Health and community services for trafficked women: An exploratory study of policy and practice,

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The AUSTRALIAN JOURNAL OF SOCIAL ISSUES is published by the Australian Council of Social Service in collaboration with the Australian Social Policy Association to provide an inter-disciplinary forum for debate on significant and controversial social policy issues. It deals with questions of social justice as most broadly defined. Articles discuss particular social issues, review conceptual problems, present empirical studies and debate policy alternatives. The journal is editorially independent of the Council and the universities to which editors and contributors are affiliated.

Life after work: older Australians’ experiences of early exit from the

workforce

Mackenzie, Keuskamp, Ziersch and Baum

Yarning about gambling in Indigenous communities: an Aboriginal and

Islander Mental Health Initiative

Nagel, Hinton, Thompson and Spencer

Health and community services for trafficked women: an exploratory study

of policy and practice

Schofield, Hepworth, Jones and Schofield

Positive and negative impacts of job loss on family life: the perceptions of

Australian car workers

Jolley, Newman, Ziersch and Baum

A new form of energy poverty is the hallmark of liberalised electricity sectors

Chester and Morris

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1 Information about authors 343-345

Life after work: older Australians’ experiences of early exit from the workforce

Catherine Mackenzie, Dominic Keuskamp, Anna Ziersch and Fran Baum

347-369

Yarning about gambling in Indigenous communities: an Aboriginal and Islander Mental Health Initiative

Tricia Nagel, Rachael Hinton, Valerie Thompson and Neil Spencer

371-389

Health and community services for trafficked women: an exploratory study of policy and practice

Toni Schofield, Julie Hepworth, Mairwen Jones and Eugene Schofield

391-410

Positive and negative impacts of job loss on family life: the perceptions of Australian car workers

Gwyn Jolley, Lareen Newman, Anna Ziersch and Fran Baum

411-433


Lynne Chester and Alan Morris

435-459

Notes for contributors 461-465

343

Information about authors

Fran Baum is Director of the Southgate Institute for Health Society and Equity and the South Australian Community Health Research Unit at Flinders University. She served as a Commissioner on the World Health Organisation Commission on the Social Determinants of Health (2005-08) and in 2008 was awarded an Australian Research Council Federation Fellowship to lead a program of research to improve theory and policies addressing social determinants of heath inequities and social exclusion. Fran is a lead investigator on the Australian National Health and Medical Research Council funded project exploring ‘Changing patterns of work: impacts on physical and mental health and mediating role of resiliency and social capital’.

Lynne Chester researches and teaches in the Department of Political Economy at the University of Sydney. Her research focuses on the environment, energy affordability, electricity generation capacity, electricity and carbon derivatives, and the regulation of energy markets.

Julie Hepworth is Associate Professor at the University of Queensland, Honorary Associate Professor at the University of Sydney and a health psychologist. Her research includes gender and health, primary health care, chronic disease, young people’s health, especially weight management and alcohol use, and qualitative methodology.

Rachael Hinton is an Honorary Fellow of Menzies School of Health Research. From 2011 to 2012 she was a Senior Research Officer with the Australian Integrated Mental health initiative (AIMhi) program at Menzies School of Health Research.

Gwyn Jolley is a Senior Research Officer at the SA Community Health Research Unit and Southgate Institute for Health Society and Equity. Gwyn has undertaken numerous evaluations of health promotion initiatives and is co-Chief Investigator on a project using innovative approaches to evaluate comprehensive primary health care in local communities.

344 Australian Journal of Social Issues Vol.46 No.4, 2011

Information about authors

Lareen Ann Newman is a Senior Research Fellow at the Southgate Institute for Health Society and Equity. Lareen researches social health issues, taking a critical public health perspective. She led a publication on the views of Mitsubishi workers’ children about the impact of parental redundancy, and is co-Chief-Investigator on a project investigating the family’s role in older Greek migrants’ access to services.

Mairwen Jones is a Senior Lecturer in the Discipline of Behavioural and Social Sciences in Health at the University of Sydney. She is also a psychologist and Head of The University of Sydney Anxiety Disorders Clinic. Her primary research interest involves the nature, origin and management of anxiety.

Dominic Keuskamp is a Research Fellow in the Southgate Institute for Health, Society and Equity at Flinders University. He is Project Manager for the qualitative component of the Australian National Health and Medical Research Council funded project exploring ‘Changing patterns of work: impacts on physical and mental health and mediating role of resiliency and social capital’.

Catherine Mackenzie is employed in the Southgate Institute for Health, Society and Equity at Flinders University. She is currently working as a research associate on the Australian National Health and Medical Research Council funded project exploring ‘Changing patterns of work: impacts on physical and mental health and mediating role of resiliency and social capital’.

Alan Morris is a Senior Lecturer at the School of Social Sciences and International Studies at the University of New South Wales. He has undertaken research on a range of urban and social policy issues, and is currently researching the impact of different housing tenures and housing policy on the life circumstances of older people.

Tricia Nagel is a consultant psychiatrist and Associate Professor at Menzies School of Health Research where she leads the Healing and Resilience Division, and the Australian Integrated Mental health initiative (AIMhi) research and training program.

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Eugene Schofield is a practising lawyer in the field of human rights and criminal law in the Northern Territory of Australia.

Toni Schofield is Associate Professor in the Discipline of Behavioural and Social Sciences in Health at the Faculty of Health Sciences at the University of Sydney. Dr Schofield is a researcher in sociology and public policy. Her main international research contributions have been in women’s and men’s health, gender and health, and workplace health. She is currently leading an ARC funded study of alcohol use and harm minimisation among Australian university students.

Neil Spencer is a trained general nurse and registered psychiatric nurse who has worked in various mental health positions in the Northern Territory, primarily with the NT Top End Mental Health Service. Neil has worked with the Australian Integrated Mental health initiative (AIMhi) project for seven years assisting with data collection and analysis.

Valerie Thompson is an Aboriginal Research Officer who has worked with the Australian Integrated Mental health initiative (AIMhi) project at Menzies School of Health Research for seven years as trainer, educator and researcher.

Anna Ziersch is a Senior Research Fellow at the Southgate Institute for Health, Society and Equity, working in the area of health equity. One of her areas of research focus is the connections between work and health, and she is currently a lead investigator on an Australian National Health and Medical Research Council project exploring the links between forms of employment and health.

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Life after work: older Australians’ experiences of early exit from the workforceCatherine Mackenzie, Dominic Keuskamp, Anna Ziersch and Fran Baum

Abstract

Little is known about the experience of those in the baby boom cohort who are outside the labour market. Understanding their experience has the potential to inform policy strategies to support older people to remain longer in the workforce. Using in‑depth interview data from 26 participants, this paper examines the reasons people aged between 50 and 64 years give for being not‑employed, how they perceive it affects their health, how socioeconomic characteristics shape their experience and what would entice them back into paid work. Participants’ main reasons for being not‑employed included: feeling financially able and ready to exit, feeling unhappy about workplace reorganisations, disability, or their partner’s retirement or ill‑health. The reasons given and the degree to which they had planned to exit the workforce affected their willingness and capacity to consider returning. Key determinants of participants’ health and wellbeing after stopping paid work were the extent to which they had planned their exit and the status of their health and wealth at the time of their exit. The paper concludes there is some scope for increasing the number of employed older people if policy makers attend to workforce health and wellbeing as crucial to workforce retention policy development.

Keywords: baby boomers, labour market, workforce health, population ageing, pensions


Introduction

The Australian population is ageing and a growing proportion of older workers is exiting the labour market younger than the qualifying age for the state-provided Age Pension (Schofield et al. 2007; Shacklock et al. 2009). Research on the workforce participation patterns of older workers has mainly focussed on their retirement plans and the numbers of those in and out of the workforce. Less is known about the experience of 50-64 year olds already outside the workforce, including whether they are able or willing to consider re-entering paid employment and the extent to which they may move in and out of the workforce. Even less is known about this group’s health (Quine & Carter 2006; Humpel et al. 2010b). Using data from in-depth interviews this paper seeks to address those gaps in research by exploring the reasons people aged 50-64 leave the workforce, how they perceive being outside the workforce affects their health and wellbeing, how their socioeconomic circumstances shape their experience and how they imagine their future, including re-entering the workforce. We consider briefly the implications of our findings for Australian labour force policy.

Policy context

As the population ages, health expenditure has been predicted to rise and the paid workforce to shrink, the consequence being reduced taxation revenue to meet health expenses (Productivity Commission 2005; Cai & Kalb 2006). In the 1980s and 1990s policy makers encouraged early workforce exit during a period of relatively high unemployment, so that younger generations could take the available jobs (OECD 2004, 2006; Walter et al. 2008). More recently, however, unemployment rates have been lower and the key policy issue has become labour shortage (Productivity Commission 2005).

Since the early 2000s the Australian Government has been implementing a range of strategies to encourage older workers, defined as those aged 50 years or more, to remain in the labour market for longer (OECD 2006; Walter et al. 2008; Humpel et al. 2009). Policy strategies have centred on financial incentives to remain in paid work and disincentives to exit the workforce in line with a move to reduce welfare expenditure. These have included increasing the qualifying age for the state-provided Age Pension,1 removing the Mature Age Allowance which until 2003 was available for unemployed older workers, introducing tax reforms to remove incentives to exit early and increasing the eligibility age for occupational pensions (OECD 2005, 2006; Felmingham et al. 2008; Walter et al. 2008; D’Addio et al. 2010). Additional smaller-scale strategies have also been introduced, such as the provision of information to help reduce age-based discrimination and increased support and training for unemployed people over 50 years old (OECD 2004; Walter et al. 2008; D’Addio et al. 2010; DEEWR 2011).

As part of policy effort to reduce welfare payments, Australian disability services, including the Disability Support Pension, have also undergone substantial change since disability policy was identified as a ‘national social


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policy priority’ in the 1970s (Soldatic & Pini 2012: 184). A shift from welfare as a right to welfare as a social contract, with regard to disability support, began with the introduction of mutual obligation requirements by the Howard Government’s Welfare to Work policy (Yeatman 2000; Humpage 2007). The basic premise underpinning Welfare to Work is that if welfare recipients are exhorted to participate in work or training in order to maintain their benefits, they will be more likely to move in to the labour market voluntarily (Soldatic & Pini 2009). This logic locates the problem as individuals’ lack of volition to work (Humpage 2007; Soldatic & Pini 2009). Paradoxically, Disability Support Pension recipients would lose their pension and associated support if they work more than the maximum hours prescribed, creating a disincentive to gain paid work (Humpage 2007). Recent changes to disability policy have further tightened eligibility criteria and reduced access to other disability supports (Soldatic & Pini 2012). Tightening of the eligibility criteria for both the Age Pension and the Disability Support Pension reflects the direction of welfare reforms that have been occurring in western liberal democracies over the past three decades (Yeatman 2000; Mendes 2009). Placing policy emphasis on financial incentives and disincentives, for both the Age Pension and the Disability Support Pension, assumes that the dominant motivation for workers to remain in, or leave, the workforce is monetary reward (Walter et al. 2008).

Retirement plans and patterns

The group that is currently most affected by policies relating to older workers, that is people aged 50 to 64 years, falls within the large ‘baby boom’ cohort. The Australian Bureau of Statistics defines the baby boom cohort as people born between 1946 and 1965 (ABS 2003). Most Australian research on baby boomer workforce exiting uses the term ‘retirement’ or ‘early retirement’, which connotes a voluntary withdrawal from the workforce (Alavinia & Burdorf 2008). Retirement is further defined as a process which involves, to varying degrees, planning and decision-making (Topa et al. 2009). Much retirement research in Australia examines the retirement plans or retirement intentions of those who are still employed but close to retirement age (Onyx & Baker 2006; Quine et al. 2007; Cobb-Clark & Stillman 2009; Humpel et al. 2009; Shacklock et al. 2009). This research suggests early retirement is becoming less common among baby boomers, with some believing they may never retire (Cobb-Clark & Stillman 2009; Humpel et al. 2010a; Jackson & Walter 2010). It seems, however, that baby boomers’ expectations are responding to the global financial crisis and reduced superannuation funds, rather than Australian government policy (Humpel et al. 2010a; Jackson & Walter 2010). Furthermore, the limited research relating to how Australians have responded to policy measures designed to encourage delayed retirement suggests that non-financial measures would be more effective, for example, valuing older workers by offering them opportunities to mentor or train younger workers (Walter et al. 2008).

Survey data suggest that most Australians would prefer to retire gradually rather than abruptly, either by changing from full-time to part-time, or remaining full-time but reducing their level of responsibility (de Vaus et al. 2007; Warren


2008; Jackson & Walter 2010). Employment in the transition to retirement is often termed ‘bridge employment’ (Warren 2008; Gobeski & Beehr 2009). Australian and international research indicates that bridge employment qualities such as flexible working arrangements and positive working relationships are important job features for older people (Shacklock et al. 2007; Gobeski & Beehr 2009).

Other research indicates, however, that having control over decision-making and timing of retirement is more important to people’s wellbeing in retirement than whether or not retirement is gradual (de Vaus et al. 2007). Wealth, including superannuation, appears positively related to being able to plan for and have control over the timing and nature of retirement (McMunn et al. 2006; Quine et al. 2006).

Early workforce exit and health

A substantial proportion of those out of the workforce are not ‘retired’ in the sense that their withdrawal was not necessarily voluntary or planned. Rather, they have exited because of ill-health, chronic disease or disability (Schofield et al. 2007; Alavinia & Burdorf 2008; D’Addio et al. 2010). In their meta-analysis of international research on retirement, which included six studies from Australia, Topa and colleagues (2009) explored antecedents and consequences of retirement planning (contemplating retirement and retirement intention), in contrast with those of retirement decision-making (the actual decision to retire and moment of retirement). They found that the extent to which retirement is planned prior to the decision to retire affects the level of satisfaction people experience in retirement. Deteriorating health reduces the capacity for retirement planning and brings on retirement decision-making; that is, it precipitates the act of exiting work (Topa et al. 2009).

The relationship between retirement planning/retirement decision-making and health/wellbeing is complex, and poor health is cited as a major reason given for early labour market exit both internationally and in Australia (ABS 2008; Topa et al. 2009). Globally, wealth and education are acknowledged as important social determinants of health and wellbeing in older age (Marmot 2010; McMunn et al. 2006; Bender 2012). Older Australians who are wealthy are more likely to maintain good health as they age than those who are poor (Cai 2009). Further, there is evidence that blue collar workers are less physically able to work beyond 65 years and less able to fund their retirement without Government assistance (Quine et al. 2006). Yet, survey data suggest that blue collar workers are more likely to expect to delay retirement than white collar workers, in spite of preferring an early exit, because they have insufficient superannuation (Jackson & Walter 2010). In the other direction, older workers who report good health are far more likely to be participating in the labour force than those in poor health (Cai & Kalb 2006; Schofield et al. 2007).

Workers living with disability have lower labour market earnings than workers without disability (Brazenor 2002). This has implications for capacity for wealth accumulation and planning for retirement. In addition, there is an association


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between early exit and higher incidence of mental illness, particularly among men between 45 and 65 years (Karpansalo et al. 2004, Karpansalo et al. 2005; Butterworth et al. 2006; Gill et al. 2006).

Research that explores Australian baby boomers’ health and wellbeing is in its infancy (Quine & Carter 2006; Humpel et al. 2010b). Information is scarce regarding the factors that would encourage baby boomers already outside the workforce, as opposed to those planning retirement, to consider re-entering paid employment. Hence, using data from in-depth interviews this paper seeks to answer the following questions 1) what reasons do 50-64 year old people who are not-employed give for being out of the workforce? 2) how do they perceive being not-employed affects their health and wellbeing? 3) how do socioeconomic characteristics shape their experience of not working? and 4) how do they perceive their future, including their potential for returning to work?

Methods

Recruitment and sample selection

We used a population survey, undertaken in South Australia, to recruit 26 participants aged 50 to 64 years for in-depth semi-structured interviews to examine their experiences of not working in the paid labour force, with a focus on what contributes to their health and wellbeing. We selected this particular age range for our study sample because, firstly, international and Australian data on older workers refers to older workers as being over 50 years and at 65 years Australians are eligible for the Age Pension (OECD 2006; Alavinia & Burdorf 2008; D’Addio et al. 2010). Secondly, research suggests that it is more difficult for workers aged 50 years or more to gain and retain employment than for younger workers (Abhayaratna & Lattimore 2006; OECD 2006). Thirdly, there is a specific policy push to increase rates of employment of people over 50 years (OECD 2006; DHoA 2010; for examples, see DEEWR 2011).

We recruited our study sample by using the 2009 South Australian Health Monitor survey which is a computer-assisted telephone interview (CATI) survey administered by the South Australian Department of Health as part of the South Australian Monitoring and Surveillance System (SAMMS) (see PROS 2004). There were 1,853 survey respondents. We sought and were granted approval to include a series of questions about paid work status, respondents’ time in that status, and their preference for working or not working. We included a question in the survey seeking respondents’ permission to be contacted by the research team for a one-off face-to-face interview about their employment, health and wellbeing.

We obtained University ethics approval prior to conducting this study and sought written consent from participants at the time of each interview. Sixty-eight respondents agreed to a further interview and 47 met our study criteria of being not-employed at the time of the survey, aged between 50-64 years in 2010 and out of the workforce for no more than 10 years. We categorised respondents as not-employed if they had self-reported as retired,


on home duties or unable to work because of illness or disability. From these, we recruited and interviewed 26 participants (14 women and 12 men, and 14 from metropolitan and 12 from regional areas) up to one year after the survey was conducted. We did not interview the remaining 21 because we could not establish contact, they were excluded (for example, at contact they stated they were out of the workforce longer than 10 years or self-reported they were now employed) or they declined to participate.

Five participants had bridge employment and had either reported their status as not-employed in the survey because they did not view that being ‘retired’ excluded any participation in paid work, or they had gained bridge employment since the survey yet did not view themselves as being employed. Their paid work hours ranged from two to 20 hours per week. We decided to include these participants because one of the notable recent changes in workforce participation is that the transition from being fully employed to exiting the workforce permanently (if at all) is dynamic rather than static (Shacklock et al. 2007; Warren 2008; Gobeski & Beehr 2009). Further, these participants could provide insights about their experience of bridge employment and their transitions between leaving their main job and taking up bridge employment. A brief profile of each participant is presented below in Table 1.

Table 1. Participant profilesPseudonym, age, self‑reported not‑employed status, pension type (if any), length of time in status, previous main occupation, living arrangements, bridge employment type, locality.

Women

Mia 51, Carer, Carer’s Allowance, 8 yrs, retail/hospitality, lives with partner, regional

Sarah 61, Retired (partner redundancy), Service Pension (partner), 10 yrs, retail/hospitality, current bridge employment ‑ service retail, lives with partner, regional

Tessa 58, Retired, Service Pension (partner), 2 yrs, self‑employed earth moving business with husband, lives with partner, regional

Samantha 63, Unemployed, Unemployment Benefit, 2 yrs, various casual, current bridge employment in retail shop, lives with partner, regional

Scarlett 60, Retired, 3 yrs, aged care worker, lives with partner, regional

Angela 53, Disability, Disability Pension, 10 yrs, hospitality, lives with partner, metropolitan

Amanda 55, Disability, Widow’s Pension (divorced, not widowed), 2 yrs, retail, lives with new partner, metropolitan

Rebecca 50, Disability, Disability Pension, 4 yrs, cleaner/domicillary care, married, lives with partner, metropolitan

Zara 60, Retired (redunancy), 3 yrs, current bridge employment as volunteer co‑ordinator, public servant, lives alone, metropolitan

Charmaine 62, Retired (redundancy), 2 yrs, bank teller (pre‑retirement bridge employment in retail), lives with partner, metropolitan

Ruby 56, Retired (redunancy), 1 yr, factory worker, current bridge employment in aged care (2 months), lives with partner, regional


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Stacey 63, Retired, 10 yrs, child care/ administration, lives with partner, metropolitan

Violet 61, Retired, 4 yrs, property management, lives with partner, metropolitan

Sophia 58, Retired, 1 yr, human resources, lives with partner, metropolitan

Men

Lachlan 53, Disability, Disability Pension, 10 yrs, labourer (+ short time self‑employed lawn mowing), lives with partner and adult son, regional

Thomas 61, Retired, Service Pension, 2 yrs, self employed mechanic, lives with partner, regional

Luke 57, Disability, Disability Pension, 8 yrs, boiler maker/supervisor, lives with partner, regional

Seth 54, Disability, Disability Pension, 5 yrs, fabricator/self employed backpackers, lives with partner and adult son, metropolitan

Lucas 52, Disability, Disability Pension, 9 yrs, self employed commercial outdoor cleaner, lives alone, metropolitan

Nathan 63, Retired, 1 yr, mechanic in public service, current bridge employment in public service casual relief pool, lives with partner, metropolitan

Joseph 63, Retired, 1 yr, environmental health, local government, lives with partner, regional

Rueben 63, Retired (redundancy), 5 yrs, technician, current bridge employment in vocational teaching, lives with partner, metropolitan

Michael 63, Retired, Service Pension, 3 yrs, self employed mechanic (pre‑retirement bridge employment in tourist accommodation), lives with partner, regional

Troy 55, Unemployed, 2 yrs, financial controller/ accountant, current bridge employment in market stalls and internet retail, lives alone, metropolitan

Oscar 59, Retired, 1 yr, general manager, lives alone, metropolitan

William 59, Retired, 1 yr, police officer, lives with partner, metropolitan

Interview schedule design

We designed a semi-structured interview schedule so that questions would be open-ended and conversational to ensure that we captured the complexity of participants’ experiences (Strauss 1987; Kvale 1996). Interviews began by asking about participants’ work history, followed by the circumstances of their workforce exit and their experience of transitioning from paid work to being not-employed. Subsequent questions focussed on participants’ health and wellbeing, their activities and relationships in other domains of their lives, both while working and since leaving work, for example: ‘Can you tell me a bit more about how you spend your time now – can you take me through a typical week?’. Participants were asked about their future, including what would enable them to return to work, for example: ‘Under what conditions would you consider taking up paid employment?’. Interviews averaged 90 minutes, varied between 40 and 135 minutes and were transcribed in full, using pseudonyms to maintain confidentiality.


Analysis

We analysed interview data using framework analysis (Ritchie & Spencer 1994) comprising five overlapping and iterative stages: familiarisation, identifying a thematic framework, indexing, charting, and finally mapping and interpretation. Research team members read and coded several transcripts to achieve familiarisation and develop the coding framework. We developed a thematic framework, informed by the interview transcripts, and the a priori aims and focus areas of the research project. This included areas relating to employment history, current activities and future preferences, and health and wellbeing. We undertook descriptive charting to provide key information about each interview, including health status, demographic information and details including employment, social activities and family responsibilities for each participant. We entered interview transcripts into QSR International NVivo 8 for analysis, coded them according to our thematic framework, and double-coded a quarter of all transcripts to check for coding consistency between the two authors who undertook all of the coding. Inconsistencies in the coding of particular themes (for example, over-coding and under-coding transcripts into nodes, coding more or less of surrounding context) were addressed by discussion between coders and amendment of coding practice until coding was consistent.

Findings

Overview

The participants’ experiences of being out of the workforce varied considerably. Our key finding was that the extent to which participants had planned the nature and timing of their exit was the strongest determinant of their experience generally and their perceptions of their health and wellbeing particularly. Given this we have structured this section according to the degree to which participants’ planned their departure from the workforce.

Our findings support our argument against referring to this group of people as ‘early retirees’ because only four participants left work entirely voluntarily. Participants who had a planned exit described the main reasons being that they wanted to stop work while they were healthy and could still enjoy quality leisure time, or to engage in activities that work had precluded them doing. Participants who had a partially planned exit from the workforce described a range of reasons contributing to their decision, including unwelcome structural workplace changes, taking a redundancy package, or – mainly for women – their partners’ exit. Five participants, as mentioned above, stated at the time of the interview recruitment telephone call that they were in bridge employment but did not consider themselves ‘employed’ because they had left their main job. All of these participants are included in the partially planned group because at the time of their exit from their main job, they were not fully planning to exit the workforce. Four of these five participants made the decision to take voluntary redundancy when it was offered, principally because of unwelcome organisational changes. Hence, but for these changes, they may have stayed in their main jobs. Almost all of those participants who experienced an unplanned


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exit from the paid workforce described being unable to continue working because of disability or ill-health. These findings are discussed in further detail below.

