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MOVING AWAY FROM A GRADED SYSTEM: A POLICY ANALYSIS OF THE

CYCLES OF LEARNING PROJECT (BRAZIL)

Thesis · December 2004

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 UNIVERSITY OF LONDON
INSTITUTE OF EDUCATION

MOVING AWAY FROM A GRADED SYSTEM: A POLICY ANALYSIS OF

THE CYCLES OF LEARNING PROJECT (BRAZIL)

JEFFERSON MAINARDES

A thesis submitted for the degree of Doctor of Philosophy at the

Institute of Education – University of London
School of Educational Foundations and Policy Studies

London – 2004
 Moving away from a graded system: a policy analysis of the Cycles of
Learning Project (Brazil)

by,

Jefferson Mainardes
BA (UEPG, 1988), MA (UNICAMP, 1995)

A thesis submitted for the degree of Doctor of Philosophy at the

Institute of Education, University of London

Under the supervision of Professor Sally Power

School of Educational Foundantions and Policy Studies – Institute of
Education/University of London
Viva voce examination date: 7th December 2004
Examiners: Professor John Fitz – Cardiff University - Wales
Dr. Meg Maguire – Kings College – London

It is a condition of use of this thesis that anyone who consults it must recognise that the
copyright rests with the author and that no quotation from the thesis and no information
derived from it may be published unless the source is properly acknowledged.
 Abstract

This study examines the formulation of the Cycles of Learning Project and its implementation in

a sample of Brazilian primary schools. The policy investigated was designed to reduce retention

and dropout rates and age/grade mismatch, provide students with more time to learn and

ultimately create a more inclusive educational system.

The theoretical framework used in the thesis is based on the ‘policy cycle’ approach developed

by Stephen Ball and his colleagues and Basil Bernstein’s theories of recontextualisation and

pedagogies. The data, which are largely qualitative, derive from interviews with policy makers,

analysis of policy documents and observations of teacher training carried out at the Secretariat

of Education. The research also involved qualitative investigation of four primary schools,

consisting of interviews with 20 teachers and eight heads and observations of classrooms and

schools’ activities.

Overall the research has found that the policy’s implementation has been contested and patchy.

The most pivotal findings are as follows: the practitioners were excluded from the policy-

making and took little part in text production and policy implementation; the principles of

visible pedagogy remained predominant in the pedagogical practice; teachers experienced

difficulties in using assessment to provide feedback needed by pupils and when dealing with

heterogeneous groups; inequalities of the graded system were reproduced inside the classrooms

through processes of internal exclusion; policy difficulties were linked to mode of

implementation (top-down orientation) and constraints on the policy as an invisible pedagogy

rather than opposition to the policy itself. This thesis demonstrates the need to analyse the mode

of implementation and the nature of the policy itself so that the process of reform can be better

understood. It also recommends a set of strategies which might tackle inequalities more

effectively.
This thesis is dedicated to my parents.
 TABLE OF CONTENTS

Abstract i
Table of Contents iii
Acknowledgements vii

CHAPTER 1 – INTRODUCTION 1
1.1 – Background of the policy 1
1.2 – Rationale 5
1.3 – The context of research 6
1.4 – The research problem 7
1.5 – Theoretical and methodological starting points 8
1.6 – Central thesis 11
1.7 – Structure of the thesis 13

CHAPTER 2 – THEORETICAL FRAMEWORKS FOR

UNDRESTANDING THE IMPLEMENTATION PROCESS OF THE
CYCLES OF LEARNING PROJECT 14
2.1 – Research on educational policies in Brazil – an overview 15
2.2 – Policy cycle approach: understanding the implementation process 17
2.3 – Bernstein’s theory of pedagogy: understanding the nature of the policy and
the context of practice 24
Conclusion 34

CHAPTER 3 – METHODOLOGICAL ISSUES 36

3.1 – Research methods used in this study 36
3.2 – Organising data: transcriptions of the interviews and fieldnotes 39
3.3 – Stages of data collection 41
3.4 – The process of data analysis 58
3.5 – Ethical issues 60
Conclusion 61
CHAPTER 4 – MOVING AWAY FROM A GRADED SYSTEM: THE
DEVELOPMENT OF POLICY DISCOURSE 62
4.1 – The development of policy discourse 62
4.2 – Literature review: what research says about schooling in cycles in Brazil 83
Conclusion 92

CHAPTER 5 – THE CONTEXT OF INFLUENCE AND THE CONTEXT

OF TEXT PRODUCTION: THE PROCESS OF CONFIGURATION OF
THE CYCLES OF LEARNING PROJECT IN PINEWOOD CITY 94
5.1 – The context of influence: factors which influenced the emergence of the
Cycles of Learning Project 94
5.2 – The context of text production 103
Conclusion 114

CHAPTER 6 – EXPLORING THE MULTIPLICITY OF VOICES AND

INTERPRETATIONS OF POLICY IMPLEMENTATION 116
6.1 – Teachers and heads: an overview of their interpretations 117
6.2 – External and internal factors related to policy implementation 121
Conclusion 136

CHAPTER 7 – THE POLICY INSIDE THE CLASSROOM 139

7.1 – The intended policy: forms and contents of change 140
7.2 – The policy inside classrooms: observed changes and their implications 144
7.3 – The implications of changes on learning and continuous progression 156
Conclusion 160

CHAPTER 8 – CONCLUSION 162

8.1 - A summary of conclusions 163
8.2 – Completing the policy cycle approach 167
8.3 – The current debate over schooling in cycles 181

References 186
Appendices 212
 List of Appendices

Appendix 1 - Statistical data (Brazil) 212

Appendix 2 - Statistical data (Municipal Educational System in Pinewood

City) 213

Appendix 3 - Interview Protocol (Municipal Secretary of Education of

Pinewood City) 215

Appendix 4 - Interview protocol (Special advisor to the Secretary – Director of

the Department of Education –Assistant policy maker 1) 217

Appendix 5 - Interview protocol (Coordinator of the Acceleration Classes

Programme - Assistant policy maker 2) 218

Appendix 6 - Interview protocol (Coordinator of Continuing Education

Programme - Assistant policy maker 3) 219

Appendix 7 - Interview protocol (President of the Teachers’ Union – Pinewood

City ) 220

Appendix 8 – Questionnaire for teachers 221

Appendix 9 - Interview protocol (teachers) 226

Appendix 10 - Interview protocol (Headteachers and Deputy heads) 228

Appendix 11 – Information and consent form (Interviews) 230

Appendix 12 - Classroom observation protocol 231

 List of Tables

Table 1.1 – Key-elements related to the development of the policy discourse of

schooling organised in cycles in cycles 3

Table 3.1 – Characterisation of the schools researched (figures) – 2003 48

Table 3.2 – Age and length of experience of interviewees 53

Table 3.3 – Age/groups in which teachers were teaching (2002/2003) 54

Table 3.4 – Observations of schools’ day-to-day operations 55

Table 3.5 – Classroom observation: number of classes observed, sessions of

observations and length of time of observation 57

Table 4.1 – Pioneering experiments of continuous progression in Brazil (1958-

1984) 72

Table 6.1 – Difficulties related to internal factors pointed out by teachers and
heads 127

Table 7.1 – Frequency of teaching/learning activities 146

List of Figures

Figure 1 – Contexts of policy making 20

 Acknowledgments

“My acts are not my own to claim. They are the acts of God who permeates the universe”.

I have received such wonderful help and support, it is difficult to know where to begin
acknowledgment of all those who have helped me during the process of research and writing up
this thesis. First, I want to thank my supervisor, Professor Sally Power. I could not have done
this thesis without her consistent supervision, knowledge and support.

I am indebted to the staff of the Municipal Secretariat of Education and to the staff and pupils of
the four schools where I carried out my research for welcoming me into their classrooms. Also
to the interviewees who made time to talk to me.

I would also like to thank the State Secretariat of Higher Education, Science and Technology of
Paraná State and the State University of Ponta Grossa for the scholarship and opportunity to
study at the Institute of Education. In addition, I am grateful to the coordinators of the Paraná
Programme: Maria Cowen, Michael Reiss, Heloisa Luck and Leda Cordeiro. My special thanks
and deep gratitude to Maria Cowen. She has helped to make things so much smoother. I will
always be grateful.

To Annette Yerkovich for her dedication and generosity in helping me with my English
grammar.

A special thank to my family, in particular my mother, for being a source of love and support
that I needed to stay grounded and focused.

Many friends also helped in many ways. I am extremely grateful to Mauricio Ignacio for his
support and for always believing in me from the beginning. I also would like to thank Soeli
Vieira, Silvana Prado, Aparecida Ferreira, Simone Flach, Ocimar Alavarse, Andrea Krug,
Heloisa Feichas and all colleagues of the Paraná Programme.

Last, but not least, I would like to thank the staff of the Institute of Education, especially
Professor Stephen J. Ball, Professor Ingrid Lunt, Professor Robert Cowen, Angela Hobsbaum,
David Warren and Loreto Loughran. Numerous other staff also helped a lot. I am grateful to the
staff of the Library, Registry, Student's Welfare Services, Marketing and John Adams Hall of
Residence for their amiable and willing assistance.
 1

CHAPTER 1

INTRODUCTION

Over the past 20 years, several attempts have been made to reorganise and improve state
primary education in Brazil. A significant number of attempts have included
programmes of schooling organised in cycles with the purpose of overcoming the
graded system and its limitations (e.g. high rates of retention and dropout and age/grade
mismatch) as well as creating a more inclusive system of education. The research which
is recorded in this thesis was designed to address the discourses that have underpinned
this policy, as well as to explore the main dilemmas and limitations of the policy and its
implementation. The core of this thesis (Chapters 5, 6 and 7) examines the particular
case of the implementation of the Cycles of Learning Project in Pinewood City1 (Brazil)
and seeks to explore broader issues related to the policy.

This introductory chapter sets out the general background of the policy investigated, the
rationale, the context of the research, the research problem and research questions, the
theoretical and methodological starting points, the central thesis, and structure of the
thesis.

1.1 – Background of the policy

Schooling organised in cycles is the term that has been used by various countries such
as Brazil, France, Spain, Portugal, Canada (Québec) and Switzerland (Geneva) to
describe the organising principle of schooling which attempts to overcome the
conventional graded system and its limitations (e.g. rates of retention or grade

1
Not its real name.
 2

repetition, dropout rates and age/grade mismatch). Generally, with this policy pupils are
enrolled and promoted in accordance with their age, and retention is applied only in
exceptional cases or at the end of the cycle of two, three or four years.

In Brazil, the term schooling organised in cycles began being used in the 1980s.
However, the policy discourse involved a long history of recontextualisation. The policy
discourse emerged and evolved within the official policy field (official recontextualising
field - ORF), setting up a permanent interaction with the academic world (pedagogic
recontextualising field - PRF)2. In the course of time, different terms and a variety of
arguments were used to justify the importance of the policy for state schools (primary
education). The key elements of the policy discourse are set out in Table 1.1 and
explored in depth in Chapter 4.

An analysis of the development of the policy discourse shows a dynamic process in

which terms such as ‘promotion in mass’ and ‘automatic promotion’ were left out of the
policy rhetoric, while the concept of continuous progression prevailed and has been
emphasised as the central concept of the policy and its main objective: to guarantee the
continuous progression of students, at least in the first years of schooling, without
retention. In general, schooling in cycles and its antecedent programmes aimed at
overcoming what Ribeiro (1992) called the “Pedagogy of Repetition”. The existence of
high rates of retention and dropout plus age/grade mismatch has been commented on for
decades, and has mostly affected the lower social classes (Cardoso, 1949; Kessel, 1954;
Cunha, 1974; Freitag, 1978; Barretto et al, 1979; Brandão et al, 1983; Patto, 1990,
among others)3.

2
Official and pedagogic recontextualising fields are concepts formulated by Bernstein within the
discussion of the social construction of pedagogic discourse (Bernstein, 1990). These concepts are
presented later in this chapter.
3
Retention and dropout rates have decreased in recent years. In 1991 the total of retention and dropout in
primary education (Brazil) was 18.1% and 18.3% respectively. In 2000 it was 10.7% and 12.0%. The
higher retention rates refer to the 1st year of schooling which affect children aged at 7 years old. In 1991,
the retention in this level was 21.4% and in 2000, 15.1%. The age/grade mismatch rate is one of the
results of grade retention. In 1991 this rate was 64.1% decreasing to 41.7% in 2000. The implementation
of policies such as schooling in cycles and continued progression regime has contributed to this.
Appendix 1 presents the complete statistical information concerning these topics.
 3

Table 1.1 – Key-elements related to the development of the policy discourse of

schooling organised in cycles in Brazil

Period Key - terms Policy rhetoric (rationale)

1918/1921 Promotion in mass - to reduce retention rates and waste of financial
(ORF) resources
- the promotion of all students was necessary due to a
lack of vacancies.
1950s Automatic promotion - to reduce retention rates and waste of financial
(ORF + PRF) resources
- to set out a modern pattern of schooling.
From 1958 Continuous Progression - to reduce retention and dropout rates
to 1984. (Pioneering - to set out a non-graded system in primary education.
experiments)
(ORF)
From 1984 Cycle - to reduce retention and dropout rates
Basic Cycle of Literacy - to democratise access to knowledge
(ORF + PRF) - to provide pupils with more time to learn
(relaxation of sequencing rules)
- to bring about social inclusion by improving the
quality of education and reducing its selectivity.
From 1992 Cycles of Learning - to provide pupils with more time to learn
Cycles of Formation - to guarantee every student a better quality of
(Progressive versions) school (inclusive education)
(ORF + PRF) - to democratise access to knowledge
- to improve the quality of teaching and reduce
retention and dropout rates
- to radically change the school structure,
curriculum, assessment and style of teaching (more
radical programmes).
 4

Furthermore, the arguments used by governments to justify the implementation of non-

retention policies have been constantly refined and relocated. Initially, the advocates of
these policies contended that it would reduce not only retention rates, but also the waste
of financial resources. This economic rationale had a significant bearing on the initial
steps of the policy discourse. The pioneering experiments carried out from 1958 to 1984
generally highlighted the potential of the policy to reduce dropout and retention rates.
From 1984, with the emergence of the Basic Cycle of Literacy in some Brazilian States,
the policy rhetoric became more sophisticated. As well as restating the idea that
schooling in cycles could serve to reduce retention and dropout rates, this policy
stressed the importance of the contributions of the policy in democratising access to
knowledge and providing more time for students to learn.

The significant shift in the policy discourse began in 1992 when more radical
programmes of schooling in cycles started to be implemented in different cities
administered by the Workers’ Party. Being a left wing party, the Workers’ Party
incorporated schooling in cycles in its educational plans as a progressive and inclusive
policy and as an alternative for democratising the process of giving greater access to
knowledge, improving the quality of teaching as well as reducing retention and dropout
rates.

Today, schooling organised in cycles has come to be widely accepted by different

political parties (not only the Workers’ Party) as well as by many academic researchers
and scholars as a suitable alternative to the graded system. As will be discussed in
Chapter 4, since 1992 a number of different configurations of schooling in cycles have
been designed. Some of these programmes can be considered as being more radical
insofar they advocate extensive changes in the curriculum, school organisation, teacher
training and, at the same time, democratic modes of participation (e.g. school councils,
direct elections of headteachers by school staff and parental vote and teachers’
participation in the decision making process). In contrast, there are less radical
programmes in which more superficial changes are proposed.
 5

The possibility of organising schooling in cycles was one of the changes outlined in the
New Law of National Education (Law No. 9,396) and this was included among a range
of options in Basic Education4. This Law stipulated that “basic education can be
organised in annual grades, semesters, cycles, non-graded groups based on age,
performance and other criteria; or by alternative kinds of organisation whenever this is
required by the learning process.” (Law No. 9,395, Art. 23 my emphasis)

In this context, the organisation of schooling in cycles is a non-compulsory policy. Each

municipal or state system can decide whether schooling will be organised in grades or
cycles. It has been experimented with in different state and municipal educational
systems. In 2002, on the basis of data supplied by the Ministry of Education, 20.9% of
Brazilian students were enrolled in schools organised in cycles5, 16.9% in schools
which combine cycles and grades, and 62.2% in graded schools (Brasil, 2002).

1.2 - Rationale

This research was driven by my interest as a teacher-educator and researcher in having a

broader understanding of this contemporary policy from a new theoretical perspective. I
have been involved with schooling in cycles as a schoolteacher, as a researcher and as a
teacher-educator. I spent 10 years as a schoolteacher, teaching in Year 1, Year 2 and
additional classroom support in a state school organised in cycles. As a researcher, I
investigated the implementation of the Basic Cycle of Literacy (which was a
programme of schooling in cycles as well) in my MPhil Dissertation (Mainardes,
1995a). After that, I carried out research on historical aspects of non-retention policies
in Brazil (Mainardes, 1998, 2001) and on pedagogic practice in additional classroom

4
After the New Law (1996) was enacted, the organisation of the Brazilian Education System was divided
into two levels: Basic Education and Higher Education. Basic Education comprises of Nursery Schools (0
- 3 years) and Pre-School (4-6 years), Primary Education and Secondary Education. The Nursery and Pre-
School are structured in groups based on the children’s age. Primary Education which comprises eight
years of free compulsory education caters for children aged seven to fourteen. Secondary Education lasts
for at least three years, and includes vocational courses. At the Higher Education level, the number of
years varies according to each course.
5
In 2002 this corresponded to 7,342,817 students. The majority were enrolled in state schools (98%).
 6

support (Mainardes, 1999). As a teacher-educator, I have worked in the field of initial

teacher training for primary education. Thus, this research has provided a broader
understanding of the policy implementation and its nature, an experience which will
contribute to my professional work and further research. Another reason is that there has
been little research on the implementation process, especially studies on the impact of
these policies on classrooms. The theoretical frameworks applied in this thesis have
offered elements for analysing the implementation process from a critical perspective.
Moreover, it is important to note that there are many other factors related to schooling in
cycles which need to be investigated further in depth; such as the development of the
policy discourse, the implications of the nature of the policy for pedagogic practice, and
key areas which should be emphasised in teacher training. Some of these points are
discussed in this thesis. Finally, the move towards schooling organised in cycles is a
trend which is increasing within Brazilian education and which requires a more
substantial knowledge of this policy.

1.3 – The context of research

This research was carried out in Pinewood City, Paraná State – Brazil. Today, Pinewood
City has a population of approximately 290,000 inhabitants. The municipal educational
system consists of 26 governmental nursery schools (1,670 children) and 84 primary
schools (25,492 pupils)6. These schools are funded by financial resources of the
municipal administration as well as resources provided by the federal government
(proportional to the number of pupils in municipal educational system). These
municipal primary schools offer only the first years of primary education (pupils aged 6
to 10 years old). The State educational system (which is funded by the State of Paraná)
comprises 46 schools which offer the last four years of primary education. Some of
these schools (23 schools altogether) also offer secondary education. In addition, there
are 44 private schools, one state university, one federal college and three other private
colleges.

6
See Appendix 2 for further information about the municipal educational system in Pinewood City.
 7

The implementation of the Cycles of Learning Project began in 2001 in the municipal
schools of the city. Since 2001, Pinewood City has been governed by a coalition of
leftist parties under the strong leadership of the Workers’ Party7. Following the
principles of the party, this administration has appointed a ‘popular administration’,
which means that there is a serious commitment to the needs of the people (especially
the impoverished citizens of the city). In addition, this style of administration allows the
people to participate to a considerable extent in the decision-making process required to
determine how to allocate resources for the needs of the city through a specific strategy
called Participatory Budget. This popular administration has attempted to restore the
role of the state as the provider of public goods that guarantee the material conditions
required for real citizenship.

The Cycles of Learning Project was designed by the Municipal Secretariat of Education
staff and is based on an analysis of the statistical data regarding high retention rates. The
aim of the project was to reduce retention and dropout rates plus age/grade mismatch as
well as improve the quality of the teaching offered by the municipal system. The
research involved documentary analysis, interviews with policy makers and
practitioners at school level and an qualitative research carried out in four municipal
schools.

1.4 – The research problem

This thesis explores issues related to the implementation of schooling in cycles in Brazil
and the reasons why the implementation of this policy has been problematic. The review
of the literature provides evidence that the implementation of this policy has been
insufficiently explored and lacks a theoretical basis. As will be discussed in the
literature review (Chapter 4), studies on schooling in cycles have focused primarily on
the discussion of theoretical aspects (63 texts) and the generation of policies (35), while
less attention has been paid to the implementation (22 texts), and outcomes and impact
of the policy on students’ achievement (20 texts). Furthermore, there are other issues

7
The Workers’ Party (Partido dos Trabalhadores or PT) was created in 1980. It was one of the first
parties created after the political reform conducted by the military period that allowed the creation of new
political parties.
 8

which should be explored in depth such as the development of policy discourse, the
nature of the policy and how this policy has been implemented at school and classroom
levels. Thus, by drawing on appropriate theoretical frameworks, this research was
designed to analyse the implementation of schooling in cycles from a broader and more
critical perspective. It seeks to address issues which have been insufficiently examined:
the development of policy discourse, the nature of the policy, the relationships between
mode of implementation and the nature of the policy and problems and difficulties at
classroom level. In the light of these issues, the research questions that this thesis
intends to address are:

- How has schooling organised in cycles been implemented in Brazil? Furthermore,

what are the discourses that have underpinned these proposals and official documents?

- How do teachers, head teachers and deputy heads perceive and experience the
implementation of schooling organised in cycles?

- What are the main struggles and challenges that arise from the context of practice?
How are they addressed?

1.5 - Theoretical and methodological starting points

As already mentioned, the implementation process, the nature of the policy and the
policy discourse had to be examined in considerable depth. These issues have not been
analysed enough in the Brazilian context on account of a lack of strong theories and
limited access to them. In this thesis, the ‘policy cycle’ approach formulated by Stephen
Ball and his colleagues (Bowe et al, 1992; Ball, 1994a) emerged as a consistent
contribution to the analysis of the implementation of the Cycles of Learning Project. As
will be explained in Chapter 2, within their conception of the ‘policy cycle’, Bowe et al
(1992) refer to three inter-related contexts: the context of influence, the context of
policy text production and the context of practice. Ball (1994) extends this framework
by adding the context of outcomes and the context of political strategy. This framework
offers an analytic strategy for understanding the trajectory of the policy investigated.
By exploring the three first contexts, this research has dealt not only with the different
 9

steps and dimensions of the policy at a local level, but also examined the relationship
between local policy and national and international contexts (Chapter 5). This study
included interviews with practitioners, observations of everyday school activities and
classroom observations (Chapter 6 and 7), with the aim of investigating the context of
the practice.

Bernstein’s concepts were essential to understanding the nature of the policy as well as
the development of the policy discourse. Like other programmes of schooling in cycles,
the Cycles of Learning Project has features of the invisible pedagogies (Bernstein,
1990) or the competence pedagogic model (Bernstein, 1996). First of all, the Cycles of
Learning Project attempts to provide pupils with more time for learning (relaxation of
sequencing/pacing rules). In addition to adding one year to the primary education
(children usually enter primary education at 6 rather than at 7 years old as usual),
retention is possible only at the end the each cycle; that is, Year 3 and Year 5. Second,
this policy advocated that the summative assessment be replaced with formative
assessment. The evaluation criteria became more implicit and diffuse, and assessment
information was to be used to provide pupils with the feedback they needed to maintain
continuous progression. Finally, although less apparent, the Cycles of Learning
anticipated that the teaching methods would make the pupils more active and thus
become self-regulating acquirers (child-centred approach).

Bernstein’s explanation of social class and pedagogic practice provides vital elements
for understanding the complexities surrounding the implementation process. He
explains that the relaxation of the framing of visible pedagogy “raises the cost of the
transmission and has crucial implications for teacher training and school management.”
(1990, p. 79). Taking these ideas into consideration, it is worth noting that the
implementation of the programmes such as the Cycles of Learning Project is potentially
problematic for a number of reasons. The implementation of such programmes requires
an investment in improving the school, more teachers, curricular resources and space. It
requires more extensive and consistent teacher training as well as significant changes in
school management. In addition, it involves dealing with teachers whose identities and
beliefs are strongly inclined to the opposite modality of schooling: the graded system,
which is usually characterised by a visible pedagogy (performance pedagogic model). In
general, these internal attributes have not been provided for schools nor sufficiently
 10

considered in the Brazilian educational context, which inhibits the potential benefits of
the policy from being realised.

As well as this, in the context of this thesis, the concept of field of recontextualisation
(Bernstein, 1990, 1996) provided a basis for analysing the discourse of schooling in
cycles in Brazil. By drawing on this concept, it is possible to claim that the discourse of
schooling in cycles has been recontextualised in particular ways over time within
official and pedagogic recontextualising fields. The official recontextualising field
(ORF) is created and dominated by the State, both politically and administratively. The
official field is responsible for the construction and surveillance of the official
pedagogic discourse and practice and shapes them to correspond with the state’s main
ideological position. This field includes the “specialized departments and sub-agencies
of the State and local education authorities together with their research and system of
inspectors” (Bernstein, 1990, p. 192). The pedagogic recontextualising field (PRF)
consists of pedagogues in schools and colleges, departments of education, specialised
journals and private research foundations. Agents within the PRF struggle to control the
set of rules or procedures for constructing pedagogic texts and practices. Bernstein uses
the term pedagogic discourse to describe the rules or principles for generating different
pedagogic texts and practices. Thus, pedagogic discourse is a “recontextualising
principle which selectively appropriates, relocates, refocuses and relates other
discourses to constitute its own order and ordering” (Bernstein, 1990, p. 184).

The theory of the structuring of pedagogic device (developed to understand how official
knowledge is transformed from its production process to everyday educational practice)
can also be applied to the production and circulation of educational theories and
educational policies, since the emergence of these theories or policies lies in the domain
of power relations in the symbolic control field. The recontextualisation rules are a
principle to appropriate other discourses and to put them into a special mutual
relationship for their transmission and acquisition. There is a process of dislocation and
relocation. Bernstein (1996) maintains that, as the discourse moves from its original site
to its new positioning as pedagogic discourse, a transformation takes place because:
 11

every time a discourse moves from one position to another, there is a space in
which ideology can play. No discourse ever moves without ideology at play. As
this discourse moves, it is ideologically transformed; it is not the same discourse
any longer. (Bernstein, 1996, p. 47)

The recontextualising field has a crucial function in creating the fundamental autonomy
of education. If the PRF can have an effect on pedagogic discourse regardless of the
ORF, there is both some autonomy and struggle over pedagogic discourse and its
practice, but “if there is only the ORF, then there is no autonomy” (ibid., p. 48). As will
be shown later, in the case of schooling in cycles in Brazil, there was no clear separation
between the official and pedagogic fields in some stages of the development of the
policy discourse.

Taken together, both theoretical frameworks provided me with the tools, concepts and
language for addressing the research questions and analysing the data which had been
collected.

1.6 – Central thesis

Having outlined the background of the policy, the rationale, the context of research,
research problem, research questions and the theoretical and methodological starting
points, I am now in a position to outline the main argument of this thesis. I will argue
that two essential and interrelated factors must be addressed to achieve an understanding
of schooling organised in cycles: the way in which this policy is implemented and its
complex nature.

The analysis of how the policy is implemented should at the very least involve the
following dimensions: the mode of implementation (i.e. whether the policy was
implemented in a top-down manner or undertaken in a participatory and democratic
way); to what extent practitioners at school level could participate in the policy making,
policy text production and implementation; and, to what extent the policy appears to
alter (or maintain) power structures and principles of control as well as engender values
such as democracy, equality, social justice and inclusion.
 12

The fact that it is an invisible pedagogy means that it requires more intensive and
sophisticated teacher training (because of the theoretical base of invisible pedagogies or
competence models) and the allocation of more financial resources to provide teacher
training, smaller classes and more space, curricular resources and teachers, etc. Owing
to the higher cost of the invisible pedagogy, its implementation is potentially
problematic in less developed countries (Brazil, for example) where the economy often
fluctuates and the public expenditure on education is limited. Another limitation
derives from the nature of the invisible pedagogy itself. Bernstein (1975, 1990) had
suggested some benefits of invisible pedagogy for the working-class and other
educationally disadvantaged students on account of the relaxation of the framing on
pacing and sequencing rules, the weakening of the framing regulating the
communication between school classroom and community [ies] and reduced emphasis
upon early attainment of specific competences. However, he concluded that although
visible and invisible pedagogies are apparently opposing types, both “carry social class
assumptions” (1990, p. 74).

This argument emerged from the interplay between empirical fieldwork, contributions
of the theoretical frameworks and the literature of the field (schooling in cycles in
Brazil). The data collected in this study suggest that the mode of implementation; that
is, the top-down orientation and lack of genuine opportunities for participation on the
part of practitioners were one of the most serious barriers to the implementation.
Moreover, the unsatisfactory consideration of the requirements of the invisible
pedagogy (teacher training, changes in the school management, and the need for more
resources, among others) strongly affects the implementation of the policy and its
outcomes at a classroom level. With regard to the literature review, the research on
schooling in cycles has demonstrated that the implementation process has been
problematic and the nature of the policy to date has been insufficiently examined. Both
policy implementation and the nature of the policy need to be analysed from more
consistent theoretical perspectives.
 13

1.7 – Structure of the thesis

This introductory chapter provides a brief background of the policy and general aspects
of the research. In Chapter 2 there is a discussion of the theoretical frameworks that
provided the conceptual tools for analysing the implementation of the Cycles of
Learning Project as well as the nature of the policy. In Chapter 3, I give an account of
the methodology employed in this study. This includes a description of the research
methods used, stages of data collection, procedures of data analysis and ethical
considerations. Chapter 4 addresses the emergence and development of the policy
discourse related to schooling in cycles in Brazil. In addition, this chapter includes an
analysis of the relevant literature on schooling in cycles.

Chapters 5 – 7 provide an analysis of the data. Chapter 5 focuses on the configuration of

the Cycles of Learning Project in Pinewood City as well as the process of text policy
production and addresses the first two contexts of the policy cycle; i.e. the context of
influence and the context of text production. Chapter 6 explores the interpretation and
experiences of the teachers, headteachers and deputy heads with regard to the
implementation of the policy investigated. Chapter 7 discusses the main findings related
to the policy inside the classroom. Finally, in Chapter 8, I set out my concluding
remarks. This chapter completes the policy cycle approach by addressing the context of
outcomes and the context of political strategy. In addition, the chapter discusses the
debate about schooling in cycles in Brazil, considers the limitations of the study and
raises questions for further research.

Throughout the process of research, data analysis and writing up of the thesis,
democracy, the right to participate and equality have emerged as fundamental values
which have to be reinforced, and they also had influence on my analysis. On the basis of
such values, the overall message of this thesis is that teachers and parents have the
“right to participate in procedures whereby order is constructed, maintained and
changed” (Bernstein, 1996, p. 7) and the problem of inequalities must to be tackled
through political strategies such as those I am suggesting for programmes of schooling
in cycles. Together with the theoretical frameworks applied, this thesis offers some
alternatives for constructing more democratic and equal educational systems.
 14

CHAPTER 2

THEORETICAL FRAMEWORK FOR UNDERSTANDING THE

IMPLEMENTATON OF THE CYCLES OF LEARNING PROJECT

The purpose of this chapter is to present the theoretical frameworks applied to the
analysis of the implementation of the Cycles of Learning Project. In order to understand
the policy investigated, two frameworks are being used in this study. The first is the
policy cycle formulated by Stephen Ball and colleagues (Bowe, Ball with Gold, 1992;
Ball, 1994a). This framework offered elements for analysing the trajectory of the policy
from its first steps to the analysis of the context of practice; that is, the policy at school
and classroom levels. The second framework draws from Bernstein’s theory of
pedagogies. The concepts of sequencing/pacing and criterial rules, visible and invisible
pedagogy (Bernstein, 1990) were helpful in understanding the nature of the policy
investigated as well as its implications for the context of practice (policy at school and
classroom level). Additionally, the concept of recontextualisation (Bernstein, 1996)
illuminated the analysis of the development of the policy discourse.

This chapter is divided into three sections. The first section presents a brief overview of
the educational policy research in Brazil in order to contextualise the contributions of
these frameworks for analysing the implementation of the Cycles of Learning from a
critical and dialectical perspective. In the second section the main aspects related to the
policy cycle approach, policy as text, policy as discourse and critiques of the policy
cycle approach are discussed. The third section discusses Bernstein’s concepts applied
to analyse the nature and implications of the policy investigated.
 15

2.1 – Research on educational policies in Brazil – an overview

This section presents a brief overview of the research on educational policies in Brazil
aimed at contextualising the contributions of the theoretical frameworks applied in the
present study.

After reviewing 922 works including Master’s Dissertations, PhD Theses and research
carried out at Universities in the period between 1991 and 1997, Wittmann and
Gracindo (1999) concluded that the main themes related to education policies and
reforms discussed were: generation of policies (15.0%); access to education and
legislation (8.0%); municipalisation of education and municipal management of
education (6.5%); evaluation of educational programmes (4.6%); and financial
provision for education (2.7%). The most important conclusion, which is relevant to the
context of this thesis, is that the field of policy analysis is quite new and is not yet
consolidated in terms of the development of consistent analytical frameworks.

The same authors analysed the papers presented at the ‘State and Education Policy in
the Brazil Work Group’ of the National Association of Post-Graduation and Research in
Education (ANPED) between 1993 and 2000 (Azevedo and Aguiar, 2001). They
concluded that the educational research in this field has concentred on four major
themes: (a) crisis and reform of the State, neo-liberalism and education; (b) studies on
governmental programmes and policies; (c) education, legislation and rights and (d)
studies on the participation of the civil society in the policy making process. They
concluded that the research on educational policies is a field still in construction and
that it is necessary to refine the analytical frameworks in order to allow a better
approach to the theoretical and empirical objects and its interrelations. In addition, they
concluded that some empirical studies, on the one hand, have presented a great deal of
data and, on the other hand, have not been enough supported for such analysis on
consistent theoretical issues.

Taking into consideration these reviews plus an analysis of the main publications of the
last decade, I would like to summarise the main characteristics of the educational policy
research in the following points:
 16

(a) This field of research has emphasised analysis of generation of policies and
theoretical and ideological aspects related to policy making (e.g. Neves, 1994;
Gentili, 1996; J.M. Azevedo, 1997; De Tommasi, Warde and Haddad, 1998).
Although these studies contribute to the understanding of changes at the state
level, since they are concerned with broader issues these studies do not explore
the relationship between these issues with policy implementation. There is still
a separation of ‘formulation’ and ‘implementation’ of educational policies.
(b) Studies on implementation and trajectory studies8 have been less frequent. Due
to this, the implementation process remains under-analysed and under-theorised
within Brazilian educational research. Probably due to the lack of consistent
analytical frameworks mentioned by Azevedo and Aguiar (1999), studies on
implementation tend to be more descriptive and exploratory than analytic9.
(c) The notion of ‘policy cycle’ is used in only a few studies (e.g. Dutra, 1993).
This notion, when applied, tends to follow linear approaches such as perception
and definition of problems, agenda setting, formulation of programmes and
decision, implementation and evaluation (NEPP, 1994; Frey, 2000).
(d) Within this field of research, including here studies on schooling in cycles, the
majority of the studies are comments or critiques and few of them resulted from
empirical research. Despite the potential of ethnographic studies for analysing
educational policies, to date this method has been used in few studies (Placco et
al, 1999; Carvalho, 2001; Linch, 2002).

8
Trajectory studies follow a specific policy through the stages of gestation, the micropolitics inside the
state involved in text production, and through case studies of the implementation of the policy into
practice. For more on this see Maguire and Ball (1994).
9
Within the field of policy analysis there are few studies which tried to develop frameworks for policy
analysis. Lima Júnior and Santos (1976), for example, developed a general scheme for the analysis of
public policies which articulates external perspectives (contextual factors) and internal (institutional
aspects). They argued that changes in the political elite (politics) could lead to changes in policies
(contents and style). In addition, they considered that changes in the political elite are influenced by new
organisations, lack of infrastructure, development of social specialised knowledge or by a combination of
them.
 17

In this context, the theoretical frameworks applied in this thesis provide not only
elements for analysing the implementation of the Cycles of Learning from a critical
perspective, but also can contribute to the field of policy research by applying a
theoretical framework which so far has not been applied to policy analysis (Stephen
Ball’s policy cycle)10 and a theory whose potential has not yet been explored in the
Brazilian context (Bernstein’s theory)11.

In the next sections, the main concepts related to these theoretical frameworks are
discussed.

2.2 – Policy cycle approach: understanding the implementation process

Research on implementation issues around the world has indicated that many
educational reforms and policies designed to improve the quality of schooling have been
more rhetorical than substantive in their impact on school organisation and classrooms.
Additionally, a substantial body of literature has documented the gap between intended
policies and their implementation in schools. At least two main features of the
traditional focus on this gap can be perceived. The first is that many studies consider
innovative policies as unproblematic and schools (and teachers) as ‘resistant’ to change.
The second is the recurrent concern to identify the ‘factors’ that serve as barriers to the
change processes. In searching for new ways to understand policy implementation, the
work of Stephen Ball offers considerable potential. In this section and subsequent
sections, the main concepts related to this framework will be discussed.

10
So far, few of Stephen Ball’s works are published in Brazil (Ball, 1995a, 1998b and 2001). These texts
deal with, respectively, “Educational markets, choice and social classes”, “Global Citizenship, consume
and educational policy”, and “Global policies and vernacular politics in Education”.
11
There are only four Bernstein’s texts published in Brazil (Bernstein, 1975a, 1984, 1996a, 2003),
respectively (a) Critique of the concept of compensatory education, (b) Class and pedagogy: visible and
invisible, (c) The structuring of pedagogic discourse - Class, codes and control - volume IV, and (d)
Pedagogizing knowledge: studies in recontextualizing.
 18

2.2.1 – The policy cycle

The policy cycle approach, which adopts a postmodern orientation, centres on the work
of Stephen Ball and colleagues who highlight the complex and contested nature of
education policy as a process rather than product. Stephen Ball’s (1994a) emphasis has
been on micro-political process processes and the agency of individual practitioners in
constructing policy at the local level.

At the outset, Ball and Bowe (1992) developed the notions of intended-policy, actual
policy and policy-in-use. After that, they broke away from this formulation because the
language introduced a rigidity that they did not want to imply. For them, “there are
many competing intentions that struggle for influence, not only ‘intention’ and ‘actual’
seemed to us to signal a frozen text, quite the opposite to how we wanted to characterize
this aspect of the policy process” (Bowe et al, 1992, p. 19). As a result, they refined the
policy cycle framework presenting it as a set of interrelating and interactive loops,
which, although they have a temporal dimension, are not simply linear. Their notion
challenges the view that policy is a linear process made up of a stage of development
and a stage of implementation. Thus, the policy cycle employed here overcomes the
weaknesses of the more simplistic and stagist models of policy analysis, which have
been widely criticised (Cibulka, 1994, Ball, 1994a).

According to the conceptual framework developed by Ball and Bowe (Bowe et al,
1992), a number of different contexts of the policy process are distinguished for analytic
purposes. The policy cycle model has three main contexts: the context of influence, the
context of text production, and the context of practice. Each of these contexts has
different arenas, sites and interest groups and each involves struggles. These contexts
are loosely coupled, and each may involve conflict, contradictions and ad hocery.
 19

Figure 1. Contexts of policy making.

Context of influence

Context of Context of
policy text practice
production

Source: Bowe et al. (1992), p. 20.

The first context is the context of influence, which is where public policy is normally
initiated. This is where interested parties “struggle to influence the definition and social
purpose of education” (ibid., p. 19-20) and where key policy concepts acquire
legitimacy and provide a discourse for initiation. The second context is the context of
text production, where texts represent often complex and contradictory policy. They
observe that while influence is often linked to narrow concerns and dogmatic
ideologies, policy texts are normally expressed in the language of general public good
appealing to popular common sense and written in relation to an ideal set of conditions,
that is, “idealisations of the real world” (Bowe et al, 1992, p. 21). In this sense policy
texts represent policy and their representations take many forms: ‘official’ legal texts,
policy documents, commentaries which interpret official documents, media reports,
politicians’ speeches, etc. The third context is the context of practice, where policy is
subject to interpretation and recreation, and the policy produces effects and
consequences which may represent a significant transformation from the original policy
intent. The key aspect to be highlighted here is that policy is never simply implemented
but is interpreted, mediated and recreated. According to Bowe et al (1992),
 20

Practitioners do not confront policy texts as naïve readers, they come with
histories, with experience, with values and purposes of their own, they have
vested interests in the meaning of the policy. Policies will be interpreted
differently as the histories, experiences, values, purposes and interests which
make up any arena differ. The simple point is that policy writers cannot control
the meanings of their texts. Parts of texts will be rejected, selected out, ignored,
deliberately misunderstood, responses may be frivolous, etc. Furthermore, yet
again, interpretation is a matter of struggle. Different interpretations will be in
contest, as they relate to different interests, one or other interpretation will
predominate, although deviant or minority readings may be important. (p. 22)

This conception assumes that teachers play an active role in the educational policy
process and, in this way, what they think, believe and assume have important
implications for the process of implementation. Implementation of policy undoubtedly
presents many demands on teachers in terms of knowledge, skills and attitudes. These
demands cannot be met without interpretation or recreation. These interpreted versions
of policy are created from personal, subjective frames of reference. According to Fullan
(1982) and Hargreaves (1998) an understanding of the subjective world of those
involved in a process is a necessary pre-condition. The subjective way in which teachers
mediate meaning through assumptions and perceptions and act with regard to policy has
an impact on the levels of policy implementation.

Bowe et al (1992) point out that the symbiosis between the different contexts is often an
uneasy one. Conflicts can occur within these contexts, for example between the public
and private arena within the context of influence, or between actors in different sites of
text production who can be in competition for control of the representation of policy.
Furthermore, in this theoretical framework, as well as in their empirical data, they
demonstrate that the policy process “is one of complexity, it is one of policy-making
and remaking” (ibid., p. 23). This means that to control or predict the effects of policy is
difficult, although they note that interpretations are not infinite.

Ball (1994a) added two more contexts to his original framework of a policy trajectory: a
context of outcomes (relating to social justice, equality and individual freedom) and a
context of political strategy. The context of outcomes is related to the relationship
between first order effects and second order effects. First order effects are changes in
practice or structure, which are evident in particular sites and across the system as a
whole. Second order effects are the impact of these changes on patterns of social access,
 21

opportunity and social justice (Ball, 1994a). The idea of policy having effects rather
than outcomes is more appropriate (Bowe et al, 1992). These effects can be divided into
two categories: specific and general. According to Ball (1994a), considerable attention
is given to the specific effects, while general effects, the macro picture formed by
ensembles of policy, are rarely considered. As a result, the four “essential circuits within
the education system, the four message systems of education: curriculum, assessment,
pedagogy and organisation” (Ball, 1990b, p. 122; 1994a, p. 1) are considered in
isolation, and the intersection between them needs to be better explored in education
policy analysis. The context of political strategy is related to the identification of a set of
political and social activities which might more effectively tackle inequalities.

