Dissertation_Final Draft_LI

University
of
East
Anglia

School
of
International
Development

Race,
Inequality
&
Fairness

A
MIXED-‐METHODS
APPROACH
EXAMINING
PERCEPTIONS
OF
BRAZILIAN

UNIVERSITY
STUDENTS
TOWARDS
AFFIRMATIVE
ACTION

Student
Registration
Number:
6256082

Supervisor:
Professor
Peter-‐Lloyd_Sherlock

A
dissertation
submitted
towards
the
degree
of
BA
at
the
University
of
East
Anglia,

January
2014.

i

Table
of
Contents

Abstract
...............................................................................................................................
i

Acknowledgements
.............................................................................................................
i

1.Introduction
....................................................................................................................
1

2.Summary
.........................................................................................................................
2

3.What
do
Race,
Colour
and
Identity
Mean
in
Brazil?
..........................................................
3

4.What
is
Inequality
in
Brazil?
.............................................................................................
4

5.What
is
Affirmative
Action
...............................................................................................
5

6.Affirmative
Action
in
Brazil:
Key
Features
........................................................................
6

7.Racial
Quotas
in
Brazilian
Universities:
The
Rationale
......................................................
9

8.Methodology
.................................................................................................................
11

8.1-‐Fieldwork
Approach
.............................................................................................................
11

8.2-‐Approach
Rationale
.............................................................................................................
12

8.3-‐Reflexivity,
Positionality
and
Power
Relations
.....................................................................
13

8.4-‐Analytical
Methods
..............................................................................................................
13

9.Data
Analysis
and
Findings……………………………………………………………………………………………15

9.1.Perceptions-‐1:
Race,
Colour
and
Identity:
Problematic
for
AA
in
Brazil
........................
15

9.1a-‐Self-‐Classification:
A
Simple
Process?
.................................................................................
16

9.1b-‐Self-‐Classification:
Effective
Targeting
of
‘Non-‐Whites’
......................................................
17

9.1c-‐A
Preference
for
Whiteness?
..............................................................................................
19

Education’s
Contribution
to
Racial
Inequality
in
Brazil
.........................
21

9.2a-‐A
Basic
Education
Problem
.................................................................................................
23

Fairness
...............................................................................................
24

10.Conclusion
...................................................................................................................
28

11.References
...................................................................................................................
31

Appendix-‐A1:
Table_1-‐Quantitative
Data
..........................................................................
37

Appendix-‐A2:Table_2-‐Quantified
Qualitative
Data
...........................................................
38

Appendix-‐B1:PRSOL*Race-‐Crosstabualtion
.......................................................................
39

Appendix-‐B2:Fairness*Race-‐Crosstabulation
....................................................................
40

Appendix-‐C1:Fairness*Race
(Ordered-‐Probit)
...................................................................
41

(Ordered-‐Probit)
...................................................................
41

(Standard-‐Probit)
..................................................................
41

(Standard-‐Probit)
..................................................................
42

Appendix-‐D:Qualitative
Exerts
Table-‐2
Categories
...................
Error!
Bookmark
not
defined.

ii

Appendix-‐E:Ethical
Protocol
..............................................................................................
43

Appendix-‐F:Questionnaire,
Information
Sheet,
Interview
Consent
Form
(English)
............
53

Appendix-‐G:Questionnaire,
Information
Sheet,
Interview
Consent
Form
(Portuguese)
.....
59

Appendix-‐H:Written
Permission
Examples
...............................
Error!
Bookmark
not
defined.

i

Abstract

This paper examines how students at the State University of Rio de Janeiro (UERJ) and the
Pontifical Catholic University of Rio de Janeiro (PUC-Rio) perceive race/colour, identity,
inequality and fairness in relation to race-based affirmative action (AA) within public
university admissions. Using a mixed-methods approach I demonstrate how respondent’s
perceptions of race/colour and identity are both complex and inconsistent, yet appear
influential in their conceptualisation of inequality and fairness; thus shaping their attitudes
towards the racial quotas policy (RQP). Findings include a negative correlation between
darker levels of self-classified pardo (brown/mixed-race) and perceived relative standard of
living (PRSOL) and a positive correlation between darker levels of self-classified race/colour
and perceived levels of fairness, robust to alternative discrete choice models; indicating that
while racial classification is ambiguous, respondent’s perceptions are identifiable along racial
lines.
Acknowledgements

I would like to thank Professor Peter-Lloyd Sherlock, my supervisor, for his wisdom and time
throughout the dissertation process. Thanks also to Dr Lucio Esposito and Dr Robert Grant
for their patient assistance regarding the data analysis conducted in this paper. Moreover,
gratitude goes to Brazilian friends who provided translation assistance and invaluable help in
the field. Finally, I thank staff and students at UERJ and PUC-Rio who have made this
research possible.

1

1.
Introduction

More than a decade has passed since AA was enacted in Brazilian public university
admissions, yet public debates surrounding AA -predominantly racial quotas (RQs)- remain
strong and polarised. Conflicting perceptions towards racial classification, the dynamics by
which inequality is/should be measured and issues of fairness ostensibly drive disputes.
However, maintaining the political and social status quo are often cited as the genuine
motivations of RQ opponents (Bailey, 2004; Santos, 2006; Bailey & Peria, 2010). Conversely,
the RQP is viewed as a driver of perceptions; considering university students, Schwartzman
and Silva (2012) highlight that perceptions toward RQs are not only shaped by public
discourse but also everyday experiences of the policy “…generating different understandings
of race relations and socioeconomic inequalities…” (ibid:33). Cicalo (2012) notes these
everyday experiences may have paradoxical outcomes, heightening prejudice and racism yet
promote “…social encounters, solidarity and reciprocal knowledge between groups of
different colours and social backgrounds.” (ibid:259).
The distinctive division of opinion the RQP has created in Brazil, its direct impact upon
society’s perception of race/colour, identity and inequality and the indirect consequences that
have ensued, highlights the importance for further research upon the matter. This study
draws on new data, examining perceptions of 489 university students concerning different
aspects of the RQP. It investigates how students perceive race/colour and identity alongside
what factors influence these perceptions. Moreover, how students perceive Brazil’s racial
inequality, the contribution of education to these inequalities and whether RQs are an
effective/fair intervention in tackling inequalities of access to university education.
The way RQs are perceived is important, not only for their future trajectory in the Brazilian
education system but, ultimately, the country’s overall socioeconomic development. The
RQP directly affects current students and if their views do not align to policy formulators’,
support for, and the effectiveness of the policy, may remain abated. Therefore, one objective
of this primary research is to make a small contribution to some of the wider debates
surrounding RQs in university admissions, primarily in Brazil but also in other countries that
employ such policies.

2

2.
Summary
Chapters 3-7 review the literature pertaining to Brazil’s experience of AA -chiefly RQs in
university admissions- providing background knowledge regarding the complexities and
ambiguities in the assessment of race/colour, identity and inequality in Brazil; followed by an
overview of what AA encompasses generally and finally the key features of, and rationale
behind the RQP. Chapter 8 describes my research approach, rationale and reflections upon
the research process alongside my data collection/analysis strategy. Chapter 9 presents my
data analysis and findings in three distinct sections of perceptions concerning topics
examined in the literature review, while in Chapter 10 I summarise and offer some
concluding remarks.

3

3.
What
do
Race,
Colour
and
Identity
Mean
in
Brazil?

“I'm white. I believe that there is no brown race; we are either white or black. Also there is no
mixed-race. Actually, all are mixed races.” (Questionnaire Respondent (QR)-E98)
The composition of race, colour and identity in Brazil is complex; originating from the
miscegenation of three previously distinct races: Europeans, Africans and Indians, which
contributed to the construction of a uniquely coloured Brazilian population, culturally and
biologically merged, strengthened through its hybridism (Bailey, 2004). Thus, race became
equivocal with Brazilians ambivalently using endless terms to classify one another, primarily
according to skin tone and physical appearance as opposed to ancestry, which commonly
determines race in other countries (Reichman, 1999:7).1
This classification procedure also
features in Brazilian census data with longstanding race displaced by colour (Piza &
Rosemberg, 1999:37). The ambiguity regarding racial identity is dualistic; with one’s self-
perceived race/colour often differing from the way others perceive that same individual (ibid;
Schwartzman, 2008). Even self-classification can alter depending on the setting, context and
racial categories available (Sansone, 2003; Bailey, 2008). Furthermore, multiple social
factors can influence perceptions of race/colour including “…one’s education, wealth and
gender as well as the context of social interaction.” (Bailey & Telles, 2006:76) with the
concept that class, education and money whitens frequently debated (Telles, 2004).
This ambivalence can have important ramifications for Brazilian public policy debates,
including those regarding RQs in university admissions whereby students self-classify their
race/colour during the application process (see Bailey, 2008). This and other topical race-
related elements have made the policy highly controversial, dividing opinion within the
political sphere (Santos, 2006) Brazilian academia (Bailey & Peria, 2010) and society
generally (Bailey, 2004).2
Chapter 9.1 examines this issue in greater detail.

