alto 0,881 0,775 0,941 0,929 0,834 0,971 0,833 0,719 0,907 Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

174 ¿Cuál es el nivel organizacional en la comunidad? Muy bajo 0,881 0,775 0,941 0,976 0,900 0,995 0,976 0,900 0,995 Bajo 0,881 0,775 0,941 0,952 0,866 0,984 0,976 0,900 0,995 Medio 0,905 0,804 0,957 0,976 0,900 0,995 0,976 0,900 0,995 Alto 0,905 0,804 0,957 0,976 0,900 0,995 0,976 0,900 0,995 Muy alto 0,905 0,804 0,957 0,976 0,900 0,995 0,976 0,900 0,995 ¿Cuál es el nivel de democracia en la comunidad? Muy bajo 0,952 0,866 0,984 0,929 0,834 0,971 0,976 0,900 0,995 Bajo 0,952 0,866 0,984 0,976 0,900 0,995 0,929 0,834 0,971 Medio 0,952 0,866 0,984 0,976 0,900 0,995 0,929 0,834 0,971 Alto 0,929 0,866 0,984 0,976 0,900 0,995 0,881 0,775 0,941 Muy alto 0,952 0,866 0,984 0,976 0,900 0,995 0,881 0,775 0,941 Fuente: Elaboración propia.

Aplicación al grupo piloto

El análisis del cuestionario de satisfacción arrojó en lo general una opinión favorable respecto a la comprensión y aceptación de las instrucciones, ítems y tiempo para su resolución (tabla 6). Respecto al análisis de confiabilidad, este reveló un valor satisfactorio (alfa de Cronbach: 0,875).

Tabla 6. Grado de comprensión y aceptación del instrumento “Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural”, aplicado a grupo piloto de una comunidad indígena

Encuesta de satisfacción Bajo Aceptable Bueno Excelente ¿Cuál fue el grado de comprensión y aceptación del instrumento? 27% 72% ¿Cuál fue el grado de comprensión de las preguntas o ítems? 36% 64% ¿Cuál fue el grado de satisfacción con el instrumento? 9% 64% 27% ¿Cuál es el grado de satisfacción con el tiempo para contestar el instrumento? 36% 64% Fuente: Elaboración propia a partir del cuestionario de satisfacción con el instrumento (CIFE, 2017). Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

175 Aplicación de la muestra

De la aplicación del instrumento a la muestra (Tepalcatepec, Michoacán n = 59) se obtuvo una confiabilidad optima (alfa de Cronbach: 0,898; IC 95%: 0,851 + 0,930). Del total de la muestra el 57 por ciento de los encuestados indicó que el instrumento consideraba todos los aspectos de su comunidad estaban incluidos en el instrumento, el 24 por ciento consideró que tal vez si estaban incluidos y el 19 por ciento consideró que deberían agregarse otros aspectos.

Discusión

La “rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural” llena el vacío del conocimiento e instrumentación metodológica, pues contiene los criterios descriptivos que determinan multicontextualmente el nivel de desarrollo rural de una comunidad. La profundización efectuada en el análisis documental y la caracterización del constructo (Salas-Razo y Juárez-Hernández, 2018) permitió la clara ponderación de las dimensiones e indicadores para la conformación del instrumento. En este orden, el instrumento fue diseñado como rúbrica analítica por las ventajas que posee sobre la rúbrica holística. A este respecto, la rúbrica holística si bien permiten un proceso de evaluación más rápido, la información que brinda no posee una especificidad respecto del nivel ponderado en cada una de las dimensiones o criterios analizados (Mertler, 2001; Gatica-Lara y Uribarren-Berrueta, 2013). De mayor profundidad se indica que las rúbricas holísticas requieren un análisis en conjunto, sin juzgar o evaluar cada componente de forma independiente. Por su parte la naturaleza descriptiva y sistemática de la rúbrica analítica es útil cuando se desea efectuar un análisis detallado de los elementos evaluados (Alcón, 2016). La adecuada revisión, caracterización y delimitación del constructo así como el diseño y conformación del instrumento fueron verificadas en la revisión de los expertos, ya que sus contribuciones fueron específicamente referentes a cuestiones de clarificar redacción para los diferentes niveles de desempeño, sin dejar de ser valiosas las aportaciones que la experiencia significativa en el área, grado académico y experiencia en el diseño y/o validación de un instrumento de investigación, les Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

176 respaldan. Esta etapa se ha denominado validez de facie y se basa en un juicio valorativo de aspectos relacionados con la relevancia y claridad de los ítems, léxico empleado, claridad de las instrucciones y organización del instrumento (Oluwatayo, 2012; Lagunes, 2017). Para la evaluación de la validez de contenido, se empleo el procedimiento comúnmente denominado “Juicio de expertos” (Ruiz, 2002; Escobar y Cuervo, 2008). En este orden, diversos autores mencionan que el concepto de validez de contenido se refiere a la representatividad en la definición del constructo, representatividad del grupo de ítems, aspectos gramaticales de los ítems y claridad de las instrucciones (Haynes et al., 1995; Koller et al., 2017; Lagunes, 2017). Por lo tanto, demostrar la validez de un instrumento es un pilar fundamental de la investigación, pues determina contundentemente la capacidad del instrumento para poder medir la variable objetivo (Villavicencio-Caparo et al., 2016). Un factor fundamental para un adecuado análisis de validez de contenido se relaciona con la selección y número de expertos (Juárez- Hernández y Tobón 2018), así como el tipo de evaluación que se ejecuta en el juicio (Haynes et al., 1995; Kimberlin y Winterstein, 2008). Por lo anterior se buscó la participación de jueces con liderazgo internacional reconocido en esta área del conocimiento, con grados académicos de maestría y doctorado, incorporados a Universidades, Instituciones u Organismos que respaldan su experiencia y experticia, así como su experiencia en la creación y evaluación de instrumentos. De esta búsqueda y convocatoria se logró la participación de 13 jueces de seis países, denotando que el número es superior al que estipulan diversos autores (Lynn, 1986; Hyrkäs et al., 2003; Mills et al., 2012). En relación con la evaluación y el enfoque propuesto, esta adquiere mayor relevancia si se considera que fue exhaustiva, calificando de manera cualitativa y cuantitativa (Haynes et al., 1995; Kimberlin y Winterstein, 2008) las dimensiones, ítems, y descriptores. El empleo de una escala Likert fue de alta valía, permitiendo el empleo del coeficiente V de Aiken, el cual ha sido considerado como el de mayor pertinencia para el análisis de validez de contenido (Merino y Livia, 2009; Ferreira, 2016; Boluarte y Tamari, 2017; Galicia et al., 2017). Los valores obtenidos en el coeficiente V de Aiken, así como de los intervalos de confianza brindan certidumbre respecto a la validez de contenido del instrumento (Penfield y Giacobbi, 2004; Newcombe y Merino-Soto, 2006). Mediante este esquema se demostró la validez de contenido para los criterios evaluados (por ejemplo, claridad, relevancia y coherencia) y permitió de manera precisa la detección de aspectos a mejorar. Mediante estos resultados se efectuó una clarificación de las instrucciones y adecuación de algunos términos para la población objetivo, aspectos relevantes que pueden afectar las propiedades psicométricas de un instrumento (Haynes et al., 1995; Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

177 Meliá, 2001; Koller et al., 2017). El resultado de esta fase de aplicación al grupo piloto obtuvo una buena evaluación en su grado de comprensión y aceptación, satisfacción con el instrumento y tiempo para contestarlo. Respecto al análisis de confiabilidad, si bien presentó un valor óptimo (Nunnaly y Berstein, 1994; Oviedo y Campo- Arias, 2005; Juárez-Hernández, 2018), es importante precisar que el coeficiente tiene a mostrar inestabilidad en muestras pequeñas (Charter, 2003). Por lo anterior, se efectuó la ejemplificación del cálculo de los intervalos de confianza al 95 por ciento del valor obtenido bajo la propuesta de Koning y Frances (2003), presentando una variación modesta (ICI: 0,747; ICS: 0,955), destacando que el valor obtenido para el intervalo inferior se suscribe dentro del rango permisible (Nunnaly y Berstein, 1994). Lo anterior se correspondió con la aplicación a la muestra poblacional, en cual se obtuvo un valor óptimo, así como para el intervalo de confianza inferior (alfa de Cronbach: 0,989; IC 95%: 0,851 + 0,930). Bajo este argumento se señala que la aplicación del instrumento produce resultados consistentes y coherentes (Oviedo y Campo-Arias, 2005; Soriano, 2014; Villavicencio-Caparo et al., 2016), y se verifica la correlación entre ítems y representación del concepto abordado (Welch y Comer, 1998; Tavakol y Dennick, 2011). Este hecho se correspondió con la percepción de la muestra que ya más del 57 por ciento indicó que el instrumento consideraba todos los aspectos de su comunidad.

Conclusión

La búsqueda exhaustiva de instrumentos de evaluación del nivel de desarrollo de una comunidad rural dejó en evidencia este vacío, mostrando la pertinencia del diseño y validación de la “rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural”. La multidimensionalidad del instrumento y el autorreporte robustecen el alcance de su aplicación, y el análisis de su validez de contenido y confiabilidad, le brindan los atributos suficientes para ser el instrumento óptimo de evaluación del nivel de desarrollo de una comunidad rural. La fortaleza del instrumento la sustentan el análisis documental del cual derivan las cinco dimensiones esenciales y los descriptores que definen integralmente el nivel de desarrollo de una comunidad; aunado a la calidad y experticia de expertos y jueces expertos que revisaron y evaluaron los contenidos del instrumento. La colaboración de Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

178 jueces de seis países amplía el alcance del instrumento para ser utilizado más allá del territorio nacional.

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182 perfectamente ingresos alcanzan alcanzan ingresos

Existe industria (semitecnificada y Existe industria de la transforma- la de industria yExiste (semitecnificada industria Existe temporales en actividades primarias actividades en temporales Existe industria de la transformación, transformación, la de industria Existe es de operación manual, y/o industrialización de productos y/o automatizada que atiende al atiende que automatizada y/o productos de industrialización y/o manual, operación de es transformación de productos básicos productos de transformación Anexo 1. Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural No hay fuente de ingresos Hay fuente de ingresos (empleos) Hay fuente de empleo aunque en Hay empleos permanentes y Hay empleos suficientes y los y suficientes empleos Hay y permanentes empleos Hay en aunque empleo de fuente Hay (empleos) ingresos de fuente Hay ingresos de fuente hay No tiende cual la industria, poca Existe industria. existe No pagados y difícilmente alcanza para satisfacer algunas actividades primarias locales (agrícolas, forestales, acuícolas, para vivir bien y ahorrar. y bien vivir para acuícolas, forestales, (agrícolas, locales primarias actividades algunas satisfacer para alcanza difícilmente y pagados (empleos) o son muy mal pero no son suficientes y apenas su mayoría son temporales y en eny temporales son mayoría apenassu y suficientes son no pero mal muy son o (empleos) alcanza para vivir. La gente necesidades de subsistencia. mineras, artesanías, etc.) y los mineras, artesanías, etc.), de La mayoría de los empleos son empleos los de mayoría La de etc.), artesanías, mineras, los y etc.) artesanías, mineras, subsistencia. de necesidades gente La vivir. para alcanza vive de la utilización y venta La gente genera su propio trabajo ingresos no son suficientes para servicios (turísticos, ambientales, permanentes y se desarrollan en desarrollan se y permanentes ambientales, (turísticos, servicios para suficientes son no ingresos trabajo propio su genera gente La venta y utilización la de vive de los recursos naturales de en actividades productivas de vivir y satisfacer las necesidades comercio, construcción, educación, industrias locales (fábricas, (fábricas, locales industrias educación, construcción, comercio, necesidades las satisfacer y vivir de productivas de actividades en naturales recursos los de la zona (árboles, pesca, traspatio o en pequeñas parcelas básicas, por lo que la gente se salud, etc.) y manufactura talleres, empacadoras, etc.), o en o etc.), empacadoras, talleres, manufactura y etc.) salud, se gente la que lo por básicas, parcelas pequeñas en o traspatio pesca, (árboles, zona la minerales, animales silvestres, para el autoconsumo y vende complementa con su propia (agroindustria). empresas que prestan servicios prestan que empresas (agroindustria). propia su con complementa vende y autoconsumo el para silvestres, animales minerales, plantas nativas, etc.). parte de su producción (agrícola, producción de traspatio. Los ingresos alcanzan para vivir, (oficinas, despachos, hoteles, despachos, (oficinas, vivir, para alcanzan ingresos Los traspatio. de (agrícola, producción producción su de parte etc.). nativas, plantas y aprovechamiento de recursos principalmente para el mercado locales o regionales, y producen en mercado externo y de de y externo enmercado producen y regionales, o locales mercado el para principalmente recursos grandes de con exportación aprovechamiento y satisfacer para suficientes cantidades planta fileteadora, (tortillería, local molinos, (pequeños naturales (empacadoras, mercado del volúmenes demanda y necesidades lácteos, derivados y quesos de pequeños aserraderos, con pequeños terminados productos (materia localidad la a externo etc.). artesanías, de talleres etc.). artesanales, talleres a ser de tipo artesanal para la pero la infraestructura industrial tecnificada) para la transformación ción y servicios tecnificada servicios y ción transformación la para tecnificada) industrial infraestructura la pero la para artesanal tipo de ser a ganadera, acuícola, forestal, satisfacer necesidades básicas restaurantes, etc.). etc.). restaurantes, básicas necesidades satisfacer forestal, acuícola, ganadera, artesanías). de y/o minera ahorrar. y prima e insumos para productos marca registrada, servicios servicios registrada, marca productos para insumos e prima etc.). especializados, terminados). Condición Muy bajo Bajo Medio Alto Muy alto Muy Alto Medio Bajo bajo Muy Condición económica comunidad la de comunidad? la en económicos ingresos de nivel el es ¿Cuál comunidad? la en industrial desarrollo de nivel el es ¿Cuál Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

183 y de procuración de justicia de justicia tienen presencia en la de justicia en la comunidad; y se participación ciudadana para ciudadana participación sey comunidad; la en la en justicia de presencia tienen justicia de justicia de procuración de y No existen instancias de seguri- de instancias existen No diversas actividades y funciones y actividades diversas en la comunidad. la en palmente al mercado externo. mercado al palmente No existe actividad productiva Hay producción, pero es de Hay producción agropecuaria, La producción es principalmente La producción es semiautomati- es producción La principalmente es producción La agropecuaria, producción Hay de es pero producción, Hay productiva actividad existe No la en segura siente se delin- de gente La casos reportan se vez Rara y robos violencia, delincuencia, La de frecuentes casos son presentan Se inseguridad, la Predomina exclu- ni discriminación hay No la en inclusión e apertura Hay de espacios de oportunidades la Hay en social discriminación Hay dis- evidente y oportuni- alta de una Existe igualdad hay sión, que actividades las de mayoría promueve aunque y participación, de participación cuestiones de y por dades comunidad comunidad, la en comunidad. criminación la en de desarrollan se casos existen inclusión la socioeconómicas. las en sociales socioculturales grupos los cuestiones todos por inequidad. e discriminación etc.). religión, género, (etnia, autén- valores con preservan Se propias tradiciones las conservan Se tradiciones las conservan Se tradiciones pocas conservan Se la de propias tradiciones las tradiciones perdido las han Se ticos danza, (música, comunidad la de (música, comunidad la de propias (música, comunidad la de propias vesti- comunidad la de danza, propias (música, comunidad y/o comida lengua, comidavestimenta, lengua, vestimenta, comidadanza, lengua, vestimenta, danza, vestimenta, feste- y/o danza, comida (música, lengua, perma- menta, su de fomenta se y riesgo el existe y festejos) festejos) y/o festejos). y/o festejos). y/o comida lengua, dad pública ni procuración de en la comunidad son insuficientes. comunidad. Hay participación promueve la prevención del delito. erradicar la violencia y el delito el y violencia la erradicar delito. del prevención la promueve participación Hay comunidad. insuficientes. son comunidad de la en procuración ni pública dad ni de servicios, solo se realiza traspatio o en pequeñas parcelas, acuícola, forestal, minera y/o de agropecuaria, acuícola, forestal, zada y automatizada, con altos con automatizada, y zada forestal, acuícola, agropecuaria, de y/o minera forestal, acuícola, parcelas, pequeñas en o realizatraspatio se solo servicios, de ni presencia alta la por comunidad secuestros robos, violencia, cuencia, frecuentes poco son secuestros robos, violencia, delin- de delincuencia, casos los frecuentes justicia en la comunidad. Hay poca participación ciudadana ciudadana en la atención Hay alta participación ciudadana es evidente. Son nulos los repor- los nulos Son evidente. es ciudadana participación alta Hay atención la en ciudadana ciudadana violencia, participación poca Hay delincuencia, de tes comunidad. la en la en violencia la justicia secuestros y combatir robos para delito. el y violencia la de delito. el y violencia la de control en participación hay No delito. el y contener para ciudadana comunidad. delito. el y violencia la actividad extractiva de los es de temporal y principalmente artesanías; es de pequeña y me- minera y/o artesanías; es semitec- estándares de calidad y con y calidad de estándares semitec- es artesanías; y/o minera me-y pequeña de es artesanías; principalmente y temporal de es los de extractiva actividad existe pública; seguridad la instanciasde Existen decomunidad. la en instancias Las comunidad. la en comunidad. la en ysecuestros robos violencia, cuencia, recursos naturales disponibles para el autoconsumo. diana escala, con poca tecnifica- nificada, con estándares de calidad certificaciones en los procesos procesos los en calidad certificaciones de estándares con nificada, tecnifica- poca con escala, diana autoconsumo. el para disponibles naturales recursos la y justicia de procuración la procuración y pública seguridad de procuración y pública pública comunidad. seguridad la en seguridad de secuestros instancias Las en la localidad para consumo ción y sin cuidar estándares de y abastece al mercado local y/o productos agropecuarias, productos y/o de local mercado al estándares cuidar abastece y sin y ción consumo para localidad la en y venta. calidad. La producción satisface y algunas comunidades de la región. acuícolas, forestales, mineras y/o mineras forestales, acuícolas, región. la de comunidades algunas y satisface producción La calidad. venta. y que se pierdan si no se comienzan nencia entre la propia comunidad jos) y se garantiza su permanencia su garantiza se y jos) comunidad propia la entre nencia comienzan se no si pierdan se familiar. que núcleo el desde legado y generación. en generación de fomentar. a principalmente al mercado local. de artesanías, abastece princi- abastece artesanías, de local. mercado al principalmente Condición Muy bajo Bajo Medio Alto Muy alto Muy Alto Medio Bajo bajo Muy Condición económica comunidad la de comunidad? la en producción de nivel el es ¿Cuál comunidad? la en seguridad de nivel es ¿Cuál comunidad? la en social inclusión de nivel el es ¿Cuál comunidad? la en cultural identidad de nivel el es ¿Cuál Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

184 y servicios públicos (operación de (operación públicos servicios y biocombustibles, etc.) para acti- para etc.) biocombustibles, aguas superficiales y subterráneas y superficiales aguas fuen- jardines, de (riego utilizadas personan algunas alimenticios); no En la comunidad se tienen zonas tienen se comunidad la En lleno se cubre de tierra); no hay hay no tierra); de cubre se lleno En la comunidad el aprovechamiento el comunidad la En optimizar para tecnologías algunas de a la baja en gran parte de las espe- crianza de algunas especies de toda la población (uso doméstico, (uso población la detoda especies algunas de espe- las crianza de parte gran en baja la a natural). Se percibe una tendencia (reforestación, repoblamiento y/o son muy limpias y accesibles para accesibles y limpias muy y/oson repoblamiento (reforestación, tendencia una percibe Se natural). minados por basura y desechos), a aguas subterráneas (pozos), limpios, y la población tiene en la comunidad. la en tiene población la y limpios, (pozos), subterráneas aguas a desechos), y basura por minados agua a accesos de facilidad salubre. es agua del calidad la y aguas a acceso tiene se sólo ocasionando pérdida de biodiversidad de pérdida ocasionando cañadas, en descargan se residuales y (especies nativas de animales y plan- plan- y animales de nativas (especies En la comunidad se practica el En la comunidad se aprovechan aprovechan se comunidad la En el practica se comunidad la En (uni- UMAS Existen servicios). de bio- la de agua al conservación la en acceso tiene librio población La limitado poco es agua al acceso El es poco salubre (ríos y lagos conta- también pueden tener acceso nativos). Los ríos y lagos están vación de fauna silvestre) silvestre) fauna de vación están lagos y ríos Los nativos). acceso tener pueden también conta- lagos y (ríos salubre poco es noce la pérdida de biodiversidad de pérdida la noce por comunidad la en animales) el exceso de la actividad extractiva. extractiva. actividad la de exceso el En la comunidad existe una alta una existe comunidad la En público, etc.). público, El acceso al agua es muy limitado limitado muy es agua al acceso El para generación de calor. iluminación en los hogares, y para las actividades domésticas y pro- su uso y producir combustibles vidades productivas, industriales industriales productivas, vidades combustibles producir y uso su pro- y paray domésticas hogares, actividades los en las iluminación calor. de generación para especies nativas, etc.), se reco- tas) por daños en los ecosistemas. cies nativas (animales y plantas). animales, etc.). Se percibe un equi- agrícola y ganadero, industrial y y industrial ganadero, y agrícola equi- un percibe Se etc.). animales, plantas). y (animales nativas cies ecosistemas. los en daños por reco- tas) se etc.), nativas, especies actividad extractiva de los re- cambio de uso de suelo de manera los recursos naturales de forma de los recursos naturales es planifi- de reservas naturales protegidas naturales reservas de planifi- es naturales recursos los de forma de naturales recursos los manera de suelo de uso de re- los de cambio extractiva actividad caza ilegal e inmoderada de inmoderada e ilegal caza ener- utilizan se comunidad la En energías utilizan comunidad la En comunidad la de hogares los En y leña eólica, utilizan (solar, comunidad utilizan la se En alternativas comunidad gías usola el En adoptado y convencionales eléctrica energía y LP gaso-gas utiliza se (petróleo, fósiles combustibles y/o leña carbón, el todo ante para CFE) la por e calor de (proporcionada generación la para lina) combustibles como llantas la separa se comunidad la En relleno un existe comunidad la basureroEn un existe reciclaje. de y comunidad la En orgánica varios basura existen deposi- se donde comunidad la En existen no (espacio dese- comunidad se sanitario la En donde libre aire al público, clandestinos y/o y irregulares tratadas son sitios negras (se aguas Las basura la terreno el tirar para sólidos, lugares residuos los tan Las residuos. de tipo todo ychan basura, su tira gente la donde y barrancas en quelibre, aire al impedir tira para impermeabiliza el se en descargan se negras aguas y/o lagos ríos, a cercanos están existen No quema). se o ríos; derada e ilegal de los bosques, los de ilegal e derada industriales usos vez una y algunos y subsuelo tes, el contamine se sépticas. fosas o drenaje negras aguas Las riego. de canales s negras aguas las drenajes, control. sin descargan y de mala calidad (ríos y lagos superficiales. salubre (superficial y subterránea). subterránea). y (superficial salubre lagosy (ríos superficiales. calidad mala de y