In the policy cycle described above, the simplicity of the linear is replaced by the
complexity of the cyclical, which brings several contributions to the process of policy
analysis. This contributes because the policy process is understood as multi-layered,
where each layer can be analysed separately, but always in relation to the other layers.
Furthermore, this policy cycle allows the articulation of micro and macro perspectives
in the policy analysis. In the education policy literature, tensions between analytic
frameworks which emphasise state control of policy (e.g. Dale, 1989) and those which
emphasise micro-political agency (Ball, 1994a) have been highlighted over the last
decade (Ozga, 1990; Troyna, 1994, Power, 1995). The analysis presented here was
designed to bridge the polarity between these positions by employing a theoretical
framework of a policy trajectory which incorporates both dimensions. Regarding this
issue, it is relevant to quote Ball (1998a) who has argued that “policy analysis requires
an understanding that is based not on the generic or local, macro or micro-constrain-
agency but on the changing relationships between them and their inter-penetration.” (p.
127). Ozga (1990) also suggests that is important “to bring together structural, macro-
level analysis of educational systems and education policies and micro-level
investigation, especially that which takes account of people’s perceptions and
experiences”. (p. 359)
 22

2.2.2 - Policy as text and policy as discourse

The conception of policies as text and discourse (Ball, 1994a), which are implicit each
other, is another contribution for policy analysis. This conception is a highly
illuminating way of beginning to understand the complexity of the policymaking
process. According to Ball this model is an exercise of “theoretical heurism” and
“intentionally tentative and open-ended” (p.10) He puts forward what he sees as a
postmodern understanding of policy where “two theories are probably better than one”
(p.14) and outlines what for him are two very different conceptualisations of policy:
policy as text and policy as discourse.

Policy as text

Ball (1994a) described this topic in a very illustrative way. For him,

the physical text that pops through the school letterbox, or wherever, does not
arrive ‘out of the blue’ – it has an interpretational and representational history –
and neither does it enter a social or institutional vacuum. The text and its readers
and the context of response all have histories. (p.17)

In general terms, this conception presupposes the analysis of policy texts and their
contexts of production and also considers the readers not as empty vessels or naïve
readers, but as historical subjects who receive and interpret such texts in different ways.
He recognises that texts contain divergent meanings, contradictions and structured
omissions and that “a plurality of readers must necessarily produce a plurality of
readings” (Codd, quoted in Ball, 1994a, p. 16). It does not mean that any reading is
possible. While authors cannot control completely the meaning of their texts, they make
great efforts to try to exert such control by the means at their disposal.

Policy as text draws upon some of the insights of literary theory and recognises the
complex ways in which textual representations are encoded as a result of compromises
and struggles. Texts are the product of compromises at various stages such as “point of
initial influence, in the micropolitics of legislative formulation, in the parliament
process and in the politics and micropolitics of interest group articulation” (Ball, 1994a,
 23

p. 16). Ball also conceptualises policy texts as “cannibalized products of multiple (but
circumscribed) influences and agendas. There is ad hocery, negotiation and serendipity
within the state, within the policy formulation process.” (ibid., p. 16)

Ball offers elements for understanding the process of policy text production. For him,
“only certain influences and agendas are recognized as legitimate, only certain voices
are heard at any point in time” (ibid., p. 16). Thus, the analysis of policy documents is
not simple, but demands researchers who are able to identify ideologies, interests,
explicit and implicit concepts used, struggles involved in the process, and present and
absent voices among other aspects.

Drawing on the work of Roland Barthes, Bowe and Ball distinguish between ‘writerly’
and ‘readerly’ texts (Bowe et al, 1992; Ball and Bowe, 1992; Ball, 1994a). A readerly
text imposes a uniform and relatively non-negotiable meaning on the reader. The reader
is neither given a role, nor encouraged to make a contribution. The reader is considered
as an “inert consumer to the author’s role as producer” (Hawkes, 1977, p. 114). A
writerly text, in contrast, involves the reader as co-producer, co-author, as a creative
interpreter of the text. The writerly text is less predictable and does not attempt to
control the reader. The reader is invited to write while reading, and to fill in the gaps in
the text.

According to Bowe at al (1992) and Ball and Bowe (1992) it is vital to recognise that
writerly and readerly texts are the product of policy process, a process that emerges
from and continuously interacts with a variety of interrelated contexts, and
consequently, texts have clear relationships with the particular contexts in which they
are used (Bowe et al, 1992). Writerly and readerly texts can appear in different ways.
One example of this is when both styles are used in the same text, combining more
prescriptive styles in some parts, with more open in others. Another example can be
found in the policy trajectory analysis when it is possible to identify changes in the style
of policy documents related to a specific policy. It is possible because policies may be
altered in the implementation process and transformations may come about as
legislative texts are recontextualised. As a dynamic process,
 24

policies shift and change their meaning in the arenas of politics; representations
change, key interpreters (secretaries of state, minister, chairs of councils) change
(sometimes the change in key actors is a deliberate tactic for changing the
meaning of policy). Policies have their own momentum inside the state;
purposes and intentions reworked and reoriented over time. The problems faced
by the state change over time. Policies are represented differently by different
actors and interests… (Ball, 1994a, p. 17)

Policy as discourse

Discourse is a central concept in Foucault’s analytical framework (Ball, 1990a).

Foucault does not limit his notion of discourse to language, but refers more generally to
reiterated key words and statements that recur in local texts of all kinds. Post-
structuralist discourse theory examines how writing, texts, and discourses are
constructive phenomena, shaping identities and practices of human subjects (Luke,
1997). Discourses are about “what can be said, and thought, but also about who can
speak, when, where and with what authority” (Ball, 1994a, p. 21). On the power of
discourse, Ball explains that discourses “embody the meaning and use of propositions
and words” and “certain possibilities for thought are constructed”. (p.22). Policy as
discourse sets boundaries to what actors are allowed to think and may have the effect of
distributing ‘voice’ since only certain voices can be heard as meaningful or
authoritative. In practice, actors are embedded within a variety of discourses, but some
discourses are more dominant than others. Among dominant discourses within
contemporary social policy, Ball emphasised neo-liberalism and management theory.

‘Policy as text’ and ‘policy as discourse’ are complementary conceptualisations. Ball

(1994a) suggests that policy as discourse emphasises the constraints imposed by
discourse, while an analysis of policy as text places more control in the hands of the
readers. Both are complex processes because texts are often not what they seem to be on
the surface and, according to Foucault, discourses are never independent of history,
power and interests. In addition, as mentioned earlier, the readers have histories, which
can limit or expand the level of interpretation and understanding of policy texts.
 25

Ball (1998a, 1998b) suggests that Bernstein’s concept of recontextualisation of the

discourse, developed to understand how official knowledge is transformed from its
production process to its everyday educational practice, can be also applied to analyse
education policies and their dissemination. This is possible because the emergence of
educational policies, like educational theories, lie in power relations in the symbolic
control field.

In this thesis, the concept of policy as discourse is understood as a gradual construction

over time. Drawing on Bernstein’s concept of recontextualisation of the discourse
(Bernstein, 1996), I will discuss in Chapter 4 the development of policy discourse. In
this process of development, the discourse of schooling in cycles evolved and has been
incorporated by political parties and governments in different ways, configuring
conservative or progressive versions of the same policy.

Within the discussion of pedagogic device, Bernstein (1990, 1996) identified three main
fields of pedagogic device: the fields of production, recontextualising and reproduction
of discourse. These fields are hierarchically related, in that recontextualisation of
knowledge cannot take place without its production, and reproduction cannot take place
without recontextualisation. The production of new knowledge continues to take place
mainly in institutions of higher education and private research organisations. By
contrast, the recontextualisation of knowledge is largely undertaken in departments of
education, colleges of education, schools, journals and publishing houses (Bernstein,
1990). Reproduction usually takes place in schools, where pedagogic texts created in the
field of recontextualisation are transformed again as they are appropriated by teachers
and converted into models of common or shared knowledge in interactions with
students (Singh, 2002). The reproduction field is related to evaluative rules.

Following this theory, I will argue that the discourse of schooling in cycles was
recontextualised in particular ways over time within official and pedagogic
recontextualising fields. The recontextualisation rules are a principle to appropriate
other discourses and to put them into a special mutual relationship for their transmission
and acquisition. There is a process of dislocation and relocation. According to Bernstein
(1996), as the discourse moves from its original site to its new positioning as pedagogic
discourse, a transformation takes place because every time a discourse moves from one
 26

position to another, there is a space in which ideology can play. (Bernstein, 1996).
Through recontextualisation, a discourse is moved from its original site of production to
another site, where it is altered and it is related to other discourses.

The recontextualising field has a crucial function in creating the fundamental autonomy
of education. If PRF can have an effect on pedagogic discourse independently of the
ORF, there is both some autonomy and struggle over pedagogic discourse and its
practice, but “if there is only the ORF, then there is no autonomy.”(Bernstein, 1996, p.
48). As will be shown later, in the case of schooling in cycles in Brazil, in some periods
there was no clear separation between the official and pedagogic fields (e.g. in the
1950s and from the late 1980s on). Since the 1980s, in different programmes
implemented by governments, scholars from universities and research foundations have
been successively incorporated in the State apparatus to support the creation and
implementation of such programmes. In some ways, due to these co-optation practices
there has been no clear separation between the ORF and PRF. An evidence of this are
texts published by some researchers who have had key positions inside the State as
policy makers or advisors (Arroyo, 1999; 2001). These texts suggest some weakening of
the autonomy of the PRF resulting in the strengthening of schooling in cycles as the
dominant discourse.

2.2.3 - Critiques of the policy cycle approach

There has been a debate regarding Ball’s work. This debate includes positive answers
(Evans et al, 1994; Fitz et al, 1994), criticisms (Lingard, 1993, 1996; Henry, 1993;
Hatcher and Troyna, 1994, Nespor, 1996; Gale, 1999), and Ball’s responses or
comments (Ball, 1993, 1994b, 1997).

Lingard (1993) argues that the policy cycle needs a more sophisticated theory of the
state. From a Marxist perspective, Hatcher and Troyna (1994) consider that Ball’s
policy cycle does not have a clear theory of the state which they believe to be crucial for
an adequate understanding of education policy and its relationship with economic
interests. In reality, Ball (1990b) claimed to offer a resolution of the theoretical gap
between a neo-Marxist and statist perspective with its “tidy generalities” and a pluralist
 27

perspective with its “messy realities of influence, pressure, dogma, expediency, conflict,
compromise, intransigence, resistance, error, opposition and pragmatism” (Ball, 1990b,
p. 9). This leads Lingard (1993) and Hatcher and Troyna (1994) to claim that Ball is
inconsistent in his approach. In addition, Ball acknowledged the statist position
considering that “any decent theory of education policy must attend to the working of
the state. But any decent theory of education policy must not be limited to a state
control perspective” (Ball, 1994a, p. 10). Finally, for the purpose of this thesis, the role
of the state was less significant since the policy investigated is not compulsory and it
was implemented at local level mainly due to change of the political party in power
after elections. However, in this thesis, the role of the state in the process of the
development of policy discourse is examined in Chapter 4.

Foucault’s influence and lack of feminist perspectives were pointed out by Henry
(1993), Hatcher and Troyna (1994) and Lingard (1996). Henry (1993) criticised the
Foucauldian influence. More specifically, she believed that Ball’s account of the policy
process was missing some engagement with neo-Marxism and feminist perspectives.
Henry also criticised Ball’s dichotomy between ‘policy as text’ and ‘policy as
discourse’ and she wanted to see these different conceptions brought together rather
than operating in opposition. Ball’s response (1993) was to agree with some of what
Henry said, but to reiterate the contrast between the ‘messiness’ of policy realities and
the ‘cleanliness’ of the abstract ‘bigger picture’. As mentioned, Ball considers the
notions of policy as texts and policy as discourse a tentative approach and an exercise of
theoretical heurism.

Hatcher and Troyna (1994) also blamed the influence of Foucault for “the most striking
inconsistencies and contradiction in Ball’s works” (p. 161). They maintained that Ball
does not resolve the gap between pluralism and Marxism as he claimed because his
stance clearly favoured pluralism. They argued for greater acknowledgement of the role
of the state in controlling policy outcomes. In response, Ball (1994b) claimed that
Hatcher and Troyna’s argument was structurally determined and static. In addition, Ball
questioned their binary of Marxism versus pluralism and emphasised variations within
each perspective.
 28

Lingard (1996) highlighted Ball’s significant contributions, both theoretically and

empirically, but he argued that feminist reinterpretation of Ball’s research was required
because in the “Educational reform: a critical and post-structural approach” (1994a),
Ball did not consider gender (or racial) effects, although it looked at the effects of
education reforms on social class. Lingard concluded that postmodern analysis alone
does not easily render a political strategy to combat the social injustices revealed by
Ball’s research. It is important to note that Ball’s theoretical framework is not static, but
dynamic and unfolding (Vidovich, 2002). The impact of the policies on different
localised groups based on gender, class, ethnicity, and disability, among others can be
considered within the discussion of the context of outcomes and political strategy. As
Taylor (1997) pointed out, by adding the context of outcomes and political strategy,
Ball was not neglecting political struggle against structural oppression, and therefore the
wider power relation involved in working towards social justice.

Taking into account some of these criticisms, Vidovich (2002) proposed a modified
policy cycle. The first modification is to extend Ball’s terrain from within an individual
nation-state to the global context, as suggested by Lingard (1996) and later by Ball
himself (1997, 1998a, 1998b, 2001). The second modification is to incorporate state-
centred constraint to a greater extent than is evident in Ball’s policy cycle. The third
modification is to highlight explicitly the interlinkages between different levels and
contexts of the policy process by examining how these contexts continually relate to
each other. For example, “possible avenues and mechanisms for feedback from micro
level influences, texts, practices/effects, outcomes and political strategies which
contribute to the reconstruction of policy text at the micro level need to be explored.”
(Vidovich, 2002, p. 10)

Despite these criticisms the policy cycle approach provides tools for a dialectical
analysis of the trajectory of the Cycles of Learning Project in Pinewood City, as well as
its relationships with schooling in cycles as a national policy. One of the advantages of
the policy cycle is that it is a flexible approach which allows adaptations according to
the nature of the policy investigated. Due to this feature, the policy cycle has been
applied in the analysis of the different policies (Corbitt, 1997; Vidovich, 1999; Walford,
2000; Looney, 2001; Kirton, 2002; Vidovich and O’Donoghue, 2003). Authors such as
Kirton (2002) and Looney (2004) also highlight the open-ended nature of the policy
 29

cycle approach. Kirton (2002) claims that the policy cycle is an open-ended and
tentative approach as well as an important development in policy sociology. Looney
(2004) states that the policy cycle is a useful heuristic tool and “a means of capturing
something of the complexity of curriculum and assessment change.” (p. 132)

In this study, the policy cycle and notions of policy as text and policy as discourse are
being applied with some adaptations. First, the main three contexts (context of
influence, context of text production and context of practice) will be emphasised in the
core of the thesis (Chapter 5, 6 and 7). Specific contributions about the context of
outcomes and context of political strategies will be explored in the conclusion, after an
analysis of micro level policy practices.

Second, in relation to the context of influence, I agree with Lingard (1996) and
Vidovich (2002) that it is necessary to extend this context from an individual nation-
state to the global and international context. This perspective was also explored in depth
by Ball (1998a, 1998b, 2001) when he discusses national policy making as a process of
bricolage and global policies. In this study, the context of influence (international and
national) was analysed within the discussion of the development of policy discourse.
Drawing on Bernstein’s concept of recontextualisation of discourse, I will argue that
schooling in cycles was incorporated by political parties and governments in different
ways, generating conservative and progressive versions of the policy. In both versions
there have been global and international influences operating. In addition, it was
necessary to consider that due to the top-down orientation and rapid process of decision
making and policy making, in the case of the Cycles of Learning Project, interested
groups (referred to by the original policy cycle) at the local level had no opportunities
for operating in such context.

In this section, I have outlined the policy cycle approach, policy as text and policy as
discourse which underpinned the analysis of the implementation process of the Cycles
of Learning Project. In the following section I will present Bernstein’s concepts which
contributed to understanding the nature of the policy as well as the context of practice.
 30

2. 3 - Bernstein’s theory of pedagogy: understanding the nature of the policy and

the context of practice

In the context of this thesis, Bernstein’s concepts of sequencing/pacing and criterial

rules as well as visible and invisible pedagogy contributed to understanding the nature
of the policy implemented as well as issues related to the context of practice. In
addition, his theory contributed to broaden the analysis of the Cycles and its
implications and effects. Bernstein’s analysis of the social-class assumptions of
pedagogic discourse and practice is the foundation for linking microeducational
processes to the macrosociological levels of social structure and class and power
relations.

As mentioned earlier, the implementation of the Cycles of Learning Project represented

a transition from a traditional approach and visible pedagogy to the progressive
approach and a more invisible pedagogy. The concepts of sequencing/pacing and
criterial rules were useful toward conceptualising this policy as an attempt to extend the
time for pupils’ learning or, in Bernstein’s words, a “relaxation of the framing of a
visible pedagogy” (1990, p. 79).

Bernstein’s theory is dense and complex. In this section I will present the concepts
which were used in this study.

2.3.1 – Classification and framing

The concept of classification is at the heart of Bernstein’s theory of pedagogic discourse

and discourse and practice. Classification refers to “the degree of boundary maintenance
between contents” (Bernstein, 1975, p. 88) and is concerned with the insulation or
boundaries between curricular categories (areas of knowledge and subjects). Strong
insulation (classification) has explicit boundaries and refers to a curriculum that is
highly differentiated and separated into traditional subjects. Strong classification or
insulation is indicative of tight control over the content and scope of the approved,
formal curriculum; precisely defined discipline and subject boundaries; and high levels
 31

of specialisation within subjects and within disciplines. It is also indicative of restricted

or limited control by learners and teachers over what is to be learnt in schools and when
it is to be learnt. Weak classification indicates that there is a reduced insulation between
contents.

Whereas classification is concerned with the organisation of knowledge into curriculum

(‘what’ is taught and learnt in a classroom), framing is related to the transmission of
knowledge through pedagogic practices (‘how’ teaching and learning is done). Framing
refers to “the degree of control teacher and pupils possess over the selection,
organization, pacing and timing of the knowledge transmitted and received in the
pedagogical relationship.” (Bernstein, 1975, p. 89). Framing is expressed in terms of its
strength, or degree of control. Strong framing indicates that the transmitter (e.g. teacher,
student, parents, etc.) explicitly regulates the content, sequencing, form, pacing, location
and discourse that constitute the learning context. If the framing is weak the acquirer
has increased apparent control over one or more elements of the pedagogy.

2.3.2 - Visible and invisible pedagogy

A visible pedagogy will always place the emphasis on the performance of the child.
This pedagogy puts the emphasis on the external product of the child and it has explicit
rules of regulative and discursive order. Visible pedagogies and their modalities “will
act to produce differences between children: they are necessarily stratifying practices of
transmission, a learning consequence for both transmitters and acquirers”. (Bernstein,
1990, p. 71). In the case of an invisible pedagogy only the transmitter knows the
discursive rules, and in this sense a pedagogic practice of this type is (at least initially)
invisible to the acquirer. The acquirer appears to fill the pedagogic space rather than the
transmitter. Invisible pedagogies are “less concerned to produce explicit stratifying
differences between acquirers because they are apparently less interested in matching
the acquirer’s text against an external common standard” (ibid., p.71). In short, invisible
pedagogies emphasize acquisition-competence and visible pedagogies transmission-
performance.
 32

Generally, where classification and framing are strong there is a visible pedagogic
practice. The rules of the regulative and instructional discourses are explicit, are known
to and are understood by both the teacher and the taught and the range of options
available to both in terms of what may and may not be transmitted in the pedagogical
relationship is clearly defined. Where classification and framing are weak, there is
invisible pedagogic practice. In this situation, the rules of the regulative and
instructional discourses are implicit and are usually unknown to the acquirer.
(Bernstein, 1990)

For Bernstein, neither visible nor invisible pedagogies are an absolute benefit. Although
they are opposing types, both carry social class assumptions (Bernstein, 1990). In the
same way, he differentiated the opposition between conservative and progressive
practices and between market and knowledge-oriented pedagogic practice. Bernstein
concluded that both would not eliminate the reproduction of class inequalities. His
thesis was that there are significant differences in the social-class assumptions of visible
and invisible pedagogy and despite these differences there may indeed be similar
outcomes, especially in the reproduction of power and symbolic control.

It is easy to link the graded school with a visible pedagogy and explicit hierarchical,
sequencing/pacing and criterial rules. On the other hand, the Cycles of Learning Project,
as a non-retention policy, is linked to an invisible pedagogy and less explicit
hierarchical, sequencing/pacing rules and criterial rules. The Cycles of Learning Project
changed the sequencing and pacing rules by the creation of two cycles; that is, the first
composed of three years and the second composed of two years. Retention was
eliminated inside each cycle intended to give pupils more time, without retrogression.
This last intention is closely linked to pacing rules since, essentially, “pacing is the time
allowed for achieving the sequencing rules” (Bernstein, 1990, p. 66). Not surprisingly,
within the literature on schooling in cycles (Chapter 4), ‘time’ is discussed under
different perspectives such as psychological, philosophical, sociological and within the
category generation and production of policy (Arelaro, 1988b; Pereira, 1988; Lima
2000; Barbosa, 2004; F. Becker, 2004; Fisher, 2004; Moll, 2004; Perrenoud, 2004b,
Teixeira, 2004). These authors, in general supporting schooling in cycles, highlight the
benefits of organising schools in a more flexible and extended time period.
 33

In addition, by proposing a formative assessment and a narrative style of school report

aimed at replacing the summative assessment and school report based on marks, the
Cycles of Learning proposed new instructional or discursive criterial rules for teachers.
While prior to the policy, pupils’ assessment was based on explicit criteria and
highlighted the competence of the acquirer, the Cycles of Learning Project proposed an
assessment based on less explicit criteria which underlined the acquisition-competence
of the acquirer.

2.3.3 - Hierarchical, sequencing/pacing and criterial rules

Bernstein’s analysis of pedagogic practice looked at the process and content of what
occurs inside schools. His theory of pedagogic practice examined a set of three rules:
hierarchical, sequencing/pacing and criterial rules. From an analysis of these rules,
Bernstein examined the social class assumptions and consequences of forms of
pedagogic practice (Bernstein, 1990).

The first rule, hierarchical, is the dominant one. Hierarchical rules are rules of conduct
which establish the conditions for order, character and manner in any pedagogic
relation. Hierarchical rules can be implicit or explicit.

Sequencing rules refer to the progression of transmission (something comes before and
after) and “if there is progression, there must be sequencing rules” (Bernstein, 1990, p.
66). Every pedagogic practice must have sequencing rules, and these sequencing rules
will imply pacing rules. Pacing “is the rate of expected acquisition of the sequencing”
and is “the time allowed for achieving the sequencing rules”. (ibid., p. 66). Sequencing
rules can be explicit or implicit. Explicit rules regulate the development of the child and
construct the “temporal project of the child” (ibid., p. 67). The child has some
awareness of its temporal project. Where sequencing rules are implicit the child
initially can never be aware of his temporal project. Only the transmitter is aware of the
temporal project of the child. In the case of visible pedagogy the sequencing rules are
explicit and mark the future of the child in very clear steps or stages.
 34

According to Bernstein, the pacing rule of the transmission (which is strong in the
visible pedagogies) acts selectively on those who can acquire the school’s dominant
pedagogic code, and this is a social class principle of selection. However, for Bernstein,
it is possible to create a visible pedagogy which would weaken the relation between
social class and educational achievement by (a) creating a supportive pre-school
structure, (b) relaxing of the framing on pacing and sequencing rules, and (c) a
weakening of the framing regulating the flow of communication between the school
classroom and the community(ies) the school draws upon. Such relaxation of the
framing of a visible pedagogy raises the cost of the transmission and has crucial
implications for teacher training and school management.

Criterial rules are called regulative rules and the other rules of sequence/pace criteria are
called instructional or discursive. For Bernstein, in any teaching relation, the essence is
to evaluate the competence of the acquirer:

What you are evaluating is whether the criteria that have been made available to
the acquirer have been achieved – whether they are regulative criteria about
conduct, character, and manner, or instructional, discursive criteria: how to solve
this problem or that problem, or produce an acceptable piece of writing or
speech (ibid., p. 66).

Criterial rules can also be explicit and specific or implicit, multiple and diffuse. In the
former, the child will be aware of the criteria and in the latter, the child is not aware of
the criteria.

Conclusion

In this chapter, I presented the theoretical frameworks which illuminated the analysis of
the implementation of the Cycles of Learning in Pinewood City. The policy cycle
approach allows a trajectory analysis of the policy investigated from its first steps, as
well as the international, national and local influences. By moving away from the over-
determinism of a state control and shifting the focus to practitioners and schools, Ball’s
policy cycle offers important elements for analysing the implementation process and its
struggles. In this model, policies are reinterpreted in the context of practice according to
 35

agendas and micropolitics of the schools. Bernstein’s concepts, in turn, contributed to

understanding the process of recontextualisation of the policy discourse, the nature of
the policy as well as issues related to the implementation process at school level.

In the next chapter the methodological choices and procedures of the process of
research will be presented.
 36

CHAPTER 3

METHODOLOGICAL ISSUES

This chapter presents the methodological aspects of research. I begin with a description
of the research methods used (interviews, documentary analysis and observations),
followed by procedures of data collection and data analysis.

3.1 – Research methods used in this study

In order to achieve the aim of this thesis, this study involved semi-structured interviews,
participant observations and documentary analysis. In the following sections I will
present the general features and strengths of these techniques of data collection.

3.1.1 – Interviews

In this study, the interview was a valuable tool of data collection to explore the context
of influence, the context of text production and the context of practice. In addition,
interviews were useful instruments to get the voices of different people involved in the
implementation process (policy makers, teachers, headteachers and deputy heads). The
semi-structured interview was the model selected. According to Denscombe (1998), in
the semi-structured interview, the interviewer has a clear list of issues to be addressed
and questions to be answered. However, with the semi-structured interview the
interviewer is “prepared to be flexible in terms of the order in which the topics are
presented, and, perhaps more significantly, to let the interviewee develop ideas and
speak more widely on the issues raised by the researcher” ( ibid., p. 113).
 37

This technique was selected because interviews provide the interviewer with the
opportunity to follow up on ideas, probe answers and investigate motives (Bell, 1989).
In addition, it allows for greater depth than other methods of data collection (Cohen and
Manion, 1994).

In the field of policy analysis, the interviews have been recognised as an important
source of data and have been used in different sorts of qualitative work such as elite,
trajectory and implementation studies (Maguire and Ball, 1994). Within ethnographic
studies, interviews can range from spontaneous and informal conversations to formally
arranged meetings for this purpose. In the case of spontaneous interviewing, “the
dividing line between participant observation and interviewing is hard to discern.”
(Hammersley and Atkinson, 1995, p. 139)

In general terms, there is an interrelationship and overlap between participant

observation and interviews and ‘the data from each can be used to illuminate the other”
(Hammersley and Atkinson, p. 131). In this case, research problems are developed or
transformed and tools of data collection such as interview and observation protocols can
be progressively constructed and constantly refined. Another important aspect refers to
the selection of people to be interviewed. According to Hammersley and Atkinson
(1995), the researcher has to be aware that the people selected to be interviewed have a
great influence on the researchers’ work and the data collected.

3.1.2 – Observations

In this study, a prolonged period of observations was carried out in the four schools
investigated consisting of observations of the schools’ day-to-day activities and
classroom observations. These observations yielded relevant information about the
context of practice, in particular how the policy was reinterpreted at school and
classroom level. Participant observation was the type of observation made at both
levels: the school as a whole and classrooms. As well as addressing the research
questions, this type of observation allowed the researcher to talk to and listen to people
in their ‘natural’ settings, participate in meetings and other activities and to examine
materials such as notebooks, textbooks and school reports. In addition, meetings for
 38

discussion and guidance, in-service teacher training, lecturers and other events carried
out by the Municipal Secretariat of Education were also observed.

Observations at school and classroom level enable the researcher to catch “in loco”
problems related to everyday practice as well as to observe the differences between
policy and practice. Policy often reflects an “ideal” setting (Greathouse, 2001, p. 97)
and divergences between policy and practice should be seen as a regular characteristic.
Observation is useful because it allows the researcher “to gather ‘live’ data from ‘live
situations’. The researcher is given the opportunity to look at what is taking place in situ
rather than at second hand” (Cohen et al, 2000, p. 305). Furthermore, observations can
complement data obtained by interviews, documentary analysis, questionnaires and
other techniques of data collection.

Classroom observation can be used for the purpose of policy research as well as in other
contexts.12 To Tilstone (1998), observation is a process at a basic level which is
concerned with watching, or at an advanced level systematically investigating. It
involves “making judgments about what is seen, which are made either hurriedly and
superficially or after a reflective analysis of carefully collected evidence” (p. 32).

3.1.3 - Documentary analysis

Documentary analysis includes investigating documents from different sources such as

historical documents, laws, declarations and statutes, and people’s accounts (May,
1997). Silverman (1993) mentions files, statistical records, records of official
proceedings and images. The documents selected to be analysed depend on the aims of
the research and its focus and contexts.

In terms of policy analysis, policy documents are essential materials to be analysed

since they constitute a specific stage of the policy cycle: the context of text production.
According to Bowe at al (1992), policy texts are normally expressed in the language of

12
Wragg (1994) mentions eight fields which classroom observation can be used: a) initial teacher
training, b) in-service training and professional development, c) studying pupils, d) curriculum
development and evaluation, e) job analysis, f) teacher appraisal, g) observation by lay people and h)
research. All seven first fields mentioned can themselves subject of research. (p.82)
 39

general public good, appealing to popular commonsense and written in relation to

idealizations of the ‘real world’ (p. 21). In this sense, policy texts represent policy and
their representations take many forms: policy documents, commentaries which interpret
the official documents, media reports, politicians’ speeches, etc.

According to Codd (1988), policy documents are ideological texts which have been
constructed in a particular context and “the task of deconstruction begins with the
explicit recognition of that context” (p. 244). Also, policy documents can be said to
constitute the official discourse of the state. Thus,

policies produced by and for the state are obvious instances in which language
serves a political purpose, constructing particular meanings and signs that work
to mask social conflict and foster commitment to the notion of a universal public
interest. In this way, policy documents produce real social effects through the
production and maintenance of consent (Codd, 1988, p. 237).

Hammersley and Atkinson (1995) show many interesting questions that can be asked
about documents: “How are documents written? How are they read? Who writes them?
Who reads them? For what purposes? On what occasions? With what outcomes? What
is recorded? What is omitted? What does the writer seem to take for granted about the
reader(s)? What do teachers need to know in order to make sense of them?” (p.173).
Additional questions could be considered: What is their style? (readerly or writerly
text?) What are the key concepts? What ideologies are they propagating?

In this study, documentary analysis included policy documents and official data
collected in the Municipal Secretariat of Education. In addition, a federal law and the
National Curriculum Parameters were counted as documents.

3.2 – Organising data: transcriptions of the interviews and fieldnotes

The purpose of this section is to point out how data collected through interviews and
observations were organised. All interviews with policy makers, teachers, headteachers
and deputy heads were audio taped. The interviews were conducted in Portuguese and
 40

transcribed in Portuguese in order to retain the original meaning expressed by

interviewees. As Cohen et al (2000) say, transcribing is a crucial step, for there is “a
potential for massive data loss, distortion and the reduction of complexity” (p. 281). In
order to avoid losing relevant data, the researcher undertook the transcribing and the
most relevant topics were listened to repeatedly and compared with the transcripts.
Although the transcribing was time consuming, it achieved the first step of the data
analysis, enabling recurrent themes and notable regularities among interviewees to
emerge. In order to avoid changes in meaning, the quotes included in the final report
were compared with the original language (Portuguese) by another versed in English
and Portuguese.

During the fieldwork I took a wide variety of fieldnotes. Some situations observed were
written down during the observations and others were taken after the events had taken
place. According to Hammersley and Atkinson (1995),

fieldnotes consist of relatively concrete descriptions of social processes and their

contexts. The aim is to capture these in their integrity, noting their various
features and properties, though what is recorded will clearly depend on some
general sense of what is relevant to the foreshadowed research problems. (p.
175)

The main purpose is “to identify and develop what seem to be the most appropriate
categories” (ibid., p. 175). My fieldnotes of classroom observations included: date of
observation, school and teacher, age/group observed, classroom arrangement, activities
proposed, descriptions of the main events observed, the language and words used by
teachers and pupils. During the observation in each group I was interested in observing
pupils’ visible progress as a whole. In particular, I was interested in following the
progress of students who seemed to have more difficulties. During the process of
observation I organised some data in tables (e.g. frequency of activities, number of
hours in each classroom and the more relevant issues observed).

During my observations of schools’ day-to-day operations (parents’ meetings, meetings

for discussions and planning and informal conversations with school staff and students)
and observations of the events carried out by the Municipal Secretariat of Education (in-
service teacher training, lectures and meetings) I also took fieldnotes. These fieldnotes
 41

constituted material from which I could extract the main issues arising in the research
which contributed to the development of themes explored in the data analysis process.

In the process of writing fieldnotes I tried to record the exact language that had been
used in the setting. This is what Hammersley and Atkinson (1995) say when they talk
about language and its importance as a source of

valuable information about the ways in which members of a particular culture

organize their perceptions of the world, and so engage in the ‘social construction
of reality’. Situated vocabularies and folk taxonomies incorporate the
typifications and recipes for action that constitute the stock-of-knowledge and
practical reasoning of the members. (p. 181, 182)

3.3 – Stages of data collection

The data necessary for this study were collected inside the Municipal Secretariat of
Education and inside the four municipal schools over a period of 20 months from April
2002 to December 2003. In the following sections the stages of the research are
described.

3.3.1 - Negotiating access

My first step was acquiring permission to carry out the research, which was ultimately
approved by the Municipal Secretary of Education. I prepared a letter in which I
explained the purpose and goals of the research and how data were to be collected. The
Municipal Secretary of Education expressed her interest in supporting the research and
agreed to provide all materials and information necessary. I also expressed my intention
to observe meetings and events carried out inside the Municipal Secretariat of
Education. My access to the Municipal Secretariat of Education was made easier
because the Municipal Secretary of Education and myself had worked together on
 42

earlier projects. In this way, she became the gatekeeper13 and introduced me to the other
professionals working at the Secretariat. Despite this initial cooperation, during the
research I encountered some difficulties in gaining access to internal meetings or
meetings with headteachers and deputy heads. The Secretariat staff had been made
aware of my desire to observe the meetings and all events conducted by the Secretariat.
Nevertheless, I was not informed or invited to take part in meetings or events. However,
during my research inside the schools I acquired access to all official information from
the Municipal Secretariat regarding meetings, courses and other events that I wished to
observe14.

I then contacted headteachers at the four schools selected to be investigated to present

the objectives of, and ask permission to do this research. The selection of schools to be
investigated was largely opportunistic, but not entirely. Due to my professional practice
I had already been in contact with several municipal schools in the city and with many
teachers and heads of the municipal educational system. However, I intentionally
employed the following criteria to select the four schools:
(a) Background of the school in relation to schooling in cycles: Gamma and Delta
Schools had been organised in cycles since 1990. Until 2001, these schools were
schools belonging to the state educational system and became municipal schools
due to the municipalisation of primary education in the city.15 At Alpha and
Beta, which had always belonged to the municipal system, the schooling in
cycles began to be implemented in 2001.

13
A person who has the power to let the researcher into the setting is called a gatekeeper (Hammersley
and Atkinson, 1995, p. 34). Gatekeepers are thus persons that the researcher has to get through or around
to get access to a more formal or private setting, like a factory floor, a discussion group or some other
private setting. For them, “(K)nowing who has the power to open up or block off access, or who consider
themselves and are considered by others to have the authority to grant or refuse access, is, of course, an
important aspect of sociological knowledge about the setting” (p. 64).
14
The power inside the Municipal Secretariat of Education seemed to be very centralised and the staff
often demonstrated a lack of autonomy in providing information, making decisions and or even
expressing their opinions about the Cycles of Learning Project and other issues. In this context, while in
the schools I felt comfortable and welcomed whereas in the Secretariat I felt like an intruder and
externally connected. As will be discussed throughout this thesis, the democratic management announced
in the electoral campaign and put into practice in some areas of the municipal administration remained
only as an intention in the field of education.
15
It seems important to explain that the transference of responsibility for the first four years of Primary
Education to municipalities (devolution) is part of the policy known as “municipalisation”. In the city
where the research was carried out this process occurred gradually in the last 10 years, and it was
completed in 2002. Thus, in this city, all pupils of the first years of primary education are enrolled in
Municipal Schools.
 43

(b) Characteristics of the school community: At Gamma School, approximately

70% of the pupils came from middle class families. In the other three schools,
the majority of the pupils came from working class families, which is a strong
feature of the municipal schools.
(c) Style of management: At Alpha School there was a strong hierarchy between
heads and teachers and instructions from the Secretariat of Education and policy
documents usually were not negotiated. Conversely, at Beta, Gamma and Delta
Schools, the hierarchy between heads and teachers was weak and the school
climate more democratic.

These four schools were representative of the range of municipal schools in Pinewood
City. I had access to schools due to my authorisation by the Municipal Secretary of
Education, but in the first visit to each school I reassured them that I was a researcher,
not a member of the administration. Access was easier in the four schools because I was
already identified as a lecturer at the local University, and in two of the four schools
(Alpha and Beta), I was known by some school staff because I had been there to talk
about the literacy process and strategies for promoting reading through children’s
literature. I also was explicit to headteachers about the aims of my research. All
headteachers contacted allowed the school to be researched. During the process, I
experienced helpful collaboration in carrying out interviews, classroom observations
and observations of other events inside the schools. The fact that I was a familiar person
and an independent researcher resulted in a viable combination that made the
participants comfortable in sharing their opinions. In addition, I guaranteed all
participants complete confidentiality and anonymity of information collected. However,
during the research process I was aware of the danger of ‘going native’ as well as the
importance of keeping some social and intellectual ‘distance’ (Hammersley and
Atkinson, 1995).

The climate of cooperation and reciprocity I enjoyed in the schools contrasted with the
more impersonal relationship with the Municipal Secretariat of Education staff. In
general terms, for the secretariat’s staff, the policy seemed to be a technical and
bureaucratic matter. In the schools, conversely, the policy seemed to be more dynamic
and challenging.
 44

In the next section, I outline how these various methods were deployed in order to
collect data related to the different contexts of the policy cycle.

3.3.2 – Context of influence

In this study, the context of influence involved the analysis of global/international,

national and local influences. The discussion of global/international and national
influences involved analysis of the primary sources (books, journals, official
publications and laws). Local influences were basically addressed through interviews
with policy makers. The Cycles of Learning Project in the context investigated is an
ongoing project and to date there are no publications or research. At this stage, I
interviewed the Municipal Secretary of Education who was the key person in the
configuration and implementation of the policy investigated (Appendix 3) and another
three main assistant policy makers: the special assistant to the secretary (Appendix 4),
the coordinator of the Acceleration Classes Programme and the coordinator of
continuing education programmes (Appendixes 5 and 6). These three professionals were
considered the ones most involved in the coordination of the policy implementation.
They were identified in the data analysis chapter as Assistant policy maker 1, 2 and 3,
respectively. Additionally, I interviewed a representative of the Teachers’ Union who
contributed relevant information to this research (Appendix 7).

The interview with the Municipal Secretary of Education provided relevant information
about why this policy was implemented and how it took the format it did, people who
were included in the policy-making process and in the context of text production and
her opinion about difficulties and problems related to the implementation process,
among other aspects. Additionally, during the process of research I had informal
conversations with her and took part in events at which she made speeches and
answered questions presented by teachers and school staff.

The interviews with policy makers dealt with the following issues: the nature of the
goals of the project and how they were defined; the process of decision making and
configuration of the policy; people involved in the policy making; the conflicts and
problems detected by the Municipal Secretariat of Education in the implementation
 45

process and opinion about policy effects; the relationship between the Municipal
Secretariat of Education and schools and teachers in particular; the relationship between
the Cycles of Learning Project with other projects of the administration, and the role of
the interviewee’s responsibilities in the implementation.

3.3.3 – Context of text production

The analysis of the context of text production involved the collection and analysis of the
main policy document, media reports, and other publications of the Municipal
Secretariat of Education. Interviews with policy makers, teachers, heads and a
representative of the Teachers’ Union were also helpful in order to understand how the
policy text was produced.

In the Municipal Secretariat of Education I obtained the following official documents:

(a) Pupils’ assessment in the Cycles of Learning Project – preliminary version, (b)
Curriculum Guidelines, which includes the final version of the Cycles of Learning
Project and (c) Report of the State Council of Education of Paraná State, which is the
official authorisation to implement the policy. In addition, I requested official data
related to (a) promotion, retention and dropout rates, (b) the result of pupils’
examination in the local system of pupils’ performance, and (c) other relevant data for
this study. During the process I also collected media reports and took notes of the
Municipal Secretary of Education’s speeches in events I observed (e.g. her speeches at
the forum and at the First Municipal Conference of Education, at the start school year
and in other events)16.

16
During the data collection, I observed four lecturers (12 hours) and three meetings for discussion and
guidance to teachers (six hours). In addition, I took part in seven lectures, two school year opening events
(2003 and 2004), one forum and also in the municipal conference of education. These observations and
participation were aimed at not only verifying what sort of discussions teachers and heads had access to,
but also how and what issues relating to the implementation of the Cycles of Learning Project emerged
during such events.
 46

3.3.4 – Context of practice

The context of practice is where policy texts have consequences and where policy is
subject to interpretation and recreation. In order to address the context of practice
interviews and observations were carried out in the four schools mentioned earlier.

The access to schools and teachers was a gradual process. The first step involved
sending a questionnaire to all teachers in the four selected schools. The questionnaire
aimed at collecting their opinions of and background in the policy being investigated.
After that I gradually started interviews and classroom observations. Alongside the
interviews and classroom observations, I observed the schools’ day-to-day operations.
In the next sections I will present a characterisation of the school and interviewees as
well as procedures related to interviews and observations.

Characterising schools

This characterisation provides the sense of place (Ball, 1997) of the schools researched
in this study. This information is relevant in policy analysis as it shows the context in
which the policy was put into practice.