Planned exit

Four participants, all male, described having planned their early exit from paid work. Key to their decision was that they could afford to do so. Two had good superannuation schemes and one had earned a substantial amount of money overseas and was living on savings. Michael, quoted below, described exiting three years before the interview, having worked in bridge employment for several years, because he was eligible for an armed services pension. He felt the benefits associated with the service pension contributed to his wellbeing:

Well I have got good health but I’ve also got the gold card2

which – I don’t have to pay for any health things at all and that’s a huge saving. … I guess that also adds to the wellbeing because you know you don’t have – like if I had to have a hip replacement or a knee replacement I’d just go straight in. (Michael, 63 yrs, regional, 3 yrs retired3)

This group of participants described enjoying excellent health and engagement in a range of activities that promoted their health and wellbeing, for example increasing their physical activity participation and social interaction. None of this group reported worse health since exiting work and two described specific positive changes in their health since, and because of, stopping work. Oscar (59 years, metropolitan, 1 year retired) described his job as having entailed long hours and high stress and that he had suffered regular headaches which he no longer experienced. William also described his job as having been stressful and recounted several work-related injuries, including a slipped disc. He described feeling much better and not experiencing back problems or any real stress since he stopped work:

On the mental side of things it’s a very stressful job and I found myself shifting jobs every 10 or perhaps 15 years. (William, 59 yrs, metropolitan, 1 yr retired).

Participants from this group were not considering returning to paid work with one of the reasons being that their health had improved since leaving work. One possible exception is Troy (55 yrs, metropolitan, 2 yrs unemployed), who was contemplating training to teach English as a Second Language and working overseas, not because he needed the money, but to feel he was contributing, stating: ‘I think I’d get more stimulation from life than just sitting in a house and getting old’.

This group had planned to leave the workforce, as illustrated by Oscar below, could afford to do so and thoroughly enjoyed not having to work.

I’d planned it so well. I’d been giving it – I was thinking of retiring – you know, I’d given it 12 month’s thought before I did retire and I think planning and planning it ahead I think


prepared me for that occasion … really helped me with the transition. (Oscar, 59 yrs, metropolitan, 1 yr retired).

When asked whether he would have considered remaining in his job with a reduction in hours, Oscar stated that he had considered it but based on previous experience, he would be ‘double-checking everything all the time’ which would be counter-productive and that it would not have been worthwhile financially. He did say, however, that he would consider unpaid work as a mentor in the same type of organisation.

For the two participants who described improved health since stopping work, it would not seem beneficial for their health to return, at least not to their previous job and/or form of employment. While this group experienced successful transition out of the workforce, their experiences also represented a minority among interview participants.

Partially planned exit

The partially planned exit group, which comprised 10 women and three men, talked about leaving their main job earlier than they had intended for a range of reasons, with workplace relationships and workplace structural changes featuring strongly. This group encompasses those who were in transition between being employed and not-employed, including those who were in bridge employment. As for the planned exit group, affordability was crucial to their decision to leave work. This group was funded by their or their partner’s superannuation, savings, service pensions, part-time paid employment or unemployment benefits. Typically, this group described a key event, or series of events, that culminated in their decision to exit, which some described as being ‘the straw that broke the camel’s back’:

There were a couple of incidents that happened that made me decide that I didn’t really want to be there anymore and so when the time came … we were going to go on six months further than we did but there were a couple of little things that happened in his life too that we decided we’ll go early so we went – we left six months earlier than we anticipated. We’ve never regretted it, never. (Violet, 61 yrs, metropolitan, 4 yrs retired)

In common with several of the women participants, Violet’s exit from the workforce at 57 years old was precipitated by her partner’s exit. Her decision, illustrated by her use of ‘we’ several times above, was negotiated with her partner in response to their combined experiences. Their final decision, however, was based on being able to afford to exit early because her partner was in a very good superannuation scheme. Like Violet, participants’ decisions to exit earlier than intended were less likely regretted if they could afford to do so.


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Half of the women in this group stopped working because their partners had left the workforce for retirement or health reasons. How satisfied the women were with being out of the workforce seemed to depend on the degree to which they felt they had some say in their decision to leave work and could manage financially:

In a financial sense, it’ll sound strange, but yeah somewhat because of independence. Even though I do get a small pension from Veterans’ Affairs I’m not – I’ve always been independent. Even in marriages and relationships I’ve been able to do what I’ve wanted to do with most of my money. (Sarah, 61 yrs, regional, 10 yrs retired).

Sarah described struggling with her diminished independence since stopping work, although at the same time she felt she ought not to return to work because her earnings would affect both her partner’s Service Pension and her Partner Service Pension. In addition, Sarah described a range of health problems that she associated with being older and while she said that she would like to work more (she worked a few hours per week for cash) she did not wish to work full-time, partly because of her health.

Most of the partially planned group described being unhappy with workplace changes they had experienced in prior employment, for example new management structures, unsatisfactory relationships with managers, and having to do more for less. Joseph’s account illustrated how some participants described their relationships with managers as becoming untenable:

Well I stopped work when I was 54, mainly because it got to the point where I had to either sort of retire or stand there and snot [hit] the boss and finish up doing time for physical assault. I’d just had a gutful of work, you know? (Joseph, 63 yrs, regional, 8 yrs retired)

The four participants who had taken redundancy packages had since gained part-time bridge employment, in occupations and industries different from their previous main jobs. Two had re-trained to do so. The decision to take a redundancy package was typically weighed up against a range of factors. Ruby, for example, gave three reasons for taking a package: she needed to undergo medical treatment and did not want to burden her workplace by taking extended leave, structural changes meant she had been working night shifts and she felt this was detrimental to her health, and most of the work that she would normally have been doing was going to be re-located interstate:

There wasn’t many other jobs available and at the same time I was going – needing to have treatment … so I took the opportunity to leave at that time so I could get to my treatment without having to worry about working and the rest of it …. It worried me that I was going to have to take the time off because


I like to – I don’t like to let anybody down. (Ruby, 56 yrs, regional, retrenched 1 yr, part‑time work 2 months at interview).

Once she had recovered from her treatment, Ruby retrained as an aged care worker and was working part-time in that field. The reasons she gave for gaining bridge employment were that her husband was still working full-time, she was too young to be eligible for the Age Pension, and she wanted to be able to afford household renovations, to go on holidays and to buy presents for their grandchildren. She described feeling valued in her working relationships with colleagues and residents, and this seemed key to her remaining in the workforce. This was typical of participants who enjoyed their bridge employment. In addition, Ruby felt working was better for her health, stating: ‘definitely it does. I think more with the mental health but, yeah, physical health too in a way because I’m on the go, like walking’.

Sophia’s account was typical of participants in the partially planned group who were in transition because they had neither planned nor felt ready to leave the workforce completely, but at the same time were not actively seeking employment. Sophia described feeling able to live very comfortably on her own and her partner’s savings until they could access their superannuation and seemed more interested in voluntary work than seriously looking for another job. She described enjoying excellent health, regular gym visits, bushwalking and travel. Her main reason for leaving the workforce was the effect that workplace relationships were having on her wellbeing:

It got to the point where [my hard work] was pretty well totally unappreciated and you couldn’t – driving home from work almost having to – you know, feeling ill and almost having to pull over, you know, so your sort of expectations were – sort of no thanks, but greater expectations and I decided ‘at this point in my life’ – you know, mid 50s – ‘don’t need to endure this’. (Sophia, 58 yrs, metropolitan, retired less than 1 yr)

Sophia had started voluntary work and was still deciding whether to try to find some part-time bridge employment or increase her voluntary work.

Most of the participants whose work had involved manual labour felt that their bodies could no longer cope with particular tasks or that their work had caused injuries to their bodies, and that stopping work improved their health. Illustrative of this group, Scarlett had started working in aged care later in her working life and found that her body could not cope with the heavy lifting involved in being a personal carer, and this, along with management changes, was why she stopped work.

So mainly in the hip and the lower back area was where it affected me most; just degeneration of the spine I would say. It’s fine now. That was the main reason I stopped. Another reason was management change, different policies, government


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introduction of different ideas of how to look after them, that sort of stuff, and I didn’t like that, couldn’t cope with that. (Scarlett, 60, regional, 3 yrs retired)

Tessa’s husband, a war veteran, developed post traumatic distress disorder and was awarded the totally and permanently incapacitated disability pension by the Department of Veterans’ Affairs. She stopped work because they owned a business together that she could not have run on her own as she was unable to operate some of the machinery. She found, however, that they would have had to stop work anyway because their bodies could no longer cope with the work.

Well it’s virtually worn us out. Both my husband and I have got crook shoulders. Actually I’ve been surprised since it has happened to us though how many people are suffering from the same complaint, virtually worn out. (Tessa, 58 yrs, regional, 2 yrs retired)

Tessa felt it was unfair that people were expected to continue working beyond 60 years old when their bodies were worn out and where work caused pain and injury. She found that even though she was no longer carrying out those tasks and that overall her body was feeling better since being not-employed, everyday physical tasks remained difficult; she said: ‘I have to do it in little bites’. In the transition from working to not working she was concerned about money, but had attended counselling which had helped her cope. She described not ordinarily being interested in counselling, but because of her status as a service partner she could access it free of charge.

I was just crying at the drop of a hat, I really was stressed – and eventually the penny dropped one day and it turned out for me yes, it was all about the money …. Money meant survival, not just money – you know, you just don’t throw it away; money was the difference between eating and not. (Tessa, 58 yrs, regional, 2 yrs retired)

Most of the participants in the partially planned group reported experiencing better health since they stopped working, either because they were no longer engaged in manual labour, or experiencing work-related stress. The majority of this group found they were more physically active because they had the time to participate in regular physical activity, with some reporting taking up regular gym sessions. A few, however, reported being more sedentary. Two participants had given up smoking, which they both attributed to wanting to save money. Synthesising the accounts of the participants suggested that it was the quality of the job, for example the working relationships, level of responsibility, occupational health and safety, and its effects on mental and physical health, that influenced participants’ decisions about exiting and re-entering the workforce. While the majority of the participants who had exited described experiencing better health, those in bridge employment also described experiencing health benefits from working in a good quality job.


Unplanned exit

Five men and four women attributed their unplanned exit from the workforce to mental or physical disability. Their accounts showed that they had the worst perceptions of their health and wellbeing and ability to manage financially. The five men had been in labouring or manufacturing jobs and the women in cleaning, retail or food service jobs. Most of these participants reported being disability pension recipients, with a few receiving other types of pensions. All except two of this group reported a preference for being in paid work, one of whom reported that if he could choose his form of employment, it would be working full-time. Thomas, who described having had to stop work because of his mental health, illustrates how this group typically described the unplanned nature of their exit:

I never planned [my exit] to happen in any way or thought about it until it happened. Like it’s just something that – I know some people think they’re never going to die. I know I’m going to die one day but I’d never talked or even thought about retirement until it happened. It probably was a bit of a shock but more so getting money – getting a pension for doing nothing. Like that was the biggest shock or embarrassment more than anything. I’ve never taken money like that from – people say ‘oh you earned it’ but I don’t know about that. I still have a problem accepting that. (Thomas, 61 yrs, regional, retired/Service pension 1 yr)

Not only did these participants leave because of mental or physical disability, but some participants in this group directly, indirectly or partially attributed their mental ill-health to their paid work. Seth (54 yrs, metropolitan, 5 yrs unable to work because of disability), for example, had been self-employed but the process of going through a court case relating to his business triggered depression and he later developed agoraphobia. He had since returned to the workforce but it became clear that his mental and physical health prevented him from feeling like he could participate. Angela had experienced workplace bullying which contributed to anxiety, depression and agoraphobia that stopped her from being able to return to work:

Life’s worth more than dollars and cents’ and there’s just no way we should be living the way we were living whilst I was working there. Every night the poor man [husband] used to sit there and listen to me crying and screaming in frustration and everything else so it was taking a toll on him as well. (Angela, 53 yrs, metropolitan, 10 yrs unable to work because of disability)

Lachlan suffered mental illness that he did not feel was caused by work per se, but described how events at work precipitated his breakdowns and he had not suffered any breakdowns since leaving the workforce.


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I get a bit frustrated because I’m the way that I am and sometimes I think I could go back to work, I could do that, I could do that, and then bloody – like I could say ‘a month away I’m going to start work’ and I’ll be good as gold for the first week then I’d start to worry. By the time the time come I’d be a frigging nervous wreck, I wouldn’t be sleeping. (Lachlan, 53 yrs, regional, 10 yrs unable to work because of disability)

Typical of this group, Lachlan was disappointed that he was unable to work. He did however express optimism for future workers because he believed there had been an increase in understanding and management of mental illness since he exited the workforce. He described early diagnosis as potentially leading to early support and therefore increased likelihood of worker retention.

if they’d discovered accurately what was wrong with me 30 years ago they would have stood a lot better chance of keeping me in the workforce …. There was nothing about strategies and trying to – that’s sort of been a more recent thing and I think probably younger people now would probably be in a little better stead. (Lachlan, 53 yrs, regional, 10 yrs unable to work because of disability)

This group explained their preference for work as wishing they were healthy enough to work. Had it not been for their mental or physical ill-health, they expected they would still have been in the workforce.

Some of the participants who were unable to work because of disability described physical health problems that meant they could not have continued in their type of work. Luke described having severe varicose veins and subsequent oedema that caused a great deal of pain. His job as an engineering supervisor meant that he had to walk a great deal and be on his feet most of the day, which he eventually found impossible because it exacerbated his condition:

Well at first I thought I was really too young to stop working then but when you get to the reality of it, if you want to work and your legs start playing up, you know, you could lose your leg so no point in making things worse. That’s the only way to look at it really. Work or your leg, which one do you want? (Luke, 57 yrs, regional, 8 yrs retired)

Luke appeared extremely disappointed that he had to exit the workforce and described his health as deteriorating since leaving work because he was no longer physically active. He attributed being not-employed as the reason for having been diagnosed with cardiovascular disease and type II diabetes. Typifying this group, it was nevertheless highly unlikely he would re-enter the workforce. The unplanned exit participants’ accounts illustrate that a preference to be in paid work does not always reflect the capacity of individuals to do so.


Discussion

This study sought to explore the reasons 50-64 year olds who are not-employed give for being out of the workforce, how they perceive not being employed affects their health, the extent to which socioeconomic characteristics shape their experience of not working and what conditions, if any, would entice them back into the workforce. We found that for some participants the state of being not-employed in the years preceding Age Pension eligibility was fluid, whereby people may exit from their main career and then move in and out of diverse forms of paid work in the transition to their complete exit.

Participants gave a range of reasons for being out of the workforce; these were strongly tied to the extent to which they had planned their exit. Those who had fully planned their exit all described wanting to stop work while they were healthy so they could engage in activities they could not, or had limited time to, participate in while working. Participants who had partially planned to exit the workforce described multiple motivations, with unwelcome structural workplace changes, being offered a redundancy package, or their partner’s exit featuring strongly. In relation to this last point, our findings concur with research that has found that women are more likely than men to report one of their reasons for exiting the workforce being to retire with or to care for their partner (Onyx & Baker 2006; Quine et al. 2006; Cobb-Clark & Stillman 2009). Further, around half the women reported not feeling ready to stop work. Most of the women participants were in the partially planned group and health considerations – their own or their partners’– had played a role in their decision to leave. Almost all of those participants who experienced an unplanned exit described mental or physical disability as the reason for their early exit. Our findings highlight how having the capacity to plan their exit improves people’s experience of being not-employed in terms of health and wellbeing after their exit. This supports evidence of the importance to older workers of having at least partial control over the decision-making and timing of retirement (Quine et al. 2006; de Vaus et al. 2007). Our participants’ experiences correspond with Topa and colleagues’ (2009) meta-analysis that found that being unable to continue working and feeling compelled to exit the workforce had detrimental consequences for health and wellbeing. Our findings go further in elucidating the underlying social determinants which facilitate or impede this transition and the subsequent effects on people’s health and wellbeing.

Once out of the paid workforce, participants’ experiences depended to a significant degree on their pre-exit health status and their socioeconomic characteristics particularly their wealth, disposable income and access to health services. Thus, there was a clear socioeconomic gradient operating whereby at one end, those participants with sufficient wealth enjoyed meaningful post-exit activities in good health, and those participants at the other end of the gradient found little enjoyment in not working. Thus the gradient of inequities evident in working lives (Marmot & Wilkinson 2006; McMunn et al. 2006) carried through to peoples’ experiences of retirement (Marmot 2010). In Australia, ill-health and disability are major reasons for people over 45 years old to be


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outside the workforce (Schofield et al. 2007). Our study findings are striking because most participants who were unable to work because of disability/workplace injury also reported a preference for working. Despite this, their interviews revealed that most expected never to return to the workforce because of their health. Their stated preference for work seemed related to a range of factors, including regret regarding the nature of their exit from the workforce, feeling that their health and wellbeing had deteriorated since leaving the workforce, and loss of earnings. Our findings strengthen the evidence of the importance of social determinants of health and particularly wealth, for health and wellbeing in older age (Baum 2005; Cai 2009; Schofield et al. 2011).

Policy implications

Our findings provide insights into the experience of the thus far little researched group of people aged 50-64 years outside the labour force and are relevant to the current policy agenda of keeping older workers in the workforce, particularly those who are already, or are transitioning, out of the labour market. The participants most likely to be enticed back into the labour market were those who had only partially planned to retire. Many of these, however, attributed their exit at least partly to being dissatisfied with their workplace, including being unhappy with their relationships with their colleagues or superiors, or with organisational re-structuring.

The five participants who had gained bridge employment strengthen this argument because they had been dissatisfied in their main job but felt valued in their bridge employment. Four out of these five participants had taken redundancy packages and did not have the option to remain in the same position or in the same organisation. They were, however, financially able to take up other forms of employment where money was not the prime consideration, reporting that workplace relations and the extent to which they felt their work was valued outweighed the extent to which their current job was similar or not to their main job, including remuneration. Policy attention directed toward improving the psycho-social atmosphere of workplaces and strengthening support for re-training could be helpful for retaining workers similar to those participants. Australian and international studies suggest that for older workers in bridge employment higher quality jobs are more likely to yield health and well-being benefits (Cooke 2006; Shacklock et al. 2007; Gobeski & Beehr 2009; Jackson & Walter 2010). Further, Shacklock and colleagues (2007) report that their participants who were not in the paid workforce noted the attraction of flexible working arrangements and good social relations, and that self-worth and job satisfaction were extremely important.

It seemed unlikely that policy strategies based on financial incentives or disincentives would entice the few participants who planned their exit, and were enjoying retirement, to return to paid employment. There was some indication, however, that they would consider volunteering, for example as mentors. Our findings suggest that policy that is based primarily on financial incentives to remain in the workforce will have little influence on this group because their decision-making was based on a different logic to that assumed in current


policy. While the participants’ decision-making did include consideration of their financial status (they were all well-off), the perceived benefits of retirement, including better health and increased leisure time and wellbeing, outweighed the benefits of remaining in the workforce.

The participants least likely to return to work in response to the main current policy strategies were those whose exit was unplanned. Those who had reported they were unable to work because of disability or workplace injury offered some insights regarding policy strategies that could have helped them to stay in, or return to, paid employment. Their accounts suggest that they may have remained in the workforce had there been intervention or support at an early stage of their decline in health, for example timely action at management level to stop bullying, changes to the type or implementation of work duties, or support to understand and manage their health.

Thus increasing support, and at an early stage, for workers with mental or physical illness, would increase the success of policy approaches that encourage workers to stay in the workforce through financial incentives (Brazenor 2002; Schofield et al. 2007). Indeed, our findings suggest that increasing the eligibility age for the Age Pension and reducing accessibility to the Disability Support Pension without simultaneously providing appropriate support would be ineffective for retaining workers in ill-health or with disabilities in the workforce. This is because the reasons these workers have left the workforce could not be redressed by individual financial incentives or disincentives, but could be remedied by timely support.

Our analysis indicated that participants who were unable to work because of disability and whose exit from the workforce was unplanned were the worst off in terms of health and wealth. As Schofield and colleagues (2007) have argued, given that about 50 per cent of men and 20 per cent of women retire early because of ill-health or disability, promoting health across the workforce could substantially circumvent early labour market exits. At the same time, however, because people living with disability are likely to be in low quality jobs and have lower than average labour market earnings (Brazenor 2002), it is unclear that remaining in a potentially low-earning, low quality job would benefit their health (Cooke 2006). One of the recent policy arguments used to move Disability Support Pension recipients back in to the workforce is that the most common form of employment has shifted from traditional permanent full-time (and often lifelong) jobs toward casual and part-time jobs. This change has been argued to be a positive for people with disabilities, offering opportunities to find flexible jobs (Soldatic & Pini 2012). Given that most of our unplanned exit group had been working in casual, low paid, low quality, our findings suggest there is a danger that exhorting people with disabilities or ill-health to find casual jobs (that are also potentially low paid and low quality) may lead to even worse health and wellbeing. Further, disincentives to accessing pensions such as tightening eligibility criteria for this group would most likely not have enticed them in to paid work but may have exacerbated their poverty and their ill-health or disability.


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In the Australian policy context, if not for the availability of the Disability Support Pension, many of our study participants would not have had access to any form of income and it was unlikely, particularly for those who suffered mental illness, that they could have maintained the requirements for receiving unemployment benefits. This finding supports the value of a disability pension for these vulnerable ex-workers. Nevertheless, had they been able to access support at an early stage, their experience may well have been different, given that almost all had stated a preference for being in paid employment.

Study limitations

There are several limitations to our study. While the survey achieved a high response rate, as with similar surveys it was not representative of the entire population, for example those without home telephones and those for whom English is a second language. Consequently, the interview sample also underrepresented those groups. As mentioned above, the interviews were conducted up to a year after the survey, so some participants had changed their employment status when contacted for an interview. Nevertheless, those in bridge employment provided useful data concerning what entices people who are out of the workforce to regain paid employment and demonstrates the fluidity of the meaning of retirement.

Conclusion

We conclude that the unequal distribution of resources among people aged 50-64 years who are out of the workforce means that those with greater access to resources, including accumulated wealth and better pre-exit health, experience better health and wellbeing in their lives after work than those who have fewer resources. Participants who reported enjoying excellent health were those who fully planned when they wanted to retire, retired when healthy, had enough money to live comfortably and were able to spend their time enjoying activities meaningful to them. Participants who reported experiencing poor health, by comparison, were mainly those whose exit from the workforce was unplanned, who were in financial difficulty and had few resources to participate in meaningful activities since stopping paid work. Those participants who partially planned their exit may have been enticed to stay had they felt more valued by their workplace and enjoyed better working relationships. Those who had gained bridge employment confirmed that returning to workplaces that valued them and engaging in jobs that were meaningful and rewarding were more important factors than financial incentives to remain in the workforce. Our study emphasises the need for policy responses to attend to improving workplace conditions and positive working relationships as part of encouraging older workers to postpone retirement. Moreover, our study validates the importance of increasing support for older workers to maintain their health and wellbeing, particularly if they are expected to extend their time in the workforce. Our findings suggest that increasing support for older workers living with disability or ill-health is essential for retaining and regaining employment


for these workers. Crucially, our study indicates that workforce policy that emphasises financial incentives or disincentives without concurrently building systemic support structures is not likely to work for any of our study groups.

Acknowledgements

We wish to thank the study participants for giving up their time to take part in our in-depth interviews. We would also like to thank the two referees for their helpful comments. This research was funded by NHMRC grant no. 375196.

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Shacklock, K., Brunetto, Y. & Nelson, S. (2009) ‘The different variables that affect older males’ and females’ intentions to continue working’, Asia Pacific Journal of Human Resources 47 (1), 79-101.

Shacklock, K., Fulop, L. & Hort, L. (2007) ‘Managing older worker exit and re-entry practices: a “revolving door”?’, Asia Pacific Journal of Human Resources, 45 (2), 151-167.

Soldatic, K. & B. Pini (2009) ‘The three Ds of welfare reform: disability, disgust and deservingness’, Australian Journal of Human Rights, 15 (1), 77-95.

Soldatic, K. & Pini, B. (2012) ‘Continuity or change? Disability policy and the Rudd Government’, Social Policy and Society, 11 (2), 183-196.

Strauss, A.L. (1987) Qualitative Analysis for Social Scientists, Cambridge, Cambridge University Press.

Topa, G., Moriano, J.A., Depolo, M., Alcover, C., Morales, J.F. (2009) ‘Antecedents and consequences of retirement planning and decision-making: a meta-analysis and model’, Journal of Vocational Behavior, 75 (1), 38-55.

Walter, M., Jackson, N. & Felmingham, B. (2008) ‘Keeping Australia’s older workers in the labour force: a policy perspective’, Australian Journal of Social Issues, 43 (2), 291-309.

Warren, D. (2008) Retirement expectations and labour force transitions: the experience of the baby boomer generation, Working Paper no. 24/08, Melbourne, Melbourne Institute of Applied Economic and Social Research.

Yeatman, A. (2000) ‘Mutual obligation: what kind of contract is this?’. In P. Saunders (ed.) Reforming the Australian Welfare State, Melbourne, Australian Institute of Family Studies.

Endnotes1. In 2017, Age Pension eligibility will increase from 65 years old in six month increments at

two-yearly intervals until 2023, when the eligible age will be 67 years for men and women. The minimum age for women has been increasing incrementally and will be 65 years by 2013 (Centrelink 2009).