1
Black in Latin America - Brazil: A Racial Paradise_(2011) Documentary regarding issues of race/identity.
2
See_Aljazeera - Racial Quotas in Brazil http://www.dailymotion.com/video/xr52qg_brazil-s-racial-quotas_news

4

4.
What
is
Inequality
in
Brazil?

“I believe the biggest inequality is in terms of income, not social.” (QR-B20)
“Unfortunately racial inequality in Brazil is still very high.” (QR-A40)
Brazil is commonly known as one of the world’s most unequal societies. Inequality -as
represented by the Gini-coefficient for the distribution of household income per-capita- has
remained pervasively high since reliable data became available (Barros, et al., 2000:16).
After reaching a near historical and worldwide record of 0.63 in 1989 (World Bank, 2013) this
figure stagnated before steadily declining from 1998 onwards, standing at 54.7 in 2009,3
a
noteworthy improvement. However, globally, Brazil remains among the ten most unequal
countries (World Bank, 2013a) with the highest 10% of the population holding 43% of
national income and the lowest 20% just 3% (World Bank, 2013a). Although universally
employed, the Gini-coefficient and income variable may be viewed as a rudimentary
measurement of inequality as it is calculated at the aggregate level, not considering the
multifaceted dynamics of Brazilian inequality, including: regional (Azzoni, 2001), urban
versus rural (Fiess & Verner, 2003), gender elements (Garcia et al., 2009) the socio-political
sphere (Sherlock, 2009) or -arguably the most prominent combined determinants-
educational attainment and race (Silva & Hasenbalg, 1999; Marteleto, 2012). Commonly
attributed to Brazil’s well-documented history of slavery, irrefutable racial discrimination
(Telles, 2004:139-171) and regional dualism, the “…Brazilian socioeconomic structure (is)
identified as being largely divided along racial lines.” (ibid:137).
These interlinked components of inequality -more specifically unequal access to university
education by race- and how university students in Brazil perceive this issue, are examined in
Chapter 9.2. Education level is both a cause and effect of inequality, accounting for almost a
third of inequality in Brazil, with education distribution - in terms of quality and quantity- being
the most important driving factors (Bourguignon et al., 2008). Higher education has
historically been a contributing factor towards Brazilian social/racial inequality (Lima, 2011:4),
its influence having possibly changed in recent years due to growth in the private university
sector and, thus, enrolment rates.4
Growth that is claimed to have sustained inequity in terms
of educational quality and access by race (McCowan, 2007) with Lima (2011:17) noting racial
differences in educational attainment are greatest “…among those who have completed
higher education: 76.8% are whites.”5
Such developments are likely to have affected the way
debates regarding RQs in university admissions unfold, thus making this a topic of key
interest.

3
Latest available figure-http://data.worldbank.org/indicator/SI.POV.GINI,http://wdi.worldbank.org/table/2.9
4
Net-enrolment rates (ages,18-24) increased from 9% in 2002 (McCowan, 2007:5) to 13.2% in 2008 (Lima,
2011:7).
5
Lima uses data from PNAD (2006-2007-2008). Notably, recent data sets regarding disaggregated examination
of educational attainment by race rarely exist, invariably focusing more on gender and socioeconomic indicators.

5

5.
What
is
Affirmative
Action

“The quotas system is an attempt to resolve a segregation problem of more than 200 years.”
(QR-D8)
AA can be framed in different ways, either referring to “…a set of practices undertaken by
employers, university admissions offices, and government agencies to go beyond non-
discrimination, with the goal of actively improving the economic status of minorities…”
(Holzer & Neumark, 2006:2).6
Or as “A policy or a program that seeks to redress past
discrimination through active measures to ensure equal opportunity, as in education and
employment.” 7
AA in university admissions originated in the US during the late 1960’s and
early 1970’s (ibid.). Subsequently multiple US states imposed bans upon enacting such
policies (Economist, 2013) and elsewhere the concept also remains highly controversial. In
South Africa policies were ratified to redress the nation’s experience of cultural apartheid and
in Malaysia true natives have been beneficiaries of AA for over 40 years (Economist, 2013a;
NY Times, 2010). Without any socioeconomic factors considered in the admissions process,
AA in South Africa is argued to primarily benefit the black middle class. In Malaysia, AA has
been enforced along ethnic lines, induced by violent clashes between the then economically
disadvantaged ethnic Malays and the country’s wealthier ethnic Chinese and Indian citizens.
Temporary AA measures in university admissions still remain today, viewed as a social
injustice by non-beneficiaries and ‘out-dated’ by 71% of surveyed Malaysians (ibid:2013a;
2010).
Theoretically, AA policies may appear progressive and necessary; however in practice their
justification, formulation and implementation can be complicated and provocative.8
For
instance: who should/should not benefit from such a policy? Who should make this decision?
How is this decision taken? (Bailey, 2008) And, most pertinently, are they effective?
(Schwartzman, 2009) And are they fair? (Frias, 2012). Concerning Brazil, these questions
are of particular interest given the discussed complexities attached to racial classification,
identity and inequality.

6
Holzer & Neumark, (2006:3) took “minority” to refer to groups that are typically under-represented in universities
and better jobs in the contemporary economy.
7
Taken from-http://www.thefreedictionary.com/affirmative+action
8
Wide Angle: Brazil in Black & White

6

6.
Affirmative
Action
in
Brazil:
Key
Features

“UERJ’s quotas system takes into account not only the applicant’s race, but also their
financial situation.” (QR-A61)
“The quotas regime isn’t just for black and indigenous people, it can be for sons of killed
police officers, fire-fighters, military servicemen and students from public schools.”
………………………………………………………………………………………….(Interviewee-A)
AA is a relatively modern concept in Brazil; momentum towards race-related policies was
initiated under President Cardoso (1995-2003) who created a political space for Afro-
Brazilian movements and networks of scholars to condemn racism (Htun, 2004). This
represented a new discourse at the state-level, which had historically peddled the notion of
racial democracy9
(ibid.); a term popularized originally by the work of leading academic
Gilberto Freyre (1956). Influenced by his mentor, anti-racialist anthropologist Franz Boas-
who claimed Brazilian society to be comprised of a Brazilian race, distinguishable only by
cultural and social differences- Freyre extended this notion arguing that Brazil’s racially fluid
population were free from racism (Telles, 2004:33). This concept encompassed a stance of
anti-racialism, discrediting the use of race as a parameter to comprehend socioeconomic
factors given the extent of miscegenation in Brazil (Bailey & Peria, 2010). A theory which
holds even today within certain public spheres who dispute the need for race-oriented
policies (ibid:595), despite a body of scholarship evidencing racial disparities in various
domains of Brazilian life (Twine, 1998:4). Whether Boas and Freyre’s notions remain
prevalent within the perceptions of current university students is a topic examined in Chapter
9.2.10
In addition to Cardoso’s efforts, the 2001 United Nations Conference on racism in Durban,
South Africa, is seen as pivotal in guiding Brazil to enact RQs within various governmental
spheres (Telles, 2004); including the public university vestibular entrance exam system,
whereby students choose their career paths upfront, register for the vestibular in that field
with course admittance determined by that individual score. This process involves thorough
preparation and has always been highly competitive with only 10% of applicants being
accepted at some of the top public/federal universities (Bailey & Peria, 2010). 11
The
introduction of quotas intensified competition in the admissions process, bringing into
question the aspects of meritocracy and fairness; topics discussed in Chapter 9.3.

9
Democracy here refers to the Spanish connotation of the term; brotherhood or fluid social relations, not a type of
political institution (Bastos, 2001) as cited by Telles (2004:33)
10
See Bailey (2004) for discussion regarding racial attitudes in Brazil.
11
Cicalo (2008:71) notes that only the top scoring 168 non-quota applicants to UERJ’s law degree were admitted
out of 3000 with successful quota student’s scores inbetween the 1000
th
-1800
th
position.