The following points were common among the four schools. All four were located in
the suburbs of the city where the majority of pupils came from working class families,
with the exception of Gamma School. As is usual in Brazilian state schools, all of them
functioned in a double shift for teachers and pupils (morning and afternoon). Of this
about 3½ hours a day are available for actual teaching. After renovations and upgrades
in Gamma and Delta Schools, they all had satisfactory environmental conditions. The
schools were clean and classrooms had adequate lighting together with an acceptable
standard of furniture. All schools offered a free school meal daily. Generally children
had the meal inside the classrooms due to lack of school dining rooms. The meal
appeared to be very well prepared and tasty. The majority of children ate the meal and
demonstrated great satisfaction in doing so. Some teachers observed that for some
children, mainly those who came from the poorest families, the school meal was the
 47

most important meal of their day. In fact, during my observations, I noted that some
children received two or three extra portions.

All children received their textbooks through the national programme coordinated by
the Federal Government. In this programme, teachers and heads choose the textbooks
which are distributed to all children at no charge. All schools had basic school materials
such as pens, notebooks, erasers, etc. to distribute mainly to pupils whose families were
not able to purchase them. Every month, schools received a budget for maintenance of
the school and for purchasing curricular resources.

The classrooms had an average of 26-30 students. Teachers were responsible for all
subjects (Portuguese, Mathematics, History and Geography, Science, Physical
Education and Religious Education). Foreign language (English) was offered only in
Gamma School. My observations showed that teachers emphasised the teaching of
Portuguese and Mathematics to the detriment of other subjects in the curriculum.
Teachers could work outside the class at least two hours per week for planning or
meetings with deputy heads while an assistant teacher assumed the class. This option
was not provided in some periods due to a shortage of assistant teachers. Four or five
meetings for discussions were carried out during the school year aimed at discussing
issues related to pedagogical work and planning.

Generally parents had little involvement in these schools. The exception was Gamma
School in which parents were becoming more involved in different activities promoted
by the school, whereas in the other three schools, parents only went to school for
parents’ meetings to receive information about their own child’s progress.

Despite disagreements with some aspects of the policy, heads and the majority of
teachers involved in this study were interested in understanding the policy and were
concerned with the results obtained in terms of pupils’ learning and progression. In part,
their concerns were linked to the strategies used by the Municipal Secretariat of
Education to judge the success and effectiveness of the policy, namely: (a) pupils’
testing in Portuguese and Mathematics conducted annually in some year/group and (b)
the monitoring of promotion, retention and dropout rates.
 48

The following table presents information about the number of pupils, teachers,
classrooms and additional data which are helpful in characterising the schools
researched.

Table 3.1 – Characterisation of the schools researched (figures) - 2003

Alpha School Beta School Gamma Delta School
School
Pupils 480 330 276 190
Class teachers 14 10 10 6
Headteacher 1 1 1 1
Deputy heads 3 3 2 1
Other professionals – auxiliary 6 5 5 4
Age/groups
Year 1 3 2 2 1
Year 2 3 2 2 1
Year 3 2 2 2 1
Year 4 4 3 2 1
Year 5 3 2 2 2
Acceleration Classes 2 1 1 1
Additional Classroom Support 2 2 2 1
Special Needs 1 - - -
Classrooms 11 07 07 06
Staffroom 01 02 01 01
Administrative rooms 02 02 02 02
Library 01 - - -
Video room 01 - 01 01
Sanitary toilet – students 03 02 02 02
Sanitary toilet - staff 01 01 01 01
Playground (open - Physical
Education) 01 01 01 01
Playground (closed) - 01 - -

Up to this point, the focus has been on general characteristics and points in common. In
addition to this, some specific features of each school need to be emphasised. As
pointed out earlier, policies are reinterpreted in the context of practice and dealt with by
the policy in various ways.

Alpha School

This school is located on the northern periphery of the city. The majority of the 480
students come from working class families. Frequently, teachers reported various social
problems experienced by pupils such as inappropriate housing conditions and health
problems.
 49

There was a strong hierarchy between heads and teachers at Alpha School. The school
management was more authoritarian and in general terms, guidance and instruction
emanating from the Municipal Secretariat of Education were followed more strictly
followed than in the other three researched schools. For example, all teachers had to
continue with the same group of children within the same cycle. The relationship
between teachers and heads was distant, causing difficulty in communication between
them. This was observed in different contexts such as in the meetings for discussions, in
the individual meetings during the teachers’ planning time as well as in informal
conversation during break time. The style of management and the low level of
interaction among teachers and heads produced a climate of dissatisfaction among
teachers who tended to receive the policy less enthusiastically. Despite these features,
this school obtained the most satisfactory results in terms of promotion rates among the
schools researched (97.5% in 2003).

This school offered adult education classes for the local community at night. There was
no specific action aimed at increasing parents’ involvement. In general, they came to
school during parents’ meetings.

Beta School

Beta School is located in the western part of the city. The majority of its 330 pupils
come from working class families. The school climate was more democratic than other
schools and the hierarchy between heads and teachers was weak. The headteacher and
deputy heads were more involved with teachers’ work and what was happening inside
the classrooms. The themes of the meetings for discussion and planning in general were
linked to teachers’ needs and the problems experienced in the school’s day-to-day
operations. During the research, issues related to the Cycles of Learning Project were
discussed in these meetings. In addition, deputy heads offered continuous support,
mainly for those teachers who asked for help. In this school, the policy text and
instructions from the Municipal Secretariat of Education were discussed and teachers
could express their opinions and disagreements.
 50

At Beta School parents’ participation was usually observed only during parents’
meetings. Despite this, heads were always encouraging parents and the community as a
whole to enrol in the adult education project which was available at night in the school.

Gamma School

Gamma School is located in the eastern area of the city and the majority of the 276
students (70%) come from the middle class. In general, teachers do not report social
problems at this school. This school was in a process of restructuring, as it had been a
school belonging to the state educational system which became a municipal school in
2002. The headteacher had been appointed recently after election (December 2002). She
held strong leadership among school staff and parents. From 2003, parents were
constantly involved in the activities promoted by the school such as social events,
parties and regular parents’ meetings. She also involved school staff in school
management. After becoming a school belonging to the municipal education system, the
school achieved improvement to its infrastructure. Another significant change was in
the school climate which became more cooperative, and the majority of school staff
demonstrated a strong commitment to the school, pupils and community.

Some teachers who worked in this school had worked with a similar project (Basic
Cycle of Literacy) which had been implemented in that school in 1990 when the school
belonged to the state educational system. As a result, some of these teachers held a
negative view of this policy and were still adapting to working within the Cycles of
Learning Project. One group of teachers composed of teachers who already were
teachers in the municipal educational system (in other schools), worked in a more
collaborative way. According to teachers, as they received insufficient support and
guidance from the deputy heads, they developed some strategies of collaborative
planning in order to improve their pedagogical work. In these peer groups, in addition to
planning together, they exchanged materials (e.g. worksheets) and developed common
projects. They also received encouragement from the headteacher supporting these
strategies for collaborative work.
 51

Delta School

Located in the south of the city, this school was also in the process of restructuring since
2002, when it had become a municipal school. A new headteacher was appointed and
the school building was improved through the financial resources of the Participatory
Budget. According to the teachers, these changes had a positive impact on school
organisation, pupils’ and teachers’ motivation as well as parents’ perceptions of the
school. The majority of pupils came from low social classes. Approximately 20% of the
190 pupils of the school lived in a residential home care supported by the Catholic
Church which was funded to care for boys at risk. Due to this, this school might receive
new pupils at any time of the year and other children were transferred to other schools
when they were reunited with their families. According to teachers, the school needed
more teachers and professionals who could offer more support to children, especially
those who lived in an institution and had personally experienced situations of violence
or abandonment.

The hierarchy between heads and teachers was weak. The headteacher and deputy head
were in constant contact with teachers’ work and pupils’ progress. Intending to gather
information about pupils’ performance, heads prepared a short test and the results were
discussed with teachers. In 2003 this school had the highest retention rates among the
schools researched (7.1%).

Interviews

In this study 20 teachers, four headteachers and four deputy heads were interviewed.
Teachers were selected based on specific criteria:
(a) Opinion about the policy: among the 20 teachers interviewed, five disagreed,
five agreed and 10 agreed up to a point. This selection was possible because in
the first stages of the research I administered a questionnaire in the four schools
investigated. The main objective of the questionnaire was to obtain the teachers’
opinion about the policy (Appendix 8).
 52

(b) Background with schooling in cycles: I selected six teachers who had previously
taught in schooling organised in cycles and 15 who were experiencing it for the
first time in the Cycles of Learning Project.
(c) Length of experience: I selected teachers with varied lengths of experience in
primary education (from one year to 20 years).
(d) Age/group: I selected teachers who were teaching different year/groups,
including teachers from additional classroom support and acceleration classes.

With the exception of Delta School, there was more than one deputy head per school. I
elected to interview those who were more involved with teachers’ support and
pedagogic practice at the classroom level.

All interviewees were consulted and agreed to be interviewed, signing a consent form
(Appendix 11). The interviews were conducted during the teachers’ planning period,
and interviews with headteachers and deputy heads were arranged according to their
convenience. As I spent two school years at schools carrying out observations and
interviews, I arranged the interviews according to interviewees’ availability. Interviews
were held between August 2002 and September 2003, after piloting in July 2002. The
first topic of the interviews refers to confidentiality and anonymity, since the issues
discussed involved power relations and personal opinions about the policy, policy
makers and colleagues (school staff). Each interview lasted approximately 40 minutes.

The interview protocols had similar themes, but specific themes were included in the
interviews with headteachers and deputy heads (Appendixes 9 and 10). Their answers
provided a range of information which constituted the practitioners’ voices. The fact
that I was an independent researcher; that is, not a member of the administration, and
the reassurance of anonymity and confidentiality enabled the interviewees to express
their opinions without restrictions or fears. Since I had made several contacts with them
before the interviews, in the majority of cases they were conducted as a conversation.
Furthermore, the interviews were considered a positive experience for both the
interviewer and those being interviewed. For Kvale (1996),

a well-conducted qualitative interview can be a rare and enriching experience for

the interviewee. It is probably not a very common experience in everyday life
that another person – for an hour or more - is interested only in, sensitive toward,
 53

and seeks to understand as well as possible another’s experiences and views on a

subject. In practice, it is often difficult to terminate a qualitative interview:
Subjects may wish to continue the dialogue and explore further the themes and
the insights of the interview interaction (p. 36)

In fact, interviewees reported that they enjoyed the experience mainly because there was
little opportunity for discussion and sharing of ideas concerning the Cycles of Learning
Project and its implications.

The quality of data gathered varied from one informant to another. More experienced
teachers and heads who were more deeply involved with the implementation process
presented richer answers and reflections on the policy. In contrast, beginning teachers
tended to answer in a simpler way. The answers of teachers with background in a
similar policy did not differ significantly from those who had no previous experience.
The selection of teachers with different opinions (agreed, disagreed and agreed to a
point) contributed a variety of opinions about the policy.

Characterisation of the interviewees

The group of interviewees was composed of 27 women and one man. Among the 20
teachers interviewed, six taught in Alpha School, five in Beta School, five in Gamma
School and four in Delta School. Among them, six had already worked in schools
organised in cycles. Table 3.2 shows information about their ages and length of
experience.

Table 3.2 – Age and length of experience of interviewees

Age Number Length of experience in Number
the primary education
20 – 25 4 Less than 2 years 2
26 – 30 7 2 – 5 years 7
31 – 35 7 6 – 10 years 10
36 – 40 4 11 – 15 years 5
41 – 45 1 16 – 20 years 3
46 and over 5 More than 20 years 1
Total 28 Total 28
 54

All of them had taken a specific course for teacher training in primary education. In
addition, the majority of them (23) had a BA in Pedagogy (11), Portuguese (5),
Mathematics (4), History (2) and Primary Education (1). In addition, 16 of them have
finished a “Specialisation Course in Education”, which is the first level of the Post-
Graduate Course in Brazil. Due to this, many of them carried out research aimed at
producing a final monograph of the Course. This means that teachers and heads
interviewed had a high level of preparation in terms of pre-service courses.

Teachers selected taught different age groups at the time of the interview as can be
observed in Table 3.3.
Table 3.3 – Age/groups in which teachers were teaching (2002/2003)

Age/groups Number
Year 1 (aged six years old) 4
Year 2 (seven years old) 5
Year 3 (eight years old) 5
Year 4 (mostly nine years old) 5
Year 5 (mostly ten years old) 6
Acceleration Classes (mixed ages) 3
Additional classroom support 2
Adult education 1
Assistant teacher 1
Total 32 (*)
(*) Some teachers worked with two different age/groups (double shift)

The variation of age, length of experience, opinion about the policy, background in this
policy and age/groups which they were teaching comprised the relevant features of the
sample and it allowed me to interview professionals with differing views of the policy
and its implementation.
 55

Participant observations
Observations of schools’ day-to-day operations

The observations of schools’ day-to day operations involved observations of parents’

meetings, meetings for discussion as well as other events carried out in the schools
investigated as shown in Table 3.4.

Table 3.4 - Observations of schools’ day-to-day operations

Activity observed Number of Place Length of

sessions of observation
observations
Parents Meetings Alpha, Beta and
4 Gamma School 7 hours
In-service Teacher Training at
schools (Meetings for discussion 6 All schools 18 hours
and planning)
Other events (celebrations and
parties) 4 All schools 3 hours
Informal situations (break time, several
informal meetings and situations All schools Approximately
conversations) 10 hours
Total 14 38 hours

In addition to these sessions of observations, I had several opportunities for observing

and talking more informally with teachers, school staff and pupils. Overall, observations
and informal conversations contributed to understanding the school climate, hierarchical
and power relations, school organisation and how the Cycles of Learning Project was
being implemented at school level. Conversations and observations in the staffroom
provided information in relation to how teachers referred to the policy, school
management, and pupils and their families. In addition, I could observe many situations
in which heads informed teachers about requirements and recommendations emanated
from the Secretariat as well their reactions and comments on them.

I had easy access to the activities observed. In the case of meetings for discussion and
planning, I achieved a more active participation because the heads of Alpha, Beta and
Delta Schools invited me to take part in the planning of the meetings where issues
related to the Cycles of Learning Project were being discussed.
 56

Classroom observations

In general, gaining access for classroom observation is slightly difficult because

teachers do not often feel comfortable being observed. In this study, I observed different
age/groups and my access was facilitated because I gained familiarity with teachers
while distributing and collecting questionnaires, participating in meetings carried out in
the school and during the individual interviews.

I observed 16 different age/groups and 14 teachers17 who had different opinions and
backgrounds regarding the policy. The majority of them (12 teachers) were interviewed
and at the end of the interview I asked for permission to observe their classrooms. After
the interview teachers seemed to be more open and willing to agree to be observed. In
addition, I also observed two classrooms whose teachers were not interviewed (Teacher
Simone, Alpha School and teacher Marli, Gamma School). During informal
conversation at break time or meetings these teachers agreed to have their classes
observed. The anonymity and confidentiality were reaffirmed in relation to the
classroom observations. All school staff knew that I was researching the implementation
of the Cycles of Learning Project which encouraged conversations with them, even
those who were not formally interviewed.

The classroom observation protocol was constructed during the course of the research.
The final protocol focused on classroom arrangement and issues related to teaching and
learning (Appendix 12). More specifically, the following questions guided classroom
observations:
(a) How was the classroom organised?
(b) How were pupils of different abilities grouped? To what extent did they receive
different or similar tasks?
(c) What were the main difficulties that teachers faced?
(d) Which contents and tasks were proposed to pupils? How did pupils learn and
deal with them? How did teachers support pupils who had learning dificulties?

17
Two teachers observed taught two different groups. Teacher Bernadette (Beta School) taught Year 2
and additional classroom support. Teacher Melissa (Delta School) taught Year 4 and acceleration classes.
 57

Overall 48 sessions of observations in 16 different age/groups from the four schools

researched were carried out from August 2002 to December 2003 (Table 3.5). This
variety of age/groups was a relevant aspect in this research since the problems and
challenges differed within these groups. I opted to observe each age/group in three or
four sessions of approximately two hours each in order to witness different activities
and the progress of the class throughout the school year.

Table 3.5 – Classroom observations: number of classes observed, sessions of observations and
length of time of observation

Number of Number of Length of

Classes sessions of time of Schools
observed observations observation
(Hours)
Year 1 (children aged 6
years old) 2 6 12 Alpha and Gamma
Year 2 (children aged 7
years old) 3 9 14 Alpha and Beta
Year 3 (children aged 8 Alpha, Beta,
years old) 4 11 20 Gamma and Delta
Year 4 (mostly 9 years old) 1 4 10 Delta
Year 5 (mostly 10 years
old) 2 4 12 Alpha and Beta
Acceleration Classes
(mixed age) 2 8 15 Alpha and Delta
Additional classroom
support 2 6 17 Beta and Gamma
Total 16 48 100

I sat at the back of the classroom as a participant observer, and started observing the
classroom, gradually getting involved with pupils’ activities. As I was interested in
observing the pedagogic practice and pupils’ learning in the schools organised in cycles
I looked over notebooks, textbooks and worksheets; talked to pupils and teachers; and
helped pupils in specific activities when they asked. This participant role allowed me a
closer contact with pupils and teachers. In relation to pupils’ learning, this sort of
observation provided me the opportunity to look at pupils’ progress and difficulties.
Longitudinal observations of the same year/groups provided relevant information about
how continuous progression was taking place. In addition, these observations provided
support for developing concepts such as stratification between students and processes of
internal exclusion (Chapter 7).
 58

Observations also provided support for analysing teachers’ pedagogic practice, the
internal framing (teachers/pupils relationships), the sort of predominating instruction
(the whole class, groups, and individual teaching, etc) and their effects on pupils’
progress, the subjects emphasised in the teaching process, among other aspects
discussed in Chapter 7. During the course of observations I talked to teachers more
informally about the policy as well as about their difficulties and anxieties.

3.4 – The process of data analysis

The analysis of data was not a distinct stage in this research. Throughout the process of
data collection some issues were identified as relevant and recurrent. In order to confirm
them, the interview and observation protocols were adapted. For example, the concept
of teacher resistance and staff opinions about retention practices became important
topics during the interviews. Furthermore, based on classroom observations, how
teachers deal with heterogeneous groups in their classrooms emerged as a central aspect
in all classes involved.

3.4.1 - First step: reading and development of general themes

According to Hammersley and Atkinson (1995), the first step in the process of analysis
“is, of course, a careful reading (indeed probably several readings) of the corpus of data,
in order to become thoroughly familiar with it. At this stage the aim is to use the data to
think about it.” (p. 210). In fact, the first step of data analysis involved several readings
of the interview and observation transcripts as well as policy documents. Policy
documents were read several times and marginal remarks were useful in summarising
the main aspects.

Concerning interviews, the process of transcribing them provided me a vital opportunity

to become familiar with the contents. In the analysis of the interviews, I chose to read
the transcriptions of the interviews several times. The first time, I made only marginal
remarks (Miles and Huberman, 1994, p. 66) aiming at gathering general themes that
 59

should be taken into account in the work of interpretation to be performed in the

sequence (e.g. top-down orientation, lack of guidance and support, lack of
infrastructure, difficulties in dealing with heterogeneous groups, etc). The second time, I
made reflective remarks (ibid., p. 66). After that, I reviewed the marginal and reflective
remarks and tried to identify general themes which covered the issues arising from
them.

In relation to observational data, the main themes originated from the readings of
fieldnotes plus the organisation of data collected in tables (frequency of activities
observed and relevant issues observed). In this initial analysis I developed nine general
themes, one being from documentary analysis, five from interviews and three from
observations.

3.4.2 - Second step: refining and articulating themes from different kinds of data

In the second step, the challenge was to coordinate the themes which arose during the
first step. After the process of refining the first themes, I developed five themes which
covered all issues considered relevant. In some of them there was a predominance of
one kind of information (e.g. interviews or observations). My intention was to present
these five themes in two different chapters, answering two of the research questions.
During the process of writing up these findings some overlapped and fragilities were
identified. For example, findings gathered from classroom observations appeared in
both chapters. Due to this, a new format was developed configuring the final format of
the data analysis.

3.4.3 - Third step: the final format of the data analysis

The final format of the data analysis was illuminated by the contexts of the policy cycle
approach – one of the theoretical frameworks of the thesis. The core of the thesis is
composed of three parts. The first explores the context of influence and the context of
text production (Chapter 5). Documentary analysis and interviews with policy makers
and school staff constituted the main source of data. The second part is devoted to
 60

exploring the multiplicity of voices and interpretations in the policy implementation

(Chapter 6). Bernstein’s (1990) concepts of sequencing/pacing and criterial rules as well
as visible and invisible pedagogy were useful in this Chapter. The last part of the data
analysis (Chapter 7) discusses the policy inside the classrooms, dealing with issues
related to the context of practice. Although data gathered from interviews were used,
classroom observations constituted the most relevant source of data here. In this way,
taking the theoretical framework as reference for organising and displaying the data
allowed configuration of the thesis in a more logical and organised structure. It is
important to recognise that the initial steps of the data analysis contributed to achieving
the final format.

3.5 – Ethical issues

Ethical issues were crucial considerations during all stages of this research. The first
concern was to receive permission from the Municipal Secretary of Education to begin
the research. The aims of the research were made explicit at that time. Afterwards, I also
requested permission from the headteachers in the four schools researched while
acquainting them with the research aims.

The second critical aspect is that all people interviewed were consulted about their
willingness to be involved. I also requested permission to observe classrooms, meetings
and events at the school and Secretariat of Education level. Anonymity and
confidentiality was guaranteed to everyone interviewed or observed. Pseudonyms were
used to disguise the name of the city, schools and informants in order to guarantee that
anonymity. Tape recorded interviews were done only after the interviewee’s permission
was given and it was agreed that the interview would be recorded.

I did not ask permission from parents or carers to observe and talk to children in the
observed classrooms. The rationale was that this research did not focus on individual
pupils and their words were not textually used in reporting the findings.
 61

Conclusion

This chapter presented the methodology and procedures which I used to conduct the
research. In the following chapters, these methods and procedures are used to present
data, results and analysis. The next chapter provides analysis of the policy discourse
and literature review. Following that is presented the result of the research through
discussion of the configuration of the Cycles of Learning Project which involves the
approach of the context of influence and the context of text production (Chapter 5), an
analysis of the practitioners’ opinions and experiences (Chapter 6) and the policy inside
the classrooms (Chapter 7).
 62

CHAPTER 4

MOVING AWAY FROM A GRADED SYSTEM: THE DEVELOPMENT OF

POLICY DISCOURSE

This chapter addresses the emergence and development of the policy discourse related
to schooling in cycles in Brazil. The analysis of historical aspects of primary education
in Brazil, through secondary sources, provided elements for identifying the generation
of the policy discourse and its development over time. In addition, this chapter includes
an analysis of relevant literature on schooling in cycles.

The first section presents the development of the policy discourse. The second section is
devoted to discussion of the literature review and its contributions toward understanding
the implementation process of schooling organised in cycles.

4.1 – The development of policy discourse

According to Ball (1990b), discourse provides “a particular and pertinent way of

understanding policy formation” (p. 22). In this thesis, drawing on Bernstein’s concept
of recontextualisation, I will analyse the development of policy discourse related to
schooling in cycles in Brazil. Up to now, Brazilian literature on cycles has emphasised
only a chronological analysis of discussions and programmes without analysing how the
policy discourse emerged at a certain point in time and how it has changed over time
(Monteiro, 1996; Barretto and Mitrulis, 1999, 2001; Mainardes, 2001). As will be
shown in this chapter, this policy was generated within the official recontextualising
field (ORF) and was being recontextualised over time in different ways in both fields
(official and pedagogic). Throughout this process, some concepts were discarded or
avoided (e.g. automatic promotion) and others reaffirmed (e.g. continuous progression).
 63

In addition, sometimes there was a clear separation between the discourse of ORF and
pedagogic recontextualising field (PRF) and sometimes there was a convergence of the
discourse of both fields. The level of autonomy of the PRF also varied during the
development of the policy discourse.

In the development of the policy discourse three stages were identified. The first refers
to the antecedents of the emergence of schooling in cycles (1918 to 1984). The second
is the emergence of the cycles in the 1980s, when the Basic Cycle of Literacy was
implemented in some Brazilian States (from 1984) and the third concerns the process of
recontextualisation of the policy discourse in the 1990s. In the following sections I will
analyse these stages.

4.1.1 – Antecedents (1918 – 1984)

Schooling in cycles appeared in the 1980s as an innovative policy aimed at reducing

retention and dropout rates as well as allocating pupils more time for learning.
However, before such emergence, there were copious discussions and several attempts
to construct non-retention policies in Brazil. In this section, I will explore three different
aspects considered as antecedents:

(a) The generation of the discourse: first criticisms against grade retention and
proposals of “promotion in mass” and “automatic promotion” (1918);
(b) Discussions about automatic promotion within ORF and PRF (1950s and
1960s);
(c) Pioneering experiments of continuous progression (1958-1984).
 64

The generation of policy discourse

Up to 1890, Brazilian state schools were non-graded. Schools usually had only one class
composed of pupils of different ages. This class could be divided into groups according
to the level of mastery of the students and teachers used to teach students at different
levels within the classroom. Students were taught in teachers’ homes or in adapted
spaces provided by the community, farmers or church (Souza, 1998; Faria Filho, 2000a,
2000b, 2001; Bencostta, 2001). Besides state schools there were also private schools
which were called “domestic” teaching institutions.

The graded school system, as well as the students’ promotion from one grade to another
based on their achievement, began in 1890 in São Paulo State within a new conception
of school organisation which included the construction of buildings specifically for
primary schools (Souza, 1998). These buildings were called “grupos escolares” or
“schoolhouses”18, which were considered a kind of ‘ideal’ and modern school. In these
schools there was a complete primary education (four years) and an enriched and
encyclopaedic programme. The implementation of such a model had a significant
impact on Brazilian education since it inaugurated the graded school as well as retention
practices in the educational system.

The implementation of the “grupos escolares” was a central issue within the
Republican period that was in its beginning stage.19 Within the discourse of those that
implemented the new political regime, after the Proclamation of Republic in 1889, it
was necessary to build one nation based on values linked to the modern world in that
period. Among several representations and practices, the public primary education
received more attention aimed at stabilising and eternalising the Republic (Souza,
1998). According to Monarcha (1999), the role of public instruction in that context was
“to provide the society with cohesion through education of the people and children of

18
‘Buildings for Primary Schools’ or ‘Schoolhouses’ could be the English translation for “Grupos
escolares”. They were a kind of “ideal school”, including a building constructed specifically to be used as
a school. Many of them so far are still used as schools. Due to their impressive architecture many of them
are considered part of the historical patrimony and cannot be demolished.

19
The Brazil history is usually divided into the following periods: Colony (1500 – 1822), Empire (1822 -
1899) and Republic (from 1889 on).
 65

the new regime” (p. 101-102). Adopting the graded system, Brazil was following the
trends of ‘advanced countries’ and was implementing a model which was being
disseminated around the world.

The new model of school organisation through the implementation of the “grupos
escolares” became shortly after widespread in other Brazilian states20. Politicians and
educational authorities defended the creation of the “grupos escolares” as a strategy to
organise the teaching in a more homogeneous, standardised and uniform basis (Souza,
1998). Furthermore, the “grupos escolares” were considered adequate to organise mass
public education in the context of expansion of access of the population to school.

The implementation of graded schooling and its system of promotion according to

pupils’ achievement soon produced two new problems: grade retention (or grade
repetition) and pupil dropout. Over time, these issues became serious problems within
the Brazilian educational system which, historically, has been accumulating high
retention and dropout rates.

According to Almeida Júnior (1957), the first criticisms of retention appeared from
1918 when Sampaio Dória, an education reformer of São Paulo State, advised “to
promote from the 1st to 2nd grade all students and retain delayed pupils only if vacancies
were not filled by new students” (Sampaio Dória quoted by Almeida Júnior, 1957, p. 9).
In 1921, Oscar Thompson, an educational authority recommended the “promotion in
mass” due to lack of vacancies in schools (ibid., p. 9). Thus, the discourse was
generated within the ORF when educational authorities proposed the ‘promotion in
mass’ due to the high retention rates and lack of vacancies in the schools.

Until the 1940s, publications and educational research were very limited. According to
Kessel (1954) and Almeida Júnior (1957) some studies on retention and dropout rates
were carried out in the 1930s and 1940s. Otherwise, there is no evidence that the issue
of ‘promotion in mass’ had been discussed. Such discussions reappeared and flourished
vigorously in the 1950s and early 1960s.

20
In Paraná State the first “grupo escolar” was inaugurated in 1903 (Bencostta, 2001) and in Minas
Gerais State in 1906 (Faria Filho, 2000a). In São Paulo State as well as in Paraná and Minas Gerais State,
the “grupos escolares” began by being built in the capitals, than during their second stage in other towns.
 66

Discussions about automatic promotion within ORF and PRF (1950s and 1960s)

In the 1950s, an intense debate surrounding ‘automatic promotion’ was carried out in
Brazil. The Brazilian Journal of Pedagogical Studies (Revista Brasileira de Estudos
Pedagógicos or RBEP) was the main vehicle used by the official and pedagogic
recontextualising fields to convey and discuss the proposal of automatic promotion in
primary education21. In this journal, seven articles about automatic promotion were
published in the 1950s.

In the official recontextualising field, Teixeira (1954, 1957)22 and Kubitschek (1956)23
defended automatic promotion. Additionally, Wilson’s (1954a) article, which was a
description of the system of promotion by age used in England, reinforced the
arguments defended by Teixeira and Kubitschek.

For Teixeira (1954), the implementation of automatic promotion was an imperative due
to high retention rates24. He believed that automatic promotion would reduce the
retention and dropout rates and, in addition, would guarantee more vacancies for the
new generations. As an intellectual, writer and an educational authority he was
committed to the defence of ‘school for all’ and he was optimistic about automatic
promotion, which was reaffirmed in another article published later in the same journal
(Teixeira, 1957). He was concerned about the selective process present in the primary
school in Brazil. According to him, beginning in the 1st grade, the school system
worked as one selective process due to the rigid patterns of pupils’ assessment and
requirements, which resulted in high retention and dropout rates.

21
The RBEP has been published by the National Institute of Pedagogic Studies (Ministry of Education)
since 1944. From the 1940s to 1970 it was the main vehicle used by both educational authorities (ORF)
and researchers (PRF) for discussing Brazilian educational issues.
22
Anísio Teixeira (1900 - 1971) was an important intellectual and educational authority. He was the
Director of the National Institute of Pedagogical Studies (INEP) between 1952 and 1960, when the
articles about automatic promotion were published in the RBEP.
23
Kubitschek was the President of Republic (1956-1960).
24
In 1938 58 out of 100 pupils that were enrolled on the 1st grade that year did not reach the 2nd grade in
1939. In addition, only 4% of the pupils managed to complete the four years of Primary Education
without repetition (Kessel, quoted by Teixeira, 1954).
 67

The automatic promotion was also promoted by Juscelino Kubitschek (1957), the
President of the Republic at that time. In his article (originally a speech at a graduation
ceremony of initial teacher training) he highlighted the success of automatic promotion
in other countries and established a link between automatic promotion and progress. In
his view, the adoption of automatic promotion would reduce the selectiveness of the
school and would reduce the wastage of economic resources. Wilson’s (1954a) article
was a translated version of the article published beforehand in ‘The Educational Forum’
(1954b)25. In his article he explains that England was practising promotion by age in the
last twenty or thirty years, which was “decisively crystallised in the great 1944
Education Act which virtually prescribes that every child in England shall pass into a
secondary school at the age of 11” (1954a, p. 57). The contribution of this article toward
the discussion of Brazilian automatic promotion was to show the possibility of
promotion by age as well as how it was being practised in England.

While in the ORF there was a consensus that automatic promotion would be beneficial,
within the PRF there was a more measured analysis. Almeida Júnior (1957) and Leite
(1959a)26 were favourable to automatic promotion. Despite this, they pointed out
potential problems and some proactive actions which would be needed, such as teacher
training and improvement of the school infrastructure. On the other hand, Pereira (1958)
disagreed with automatic promotion.

In his article, Almeida Júnior (1957) reports his participation in debates of the
“Regional Latin American Conference on Non-fee paying and Compulsory Education”,
promoted by UNESCO in Peru in 195627. He also provides strong evidence of the
influence of UNESCO in the discussion of automatic promotion throughout one
proposal for Latin American countries. The studies carried out by technicians of
UNESCO point out the serious problem of failure in Primary School in Latin American

25
According to “The Education Forum” v. 18 (2), Martin Wilson was Chief Education Officer of
Shropshire, England. He was responsible for the schools of his county of about 300,000 population and
300 primary and secondary schools.
26
Leite’s article was published in another Journal, in 1959 (Leite, 1959b). It was republished in 1999 and
2002 (Leite, 1999, 2002).
27
The recommendations of this event were published in Brazil in 1956, in the RBEP v. 26, n. 63, 1956
(Conferência, 1956).
 68

countries, mainly in Brazil. Among Colombia, El Salvador and Mexico, Brazil showed
higher retention rates, that is, 57.4% in the passage from the 1st to 2nd grade of Primary
Education. The same study concluded that 30% retention caused an increase of 43% in
the budget of the education systems. Considering these situations and impacts, the
studies suggested the implementation of automatic promotion following the examples of
countries such as Great Britain, South Africa and Palestine. Almeida Júnior (1957) also
reports that he was responsible for providing recommendations for the Brazilian
students’ promotion system in that Conference (Peru, 1956). Cautiously, he
recommended:

We need to solve the serious problem of retention, which constitutes waste of

financial resources and reduces educational opportunities for a considerable
number of school age children through the following measures: (a) revision of
system of promotion in the Primary School aimed at becoming less selective;
and (b) study with the teachers’ participation of another system of promotion
based on chronological age and other pedagogical aspects, implementing it as an
experiment in the first years of schooling (Almeida Júnior, 1957, p. 3).

Almeida Júnior (1957) considered that neither “promotion by age” as the style adopted
in England nor automatic promotion were satisfactory for the Brazilian case. For him, it
was necessary to prepare teachers ahead, aiming at achieving their support. In addition,
some measures needed to be adopted, such as an increase in the number of years of
primary schooling, changes in the concept of Primary schooling and revision of the
curriculum and criteria of students’ promotion. In other words, he feared a simple
transference of the successful experiences of automatic promotion carried out in other
countries for Brazilian education, which needed general improvement of the
infrastructure of schools, initial and in-service teacher training and revision of the
school roles, among others things. He believed that the students’ success and promotion
should be the result of the “excellence of the school”, and for this the conditions of
school efficiency had to be provided.

Leite (1959a) argues that retention produces many harmful consequences. For him, the
implementation of automatic promotion would represent a radical transformation of the
school. The groups would be more heterogeneous and teachers would need to learn to
manage groups of students with different levels of mastery of knowledge. In addition to
 69

proposing the organisation of schooling by age and promotion by age, he considered the
curriculum should be based on pupils’ abilities, needs and interests.

Pereira (1958) considered that the success of automatic promotion in the United States
and in England was possible due to infrastructure already available in the schools, built
prior to it being put into practice. He claimed that retention was the result of a range of
problems such as lack of teacher training, difficulties in teaching groups with a different
learning pace and abilities. He also considered that the simple transference of this idea
within the Brazilian context could solve the problem of high retention rates, but would
not affect directly and profoundly the factors which were responsible for originating
retention rates. Pereira’s criticism clashed with the official discourse of automatic
promotion which defended the implementation of automatic promotion as a better way
to overcome grade retention and the waste of financial resources.

The 1950s were the landmark of intensive discussion about automatic promotion. This
proposal was particularly interesting to members of the ORF since it would represent
economy of financial resources and the efficiency of an educational system considered
by them highly selective and ineffective. The discussions developed within the PRF
contributed to the anticipation of some potential problems and requirements for the
implementation of such policies.

By proposing automatic promotion, representatives of both fields (ORF and PRF) were
borrowing ideas from ‘developed’ countries (e.g. England), taking into account
recommendations of Unesco for Latin American countries and, at the same time,
adjusting this idea to the Brazilian context.

From the 1960s, the discussion about automatic promotion as a proposal for educational
systems became less frequent. Searching the literature in the 1960s, only three
publications related to automatic promotion were found (Moreira, 1960; Morais, 1962
and Lima, 1965) and both of them represented the PRF. Lima (1965) radically defended
the elimination of exams and the graded system. Morais (1962) was favourable to
automatic promotion, but he stressed that it should be planned carefully and gradually
implemented. In addition, he stressed the relevance of support groups (or remedial
classes) for students with learning difficulties. Finally, Moreira (1960) instead of
 70

defending automatic promotion suggested the development of innovations such as

revision of the curriculum for primary school, preparation of pedagogical materials, an
extensive teacher training programme and innovation of the pedagogic techniques tried
out in experimental situations. In other words, Moreira (1960) believed that the problem
of retention could be solved with other strategies of educational improvement.

The 1950s and early 1960s were a period of widespread democracy in Brazil and the
debate over automatic promotion was intense in both official and pedagogic fields. In
contrast, during the 1970s and early 1980s, there was no debate regarding automatic
promotion or continuous progression. This silent period coincides with the authoritarian
regime (1964-1985)28 which enacted a new National Law of Education in 1971 (Law
No. 5692/71) and a number of other legislative acts29. What could be deduced is that the
strong and prescriptive official discourse of the authoritarian regime limited and
weakened the educational debate and as a result, the autonomy of the PRF. In that
period, for example, politicians and intellectuals considered by the authoritarian regime
as leftist or progressive, like Paulo Freire and Anísio Teixeira (key person in the
discussion about automatic promotion in the 1950s), among many others were exiled.
However, it is important to mention that the Law of Education enacted during the
military period (Law No. 5692/71) allowed the implementation of ‘advanced
progression’, which was implemented only in Santa Catarina State (1970-1984)30.

28
During the military period in Brazil, from 1964 to 1985, Presidents of the Republic were major generals
of the National Army. The overthrow and redemocratisation started in the late 1970s and the beginning of
the 1980’s. The last military government (1979-1985) was military but not a dictatorship.
29
The official discourse during the military period was imposed mainly through the Ministry of
Education and Federal Council of Education (Ghiraldelli Júnior, 1990; Germano, 2000).
30
The implementation of the Advanced Progression System in all schools belonging to the state
educational system of Santa Catarina State from 1970 was possible because the 1961 Law of Education
(Law No 4,024/61) allowed the development of ‘experimental projects’, which included the possibility of
creating non-retention programmes. The advanced progression system was officially included in the 1971
Law of Education.
 71

Pioneering experiments of continuous progression (1958-1984)

Although the discussions in the 1950s had been about automatic promotion, this concept
was not used in these pioneering experiments. In such experiments, the ORF adopted
the concept of continuous progression. In some experiments the term ‘automatic
promotion’ was deliberately avoided since there were preconceptions against automatic
promotion practices (Antunha, 1962).

These preconceptions are linked to the debate around the advantages and disadvantages
of automatic promotion. Within this debate, some scholars cited some possible
limitations and risks in automatic promotion in which it might be implemented without
the necessary infrastructure required or simply transferred from other countries without
considering the context and conditions of the Brazilian educational system (Almeida
Júnior, 1957; Pereira, 1958; Moreira, 1960). Furthermore, Brazilian literature provides
evidence that, from the emergence of the term automatic promotion in the 1950s,
teachers tended to reject this proposal and attribute it a negative meaning (e.g. Moreira,
1960; Ambrosetti, 1989; Paro, 2001). On the one hand, teachers in general tend to
consider retention the cornerstone of the educational system as well as an instrument of
their power within the system (Paro, 2001). On the other hand, teachers and the public
in general consider that automatic promotion strongly contributes to the lowering of the
quality of teaching since students can be promoted regardless of their level of mastery
of knowledge. Thus, over time automatic promotion assumed a pejorative meaning and,
due to this, was avoided by the ORF when identifying its proposals. Curiously, those
who have criticised non-retention programmes have stressed automatic promotion (in a
negative sense) as one of the main features of these policies, since other aspects such as
teacher training and the infrastructure required for implementing these policies have not
been adequately provided (Pereira et al, 1984; Auras, 1988; Koch, 1995; Demo, 1998).

From 1958 to 1984 six experiments of continuous progression were carried out in
Brazil, as shown in the table below:
 72

Table 4.1 – Pioneering experiments of continuous progression in Brazil (1958-1984)

Period Programme Place

1958 – ? Primary Education Reform Rio Grande do Sul State
1959 – 1962 Promotion by effective achievement Experimental School – São Paulo
City
1968 - ? Organisation in levels Pernambuco State
1969 – 1971 Organisation in levels São Paulo State
1970-1984 Advanced Progression System Santa Catarina State
1979-1984 Integrated Scheme Programme (“Bloco Rio de Janeiro State
Único”)

The first experiment of non-retention policies appeared in 1958 in Rio Grande do Sul
State within the context of primary education reform in that state. The first year classes
were organised according to pupils’ age and abilities (measured according to tests which
were used in that period). From the second year on, classes were organised based on
pupils/age. Students in age/grade mismatch were placed in special groups named group
of recuperation. In this programme there was no retention (Revista do Ensino, 1960).
The literature available on this programme does not offer elements for analysing the
length and results of it (Grunwaldt and Silva, 1985; Triviños et al, 1994; Barretto and
Mitrulis, 1999, 2001). There is evidence that until 1960 this policy was still being
carried out (Revista do Ensino, 1960).

The second programme was a small-scale experiment implemented from 1959 at the
“Grupo Escolar Experimental” (Experimental School), which was maintained by the
Secretariat of Education of São Paulo State. According to Antunha (1962), the interest
of the Secretariat of Education in applying this policy emerged after the Conference of
Education, carried out in 1956, in which Almeida Júnior discussed the application of
automatic promotion. Antunha (ibid) explains that rather than “automatic promotion”,
the term used was “promotion by effective achievement”, aimed at avoiding the idea
that pupils were simply automatically promoted. Within this experiment students were
promoted by age and the classes were organised according to students’ achievement.
During the school year, students could be transferred to a higher level class according to
 73

their progress. Antunha (1962) considered this policy would increase vacancies in
schools, but would not decrease the financial investments in education because this
policy required enhancement of the infrastructure at schools. There is no information on
how long this experiment was adopted, just some evidence that until 1962 it was still
being utilised (Antunha, 1962).

In 1968, the ‘Organisation in levels’ was adopted in Pernambuco State (Britto, 1993;
Barretto and Mitrulis, 2001). In this programme retention was eliminated in the first
four years of primary education. The first four years of primary education were divided
into six levels. In these four years, pupils had to achieve, at least, the first four levels.
This programme was, in fact, an experience of extending the time for learning through
the restructuring of the curriculum and elimination of retention.

From 1969 to 1971, the ‘Organisation in levels’ was implemented in all schools
belonging to the state educational system of São Paulo State as part of primary
education reform. In this programme, retention was eliminated in the 1st and 3rd years of
primary education (Arelaro, 1988a; Monteiro, 1996). According to Ambrosetti (1989),
many teachers disagreed with this policy and considered it a strategy of automatic
promotion. According to her, one of the consequences of this policy was the increase in
the number of students in those years in which retention was permitted (2nd and 4th).