2. The Department of Veterans’ Affairs issues health cards to veterans who have been granted a service pension, whereby the Department pays for health care costs. Gold card holders are eligible to have treatment and health services for all medical conditions paid by the Department (Department of Veterans’ Affairs 2011).

3. Participant information from survey data.

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Yarning about gambling in Indigenous communities: an Aboriginal and Islander Mental Health InitiativeTricia Nagel, Rachael Hinton, Valerie Thompson and Neil Spencer

Abstract

Gambling impacts upon the health, wellbeing and finances of many people throughout Australia. This study aimed to explore the socioeconomic and cultural factors linked with gambling in urban and remote Indigenous settings in the Northern Territory to inform the development of a gambling public health strategy. The Aboriginal and Islander Mental Health Initiative developed a semi‑structured questionnaire with Aboriginal partner organisations following consultation. Indigenous consumers of substance use treatment facilities participated in focus group discussions and key informant interviews were conducted with nine service providers at two time points, a year apart. Participants described key strengths in community as family, health and culture, while key worries included substance misuse, health concerns and family disharmony. Regulated gambling and card playing were also identified as important community worries. Financial and family concerns and addictive behaviour were seen as negative consequences of gambling. There was increasing concern linked with card playing and electronic gaming machines and an increased call for awareness campaigns, support from government for change and greater regulation. The findings of this study provide the most recent insight into attitudes, behaviours and consequences linked with Indigenous gambling in the Northern Territory.

Keywords: empowerment, gambling, Indigenous mental health, public health strategy, resilience


Introduction

National and international evidence suggests Indigenous gambling involvement, gambling expenditures and gambling-related problems are higher than that of non-Indigenous people (Raylu & Po Oei 2004; Delfabbro et al. 2005; Volberg & Wray 2007; Dyall 2010). Dyall argues that it is not only the availability of gambling, but also accompanying historical, economic and political changes that have led to increased gambling problems among Indigenous peoples in particular (Dyall 2007; Dyall 2010). Although the economic and societal implications of problem gambling are well understood (Brady 2004; Raylu & Po Oei 2004; Breen 2007; Dyall 2007), the potential threat of gambling to Indigenous social and cultural values has also been highlighted in the international literature (Dyall 2010).

Gambling is a big and rapidly growing business in Australia. It provides recreational pleasure, while also having adverse social consequences. The costs include financial and emotional impacts on gamblers and on others in their environment (Productivity Commission 2010). The challenge for policy makers and the gambling industry is to reduce the costs of problem gambling, through harm minimisation and prevention measures, while retaining as much of the entertainment benefit as possible (Productivity Commission 1999). Australian Indigenous people’s gambling activity has, however, been influenced by distinct social, economic and historical factors. Understanding these influences and current attitudes to gambling is pivotal to the introduction of strategies to minimise gambling-related harm within Aboriginal and Torres Strait Islander communities. This study aimed to explore the socioeconomic and cultural factors linked with gambling in urban and remote Indigenous settings in the Northern Territory, to inform the development of a gambling public health strategy.

Gambling in the Northern Territory

It has been established that gambling activity in the Northern Territory (NT) began in the context of goods trading with the Macassans along the north coast, while modern card playing for money was likely introduced during European colonisation (Altman 1985; Brady 2004; Breen 2007; Christie et al. 2009). The introduction of unemployment benefits in remote communities in 1979 resulted in a rapid increase in access to cash. This was directly observed as leading to increased gambling in one remote community and supports the link between gambling and immediate surplus cash (Altman 1985). Indigenous gambling for money differs from non-Indigenous gambling in its use as a redistributive and accumulative mechanism (Altman 1985; Keen 2010). Research has shown that gambling can provide a means for people with no cash income to gain access to some cash. It also allows people to accumulate resources to purchase costly items, such as vehicles and white goods, for the extended family to use, but without incurring obligations. The emphasis is on the positive value of gambling as an expression of reciprocal social responsibility (Altman 1985; McMillan & Donnelly 2008).


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The limited available research evidence on the role of unregulated gambling, such as card games, in remote communities suggests both positive (Christie et al. 2009) and negative impacts on individuals and the community (Stevens & Young 2009; Breen et al. 2010). Gambling provides opportunity to meet cultural needs for storytelling, sharing and socialising in communities and offers a relaxing, enjoyable leisure activity with potentially reduced alcohol consumption (Christie et al. 2009; Breen et al. 2010). However, these positive aspects of Indigenous gambling are increasingly outweighed by the negative impact of changes to the gambling landscape. Indigenous gambling has become widespread over the last three decades, not only in response to improved access to the cash economy, but also due to increased regulated gambling opportunities (Productivity Commission 1999). Unregulated gambling and community card games remain popular, but they are no longer the predominant form of gambling for Indigenous Australians in cities or country towns. Commercial forms of gambling such as TABs introduced in the 1970s and casinos and EGMs (electronic gaming machines, commonly called ‘pokies’) introduced in the 1980s and 1990s have proliferated (McMillen & Donnelly 2008). Regulated gambling venues are not only increasingly accessible but also particularly attractive and acceptable to Indigenous people (Christie et al. 2009). Venues are described as providing ‘neutral’ places to meet with others without cultural responsibility and protocol dominating behaviours. Furthermore, the increased adoption of urban lifestyles both exacerbates the need for money and increases access to regulated gambling (Christie et al. 2009). The potential risks of transition from community-based card games to electronic gaming machines include their potential to ‘drain a substantial amount of money from communities that are already hurt by money spent on alcohol’ (Brady 2004: 6).

There is increasing awareness of the negative consequences of Indigenous gambling. These include family and relationship disharmony, alcohol and other drug problems, mental illness, crime and personal financial concerns (Breen et al. 2010; Stevens & Young 2010). Stevens and Young (2010) have reported that Indigenous gambling problems correlate with overcrowded housing, low income and community disharmony. In rural areas the limited opportunities for alternative recreational activities accessible to Aboriginal people also contribute to high levels of problem gambling (Aboriginal Health & Medical Research Council of NSW 2007). In addition, one unintended consequence of the NT Emergency Response (NTER) – a Commonwealth intervention which includes the quarantining of income for specified purposes such as essential provisions – was that the diminished amount of money available in the community may have inadvertently increased the role of gambling in money-making activity (Christie et al. 2009). These Australian findings echo international research which links gambling with disempowerment and marginalisation (Volberg & Wray 2007; Dyall 2010) and the ‘boredom, chaos and trauma’ of everyday life (Dyall & Hand 2003: 325). Schissel ascribes the perpetuation of ethnic minority gambling problems to political influence such as the ‘addiction’ of governments to ‘gaming-based revenue’ (2001: 475).


The need for a culturally sensitive population health approach

Gambling was only identified as a public health issue relatively recently in Australia (Productivity Commission 1999). Research has found smoking, depression and problem drinking are common co-morbid disorders with problem gambling and highlights the importance of approaching gambling within a public health framework (Thomas et al. 2003). Such a framework would adopt the concept of a continuum from healthy to moderate to problem gambling, rather than only focusing on the measurement of problem gambling (Rodgers et al. 2009). It would also contribute to diminishing the shame and stigma which impede help-seeking behaviour (Christie et al. 2009). Australian researchers have therefore called for broad measures to address problem gambling as a public health issue that include population-based strategies and that adapt public health tools and processes (Breen et al. 2010). Similarly, in New Zealand, Dyall and Hand (2004) have called for a public health strategy to target problem gambling and have emphasised that its implications require a response no different to those for other health concerns, such as alcohol and smoking.

A public health approach would consider shifting the prevailing culture around gambling through the use of awareness campaigns, regulation and legislation, as well as promoting access to treatment. Mandatory pre-commitment strategies for EGMs, which are currently under debate in the Australian context, would be one strategy within a broader public health implementation plan. This framework could be modelled on the recommendations for alcohol within current health preventative strategies (National Preventative Health Taskforce by the Alcohol Working Group 2008). To be effective in remote Australia, such a framework would need to take into account Indigenous perspectives (Christie et al. 2009) and to ensure that tools for population screening, diagnosis, measurement of severity and treatment are culturally informed and appropriate. Yet there is little recent, published research reporting the first-hand perspectives of Northern Territory Indigenous people related to gambling. Christie and Young (2011) propose a revision of the approach to Indigenous gambling in the urban NT, which they suggest would be better aligned with local Aboriginal perspectives, needs and aspirations. A recent study by Lamb and Young (2011) also calls for locally-based responses to problematic forms of gambling in the NT. Given the heterogeneity of Indigenous peoples across Australia, incorporation of differences in perspectives, approaches and localities is pivotal for informed public debate. This article reports on the findings of an exploratory qualitative study of the socioeconomic and cultural factors linked with gambling among remote and urban Indigenous people in the Northern Territory. In using the term Indigenous in this article, we refer to Aboriginal and Torres Strait Islander people and acknowledge their diversity of language and culture.


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Methodology

The study used a participatory action research (PAR) design. This type of research design made it possible for participants to discuss their attitudes and perceptions of gambling, reflect on gambling-related experiences, develop their own criteria of risks and benefits and elaborate on their own ideas about what appropriate interventions may look like for them. PAR was well suited to understanding the social contexts of problem gambling. A distinctive feature of the PAR design is its compatibility with research involving Indigenous peoples, as it emphasises respect and the facilitation of social change, and uses the language of participants to identify what needs to happen (Greenhill & Dix 2008). The design incorporated multiple methods and qualitative sampling techniques.

An initial phase of consultation and informal interviews informed the development of an interview and focus group discussion schedule to explore gambling attitudes, behaviours and consequences. Following this phase, key informant interviews (KIIs) were conducted with service providers who had particular knowledge about the subject and could give additional insight into the nature of problem gambling. Focus group discussions (FGDs) were held with Indigenous clients of substance use facilities. These discussions allowed sensitive issues to be explored by creating a safe and comfortable environment with opportunity for a range of opinions to be shared and heard (Liamputtong 2010). Interviews and FGDs were conducted at two different time points and with participants from three different organisations. By collecting data at different points in time and in different spaces we could be assured of the completeness of the data. We would have the opportunity to confirm findings as well as identify new themes. The use of different data collection techniques and multiple perspectives also reduced the chance of systematic bias and enhanced the trustworthiness of the findings (Flick 2009).

Initial consultation phase

From 2008 to 2009 the research team worked in collaboration with Waltja Tjutangku Palyapayi Aboriginal Corporation and Amity Community Services Inc. During this period both organisations were working in remote communities to address gambling-related harm. The research team held discussions with the Waltja executive in Alice Springs and reviewed findings from remote community ‘wise spending’ education workshops, including Indigenous paintings and written summaries. The majority of this material was gained from workshop participants who were local Aboriginal women within the communities. A research team member (an Aboriginal artist) was also engaged to draw pictorial representations of the positive and negative aspects of gambling. The drawings were discussed and revised according to feedback from both organisations. An interview schedule (see Appendix 1) was developed following the thematic analysis of Amity and Waltja workshop data. The schedule included closed-ended questions about the most common types of gambling (such as card playing, pokies, horses) and the types of gambling perceived to cause


the most concern. Open-ended questions focused on the positive and negative aspects of gambling and the changes required in response to problem gambling in communities. The interview schedule also incorporated components of the Aboriginal and Islander Mental Health Initiative (AIMhi) ‘Motivational Care Planning tool’, developed in previous studies with Indigenous people in the NT (Nagel & Thompson 2007). It included open questions and pictorial prompts related to the spiritual and cultural, physical, social and family and mental and emotional spheres of life. The final draft of the interview schedule was presented for final review to Waltja Tjutangku Palyapayi Aboriginal Corporation and Amity Community Services Inc. Ethical approval was granted by NT Central Australian and Top End Human Research Ethics Committees.

Participant recruitment

The research team consulted with a number of health boards and community-based organisations to purposively recruit relevant participants to the study and a partnership was formed with a residential substance misuse service in Darwin and a second Alice Springs-based service. The services offer a 12-week outpatient and eight-week residential program for Indigenous clients with substance use concerns. Service providers and clients in these settings were deemed likely to have high awareness of gambling problems, given the known high co-morbidity of gambling and substance misuse. Between 2010 and 2011 a total of 71 participants were recruited to the study. Twenty-six Indigenous consumers of the substance use facilities participated in an FGD in 2010 and 33 different consumers were interviewed within the same settings after 12 months. Nine key informant interviews (KIIs) were conducted with Alcohol and Other Drug (AOD) and mental health service providers in 2010, with an additional nine conducted with service providers after one year. Six key informants were involved in both stages of the study.

Key informant interviews

Two male and two female Indigenous researchers conducted key informant interviews with members of the NT government mental health workforce in Darwin and in two residential treatment services located in the Top End (Darwin) and Central Australia (Alice Springs). The researchers liaised with service staff to find times that aligned well with service and staffing programs and priorities. The interview schedule was used to guide key informant interviews in order to explore service provider perspectives of the role and impact of gambling in Indigenous communities. The researchers recorded the interviews in note form and participants self-completed the list of different forms of gambling. Key informant interviews were completed in 30 to 60 minutes and follow-up interviews were conducted one year later. These second-round interviews were conducted to gain additional insights into participants’ attitudes and perspectives on gambling as well as to reinforce the data collected 12 months earlier.


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Focus group discussions

The research team held group information sessions for staff and consumers prior to seeking informed consent and conducting the group discussions. The Darwin-based FGDs were mixed gender while the Alice Springs service chose to run separate groups for men and women. The size of groups ranged from three to 11 people. All focus groups were conducted in a relaxed and informal setting, in lounge rooms, in a training room and, in one case, outside under awnings. Each focus group lasted between one and two hours. The research team used the interview schedule to guide the discussion, which focused on identifying strengths and worries and client’s attitudes towards gambling, gambling behaviour and consequences. Although a few participants were initially shy and reserved, as the sessions progressed they relaxed and became well engaged in the process. One research officer recorded responses on the data sheet while the group moderator wrote responses on a whiteboard and participants self-completed the gambling checklist. Follow-up FGDs were conducted with a different cohort of Indigenous clients of the residential substance misuse facilities after 12 months. As with the KIIs, these FGDs were use for the purpose of data saturation and confirmation.

Data analysis

All interviews and focus groups were manually recorded using interview sheets and field notes, and were later transferred to an electronic Microsoft Access database. The responses to closed ended questions about the most common forms of gambling were analysed using descriptive statistics, while responses to open-ended questions were content-analysed by two researchers. This process involved the identification of emerging themes, unanticipated findings and gaps in the data and consensus themes were ranked according to their frequency (Johnson & Turner 2003; Rocco et al. 2003).

Results

At both interview points Indigenous client participants were a mix of remote and urban residents and the majority were unemployed. All key informants were employed within the AOD workforce or mental health service sector (Table I). Key informants tended to be older in age than focus group members and were more likely to be urban residents.

Prior to exploring sensitive issues of concern related to gambling within urban and remote Indigenous settings, the research team asked participants to reflect on the strengths within Indigenous communities. This question was used to encourage discussion of strength and resilience factors, promote engagement with the participants as well as provide a context within which to promote change and explore solutions. The most frequently mentioned strength overall was the support of family and friends, followed by living in community and maintaining and learning of culture and traditional ways. The second round group in 2011 also frequently mentioned work or leisure activities as an additional strength, with participants reflecting on the financial


and social benefits of being in employment and in keeping occupied with a variety of activities. Participants were also asked to reflect on current worries in Indigenous communities. Overall the most frequently mentioned stressors included substance misuse, poor health, family concerns and problem gambling. Other socioeconomic pressures cited included mental health and wellbeing concerns, such as ‘feeling sad and shame which leads to humbug’, violence, ‘you get angry if you lose [money gambling] which can lead to domestic violence’ and financial constraints, such as ‘[in general] not having money for bills or what you owe others’.

Table 1: Participant characteristics

2010 (n)

2011 (n)

Consumers Service providers

Total Consumers Service providers

Total

Total Participants 26 9 34 33 9 42

Male 25 7 31 28 6 34

Median age range (years) 30‑35 40‑45 30‑35 40‑45

Remote resident 19 0 19 15 0 15

Employment

Full‑time 0 8 7 0 8 8

Part‑time 0 1 1 0 1 1

CDEP 5 0 5 0 0 0

Benefits 21 0 21 33 0 33

Service Role

AOD worker 2 4

Aboriginal mental health worker 2 2

Manager 2 2

Community worker 1 0

Client liaison officer 1 1

Administrative officer 1 0

Gambling and its consequences

Participants were asked to identify the most common forms of gambling in their community and that which causes the greatest concern. Participants perceived the most popular form of gambling to be unregulated card playing, followed by regulated gambling at the casino and electronic gaming machines (pokies). Other regulated gambling activities identified were bets on football and horse racing. The gambling activity of most concern for participants in the first round of interviews in 2010 was the casino, followed by pokies. An important finding to emerge was the increasing number of respondents in the second round of interviews who identified card playing as of the most concern, whereas casinos were cited less frequently. Frequent comments from both consumers and service providers were that cards were more popular, widespread and of greater concern


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in remote communities, whereas pokies were a more pressing issue in town. Many participants felt people from outside the community, such as those living in other communities or urban areas, were visiting remote communities for the purpose of large unregulated card games and, as a result, money (winnings) was being extracted from the community rather than shared among its members.

Participants were asked to consider the good things about gambling as well as gambling concerns. Overall, participants frequently identified the social aspect of gambling as a positive, such as the incorporation of unregulated gambling activities into family visits and social gatherings, and the opportunity to ‘catch up’, ‘tell stories’ and relax with friends and family. The benefits that came from winning were frequently mentioned (such as having a surplus to pay bills, go shopping), as was sharing the proceeds of a win with friends and family. Several responses related to a reduction in money spent on alcohol or other drugs. In response to an open question about the ‘not so good’ things about gambling, over the course of the study participants frequently identified the financial burden of problem gambling and the wellbeing concerns and family problems that arose as a consequence (Figure 1). Being in debt, feelings of shame and stigma, addiction and constant family arguments were discussed as serious gambling-related consequences. The negative impact of gambling on family wellbeing and finances was a theme more frequently discussed by participants in the second round of interviews.

Figure 1: Gambling concerns identified, at two interview points

What change is needed around gambling?

The final questions explored what change was needed related to gambling and who was responsible for making the change. In terms of what changes were needed, the most common solutions identified related to the individual, such as limiting time and consumption on gambling and maintaining participation in education, work or other activities. Other themes to emerge were family focused, such as families spending more time together outside of the opportunities


created by unregulated gambling. Participants identified government, services, individuals, families, and community, such as elders and leaders as agents of gambling change. One theme mentioned more often in the second round of interviews was the need for government to play an active role in gambling change, with increased regulation or legislation the most commonly identified solutions (Figure 2). Examples of responses included the removal of pokies from clubs and public bars, increased awareness and education about gambling and the continued quarantining of income as part of the NT intervention. One specific community-based strategy identified was to ‘stop selling cards within the community’. Overall there was a marked decrease in the second round of interviews in the emphasis on community and family as important agents of change identification (Figure 3).

Figure 2: Changes needed to address gambling concerns, at two interview points

Figure 3. Preferred change agents to address gambling concerns, at two interview points

Participants were also asked to reflect on how it could be determined whether change related to gambling within the community has happened, and how people might behave and feel after change occurred. The most common changes


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described by participants related to improved family harmony due to reduced financial pressures and families spending more time together away from gambling. Financial stability and ‘spending wisely’ were therefore also frequently mentioned as indicators of change, as was improved social and emotional wellbeing, such as increased self-respect and less ‘humbug’ of family and friends. In terms of feelings linked with the change, the overwhelming feelings were of happiness, less anxiety, more pride and less shame, and more motivation. Additional evidence of improvement was described as improved knowledge and understanding of gambling-related problems, and feeling more connected to culture, family and community.

Request for more information

At the end of each interview and FGD, the researchers inquired about interest in receiving education about gambling. Participants were unanimous in their interest in receiving information about community-based services related to wise spending, mental health and/or gambling, and in receiving support for a community-based intervention related to making change. In addition, most were also interested in receiving information about gambling and/or mental health workshops.

Discussion

The findings related to perceived community strengths and concerns support those of recent studies suggesting that family, culture and community are central values across different Indigenous communities (Nagel & Thompson 2007; Christie et al. 2009). These were the most highly valued strengths identified throughout the study. Such community strengths and worries are also reflected in the specific gambling concerns reported, such as family disputes and community disharmony intensified by substance misuse and violence. As well as indicating protective and resilience factors, these findings support the proposition that community-wide as well as individual approaches to treatment are relevant for remote NT Indigenous peoples (Christie et al. 2009).

The participants in this study perceived an increased engagement of Indigenous people with regulated forms of gambling. In line with previous research (McMillen & Donnelly 2008), our study showed regulated gambling was identified as a pressing concern. There was a difference at 12 months, however, with a reported increased concern linked with larger unregulated card games in remote communities and money being extracted from, rather than redistributed within, the community. This is in keeping with the findings at consultation, which led to development of the study.

This study provides relevant insights into the role of gambling in Indigenous communities. Gambling is recognised as a recreational activity. It is strongly linked with socialising, fun and relaxation. This study supports other research findings that gambling allows opportunity for sharing and socialising, with the potential for reduced spending on alcohol (Christie et al. 2009; Breen et al. 2010). On the other hand, these findings also support the proposition


that limited opportunities for alternative recreational activities contribute to high levels of problem gambling (Aboriginal Health & Medical Research Council of NSW 2007). There were many distressing and disturbing aspects of gambling reported by participants. Financial, social and emotional wellbeing concerns (such as shame, stigma, substance misuse) and family problems (such as arguments, violence, financial constraints) were frequent responses, while improved financial stability, family support and integration, and improved wellbeing were reported as the strongest evidence of positive change around gambling activity. Thus the responses also support the findings of Stevens and Young (2010), which show that Indigenous gambling problems correlate with community disharmony, including violence and alcohol misuse.

Gambling and mental health

Our study finds that respondents link gambling with shame, unhappiness and anxiety. These feelings, characteristic of high emotional distress, are likely to link with vulnerability to mental illness. Mental disorders are a leading contributor to the disease burden in Indigenous Australians (Begg et al. 2007; Vos et al. 2008). Between 2004–05 and 2008–09 hospitalisation rates for mental and behavioural disorders were around 1.7 times higher for Indigenous persons than for non-Indigenous persons across all years (Productivity Commission 2011: 7.53). Our findings contrast somewhat with a previous report (Hunter 1993) that, unlike non-Indigenous gamblers, card players in Indigenous communities do not experience distress at large gambling losses or have higher rates of depression, although they do have anxiety.

Strategies for change: government and regulation

Participants identified a number of strategies for gambling-related change: increased work and activities, education of gamblers, raised awareness and regulation, and legislation. There was a difference in participants’ responses in the 2010 and 2011 groups regarding the use of regulation and legislation strategies as proposed solutions to gambling concerns, and a related difference of emphasis on the agents of change. While the community was mentioned as the lead change agent by participants in the first round of interviews, participants in the second round were more likely to see government in this role and to see regulation and legislation as solutions. The findings suggest that although family, community and culture are the most frequently identified community strengths, there appears to be reduced confidence in these institutions as agents of change. One possibility is that the NT Emergency Response has brought a greater assumption or expectation of intervention from outside the community itself.

These findings raise concern about the decrease in empowerment and community efficacy over time within these communities. Health of communities has been linked with social capital and empowerment, and the belief that communities can make change from within (Kawachi & Kennedy 1997; Baum 1999). The reduction in participant confidence in the community’s capacity to make change and take action is particularly important given that international studies link increased gambling with disempowerment and marginalisation


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(Volberg & Wray 2007; Dyall, 2010) and suicide risk of Indigenous peoples with lack of cultural continuity (Chandler & Proulx 2006). Studies among First Nations peoples have established that when a community takes active steps to preserve and rehabilitate its own culture, there is a reduction in overall suicide rate (Chandler & Lalonde 1998). Chandler and Lalonde (1998; 2008) have shown ‘protective factors’, such as securing native title, taking back from government agencies certain rights of self-government, community control over social and community services and communal cultural activities and facilities, need to be present in a community in order to build cultural continuity. Regeneration of this capacity and confidence in Indigenous Australian communities will be an important component of improved outcomes related to gambling. This is especially relevant in the current context of the NTER. The Human Rights Commission has argued that Indigenous Australians will be re-traumatised if the Intervention results in further disempowerment or a sense of extreme powerlessness, with negative mental health, social and emotional and physical consequences (HREOC 2008).

Study limitations

The information obtained in this study was limited by the choice of a small, non-random sample (Indigenous clients and service providers in mental health and treatment services) and thus does not necessarily generalise to the broader Indigenous population. The majority of participants in this setting were also adult males and the participation of more women and younger people in the study might have increased the diversity of perspectives and attitudes about Indigenous gambling. In addition it is not clear how far the interview and focus group findings are reported from first or second-hand experience. Despite these limitations, the study provides useful insight into perceptions of gambling in these settings.