(especies nativas de plantas y para la población, pero su calidad (principalmente superficial) aunque diversidad (plantas y animales dades de manejo) para la conser- la para manejo) de dades animales y (plantas diversidad aunque superficial) (principalmente calidad su pero población, la para y plantas de nativas (especies

cursos naturales sin control ilegal para introducir actividades moderada y se procura el repo- cado y regulado por las autoridades. para preservar los bosques. Las bosques. los preservar para autoridades. las por regulado y cado repo- el procura se y moderada actividades introducir para ilegal control sin naturales cursos altamente contaminados por contaminados altamente

basura y desechos que ponen ponen que desechos y basura (deforestación por tala inmo- productivas (incendios provocados), blamiento (aunque de manera Existen programas de recuperación recuperación de programas Existen manera de (aunque blamiento provocados), (incendios inmo- tala por productivas (deforestación en riesgo la salud), sólo se tiene tiene se sólo salud), la riesgo en acceso a aguas superficiales. superficiales. aguas a acceso realizar algunas actividades produc- ductivas, y gasolina y/o diesel (focos ahorradores, biodigestores, biodigestores, ahorradores, (focos diesel y/o gasolina y ductivas, produc- actividades algunas realizar tivas; también como combustible como combustibles en equipos etc.), tanto para uso doméstico equipos, uso de vehículos, fabri- vehículos, de uso equipos, doméstico uso para tanto etc.), equipos en combustibles como combustible como también tivas; alumbrado productos, de cación productivas. actividades para como vehículos. y motores de vehículos. y de prácticas realizan personan aguas Las ríos. y basura. de lagos riego, de separación canales negras se descargan en el drenaje cosecha de agua. de cosecha drenaje el en descargan se negras sépticas. fosas o Condición Muy bajo Bajo Medio Alto Muy alto Muy Alto Medio Bajo bajo Muy Condición económica comunidad la de naturales? recursos los de conservación y uso de nivel el es ¿Cuál comunidad? la en limpias alternativas y renovables energías de adopción y uso de nivel el es ¿Cuál ambiental Gestión de nivel el es ¿Cuál Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

185 mente sus necesidades de alimen- de necesidades sus mente del día (guardia durante las durante (guardia día del de campañas Hay farmacia. Hay (vacunación frecuentes salud La diagnóstico). de y profilácticas mente de diagnóstico), y son aislados son y diagnóstico), de mente población La enfermos. de reportes los dicamentos, hay farmacia o venta de venta o farmacia hay dicamentos, necesi- sus adecuadamente satisface y principalmente son por malos ñas de salud (preventiva y eventual- mento y servicio de ambulancia. de servicio y mento eventual- y (preventiva salud de ñas malos por son principalmente y observa se niños los en y obesa), desarrollo. crecimientoy crecimiento un con niños quilibrada en la cual hay nutrientes población come lo suficiente (ni dades de alimentación de acuerdo a población satisface completa- a satisface acuerdo de población alimentación de dades (ni suficiente lo come población nutrientes hay cual la en quilibrada de asistencia médica. Los enfer- de atención médica. Ocasionalmente Ocasionalmente médica. atención de enfer- Los médica. asistencia de pobla- La (herbolaria). naturales los en y obesas), u delgadas damente crecimiento. el en retraso y poral demanda laboral, los adultos adultos los laboral, demanda tienen programas permanentes permanentes programas tienen de capacitación y muchos muchos y capacitación de jóvenes estudian carreras carreras estudian jóvenes profesionales. En la comunidad mucha gente En la comunidad se presentan enfer En la comunidad hay acceso a En la comunidad hay una unidad de En la comunidad hay unidad hay de comunidad la En unidad una hay comunidad la En a acceso hay comunidad la En enfer presentan se gente mucha comunidad la En comunidad la En médica, no hay ningún servicio acceso a medicamentos y servicios la comunidad. Hay pocos enfermos medicamentos básicos. Hay campa- noches), con abasto de medica- de abasto con noches), campa- Hay básicos. medicamentos enfermos pocos Hay comunidad. la servicios y medicamentos a acceso servicio ningún hay no médica, salud de campañas Hay malnutridación. está población La ción). enfermedades las y curandero la de mayoría La (vacunación). dese- alimentación una de resultado tratamientos con atienden se mos son atendidos por un llegan campañas de salud (vacuna- hábitos de higiene y mala alimenta- alimenta- mala y higiene de hábitos (vacuna- salud de campañas llegan un por atendidos son mos nivel de desnutrición (poco en proporciones erróneas, con alto es variada y cubre las necesidades La dieta es equilibrada y balanceada. tación con dietas bien balancea- bien dietas con tación balanceada. y equilibrada es dieta La necesidades las cubre y alto variada con es erróneas, proporciones (poco en desnutrición de nivel La gente no tiene acceso a No hay escuelas en la comunidad, Los niños tienen acceso a escuelas Los niños tienen acceso y pueden Los niños tienen acceso en la en acceso tienen niños Los pueden y acceso tienen niños Los escuelas a preescolar, acceso nivel al tienen niños Los comunidad secuny comunidad, la en primaria escuelas hay No a acceso preescolar, tiene no estudiar gente La comu- la en primaria y preescolar de escuelas a ir pueden niños los pero estudios. de nivel ningún ción se encuentra en un alto que faltan o hay un exceso (ingesta mucho, ni poco), la alimentación lo que corresponde con su edad. su con corresponde que lo alimentación la poco), ni (ingestamucho, exceso un hay o faltan que alto un en encuentra se ción se enferma y algunas personas medades estacionales (gastrointesti- servicios médicos, pero hay pocos salud, con abasto moderado de me- médica con atención las 24 horas 24 las me- de atención con moderado médica abasto con salud, pocos hay pero médicos, servicios (gastrointesti- estacionales personasmedades algunas y enferma se

acceso a alimentos y poca posi- consumo de alimento chatarra). En con respecto a su sexo y su edad. La mayoría de la población se das, rara vez se observa alguna alguna observa se vez rara das, se población la de mayoría edad. La su y sexo su a En respecto con chatarra). alimento de consumo posi- poca y alimentos a acceso bilidad de consumirlos), los la población se observan personas En general los adultos se observan observa con un peso saludable persona desnutrida o malnutrida o desnutrida persona saludable peso un con observa observan se adultos los general En personas observan se los población la consumirlos), de bilidad mueren por falta de atención nales y respiratorias), y hay poco medicamentos. No hay farmacia en farmacia hay No medicamentos. poco hay y respiratorias), y nales atención de falta por mueren niños presentan bajo peso cor- desnutridas o malnutridas (extrema- con un peso saludable y en los y los niños sin problemas en su (extremadamente delgada u u su en delgada problemas sin niños (extremadamente los y los en y saludable peso un con (extrema- malnutridas o cor- desnutridas peso bajo presentan niños

en localidades vecinas (Nivel prees- munidad y muchos la estudian, y daria en su comunidad y muchos la primaria y secundaria; y la la y secundaria; y laprimaria muchos y comunidad su en daria y estudian, la muchos y munidad prees- (Nivel vecinas localidades jóvenes en Los estudia. mayoría acceso tienen jóvenes Los comu- en estudian. secundaria la a de ir pueden estudios a acceso Pocos loca- tienen en secundaria). y primaria colar, (preparatoria) bachillerato al jóvenes algunos vecinas; nidades estudian. niños niños se observa un crecimiento y desarrollo adecuados. un crecimiento y desarrollo desarrollo y crecimiento un adecuados. desarrollo y crecimiento un observa se niños lento. desarrollo y normal. estudian bachillerato (preparatoria) lidades cercanas y algunos salen a bachillerato (preparatoria) con (preparatoria) bachillerato a salen algunos y cercanas lidades (preparatoria) bachillerato estudian carrera de opcional pro-o terminación técnica carrera una estudiar Eventual- cercanas. localidades en la y comunidad, la en técnica frecuen- tienen adultos Los a fesional. acceso tienen adultos los mente capacita ofrece local industria programas a acceso temente capacitación. de programa algún de capacitación. ciones especializadas para su su para especializadas ciones capacitación. de económica económica comunidad la de comunidad? la en alimentación y salud de nivel el es ¿Cuál Condición Muy bajo Bajo Medio Alto Muy alto Muy Alto Medio Bajo bajo Muy Condición comunidad? la en educación de nivel el es ¿Cuál Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

186 aturales de manera óptima y óptima manera de aturales nidad y están asfaltados (pavi- asfaltados están y nidad ban- tiene pavimentadas, están Hay más de un acceso a la comu- la a acceso un de más Hay energía a acceso tiene comunidad organiza- comunidad la en Existen - mento), y las calles principales principales calles las y -mento), loseta, etc.), tienen techos de teja para aprovechar los recursos recursos los aprovechar para teja de techos tienen etc.), loseta, las viviendas están construidas con quetas y hay alumbrado público. alumbrado hay y conquetas construidas están viviendas las casas existen comunidad la En el (incluyendo mixtos materiales de tecnologías incluir suelen la y eléctrica energía a acceso la Toda interna. a alimentación de acceso tiene gente La drenaje. y constituidas, conlegalmente ciones constituidas, legalmente ciones pales están empedradas o pavimen o empedradas están pales clima al adecuadas bioenergéticas, construc- la en acabados con acero), n tiene comunidad la Toda concreto. y El acceso a la comunidad esta asfal- esta comunidad la a acceso El princi- calles las y (pavimento) tado o (pavimento) y algunas calles algunas y (pavimento) o Existen en la comunidad organi- Existen en la comunidad organiza- organiza- comunidad la en Existen organi- comunidad la en Existen pavimentadas. En general las vivien- tadas y tienen banquetas. En general general En banquetas. tienen y tadas vivien- las general En pavimentadas. tabique/ladrillo, con hechas están das los y teja de techos tiene mayoría la viviendas algunas y eléctrica energía vivien- (algunas drenaje y entubada local, representatividad con zaciones celular, aunque con poca conectivi- conectivi- poca con aunque celular, nes informales con poca poca con informales nes El acceso a la comunidad es de tierra El acceso a la comunidad está asfal- asfal- está comunidad la a acceso El tierra de es comunidad la a acceso El organizacio- comunidad la en Existen viviendas están construidas con con construidas están viviendas (terracería) y algunas calles principales tado tado principales calles algunas y (terracería) adobe, tiene techos de lámina o o lámina de techos tiene adobe, teja y algunas tienen pisos de de pisos tienen algunas y teja general las viviendas están cons- están viviendas las general de lámina de techos y paja, dera, No existe formas de organización organización de formas existe No truidas con recursos locales (ma- locales recursos con truidas conectividad a internet, existe existe internet, a conectividad red con pública área Wii-Fi. mayoría La cemento. de son pisos comunidad la de Parte cemento. tierra). de son pisos los cartón; repre- con y fiscal registro nulao con poca con pero fiscal, registro instancias legalmente ante están no pero sentatividad instancias ante representatividad representatividad. manera de constituidas. conduce se y individual. tierra (terracería y brechas). En están empedradas. En general las principales están empedradas o empedradas están principales las general En empedradas. Enestán brechas). y (terracería tierra sanitario. puede acceder al servicio telefónico telefónico servicio al acceder puede sanitario.

entubada, drenaje y servicio entubada y drenaje. Poca gente tienen acceso a una red de agua agua de red una a acceso tienen gente Poca drenaje. y entubada servicioy drenaje entubada, El acceso a la comunidad es es comunidad la a acceso El complicado y las calles son de son calles las y complicado terreno, del condiciones las a y herrería, aplanados, (muros ción a acceso tiene comunidad la de eléctrica, energía a deacceso tiene carece se comunidad la En energía eléctrica, red de agua pero se carece de red de agua agua de red de carece se pero agua de red eléctrica, energía celular. das aun utilizan fosa séptica). La mayoría de las viviendas tienen aprovechamiento de energías de aprovechamiento tienen viviendas las de mayoría La séptica). fosa utilizan aun das celular. en la comunidad, la gente actúa actúa gente la comunidad, la en dad a internet. telefonía celular con regular conec- conec- regular con celular telefonía internet. a dad gente tiene accesos a telefonía acceso a una red de agua entubada solar, eólica y otras como fuertes como otras y eólica solar, entubada agua de red una a acceso telefonía a accesos tiene gente

gubernamentales. gubernamentales. gubernamentales. tividad a internet. En la comunidad eléctrica, red de agua entubada y entubada agua de red eléctrica, comunidad la En internet. a tividad a acceso tiene gente La drenaje. servicio y fija telefónica red existe buena con celular y fija (ciber). telefonía internet a acceso de público Condición Muy bajo Bajo Medio Alto Muy alto Muy Alto Medio Bajo bajo Muy Condición económica comunidad la de comunidad? la en infraestructura de nivel el es ¿Cuál comunidad? la en organizacional nivel el es ¿Cuál Guillermo Salas-Razo y Luis Gibran Juárez-Hernández

187 de justicia es aceptado por toda por aceptado es justicia de democrática- electo legal tante bien periodo un por y comunidad cuenta en tomada es y opiniones de política la establecer para En la comunidad hay un represen- un hay comunidad la En uciones estatales y/o federales, la comunidad, reconocido y res- y reconocido comunidad, la federales, y/o estatales uciones e imparcialidad en su proceso. ción de justicia que ofrece garan- ofrece que justicia de ción proceso. su en imparcialidad e proce- sus en imparcialidad e tías y usos por regirse puede También por regirse pueden También ysos. reconocidos locales costumbres representación la comunidad la En la impartición de la justicia a las insti- insti- las a justicia la de impartición la elec- y/o consensos por designada es religiosos y/o económicos políticos, ción establece la política de desarro- desarro- de política la establece ción eventualmente y comunidad la en llo se considera la opinión de más desarrollo. más de opinión la considera se La comunidad conoce las leyes La comunidad reconoce las leyes En la comunidad se reconocen y reconocen se comunidad la En leyes las reconoce comunidad La leyes las conoce comunidad La nacionales y estatales y las acata, nacionales y estatales y las acata. acatan las leyes que emanan de emanan que leyes las acatan acata. las y estatales y nacionales acata, las y estatales y nacionales los de Política justicia de Constitución la impartición de por órgano El regirse puede también aunque avaladas costumbres y usos sus con comunidad la por aceptados federales. y/o estatales amplia- respaldada y reconocida reconocida es y definido periodo la de parcial representatividad cialidad, y se remite a instituciones instituciones a remite se y cialidad, política de desarrollo en la comunidad. la en desarrollo de política locales. La figura de autoridad local reconoce a alguna persona como genera confianza sobre las garantías tienen un órgano de imparti- de órgano un tienen garantías las sobre confianza genera como persona alguna a reconoce local autoridad de figura La locales. ce su autoridad a criterio personal, mico y/o religioso; su autoridad es es autoridad su religioso; y/o mico personal, criterio a autoridad su ce no observa el cumplimiento de la ley, autoridad, y la impartición de justicia justicia de impartición la y autoridad, ley, la de cumplimiento el observa no comu- la en mayor Concejo el por se juzgar Ocasionalmente para imparcialidad). de facultada autoridad una impar- de instituciones las a recurre representados están comunidad la En representados están comunidad la En autoridades municipales y/o estatales. estatales. y/o municipales autoridades nacionales o estatales, y se rige prin- rige se y estatales, o nacionales En la comunidad no se conocen La comunidad conoce poco las leyes las poco conoce comunidad La conocen se no comunidad la En castiga (se Talión del Ley la aplica impar- poca y garantías poca pocas (con ofrece juzgadora ser a come- llega delito o pero falta la a acuerdo auto- su naturaleza); (diferente en su proceso. su en

falta y garantías, mínimas claridad, ni garantías hay no tido, impuesta por grupos de poder como representante (cacique), ejer- algún sector social, político, econó- ta entre algunos sectores: sociales, mente (por votación) por toda la toda por votación) (por mente sociales, sectores: algunos entre ta econó- político, social, sector algún ejer- (cacique), representante poder de como grupos por impuesta es y autoridad tiene periodo un definido, tiene representación La con comunidad la por aceptada con coordinación nula o poca con esos por respaldada es ridad únicamente obedece y grupos las leyes nacionales o estatales. estatales. o nacionales y leyes las Mexicanos, yUnidos Estados comunidad la en presencia tiene comunidad La costumbres. y usos costumbres y usos por se y cipalmente gobierno de ausencia Hay munici- instancias las por mente autoridades y instancias las por tiene representación La deno La población. duración La representación federales. y de intereses. periodo sus a Su estatales pales, secto- los de opinión La oficiales. ser puede y variable periodo un opi- La definido. sus vencimiento tiene definen la libremente expresa gente representación la representa- la a llevaron lo que res opinión la considera Sólo reelecto. tomada es no gente la de nión poder. de grupos esos En la comunidad están repre- están comunidad la En sentados por alguna persona por una persona autonombrada por algún liderazgo designado por por designado liderazgo algún por autonombrada persona una personapor alguna por sentados por sus propios habitantes de de habitantes propios sus por imparcialidad en su proceso). proceso). su en imparcialidad

en cuenta. de los sectores que lo llevaron a la la a llevaron lo que sectores los de cuenta. en tición de justicia estatales y/o con imparcialidad, pero que remite nidad y su órgano de impartición de órgano su y remite que nidad pero imparcialidad, con y/o estatales justicia de tición

federales. federales. representación para establecer la la establecer para representación sectores de la comunidad. la de sectores cuidando las garantías e petado como figura de gobierno, de figura como petado e garantías las cuidando imparcialidad del proceso. y ofrece garantías e imparcialidad imparcialidad e garantías ofrece y proceso. del imparcialidad t Condición Muy bajo Bajo Medio Alto Muy alto Muy Alto Medio Bajo bajo Muy Condición económica comunidad la de comunidad? la en justicia de impartición e ley la a apego de nivel el es ¿Cuál comunidad? la en democracia de nivel el es ¿Cuál Rúbrica analítica para el diagnóstico integral del nivel de desarrollo de una comunidad rural

188 Employment Diversification in Rural India: Nature, Pattern and Determinants

Amandeep Kaur, Akarsh Arora and S. P. Singh Indian Institute of Technology Roorkee, India

DOI: 10.4422/ager.2019.02

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 189-226 Employment Diversification in Rural India: Nature, Pattern and Determinants

Abstract: The present study examines the pattern and nature of occupational shift vis-à-vis non-farm employment in rural India using unit level data of 61st (2004-05) and 68th (2011-12) NSS rounds. The pattern of Rural Non-Farm (RNF) employment is estimated through proportions and employment elasticity to capture the employment for a longer time period during the year (Usual Principal Status (UPS)). The RNF sector provides opportunities either in self-employment or casual employment but very less for regular employment. Furthermore, Multinomial Logit Model has been used to identify the factors that affect the adoption of different RNF occupations at macro as well as at micro level. The regression results reveal that at macro level, electrification, urbanisation along with irrigation impact positively to join RNF as principle occupation whereas at micro level upgradation of education level along with formal vocational training acts as a pull factor whereas the small size of land holdings works as a push factor for moving into RNF sector. The study also highlights the hike in employment in construction sector which is majorly of informal in nature and issue of concern in the present era. Thus, study suggests that in rural areas, policies should be promoted for generating gainful and regular kind of employment in the construction sector along with boosting the manufacturing sector.

Keywords: Employment, Rural non-farm, Usual Principal Status, Multinomial Logit, NSS.

Diversificación de empleo en la India rural: Naturaleza, patrón y determinantes

Resumen: Este estudio examina el patrón y la naturaleza del cambio ocupacional con respecto al empleo no-agrario en el medio rural de India, utilizando datos estadísticos de las series NSS 61a (2004-05) y 68a (2011- 12). El patrón de empleo rural no-agrario (RNF) se calcula a través de la elasticidad del empleo durante períodos de un año (a través de un análisis de componentes principales (UPS)). El RNF ofrece oportunidades ya sea como trabajos por cuenta propia o de tipo informal, pero relativamente pocos de forma regular. El Modelo Logit Multinomial se ha utilizado para identificar los factores que afectan a la adopción de diferentes ocupaciones RNF a nivel macro y micro. Los resultados de la regresión muestran que a nivel macro, la electrificación, la urbanización y el regadío tienen un impacto positivo en el RNF como ocupación principal, mientras que a nivel micro la mejora del nivel educativo junto con la formación profesional formal actúan como un factor de atracción clave, mientras que el pequeño tamaño de las propiedades territoriales funciona como factor de empuje para lograr un empleo no-agrario. El estudio también destaca el incremento del empleo en el sector de la construcción, que es principalmente de naturaleza informal y, por tanto, un tema de preocupación actual. Los resultados evidencian que en las áreas rurales se deberían promover políticas para generar empleos remunerados y regulares en el sector de la construcción, junto con el impulso del sector manufacturero.

Palabras clave: Empleo, rural no-agrario, Componentes Principales, Multinomial Logit, NSS.

Received: 15th January 2018 1st revised version: 3rd December 2018 2nd revised version: 25th March 2019 Accepted for publication: 6th April 2019

How to cite this paper: Kaur, A., Arora, A., and Singh, S. P. (2019). Employment Diversification in Rural India: Nature, Pattern and Determinants. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 189-226. DOI: 10.4422/ager.2019.02

Amandeep Kaur. ORCID 0000-0002-2898-2451. E-mail: [email protected] Akarsh Arora. ORCID 0000-0001-6936-1902. E-mail: [email protected] S. P. Singh. ORCID 0000-0001-9368-9502. E-mail: [email protected] Introduction

India’s development lies in the development of its rural areas, where about 69 percent of the households and 71 percent of the total population live. Rural areas, which consists of 60 percent of the total males and 61 percent of the total females as an economically active group (15-59 years) and 55 percent of the total males and 25 percent of the total females in the labour force, becomes essential to understand the growth pattern of the country as a whole (Government of India, 2014a). Moreover, it is essential to focus on rural growth pattern and the transformation, which the rural economy is passing through over a period of time (Reddy, Reddy, Nagaraj and Bantilan, 2014). The phenomenon of structural transformation is evident from the present situation of the economic development of the country, which has outpaced the role of industry and services over agriculture and allied activities. The rural areas are also going through the similar situation where the non-farm activities are growing at a faster pace than the farm activities. Although agriculture occupies a pivotal place in the rural economy in terms of its contribution to employment generation, however, disaggregating rural employment growth in terms of farm and non-farm sectors would demonstrate that non-farm employment growth had been significantly higher than that of the farm sector over a period of time. Even though proportion of employment provided by the RNF sector is an indicator of reduction in unemployment rate (directly) and increase Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

191 in rural development (indirectly), still both the aspects are missing in the rural areas if we observe the RNF sector from the perspective of permanent employment, high productivity, lowering inequality and sustainable growth (Jha, 2006; Start, 2001; Binswanger-Mkhize, 2013). Thus, it is essential to understand the nature and pattern of employment in the RNF sector so that policy for employment generation can be designed accordingly. When a rural economy diversifies, the workers may rise in status either as self- employed workers (at large scale) or as regular employees. At the same time, it is also possible that their status may be lowered to that of casual labours. While in most developed nations workers move to regular jobs or become self-employed; in developing countries like India, they move to the less advantageous position of casual labours (Government of India, 2014a). So, mere shifting from one lower-paid occupation to another lower paid occupation may not improve the employment situation rather may indicate to distress. Moreover, it is also important to know why an individual leaves his/her previous occupation and enters into the non-farm sector or simultaneously works in both the occupations. Such issue of occupational diversification is undoubtedly complex, and its determinants are difficult to identify (Buchenrieder and Mollers, 2006). However, an effort has been made to examine the determinants of rural diversification and opting non-farm occupations. Against this backdrop the present study raises some questions such as with increase in RNF employment which kind of employment predominates? What are the reasons for adopting a specific employment type? Is these reasons prevail only at macro level or household/Individual characteristics also influence the adoption of a particular employment? To answer all these questions the study has two main objectives: First, to analyse the employment share in RNF sector by comparing the employment pattern and status captured through the NSS round during 2004-05 and 2011-12. Second, to analyse the factors responsible for choosing a particular type of employment among all kinds of employment (Self-employed in farm, Self-employed in non-farm, Casual labour in farm, Casual labour in non-farm, Regular wage earner). The paper is organised into six sections. Second section explains the data and methodology used for evaluating the employment status along with the description of the variables. The next section examines the share of non-farm employment in total rural employment (activity-wise), followed by the employment status in the fourth section. This section also elaborates the kind of employment provided by the RNF sector, while elucidating the education level, vocational training, type of contract and social security benefits attached to the employment. Further, the study throws light Employment Diversification in Rural India: and Nature, Pattern Determinants

192 on the main factors responsible for occupational diversification in the fifth section and ends up with conclusions and policy implications in the last section.