The longest experiment of continuous progression was the “Advanced Progression

System” conducted in Santa Catarina State from 1970 to 1984. It was carried out in all
schools of the state educational system of Santa Catarina State in the 1st and 5th grades
of Primary Education and gradually applied to other grades. In 1973 this system was
utilised in the eight grades of Primary Education. Students were retained only at the end
of 4th and 8th grades and were put in classes of recuperation. They could stay in classes
of recuperation just one year.

According to Auras (1988) this programme was imposed without adequate

infrastructure resulting in “deterioration of the quality of state schools and implemented
without teachers’ participation. Students were promoted automatically and thus
practically illiterate students advanced through the Primary Education” (p. 165).
According to Pereira et al (1984) this programme did not solve the problem of retention
 74

and dropout rates and lowered the quality of teaching. The higher retention rates which
were concentrated in the 1st grade moved to the 4th and 8th grades. Koch (1995)
considers that the System of Progressive Advances aimed at reducing retention rates as
well as financial resources. Confirming other studies (Sena and Medeiros, 1984), Koch
(1995) reported poor results for this programme.

From 1979 to 1984 an experiment of continuous progression called “Bloco Único”

(Integrated Scheme Programme) was implemented in Rio de Janeiro State. In this
programme the retention was eliminated in the 1st grade aiming at assuring the
continued enrolment of the pupils and to allow them more time to complete the literacy
process.

With the exception of the experiments carried out in Santa Catarina State, the
pioneering programmes were of short duration. Based on studies on these experiments
the following common points were identified: (a) top-down implementation, (b)
insufficient strategies for teacher training, (c) lack of adequate infrastructure in the
schools, (d) high retention rates in those grades in which retention was possible and (e)
teachers’ difficulties in managing heterogeneous groups. These experiments were
relevant in providing information for both ORF and PRF about how to implement
policies of continuous progression which constituted the main innovations in Brazilian
education in the 1980s.

4.1.2 - The emergence of schooling in cycles in the 1980s: the Basic Cycle of
Literacy

As indicated in Chapter 1, the term cycle first appeared in 1984 when the Basic Cycle of
Literacy was implemented in all schools belonging to the state educational system of
São Paulo State. According to some authors, this policy was linked to a similar
experiment (Organisation in levels) carried out in the same state from 1969 to 1971
(Arelaro, 1988a; Ambrosetti, 1989; Monteiro, 1996). Following the same structure
created in São Paulo State, this policy was also implemented in other states like Minas
Gerais (1985), Pará (1987), Paraná (1988), Goiás (1988) and Rio de Janeiro (1993).
 75

The Basic Cycle of Literacy combined the first two years of primary education,
eliminating retention at the end of the first year. These retention rates were higher in the
first year of primary education. For example, the total of retention (1st grade) in São
Paulo State in the early 1980s was 45% (Silva and Davis, 1993, 1996). In Paraná State,
the average of retention and dropout rates in the 1st grade (1981 to 1987) was 46.4%
(Mainardes, 1995a). The main purpose of the Basic Cycle of Literacy in these states was
to reduce retention and dropout rates in the first years of primary education through the
implementation of continuous progression in the first two years. Other complementary
measures were created such as additional classroom support for pupils with learning
difficulties, restructuring and updating the curriculum, teacher training and
improvement of teachers’ working conditions.

The Basic Cycle of Literacy emerged as innovative policy in the context of the
redemocratisation of the country at the end of military dictatorship. In the 1982
elections, opposition parties achieved power in ten of 26 states across the country,
including the most populated and economically developed states such as São Paulo, Rio
de Janeiro, Paraná and Minas Gerais. This fact allowed more progressive groups to gain
influence in the policy making process. Within the context of democratisation, some
governments assumed a commitment to educational change which included (a) teachers’
participation in policy making processes; (b) policies aimed at reducing retention and
dropout rates, (c) investments in teacher training and (d) improvement in the quality of
the literacy process.

In the Basic Cycle of Literacy the discourse of continuous progression remained and
new elements were added. First, the relevance of allocating pupils more time for
learning was reinforced. Second, this policy emphasised a child-centred approach in
terms of style of teaching (constructivist approaches of the literacy process), pupils’
assessment and school report (based on pupils’ competence rather than performance).
Taken together with these measures, the Basic Cycle of Literacy represented a transition
from a visible pedagogy (and its strong sequencing/pacing and criterial rules) towards
an invisible pedagogy. It is also important to note that the justifications for
implementing this policy changed from economic reasons towards social inclusion by
improving the quality of education.
 76

As will be discussed later, the implementation of the Basic Cycle of Literacy was
extensively investigated (the focus of 42 studies out of 142 included in the literature
review). Generally speaking, this policy led governments to improve their commitment
and investments in primary education. In terms of outcomes, the Basic Cycle of
Learning was able to reduce retention rates, mainly in the first year of schooling.
Despite this, empirical research indicated that some pupils were officially promoted but
actually were attending beginner classes and some were placed in special groups or
maintained in the same grade (Davis and Esposito, 1992; Silva, 1990, Cruz, 1994). In
some states, due to political changes (by elections) of the group in power, the Basic
Cycle of Literacy became “Continued Progression Regime”, which is a conservative
version of the cycles in the 1990s (e.g. São Paulo and Minas Gerais). In Paraná, the
Basic Cycle of Literacy has so far been retained, but only in those few schools which
have not transferred to municipal administrations.

The policy discourse in the 1980s, like in the pioneering experiments of continuous
progression, evolved primarily within the ORF. Mainly in São Paulo and Minas Gerais
State, researchers and lecturers at Universities (PRF) were invited to cooperate and they
strongly influenced the configuration of the Basic Cycle of Literacy.

By being the first large scale experiment of schooling in cycles in Brazil31 and very well
documented through research, the Basic Cycle of Literacy became a reference for the
expansion of the cycles to all the years of primary education in the 1990s as well as for
the incorporation of this modality of schooling in the New Law (1996).

4.1.3 - The recontextualisation of policy discourse in the 1990s

In the 1990s, the policy discourse was recontextualised by the ORF in different ways.
On the one hand, the policy was incorporated by some governments (and political
parties) constituting a progressive policy. On the other hand, schooling in cycles was
incorporated in a conservative way, generating the Continued Progression Regime. The

31
The Basic Cycle of Literacy was implemented in all schools belonging to state educational system of
São Paulo, Minas Gerais State, Paraná, Goiás, Pará and Rio de Janeiro.
 77

emergence of this conservative version is linked to the New Law of Education which
allowed the educational systems to organise schooling in grades, in cycles or in a
combination of both (Continued Progression Regime), among other forms of
organisation.

Progressive version

As mentioned earlier, the progressive version of the policy discourse was reaffirmed in
1992, when the “Cycles of Learning Project” involving the eight years of primary
education was first implemented in São Paulo City by a Workers’ Party administration.
This first experiment can be considered the ‘seed’ of the broader and more radical view
of schooling in cycles.

The Cycles of Learning Project in São Paulo City was influenced by the education
reform initiated in France in 1989 (Alavarse, 2002). This reform was reviving the
pioneering proposal of schooling in cycles made by Henri Wallon32 within the reform
called the Langevin-Wallon Plan (1944) aimed at democratic reconstruction of France
after World War II (Perraudeau, 1999; Lima, 2000). According to this plan, schooling
should be organised into three cycles: (a) an elementary cycle, for all children from 6 to
11 years old, (b) an orientation cycle from 11 to 15 years old, and (c) a determination
cycle up to the age of 18 years old. These divisions are not arbitrarily assigned as they
are based on the stages of child development defined by Wallon and Piaget (Perraudeau,
1999)33. Wallon believed that education should be organised in cycles aimed at
adjusting it to the characteristics of human development, respecting each period of
formation and levels of students’ attainment. For students in age/grade or age/year
mismatch, Wallon proposed the creation of acceleration classes or classes of
progression which needed to possess adequate methodology. Simultaneously, with

32
Henri Wallon (1879-1962) worked to establish links between psychology and Marxism. Rather than
viewing the individual as an isolated phenomenon that comes into being through self-propagating
processes, Wallon understood the human child's development as determined by both physical and social
environment.
33
According to Lima (2000), Wallon justified education in cycles by considering the fact that education
must be adjusted to the individuals rather than to private and transitory interests of national and
international economy and politics, internalised ideologies and preconceptions or nationalities or cultures.
When this proposal appeared it did not argue in favour of increased learning, but to the need of changing
the interpretation of the learning process.
 78

education in cycles, Wallon proposed an innovative curriculum that, in fact, constituted

a wider educational project committed to the global and integral process of pupils’
development.

Thus, originally, the word ‘cycle’ was used by Wallon to refer to the periods of human
development. However, in the late 1980s, when this proposal reappeared in French
educational reform, this psychological perspective was reinterpreted. What has been
emphasised within the ‘Cycles of Learning’ in different places (Brazil, France, Spain,
Québec and Geneva, among others) is the idea that learning takes the form of a spiral;
that the learner follows at his/her own rhythm, which is a very different concept from
that of a linear path followed without differentiation (Perraudeau, 1999; Perrenoud,
2004a). Schooling in cycles, in this sense, appears as in opposition to the conventional
graded system, which is based in “fragmentation and separation into parts” (Perraudeau,
1999). The word ‘cycle’ (in French) and ‘ciclo’ (in Spanish and Portuguese) has been
used to convey a period through which students can learn continuously during at least
two, three or more years.

In Brazil, from 1992 on, other similar experiments began in other cities also
administrated by Workers’ Party administrations, such as Belo Horizonte (1995), Porto
Alegre (1996), Distrito Federal (1997), Belém (1997), Blumenau (1997), Chapecó
(1998), Caxias (1998), Vitória da Conquista (1998); Ipatinga (2001), and Criciúma
(2003), among others.

As time went on, schooling organised in cycles became a kind of ‘registered trademark’
of the Workers’ Party administrations and this policy has been understood as a suitable
alternative to confronting school failure, a better way of restructuring the educational
system and school organisation and an opportunity to construct a progressive and
inclusive education. The experiments carried out in Belo Horizonte and Porto Alegre
have been used as a source for municipalities interested in implementing programmes of
schooling in cycles.

At the same time, other political parties also implemented schooling in cycles. This is
the case in Ceará State (from 1998) and the State of Mato Grosso (from 2000)
administered by the PSDB, Niterói City (from 1999) administered by the PDT and
 79

Curitiba City (from 1999) administered by the PFL34, which have a social democrat and
liberal agenda, respectively, and do not advocate radical systemic transformation, as
does the Workers’ Party.

This progressive version emerged from specific ideological and political conditions.
The proposal of schooling in cycles (1992) matched with the Workers’ Party intention
of implementing progressive policies, improving the quality of teaching and reducing
retention and dropout rates. Programmes in progress during that time at the national
level (Basic Cycle of Learning) and at an international level (implementation of
schooling in cycles in France) were used as a reference for shaping the first programme
of the Cycles of Learning in Brazil (Alavarse, 2002).

Currently, the model of schooling in cycles in Geneva and Québec (Cycles of Learning)
through the publication of Philippe Perrenoud’s work (Perrenoud, 1999, 2000, 2001,
2002a, 2002b, 2004a, 2004b) and publications about the Citizen School Project in Porto
Alegre (Silva, 1999; Azevedo, 2000; Krug, 2001) have influenced both
recontextualising fields (ORF and PRF). According to Bernstein (1990), both fields are
affected by the field of production (economy) and symbolic control. For him,
“publishing houses create what can be called as an industry of texts which have a direct
effect upon position within the recontextualising field” (p. 216).

In this progressive version, the students’ continuous progression remained a central

principle and two other principles are included within the policy discourse: the
guarantee of a better quality of school for all students and democratisation of
knowledge. Policy makers and advocates of schooling in cycles defended that this
policy not only allows students to advance continuously, but also improves the quality
of education as a whole by (a) restructuring the curriculum, assessment and teacher
training and (b) investing more financial resources in school construction, hiring
teachers and improving the school infrastructure.

The official and the pedagogic fields have also considered that schooling in cycles
favours the democratisation of knowledge by (a) eliminating retention, (b) creating

34
Brazilian Social Democratic Party (PSDB), Democratic Labour Party (PDT) and Liberal Party
Coalision (PFL) would be an English translation.
 80

support groups for students who need more time for learning, (c) incorporating into the
curriculum issues such as race and ethnicity, and (d) equipping teachers to deal with
innovative strategies for teaching; such as interdisciplinary approaches, projects,
themes, and diversity of experiences, which in Bernsteinian terms mean the
development of a competence model and weaker classification of knowledge.

Although the same discourse can be found within different programmes (continuous
progression, quality of teaching and democratisation of knowledge), they have been
implemented in different ways. Some programmes can be considered more radical (e.g.
Citizen School Project in Porto Alegre City and Plural School Project in Belo Horizonte
City) and others less radical (e.g. the Cycles of Learning Project in Pinewood City).

In more radical programmes, retention is eliminated in all age/groups, and strategies for
supporting students with difficulties of some sort are created. In addition, other
measures are implemented; such as (a) more profound curriculum restructuring, (b)
more solid strategies of teacher training, (c) selection of specific methodological
technique for teaching such as projects, themes and interdisciplinary approaches, and
(d) democratisation of knowledge by implementing school councils and elections of
headteachers and qualifying teachers’ participation in policy making. One example of
the more radical programmes of schooling in cycles in Brazil is the Citizen School
Project which has been called ‘radical’ by its own members (ORF) and confirmed by
studies of the PRF (Gandin, 2002). According to Gandin (2002), the Citizen School
Project was constructed explicitly as “an alternative to the marketization ideology
around education”. The notion of citizenship is used as a “way of opposing the process
that views knowledge as a commodity. The Citizen School wants to create citizens and
not mere consumers”. (p.26). In general, more radical programmes use the ‘cycles of
formation’, which divides schooling according to supposed cycles of human
development: childhood (from 6 to 9 years old), pre-adolescence (from 9 to 12 years
old) and adolescence (from 12 to 14 years old).

In less radical programmes, students can be retained at the end of the cycles of three or
four years. In general, these programmes are ‘cycles of learning’. In these programmes:
(a) curriculum restructuring is more superficial, (b) there is less opportunities for
teachers’ participation in the policy making and policy implementation, (c) in-service
 81

teacher training is more prescriptive and (d) methodological techniques for changing the
nature of teaching (projects and themes, etc.) are not implemented.

Thus, in more radical programmes, the invisible pedagogy and the competence model is
more evident. Furthermore, these programmes are more expensive and demand a greater
number of professionals at central (Secretariats of Education) and school level.

Finally, it is important to realise that this progressive version of policy discourse has
been widely accepted by the PRF and implemented by municipal and state
administrations of different political parties as an innovative policy. Since the 1990s
there has not been a clear separation between the ORF and PRF. There are a number of
publications and studies written by representatives of the PRF who were also policy
makers, advisors or consultants (Krug, 1996, 2001; Arroyo, 1999; Giusta et al, 1999;
Franco and Fernandes, 2001; Moll, 2004b). In addition, some publications about
programmes in progress tended to legitimise the official discourse (Fortes, 1997;
Tavares et al, 1997; Alexandrino, 2000; Corrêa, 2000; Dalben, 2000b; Cunha, 2003;
Ávila, 2004).

Conservative version

The conservative version of the policy discourse refers to the emergence of the
Continued Progression Regime in the New Law of Education (1996). After
approximately eight years of discussions and political struggles, the New National Law
of Education was approved in 1996. In that context, the Basic Cycle of Literacy and
other programmes of schooling in cycles were in progress in different states and
municipalities. The possibility of organising schooling in cycles was indicated in Article
No. 23 of this Law among other possibilities of organisation:

Art. 23. The Basic Education can be organised in annual grades, semester
periods, cycles, alternation of regular periods of study, non-graded
groups based on age, performance and other criteria; or, by alternative
kinds of organisation whenever the learning process interests require (my
emphasis). (Brasil, 1996)
 82

In addition to incorporating schooling in cycles as a new organising principle, the New

Law of Education included the Continued Progression Regime:

Art. 32 – The Primary Education, with a minimum of eight years,

compulsory and free in state schools, has as its objective the basic
formation of the citizen, by means of:
I - development of learning ability considering basic means full mastery
of reading, writing and mathematics;
II - an understanding of natural and social environment, the political
system, technology, arts and the values on which society is based;
III – development of learning abilities aimed at the acquisition of
knowledge and skills and the development of attitudes and values;
[…]
§ 1st – Primary Education can be offered in cycles.
§ 2nd – The schools which use conventional promotion by grade can
adopt in the Primary Education the continued progression regime,
without harm to the learning-teaching process assessment, observing the
rules of the respective educational system. (ibid., my emphases)

Following the New Law, State Councils of Education of different Brazilian States
regulated this regime. From 1998, this policy began to be implemented in some state
and municipal educational systems such as São Paulo and Minas Gerais State. In this
policy the conventional grades remain and retention is eliminated in some of them.
Usually these programmes have divided the eight years of primary education into two
cycles of four years each and retention is possible at the end of 4th and 8th grades.

Research on Continued Progression Regime has considered this policy as conservative

and neo-liberal (Bahia, 2002; Freitas, 2002a, 2002b, Freitas, 2003). While the
progressive discourse addresses more fundamental issues of curriculum and pedagogy
and proposes a set of changes in the school context, the Continued Progression Regime
has been criticised as intending only to reduce retention rates and to accelerate the
passage of students throughout the primary school (Fontana, 2000; Viégas, 2002). This
intention seems to be linked to the World Bank’s conceptions of basic education,
particularly concerning the implementation of policies aimed at solving the age/grade
mismatch and improving the efficacy of the educational systems. Research has also
shown the low level of mastery of knowledge among students as well as higher
 83

retention rates in those grades in which retention is possible (Fontana, 2000; Frehse,
2001; Bahia, 2002).

The National Curriculum was published and distributed in 1997 and 1998 by the
Ministry of Education. The National Curriculum Parameters for primary education is
divided into two different levels; that is, first four years (10 volumes) and last four
years. This document (volume 1 - Introduction) proposed the organisation of the eight
years of primary education in four cycles of two years each. This document, in fact, did
not cease with the concept of grades. As this curriculum is not compulsory and each
state and municipal educational system can organise the school system, in practice, few
systems have been using the division suggested by the Ministry of Education. What is
important to note is that the official discourse at federal level defended a conservative
version of schooling in cycles. In relation to this conservative version, there is a clear
separation between ORF and PRF. At federal level, during the regime of President
Fernando Henrique Cardoso (1995-2002), the official discourse proposed a conservative
version of schooling in cycles (four cycles of two years each). In addition, some states
adopted the Continued Progression Regime (e.g. São Paulo State and Minas Gerais
State). On the other hand, the PRF has demonstrated the weaknesses and poor results of
the implementation of this policy.

Despite the differences between schooling in cycles and Continued Progression Regime,
the large majority of the Brazilian studies have not made a distinction between these
policies. In this thesis I will argue that although both are constituted by the same
discursive formation, they are different policies. Following such distinction, the studies
included in the literature review refer only to studies on schooling organised in cycles.

4.2 – Literature review: what research says about schooling in cycles in Brazil

The purpose of this section is to present the relevant literature about schooling in cycles.
Before exploring the contributions of studies on the implementation process, I will
present a brief overview concerning the literature in this field.
 84

From 1987 to 2004, 142 texts were produced (35 PhD Theses or Dissertations, 9 books,
41 chapters in books and 57 articles). In order to keep the focus of this literature review,
texts included must refer to schooling in cycles (progressive version of the policy
discourse). This criterion was useful in making a clear distinction between schooling in
cycles and the Continued Progression Regime (the conservative version of the policy
discourse). Several Brazilian studies have not made this distinction, thereby causing
confusion within the literature.

The majority of these studies were written in Portuguese (135) and seven were written
or published in English (Gandin, 2002; Gandin and Apple, 2002a, 2002b, 2002c, 2003a,
2003b, 2004). The higher number of programmes focused on these studies were (a)
Basic Cycle of Literacy: 42 studies, (b) Citizen School Project: 29 studies and (c) Plural
School Project: 19 studies.

Another significant feature of this literature is that the majority of these texts are
comments, critiques or exploration of theoretical issues (89) and 53 are empirical
studies. These texts can be divided into five categories according to focus: (a)
theoretical aspects of the policy – 63 texts, (b) generation and production of such
policies – 35 texts, (c) implementation process – 22 texts, (d) outcomes and impact on
student’s achievement - 20 texts, and review of the literature – two texts. It is important
to consider that some texts address more than one of these categories.

4.2.1 – Theoretical aspects

The first category (63 texts) covers historical, psychological, pedagogical, and
sociological aspects related to schooling in cycles. Studies on historical aspects offer
elements for understanding the emergence and development of programmes of
schooling in cycles in Brazil (Arelaro, 1988a; Monteiro, 1996; Barretto and Mitrulis,
1999, 2001; Mainardes, 1998, 2001; Castro, 2000). These studies tend not to explore the
development of policy disco urse and few of them address the global/international and
national contexts which have influenced the emergence of these policies by emphasising
a chronological analysis of discussions and programmes implemented over time.
 85

Studies on psychological aspects discuss issues related to the expansion of the time
allocated to pupils’ learning and the relevance of organising schooling according to
stages of human development (Arroyo, 1999; Lima, 2000, Fortuna, 2004) or according
to the psychological development process advocated by Vygotsky’s sociocultural theory
(Teixeira, 2004). Some texts in this group (Arroyo, 1999 and Lima, 2000) have
contributed to underpinning programmes of ‘cycles of formation’ in which a
psychological base of schooling in cycles is more explicit.

Studies on pedagogical aspects constitute the highest number of texts concerned with
theoretical aspects (39 out of 63). These texts address issues related to assessment in
schooling in cycles (Guilherme, 1998; Sousa, 1998, 2000, 2001; Costa, 2000; Sousa e
Alavarse, 2003; Silva, 2001; Perrenoud, 2002b; Knoblach, 2003, among others); how to
deal with additional classroom support (Cortivoni, 1999; Dorneles, 2004); teachers’
competence in dealing with schooling in cycles (Thurler, 2001); acceleration classes
within programmes of schooling in cycles (Xavier, 2004; Souza, 1999); implications for
school organisation, curriculum and pedagogy (Duran, 1990; Tiepolo, 1991; Silva et al,
1996b, Vasconcellos, 1999; Amaral, 2000; Azevedo, 2000; Martins, 2000; Krug, 2001;
Ávila, 2004; Molina Neto and Molina, 2004; Moreira, 2004) and the education of
pupils’ special needs within schooling in cycles (Baptista, 2004). Perrenoud’s texts
included in this group (Perrenoud, 1999, 2000, 2001, 2002a, 2002b, 2004a, 2004b) have
supported the main assumptions of the ‘cycles of learning’.

Several texts classified as psychological and pedagogical aspects can be considered the
backbone of the official discourse related to schooling in cycles (Arroyo, 1999;
Azevedo, 2000; Lima, 2000; Krug, 2000; Perrenoud, 2004a). In different ways, these
texts are disseminating the assumptions of invisible pedagogy, relaxation of
sequencing/pacing and criterial rules as well as a competence pedagogic model
(Bernstein, 1996). Such aspects are more evident within the former (psychological
aspects) and less evident in the later (pedagogical aspects).

Philosophical aspects include discussions about schooling in cycles as an alternative to

democratising access to knowledge (Azevedo, 1997, 1998; Marques, 1999; Charlot,
2004) and a policy of inclusion (Zaidan, 1999). Sociological aspects, in turn, are
composed of: studies of parents’ opinion about specific programmes of schooling in
 86

cycles (Freitas, 2000; Henriques, 2000; Abreu, 2002); discursive analysis of a specific
programme (Souza, 2000; Carneiro, 2002; Pooli and Costa, 2004); power relations and
teachers’ opinion about non-retention policies (Corrêa, 2000).

4.2.2 – Generation and production of policy

This category includes studies of the policy making process of schooling in cycles,
addressing: implementation processes in different places (e.g. Barretto, 1987; Lodi,
1989; Nébias, 1990; Bonel, 1992; Negri, 1994; Sampaio, 1994; Bahia, 1995; Krug,
1996; Tavares et al, 1997; Moreira, 1999; Pinto, 1999; João, 2000; Alavarse, 2002;
Jacomini, 2002; Palma et al, 2003; Titton, 2004); the policy making process in a
participatory and democratic way (Rocha; 1996; Azevedo, 1999; Borges, 2000; Gandin
and Apple, 2002a, 2002b, 2002c, 2003a, 2003b, 2004); the debate about grades and
cycles (Arelaro, 1988b; Pereira, 1988; Grossi, 2000; Franco and Fernandes, 2001); the
relevance of implementing schooling in cycles (Lüdke, 2000; Cunha, 2003) and
assessment and exclusion practices within programmes of schooling in cycles (Freitas,
2003).

4.2.3 - Outcomes and impact on students’ achievement

This category is consists of: (a) analyses of the evaluation results of pupils’
achievement, (b) analyses of the impact of programmes on retention rates, (c)
comparisons of the achievement of pupils in graded systems with those in schools
organised in cycles and (d) outcomes of non-retention policies viewed from a critical
perspective.

Eight texts analyse the result of pupils’ achievement in schools of Minas Gerais State
(Basic Cycle of Literacy) in Portuguese and Mathematics (Antunes et al, 1992; Antunes
and Souza, 1992; Goulart, 1992; Mendes, 1992; Vianna, 1992a, 1992b; Vianna et al,
1992; Simões, 1996). These evaluations were carried out by a private research
foundation (Fundação Carlos Chagas) and funded by the State Secretariat of Education
of Minas Gerais State for the purpose of monitoring the pupils’ performance in such a
 87

project. From the results some recommendations were given to the Secretariat of
Education, Regional Departments of Education and schools (Mendes, 1992). Alencar
(1989) analyses the results of evaluation of the Basic Cycle of Literacy in Minas Gerais
carried out by the State Secretariat of Education, and Amaral (2002) discusses the
impact of the evaluation of the Plural School Project on pedagogic practice. There are
also studies on outcomes of the Basic Cycle of Literacy in São Paulo State (Esposito,
1996; Lockeed, 1996; Silva et al, 1996a), Rio de Janeiro State (Oliveira, 1998) and
comparisons between the impact of the Basic Cycle of Literacy in Minas Gerais and São
Paulo State (Silva and Davis, 1993)35. This latter study shows that the implementation
of the Basic Cycle of Literacy lowered the retention rates in the 1st year of primary
school, but increased them at the end of the 2nd grade. Prior to the policy, the real
retention rates in the first year of primary education were about 45% and 50%
respectively in São Paulo and Minas Gerais, dropping to about 20% after the
implementation of the policy. In the second year of primary education, retention rates
which had been close to 30% rose to between 40% and 45% after the Basic Cycle of
Literacy started. Despite this, the authors recommended the expansion of the policy to
the eight years of primary school, the organisation of schooling exclusively by
age/groups, teachers’ preparation to deal with heterogeneous groups, the establishment
of continuous follow-up of the implementation process of educational innovation and
the creation of evaluation and control systems that guarantee minimum performance
levels.

Based on results of the National Basic Education Assessment System (Sistema Nacional
de Avaliação da Educação Básica or SAEB)36, Ferrão et al., (2002) and Franco (2004)
compared the performance of pupils enrolled in graded schools with pupils in schools
organised in cycles. They concluded that with the exception of the South region, schools
organised in cycles obtained worse results when compared to schools organised in
grades37. According to Ferrão et al (2002), the average proficiency of students who
attended schools organised in grades was 30 points above the average proficiency of
students who attended schools with automatic promotion. However, through in-depth

35
This study was also published in English (Silva and Davis, 1996).
36
The Ministry of Education administers this evaluation every two years.
37
Brazil is divided into five regions: North (seven states), Northeast (nine states), Southeast (four states),
South (three states) and Centrewest (three states and the Federal District).
 88

investigating of the impact of non-retention policies in the states of Minas Gerais and
São Paulo where this system is more strongly disseminated, they concluded that there is
no substantial loss of quality in education due to the implementation of non-retention
policies. These studies, however, need to be understood only as evidence of the impact
due to limitations of the SAEB which presents results according to Brazilian states that
are divided into schools in grades and schools in cycles. In the category of ‘school
organised in cycles’, the SAEB includes the Continued Progression Regime. As
mentioned earlier, the Continued Progression Regime (conservative version of policy
discourse) is different from schooling organised in cycles.

Carvalho (2001) and Freitas (2002a, 2002b) analyse the outcomes of non-retention
policies from a critical perspective. Carvalho (2001) claims that it is not enough to look
only at statistical data in relation to promotion and retention in programmes of
schooling organised in cycles or in programmes which are designed to solve age/grade
mismatch (acceleration of learning). In her view, it is essential to look at the way these
rates have been attained from another angle; that is, at how they are actually achieved in
the everyday life of the school. On the basis of classroom observations and interviews
with the staff of a state primary school in São Paulo State, she concludes by stressing
the need to reinforce the school achievement of children and young people but, at the
same time, criticises the use of statistical data to make up for school failure. Freitas
(2002a, 2002b) argues that the Continued Progression Regime is a neo-liberal policy
which aims at reducing the economic, social and political costs of the objective forms of
exclusion (retention and dropout) without modifying the essence of school selectivity.
He considers that such a policy creates a field of subjective exclusion (self-exclusion
and exclusion within cycles) in which every person excluded is responsible for his/her
own exclusion. In addition, he argues that programmes of schooling in cycles in Brazil
are linked to progressive and transformative policies which aim at overcoming the
processes of school selectivity.

4.2.4 – Reviews on schooling in cycles

Sousa et al (2003) and Gomes (2004) reviewed research on schooling in cycles in

Brazil. Neither reviews were exhaustive. Sousa et al (2003) reviewed 96 texts (73
 89

publications and 23 unpublished PhD theses or MPhil dissertations) which focused on

schooling in cycles and the Continued Progression Regime. They classified these
studies into five categories: (a) historical debate about schooling in cycles and
continuous progression, (b) policy making and implementation of programmes, (c) legal
aspects related to schooling in cycles and continuous progression, (d) reports of
initiatives and experiences of schooling in cycles and continuous progression, and (e)
analysis of the impact and outcomes. They concluded that the majority of studies deal
with the implementation of these non-retention policies in primary education as a whole
(70 texts) and 26 deal with the implementation in the first four years of primary
education. In addition, they suggested that it is necessary to expand the empirical
research on implementation as well as on impact and outcomes.

Gomes (2004) reviewed articles and unpublished research (PhD Thesis, Dissertations,
reports of evaluation of pupils’ performance, and conference papers) in order to analyse
the main results of implemented programmes. In addition, based on a selection of 23
studies, he summarised the favourable and unfavourable aspects. Among favourable
aspects the literature reviewed suggested: (a) an increase of investments in primary
education, (b) teacher training strategies, and (c) additional classroom support for
pupils, among others. Among unfavourable aspects the following aspects were
extracted: (a) top-down implementation without teachers’ participation, (b)
discontinuities in the policy implementation, (c) lack of support and follow-up for
teachers; (d) high retention rates at the end of the cycle; and (e) low level of pupils’
mastery in some programmes, among others.

4.2.5 - Contributions to understand the implementation process

Studies of implementation are particularly relevant in the context of this thesis. Within
the literature, 22 studies of implementation were identified. The large majority (19)
addressed the process of implementation of specific programmes, namely Basic Cycle
of Literacy in the States of São Paulo, Minas Gerais and Paraná (12 studies), Citizen
School Project (two studies), Plural School Project (two studies), Cabana School Project
in Belém City (one study), Cycles of Learning in Vitória da Conquista (one study), and
Schooling in cycles in Niterói (one study). Three other studies addressed specific issues
 90

related to the implementation process, such as difficulties faced by teachers (Mazzilli,

2000) and the implementation at classroom level (Oliveira, 2002; Linch, 2002).

The majority of these studies are PhD theses or MPhil dissertations. All of them are
qualitative studies, generally carried out in one school or in a small number of schools,
involving interviews, observations or case studies. Only three studies involved
classroom observations (Cruz, 1994; Linch, 2002; Oliveira, 2002). Some of them can be
considered a trajectory study since they analyse the process of gestation of the policy,
text production and implementation of the policy into practice. In general, analysis of
the gestation of programmes investigated privileged documentary analysis, without
including interviews with policy makers. Furthermore, some studies involved an
analysis of the impact of the policy on retention rates and pupils’ performance (Silva,
1990; Andrade, 1992; Mainardes, 1995a, 1995b).

The following conclusions can be drawn from these studies:

(a) The nature of the implementation of schooling in cycles is complex, mainly by

involving changes in promotion practices, assessment, pedagogy and school
organisation. Due to these features, this policy challenges teachers’ beliefs and
practices, essentially in relation to their viewpoint about promotion and
continuous progression of all students (Ambrosetti, 1989, 1990; Duran, 1995;
Oliveira, 2000; Dalben, 2000a; Mazzilli, 2000; Rodriguez, 2002). The teachers’
initial reactions to the programmes of schooling in cycles were reported as
negative in different studies. However, they gradually accepted the policy or
created strategies aimed at adjusting the policy to their beliefs and working
conditions (Ambrosetti, 1989; Barbosa, 1991; Cruz, 1994; Duran, 1995).
(b) The implementation of these policies demands intensive teacher training and
continuous follow-up. Several studies pointed out that teacher training was one
of the main weaknesses in the implementation process (Silva, 1990; Barbosa,
1991; Marques, 1991; Andrade, 1992). Many studies also indicated that these
policies have been implemented without discussions and teachers’ participation.
(c) The majority of the programmes were implemented top-down. Within the
literature this mode of implementation has been criticised and more participatory
models have been indicated as an alternative (João, 1990; Mainardes, 1995a,
 91

1995b; Leite, 1999). The implementation of the Citizen School Project is an

example of policy in which issues such as democracy and teachers’ participation
were addressed (Gandin, 2002).
(d) Many studies of implementation also addressed aspects related to outcomes of
the policy. Many studies on the Basic Cycle of Literacy demonstrated that while
retention was eliminated in one or more years, it was also only postponed. As a
result, an increase of retention rates was observed in those years in which
retention was possible (Silva, 1990, 1991; Marques, 1991; Andrade, 1992).
Beyond statistical analysis, empirical research showed that pupils considered
‘underachieving’ were placed in special groups or were kept in the same grade
instead of being promoted (Silva, 1990; Cruz, 1994). In programmes
implemented in the 1990s, the continuous progression remained problematic at
classroom level. Linch (2002), for instance, analysing the implementation of the
Citizen School Project identified situations in which students were promoted but
remained excluded inside the classroom because they did not receive the
necessary support for progressing in their learning.

This large body of literature offers elements for understanding the trajectory of
schooling in cycles in Brazil, the implementation of this policy in different contexts, and
the main debates over schooling in cycles. However, despite this variety of information
and approaches, it is still necessary to investigate in depth the nature of the policy, the
development of the policy discourse and what happens on the ground (at school and
classroom levels) when this policy is implemented. These three aspects, though, need to
be addressed within stronger theoretical perspectives. In some ways, the research design
as well as the theoretical frameworks applied in this thesis is an attempt to understand
the implementation of the Cycles of Learning Project from a critical perspective. This
attempt involves the inclusion of the aspects which have been normally excluded within
the literature such as classroom observations, analysis of the development of the policy
discourse, trajectory analysis including interviews with policy makers, and more
focused literature review.
 92

Conclusion

This chapter addressed the development of the policy discourse from its generation until
the configuration of its progressive and conservative versions. In the development of the
policy discourse, concepts such as ‘promotion in mass’ and ‘automatic promotion’,
which emerged aimed at reducing the wastage of financial resources and expand the
vacancies in schools, were replaced by a more sophisticated and persuasive discourse;
that is, continuous progression (from pioneering experiments in the late 1950s on).

In the 1980s, in addition to retaining continuous progression, the Basic of Literacy

reinforced the relevance of allocating more time to pupils’ learning, more explicitly
proposed a child-centred approach and changed the justifications from economic
reasons towards social inclusion by improving the quality of education for pupils of
lower socioeconomic classes. The progressive version in the 1990s extended the
schooling in cycles to the eight years of primary education as a way of guaranteeing a
better quality of school and democratisation of knowledge.

The policy discourse was generated and developed inside the ORF. In some periods, for
example in the 1950s and from the late 1990s, there was no clear separation between the
ORF and PRF. What is important to note is that the progressive version of the policy
discourse has been widely accepted by the pedagogic and official discourses (mainly in
places currently administered by the Workers’ Party) as a plausible alternative to the
graded system and a policy of inclusion.

Gradually, the concept of schooling in cycles and pupil’s continuous progression

became the subject of powerful rhetoric. Drawing on Edwards et al (2004), rhetoric in
this context is not understood as a lie, embellishment or half-truth, but as an attempt to
persuade the public that schooling in cycles is an inclusive and innovative policy. Thus,
in addition to being considered central aspects of recent educational reforms, schooling
in cycles has been optimistically considered by researchers as a possibility for “re-
inventing the school” (Moll, 2004a; Freitas, 1999; Soares, 2002), as an “attempt to
eliminate the mechanisms in schools that perpetuate exclusion, failure and dropouts, as
well as blaming of the victim that accompanies these” (Gandin, 2002, p. 137), “a path to
fight school failure” (Perrenoud, 2004a), “a transformative proposal” (Krug, 2001) and
 93

“a horizon which gives freedom for the schools of the third millennium” (Vasconcellos,
1999).

Beyond this rhetoric, though, it is essential to recognise that the reality is more complex
and messy. As will be discussed in the next chapters, continuous progression is not
easily achieved in the context of practice (Chapter 7) and the transformative potential of
the policy is obscured when top-down implemented and without involving teachers in
the process of policy making and policy implementation (Chapters 5 and 6).

Among 142 texts included in the literature review, only two openly disagree with
schooling in cycles (Demo, 1998 and Grossi, 2000). Although many studies on
schooling in cycles have highlighted the weaknesses and shortcomings of the policy
implementation, few studies have analysed this policy from a critical perspective
(Moreira, 1999; Carvalho, 2001; Carneiro, 2002; Freitas, 2002a, 2002b, 2003; Linch,
2002; M. Becker, 2004; Pooli and Costa, 2004). These studies unravel some of the
problems and contradictions of the policy such as the process of exclusion and the gap
between official statistical data and the reality of the context of practice. As Bernstein
(1990) argues, progressive and knowledge-oriented pedagogic practices can also
reproduce class inequalities which prevail in conservative and market-based pedagogic
practices.

In the next chapter, I will examine the process of configuration of the Cycles of
Learning Project in Pinewood City addressing the context of influence and the context
of text production.
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CHAPTER 5

THE CONTEXT OF INFLUENCE AND THE CONTEXT OF TEXT

PRODUCTION: THE PROCESS OF CONFIGURATION OF THE CYCLES OF
LEARNING PROJECT IN PINEWOOD CITY

This chapter focuses on the first two contexts of the policy cycle formulated by Stephen
Ball and colleagues; that is, the context of influence and the context of text production.
The context of influence provides the arena within which educational policy is initiated
and policy discourses are constructed, the context where “interested parties struggle to
influence the definition and social purposes of education.” (Bowe et al, 1992, p. 19).
The context of text production is where policy texts are constructed. In the context of
text production, texts are “the outcome of struggle and compromise” (ibid. p. 21).

This chapter has two sections. In the first section, I will discuss the context of influence
(global/international, national and local levels). The second, the context of text
production, addresses issues related to the production of the policy text, discussing
present and absent voices, key concepts, style of text, inconsistencies and contradictions
in the policy text.

5.1 – The context of influence: factors which influenced the emergence of the
Cycles of Learning Project

In this section I will discuss the global/international, national and local influences
related to the emergence of the Cycles of Learning Project in Pinewood City. Although
this policy has emerged due to shifts in the local political context after the municipal
 95

elections results (2000), international and national influences, as discussed in Chapter 4,

evolved before the construction of the policy at the local level.

5.1.1 - Global and international level

As mentioned in Chapter 2, it is necessary to extend the context of influence from

within an individual nation-state to the global and international context as suggested by
Lingard (1996), Vidovich (2002) as well as by Ball (1997, 1998a, 1998b, 2001). This is
particularly important and applicable to the policy investigated since international
influences were present in different stages of the development of the policy discourse.
For example, in the 1950s there was the influence of UNESCO, which recommended
automatic promotion, and the ORF disseminated models of schooling based on
continuous progression used in ‘developed’ countries. In the 1990s, the revival of
schooling in cycles in France (followed by Spain, Portugal, Belgium, Quebec and
Geneva, among other places) encouraged and inspired the implementation of schooling
in cycles in all years of primary education in the municipal educational system of São
Paulo (1992). More recently, the publications of Swiss academic Phillipe Perrenoud’s
texts from the late 1990s have been underpinning programmes of schooling in cycles in
its progressive version.

The discussion of globalisation and educational policy has been developing steadily in
the last few years due to “the apparent increased harmonization of national policies
around the world” (Edwards et al, 2004, p. 154). According to Edwards et al (2004), the
rhetoric of globalisation is significant in both providing a rationale for educational
reform or renewal, and also in promoting the spread of similar policies around the
globe.

Among studies on globalisation and educational policies there seems to be a consensus

that globalisation promotes the migration of policies, but such policies are
recontextualised within specific national contexts. Globalisation itself is subject to an
“interpretative process” (Edwards et al, 2004, p. 155) since globalisation “invades local
contexts it does not destroy them; on the contrary, new forms of local cultural identity
 96

and self-expression are causally bound up with globalising process” (Giddens, quoted
by Ball, 2001, p. 30).

Authors such as Robertson (1995), Arnove and Torres (1999) and Ball (2001), among
others have argued that global and local are mutually constituted. According to Ball
(2001), national policy-making is inevitably a process of bricolage:

a matter of borrowing and copying bits and pieces of ideas from elsewhere,
drawing upon and amending locally tried-and-tested approaches, cannibalising
theories, research, trends and fashions and not infrequently flailing around for
anything at all that looks as though it might work. Most policies are ramshackle,
compromise, hit and miss affairs, that are reworked, tinkered with, nuanced and
inflected through complex process of influence, text production, dissemination
and ultimately recreation in contexts of practice. (p. 30).

The dissemination of international influences can be understood in at least two ways

(Ball, 1998a). The first and most straightforward is a flow of ideas through social and
political networks, involving (a) “the international circulation of ideas” (Popkewitz,
1996), (b) the process of policy borrowing (Halpin and Troyna, 1995), and (c) groups
and individuals who ‘sell’ their solutions in the academic and political market place,
which takes place through academic channels (journals, books, etc) and via the
performances of charismatic and travelling academics. The second refers to the
‘solutions’ offered and recommended by multilateral agencies such as the World Bank.
The World Bank is particularly important because the “bank’s preconditions for
education can only be understood as an ideological stance, in promoting an integrated
world system along market lines” (Jones, quoted by Ball, 1998a, p. 124). Besides the
World Bank, the OECD (Organisation of Economic Co-operation and Development),
UNESCO and the International Monetary Fund could be considered agencies that have
influenced the global policy-making process (Edwards et al., 2004).