7

The first public university forced to employ RQs via a state legislature approved bill was
UERJ in 2001, establishing a quota of 40% for blacks, complimenting an earlier quota of 50%
for students coming from public schools (Schwartzman, 2009:228). Despite the presence of
racial prejudice/discrimination and inequality being acknowledged by the state, scholars and
Brazilian society generally (Bailey, 2002; Telles, 2004:75), the RQP ratification induced
conflicting perceptions. Datafolha national surveys (1995, 2006 2008) suggest there has
been growing “widespread support for affirmative action” (Schwartzman & Silva 2012:32,45);
doubling with regards to university educated Brazilians (Guimarães, 2007:10).12
In RJ state,
Bailey (2004:736-739) shows a majority of Brazilians (54.9%, n=1011) favour RQs; however,
considering those with a high education level, this figure drops to 30%.13
Within media,
academic and public spheres the policy was met with hostility, culminating in Rio state
legislature (2003) altering its original composition of RQs by reducing vacancies to just 20%
of the 45% available (Telles, 2004:74); all of which included socioeconomic criteria
(Schwartzman, 2009:229). In 2004 the University of Brasilia (UnB) became the country’s first
federal university to adopt RQs with 20% of vacancies reserved for black or negro14
students
(Francis & Pianto, 2012). Moreover, AA was integrated into the private sector with the
University for All Programme (ProUni), 15
funding higher education fees and providing
scholarships to socially disadvantaged undergraduate students at private universities
(McCowan, 2007:11); bolstered in 2005 by the federal government supplying tax incentives
to private institutions embracing the program (Bailey & Peria, 2010), including prestigious
PUC-Rio.16
Introducing the umbrella term ‘negro’ in 2003 has been noted as a political move by black
activists to stimulate a sense of black consciousness in Brazil whilst also creating solidarity
among the subjugated non-white population. Moreover, it aimed to heighten the significance
of ethnicity over colour among non-whites, attempting to eliminate the pardo category
(Reichmann, 1999:9-10; Schwartzman & Silva, 2012:40) as well as “…making more visible
the reality of racial inequality in Brazil and better enable its redress.” (Bailey & Telles,
2006:75). However, instead of enhancing racial clarity, Bailey (2008); Loveman et al. (2011)
and Francis and Pianto (2012) show that the negro term may have amplified confusion over
racial classification and induced unintended consequences with regards to AA targeting, thus
reducing the RQP’s effectiveness.

12
From 19.6% (Datafolha-national survey, 1995) to 42% (Datafolha-national survey, 2006) n=455
13
Bailey uses original Data from 1999. Respondents are asked “Do you believe the government should/should
not set aside openings for blacks in public universities?
14
Negro, essentially translating as black, collapses the pardo (mixed-race/brown) and preto (black) categories
into one.
15
See-http://prouniportal.mec.gov.br
16
See-http://www.puc-rio.br/ensinopesq/ccg/prouni/ for information regarding PUC-Rio’s ProUni programme.

8

In 2010, around half (49) of all federal and state universities employed quotas of some kind
benefitting 45,000 students, although this impressive figure represented just 11% of students
in public higher education (LAESER, 2012).17
In August 2012 the government legislated for
all 59 federal universities and 38 federal technical schools to reserve half of vacancies for
public school students by 2016 (Economist, 2013b), heightening the “…affirmative action
boom…” (Bailey, 2009:11) with familiar arguments opposing RQs regularly emerging,18
including those of meritocracy, bringing high calibre students to university and complications
over racial classification:
"This is bad for the future of Brazil, because the main objective of universities is research, is
to achieve quality." (BBC, 2013, Antonio Freitas, provost of the Getulio Vargas Foundation, a
prestigious private university)
“White skinned candidate is approved for racial quota”
(Headline, O’GLOBO, 2013)

17
As cited by Telles and Paixao (2013).
18
See ‘comments’ sections at-http://www.economist.com/blogs/americasview/2013/04/affirmative-action-
brazil#comments_&_http://oglobo.globo.com/educacao/candidato-de-pele-branca-aprovado-por-cotas-raciais-na-
1-fase-do-itamaraty-9908199

9

7.
Racial
Quotas
in
Brazilian
Universities:
The
Rationale
“It’s what the blacks are owed, it’s the debt, because when the blacks were freed from
slavery, they had to go to the slums, run away, many became robbers, out of necessity, to
eat and until now they are stigmatised for that.” (Interviewee-S)
Basic public education provision in Brazil has improved in recent years (Marteleto, 2012)
although quality is still lacking with most secondary-school students not reaching desired
levels in key subjects such as Portuguese and Maths (Schwartzman, 2011:18). Low
performance is attributed to various factors resulting from underinvestment by the state and
“limitations and disadvantages related to their (student’s) origins that have accumulated over
the years.” (ibid:19).19
Public primary/secondary-school students are commonly lower-class
Brazilians whose parents cannot afford private schooling, a majority of which are non-white
(Hernandez, 2005:688). With reduced quality and quantity of schooling, these students are
highly underprepared to pass the vestibular examination to enter the contrastingly prestigious,
well-funded and tuition-free public universities. Moreover, they must compete with upper and
middle-class students -predominantly light-skinned or white- who are educated in excellent
private high schools (Cicalo, 2012:239); thus further diminishing these student’s chances of
entering public universities and with private universities typically unaffordable, tertiary
education is unattainable. These disparities led to Brazil being branded “…the world
champion in social injustice in higher education…” (Castro, 2001);20
a statement supported
by data (1997) showing just 2.2% of non-whites held a university degree compared to 9.6%
of whites (Cicalo, 2012:239.),21
despite, at the time, Brazil’s population of non-white (46%)
and whites (54%) being fairly even (Bailey & Peria, 2010).22
This underrepresentation has
had concomitant effects with elite media, political and economic circles within Brazil being
distinctly white dominated (Htun, 2004:63,74) with this ‘group dominance’ actively preserved
(Bailey, 2004).
The rationale behind RQs is posited as reparation for past/present wrongdoings against the
non-white population. A sense of fairness aligning to Rawls (1971) theory of justice, whereby
inequality is largely attested to luck or extrinsic factors which are beyond the individual’s
control, or variables of ‘circumstance’, as theorised by Roemer (1998), who proposes that
circumstances which produce systematic disparities in individual outcomes are unfair and
stem from scarce opportunities as opposed to effort (World Bank, 2004:6). Proponents of

19
Hernadez (2005) cites many studies regarding this topic.
20
As cited by Telles (2004:125)
21
See IBGE data for 2007 available at-http://noticias.terra.com.br/educacao/interna/0,,OI3205059-EI8266,00-
IBGE+n+de+brancos+com+diploma+e+vezes+maior+que+o+de+negros.html
22
Data available at-
http://www.ibge.gov.br/home/estatistica/populacao/censo2000/tendencias_demograficas/tendencias.pdf

10

RQs appear to believe the same, arguing that without them, Brazil “…will continue
reproducing the cycle of deep racial inequality that has been the mark of the entire history of
the republic to the present.” (Pro-quota, 2006:8).23

23
As cited by Bailey and Peria (2010:596).Pro-quota (2006) refers to a manifesto presented by academics to
Brazil’s national congress. See-http://www.observa.ifcs.ufrj.br/manifesto/index.htm

11

8.
Methodology

8.1-‐Fieldwork
Approach

This research uses a mixed-methods approach.24
Data collection includes a large sample of
questionnaire respondents (n=489) allowing for robust quantitative statistical data analysis,
complemented and extended by interviews which provide a qualitative richness to the
complexities apparent within the research topic; otherwise remaining concealed solely using
a quantitative approach. A quantitative questionnaire method can sometimes be restrictive,
especially with regards to perceptions; constrained by time, respondents must formulate their
opinions impulsively. Interviews give participants more time to contemplate the topic,
formulate and elaborate upon their opinions. Moreover, questionnaire responses are often
impersonal with quantitative data unable to either convey emotion or provide depth of
reasoning that may indicate signposts as to what influences one’s perception, subtleties
better obtained within qualitative interviews.
The primary data collection was carried out during June-July 2013 via an observational
research design. In supervised classroom settings, anonymous questionnaires were
administered to 489 students (predominantly undergraduates) from different disciplines in
two separate universities located in Rio-de-Janeiro (RJ): PUC-Rio, (265 respondents) and
UERJ (224 respondents). The distribution of disciplines within these two universities along
with a description of all variables used in my analysis and the relevant descriptive statistics
are viewable in Table 1.25
Moreover, ten semi-informal interviews were conducted, totalling around six hours of
recorded audio. As a closing remark during classroom visits, the interview process was
explained, advising any willing participants to contact either my research assistant or me
directly via the contact details left upon the board. This method led to securing four
interviewees while three students immediately volunteered within the classroom setting. The
remaining interviewees were opportunistically approached during conversation; they had
expressed an interest in and were highly knowledgeable on my research topic; one, a
postgraduate law student, another, a professor at both universities and the third, a
representative from Proninciar, an internal quota student support service in UERJ.26
After negotiations with the head of each respective department, written permission was
obtained to conduct the questionnaire,27
completed during either the first or last fifteen
minutes of ordinary lectures at each university, as pre-arranged with the lecturer of each

24
See appendix-E for a comprehensive ethical protocol.
25
See appendix-A1
26
Visit-http://www.caiac.uerj.br/cotas.html for details regarding Proniciar’s service.
27
See appendix-H for written permission examples.