Conclusions

Decreasing the health gap between Indigenous and non-Indigenous Australians involves promotion of resilience as well as targeting specific health concerns. Gambling is linked with socialising and sharing in Indigenous communities, but more importantly is associated with financial difficulties, emotional distress and family disharmony. Indigenous people are especially concerned about card playing in remote communities and electronic gaming machines in town. Promoting community strengths will be key to public health strategies to minimise gambling-related harm. In addition, participants recommended a number of strategies for gambling change, including more employment and recreational activities, education of gamblers, raised community awareness, and increased regulation and legislation.

Community awareness and education programs which promote resilience factors, such as cultural identity and values of Indigenous peoples, will be important for sustained change and improved health outcomes (Kirmayer et al. 2003). Regulation (and legislative) change, which engages with community


leadership and control, will concurrently enhance community efficacy. Our findings lead to the specific recommendation that government adopts a preventive public health approach to Indigenous gambling similar to that recommended for alcohol use (National Preventative Health Taskforce 2009). This would aim to change the culture of gambling through a multi-pronged approach. Regulation and legislation, community awareness and education campaigns, and provision of a broader base of culturally-appropriate treatment services tailored to different communities, will be important components of the approach. Given the heterogeneity of Indigenous peoples across Australia, the incorporation of differences in perspectives, approaches and localities is critical. Heightened awareness of the link between gambling and emotional distress is also essential, while encouraging further research to examine protective and risk factors, responses to treatment and the outcome of preventive strategies.

Acknowledgements

The Foundation of Rehabilitation with Alcohol Related Difficulties Aboriginal Corporation (FORWAARD), Central Australian Aboriginal Alcohol Programs Unit Aboriginal Corporation (CAAAPU) Waltja Tjutangku Palyapayi Aboriginal Corporation and Amity Community Services Inc. supported this research study, in collaboration with Cowdy Aboriginal Mental Health Workers and members of the Menzies Aboriginal and Islander Mental health initiative (AIMhi) research team (especially John Cusack and Leigh-Ann Onnis). Financial support was provided by a Community Benefit Fund Amelioration grant (2009-2011).

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Appendix 1: Topic guide for key informant interviews and consumer focus groups

1. Community strengths (Show Grow Strong Tree from flip chart)a. What do you see as the five most important things that keep people

strong in this community?

2. Community worries (Show Worries Tree from flip chart)a. What do you see as the five biggest worries for people in this

community?

3. Gambling in this communityGambling is when you play cards or other games for money or pokies or other games in casinos pubs and clubs (betting on footy, horse racing etc)a. What types of gambling do people do in this community? (Place ticks in

column A next to those you see/know about)

A. Gambling types in this community

B. Most popular C. Causes most worries

1. Cards

2. Pokies

3. Casino

4. Footy

5. Horses

6. Other

b. What is the most popular type? (Place one tick in Column B)c. What type causes the most worry and trouble for people? (Place one

tick in Column C)

4. Good things about gambling in this communitya. What do you see are the good things about gambling in this community?

5. Not so good things about gambling in this communitya. What do you see are the not so good things about gambling in this

community?


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6. Making Changesa. What do you think needs to change about gambling in this community?b. Who do you think can help to make that change in this community? c. How will people know if that change has happened? d. What will people be doing differently? e. How will they be feeling differently?

7. Information and supportWould you be interested in: a. information about Amity Community Services gambling workshops and

their community development approach? b. information about AIMhi workshops related to mental health and/or

gambling? c. information about other community based services related to wise

spending, mental health and/or gambling?d. Support for a community based intervention related to making change?

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Health and community services for trafficked women: an exploratory study of policy and practiceToni Schofield, Julie Hepworth, Mairwen Jones and Eugene Schofield

Abstract

The trafficking of women has attracted considerable international and national policy attention, particularly since the UN Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children (2000), of which the Australian Government has been a signatory since 2005. The provision of health and community services for trafficked women is a central feature of this Protocol, but in Australia service provision is made difficult by how trafficked women are understood and treated in policy and legal terms. This study aimed to explore the provision of health and community services for trafficked women in the Greater Sydney region through a series of interviews with government and non‑government organisations. The findings reveal that services have been inaccessible as a result of sparse, uncoordinated, and poorly funded provision. The major obstacle to adequate and appropriate service provision has been a national policy approach focusing on ‘border protection’ and criminalisation rather than on trafficked women and their human rights. We conclude that further policy development needs to focus on the practical implications of how such rights can be translated into the delivery of health and community services that trafficked women can access and be supported by more effectively.

Keywords: trafficked women, health and support services, policy, rights, social citizenship


Introduction

This article reports on exploratory research conducted in mid-2007 to examine health and community services for trafficked women in the Greater Sydney region, Australia. The majority of those trafficked into Australia are women working in the sex industry, mainly in Melbourne and Sydney (McSherry & Kneebone 2008; Schloenhardt et al. 2009; Schloenhardt & Loong 2011). According to the United Nations Office on Drugs and Crime (UNODC 2008), sexual exploitation is the main purpose of human trafficking worldwide. The trafficking of women has attracted considerable national and international policy attention, with policy makers committed to ‘protecting victims’ and eradicating the trade that is considered to operate on a vast scale globally (Segrave 2009). The exact number of people who have been trafficked into Australia is currently unable to be determined (McSherry & Kneebone 2008; Schloenhardt et al. 2009; Commonwealth of Australia 2010). Recent estimates differ greatly depending on the source of information (Schloenhardt et al. 2009). Non-government organisations (NGOs) such as Project Respect (2009) have estimated that approximately 1,000 women in Australia are trafficked for prostitution each year, while Government sources propose a much lower figure (Commonwealth of Australia 2010).

The provision of health and community services for trafficked women is a central feature of the main international policy on trafficked persons – the UN Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children (2000) – of which the Australian Government has been a signatory since 2005. Service provision also is a key concern of a US-based initiative established in 2005 to monitor, evaluate and rank international efforts, including those of Australia, to prevent human trafficking and protect those who are victims of it, particularly women and children (Chuang 2006). Since 2009, the Australian Government has focused more explicitly on health and support services for trafficked people, providing guidelines (Commonwealth Attorney General’s Department 2008) designed to ensure ‘best practice’. Yet as recent commentary in this field has pointed out, there is ‘limited scholarly research’ on health and health service provision for trafficked people in Australia, including the implementation of the new guidelines (Schloenhardt & Klug 2011: 411). As Schloenhardt and Klug (2011: 397) point out, ‘[m]uch of the available information (related to the health and health care of trafficked people) stems from official government sources, media reports, and, in particular, the reported case law’.

Accordingly, although the data presented in this article pre-date recent Australian policy reforms related to health and support provision for trafficked women, the analysis we provide is unique. It is based on a systematic empirical investigation of health and community services provision to trafficked women in Australia, particularly the barriers to access that they experience, and is informed by a critical theoretical framework that offers a foundation for understanding the political dynamics – both national and international – involved in the development of Australian policy in this field. To ensure

Health and community services for trafficked women: An exploratory study of policy and practice

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the contemporary relevance of our analysis, we compare our findings with information on health and support provision to trafficked women after 2009. Our central purpose is to contribute to advancing knowledge and understanding of ‘the problem’ (Bacchi 2012) of health and community services for trafficked women from a policy perspective. As Carol Bacchi (2012) has convincingly argued, the ways in which policy problems are ‘represented to be’ shapes the types and adequacy of policy actions, including service and program development, to address them.

Australian feminist approaches

Australian policy and legislation pertaining to the trafficking of women and their entitlement to support and assistance in ‘receiving’ countries has been the subject of vigorous discussion and debate, particularly among feminist scholars (McSherry & Kneebone 2008; Segrave 2009; Holmes 2010; Milivojevic & Segrave 2010). Australian feminist commentary and analysis has mainly focused on policy and legislation as state institutional mechanisms that render trafficking in women a process of violation enacted along two main axes: one related to persons (in this case, the ‘victims’ and the ‘perpetrators’ of the crime of trafficking); and the other to national borders. Feminist commentators have pointed out that trafficked women are viewed as either ‘victims of crime’ and ‘victims of human rights violation’, or as ‘illegal non-citizens’. The construction of trafficked women as illegal non-citizens is linked to the assertion and protection of national ‘border regimes’ that restrict the mobility of labour, primarily women from poor to rich countries, including those engaged in sex work, through policies related to border protection and illegal migration (Segrave 2009; Milivojevic & Segrave 2010). Women trafficked for sexual purposes are thereby rendered ‘illegal non-citizens’ whose status as citizens can only be re-established through ‘repatriation’ to their source countries (Milivojevic & Segrave 2010: 46-50).

The imperative to control border transgressions to maintain state sovereignty and integrity is the main driver of policy related to trafficked women, according to much of the feminist literature. Virtually no women who are publicly identified as victims of trafficking are allowed to stay in Australia. As a consequence, while trafficked women are rendered victims, they are nevertheless also perpetrators of border violations, together with those who have trafficked them. Maintaining national border integrity demands their return to their country of origin and prosecution of those who orchestrated the breach.

Social citizenship and policy on health and social support for trafficked women

So what about policy related to the provision of social support and assistance to trafficked women in Australia? Is it also animated by border control and integrity? Does it reflect a response attuned to the violation of trafficked women’s human rights? Or does it operate on the basis of both? To date there has been no in-depth empirical investigation of how this policy has been working and no solid evidence for determining whether it too is shaped by the logic of border protection. The main purpose of this article, then, is to examine


how policy related to the provision of social support and assistance to trafficked women in Australia approaches ‘the problem’ and shapes the strategies or measures adopted to address it through programs and services. In doing so, the article locates of the research findings within a discussion of Australian and international public policy and legislation on trafficked women and their status as citizens when they reach their destination countries.

It is critical to recognise that access to social support and assistance in Australia in general depends on being a citizen or permanent resident. Conferral of democratic citizenship in Australia not only secures political and civil entitlements but social rights as well. These are generally operationalised through the universal provision of access to social resources such as education, health care and social/community services. Such social rights are understood within international social policy literature as constitutive of social citizenship that in turn is acknowledged as fundamental to democratic citizenship (Dwyer 2010). At the heart of democratic citizenship is participation in the life of the polity and civil society but, according to social policy scholars, such participation is contingent on access to social resources (O’Connor et al. 1999).

Trafficked women in Australia have no such status as citizens with social rights to health and community services. At the same time, they do have human rights as outlined in the Declaration of Universal Human Rights (UN 1948) that support the provisions of the UN Protocol to entitle trafficked women to access health and community services in their destination countries such as Australia. There is as a consequence a significant tension in trafficked women’s social entitlement in Australia. Yet national citizenship is the most significant because UN human rights are not supported by institutional mechanisms that permit them to be enforced in nation states, even among those who are signatories to human rights instruments. This situation reflects what Milivojevic and Segrave (2010) have described in relation to the civil and political rights of trafficked women in Australia. And, as they also argue, the dynamic that generates it is border protection and national sovereignty. What we want to add here is that such a dynamic also applies to social citizenship. But how does it apply? What is the nature of health and support services for trafficked women in Sydney and how are they working? These questions are a central focus of this article.

International and Australian policy on trafficked women: providing support and assistance

The standard definition that prevails internationally in relation to ‘trafficked women’ is derived from Article 3(a) of the United Nations’ Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children (UN 2000). It defines ‘trafficking in persons’ as:

the recruitment, transportation, transfer, harbouring or receipt of persons, by means of the threat or use of force or other forms of coercion, of abduction, of fraud, of deception, of the abuse of power or a position of vulnerability or of the giving or receiving of payments or benefits to achieve the consent of


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a person having control over another person, for the purpose of exploitation. Exploitation shall include, at a minimum, the exploitation of the prostitution of others or other forms of sexual exploitation, forced labour or services, slavery or practices similar to slavery, servitude or removal of organs.

Those identified by public authorities in receiving countries as having engaged in trafficking as defined above are subject to criminal prosecution, conviction and punishment. Those who are the objects of such activities – such as women deceitfully recruited for sexual purposes – are necessarily victims of crime. The criminalisation of the trafficking of women has prevailed as the dominant public policy and management response in Australia (McSherry & Kneebone 2008; Segrave 2009; Schloenhardt & Loong 2011), as it has in most parts of the world (Milivojevic & Segrave 2010). Yet although trafficked women are, by the Protocol’s definition and Australia’s Criminal Code, victims of crime, this does not mean that they enjoy the same rights as victims of crime who are Australian citizens. While trafficked women usually enter the country on legitimate or authorised visas, these are often fraudulently obtained and cancelled once the women have been identified as victims. Once in the hands of the Australian Federal Police they are accorded a Bridging F Visa (BFV), and, in some cases, a Permanent Witness Protection Visa (WPV) if they agree to co-operate with the AFP in prosecuting the offender (Simmons & Burn 2010: 716). These procedures regularise their status as migrants. However, this is not conferral of Australian citizenship and the rights that attach to this status.

The Protocol does contain provisions, in Part II, Article 6, that involve ‘assistance to and protection of victims of trafficking in persons’. These provisions confer obligations on Australia to provide adequate health and community services to assist trafficked persons in dealing with the harms they incur as ‘victims of crime’. Significantly, however, prior to Australian policy reforms enacted in 2009 (see below), access to such support was conditional on co-operation by ‘victims’ with the AFP in prosecuting trafficking offenders. Bridging Visas were not routinely granted to trafficking victims. Partly in response to such national interpretations of their obligations under Article 6 of the Protocol, the UN Office of Drugs and Crime (UNDOC), in conjunction with the UN Global Initiative to Fight Trafficking (in Persons) (UN.GIFT), developed ‘model laws’ establishing a set of obligations and principles (UNDOC & UN.GIFT 2009) for both ‘sending’ and ‘receiving’ countries of trafficked persons. These seek to ensure that, while those who are trafficked are victims of crime, they are also ‘human rights bearing’ (Schloenhardt & Loong 2011: 153-57). The provisions of the recent model laws in relation to the receiving countries such as Australia mean that trafficked persons need to be treated as human beings whose basic human rights have been violated and who need to be supported through health and vocational/community services. As Shigekane (2007) maintains, this provision requires the inclusion of specialised services and treatment.


In the light of the introduction of new UN principles and obligations for assisting ‘trafficked persons’ in 2009, the Australian Government sought to develop its support and assistance to trafficked women through its Support for Victims of People Trafficking Program and Return and Reintegration Scheme. Access to the support offered by the Program is conditional on possession of a visa (either BFV or WPV). The Program is funded by the Department of Families, Housing, Community Services and Indigenous Affairs that works with the Australian Federal Police targeting issues regarding the personal safety and security of clients. The Department has contracted out the management of the Program since February 2009 to the Australian Red Cross, one of Australia’s largest and most reputable NGOs in terms of its humanitarian service provision. However, the Department maintains direct supervision of the Program. This arrangement represents a major departure from the approach of the previous Coalition Government, which contracted an independent commercial organisation to provide support and assistance. The Program is designed to provide ‘appropriate support and assistance’ to trafficked persons specifically to ‘improve the skills of victims of trafficking, so as to assist their ability to reintegrate upon return to their home country’ (Schloenhardt & Loong 2011: 158) and adopts an individual case-management approach. Services include accommodation assistance, links to legal advice and support, access to counselling and mental health supports, and referrals to vocational education and training (Australian Red Cross 2011). Such services provide significant redress for individual human rights violation compared with the Commonwealth Government provision prior to 2009 that attracted international criticism (Munro 2005). The new services, however, are designed to facilitate return and re-integration of those who have been trafficked into their countries of origin (Milivojevic & Segrave 2010; Schloenhardt & Loong 2011).

Recent international research investigating and evaluating the adequacy of health and vocational/community services for trafficked women remains sparse. The United States is a major exception, with national public sector agencies funding evaluations of, and conducting comprehensive research into, a wide range of health and support services to ‘victims of human trafficking’ in the United States (Caliber 2007; US Department of Health and Human Services 2009). In these studies the data on trafficked persons who originate outside the United States are generally disaggregated by two main categories – ‘labour’ and ‘sex’. The former is comprised almost exclusively of men and the latter of women, so it is possible to identify health and support services for trafficked women. These investigations have identified the major barriers to access and efficacy. Apart from the ongoing barrier posed by medical and dental costs in the United States, the single most pressing problem is the absence of a coordinated program of ‘comprehensive services’ for ‘trafficked persons’. Indeed, it is a challenge that equals the reluctance of ‘victims of trafficking’ in the United States to use currently provided health and support services because they must be registered with law enforcement agencies first. Accordingly, as the research concludes, it


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is the integration of relevant NGO service providers and government agencies, supported by increased public resourcing, that is foundational for progressing US policy commitment to ‘protecting’ those who have been trafficked.

In Australia, a recent examination of non-government organisations involved in the provision of health and support services for trafficked women has also yielded significant information about how such women are using health and support services – provided by both government and NGOs since the 2009 legislative and visa changes (Hunt 2011). As the report explains, and as noted above, although current Australian Government provision of health and support services for trafficked women is managed by the Australian Red Cross, services more commonly used by trafficked women are provided by a range of other NGOs. The Australian Government and/or State governments responsible for health and community services fund much of this provision. Yet there is a distinct cleavage between how the Australian Government and NGOs understand and respond to the status of trafficked women. According to Hunt (2011), the Australian Government still views the victim primarily as a potential witness and this role takes priority over the Government’s responsibilities in addressing human rights concerns such as victim assistance. By contrast, NGOs focus more on trafficked women as victims of human rights violations (rather than of crimes), and often provide victim assistance to those not able to access the Support for Victims of People Trafficking Program. This division renders co-ordination and integration of a comprehensive approach to health and support services for trafficked women a formidable challenge.

As explained earlier, the data collected for our study pre-date the introduction in 2009 of the Australian Government’s Support for Victims of People Trafficking Program and Return and Reintegration Scheme, and the administration of the program by the Australian Red Cross. We have nevertheless sought to make the data relevant to current policy debates and discussion on the issue by subjecting them, in our discussion section, to an analysis informed by recent information and commentary on the Australian policy reforms in this field. At the heart of our analysis is the pattern of health and support services provision for trafficked women emerging from our data. The following outlines the approach and methods we adopted in collecting the data.

Methodology

A qualitative research design using semi-structured interviews was used to collect data from key informants working in policy, research and service delivery in the Greater Sydney region. The study was given ethical clearance by a university human research ethics committee and subsequently also obtained ethical clearance from one community-based organisation which required the study to be assessed by its research ethics committee prior to their agreement for one of its employees to be a key informant.


At the commencement of the study, information about what services existed for trafficked people in the Greater Sydney region was sought by the researchers. A number of sources were searched to find service lists, such as State and federal health and community services websites, registers and websites of community-based organisations, and telephone directories. Because lists of services provided for analogous populations (such as refugees) existed, it was considered possible that services for trafficked populations would also be listed. However, no list(s) of designated services was found. Thus, an exploratory approach was taken that aimed to seek the views of a small number of key informants. A rapid appraisal approach (cf. Murray 1999; Lumley & Daly 2006) identified a number of disparate organisations that were likely to come into contact with trafficked women and children. Yet as the study progressed, it became extremely difficult and time consuming to identify organisations and recruit key informants. The relevant health and community services were scarce and embedded within organisations that were primarily known to address populations other than those who had been trafficked, and service provision often operated in a covert way contributing to an overall reluctance to participate. It was considered necessary for service provision to be covert for two main reasons: to facilitate the anonymity and safety of victims of trafficking and because community organisations feared losing their charitable status if it was discovered that they delivered services to populations other than those nominated in their agreements. Disclosure of such a practice would have financial and operating consequences for the organisations.

Purposive sampling, using both ‘critical case’ and ‘snowball’ (Patton 2002) techniques, was employed. Approximately 120 phone calls and 55 emails resulted in contact with 15 key organisations. The eligibility criteria stated that potential representatives had to: (1) have direct experience of working within the field of human trafficking, and (2) be employed within one of the following sectors: (a) health and/or social service policy development, (b) clinical health service provider, and/or (c) information provision. Nine organisations met the eligibility criteria and were invited to participate by phone and/or a face-to-face meeting. Of these, seven organisations agreed to participate. The main service provider for the Australian Government declined to be interviewed. The participating services were each asked to nominate a representative who had the most expertise related to human trafficking to be a key informant. All of the key informants were both senior representatives of their organisations and had direct experience with addressing the issue of human trafficking. The names of the organisations were de-identified, but included: a professional medical organisation, a non-government sexual health service, a law enforcement department, a women’s health policy unit, a community sexual health service, a religious organisation, and a community legal service. The informants responded to the interview questions based on their own experience and professional views of human trafficking. The seven key informants included six women and one man, and they had been contacted prior to being interviewed to discuss the participant information sheet and sign a consent form.


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The interview questions (see Appendix 1) were developed following a review of research on community-based service delivery, human trafficking and health needs. The 12 questions were designed to be exploratory and to facilitate discussion about the nature of existing services, service needs and multi-sectoral collaboration. Three researchers (JH, TS, & MJ) conducted the interviews between June and October, 2007. The semi-structured interviews were conducted as face-to-face individual interviews with six key informants and via a telephone interview with one key informant. All informants were interviewed at their places of employment. The interviews were recorded using field-notes that were typed into expanded transcripts on the same day.

All seven interviews were included in the analysis. Qualitative content analysis of the interviews (Grbich 1999) was conducted in two stages to identify major themes and sub-themes within individual interviews and common themes across all of the interviews. The themes were defined as groups of verbal data that were organised in relation to and reflected the question areas rather than being representations of thematic conceptualisations. First, each interviewer analysed the data and independently identified major themes and sub-themes. Second, the research team held several meetings to analyse the data across all of the interviews and build a consensus about which themes and sub-themes were in the data set. This process contributed to the validity of the analytic interpretations (Patton 2002). Additionally, data analysis involved the application of qualitative techniques, including ‘data saturation’ (Guest et al. 2006), whereby a point is reached when further analysis elicits no new information. While the sample size had already been limited by the recruitment difficulties outlined earlier, it was still possible to identify data saturation within seven interviews. This reflects the observation made by Guest and colleagues (2006) that data saturation can occur as early as six interviews and the data at that stage of the analysis can provide the basic elements for meta-themes.

Results

In this section the results are presented in the form of illustrative quotations from the key informants in response to specific question areas and analytic comments. Theme 1 was based on qualitative data included throughout the interviews that revealed different understandings of the problem of trafficked women. Themes 2, 3 and 4 were based on responses to specific interview questions and the questions from Appendix 1 are identified at the beginning of the presentation of each theme.

Theme 1: Representing the problem of trafficked women

Australian governments identify trafficked women in terms of the definition provided by the UN Protocol. The informants in this study, however, displayed no such definitional consensus. There was, in fact, a marked division in prevailing representations of trafficked women and these emerged through various interview questions as key informants spontaneously elaborated on their


understandings. One approach articulated the prevailing or dominant policy understanding of trafficking as a crime, as reflected by Informant 1 from an NGO:

I don’t have any other language to represent the needs of women to government than to say they are victims. Nothing else is as effective or pragmatic as victims of crime. (Informant 1, NGO, community legal service)

Informant 2, who works for a government women’s health policy unit, also used the term ‘victim’ in relation to her representation of trafficking:

Victims do not say they are trafficked because of their illegal status and possible repatriation. … They [women] often don’t know they’re trafficked. They don’t identify as being trafficked. (Informant 2, government women’s health policy unit)

Significantly, this representation articulates a basic feature of the UN Protocol’s definition of trafficking – that it does not require knowledge or awareness by the trafficked person for it to be a criminal act.

The other approach, less commonly expressed but nevertheless robustly espoused, rejected the use of the term ‘victim of trafficking’, as Informant 3, a service provider in an NGO sexual health service, demonstrated. She challenged the notion that women should be considered victims, instead arguing for not using this term because it implied ‘saving trafficked women’. She believed that the dominant policy approach was ‘disempowering’ for women as she works with:

women [who] direct what they need … [and] are very resourceful … given choices of how to handle [their situation]. (Informant 3, NGO, sexual health service)

Informant 4, from a government sexual health service, went further than Informant 3, and proposed that migrant sex workers on a ‘debt contract’ are not trafficked women. Both Informants 3 and 4 identified sex workers with whom they had had direct contact as ‘indebted women’, which contrasts with the official definition of the problem used by other government agencies and some NGOs.

A further significant difference in informants’ understandings of trafficked women was related to the size of population(s) affected by trafficking. Based on their direct contact, some informants talked about the numbers and ages involved:

I see three cases per week. The majority are cases of sexual servitude. I have seen two cases under 18 years old. If the government is right that there are one hundred in Australia, then I have seen them all. (Informant 1, NGO, community legal service)


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The federal Government’s estimated prevalence of human trafficking in Australia is challenged in this extract. In contrast, Informant 3 suggested that in the agency where she worked the number of adult women involved was very small:

Last three years we have seen five individuals on a debt bondage contract. [Name of agency] works with adults on a debt contract but (they) are not asking for your help. (Informant 3, NGO, sexual health service)

Both informants proposed that there are very few cases of trafficking involving minors in Sydney. However, informants’ estimates based on their own experience as practitioners cannot be seen as a reflection of the overall prevalence of trafficked persons in Sydney.

