Brazilian Federalism As Polity, Politics and Beyond: Examining Primary Education with Case Studies in Ceará and Pernambuco
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Brazilian Federalism as Polity, Politics and Beyond: Examining Primary Education with Case Studies in Ceará and Pernambuco Dissertation zur Erlangung des akademischen Grades Doktor der Philosophie (Dr.phil) am Fachbereich Politik- und Sozialwissenschaften der Freien Universität Berlin Vorgelegt von: Bettina Boekle-Giuffrida 1 Erstgutachterin: Prof. Dr. Marianne Braig Zweitgutachter: Lucio Remuzat Rennó Junior, Doctor of Philosophy in Political Science Disputation/Last Examination: FU-Berlin, Lateinamerika-Institut. October 8, 2012 Washington, DC Mai 2012 2 TABLE OF CONTENTS: EXECUTIVE SUMMARY IN ENGLISH ................................................................................... 10 EXECUTIVE SUMMARY IN GERMAN ................................................................................... 14 ACKNOWLEDGEMENTS ....................................................................................................... 18 1. INTRODUCTION .......................................................................................................... 19 1.1.. Main Argument and Relevance of Dissertation .......................................... 19 1.2.. Existing Research Gaps and Contribution of this Dissertation ................ 26 1.3.. Chosen Country, Case Studies and Methodology ....................................... 30 1.4.. Presentation of Thesis Structure .................................................................. 32 2. THEORETICAL ORIENTATION ................................................................................... 35 2.1.. The Role of Institutions in General .............................................................. 35 2.2.. The Study of Federalism ............................................................................... 41 2.1.1 Riker’s Federalism and the Need to Look Beyond ................................. 41 2.1.2 Associating Federalism with the Discourse of Decentralization ........... 44 2.1.3 Assumed Continuum and Dichotomies in Federalism ........................... 46 2.1.4 Federalism as a System of Political and Bargaining Relations ............. 48 2.1.5 Interim Summary and Policy Implications ............................................. 53 2.2.. Actors, Networks and Clientelism in Federalism ....................................... 54 2.2.1 The Relationship Between Institutions and Actors ................................. 54 2.2.2 Networks and Social Capital Theory ..................................................... 56 2.2.3 Networks and Clientelism ....................................................................... 60 2.3.. Informal Institutions, Social Practices and Networks ................................ 62 2.4.. Accountability and Institutionally Envisioned Policy Outcomes .............. 64 2.5.. The Politics of Federalism and Education Policy: Groups of Actors ....... 67 2.5.1 Federal, State and Municipal Bureaucracies......................................... 68 2.5.2 Parties .................................................................................................... 69 2.5.3 Civil Society Groups: Influence from Teachers' unions (and Parents) .. 72 2.6.. Chapter Summary: Advocating for a Three-level Reading of Federalism74 3. METHODOLOGICAL CONSIDERATIONS..................................................................... 78 3.1.. Most Comparative Case Study Design ........................................................ 78 3.2.. Stages of Comparison .................................................................................... 81 3.3.. Reasoning for Selected Cases (Ceará and Pernambuco) ........................... 81 3.3.1 Socioeconomic Criteria .......................................................................... 81 3.3.2 Education Criteria: Quality ................................................................... 82 3.4.. Reasoning for Chosen Time Frame .............................................................. 84 3.5.. The Combination of Quantitative and Qualitative Data............................ 86 3.6.. Collection of Material .................................................................................... 87 3.6.1 Quantitative and Qualitative Data Collection ....................................... 87 3.6.2 Sequence and Timing of Three Field Stages .......................................... 88 3.6.3 Interview Guides and Their Use ............................................................. 89 3 3.7.. Analysis of Material from Semi-Structured Expert Interviews ................ 90 3.7.1 Analysis After Interviews ........................................................................ 91 3.7.2 Analysis After Transcription According to Principles of Grounded Theory 91 4. BRAZILIAN EDUCATION QUALITY AND POWER RELATIONS IN A FEDERAL SYSTEM94 4.1.. Past and Current Challenges of Brazil’s Primary Education ................... 95 4.1.1 A History of Unequal Distribution of Education.................................... 95 4.1.2 Progress Starting in the Mid-1990s ....................................................... 99 4.2.. Legal Milestones and Implications: Constitution, National Education Law and FUNDEF 101 4.2.1 Political and Administrative Decentralization ..................................... 101 4.2.2 Fiscal Decentralization ........................................................................ 103 4.3.. Interim Summary ........................................................................................ 108 4.4.. Education Finances Today .......................................................................... 110 4.5.. Beyond Constitutional Transfers ............................................................... 112 4.5.1 Budget Amendments and Voluntary Transfers ..................................... 112 4.5.2 Voluntary Transfers .............................................................................. 113 4.6.. Institutional and Political Factors of Federalism Determining Education Quality 113 4.7.. Implications of and Alternatives to the Current Federal Arrangement 116 4.8.. Central Actors and Their Interactions in the Primary Education System120 4.8.1 Influence from the Federal Level ......................................................... 120 4.8.2 Influences from the State Level ............................................................ 126 4.8.3 Municipal Governments ....................................................................... 129 4.8.4 Education Councils .............................................................................. 132 4.8.5 Interactions with Nongovernmental and Private Sector-led Initiatives134 4.8.6 Teachers' unions ................................................................................... 136 4.9.. Chapter Summary ....................................................................................... 138 5. POLICY AND POLITICS OF PRIMARY EDUCATION IN CEARÁ ................................. 142 5.1.. Fiscal Income and Education Spending at State and Municipal Levels . 143 5.2.. Constitutional Education Funds: FUNDEF and Salário Educação ........ 144 5.3.. Beyond Constitutional Funds ..................................................................... 146 5.3.1 Volunteer Transfers .............................................................................. 146 5.3.2 Budget Amendments ............................................................................. 147 5.4.. Institutional Policies to Benefit the Quality of Primary Education ........ 148 5.4.1 Coverage and Quality .......................................................................... 148 5.4.2 The Long-lasting Impact of Jereissati’s Mudança (Change) Government in 1987 ...................................................................................................... 151 5.4.3 Ceará’s Education Sector Under Jereissati II: 1995–2002 ................. 153 5.4.4 Education Policy After 2002: Coping with the Post-Decentralization Reforms 155 5.5.. Interim Summary ........................................................................................ 159 5.6.. Political Networks in Ceará’s Education Sector ....................................... 160 5.6.1 Political Competition and Party Networks with National Party Level 160 4 5.6.2 Networks and Interactions with Teachers' Unions ............................... 162 5.7.. Polity-Enabling Policy Outcomes ............................................................... 165 5.7.1 Accountability During Policy Implementation ..................................... 165 5.7.2 Information,Ttransparency and Availability of Statistics .................... 169 5.8.. Chapter Summary ....................................................................................... 170 6. POLICY AND POLITICS OF PRIMARY EDUCATION IN PERNAMBUCO ..................... 174 6.1.. Fiscal Income and Education Spending at the State and Municipal Levels174 6.2.. Constitutional Education Funds: FUNDEF and Salário Educação ........ 176 6.3.. Beyond Constitutional Funds ..................................................................... 177 6.3.1 Volunteer Transfers .............................................................................. 177 6.3.2 Budget Amendments ............................................................................. 178 6.4.. Institutional Policies to Benefit the Quality of Primary Education ........ 180 6.4.1 Coverage and Quality .......................................................................... 180 6.4.2 Miguel Arraes’ Democratic Start ........................................................