12

respective class. All respondents received a Brazilian Portuguese version of documentation,
originally constructed in English.28
The translation was piloted and reviewed with Brazilians,
one notable alteration to the questionnaire related to self-classified race/colour; some of the
initial English categories directly translated were deemed problematic and, thus, were altered
to align with traditional Brazilian census categories.29 30
Students were briefly introduced to
the research/questionnaire content prior to distribution, at which point it was emphasised that
the questionnaire was being administered to ascertain their perceptions and that no right or
wrong answers existed; also explained to interviewees.
The co-ordination process was logistically challenging, partly due to the on-going
demonstrations occurring during the research period with each university closing down on
scheduled protest dates (see Economist 2013c). Conversely, the demonstrations are seen
as advantageous to this research. Underlying desires voiced during these mass protests
included the demand for increased government investment to initiate educational reform and
ensure equality and equity of opportunities for all; thus, my research topics were embedded
in the forefront of respondent’s minds. It is believed this heightened awareness made
respondents more receptive to the research topic, enhanced their willingness to complete the
questionnaire and/or participate in interviews and augmented openness, adding flavour and
sincerity to their responses.
The questionnaire collected data regarding respondent’s perceptions of race/colour
(including self-classification), their standard of living (SOL) compared to others, the university
system in relation to inequality, the fairness and effectiveness of RQs, their course of study
and other demographics. Moreover, strategically placed comment boxes were provided for
three questions enabling respondents to voluntarily elaborate upon their initial quantitative
answers. These produced a vast quantity of valuable qualitative data with many key themes
arising, as illustrated in Table 2,31
complemented further by the fruitful qualitative data
obtained from interviewees.
8.2-‐Approach
Rationale

Obtaining data from students across differing disciplines was important; leading private and
public Brazilian education is often prided upon prestigious vocational degrees such as law,
medicine and engineering, commonly exclusive to the elite classes. Variation in the sample

28
See Appendix-F/G for English/Portuguese versions of the Questionnaire, Interview Information Sheet and
Interview Consent Form
29
Standard census options: branco (white), preto (black), amarela (yellow/Asian) and indígena (Indigenous).
30
Particularly confusing were English options ‘black’ and ‘mixed-race’, initially translated as ‘negro’/‘mestiço‘. The
politicised term ‘negro’ has already been discussed, the term ‘mestiço’ (when solely used) has ethnic connotations
attached and therefore was replaced by ‘pardo’ (brown/mixed-race). See Francis and Pianto (2012:54) for an
informative explanation.
31
See appendix-A2. Appendix-D contains qualitative exerts exemplifying these themes.

13

ensures that data were collected from numerous types of students, with regards to their
choice of course and differing demographic, enabling interesting comparative analysis.
Similarly, the above applies to selecting two universities as opposed to just one. While both
institutions are highly regarded, they were specifically chosen for their key differences,
namely that PUC-Rio is a private institution with a ProUni social quotas (SQs) policy in place
but no RQP; and UERJ, a public university and the first to implement RQs in Brazil. These
universities are being treated as individual case studies for comparative purposes and the
collected data are not seen as a general representation of Brazilian university student
perceptions regarding RQs.
8.3-‐Reflexivity,
Positionality
and
Power
Relations

“My other professors all look like you, white with blue eyes. One looks just like you, he has a
Masters, is very intelligent and has gringo characteristics.” (Interviewee-B)
Throughout the fieldwork it was necessary to remain aware of issues regarding reflexivity,
positionality and power relations (see Sultana, 2007); remaining sensitive to aspects of race,
gender and educational stature, given my position as a white British male, representing an
English university, conducting research about a policy regarding racial inequality in Brazilian
tertiary education. It is acknowledged that my origins and imperfect Portuguese restrict my
understanding of local contexts, may have affected the way in which some participants
interacted with me and/or influenced my interpretation of the collected qualitative data. For
instance, it was difficult to remain wholly objective and refrain from letting my own perception
interfere with my line of questioning and interpretation of interviewee responses when they
opposed RQs. Moreover interviewees often wanted to know where I positioned myself in the
debate; implicitly assuming our positions were allied and thus felt comfortable to speak freely.
Furthermore, on several occasions in both negotiations and interviews, reference was made
to my nationality and blonde-haired blue-eyed appearance in the context of social
ranking/mobility and opportunities, often leaving me without a response other than an
embarrassed “I understand”. Conversely, my exotic status may have been beneficial,
apparent in my class addresses where I noticed my exoticness and sound Portuguese
appeared to endear me to my audience and, almost certainly, positively impacted upon their
willingness to participate.
8.4-‐Analytical
Methods

Results and analysis within this paper refer to topics that organically emerged as key themes
during data examination, questions focusing upon linkages between the university system
and inequality, self-perceived race/colour, PRSOL and concepts of fairness and
effectiveness. Quantitative data has been utilised using software to enable statistical analysis;

14

qualitative data obtained in questionnaires and interviews has been translated, quantified
(questionnaire data only) often transcribed32
and objectively analysed. Moreover, literature
and previous studies from sources pertaining to: Economics; Sociology; Race/Ethnicity, Latin
American History and Psychology have been utilised, enhancing insight to, and
substantiating the findings of, this research. Although a vast theoretical and empirical body of
literature concerning AA exists, recent primary data regarding perceptions is lacking, while
the RQP and affiliated debates have evolved. Moreover, studies often focus on either
qualitative or quantitative data; I provide a unique approach to data collection on this scale.
Furthermore, this study differs from others regarding perceptions, which tend to have
focused solely on public university students, where perceptions are heavily influenced by
their everyday encounters with the RQP (Schwartzman & Silva, 2012).

32
Reviewed by Brazilians to ensure accuracy.

15

9.
Data
Analysis
and
Findings

Race,
Colour
and
Identity:
Problematic
for
AA
in
Brazil

This section examines respondents’ perceptions of race/colour and identity, how these
perceptions interlink with the wider context of the subject in Brazil and how they may justify
RQs as an effective way of tackling racial inequality. Quantitative analysis will focus on data
generated by Q3, Q4 and Q14, as outlined in Table 1; further supported by qualitative data
collected in interviews and by Q4, Q13 and Q15, outlined in Sections 1 and 2 of Table 2.
Some direct quotation from qualitative data is provided when it is believed to add significant
analytical value.
Of particular interest -given the complexities described in Chapter 3- were questionnaire
responses to Q3 regarding self-classified race/colour. It is acknowledged that using self-
classification of race/colour as an analytical variable is potentially problematic, given that no
method of validation regarding respondent’s sincerity was employed. Indeed, adversaries to
RQs argue many students commit fraud, self-classifying their race/colour dishonestly in order
to obtain a RQ (Schwartzman, 2009:222), a view illustrated in Table 2 with 12.5% (n=48) of
respondents who commented in Q13 or Q15 mentioning ‘deceit’. Previously third-party
classification was employed to decide upon RQ admissions using applicant photographs;
however, the subjectiveness of racial classification also makes this method controversial.
Bailey (2008) shows that others could exclude would-be beneficiaries, highlighted by a well-
documented case in 2007 at UnB where only one of two identical twin brothers applying for a
RQ were admitted. Thus, self-classification is a key criterion embedded within the RQP
embracing the notion “…that people are racially what they say they are…” (Bailey & Telles,
2006:75)33
and, therefore, given its relevance in the RQP debate, the self-classification
model is deemed appropriate.
Figure-1 shows a breakdown of respondent’s (n=488) racial categories.
Figure-1
Race
0=branco 1=pardo
(branco)
2=pardo
(mestiço)
3=pardo
(negro)
4=preto 5=amarela 6=indígena 7=other
%
57.2
(59.4)
15.8
(16.4)
13.9
(14.5)
4.3
(4.4)
5.1
(5.3)
1.45 0.8 1.45
Although these percentages are not nationally representative (IBGE, 2013),34
they do more
accurately characterise the racial composition of RJ state35
(IBGE, 2013).36
The additional

33
Cited from Perlmann and Waters (2002).
34
See-http://seriesestatisticas.ibge.gov.br/series.aspx?vcodigo=PD336
&_http://seriesestatisticas.ibge.gov.br/series.aspx?vcodigo=PD336 (2011)

16

breakdown is derivative of the first, illustrating the percentage of respondents self-classifying
their race/colour within Categories 0-4 (the branco/pardo/preto continuum); embodying 96.3%
(n=470) of all responses. As with other studies (Bailey & Telles, 2006; Bailey, 2008; Loveman
et al., 2011) this research focuses on this continuum and the branco/preto dichotomy, given
that the majority of controversy regarding self-classification within the admissions process
refers to these colour categories. However, also noteworthy is Category 7 (other), offered to
participants given that past research has exposed that many Brazilians prefer to describe their
race/colour outside the standard census categories (Sansone, 2003); however, just seven
respondents opted for this category.
9.1a-‐Self-‐Classification:
A
Simple
Process?