Informants’ direct contact usually involved health and community support for trafficked women in detention centres, on the street (homeless), at outreach mobile health provider services, in brothels and in private houses (serving the function of brothels). This information gives a sense of where and how trafficked women are likely to live and work, and shows their living conditions are those of socially marginalised people.

Finally, a number of the informants believed that the issue of women trafficked to Australia was not adequately addressed by Australian policy makers and legislators. Once again, key informants spontaneously talked about this area without a specific question or prompt. Informant 6 from a medical organisation, which submitted expert evidence to government inquiries into trafficking 2000-2004, reported:

The whole issue never got the seriousness it deserved. You will always get prostitution but that’s not the point, this is a whole different situation. (Informant 6, medical organisation)

Theme 2: Existing health and community services for trafficked populations

In response to questions 1-4, which asked about the nature, development and efficacy of services (see Appendix 1), informants described services that fell into one of two categories, either (a) federal and State government services, or (b) NGOs and religious/charitable services. These were reportedly sparse, uncoordinated, and mostly regarded as being culturally insensitive and inaccessible. The overall picture painted by the informants was one of a serious lack of adequate and appropriate provision. Most reported that there were no government-funded, specifically-dedicated health and community services for trafficked women that take into account the breadth and specificity of needs of this population. The main government service provision, at the time this study was conducted, we defined as being prosecution-led, meaning that services were only available to those individuals who were willing to co-operate with the Australian Federal Police in their investigations of allegations of trafficking and where their primary goal was to pursue and convict the trafficker. Individuals who did co-operate, however, were at risk themselves of being charged with immigration violations, and of being held in detention centres and/or deported.


In contrast to the prosecution-led approach, some government, non-government health and community agencies, and charities developed services in accordance with the human right to having basic health and social needs met without conditions. We refer to such an approach here as humanitarian, illustrated by an NGO service:

We take a collaborative community approach; a community response network approach based on the NYC [New York City] network. … We work with ongoing public awareness, case management and support, [and] use a comprehensive intake procedure dealing with legal, social and health needs. Some of the cases are already on support and some have nothing. [Name of government assistance program] provides very little support for women. They provide minimal services and are definitely not comprehensive. There is no acknowledgement by the police or government of the period of reflection needed by women. (Informant 1, NGO, community legal service)

Not surprisingly, Informant 1 was, therefore, critical of the then Commonwealth Government’s claim that it offered ‘comprehensive services’.

Support for the then Commonwealth Government’s approach to service provision was only expressed by one informant – Informant 7 – who was employed in a policing role related to trafficking. He described how visas are linked to a ‘comprehensive support system’ that included, for example, medical services and accommodation that are available during the period of co-operation with the [name of law enforcement department] to any individual suspected of being trafficked. He stated:

We have a multi-agency approach led by the [name of law enforcement department]. The States identify a victim and then the [name of law enforcement department] take on further investigations from there. The support provision does include a welfare component. Services are made available to all who need them and according to their needs. … Support is offered as a means to break the cycle of exploitation mediated by not wanting to produce a cycle of welfare. (Informant 7, law enforcement department)

It was evident from informants, however, that most of the health and community services for trafficked women were provided by religious and charitable organisations. According to Informant 1, they had provided: ‘the first dedicated accommodation for trafficked women in Sydney’. As an example of services provided by a religious organisation, this informant stated:

I provide emotional support, mentoring, companionship, sense of worth, and referrals to other services such as AA. … My visits to [name of centre] detention centre have been very effective. The staff there didn’t know about trafficking. Neither does immigration. They asked me to do training of staff to help


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the women by being more culturally sensitive and understanding about the mental health problems of these women. (Informant 5, NGO, religious organisation)

The major conflict between the views of all the other organisations and the law enforcement organisation related mainly to the link with prosecution. Informant 7 from the law enforcement department described the government approach as being one where ‘women’s welfare is paramount’, but all the other informants reported that trafficked women who needed assistance did not access government services because of the context and conditions that applied.

Theme 3: Barriers to service use

In response to question 5 (see Appendix 1), informants identified cultural, financial and legal barriers to service use. The majority of trafficked women with whom they had come into contact were from South East Asia and understood limited English. This posed one of the most significant barriers, as Informant 1 commented:

We lack translation services … Our need is mostly for Thai, and we don’t have enough psychologists and can’t get dental care … Psychologists are difficult to obtain and I need them for assessments of trauma. (Informant 1, NGO, community legal service)

Women’s limited financial resources also constrained their access to health care but so, too, did a lack of information about the availability of services. Most commonly, informants emphasised women’s fears about the possible legal and socio-cultural consequences of accessing services because of immigration violations, and disclosure of their identity in Australia and in their home countries as illustrated in the three extracts below:

There are status barriers if they are illegal and detected as unlawful … They will not seek help from the government and more likely go to [name of hospital] to provide health services. … Victims will not seek help from government sources. (Informant 1, NGO, community legal service).They would be worried about the criminal repercussions. They are not aware of their entitlements. At the detention centre they have been evasive, they did not want to see me, did not want to talk about who brought them here. There were lots of unsaid things, and they were indirect, very fearful of authority. (Informant 5, NGO, religious organisation)Women are concerned about police corruption and are worried they may be disclosed as sex workers to people in their own country. (Informant 3, NGO, Sexual health service)

Having little awareness of their entitlements promoted a culture of fear and silence and, as Informant 3 stated, women feared the possible disclosure of their sex work in their home countries. According to participants, the disclosure typically results in a woman becoming ostracised by her family and community, which leaves the women without assistance to prevent further exploitation either in Australia or their home countries.

Theme 4: Service development needs

The last group of questions (8-11) were about service and training development needs, and barriers to these (see Appendix 1). In response, informants commonly stated that existing services needed significant development and identified several key areas for improvement: greater sensitivity to the cultural needs of trafficked populations; better accommodation and psychological services; and a policy and service approach that was humanitarian and welfare oriented, instead of being based on criminal prosecution.

In relation to the first of these, Informant 5 commented: We need to know more about existing services that are culturally sensitive to the needs of these women. We could improve our accommodation for trafficked women and group work; also programs for the reintegration back home and strengthening the connections internationally to assist them to return home and establish a life that does not rely on sex work. (Informant 5, NGO, religious organisation)

Like Informant 5, Informant 4 from a community sexual health service talked about the need for suitable physical space for women who have been trafficked:

There is a need for more refuges for all exploited groups; greater sensitivity to the problem and need for ‘safe houses’. (Informant 4, community sexual health service)

The recurring call for a greater sensitivity to the cultural needs of trafficked populations was evident in several interviews. Informants 1 and 5 talked about the importance of training a range of health and community service providers, while Informant 6 talked about educating brothel users to assist in identifying trafficked women and making links between the women and services.

The urgent need for the development of psychological services was identified by several informants and illustrated by Informant 7:

There is a need for psychologists to explain giving evidence and statements about what they’ve [trafficked women] experienced. They need help to overcome fears. We particularly need to understand their obligation to their families. (Informant 7, law enforcement department)


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Informant 3 explained the complexities in developing effective services for trafficked populations. The Commonwealth Government approach was seen as unfeasible because it prevented women from meeting ever-present economic and family demands. As the informant stated:

[women] might want to bring the people to justice but they can’t afford to go from a debt bondage to a witness bondage. (Informant 3, NGO, sexual health service)

Informant 6, from a medical organisation, called for greater government attention to the problem of trafficking and its relationship with other criminal sectors. As a pragmatic step towards more effective prevention, she suggested, like Informant 3, that direct work with the sex industry needs to be made a priority to encourage the sector to start ‘taking responsibility for what they do’.

Discussion

The in-depth interviews undertaken in this study provide an original source of information and understanding about health and community services for trafficked women in the Greater Sydney region. Such research, by its very character, does not shed light on the distributional features of the problem. It is fundamentally exploratory and based mainly on responses to service provision governed by policy arrangements in 2007, prior to reforms initiated in 2009 that no longer require trafficked women to co-operate with criminal justice authorities in pursuing and prosecuting perpetrators in order to access health support services (Simmons & Burn 2010). The over-riding pattern of health and support provision yielded by the data collected in 2007 is one of significant inaccessibility arising from sparse and uncoordinated services, widely regarded as culturally insensitive – a finding remarkably consistent with those disclosed by publicly funded US research into health and support programs for trafficked women there (Caliber 2007; US Department of Health and Human Services 2009).

Has this pattern changed since 2009? Certainly conditions promoting accessibility of government health and support services have improved with the elimination of the requirement for trafficked women to co-operate with the Australian Federal Police and the Commonwealth Office of Public Prosecutions in apprehending and prosecuting perpetrators of trafficking if they wish to avail themselves of such services. As a number of commentators have already noted, particularly Burn and Simmons (2006), this requirement posed a number of risks to trafficked women including retribution by traffickers and exposure to their family and other networks as participants in the sex industry. As a result, they were significantly more likely to draw on services provided by NGOs.

Yet there is no strong evidence, at present, that the new conditions for access to the Government’s Support Program have actually translated into significantly increased uptake of its provisions. Trafficked women are still more likely to continue to turn to the services provided by NGOs (Hunt 2011). These organisations have generally provided services with ‘no strings attached’ and no


judgmental responses. As Hunt’s report explains, these NGOs are diverse but share a robust commitment to the health and welfare of trafficked women and to their rights to humanitarian assistance in the face of experiences of severe exploitation. Overwhelmingly, the participants in our study – half of whom worked for NGOs – understood trafficked women as victims not just of criminal violations but of personal abuse that represented violation of their human rights. Virtually all of the NGO interview participants concurred that such violation required adequate and appropriate medical, dental and psychological services that were culturally sensitive and specific to their clients’ needs so they might ‘move on’ from what had happened to them. Further, although trafficked women do not need to engage in the processes of criminal apprehension and prosecution to access the Government’s Support Program, they do have to co-operate with Australian Federal Police to obtain a referral to it. As Hunt’s (2011) report suggests, many trafficked women maintain a deep mistrust of criminal justice authorities, primarily because they associate them with ‘repatriation’ to their countries of origin and disclosure to their families of their participation in the sex industry.

Similarly, there is no evidence that, despite improvement in the range and co-ordination of services offered by the Australian Red Cross since 2009 to support trafficked women (Hunt 2011), there has been a significant increase in the overall availability of such services. Nor is there any evidence that existing Australian Government services are regarded as more culturally sensitive. As our interview participants stressed, specifically dedicated accommodation and the provision of linguistically accessible and culturally sensitive psychological/mental health services for trafficked women are critically important, but there have been no reports to date of such developments by the Australian Government (Hunt 2011). NGO support services for trafficked women, by comparison, have been reported to be more culturally sensitive and able to establish rapport with victims (Hunt 2011).

There is evidence, however, that the overall lack of co-ordination of government and NGO services reported by our interview participants in 2007 remains a critical problem even after the policy reforms of 2009. As reported previously, there is a major lack of integration between the Australian Government’s Support Program and the principal NGOs involved in providing health and support services. As significantly there is some division and a lack of co-ordination among NGOs in terms of establishing clear demarcation of responsibilities for service provision (Hunt 2011).

Trafficked women and social citizenship

How can this pattern of health and community service provision for trafficked women be explained in the face of the Australian Government’s commitment to the UN Protocol and the policy reforms it introduced to improve support for trafficked women? As mentioned previously, access to social support and assistance in Australia generally depends on being a citizen or permanent resident because conferral of citizenship not only secures political and civil entitlements but social rights as well. As Milivojevic and Segrave (2010) have


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argued, Australian policy towards trafficked women renders them non-citizens because it is basically informed by the international dynamics of ‘border regimes’. The result in terms of service provision for trafficked women is a focus on ‘repatriation and reintegration’.

Conclusion

The Australian Government is committed to provide protection and support for trafficked women by ratifying the UN’s Trafficking Protocol (2000) and agreeing to adhere to the obligations and principles established by the UNDOC and UN.GIFT (2009). The evidence produced in this study, however, suggests that the health and community services required to operationalise such a commitment do not exist on the scale required. Nor are they provided in conformity with the specific needs of trafficked women. Policy governing health and community support for trafficked women is informed primarily by a commitment to border protection and the preservation of national sovereignty in the face of increased global mobility of labour and migration. The central weapon in such a battle has been the criminalisation of trafficking of people into Australia. Migrant women brought to Australia illegally to work in suburban brothels, and those responsible for trafficking them, have been the main targets of punishment. When identified and interviewed, pursuant to the terms of the Commonwealth’s Migration Act 1958, they were usually deported. Amendments to this Act, accompanied by the granting of special visas in 2009, have seen the introduction of conditions designed to accord trafficked women greater access to Australian Government support services but this is still designed to facilitate the ‘repatriation and reintegration’ of trafficked women to their countries of origin. Such a situation is basically inevitable in the face of a policy that, while officially recognising the human rights of trafficked women, is unable to countenance the translation of such rights into those of social citizenship.

Acknowledgements

The research team thanks the participants for their involvement in the research study, and is grateful to both the university and the community-based ethics committees for granting clearance. Julie Hepworth gratefully acknowledges the University of Sydney for awarding her an International Visiting Research Fellowship during which this research was commenced. The authors also gratefully acknowledge the comments made by the three reviewers and editors, and Jennifer Burn for expert advice.


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Burn, J. & Simmons, F. (2006) ‘Trafficking and slavery in Australia: an evaluation of victim support strategies’, Asian and Pacific Migration Journal, 15 (4), 553-570.

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Appendix 1: Interview questions

1. Would you describe the nature of (insert health if agency delivers specific mental/physical health services) services available through this agency that may be accessed by victims of trafficking?

2. Are these (health) services different from health services accessed by non-victims of trafficking, and, if so, in what ways are they different?

3. How were these services developed?4. What aspects of these (health) services are effective in addressing the health

needs of victims of trafficking and why? 5. Why would victims of trafficking not use these (health) services? 6. How does this agency recognise that a service user may be an unidentified

victim of trafficking? (Prompt: and what do they do about this?) 7. What are your observation on the relationship between health service

delivery and the retention of victims of trafficking? 8. How could these services be improved? 9. What are the training needs, if any, of health care service providers? 10. What barriers, if any, exist to making changes to improve services?11. What multi-sectoral collaboration, if any, exists in service development?12. Do you have any other comments?

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Positive and negative impacts of job loss on family life: the perceptions of Australian car workers Gwyn Jolley, Lareen Newman, Anna Ziersch and Fran Baum

Abstract

This article contributes to research on the impact of job loss on families. It is based on survey responses from 371 workers and in‑depth interviews with 39 of them about the family impacts of their job loss from the Mitsubishi car factory in Adelaide in 2004‑2005. A majority of workers said family life had been affected by their job loss. Quantitative analysis identified four variables significantly associated with family impacts: marital status, children living at home, employment status and financial management. Qualitative responses showed the predominantly negative impacts were financial strain, loss of relationship stability, and general stress and worry, although few faced catastrophic impacts from their job loss. However, in contrast to most previous research, the in‑depth interviews also revealed positive impacts from job loss, such as having more time at home and to spend with their family. We conclude that the existence of ongoing income support and public health insurance in Australia were important in avoiding catastrophic financial impacts on these workers and their families.

Keywords: car industry, family, job loss, surveys, in‑depth interviews



Introduction

Job loss can be a major life event for workers and their families. This paper explores the family impacts of job loss in Australia’s automotive industry. It reports findings from a survey and qualitative interviews with workers involved in a mass redundancy at the Mitsubishi factory in southern Adelaide in 2004-05, and focuses on the impact of this job loss on family life. The findings have contemporary significance given that, more recently, further automotive jobs have been lost. For example, in early 2012 Holden, in northern Adelaide, laid off 100 workers and faced closure with the potential loss of another 16,000 jobs (ABC News 2012; Metherell 2012), while Toyota in Melbourne lost 350 jobs (Griffiths 2012). Although Australia has fared better than many countries in the global financial crisis (Saunders & Wong 2011), the strong dollar has created problems for manufacturers who rely on exports, including those in the automotive sector, by reducing overseas sales, which led to increased redundancies in Australia (Griffiths 2012).

Employment is an important aspect of life, since it confers income, status, identity, social connection, time structure and sense of purpose (Employment Conditions Knowledge Network 2007). Job losses, as part of company downsizing or plant relocation, threaten the removal of these benefits (Parker et al. 1971). For several decades, the car industry has been shedding workers due to company restructuring on international and meta-regional scales (Larsson 2002), resulting from macroeconomic structural change. In the recent ‘global financial and jobs crisis’ (International Labour Office 2010), the car industry has suffered more than most sectors and has responded by laying off many thousands of workers (Marshall 2009). Mass job loss (or redundancy) from such plant closures is categorised as a major life event (Holmes & Rahe 1967; Latack et al. 1995; Gardiner et al. 2009) and since an individual’s wellbeing can be mediated through family functioning, a family’s reaction to job loss has major implications for the welfare of current and future generations (Yeung & Hofferth 1998).

Previous research on job loss impacts

Research over the last 30 years shows that mass job loss and general unemployment can have social, psychological and physical impacts on workers (Voydanoff 1983). Job loss affects individual workers through several pathways, including loss of income and ensuing financial strain, and as a stressful life event (Kessler et al. 1987; Ensminger & Celentano 1988; Leana & Feldman 1990; Bartley 1994; Price et al. 2002; Verity & Jolley 2008). However, much of this research has been conducted in the United States which has its own labour market, employment and social welfare conditions (for example, health insurance linked to employment, time-limited welfare benefits). Less is known about how these individual impacts feed through to families, particularly in Australia. The following four sections review previous research on general family impacts of job loss, the impact of financial strain, mental health and family relationships, and positive impacts of job loss.

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Family impacts of job loss

Since the family is a site for the mediation of social and individual wellbeing, job loss affects more than just the unemployed individual (Strom 2003). Hanisch (1999: 206) concludes that there is ‘no disagreement in the literature that future research should pursue understanding job loss from a family perspective’. Dew and colleagues (1991) argued, based on a review of the previous 20 years of research on the mental health effects of involuntary job loss on US women workers, their spouses and children, that knowledge of family effects is critical to developing effective responses. Stevens and Schaller (2009) also concluded from their US research that understanding the negative impacts on the broader family is crucial if policymakers are to direct appropriate supports to families and areas experiencing mass job loss.

Much research has explored the impacts of unemployment on workers and their spouses and children; however, this has been mostly quantitative, using psychological, behavioural and health measures. Such research has looked at the impacts on workers’ families, most often the economic, social and psychological impacts, by asking the workers (and sometimes also their spouses/partners). One US study, using a quasi-experimental design to compare responses from 831 workers from General Motors car plants scheduled to close with those of 766 workers from plants not closing, found that job loss had powerful negative effects on automobile workers’ families when compared with families of workers at plants that did not close (Broman et al. 1990).

By comparison, there has been relatively little Australian research into the different subjective interpretations and reactions of a range of workers to one mass job loss. In particular only a few studies over the past 20 years have considered how mass job loss impacts on families. Pond and colleagues (2002) conducted a longitudinal study of retrenchment at BHP Newcastle in 1999, involving 230 retrenched workers and 119 spouses/partners interviewed three times over 12 months. They found that workers reported difficulty providing financially for their families, which negatively impacted on family routines and relationships and limited family outings and holidays, although some experienced positive impacts of having more time to help around the home and with children. Lambert’s (2004) ethnographic study of Email/Simpson/Chef included one week’s intensive interviewing and observations immediately prior to the closure. This study found that some workers anticipated negative impacts on family via the financial strain of reduced income. Finally, two papers report on impacts of the Ansett collapse in 2001. Mitchell and Kristovics (2005) surveyed 84 customer service officers at one and three years after collapse; in open-ended questions some workers mentioned positive family impacts such as less shiftwork allowing more weekend time with family, but others experienced negative impacts such as relationship breakdown or strain and separation, financial loss requiring children to move from private to public schooling and less time with children. Weller’s (2012) longitudinal survey of 715 former Ansett workers did not specifically report family impacts but found that most workers tried to maintain their lifestyles, such as by keeping their children in the same


school. However, 19 per cent of workers had to sell their homes or other assets. Finally, our own in-depth research with 35 children of 16 Mitsubishi workers showed that children experience similar negative and positive family impacts to those reported by their parents, with children also noticing parental changes in mood despite some parents trying to shield children from the impacts (Newman et al. 2009).

Job loss can impact on families in several ways, but particularly through increased stress and worry due to the financial strain of having less or no income, financial loss events (for example, loss of a house due to mortgage foreclosure), marital difficulties and relationship conflict (Price 1992). One Australian study involving 74 males and 18 females, combining qualitative responses and a retrospective questionnaire, found that spouses and children can be emotionally involved in the partner/parent’s experiences of job loss (Lobo & Watkins 1995). A study on workers retrenched from MG Rover’s UK factory closure, using an open-ended qualitative approach, reported that their families bore the emotional cost of the closure (Armstrong 2006). The top three impacts found in this study were financial restrictions (such as canceling holidays and difficulty with mortgage repayments); relationship problems, and stress/worry/anxiety/upset/shock.

Financial strain

In a US study of emotional distress among workers, Voydanoff and Donelly (1989) examined a sample of 203 married men and 207 married women and found that, for male workers, the main components of distress were economic strain on family finances, employment insecurity and uncertainty. However, while economic distress can be associated with mental health problems, other US researchers have noted that some coping resources and behaviours buffered distress while others exacerbated it (Yeung & Hofferth 1998). The US comparison study by Broman and colleagues (Broman et al. 1990; see also Hoffman et al. 1991), found severely strained coping mechanisms among redundant workers and their families, with financial hardship being the key factor in job loss stress on families. They also found the relationship between job loss and financial hardship was mediated by marriage, whereby married workers also tended to have less money saved, a mortgage and dependent children. Both case study and longitudinal quantitative research in the United States has found that families experiencing a substantial loss of income or work hours often respond by cutting back on or adjusting expenditures and receiving public assistance (Root 1984; Yeung & Hofferth 1998). Yeung and Hofferth’s study (1998) concluded that families with substantial income and assets were better placed to adapt actively to job loss, while families with fewer economic resources often required public assistance and could suffer ongoing economic hardship.


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Mental health and family relationship changes

A number of US studies have shown that job loss impacts on family relationships are intertwined with financial impacts (see, for example, Elder 1974; Elder et al. 1985; Conger et al. 1992; Conger & Elder 1994). US research (using cross-sectional population survey data and longitudinal surveys at several periods after closure) also found that job loss and substantial income loss were associated with worsening marital relationships, marital breakdown and/or increased rates of separation and divorce (Perrucci & Targ 1988; Yeung & Hofferth 1998; Attewell 1999). Two other papers (one reporting a US longitudinal panel study of 82 recently-unemployed white- and blue-collar American men and the other a review of research) found that the impact of job loss on children and marital relationships was particularly mediated through the changes that economic loss produces in male workers’ psychological well-being, behaviour and disposition (Atkinson et al. 1986; McLloyd 1989). Another longitudinal US study of 815 recently unemployed individuals and their partners found that economic hardship could also contribute to growing frustration, which in turn triggered and sustained destructive interaction patterns (Vinokur et al. 1996). Perrucci and Targ’s (1988) longitudinal study of 75 workers made redundant from a candy-making plant found that the greater the perceived economic strain resulting from job loss, the greater the decline in family cohesiveness and adaptability.

A range of mental health impacts on the family may also result from job loss. Hanisch’s (1999) review identified a wealth of (predominantly negative) psychological and physical job loss impacts on families. US research using the Health & Retirement Study for older adults compared wives of husbands who experienced involuntary job loss with wives of continuously employed husbands and found that wives’ mental health was negatively affected by their husband’s involuntary job loss (Siegel et al. 2003). On the other hand, Wauchope’s (1994) in-depth qualitative study found that US families who were more financially satisfied before the loss, and who were used to stable employment, were more likely to suffer from job loss impacts because they were less used to adjusting to change than employment-unstable families. Furthermore, some families found it stigmatising to seek public assistance (Yeung & Hofferth 1998). Family impacts can also differ according to the stage in the family lifecycle; for example, research has found that households with dependent children were more likely to experience difficulties through job loss than those without children (Clark 1987; Smith & Price 1992).