At least two global trends are more prevalent in relation to schooling in cycles in Brazil,
and both are related to the flow of ideas through social and political networks. The first
is the trend of breaking with retention practices by implementing alternative models of
schooling. Schooling organised in cycles is one model which has been implemented in
France (1989) as a revival of previous reforms designed in the Langevin-Wallon Plan
 97

(1944). Similar policies have been implemented in Spain and Portugal dating from the
1990s and more recently, in Belgium, Québec, and Geneva, among other places. As
mentioned earlier, the publication of Perrenoud’s texts have reaffirmed the influence of
the models implemented in those countries as well as popularised the principles of the
cycles of learning in Brazil.

The second trend, and associated with the first, refers to the rhetoric of inclusive society
that advocates the implementation of policies which tackle social exclusion and promote
equal opportunities. Grade retention and the graded system are considered highly
selective, and research has shown that retention is not beneficial, especially in the first
years of schooling. In addition, several studies show that retention contributes to pupils’
dropout (Best, 1999; Pagani et al, 2001).

These trends have influenced the configuration of the programmes of schooling in

cycles in Brazil, which has been incorporated by political parties (mainly the Workers’
Party) and governments and recontextualised in different ways. Therefore, schooling in
cycles in Brazil has not been simply borrowed, but adapted to the Brazilian context. As
Ball (1998a) suggests, policy ideas are interpreted differently within different political
architectures, national infrastructures and national ideologies.

In industrialised countries, for example, the rationale highlights schooling in cycles as a

way to respect the students’ individual learning rates (France, 1991; Bruxelles, 1997;
Québec, 2002) or a renovation of teaching in primary education after detecting that
annual grades contribute to the production of school failure (Bulletin du Gapp/Geneva,
2003). In addition, within the vast French literature on schooling in cycles, two aspects
regarding the policy are strongly emphasised: differentiation of the teaching, which
means efforts to match pupils’ needs with tasks proposed in the teaching process, and
(b) responsibility for student’s learning within the cycle needed to be assumed by a team
of teachers and professionals.38

38
The French have published extensive literature on schooling in cycles (e.g. Perraudeau, 1999;
Perrenoud, 2002c; Lessard et al, 2004). Due to the long tradition of a graded system and grade repetition
in francophone countries (N’tchougan-Sonou, 2001; Eisemon, 1997), programmes of schooling in cycles
have been developed in order to overcome grade retention and failure in the school systems.
 98

In turn, the policy rhetoric related to schooling in cycles in Brazil includes concepts
such as democratisation of access to school, democratisation of knowledge and
improvement in the quality of teaching. In more radical programmes, the rhetoric
includes more explicit ideological aspects. The School Citizen Project, for example,
considered as a whole in Gandin’s (2002) analysis represents a real alternative to
market-based proposals and a resistance to the global hegemonic, neo-liberal project for
education. As mentioned earlier, the concept of recontextualisation of discourse is
helpful in understanding this variety of interpretations, since discursive shifts in the
policy make way for new ideologies and rationale. Over time, schooling in cycles
became more sophisticated and complex, creating a need to implement new
requirements, thereby continuing to increase its complexity. However, like any policy,
such programmes are subject to discontinuities motivated by changes in power due to
elections, or even changing key interpreters of the policy during one mandate. Polices,
as Ball (1994a) puts it, “shift and change their meaning in the arenas of politics;
representations change, key interpreters (secretaries of state, ministers, chairs of
councils) change (sometimes the change in key actors is a deliberate tactic for changing
the meaning of policy” (p. 17). Within these discontinuities, progressive policies such as
programmes of schooling in cycles and policies aimed at enhancing teachers’
participation in policy making and policy implementation can be replaced by other
policies, mainly when conservative parties come to power following progressive
administrations.

Up to now, the focus has been on the influences related to schooling in cycles
(progressive version of the policy). It is also important to mention that the conservative
version of the policy (Continued Progression Regime) has been considered a neo-liberal
policy which aims at reducing retention rates instead of improving the quality of
teaching (Freitas, 2002a, 2002b, 2003; Bahia, 2002). Although not explicit, this policy
is presumably linked to recommendations of the international agencies like International
Monetary Fund and World Bank for developing countries39.

39
For more on issues related to neo-liberal adjustments in Latin America education, see Ball, Fischman
and Gvirtz (2003).
 99

5.1.2 - The national level

In Brazil, as already shown, there were several attempts at constructing alternatives to

the graded system by implementing small-scale programmes of continuous progression
from the 1950s, large-scale programmes in the 1980s (Basic Cycle of Literacy)
involving only the first two years of primary education, and finally extending the policy
to eight years of schooling from the 1990s. In the last years schooling organised in
cycles has been widely accepted by the non-official pedagogic discourse and
administrations of the different political parties as a suitable alternative to the graded
system as well as an inclusive and innovative policy.

As mentioned in Chapters 1 and 4, schooling in cycles is a relevant policy within the

Workers’ Party project of education. The first experiment of the Cycles of Learning
Project was implemented in São Paulo City, in 1992 and since 1995, other programmes
have been implemented in different places. Gradually this policy became more
sophisticated and more theoretically underpinned. In general, besides schooling
organised in cycles, other emancipatory policies such as democratic management (direct
election of headteachers by school staff and parental vote, school councils, participatory
budget, teachers’ participation in policy making and the decision making process),
improvement of school infrastructure and teachers’ working conditions have been
implemented. These policies are supported by principles such as social inclusion,
democratisation, equality and ‘complete’ citizenship.

Then, in 2001 when the Workers’ Party municipal administration took office in
Pinewood City, the national context pointed out the experiments of schooling in cycles
(mainly in Porto Alegre and Belo Horizonte City) as the most innovative and
progressive educational policies of the last few years, encouraging the local
administration to construct a similar policy.
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5.1.3 - The local level

Four factors related to the local context contributed to the emergence of the Cycles of
Learning in the municipal educational system of Pinewood City. The first and pivotal
factor was the result of municipal elections (in 2000) when a leftist party coalition led
by the local Workers’ Party won, after a long period of elite governance and, in
particular, after four years of populist municipal administration (1996-2000). From the
1980s, the elected mayor had been involved with neighbourhood associations and the
organisation of poor communities such as inhabitants who lived in shantytowns. While
he was a municipal council member (vereador) and state council member (deputado) he
strongly defended popular interests and proposed laws aimed at improving life
conditions, mainly for those who lived in poorest conditions.

During the electoral campaign, following the agenda of the party, this coalition made a
commitment to implement a more participatory and accountable governance and a
popular administration whose priorities would be connected with inhabitants’ needs. In
Brazil, particularly at local levels, the Workers’ Party has explicitly addressed the
problem of social exclusion and ‘incomplete citizenship’ (Koonings, 2004) and has
considered the field of education a priority, investing in early childhood education,
primary school and the education of young adults and adults who did not have the
chance to go through formal education. In this case, the first stream that contributed to
the emergence of policy was the political context, election results, and shifting nature of
the ideological priorities and changes in the administration style. Also, changes in local
politics radically changed the municipal government’s policies on education as well as
in other areas.

The second factor is related to the first. The Municipal Secretary of Education chosen
by the new government is an expert in education (PhD in Education) and has
experienced schooling organised in cycles in state schools as well as a private school.
She was considered a well-qualified professional, able to promote and generate
proposals to address the main problems of the municipal educational system due to her
background and leadership abilities. As will be discussed later, she exerted a strong
influence on the policy making process. Some of the professionals interviewed, such as
 101

advisors of the Secretary and school staff, pointed out that in the past, policy makers
had a restricted conception of the educational process and pedagogical practice,
executing their mandate in a technical and bureaucratic way. Some of them also
considered that the municipal education system had never developed a consistent
educational policy and that changes in curriculum and teaching style were superficial.
Despite the recognition of the qualities of the Secretary, one of her advisors and the
majority of the teachers and heads interviewed stressed that she had a centralised and
non-democratic management style, which strongly influenced the implementation
process.

The third factor relates to the situation of grade retention and age/grade mismatch
encountered by the municipal administration. Until 2000, the municipal educational
system of Pinewood City accumulated high retention and dropout rates. The total
retention rate in 2000 was 12.1%. The highest retention rate was in the 1st grade at
21.8%. Regarding age/grade mismatch, in 2000, 17.3% of the 19,416 students enrolled
in the municipal schools were in age/grade mismatch. According to the Municipal
Secretary of Education, these rates constituted “a picture of exclusion and shortcomings
in the educational system” (interview, August 2003). Wanting to change this and
construct a new educational project, the implementation of the Cycles of Learning
Project was considered an appropriate alternative.

The impact was immediately observed in 2001, when promotion rates were 97.7%,
retention 1.8% and dropout 0.5%. Analysing the figures (Appendix 2) it is possible to
conclude that the Cycles of Learning Project was able to reduce retention rates
significantly since pupils could be retained only at the end of each cycle; that is, in Year
3 and Year 5, if they did not achieve the main targets or if they did not attend 75% of
the days of the school year. In terms of access and continued enrolment in schools, these
results show the policy made a positive effect. However, as will be discussed in Chapter
7, continuous progression within each cycle was not guaranteed for all students. This
limitation, though, need to be understood as the result of the intersections of different
contextual factors such as teacher training and support provided for teachers, among
others. Policies, as Ball (1994a) says are always incomplete, crude and simple and
“cannot change all the circumstances.” (p. 19)
 102

The fourth factor identified was the previous intention of the Municipal Secretariat of
Education to implement a policy of schooling in cycles which would involve only the
first two years of primary education. However, political and ideological influences, after
the victory of the Workers’ Party in the 2000 municipal election, created the conditions
for the implementation of a broader and more radical version of schooling in cycles.

At the local level, the most powerful interests represented in the context of influence
were the Workers’ Party ideology, its politicians and policy makers in power. Teachers,
headteachers, deputy heads and the Teachers’ Union were excluded from the context of
influence. In reality, the idea of schooling in cycles as a suitable alternative to a graded
school has been proposed and defended by policy makers and scholars (ORF and PRF).
Teachers and heads, in general, are less enthusiastic about changes to the conventional
graded system.

Research on schooling in cycles has shown that these policies have not been easily
implemented. The initial stages of implementation, in particular, have generated
teachers’ protests, resistance and rejection (Ambrosetti, 1989; Barbosa, 1991; Silva and
Davis, 1993; Cruz, 1994; Mainardes, 1995a; Corrêa, 2000; Fernandes, 2003). The fact
that teachers (and school staff as a whole) have been systematically excluded from the
context of influence and have had, in the majority of cases, little participation in the
context of text production seems to be the most relevant factor in understanding why
they have been less than enthusiastic about or have rejected, at least in the beginning,
the implementation of such policies. On the other hand, in policies implemented in a
more democratic way, which have deliberately included teachers in the process of
policy making and policy implementation, teachers have become more involved and
committed to the success of the implementation and its outcomes. The democratic
process of construction of the Citizen School Project in Porto Alegre City can be
considered the best example of this (Krug, 1996; Azevedo, 1999; Freitas, 1999; Gandin,
2002).

Before leaving the ‘context of influence’, it is pertinent to stress that in relation to

schooling organised in cycles, global influences have been operating due to the
circulation of ideas. These ideas have been selected, filtered and recontextualised to suit
the Brazilian context. At the national level, programmes implemented in the 1980s
 103

(Basic Cycle of Literacy) and those implemented by the Workers’ Party in the 1990s
strongly contributed to the configuration of Brazilian versions of the schooling in cycles
(cycles of learning and cycles of formation) whose discourses are in general
progressive.

Thus, the Cycles of Learning Project in Pinewood City is not a passive response to the
globalisation or international influences, but a policy which emerged at local level
within specific ideological and political conditions. Although the policy text constructed
at local level incorporated national trends in relation to how to organise schooling in
cycles (trends which, in turn, are composed of global influence), this text is the product
of another process of recontextualisation. In the next section, I will analyse the process
of construction of the policy text of the Cycles of Learning Project.

5.2 – The context of text production

This section explores the process of construction of the policy text, the groups
represented and excluded in this process plus the key concepts and discourses of the
policy text. The arena of policy making, like all arenas, involves contests, conflict and a
playing out of agendas, interests and motivations. As Ball (1994a) explains, in the arena
of influence and text production only “certain influences and agendas are recognized as
legitimate, only certain voices are heard at any point in time” (p. 16). Furthermore, he
states that “[P]olicies embody claims to speak with authority, they legitimate and
initiate practices in the world, and they privilege certain visions and interests. They are
power/knowledge configurations par excellence.” (1990b, p. 22). A policy analysis
based on such a viewpoint must search and incorporate not only the heard voices and
what was included but also what was left out as well as unheard, silent or silenced
voices.

The construction of the policy text began in January 2001, in the first month of the
administration. The first step involved decision-making and configuration of the
backbone of the policy. The second step involved the initial implementation in which
several adjustments were made to the policy text.
 104

The decision to implement the Cycles of Learning Project involved the Municipal
Secretary of Education and the main advisors of the Secretariat of Education. According
to the Secretary of Education, they started with a detailed analysis of the statistical data
related to grade retention and age/grade mismatch in the municipal schools. After that,
they discussed the strategies which could be implemented to change that situation
described by her as “a picture of exclusion” which demanded “strong and urgent
intervention”. They concluded that the implementation of schooling in cycles would be
a suitable alternative in that context. In addition, this policy would allow the realisation
of Workers’ Party’s intentions of improving the quality of teaching and constructing an
inclusive educational project.

According to the Municipal Secretary of Education:

“Considering the condition of the educational system we encountered and

knowing the experiments of schooling in cycles of the Porto Alegre and Belo
Horizonte City, we started to design a proposal to organise schooling by age
through implementation of schooling in cycles. The implementation of the
cycles was already the intention of the prior administration, but the intention was
to implement a simpler project which would involve only the first two years of
primary education. I believed from the beginning that we were able to set up a
more radical change in the school structure. From the beginning I had a clear
view about the measures I had to take and how the initial process should be
conducted”. (Interview, August 2003)

Other interest groups such as teachers, headteachers, deputy heads, parents and the
Teachers’ Union, were not involved in the first stage of policy making. Despite this,
struggles and conflicts occurred among the staff involved in the definition of the
backbone of the policy. The Municipal Secretary said:

“When we started to design the policy some people [from staff of the
Secretariat] disagreed with some decisions and started to point out impediments
related to legal issues and even personal disagreement with the policy. Inside the
Secretariat this process was difficult because some people were not convinced
that the project was consistent enough for implementation in all schools in the
first year of government. After many discussions we had the complete design of
the policy which would be presented to headteachers and deputy heads”.
(Interview, August 2003)
 105

At the end of this first step, the central aspects of the policy were defined: (a) the sort of
cycle to be implemented would be the Cycles of Learning in which retention was
possible at the end of each cycle; (b) one year would be added to the primary education
and those five years would be divided into two cycles. The first cycle would included
classes of ages 6, 7 and 8 and the second cycle, first and second years when most
children would be 9 and 10 years old40; (c) the policy would be implemented
simultaneously in all municipal schools; (d) all students would be placed in classes
according to their age and students in age/group mismatch would be placed in
acceleration classes; (e) the pupils’ assessment would become formative and school
reports would be in narrative form; (f) teachers must follow the same group of students
throughout the three or two years of the cycle; (g) curriculum restructuring would be
carried on throughout the process, and finally (h) the policy would be presented to all
headteachers and deputy heads who would then implement the policy at school level
and inform their teachers about the policy. These features constituted an initial version
of the policy text.

Applying Barthes’s notion of ‘readerly’ and ‘writerly’ texts, this first policy text can be
considered a ‘readerly text’ since it offered “the minimum of opportunity for creative
interpretation by the reader” (Bowe et al, 1992, p. 11). However, in the next stages this
text became more ‘writerly’ in proportion as spaces for headteachers’ and deputy heads’
participation were created by the Municipal Secretariat of Education and some
suggestions made by them were accepted in order to adjust the policy to the context of
practice.

The stated purpose of the policy was to implement schooling organised in cycles aiming
at (a) assuring the pupils’ continued enrolment in the school, avoiding their exclusion
(which occurred by retention of a great number of students and pupil dropouts); (b)
guaranteeing the pupils’ learning and their continuous progression without retrogressing
(c) removing the problem of age/year group mismatch; and (d) creating conditions so

40
In this policy, children start primary education at 6 years old rather at 7 as is usual in Brazilian state
schools. Due to the inclusion of one extra year, they have nine years in primary education. Municipal
schools in Pinewood City are responsible only for the first years of primary education. The last four years
are offered in schools belonging to the state educational system.
 106

that the pupil is the subject of his/her own learning, by respecting his/her world view,
his/her social and individual background and developing his/her moral and intellectual
autonomy.

Considering the purpose cited above, the key concepts of the policy (continuous
progression, quality of teaching and social inclusion) plus discourses and values
reflected in the first version of the policy text, the Cycles of Learning Project reaffirmed
the principles which have been underpinned this policy; that is, a child-centred approach
in terms of assessment, style of teaching and system of pupils’ promotion.

Up to this point, my focus has been on the process of decision-making and

configuration of the central aspects of the policy which involved only the Municipal
Secretariat of Education staff. Now, I want to describe and analyse the second step of
the text production.

The second step of text production was constructed during the first year of
implementation. In February 2001 the preliminary policy text was presented to
headteachers and deputy heads. They were responsible for ‘informing’ teachers about
the policy as well as supporting them in the process of putting the policy into practice.
Teachers, though, did not have access to these presentations or even to preliminary
policy text and they had no opportunities for discussion or to obtain a broader
understanding of the policy. Due to this, the teachers interviewed tended to emphasise
that, from the beginning, they were at a disadvantage and were a disempowered group
in relation to the power and status of the policy makers as well as in relation to the
‘micro-power’ of the headteachers and deputy heads.

In general terms, the impact of top-down orientation and lack of opportunities for
teachers’ participation was negative at this initial stage. Practitioners, teachers in
particular, reported that although they were dealing directly with the policy in their
everyday practice, they felt dissociated of the policy. As will be shown in Chapter 6,
many respondents referred to top-down orientation and lack of opportunities for
discussions as the most relevant weaknesses throughout the policy implementation of
this policy.
 107

However, the construction of the Cycles of Learning Project and its policy text was not
a linear process. Throughout the implementation, policy makers opened up some
opportunities for practitioners’ participation. Headteachers and deputy heads had
opportunities to suggest changes in the policy because they had frequent meetings with
the Secretariat of Education staff where issues related to the policy were discussed. In
the second year of implementation, teachers and heads were encouraged to suggest a
new style of school report and, in the third year, all of them took part in discussion in a
forum where they had the opportunity to express the problems and difficulties they
faced in the schools41.

These opportunities for expressing ideas and anxieties helped to alleviate tensions
between policy proponents and practitioners whose relationships had been undermined
due to constant tension in the process of educational change since 2001. On the other
hand, teachers and heads considered that the initiatives were valid, but insufficient, due
to complexities of the policy. What is important is that some practitioners’ contributions
were incorporated into the policy text. In this process, problems and difficulties of the
context of practice initiated changes and adjustments that were made during the context
of text production, contributing to improvements in the policy and making it more
realistic.

Nonetheless, the practitioners’ participation was more like limited consultation than an
active participation, in that teachers and heads considered themselves more informants
than active participants:

“In fact, we [deputy heads and headteachers] had many meetings with the
Secretariat of Education staff where we discussed the problems and difficulties
in putting the policy into practice. We were a kind of ‘bridge’ between teachers
and the Secretariat suggesting changes and discussing the real problems and
limitations we were facing in the school, but the Secretariat staff made the final
decision. We were simply informed about decisions.” (Martha, deputy head)

41
After these forums, some teachers and heads took part in the first Municipal Conference of Education,
carried out in December 2003. In such events they had an opportunity to suggest changes and adjustments
to educational policies.
 108

Despite these limitations, such adjustments contributed to changing the nature of the
policy text which, in its final version, became less ‘readerly’ and less prescriptive than
the preliminary version constructed exclusively by policy makers.

5.2.1 - Voices in the context of text production

In search of present and absent voices in the context of text production, it is possible to
state that the policy makers’ voices and their discourses prevailed in the construction of
policy text. By having limited participation in the construction of the policy, teachers
and heads were an ‘absent presence’ and an ‘object rather than a subject of discourse’42.

In this process, the Municipal Secretary of Education’s view of democracy and

participation was prevalent. For her, participation, discussion and consultation were not
essential. Concerning this, she said:

“I don’t entirely believe that ample participation and discussion work. We

decided to implement this policy believing that it was essential to reverse the
school failure. This is a measure that we are taking and we are putting into
practice, but all of us are working together. It has been a collective construction,
but the decision about this was taken centrally. It was a political decision.”
(Interview, August 2003)

As will be shown later (Chapter 6), those voices which were not heard or which were
silent are likely to be as important as those which were heard. In Ling’s (2001) words,
the arena of educational policy making “cannot be seen as apart from the people in the
educational system, whether or not they are directly heard. Policy is the result of
sounds, silences, conflicts, tensions and struggles.” (p.5). Furthermore, she claims that
“if silences were voices, the policy process would take a different course.” (Ling, 2001,
p. 5)

42
Here I am paraphrasing Ball’s words. In his study of education reform in England, he demonstrates
how teacher is an ‘absent presence’ in education policy and ‘an object rather than a subject of discourse’
(Ball, 1994a, p. 50).
 109

5.2.2 - The policy text and its features

In this section, I want to concentrate entirely upon the analysis of the final version of the
main policy document, whose construction started in the first step of the policy making
process and which was completed in the third year of policy implementation. Entitled as
“Curriculum Guidelines” (SME, 2003), this primary policy document has 150 pages and
five sections:

(a) Introduction;

(b) Legal issues related to the Cycles of Learning Project;

(c) Theoretical aspects and content of the curriculum for Literacy, Portuguese,
Foreign languages, Geography, History, Sciences, Mathematics, Arts,
Physical Education and Religious Education;

(d) Considerations about the inclusion of special needs’ children in the

mainstream schools;

(e) Pupils’ assessment in the Cycles of Learning Project.

The Cycles of Learning Project is described in the first section (Introduction), in the
second (Legal issues) and in the last one (Pupils’ assessment system). The document
was written by professionals belonging to the staff of the Municipal Secretariat of
Education and ten lecturers from the local university acted as consultants in the specific
areas of the curriculum. The Municipal Secretary of Education is referred to as the
‘general coordinator’. In addition to signing the Introduction, she was the main
consultant in the following sections: (a) Legal issues related to the Cycles of Learning
Project, (b) Literacy, (c) Portuguese and (d) Pupils’ assessment system in the Cycles of
Learning Project. Teachers, headteachers and deputy heads constitute the audience of
the policy texts. The majority of the teachers and heads interviewed said that their
contact with the document has been concentrated on the section in which the curriculum
content for each cycle is presented. As a result, the other sections have been read more
superficially.
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The first point to note about this document is that it can be considered a readerly text,
but much less than it was in its preliminary version. The incorporation of suggestions
from teachers and heads makes it less prescriptive in relation to pupils’ assessment and
other regulatory measures. As a readerly text, the reader is not actively engaged in
creative interpretation due to the inflicting and prescriptive style. For Hall (2001), “a
readerly text imposes a uniform and non-negotiable meaning on the reader. The reader
is not given a role, not encouraged to make a contribution.” (p. 155). Furthermore, she
says that a readerly policy text would be one “containing clear and unambiguous
directives which are not open to question” (p. 155). The following examples illustrate
the readerly style of text:

Any project of changes proposed by the government, in this case by the

Municipal Secretariat of Education which has as its main task to guide
educational policies that promote qualitative advances in the municipal
education system, must interfere in the school culture so that the changes
actually occur. (SME, 2003, p. 1)

To sum up, the organisation of the school in cycles of learning proposed by the
Municipal Secretariat of Education intends to cease with concepts and
crystallised practices such as grade retention. (ibid., p. 138)

Teachers must be convinced that, except in really rare situations, no child will
fail if he/she is allowed more time, more dedication and more attention from
his/her groups and from his/her teacher. (ibid., p. 139)

The prescriptive style is also observed in some parts of the section devoted to present
the curriculum content and theoretical considerations about how those contents should
be taught:

Aiming at breaking with mechanical and limited practices, it is necessary, first

of all, to take the text as the key element in the teaching of reading and writing.
(SME, 2003, p.18)

The teacher must give students the opportunity to interact with a variety of
materials such as atlas, terrestrial globe, maps and good quality and updated
mock-ups in order to prepare and enable the students to use and understand
maps. (ibid., p. 45)
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Mathematics must be seen by the pupil as knowledge which can facilitate the
development of his/her reasoning, his/her expressive ability, his/her aesthetic
sensibility and his/her imagination (ibid., p. 93)

The research on policy making in education has shown that, in general, primary policy
documents tend to be readerly whereas secondary texts and working documents are
writerly (Bowe et al, 1992; Searle, 2004). Nevertheless, it is essential to recognise that,
however tightly and precisely written, policy texts are interpreted and reinterpreted
within the context of practice. According to this understanding, policy is constantly
being made and remade at different educational sites.43

The second point is that some inconsistencies and contradictions can be identified. As
Bowe et al (1992) pointed out, policy texts can often be contradictory, they use key
terms differently and they are reactive as well as expository. One of the inconsistencies
is that the policy text analysed here, in addition to legitimising the role and power of the
Municipal Secretariat of Education in implementing changes in the educational system,
reinforces issues which put teachers and schools in a negative position. For example,
issues such as teachers’ resistance to changes, lack of cooperative work inside the
schools, the practitioners’ attachment to grade retention and rejection by some teachers
of the proposal to follow the same group of pupils throughout the cycle were presented
as ‘real obstacles’ to implementation. In this case, the Cycles of Learning project
appeared in the educational system as a solution instead of part of the problem of
pupils’ learning and progression. As a solution (chosen by policy makers), the
construction of the policy was not shared with practitioners, who could suggest only a
few adjustments in the policy format.

Another inconsistency is that some relevant concepts and practices were only mentioned
in passing, for example, the role of formative assessment, the pedagogic work in

43 Bowe et al (1992), for example, acknowledge this when they claim that, “In effect, the ERA is being
constantly rewritten as different kinds of ‘official’ texts and utterances are produced by key actors or
agencies of government – Programmes of Study, Attainment Targets, Subject Working Party Reports,
NCC Reports, etc., etc. Thus a whole variety and criss-cross of meanings and interpretations are put into
circulation. (p.12)
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heterogeneous groups as well as in the additional classroom support and acceleration

classes. As a primary document, it is acceptable that concepts cannot be explored in
depth. However, secondary documents or working documents were not developed
either, during the implementation. Among those cited, the underdeveloped practices of
pupils’ assessment and lack of differentiation in teaching emerged as pivotal problems
in the context of practice.

The concept of curriculum in this document is particularly problematic. This document

only presents theoretical aspects and contents for Literacy, Portuguese, Foreign
languages, Geography, History, Sciences, Mathematics, Arts, Physical Education and
Religious Education. In addition to presenting a curriculum strongly classified or a
‘collection type’ (Bernstein, 1975), the document did not include issues such as gender,
race and class. Following the same mode in which the policy was implemented, the
section called ‘curriculum’ did not involve practitioners at school level. Teachers, as
Apple and Beane (1999) say, have a right to have their voices heard in creating the
curriculum.

Finally, I would like to point out some contradictions in the policy text. In some parts of
the text, the policy writers admitted that the policy had been implemented from the top-
down. This can be observed in the quotes below:

In January 2001 we analysed the situation inherent in the municipal education

system and decided to take some measures which affected the traditional
structure of the schooling organisation. In this new structure we ceased with
graded structure and implemented the two cycles of learning. (SME, 2003, p. 2)
(my emphases)

The Municipal Secretariat of Education, considering that the graded system

contributed to school failure and ignored the pupils’ individual differences,
abolished that structure and established the Cycles of Learning with the purpose
of building a school that broke with the selectivity practices, social exclusion
and authoritarianism with its pupils. (ibid., p. 137) (my emphases)

However, in the same document they claimed that all teachers, headteachers and deputy
heads were co-authors:
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At this moment in which we deliver to all professionals of the municipal

education system these curriculum guidelines, we would like to say that you are
all co-authors of this work. This document is the result of two years of intense
dedication by the Municipal Secretariat of Education staff, headteachers, deputy
heads and teachers who have been discussing, polishing, reducing resistance and
remaking concepts for the construction of this curriculum proposal”. (ibid. p. 4)
(my emphasis)

In fact, teachers and heads contributed to the policy text production, but only in specific
aspects such as adjustments in the school report. Not surprisingly, teachers and heads
consider that part of the policy is more open and realistic. The teachers interviewed
considered that they had given information to headteachers and deputy heads about
problems and disadvantages of the policy rather than actively participating in the
process of text production and in the decisions surrounding the definitions of the
curriculum section, or changes and adjustments to the implementation process. The
curriculum section in particular was centrally decided and practitioners at school level
did not participate.

Beyond the textual contradictions, the centralisation of policy making and education
management clashes with Workers’ Party principles and also with the electoral
programme announced during the municipal electoral campaign. In general, teachers
and heads expected a different style of management based on democracy, participation
and collective construction of the educational project. Four out of 28 respondents
explicitly mentioned the top-down orientation as a contradiction because the party in
power (Workers’ Party) usually tries to create democratic administrations based on wide
participation. One respondent expressed this feeling:

“At least in the education sector, this administration has been very centralised by
the staff in power. I consider this style of management contradictory in a
Workers’ Party administration. I was expecting another sort of governance.”
(Roseli, headteacher)

One assistant policy maker interviewed also considered this perspective:

“When the policy began I was working at school level. I would say that the
project was imposed without discussion with the collective. For me it was
frustrating. I was assigned to work at the Secretariat and joined the Workers’
 114

Party but I think there is little democracy.” (Assistant policy maker 2, Interview,
September 2003)

In this case, the top-down orientation had an impact not only on teachers and heads’
opinion about the policy but also on the process of text production. As readers and the
‘main audience’ of this policy text, the practitioners in schools seems to have had a
passive role, with all those aspects of power relations thereby entailed, rather than the
role of co-authors as the policy makers intended to convey in the policy text.

Conclusion

In this chapter I have explored the global/international, national and local influences
related to the Cycles of Learning Project, as well as the process of policy text
production. Although global and international influences and trends have been
recognised, the Brazilian programmes of schooling in cycles have not been a mere
response to these influences. They have been recontextualised and recreated within
Brazilian context.

As discussed, the policy investigated in this study emerged due to changes in the
political and ideological scenario when the Workers’ Party administration took office.
Following the tradition of this political party, education became a priority and a set of
policies was implemented, including the Cycles of Learning Project. The Workers’
Party since its creation has been linked to social movements and committed to
democracy and participation. Contradictorily, in the case of the Cycles of Learning
Project in Pinewood City, teachers, heads, parents, teacher’s union and other interest
groups were not involved in the process of policy making. During the process of text
production heads and teachers had few opportunities for actively participating in the
process of construction of the policy. On the other hand, these excluded interest groups
did not attempt to influence the policy making and implementation.

The policy makers’ intention of constructing a new model of education for the
municipal schools which would improve the quality of education offered to working-
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class children was made clear by interviews, analysis of the policy documents and
observations of the events and interventions carried out by the Municipal Secretariat of
Education. However, the centralisation of the power and decision inside the Secretariat
of education limited the practitioners’ participation. Bernstein’s (1996) explanation
about democracy and pedagogic rights offers clear understanding that practitioners’
participation would be essential for the construction of a policy which intended to be an
alternative to the selective and exclusive graded system. The effects of this
centralisation of power on teachers’ involvement, acceptance and understanding of the
policy will be further discussed.

In the next two chapters, I will analyse issues related to the context of practice, first
analysing teachers’ and heads’ interpretations and experiences in relation to the Cycles
of Learning Project (Chapter 6) and later, the implementation of the policy at classroom
level (Chapter 7).
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CHAPTER 6

EXPLORING THE MULTIPLICITY OF VOICES AND INTERPRETATIONS

OF POLICY IMPLEMENTATION

The purpose of this chapter is to explore practitioners’ interpretations and experiences

related to the implementation of the Cycles of Learning Project. As mentioned in
Chapter 2, the arena of educational policy making is complex and cannot be seen as
separate from the people in the educational system. Thus, people’s perceptions and
experiences are essential accounts in understanding education policies and their
implementation.

The main sources of data explored in this chapter are interviews with teachers,
headteachers and deputy heads which provided a variety of perspectives and
interpretations of the policy. In this chapter I will argue that problems and dilemmas
faced by teachers and heads in dealing with policy implementation were related to
external and internal factors. External factors refer to the top-down orientation of the
implementation and the lack of instances for practitioners’ participation. Internal factors
are concerned concern with the nature of the policy whose characteristics fit with
Bernstein’s concept of invisible pedagogy. Taken together, these two sets of aspects can
be considered the most significant aspects in attempting to understand the
implementation of the Cycles of Learning Project. In the first section I will present an
overview of the respondents’ interpretations and in the second I will discuss external
and internal aspects.
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6.1 – Teachers and heads: an overview of their interpretations

Teachers and heads interviewed in this study had different opinions about the policy.
Six of them had already worked in programmes of schooling organised in cycles.
Despite this variety of opinions and backgrounds, there was some agreement among
them.

First, all of them (28 respondents) considered that the implementation of the Cycles of
Learning Project was a radical change in the educational system. As will be discussed
later, to move from a visible pedagogy to an invisible pedagogy has several implications
for teachers’ identities. Although some teachers had already worked in programmes of
schooling in cycles, the majority of them were used to dealing with schooling in grades,
grade retention, summative assessment and with less heterogeneous groups. Rapidly,
however, they were involved in a new policy which destabilised and challenged their
beliefs and practices. Not surprisingly, the first year was considered more complex. It
was common to hear from them words such as ‘chaos’, ‘turmoil’ and ‘confusion’:

“At the beginning it was disturbance and confusion. Nobody knew what would
happen next.” (Teacher Soeli, Beta School)

“At the beginning it was very difficult because they [teachers] didn’t understand
the project and perceived it as very difficult to put into practice. Everyone
seemed desperate.” (Martha, deputy head)

“I wasn’t afraid of the policy because I already had some experience with it, but
for most teachers 2001 was a hard year. It was chaos and turmoil… This year
[2002] things are quite different. The implementation year is always the most
difficult.” (Teacher Linda, Alpha School)

According to them, in the subsequent years the implementation process at school level
was easier and they were better at dealing with problems posed by the policy and some
aspects of the policy such as pupils’ assessment and the new curriculum were more
clearly defined.
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The second common point is that teachers and heads wished to have had a more active
role during the process of policy making and policy implementation. Due to the lack of
opportunities for effective participation, they considered themselves mere implementers
of others’ plans and ideas. They believed that this policy should not be implemented
without participation and discussion. Finally, they believed that neither teacher training
strategies nor guidance and support provided by the Municipal Secretariat of Education
and by heads were sufficient for supporting the implementation of the policy.

Besides these agreements, a variety of opinions and interpretations were identified

among respondents. As Bowe et al (1992) note, practitioners do not confront policy
texts as naïve readers, but with their own considerations. Thus, “policies will be
interpreted differently as the histories, experiences, values, purposes and interests which
make up any arena differ” (p. 22). Furthermore, interpretation is a matter of struggle and
“different interpretations will be in contest, as they relate to different interests” (ibid. p.
22). Overall, respondents constituted two groups. One group composed of 10
respondents (six teachers, two headteachers and two deputy heads) was more favourable
and enthusiastic about the policy. Another group composed of 18 respondents (14
teachers and four heads) was less enthusiastic.

The first group perceived the policy as a challenge and an opportunity for rethinking the
role of the school and constructing a more appropriate model of schooling which met
the needs of working class children:

“I perceived the cycle as something new. Of course it demands harder work but
it is challenging, exciting and an opportunity to learn new things”. (Teacher
Jussara, Gamma School)

“The graded system is not fair because we have to retain students if they don’t
achieve the grades. In the Cycles of Learning Project we have to observe the
pupil as a whole. Rather than to retain, we need to offer support aimed at good
learning and the overcoming of their difficulties.” (Teacher Melissa, Delta
School)

“This policy is beneficial for our children. They have more chances for
learning.” (Roseli, headteacher)

“I received the cycles as a challenge. I think we have to change, to do things in a

different way, especially in relation to assessment. The summative assessment
needs to be overcome.” (Teacher Cleuci, Beta School)
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“I agree with this policy because it provides more time for children’s learning
and we’ve the possibility of retaking the teaching process during the cycle.”
(Teacher Michele, Gamma School)

This more enthusiastic outlook affected their pedagogic practices. In general, these
teachers were more committed to formative assessment and some of them were trying to
set up a differentiating pacing in their classrooms. These deputy heads and headteachers
were more involved with what was happening inside the classrooms and were offering
assistance to teachers. In some aspects, concepts and beliefs of teachers and heads of
this group matched with principles of invisible pedagogies. For example, they agreed
with promotion for all students and principles of formative assessment.

The second group, composed of 18 respondents, was less enthusiastic about the policy.
Many of them disagreed with the mode of implementation, promotion of all pupils
within the cycle, implementation of the policy without infrastructure or lack of previous
teachers’ preparation:

“We’re trying to implement this policy, but there is no infrastructure and we

haven’t received the support we need.” (Teacher Sara, Alpha School)

“I agree because our pupils need more time for learning, mainly during the
literacy process. However, we don’t have adequate infrastructure.” (Isaura,
headteacher).

“There are many positive aspects, but there is lack of infrastructure and we
[teachers] weren’t prepared to deal with in our initial and continuing teacher
training.” (Teacher Aline, Alpha School)

“This policy isn’t valid because, for example, there are pupils who are promoted
without achieving the targets. I prefer gradedness and retention.” (Teresa, deputy
head)

Although some teachers and heads of this group were also trying to deal with
problematic aspects of the policy (e.g. dealing with heterogeneous groups, using more
innovative strategies for reading and writing etc), in general, their concept of education
and pedagogic practice was more conservative and principles of visible pedagogies
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were preferred. For example, some of them (seven) openly agree with retention
practices. In general, the pacing of transmission in their classes as well as the framing of
their relationship with pupils was strong. As mentioned earlier, the shift from a visible
to invisible pedagogies, as proposed in the Cycles of Learning Project, involves changes
in relation to principles of knowledge, evaluation, pedagogic practices and social
relationships which are, in essence, changes in the teachers’ identities. The way in
which policy text was produced and the policy implemented (top-down and without
practitioners’ participation) did not stimulate teachers and heads to deeply reflect on
their beliefs and identities. In general, they were considered ‘consumers’ rather than
‘producers’ of policies, and executors of others’ plans and ideas. As Bernstein (1996)
argued, people have the “right to participate in procedures whereby order is constructed,
maintained and changed”. Participation is “the condition for civic practice, and operates
at the level of politics” (p. 7)44.

As Bowe et al (1992) explain, interpretation is a matter of struggle and different

interpretations will be in contest. During the process of implementation, a number of
conflicting opinions emerged between policy makers and practitioners at school level.
On the one hand, practitioners complained about the lack of infrastructure,
centralisation of the decisions inside the Municipal Secretariat of Education, lack of
discussion about the policy and difficulties faced by teachers. In addition, some of them
rejected parts of the policy text, for example, to follow the same group of pupils within
the cycle of three or two years. On the other hand, policy makers considered teachers as
resistant to changes and overemphasising the role of the school infrastructure.

Conflicting opinions were also present at school level between teachers and heads. As
will be shown in further discussions, different levels of interaction were constructed in
each school. In schools where the climate was more democratic (Beta, Gamma and

44
Authors such as Apple and Beane (1999) and Gewirtz (2002) have clearly stressed the relevance of the
construction of policies in a democratic and participatory way. Gewirtz (2002), for example, based on
Danny Burns and his colleagues’ study, claims that teachers, parents and students need to become
‘producers’ of politics. “Consumers of politics can only choose between a limited range of options
presented to them or they can reject those options. They are ‘rarely in a position to create’ (Burns et al,
1994: 267). Producers of policies, on the other hand, contribute to the creation of the agenda. They decide
what the choices are.” (p. 181-82)
 121

Delta Schools), teachers and heads developed more collaborative work and the
implementation was considered a shared and collective work, up to a point. On the other
hand, in a school where democracy and the level of cooperation was low (Alpha
School), teachers felt isolated and the level of dissatisfaction in relation to the policy
was high.

This overview is helpful to understanding the context in which teachers and heads
constructed their interpretations about the policy and in addition, to emphasise that
many teachers and heads pointed out not solely negative aspects in relation to the
policy.

6.2 – External and internal factors related to policy implementation

As mentioned earlier, the main problems and dilemmas faced by teachers and heads
were related to external and internal factors. The former refers to the top-down
implementation and the latter to the nature of the policy (invisible pedagogy or
competence model). Internal and external factors are interrelated. The top-down
implementation and lack of teachers’ participation generated differentiated levels of
practitioners’ dissatisfaction towards the policy and inhibited the practitioners’ active
involvement and critical reflection in relation to the policy.

6.2.1 – External factors

Top-down implementation and lack of participation and discussion

In this study, the top-down implementation emerged as the most relevant feature of the
policy. Teachers and heads expressed their disagreement and dissatisfaction in relation
to this. The following quotes illustrate this feeling:

“There was no space for participation in the decision-making. The municipal

government took over and decided: Now we’ve got cycles! In other words it
could be said: You’re being paid to execute, not to discuss! They didn’t say it
explicitly, but for me it was clear. We decide and you execute!” (Teacher
Melissa, Delta School)
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“Teachers were only told that from 2001 the school would be organised in
cycles. It was a shock!” (Teacher Flora, Beta School)

“They [Municipal Secretariat of Education staff] simply said: It will be in cycles

and that’s all.” (Teacher Ana, Alpha School)

“I think that the cycle was imposed. We received a ready packet; weren’t
consulted. Many times, teachers’ opinions aren’t taken into consideration.”
(Teacher Claudia, Alpha School)

Furthermore, teachers and heads believed that the issues related to the Cycles of
Learning Project should be discussed not only inside the school, where sometimes there
was no climate for active discussion and expression of ideas. According to them, there
should be discussion and opportunities for expressing and sharing ideas with
professionals who worked in other schools as well as with members of the Secretariat of
Education staff. In other words, they expected to be given a more active role within the
development of the policy:

“There must be a specific time for us to speak about our difficulties and doubts
as well as about positive and negative aspects. So far we don’t have this. We
should have more dialog and we should discuss the ‘orders’ and instructions
which come from the Secretariat.” (Teacher Roberto, Beta School)

“I think that many teachers passively accept everything. If we are creative

thinkers we should fight for having opportunities for participation and
discussion.” (Teacher Flora, Beta School)

“After implementation there was no chance for discussion because the

Secretariat is not democratic. They don’t ask or provide opportunity for teachers
to say what they think. And opportunities for people to speak and discuss is
essential in this kind of change.” (Teacher Jussara, Gamma School)

“They [Secretariat of Education] don’t allow many opportunities for you to

speak in the meetings. They should encourage people to contribute their ideas.”
(Isaura, headteacher)

The top-down implementation of the Cycles of Learning Project seemed to reinforce the
separation between conception and execution of policy as well the idea that teachers and
heads were mere implementers of others’ ideas and plans, unprepared to contribute to
 123

the construction of new policy. By being implemented in such conditions, the Cycles of
Learning Project did not create conditions for the development of a more democratic
education which would involve teachers’ participation in the process of decision making
and curriculum construction as Apple and Beane (1999) point out.