Data and Methodology

Although significance of RNF sector in terms of magnitude of employment opportunities, increase in income, poverty reduction, rural industrialisation and low rate of rural-urban migration has been extensively documented in numerous studies (Haggblade, Hazell and Reardon, 2007; Ranjan, 2009; Himanshu, Lanjouw, Mukhopadhyay and Murgai, 2011; Binswanger-Mkhize, 2013), yet there is a dearth of studies which have highlighted the nature of employment in rural area. Moreover, most of the studies estimate the employment share and status primarily on the basis of Usual Principal and Subsidiary Status (UPSS) and comparatively give less importance to the analysis of permanent nature of employment, popularly known as Usual Principal Status (UPS1). Furthermore, UPSS of the population is widely used while discussing employment trends, but it includes the subsidiary status2 of the workforce, which makes it a more liberal measure of employment. However, the focus here will be on UPS employment, that is, the worker is said to be employed if s/he had pursed gainful economic activity for a relatively longer time period of a year. Therefore, with this study and effort is made to analyse the RNF employment by longer time criterion and social security associated with it. The present study examines the pattern (analysed through two ways: proportions and employment elasticity3) and determinants of RNF sector using 61st and 68th rounds of Employment-Unemployment Survey (EUS) conducted by National

1• This is to note that since the reference period for calculating employment status is one year, so daily commuters, seasonal workers and people involved in the temporary occupation for one or two months will not be the part of UPS employment. 2• Subsidiary employment is measured mainly to capture the various kinds of informal and short-term employment (at least 30 days in a year) opportunities that provide supplementary employment. 3• Employment Elasticity is calculated using rural net domestic product (NDP) data given by National Account Statistics, Center of Statistical Organisation India. For making data comparable for 2004- 05 and 2011-12, Consumer Price Index for Agriculture Labour (CPI_AL) is used as deflator. Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

193 Sample Survey Organisation (NSSO) during 2004-05 and 2011-12 respectively. There is one more round (66th round) conducted during 2009-10 (between 2004-05 and 2011-12), but the present study does not take into account this round as 2009-10 was a drought year and may have affected the results of the survey while depicting a less than positive picture of the economy (Shaw, 2013). There are some reasons for using the dataset of 2004-05 and 2011-12. First, the structural transformation happened during this time period was at a faster pace as compared to other decades. Second, it was for the first time in the history of India that the absolute number of farm workers declined. In other words, a Lewisian structural shift in employment away from agriculture and towards non-agriculture accelerated significantly after 2004-05 (Shaw, 2013; Mehrotra, Parida, Sinha and Gandhi, 2014). Third, construction employment increased only by 8 million (from 17 million to 25.6 million) from 1999- 2000 to 2004-05. But it grew much more sharply after 2004-05 to 50 million by 2011- 12. Fourth, some government policies and investment related projects during this period drove the non-farm employment. Thus, rural areas reported growth in non- farm (mainly, construction-related) employment as government investment grew in the rural housing and other rural construction investment (Mehrotra et al., 2014). Although the defining the RNF sector is a debatable issue; this paper does not go into this conflicting argument rather follows the simplest definition of RNF sector that includes industry and services sectors’ activities performed within the rural area only. Therefore, the rural masses either going to or coming from the urban area for work, will not be the part of RNF employment. Two types of factors are responsible for the movement of workers from farm to non-farm sectors: the push factors and the pull factors (Ranjan, 2009; Reddy et al., 2014). An individual either is being pushed to join RNFS due to the inadequacy of work in farm sector or he/she is pulled by the better employment opportunities in RNF sector. To understand the factors responsible for this shift, regression analysis has been applied. Some scholars have used logit model for investigating the determinants of RNF occupation (Ranjan, 2008; Khatun and Roy, 2012; Jatav and Sen, 2013). The present study focuses on the determinants of different kinds of non-farm occupations (self- employment, casual employment or regular employment). So, instead of using simple logit model, it applies Multinomial Logit Model which takes more than one values for the dependent variable. Since there is no precise ordering of the outcome variable, an unordered multinomial logit model is appropriate (Cameron and Trivedi, 2005). For rigorous analysis, factors affecting the adoption of RNF employment have been studied separately at micro as well as macro level. The macro level variables taken under consideration are irrigation, urbanisation, migration, wages, electrification, unemployment Employment Diversification in Rural India: and Nature, Pattern Determinants

194 rate, credit facilities etc. whereas micro level determinants are land owned, social group, household size, Monthly Per Capita Expenditure (MPCE), general education, technical education, age, and gender etc.

Multinomial Logit Model

Multinomial Logit (MNL) Regression Model is applied when the dependent variable is categorised with more than two alternatives and such alternatives are not in any specific order. Thus, it is an extension of the logit model, which analyses dichotomous (binary) dependents. The simplest MNL model, proposed by Luce in 1959, can be thought of as simultaneously estimating binary logits for all alternatives (here, different occupations). The model contains the structural assumption, i.e., independence from irrelevant alternatives (IIA), that the relative odds of two alternatives are independent of the attributes, or even the presence, of a third alternative. Following Cameron and Trivedi (2005), the description of the model can be given as: There are J unordered occupations, out of which one is chosen by defining a latent variable which is denoted as V*nj.V*nj of an individual n choosing occupation j = 1, ..., J is

V*nj = x’n βj + εnj …………………. (1) There are J error terms nj for any individual n. The variables x’n are exogenous variables which describe only the individual and are identical across occupations. However, the parameter βj differs across occupations. An individual n chooses occupation j if it offers the highest value of V*nj. Thus the observed choice symbolises as yn of an individual n is represented as:

1 if V*n1≥ V*ni for all i

yn = 2 if V*n2≥ V*ni for all i :

J if V*nj≥ V*ni for all i

Note that this implies that the choice only depends on the difference of usefulness offered by an occupation and not on the level (order) of usefulness. The MNL model assumes that the error terms used in equation (1) follow independently Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

195 and identically an extreme value distribution. The cumulative distribution function for error term is

And also the probability that an individual n chooses occupation j, i.e., the probability of observed choice given the different occupations for the same group of individuals is represented as

The probability in such kinds of choice models is calculated by using odds ratio. An odds ratio is a measure of association between acceptance and non-acceptance of an occupation. It represents that an outcome will occur given a particular occupation, compared to the odds of the outcome occurring in the absence of that occupation. The odds ratio in this model is calculated as given by the equation below. It depicts that the odds ratio (Pnj/Pni) depends log-linearly on xn

Where the parameter vectors βj, j = 1, ..., J are not uniquely defined: any vector q added to all vectors β*j = βj+q cancels in the choice probabilities Pnj

The βj’s are usually identified by setting the βi = 0 for one reference occupation category I (here, Self-employed in Farm-SEF). The description of dependent as well as independent variables used in the model is expressed in Table 1.

Interpretation of the Model

In particular, for MNL models, a positive regression parameter does not mean that an increase in the regressor leads to an increase in the probability of that alternative. Instead, interpretation for the MNL model is relative to the reference or base category group (here Self-employed in Farm (CLF)), which is the alternative normalised to have coefficients equal to zero. The interpretations will vary according Employment Diversification in Rural India: and Nature, Pattern Determinants

196 to which alternative (occupation) is normalised to have zero coefficient, and for this interpretation to be really useful, the model should have a naturally accepted base category.

Dependent Variable

To identify the determinants across various occupations in rural areas, the above mentioned model takes into account different types of farm and non-farm occupations as dependent variable and these categories are abbreviated as; Self Employed in Farm (SEF), Self Employed in Non-Farm (SENF), Regular Wage Earner (RWE), Casual Labour in Non-Farm (CLNF), and Casual Labour in Farm (CLF). Here Self Employed in Farm (SEF) has been taken as the reference category.

Construction of Independent Variables

The independent variables used in the study are described as follows:

Table 1: Description of the Independent Variables in the Multinomial Logistic Regression

Variables Notation Description Categories Expected relationship Macro Variables Rural Electrification Percentage of village Continuous Positive electrified in a village Unemployment Rate Percentage of unemployed Continuous Negative (15 onwards) to total labour force Regional Rural Number of Branches Continuous Positive Banks-Number Regional Rural Banks- Credit to Deposit Ratio Continuous Positive Credit Deposit Ratio Urbanisation Proportion of urban Continuous Negative as well as population to total population positive Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

197 Variables Notation Description Categories Expected relationship Macro Variables Irrigation Percentage of gross irrigated Continuous Negative area to total cropped area Net Migration Rate Difference between the number Continuous Negative as well as of immigrants and the number positive of emigrants in a period of time per 1000 population Wages Wages in Rs. Agriculture Wages, Negative with Non-agriculture Wages Agriculture Wages Micro Variables Land The size of land holdings Landless Household = not own Positive relationship (in hectares) owned any Land, Marginal Land Owner with landless and by a household. = <1 hec, Small Land Owner marginal farmers and = <2 hec, Semi-Medium Land negative with rest of Owner = 2-4 hec, Medium Land the four categories. Owner =4-10 hec, Large Land Owner= 10 and above Social Group Social Group/ caste to which Scheduled Caste(SC), Scheduled Positive relationship a household belongs Tribe(ST), Other Backward with SCs and STs and Classes(OBC), Others negative with OBCs and Others Household Size Number of family members in absolute terms Positive (including children) in the household Gender Gender of head of household 0= if the head of the household Positive relationship is male; 1= if the head of the with Female and household is female negative with Male Age Age of head of the household in absolute terms Positive (in years) Vocational Training Vocational training attainment No training, Formal vocational Positive of the head of the household training, Informal vocational training Education Levels of educational attainment Not literate, literate without formal Positive with not of the head of the household. schooling, below primary, primary literate and Negative to middle, secondary to higher with all other secondary, diploma/certificate course, categories graduate and above. BPL Poor, Non-Poor 0= if Household is Poor (MPCE< Negative as well as poverty line), 1= if Household is positive Non-Poor (MPCE≥ poverty line) Note: Dependent Variable; Self Employed in Farm (SEF) =1, Self Employed in Non-Farm (SENF)=2, Regular Wage Earner (RWE)=3, Casual Labour in Non-Farm (CLNF)=4, Casual Labour in Farm (CLF) =5 Employment Diversification in Rural India: and Nature, Pattern Determinants

198 Employment Status in Rural India

Although India has been listed among the fastest growing countries due to the high growth rate even during the recession periods; still it comes under the category of the less urbanised countries with 31.16 % urban population. About 71 % of India’s population is still surviving and earning their livelihoods in rural areas (Government of India, 2014b). So, to understand the rural livelihoods, the pattern of rural employment must be known and analysed thoroughly.

Employment Pattern through Proportions

First of all, it is important to evaluate the share of employed persons to form the basis for examining the employment pattern in the rural India. The most astonishing part of the analysis is that the proportion of employed out of total population is declined in rural India by 3.15 % points from 2004-05 to 2011-12; whereas the proportion of the population in labour has reported an increase of 5.55 % points (refer Figure 1). The main reason for the reduction in total employed population or workforce participation rate (WPR) is attributed to declining female labour force participation rate (LFPR) and WPR by 6.8 % points and 6.5 % points respectively. The declining unemployment rate (UR) by 0.2 % points for females provided no change in UR for males, indicates that neither females are part of workforce nor they are willing to work rather they are leaving the labour market. Improvement in family income and more enrolments of women in education are highlighted as the leading cause of their low participation rate (Government of India, 2014c; Rangarajan and Seema, 2014). Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

199 Figure 1: Distribution of Population in Rural India

2004-05 2011-12

Source: Authors’ calculations from 61st and 68th NSS EUS, GOI (2011-12).

During 2004-05 to 2011-12, rural workforce are leaving farm sector and finding alternatives in the non-farm sector. The study emphasises that 37.2 % of the employed population has opted non-farm occupations as their principal source of employment during 2011-12 (on UPS basis), the share of which was 29.2 % during 2004-05, that is, 8.02 % points increase in the share of RNFE. The slow and declining growth of employment in agriculture is the result of the declining rate of GDP growth in this sector as compared to the other sectors. Even the employment elasticity of this sector turned to be negative in 2011-12, which indicates that farm sector is not able to absorb the existing workers; thus they move from farm to the non-farm sector in general and industry in particular. The disaggregated analysis shows that during 2004-05 the share of industry and services in providing employment was almost same, i.e., 14.28 % and 14.9 % respectively, but during 2011- 12 the share of industry is higher (20.5 %) than that of services (16.6 %). This rise in industrial activities (even within all non-farm activities) is majorly because of construction sector (11.2 %) as it engages the highest proportion of rural population followed by manufacturing activities (8.5 %). However, most of the employment generated in this sector is of low quality, casual and irregular, which does not need much skilled and qualified labour. The manufacturing activities has remained the dominant part of industrial activities in rural areas since past decades but the latest dataset shows the surge of construction activities. Although the share of manufacturing has declined; still the employment provided by these activities is Employment Diversification in Rural India: and Nature, Pattern Determinants

200 better than that of construction activities (Wiggins and Hazell, 2008; Rangarajan and Seema, 2014). In the services sector, the share of rural employment has shown an increment only in transport, storage, and communication and in other services from 0.76 % in 2004-05 to 3.2 % in 2011-12 respectively. Although India as a whole is said to have outpaced some countries with its growth in the services sector (communications, banking and insurance, and business services), primarily by software and BPO services but this was restricted to urban areas only. And rural workforce has not gained much from the labour market deepening in the IT sector (Unni and Naik, 2011).

Employment Pattern through Employment Elasticity

The employment elasticity is defined as the measure of extent to which employment varies with change in economic output (GDP). In simple words, it indicates the ability of an economy to generate employment opportunities for its population as a per cent of its growth or development process. During the last decadal years 2004-11, India saw some of the highest rates of gross domestic product (GDP) but, the problem, however, is that this high growth has not led to more jobs. Lower elasticities, as a result, are indicative of what some economists call ‘jobless growth phases’. During 2004-05 to 2011-12, the highest employment elasticity has been shown by the Construction (1.12) and utilities sector (1.71; which includes energy, water and waste management). These are the biggest job generators in our country. The farm sector (agriculture, fishing and forestry), manufacturing has negative employment elasticity. During the period, the reduction in the number of workers employed has been reported in farm sector (-0.66). This gross deterioration of employment elasticity in the primary sector means that any effort to improve the productivity or output in the primary sector may result in net job loss (refer Table 2 in Appendix I and Figure 2). Bosworth, Collins and Virmani (2007) also supports the fact that India’s output growth depicts very little or no employment creation. The convergence standpoint (specifically for manufacturing) also states that it is not necessary that sectors which can absorb technology can also absorb labour (Rodrik, 2013). This clearly means that the primary sector, mainly agriculture, is burdened with disguised unemployment and underemployment. The employment elasticity for manufacturing sector (-0.07) is too negative during this period. During the period, slow growth in manufacturing is Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

201 recorded by the data (Kotwal, Ramaswami and Wadhwa, 2011). The government explains this by quoting that labour intensive technology has been replaced by capital intensive technology and more and more labour force has been accommodated in unorganised sectors or new jobs in the informal sector, with many others went converted into successful small scale entrepreneurs (Misra and Suresh, 2014). Most of the persons displaced found their jobs shifting to the informal sector, mainly in construction industry. Thus, new jobs all created during the period were of informal in nature resulting in worsening of the quality of employment. Therefore, the primary sector cannot support any new job creation. Even in rural areas, the burden of creating new jobs will fall on rural industry and services. On the other side, the secondary sector witnessed an increase (construction) in employment elasticity, though the increase has been marginal. Precisely for this reason, policy and other economic boosts for the secondary sector (industry) are needed to revive employment generation. Employment elasticity in the tertiary sector shows downward elasticity except community, social and personal services (1.71). It highlights the fact that any rise in tertiary (services) output will not be able to create adequate proportional increase in employment. The issue of concern is that if employment growth has been so low during a period of high output growth, it has probably become even worse now, when GDP growth has weakened so much. The worry is the construction sector, which may not be able to generate enough employment and able to absorb the new entrants as well as under-employed labour from agriculture. The key, therefore, is to increase investment, which will spur growth in the construction sector and improve employment. Along with, manufacturing sector should also be encouraged to boost the engine of growth. Employment Diversification in Rural India: and Nature, Pattern Determinants

202 Figure 2: Employment and GDP share of Activities in Rural India (2004-05 and 2011-12)

Source: a) National Accounts Statistics, Central Statistical Organisation for Rural GDP b) NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12 for Employment.

Employment Status in rural India

The scale of individual rural non-farm businesses varies enormously, from part- time self-employment in household-based cottage industries to large-scale warehousing facilities operated by large multinational firms. Often highly seasonal rural non-farm activities fluctuate with the availability of agricultural raw materials and in pace with household labour and financial flows between farm and non-farm activities (Wiggins and Hazell, 2008). There has been a considerable rise in the share of RNF employment in India, but to analyse whether this transforms into the qualitative improvement of employment or not, it is essential to know the employment status (refer Table 3 in appendix I and Figure 3). As regarding employment, regular salaried is considered as the most stable source of income; whereas casual workers are the most insecure and vulnerable. Self-employment is in between these two categories and is neither too risky nor stable (Tarique, 2014). Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

203 Figure 3: Enterprise Type in Rural India (2004-05 and 2011-12)

Source: NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12 for Employment

In Rural India, a major transformation has been found for employment status as self-employment registered a sharp decline of 9.6 % during 2004-05 to 2011-12 which occurred mainly due to fall in the share of own account workers (by 5.5 %) followed by unpaid family workers (4.2 %). On the contrary, employers under self- employed enterprises have shown a marginal increase (0.1 %) in their share. Although the share of self-employment declined over a period of last 7 years; the proportion of the population still remains high among all the types of employment. As against fall in self-employment, a sharp rise in casual employment (27.5 % in 2004-05 to 36.9 % in 2011-12) signals the casualisation of rural employment. This rise is not being associated with the increase in MGNREGA (rise by only 2.3 %) rather by increasing employment in other types of work (by 7.1 %). The most secure mode of employment (regular employment) also reported a marginal increase by 0.3 % from 2004-05 to 2011-12. While the number of people moving into non-farm employment is growing; the type of non-farm employment offered is not appreciable. The activity-wise analysis of employment status (refer Table 4, Appendix I) shows that the most of the jobs provided by the fast-growing sectors of the rural economy are either casual or self- employed in own account enterprises. The provision of secured regular jobs is very less by the flourishing activities. This depicts that type of employment is not an indication of quality employment. Within RNF sector, self-employment is more prevalent and Employment Diversification in Rural India: and Nature, Pattern Determinants

204 pervasive in manufacturing (51 %), wholesale and retail trade (82 %), real estate (73 %) and hotels and restaurants (66 %) during 2011-12. Financial and insurance (77 %) and electricity, gas and water supply (60 %) activities provide more of regular employment to the rural people even after fall in the share of employment by 12.7 % and 3.5 % respectively from 2004-05 to 2011-12. The most uncertain or seasonal type of employment (as and when there is demand) is being provided by the two sectors, i.e., construction (89 %) and mining and quarrying (78 %).

Concurrent Subsidiary Employment

The rural people are not only involved in their primary occupation rather they also devote some time in subsidiary work simultaneously to supplement their income. Table 5 (Appendix I) shows that among all the employed, majorly farm workers (73 %) are involved in subsidiary employment along with their existing occupation and rest 27 % non-farm workers are in subsidiary work. Among farm workers, self-employed in the farm (38 % in 2004-05 and 34 % in 2011-12) and casual farm workers (34 % in 2004- 05 and 29 % in 2011-12) are going for the alternative job along with their farm sector job. As farm sector does not ensure job security and sufficient earnings, so rural people try to involve themselves in another job to supplement their income and secure their livelihood. Moreover, seasonal behaviour of the farm sector also forces the workers to go for another job too for obtaining job throughout the year. Thus, in the rural area, it is hard to find peasants who do only farming. As a result, they devote a part of their time to farm activities and part of it to non-farm activities (Zahonogo, 2011). However, in non-farm sector, self-employed and casual workers also go for the additional job. The casual non-farm workers are involved in more than one job as their share for subsidiary work has doubled from 9 % in 2004-05 to 18 % in 2011-12.

Determinants of RNF Employment: Multinomial Logit Model

The present study examines the factors which play a significant role in determining the probability of moving to different non-farm occupations at micro as Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

205 well as macro level. The relationship between occupational choice and these determinants has been examined for rural India using a multinomial logit model. Various studies have carried out such analysis using similar variables in other developing countries (Mecharla, 2002; Zahonogo, 2011) and also in different states in India (Ranjan, 2009; Khatun and Roy, 2012; Jatav and Sen, 2013). Most of these studies have applied probit or logit models, using a dichotomous dependent variable. But the present study focuses on the more comprehensive aspect, i.e., the probability of joining in different types of employment within the non-farm sector (refer Table 1 in Section 2).

Results and Discussion: Macro Level

Irrigation The critical importance of agricultural development for creating an environment in which the non-farm sector can prosper, has been supported by various studies in different places such as Uganda, Tanzania, India and South America (Davis and Bezemer, 2003). Agricultural development also generates increased saving surpluses, which can be channelled to rural non-farm activities by farming households or the financial system. However, the growth of agriculture is possible in a way as expected if the irrigation facilities are available. These facilities help in creating agriculture surplus through multiple cropping or make cropping possible even when there is no rain. Thus induces the agriculture growth which (surplus) in turn helps in performing non-farm activities. Therefore, irrigation and non-farm sector are positively related for rural area (Khatun and Roy, 2012). Irrigation availability has also appeared as important factor in boosting RNFS in areas like Gujarat, Uttar Pradesh and Andhra Pradesh (Mecharla, 2002). The regression analysis also depicts the role of irrigation in increasing the probability of non-farm occupation, i.e. casual labour in farm (1.010) whereas self-employed in non-farm (0.996) have less probability to join in comparison to self-employed in farm if irrigation facilities are more (refer Table 8, Appendix II).

Rural Electrification There are some scholars who do not support the contribution of agricultural growth alone on the development of non-farm employment; for them the development of rural infrastructure also stands out as an important factor for its growth. The two important infrastructural factors emphasised in the studies are road Employment Diversification in Rural India: and Nature, Pattern Determinants

206 density or proximity to urban areas (Asher and Novosad, 2015) and rural electrification (Davis and Bezemer, 2003). In the present study road density is not taken as parameter for the infrastructure because of unavailability of comparable dataset at the state level. On the other hand, rural electrification indicator is taken as the percentage of villages electrified to the total villages (inhabited villages). According to the analysis, in rural India, more coverage under electricity increases the probability of opting CLF (1.019) followed by CLNF (1.015) and SENF (1.009) in comparison to SEF during 2011-12 (refer Table 8, Appendix II). Thus, expansion of areas under rural electrification determines the magnitude of rural non- farm employment and can induce settings up of electricity driven manufacturing units (especially, small scale) in the rural areas (Davis and Bezemer, 2003).

Unemployment Rate The development of rural non-farm sector in India is not only of paramount importance but also of pressing urgency in view of the ever rising unemployment and a high proportion of rural population in the country’s workforce. The high unemployment rate is considered as the push factor for the expansion of RNF employment and positive correlation between unemployment rate and RNF employment also supports the ‘residual hypothesis’ given by Vaidyanathan (1986). Parthasarthy, Shameem and Sambi (1998) also supported the argument while taking unemployment rate on CDS basis (specifically for rural males), suggesting a distress- induced growth of non-agriculture. The results also support that as unemployment rate rises chances of joining the non-farm sector as CLF (1.003), CLNF (1.003) and SENF (1.003) as compared to SEF (refer Table 8, Appendix II). Thus, in underdeveloped and poorly developed regions, higher unemployment rate has remained one of the important factors for expansion of RNF employment in India.