Qualitative research has found additional mental health impacts. For example, in-depth interviews carried out as part of Grayson’s (1983) study of US workers’ wives found that plant closures could increase wives’ stress levels and reduce health beyond just that of the workers themselves, and could cause anxiety among wives about husbands’ re-employment prospects. Anderson’s (1980) study of the impact of rural plant closures on Filipino workers in Hawaii (using surveys with over 200 families and participant observation in five rural areas) and Root’s (1984) case studies of US families in the face of plant closure both


found that wives often enter the workforce to compensate for the household’s income loss, which led to additional family stress when it affected the male’s family role as breadwinner and caused changes in marital role definition. By comparison, families with fewer resources or in areas of high unemployment were less likely to increase female work hours (Yeung & Hofferth 1998).

Positive family impacts

Lastly, a few studies report positive impacts of job loss for families. Hanisch (1999) highlighted Walsh and Jackson’s (1995) study which criticised the view that unemployment always leads to passivity and resignation, and cited studies of proactive responses to unemployment. A range of qualitative studies from the United States and Australia suggest that job loss can create opportunities for workers to leave a dissatisfying job, change careers and life directions, and develop new competencies and qualifications, while positive family impacts include reduction in men’s work hours or changes in patterns of shift work which can allow them greater opportunity to participate in household chores and child caring (Hanisch 1999; Pond et al. 2002; Lippold & Beachy-Quick 2003; Mitchell & Kristovics 2005; Mendenhall et al. 2008). Lippold and Beachy-Quick’s US study (2003) concludes that theoretical models of job loss and family functioning tend to omit aspects of family time and tradeoff with income.

The present study

The literature on job loss is dominated by US research. Here, we explore the effect of job loss in an Australian context on workers’ families and consider the policy implications. This paper addresses the following research questions which reflect the issues raised in previous research about both positive and negative impacts of job loss on family life, and indications that some workers may be more likely than others to experience these outcomes:

■■ To what extent do the impacts of job loss affect family life and wellbeing?

■■ What are the positive and negative impacts of job loss on family life and wellbeing?

■■ Who is more likely to experience family life and wellbeing effects of job loss?

Study design and methods

The research was conducted in Adelaide, South Australia, between 2004 and 2006. The locational context is significant because Mitsubishi Motors Australia Limited (Mitsubishi) was a major employer in the region but in April 2004 announced 1,100 redundancies: the closure of its engine foundry with approximately 700 ‘involuntary’ redundancies, and 400 ‘voluntary’ redundancies from the foundry and another assembly site.1 The first redundancies occurred in June 2004, followed by progressive departures through to late 2005. In January


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2005 the national unemployment rate was 5.3 per cent (ABS 2012). A two-year mixed-method longitudinal study was therefore developed to examine workers’ job loss experiences (see Beer et al. 2006 for more detail). The company was unwilling to allow recruitment of participants directly from within the factory due to sensitivity about the presence of researchers and possible negative media attention. Workers were therefore recruited through a mail out (sent by the company to meet ethical requirements) to home addresses of all workers facing redundancies. The research team also made numerous visits to company sites and used ‘snow-balling’ techniques such as asking participants to recommend other potential recruits. These various means led to 371 of the 1,100 workers being recruited (or 34 per cent), including both workers whose redundancy was officially classed as involuntary and those classed as voluntary.1 In this paper we report qualitative and quantitative data from the first stage of surveys with these 371 workers, and from in-depth interviews with a sub-sample of 39. At the time of survey and interviews, some workers were still employed in the plant, some were employed elsewhere, and others were unemployed or not in the labour force.

The first stage involved a face-to-face questionnaire survey with all 371 participants. The survey covered a broad range of topics relating to the redundancy and its impacts. As part of this, participants were asked if they felt their family life had been affected by the ‘changes at Mitsubishi’ and, if so, in what ways. At the end of the survey, all of the sample of 371 were asked to indicate their willingness to be contacted again to participate in an in-depth interview and 264 agreed. These 264 workers did not vary significantly from those who did not agree to an interview on any of the demographic variables used in this analysis, with the exception of age, with a greater proportion of those aged under 40 or over 60 agreeing to be interviewed. From this 264, 40 workers (33 males and seven females) were randomly selected and 39 eventually participated in interviews (32 males, seven females). The semi-structured in-depth interviews covered a broad range of topics, but in this article we report on perceived impacts on the health of any partner/spouse and/or children, changes to family life, including time spent with children/grandchildren, and support from family and friends. Interviews lasted between one and two hours and were audio-recorded for transcription. Interviewers also made field notes. Only redundant workers were interviewed about their perceptions of impacts on family members, not family members themselves.

The definition of ‘family’ can be contentious and family structures are more variable today than in the 1950s and 1960s. Our interview analysis led us to conclude that family should be defined in whatever way the respondent chose to talk about their circumstances and how these were affected by job loss. In this way, the idea of ‘family’, as discussed in this paper, differs from that in much of the research discussed earlier, by including workers’ independent children, siblings, parents and grandchildren.


Data analysis

We categorised the open-ended responses to the survey question about how family life was affected as ‘positive effect’, ‘negative effect’, ‘mixed’ and ‘unclear/no response’, in addition to responses that family life had not been affected. Chi-square analysis using SPSS examined the demographic factors associated with effects on family life. Responses were examined using the following variables: gender (male/female); age (<41, 41-60, >60); marital status (married/partnered vs. others); children/grandchildren at home2 (children at home vs. no children at home) or not; occupation type at Mitsubishi (professional/lower skilled); nature of redundancy (voluntary vs. involuntary); current employment status (unemployed, still in the plant, re-employed elsewhere, and retired/student/disabled); and financial situation (getting by/difficult vs. comfortable/very comfortable).

Open-ended responses were further analysed according to the main reason given for positive or negative effects. We imported interview transcripts into NVivo and analysed them alongside the survey open-ended responses. We coded data thematically in relation to job loss impacts on family life, and included responses to direct questions on family life and family-related responses across the interview. Our analysis was guided by the interview questions, but also took account of issues raised spontaneously. Main themes were compared with those identified in responses to open-ended questions in the survey. In reporting perceptions of family impacts, workers’ names have been changed to protect confidentiality. Employment status is recorded as at the time of the interview. The study was approved by the Flinders University Social and Behavioural Research Ethics Committee.

Findings

Characteristics of the redundant workers in the questionnaire survey

The 371 workers were mostly male (90 per cent) and older on average than the male Adelaide metropolitan workforce. Occupations were coded according to the Australian Standard Classification of Occupations (ABS 1997) as professional (for example, engineers, resource managers, accountants, marketing professionals) and non-professional (for example, mobile plant operators, process workers, secretaries, personal assistants, canteen workers). Participants had been mainly in non-professional occupations (78 per cent) (see Table 1), reflecting the overall workforce at Mitsubishi. Almost two-thirds (62 per cent) had their redundancy classed as involuntary, with the remainder deemed ‘voluntary’ (Table 1). This again broadly reflected the status accorded to all the workers made redundant at this time. Over three-quarters were married or in a de facto relationship and over half had children living at home. At the time of the survey, 20 per cent of the 371 respondents had not yet left the factory, but almost 50 per cent were re-employed elsewhere; a further 18 per cent were unemployed and looking for work, with the remainder no longer in the workforce (that is, retired, on home duties, studying, or on a disability pension). Over half described their financial situation as comfortable or very comfortable.


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Those who were re-employed (58 per cent) or still in the plant (68 per cent) were more likely to rate their financial situation as comfortable, compared to those who were unemployed (43 per cent) (p<.05). Likewise, those who had another earner in the household (62 per cent) were more likely than sole earners (51 per cent) to rate their financial situation as comfortable (p<.05).

Most (around 90 per cent) had household incomes above the State average of AUS $33,412 in 2003-04 (ABS 2007). Participants were fairly evenly split between sole and joint income earners. Most workers received relatively generous union-negotiated redundancy packages related to years of service, and these were therefore larger for workers who had had long-term employment at Mitsubishi. Workers were also eligible for State and federal government-funded employment/retraining assistance.

Table 1: Survey participants: selected characteristics (N=371)

Characteristics N (%)

Gender Female Male

36 (10)335 (90)

Age <41 41‑60 >60 Missing

102 (27)214 (58)46 (12)

9 (3)

Marital status Married/partnered Other Missing

286 (77)84 (23)1 (<1)

Children at home Children No children

194 (52)178 (48)

Occupation Professional Non‑professional Missing

82 (22)289 (77)

1 (<1)

Redundancy Voluntary Involuntary

142 (38)229 (62)

Employment status Still in plant Re‑employed Unemployed Not in the labour force

82 (22)174 (47)65 (18)50 (13)

Financial management Getting by/difficult Comfortable

161 (43)210 (57)

Household income contribution Only one incomeMore than one income

178 (48)193 (52)


Quantitative analysis of family life impacts

Participants were asked whether their family life had been affected by the changes at Mitsubishi. Of the overall sample, 36 per cent said there had been no change to family life, 17 per cent gave examples of positive effects and 35 per cent gave examples of negative effects (Table 2). Positive effects were mostly focused on now having more time at home and with family, while negative effects centred on financial and other stressors. A small number gave mixed responses, an unclear response or no response (Table 2). For the purpose of further analysis these few cases were excluded so the characteristics of only those workers reporting positive and negative effects could be assessed (n=330).

Table 2: Survey participants: changes to family life (N=371)

Type of change N %

within category total

Total positive More timeUncertainty endedOther positive

64‑‑‑

‑40915

17631423

Total negative Financial stressStress/worryLess timeRelationship breakdown

131‑‑‑‑

‑53491514

3541371211

Same/no change 135 ‑ 36

Mixed 15 ‑ 4

No response/unclear 25 ‑ 7

Missing 1 ‑ <1

Total 371 ‑ 99

Our chi-square analysis of the 330 cases with complete data on changes to family life identified four variables significantly associated with impacts on family: marital status, children living at home, employment status, and their assessment of their financial situation (Table 3). Almost two-thirds of the 78 workers who were not in a partnered relationship reported no change in family life, whereas over 40 per cent of those in a partnered relationship reported negative effects. Those without children reported less impact on their family than those with children. Of those with children (N=168), almost twice as many reported negative compared to positive effects (45 per cent compared to 24 per cent – see Table 3). In terms of employment status, workers still in the plant reported the most negative effects on family life and the least positive effects. Substantial numbers of the 159 workers already re-employed elsewhere also reported negative effects on family life, but almost one-quarter reported positive effects. Workers’ perception of their financial situation was closely associated with how they felt their family life had been affected by the changes at Mitsubishi. Almost


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two-thirds of the 186 who reported being financially ‘comfortable’ said there was no impact on their family life. However, of those who were financially ‘just getting by’ or ‘finding it difficult’, over half reported negative effects on their family life and just 11 per cent reported positive changes.

Table 3: Survey participants: changes to family life by demographic variables, chi‑square analysis (N=330)

Characteristic PositiveN (%)

NegativeN (%)

No changeN (%)

N P value

Gender Female Male

4 (14)60 (20)

13 (45)118 (39)

12 (42)123 (41)

29301

.695

Age <41 41‑60 >60

14 (15)42 (22)8 (21)

32 (34)82 (43)13 (33)

48 (51)66 (35)66 (50)

9419039

.099

Marital status Married/partnered Other

59 (23)5 (6)

108 (43)23 (30)

85 (34)50 (64)

25278

.000

Children at home Children No children

41 (24)23 (14)

75 (45)56 (35)

52 (31)83 (51)

168162

.001

Occupation Professional Other

14 (20)50 (19)

30 (43)101 (39)

26 (37)109 (42)

70260

.760

Redundancy Voluntary Involuntary

30 (23)34 (17)

42 (33)89 (44)

56 (44)79 (39)

128202

.097

Employment status Still in plant Re‑employed Unemployed Not in labour force

5 (7)36 (23)14 (25)9 (21)

33 (45)66 (42)20 (36)12 (29)

35 (48)57 (36)22 (39)21 (50)

731595642

.047

Financial management Getting by/difficult Comfortable

16 (11)48 (26)

81 (56)50 (27)

47 (33)88 (65)

144186

.000

N 64 131 135 330

Qualitative analysis of family life impacts

Financial strainAbout one-quarter of the 39 interview respondents said their job loss led to financial strain and a consequent change in activities and lifestyles, including having to be more careful with budgeting. Perceived negative impacts included a reduction in activities such as shopping, going out for meals and attending cultural or sporting events. Respondents described having to adjust to uncertainty about when or if they would return to a stable financial situation and, in the absence of regular long-term income, having to cut back


on spending. Casual work, or work that was less well paid than previously, alleviated the financial stress to some extent, but was not seen as satisfactory for the longer term. For example, Elliott described his own, and his partner’s, stress about managing on one casual income instead of the two incomes they had been used to. The couple felt unsettled until a more permanent position came up:

Initially we were under a lot of stress because of trying to find a job, so the first three months were very stressful. That was compounded by the fact the wife was having a hard time going from two wages back to basically one. Having a couple of jobs here and there sort of helped but it didn’t really make her very settled so it wasn’t really till the beginning of this year that we had [new employment] which was more permanent. (Elliot, age 54, married, children at home, financially getting by/difficult, 15 years at Mitsubishi, re‑employed).

Similarly, Doreen, who described herself as financially comfortable before the job loss, was re-employed but at a lower pay rate and was frustrated at having to budget more carefully:

It just frustrates me. You know, I want to go out and do some shopping, and I’ve got no spare cash to do it. And I’ve got to think twice. And that’s not what I want. It’s not what I’m used to. (Doreen, age 58, married, no children at home, financially comfortable, 18 years at Mitsubishi, re‑employed).

A few parents reported mixed reactions after describing the need for financial restraint to their children. Rosslyn, a single parent, spoke of feeling guilty that she could not provide as many treats for her daughter, but she encouraged her daughter to believe things would improve:

She [daughter] has her friends over and I say to her ‘Well, I’ve got to budget this weekend. You can go to the pictures, or I can take you to the pool, but please don’t ask for anything else’. You know? … and I know that she’s said to a few of her friends, and I had to laugh, a couple of weeks ago ‘Oh no, my mum can’t afford that, she’s unemployed. She’s not working’. And then of course you feel guilty, don’t you. But I sort of said to her ‘Look, when I get a job, things will be better and then things will be easy and we’ll be right’. (Rosslyn, age 45, single, child at home, comfortable, 25 years at Mitsubishi, unemployed).

On the other hand, Reg found it hard to get his teenage children to understand the need to reduce family spending:

And I tried to tell the kids too they’re not going to get a lot of the luxuries they’ve got at the moment. I’ve pulled the reins in a little bit.

Q. And how did they react to that?


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They haven’t changed – kids are kids, teenagers, they don’t give a toss. It’s all my problem. (Reg, age 41, married, children at home, financially getting by/difficult, 20 years at Mitsubishi, unemployed).

Reflecting the fact that the redundancy packages made the transition out of long-term secure work somewhat easier, workers reported that their packages were ‘better than other companies’ and that ‘it would have been a lot worse’ without them. A good number of interviewed workers used this payment to pay off home mortgages or for other strategic financial decisions.

Relationship stressThe job loss and the long timeframe of uncertainty prior to the closure caused stress and worry for some respondents, and in turn led to relationship problems, loss of confidence and lower motivation. Two male respondents spoke about partnership break-up. One of them, Angus, described how he did not want to worry his wife about whether to take the voluntary redundancy package, but in the midst of this she decided to leave the relationship:

When the opportunity for redundancy came … I thought well for my own sake I think that I should take it on, and then Workcover3 paid me out as well, but it all came at sort of like the time my wife left me. I never let her know really to the degree of the circumstances that I was under, in the sense of I didn’t want to bother, make her worry as well. Things just piled up on that and she decided I was too moody … She decided to make the big move and left. And then it’s just a matter of me now trying to recreate my life into what I can without too much pain. (Angus, age 55, single, no children at home, financially getting by/difficult, 8 years at Mitsubishi, not in the labour force).

The redundancy payment led to friction in another case, with Mark reporting that his ex-partner was upset about not receiving a share of the payout and so prevented his child access visits for six months:

When I left Mitsubishi I got a redundancy package and it was, she got hold of it and thought, ‘Well he’s got a redundancy package, I want half of it’, so, yeah, then uh, ever since then because I wasn’t goin’ to give her a half or anything she can go and jump in the lake and, yeah, she stopped me seein’ the kids for a while there, so, I didn’t see ‘em for like 6 months. (Mark, age 46, divorced, no children at home, financially getting by/difficult, 8 years at Mitsubishi, unemployed).

There were other reports of relationship stress. One respondent stated that his partner was unhappy because his new employment made him less available to help with their young children. Another talked about his job loss resulting in his partner having to return to work earlier than expected after having children (aged four and six years at time of interview). A few respondents reported their

partners being stressed by the lack of security following the job loss. One female respondent, whose partner was also retrenched from Mitsubishi, said that her husband had lost self-confidence and was not sleeping well. This in turn made her stressed:

He lost all his confidence. He was very unsure of himself and because he doesn’t have any trade skills he feels, not useless, but he can’t find anything other than factory work, because that’s all he’s known. And he really doesn’t know what he wants to do now. (Sylvia, age 55, married, no children at home, financially comfortable, 8 years at Mitsubishi, unemployed).

Nearly one-third of our interview respondents said the time they spent with their family and children was unchanged after their job loss; most of these had adult children no longer living at home. However, some respondents with children at home reported less time with family as a result of new work, sometimes with longer or less flexible work hours, particularly for those who had become self-employed. Longer travelling time was also an issue for workers who had previously lived and worked near to Mitsubishi and who now had to travel to more distant areas for work. Workers had been used to an industrial work pattern which included a monthly rostered day off. Many missed this day, which had allowed them to attend events at their children’s school. Similarly, the company’s shift roster had previously meant that options for early or late shifts allowed workers to take children to school or be home when they returned, as Richard notes:

When I was at Mitsubishi I used to have my [rostered] day off every second fortnight. Just take a day off and go to the kids’ school and see their thing. I can’t do that anymore. I work Monday to Friday, there’s no day off. (Richard, age 45, divorced, no children at home, financially getting by/difficult, 14 years at Mitsubishi, re‑employed).

Another respondent had a new job as a carer, with irregular hours, and she described how this made it difficult to socialise with family members and to plan for outings or holidays:

I probably see them [parents] less, … everything has to be organised beforehand, pre-planned, which my family’s not big on. It’s like ‘Come round for tea tonight’, oh heck, I can’t, I’m working. Before it was … you could plan holidays and you can’t with what I do. (Tracey, age 30, no children at home, financially comfortable, 9 years at Mitsubishi, re‑employed).

Positive impacts More than half the interview respondents who reported positive changes to family life indicated that this was due to having more time at home and/or more time with children or grandchildren. In particular, those with younger


425

children had more time and opportunities to be part of their children’s lives, and reported having more energy to interact with family for care and household chores:

Probably more [time] because the business, the way it is, I’m working here every day [self-employed at home] and so I spend more time with them, take them to school and if I’ve got a job in between now I can still take them to school and then go to the job, so probably more [time]. (Kevin, age 41, married, children at home, financially getting by/difficult, 21 years at Mitsubishi, re‑employed).

For one single parent, work hours were critical to being able to spend time with her daughter. The daughter too preferred the new situation where she did not have to attend after-school care:

She [daughter] thinks it wonderful that I can take her and drop her off and pick her up and all that sort of stuff, so yes, we have been spending more time together in that way. (Rosslyn, age 45, single, child at home, financially comfortable, 25 years at Mitsubishi, unemployed).

For some workers being able to spend time with grandchildren was important and mainly possible because their pay-out had allowed them to take early retirement or a job with fewer hours. Other respondents were pleased their time was more flexible so they could visit relatives, or provide informal care for aged parents or children/grandchildren during school holidays:

More time. School holidays, and if my daughter wants to go out then the kids come around here and I look after them, especially if it’s a nice day. (Jack, age 60, married, no children at home, financially comfortable, 30 years at Mitsubishi, not in the labour force).I worked this morning and then I took my mum to get her needle [injection] and go and get her hair cut and then we went to my sister’s. Yeah that was something you’d do on a weekend or she would have to take her, because I just didn’t have the time. (Sylvia, age 55, married, no children at home, financially comfortable, 8 years at Mitsubishi, re‑employed).

These responses illustrate that the impacts of job loss extend beyond the partner and dependent children living in the home and so demonstrate the importance of using a broader definition of family.

Discussion

The research’s primary aim was to gain understanding of how workers perceived that their job loss had affected their families. Using quantitative and qualitative methods we have described the characteristics of a sample of workers affected


by a mass redundancy and the distribution of job loss effects amongst this sample. We have then given these impacts a more nuanced interpretation based on workers’ subjective experiences. This research is important in the current economic climate, where industrial mass layoffs are continuing in Australia and other developed countries, because it confirms that mass job loss continues to have impacts beyond the individual worker. It also supplements a largely American body of research in this area.

Our research found that substantial numbers of workers perceived that their job loss had affected their family life in some way. In talking about these impacts, we found that detailed interviews allowed respondents to talk about ‘family’ in broader terms than has emerged in much previous job loss research. They often included family members other than just their spouse/partner and/or dependent children, and also talked about impacts on grandchildren, older non-dependent children and other relatives. Our quantitative analysis found that the main characteristics associated with significant family impacts of job loss lay in two domains: family life stage (married/partnered and with/without children) and economic situation (employment status and assessment of financial situation). Those with dependent children and those with partners reported more negative impacts than those without children and those without partners. Perhaps surprisingly, those still in the plant at the time of survey reported the most negative effects on family life. Previous research suggests that this may be due to anxiety about the future, and the stress of watching fellow workers leaving in difficult circumstances (for example, Latack et al. 1995; Rosenblatt & Ruvio 1996). Not surprisingly, more of those who were having financial difficulties reported negative impacts. The qualitative analysis supported this finding and suggests respondents who moved quickly to another position or into retirement tended to have the least negative experience.

Previous research has been equivocal about whether worker gender plays any part in the family impacts of job loss. We found no significant gender effects in the quantitative analysis, but this may be due to the small number of women in our sample reflecting the composition of the Mitsubishi workforce. There is certainly room for more research comparing the job loss experiences of male and female workers.

Previous research highlights predominantly negative impacts on family life resulting from the job loss of the main male income earner. Our qualitative analysis found similar negative impacts, with financial strain being the main negative stressor. However, this appears to have been buffered by the redundancy packages, which also provided greater benefit as the number of years’ service increased. Weller (2012) concludes that financial security can mollify adverse impacts in the two key dimensions of housing and family. She found that in the absence of similar redundancy packages, many Ansett workers were forced to borrow money or foreclose on mortgages, exacerbating the emotional devastation of their job loss. We also note that compared to workers in countries with less comprehensive health and welfare systems, our respondents did not suffer the loss of health insurance coverage and could


427

receive unemployment benefit once their salary-related benefits had expired. Australian workers continue to receive free (or highly subsidised) health care during unemployment, and welfare benefits are non-contributory and not time-limited. These international differences illustrate the need for further research on job loss in Australia. We believe the redundancy packages and formal assistance with finding new work explains why we did not find any cases of catastrophic financial impacts from the job losses. Despite this, the job loss still caused significant strain for many workers and families.

Our findings support previous research in that marriage/defacto partnerships were affected negatively, often through financial and emotional strain on the redundant worker and the resultant stress and worry experienced by the wife/partner and teenage/adult children (Price 1992; Lobo & Watkins 1995; Armstrong 2006). Some workers also reported that changed work hours, or new work being located further away from home, had an impact on their capacity to participate in family life (Hanisch 1999).

In contrast to much previous research, however, the workers in our study identified some positive family impacts in parallel with the negative. These were mainly concerned with having more time at home and with family, rather than with personal development opportunities as described by Mendenhall and colleagues (2008). For some, this was because they had entered self-employment, some were temporarily unemployed or taking a short break before looking for further work, some were retired, while others had different work hours in a new job. The finding that job loss had positive impacts particularly with regards to having more time with family, more flexible daily family routines, and better work-family balance was also identified by Lippold and Beachy-Quick (2003). It is possible that perceived positive impacts of job loss on family time may be emerging as a result of changing expectations of work and family in Australia, related to the decline in male workforce participation and major growth in female participation since the 1980s (ABS 2008), at the same time as an increased focus on the importance of men spending time with their children (Tehan & McDonald 2010). Some of our male respondents spoke of significant satisfaction from being able to participate more in their children’s daily lives. Our study of these workers’ job loss experiences suggests that work-place policies that allow more time flexibility for family interaction would be welcomed.

Strengths and limitations

One of our study’s main strengths is in capturing the views of a diverse range of workers experiencing the same mass redundancy through a combined approach with quantitative and qualitative methods. However, our study only included workers and not their spouses/partners or broader family members. Nevertheless, a separate, associated study asked the children of some workers about their views of the job loss impacts (Newman et al. 2009). The experiences of interviewing workers’ children leads us to suggest that further research on job loss should include the views of a range of family members to identify the full range of family impacts. Our findings represent the views of 371 of the


1,100 workers made redundant and, since we have no data on non-respondents, the generalisability of the findings is limited. Most workers were male, ‘blue collar’, had been in secure, relatively well-paid jobs and received financial and job search support following job loss, so the findings may not be relevant to groups of workers in different circumstances. A further limitation is that our data collection was conducted face-to-face and we had no resources to follow up families who moved interstate. Thus we cannot anticipate whether their perceptions of job loss impacts were different from those who stayed. Future research to follow up on displaced workers who have moved would be useful.