The implementation of this policy within a Workers’ Party administration was a

privileged opportunity for constructing a democratic and participatory implementation.
As Apple and Beane (1999) explain, democratic schools, like democracy itself do not
happen by chance. They result from “explicit attempts by educators to put in place
arrangements and opportunities that will bring democracy to life” (p. 10). However,
they also consider that the realisation of democratic schools does in part depend on
selective intervention by the state.

Emphasis on policy outcomes

The second external factor refers to the strategies used by the Municipal Secretariat of
Education in monitoring policy outcomes. Throughout the implementation, policy
makers followed up the impact of the policy on retention rates and created a system
called ‘external evaluation’ which was a testing of pupils’ performance in Portuguese
and Mathematics carried out annually in some year grades.

According to teachers and heads, although not implicit, the policy makers’ emphasis on
positive indexes regarding retention rates and pupils’ performance created a symbolic
system of pressure for producing positive results. Especially among teachers there was a
sense they were taking a ‘professional risk’. They were afraid to be seen as failures or
incompetents if the results in their classrooms or the school as a whole were poor.

The following quote illustrate practitioners’ interpretation in relation to this:

“We’re not against the control of retention rates or external evaluation. The
problem is that the results of this have been used by the Secretariat of Education
in a negative sense, for blaming heads and teachers if the results aren’t
satisfactory. They [Secretariat of Education staff] should take into consideration
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the school location and clientele. Schools cannot be compared.” (Isaura,

headteacher)

These strategies of monitoring and its mode of use seemed to be contradictory. On the
one hand, the policy intended to implement a less visible pedagogy by offering more
flexible and extended patterns of time for pupils’ learning (relaxation of sequencing)
and a more flexible approach for assessment practices. On the other hand the Municipal
Secretariat of Education staff developed a system based on pupils’ performance which
emphasised the efficiency of the policy. Teachers and heads considered the outcomes
should be used in a positive sense, as a starting point for providing feedback for
improvements.

Infrastructure requirements and working conditions

Issues related to the lack of infrastructure emerged as a relevant aspect in teachers’ and
heads’ responses. Although infrastructure had been considered as an internal factor (due
to invisible pedagogy requirements), this issue can be also considered an external factor
(linked to the policy implementation). Concerning this topic, teachers and heads
interviewed claimed that the infrastructure available at schools was not satisfactory for
implementing the Cycles of Learning Project due to lack of adequate physical space
(50% of respondents), lack of enough teachers (25%) and insufficient curriculum
resources (25%).

Teachers, in particular, tended to go beyond the infrastructure in their answers. They

expressed concerns with unsatisfactory working conditions which affected policy
outcomes and students’ learning and achievement such as little time for planning or
individual meetings with heads and colleagues (seven teachers), overcrowded
classrooms (four teachers), unsatisfactory working relationships with headteachers and
deputy heads (four teachers) and lack of adequate support from headteachers and deputy
heads (three teachers). They tended to consider that these aspects strongly affect policy
outcomes or used them to justify their disagreement with the Cycles of Learning
Project.
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The interactions between policy and infrastructure are complex. Policies can generate
improvements and updating in the school infrastructure and a satisfactory school
infrastructure can facilitate effective implementation and achievement of more positive
results. These interactions and dynamics were observed in the implementation of the
Cycles of Learning Project because school infrastructures were improved. The four
researched schools acquired improvements in the infrastructure and teachers’ working
conditions also improved in some aspects (e.g. weekly time for planning). The
implementation of the Cycles of Learning Project led the municipal government to
allocate more financial resources toward meeting policy requirements such as hiring
more teachers, school renovation, construction of classrooms, and distribution of
curriculum resources (pedagogical materials). According to the Municipal Secretary of
Education, these investments resulted from the political commitment to improving
school conditions as well as the increase in the education budget allocated by the
Federal government due to the increase in the number of students enrolled in primary
education45.

A strong divergence was perceived between policy makers and practitioners at school
level in relation to school infrastructure and working conditions available at schools.
Policy makers considered teachers’ and heads’ complaints about lack of adequate
infrastructure and working conditions as an overvalued aspect used by them to justify
their disagreement with the policy and their resistance to dealing with educational
changes. According to policy makers the condition of the infrastructure should be
understood in a context of limited financial resources and that infrastructure by itself
does not guarantee a successful implementation and does not cause changes in the
school context. They believed that an adequate infrastructure could not be considered a
sine-qua-non condition to implementation of new educational policies or educational
changes. Rather, they believed the generation of new policies would lead to
improvements in the school’s infrastructure. According to the Municipal Secretary of
Education:

45
The number of students increased in the last three days due to: (a) children at six years of age starting to
be enrolled in Year 1 of primary education and (b) the municipalisation process (devolution) having
occurred in 2002.
 126

“The creation of a new and better infrastructure is only possible when we

[administrators] have innovative and progressive policies, when we are able to
justify that we need more financial resources, more teachers and more physical
space. If we were waiting for perfect or better infrastructure, we wouldn’t do
anything. Instead of waiting, we implemented the project [Cycles of Learning]
and since then we have been adjusting things here and there in order to improve
working conditions. It’s hard work, but these are the conditions we have.”
(Interview, August 2003)

6.2.2 – Internal factors

The Cycles of Learning Project, like other programmes of schooling in cycles, is an

attempt at relaxing the sequencing/pacing and criterial rules and introducing an invisible
pedagogy by (a) extending the time provided for pupils’ learning, and (b) promoting
formative assessment and a child-centred approach. Bernstein’s concepts mentioned
above are helpful in understanding teachers’ and heads’ opinions in relation to
infrastructure requirements, teacher training and challenges posed by the policy to their
professional identities.

According to Bernstein (1990), the relaxation of the framing of a visible pedagogy

“raises the cost of the transmission and has crucial implications for teacher training and
school management.” (p. 79). Indeed, teachers and heads considered that the Cycles of
Learning Project was a radical change in the educational system, demanding teacher
training, guidance, and improvement in the school infrastructure such as more teachers,
small class size, time for planning and curriculum resources, among others. As shown
in Table 6.1 a number of difficulties pointed by teachers and heads referred to internal
aspects.
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Table 6.1 – Difficulties related to internal factors pointed out by teachers and
heads

Issues N=

Teachers (a) Dealing with heterogeneous groups 10

(b) Lack of curricular support and teacher training 10
(c) Dealing with assessment 05
(d) Lack of infrastructure 05
(e) Lack of support for students with ‘severe’ learning
difficulties 03
(f) Following the same group 02
(g) Class size 02
(h) Non-retention 01
(i) Lack of support – family 01

Total 39

Heads (a) Lack of infrastructure 06

(b) Teachers’ misconception – assessment 04
(c) Teachers’ resistance 03
(d) Teachers’ difficulties - heterogeneous groups 02
(e) Lack of teacher training 02
(f) Lack of support - children with learning difficulties 01
(g) Low level of pupils’ mastery of knowledge within the
cycle 01
(h) Lack of parents’ preparation in understanding the policy 01

Total 20

Teachers and heads presented different types of difficulties. While teachers were more
concerned about how to deal with heterogeneous groups and assessment or lack of
guidance and teacher training, heads pointed out issues related to infrastructure and
problems related to teachers’ characteristics and difficulties.

Cycles of Learning Project as a radical change

Teachers and heads considered the implementation of the Cycles of Learning Project a
radical change to the educational system. The strongest reasons refer to the continuous
progression of all pupils inside the cycle and changes in assessment practices. For them,
retention practices were strongly incorporated in their beliefs and departing from this
demands a long and hard process of reflection and practice. In addition, they
complained about the lack of ‘previous preparation’ to implement this policy:
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“We were prepared to work with grade retention. The school that we are familiar
with is a graded school where at the end of each year underachieving students
should be retained. So, this policy represents a big challenge and in the
beginning it is difficult. In the Cycles of Learning Project we have to observe the
pupil as a whole. Rather than to retain, we need to offer support aimed at good
learning and the overcoming of their difficulties.” (Teacher Melissa, Delta
School)

“It wasn’t explained how we should work with these pupils” (Teacher Ana,
Alpha School)

“We weren’t prepared to work this way.” (Teacher Cleuci, Beta School)

As mentioned earlier, the perception of teachers and heads about retention practices was
linked to their level of agreement and acceptance of the policy. Those who disagreed
with retention (14 respondents) were more favourable to the policy; those who
considered retention as beneficial (eight teachers) agreed to a point; and those who more
openly defended retention (six respondents) tended to be more hostile to the policy.

Teachers’ and heads’ preference for retention practices and use of the more explicit and
strong sequencing/pacing and criterial rules seem to be linked to cultural and historical
aspects of the teaching practices in Brazil. As discussed in Chapter 4, the graded system
and the system of retention or promotion at the end of each year according to pupils’
achievement appeared in 1890 and all attempts at overcoming this system encountered
barriers and difficulties in being effectively implemented. An additional aspect is related
to the strong and widespread tradition of teaching the whole class with all pupils
working on identical tasks (visible pedagogy).

By investigating the factors which contribute to teachers’ rejection of non-retention

policies, Paro (2001) identified the following reasons: (a) social and cultural aspects of
the teaching, (b) teachers’ personality and biographical aspects, (c) institutional aspects
related to the poor working conditions at schools, and (d) teachers’ beliefs in relation to
pedagogical aspects of retention (e.g. benefits of retention in increasing pupils’
motivation, keeping the quality of education and selective process which occurs outside
the schools, among others). Due to these factors, the transition from grades to cycles is
difficult for the majority of teachers. The non-participatory mode of implementation
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seems to contribute so that teachers develop a negative opinion in relation to non-

retention policies.

Teacher training

As mentioned earlier, the implementation of an invisible pedagogy has implications for

teacher training and school management (Bernstein, 1990). In fact, to move away from
a visible pedagogy to an invisible pedagogy, or at least to a less visible pedagogy,
demands an extensive and continuous process of teacher training.

In the case of the Cycles of Learning Project, teacher training was developed through
short courses, workshops and meetings carried out at school or at the Municipal
Secretariat of Education. Regarding the teacher training activities carried out at the
Municipal Secretariat of Education, teachers and heads considered that such activities
did not meet their expectations. The large majority of the teachers and heads (26 out of
28) considered that these events were helpful as an opportunity for general updating and
sharing ideas but they were not enough to help them understand the policy or better deal
with it in their daily practice. For them, such activities and discussions tended to
emphasise theoretical aspects and to be distant from their concrete needs. The majority
of them were interested in acquiring specific knowledge and skills related to the policy
and its implications:

“In the teacher training activities they talk about cycles, but it’s a little vague. I
think we should have lectures, courses and opportunities to study about
schooling in cycles.” (Roseli, headteacher)

“In all courses and meetings I attended they talk a little about cycles.” (Teacher
Soeli, Beta School)

“In these courses and events there is hardly ever a specific approach about
cycles and when some discussions happen they are about general things. There
is not a deep study or approach to schooling in cycles”. (Teacher Melissa, Delta
School)

These answers suggest that the teachers’ major concerns were related to their actual
practices (practical knowledge). In spite of this, interviews provided evidence that a
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number of teachers (14) were also interested in understanding the political reasons and
implications of this policy, philosophical and psychological foundations and how
problematic aspects which emerge in the context of practice had been faced in other
contexts in which similar policies were implemented.

Teachers and heads considered that activities planned and carried out at school level
were more significant and helpful. Such activities emphasised more practical aspects of
the policy and tried to cover teachers’ needs as well as problems of the school plus
decision-making and planning of activities. In this study I observed that at school level
teachers tended to assume a more active posture and to express their doubts, feelings
and dissatisfactions. For example, some of them openly expressed their disagreement in
relation to the overwork caused by the demanded completion of school reports. Others
expressed their difficulties in dealing with heterogeneous groups or concerns about the
lowered level of mastery of knowledge of some pupils.

According to Ball (1994a), “policies pose problems to their subjects, problems that must
be solved in context.” (p. 18). In addition, he explains that:

[P]olicies do not normally tell you what to do, they create circumstances in
which the range of options available in deciding what to do are narrowed or
changed, or particular goals or outcomes are set. A response must still be put
together, constructed in the context, offset against other expectations. All of this
involves creative social action, not robotic reactivity. (p. 18-19)

In fact, interviews and observations showed that teachers felt that training and
discussions carried out at school level were more helpful than activities carried out at
the Municipal Secretariat of Education. Teachers and heads usually assumed a more
passive posture and only eventually expressed their feelings and disagreements in the
events carried out inside the Secretariat of Education. I observed that there was a strong
hierarchy between members of the staff (Secretariat of Education) and teachers in such
events. The communication and interaction among them was practically non-existent. It
seemed that the same procedures used in the policy document (readerly style) and mode
of policy implementation (non-participatory) was reproduced in such events, with the
exception of lectures for all teachers and heads. The majority of those lectures were
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intended to inform teachers through progressive researchers in education about aspects

which were considered by the Secretariat of Education staff helpful in the process of
changes in progress: formative assessment, democratisation of the school, inclusive
education, the relevance of schooling in cycles and strategies of improvement in reading
and literacy, among others.

In both opportunities for teacher development, at schools and the Municipal Secretariat
of Education, neither a reflective approach nor teacher autonomy was emphasised.
Instead of encouraging a critical understanding of the policy and its implications,
teachers were treated as consumers of new pedagogic approaches. The concept of
democratic schools, as Apple and Beane (1999) put it, is not intended only for the
experiences of students. Adults, too, “including professional educators, have a right to
experience the democratic way of life in schools” and “have the right to help create their
own programmes for professional growth based on their perceptions of problems and
issues in their classrooms, schools and professional lives” (p. 20).

School management: interactions among teachers and heads

According to the main policy document, teachers and heads alike “must respond by the
teaching/learning process, rethinking and assessing, as well as self-evaluating their own
practices.” (SME, 2003, p.12). In practice, however, there was a separation of roles
between teachers and heads as well as different degrees of responsibility and power.
Headteachers and deputy heads represented the more powerful group. They had contact
with policy makers and policy documents and incurred the responsibility of
implementing the policy at school level. Some of them reproduced or legitimised the
policy makers’ discourse; for example, in relation to teachers’ resistance as a strong
barrier to the implementation process. Notwithstanding, there were other heads who
established a more collaborative relationship with their staff. Teachers were inscribed in
the policy in a more disempowered position. As discussed in Chapter 5, they had
limited access to the construction of policy text and received instructions from the heads
or from the Secretariat of Education staff in relation to how to put the policy into
practice.
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In this research, the level of cooperation and interaction among teachers and heads
appeared an essential aspect in the process of dealing with the difficulties and
challenges of the context of practice. The higher more positive level of cooperation and
interaction was observed in Beta and Gamma Schools. In these schools, headteachers
and deputy heads plus the majority of teachers took on the implementation as a shared
and collective objective. Due to the democratic climate, teachers could express their
disagreements in relation to the policy as well as their difficulties. A moderate level of
collaboration was observed in Delta School where teachers and heads also established
positive levels of interaction and cooperation, but the support offered by heads to
teachers was weaker than the support observed in Beta and Gamma Schools. In these
three schools there was more dialog and negotiations and heads dealt with policy text
and instructions from the Municipal Secretariat of Education in a more flexible way,
which favoured teachers’ autonomy.

The lower level of cooperation and interaction between teachers and managers was
observed in Alpha School. The relationship between teachers and heads was more
distant and heads followed the policy texts and instructions in a stricter way. The
majority of teachers demonstrated more dissatisfaction with the policy and considered
that they did not receive the support they needed for dealing with difficulties effectively.

In short, the democratic and cooperative climate made the implementation process more
meaningful for teachers and heads as they could construct more negotiated and creative
solutions for issues raised by the policy. This climate does not mean that there was
consensus or that they were accepting all aspects of the policy. They had different
opinions and they could express their opinions, disagreements and suggestions for
improving the policy due to the democratic climate. The creation of democratic
structures and procedures would contribute to reaching the positive potentialities of the
policy, as will be discussed in the concluding chapter.
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Teachers and assessment: moving towards less explicit criteria of pupils’

competence

According to Bernstein (1990, p. 66), “in any teaching relation, the essence of the
relation is to evaluate the competence of the acquirer”. Prior to the implementation of
the Cycles of Learning Project, the evaluation of pupils’ competence was based on
explicit criteria for assessing pupils’ performance as well as the use of exams, tests and
marks (summative assessment). The results of the assessment determined those students
who would be promoted and those who would be retained. The retention functioned as
a ‘strategy of stratification’ (Bernstein, 1990) and, according to several studies, strongly
affected socially and ethnically disadvantaged groups (Brandão et al, 1983; Rosemberg
and Pinto, 1987; Rosemberg, 1987, 1992, 2001; Patto, 1990; Abramovicz, 1991,
Carvalho, 2004).

In terms of pupils’ assessment, the Cycles of Learning Project introduced the concept of
formative assessment which enhanced the diagnostic, prospective and continuous nature
of the assessment. The main objective related to these characteristics is that assessment
information needs to be used by teachers to modify their work in order to make it more
effective. Teachers needed to take on the role of diagnostician to provide appropriate
work, assessing the classroom as a whole as well as children’s individual needs and
their abilities and attainments. Taken together, these measures fit with the principles of
an invisible pedagogy by emphasising ‘acquisition-competence’ and more implicit and
individualised assessment criteria.

In this policy, classroom teachers filled in an individual student’s report three times
throughout the school year (May, August and December). After some adjustments in the
form of the report, teachers needed to register targets achieved by each student
according to specific criteria: (a) acquired, (b) did not acquire, and (c) acquired
knowledge partially. In addition, the report included a space for a narrative report which
included pupil’s difficulties and measures of intervention for overcoming such
difficulties. Such reports were presented to parents in meetings specially prepared for
this.
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Thus, in the context of practice this new model of assessment impacted on teachers’
practices, school reports and parents’ meetings. The majority of the teachers
interviewed (15 teachers) reported that they experienced several difficulties in dealing
with changes related to assessment practices. In addition, they considered that they did
not receive enough guidance for implementing such a model of assessment. The
instructions related to how to fill in the school report predominated:

“We’ve received little guidance in relation to pupils’ assessment. Most of the

time we’ve spent with the completion of the school reports.” (Teacher Neusa,
Alpha School)

“This model of assessment is really complex and we needed to have more

consistent comprehension of this. So far, we were so involved with school
reports that we didn’t have time for reflecting more seriously about assessment
and its implications”. (Teacher Michele, Gamma School)

Teachers’ interviews and classroom observations provided evidence that the majority of
the teachers (15 teachers) had only a superficial understanding of the concept of
formative assessment. In spite of eliminating exams and grades and being more
concerned about acquisition-competence rather than performance, the function of the
assessment did not significantly change. In their everyday practice, few teachers were
able to use assessment information for improving the teaching/learning process or for
developing strategies which met pupils’ individual needs as the policy intended. As will
be discussed in Chapter 7, despite the extension of the time allocated for pupils’
learning, the majority of the teachers were keeping a strong pacing rule in the academic
curriculum which privileged pupils in more advanced levels and excluded those who did
not follow the same pacing rule.

The changes in the assessment also had an impact on parents’ meetings. Instead of
simply delivering a school report with grades and presenting general comments about
pupils, teachers presented a report in which there were targets acquired, not acquired
and acquired partially, and a brief narrative about pupils’ progress.

Parents’ meetings observed in the schools involved in the research had similar formats.
Usually teachers presented general comments on the progress of the class as a whole.
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After that they distributed the report to the parents and started to talk with them
individually. During such meetings, I observed that more than 60% of parents attended
the meetings. The large majority were mothers. In general, the participants read the
report, listened to teachers and only eventually asked for further information. They
demonstrated having little information about the Cycles of Learning Project. They were
aware that children were enrolled by age, that retention was possible only in the last
year of the cycle and that the school report did not show grades (marks).

The majority of the parents had difficulty in understanding the report and teachers
needed to ‘translate’ it to a more simply worded format:

“Many parents don’t understand these reports. It’s necessary to apply some
individual work to explain what is happening with their children”. (Teacher
Claudia, Alpha School)

“I think that these school reports aren’t valid. Some parents don’t understand
the report. Some of them are illiterate and we have to explain in more simple
words. (Teacher Rita, Gamma School)

“We have to spend a lot of time explaining what the report means. They
[parents] want to know their children’s grades. Very few parents understand this
narrative report.” (Teacher Aline, Alpha School)

As mentioned earlier (Chapter 3), many pupils enrolled in municipal schools came from
the lower working classes whose parents had low instruction levels which constituted a
barrier to them in understanding a complex report of an invisible pedagogy. As
Bernstein (1990) argues, an invisible pedagogy is likely “to create a pedagogic code
intrinsically more difficult, initially at least, for disadvantaged social groups (from the
perspective of formal education) to read and control” (p. 79). Prior to the Cycles of
Learning Project parents received a school report with grades (from 0.0 to 10.0). In the
meetings observed some parents considered that the previous format was ‘easier’ and
‘clearer’ than the new style (narrative). Due to the lack of something quantified or
‘objective’ (in this case, marks expressed by numbers), teachers and parents talked
about students’ progress on a more qualitative basis.
 136

Sometimes, in these meetings they negotiated strategies of support and established

agreements related to the pupil’s homework and attendance in school, among others. In
addition, teachers tended to present to the parents subjective comments about some
pupils’ progress, behaviour and attitudes, for example: “He/she is in difficulty”; “He/she
needs to improve a lot”; “He/she has difficulties in following the pace of work of the
class”; “He/she is uninterested in learning, inattentive and unmindful”; “He/she doesn’t
retain the knowledge and probably will face difficulties in the next age/group”; “He/she
has been absent from classes or additional classroom support”.

My observations suggest that the elimination of explicitly ranked grades contributed to

teachers employing more subjective and implicit criteria of pupils’ assessment (informal
assessment). This issue, which can be more clearly understood within the principles of
an invisible pedagogy, functioned as a kind of code in the process of communication
between teacher and parents in such meetings. According to Bernstein (1996), in
competence models, criteria of evaluation of instructional discourse are likely to be
implicit and diffuse. However, “regulative discourse criteria (criteria of conduct and
manner, and relation) are likely to be more explicit” (p. 60). This informal assessment,
as Freitas (1995, 2003) has pointed out, is a decisive factor since these judgements of
pupils’ behaviour; learning pace, values, attitudes and social characteristics of them and
their families have implications in the daily relationship between teachers and students
and can generate a process of exclusion. In classroom in which the internal framing is
strong is likely to have major consequences for social inequalities and processes of
exclusion inside the classrooms.

Conclusion

This chapter presented teachers’ and heads’ voices and interpretations in relation to
essential aspects of the Cycles of Learning Project. Bernstein’s work was helpful for
conceptualising the policy in analysis as an invisible pedagogy, which demands an
increase of costs of transmission, investments in teacher training and changes in school
management. Furthermore, the concepts of sequencing/pacing and criterial rules
provided a strong theoretical framework for understanding issues such as teachers’
difficulties in dealing with formative assessment and heterogeneous groups.
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Some contextual factors were relevant so that teachers and heads produced such
interpretations. The first factor, related to external aspects of policy, refers to the top-
down orientation of the policy and the inflicting style of the instructions emanated from
the Secretariat of Education staff. Teachers and heads at different levels (and teachers in
a more negative position) were unheard voices in the process of text production and in
the process of adjustments made in the policy during implementation. Paraphrasing Ball
(1994a), what was privileged was the “policy makers’ reality” (p. 19) and the
“adjustments of teachers and context to policy but not of policy to context” (ibid., p.
19). On the one hand, top-down orientation allowed a rapid implementation of the
policy, the achievement of low retention grades and the elimination of age/year group
mismatch. On the other hand, this inflicting style of implementation did not allow the
realisation of principles such as teacher empowerment, autonomy, democracy and
participation defended by the Workers’ Party administration.

The second factor, also related to external aspects of the policy, concerns the
disempowered position of the teachers in the process of implementation as well as
within the hierarchy of the school system. Due to the lack of opportunities for
participation, discussion, sharing ideas and expressing their feelings and difficulties
regarding policy implementation, teachers were considered as passive recipients
(consumers) rather than active constructors of policy (producers). In addition, those
policy makers interviewed as well as the main policy document emphasised the
teachers’ resistance as an important barrier to the implementation process. Although
some teachers’ assertions can be considered evidence of a ‘resistant behaviour’ such as
teachers’ adherence to retention practices and rejection of following through with the
same group during the cycle, teachers’ resistance seems to be overemphasised.

The last factor (internal aspect) refers to the weaknesses in teacher’s training. As
mentioned earlier, teachers’ training strategies carried out at school and the Municipal
Secretariat of Education levels did not guarantee that teachers would develop a broader,
more critical understanding of the policy as well as learn how to deal with problems
posed by the policy such as heterogeneous groups and formative assessment.
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In the next chapter, I will address issues related to the policy implementation at
classroom level.
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CHAPTER 7

THE POLICY INSIDE THE CLASSROOM

This chapter discusses the main findings related to the policy inside the classroom,
exploring data collected through classroom observations during two school years in 16
year/groups. As mentioned in Chapter 4, classroom observation has seldom been
included in studies on schooling in cycles (Cruz, 1994, Carvalho, 2001; Linch, 2002;
Oliveira, 2002) and, due to this, there is little information about what happens inside the
classrooms when programmes of schooling in cycles are implemented. This chapter
intends to contribute to filling this void.

As discussed in Chapter 3, observational data were essential accounts for understanding

the implementation of the Cycles of Learning Project at the micro level of the
classroom. Bernstein’s concepts of classification and framing of educational knowledge,
sequencing and pacing rules, collection type and integrated curriculum, visible and
invisible pedagogies and their class assumptions offered a strong “language of
description” (Bernstein, 1999, p. 158) which supported the discussions in this chapter.

This chapter begins by describing the key forms and contents of changes proposed in
the policy investigated. After that, the chapter shows aspects in which the pedagogic
practice did not change followed by policy benefits and aspects in which some changes
were observed. The final section discusses the implications of such changes for pupils’
learning and continuous progression.
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7.1 – The intended policy: forms and contents of change

Before exploring changes observed in the classrooms and their implications, it is

necessary to summarise the forms and contents of the intended policy. As mentioned in
Chapter 5, the central aim of the Cycles of Learning Project was to provide pupils with
more time for learning continuously within each cycle, without retention. In terms of
Bernstein’s theory, it was an attempt to relax the sequencing rules, which were strongly
framed within the graded system and its visible pedagogy.

The short-term intention of the Cycles of Learning Project was to reduce rates of
retention, dropout and age/grade mismatch by eliminating retention within each cycle
and creating acceleration classes for pupils in age/grade mismatch. However, the long-
term intention was to avoid a process of educational exclusion, since the policy
document considered that retention contributes to pupils’ dropping out of school and
does not contribute to pupils’ learning improvement.46

Like other programmes of schooling organised in cycles, the rhetoric of the Cycles of
Learning Project in Pinewood City was progressive. The main policy document
emphasised that such a policy aimed at cessation of selectivity, social exclusion and
authoritarianism toward pupils. Both the policy document and policy makers
interviewed reaffirmed that the intention of the policy was to construct a better
educational system and successful educational outcomes in terms of pupils’ learning:

When we started working at the Municipal Secretariat of Education on January

1st 2001, one of our political commitments was to reverse school failure,
particularly long experienced high retention and dropout rates. In January 2001,
we analysed the situation inherent in the municipal educational system and
decided to take some measures which affected the traditional structure of the
schooling organisation. In this new system we stopped the graded structure and
implemented the two cycles of learning. The measures taken were a result of our
understanding that school failure is not only related to pedagogical factors, but

46
There is a considerable body of research on the retention versus promotion debate. In general, there is a
consensus that grade retention is harmful (Holmes and Matthews, 1984; Peterson et al, 1987; Verhine and
Melo, 1988; Shepard, 1987; Smith and Shepard, 1989; Alexander et al, 1994; Jenkins and Weldon, 1999;
Pagani et al, 2001; Jimerson et al, 2002).
 141

also to the structure of schooling which, when organised by grades, strongly

contributes to the failure. The main aim of the Cycles of Learning Project is to
provide children with the possibility of completing their process of knowledge
acquisition and their cognitive and emotional development without being held
back (SME, 2003, p. 2).

These stated intentions matched with the Workers’ Party educational project in which
education usually is considered a priority sector and policies intended to reduce
retention rates, dropout and age/grade mismatch are strongly recommended. In addition,
the policy document used ideas and concepts of authors associated with critical
pedagogies such as Paulo Freire, John Dewey and Vygotsky.

The implementation of this policy implied changes in the four basic message systems of
schooling: curriculum, pedagogy, evaluation and organisation (Ball, 1990b; Bernstein,
1971)47. Implementation of this policy required construction of a new curriculum. The
previous one had been structured for schools organised in conventional grades. As
mentioned in Chapter 5, the new curriculum elaborated by the members of the
Municipal Secretariat of Education remained strongly classified into ten areas: Literacy,
Portuguese, Foreign language, Geography, History, Science, Art, Mathematics, Physical
Education and Religious Education. Additionally, there was a total silence in relation to
gender, race and social class. In Bernsteinian terms, this official curriculum is a
collection type in which “contents are clearly bounded and separated from each other”
(Bernstein, 1975, p. 80). According to Bernstein, the opposite model of curriculum is
the integrated type, in which the “contents stand in an open relation to each other” (ibid.
p. 80).

It is an interesting note that more radical programmes of schooling in cycles have

developed an integrated curriculum and the inclusion of issues such as gender, race and
class (e.g. Citizen School Project and Plural School Project). Bernstein (1975) suggested

47
According to Bernstein (1971), formal educational knowledge can be considered to be realised through
three message systems: curriculum, pedagogy and evaluation. “Curriculum defines what counts as valid
knowledge, pedagogy defines what counts as a valid transmission of knowledge, and evaluation defines
what counts as a valid realization of this knowledge on the part of the taught” (p. 203). The term
‘educational knowledge code’ refers to the underlying principles which shape curriculum, pedagogy and
evaluation. Based on Bates, Ball (1990b, p. 127) added the organisation as the fourth message system.
 142

the movement away from collection to integrated codes symbolizes that there is
a crisis in society’s basic classifications and frames, and therefore a crisis in its
structure of power and principles of control. The movement from this point of
view represents an attempt to de-classify and so alter power structures and
principles of control; in so doing to unfreeze the structuring of knowledge and to
change the boundaries of consciousness. (p. 111)

Previously, the Cycles of Learning Project in Pinewood City was already classified as a
less radical project (Chapter 4), but what is relevant to note is that, despite some
progressive intentions, this policy was not committed to alter power structures and
principles of control. This is evidenced by the continuance of a collection type
curriculum and the mode of policy making and policy implementation (top-down
implemented and without practitioners’ participation).

In terms of pedagogy, the main policy document emphasised that the child should be the
subject of his/her learning. The teaching methods should encourage pupils to have an
active role; to express their opinions, comments and questions. Children should be
motivated to develop critical thinking (mainly in relation to reading) and school
knowledge needed to be aligned to the pupils’ real life (relation between academic and
non-academic knowledge). Individual differences should be respected and met in the
teaching/learning process. Additional classroom support (outside class time) would be
provided for children with learning difficulties in order to guarantee their effective
learning. Broadly speaking, learning was emphasised in the policy document and policy
makers’ discourse. The policy document, for example, mentioned “the school of quality
is one where pupils learn” (SME, 2003, p. 133). Policy makers interviewed often
stressed the importance for the schools to guarantee effective learning and that changes
proposed by the policy were intended to improve the quality of teaching.

In order to meet their commitments to the effective outcomes, policy makers

implemented the ‘external evaluation’, which was a testing of pupils’ performance in
Portuguese and Mathematics carried out annually by the Municipal Secretariat of
Education in some year/groups. According to policy makers, this testing aimed at
“monitoring pupils’ performance” whose results will be used “to provide elements for
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helping schools to improve subjects in which pupils demonstrated lower achievement”

(assistant policy maker 1).

Some contradictions between the model of pedagogy proposed and the collection type
curriculum and testing can be identified. For example, how could teachers articulate
academic and non-academic knowledge if they were dealing with a collection type
curriculum and concerned about their pupils performance in the testing? Another
contradiction refers to school autonomy. According to the policy document, at school
level teachers and heads could define the contents to be achieved within the cycle while
taking into consideration the curriculum guidance elaborated by the Municipal
Secretariat of Education. In reality, this autonomy was relative, since strategies created
for monitoring and controlling schools’ work (e.g. external evaluation and visits of the
members of the Secretariat of Education to schools) seemed to inhibit innovations.

Concerning evaluation, the Cycles of Learning Project proposed formative assessment

to replace the summative assessment. According to the policy document, formative
assessment has a diagnostic and prospective character. Teachers needed to take on the
role of diagnostician, assessing the classroom as a whole as well as children’s individual
needs and their abilities and attainments to provide appropriate feedback. The policy
document promotes the idea that pupils’ individual needs should be met. Moreover, the
decision surrounding promotion or retention of pupils who faced learning difficulties
during the school year was a responsibility of the ‘assessment council’ composed of all
teachers of the cycle, parents’ representatives, headteachers and deputy heads. Such
councils should take into consideration the actions and interventions employed for
supporting the learning of these pupils.

Features of the invisible pedagogy or competence model (Bernstein, 1990, 1996) are
more evident in terms of pedagogy and assessment than in the curriculum. However, the
pedagogy proposed in this policy was not a complete and radical model of invisible
pedagogy because the curriculum remained strongly classified and further strategies of
control and measurement were implemented (external evaluation or testing) leading to
some standardisation of the curriculum.
 144

Regarding school organisation, the policy text considered that deputy heads and
headteachers should provide teachers with curricular support helping them deal with the
teaching/learning process as well as difficulties in relation to how to put the policy into
practice. According to the policy text, teachers and heads “must equally respond by the
teaching/learning process and school outcomes; rethinking, assessing as well as self-
evaluating their own pedagogic practice.” (SME, 2003, p. 12). In other words, it
suggested a less hierarchical relationship between teachers and heads and a weaker
division of tasks inside the schools.

Teacher training was provided at the school and the Secretariat of Education level in
order to support this set of changes. The purpose of such training was ambitious: to
develop teachers’ reflexivity and encourage them to investigate their own pedagogic
practice. In further discussions I will address to what extent the teacher training
provided supported or limited the changes observed.

This brief overview provided a broader picture in relation to what changes were
proposed by the policy. The next section discusses how these proposals were
implemented at classroom level as well as the implications of such changes.

7.2 – The policy inside classrooms: observed changes and their implications

As mentioned in Chapter 2, policies are not just implemented. They are reinterpreted in
the context of practice and shaped at the local level of practice. In this section I will
show that in some aspects of the pedagogic practice few changes were observed.
However, in others, changes have been implemented. Lastly, I will discuss the
implication of such changes on pupils’ learning and continuous progression.

7.2.1 – New policy, old practices

Overall, in the 16 classrooms observed, few changes were identified in the pedagogic
practice. The curriculum in use was strongly classified by subjects. In addition, in all
classes observed, teachers placed more emphasis on Portuguese and Mathematics
 145

activities to the detriment of other areas of the curriculum. During more than 100 hours
of observation of 16 classes, in only six did I observe any activities related to other
subjects (Science, Geography, Physical Education and Arts). This emphasis, however,
was more noticeably present in the first cycle (Year 1, 2 and 3). Although every pupil
received textbooks (Portuguese and Mathematics) and textbooks of Science, and
History and Geography were available in the classroom, the majority of teachers only
occasionally used these books.

According to teachers observed, one of the reasons for emphasising Portuguese and
Mathematics was that those areas were privileged ones in the external evaluation
(carried out by the Secretariat of Education) and, as mentioned in Chapter 6, they were
afraid their pupils would not achieve satisfactory results. In search of other reasons, it is
arguable that the collection type curriculum, teacher training provided and the mode of
implementation did not create conditions wherein teachers go beyond the ‘basic
knowledge’ (literacy and numeracy) and the strongly classified curriculum. Moreover,
teacher training observed at schools and at the Secretariat of Education, teachers’
support provided by deputy heads and policy makers’ speeches emphasised
methodological aspects related to literacy and numeracy.

The curriculum in use was closely linked to assessment and the school report since
teachers must assess students according to targets extracted from the official curriculum,
registering in the school report whether each target was acquired, not acquired or
partially acquired. In 2002, teachers and heads had an opportunity to suggest changes in
the school report. Generally, schools opted for constructing a standardised list of targets
for each subject aimed at facilitating the completion of such reports.

In respect of pedagogy, traditional and teacher-centred activities were predominant. As

shown in Table 7.1, activities classified as ‘traditional’ were more frequent than to
pupil-centred activities.
 146

Table 7.1 – Frequency of teaching/learning activities

Category Number of
occurrences

Traditional activities (Teacher-centred)

(E.g. copy from the board, recapitulation of contents, teacher 81
questions, grammar exercises, dictation, reading following
interpretation)
Progressive activities (Pupil – centred)
(E.g. rewriting, groupwork, reading of children’s literature, 20
self-directed art work, visits)

Classroom observations provided evidence that the framing of pacing was strong (with
some variations) in all classes. In general, the teachers’ style of instruction was
characterised predominantly by explanations and demonstrations for the whole class
followed by identical tasks for all pupils. With the exception of Year 1 classes, pupils
spent the most time copying from the board and working on their work – identical tasks
from notebooks, textbooks or worksheets. Overall, the time spent by teachers in more
explicit teaching was limited (.e.g. situations in which teachers were using explanation
and demonstrations, mediation of small groups’ activities or teaching individual
learners). Frequently, teachers spent a lot of time correcting pupils’ activities and
offering support to pupils who were experiencing difficulties. Due to this style of
teaching and management of time, very often pupils were waiting for individual support
or the next activity without being engaged in any activity.

Despite the variety of pupils’ abilities, teachers considered their classes as a

homogeneous group. Activities proposed usually matched only some of the pupils;
usually those considered by teachers as ‘above average’ or ‘average’ learners. Those
teachers interviewed and observed demonstrated that they were concerned about pupils
who were not progressing, but the majority of the teachers had no idea of what they
could do to manage heterogeneous groups. In three classes, teachers were trying to set
 147

up differentiated tasks for pupils who were facing difficulties48. However, it was not a
regular feature of their everyday practice.

This style of teaching and management of time affected all pupils. However, it seemed
to be more disadvantageous to those pupils at less advanced levels of attainment. In
many classes observed, tasks proposed were overestimated for some students who were
usually left to struggle alone. Generally they were not able to accomplish their tasks and
in several situations observed, they did not receive satisfactory support. Teachers
seemed to be more concerned with the quantity and repetition of activities than with the
quality of instruction and introduction of new subjects.

Other characteristics of the strong pacing rules described by Bernstein (1975, 1990)
were also identified in the classrooms observed. Generally speaking, time and space
were strongly classified and the teachers’ speech was predominant in the majority of the
classes. In general, classrooms were organised in rows, and only occasionally did
teachers create situations in which pupils could learn and work together. Groupwork
and situations in which pupils had a more active role and opportunities for using
narrative and talking were few, according to observation. Although a strong pacing was
a predominant characteristic in all classes observed, there were variations. The framing
of pacing and the framing of relationship between teachers and pupils was weaker in six
classrooms when compared. In these classes, teachers tried to teach all students using
strategies of differentiation or offering stronger support and encouragement to students
with learning difficulties. As will be pointed out later, these strategies helped to
significantly minimise the processes of exclusion and stratification between pupils
inside the classrooms.

With regards to the teacher/pupil relationship, different patterns were observed. In seven
classes observed, the regulative discourse was more implicit and teachers only
occasionally used more imperative strategies of control such as rewarding pupils
verbally, by clapping and giving stickers (less strong framing). In the other nine classes,
the regulative discourse was more explicit and strategies of pupils’ control were more
explicit and frequent (strong framing). The role of internal framing cannot be neglected
48
Teacher Flora (Year 3, Beta School), Teacher Luci (Year 3, Delta School) and Teacher Melissa
(Acceleration Class, Delta School).
 148

within the Cycles of Learning Project since, in theory, teachers should follow the same
class for two or three years.

In classes marked by strong pacing and strong internal framing, stratification between
pupils and processes of exclusion inside the classrooms were more evident. For
example, in a Year 2 class (teacher Linda, Alpha School) due to strong pacing and
strong internal framing, the teacher’s speech was prominent. She taught and presented
instructions to the whole class and proposed identical tasks for all pupils. The five
pupils who faced serious difficulties in following the pacing dropped further and further
behind. In general, support and tolerance for these students was unsatisfactory. As in
other classes observed, children who were lagging behind in teacher Linda’s class
generally were the most socially and economically disadvantaged pupils. Conversely, in
classes where the framing of relationship between teacher and pupils was weak, the
processes of internal exclusion and stratification were less severe and the relationship
between teachers and children with learning difficulties were easy-going. For example,
in one acceleration class observed (Alpha School), teacher Neusa tried to offer support
to all pupils, spending more time with those who had more difficulties. She also was
always encouraging all students and reaffirming that all of them were able to learn and
that she would help them. This sort of framing allowed a more open communication
between teacher and pupils.

The external framing relations between teachers and parents were strong. Parents had
little control over what was happening in the classrooms and also had little information
about changes introduced by the Cycles of Learning Project. Teachers and heads
acknowledged that parents had not been given opportunities to participate in the school
and that they were totally excluded from the implementation of the Cycles of Learning
Project. The majority of the parents only attended schools’ meetings in which they
received a school report on their children, with the exception of Gamma School where
parents were invited by the headteacher to participate in activities carried out in the
school (e.g. celebrations, parties and other events, and occasionally taking part in
decision making regarding non-academic issues). Teachers’ and heads’ opinions about
pupils’ families were further evidence that the external framing was strong. Some
teachers and heads stressed that the family plays an important role in the
 149

teaching/learning process as well as in the pupils’ success in school. Many of them

complained about the lack of support by families (for example, in helping pupils in their
homework). This was less emphasised at Gamma School where 70% of the pupils came
from middle class families. The strong pacing rule of the academic curriculum, as
Bernstein (1990) explained, creates the necessity of two sites of acquisition: the school
and the home. The point that usually is not taken into consideration is that working class
families are less likely to be an effective second site of acquisition. The pattern of
middle class children and families is usually adopted as a reference.