Availability of Credit Facilities The availability of credit and rural financial institutions are also counted among the major factors influencing the occupational transformation along with agricultural development and infrastructure development in the rural areas. Lacking access to credit for small and micro enterprises is an important barrier for poor workers. It hampers the rise in the productivity of their activities and the general development of their businesses (Davis and Bezemer, 2003; Khatun and Roy, 2012). In present study both the aspects of credit are considered i.e. availability of credit as well as access to credit. The parameter for availability of credit in rural areas is taken as the number of branches of regional rural banks in the respective area and the access to credit is indicated by the Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

207 credit deposit ratio in regional rural banks. Limited access of formal credit in the rural areas reduce the probability of entering in the rural nonfarm sector as self-employed persons comparative to other occupations (refer Table 8, Appendix II).

Urbanisation

The proportion of urban population to the total population also determine the level of RNF employment in India. The degree of urbanisation along with agricultural development are found to be strongly associated with RNF employment in Karnataka (Iyyampillai and Jayakumar, 1995). The results in the former study was elaborated by stating that the ‘pull’ factors were stronger than the ‘push’ factors in Karnataka. Furthermore, Jayaraj (1994) in Tamilnadu, and Eapen (1996) in Kerala, also find an important positive influence of urbanisation on rural non-farm growth. Actually, urbanisation expands the market for rural enterprises and encourages non-farm attributes in the secondary and tertiary sector. Interestingly, Eapen (1996) also identified that in 1991 only distress-related factors and urbanisation were important along with other variables. The most significant variable was found to be urbanisation which alone stand out as statistically significant at state level as well as at district level. In line to the literature, Table 8 shows the significant role of urbanisation in probability of opting RNF occupations. The rate of urbanisation positively effects the probability of going for casual labour in farm (1.035) followed by RWE (1.030) and SENF (1.007) in comparison to SEF. It acts as a pull factor for expansion of RNFS.

Migration

Migration (here parameter taken as Net Migration Rate4) as a determinant also plays a major role in expansion of RNF employment specifically in case of rural India. When the net migration rate is positive means the inflow of the population towards rural areas and positive sign signals the outflow of the population to the other rural or urban areas. The inflow of the population in rural areas can be in only in the case of higher congestion and high cost of living in the urban areas nearby where they moved earlier but were unable to find appropriate source of living there. After struggling hard, people use to start coming back into their native places and started a new venture and occupation in the rural areas only. Hence migration led to the

4• Net Migration rate is calculated as number of net migrants (number of immigrants minus number of emigrants) per 1000 population. Employment Diversification in Rural India: and Nature, Pattern Determinants

208 positive net migration areas in some regions and hence promoted the movement of the workforce towards non-farm activities. It is also argued that migration in form of remittances have less impact on RNFS rather than represented as movement of persons. If migration expresses in terms of remittances, then it accounts a very small proportion of rural non-farm income. Instead, earnings from self and wage-employment in the RNFE dominate agricultural wage earnings and migration remittances. Despite widespread migration from many poor rural areas, migration income accounts for less than 10 percent of total rural nonfarm income (RNFY) for most rural households, even in labour-exporting zones such as northern Mexico and Burkina Faso (Reardon, 1997; Haggblade et al., 2007). In some areas of rural India, movement of the workforce from rural to urban areas or towards the MGNREGA activities has lesser down the proportion of rural workforce to be employed as agriculture labour hence became the reason to rise in agriculture wages for the rest.

Wages Bhalla and Hazell (2003) note that the expansion of rural non-farm sector in India has resulted in an increase in productivity in agriculture also. Not only real wages in agriculture have increased, but the wages in non-agricultural occupations are now significantly higher than in agriculture. According to Fisher, Mahajan and Singha (1997) rural non-farm sector jobs, on the average, are superior to those in agriculture. Workers in the RNFS are better paid, less poor and more educated, and there is also less child labour in this sector. Bhalla (1993) showed that overtime rising labour productivity in Indian agriculture did not make the decisive contribution to the observed rise in real wage rates. She contends that workforce diversification has contributed a lot in increasing wage rate rather than growing labour productivity.

Results and Discussion: Micro Level

It is very essential to identify reasons due to which rural masses accept to go for RNF activities as their principal occupation either at household level or at the individual level. There is an extensive literature available witnessing the primary determinants of growth of RNF sector, but very few studies have focused on factors responsible for different types of occupations within the non-farm sector. Some studies have highlighted the household as well as the individual characteristics as the prime movers towards RNF sector, such as, general education (Jayaraj, 1994; Eapen, Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

209 1996; Ranjan, 2009; Khatun and Roy, 2012); technical education (Jatav and Sen, 2013; Jayaranjan, 2013) caste or social group (Ranjan 2009; Himanshu et al., 2011); gender (Haggblade et al., 2007); age, household size (Reardon, 1997; Lanjouw and Shariff, 2004; Ranjan, 2009; Khatun and Roy, 2012); and land ownership structure (Unni, 1998; Haggblade et al., 2007). The determinants at the household level (refer Table 9, Appendix II) used in this study during both the time periods are explained as follows:

Land Holdings The odds ratio of a household to engage in the non-farm sector is positively related to the size of land-holdings (refer Table 9, Appendix II) during 2004-05 as well as 2011-12. Land holdings have a positive and significant association with the self- employment in farm. Marginal landowners have a higher probability to work as casual labour in the farm as compared to casual labour in non-farm5 as the odds ratio is against but small landowners are likely to go for casual non-farm employment. The odds ratio of being employed as a regular wage earner in RNF sector is higher for small landowners (during 2004-05 as well as 2011-12) and semi medium and medium landowners in 2011-12. Relative to involvement in casual farm employment, households with the large size of landholdings are more likely to be involved in either self-employment in the farm (cultivation) or self-employment in the non-farm sector. This finding is consistent with the notion that larger landholdings provide both opportunities for cultivation as well as for non-farm activities (via a wealth effect), and that agricultural wage labour is a particularly unattractive occupation, even relative to casual non-farm wage employment (Lanjouw and Shariff, 2004; Jatav and Sen, 2013).

Social Group In countries like India, social group, to which a household belongs to, may also contribute separately to the probability of non-farm participation group (Ranjan, 2009; Himanshu et al., 2011; Khatun and Roy, 2012). The findings reveal that the odds of being employed in any of the non-farm activities are greater for the workers belonging to the SCs as compared to STs as the value of odds is higher for casual labour in farm (3.079) as well as in casual labour non-farm (2.754) during 2011-12 (refer Table 9, Appendix II). The probability of opting regular employment is highest for others (1.228) followed by SCs (1.207) as against self-employed in the farm. The

5• This category was not separately defined in 2004-05 dataset rather it was clubbed with others. Employment Diversification in Rural India: and Nature, Pattern Determinants

210 households belonging to lower caste/social group (SCs) have inadequate access to capital which is an essential component in initiating a business (self-employment); that is why they have lower probability in comparison to Non-SC category (Thorat and Sabharwal, 2006). In addition, they are not equipped with high level of skills and education which can make them unable to be absorbed in regular wage market and are more likely to get employment as casual labour in the farm. In our analysis, households belonging to SC group are relatively more likely to be involved in casual and self-employed non-farm occupations than their counterparts belonging to OBC and others groups.

Poor/Non-poor Status

According to the values of the odds ratio, poor people are less likely to work in any of the non-farm employment instead go for farm wage labour (refer Table 9, Appendix II) during 2004-05. The value of odds is higher for casual labour in farm (1.880) and casual labour in non-farm (1.478) during 2011-12. In 2004-05, the probability was even higher (2.475 and 1.585) for casual labour in farm and casual labour in non-farm respectively. The non-poor section is less likely to go for self- employment in non-farm and regular employment as compared to self-employed in farm. Meaning thereby self-employment is highly concentrated by non-poor people. But during 2011-12, they are more likely to join non-farm sector as a regular employee followed by others. Due to lack of pre-requisites for non-farm employment (education, skill, etc.), poor workers are not capable of getting employment in this sector and mostly engage as casual labour in the farm sector (Dary and Kuunibe, 2012). Although most of the studies show that poor people are involved in non-farm jobs to get rid of poverty, but our study, based on the principal status (reference time period 365 days), indicates that the probability of poor workers to be engaged in non- farm occupations as their principal activity is quite low as evidenced by the values of odds ratio. However, they may get jobs in the RNF activities as their subsidiary work (Employment on UPSS). So, they are less likely to participate in the non-farm sector, particularly in those activities that would appear to be able to lift them out of poverty. Also, the poor may not always find it easy to gain access to even casual non-farm employment, the siphoning off the non-poor out of the agriculture labour and into casual non-farm employment puts pressure on agriculture wages (Unni, 1998; Haggblade et al., 2007) Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

211 Education of the head of the household Education has a significant and positive impact on the odds ratio of being employed in non-farm occupations. As the level of education goes up from secondary and higher secondary to diploma/ certificate and then to graduation and above, the odds ratio of being employed in non-farm occupation goes from casual labour to self- employment and then to the regular wage earner, respectively. Those with no education are more likely to be engaged in CLF than in either SEF or RWE. In rural India, lack of education leads to labour being stagnant in agriculture or moving to casual work occupations in the non-farm sector, and not to salaried employment with higher remuneration. It is also clear from Table 6 (Appendix I) that majority of the illiterate workers are working in the construction sector. Based on odds ratio, those who have completed primary to middle education, are more likely to join non-farm casual or self-employment. But the diploma/certificate holders (odds ratio 26.818) and graduates and above (odds ratio 28.435) are more likely to be employed as RWE as compared to other occupations (refer Table 9, Appendix II). The education sector, which comprises more educated workers (60 % are diploma holders, graduate, postgraduate and above), provides employment only to 2.2 % of the workers. It is not merely the low level of education but also the type of education that constraints skill formation. The shortage of workers with appropriate skills in high-growth activities is thus constraining their growth (Mathur and Mamgain, 2004; Papola, 2009). The analysis of workers’ participation in rural non-farm occupations and their educational attainments confirm the findings of many other research studies that education enables a worker to make better choices over livelihood options available to him. Moreover, with the spread of education more and more of rural workers are joining non-farm vocations as compared to agriculture. Further, the probability of participation in RNF is lower if a worker is illiterate (reference category); he/she is more likely to be in farming as wage labour. Nevertheless, the illiterate and less educated workers settle at low-productivity and low-earning non-farm activities (Dary and Kuunibe, 2012).

Age of the head of the household Age of the head of the household also depicts the probability of getting involved in specific occupation. The study clearly reveals that the people of younger age are more likely to work as casual labour in non-farm and farm sector (odds ratio 0.965 and 0.981) during 2011-12 followed by self-employment in non-farm (odds Employment Diversification in Rural India: and Nature, Pattern Determinants

212 ratio 0.988). Although the youths are more involved in education and are out of the labour market, the majority of them in the rural areas (those who drop out from school early) join as casual workers (Khatun and Roy, 2012). Such people (especially males (15-19)) may not meet the skills and experience requirements of regular wage jobs and have to work as casual workers. Whereas people with higher age has more probability of getting regular employment as compared to any other age group. Those with less skill may initially get a casual job in RNFS, but gradually as their age progress, they may also acquire more experience and skill which increases the probability of their joining as a regular worker (refer Table 9, Appendix II).

Vocational Training of the head of the household Undergoing some form of vocational training/apprenticeship, either formal or informal, equips the individual with specialist skills to engage in certain non-farm jobs, such as tailoring, repair works (motorbikes, tapes/radio), carpentry, and masonry. Such jobs are often characterised by high entry barriers for many of the rural workers due to the specialist skills required (Dary and Kuunibe, 2012). It is evident that formal training of household heads is essential for the engagement of households in non- farm activities (Jatav and Sen, 2013; Jayaranjan, 2013). Having formal vocational training increases, the chances of being employed as regular wage earner (2.669) followed by SENF (2.135) (refer Table 9, Appendix II). The probability of such people engaging themselves as causal labour is less as compared to self-employed in farm.

Gender of the head of the household The relationship between gender and the probability of non-farm employment has been examined in some studies. A broad picture that emerges, but that is not necessarily repeated with statistical significance in all the studies, is that the female participation in non-farm activities is low; if participation is there, it is in the low remunerative occupations. Lanjouw and Shariff (2004) document a significantly lower probability of non-farm employment by women from region-level multinomial logit models used for rural India. In accordance with this, the value of odds ratios in our analysis show that females in the rural areas have lower probability of adopting either of the non-farm occupation except regular (1.404) as compared to males during 2011- 12 for self-employment in non-farm (0.732), casual employment in non-farm (0.593) and casual employment in farm (0.766). This can also be associated with the low LFPR of females. Their low participation may be because they are either coming out of the labour market due to social and other cultural obligations or involving themselves in the education (Haggblade et al., 2007). However, the opportunities for non-farm Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

213 employment are also limited and not readily available for them in rural areas. Males are more likely to engage in non-farm jobs, while females participate more in agriculture in the absence of their husbands rather than going for non-farm activities. Moreover, there is another argument that females, children and elderly of the family were forced to join the labour market during the crisis periods who otherwise were not participating and who withdrew themselves with improvement in the situation (Government of India, 2014b). The broad picture that emerges from these individual-level findings is that non-farm activities appear to be strongly associated with the level of education. As the level of education moves upward, the probability of going to non-farm occupations increases. Therefore, education plays a vital role in getting more secure and regular jobs in rural India. Furthermore, females tend to be particularly highly represented in agricultural labour activities, and underrepresented in the non-farm sector.

Conclusions and Policy Implications

The present study, using the latest dataset of employment and unemployment rounds, gives answer to the raised questions. The RNF sector has been extensively documented in the literature for its contribution to employment generation and poverty reduction, but the majority of employment provided by the sector is casual and informal in nature. Both micro (household/Individual characteristics) as well as the macro level indicators influence the decision of adopting a particular kind of employment. These are education, gender, age, social group, vocational training and size of land holdings, agriculture NDDP, urbanisation, migration, access to credit facilities, irrigation, electrification etc. At micro level, the non-farm activities appear to be strongly associated with the level of education in getting more secure and regular jobs in rural India. Females tend to be particularly highly represented in agricultural labour activities, and underrepresented in the non-farm sector. The casual non-farm activities are also concentrated by the young age workers (15-29) and household head belonging to lower category of social group. At macro level, agriculture NDDP, electrification, urbanisation and agriculture wages play important role as pull factor in expansion of RNF employment. Altogether, our analysis witnesses Employment Diversification in Rural India: and Nature, Pattern Determinants

214 that the distress-push factors are also responsible for RNF employment expansion such as unemployment rate and migration. The study highlights the fact, although the share of RNF sector in total rural employment has increased, the type of employment people is getting is not appreciable. By UPS, the majority of the RNF employment has been provided by the construction sector, followed by wholesale and retail trade and transport and storage. A majority of the workers involved in these activities are illiterate, without any training, working on non-contractual basis without social security, pension, insurance, etc. The pattern of employment status reveals that informal employment, which does not cover the social security, pension, and insurance for the workers, has increased during the period of study. The provision of better infrastructure facilities and credit facilities can play a major role in enhancing the entrepreneurial activities. Furthermore, the worry is the construction sector, which may not be able to generate enough employment and able to absorb the new entrants as well as under-employed labour from agriculture. The key, therefore, is to increase investment, which will spur growth in the construction sector and improve employment. Along with, manufacturing sector should also be encouraged to boost the engine of growth. Thus, more educated along with technical education increases the chances of workers to move towards RNF activities; whereas poor, uneducated and unskilled workers may not be able to get the high profiles jobs (especially regular jobs) in RNF sector. Provision of public social services (education, skill formation) and infrastructure to rural areas is key to provide better employment opportunities to the rural poor. Better education may help them to absorb themselves into better earning and secure jobs. A majority of the rural population (38.9 %) is involved in non-farm self- employment as compared to any other kind of employment, so more emphasis should be given to the development of small enterprises in non- farm sector, especially for enhancing rural industrialisation. Thus, it can serve as the healthier platform for rural employment. Barriers to entry to employment in the RNFE, such as illiteracy, the absence of vocational training and skill formation need to be addressed. Vocational training improvements should be utilised to assist those within agriculture to shift to other jobs. The limitation of the study is that it takes into account only UPS employment calculations. For capturing the seasonality of the employment, UPSS (Usual Principal and Subsidiary Status) and CDS (Current Daily Status) estimates can be used. This may also lead to change the factors responsible for the switch over from farm to non-farm. Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

215 References

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219 Appendix I

Table 2. Employment and GDP Share of Rural India

Activities Employment Share GDP Share Employment Elasticity 2004-05 2011-12 2004-05 2011-12 2004-5 to 2011-12 Agriculture, forestry and fishing 72.96 63.97 38.86 38.73 -0.66 Mining and quarrying 0.57 0.51 3.66 3.57 -0.68 Manufacturing 7.73 8.14 11.55 17.13 -0.07 Electricity, gas, water supply 0.14 0.21 0.88 1.20 0.46 & other utility services Construction 5.75 11.91 7.78 10.10 1.12 Trade, repair, hotels and restaurants 5.82 6.47 14.89 6.78 0.04 Transport, storage, communication 2.45 3.07 5.74 3.81 -0.96 & services related to broadcasting Financial services, real estate, ownership 0.46 0.36 8.40 12.01 -0.33 of dwelling & professional services Community, social & personal services 4.12 5.35 8.24 6.67 1.71 Source: a) National Accounts Statistics, Central Statistical Organisation for Rural GDP. b) NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12 for Employment.

Table 3. Employment Status in Rural India

Sector Farm Non-Farm 2004-05 2011-12 2004-05 2011-12 Self Employed 60.9 63.0 48.5 38.9 Own Account Worker 31.0 36.7 37.0 31.5 Employer 1.2 1.5 0.7 0.8 Unpaid Family Worker 28.7 24.8 10.8 6.6 Regular Wage Employee 1.1 0.8 24.0 24.3 Casual Wage Labour 38.0 36.2 27.5 36.9 In Public Works 0.0 0.1 0.5 2.8 In Other Types of Work 38.0 36.1 27.0 34.1 Source: Calculated from NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12. Employment Diversification in Rural India: and Nature, Pattern Determinants

220 Table 4. Employment Status in Different RNF Activities

Activities Years Self Employed Regular Wage Casual Labour Earners Farm 2004-05 60.9 1.1 38 2011-12 62.9 0.8 36.2 Non-Farm 2004-05 48.5 24 27.5 2011-12 38.8 24.3 36.9 Mining and Quarrying 2004-05 8.8 16.3 74.9 2011-12 4.2 18.4 77.5 Manufacturing 2004-05 59.6 19 21.4 2011-12 51.3 26.1 22.6 Electricity, Gas and Water Supply 2004-05 3.8 90.3 5.9 2011-12 10.5 77.6 11.9 Construction 2004-05 15.4 2.6 82 2011-12 8.9 2.3 88.8 Wholesale and Retail Trade 2004-05 83 11.7 5.2 2011-12 82.2 12.7 5.1 Transport, Storage and Communication 2004-05 71.2 16.1 12.7 2011-12 42.2 39.2 18.6 Hotels and Restaurants 2004-05 43.6 34.8 21.6 2011-12 65.9 19.5 14.6 Financial and Insurance Activities 2004-05 33.2 63.4 3.4 2011-12 37.1 59.9 3.1 Real Estate Activities 2004-05 63.6 29.6 6.8 2011-12 73.2 21.1 5.6 Other Services 2004-05 30.2 61.4 8.4 2011-12 30.7 62.8 6.5 Total 2004-05 57.3 7.8 35 2011-12 54 9.6 36.5 Source: Calculated from NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12. Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

221 Table 5. Percentage Distribution of Subsidiary Employment

Employment Type Subsidiary Activity No Subsidiary Activity Total 2004-05 2011-12 2004-05 2011-12 2004-05 2011-12 Self Employed in Farm 37.78 34.2 45.47 41.05 43.11 39.54 (26.97) (19.08) (73.03) (80.92) (100.00) (100.00) Self Employed in Non-Farm 13.84 13.7 14.29 14.63 14.15 14.42 (30.10) (20.95) (69.90) (79.05) (100.00) (100.00) Regular Wage Earner 4.66 4.87 9.19 10.88 7.79 9.55 (18.38) (11.24) (81.62) (88.76) (100.00) (100.00) Casual Labour in Farm 34.38 29 23.62 21.01 26.93 22.77 (39.28) (28.09) (60.72) (71.91) (100.00) (100.00) Casual Labour in Non-Farm 9.35 18.24 7.43 12.44 8.02 13.72 (35.85) (29.32) (64.15) (70.68) (100.00) (100.00) Total 100 100 100 100 100 100 (30.77) (22.06) (69.23) (77.94) (100.00) (100.00) Note: Figures in parentheses represent the row percentage. Source: Calculated from NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12. Employment Diversification in Rural India: and Nature, Pattern Determinants

222 Table 6. Activity-wise Percentage Distribution of Workers by General Education

Activity Years Illiterate Literate Below Secondary Diploma Graduate Without Primary to Higher and Formal to Secondary Above Schooling Middle Farm 2004-05 50.7 2.7 36.7 8.3 0.2 1.4 2011-12 41.1 0.5 41.8 14.3 0.3 2.1 Mining and Quarrying 2004-05 55.1 1.5 33.2 7.9 1.4 1 2011-12 39.6 0.1 41.8 14.8 0.4 3.4 Manufacturing 2004-05 33.9 3.2 47.5 11.4 1.5 2.6 2011-12 26.8 0.5 49.1 17.9 2.7 3.2 Electricity, Gas and Water Supply 2004-05 5.7 1.6 39.7 32.6 7.6 12.8 2011-12 17.9 0.1 36.4 23.9 8.2 13.5 Construction 2004-05 41.3 3.1 46.7 7.3 0.7 0.9 2011-12 36.2 0.5 49.9 11.8 0.6 1 Wholesale and Retail Trade 2004-05 22.3 2.8 47.6 21 1.5 4.8 2011-12 17.4 0.7 45.1 28.4 1.2 7.2 Transport, Storage and Communications 2004-05 24.6 2.9 47.7 19.6 1.5 3.8 2011-12 19.1 0.6 49.2 25.6 1.5 4 Hotels and Restaurant 2004-05 31.3 4 51.4 11.4 0.7 1.1 2011-12 21.8 0.9 53.8 19.5 0.9 3.2 Financial and Insurance 2004-05 1.1 0.6 20.7 36.3 5.5 35.8 2011-12 1.3 0.1 9.8 37 7.8 44.1 Real Estate Activities 2004-05 5.4 1.6 29.5 28.8 8.2 26.4 2011-12 10.6 0 34.5 42.7 1 11.2 Other Services 2004-05 19.7 1.9 27.2 24.7 5.9 20.6 2011-12 13.2 0.5 27 25.3 5 29.1 Total 2004-05 44.4 2.7 38.6 10.6 0.8 2.9 2011-12 35.1 0.5 42.9 16.4 1 4.3 Source: Calculated from NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12. Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

223 Table 7. Activity-wise Percentage Distribution of Workers by Vocational Training

Activity Year Formal Informal No Training Farm 2004-05 0.6 10.6 88.8 2011-12 0.5 10.9 88.6 Mining and Quarrying 2004-05 2.4 9.4 88.2 2011-12 1.4 9.8 88.8 Manufacturing 2004-05 3.4 26.3 70.3 2011-12 4.2 29.5 66.3 Electricity, Gas and 2004-05 11.2 0.5 88.4 2011-12 13.4 15.9 70.8 Construction 2004-05 1.1 9.2 89.7 2011-12 1 11.7 87.3 Wholesale and Retail Trade 2004-05 3.4 9.8 86.9 2011-12 2.3 8.2 89.5 Transport, Storage and Communications 2004-05 7.2 14.9 77.9 2011-12 9.2 21.7 69 Hotels and Restaurant 2004-05 2.4 8.4 89.3 2011-12 2.3 9.9 87.8 Financial and insurance 2004-05 18.8 4.3 76.9 2011-12 9.2 6.3 84.5 Real Estate Activities 2004-05 17.7 13.9 68.4 2011-12 4.1 3 92.9 Other Services 2004-05 9.2 11.7 79 2011-12 7 11.7 81.3 Total 2004-05 1.8 12.2 86 2011-12 1.8 12.9 85.3 Source: Calculated from NSSO 61st and 68th Rounds EUS data, GOI 2004-05 and 2011-12. Employment Diversification in Rural India: and Nature, Pattern Determinants