Table 1 shows that 40.8% (n=186) of respondents answered ‘no’ to Q4, stating that the racial
categories offered in Q3 were not adequate parameters for distinguishing their race/colour.
Thus, the low usage of ‘other’ is surprising. There is no reason to believe this low usage was
due to respondents conveniently opting for conventional census categories, given the
popularity of non-census options (1-3), examined later in this section.
The adjoining comments to Q4 highlight why so many respondents answered ‘no’:
“I find it hard to distinguish, since each person is evaluated. Your category can be different
dependent on who's seeing.” (QR-A29, self-identified as Parda (Negra))
“It’s very difficult to specify what colour/race you consider yourself. Everyone might think that
their skin colour is different from what it really is. For example, I'm white, but I have some
relatives who are black and some who are Indians. I can’t consider myself Caucasian. What
am I?” (QR-E55, self-identified as Branca)
“It isn’t adequate as it is a subjective criteria, in which already existing prejudice can
influence the self-declaration of race and colour.” (QR-B83, self-identified as Branca)
Of those who answered ‘no’ to Q4, 30.1% (n=56) commented upon the ‘difficulty’ and
‘subjectivity’ of racial classification, both in terms of others and oneself; adding the
interrelated comments regarding ‘miscegenation’ and ‘no.racial.divsion’37 38
(examined in
Chapter 9.2), increases this figure to 76.3% (n=142). These figures indicate that respondents

35
Percentages if a post-hoc re-designation of categorical boundaries (2,3) and (4,5) are collapsed into pardo and
negro/preto respectively with branco, amarela and indígena unchanged
36
See-http://seriesestatisticas.ibge.gov.br/series.aspx?vcodigo=PD336
&http://seriesestatisticas.ibge.gov.br/series.aspx?vcodigo=PD336 Referring to all censuses excluding 2011. A
noteworthy observation is the decrease and increase in the relative and absolute number of brancos and pardos
respectively in RJ state between 2003 (year the RQP was fully enacted) and 2011.
37
Appendix-D contains additional exerts exemplifying these categories.
38
See appendix-A2 (Section-1). In total, of the 263 respondents commenting on Q4, 77.6% made comments
referring to these four categories.

17

commonly perceive racial classification and identity as problematic in everyday life and, thus,
bring into question the appropriateness of the RQP self-classification model.
9.1b-‐Self-‐Classification:
Effective
Targeting
of
‘Non-‐Whites’

Alongside the standardised Brazilian census options, three additional categories of pardo
were offered: pardo (branco), pardo (mestiço) and pardo (negro), enriching the colour
continuum by which respondents could self-classify. Their utilisation appears to demonstrate
their usefulness as parameters for self-classification, as emphasised by Interviewee-R, an
UERJ student who voluntarily identified himself as a RQ beneficiary:
“I think the categories come close to reality, for example, UERJ’s questionnaire only has 5
categories: white, black, brown, indigenous and yellow; you offering different options
simplifies it for me, but it’s still very difficult to pick one colour/race. (_) When I completed the
vestibular I said I was black not because of the quota but because of what I resemble best.
Now, I put down pardo (mestiço), why? Because I have German heritage, Portuguese, Black,
Indian, practically everything, so it’s very difficult to classify myself with one option, just like
many other Brazilians, they can’t do it.”
These additional categories were identified as alternative options to those used by previous
studies assessing the re-classification of pardos (Bailey, 2008; Loveman et al., 2011). Bailey
found that 44% of individuals self-identifying as pardo/mixed-race within census (ternary
categorisation) and open-ended classification, shifted to whiteness when constrained to a
white/black dichotomy. Moreover, Rosemborg (2004) -who conducted an AA oriented survey
amongst candidates for a Ford Foundation fellowship- also found that approximately half of
pardos39
reacted similarly when asked to self-classify as negro for beneficiary inclusion.
This research generates a similar finding; the data outlined in Table 1 indicates that 46.4%
(n=77) of respondents self-classifying as a type of pardo would likely opt for whiteness
(branco) if constrained to a dichotomous white/black classification model. However, this
figure could potentially increase to 87.3% (n=145) if all those who chose pardo (mestiço)
opted for whiteness. Moreover, these data suggest that 12.7% (n=21) of pardos would likely
opt for blackness (negro), potentially increasing to 53.7% (n=89) if joined by those who chose
pardo (mestiço). Respondents such as Interviewee-R -self-classifying as pardo (mestiço)-
who could opt for either, may represent a key target group for AA activists as they attempt to
attract non-white Brazilians to affiliate with the negro movement. Therefore -in order to
substantiate the actual outcome- inclusion of an additional branco/preto and/or branco/negro
dichotomy question would have been preferable. In any case, considering that just 12.7% of
self-classified pardos chose pardo (negro), it may be unwise for AA administrators to

39
n=304

18

continue under the premise that negro incorporates both the pardo and preto census
categories (Bailey, 2008:596) an idea reinforced by Telles (2004:86-87) who claims “‘Negro
in the popular system, like preto, refers only to those at the darkest end of the colour
continuum” and Schwartzman (2008:5) who found that many UERJ students interviewed in
her research “…did not understand the label negro as including pardos.”
The ‘whitening effect’ described above is potentially problematic. A significant number of
socioeconomically disadvantaged mixed-race Brazilians may demonstrate reluctance
towards affiliating themselves to the negro category even when potential benefits are at
stake (See Rosemborg, 2004); potentially resulting in many would-be beneficiaries suffering
“…exclusion from racial quotas…” (Bailey 2008:604). Thus impacting negatively upon the
overall effectiveness of RQs in tackling racial inequality. Conversely, Interviewee-R’s above
comments suggest that RQs have caused students to self-classify ‘reflexively’ “…according
to a conscious assessment of their place within the policy and within the structure of Brazilian
society.” (Schwartzman, 2009:247), a potentially encouraging sign for the negro movement
as it attempts to stimulate a sense of black consciousness and create solidarity among the
subjugated non-white population. Moreover, Loveman et.al (2011:15), identify that the
‘whitening effect’ helps to distinguish pardo’s socioeconomic status as those re-classifying as
white in a dichotomous model “…have, on average, higher incomes than those who identify
as black.” The data obtained by Q14 may support this finding.
The relationship between self-classified race/colour (as measured by the pardo 1-3 scale in
Q3) and PRSOL in comparison to other Brazilian families (as measured by the PRSOL 1-5
scale in Q14) was investigated using Spearman’s correlation coefficient. Preliminary
analyses were performed to ensure no violation of the assumptions of normality and linearity.
There was a small but significant negative correlation between the two variables (Figure-2),40
with darker levels of self-classified race/colour within pardo categories associated with lower
levels of PRSOL.

40
See Appendix-B1 for full results.
41
branco mean =4.02

Figure-2
PRSOL in Comparison to Other Brazilian Families
Correlations RACE PRSOL
Race Mean N
RACE
Correlation
Coefficient
1.000 -.223**
pardo (branco)41
3.6711 76
Sig. (2tailed) . .004
pardo (mesitco) 3.4000 65
pardo (negro) 3.1500 20 N 166 161
**.Correlation significant at 1% (2-tailed).

19

Interpretation of these data should be made cautiously, given the relatively small sample
within each category, especially for pardo (negro). Moreover, here it is assumed RSOL
represents income; however, it is acknowledged that SOL could refer to multiple aspects of
one's life. It may be that attending reputable universities influences respondents to perceive
their own SOL as ‘better’ or ‘very much better’ (options 4 and 5 in Q14) in comparison to
others, with their present and/or expected social status/mobility after graduating affecting
their responses. Therefore perceptions of SOL (much like race/colour) could be dependent
upon to which segment(s) of society an individual belongs (Telles, 2004), as illustrated by
Interviewee-R who explains his reasons for choosing blackness during the vestibular process:
“I think I chose it for historic reasons rather than because I classify myself a certain colour,
because I identify more with black than white; I think more like a black than a white. ( )
Judging by the history of the country, the blacks were denied and excluded from society and
therefore I prefer to consider myself more black than white.”
In sum, although causality is not assumed, in concurrence with findings of Loveman, et.al
(2011), it is reasonable to suggest that pardos opting for whiteness or blackness may be
influenced by their perceived/actual SOL; a trend that may better enable the RQP to
effectively target the most socioeconomically disadvantaged non-white Brazilians.
9.1c-‐A
Preference
for
Whiteness?