The work the pupil is expected to do at home is, of course, homework. The basis
of homework is usually a textbook. But the textbook requires a context, an
official pedagogic context in the home. That is, a space – a silent space – and
this is not available in the homes of the poor (…). Under these conditions there
cannot be an effective second site of acquisition with an effective official
pedagogic context and support. Without a second site, acquisition will not be
possible, still less so as the child grows older. Failure becomes the expectation
of reality. (Bernstein, 1990, p. 77)

Thus, the principles of the visible pedagogy were strongly present in the pedagogic
practice which was characterised by strong pacing, strong framing (with some variations
of strength) and strong classification of space, time and knowledge. In other words,
essential features of the pedagogic model used in the graded system were being
reproduced within schooling in cycles.

As already mentioned, the Cycles of Learning Project proposed formative assessment.

Teachers should have used assessment information to provide the sort of feedback on
learning that is the raison d’être of formative assessment. Although teachers were
applying diversified means of assessment such as observation of the pupils, examination
of the notebooks and informal tests, the evidence is very weak that teachers were using
this information to provide the feedback needed by pupils. As mentioned earlier,
teachers addressed the classroom as a whole and only eventually established
differentiated or individual teaching.
 150

The complex nature of the policy (invisible pedagogy), the weaknesses of the teacher
training and the weak support provided at school level can be considered the most
relevant aspects which inhibit deeper changes inside the classrooms. As Bernstein
(1990) anticipated, invisible pedagogies require teacher training and imply changes in
the school management. In this study I observed that events of teacher training were
sporadic, discontinuous and in a restricted time. In addition, issues related to
curriculum, pedagogy and assessment were generally approached or discussed only in
passing. As mentioned in Chapter 6, teachers interviewed considered teacher training
insufficient for development of a broader understanding of the policy as well lacking the
necessary knowledge for facing their practical difficulties.

Interviews and observations provided evidence that there were no significant changes in
the school management after the implementation of the policy. Although the policy
documents suggested that teachers and heads must assume the implementation as a
collective effort and equally respond by the teaching/learning process, teachers
complained about the lack of support at school level. Very often, headteachers and
deputy heads were not able to provide the support or information that teachers needed in
relation to how to manage practical problems such as pupils’ learning difficulties or
how to deal with heterogeneous groups.

The relationship established between teachers and heads and the style of school
management affected teachers’ work in a number of ways. At Beta, Gamma and Delta
Schools there was a weak hierarchical relationship between teachers and heads which
allowed negotiations and more collaborative work. In spite of the weak support,
teachers and heads more frequently discussed problems and disagreements related to the
policy. At Alpha School, there was a stronger hierarchy between teachers and heads and
some aspects of the policy were not negotiated (e.g. all teachers had to follow the same
group within the cycle). Due to this, the communication between teachers and heads
was more conflictual and among teachers there was a higher level of dissatisfaction
towards the policy. At certain levels, Alpha School management was reproducing the
sort of hierarchy and relationship established between the Secretariat of Education and
school staff, whose more intriguing features were restrictions in relation to the
possibilities of dialogue and negotiation as well as in relation to the right to participate.
 151

As I have argued, the implementation of the Cycles of Learning Project can be better
understood when the nature of the policy (invisible pedagogy) and the way in which the
policy is implemented are considered.

7.2.2 – Policy benefits and changes in pedagogic practice

The previous section focused on aspects in which changes in the pedagogic practice
were weak. In this section, I will show some beneficial aspects of the policy as well as
changes identified in the pedagogic practice. As Ball (1994a) suggests, it is useful to
avoid the notion that “policy is always negatively responded to, or that policies are
coercive or regressive” (p. 20).

The first beneficial aspect refers to the relaxation of sequencing rules. In addition to
adding one more year to primary education, the Cycles of Learning Project eliminated
the conventional grades and grade retention. This provided more time for pupils to learn
and created more favourable conditions so that continuous progression was guaranteed
within each cycle. Bernstein (1975, 1990) suggested that successful learning depends to
a great extent on the weak framing of sequencing and pacing. According to him, the
strong sequencing rules of a visible pedagogy produce stratification between students,
since those who do not meet the requirements of the sequencing rules “will fall further
and further behind” (1990, p. 74). Moreover, those children who are unable to meet
sequencing rules applied to reading become more dependent upon the teacher and upon
oral forms of discourse.

In this study, teachers of the first and second cycles considered that the relaxation of
time was a beneficial aspect of the policy since it contributed to the continuity of the
learning process, mainly during the first cycle (literacy process), as well as to the
composition of homogeneous groups in terms of pupils’ ages:

“One of the positive aspects of the Cycles of Learning is that now we have three
years for the literacy process. In the past, those children who didn’t attend pre-
school had only one year for the literacy process which led many children to fail
in the first grade which didn’t make sense. It’s essential to have more time,
mainly when you are following the same group throughout the cycle as I’m
doing now.” (Teacher Michele, Year 1, Gamma School)
 152

“It’s interesting to have more time because you know your group and the
difficulties and needs of each pupil. Next year I want to follow the same group
because I know what everyone needs, in which area they have more difficulties.”
(Teacher Leslie, Year 2, Delta School)

“Many teachers disagree with the promotion of all students within the cycle, but
due to this, our classes are basically composed of pupils with the same age,
which sounds positive.” (Teacher Cleuci, Year 5, Beta School)

Although the extension of the time and the elimination of the risk of failure within the
cycle had benefited the large majority of pupils, it is necessary to acknowledge that the
strong pacing which marked the pedagogic practice in the classrooms observed,
drastically reduced the advantages of the relaxation of sequencing rules. As will be
demonstrated in further discussions, the strong pacing and standardisation of tasks did
not allow equal opportunities for pupils’ progress.

The second beneficial aspect identified has to do with the additional classroom support.
The purpose of this was to provide extra lessons outside class time for pupils who
needed extra help in their learning process. Data from classroom observation revealed
that it was beneficial to children. The majority of pupils who attended these classes had
difficulties in the basic literacy process and/or basic numeracy. Throughout the process,
many of them showed significant progress in their learning as well as improvements in
their self-confidence. By being in smaller groups, pupils received more attention and
support for their difficulties. Teachers spent the most time mediating small group
activity or working with individual learners in both classes observed.

Teachers and heads interviewed reaffirmed that the additional classroom support was
one positive aspect of the Cycles of Learning Project. They believed that it was not
enough to eliminate retention but was essential to guarantee appropriate support for
pupils’ learning. Teacher Bernadette’s opinion seems to summarise the impact of
additional classroom support:

“Additional classroom support is very important because children have an

opportunity to improve their learning. There are many children who don’t learn
without help. I’ve received children with many difficulties. After two or three
months they are reading, writing better, and most important, are more interested
and happy. I can’t imagine this project successfully implemented without this
support.” (Teacher Bernadette, Beta School)
 153

Within the literature of schooling in cycles, additional classroom support has been
considered a relevant aspect of the policy (Silva and Davis, 1993; Cortivoni, 1999; M.
Oliveira, 2002; Dorneles, 2004) and it has been provided in the majority of the
programmes of schooling in cycles in Brazil. Although additional classroom support
aims to provide more opportunities for pupils to learn, I would suggest that this
alternative is a necessary repair system49 due to the difficulties arising from weakening
the sequencing and pacing rules, in other words, when departing from a visible
pedagogy towards an invisible pedagogy.

Finally, some changes were observed in the pedagogic practice. These changes refer to
pupils’ assessment without ranking, improvements in literacy and attempts at dealing
with heterogeneous groups. In Chapter 6, I pointed out that the majority of the teachers
had a superficial understanding of the concept of formative assessment and in the
previous section, I indicated that teachers did not use assessment information to provide
the feedback needed by pupils. However, classroom observations showed that all
teachers had abandoned formal tests and examinations as well as the use of ranking or
marks, which had been essential aspects of the graded school system. The use of
ranking and marks has been extensively criticised in Brazil as a way of producing
stratification between students and reinforcing the selectivity of the school system
through summative assessment and retention practices (Freitas, 1995; Luckesi, 1998).
The literature on schooling in cycles has shown that, at least initially, teachers tended to
reject a system without formal examinations and ranking (Mainardes, 1995a;
Guilherme, 1998; Silva, 1990; Rodrigues and Folchini, 1999). Alternatively, some
teachers did not miss the system adopted prior to the policy:

I haven’t been missing tests, exams and marks. I am used to this kind of
assessment. The attention is centred on a pupil individually and on his/her
difficulties as well as on adequate support for his/her learning.” (Teacher Linda,
Alpha School)

“In the past we received the pupil and his/her marks. We didn’t know what they
knew and what they didn’t know. We didn’t have clear information about pupil

49
Within the discussion of social class assumption of visible pedagogies, Bernstein (1990) considered
that the introduction of a repair system for children who failed to meet the sequencing rules is an explicit
and public stratification “within an already stratifying pedagogic practice”` (p.74). In addition, he
indicated two other possibilities: (a) the pacing rules will have to be relaxed so that the child is given
more time to meet the requirements of the sequencing rules, or (b) the pacing and sequencing rules will be
maintained and the quantity or the quality will be reduced.
 154

progress and difficulties. Now we need to know our pupils and we are more
involved with them.” (Teacher Neusa, Alpha School)

It is realistic to consider that the implementation of programmes of schooling in cycles

encourages and challenges teachers to rethink some concepts; for example, in relation to
summative assessment and limitations of retention practices, resulting in changes in
their concepts and beliefs. It might be considered that if teachers had a more active role
in the policy implementation and a more reflective teacher training, they would develop
such concepts and would put them into practice more effectively.

Another change observed relates to improvements in the literacy process. In nine out of
16 classes observed, teachers were interested in improving pupils’ competence in
reading and writing by using a variety of innovative opportunities and experiences. This
included the use of children’s literature, newspapers, and writing in peer groups, among
others. With these, teachers obtained satisfactory results in terms of pupils’ creative and
factual writing plus their development in reading ability. However, due to the strong
pacing and non-recognition of different pupils’ abilities inside the majority of
classrooms, those tasks appeared to be more beneficial to the average or above average
pupils. The following example refers to an attempt at improving reading skills and, at
the same time, to a pedagogic practice in which the pacing was weaker in comparison to
other classes. In an acceleration class, teacher Melissa (Delta School) was interested in
improving the pupils’ reading abilities. Every day she encouraged pupils to read one
lesson at home from the textbook of Portuguese which had been selected through
pupils’ participation. She read the text to pupils in the classroom, established a dialogue
about the text, presented questions to the pupils and then invited pupils to read with
their peers (shared reading). During this time, she helped those pupils experiencing the
most reading difficulties, reading at least one paragraph with them (individually). After
that, she invited some pupils to read one paragraph aloud, including those students that
she knew to be experiencing more difficulties. When she invited pupils with these
difficulties, she provided support by reading with them. She always provided support
and encouragement to all students, concentrating more time and attention on those who
had difficulties in reading. The evaluation criteria were explicit (she let students know
what she was expecting of them) and she offered support instead of demand. The result
 155

was that the activities related to reading were pleasant, pupils demonstrated significant
improvements and they willingly engaged in such activities. In this example, both
teaching and evaluation criteria were more explicit, which helped to create a sort of
pedagogic practice in which all pupils had opportunities to learn and improve reading
skills. In general, her pedagogic practice was a combination of explicit criteria (one
feature of visible pedagogy) and weak pacing (invisible pedagogy) which produced a
more inclusive and equitable classroom. This example is relevant because, in several
classes observed, pupils at the less advanced level were struggling alone in dealing with
overestimated tasks and, generally, receiving weak support.

In the context of this study it is significant to highlight that some teachers were trying to
deal with mixed abilities, setting up differentiated tasks for pupils who were at a less
advanced level. During the observations, I talked informally to teachers Melissa
(acceleration classes) and Luci (Year 3), both at Delta School, about the pupils who
were not following the tasks proposed for the whole class due to their serious
difficulties in literacy. They agreed that those pupils (three children in one class and ten
in the other) were not progressing and agreed to assign them specific activities
regarding literacy as well as to offer them more attention. In spite of irregular help (not
provided daily), these pupils showed significant progress during the school year.
Another teacher observed (teacher Flora, Year 3, Beta School) was also trying to assign
activities for a small group of pupils who were not literate, and the other two teachers
interviewed reported they were trying to manage mixed abilities, occasionally
establishing a differentiating pacing. The common points among these teachers were
the lack of enough knowledge in relation to how to manage heterogeneity in their
classrooms and the lack of encouragement received to do it. The following quote
illustrates this point:

“The policy document mentions that we have to respect individual differences

and to give attention to those children who have more difficulties. It’s very often
repeated in our meetings at the Secretariat and at school, but they don’t say how
to do it. We have to discover it alone, in a process of trial and error”. (Teacher
Jussara, Gamma School)
 156

Up to now, I have discussed aspects in which pedagogic practice did not change and
those in which some changes were identified. The next section analyses the implications
of changes on learning and continuous progression.

7. 3 – The implications of changes on learning and continuous progression

Issues discussed in the last two sections indicated that even though there had been some
changes (e.g. relaxation of sequencing rules, more opportunities for learning through
additional classroom support, assessment without marks and ranking, improvements in
literacy and attempts to set up differentiating pacing), the policy aims were only
partially achieved. There is no evidence to show that teachers in general were working
toward meeting pupils’ different needs; pupils’ continuous progression was not equally
guaranteed for all pupils since processes of exclusion and stratification were identified
and the principles of visible pedagogy remained predominant in the pedagogic practice.

In numbers, the Cycles of Learning Project was able to reduce retention, dropout and
age/grade mismatch significantly. Retention and dropout rates were 12.1% and 0.8% in
2000. In 2003 these rates were 4.2% and 0.4%, respectively. Age/grade mismatch
dropped from 13.1% in 2001 to 2.5% in 200350.

Nevertheless, beyond statistical data it seems essential to analyse this topic in

qualitative terms by exploring the observational data. It is also necessary to question
what these figures mean in the real world, and who are the people compiling such
statistics. This approach can be supported by Besson’s (1992) work, symptomatically
titled “The illusion of statistics”. According to him, very little has been produced in the
area which could be called a ‘sociology of statistics’. The indexes and numbers are only
indicators of ‘social reality’, produced by specific actions which were observed, coded

50
- Until 2000, the municipal education system of Pinewood City accumulated high retention and dropout
rates. For example, in 1988, 18.5% of the students were retained and 8.8% dropped out of the schools.
From 1995 on, these rates had a constant decrease and, as a result, promotion rates had an increase (from
79.1 % in 1995 to 87.1% in 2000). The impact of the implementation of the Cycles of Learning was
immediately observed in 2001, when promotion rates were 97.7%, retention 1.8% and dropout 0.5%.
Promotion, retention and dropout rates, according to grades (from 1988 to 2000) and according to
years/groups (from 2001 to 2003) were provided in Tables 1 and 2 (Appendix 2).
 157

and counted. This indicator gives a more or less satisfactory approximation, depending
on the degree of liaison with the object that is desired to be known. For him, the
confusion between indexes and reality has profound consequences on uses and
interpretations which are assigned to the statistics.

I observed that for some pupils, progression was only formally guaranteed. There were
students who were not progressing in terms of effective learning in all classes observed,
although all pupils were automatically promoted within the cycle. This aspect emerged
as a significant problem when observing the same classrooms during extended periods
of time, I perceived that the same group of pupils were not able to follow the tasks
proposed and did not demonstrate relevant progress.

There was an average of 10 to 15% of the pupils experiencing difficulties while engaged
in the activities proposed in all classes observed. In most cases they received little
attention, and teachers had difficulty managing their time in order to offer them
individual or small group support. Based on these observed situations, I would like to
present the concept of ‘internal exclusion’ to name the process by which pupils remain
isolated inside the classrooms without receiving appropriate support to develop their
learning. By spending time copying (or trying to copy) unfamiliar activities from the
board, trying to follow textbook activities or teacher’s explanations, the experience of
pupils in that situation appeared to be frustrating and unproductive. In the context
investigated, this process was almost imperceptible in Year 1, but more easily observed
in subsequent years and in the acceleration classes.

One example of this process of internal exclusion follows: In Year 2 (teacher Roberto,
Beta School), four out of 27 pupils had serious difficulties in following the tasks
proposed (two boys and two girls). This class was an example of the problems of
implementation once all pupils were placed in Year 2 according to their age; that is,
seven years old. However, for some of them that it was their first year in the school.
According to the headteacher, there had been places for them in Year 1, but parents not
yet familiar with the changes in the educational system opted to leave their children in a
Pre-School maintained by a non-governmental institution.
 158

During the three times I observed this class, four students exhibited difficulties carrying
out the proposed tasks. While the other students were able to read, write and copy
activities from the chalkboard, these four were not yet literate. Their notebooks were
almost empty and most of the time they remained isolated at their desks. They received
attention only when the teacher walked through the classroom to correct notebooks and
help students with difficulties. However, the tasks and the help received were the same
for the whole group, regardless of their individual needs. While talking individually
with these children, I observed that they felt anxious and slightly frustrated at not being
able to accomplish the proposed tasks. Some of them said they preferred the lessons in
the additional classroom support because there they were given tasks at their level and
they received support in accomplishing the more difficult ones. At the end of the 2002
school year, they were promoted to Year 3 and another teacher assumed the group. At
the end of 2003, these four pupils were retained. In the case of these four children,
retention was merely postponed51.

Similar situations were observed in other classes. In spite of being organised in two
cycles (the first composed of three years and the second, two years), the schooling
process still seemed to be organised in regular and isolated school years, as it was in the
graded system. The possibilities of continuous progression and relaxation of sequencing
rules were weakly explored and the pacing was strong. Although teachers were able to
recognise the existence of pupils who were not progressing satisfactorily in their
learning, in general they presented simplistic analyses of its causes and consequences.
For them, it was natural and acceptable to have ‘slow learners’ or pupils ‘almost stuck’
in the classroom. Furthermore, they considered that classrooms became more
heterogeneous after the implementation of the Cycles of Learning Project, and that they
could not manage classroom groups more effectively due to class size and lack of
preparation and guidance in dealing with this. Deputy heads, in turn, in spite of
recognising the importance of the differentiation of the teaching, assumed that they did
not have enough background to support teachers’ work in relation to such an aspect.
The policy makers’ opinion in relation to difficulties in guaranteeing continuous

51
Freitas (1991, 2002a) coined the expression ‘postponed exclusion’, which is useful in understanding the
process in which pupils are promoted without receiving adequate support for their distinct learning needs
and are finally retained at the end of the cycle. Freitas (2002a) claims that the concept of ‘postponed
exclusion’ is similar to the concept of ‘soft’ or ‘mild’ exclusion’ used by Bourdieu.
 159

progression also seemed to be simplistic. According to the Municipal Secretary of

Education, it was already a problematic aspect in the graded system. And, according to
an assistant policy maker interviewed:

“teachers don’t know how to manage heterogeneous groups and many of them
don’t try to do anything about addressing this problem” (Assistant policy maker
1, September 2003).

In this case, as Bernstein (1990) reminds us, inequalities and class assumptions can also
be reproduced in presumably progressive policies. In fact, many pupils excluded were
among the more economically and socially disadvantaged. In addition, as some teachers
attested, their families did not always make efforts to encourage them to attend the
additional classroom support or even help them with their homework. In other words,
many excluded children did not have “an effective second site of acquisition”
(Bernstein, 1990, p.77).

It is a matter of interest that Linch’s (2002) research on schooling organised in cycles in

Porto Alegre City (Citizen School Project) found similar findings. In her case study, she
identified situations which she called ‘mechanisms of hidden exclusion’ in the
classrooms. According to her, such a mechanism “is not an isolated fact, but a set of
movements which occurred in the teacher-learner interaction through gestures,
expressions, words and looks”. (p. 37). She also states, “many times, situations in which
pupils are put aside, abandoned or eliminated in the classroom and in the school are not
noticed or understood by those involved as an excluding process” (ibid. p. 37).
Although issues related to ‘internal exclusion’ and teachers’ difficulties in dealing with
mixed abilities classes have usually not been discussed within the literature, I would
suggest that they must be seriously considered. The second political strategy (preparing
teachers to deal with heterogeneous groups) presented in the final chapter is intended to
be a contribution to this.
 160

Conclusion

This chapter illustrated that policy intentions were only partially achieved in the context
of practice. Although the policy had provided more time for pupils’ learning, adding
one year to primary education and eliminating the possibilities of failure (relaxation of
the sequencing rules) and expanding opportunities for pupils’ learning in the additional
classroom support, the framing of pacing remained strong. The overall conclusion of
this chapter is that, despite some policy benefits, the pedagogic practice in the Cycles of
Learning Project did not guarantee equal opportunities for pupils’ learning, since
processes of internal exclusion and stratification between students were reproduced. As
an invisible pedagogy, the implementation of this policy required, among other aspects,
stronger teacher training and deeper changes in school management (e.g. stronger
support at school level).

The commitment to the creation of a more equal, democratic52 and non-selective

educational system was identified in both the policy document and policy makers’
discourse. However, the criteria adopted by policy makers to assess what should be
counted as success privileged the policy outcomes in terms of indexes. Although such
figures can be considered indicators of the ‘efficacy’ of the policy, they do not reveal
processes which can be identified only at the micro level of the policy (classrooms).

Classroom observations showed that the Cycles of Learning Project did not eliminate
inequalities of outcome or success inside the classrooms. According to Lynch (2000),
equality of outcome or success represents the most radical conception of equality which
is found within liberal education discourse. It is measured in terms of the educational
attainments or success rates of marginalised groups within education. Equality of access
represents the minimalist conception whereby equality is defined in terms of access to
different levels of education for relatively disadvantaged groups within a stratified
society and educational system. Equal participation represents a stage beyond access,
where equality is measured in terms of participation rates rather than just access rates.

52
Democratic in a sense that the Cycles of Learning Project was an attempt to overcome the
authoritarianism against students which characterised the graded system through retention, exclusion and
selectivity. This was expressed in the policy document (SME, 2003).
 161

However, according to Lynch (2000), liberal definitions of equality are but one possible
set of definitions. According to her, a radical perspective suggested by Richard
Tawney53, considers that while equality of access/participation/outcome are important,
they tend to ignore fundamental problems of inequality of condition:

First, they do not address extant power and income differentials between social
groups affecting their abilities to avail of opportunities in the first place. Second,
they do not adequately address issues of equal status or respect which are
fundamental to the realization of equality between groups differentially located
in the cultural, ethnic, ability, religious, sexual, and other hierarchies in society.
Third, they do not treat the content of education itself as fundamentally
problematic. (Lynch, 2000, p. 94)

In the case of the Cycles of Learning Project, the impact of the policy on different
localised groupings based on ability and social class were more evident, but the impact
on other aspects need to be investigated in depth.

53
Tawney, R. (1964). Equality. London: Allen and Unwin.
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CHAPTER 8

CONCLUSION

The Cycles of Learning Project in Pinewood City was used as the starting point for
understanding the implementation process of schooling in cycles in Brazil from a
broader and more critical perspective. This thesis argues that two essential aspects of the
question should be taken into account to understand the policy being researched: the
way in which the policy is implemented and its complex nature (invisible pedagogy). As
emphasised throughout this study, these two aspects are interrelated and, taken together,
offer substantial elements for understanding this policy from a broader perspective.

Chapters 5 to 7 discuss the implementation of the Cycles of Learning Project in

Pinewood City, addressing the first three contexts of the policy cycle: the context of
influence, the context of text production and the context of practice. The last two
contexts of the policy cycle; that is, the context of outcomes and the context of political
strategy (Ball, 1994a) will be examined later in this chapter.

The discussion centring on the nature of this policy is one of the most important
contributions of this thesis to its field of research. To date, the nature of the policy has
not been explored in depth within the literature. Bernstein’s descriptions of the invisible
pedagogies offered tools for categorising schooling in cycles as an invisible pedagogy,
since this policy seeks to provide pupils with more time for learning (relaxation of
sequencing and pacing rules), to encourage a child centred-approach in terms of
pedagogy and assessment, and the use of more implicit and diffuse evaluation criteria.
This categorisation offered meaningful concepts for understanding why the
implementation of schooling in cycles in Brazil has been difficult; for example, the cost
of transmission in this pedagogic model and its requirements in terms of teacher training
and changes in school management. In addition, Bernstein’s work offered elements for
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understanding that inequalities (arising, for example, from processes of exclusion and
stratifications between students) can be reproduced even within policies considered
progressive and inclusive.

The purpose of this chapter is threefold. First, to provide a summary of the conclusions
reached in the empirical side of the research, the limitations of the study and issues for
further research. Second, to ‘complete’ the policy cycle approach. Stephen Ball (Ball,
1994a) extended his original model of the policy cycle to address some of the more
structural issues that need to be considered. I will therefore examine the implications of
my research for the context of outcomes and the context of political strategy. Finally, I
conclude by discussing the current debate over schooling in cycles and the contributions
that this thesis can make to the debate and this field of research. I opted for this order
because it seemed the most logical way to achieve the aims of the chapter; i.e., to
summarise the main findings, ‘complete’ the policy cycle and point out the
contributions of the thesis to the debate about schooling in cycles in Brazil.

8.1 – A summary of conclusions

This section summarises the conclusions of this research and raises concerns about the
limitations of the research and issues for further research. As discussed in Chapter 5,
three levels of influence were considered in relation to the context of influence:
global/international, national and local levels. The emergence of schooling in cycles in
Brazil is related to the flow of ideas through both social and political networks. The
implementation of the first Cycles of Learning Project in the municipal educational
system of São Paulo City (1992) was influenced by similar policies which were being
implemented in France (1989) which were designed to move away from schooling in
grades and grade retention. However, as discussed in Chapter 4, several (small-scale)
non-retention programmes were initiated in Brazil, in the late 1950s. These programmes
were intended to reduce high retention rates which have been one of the most serious
problems in Brazilian education since the graded system was first implemented in 1890.
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International influence is still being exerted, especially through the publication of books
and articles translated from French. The model of Cycles of Learning which has been
outlined by the Swiss academic, Perrenoud (e.g. Perrenoud, 1999, 2004a, 2004b) is
predominant within the context of Brazil. At an international level, schooling in cycles
is linked to the rhetoric of an inclusive society since, in theory, schooling in cycles
works against exclusion, retention and failure, and endorses equal opportunities for
learning and a model of education in which pupils’ individual needs can be met.

The Brazilian programmes of schooling in cycles, however, have not been a mere
response to international trends and influences. These influences have been
recontextualised and recreated within the Brazilian context. At an international level,
the policy discourse has declared its aims to overcome school failure and implementing
a policy which respects students’ individual needs and learning rates. At a national
level, however, schooling in cycles has been considered a progressive and inclusive
policy whose discourse involves concepts such as the democratisation of access to
school, democratisation of knowledge and a way of improving the quality of the
educational system.

In Brazil, schooling in cycles was incorporated into the official discourse, in particular
by the Workers’ Party. After a period of time, this policy became one of the main planks
of this political party’s educational plans. At a local level, the most relevant influence
was the result of the year 2000’s municipal elections when a Workers’ Party came to
power. As a result of this, from 2001 onwards, several measures aimed at improving the
conditions of the more impoverished of the population began to be implemented. These
included the creation of spaces for the participation of the people in the decision-making
process through a specific strategy called Participatory Budget, improvements in basic
sanitation and health services, street paving, construction of nursery schools and
classrooms in schools where there was a clear lack of access to educational
opportunities, renovation of the school buildings, implementation of computer rooms in
15 schools, improvement in the quality of school meals, distribution of materials for the
school and pupils and educational opportunities for adults. While in a number of
Workers’ Party administrations, schooling in cycles has been implemented gradually
and in a participatory and democratic way, the Cycles of Learning Project was top-down
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implemented. Practitioners at a school level were not included in the policy making
process or in the policy text production. The policy document was characterised as
being readerly text and some inconsistencies and contradictions were identified. For
example, practitioners at a school level were put in a negative position; some relevant
concepts were only mentioned in passing (formative assessment and how to manage
heterogeneous groups) and the curriculum recommended in the same policy document
remained strongly classified (a collection type).

Chapter 6 addressed the opinions and experiences of teachers and heads in the
implementation of the Cycles of Learning Project. This chapter reiterated the main
argument of the thesis, by arguing that the problems and dilemmas faced by teachers
and heads in dealing with policy implementation were related to external and internal
factors. The external factors referred to the way in which the policy was implemented
(top-down). The internal factors, in turn, were related to the nature of the policy
(invisible pedagogy). Taken together, these two aspects offered elements for
understanding the difficulties and dilemmas of the implementation process. In the case
of Pinewood City, the top-down implementation and the lack of instances of
participation in the policy making and policy implementation emerged as a considerable
barrier to the implementation process. Furthermore, several weaknesses related to the
nature of the policy were pointed out by respondents with regard to the unsatisfactory
teacher training, curricular support and infrastructure available in schools. As there was
a lack of instances of practitioners’ participation in the context of policy text production
as well as throughout the implementation process, the teachers and heads were
considered to be mere consumers and implementers of policies rather than producers.

The context of practice was explored in Chapter 7. Overall, few changes were identified
in the pedagogic practice. The policy provided more time for pupils’ learning (through a
relaxation of sequencing rules). However, the pacing rules remained strong, and this did
not allow equal opportunities for learning. The most relevant findings refer to the
processes of internal exclusion and stratifications between pupils inside the classrooms.
Some aspects of the policy were considered beneficial, such as the provision of more
time for pupils to learn without the possibility of retention; additional classroom support
for pupils with learning difficulties and changes in the pedagogic practice in some
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classrooms (assessment of pupils which did not involve ranking, improvements in

literacy and attempts at dealing with heterogeneous groups). Nevertheless, these
changes did not affect pupils equally. The overall conclusion of Chapter 7 is that the
Cycles of Learning Project was reproducing some of the inequalities of the graded
system and this was borne out by the processes of internal exclusion and stratification
inside the classrooms.

It is also important to reflect on the limitations of the research as well as recommend

relevant topics for further research. One of the main limitations is that the research
draws on a small-scale programme of schooling in cycles (one city) and a small sample
(only four schools and interviews with 28 teachers and heads, four policy makers and
one representative of the teachers’ union). A study consisting of a small sample offers
limited scope for generalisation. Despite this, it managed to yield valuable data about
practitioners’ perceptions and the ways the policy was put into practice at school and in
the classroom that have relevance beyond the specific cases investigated. Moreover, a
number of relevant concepts were extracted and formulated throughout the research
process (e.g. limitations of top-down implementation, the role of participation, and
process of internal exclusion and stratification between pupils, among others). Another
limiting factor was that of time restriction. Although classroom observation was carried
out in one complete school year (2003) plus a half year (2002), situations of internal
exclusion and postponed retention and exclusion require a long period of time for
observations and analysis.

With regard to further research, I would like to point out that the impact of the policy on
race and gender deserves serious consideration. In this study, I drew attention to the
impact of the policy on different groups depending on social class and ability. As Apple
has suggested, any analysis of the discourses and policies “must critically examine their
class and race and gender effects at the level of who benefits from their specific
institutionalisations and from their contradictory functions within real terrains of social
power.” (Apple, 2001, p. 421). It would be of particular value to carry out studies on
gender within schooling in cycles because it is an invisible pedagogy. Bernstein (1990)
foresaw that from a cognitive and social point of view, girls “are less likely to be
negatively constrained by invisible pedagogies than visible pedagogies. Conversely, for
boys, under an invisible pedagogy practice, girls become successful competitors and a
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threat.” (p. 82). The contradictions of the policy discourse related to schooling in cycles
within the Workers’ Party administrations and what should be counted as equitable
practices in programmes of schooling could also be explored in further research.

After having summarised the main findings related to the first three contexts of the
policy cycle and pointed out the limitations and possibilities for further research, I will
‘complete’ the policy cycle by addressing its last two contexts.

8.2 - Completing the policy cycle approach

8.2.1 - The context of outcomes

According to Ball (1994a), the context of outcomes refers to the relationship between
first order effects and second order effects. First order effects are changes in practice or
structure (which are evident in particular sites and across the system as a whole), and
second order effects are the impact of these changes on patterns of social access,
opportunity and social justice.

The implementation of the Cycles of Learning Project as summarised in Chapter 7

advocated changes in the organisation of schooling, curriculum, assessment and
pedagogy. The most robust changes refer to the breakdown of the graded system and
elimination of retention within the cycles (organisation of the schooling) and the
introduction of formative assessment. When the teachers and heads who were
interviewed talked about ‘radical changes’, they were generally referring to the
elimination of retention within the cycle and changes in the way pupils are assessed.
The proposed changes to the curriculum and pedagogy were less radical. The
curriculum which was recommended remained a collection type, strongly classified, and
changes in pedagogy in the policy text were only superficial. The interviews and
observations revealed that changes in the organisation of the schooling and assessment
practices were given greater priority in the policy implementation than changes in
curriculum and pedagogy. This emphasis was identified, for example, in teacher training
activities observed at the Secretariat of Education and at school levels.
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First order effects were observed with regard to change in particular areas in school
practice which resulted from the implementation of the Cycles of Learning Project and
improvements in working conditions. The following impacts were relevant to school
practice insofar as:
(a) all students were enrolled by age and promoted within the cycle regardless of
their achievement. At the end of the cycles, the teachers and heads decided
about the pupils’ progress, considering that retention should occur in
exceptional cases. In 2000, retention and dropout rates were 12.1% and 0.8%
respectively. In the subsequent years, retention dropped to 1.8%, 6.1% and
4.2%. Dropout rates also reduced to 0.5%, 0.3% and 0.4% respectively in the
period from 2001 to 2003 (Appendix 2)
(b) the creation of acceleration classes reduced age/grade mismatch rates
significantly from 13.1% in 2001 to 2.4% in 2004 (Appendix 2) and the classes
became more homogeneous in terms of age
(c) teachers abandoned the use of tests, exams and marks, and tried to deal with
assessment on a more qualitative basis
(d) pupils who were facing learning difficulties had extra help through additional
classroom support
(e) teachers and heads were encouraged by the policy itself and by policy makers
and members of the Secretariat of Education staff to rethink and reflect more
seriously on issues such as retention practices, assessment, pupils’ learning and
collective responsibilities for pupils’ learning.

With regard to improvement in working conditions, teachers had a weekly time for
planning, more teachers were assigned54, the infrastructure of the schools was upgraded,
the funds granted to schools increased, schools received extra financial resources for
purchasing children’ books at the Municipal Book Fair (held annually by the Secretariat
of Education), the quality of school meals improved, computer rooms were created in
15 schools and the municipal administration provided all pupils with their uniforms and

54
More teachers had to be employed because of the expansion of the number of municipal schools. This
was caused by the ‘municipalisation’ of the first years of primary education as well as the inclusion of
an extra year in primary education. In 2000, the municipal education system consisted of 1,053 teachers
(including headteachers and deputy heads). This number increased progressively: in 2001: 1,200 teachers,
2002: 1,354 teachers, 2003: 1,373 teachers and in 2004: 1,464 teachers (Appendix 2).
 169

basic materials. As a result of these improvements, there was a remarkable improvement

in the school environment. Both the Mayor of the city and the Municipal Secretary of
Education stressed in their speeches and interviews that schools were being transformed
not only in terms of physical spaces, but also in terms of pedagogic practice and also
that retention was being reduced significantly. As Ball (1998a) suggests, “policies are
both systems of values and symbolic values; ways of representing, accounting for and
legitimating political decisions. Policies are articulated both to achieve material effects
and to manufacture support for those effects.” (p. 124). In this situation, an effective
policy must have outcomes which can be celebrated: an increase in the educational
budget; an increase in the number of pupils, schools and teachers; the reduction of rates
of retention, dropout and age/grade mismatch; the number of students who attended
additional classroom support; the number of nursery schools built, the increase of the
access to nursery education, among other indexes and figures which were shown to
celebrate the success of the Cycles of Learning Project as well as the educational
change. Indeed, these changes were real. These first order effects can be acknowledged
as legitimate and responsible for bringing about important improvements in the
provision of education.

The retention of first graders is one example of the advantages of the Cycles of
Learning Project as well as of the first order effects. While prior to the introduction of
the Cycles of Learning Project an average of 21% to 30% of first graders failed and
were retained in municipal schools (Appendix 2), from 2001, pupils started primary
education at 6 years old and had three years to complete the first cycle. Instead of tests
and grades, assessment practices were (or should have been) applied to measure the
pupil’s progress. Pupils with learning difficulties received help from additional
classroom support. In view of the fact that the catchment area of the majority of the
municipal schools in Pinewood is drawn from lower working-class communities, such
changes contributed to offering better educational opportunities for the pupils.

However, as discussed in Chapter 7, the impact of the policy was not equal. For some
pupils, continuous progression was only guaranteed in formal terms. As the pacing of
teaching remained strong and the teachers were in favour of giving every student
identical tasks, the processes of internal exclusion and stratification occurred inside the
classrooms, and affected the less academically able pupils. Additional classroom
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support and some initiatives on the part of the teachers in establishing differentiation in
the teaching were not enough to minimise inequalities observed in the classrooms.

Taking into consideration the first order effects and limitations of the policy mentioned
above, the implementation of the Cycles of Learning Project in Pinewood City, at least
in its first three years of implementation, had little impact on second order effects.
Although better educational opportunities had been offered to pupils, the reproduction
of inequalities through the processes of internal exclusion and stratifications inside the
classrooms, as well as the non-democratic and non-participatory implementation, did
not significantly alter patterns of social access, opportunity and social justice. The
content of education (the knowledge acquired throughout the educational process) and a
realisation of a radical equality between groups which show marked differences in terms
of class, gender, race and ability bears testimony to the fact that powerful actions are
still needed to consolidate the second order effects. The mode of implementation was
included here because it strengthened the hierarchy between practitioners and policy
makers and did not create opportunities where teachers could experience democratic
values during the implementation of the policy, nor in procedures which would become
more democratic in both the internal framing of schools (the relationship between
members of the school staff) and the relationship between the school and families.

Until now, this study has provided a summary of the main findings related to the
context of influence, text production and context of practice as well as reflection on the
context of outcomes. However, the last context of the policy cycle is lacking. The last
context, the context of political strategy, as Ball (1994a) says, is begged. This context
requires reflection on political strategies to tackle inequalities. In the same way,
Bernstein also considered that to point out the way to achieving more effective practice
is an important consequence of research. Textually, Bernstein and Brannen (1996)
remind us that “to disturb is an important consequence of research; to point out the way
to more effective practice is equally and perhaps a more important consequence” (p. 1).
Thus, the next section discusses issues related to how inequalities could be tackled,
considering the potentials of schooling in cycles as a progressive and emancipatory
policy.
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8.2.2 - The context of political strategy

Ball (1994a) maintains that, policies should be analysed in terms of their impact upon
interactions with existing inequalities and forms of injustice. The question of the fifth
context is begged and refers to the identification of a set of political and social activities
which might tackle inequalities more effectively. Thus, the analysis of this context
requires two serious tasks: a return to the bigger picture of social inequalities and, in the
light of the particular case investigated, raising general issues which should be
considered in order to tackle inequalities. These matters can be addressed by means of
the following political strategies:

(a) The significance of democracy and participation in the implementation of schooling

in cycles
(b) The preparation of teachers to deal with heterogeneous groups
(c) The necessary integration of curriculum, pedagogy, assessment, organisation and
teacher training in programmes of schooling in cycles
(d) The need to regard democracy, equality, and social justice as explicit and deliberate
goals in the educational system.

Democracy and participation

The first political strategy is the broadest one: schooling in cycles (and educational
policies in general) must be implemented in a democratic and participatory way.
Throughout this thesis, I have stressed that top-down implementation and the lack of
genuine instances for effective practitioners’ participation were the most serious barriers
to the implementation process. Chapter 6 explored the problem that teachers and heads
considered that their voices were unheard and they felt themselves to be merely carrying
out others people’s ideas. Bernstein’s (1996) concept of ‘the right to participate’ which
has already been mentioned is helpful in understanding the relevance of participation to
bringing about transformation and implementation of progressive and emancipatory
educational policies. When talking about ‘democracy and pedagogic rights’, Bernstein
(1996) refers to three rights; namely (a) the right to individual enhancement, (b) the
right to be included and (c) the right to participate. Regarding the right to participate, he
claims:
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Participation is not only about discourse, about discussion, it is about practice,

and practice that must have outcomes. The third right, then, is the right to
participate in procedures whereby order is constructed, maintained and changed.
It is the right to participate in the construction, maintenance and transformation
of order. Participation is the condition for civic practice, and operates at the
level of politics. (p. 7)

It is necessary to distinguish between different types of participation. Abers (2000a)

makes the distinction between ‘empowering’ and ‘instrumental’ participation. While the
former aims to increase the influence of citizens on decision-making and enable their
own personal development, the latter is merely a more efficient way of achieving
government policy goals. Her definition of empowering participatory policy was that it
must be open to those hitherto excluded, involve discussion rather than just
implementation and involve effective citizen control. In her view,

[A]ttempts to redistribute decision-making power and state resources to

traditionally excluded groups must have widespread political support if they are
to be long lasting. Progressive political groups must discover how to creatively
use policy-making to attend the interests of a wide spectrum of groups without
‘selling out’ their radical programs. (Abers, 2000b, p. 81)

For the following reasons, schooling in cycles has the potential to bring about a more
democratic and non-selective educational system. First, it challenges the selectivity and
inequalities of the graded system. Although some inequalities are likely to be
reproduced within schooling in cycles, the consequences of leaving inequalities intact
are worse. Perhaps one of the contributions of programmes of schooling in cycles is to
lead practitioners to rethink their concept of education and pedagogic practice. Second,
schooling in cycles is an opportunity to engage teachers in the process of creating “an
education that highlights and opposes in practice social inequalities of many kinds”
(Apple, 1996). Finally, if followed by effective and consistent proposals of change in
curriculum, pedagogy and assessment, schooling in cycles would be an adequate
alternative for creating a democratic and non-selective educational system. However,
without democracy and participation these potentials are dramatically inhibited, as was
illustrated by the case investigated.
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A legitimate process of democratisation should be undertaken in every area of the

educational system. This presupposes that the democratisation of the relationships
prevails inside the Secretariat of Education, between the Secretariat of Education and
schools, inside the schools and classrooms and between the school and community
through, for example, the creation of school councils and other procedures aimed at
strengthening parents’ participation. The concept of ‘dialogic democracy’ proposed by
Giddens (1994) is useful at this point. In his view, dialogic democratisation is not an
extension of liberal democracy or even a complement to it. Dialogic democracy is not
primarily about the rights or the representation of interests. Rather, “it concerns the
furthering of cultural cosmopolitanism and is a prime building-block of that connection
of autonomy and solidarity” (p. 112) and “encourages the democratizing of democracy
within the sphere of the liberal democratic polity” (p. 113). In addition, dialogic
democracy (a) is not necessarily oriented to the achieving of consensus, (b) presumes
only that dialogue in a public space provides a means of living along with others in a
relation of mutual tolerance – whether that ‘other’ be an individual or a global
community of religious believers, (c) stands in opposition to fundamentalism of all
types and (d) presupposes a dialogue which is free from coercion, and occupies a public
space aiming at creating an atmosphere of mutual tolerance: “the very framework of the
democratic system – or of the relationship – is open to ‘public’ discussion” (p. 119).
Several interviewees mentioned the lack of discussion and opportunities for dialogue
throughout the implementation process. They rejected the authoritarian and non-
participatory mode of implementation used by the Secretariat of Education and favoured
a model of implementation which included dialogue and discussion.