224 Appendix II

Table 8. Determinants of Rural Employment in India (Macro Level)

Variables Self Employed Regular Wage Casual Labour Casual Labour in Non-Farm Earner in Non-Farm in Farm 2004-05 2011-12 2004-05 2011-12 2004-05 2011-12 2004-05 2011-12 Electrification 1.001* 1.009*** 0.998** 1.006*** 1.007*** 1.015*** 1.011*** 1.019*** (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Unemployment Rate (15 onwards) 1.001*** 1.003*** 1.001*** 1.002*** 1.002*** 1.003*** 1.002*** 1.003*** (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Regional Rural Banks 1.000*** 1.000*** 1.000 1.000** 1.002 1.001 1.000*** 1.000*** (Number of Branches) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Regional Rural Banks 1.004*** 0.997*** 0.999 0.994*** 1.002** 1.003*** 1.007*** 1.001 (Credit-Deposit Ratio) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Urbanisation 1.009*** 1.007*** 1.012*** 1.030*** 1.009*** 0.966*** 1.023*** 1.035*** (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Irrigation 1.001* 0.996*** 0.995*** 0.995*** 0.997*** 1.000 1.002*** 1.010*** (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Net Migration Rate 1.000 0.997*** 1.001*** 0.992*** 0.998*** 1.001** 0.998*** 0.998** (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Literacy Rate 0.981*** 1.002 0.990*** 1.032*** 0.995** 0.999 0.973*** 0.990*** (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) (0.00) Wages 1.693*** 22.888*** 92.082*** 13.656*** 42.306*** 56.157*** 1.141* 1.458*** (0.05) (1.12) (3.28) (0.69) (1.48) (2.95) (0.05) (0.12) Constant 1.079 0.269 0.11 0.032 0.046 0.067 0.3 0.026 (0.10) (0.06) (0.01) (0.01) (0.01) (0.02) (0.03) (0.01) Notes: 1. Dependent Variable; Self Employed in Farm =1, Self Employed in Non-Farm=2, Regular Wage Earner=3, Casual Labour in Non-Farm=4, Others=5. 2. Reference Category: Self Employed in Farm. 3. *** p<0.01, ** p<0.05, * p<0.1 Amandeep Kaur, Akarsh Arora and Akarsh Arora Singh S. Amandeep P. Kaur,

225 Table 9. Determinants of Rural Employment in India (Micro level)

Variables Self Employed Regular Wage Earner Casual Labour Casual Labour in Non-Farm in Non-Farm in Farm 2004-05 2011-12 2004-05 2011-12 2004-05 2011-12 2004-05 2011-12 Education: Illiterate (reference) Literate Without Formal Schooling 1.128 1.041 1.178 1.123 0.604** 0.687 0.457*** 0.771 (0.25) (0.18) (0.38) (0.27) (0.15) (0.14) (0.11) (0.17) Below Primary to Middle 1.113 1.386*** 1.682*** 1.833*** 0.815** 0.742*** 0.529*** 0.577*** (0.11) (0.05) (0.24) (0.09) (0.08) (0.03) (0.05) (0.03) Secondary to Higher Secondary 1.379** 1.668*** 4.474*** 5.698*** 0.459*** 0.396*** 0.206*** 0.256*** (0.18) (0.07) (0.74) (0.30) (0.07) (0.02) (0.04) (0.02) Diploma 2.244 3.237*** 30.185*** 26.818*** 0.627 0.604* 0.54 0.235** (1.25) (0.60) (15.93) (4.55) (0.42) (0.17) (0.43) (0.12) Graduate and Above 2.795*** 2.821*** 20.418*** 28.435*** 0.277** 0.243*** 0.242*** 0.143*** (0.68) (0.20) (5.16) (2.01) (0.13) (0.04) (0.11) (0.03) Age 1.006 0.988*** 0.957** 1.010*** 0.974 0.965*** 0.983 0.981*** (0.02) (0.00) (0.02) (0.00) (0.02) (0.00) (0.02) (0.00) Vocational Training: No Vocational Training (reference) Formal 2.118** 2.135*** 1.163 2.669*** 3.509*** 0.903 0.854 0.270*** (0.79) (0.26) (0.46) (0.31) (1.49) (0.16) (0.54) (0.11) Informal 1.745*** 1.702*** 0.687** 1.260*** 0.995 0.831*** 1.011 0.618*** (0.21) (0.07) (0.13) (0.06) (0.14) (0.04) (0.14) (0.04) Gender: Male (reference) 0.349*** 0.732*** 9.269*** 1.404*** 0.261*** 0.593*** 0.250*** 0.766*** (0.07) (0.04) (1.33) (0.08) (0.06) (0.04) (0.05) (0.05) Land holdings: Landless (reference) Marginal 0.57 0.480* 0.107*** 0.214*** 0.190*** 0.466* 0.190*** 0.466* (0.30) (0.17) (0.05) (0.08) (0.09) (0.19) (0.09) (0.19) Small 0.068*** 0.078*** 0.026*** 0.048*** 0.021*** 0.038*** 0.021*** 0.038*** (0.04) (0.03) (0.01) (0.02) (0.01) (0.02) (0.01) (0.02) Semi medium 0.082*** 0.049*** 0.022*** 0.029*** 0.008*** 0.012*** 0.008*** 0.012*** (0.05) (0.02) (0.01) (0.01) (0.00) (0.01) (0.00) (0.01) Medium 0.032*** 0.024*** 0.009*** 0.018*** 0.002*** 0.007*** 0.002*** 0.007*** (0.02) (0.01) (0.01) (0.01) (0.00) (0.00) (0.00) (0.00) Large 0.030*** 0.344** 0.018*** 0.309** 0.00 0.373** 0 0.373** (0.03) (0.13) (0.01) (0.11) (0.00) (0.16) (0.00) (0.16) Social Group : Scheduled Tribe (reference) Scheduled Caste 3.112*** 1.609*** 1.782*** 1.207** 3.882*** 2.754*** 3.943*** 3.079*** (0.44) (0.08) (0.31) (0.07) (0.53) (0.15) (0.53) (0.21) Other backward class 2.502*** 1.369*** 1.295* 0.659*** 1.497*** 1.218*** 1.484*** 1.367*** (0.29) (0.06) (0.18) (0.03) (0.18) (0.06) (0.17) (0.08) Others 2.357*** 1.119** 1.460** 1.228*** 1.287* 0.791*** 1.209 0.854** (0.30) (0.05) (0.22) (0.08) (0.18) (0.04) (0.17) (0.06) BPL 1.197* 0.897** 1.039 0.539*** 1.585*** 1.428*** 2.475*** 1.880*** (0.11) (0.03) (0.12) (0.03) (0.16) (0.06) (0.24) (0.09) Notes: 1. Dependent Variable; Self Employed in Farm =1, Self Employed in Non-Farm=2, Regular Wage Earner=3, Casual Labour in Non-Farm=4, Others=5 2. Reference Category: Self Employed in Farm 3. *** p<0.01, ** p<0.05, * p<0.1 Employment Diversification in Rural India: and Nature, Pattern Determinants

226 El vínculo con los pequeños agricultores como factor clave en la implementación de programas de extensión rural. Estudio cualitativo de un caso chileno

Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser Universidad Academia de Humanismo Cristiano, Chile

DOI: 10.4422/ager.2019.04

ager Revista de Estudios sobre Despoblación y Desarrollo Rural Journal of Depopulation and Rural Development Studies

Páginas: 227-254 El vínculo con los pequeños agricultores como factor clave en la implementación de programas de extensión rural. Estudio cualitativo de un caso chileno

Resumen: El objetivo de esta investigación fue indagar las barreras y facilitadores de la implementación de un programa público de extensión rural desde la perspectiva de los extensionistas chilenos. Se entrevistó a 13 profesionales que ejecutan el Programa de Desarrollo Local (PRODESAL) en ocho comunas de la Región Metropolitana. Los resultados muestran que las principales barreras percibidas son la falta de apoyo institucional en el desarrollo de habilidades profesionales y en la ejecución de procesos operativos. Entre los facilitadores, los extensionistas destacan el vínculo con los pequeños agricultores como un factor clave, pues parece articular diferentes perspectivas de extensión rural y favorecer la calidad de la implementación. Se discuten las implicancias para el diseño e implementación de políticas de desarrollo rural.

Palabras clave: Desarrollo rural, Política pública, Personal profesional, Evaluación formativa.

The emotional connection with small farmers as a critical factor in the implementation of agricultural extension programs. A qualitative study of a Chilean case

Abstract: We investigated the barriers and facilitators critical of the effective implementation of a local program of agricultural extension programmes from the perspective of Chilean extensionists. We interviewed 13 professionals who apply the Local Development Program (PRODESAL) in eight communes of the Metropolitan Region. The results show that the primary perceived barriers are the lack of institutional support in skill development and the execution of operational processes. Among the key facilitators, workers highlight the emotional connection with small-scale farmers that articulate diverse approaches and the quality of implementation. We discussed practical implications for the successful design and execution of rural development policies.

Keywords: Rural development, Government policy, Professional personnel, Formative evaluation.

Recibido: 9 de julio de 2018 1ª versión revisada: 9 de enero de 2019 2ª versión revisada: 17 de abril de 2019 Aceptado: 26 de abril de 2019

Cómo citar este artículo: Rojas-Andrade, R., Keller, K., y Prosser, G. (2019). El vínculo con los pequeños agricultores como factor clave en la implementación de programas de extensión rural. Estudio cualitativo de un caso chileno. AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), 27, 227- 254. DOI: 10.4422/ager.2019.03

Rodrigo Rojas-Andrade. ORCID 0000-0002-6459-6902. E-mail: [email protected] Karina Keller. ORCID 0000-0001-8700-8395. Gabriel Prosser. ORCID 0000-0003-1255-5890. Introducción

En Latinoamérica la pobreza se concentra en territorios rurales (Graziano, Gómez y Castañeda, 2010). Esta pobreza es dura y a pesar de las diferencias entre países, las condiciones a las que se enfrentan las personas que la sufren tienen características similares (Trivelli, Yancari y De los Ríos, 2009). En este escenario, los gobiernos latinoamericanos han diseñado un conjunto de estrategias de desarrollo territorial rural (Berdegué y Jara, 2014; FAO, 2017), dentro de las cuales, la Extensión Rural (ER) destaca por la posibilidad de fortalecer y articular opciones de superación de la pobreza rural, como lo son el crecimiento del sector agropecuario, la conservación de los recursos naturales, el aumento de las subvenciones y el fomento de actividades económicas rurales desarrolladas fuera del predio agrícola (Ortega y Ramírez, 2018).

Enfoques de extensionismo rural

Actualmente existen distintos enfoques de extensión coexistiendo y mezclándose en Latinoamérica (Landini, 2016a). Uno de ellos es el modelo de extensión clásico, implementado en los países latinoamericanos con el apoyo de Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

229 Estados Unidos durante las décadas de los 40’ y 50’. Este modelo se basa en la teoría de la difusión de innovaciones de Everett Rogers, el cual promueve la adopción de nuevas técnicas, ideas u objetos a través de un proceso persuasivo entre miembros de un sistema social a través de diversos canales de comunicación. Esta perspectiva asume que los problemas prácticos del desarrollo rural pueden ser resueltos con la adopción de tecnologías silvoagropecuarias, desarrolladas a partir de procesos de investigación científica, enfatizando la experiencia del extensionista y sus habilidades de comunicación para lograr que los campesinos reconozcan un problema diagnosticado desde un saber experto y adopten las soluciones prescritas con la mayor adherencia posible. Según este enfoque, el cambio social se produce cuando el uso de la innovación genera efectos positivos en las situaciones problemáticas sobre las que opera. Otro enfoque de ER es el dialógico, alternativo o critico (Landini, 2016a; Tommasino, González, Guedes, y Prieto, 2006). Desde esta perspectiva, tanto el problema como la solución tecnológica emerge en el diálogo horizontal entre extensionistas y campesinos. Desde esta perspectiva, el cambio social se produce a través de una construcción interactiva de significados que van transformando el contexto en el que se genera la acción. Para Paulo Freire, el principal representante de este enfoque, el dialogo constituye una exigencia de la naturaleza humana y la educación democrática que reconozca el saber y el ser del otro, por lo que el proceso de extensión implica una transformación de la estructura social a través de procesos de concientización social que promueven una sociedad reinventada en donde se reinventan las relaciones de poder (Tommasino et al., 2006). Si bien ambos enfoques están centrados en la solución de problemas cotidianos que impiden la producción, reproducción y mantención de la vida (Flores, 2014), cada uno de ellos asume perspectivas teórico-epistemológicas distintas desde los cuales interpretar las relaciones entre el uso de tecnología, el aprendizaje y el cambio social. En esta línea, tomando en cuenta los postulados de Habermas (1999), la ER clásica tendría pretensiones de poder en cuanto intenta imponer una determinada interpretación de la realidad, reflejada en la difusión de una solución tecnológica ajena y desconocida a un problema que supuestamente sufren los campesinos cuando se comparan con los estándares profesionales; así, el aprendizaje sería un proceso pasivo de incorporación de nuevas conductas y el cambio social sería el mejoramiento de las condiciones de vida resultado del uso eficiente de tecnologías. El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

230 Por su parte, la ER crítica tendría pretensiones de validez, en la medida que tiene una intención de verdad consensuada y una orientación al entendimiento, desde donde el uso de determinada tecnología es relativo a la construcción compleja de realidades y problemas que emergen del intercambio de significados y saberes entre campesinos y extensionistas; aquí, el aprendizaje, sería un proceso activo de construcción de significados que emergen en el dialogo y el cambio social, sería la transformación del contexto, en cuanto resultado de la inclusión de miradas diversas, pero igualmente relevantes. De esta forma se entiende lo rural como un escenario que va más allá de lo agrícola, donde se incorpora la dinámica social, cultural y ambiental del hogar rural, con estrategias que permiten la persistencia de un campesino local que a la vez se conecta con el mundo (Mora, 2008). Algunos trabajos empíricos realizados en países latinoamericanos sugieren que es difícil reducir la ER a una categoría pura (Landini, 2016a), sin embargo, es posible identificar una perspectiva dominante orientada a la transferencia de tecnología clásica (Landini, 2016b). En este escenario, Chile no es la excepción. El modelo difusionista se ha implementado e investigado con menor o mayor fuerza desde la década del 70’, siendo la base de los adelantos actuales de asistencia técnica y extensión como es el caso del Programa de Desarrollo Local (PRODESAL). Este programa pone el acento en la reducción de las brechas tecnológicas, en el fortalecimiento de capacidades, en el acceso a los recursos y las oportunidades presentes en el territorio, así como en la construcción de relaciones entre extensionistas, campesinos y pequeños productores agrícolas. Todo esto, con el propósito de promover procesos de desarrollo rural, a través de los cuales los campesinos pasen desde una condición de autoconsumo y agricultura familiar, a una de emprendimiento especializado, que les permita el desarrollo de negocios agrícolas y el acceso a nuevos mercados e instrumentos de financiamiento público o privado. Los enfoques de ER pueden ser entendidos como teorías descriptivas y operativas que subyacen en el diseño y la ejecución de programas de intervención. Es a partir de ellos que se definen los mecanismos de cambio, estrategias y objetivos que se ponen en marcha cuando se implementa una acción. Así, para poder interpretar los resultados de los programas es necesario tomar en cuenta su implementación, pues se puede cometer el error de atribuir resultados exitosos a variables no controladas en la ejecución, o bien sostener el fracaso de un modelo debido a problemas en su operacionalización y ejecución que no permiten dar cuenta de su utilidad transformadora (Meyers et al., 2012). Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

231 Estudio de la implementación

Centrar la atención en los resultados de los programas es fundamental para avanzar en la superación de la pobreza rural, sin embargo, para entender cómo se generan, es necesario detener la mirada en aquellos factores que obstaculizan o facilitan la calidad de su implementación a través de una evaluación formativa, pues de nada sirve una teoría del programa bien pensada y fundamentada si no se operacionaliza correctamente o si no se cumplen los pasos prescritos en su planificación. En este sentido, a pesar de la importante experiencia acumulada en la sistematización de experiencias y programas públicos en Latinoamérica, la investigación sobre implementación es reciente (Rojas-Andrade, Leiva, Vargas y Squicciarini, 2017). Rojas-Andrade (2016) define la investigación en implementación como el estudio científico de los procesos y componentes de la puesta en práctica de un modelo de cambio en contextos cotidianos de intervención. Esta conceptualización invita a poner la atención en tres grandes dimensiones que parecen claves en los distintos estudios internacionales sobre la temática (Nilsen, 2015). La primera dimensión es el proceso. Este refiere a las etapas o fases involucradas en trasladar un modelo de cambio a la práctica. La segunda, son los componentes, entendidos como las variables que miden directamente la implementación (Proctor et al., 2011), como la fidelidad o integridad. La última es el contexto que, si bien es un constructo problemático, se define como un concepto relacional, asociado a las interacciones entre la puesta en marcha de un programa y las variables que están fuera de su modelo (May, Jonhson y Finch. 2016). El contexto de una intervención está compuesto por variables en distintos niveles que influencian los resultados de la implementación. Un ejemplo de esto es el trabajo de Rojas-Andrade (2016) que muestra que los obstaculizadores contextuales de programas públicos en Latinoamérica son: a) las condiciones de los profesionales ejecutores (e.g., escasa especialización y falta de capacitación, falta de recursos, alta fragmentación disciplinar, precarización laboral y uso de orientaciones técnicas difusas, ambiguas o muy generales); b) las condiciones de las comunidades en las que se ejecutan los programas (e.g., fragmentación del tejido comunitario y baja participación civil, desigualdad social y problemas sociales, vulneración de derechos, clientelismo político, desconfianza institucional y sobre intervención) y; c) las condiciones de la política pública (e.g., escaso presupuesto, desarticulación intersectorial, burocratización, centralización, débil sistema de soporte e inestabilidad política). El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

232 Entender las influencias del contexto permite identificar aquellos elementos que moderan los resultados de la implementación y que a su vez están directamente relacionados con los resultados de la intervención. Sin embargo, no son muchos los estudios que se han centrado en estas dimensiones, especialmente en el campo de la ER en Latinoamérica que, a pesar de estar presente en el continente desde mediados del siglo pasado, recién en las últimas décadas comienza a tomar un lugar protagónico en los procesos de desarrollo rural y en la agenda de investigación internacional. Los estudios de implementación generan un aporte a la extensión rural conjugando el interés por el impacto de las políticas públicas de extensión rural con una comprensión interna y local del desarrollo de la puesta en práctica de estos programas. De esta manera, poner el foco en la implementación supone develar la caja negra de aquellos aspectos que influyen en la obtención de los resultados de las intervenciones (May et al., 2016). El propósito de esta investigación fue indagar aquellos aspectos que los propios extensionistas chilenos perciben como barreras o facilitadores de la implementación del programa en el que trabajan. Los resultados ayudarán a comprender mejor los elementos de la práctica que deben ser considerados en la planificación e implementación de acciones de ER.

Caso de estudio y metodología

Programa de Desarrollo Local (PRODESAL)

Las políticas de extensión rural en Chile son implementadas a través del Instituto Nacional de Desarrollo Agropecuario (INDAP) dependiente del Ministerio de Agricultura. Están dirigidas a agricultores que explotan o viven en un terreno rural, obtienen ingresos económicos de actividades silvoagropecuarias y poseen activos no superiores a 3.500 Unidades de Fomento (equivalentes a US$139.000). El INDAP desarrolla diversos programas. Entre ellos destacan el Programa de Desarrollo Local (PRODESAL), Programa de Desarrollo Territorial Indígena (PDTI), Programa de Alianzas Productivas (PAP), Programa de Asesoría Técnica (SAT), entre otros (INDAP, 2018). Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

233 Esta investigación se centró en el PRODESAL, que es uno de los instrumentos públicos con mayor cobertura en el país. Este programa tiene como objetivo ampliar las habilidades y oportunidades de los pequeños productores agrícolas buscando mejorar los sistemas productivos y emprendimientos económicos aumentando los ingresos económicos y la calidad de vida (INDAP, 2016). El PRODESAL es ejecutado por Municipios que en colaboración con INDAP, contratan a profesionales y técnicos de las ciencias agropecuarias (e.g., agronomía o veterinaria) quienes se hacen cargo de una unidad operativa o territorio. El PRODESAL atiende al 30 % de los usuarios de INDAP y a nivel presupuestario, ejecuta cerca del 27 % de esta institución (excluyendo aquel presupuesto destinado a créditos de corto y largo plazo (INDAP, 2018)). La investigación sobre los impactos del programa ha mostrado genera un efectivo uso de la tierra y un mayor ingreso económico (Köbrich y Villanueva, 2001; Roa, 2007) y que los efectos son mayores, cuando los usuarios reciben cuatro visitas técnicas o más (Ortega y Ramírez, 2018). La teoría del programa supone que el mejoramiento de los sistemas productivos y el desarrollo de negocios depende de tres componentes claves: las capacidades productivas del campesino, el capital con el que cuenta y el acceso a oportunidades que tienen (Figura 1).

Figura 1. Modelo de Cambio Programa PRODESAL

Fuente: Elaboración propia El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

234 Las capacidades se entienden como habilidades individuales que tienen los pequeños agrícolas respecto al manejo y conocimiento de herramientas tecnológicas silvoagropecuarias, la administración de recursos (e.g., registro o pequeñas contabilidades) y a la asociatividad (e.g., cooperativas agrícolas, compra colectiva de maquinaria e insumos o propiedad colectiva de centros de acopio). Para fortalecer y ampliar estas competencias los extensionistas realizan visitas de campo, asesorías técnicas, capacitaciones grupales, operativos veterinarios, parcelas demostrativas o giras técnicas que son planificadas anualmente en consonancia con planes de desarrollo territorial de mediano plazo (4 años) que son realizados a través de diagnósticos participativos entre los distintos actores relevantes del territorio comunal. El tipo e intensidad de estas intervenciones depende del nivel de desarrollo productivo que tienen los campesinos (i.e., autoconsumo, emprendimientos o pequeños negocios). El capital financiero se entiende como los recursos necesarios para mejorar los sistemas productivos. El PRODESAL entrega un fondo cercano a US$175 anuales para gastos de operación que se suma a los aportes locales de los productores agrícolas. Además, entrega un fondo de fomento productivo cercano a US$2070, a quienes se encuentran en etapas más avanzadas del tránsito hacia la generación de negocios agrícolas, lo que les permite la compra de maquinarias o mejoramiento de infraestructura. Finalmente, las oportunidades se entienden como posibilidades de negocio o de financiamiento, por lo que las intervenciones están dirigidas a articular las distintas ofertas programáticas orientadas a la adquisición de fondos y capacidades. Para un análisis crítico del modelo del programa se puede revisar Rojas-Andrade, Keller y Prosser (2019). La mayoría de los usuarios del PRODESAL se concentran entre las regiones de O’Higgins y Los Lagos. No obstante, el área periférica de la Región Metropolitana realiza el abastecimiento agrícola de la capital del país (Boza, Cortés y Guzmán; INDAP, 2016), motivo por el cual ha sido elegida como foco de esta investigación. En esta región, PRODESAL beneficia a 3.695 campesinos cuyo promedio de edad es de 57 años. De estos, el 39,82 % son mujeres, el 7 % jóvenes (hasta 35 años) y el 3 % pertenece a un pueblo originario (INDAP, 2018). Según Boza, Cortés y Guzmán (2015), estos usuarios en su mayoría sólo han completado el nivel de enseñanza primaria (41 %) y se dedican principalmente a los rubos de flores, plantas ornamentales y miel, así como a la producción de frutas y vegetales. Un tercio de ellos no realiza procesamientos productivos, no lleva registro de sus operaciones y no participa de ningún otro programa público. Asimismo, los Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

235 autores señalan que cerca del 90 % de ellos, no usa sistemas computacionales, no participa en grupos técnico-productivos ni participa en asociaciones de comercialización.