A wide body of historical and ethnographic scholarship documents the “…the ideological
privileging of whiteness.” (Loveman et al., 2011:11). Therefore, the preference for whitening
is unsurprising; Illustrated by comments made by Interviewee-T, a self-identified pardo
(mestiço) and beneficiary of the Pro-Uni SQ system at PUC-Rio:
“The colour people say they are is more influenced by how it’s perceived in society and the
status it will bring. For example, if a person says, "You’re brown" you'll think, "Oh, you’re
saying that because you think I’m black, but I also have a white part, a good thing in me."
Because here being black is a bad thing. After all, the blacks are the slaves, the poor, the
slum residents, the criminals.”
Interviewee-T’s comments align to the notion of ‘internalised racism’ as posited by Donna
Goldstein (2003:128) who conducted an ethnographic study of favela communities in Rio.
She extends the concept beyond the issue of race, attesting the condemned self-attitudes of
the poor black community toward a set of ‘internalised beliefs’. Interviewee-S, a self-identified

20

preto and another beneficiary of the Pro-Uni SQ system at PUC-Rio, describes these beliefs:
“Even though the government opened the quotas, the majority think they won’t be able to get
in…I used to teach in the downtown, giving lessons in various neighbourhoods of Rio. The
students didn’t believe in themselves. Many students have low self-esteem and that’s why
they don’t pass or even take the exam to get into the university; they think, “I’m black, I’m
poor, I’m not going to make it.”
With Interviewee-T’s comments in mind, Telles (2004:96) raises an important question
“Whitening in relation to what?” stating that “…since there is no objective way to classify race,
then one cannot whiten in relation to what one’s race ‘is’.” He provides three possible
interpretations, linked to social mobility, appearances signifying wealth and money, which
“…whitens a person in relation to how one identifies oneself or vice versa.” (ibid.) Further
comments, made by Interviewee-T align to his theory:
“Black people want to be white, want to have the level of white people, in fact, rich people.
No one in the favela communities is studying to go back there and change it. People are
studying in order to live in Leblon, Barra, etc,42
to stop being black and having black habits
and become white, with white habits. The blacker you are the less money you have, the
whiter you are the richer you are.”
Interviewee-T’s comments regarding her studies reflect theories regarding the correlation
between educational status and racial classification in Brazil. Some have claimed that higher
educational status, in similar fashion to social status generally, may influence darker
individuals to opt for whiteness (Harris, 1964; Wade, 1997). Conversely, the negro
movement is often regarded as one for the middle-class (Bacelar, 1999) with the negro term
resonating strongly among university-educated non-white Brazilians (Hanchard, 1994;
Schwartzman, 1999) who are more exposed to the movement’s discourse and/or have a
greater awareness of racial discrimination (Sansone, 1995). 43
Thus it is claimed that
education and its concomitant benefits may, in fact, darken (Telles, 2004; Marteleto, 2012); a
theory supported by comments made by Interviewee-S:
“I was against racial quotas in the beginning because I listened to the arguments of the white
and rich people and they influenced my opinion. However, I went to a 3 day conference in
Minas, with a very well-renowned professor from South Africa talking about quotas and it got
black people talking about the policy and it made me and others realise “wow, this is really
cool” at that point, I saw myself in the situation. When I realised that the people from my race
had this debt, I realised that it needed to be this way.”
This section has illustrated the ambivalence and vacillation demonstrated by Brazilians
towards race/colour and identity, highlighting the complexities that make racial classification

42
Leblon and Barra are two of RJ’s most affluent areas.
43
References in this paragraph cited by Bailey and Telles (2006:79-80)

21

of both others and oneself highly difficult and controversial; complexities that have
made/continue to make the effective targeting of potential RQ beneficiaries highly
problematic for AA administrators.
Education’s
Contribution
to
Racial
Inequality
in
Brazil
This section focuses upon respondent’s perceptions of the Brazilian education system,
specifically those regarding its contribution to racial inequality. Quantitative analysis will focus
on data generated by Q7, Q8 and Q10, as outlined in Table 1, further supported by qualitative
data collected in interviews and by Q4, Q13 and Q15, as outlined in Table 2.
Table 1 illustrates that of all those who answered Q7 (n=479) 62% perceive that, prior to the
RQP’s introduction, the university system contributed to racial inequality. Surprisingly, less
(55.9%) perceive the RQP to have mitigated the university system’s contribution to racial
inequality. 15 students -5% of those who chose ‘produced more’ in Q7- answered ‘increased’
in Q8. This indicates some students who acknowledge the university system contributed to
racial inequality historically perceive the introduction of RQs to have amplified racial
inequality. More noteworthy, these data highlight that 44.1% (n=212)44
of respondents
perceive the policy is not achieving its primary objective.
Section 2 of Table 245
shows that of 383 respondents commenting on Q13 and Q15, 90.1%
made a total of 544 comments referring to the categories shown in Figure-3.

44

Options 2/3 combined in Q8

45
See appendix-A2 for full version.
Figure-3
Categories Number of comments
Q13. Q15.
A Problems in Basic Education/Investment needed 150 19
B Just SQs 94 8
C Palliative Measure 37 13
D Deceit 36 12
E Temporary Measure 24 5
F RQs and SQs 22
G Race/Subordinate/ Capacity/Prejudice 19 2
H Racism/Discrimination 18 2
I Meritocracy 16 2
J Race does not define Capacity 15
K Racial Quotas with Basic Education 10 2
L Capacity Problems 8 3
M Increases Prejudice 8 3
N Racialisation 7 1
O More Social than Racial 7 1

22

The qualitative data is useful to ascertain why 44.1% of respondents may perceive the RQP
to have augmented (n=109) or had no effect (n=103) upon racial inequality. Of those
commenting on Q13 and Q15, 23.6% (n=50) made reference to categories G, H, J, M and N,
including:
“The intention of the racial quotas system is to diminish racial inequality and prejudice, but a
racial quota is a prejudice in itself. In my opinion, this type of attitude detracts the afro-
descendant race, treating them as an inferior race in comparison with Caucasians. Black
people are as capable as White people. We are all the same.” (QR-A45)
“I believe that only thinking about the racial issue reaffirms and sustains racial prejudice. We
should think, therefore, about socioeconomic quotas.” (QR-D78)
“It’s common to see white people with a much worse economic situation than many people
with black skin. Skin colour is no indication of the need for assistance. Now that’s
racism.”..(QR-A36)
In total, 75 respondents made comments pertaining to categories G, H, J, M and N. These
comments are partially based upon a theoretical concept of equality in terms of believing all
to be equal and, therefore, treating all as equal, as opposed to objective indicators of
inequality such as income distribution, social mobility and exclusion from public services.
Moreover, they signify that some respondents perceive RQs as generating prejudice and
racism within Brazilian society, aligning to findings of a Datafolha survey (2006) showing that
48% of respondents46
agree that "to reserve quotas for Blacks at universities is humiliating
for them" and 55% consent that “to reserve quotas for Blacks at universities can generate
acts of racism" (Guimarães, 2007:11-12). These perceptions also pertain to the theory of
racial democracy, as described in Chapter 6; illustrating class-centred justifications (see
Schwartzman & Silva 2012:40) which support the concept that while Brazilians acknowledge
racial prejudice/discrimination exists, they do not perceive it to define the hardships
experienced by non-whites and instead perceive them to result from socioeconomic
factors/status (Santos, 2006). Moreover, the anti-racialism aspect of racial democracy is
illustrated by responses to Q4 with 46.8% of all respondents who commented (n=263)
referring to aspects of ‘miscegenation’ and ‘no racial division’ writing comments such as:
“The race categories are failed because Brazil is one of the most racially mixed countries in
the world. Including me, as even being white I have black members in my family.”o
……………………..…………………………………………... (QR-C15, self-identified as Branca)

46

n=unknown.