It is relevant to highlight the issue of democracy and participation, since programmes of

schooling in cycles have been mainly implemented by the Workers’ Party
administrations, a leftwing party which has stressed the importance of democracy and
participation in its rhetoric. In some cases, the Workers’ Party administration was able
to set up a democratic educational system as in the case of the Citizen School Project (in
Porto Alegre City), which has been internationally acknowledged as a successful
programme and an example of the implementation of critical pedagogy (Gandin 2002,
Gandin and Apple, 2002a, 2002b, 2003; Fischman and MacLaren, 2000).
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When one examines the research on programmes of schooling in cycles within

Workers’ Party administrations (including my own research), two problems related to
democracy and participation need to be stressed: the pitfall of implementing
programmes of schooling in cycles as a ‘regime of truth’55 and the non-recognition of
the teachers’ knowledge and experiences.

Programmes of schooling in cycles have been regarded in a number of places as an

unquestionable discourse, or in Foucauldian terms, as a ‘regime of truth’. Those who
disagree with the policy are usually labelled as ‘conservative’ or resistant. Within the
relevant literature, the argument concerning ‘teachers’ resistance’ has also been widely
used to explain why teachers have tended to be hostile towards the policy, only willing
to incorporate changes advocated by the policy in a superficial way or else
accommodating the policy to their ‘own beliefs’ and previous practices.

Gandin’s (2002) analysis of the Citizen School Project in Porto Alegre is helpful in
illustrating the contradictions of this left wing party. He states that the field of critical
theory in Brazil, and elsewhere, has also stressed the need for self-criticism, especially
around issues of ‘vanguardism’. He shows that policy makers who often see their
project as the ‘only way of doing it right’ or, in other words, a ‘regime of truth’, would
do better service by seeing it for what it actually is, a proposal needing continuous
evaluation and criticism as it is implemented. A ‘regime of truth’ not only inhibits the
possibilities of implementing policies in a more democratic way, but also contributes to
reinforcing and enlarging the gap between policy and practice, as well as between
policy makers’ and the views of practitioners. The lack of self-criticism and the
implementation of policies as a ‘regime of truth’ by left wing parties, as is the case of
the Workers’ Party, frustrated practiotioners. Those respondents who linked the
implementation process with political issues expressed their frustration in relation to
how the Cycles of Learning Project was being implemented in Pinewood City because
they had been expecting another type of governance; that is, one that was democratic
and participatory.

55
According to Foucault, “each society has its régime of truth, its ‘general politics’ of truth: that is, the
types of discourse which it accepts and makes function as true; the mechanism and instances which
enable one to distinguish true and false statements, the means by which each is sanctioned; the techniques
and procedures accorded valued in the acquisition of truth; the status of those who are charged with
saying what counts as true.” (Foucault, 1980, p. 131)
 175

The second problem is the lack of recognition of the teachers’ knowledge and
experiences which has been reported both in programmes of schooling in cycles from
the 1980s onwards, and in pioneering programmes (from 1958 to the 1980s). In this
thesis, however, I deliberately avoid labelling practitioners as resistant, in order to
explain the gap that exists between policy and practice as well as between policy
makers’ and practitioners’ opinions. Rather, in keeping with the theoretical frameworks
adopted I have suggested that (a) the implementation of the Cycles of Learning involves
a complex change in code: a change from a visible pedagogy to principles of an
invisible pedagogy, which requires more financial resources, teacher training and
changes in school management; (b) top-down implementation and the lack of instances
for teachers’ participation in policy making and policy implementation inhibit the
teachers’ critical understanding and acceptance of the policy and (c) practitioners
reinterpret the policies in the light of their own histories, experiences, values and
interests. My view is that teachers’ knowledge must always be taken into consideration
when the goal is to implement progressive reforms and that the ‘right to participate’
(Bernstein, 1996) is crucial and should be meticulously observed.

Preparing teachers to deal with heterogeneous groups

The second political strategy refers to the need to prepare teachers to deal with
heterogeneous groups. As noted in Chapter 7, teachers experienced difficulties in
dealing with heterogeneous groups inside the classroom. In addition to keeping a strong
pacing of teaching, teachers set identical tasks for all the pupils which flagrantly
excluded the lowest-achieving students. Pupils were promoted, but continuous
progression was not guaranteed.

The processes of internal exclusion and stratifications inside classrooms revealed that
the selectivity, inequalities and authoritarianism associated with the graded system can
be reproduced in schooling in cycles. Broadly, the question which should be posed is,
‘How can a non-selective, egalitarian and democratic school be created?’, and more
specifically, ‘How can teachers teach all pupils in their classes on an equal footing
and, not just the advantaged ones?’ These questions are complex but some alternatives
could be considered, such as mixed-pedagogy (Morais and Neves, 2001; Morais, 2002
 176

and Morais et al, 2004) and explicit instruction (Rose, 2004), both of which are based
on Bernstein’s and Vygotsky’s work.

Morais and Neves (2001), Morais (2002) and Morais et al (2004) argue that it is
necessary to move beyond simple dichotomies of visible versus invisible pedagogies.
Building on Bernstein’s work, they argue for a ‘mixed-pedagogy’ which delineates
ways to mix visible and invisible pedagogical elements in order to provide marginalised
students with access to privileged codes and curricular content while also preparing
them to think critically and to question authority. These authors show that it is possible
to weaken the framing of pacing without significantly increasing the amount of time a
school has to offer children. Although their research focused on the teaching of Science
in primary education, the main conclusions are helpful for creating a new model
of pedagogic practice in which every student is granted an opportunity to learn
effectively. In order to create conditions for weakening the framing of pacing, they
suggested the following changes to the pedagogic practice:
(a) the classification between teachers’ and children’s spaces should be weak so that
there are open communication relations between teacher-children and child-child
and between academic and non-academic knowledge
(b) teachers must exert their authority to make evaluation criteria explicit (strong
framing of evaluation criteria) while also weakening the hierarchical nature of
the teacher-student relationship (weak framing of hierarchical rules); and
(c) the boundaries between various subjects should be blurred (weak classification
between contents and strong intra-disciplinary relations).

In this sort of pedagogic practice, the internal framing (relationship between teachers
and pupils) is weak, which should allow open communication between teacher and
pupils. This is an important feature in any pedagogic relationship, and essential for
children who need special support for learning. As evaluation criteria are explicit,
teachers can more seriously follow up the pupils’ progress with the sort of feedback
they need. Teaching and learning are equally prized in this mixed-pedagogy. Teachers
are encouraged to assume their role as mediators while at the same time planning
activities in which pupils can play an active role, since there would be spaces for
children’s work and initiatives. It is worth stressing this point since several programmes
 177

of schooling in cycles have managed to enhance the pupils’ learning, while not making
the teachers’ role and strengths explicit.

Rose (2004) strengthens the argument for a necessary link between what he calls
‘explicit instruction’ and weakened framing over pacing and sequencing rules for
disadvantaged pupils. He claims that the reason some learners are disadvantaged is that
the school curriculum is paced to the speed of middle-class learners who have learned to
read at home, not to disadvantaged ones who have not. The solution, for Rose, is to
relax the pacing and sequencing of the formal curriculum and to teach ‘explicitly’
(reading, for example) by means of ‘scaffolding’. This Vygotskian notion might, from a
Bernsteinian perspective, be regarded as a form of invisible pedagogy, where the
framing over teacher/pupil relations is relaxed and where sometimes the criteria are not
made explicit at the outset, but where the learner is led, gradually, to discover them.

This ‘explicit instruction’ is a worthwhile contribution, since in this type of pedagogic

practice, teachers assume the role of mediators; demonstrating, showing or teaching the
whole class, carrying out small group activities or teaching individual learners. This sort
of pedagogic practice conflicts with the practices of the classrooms observed in this
research. In all the classrooms observed, most of the time the pupils were working on
their own work (with a notebook, textbook or worksheet); that is, undertaking the
identical tasks that had been set for the whole class. Only a few negligible instances
were observed during the school day when teachers employed teaching strategies which
could be described as explicit instruction.

Both the alternatives of ‘mixed pedagogy’ and ‘explicit instruction’ aimed at

contributing to making classrooms more equitable classrooms where “all children
succeed at school” (Morais et al, 2004, p. 86). Rose (2004) puts forward the view that
teachers should be trained “to teach equally all students in their classes, and not only the
elite.” (p. 106). In addition, both alternatives acknowledge that teacher training is
crucial to create this sort of pedagogic practice. Morais (2002) believes that this new
approach is dependent on teachers changing their pedagogic principles and ideology. In
her opinion,
 178

effective training of teachers that makes them aware of the meaning and effects
of their actions, and gives them the opportunity to change their practices, may
also be expensive but would be more efficient than increasing indiscriminately
the time allowed for acquisition. (p. 561)

Although the variation of pacing and differentiated pacing are implied within a
weakened framing of pacing, I would like to stress that such variation and
differentiation seems to be a significant alternative to ameliorate the situations of
internal exclusion in two classrooms observed, as mentioned in Chapter 7.

However, the alternatives mentioned above (mixed pedagogy and explicit instruction)
also require teacher training and other limitations and weaknesses could probably be
found within them. The point is that these alternatives are research-based and were
designed to explicitly create equitable classrooms. Furthermore, these alternatives go
beyond the dichotomies of visible versus invisible pedagogies and the limitations of
both models discussed by Bernstein (1975, 1990). Thus, they can be considered within
this attempt at developing political strategies to tackle inequalities.

Schooling in cycles as an integrated policy

Some programmes of schooling in cycles have made disproportionate claims for

changes in curriculum, pedagogy, assessment and school organisation. In the case of
Pinewood City, changes in the system of pupils’ promotion and pupils’ assessment were
heavily underlined while changes in curriculum and pedagogy were neglected. On the
basis of the case in Pinewood City as well as research on schooling in cycles, I shall
suggest that curriculum, pedagogy, assessment, school organisation and teacher training
have to be integrated organically. In addition, together with Apple’s and Beanne’s
(1996) ideas already mentioned in Chapter 6, it is important to conclude that decisions
in relation to the policy should guarantee practitioners’ participation. Instances of
parents’ participation also need to be created. A policy which integrates such issues can
be considered another strategy to tackle inequalities because it would be a policy that is
not only committed to changes in the system of pupils’ promotion and assessment, but a
policy committed to a more substantial alteration of the school system.
 179

Democracy, equality and social justice as explicit and deliberate goals of the
educational system

The policy discourse of schooling in cycles in Brazil is usually associated with

progressive ideas such as democratisation, inclusion and improved quality of the
education in state schools. Furthermore, this policy has been adopted by the Workers’
Party and by leftist intellectuals as a progressive and innovative policy. Despite this, this
research suggests that inequalities and exclusions are reproduced in such policies
(Chapter 7) and that, in general, the progressive discourse encountered in policy texts
and policy makers’ speech is rarely incorporated by practitioners at a school level
(Chapter 6). In addition, the same conclusions have been suggested by other studies on
schooling in cycles (Cruz, 1994, Carvalho, 2001; Carneiro, 2002; Linch, 2002;
Rodriguez, 2002; M.L. Becher, 2004, Pooli and Costa, 2004).

Bearing these conclusions in mind, the last political strategy to be pointed out refers to
the need to regard equality, democracy and social justice as explicit and deliberate goals
of the educational system. In other words, this political strategy puts forward the notion
that these principles should be adopted as targets to be achieved collectively. It is hard
work and involves many other political strategies, including some of which have
already been examined in this chapter; for example, to implement programmes of
schooling in cycles in a democratic and participatory way rather than a top-down
implementation and as a ‘regime of truth’, to prepare teachers for dealing with
heterogeneous groups and to construct policies which alter not only the system of
promotion, but also curriculum, assessment and pedagogy.

Several Brazilian programmes of schooling in cycles have been incorporated and

disseminated principles of critical pedagogies, and these experiments have been
politically and theoretically important in the attempt to create more democratic and
egalitarian educational systems. However, the capacity for achieving such purposes
varies from one locale to another. Forces such as the ideology of the group in power,
economic and political conditions (at a local level), power of special interest groups
(teachers’ unions and neighbourhood associations, etc), the values and beliefs of
politicians and policy makers and the level of political commitment to implementing
changes, among others, interplay in each local policy. Another factor is that the
 180

discourses which have underpinned progressive policies are sometimes diffuse and
unclear. Concepts such as democratisation of knowledge, inclusion and equity are
repeatedly employed by policy makers and in policy documents, but such concepts are
not explored and in general, at school level, practitioners have no idea what these
concepts really mean or what kind of implications they entail. Critical pedagogy, as
Apple (2000) puts it, “cannot and will not occur in a vacuum” (p. 250). In his view, the
development of critical pedagogies requires more proximate and long-term tasks:

In the long term, we need to ‘develop a political project that is both local yet
generalizable, systematic without making Eurocentric, masculinist claims to
essential and universal truths about human subjects’ (Luke, 1995). Another part
of our task, though, must be and is more proximate, more appropriately
educational. Defensible, articulate and fully fleshed-out alternative critical and
progressive policies and practices in curriculum, teaching and evaluation need to
be developed and made widely available. (p.250)

The point that Apple is making here is that the proposals and language of critical
pedagogies need to be clearer and more explicit: “what critical pedagogies actually look
like when put into practice – not only their theoretical elaborations – needs to be much
more visible than we have been apt to do” (p. 253). In the same way, the values of
democracy, equality and social justice need to be enhanced and adopted not just as
rhetoric but as explicit and deliberate aims of the programmes of schooling in cycles.

These four political strategies offer elements for rethinking the implementation of
programmes of schooling in cycles. In addition, as with other issues discussed in this
thesis, these strategies are designed to be a contribution to the field of research as well
as to the debate over schooling in cycles in Brazil. As discussed in Chapter 4, Brazilian
studies on schooling in cycles and its implementation have not contributed to
understanding this policy in a broader context and from a critical perspective perhaps on
account of the lack of supporting theories and the restricted access to them. The absence
of theory, as Ball (1995) argues,

(…) leaves the researcher prey to unexamined, unreflexive preconceptions and

dangerously naïve ontological and epistemological a prioris”. (p. 266). Theory
offers “a language of challenge, and modes of thought, other than those
articulated for us by dominant others. It provides a language of rigour and irony
rather than contingency. The purpose of such theory is to de-familiarise present
 181

practices and categories, to make them seem less self-evident and necessary, and
to open up spaces for the intervention of new forms of experience. (…) Theory
provides this possibility, the possibility of disidentification – the effect working
‘on and against’ prevailing practices of ideological subjection. (…) Theories
offer another language, a language of distance, of irony, of imagination. (p. 265-
67)

Taken together, the theoretical frameworks applied in this study offered a ‘strong
grammar’ and a consistent ‘language of description’ for analysing the Cycles of
Learning in its double dimension (implementation and nature) and successfully
achieving the aims of the research and its research questions. The policy cycle has
shown itself to be a useful heuristic tool which provided an important analytical strategy
for analysing the policy trajectory as well as the policy intentions and effects.
Bernstein’s work offered a strong conceptual structure to understand the nature of the
policy investigated and the policy discourse. The research design and the theoretical
frameworks applied in this thesis allowed issues to be addressed which have been
normally excluded from the debate on schooling in cycles as well as issues which have
only been occasionally explored. The development of policy discourse (Chapter 4),
trajectory analysis of one programme (Chapter 5, 6 and 7) and the nature of policy
(invisible pedagogy) are examples of issues which have been excluded. The analysis of
the policy inside the classroom (classroom observation) and interviews with policy
makers, in turn, are examples of issues which have only been occasionally explored.

8.3 - The current debate over schooling in cycles

In April 2004, when I was in the middle of writing up this thesis, the Brazilian
newspapers were headlining a statement taken from a speech by President Lula at the
opening of the International Book Bienal of São Paulo (Bienal do Livro de São Paulo).
During his speech he criticised the absence of tests and examinations and recommended
that the Minister of Education create a more consistent national testing programme,
literally stating the following: “We have to repair this historical mistake of education in
our country. If there is no testing, we might be producing illiterates inside the
classroom.” (Folha online, 2004)
 182

Although indirectly, he was in effect criticising the educational systems which adopt
schooling in cycles or continued progression regime. The President’s statement
reignited the debate over schooling in cycles, especially because schooling in cycles is a
central plank of the Workers’ Party, the political party of the President. A number of
critiques, comments and answers were published after his statement. The largest number
of comments stemmed from advocates of non-retention policies. However, some
advocates of retention also expressed their opinions, supporting of the President’s
statement.

In a letter sent to the President of the Republic and made available on the internet, the
Municipal Secretary of Education of Porto Alegre, Maria de Fátima Baierle, stated that
the programme of schooling in cycles implemented in Porto Alegre and in other cities
administered by the Workers’ Party is not concerned with the system of ‘automatic
progression’ [Continued Progression Regime] which has been implemented in some
state educational systems like São Paulo and Minas Gerais. According to her letter, the
system of ‘automatic progression’ leaves a false impression about learning since the
pupils’ learning difficulties are not assessed and individual differences are not taken
account of. In her view, automatic progression is “the traditional school (organised in
grades) which guarantees the promotion of all students at the end of the year” (Porto
Alegre, 2004, p. 1).

She pointed out that schooling in cycles is an appropriate alternative to the selectivity of
the educational system. She argued that this policy offers more time for pupils’ learning;
assessment of pupils is continuous, profound and allows teachers to provide the support
needed by the pupil; students remain within their age group and additional classroom
support is provided for students with learning difficulties. Finally, she reasoned that the
majority of the Brazilian state schools are still organised in a grading system (62.2% in
2002) and, as such, the programmes of schooling in cycles cannot be isolated as the
culprits that cause the low performance level of pupils during national testing.

The contents of this letter have been included in this discussion because it perfectly
summarises the rhetoric of schooling in cycles in Brazil which has been advocated by
the official discourse (especially in Workers’ Party administrations at the municipal
level) as well as by the pedagogic discourse (academic researchers). In both fields,
 183

official and pedagogic, schooling in cycles has been accepted as a progressive,

innovative and vanguard policy and a suitable alternative to the graded system. Within
the relevant literature, few authors have disagreed with schooling in cycles (e.g. Demo,
1998; Grossi, 2000) and the idea that schooling in cycles could reproduce the
weaknesses and inequalities of the graded system has hardly ever been considered
(Carvalho, 2001; Linch, 2002).

However, this study (together with several others on implementation of schooling in

cycles) has demonstrated that there exists an enormous gap between the policy rhetoric
of the official and pedagogic discourse and the practitioners’ opinions. In addition, there
is a gap between policy and practice. Within the debate, the argument of teachers’
resistance has been employed (and overemphasised) as the most culpable reason for this
gap. As mentioned earlier, this research shows that difficulties surrounding the policy
have been linked more to the mode of implementation (top-down orientation) and to the
complex nature of the policy (invisible pedagogy) than opposition to it. In addition, this
study is questioning the validity of using teachers’ resistance to justify these gaps.

Another aspect of the debate over schooling in cycles, which also emerged in some
comments made about President Lula’s statement, lies in the confusion between cycles
and the continued progression regime. Many academic researchers and journalists,
among others, have considered both policies as being similar. As discussed in Chapter
4, the continued progression regime is a conservative version of schooling in cycles,
while programmes of Cycles of Learning and Cycles of Formation constitute the
progressive version.

As already mentioned, within the continued progression regime, grades remained and
retention is possible only at the end of the 4th and 8th grades. This policy appears to be
focused on reducing retention rates rather than on bringing about effective changes in
the educational system. As a result of this, teacher training and the suggested changes in
curriculum, assessment and pedagogy are more superficial.

In programmes of schooling in cycles, pupils are enrolled and promoted according to

age and retention is possible only in exceptional cases at the end of each cycle of two or
three years. At least theoretically (and rhetorically), programmes of schooling in cycles
 184

is designed to implement more profound changes in the educational system. The policy
rhetoric is more sophisticated and usually these programmes have been advocated by
governments which are committed to equality and social inclusion not only in
education, but also in other sectors.

Owing to these differences, I recommend that for analytical purposes as well as for
compiling a review of the literature, the continued progression regime and schooling in
cycles should be kept distinctly separate (Chapter 4). The confusion between cycles and
the continued progression regime does not contribute to a clearer understanding of
either policy.

Within the debate, the continued progression regime has been frequently accused by the
Brazilian media of offering a ‘weak’ education in which many students in the 6th or 7th
grades, for example, exhibit serious difficulties in reading and writing. In addition, there
are several studies criticising the poor results of such programmes, particularly with
regard to the level of students’ mastery of knowledge (Fontana, 2000; Viégas, 2002,
Freitas, 2003). Conversely, both the media and researchers have underlined the positive
aspects of the programmes of schooling in cycles. One of the reasons the continued
progression regime has been criticised is that this policy is implemented in all the
schools in the state educational systems of São Paulo State and Minas Gerais State
which offer more visible outcomes. Programmes of schooling in cycles are usually
implemented in municipal educational systems involving a smaller number of pupils.

There are, however, other more complex reasons. The first point is that the rhetoric of
programmes of schooling in cycles is more sophisticated, and the policy itself is more
seductive and persuasive than the continued progression regime. By promoting concepts
such as democratisation of access, democratisation of knowledge, inclusion, equality of
educational opportunities and respect for pupils’ individual differences, schooling in
cycles becomes more acceptable and respectable. Indeed, in many cases this rhetoric is
an explicit commitment to the creation of non-selective and democratic schools.
However, as mentioned in the last issue of the context of political strategy, sometimes
such concepts became rhetorical. The second point refers to the role of the pedagogic
recontextualising field (PRF). As already mentioned, many academic researchers have
regarded schooling in cycles as a beneficial alternative. Some of them have stressed the
 185

progressive and innovative character of the programmes of schooling in cycles and the
conservative character of the continued progression regime (Arroyo, 1999, Freitas,
2003).

As a final reflection, I would like to reiterate that the values which informed this
research and its analysis, cited in the introductory chapter (democracy, the right to
participate and equality), also appear in the manifesto of the Workers’ Party. However,
as discussed throughout this thesis, these values have not been realised, at least not in
the sector of education. In addition, what were identified as gains in Pinewood City (as
a result of the implementation of the Cycles of Learning Project) seem to be much fewer
than what a leftwing party could be offering to achieve democracy, equity and social
inclusion. Besides the gap between policy agenda and practice, such contradictions
support the conclusion that the field of critical pedagogy in Brazil needs to be reinforced
in both theory and practice. In a period of conservative restoration, as Apple (2000)
reminds us, the multiple projects of critical education are indeed crucial. The failure of
progressive parties to guarantee radical democracy and educational equality can open up
a space for conservative political parties (and their agendas) to win back power and
discourage those practitioners and researchers who want to support such critical
pedagogies. It is increasingly necessary to believe it is possible to create an education
that “highlights and opposes in practice social inequalities of many kinds, helps students
to investigate how their world and their lives have come to be what they are, and
seriously considers what might be done to bring about substantial alterations of this.”
(Apple, 1996, p. 107-108).
 186

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 212

APPENDICES

Appendix 1
Statistical data - Brazil

Table 1.1 – Promotion, retention and dropout rates - Primary Education – Brazil
(Total), 1991- 2000.
1991 1994 1996 1998 2000
Promotion 63.6 68.7 71.8 78.3 77.3
Retention 18.1 16.4 13.9 9.7 10.7
Dropout 18.3 14.9 14.3 12.0 12.0

Source: Brasil (2003). Ministry of Education

Table 1.2 - Age/grade mismatch - Primary Education – Brazil (1991-2000)

Year 1991 1994 1996 1998 2000

Rate (%) 64.1 62.7 47.0 47.2 41.7

Source: Brasil (2003). Ministry of Education

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Appendix 2
Statistical data - Municipal Educational System in Pinewood City
Table 1 – Promotion, retention and dropout – Municipal Schools in Pinewood City –
1988/2000
Year Rates 1st grade 2nd grade 3rd grade 4th grade Total
1988 Promotion 63.3 72.7 76.9 82.6 72.7
Retention 26.4 18.9 15.2 9.6 18.5
Dropout 10.3 8.4 7.9 7.8 8.8
1989 Promotion 64.2 74.6 77.5 83.0 73.5
Retention 26.5 16.9 13.9 9.3 17.9
Dropout 9.3 8.5 8.6 7.7 8.6
1990 Promotion 66.3 77.9 78.5 84.2 75.3
Retention 24.2 16.4 15.3 9.8 17.6
Dropout 9.5 5.7 6.2 6.0 7.1
1991 Promotion 66.4 76.1 79.9 85.2 75.7
Retention 25.7 18.9 15.0 9.9 18.3
Dropout 7.9 5.0 5.1 4.9 6.0
1992 Promotion 65.1 74.8 80.6 87.9 76.2
Retention 27.1 20.2 14.3 8.1 18.2
Dropout 7,8 5.0 5.1 4.0 5.6
1993 Promotion 66.0 76.9 82.8 86.9 76.5
Retention 26.8 18.6 12.7 9.2 18.2
Dropout 7.2 4.5 4.5 3.9 5.3
1994 Promotion 65.5 78.5 82.6 88.6 77.2
Retention 29.2 18.0 12.8 8.1 18.5
Dropout 5.3 3.5 4.6 3.3 4.3
1995 Promotion 68.9 81.3 84.0 88.7 79.1
Retention 25.6 16.2 13.0 8.4 17.2
Dropout 5.5 2.5 3.0 2.9 3.7
1996 Promotion 70.4 81.2 84.7 90.5 80.6
Retention 25.8 16.6 13.5 7.6 16.9
Dropout 3.8 2.2 1.8 1.9 2.5
1997 Promotion 70.5 83.5 87.9 92.6 82.4
Retention 28.0 15.5 10.8 6.2 16.3
Dropout 1.5 1.0 1.3 1.2 1.3
1998 Promotion 77.5 92.0 95.8 96.8 89.6
Retention 21.1 7.3 3.1 1.9 9.3
Dropout 1.4 0.7 1.1 1.3 1.1
1999 Promotion 76.2 89.9 93.8 96.4 88.2
Retention 22.5 9.5 5.4 2.7 10.9
Dropout 1.3 0.6 0.8 0.9 0.9
2000 Promotion 77.0 89.0 90.5 94.8 87.1
Retention 21.8 10.4 8.8 4.4 12.1
Dropout 1.2 0.6 0.7 0.8 0.8
Source: Municipal Secretariat of Education of Pinewood City.
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Table 2 - Promotion, retention and dropout – Municipal Schools in Pinewood City

2001/2003 – Cycles of Learning Project.

Year Rates Year 1 Year 2 Year 3 Year 4 Year 5 Acceleration Total

Classes
2001 Promotion 98.9 99.2 97.4 96.8 97.0 95.9 97.7
Retention 0.0 0.3 2.4 2.8 2.6 3.4 1.8
Dropout 1.1 0.5 0.2 0.4 0.4 0.7 0.5
2002 Promotion 99.5 99.1 85.9 98.6 94.3 64.5 93.6
Retention 0.0 0.7 14.0 1.2 5.5 34.3 6.1
Dropout 0.5 0.2 0.1 0.2 0.2 1.2 0.3
2003 Promotion 99.5 98.8 88.0 99.2 92.8 96.7 95.4
Retention 0.0 1.0 11.9 0.5 6.8 0.0 4.2
Dropout 0.5 0.2 0.1 0.3 0.4 3.3 0.4
Source: Municipal Secretariat of Education of Pinewood

Table 3 - Age/Grade mismatch in municipal schools in Pinewood City – 2001/2004

Year Total pupils Total pupils in Percentage

enrolled age/grade mismatch
2001 22,009 2,892 13.1
2002 26,469 1,466 5.5
2003 26,126 657 2.5
2004 25,492 622 2.4
Source: Municipal Secretariat of Education of Pinewood City.

Table 4 - Municipal Educational System in Pinewood City – General figures

(2002/2004)

Year Nursery Schools Primary Schools

Number of Number of Number of Number of Number of
Community Nursery Governmental Primary Schools Pupils teachers and
Schools and number Nursery Schools and heads
of children (*) number of children
2000 ** ** 74 19,416 1,053
2001 24 18 74 22,009 1,200
(1,690 children) (1,030 chidren)
2002 23 19 84 26,469 1,354
(1,859 children) (1,043 children)
2003 20 23 84 26,126 1,373
(1,670 children) (1,828 children)
2004 20 26 84 25,492 1,464
(1,670 children) (2,466 children)
Source: Municipal Secretariat of Education of Pinewood City
(*) Community Nursery Schools are administered by churches, neighbourhood associations and non-
government organisation, who receive financial resources from the public municipal administration.
(**) Data not available
 215

Appendix 3
Interview Protocol
Municipal Secretary of Education of Pinewood City

1 - When you took office in 2001 what was the situation in the municipal educational
system?

2 - Why did the Municipal Secretariat of Education decide to implement the “Cycles of
Learning Project” in the first year of administration?

3 – How was the project designed? Who coordinated the policy-making process? Did
the local project suffer any influence from projects in progress in other parts of Brazil?

4 – Who participated in the policy making process and in the elaboration of policy
documents?

5 - In your opinion what are the main difficulties in the implementation of the “Cycles
of Learning Project”?

6 – What is your evaluation of the outcomes of the project? Are they satisfactory?

7 – Do you think there is any kind of teachers’ resistance to the project?

8 – Concerning financial resources, is schooling in cycles more expensive than the

conventional graded system?

9 - What are the benefits and advantages of schools organised in cycles?

10 – Has there been any curricular restructuring along with the implementation of the
“Cycles of Learning Project”? If so, how was it constructed?

11 – What is your opinion about students’ assessment in this project? Has it been
understood by teachers?
 216

12 – Are there any concerns about the future of the project?

13 – Has the school staff participated in the implementation process?

14 - Are there actions related to democratisation of the school and educational system as
a whole?

15 – Has the Secretariat of Education offered support and guidance for school staff?
What is your opinion about this?

15 – How have the teachers prepared to work on this project? What is your opinion
about this? Are there strategies for Secretariat staff preparation?

16 – In this current municipal administration several actions towards improvement of

education have been developed (*). How important is the “Cycles of Learning Project”
to these actions?

(*) E.g. the incorporation of the nursery school in the educational system, Projects of
Adults and Adolescents Education, municipalisation of the primary schools, paid time
for teacher planning, improvement of school infrastructure, evaluation of students’
performance through exams (Portuguese and Maths), Participatory Budget.
 217

Appendix 4
Interview protocol
Special advisor to the Secretary – Director of the Department of Education
(Assistant policy maker 1)

1 – Did you take part in the policy making process? What is your opinion about how
this process was conducted?

2 - In your opinion what are the main difficulties in the implementation of the “Cycles
of Learning Project”?

3 – Do you think there is any kind of teachers’ resistance to the project?

4 – Has the Secretariat of Education offered support and guidance for school staff?
What is your opinion about this?

5 – Is there any strategy of preparation by the Secretariat of Education staff regarding

the implementation of the Cycles of Learning Project?

6 - What is your opinion about conditions available in the municipal schools (working
conditions, physical space, teachers’ preparation, support to schools) to implement this
project?

7 - What is your evaluation of the outcome of the project? Is it satisfactory?

8 - Has the school staff participated in the implementation process?

9 - Are there actions related to democratisation of the school and educational system as
a whole? (e.g. schools councils, forums, etc.)
 218

Appendix 5
Interview protocol
Coordinator of the Acceleration Classes Programme
Assistant policy maker 2

1 – What is your function within the “Cycles of Learning Project”?

2 - In your opinion, what are the main difficulties in implementation of the “Cycles of
Learning project”?

3 – What is the relevance of Acceleration Classes and Additional Classroom Support

within the “Cycles of Learning Project”?

4 – What is your opinion about teachers’ involvement and achievement, specifically

those who work in the Acceleration classes and Additional Classroom Support?

5 – Do you think there is any kind of teachers’ resistance to the project?

6 - What is your opinion about students’ assessment in this Project? Has it been
understood by teachers?

7 - How was the project designed? Who coordinated the policy making process? What
is your opinion about this process?

8 – What is your opinion about conditions available in the municipal schools (working
conditions, physical space, teachers preparation, support to schools) to implement this
project?

9 - Has the Secretariat of Education offered support and guidance for school staff? What
is your opinion about this?
 219

Appendix 6
Interview protocol
Coordinator of Continuing Education Programme
Assistant policy maker 3

1 – What is your function within the “Cycles of Learning Project”?

2 - In your opinion what are the main difficulties in implementation of the “Cycles of
Learning project”?

3 – Do you think there is any kind of teachers’ resistance to the project?

4 - How was the project designed? Who coordinated the policy making process? What
is your opinion about this process?

5 – What is your opinion about conditions available in the municipal schools (working
conditions, physical space, teachers preparation, support to schools) to implement this
project?

6 – What are the programmes of continuing education in progress?

7 – Can schools develop their own strategies of teachers’ continuing education ?

8 - Are there courses or other events in which specific issues related to schooling
organised in cycles are discussed?

9 – How are the courses and themes chosen to be offered to teachers?

 220

Appendix 7
Interview protocol
President of the Teachers’ Union – Pinewood City

1 – How would you describe the relationship between the Teachers’ Union and the
Municipal Secretariat of Education?

2 – What is your assessment of the policies which have been carried out by this current
municipal administration?

3 – Has the Teachers’ Union had an opportunity for participation in policy making and
discussions about policy implementation of the Cycles of Learning Project?

4 – What is your opinion about the Cycles of Learning Project?

5 – What is your opinion about the impact of the Cycles of Learning Project on the
quality of teaching?

6 – Do you think there is any kind of teachers` resistance to the project?

7 – Was there any issue related to the Cycles of Learning Project in which the Teachers’
Union had to interfere?
 221

Appendix 8 – Questionnaire for teachers

Pinewood City, 22nd April 2002.

Dear Teacher:

I am developing a research about “Non-retention policies in the school routine: an

analysis of implementation of the Cycles of learning Project in the Municipal Education
System of Pinewood City - Paraná State – Brazil”.

This study is part of my doctoral research at the Institute of Education - University of

London. I intend to analyse opinion and perceptions of teachers and other professionals
which work in municipal schools in Pinewood City - Paraná.

Therefore, I would be very grateful if you could complete this questionnaire and return
it to me as soon as possible.

All data collected will be absolutely confidential. Information identifying yourself or

your school will not be disclosed under any circumstances.

Before you complete the questionnaire, please read the following instructions carefully.
It will not take more than 15 minutes to answer this questionnaire.
Instructions:
- Answer the questionnaire as frankly as you possibly can
- If you are unable to answer any particular questions, please go on to the next
- Cross (x) the multiple-alternative questions
- Use the spaces provided to add any information or comment you find necessary.
- Use the back of the sheet if you need more space for your answers.

Thanking you in anticipation,

Jefferson Mainardes
 222

Part I – Personal/Professional information

1. Name: (Your name will not be disclosed under any circumstances. A

pseudonym will be used when reporting the findings of the study).

2 . E-mail:

3. Phone number:
Home
School Mobile

4. Sex:

Female
Male

5. Age:

20-25
26-30
31-35
36-40
41-45
46 and over

6. Working place (s) - 2002

Morning Afternoon

School: School:
__________________________________ _____________________________

Position: Position: _________________________

________________________________

Age/Grade with which you work Age/Grade with which you work:
_____________ ___________

Type of contract
Type of contract
Municipal Government Municipal Government
State Government (permanent) State Government (permanent)
State Government (temporary) State Government (temporary)
 223

Working place (s) (2001)

School:
_________________________________________________________________________

Age/grade with which you work? _____________________

7. Experience in Municipal Education System:

Less than 2 years

2 – 5 years
6 – 10 years
11 – 15 years
16 – 20 years
More than 20 years

8 . Pre-Service Courses
,

8.1 – High School: _____________________________________________

8.2 – Undergraduate:
Course: __________________________
( ) Concluded ( ) In progress

8.3 – Others: ____________________________

Parte II – Opinion about “Cycles of learning Project”

1 – What is your opinion of the “Cycles of learning Project”?

Strongly agree
Agree
Neutral
Disagree
Strongly disagree
 224

1.1 - What main reasons influence the above choice?

2 – Were you working in the Municipal Education System in 2001, when the “Cycles
of Learning Project” was implemented ?

Yes
No

If you answered Yes, please to answer the next item :

2.1 – How do you evaluate the first year of implementation of the “Cycles of learning
Project” in Municipal Education System?

Very good
Good
Satisfactory
Poor
Very poor

3 – In your opinion what are the main problems that have appeared at the school with
the implementation of the “Cycles of Learning Project”?

4 – Have you received guidance and support to implement this project?

Yes
No

If you chose YES, please answer::

4.1- Who has given this guidance?
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4.2 – How do you evaluate this guidance?

Very good
Good
Satisfactory
Poor
Very poor

5 – In your opinion, the material and pedagogical conditions (Additional Classroom

Support, number of pupils in the classroom, pedagogical materials, guidance and
support for teachers) available in your school are:

Very good
Good
Satisfactory
Poor
Very poor

6 – Do you have any personal comments about this project? Please, use space below.

7 – Would you like to participate of this research which has as its objective to analyse
the implementation of the “Cycles of Learning Project” in Municipal Educational
System through being interviewed?
Yes
No

Thank you very much for your time and contribution

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Appendix 9
Interview protocol – Teachers

Personal information:
Sex: Age:

Pre-service Courses:
Age/group(s) with which you work?
Length of experience:
Length of experience in the school organised in cycles:

I - Questions related to the Cycles of Learning Project

1 – What is your opinion about the Cycles of Learning Project? (strongly agree, agree,
agree up to a point disagree, strongly disagree).
2 – In your opinion what is the impact of this policy on pupils’ performance and on
teaching quality?
3 – What are the main problems and difficulties that have emerged in the school’s
everyday practice? How have you faced them?
4- Have you received guidance and support? From whom? What is your assessment of
this?
5 – Have you had an opportunity for in-service teacher training ? (e.g. workshops,
lectures, courses). What is your opinion about them? Is there any specific approach to
schooling in cycles during these events?
6 – What have you experienced with this policy? Do you consider it a successful or
unsuccessful experiment?
7 – Have you had an opportunity for participation in policy making and discussions
about policy implementation?
8 – What is your opinion about the “Curriculum Guidelines”?
9 - What is your opinion about infrastructure available in the schools? What is missing?
What could be improved?
10 – What is your opinion about the pupils’ assessment with this policy? What is your
opinion about the school report?
11 - Do you know why schooling organised in cycles has been adopted in Brazil? Do
you know what aspects contributed to the emergency need for this policy in Brazil?
 227

12 – Do you think there is any kind of teacher resistance to the project?

13 – What is your opinion regarding retention practices?
14 – What is your opinion about meetings for discussions carried out in the school and
about the time allotted for planning?
15 – Is your group heterogeneous? How have you dealt with this?

II - General concepts
1 – In your opinion, how do children learn? What are the factors which contribute to
effective learning?
2 – In your opinion, what are the causes of children’s diversified learning pace?
3 – What do you think are the causes of school failure? How could the school help
children with learning difficulties?
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Appendix 10
Interview protocol – Headteachers and deputy heads

Personal information:
Sex: Age:

Pre-Service Courses:
Undergraduate course:
Age/group(s) with which you work?
Length of experience:
Length of experience in the school organised in cycles:

I - Questions related to the Cycles of Learning Project

1 – What is your opinion about the Cycles of Learning Project? (strongly agree, agree,
agree up to a point disagree, strongly disagree).
2 - In your opinion what is the impact of this policy on pupils’ performance and on
teaching quality?
3 - What are the main problems and difficulties that have emerged in the school’s
everyday practice? How have you faced them?
4 – What kind of interventions have you provided to support teachers’ work?
5 - Have you had an opportunity for professional development? (e.g. workshops,
lectures, courses). What is your opinion about them? Is there any specific approach to
schooling in cycles during these events?
6 – What has happened during the implementation of the Cycles of Learning Project
in this school?
7 - Have you had an opportunity for participation in policy making and discussions
about policy implementation?
8 – What is your opinion about the “Curriculum Guidelines”?
9 – How would you describe the relationship between this school and the Municipal
Secretariat of Education?
10 - What is your opinion about infrastructure available in the schools? What is
missing? What could be improved?
11 - What is your opinion about the pupils’ assessment with this policy? What is your
opinion about the school report?
 229

12 - What is your opinion about meetings for discussions carried out in the school and
about the time allotted for planning?
13 - Do you think there is any kind of teacher resistance to the project?
14 - What is your opinion regarding retention practices?

II - General concepts
1 – In your opinion, how do children learn? What are the factors which contribute to
effective learning?
2 – In your opinion, what are the causes of children’s diversified learning pace?
3 – What do you think are the causes of school failure? How could the school help
children with learning difficulties?
 230

Appendix 11 –

Information and consent form – Interviews

I am a lecturer at the local State University. I am developing research about “Non-

retention policies in Brazil” including fieldwork in schools from Pinewood City –
Paraná State. I am interviewing teachers, headteachers and deputy heads of State Public
Schools and Municipal Public Schools. This research is being developed as a Doctoral
Thesis for the Institute of Education, University of London.

I would appreciate your participation as an interviewee. All data will be written up

anonymously, and any analysis or interim findings which emerge will additionally
disguise the identity and position of any individuals whose words are quoted.

Please, complete the statements bellow

1 – I am willing to participate in the research project describe above
( ) Yes
( ) No

Signed ………………………………………………………….
School …………………………………………….
Date: ………………….
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Appendix 12

Classroom observation protocol

Background information
School name:________________________________
Teacher name:_______________________
Year/group:_________________________
Date: ____________ Start time: _________ End time: __________

1 – Classroom arrangement
(a) Number of pupils
(b) Classroom arrangement

2 – Teaching and learning

(a) Activities developed during the observation

(b) Teaching strategies

(c) Contents

(d) Curricular materials

(e) Interaction and communication between teacher and pupils

(f) Assessment practices

(g) More specific issues:

- How are pupils of different abilities grouped?
- To what extent do pupils receive different or similar tasks?
- How does teacher support pupils who have learning difficulties?

3 – Summary
(a) Relevant issues for the purpose of the research which arose from observation:

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