Participantes

Esta investigación se centró en comprender los factores que afectan la implementación del programa, por lo que fue necesario acercarse a quienes cotidianamente enfrentan los problemas de ponerlo en marcha, es decir, profesionales y técnicos de la extensión rural que son los que vivencian la realidad que fue teorizada en el modelo del programa. Para llegar a los profesionales se utilizó una estrategia de muestreo secuencial. Se informó y solicitó apoyo a las cuatro agencias de área de INDAP Metropolitano quienes facilitaron la información de contacto de los 42 extensionistas que trabajan en las comunas en las que se desarrolla el programa (Figura 2). Con dicha información, se contactó vía telefónica y por correo electrónico a cada profesional invitándolos a participar del estudio. Siguiendo este procedimiento sólo 13 extensionistas de ocho comunas accedieron a participar del estudio. El resto se excusó señalando en su mayoría, que no estaban interesados o que disponían de poco tiempo para recibir a los entrevistadores. El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

236 Figura 2. Región Metropolitana de Chile

Nota. PRODESAL está presente en las comunas de Alhué, Melipilla, María Pinto, San Pedro, Talagante, Peñaflor, El Monte, Isla del Maipo, Padre Hurtado, San Bernardo, Buin, Paine, Calera de Tango, San José de Maipo, Pirque, La Pintana, Til Til, Lampa, Colina y Curacaví. Fuente. Instituto Geográfico Militar Chileno.

Ocho de los 13 profesionales entrevistados fueron hombres. Siete fueron ingenieros agrónomos que tenían más de dos años de experiencia ejecutando el programa. Los grupos menos representados fueron los técnicos agrícolas (5) y los veterinarios (1). Todos realizaron sus estudios superiores en la ciudad y unos pocos provienen de contexto rural o familias dedicadas al sector agrario. Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

237 Estrategias de Producción de información y análisis de datos

Se visitó a cada uno de los participantes en sus lugares de trabajo y se les aplicó una entrevista semiestructurada que indagó dimensiones de la ejecución y los aprendizajes profesionales sobre la ER, de las cuales se desprenden preguntas asociadas a las barreras y facilitadores de la implementación. En promedio las entrevistas duraron 45 minutos y fueron realizadas por los autores. La información obtenida fue transcrita y analizada a través de los procedimientos establecidos para el análisis de contenido temático que enfatizan la creación de códigos y categorías abiertas (Braun y Clarke, 2006). Así, a pesar de la literatura existente (Aarons, Hurlburt y McCue, 2011; Durlak y DuPre, 2008; Rojas-Andrade, 2016), se decidió sistematizar las citas desde los contenidos propios de los ejecutores. De manera amplia, se definió que un factor sería una barrera, cuando los extensionistas lo identificaran como un aspecto que afecta negativamente la adecuada ejecución del programa y sería un facilitador, cuando la afecte positivamente, es decir, cuando permita que el trabajo se realice tal como se planificó. Estos factores se clasificaron de acuerdo con el nivel contextual al que pertenecían, considerándose organizacionales, cuando se trataba de variables asociadas al marco institucional donde se desarrolla la intervención; e individuales-relacionales cuando se trataba de actitudes, creencias o relaciones. Para mantener una coherencia epistemológica con un enfoque constructivista y mostrar un ejercicio hermenéutico- interpretativo, las citas de los extensionistas fueron insertas en el texto integrándolas a los argumentos que emergieron del análisis realizado por los investigadores.

Resultados: Barreras y facilitadores contextuales de la implementación

Contexto organizacional

La mayoría de los programas públicos chilenos son ejecutados por terceros, pero financiados y diseñados por el Gobierno. Esta característica institucional genera una serie de barreras en la implementación y en el caso de los extensionistas que El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

238 trabajan en el PRODESAL, se refieren particularmente a la doble jefatura y a la sensación de no pertenencia institucional. La doble jefatura aparece como un problema en cuanto la Municipalidad e INDAP no siempre se articulan respecto a las metas y exigencias que les piden a los profesionales y técnicos de PRODESAL. De este modo, un extensionista debe responder a las solicitudes que le hace su contraparte municipal y también debe responder a las solicitudes de su contraparte gubernamental. Si bien existe un convenio de colaboración que establece las metas y las acciones comprometidas, el trabajo siempre excede a lo que allí se expresa; se atienden casos emergentes no asociados con el programa, se realizan articulaciones intersectoriales, se asesora en la postulación de proyectos, se participa de operativos municipales, se realiza asistencia judicial, se entrega apoyo psicosocial, se cumplen con las actividades propias de la extensión y se llenan informes técnicos. Todas estas actividades hacen que su trabajo sea interpretado como un “circo pobre” que sin los recursos y competencias necesarias debe responder y dar soluciones a un conjunto de demandas que se les presentan en su quehacer cotidiano. En palabras de un extensionista:

“… en mi pega de extensionista, soy un circo de Chamorro, de todo un poco, soy el domador de leones, el que vende boletos, el que barre, primero aterrizar las políticas públicas del Estado a nivel usuario, enseñar todos los proyectos que tienen, que puede hacer él y que el estado le da, qué beneficios puede tener y mejorar la calidad de vida del usuario”. (Extensionista 1, hombre).

En los hechos concretos, el extensionista es un profesional independiente que presta servicios a la Municipalidad, por lo que no debería estar sujeto a dependencia administrativa. Esto genera tensiones internas, en la medida que existe una obligación artificial que supera la obligación jurídica, pues de no cumplir con las normas y órdenes institucionales el profesional se expone a perder el trabajo, sensación que también aparece cada año, cuando la Municipalidad debe renovar el convenio que incluye la compra de sus servicios profesionales, la tramitación de dicho convenio incluso puede dejarlo sin honorarios por más de tres meses. En este espacio, además de existir una barrera burocrática asociada al traspaso de fondos, existe una barrera política, pues en ocasiones la continuidad en los cargos de los extensionistas depende del alcalde de turno, lo que si bien, no es una constante, genera inseguridad en los profesionales todos los años y cuando existe cambio de autoridades municipales. Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

239 Si bien los extensionistas del PRODESAL reciben un honorario mayor1 que otros profesionales, cuyos servicios son comprados de la misma forma, sufren al igual que ellos, los malestares de la precarización laboral. Tienen miedo de enfermarse, pues no tienen derecho a licencias médicas, tienen miedo a que su vehículo se malogre2, pues no existen seguros, tienen miedo de su vejez, pues no logran tener suficientes ahorros previsionales y tienen que endeudarse anualmente para poder solventar los gastos de los meses en que no reciben honorarios, pagando intereses por los préstamos que obtienen. Así,

“… yo llevo del 2005 a honorarios, los primeros años no era tan complicado el que te renovaran el contrato porque no había mucha gente que quisiera el programa, ahora cuando te renuevan el contrato hay 30 personas afuera esperando, me entiendes, entonces como que no hay una estabilidad laboral y todo lo que conlleva ese aspecto, se haría un trabajo de muchas más confianza si te dicen tienes un contrato a tantos años, pero cada año esperar hasta diciembre y uno empieza a complicarse, llega enero y no te dicen y luego febrero y marzo y son cuatro meses sin sueldo, y tú no sabes si lo que hiciste realmente te lo van a pagar o no, a la expectativa. Yo creo que si mejoran esa forma o por lo menos tratan de ver una forma sencilla de que no afecte a muchos, yo creo que estaríamos mucho mejor”. (Extensionista 2, hombre).

Lo anterior genera un sentimiento de ajenidad o de no pertenencia institucional ¿De quién son trabajadores los extensionistas si no pertenecen a INDAP y sólo prestan servicios a la Municipalidad? Los extensionistas perciben que son un “hibrido, de todos y de nadie”, llegando a sentir que la propia infraestructura u oficinas que le entrega la Municipalidad para operar son prestadas, son un favor, no un derecho laboral o un recurso necesario para implementar el programa; recursos que dependen en gran medida del presupuesto que tienen las Municipalidades, que tiende a ser escaso en comunas pobres como las rurales. Muchas veces se sienten utilizados políticamente por parte de INDAP, pues son ellos quienes convocan a los campesinos

1• Sus honorarios mensuales ascienden a US$2.067 para los profesionales y US$1.272 para los técnicos (que incluye el fondo para la compra de combustible). El sueldo promedio de profesionales que trabajan en Municipalidades bajo estas mismas condiciones laborales es de US$1.272. 2• Tener vehículo es un requisito para que las Municipalidades compren sus servicios y además de un recurso fundamental para su trabajo dada las extensas distancias que deben recorrer para hacer las visitas técnicas. El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

240 para las actividades que dicha organización realiza en terreno, de modo que “la chaqueta de INDAP sólo es para la foto”.

“Este año acá hubo un incendio, acá se quemó un montón de cerros de acá, nosotros estuvimos en los cerros viendo qué se quemó, que no se quemó, como ayudar, como no ayudar, INDAP puso las lucas, vino el ejecutivo, cuando entregaron los fardos, vinieron todos los de INDAP, todos se sacaron la foto, se fueron los de INDAP y nosotros seguimos trabajando”. (Extensionista 4, hombre).

Así, estos extensionistas, habitan un espacio único en el que la identidad se construye a partir de las tensiones asociadas a la pertenencia del Municipio o del INDAP, llamándose a sí mismos “prodesales” para destacar la vocación social del veterinario, el agrónomo o el técnico agrícola que busca ayudar al otro y compenetrarse con el campo, a pesar de las condiciones laborales que debe enfrentar. Una forma de potenciar la pertenencia institucional, como mencionan los extensionistas, es propiciar espacios de aprendizaje compartido como capacitaciones o encuentros profesionales. En el PRODESAL estos espacios son escasos, la mayoría de las veces INDAP promueve la entrega de capacitaciones, pero su entrega se ve afectada por: descoordinaciones municipales, falta de recursos o incluso por la falta de articulación, ya que no pocas veces son los mismos extensionistas los que deben realizar convenios con el Instituto de Investigaciones Agropecuarias (INIA) para capacitarse. Como dice una extensionista:

“Justamente yo estoy luchando para ver si el INDAP me puede financiar algún tipo de perfeccionamiento, pero como nosotros somos equipo externo, no nos van a pescar ni en bajada, entonces costeármelo yo, si uno tiene que costeárselo todo, el próximo año igual voy hacer mi diplomado y me lo voy a tener que costear yo, siendo que se lo solicite al INDAP por favor ayúdame, porque uno lo hace y es pa’ los viejos, es para los usuarios lo que uno aprende y se lo transfiere a ellos, pero como te digo al ser equipo externo, no tenemos ninguna regalía de ser funcionario INDAP, por lo tanto no podemos optar a ninguna subvención ni apoyo para podernos capacitar ni perfeccionar”. (Extensionista 10, mujer).

En este sentido, los extensionistas se autoforman y no es la institución quien lo exige, sino sus propios intereses por aprender y las preguntas que surgen en la práctica cotidiana con los pequeños agricultores; esta exigencia, surge de la propia implementación del modelo de ER, pues de no estar informados de las nuevas tecnologías no lograrían transferir conocimiento actualizado para mejorar las practicas productivas. Este punto es esencial en la práctica de la extensión, pues un Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

241 error en la sugerencia técnica puede tener un costo significativo en la vida de campesinos que cultivan pequeñas superficies para autoconsumo o aquellos que desarrollan pequeños negocios, haciéndolos empeorar su situación económica debido a la disminución o pérdida de la producción agrícola. En las ciencias de la implementación se ha reconocido que la calidad de la puesta en marcha de un modelo de intervención depende en gran medida de los conductores de competencias, de los conductores administrativos y del liderazgo (Fixsen y Blase, 2008). En el caso analizado, las voces de los extensionistas permiten ver que los dos primeros conductores son soportes de implementación deficiente que son compensados por el último. El propósito de los conductores de competencias es desarrollar confianza y competencias en los ejecutores que aplican un programa para asegurar una alta fidelidad de la implementación. En el PRODESAL, no se asegura el desarrollo y mejoramiento de las competencias necesarias para implementar el programa: la capacitación es escasa, no existen guías o manuales que expliquen claramente el programa3, no cuentan con una supervisión técnica específica que les entregue retroalimentación de sus prácticas, tampoco son evaluados según criterios de desempeño técnico sino de indicadores burocráticos, por lo que no se observan intentos activos de promover o monitorear las competencias profesionales que aseguran la calidad de la implementación. Sin embargo, el extensionista no deja de preocuparse por mejorar sus competencias, constantemente está aprendiendo en espacios informales, a través del “ensayo y error”, de las experiencias que da el campo, de la retroalimentación de los compañeros de trabajo y de los campesinos con los que trabaja. Para los extensionistas:

“uno lo va haciendo y aprendiendo con los errores, va aprendiendo con situaciones, va aprendiendo con visitas, con capacitaciones, con colegas que a lo mejor llevan más tiempo, si quieres, uno con el tiempo se va evaluando y formando internamente para poder ser mejor”. (Extensionista 6, hombre).

En este sentido, un problema que puede ocurrir con este tipo de aprendizaje es que los profesionales pueden aprender contenidos y competencias que no

3• Las orientaciones que obtienen los extensionistas son extraídas de las normas técnicas y procedimientos operativos de PRODESAL y otros documentos como la ley 19.213, reglamento de entrega de incentivos. El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

242 necesariamente se desprenden del modelo de cambio del programa, es posible que virtualmente se estén implementando tantos programas como extensionistas trabajan. Esto es posible dado que, la mayoría de los programas públicos son teóricamente inespecíficos y operativamente restrictivos (Rojas-Andrade, 2016), en el sentido que no se comprenden los fundamentos conceptuales que orientan una prescripción específica como “realizar dos visitas técnicas al año como mínimo”, existiendo vacíos en las respuestas a preguntas tan esenciales como por qué visitar o de qué modo hacer la visita, dichos vacíos son llenados por cada extensionista, a través de las teorías implícitas que cada uno tiene sobre el quehacer del extensionismo y no por la teoría propia del programa. Por su parte, el propósito de los conductores administrativos es crear y sustentar una organización amigable y ambientes sistémicos para la ejecución efectiva de los programas. Desde esta vereda, los extensionistas dan cuenta de la escasez de recursos, de la infraestructura insuficiente y de los canales de comunicación poco coordinados. A su vez, los sistemas parecen no funcionar, los dispositivos de información no informan ni retroalimentan la práctica concreta, sino que sirven de indicadores político-burocráticos, teniendo más importancia cuánta gente se atendió que cuánta gente efectivamente logró mejorar su calidad de vida. Por último, ni INDAP ni la Municipalidad potencian la pertenencia a una institución particular o promueven condiciones de trabajo mejores y más estables, de modo que los contextos institucionales son poco hospitalarios con los extensionistas. Como se mencionó, a pesar de que estos soportes de implementación sean débiles, son compensados por el conductor de liderazgo, que, si bien en los sistemas de implementación fuertes operan como un integrador de los tres conductores, en este caso opera reemplazando las funciones de los demás. Ahora bien, este liderazgo entre los “prodesales” no puede ser entendido desde una perspectiva clásica que destaca la figura de un líder, sino que debe ser comprendida desde una perspectiva distribuida que permite destacar la figura de varios líderes operando en sintonía, pues cada extensionista es líder en su área y al mismo tiempo aprendiz en las demás, así el veterinario sabe de animales, pero no de hortalizas, mientras que el horticultor sabe de hortalizas, pero no de apicultura. Rojas-Andrade (2010) define el liderazgo distribuido como una actividad colectivamente coordinada que opera en las interacciones sociales, a través de las cuales se construye y se fortalece el conocimiento y la cultura de la organización respecto a la consecución de metas y objetivos. A través de este tipo de liderazgo es Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

243 posible compensar la falta de soportes de implementación formales de las instituciones que financian y administran los programas, pues adquiere características que le permiten ser un espacio de aprendizaje de competencias y a la vez un espacio administrativo, por lo tanto, en el centro se encuentran las metas y la gestión de los recursos disponibles para lograrlas en ambientes laborales saludables. Para que el liderazgo distribuido opere adecuadamente, es necesario dividir el trabajo y analizar las capacidades tecnológicas tangibles e intangibles (Gronn, 2002). En el caso, de los “prodesales” el dispositivo tecnológico más utilizado es la aplicación móvil de WhatsApp que permite compartir conocimientos de manera remota y simultánea, siendo su uso fortalecido por el fuerte compromiso con el equipo.

“A veces la conversación WhatsApp es muy importante, una fotito, oye y qué opinan, la tecnología, en el caso yo no soy especialista en flores, pero hay un especialista en flores, pero de repente la viejita te hace preguntas de flor, entonces le sacó una foto y se la mandó la colega, colega que opina y él le manda la respuesta”. (Extensionista 11, hombre).

El tipo de distribución de liderazgo que emerge de estas prácticas se caracteriza porque los ejecutores trabajan por separado, pero de manera interdependiente para desarrollar una rutina de liderazgo que les permita resolver juntos el problema o demanda que realizan los campesinos cotidianamente. Si bien este patrón de distribución no es el de más alta articulación, al parecer, permite sostener adecuadamente la implementación del PRODESAL, corrigiendo la debilidad de los soportes que deberían estar conducidos institucionalmente. Las relaciones positivas entre extensionistas son fundamentales para sostener la implementación del programa, pues en equipos menos conectados y comprometidos con el trabajo colaborativo es posible que éste no se ejecute de manera adecuada. Siendo entonces importante destacar que para que opere la distribución de liderazgo, es necesario un clima de aprendizaje, que aparece como un factor común entre los extensionistas, quienes señalan que cotidianamente se está aprendiendo y enseñando al interior de los equipos de trabajo.

Contexto personal-relacional

El trabajo de ER difusionista opera en la relación entre el profesional y el campesino. Para que funcione, es decir, para que el campesino adopte las sugerencias El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

244 realizadas por el extensionista, la conexión emocional entre ellos debe ser fuerte y cada cual debe tener características individuales específicas que la nutran. Rogers y Shoemaker (1971) llamaron a esta conexión emocional, vínculo, para designar a las relaciones intersubjetivas y homofílicas que se generan cuando dos personas comparten significados culturales y características personales o sociales que generan que la comunicación entre ellos sea más efectiva y produzca efectos mayores en el aprendizaje y en el cambio de actitudes. Para que ocurra el vínculo homófilo, el extensionista debe poseer ciertas características y actitudes que facilitan la implementación de la ER. La más destacada por los extensionistas, es el compromiso con el campesino, que incluso sostiene el no cambiarse de trabajo cuando los pagos se atrasan anualmente. El compromiso es un concepto simple, pero complejo a la vez. Se trata de un constructo asociado a la sensación de obligación que no necesariamente se funda en aspectos contractuales sino en fundamentos emocionales y actitudinales, que, según la investigación sobre implementación, parecen ser clave en todas las etapas (Durlak y DuPre, 2008). En esta investigación, el compromiso aparece asociado a la vocación social que tienen los profesionales y técnicos, pues el ayudar a otro surge como un deber ético que sostiene todas las acciones que ejecutan, involucrándose con los campesinos más allá de la entrega de servicios. Hay que estar comprometido con el campesino para seguir aprendiendo y hacerle sugerencias que efectivamente le ayuden (y no lo dañen), hay que estar comprometido con el campesino para escuchar sus problemas personales, muchas veces ajenos a lo productivo y darle un consejo fraternal, así también hay que estar comprometido con el campesino para acudir al llamado de ayuda fuera de los horarios de trabajo. Este involucramiento y compromiso, otorga características diferenciales del modelo clásico de difusión que desarrollan los extensionistas chilenos, pues no sólo se trata de compartir códigos comunes para aumentar la posibilidad de persuasión, de modo que se aplique una tecnología determinada a un problema productivo, sino que se trata de desarrollar marcos comunes desde donde comprender el problema y resolverlo. Como señala Martínez (2014) involucrarse no sólo consiste en una relación de influencia, sino que implica situarse en un entramado más amplio de relaciones que toma la propia experiencia como motor de la acción, en el que el actor profesional está envuelto en la red que lo constituye de tal modo que resolver el problema del otro es resolver el problema propio. Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

245 Este aspecto que es claro en los extensionistas chilenos, cuando se constata que la mayoría son oriundos de las comunas donde trabajan. Son hijos, sobrinos o nietos de campesinos, tienen una historia de vida agrícola que sostiene el genuino deseo de ayudar a desarrollar su campo; lo que no sólo facilita que posean una fuerte motivación intrínseca, sino también que los campesinos que ayudan les “abran la puerta de su casa”, pues son los roles los que cambian en una trayectoria histórica de relaciones comunitarias, no las personas y sus familias. Así, el extensionista no es foráneo, sino el miembro de la comunidad que salió al mundo en busca de conocimientos y que los trae de regreso para beneficiar a todos. En este escenario, se logra comprender que la adopción de una sugerencia no sólo depende de que el campesino reconozca una técnica como correcta, sino que provenga de alguien que genuinamente quiera ayudar y reconozca al otro como un par, de allí que los extensionistas señalan como barrera de la implementación la desconfianza que algunos campesinos tienen. Algunos campesinos ponen a prueba al extensionista, pues son personas que poseen un saber práctico sobre la tierra. Así, sólo los extensionistas que tienen la suficiente humildad para reconocer la ignorancia o la suficiente “viveza” (perspicacia) para entender la prueba y salir airoso son quienes se ganan la confianza, esto provoca un cambio de actitud. En palabras de una profesional:

“uno se las sabe todas [al salir de la universidad], pero no es tan así, entonces cómo a qué ahora uno es más humilde”. (Extensionista, 6, mujer).

El extensionista debe saber más que el campesino en lo técnico, pero debe ser humilde en reconocer que sabe menos de lo práctico, es en este espacio de saber- ignorancia situado en una experiencia compartida con la tierra donde se desarrolla el extensionismo, por lo que en la práctica también se observan algunos tintes del enfoque dialógico, ya que no sólo se trata de transferir conocimiento a un ente pasivo, sino de aprender del saber del otro y ajustar ese nuevo conocimiento a la realidad que cada cual vive. Así muchos extensionistas aprenden del campesino el cómo y muchos campesinos aprenden del extensionista, el qué y el por qué. En la voz de un extensionista:

“he aprendido mucho como médico veterinario universitario vine con un conocimiento y la realidad te enseña otras cosas, técnicas cómo para curar animales con ajo, por ejemplo, qué es un antiparasitario natural, que no tiene ningún producto químico, por ejemplo, aprendí que el ajo y la cebolla y un montón de otras cosas sirve para controlar parásitos, para el tema del resfrío, he aprendido mucho con ellos”. (Extensionista 1, hombre). El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

246 Sin embargo, este diálogo y aprendizaje mutuo no siempre es posible. Para los extensionistas la edad del campesino es un factor que puede facilitar u obstaculizar su trabajo. Los campesinos que son adultos mayores generalmente tienen menos disponibilidad para adoptar la sugerencia, a diferencia de aquellos más jóvenes. Según un extensionista:

“La edad los usuarios en promedio es como 57 años, pero igual tenemos hartos jóvenes, pero los otros son muy viejitos, los jóvenes son más emprendedores que los viejitos. Sí en general sí, es que aceptan otras cosas nuevas, como los viejitos no, como que se quedan en lo mismo lo mismo así que cuesta hacerle cambiar algo, pero los jóvenes sí”. (Extensionista, 2, mujer).