23

“Colour/Race is a concept that is hard to be applied in Brazil because our country went
through an intense miscegenation process. It is impossible to define someone’s ethnicity. I
have Portuguese, African and Indigenous relatives. My great-grandparents are Portuguese
and Tupi. My grandfather is black, as is all his family.”oooooooooooooooooooooooooooo
0………………………………………………………...(QR-B43, self-identified as Parda (Branca))
“My mum is white, her mother is Indian and her father is white. My father and his mother are
black. His father is white. So, I consider myself “pardo” (mestiço).” (QR-B52)
The commonness of these race-centred responses (see Schwartzman & Silva, 2012),
highlight how deeply internalized the notion of anti-racialism remains within Brazilian society
(Twine, 1998:8). Combined, the perceptions above illustrate how perceptions of race/colour
and identity subsequently affect student’s perceptions of inequality in Brazil. Whilst
addressing causality is beyond the scope of this paper -of the 38% (n=182) refuting the idea
that the university system historically contributed to racial inequality in Q7- many
respondents may be influenced by the concepts of racial democracy; including the lack of
recognition of race as a meaningful parameter to comprehend the socioeconomic dynamics
of Brazilian society.
9.2a-‐A
Basic
Education
Problem

44.2% (n=169) of those respondents who commented on Q13 and Q15 referred to Category
A, stating that policy should focus upon augmenting quality/investment in the Brazilian basic
education system, which they perceive as the primary/sole cause of racial inequalities of
access to university education,47
thus helping to partially explain why 51.5% (n=87) of these
respondents perceive RQs in universities as ineffective in tackling the problem (options 1 and
2 combined in Q10).48
Moreover, 37.8% (n=64) of those referring to Category A, also referred
to Categories C, E and K, perceiving the policy as a palliative measure and/or one that
should only be a temporary initiative with structural reform in basic education taking priority.
“I believe the quotas system is extremely fair, however, I think it is an emergency measure
and other measures such as the improvement of basic education, should be taken.”
O…………………………………………………………………………......... ……………..(QR-A51)

47

13.6% (n=23) of these answered produced less or had no effect to Q7, suggesting they perceive basic
education as the sole ‘educational’ cause of racial inequality.

48
Just 15.4% (n=26) of these respondents perceived RQs as effective (options 4/5 combined in Q10). In total
49.1% (n=237) deemed RQs as ineffective and just 18.2% (n=88) as effective. Although not explicitly stated upon
the questionnaire, respondents were informed of what categories 2-4 represented in Q10/1112 during the briefing.

24

This was also emphasised within several interviews:
“Quotas are a palliative measure. It will not solve the issue of inequality. The problem is that
Brazil enjoys ‘painkillers’; it's just an attempt to make up for the problem. No one is really
interested in solving the problem, only to hide it; pretending it does not exist, as though
everything is fine. So, in the case of quotas, you reduce the level of education required for
people to enter; instead of improving their education overall.” (Interviewee-T)
In total, 23.8% (n=91) of respondents who commented referred to Categories C, E and K
suggesting that although RQs are perceived as necessary, they are not considered a
panacea to reduce racial inequalities of access to university education, due to fundamental
problems within the country’s basic education system; thus helping to explain why 14
individuals who chose ‘produced more’ in Q7 answered ‘had no effect’ in Q8.
Fairness

What defines and encompasses fairness is a broad topic of discussion, one beyond the
scope of the analysis presented in this paper. As noted by the World Bank (2004:5) “The
concept of social justice is inherently normative, which means that departing from different
views about what constitutes fairness could very well lead to radically different perceptions of
whether the Brazilian society, unequal as it is, is or is not fair.”
This section briefly examines respondent’s perceptions of fairness in relation to the RQP as
an intervention to tackle racial inequalities of access to Brazilian university education and
what may influence those perceptions. Quantitative analysis will focus on data generated by
Q11 and Q13, as outlined in Table 1; further supported by qualitative data collected by Q13
and Q15, as outlined in Table 2.
Table 1 shows that 49.1% (n=237) of respondents perceive RQs in university admissions as
extremely unfair (20.6%) or unfair (25.5%)49
and just 20.7% (n=100) as fair (12.7%) or
extremely fair (8%)50
These results suggest that RQs have less support than previously
thought (Bailey 2004),51
also appearing to contradict the idea that support for AA amongst
Brazilians with a higher education level is growing (Guimarães, 2007). 52
Whilst
acknowledging sampling and questions differ between Bailey’s study (RJ State/regarding
approval) and this research (two RJ universities/regarding fairness), their similarity in
respondent profile and sentiment make the aforementioned comparisons reasonable,

49
(Options 1/2 in Q11)
50
(Options 4/5 in Q11).
51
Bailey found 30% of respondents approved of RQs. See footnote 13.
52
It is acknowledged Guimarães’ findings were generated by a national survey. See footnote 12.

25

supported by data collected in Q11. Of those who answered ‘1 or 2’ in Q11, 49.8% (n=118)53
marked ‘abolished’ in Q13 while just 2.5% (n=6)54
marked ‘continue in current format’;55
whereas for those who answered ‘4 or 5’ in Q11 (n=88) these figures were 2.1% (n=5) and
34.3% (n=39) respectively. These figures align with intuitive thought; the aspect of fairness
appears to be a strong predictor of (lack of) support for RQs. In order to substantiate this
claim, inclusion of a dichotomised question regarding approval would have been preferable.
In any case, examining and understanding what Brazilians constitute as fair and what
contravenes this fairness appears very relevant in the RQP debate; therefore, further
research upon the matter is desirable.
“You are seeing justice but people are with more prejudice with these black people entering
university because they’re, well it's a survey, I didn't take part, but it's a common consensus
here that they’re stealing the university places…I don't think they’re stealing, I think they’re
being provided wrongly because, as I said, it's not a racial problem, it's an economic
problem.” (Interviewee-M, a self-identified branco student at PUC)

The above exemplifies how perceptions of race/colour and identity and subsequent
perceptions of inequality, may be influential factors as to whether respondents perceive RQs
as (un)fair. These include the discussed concepts of racial democracy and anti-racialism; for
Brazilians not seeing differences in race/colour negates the possibility of them determining
inequality as a racial problem and, therefore, racial inequality need not be actively and
unfairly redressed through race-oriented policy (see Santos 2006). This may help explain
why 25.7% (n=61) of respondents who answered ‘1 or 2’ in Q11 commented that quotas
should be based solely upon socioeconomic criteria.56
Moreover, Interviewee-M’s remarks
indicate that even though respondents perceive the RQP as justice for beneficiaries, some
may still perceive RQs as unfair, rejecting the policy due to their own self-interests with RQs
intensifying competition amongst, and fundamentally reducing the chances of, the elite
classes obtaining a prized public university place.
“The whites don’t want their children to not enter university through the vestibular because
the racial quota students are getting in. But the blacks want to have the quota otherwise they
won’t be able to get into university.” mmmmOooooooooooooooooooooooooooooooooooooo
o…………………………((Interviewee-R, a self-identified pardo (mestiço) RQ student at UERJ)

53
Representing 93.6% of all those who marked ‘abolished’ in Q13.
54
Representing 8% of all those who marked ‘continue in current format’ in Q13.
55
47.3% (n=112) of respondents marked modified. Of these 97 commented in Q13/15 demonstrating disapproval
for RQs; for instance 30.1% (n=31) commented on Category-B (just SQs) and 19.6% (n=19) on Category-A
(Basic Education Quality/Investment) and only 16.5% on Categories C (Palliative Measure), E (Temporary
Measure) and K (RQs with Basic Education) as described in Chapter 9.2a.

56
See appendix-D/Category-B

26

The references: “these black people” “the whites” “the blacks” used by Interviewees M and R,
exemplify common descriptors used by many interviewees and questionnaire respondents
and are potentially insightful. It has been noted that racial classification in Brazil is both
complicated and ambiguous, however it appears respondents tacitly acknowledge that the
‘for’ and ‘against’ dichotomy toward the RQP is identifiable along white and black lines. With
this in mind, the relationship between self-classified race/colour (as measured by the
branco/pardo/preto 0-4 scale in Q3) and perceived level of ‘fairness’ in relation to RQs as an
intervention to reduce racial inequalities of access to university education. (as measured by
the perceived fairness 1-5 scale in Q11) was investigated using Spearman’s correlation
coefficient as presented in Chapter 9.1b. There was a small but significant positive
correlation between the two variables (R=.144, n=463, p<.002), with darker levels of self-
classified race/colour within categories 0-4 associated with higher levels of perceived
fairness.
Additionally, a multivariate analysis was performed using an ordered-probit model.
Considering race as an ordinal variable and controlling for: 1.whether students attend a
public/private university; 2.gender; 3.age; 4.PRSOL; 5.how effective respondents perceive
RQs in reducing racial inequality in the university system, the previous finding remains highly
significant with control variables 1, 3 and 4 also significant (Figure-4). However, here race is
considered as an interval variable and may not strictly fulfil the assumptions of the model
given that differences between the racial categories cannot be measured in this way.
Representing race as dummy variables reveals that in comparison to Category 0 (branco) all
non-white categories (1-4) perceive the RQP as fairer, although only two are significant
(Figure-5).57
Figure-4
Fairness Coefficient P>|z|
1.Private -.2623576 0.015**
2.Female -.0693786 0.511
3.Age .02825 0.005***
4.Effectiveness .8148919 0.000***
5.PRSOL .0644169 0.307
6.Race .1229083 0.010**
Figure-5
Figure-51.Pardo-(Branco) .117786 0.420
2.Pardo-(Mestiço) .2716659 0.080*
3.Pardo-(Negro) .2841654 0.269
4.Preto .5141827 0.035**
*significant at 10% **significant at 5% ***significant at 1%