Conclusion

Our study suggests that a nuanced understanding of the family impact of job loss is critical for policymakers, employers, communities and support organisations to develop effective responses for both families and areas experiencing mass job loss. That few of our respondents reported catastrophic impacts on their family life is, we believe, in part due to the ongoing welfare safety net for unemployed workers and the continuation of health insurance. The reports of positive impacts on family life also underscore that, in the presence of welfare and health insurance support and relatively generous redundancy payments, job loss may present some opportunities for enriching family life rather than just negative impacts, and this may be an encouraging finding for workers and families facing redundancy. However, we have certainly documented considerable negative impacts and these should not be underestimated. We suggest that these impacts need to be acknowledged by policymakers and welfare agencies if they are to minimise the negative fallout of macro-structural economic change and industrial globalisation.

Acknowledgments

We would like to thank the many individuals who gave their time to participate in this research. We are also grateful for useful comments from anonymous reviewers and the editorial team. The authors acknowledge support from the National Health and Medical Research Council Capacity Building Grant (324724). The research was also supported by the SA Department of Health and the SA Department of Families and Communities through the Human Services Research and Innovation Program (HSRIP), and the Australian Research Council Linkage Program (LP0562288), with the Department of Health serving as Industry Partner. Professor Fran Baum was supported by an ARC Federation Fellowship and Drs Newman and Ziersch by the SA Premier’s Science and Research Fund.


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Endnotes1. This is the official categorisation of redundancy as ‘voluntary’ and ‘involuntary’, and the

one which we use in our analysis. However, in the interviews some workers felt that their redundancy had been classed as ‘voluntary’ when in fact they had felt some pressure to leave (that is, they personally felt their leaving had been more of an involuntary nature).

2. Given our broad definition of ‘family’, we included children living at home who were over 18.

3. WorkCover Corporation is the South Australian agency responsible for compensating workers for injuries incurred at work, see http://www.workcover.com/site/home.aspx.

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A new form of energy poverty is the hallmark of liberalised electricity sectors Lynne Chester and Alan Morris

Abstract

The restructuring of electricity sectors has resulted in households paying significantly higher prices. Some European prices rose by more than 100 per cent between 2000 and 2010. NSW households experienced an 80 per cent increase during the period 2007 to 2012. Growing numbers of low‑income and vulnerable households are spending higher proportions of disposable income on energy bills and, we contend, suffer deprivation and social exclusion as a result. This phenomenon, we posit, is a new form of energy poverty driven by rapidly rising electricity prices which are directly related to electricity sector restructuring. The energy‑impoverished population is estimated at 150 million in Europe, and growing. Policy responses are ineffective and poorly targeted, while Australian policy makers rely on measures which significantly understate electricity price changes. This article explores the prevalence and consequences of the problem of energy poverty and outlines the extent of its occurrence in Australia, the country hailed as an exemplar of electricity sector liberalisation.

Keywords: electricity prices, electricity sector liberalisation, energy poverty, fuel poverty, low‑income households



Introduction

Electricity sectors around the world have undergone major structural change over the last 20 years. Large monopolies have been ‘broken up’ into smaller companies. Some of these new companies have been privatised. Markets have been created for the wholesale trading of electricity and many households can choose which company they want to supply their electricity. New regulatory institutions have also been created (Chester 2007). These structural changes have spawned an escalation of household electricity prices at rates well above inflation and income growth.

Electricity is a common energy source for household uses such as cooking, lighting and heating. Steep increases in electricity prices will cause hardship unless households have adequate income or the capacity to reduce energy demand. A household in the United Kingdom with an estimated need to spend more than 10 per cent of income on heating and other energy essentials is deemed to be in ‘fuel poverty’. The United Kingdom recognised this as a distinct social problem in the 1990s (Hills 2012). More recently the European Commission (EC) and International Energy Agency (IEA) have acknowledged the existence of a more widespread problem (Heffner et al. 2011).

This article explores the prevalence of rising energy costs, and the consequences for poor households in Australia and elsewhere. The discussion commences with an overview of global electricity sector restructuring and the subsequent rise in household electricity prices. Our conceptualisation of energy poverty is then discussed and distinguished from its traditional use as a relative measure referring to the lack of energy services to meet basic human needs in developing countries. We posit that the term ‘energy poverty’, rather than the concept of ‘fuel poverty’ used in the United Kingdom, is more appropriate because it captures the contemporary multiple household uses of energy other than for heating. Low-income households are the most vulnerable to energy poverty, as greater proportions of income are increasingly required to pay energy bills. This, we argue, is leading to deprivation and social exclusion. Acutely aware of the limitations of an absolute arbitrary measure, we use a similar threshold to that of the United Kingdom and define energy poverty as occurring when low-income households spend 10 per cent or more of disposable income on household energy bills.

The article’s focus then moves to the prevalence of the ‘new’ energy poverty across the Northern Hemisphere, New Zealand and Australia. A widespread incidence is found internationally and we posit there is a real and growing problem for Australia’s 3.5 million lower-income households. Early findings from our current research strongly indicate that Australian energy poverty is not confined to the poorest households who are highly dependent on income support but is spreading into the second lowest income quintile. Less than 30 per cent of households in the second lowest quintile depend on income support; instead they are much more reliant on wages and other income sources (ABS 2011b). The impacts and consequences of higher energy bills for those on low

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incomes are then discussed, followed by an overview of policies available to the energy-poor. We suggest that current policies are generally ineffective forms of temporary relief that further embed the problem. A final section draws together our key arguments.

The ‘liberalisation’ of electricity sectors and the Australian exemplar

By the 1980s, in line with the growing ascendancy of neoliberalism, a new paradigm for the provision of utilities, and particularly the production and supply of electricity, asserted the need for greater competition and less government involvement. Benefits were claimed to include lower prices for all consumers, more efficient operations through lower costs, the elimination of cross-subsidies and far more productive investment (Newbery 2002a; Joskow 2003).

This paradigm impacted on the restructuring of electricity sectors through three dimensions commonly denoted as sector ‘liberalisation’ or ‘deregulation’ (Newbery 2002b; EC 2005). First, companies have been ‘unbundled’ (often called ‘de-integration’). The competitive activities of generation and retail have been separated from the natural monopolies of transmission and distribution. Second, government-owned electricity companies have been commercialised, then corporatised and ultimately, although not in all cases, privatised. The third dimension to change has been the sector’s regulatory regime. New forms of regulation and institutions have created wholesale and retail markets, determine the pricing of transmission and distribution network services, monitor the performance of electricity companies and represent consumer interests. These changes have transformed electricity sectors around the world with the 1990s as the decade in which radical structural change took place with ‘astonishing rapidity’ (Chester 2007).

From Russia to South Africa, the Nordic countries, Latin America, Canada, the United Kingdom, the Asia-Pacific region, the European Union (EU) and the United States, electricity sectors existing in the 1980s are unrecognisable today. There has not been universal adoption of one standard set of changes. Some countries have created wholesale trading markets. Privatisation has featured strongly in some but not all restructurings. Not all consumers have a choice of electricity supplier. The most consistent restructuring feature has been ‘unbundling’ of companies. Nevertheless, all these changes have been predicated on increasing competition and less direct government involvement (Chester 2007).

The restructured Australian electricity sector has been hailed by the IEA (2005a; 2005b) as a role model. Complex Federal and State regulatory regimes have been introduced. Since late 1998, the majority of electricity generated has been traded on a newly created national wholesale market. Government monopolies have been broken up and many of the new companies sold. The functions of


generation and retail are exposed to competition, and the natural monopoly functions of transmission and distribution are regulated. The majority of Australian households can also choose their electricity supplier (Chester 2007).

Today’s Australian sector stands apart from international counterparts because the full ‘suite’ of key policy instruments (de-integration, privatisation, wholesale market, retail competition, regulation of transmission and distribution) has driven its restructuring. Despite the difference in instruments used to restructure electricity sectors, the new millennium has witnessed some strong consistent trends around the world, one of which has been the rapid escalation in electricity prices paid by households.

Rapidly rising household electricity prices in liberalised electricity sectors

One of the proclaimed benefits of electricity sector restructuring was lower consumer prices. But post-restructuring, households are not paying lower electricity prices and have experienced increases far in excess of general price and wage movements, most noticeably during the last decade.1 Table 1 illustrates the following trends:

(a) for those countries with relatively minor electricity sector restructuring (Japan, Mexico), household price movements have been either in line with or lower than inflation;

(b) for major economies that did not embark on electricity sector liberalisation until the late 1990s, real reductions in household prices occurred between 1990 and 2000, which were reversed after restructuring was implemented (Canada, Ireland, the United States);

(c) price cap regulation has limited the increases for two ‘late starters’ (Netherlands and Spain);

(d) energy policy decisions, made prior to restructuring, about nuclear power (France) and renewable energy (Germany) lowered long-term electricity production costs which has maintained real reductions for household prices;

(e) two countries which led sector restructuring in 1990 (Norway, the United Kingdom) had real reductions in household prices between 1990 and 2000, due to falling generation fuel prices (hydro and coal). Steep increases since have eliminated these gains. UK electricity prices declined from 1996 to 2004 due to falling fossil fuel prices but rose in real terms by 44 per cent from 2005 to 2010 (Hills 2011: 104); and

(f) the largest increases between 2000 and 2010 were in countries which started restructuring the earliest (Chile, Czech Republic, Hungary, New Zealand).

National changes also mask underlying variations. For example, US prices show an increase post-restructuring of over 40 per cent between 2000 and 2010. Yet household electricity prices in 12 American States rose, between 1999 and 2007,


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by more than 50 per cent with the highest increase being 74 per cent in Texas (Anderson 2009; Showalter 2008). In those US States which have liberalised their electricity sectors, household prices are at least 10 per cent higher than elsewhere (Marcus 2011).

Table 1: Nominal changes in household electricity prices for selected countries (%)

Country Change 1990‑2000

Change 2000‑10

Electricity sector restructuring

Canada n.c. 79.2 Started in the late 1990s

Chile 109.8 166.3 Started 1982; early 1990s price increases matched inflation which fell to 5% or less

Czech Republic 100.0 133.3 Started 1992; cost‑reflective household prices phased in 1995‑2002

France ‑32.0 1.3 Started 1999

Germany ‑26.2 16.0 Started 1998

Hungary 66.7 116.9 Started 1990; cost‑reflective household prices introduced in 1995

Ireland 47.3 99.9 Started 1999; cost‑reflective household prices phased in from 2001

Japan 20.9 8.4 Minor changes from 1995

Mexico 47.8 30.9 Minor changes; household prices remain heavily subsidised

Netherlands 12.0 35.0 Started 1998; regulation has capped size of price increases

New Zealand 9.1 203.3 Started 1987; cross‑subsidies eliminated in 1992; new regulation from 2003 led to major price increases

Norway ‑20.5 106.1 Started 1991

Spain ‑38.4 58.3 Started 1997 Price regulation capped nominal price increases below supply cost until 2008

Sweden n.a. 87.6 Started 1996

United Kingdom ‑9.3 86.0 Started 1990

United Sttes 3.8 41.5 Started in the late 1990s

n.a. = Not available; n.c. = No change Sources: Arcana et al. (1999); Kaderják (2005); KEMA Consulting (2005); van Damme (2005); Wood (2009); EC (2011); IEA (2011b).

Similar pricing trends are evident for Australia. As in electricity sectors elsewhere, a rapid escalation in prices started about a decade after restructuring commenced. Electricity price increases well above 50 per cent were experienced by most households within a few years.

Most Australian households are able to choose the company to supply their electricity. If they do so, the prices paid are set by a ‘market contract’. If a household chooses to remain on a ‘standard contract’, their electricity prices are set by State and Territory government regulators. Some two-thirds of NSW


households, 40 per cent of Victorian, one-third of South Australian, and nearly 60 per cent of Queensland households have chosen to remain on ‘standard contracts’, and thus pay regulated electricity prices (IPART 2010; QCA 2010). These regulated electricity prices are to be phased out, subject to evidence of effective competition (COAG 2006). There have not been regulated prices for Victorian households since 2009, although electricity companies must provide ‘standing offer’ electricity prices to those not on a ‘market contract’.

During the five years to 2003-04, NSW household prices showed no real change although there were real increases of five to 11 per cent in all other States and Territories except South Australia, where prices stagnated before leaping 24 per cent in real terms in 2003-04 (ESAA 2003). More substantive increases in regulated household prices have occurred in recent years (ABARE 2010). Each regulator has sought to make prices reflect the cost of supply and ‘consistent with the Government’s policy aim of reducing customers’ reliance on regulated prices’ (IPART 2010: 11).

Table 2: Nominal average increases in regulated household electricity prices (%)

2007‑08 (%)

2008‑09 (%)

2009‑10 (%)

2010‑11 (%)

2011‑12 (%)

Cumulative Change 2007‑08

to 2010‑11 (%)

Cumulative Change

2007‑2008 to 2011‑12

(%)

NSW 7.5 7.5 20.2 10.0 17.3 52.8 79.5

Victoria* 7.3 7.4 13.5 6.0 n.a. 39.3 n.a.

Queensland 11.4 9.1 11.8 13.3 6.6 54.0 64.1

South Australia 12.3 2.5 2.0 18.2 17.4 38.8 62.9

Western Australia 0.0 10.0 23.6 10.0 5.0 49.6 57.0

Tasmania 15.7 3.9 7.0 15.3 11.0 48.3 64.6

NT 4.4 3.4 18.0 5.0 2.8 33.7 37.5

ACT 16.7 7.1 6.4 2.4 6.4 36.2 44.9

n.a. = Not available. *The figures for 2007‑08 and 2008‑09 are for regulated prices and for market contract prices in the subsequent two years. Source: Calculated from the annual pricing determinations of each State and Territory regulator which can be found on their respective websites. A full list is available from the authors.

In the five year period to mid-2012, the average increase in NSW household electricity prices was nearly 80 per cent, more than 60 per cent in Queensland, South Australia and Tasmania, and 57 per cent in Western Australia (Table 2). Increases for households in the two Territories were 38 to 45 per cent. The only available Victorian data since 2009 is for average market contract prices. The average real increase for standing contract prices (tantamount to regulated prices) from 2006-07 to 2010-11 has been 36 per cent which is comparable to the nominal change shown in Table 2 of nearly 40 per cent in the four years to 2010-11 (ESC 2011a).


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The average change may understate the actual increase experienced by a household, as does the CPI Electricity Price Index for those who live in the eastern States (Table 3).2 Nevertheless, this index shows (except for Canberra) electricity prices clearly outstripping CPI and average weekly earnings for the vast majority of households. During the same period the Pensioner and Beneficiary Living Cost Index (PBLCI) increased by 16 per cent (ABS 20011a). The PBLCI informs decisions about pension indexation rates and policy makers use the CPI Electricity Price Index as evidence of price trends (for example, Ferguson 2010). Both indices substantively understate actual average electricity price movements for the majority of Australian households.

Table 3: Comparative changes in regulated electricity prices, price indices and average weekly earnings (%)

2007‑08 to 2010‑11 Regulated household electricity prices

CPI electricity price index*

All groups CPI*

Average weekly earnings#

NSW 52.8 44.5 12.8 17.7

Victoria 39.3 47.1 12.9 16.9

Queensland 54.0 41.4 14.9 23.5

South Australia 38.8 27.8 13.4 19.9

Western Australia 49.6 49.4 12.9 35.4

Tasmania 48.3 27.5 12.1 23.7

NT 33.7 31.6 13.4 26.0

ACT 36.2 16.3 13.1 21.9

Australia n.a. 41.9 13.2 21.2

n.a. = Not available. *CPI figures are for each capital city and the weighted average for eight capital cities. #Year ending August for full‑time adult ordinary time earnings. Sources: Table 2 and calculated from ABS (2011f; 2011g).

Households in the most populous States face potential increases of 33 to 42 per cent during the next two years (AEMC 2011: 6). It has been announced recently that NSW household electricity prices will rise on average by 18 per cent from July 2012, those for Victorian households by up to 15 per cent and Queensland by a similar magnitude (IPART 2012; Morton 2012; QCA 2012).

These past and potential future price increases are directly attributable to higher charges for transmission and distribution services, and to a lesser extent the wholesale (generation) charge (AEMC 2011).3 As noted earlier, electricity sector restructuring implemented a new regulatory regime for the pricing of the monopoly activities of transmission and distribution, and new markets for the wholesale trading of electricity. The new regulatory pricing regime has sought to make prices cost-reflective of supply and recover the cost of investment in transmission and distribution networks to replace ageing assets, to increase capacity to meet rising peak demand and to meet reliability and safety standards. An unequivocal outcome for the exemplar of electricity sector


liberalisation, Australia, has been a rapid escalation in household electricity prices due to the magnitude of the increased charges for network services permitted under post-restructuring regulation. It is the impact of these price increases on low-income households to which we now turn.

Conceptualising a new form of energy poverty

Research into the consequences of escalating household electricity prices has overwhelmingly focused on a phenomenon deemed ‘fuel poverty’ found in the UK, Ireland, Europe, the US and New Zealand (Boardman 1991; 2010; Healy 2004; Power 2005; Lloyd 2006; Bazar 2007). Fuel-poor households are considered to have ‘energy costs which are excessive compared to overall household income’ (Heffner & Campbell 2011: 6). Boardman’s (1991) pioneering fuel poverty research exposed the causes to be the conjunction of low income, rising energy prices and poor energy efficiency of housing. Not all low-income households are fuel-poor although some are more vulnerable, such as older people, those with health or disability issues, very large families, those in rural isolated communities with limited energy choices, those with low literacy levels, and those without access to the internet or with old, energy inefficient appliances.

The official UK definition maintains that fuel poverty exists if a household needs to spend more than 10 per cent of its income on fuel to achieve an ‘adequate’ level of warmth and on all other energy services such as cooking and lighting.4

The rationale for 10 per cent was that it represented twice the median energy expenditure which was deemed to be a disproportionate level (Boardman 2010). This definition ‘can encompass households that clearly are not poor’ (Hills 2012: 6). The UK Fuel Poverty Review proposes a more meaningful measure of households below an income threshold (after housing costs and adjusted for household size and composition) that have energy costs above a ‘reasonable level’. The income threshold is recommended at 60 per cent of median income, the official poverty line (Hills 2012).

The European Commission’s Energy Policy (2010) suggests that fuel poverty arises from a household using a broad group of energy sources, whereas ‘energy poverty’ occurs when a household relies on only two energy sources, electricity and gas. The Policy’s proposed definition of energy poverty is a pre-defined threshold share of overall household energy expenditure around twice the relevant national average (EC 2010: 16). Traditionally the concept of energy poverty has been used to define the lack of regular and safe access to electricity, or the complete absence of any modern energy sources, in developing countries (Pachauri & Spreng 2003; Heffner & Campbell 2011). Measures of energy poverty thus defined include engineering-type estimates of basic energy needs for particular social groups, the derivation of energy use as a function of expenditure or income and adoption of an energy poverty line (like that for UK fuel poverty), and measuring lack of access to electricity by determining the dependence on solid fuels (Pereira et al. 2011).


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We contend that the term ‘energy poverty’ is more appropriate than fuel poverty to the circumstances of low-income households living with rapidly escalating energy prices, irrespective of the energy source. Fuel poverty evokes the connotation of energy use solely for space heating, that is, fuel purchased to generate energy for warming a home. Most of the fuel poverty discourse ignores expenditure on ‘other energy services’ although space heating is estimated to have accounted for only 56 per cent of the average UK household energy bill in 2009 (Hills 2012: 29). Energy uses include cooking, lighting, and for appliances like refrigerators, televisions, clothes dryers, dishwashers, freezers and computers. Households in developed economies have on average 10 appliances (OECD 2011: 63). Home energy use also includes space cooling, which has grown rapidly in Australia, being used by 73 per cent of households in 2011 (ABS 2011e). The term ‘energy poverty’ captures the contemporary multiple household uses of energy other than for space heating.

It is for these reasons that we use energy poverty to refer to the situation of low-income households paying more than 10 per cent of their disposable income to meet energy costs, irrespective of household use or energy source. We consider that low household income and actual, not estimated, energy expenditure as a proportion of disposable income are core determinants of this concept.5 Although acutely aware of the limitations of such an arbitrary absolute level, we have adopted 10 per cent as a headline indicator until more definitive evidence is available.6

Growing prevalence and embeddedness

‘Regardless of the definition, the incidence … in IEA member countries is growing’ (Heffner & Campbell 2011: 6).7 The numbers judged energy-poor are most prevalent in countries with restructured electricity sectors. Up to 150 million of the European population and 20 per cent of UK households were estimated to be experiencing energy poverty in 2009 (Bird et al. 2010). Within the United Kingdom there are marked regional differences, with an estimated incidence in Northern Irish households of 44 per cent compared to 19 per cent in England (DECC 2011: 11). As electricity prices dropped between 1996 and 2004, the number of energy-poor English households fell to 1.2 million but rose back to four million by 2009 as electricity prices surged (Hills 2011: 32). There have been ‘appalling increases … since 2004, largely as a consequence of unprecedented energy price increases’ (EAS and NEA 2009: 6). If electricity and gas prices continue to rise at the same rate, the average UK household will suffer energy poverty by 2015 (Blair 2011).

The European Commission (EC 2010: 16) estimated 13 per cent (27 million) of European Union households spend a ‘considerable share’ of expenditure on household energy costs compared to national averages. Relying primarily on 2005 data, the national estimates range from six to nearly 20 per cent, which would now be higher following more recent electricity price increases. Across the Atlantic, nearly 16 million US households were energy-poor in 2006, and the difference between ‘affordable’ and ‘actual’ US household energy bills jumped


from US$18.2 billion in 2002 to US$41.2 billion by 2008 (Power 2006; Cohen 2008). In New Zealand, the estimated population living in energy poverty grew from 10-14 per cent in 2006 to 23 per cent in 2008 (O’Sullivan et al. 2011).

Data about the numbers of Australian energy-impoverished low-income households is more limited. Nevertheless, we posit that energy poverty is a growing problem, based on the following arguments and evidence. Australian households do not experience the freezing winter temperatures of the Northern hemisphere or New Zealand and thus are unlikely to pay more than 10 per cent of disposable income in heating costs. However, Australian households have the highest rates of ownership of refrigerators and air-conditioners in the OECD, with nearly 75 per cent using space cooling and 57 per cent a clothes dryer, both big energy users and for which there has been a marked increase in household take-up in recent years (ABS 2011e; OECD 2011).

Around 3.5 million Australian households fall within the two lowest income quintiles (ABS 2011b). Poor households in advanced industrial economies, as in developing countries spend higher proportions of income and expenditure on energy (Jamasb & Meier 2010a; Khander et al. 2010). In 2009-10, domestic fuel and power accounted for 2.6 per cent of average weekly expenditure for all Australian households. Seventy-five per cent of this weekly expenditure was for electricity costs (ABS 2011c). This average, however, masks a distinct difference between income groups. As household disposable income rises, a steadily declining proportion is spent on domestic energy. The poorest 20 per cent of households in 2009-10 spent four per cent of average weekly expenditure on electricity, double that of the richest households (Table 4). The comparative weekly expenditure proportions in 2003-2004 were 2.9 per cent for the poorest and 1.5 per cent for the highest income (ABS 2006).

Table 4 also shows the disproportionate impact of energy costs by household income quintile. The poorest quintile, actually nearly 25 per cent of Australian households, in 2009-2010 spent, on average, seven per cent of equivalised disposable income on energy costs. This is nearly three times the proportion spent by the wealthiest households and represents an upward shift since 2003-2004 when the poorest quintile was found to be spending 2.4 times that of the wealthiest (ABS 2006). It is also notable that the second lowest quintile, and a little more than 18 per cent of households, in 2009-2010 spent twice the proportion spent by the wealthiest households.


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Table 4: Average Australian household expenditure on energy, 2009‑10

2009‑10 EQUIVALISED DISPOSABLE HOUSEHOLD INCOME QUINTILE

Lowest Second Third Fourth Highest All Second & third deciles

% of total households 24.5 18.2 18.1 18.6 20.6 100 21.3

Mean weekly income $314 $524 $721 $975 $174 $848 $429

% of av. weekly expenditure on domestic fuel and power

3.9 3.2 2.8 2.4 2.0 2.6 3.7

% of av. weekly domestic fuel and power expenditure on electricity

76.3 75.0 74.6 75.7 74.3 75.1 n.a.

% of equivalised disposable income on domestic fuel and power

7.0 5.3 4.3 3.7 2.6 3.8 6.5

% of equivalised disposable income on electricity

5.4 4.0 3.2 2.8 1.9 2.9 n.a.