Esto puede explicarse por la apertura a la experiencia y por la posición jerárquica que pueden tomar en la comunidad, pues los jóvenes tienden a ser más curiosos, están dispuestos a probar nuevas tecnologías y a desarrollar nuevos emprendimientos, mientras que los que están más cerca de la vejez, quieren mantener las cosas como están. Ellos se interesan en obtener del PRODESAL lo que necesitan para seguir haciendo lo que siempre han hecho y no muestran gran interés en obtener nuevos conocimientos que les permitirían mejorar sus sistemas productivos. Además, los campesinos más viejos tienen una posición jerárquica mayor que los “prodesales” jóvenes, por lo que tienden a ser más reacios a tomar sus sugerencias. Con todo lo anterior, en la ER el vínculo con los pequeños agricultores importa. Es este espacio relacional el que facilita la implementación de la ER, pues de no existir, la transferencia de conocimientos y tecnologías no es posible. Esto al menos por los siguientes motivos: a) para que el campesino pueda confiar en la sugerencia técnica, el extensionista debe estar validado por él, pero esta validación no sólo es técnica sino también comunitaria. El extensionista debe pertenecer a la misma comunidad del campesino, poseer valores compartidos, percibir problemas comunes y tener una historia común con el campo, esto implica estar vinculados antes, durante y después de la extensión, el vínculo opera como un facilitador de la implementación ofreciendo un espacio de interpretación común de la realidad; b) el vínculo permite que se establezcan diálogos honestos, transparentes y cordiales, en el que las emociones de uno y otro son consideradas como motor de cambio; los involucrados en la relación pueden manifestar sus emociones positivas y negativas como parte del proceso de construcción de Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

247 saber y adopción de nuevas tecnologías, por lo que el acompañamiento psicosocial que realiza el extensionista es fundamental. Para adoptar una sugerencia esta debe ajustarse y resolver el problema que tienen los campesinos, que no pocas veces supera lo productivo. Así la transferencia de tecnologías en ocasiones es instrumental, pues lo que les importa a los extensionistas, no es sólo transformar a un campesino en empresario, sino y, sobre todo, ayudarlos a vivir mejor o en palabras del modelo del PRODESAL, mejorar su calidad de vida. Sin embargo, la calidad de vida desde las bases técnicas aparece como un resultado del aumento de ingresos, mientras que para los extensionistas aparece como un resultado de la mejora en las relaciones de los campesinos con otros, con su tierra y con ello, la mejora de sus condiciones de vida; c) por último, el vínculo sostiene el manejo de los riesgos éticos de la sugerencia. El vínculo pone en el centro de la extensión la responsabilidad que tiene el extensionista con el pequeño agricultor cuando este decide adoptar una tecnología, pues aplicarla implica una inversión de confianza, de tiempo y sobre todo de recursos que son siempre escasos en la agricultura campesina. Esta responsabilidad obliga a los extensionistas a aprender sobre las mejores formas de ayudar al otro, siendo el vínculo el que sostiene que el campesino ponga en las manos del extensionista sus tesoros más valiosos, su tierra, sus animales, sus frutales o su propia vida. Lo anterior no es menor, si tenemos en consideración el contexto de sobrevivencia en el que viven los campesinos pobres, donde una mala decisión puede hacer que disminuyan sus recursos.

Discusión y Conclusiones

Como se ha mostrado la implementación del PRODESAL se ve obstaculizada por factores institucionales y facilitado por factores relacionales entre el campesino y el extensionista, que modifican las teorías comprensivas que sustentan su modelo; los objetivos distales se ven transformados pues se hace relevante la consolidación de las relaciones con el campo, por sobre el aumento de los ingresos. El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

248 Asimismo, los mecanismos de cambio pasan de estar centrados en las competencias del campesino, al establecimiento de un vínculo con el extensionista. ¿Qué quiere decir esto en términos de análisis de la implementación de políticas públicas para el desarrollo rural? Una respuesta simple es que no se implementa aquello que se debe implementar, debido al poco soporte en la ejecución que tienen los extensionistas por parte de los organismos gubernamentales, lo que, desde una perspectiva de implementación centrada en la teoría, invita a mejorar no sólo el diseño del programa si no también su puesta en marcha. Incorporar en el diseño del programa aquellos factores contextuales que obstaculizan y facilitan la implementación en el mundo real, permite mejorar la capacidad transformadora de los programas, en cuanto retroalimenta el modelo que subyace a la intervención. En el caso estudiado, es evidente que la debilidad de los soportes de competencias y administrativos es una cuestión urgente a resolver, es necesario considerar como parte del diseño actividades dinámicas que permitan mejorar y desarrollar competencias en los ejecutores, pero también es fundamental entregarles estabilidad laboral y desarrollar una línea de mando más clara, lo que implica pensar en nuevas formas de administración de estos programas, inyectar recursos a las municipalidades para que estos desarrollen sus propios programas de ER siguiendo un enfoque de planificación local, obligar a los municipios a contratar profesionales y supervisar de cerca la ejecución del programa (lo que es muy difícil dada la orgánica municipal) o que el organismo gubernamental contrate directamente a los extensionistas entre otras opciones. Buscar opciones administrativas es clave para la adecuada implementación de estas estrategias, si lo que realmente se quiere es lograr los resultados que se estimaron cuando se planificó. Del análisis de las barreras de implementación, surge otro elemento importante para considerar en la planificación y se refiere al poco monitoreo de las prácticas y los procesos. El simple conteo de la cantidad de vistas o actividades de planificación sólo es efectivo como indicador de verificación si es que se sabe qué y cómo se hace una actividad, que además debe contar con la suficiente evidencia de que genera los resultados deseados. En este sentido, gran parte de la evaluación gubernamental se conforma con cantidades de participantes, debido a su importancia para el cumplimiento de metas y el traspaso de fondos, pero no comprueba que se generen los resultados esperados, aquí hay una confianza excesiva en que el hecho de participar en actividades generará cambios en algunas personas, sin embargo, no hay un intento activo de dirigir dichos cambios, responsabilizando a los participantes de los pocos resultados. Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser

249 Considerar en serio la evaluación de la implementación en ER implica hacerse cargo de estos elementos. Sin embargo, una cuestión no menor es que muchas veces este tipo de investigación es una amenaza a quienes están a cargo del diseño y la administración de los programas, se generan resistencias y respuestas de justificación. Pueden responder que se realizan capacitaciones, que los extensionistas reciben mejores sueldos o que se están generando cambios, pero nada de esto se ve incorporado en la práctica cotidiana. Las acciones de implementación tienen que ser activas y orgánicas, introducirse como parte de la ejecución cotidiana de los programas, no como acciones reactivas y aisladas. Por esto, es importante superar la fase de los diagnósticos para incorporar esta información en el diseño y la implementación. Otro aporte de esta investigación es el establecimiento de la importancia del vínculo en la implementación de la ER. Tomando en cuenta los resultados, pareciera fundamental revisar los mecanismos de cambios que sustentan el programa. En esta línea, otras investigaciones han cuestionado el modelo de PRODESAL, dando cuenta de la orientación técnico-individualista de la intervención y de la concepción economicista del desarrollo rural que deja de lado los aspectos sociales y comunitarios que operan en la práctica real de la extensión rural, lo que hace teóricamente imposible desde su modelo la superación de la pobreza (Rojas-Andrade et al., 2019). Así los resultados de esta investigación aportan información respecto a la incapacidad que tiene el programa de ser implementado adecuadamente lo que se suma a evidencia anterior, que cuestionaba si el modelo era el apropiado para favorecer a los pequeños agricultores (Rojas-Andrade et al., 2019), lo que orienta a comprender que la efectividad de la intervención, no está dada por el modelo PRODESAL ni por los soportes de implementación, sino y particularmente por la relación que establecen cada uno de los profesionales con los campesino. Con todo los anterior, es necesario destacar que la información producida en esta investigación parece apoyar la hipótesis de que el extensionista y el campesino forman una díada que opera como medio y como fin, en cuanto sostiene la adopción de las sugerencias y fortalece las relaciones con el campo, haciendo que ambas partes involucradas en la díada se transformen y aprendan. En este sentido, es posible pensar que el modelo de extensionismo chileno en la práctica es una combinación de enfoques, pues si bien se intenta cumplir con la transferencia técnica, esta sólo es posible cuando existe un espacio relacional dialógico para hacerlo, espacio de diálogo que no siempre tiene que ver con lo productivo, aunque sea la excusa para aprender de la vida del otro. El vínculo con los pequeños agricultores como factor clave en la implementación de de programas extensión rural. Estudio cualitativo de un caso chileno

250 Limitaciones y futuras investigaciones

Una de las principales limitaciones de esta investigación es la focalización del caso de estudio en una de las 15 regiones del país, lo que restringe las conclusiones a un contexto geográfico y productivo particular. Futuras investigaciones en el programa deben ampliar las muestras incorporando y diferenciándolas en rubros productivos y características locales. Asimismo, es necesario que se analicen casos diferenciándolos según el grado de éxito o efectividad, lo que permitirá analizar con mayor precisión la influencia de las barreras y facilitadores de la implementación, así como analizar la pertinencia del modelo PRODESAL para lograr los resultados que se propone. Por otro lado, se requiere profundizar en cada uno de los factores aquí descritos indagando su interrelación y posible compensación, especialmente en el caso las barreras administrativas y facilitadores profesionales que parecen interactuar y operar de manera complementaria. Finalmente, si bien en esta investigación se utilizó el concepto de vínculo o conexión emocional para definir la relación entre extensionistas y pequeños agricultores, es necesario avanzar en una conceptualización de esta relación que dé cuenta en profundidad de los procesos sociales y subjetivos que emergen de este proceso de interacción y que parecen sostener la extensión rural.

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254 Ager Revista de Estudios sobre Despoblación y Desarrollo Rural Normas para autores (más información: http://ruralager.org/es/submit-an-article/ )

1. Extensión y estructura El artículo deberá tener una extensión total entre 6.000 y 8.000 palabras (incluidas notas a pie de página, tablas, figuras, resúmenes y referencias). Los artículos que no cumplan con este requisito serán rechazados de forma automática. Los artículos de investigación han de demostrar un claro avance en el conocimiento científico. La estructura de los artículos ha de contener los apartados siguientes. Por un lado, se ha de plantear, conceptualizar y justificar claramente la problemática o temas y el interés de estudiarlos, seguida de la formulación clara de una o varias preguntas de investigación, a modo de hipótesis de trabajo (Apartado 1). A partir de estas y, a la luz de las aportaciones teórico-conceptuales relevantes en la literatura nacional e internacional (Apartado 2), se han de plantear unos objetivos claros y una metodología adecuada para alcanzarlos (Apartado 3). Los resultados se han de exponer de forma clara y concisa (Apartado 4), sin mezclarlos con la discusión (Apartado 5). Esta última sección es especialmente importante, por cuanto en ella, a partir de los resultados obtenidos, se ha de dar respuesta a las preguntas o hipótesis de investigación, e interpretarlos a la luz de la literatura nacional e internacional. En consecuencia, es muy importante que los autores tengan en cuenta que en los artículos de investigación que se presenten a AGER se prima y valora especialmente su carácter interpretativo, frente al puramente descriptivo . Finalmente, deben extraerse una serie de conclusiones, que deben permitir a los autores reflexionar sobre cuáles deberían ser los siguientes pasos a dar en la investigación (Apartado 6). 2. Declaración de autoría e información sobre el artículo y los autores Es obligatorio el envío del documento de “Declaración de autoría” (en PDF, disponible en la web de la revista), junto al texto del artículo. En la primera página se debe incluir: Título del artículo (español e inglés). Conciso, con un máximo de 20 palabras. Se evitarán abreviaciones. El/los nombre/s, dirección/es e institución a las que pertenecen el/los autor/es, y el máximo rango académico alcanzado por cada autor hasta la fecha, señalando, asimismo, la dirección electrónica a la que habrá de remitirse la respuesta del consejo de redacción. Además de estos datos, es muy recomendable adjuntar el código ORCID de cada autor tras su correo electrónico. Agradecimientos y fuentes de financiación (opcional). La sección de agradecimientos reconocerá la labor de instituciones y personas no autoras por la obtención de información, acceso a áreas de estudio, revisión del manuscrito y tareas similares no directamente relacionadas con la investigación. En caso de que el trabajo haya recibido apoyo financiero, este deberá ser mencionado y reconocido mediante la aportación del código de proyecto o ayuda correspondiente. Conflictos de interés (si procede). Se declararán potenciales conflictos de interés de acuerdo a la normativa de la revista relativa a esta cuestión. 3. Sugerencia de posibles evaluadores Los autores podrán sugerir hasta cinco potenciales evaluadores. De ellos, un máximo de dos podrán ser expertos de su mismo país, pero no de su misma institución ni haber mantenido colaboración científica previa. Los tres restantes habrán de ser necesariamente expertos de otros países, e igualmente se ha de cumplir el hecho de no haber mantenido colaboración científica previa. Se incluirá el nombre de cada revisor, la institución a la que pertenece y su correo electrónico. Esta propuesta no implica compromiso alguno por parte de AGER de recurrir a tales potenciales evaluadores. El listado de los posibles evaluadores irá en la página 2 del texto enviado como artículo. 4. Texto Se enviará el texto del artículo en un documento único que incluya tablas y figuras, referencias, resúmenes y pies de figuras en procesador de textos (.doc / .docx / .odt / .rtf). Se diferenciará una primera página relativa al título y autoría, una segunda, que incluirá los datos de los cinco potenciales evaluadores, y el resto del documento (que comenzará de manera independiente en la tercera página). Así, hay que tener en cuenta que: En la página número tres o, en su caso, dos (si no se han sugerido evaluadores potenciales), e inicio realmente del documento principal, aparecerá la siguiente información: El documento principal no deberá contener información alguna que permita la identificación de los autores del trabajo. En el caso de que el autor tenga contribuciones previas sobre el tema que haya citado en el texto y deban posteriormente referenciarse, durante el proceso de evaluación deberán de anonimizarse hasta la eventual superación del proceso de revisión por pares. Por ello, se pondrá únicamente AUTOR-1, AUTOR-2, etc. Los artículos no anonimizados serán rechazados. Asimismo, deberá eliminarse de las propiedades del documento cualquier metadato que pueda permitir la identificación de algún autor/a. El formato general presentará un tamaño de página A4 (3 cm en todos los márgenes), interlineado sencillo, justificación completa y letra Times New Roman, tamaño 12 puntos, excepto el título del artículo (14 puntos) y notas a pie de página, tablas o figuras (10 puntos). Los párrafos irán sin sangrar y la separación entre los mismos será de un espacio. Los encabezamientos han de ser numéricos (ejemplo: 2, 2.1., 2.1.1.). Los editores se encargarán de la numeración de páginas. Se presentará nuevamente el título señalado en la primera página, con las mismas características: conciso, con un máximo de 20 palabras, evitándose abreviaciones. El título se redactará en mayúsculas. El título del trabajo se presentará en español/inglés o inglés/español; una línea que contenga las palabras clave del texto en español/inglés o inglés/español (de 3 a 5) (estas no deben estar incluidas ya en el título del artículo); un resumen del mismo en español/inglés o inglés/español, que deberá tener como máximo 200 palabras (objetivo de investigación, metodología, principales resultados y conclusión). Las tablas y figuras no deberán superar el 20% del número de páginas del documento.4 Todos los apartados se jerarquizarán sin sangrar y siguiendo las siguientes pautas: numeración arábiga mayúsculas y negrita (12 puntos) [ 1. MAYÚSCULAS ]. Los tablas y figuras se insertarán dentro del documento procurando ubicarlos al inicio de página correspondiente. 5. Resumen extendido Para los artículos escritos en español, y que hayan sido aceptados para su publicación a partir de enero de 2020, será obligatorio añadir un “resumen extendido” en inglés (que no sustituye al anterior). Este habrá de responder a la siguiente estructura: 1) Introducción y justificación; 2) Metodología y fuentes; 3) Resultados; 4) Discusión y conclusiones. La extensión máxima será de 1.000 palabras. 6. Notas Las notas al pie de página deben reducirse al máximo, siendo evitadas en la medida de lo posible. De ser necesarias, irán numeradas correlativamente en el cuerpo del texto, en arábicos volados tras la palabra indicada. Si esa palabra va seguida de un signo de puntuación, los números se situarán antes del signo. Su formato será a espacio sencillo, Times New Roman, tamaño 10 y separadas del texto principal por una línea fina. 7. Citas Preferentemente se utilizarán las comillas dobles o inglesas (“…”). Las citaciones breves (hasta 20 palabras) aparecerán dentro del texto, entre comillas dobles (“…”), nunca en cursiva. Cuando sean necesarias distinciones internas en una citación, se usarán las comillas simples (‘…’). Si fuera necesario, se añadirá un espacio entre la comilla simple y la doble (…’ ”). En el texto, se empleará el estilo APA (American Psychological Association), sexta edición (www.apastyle.org). Para las citas en el cuerpo del texto se introduce la cita resumida entre paréntesis con el apellido(s) del autor, seguido por el año de publicación. Cuando además la cita es literal, se incluye el número de página o localización específica de la frase/s en el texto original. A continuación, se detallan brevemente algunos casos, con ejemplos prácticos. 7.1. Cita en el texto de una obra con un solo autor Cuando el apellido(s) del autor forma parte de la narrativa se incluye solamente el año de publicación del artículo entre paréntesis: (…) de acuerdo a Alberdi (2018), dinamizar iniciativas locales de promoción agroecológica… Cuando el apellido(s) y fecha de publicación no forman parte de la narrativa del texto, se incluyen entre paréntesis ambos elementos, separados por una coma: (…) en un estudio sobre la agricultura ecológica y de proximidad… (Alberdi, 2018) Cuando la fecha y el apellido(s) forman parte de la oración no llevan paréntesis: (…) en el año 2018, Alberdi estudió las iniciativas locales de promoción agroecológica… Cuando se haga referencia a más de una obra del mismo autor y año, se emplearán las letras minúsculas tras la fecha para distinguirlas: (Alberdi, 2011a); (Alberdi, 2011b). 7.2. Cita en el texto de una obra con más de un autor Cita en el texto de una obra con dos autores: siempre se citan a ambos autores cada vez que la referencia ocurre en el texto unidos por “y” o “&”: (…) en un trabajo reciente sobre el despoblamiento en Galicia (Pazo y Moragon, 2018), proponen… Pazo y Moragon (2018) hablan de envejecimiento y despoblamiento como hechos generalizados… En 2018, Pazo y Moragon señalan la despoblación como uno de los problemas socioeconómicos más importantes para Galicia… Cita en el texto de una obra con tres a cinco autores: se citan todos los autores la primera vez que ocurre la referencia en el texto. En las citas subsiguientes se escribe el apellido(s) del primer autor seguido de “ et al. ” y el año de publicación. Primera cita: Aldrey Vázquez, Lois González y Sanromán (2008) demuestran como el tema de la despoblación en Galicia… Siguiente cita: Aldrey Vázquez et al. (2008) inciden en las variables demográficas… Cita en el texto de una obra con seis o más autores: se cita el apellido(s) del primer autor seguido de “ et al. ” y el año de publicación desde la primera vez que aparece en el texto: (Aguilar et al., 2014) . En el caso que se citen dos o más obras por diferentes autores en una misma referencia, se escribe el apellido (preferentemente, o, en su caso, dos apellidos) y respectivos años de publicación separados por un punto y coma dentro de un mismo paréntesis, por orden en que aparecerán en el apartado “referencias”: (…) en varias investigaciones (Bock & Shucksmith, 2012a, 2012b; Camarero, 2015) concluyeron que… Estas citas deben seguir siempre el orden de antigüedad, primero las más antiguas. 7.3. Citas textuales 7.3.1.Cita textual corta Si contiene menos de 40 palabras se incorpora al texto entre comillas, sin cursiva y al final de la cita se incluye el apellido(s) del autor, año y la página/s entre paréntesis donde está localizada la cita. Si se cita el autor y año en la oración que introduce la cita, al final de la cita solo se incluye el número o intervalo de páginas entre paréntesis: (…) “en Castilla la Vieja o Aragón son ya muchos los pueblos de varios cientos de habitantes que están vacíos de todo” (Beiras, 1969, p. 179). Según Beiras (1969) “En Castilla la Vieja o Aragón son ya muchos los pueblos de varios cientos de habitantes que están vacíos de todo” (p. 179) . 7.3.2. Cita textual larga Si ocupa más de 40 palabras se coloca en párrafo independiente, sangrado por la izquierda, sin comillas, sin cursiva, y sin sangría de primera línea y después del punto y final se cita el autor, año y número de página entre paréntesis. Al igual que en las citas textuales cortas, si se cita el autor y año en la oración que introduce la cita, al final de la cita solo se incluye el número de la página entre paréntesis. Cuando citamos un trabajo elaborado por un organismo o entidad la primera vez que se cita se debe incluir el nombre completo. En las siguientes citas podemos incluir el nombre abreviado. Ejemplo 1ª cita: (Federación Española de Municipios y Provincias [FEMP], 2016) . Ejemplo subsiguientes citas: (FEMP, 2016). No se puede omitir una parte del texto citado sin señalarse; debe indicarse siempre con puntos suspensivos entre paréntesis (…). Y cualquier comentario que se inserte ha de aparecer entre corchetes [ ]: (…) “Sin embargo, el capital social de cohesión tiene su mejor campo de cultivo en grupos en los que sus miembros comparte características y puntos de vista comunes (…) lo que les hace extremadamente vulnerables hacia el exterior [según este autor] cuando sus puntos de vista pueden no ser compartidos” (Buciega, 2013, p. 137). 8. Tablas Deben insertarse en el lugar correspondiente en el documento en formato Word, con numeración arábiga y correlativa, y con un título breve en la parte superior con letra Times New Roman, 12 puntos normal. Se acompañarán de la fuente correspondiente al pie de las mismas (Times New Roman, 10 puntos normal). Para los datos del cuadro se utilizará tipo de letra Times New Roman 10 puntos. Se indicará la fuente con tipo de letra Times New Roman 10 puntos, normal. Las tablas nunca se insertarán como imagen, pues dejarían de contar las palabras que en ella se incluyan, lo que evitaría el ajuste real del original a las presentes normas de edición. Si al revisar el documento final se constata que se han insertado tablas como imágenes, se requerirá al autor/es que haga los cambios oportunos para ajustarse a las presentes normas, con la correspondiente reducción del texto escrito que fuera necesario. 9. Figuras (fotografías, gráficos, diagramas, mapas, imágenes, cuadros, esquemas, etc.) Deben insertarse en el lugar correspondiente dentro del documento y se tienen que ajustar al tamaño de la página. Llevarán numeración arábiga y correlativa (Figura 1, Figura 2, etc.) indistinta para fotos, gráficos, diagramas, mapas, etc. Tendrán un breve título letra Times New Roman, 12 puntos normal y se indicarán sus fuentes con tipo de letra Times New Roman 10 puntos normal. Debe tener en cuenta el tamaño en el que van insertas las figuras, de modo que la legibilidad no quede comprometida. Debe tenerse en cuenta que los textos que pueda incluir la figura (leyenda, por ejemplo) debe ser legibles también, siendo como mínimo de un tamaño en la reproducción final equivalente a Times New Roman 10 puntos. Los mapas deberán estar provistos (como es norma general) de norte, escala y leyenda. El título NO aparecerá dentro en la figura, sino sobre esta. Las figuras deberán ser insertas dentro del manuscrito con una resolución mínima de 300 DPI para su posterior publicación. Podrán ser en blanco y negro o en color. Si al revisar el documento final se constata que la resolución es insuficiente, se requerirá al autor/es que la vuelvan a enviar con mayor calidad, postergándose así la publicación definitiva. 10. Referencias Al igual que en las citas, se usará el estilo APA, sexta edición (www.apastyle.org). Aquí encontrará unas recomendaciones. El apartado se titulará “Referencias”, aparecerá al final del artículo y contendrá únicamente las fuentes que sustentan la investigación y que se han usado para la preparación del trabajo. Es por ello que cada entrada en la lista de referencias debe estar citada en el texto. Las referencias deben aparecer por orden alfabético del apellido del autor (o primer autor) y en minúsculas. Las obras de un mismo autor se ordenan cronológicamente apareciendo primero las más antiguas. Primero aparecerán las referencias del autor en solitario y en segundo lugar las obras con otros autores. Cuando aparezcan varias obras del mismo autor se repite el nombre para cada entrada. Si los documentos tienen DOI hay que incluirlo obligatoriamente como parte de la referencia. Este se puede localizar en http://www.crossref.org/guestquery/. Se incluirá el DOI completo, siguiendo el formato recomendado por APA, como en este ejemplo: https://doi.org/XX.XXXX/XXXXXXXXXX Es decir, siempre con “https://doi.org” y con hipervínculo activo. No se admitirán otros formatos. Igualmente se incluirán, en la medida de lo posible, las URL de las referencias de documentos disponibles en internet, siempre señalando la fecha de consulta. Pueden incluirse hasta siete autores, separados por comas e incluyendo “&” o “y” si es español, antes del último autor. Si la referencia tiene 8 o más autores, se incluyen los 6 primeros autores, a continuación, se insertan tres puntos suspensivos (…) y se añade el nombre del último autor: Ejemplo hasta 7 autores : Bock, B., Kovacs, K., y Shucksmith, M. (2015). Changing social characteristics, patterns of inequality and exclusion. En A. K. Copus, y P. de Lima, P. (Eds.) Territorial cohesion in rural Europe (pp. 193-211). Abingdon: Routledge. Ejemplo 8 o más autores : Aguilar, M., Alfama, E., Arriba, A., Carrasco, C., Casado, D., Casas, F., … Montserrat, J. (2014). Estado de bienestar en España: transformaciones y tendencias de cambio en el marco de la Unión Europea. En Fundación FOESSA (Ed.). VII Informe sobre exclusión y desarrollo social en España 2014 (pp. 300-393). Madrid: Fundación FOESSA y Cáritas Española Editores. Los títulos de revistas o libros se ponen en cursiva; en el caso de revistas, la cursiva comprende desde el título de la revista hasta el número del volumen. Si el autor es una entidad, institución o grupo figurará el nombre completo del mismo en el lugar que ocuparía el apellido(s) e inicial del nombre(s) del autor en la referencia: Ministerio de Educación, Política Social y Deporte (2009). Los planes de inclusión social en las Comunidades Autónomas y en las Corporaciones Locales. Madrid: Secretaría General Técnica. Centro de Publicaciones. Ministerio de Educación, Política Social y Deporte. Las referencias respetarán la siguiente estructura: Libro impreso : García Sanz, B. (1997). La sociedad rural ante el siglo XXI. Madrid: Ministerio de Agricultura, Pesca y Alimentación, Secretaria General Técnica. Libro versión electrónica sin DOI : Gómez-Limón, J. A., y Reig, E. (2013). La sostenibilidad de la agricultura española. El Ejido (Almería): Cajamar Caja Rural. Recuperado de http://www.publicacionescajamar. es/pdf/series-tematicas/sostenibilidad/la-sostenibilidad-de-la-agricultura.pdf Libro versión electrónica con DOI : Westaway, J., Connolly, J., Collarbone, P., & Scrivener C. (1990). Urban-Rural links. Butterworth-Heinemann: Elsevier. https://doi.org/10.1016/C2013-0-04421-0. Libro con compilador, editor, director o coordinador(es) impreso : Paniagua, A., Bryant, R., y Kizos, T. (Eds.). (2012). The political ecology of depopulation: inequality, lanscape and people. Zaragoza: Centro de Estudios sobre la Despoblación y Desarrollo de Áreas Rurales (CEDDAR) . Capítulo de libro impreso : Milbourne, P. (2010). Scaling and spacing welfare reform: making sense of welfare in rural places. En P. Milbourne (Ed.), Welfare reform in rural places. Comparative perspectives (pp. 1-17). Bingley: Emerald . Artículo de una revista impresa : Mathieu, N. (1997). Les enjeux de l’approche géographique de l’exclusion sociale. Économie rurale, (242), 21-27 . Artículo de una revista digital con DOI (sin volumen) : Lozano-Cabedo, C. (2012). El fomento de la integración laboral femenina en el medio rural. Evaluación del impacto de los talleres de empleo en la Sierra de Segura (Jaén). AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), (12), 117-147. 10.4422/ager.2011.04 Artículo de una revista digital con DOI (con volumen) : Camarero, L., y Sampedro, R (2019). Despoblación y ruralidad transnacional. Crisis y arraigo rural en Castilla y León. Economía agraria y recursos naturales, 19(1), 59-82. https://doi.org/10.7201/earn.2019.01.04 Artículo de una revista digital sin DOI : Domingo, E. (2012). Requena y el proceso de formación de la frontera entre los Reinos de Valencia y Castilla. Revista Oleana: Cuadernos de Cultura Comarcal, (27), 5-34. Recuperado de http://contenidos.requena.es/archivo/oleanas/Oleana27-2012/27_3REQUENAPROCESODE FORMACIONDELAFRONTERAVALENCIACASTILLA_EDomingo.pdf Artículo de periódico en línea : Aznar, Y. (19 de agosto de 2010). Pueblo rico busca vecinos. ABC. Recuperado dehttps://www.abc.es/20100819/sociedad/pueblo-rico-busca-vecinos-20100819.html Tesis : García Palacios, E. (2018). Gobernanza y dinámicas locales en los programas de desarrollo territorial e implementación del programa PESA en dos municipios del Estado de México (Tesis doctoral). Universidad de Córdoba. Córdoba . En el caso de obras en proceso de publicación, indicar al final de la referencia el estado “en prensa” o “en progreso”, según corresponda. 11. Tarifas Los artículos recibidos a partir del día 1 de septiembre de 2019, que sean finalmente aceptados para su publicación, y que reflejen contar con financiación pública o privada para su elaboración, o derivarse de un proyecto de investigación financiado, tendrán una tarifa de 125,00 €. El envío de un artículo implicará la aceptación de la correspondiente tarifa, que habrá de hacerse efectiva con antelación a su pre-publicación online (o “preprint”), paso este previo a la publicación definitiva del texto en papel. El Comité Editorial estudiará posibles excepciones. Ager Journal of Depopulation and Rural Development Studies Authors’ guide (more information: http://ruralager.org/submit-an-article/)