57
See appendix-C1/C2 for full results.

27

Dichotomising the dependent variable (options 1 and 2 combined in Q11), a standard-probit
using the same control variables shows that the race coefficient is again highly significant as
well as control variables 1 and 4 (Figure-6), revealing that the darker respondents are, the
less likely they are to deem RQs as unfair. With race as dummy variables, as before, the
darkest categories (3 and 4) are highly significant (Figure-7).58
Figure-6
Fairness Coefficient P>|z|
1.Private -.308986 0.025**
2.Female -.0595317 0.662
3.Age .0184225 0.165
4.Effectiveness .701607 0.000***
5.PRSOL .0630745 0.441
6.Race .1827351 0.004***
Figure-7
1.Pardo-(Branco) .1956027 0.289
2.Pardo-(Mestiço) .2804135 0.160
3.Pardo-(Negro) .6928187 0.048**
4.Preto .7422576 0.028**
*significant at 10% **significant at 5% ***significant at 1%
While these results align to intuitive thought, R-values are relatively low. 41.5% (n=78) of
self-classified non-whites perceive RQs as unfair; of these, considering PRSOL, 35.9%
(n=28) answered ‘equal’ or ‘less’ in Q14. Moreover, while many remain neutral,59
almost as
many self-classified pardo (negros) and pretos perceive RQs as unfair/fair, suggesting even
potential RQ beneficiaries deem RQs as unfair.
However, these data should, again, be interpreted cautiously; while the sample is large
enough for Category 0 (branco) it is relatively small for Categories 1-4. Therefore,
complementary research with a larger representative sample of non-whites could help
assess the reliability of this significant finding. Overall -across all race/colour categories-
many respondents60
appear neutral in their perceptions regarding the fairness of RQs.
Moreover, these data demonstrate that while darker individuals perceive RQs as fairer, there
is no evidence to suggest perceptions of fairness are clearly divided along white/black lines.

58

See Appendix-C3/C4 for full results.

59

Option 3 in Q11. See Appendix-B2 Report-1

60
n=145

28

10.
Conclusion
Before discussing the implications of this research, a few points of caution are in order. The
sample is substantial yet still relatively limited, conducted at only two universities out of the
hundreds available within Brazil. Moreover, both universities were located in just one city
(RJ) and there are reasons to expect that issues regarding AA would play out differently
elsewhere. That said, the data still provide some interesting findings; as discussed below.
Chapter 9.1 highlights that respondent’s perceptions of racial classification are as
contentious, complex and inconsistent as the literature and its adjoining theories propose;
therefore, it is difficult to make conclusive interpretations of the data. Findings highlight that
many students perceive race/colour classification of others and oneself as difficult and
subjective; thus, the appropriateness of self-classification as a method by which students
apply for RQs appears questionable. The self-classification model used in this study
illustrates this problem; responses indicate that many pardos (46.7%, n=77) would likely opt
for whiteness if constrained to dichotomous classification. Therefore, AA administrators
hoping to effectively target RQs may need to rethink continuing under the premise that negro
incorporates both the pardo and preto census categories (Bailey, 2008; Schwartzman, 2008).
Conversely, A significant negative correlation between darker levels of self-classified
race/colour within pardo categories and lower levels of PRSOL indicates that using a
dichotomous white/black model of self-classification for RQ admissions may reveal greater
levels of racial inequality amongst pardos. Therefore, without a robust problem-free
alternative, this method, alongside socioeconomic criteria testing, is justified as an effective
way as any at present in targeting Brazil’s most socioeconomically disadvantaged ‘non-
whites’ (Loveman, et al., 2011).
Despite perceptions of race/colour and identity being multifaceted and inconsistent, it is
interesting that three-quarters of respondents acknowledge that education has been/is a
contributing factor to racial inequality in Brazil61
with broadly two-thirds perceiving the
university system as a contributing factor. Therefore, unsurprisingly, a majority of
respondents believe RQs have, to some extent, reduced racial inequality since their
introduction. However, noteworthy is that a significant proportion of respondents (38%,
n=212) perceive RQs to have had no effect upon, or even increased racial inequality since
their implementation. Moreover, half of respondents critically evaluate the RQP as an
intervention to tackle the problem, claiming it is ineffective and/or unfair.62
Aligning to intuitive
thought, I find a series of significant correlations between darker levels of self-classified

61
Aligning to findings of (Bailey, 2004; Bourguignon et al., 2008)
62
Of these, 78% (n=185) claimed RQs as both ineffective and unfair. Suggesting perceptions of effectiveness and
fairness are not always aligned.

29

race/colour and their perceived level of fairness regarding RQs. These and the finding
regarding PRSOL suggests respondent’s perceptions are, to some extent, identifiable along
racial lines; however, no distinct racial divide is found within these perceptions with many
darker individuals, with lower levels of PRSOL -potential beneficiaries of RQs- deeming
them as unfair.
Qualitative data examined in Chapters 9.2 and 9.3 helps to explain why -despite the majority
of respondents recognising the university system has historically contributed to racial
inequality- many deem the RQP as an inappropriate intervention. Many students commented
that RQs create an unnecessary racial divide, reaffirming/generating prejudice and racism
within Brazilian society as opposed to embracing the notion that all races/colours are equal
and, therefore, should be treated as equal. These respondents display a preference to
perceive the hardships experienced by non-whites to result from socioeconomic
factors/status (Santos, 2006) and, therefore, prefer colour-blind policies (Schwartzman &
Silva, 2012:32), which focus primarily/solely upon socioeconomic criteria. Moreover, a
significant number of respondents commenting (n=124) exemplified a stance of anti-racialism,
referring to aspects of miscegenation and no racial division. Combined these factors highlight
how certain concepts of the racial democracy myth remain deeply internalized within
Brazilian society (Telles, 2004:77). Also, over a third of all respondents commented that
insufficient quality/investment in the basic education system drives racial inequalities of
access to university education. Therefore, many see the RQP as a palliative measure and/or
should be a temporary initiative, one that alone is unlikely to effectively mitigate the access
problem.
The above signifies why, a decade after the enactment of RQs in university admissions,
public debates remain strong and polarised. By definition, perception cannot be determined
as right or wrong and therefore debate aiming to convince proponents/opponents of one
another’s stance could prove futile. Instead, public debates should focus upon what kind of
society Brazilians wish to build (Santos, 2006:43). Alongside social justice -the principal
rationale behind Brazil’s AA policies- (Moses, 2009:221), there exists a clear set of economic
motivations. Gary Becker (1971; 1993) noted that discrimination against large minorities (the
case in Brazi) reduces the overall incomes of all. Severe and pervasive inequality often
perpetuates economic inefficiency, leads to social instability and reduced social solidarity,
fosters political corruption (World Bank, 2004:5; Todaro & Smith, 2009:222-23) and incites
crime and violence (Fajnzylber et al., 2002; Sachsida et al., 2010). This describes a Brazil of
which its people have long grown tired, signified by the recent countrywide demonstrations.

30

New data in this study highlights that justifications opposing RQs throughout Brazilian society
prevail in the arguments of many students at UERJ and PUC-Rio; driven by perceptions of
race/colour, identity and inequality that conflict with the reality many Brazilians face.
University students of today are society’s elite of tomorrow, those who will possess the
economic, social, and political capital necessary to enact positive change; propagating both
equity and equality, amongst a Brazilian population that has persistently remained highly
stratified.
Overall this study shows that racial classification in Brazil is highly complex. Despite that
there is a general strong feeling amongst the majority of respondents that education
(including the university system), has been/is a contributing factor to racial inequality.
Therefore, broadly speaking, respondents believe that some form of intervention is required;
however a significant proportion of respondents do not positively evaluate RQs, questioning
their fairness and effectiveness, regardless of their race. To explain this puzzlement we
return to the complexity of race, complexity that the policy struggles to engage with at a
societal level and ultimately influences respondent’s conceptualisation of inequality and
fairness; therefore shaping their overall attitude toward the policy.
The complications regarding the formulation and implementation of RQs are clearly evident,
unique in the Brazilian experience of AA in comparison to other nations. Although the RQP is
not considered a panacea for resolving Brazil’s racial inequality, it appears to be a policy of
progressive change. Therefore, if policymakers wish to generate widespread support for -and
ensure the effectiveness of- RQs in university admissions, they should consider ways of
modifying the policy so that it better engages with the discussed race-related issues,
particularly those pertaining to the category of pardo.

31

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