Source: ABS (2011b; 2011c).

Two cautionary notes need to be made about this data. First, all the energy expenditure proportions have been derived from the mean weekly income for each quintile. This means that the derived figures will not be representative of all those within each income quintile and should be treated as indicative only. Second, these figures understate the current situation for low-income households because they do not include the effect of the substantial electricity prices increases since mid-2010 (as shown in Table 2). Early findings from our current research on low-income households signal that much higher proportions of disposable income are being paid on energy bills. These findings partly confirm the NSW Independent Pricing and Regulatory Tribunal’s (IPART) recent estimate that more than 10 per cent of disposable income was being paid on electricity bills by five per cent of Sydney households and eight per cent of those in country NSW (IPART 2011). IPART also claimed that electricity bills for the lowest income quintile Sydney households may require more than 10 per cent of disposable income compared to two per cent for the highest incomes (2011: 10).

These trends and data illustrate two critical points. Electricity prices rises are causing low-income households to pay higher proportions of income and expenditure to meet energy bills. The severely disproportionate impact on the poorest Australian households is widening over time. There is little doubt that electricity bills are impacting on the circumstances and well-being of low-income households. Hence, it is our contention that many Australian low-income households are already suffering energy poverty, contrary to the claim of Simshauser, Nelson and Doan (2011) that it will emerge in the future.


The consequences

A low-income household’s capacity to meet escalating energy costs will be influenced by the ability to change its energy demand and housing tenure (Healy 2004; Boardman 2010). The condition of housing influences the demand for energy. Draughty, poorly insulated, inadequately ventilated and older housing causing damp and mould growth, excess cold or excess heat, will directly influence energy use for space heating and cooling. Owner-occupiers may be more likely to make energy efficiency improvements given their greater level of control over the home. Many older owner-occupiers will, however, have insufficient financial resources for housing improvements to reduce their energy needs. Renters may not feel the responsibility or right to make housing improvements (Healy 2004). Low-income renters also face the constraint of being able to find alternative, affordable and more energy-efficient housing. Low-income households have much less capacity to influence housing energy efficiency to reduce their energy demand and stem the growth of energy bills as prices rapidly rise.

The ability of low-income households to adjust their energy demand will not only depend on housing conditions and tenure. It also will be influenced by the size, composition and daily activities of the household, as well as the capacity to replace energy-inefficient appliances and adopt different household practices. A number of studies have found that the energy demand of low-income households is relatively price insensitive (IPART 2003: 22-25; Jamasb & Meir 2010b). Consequently, we posit that higher electricity prices are forcing low-income household expenditure patterns to shift because greater proportions of disposable income are needed for energy bills and less is available to meet other essentials. This is being confirmed by early findings from our current research. There is also a growing body of evidence of low-income households suffering considerable hardship in paying energy bills, increasing arrears on utility bills, and self-disconnection to manage energy costs (Gibbons and Singler 2008; EEPE Project 2009a; OFGEM 2008; PSIRU 2008; World Bank 1999). As a result, an increasing number of vulnerable households are suffering forms of deprivation and social exclusion directly attributable to the rapidly rising prices of liberalised electricity sectors.

Excessively high energy heating bills in relation to low income:often means choosing between essential household items or living in an adequately heated home … living a cold, damp environment can cause discomfort and ill health. … health problems such as influenza, heart disease and strokes can be exacerbated, and cold homes can promote the number of dust mites and the growth of fungi, which are often linked to asthma and other similar conditions. Households that need to spend a large part of the family income on fuel often have to spend less on other parts of the family budget. This may lead to a poor diet or reduced participation in leisure activities, both of which can impact quality of life and health … Children’s education


447

may also be adversely affected. Cold homes can increase the amount of time it takes to recover from an illness, which could result in longer absences from school (Barnardos 2010: 1).

Strong correlations have been found, in the United Kingdom and Europe, between energy poverty and excess winter mortality, expenditure trade-offs between food or other household essentials and energy, self-disconnection, (often when a pre-payment energy meter has been installed), a range of ‘energy coping strategies’ across household type, impacts on physical and psychological health, and social exclusion and marginalisation (Boardman 1991, 2010; McKendrick et al. 2003; Doble 2000; Healy 2004; Gibbons and Singler 2008; Rural Services Network 2010; Beatty et al. 2011). In the United States, unusually cold weather has led low-income families to reduce their expenditures on food – the ‘heat or eat’ syndrome. ‘Poor American families face stark choices in cold weather … they increase their home fuel expenditures at the cost of expenditures on food and nutritional well-being’ (Battacharya et al. 2003: 1153). Liddell and Morris (2010) report that mental health effects on adults and adolescents, and physical effects on the health of infants, are significant, as well as the cumulative health effects associated with living in cold conditions.

Deaths due to the inability to keep housing warm during winter months have been the most extreme manifestation of the impact of higher energy bills. The rate of these ‘excess’ winter deaths has grown as energy prices have risen (Healy 2003, 2004; Hills 2011). Australia is not immune to climate-related deaths. Excess mortality has been found concentrated in the elderly and associated more with extreme heat than the coldest winter days (Guest et al. 1999). In Victoria, a heatwave in 2009 caused substantial morbidity and mortality, with a 64 per cent increase in excess deaths within one week (Victorian Government 2009).

There is currently no substantive evidence base of the consequences for low-income Australian households of escalating electricity bills. Some small research projects have, however, made findings comparable to those found internationally. A 2004 report starkly described a range of physical and mental health effects, social exclusion and deprivation experienced by 12 low-income South Australian households following an electricity price increase around 30 per cent in one year:

all forgo at least one of the normal essentials of physical health, thermal comfort, adequate nutrition, social contact, access to education or entertainment, or freedom from financial insecurity and mental stress … usually a combination of two or more of these unmet needs has emerged (Laris and Associates 2004: 9).

Changed household expenditure patterns arising from electricity price increases were also found in 2004 amongst people receiving financial counselling. Half had reduced their spending on food and telephone, whereas 80 per cent or more had cut expenditure on clothing, holidays, movies and sport (Uniting Care 2010: 7). A few years later, more than 70 per cent of financially stressed households were found to be making sacrifices to meet electricity price increases and 10 per

cent were unable to meet the cost (Wesley Mission 2010). Electricity and gas bills have been found also to be the greatest cause of rental arrears (63 per cent) in Victorian low-income households (Sharam 2007).

A not-for-profit organisation which distributes government vouchers to assist those having difficulty with the payment of energy bills reported in 2008 that 80 per cent of these were seeking assistance for electricity bills (Babbington & King 2008: 15). Nearly 40 per cent of the two lowest household income quintiles were unable to pay electricity, gas or telephone bills on time during 2010 (ABS 2011d).8 Income support recipients are most likely to be unable pay a utility bill, particularly sole parents, unemployed people or those with a disability (ACOSS 2008).

A study of the experiences following a utility disconnection reported children (36 per cent) or others in the household (34 per cent) became anxious or distressed, children were unable to do homework (17 per cent), and someone in the house either could not use a medical device (nine per cent) or became ill (seven per cent) (PIAC 2009). State government regulators are reporting higher levels of electricity disconnections, with increases of 33 per cent in Victoria and 54 per cent in South Australia in 2010-11 (ESC2011b: 9: ESCOSA 2011: 14).

Finally, a 2010 survey carried out by students of one of the authors of this article found 27 per cent and 18 per cent of older NSW homeowners dependent primarily or solely on the age pension ‘always’ or ‘often’ had difficulty paying their electricity or gas bills respectively.9 Just over one quarter of respondents said they could ‘seldom’ or ‘never afford’ to heat or cool their homes adequately, and 44 per cent of those who perceived that their quality of life was ‘poor or fair’ always had difficulty paying their electricity bills.

The current policy approach

The Australian Federal government has acknowledged that low-income households:

have been particularly impacted by increases in retail energy prices as a result of poor quality housing stock, limited ability to reduce energy use with better appliances, and the fact that … they spend proportionally more of their income on this essential service (DCCEE 2011: 4).

Nevertheless, energy poverty as a problem is not recognised by Australia or the majority of countries where it is prevalent (EPEE Project 2009a). The United Kingdom is the only country to formally recognise it as a distinct social problem. These policy positions are reflected in the assistance available to the energy-poor.

Generally not designed to address the problem of energy poverty, current policies fall within three types. The first are measures such as social tariffs, concessions, rebates and pre-payment meters which aim to limit the impact of energy prices. The second type focuses on improvements to housing energy


449

efficiency, examples of which are insulation and retrofitting. The third type seeks to increase household income, such as the winter fuel payment provided to UK households and the Australian utilities allowance for income support recipients. A summary of a range of programs in the United Kingdom, the United States and Europe is provided at Appendix 1.

Australian assistance to the energy-poor is more limited and is provided through three means. First, all electricity retailers are required to provide ‘hardship programs’ which generally are payment arrangements for energy bills owing or for ongoing use (AER 2011). Second, the Federal Government provides a utilities allowance to a small group of income support recipients to assist the payment of water, sewerage, property rates and energy bills (Centrelink 2011). The equivalent of this allowance is also paid to age pensioners within a quarterly pension supplement. The Australian Government’s Low Income Energy Efficiency Program is intended to assist low-income vulnerable households improve their energy efficiency, although it is unclear whether this will amount to more than endeavouring to change household behavioural practices. Other programs to improve housing energy efficiency, like those internationally, have tended to provide rebates to home-owners and have not targeted low-income households, one example being the ill-fated Home Insulation Program (ANAO 2010).

State governments provide the third and primary form of assistance through concessions (such as a lump-sum or concessional tariff rate) (see Table A.2, Appendix 1). Eligibility criteria vary across jurisdictions. Generally, to receive State Government assistance a low-income household must be receiving income support and/or hold a concession card such as the Federal Health Care Card. Most States provide a rebate for life support or medical needs for cooling. New South Wales and Queensland provide ‘crisis’ assistance to those experiencing difficulties paying bills and Tasmania provides a meagre heating allowance of $56 per annum. Some State governments have provided energy audits and limited assistance to improve energy efficiency, such as light globes and door ‘snakes’ (NSW DECCW 2010).

We contend that the majority of measures provided by all governments, Australian and international, are so tightly targeted that they do not ‘capture’ all those experiencing energy poverty. There is a high prevalence of reactive, temporary financial assistance measures for vulnerable households. Australian State Government rebates and concessions offer little assistance against the recent price increases. Measures to provide widespread, long-term improvements to housing energy efficiency are virtually non-existent.

Conclusion

The numbers in energy poverty are growing rapidly in all countries with liberalised electricity sectors as the prices paid for household electricity escalate. Many households are paying increasingly high proportions of income to meet energy bills, with the greatest proportionate impact experienced by low-income


households. Small-scale studies suggest that many of these disadvantaged households are experiencing misery, discomfort, ill-health and sometimes even death, as well as other forms of material and social deprivation, because of the need to choose between essential household items and using electricity to maintain a decent standard of living.

In Australia, there is scant understanding of the consequences of rapidly rising electricity prices for 3.5 million households which fall in the two lowest income quintiles. Some small studies have provided snapshots of difficulties experienced, but no Australian research has established a substantive evidence base as yet of the consequences for low-income households of meeting the rising costs for this essential utility. Consequently there is an inadequate understanding of the pressures and circumstances confronting the poorest Australian households. Policy makers are informed by measures which severely understate the movement in household electricity prices. Current policies and income support indexation do not ameliorate the problem.

Energy poverty needs to be explicitly recognised as a distinct social problem if it is to be addressed and to prevent more of the population becoming energy impoverished. The measurement of this problem is critical to understanding how many are exposed. Policies also need to be both remedial and preventative, focusing on the root causes not the symptoms. One immediate Australian policy priority should be a national review of State Government assistance to remove locational inequities and improve effectiveness. A review of the rationale and justification for increases in the charges for transmission and distribution network services should be another immediate and fundamental priority for policy makers. Use of more accurate measures of price movements should be another priority. Policies to improve the energy efficiency of homes need to be of sufficient scale to have an impact on the overall problem. Moreover, a new approach to energy policy is urgently needed. Rather than just applying limited reactive policies, an approach to electricity pricing is needed that prevents adverse impacts on the standard of living for millions of Australian households. We need an energy policy approach with explicit social objectives, or energy poverty will continue to be the hallmark of liberalised electricity sectors and will become further entrenched.

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Showalter, M. (2008) Electricity price trends: deregulated vs regulated States, Olympia, WA, Power in the Public Interest.

Simshauser, P., Nelson, T. & Doan, T. (2011) ‘The boomerang paradox, part 1: how a nation’s wealth is creating fuel poverty’, The Electricity Journal, 24 (1), 72-91.

USDOE (US Department of Energy) (2010) Weatherization Assistance Program http://www1.eere.energy.gov/wip/wap.html

USDHHS (US Department of Health and Human Services) (2010) Low income home energy assistance program http://www.acf.hhs.gov/programs/ocs/liheap/

van Damme, E. (2005) Liberalizing the Dutch electricity market: 1998-2004, TILEC Discussion Paper No. 2005‑009, Tilburg, Center for Economic Research and Tilburg Law and Economics Centre, Tilburg University.

Victorian Government (2009) January 2009 Heatwave in Victoria: An Assessment of Health Impacts, Melbourne, Department of Human Services.

Wesley Mission (2010) Making ends meet: Financial stress is not just about money, The Wesley Report, Number 8, October.

Wood, J. (2009) ‘Spanish electricity tariff deficit hits €14bn’, Utility Week, 28 April http://www.utilityweek.co.uk/news/people/spanish-electricity-tariff-def.php

World Bank (1999) Non-payment in the electricity sector in Eastern Europe and the former Soviet Union, World Bank Technical Paper No. 423, Washington, World Bank.


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Endnotes1 Further steep increases are imminent as carbon pricing policies are adopted given electricity

generation’s high reliance on fossil fuels contributes more than 40 per cent to global carbon emissions (IEA 2011a).

2 The average price increases presented in Table 2 refer to all household consumers whereas the CPI electricity index only covers metropolitan households. This different coverage does not account for such a wide difference for so many households.

3 Electricity prices comprise a complex array of tariffs which represent four types of charges for the activities of generation, transmission, distribution and retail.

4 World Health Organisation standards are used to define ‘adequate’ level of warmth. These are 21 degrees Celsius in the main living room and 18 degrees Celsius in other occupied rooms during the day and lower temperatures at night.

5 It is debatable whether the income measure used should be pre or post-housing costs. We prefer pre-housing costs because there is evidence that households have gone into rental arrears because of energy bills (Sharman 2007).

6 The authors are currently undertaking a large research study of the impacts for low-income Australian households of rising energy prices, including the proportion of household disposable income needed to pay energy bills. Details can be found at www.householdenergyuse.com.

7 The IEA is an OECD organisation and has 28 member countries including Australia, the US, the UK, Ireland, and 20 European countries. All member countries have restructured their electricity sectors.

8 Prices for gas and telecommunications did not increase at the same rate as electricity during this period (ABS 2006; 2011b). Thus we assume that electricity bills were a significant contributor to this outcome.

9 The survey was undertaken by third-year students at the University of New South Wales for a research project on older homeowners who are solely or primarily dependent on the age pension. An electronic questionnaire was distributed by the NSW Council on the Ageing to which 203 responded. The questionnaire design and survey was coordinated by one of the authors.


Appendix 1:

Table A.1: Examples of international programs which the energy impoverished may access

Country Programs

France Solidarity Energy FundsFinancial assistance to those unable to pay energy bills.

Social tariffApplies to low‑income electricity consumers. Claimed to reduce bills by 30‑50 per cent.

Incentives to improve housingFor owner‑occupied and rental housing. Overwhelmingly directed to higher‑income earners.

Subsidies for low‑income householdsFor home improvements if contribute own labour.

Spain Social Emergencies SubsidiesCan be accessed to pay energy bills but generally used to pay rent.

Belgium Social Fund for EnergyInability to pay energy bills is the trigger for financial assistance.

Heating Fuel Social FundSubsidises heating oil costs but targeted at period of September‑April; only applies above an oil price threshold to a maximum volume and value per winter for eligible low‑income households.

Social tariffsPreferential rates for electricity and gas regularly set for eligible ‘protected customers’.

Financial support for investment in housing energy efficiencyFor low‑income owner‑occupied households but take‑up has been very limited.

Italy Social tariff (electricity)Disadvantaged households (e.g. member suffering chronic ill‑health) pay minimum rate determined by household size and ‘normal use’ of lighting and appliances.Households must have electricity demand less than 3kW and specified monthly maximum.

United States Low Income Home Energy Assistance ProgramOne‑off assistance to low‑income households who pay high proportion of income on energy.‘First‑come‑first‑served’ basis so when funding pool is spent, eligible households miss out.

Weatherization Assistance ProgramPerforms energy audits for low‑income households and assists with e.g. insulation, window repairs to improve overall efficiency.


459

Country Programs

United Kingdom

Winter Fuel PaymentNon‑taxable income supplement paid to all pensioners each December.Not income‑tested, applies irrespective of weather, does not include non‑pensioner fuel‑poor.

Cold Weather PaymentsIf temperature below freezing for seven or more consecutive days in a specific geographic area.Eligible households must be receiving income support and have young or disabled children.

Social tariffsGovernment requires all gas and electricity companies to provide to the most disadvantaged.No consistent definition of ‘most disadvantaged’, eligibility criteria or rate applied.

Pre‑payment metersClaimed to assist households budget but they generally pay higher energy prices and companies use them to collect debt.

Decent Homes Standard (ceased in 2010)Funded by local government, focused on social housing, varied definitions of a ‘decent home’.

Warm FrontAssistance to vulnerable households on mean‑tested benefits through installation of energy efficiency measures and advice; households must ‘self‑refer’ and much assistance is no more than low‑energy light globes.Least energy efficient have not necessarily been the ones assisted.

Warm Zones ProgramFree or subsidised insulation and heating, energy efficiency advice.Involves all properties irrespective of household income or tenure.

Source: Boardman (2010), EEPE (2009a, 2009b, 2009c), USDHHS (2010), USDOE (2010).

Table A.2: Australian State government electricity concessions, 2011

State Programs

NSW Rebate of $200 per annum on electricity bills.Life support and medical energy rebates.Energy accounts payment assistance scheme ($30 voucher)

Victoria Annual electricity concession of 17.5 per cent off electricity bills.Off‑peak concession of 13 per cent reduction on off‑peak tariff rates.Medical cooling concession of 17.5 per cent off electricity costs (1 Nov–30 April).Life support machine concession.Electricity transfer fee waiver.

Queensland Electricity tariff rebate of $0.5385 per day.Life support and medical cooling/heating concessions.Home energy emergency assistance scheme.

South Australia Concession of up to $158 per annum.

Western Australia

Energy rebate (31‑40 cents per day).Dependent child, account establishment and air conditioning rebates.Life support equipment and medical electricity subsidies.

Tasmania Electricity concession of 111.70 cents per day.Heating allowance of $56 per annum.Life support machine rebate.

Source: This summary listing has been compiled from a wide range of State Government websites and those of organisations directly delivering emergency assistance on behalf of those governments. A full list is available from the authors.

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Notes for contributors

Aims and scope

The Australian Journal of Social Issues is a quarterly refereed journal published jointly by the Australian Council of Social Service (ACOSS) and the Australian Social Policy Association (ASPA). The AJSI aims to contribute to the development of social scientific analysis of social and policy problems in Australia. Submissions presenting research on any aspect of Australian social policy are considered, including work that explores conceptual problems, presents empirical studies, or debates policy initiatives. Research within any social scientific discipline is welcome, but all submissions should be readable across disciplinary boundaries.

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Submission, copyright and review

Submissions should be in English and of between 5,000 and 8,000 words in length, including abstract of no more than 200 words, notes and references. Submitted articles should comply with the AJSI style, as detailed below. Please submit your article via the Journal’s electronic submission system at http://mc.manuscriptcentral.com/ajsi. Submissions should be anonymous – contributors should be sure to remove all identifying information within the text of the article, including acknowledgments and obvious self-citations.

Authors are required to affirm that the submitted article has not been previously published in whole or in part, or is not being considered for publication elsewhere. If an earlier version of the article submitted has been available (for example, as a conference or working paper), or a related article has been, or is, intended for publication elsewhere, authors are also required to document explicitly the details of other published versions and any existing/proposed additional publications.


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It was clear to me that the nurses were doing the best they could, but the way the system works makes it … I don’t know … quite difficult for them do really look after people the way they’d like to. (Suzanne, daughter, regional area)

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463

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References should follow the Harvard author-date system. Those in the text should give the family name of the author(s), year of publication and page number (when quoting directly or referring to a specific point) as follows:

The major improvement was in the quality of poisons used (Banks & Braes 1997a: 122). Later studies (for example, Heathwood et al. 1995; Banks & Braes 1997b; 2001; Enquist 2010; Viorella 2010) reinforced the case for insurance law reform. Roy (1997a: 408) argues that …

Where a reference has more than two authors, citations consist of the first name followed by ‘et al.’ unless this would cause ambiguity. However, please do not use ‘et al.’ within a sentence; a formulation such as ‘Heathwood and colleagues (1995) reinforced the case …’ is preferred. When several references are cited at once, they should be given in ascending date order; where two references were published in the same year, use alphabetical order (see example above).


When two or more works of a single author or author group were published in the same year, use ‘a’, ‘b’, and so on after the date to distinguish the works, both in the in-text reference and in the reference list. The work first mentioned in the text should be designated ‘a’.

Institutional authors can be referred to using an acronym, but the acronym should be spelt out in the reference list.

The distribution of income has become somewhat more unequal over the last two decades (ABS 2009).

Material published online should be cited using the author-date system; where there is no obvious author, the title of the page should be given in lieu and where there is no date, n.d. will suffice. Web addresses (URLs) should be not be included in in-text references, but should be given in full with the rest of the citation in the reference list. There is no need to provide the date of access.

Uptake of the new maternity leave scheme has been strong, with more than 42,000 families receiving the benefit in the first three months (Macklin 2011).

At the end of the article a list of references should be provided of all (and only) works cited in the text, under the sub-heading ‘References’. Please arrange references in alphabetical order of authors’ surnames, and chronologically for each author. Give the author’s surname, followed by initials, year of publication in parenthesis, title of work, where it appears, and publication details, as in the following examples (note also the style of capitalisation and punctuation).

Official publications

ABS (Australian Bureau of Statistics) (2009) Household Income and Income Distribution, Australia, 2007‑08, Cat. No. 6523.0.

Treasury (2011) Budget 2011‑12, Canberra, Commonwealth of Australia.

Books

Mead. L. (1986) Beyond Entitlement: The Social Obligations of Citizenship, New York, The Free Press.

Pusey, M. (1991a) Economic Rationalism in Canberra: A Nation‑Building State Changes Its Mind, Melbourne, Cambridge University Press.

Sherr, L.A. & Teeter, D.J. (eds) (1991) Total Quality Management in Higher Education, New Directions for Institutional Research no. 71, San Francisco, Jossey-Bass Inc.

Book chapters

Carroll, J. (1982) ‘Paranoid and remissive: the treason of the upper middle class’. In R. Manne (ed.) The New Conservatism in Australia, Melbourne, Oxford University Press.

Journal articles

Walters, W. (1997) ‘The active society: new designs for social policy’, Policy and Politics, 25 (3), 221-34.


465

Newspaper articles

Pusey, M. (1991b) ‘Australia’s new economic emperor has no clothes’, Sydney Morning Herald, 17 October, 11.

Media releases

Macklin, J. (2011) ‘Australian families benefit from Paid Parental Leave: three months in’, Media release, Department of Housing, Family, Community Services and Indigenous Affairs, Canberra, 18 April http://www.jennymacklin.fahcsia.gov.au/mediareleases/2011/Pages/afb_ppl_180411.aspx

Reports

Burkett, I. (2010) Financing social enterprise: understanding needs and realities, Brisbane, Foresters Community Finance.

Working/discussion papers

Elliehausen, G. (2009) An analysis of consumers’ use of payday loans, Financial Services Research Program Monograph No. 41, Washington, The George Washington University School of Business.

Theses

Tucker, D. (1992) Reconstructing the fifties: an analysis of home ownership in Tasmania. Ph.D thesis, Norfolk University (unpublished).

Conference papers

Williams, R.M. & Taki, A.M. (2000) ‘Factors affecting postcolonial discourse’, paper presented to the International Congress on Political Economy, Strasbourg, 28-30 June.

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The AUSTRALIAN JOURNAL OF SOCIAL ISSUES is published by the Australian Council of Social Service in collaboration with the Australian Social Policy Association to provide an inter-disciplinary forum for debate on significant and controversial social policy issues. It deals with questions of social justice as most broadly defined. Articles discuss particular social issues, review conceptual problems, present empirical studies and debate policy alternatives. The journal is editorially independent of the Council and the universities to which editors and contributors are affiliated.

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