1. Length and structure The total length of the article should be between 6.000 and 8.000 words (including footnotes, tables, figures, abstracts and references). Research papers should demonstrate a clear advance in scientific knowledge. They must clearly state and justify the problem or issues and the interest in studying them, followed by the clear formulation of one or more research questions, as working hypotheses (Section 1). On the basis of these hypotheses, and in the light of what is stated in national and international literature (Section 2), clear objectives and a suitable methodology must be established to achieve them (Section 3). The results should be presented in a clear and concise way (Section 4), without mixing them with the discussion (Section 5). This last section is especially important, since from the obtained result the research questions or hypotheses must be answered and interpreted in the light of national and international literature. Consequently, it is very important for authors to bear in mind that in the research papers submitted to AGER, priority and special value is given to its interpretative rather than purely descriptive character . Finally, a series of conclusions should be drawn, which should allow authors to reflect what next steps would be taken in the research (Section 6). 2. Declaration of authority and information on the article and the authors It is mandatory to send the “Authorship declaration” (in PDF, also available on the website of the journal), along with the text of the article. First page must include: Title of the article (spanish and english). Concise, with a maximum of 20 words. Abbreviations should be avoided. The name(s), address(es) and institution(s) to which the author(s) belong, and the highest academic rank attained by each author to date, indicating also the e-mail address to which the editorial board’s reply must be sent. In addition to these data, it is highly recommended to attach the ORCID code of each author after their e-mail. Acknowledgements and sources of funding (optional). The Acknowledgements section will recognize the work of institutions and non-authors for obtaining information, access to areas of study, review of the manuscript and similar tasks not directly related to the research. In case the work has received financial support, this should be mentioned and recognized through the contribution of the project code or corresponding help. Conflicts of interest (if applicable). Potential conflicts of interest will be declared according to the regulations of the journal regarding this issue. 3. Suggestion of potential reviewers Authors may suggest up to five potential reviewers. Of these, a maximum of two may be experts from the same country, but not from the same institution or previous scientific collaboration. The remaining three must necessarily be experts from other countries, and the fact of not having had previous scientific collaboration must also be observed. The name of each reviewer, the institution to which they belong and their e-mail address will be included. This proposal does not imply any commitment on the part of AGER to use such potential reviewers. The list of potential evaluators will appear on page 2. 4. Text The text of the article will be sent in a single document that includes tables and figures, references, abstracts and footnotes of figures in word processor (.doc / .docx / .odt / .rtf). You will differentiate a first page relating to the title and authorship, a second, which will include the data of the five potential reviewers, and the rest of the document (which will begin independently on the third page). So, you have to take into account that: On page number three or, just in case, number two (if authors have not suggested potential reviewers), and actually the beginning of the main document, the following information will appear: The main document should not contain any information that would allow the identification of the authors of the work. In the event that the author has previous contributions on the subject cited in the text and must be subsequently referenced, during the evaluation process they should be anonymized until the peer review process eventually passes. Therefore, only AUTHOR-1, AUTHOR-2, etc., will be placed. Non-anonymized articles will be rejected. Likewise, any metadata that may allow the identification of an author should be removed from the properties of the document. The general format will have an A4 page size (3 cm in all margins), simple spacing, full justification and Times New Roman font, 12 points size, except for the title of the article (14 points) and footnotes, tables or figures (10 points). Paragraphs will not bleed and the separation between them shall be one space. Headings must be numerical (example: 2, 2.1., 2.1.1.). The editors are responsible for page numbering. The title indicated on the first page will be presented again, with the same characteristics: concise, with a maximum of 20 words, avoiding abbreviations. The title should be written in capital letters. The title of the work will be presented in Spanish/English or English/Spanish; a line containing the key words of the text in Spanish/English or English/Spanish (from 3 to 5) (these should not appear in the title of the text); an abstract of the same in Spanish/English or English/Spanish, which should have a maximum of 200 words (research objective, methodology, main results and conclusion). Tables and figures should not exceed 20% of the number of pages of the document. All epigraphs shall be ranked without bleeding and in accordance with the following guidelines: Arabic numerals in capital letters and bold (12 points) [ 1. CAPITAL LETTERS ] Tables and figures should be inserted into the document and placed at the top of the corresponding page.4 5. Footnotes Footnotes should be reduced as much as possible and avoided as much as possible. If necessary, they should be numbered consecutively in the body of the text, in Arabic numerals flown after the word indicated. If that word is followed by a punctuation mark, the numbers will be placed before the sign. Its format will be single-spaced, Times New Roman, size 10 and separated from the main text by a thin line. 6. Citations Preferably double or English quotation marks (“…”) should be used. Short quotations (up to 20 words) will appear within the text, between double quotes (“…”), never in italics. Where internal distinctions are necessary in a citation, single quotation marks (‘…’) shall be used. If necessary, a space should be added between the single and double quotes (‘…’ ”). In the text, the style APA (American Psychological Association), sixth edition (http://www.apastyle.org/) will be used. For citations in the body of the text, enter the summary quotation in parentheses with the author’s surname(s), followed by the year of publication. When the citation is also literal, the page number or specific location of the phrase(s) is included in the original text. Some cases are briefly detailed below, with practical examples. 6.1. Citation in the text of a publication with only one author When the author’s surname(s) forms part of the narrative, only the year of publication of the article in brackets is included: (…) according to Alberdi (2018), to dynamize local initiatives of agro-ecological promotion… When the surname(s) and date of publication are not part of the narrative of the text, both elements, separated by a comma, are included in parentheses: (…) in a study on organic farming and proximity… (Alberdi, 2018) When the date and the surname(s) are part of the prayer they do not have parentheses: (…) in the year 2018, Alberdi studied the local initiatives of agro-ecological promotion… Where reference is made to more than one work by the same author and year, the lower case letters after the date shall be used to distinguish them: (Alberdi, 2011a); (Alberdi, 2011b) . 6.2. Citation in the text of a publication with more than one author Citation in the text of a publication with two authors: both authors are always cited each time the reference occurs in the text joined by “and” or “&”: (…) in a recent work on depopulation in Galicia (Pazo and Moragon, 2018), it proposes… Pazo and Moragon (2018) speak of ageing and depopulation as generalised events… In 2018, Pazo and Moragon point to depopulation as one of the most important socio-economic problems for Galicia… Citation in the text of a publication with three to five authors: all authors are cited the first time the reference occurs in the text. In subsequent citations, the surname(s) of the first author, followed by “ et al. ” and the year of publication. First citation : Aldrey Vázquez, Lois González and Sanromán (2008) demonstrate how the subject of depopulation in Galicia… Next citation : Aldrey Vázquez et al. (2008) focus on demographic variables… Citation in the text of a publication with six or more authors: the surname(s) of the first author is cited followed by “ et al. ” and the year of publication from the first time it appears in the text: (Aguilar et al., 2014) . If two or more publications are cited by different authors in the same reference, the surnames and respective years of publication are written separated by a semicolon within the same parenthesis, in the order in which they appear in the “references” section: (…) in several researches (Bock and Shucksmith, 2012a, 2012b; Camarero, 2015) concluded that… In those cases, citations must follow the order of antiquity. 6.3. Textual quotations 6.3.1. Short textual citation If it contains less than 40 words, it is incorporated into the text in quotation marks, without italics, and at the end of the quotation the author’s surname(s), year and the page(s) in parentheses where the quotation is located are included. If the author and year are quoted in the sentence that introduces the quotation, at the end of the quotation only the number or interval of pages in parentheses is included: (…) “En Castilla la Vieja o Aragón son ya muchos los pueblos de varios cientos de habitantes que están vacíos de todo” (Beiras, 1969, p. 179). According to Beiras (1969) “En Castilla la Vieja o Aragón son ya muchos los pueblos de varios cientos de habitantes que están vacíos de todo” (p. 179). 6.3.2. Long textual citation If it occupies more than 40 words, it is placed in a separate paragraph, indented on the left, without quotation marks, without italics, and without first line indentation, and after the period and end, the author, year, and page number are cited in parentheses. As with short textual quotations, if the author and year are cited in the sentence that introduces the quotation, at the end of the quotation only the page number is included in parentheses. When citing a paper prepared by an agency or entity the first time it is cited, the full name must be included. In the following quotes we can include the abbreviated name. Example 1st citation: (Federación Española de Municipios y Provincias [FEMP], 2016) . Example of subsequent citations: (FEMP, 2016). A part of the quoted text cannot be omitted without being indicated; it must always be indicated with suspension points in parentheses (…). And any comments inserted must appear in square brackets [ ]: (…) “Sin embargo, el capital social de cohesión tiene su mejor campo de cultivo en grupos en los que sus miembros comparte características y puntos de vista comunes (…) lo que les hace extremadamente vulnerables hacia el exterior [according to this author] cuando sus puntos de vista pueden no ser compartidos” (Buciega, 2013, p. 137) . 7. Tables They must be inserted in the corresponding place in the document in Word format, with Arabic and correlative numeration, and with a short title in the upper part with Times New Roman letter, 12 normal points. They should be accompanied by the corresponding font at the foot of the same (Times New Roman, 10 normal points). Times New Roman font 10 points shall be used for the data in the table. The font shall be indicated by Times New Roman 10 points, normal. The tables will never be inserted as an image, since they would stop counting the words included in it, which would avoid the real adjustment of the original to the present rules of edition. If, when reviewing the final document, it is found that tables have been inserted as images, the author(s) will be required to make the appropriate changes to comply with these rules, with the corresponding reduction of the written text that may be necessary. 8. Figures (photographs, graphs, diagramas, maps images, charts diagramas, etc.) They must be inserted in the corresponding place within the document and must be adjusted to the size of the page. They will be Arabic and correlative (Figure 1, Figure 2, etc.) indistinct for photos, graphs, diagrams, maps, etc. They will have a brief title Times New Roman font, 12 normal points and their fonts will be indicated with Times New Roman font 10 normal points. You must take into account the size in which the figures are inserted, so that legibility is not compromised. It should be noted that the texts that may include the figure (legend, for example) must also be legible, being at least one size in the final reproduction equivalent to Times New Roman 10 points. The maps must be provided (as a general rule) with north, scale and legend. The title will NOT appear inside the figure, but above it. Figures must be inserted into the manuscript with a minimum resolution of 300 DPI for later publication. They can be in black and white or colour. If, when reviewing the final document, it is found that the resolution is insufficient, the author(s) will be required to resend it with higher quality, thus postponing the final publication. 9. References As with citations, APA style, sixth edition (http://www.apastyle.org/) will be used. Here are some recommendations. The section will be titled “References”, will appear at the end of the article and will contain only the sources that support the research and that have been used for the preparation of the work. That is why each entry in the list of references must be cited in the text. References must appear in alphabetical order of the author’s (or first author’s) surname and in lower case. The publications of the same author are ordered chronologically, with the oldest one appearing first. First the references of the author will appear in solitary and in second place the publication with other authors. When several publications by the same author appear, the name is repeated for each entry.7 If the documents have DOI, it must be included as part of the reference. This can be found at http://www.crossref.org/guestquery/. The complete DOI will be included, following the format recommended by APA, as in this example: https://doi.org/XX.XXXX/XXXXXXXXXX Always with “https://doi.org” and with an active hyperlink. Other formats will not be accepted. It should be also included, as far as possible, the URLs of document references available on the Internet, always indicating the date of consultation. Up to seven authors may be included, separated by commas and including “&” or “y” (Spanish), before the last author. If the reference has 8 or more authors, the first 6 authors are included, then three suspension points are inserted (…) and the name of the last author is added: Example up to 7 authors : Bock, B., Kovacs, K., and Shucksmith, M. (2015). Changing social characteristics, patterns of inequality and exclusion. In A. K. Copus, and P. de Lima, P. (Eds.) Territorial cohesion in rural Europe (pp. 193-211). Abingdon: Routledge. Example 8 or more authors : Aguilar, M., Alfama, E., Arriba, A., Carrasco, C., Casado, D., Casas, F., … Montserrat, J. (2014). Estado de bienestar en España: transformaciones y tendencias de cambio en el marco de la Unión Europea. In Fundación FOESSA (Ed.). VII Informe sobre exclusión y desarrollo social en España 2014 (pp. 300-393). Madrid: Fundación FOESSA and Cáritas Española Editores. Titles of journals or books are placed in italics; in the case of journals, the italics range from the title of the journal to the number of the volume. If the author is an entity, institution or group, the full name of the author will appear in the place where the surname(s) and initial of the author’s name(s) would occupy the reference: Ministerio de Educación, Política Social y Deporte (2009). Los planes de inclusión social en las Comunidades Autónomas y en las Corporaciones Locales. Madrid: Secretaría General Técnica. Centro de Publicaciones. Ministerio de Educación, Política Social y Deporte. References shall respect the following structure: Printed book : García Sanz, B. (1997). La sociedad rural ante el siglo XXI. Madrid: Ministerio de Agricultura, Pesca y Alimentación, Secretaria General Técnica . Book electronic version without DOI : Gómez-Limón, J. A., & Reig, E. (2013). La sostenibilidad de la agricultura española. El Ejido (Almería): Cajamar Caja Rural. Recovered from http://www.publicacionescajamar. es/pdf/series-tematicas/sostenibilidad/la-sostenibilidad-de-la-agricultura.pdf Electronic version book with DOI : Westaway, J., Connolly, J., Collarbone, P., and Scrivener C. (1990). Urban-Rural links. Butterworth-Heinemann: Elsevier. https://doi.org/10.1016/C2013-0-04421-0 . Book with printed compiler, editor, director or coordinator(s) : Paniagua, A., Bryant, R., & Kizos, T. (Eds.). (2012). The political ecology of depopulation: inequality, lanscape and people. Zaragoza: Centro de Estudios sobre la Despoblación y Desarrollo de Áreas Rurales (CEDDAR). Printed book chapter : Milbourne, P. (2010). Scaling and spacing welfare reform: making sense of welfare in rural places. In P. Milbourne (Ed.), Welfare reform in rural places. Comparative perspectives (pp. 1-17). Bingley: Emerald. Printed journal article : Mathieu, N. (1997). Les enjeux de l’approche géographique de l’exclusion sociale. Économie rurale, (242), 21-27. Article from a digital magazine with DOI (without volume) : Lozano-Cabedo, C. (2012). El fomento de la integración laboral femenina en el medio rural. Evaluación del impacto de los talleres de empleo en la Sierra de Segura (Jaén). AGER: Revista de Estudios sobre Despoblación y Desarrollo Rural (Journal of Depopulation and Rural Development Studies), (12), 117-147. 10.4422/ager.2011.04 Article from a digital magazine with DOI (with volume) : Camarero, L., y Sampedro, R (2019). Despoblación y ruralidad transnacional. Crisis y arraigo rural en Castilla y León. Economía agraria y recursos naturales, 19(1), 59-82. https://doi.org/10.7201/earn.2019.01.04 Article from a digital magazine without DOI : Domingo, E. (2012). Requena y el proceso de formación de la frontera entre los Reinos de Valencia y Castilla. Revista Oleana: Cuadernos de Cultura Comarcal, (27), 5-34. Recovered from http://contenidos.requena.es/archivo/oleanas/Oleana27-2012/ 27_3REQUENAPROCESODEFORMACIONDELAFRONTERAVALENCIACASTILLA_EDomingo.pdf Online newspaper article : Aznar, Y. (19th August 2010). Pueblo rico busca vecinos. ABC. Recovered from https://www.abc.es/20100819/sociedad/pueblo-rico-busca-vecinos-20100819.html Thesis : García Palacios, E. (2018). Gobernanza y dinámicas locales en los programas en los programas de desarrollo territorial e implementación del programa PESA en dos municipios del Estado de México (Tesis doctoral). Universidad de Córdoba. Córdoba, Spain. In the case of publications in the process of publication, indicate at the end of the reference the state “in press” or “in progress”, as appropriate. 10. Fee Papers received from September 1st (2019), which are finally accepted for publication, and which reflect public or private funding for their preparation, or derive from a funded research project, will be charged a fee of 125,00 €. The sending of a paper will imply the acceptance of the fee, which must be paid prior to its online pre-publication (or “preprint”), this step prior to the final publication of the text on paper. Its management will be carried out exclusively by the administrative staff. The Editorial Committee would decide on possible exceptions.

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Monographic Section: 7 Diverse Geographies of Rural Ageing Guest Editors: Andrew S. Maclaren, Lorna J. Philip and Mags Currie) Editorial Introduction: 9 Diverse Geographies of Rural Ageing Andrew S. Maclaren, Lorna J. Philip and Mags Currie The Role of Housing and Services in Supporting Healthy 17 Ageing-in-Place: Northern British Columbia, Canada Marleen Morris and Greg Halseth Older people’s experiences of informal care 49 in rural Flanders, Belgium Emma Volckaert, Pascal De Decker and Elise Schillebeeckx Addressing neglected contexts of ageing: 75 The situation in remote northern Australia Heather Gibb Reframing rural governance: 103 gerontocractic expressions of socio-ecological resilience Mary Gearey and Paul Gilchrist The dynamics of rural gentrification 129 and the effects of ageing on gentrified rural places Darren P. Smith, Martin Phillips, Hannah Brooking, Mara Duer and Chloe Kinton Artículos: 159 Rúbrica analítica para el diagnóstico integral 161 del nivel de desarrollo de una comunidad rural Guillermo Salas-Razo y Luis Gibran Juárez-Hernández Employment Diversification in Rural India: 189 Nature, Pattern and Determinants Amandeep Kaur, Akarsh Arora and S.P. Singh El vínculo con los pequeños agricultores como factor clave 227 en la implementación de programas de extensión rural. Estudio cualitativo de un caso chileno Rodrigo Rojas-Andrade, Karina Keller y Gabriel Prosser octubre 2019

o n .27/octubre 2019 CENTRO DE ESTUDIOS SOBRE LA DESPOBLACIÓN Y DESARROLLO DE ÁREAS RURALES